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Vol. 85 Monday, No. 144 27, 2020

Pages 45057–45302

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 85, No. 144

Monday, July 27, 2020

Editorial Note: The printed version of the Federal Register Agency Information Collection Activities; Proposals, Table of Contents for , 2020, FR Doc. 2020-15979, Submissions, and Approvals: was incorrectly indexed. The correct index entry should Annual Certification and Data Collection Report Form read Foreign Affairs Policy Board. and the Certification Transaction Level Report, 45301–45302 Agricultural Marketing Service Small Dollar Loan Program, 45298–45301 RULES Board Membership Eligibility Requirements: Defense Department Softwood Lumber Research, Promotion, Consumer See Engineers Corps Education and Industry Information Order, 45057– NOTICES 45059 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 45203–45205 Agriculture Department Drug Enforcement Administration See Agricultural Marketing Service NOTICES Decision and Order: Alcohol, Tobacco, Firearms, and Explosives Bureau Frank Joseph Stirlacci, M.D., 45229–45240 NOTICES Agency Information Collection Activities; Proposals, Education Department Submissions, and Approvals: NOTICES Application for Tax-Exempt Transfer of Firearm and Applications for New Awards: Registration to Special Occupational Taxpayer, Out of School Time Career Pathway Program, 45206 45228–45229 Privacy Act; Systems of Records, 45206–45209

Centers for Medicare & Medicaid Services Energy Department NOTICES See Federal Energy Regulatory Commission Agency Information Collection Activities; Proposals, Submissions, and Approvals, 45221–45222 Engineers Corps NOTICES Children and Families Administration Environmental Impact Statements; Availability, etc.: NOTICES Landfill Expansion Within Wetlands That Drain to Agency Information Collection Activities; Proposals, Burnetts Mill Creek at the Existing Regional Landfill Submissions, and Approvals: Off Merged United States Routes 58, 13, and 460 in Requirements for the Low Income Home Energy Suffolk, VA, 45205–45206 Assistance Program Model Plan Application, 45222 Environmental Protection Agency Civil Rights Commission RULES NOTICES Air Quality State Implementation Plans; Approvals and Meetings: Promulgations: Colorado Advisory Committee, 45159–45160 Minnesota; Revision to the Minnesota State Illinois Advisory Committee, 45159 Implementation Plan, 45094–45107 Indiana Advisory Committee, 45160 National Oil and Hazardous Substances Pollution New York Advisory Committee, 45160–45161 Contingency Plan; National Priorities List: Deletion of the Scrap Processing Co., Inc. Superfund Site, Coast Guard 45107–45109 Significant New Use Rule: RULES Long-Chain Perfluoroalkyl Carboxylate and Perfluoroalkyl Drawbridge Operations: Sulfonate Chemical Substances, 45109–45126 Lacombe Bayou, LA, 45092–45094 PROPOSED RULES NOTICES Air Quality State Implementation Plans; Approvals and Agency Information Collection Activities; Proposals, Promulgations: Submissions, and Approvals, 45224 Maine; Midcoast Area and Portland Second 10-Year Limited Maintenance Plans for 1997 Ozone National Commerce Department Ambient Air Quality Standards, 45140–45145 See International Trade Administration Washington; Interstate Transport Requirements for the See National Oceanic and Atmospheric Administration 2010 Sulfur Dioxide National Ambient Air Quality Standards, 45146–45154 Community Development Financial Institutions Fund Approval and Promulgation of State Plans for Designated NOTICES Facilities and Pollutants: Agency Information Collection Activities; Proposals, City of Philadelphia and District of Columbia, 45154– Submissions, and Approvals, 45301 45155

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National Oil and Hazardous Substances Pollution General Services Administration Contingency Plan; National Priorities List: NOTICES Deletion of the Scrap Processing Co., Inc. Superfund Site, Meetings: 45157–45158 Implementation of Fiscal Year 2019 National Defense Partial Deletion of the Macalloy Corporation Superfund Authorization Act; Correction, 45221 Site, 45155–45157 NOTICES Health and Human Services Department Agency Information Collection Activities; Proposals, See Centers for Medicare & Medicaid Services Submissions, and Approvals: See Children and Families Administration SmartWay Transport Partnership, 45211–45212 See National Institutes of Health Homeland Security Department Export-Import Bank See Coast Guard NOTICES Partnership Renewal With Private Export Funding Corp., Indian Affairs Bureau 45213 NOTICES Request To Increase the Amount of Long-Term General Agency Information Collection Activities; Proposals, Guarantee on Interest of Secured Notes Issued by the Submissions, and Approvals: Private Export Funding Corp., 45212–45213 IDEIA Part B and C Child Count, 45224–45225 Interior Department Federal Aviation Administration See Indian Affairs Bureau RULES See Land Management Bureau Airworthiness Directives: Airbus Helicopters Deutschland GmbH Helicopters, International Trade Administration 45066–45069 NOTICES Austro Engine GmbH Engines, 45075–45078 Antidumping or Countervailing Duty Investigations, Orders, GE Aviation Czech SRO Turboprop Engines, 45069– or Reviews: 45072 Carbon and Alloy Steel Cut-to-Length Plate From the GE Aviation Czech SRO Turboprop Engines (Type Republic of Korea, 45165–45167, 45185–45187 Certificate Previously Held by WALTER Engines AS, Honey From the People’s Republic of China, 45187– Walter a.s., and MOTORLET AS), 45062–45066 45188 PZL Swidnik SA Helicopters, 45059–45061, 45073–45075 Silicon Metal From the Republic of Kazakhstan, 45173– Rolls-Royce Deutschland Ltd and Co KG (Type Certificate 45177 Previously Held by Rolls-Royce plc) Turbofan Standard Steel Welded Wire Mesh From Mexico, 45167– Engines, 45079–45084 45172, 45181–45185 Prohibition Against Certain Flights in the Tripoli Flight Twist Ties From the People’s Republic of China, 45161– Information Region, 45084–45092 45165, 45188–45191 NOTICES Cybersecurity Business Development Mission to Peru, Intent of Waiver With Respect to Land: , and Uruguay, With an Optional Stop in Freeman Municipal Airport, Seymour, IN, 45292–45294 , 45172–45173 Initiation of Less-Than-Fair-Value Investigations: Federal Communications Commission Silicon Metal From Bosnia and Herzegovina, Iceland, and Malaysia, 45177–45181 RULES Accelerating Wireless and Wireline Broadband Deployment International Trade Commission by Removing Barriers to Infrastructure Investment, NOTICES 45126–45134 Complaint: PROPOSED RULES Certain Height-Adjustable Desk Platforms and Certain Unlicensed Use of the 6 GHz Band, 45158 NOTICES Components Thereof, 45226–45227 Agency Information Collection Activities; Proposals, Investigations; Determinations, Modifications, and Rulings, Submissions, and Approvals, 45213–45220 etc.: Certain Pre-Filled Syringes for Intravitreal Injection and Components Thereof, 45227–45228 Federal Energy Regulatory Commission Light-Walled Rectangular Pipe and Tube From China, NOTICES Korea, Mexico, and Turkey, 45228 Combined Filings, 45209 Initial Market-Based Rate Filings Including Requests for Justice Department Blanket Section 204 Authorizations: See Alcohol, Tobacco, Firearms, and Explosives Bureau Hunter Solar, LLC, 45210–45211 See Drug Enforcement Administration Records Governing Off-the-Record Communications, 45209– NOTICES 45210 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Uniform Crime Reporting Data Collection Instrument Federal Railroad Administration Pretesting and Burden Estimation Generic Clearance, NOTICES 45240–45241 Petition for Waiver of Compliance, 45294–45297 Program Approval: Labor Department Canadian Pacific Railway Co., 45295 See Mine Safety and Health Administration

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Land Management Bureau Self-Regulatory Organizations; Proposed Rule Changes: NOTICES Fixed Income Clearing Corp., 45276–45280 Records of Decision; Availability: Nasdaq BX, Inc., 45243–45263 Browns Canyon National Monument Resource National Securities Clearing Corp., 45280–45283 Management Plan, Colorado, 45225–45226 New York Stock Exchange, LLC, 45268–45274 NYSE American, LLC, 45267–45268, 45283–45285 Maritime Administration NYSE Arca, Inc., 45274–45275, 45285–45287 NOTICES The Depository Trust Co., 45263–45267 Meetings: The Nasdaq Stock Market, LLC, 45275–45276 Voluntary Tanker Agreement Program, 45297–45298 Small Business Administration Mine Safety and Health Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals, 45287–45288 Submissions, and Approvals: Disaster Declaration: Sealing of Abandoned Areas, 45241–45242 Ohio, 45288 National Institutes of Health NOTICES Social Security Administration Meetings: NOTICES National Institute of Allergy and Infectious Diseases, Privacy Act; Matching Program, 45291 45222–45223 Privacy Act; Systems of Records, 45288–45291 National Institute of Neurological Disorders and Stroke, 45223 State Department NOTICES National Oceanic and Atmospheric Administration Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, Affidavit Regarding a Change of Name, 45291–45292 Submissions, and Approvals: FY 2018 and FY 2017 Service Contract Inventory, 45292 Reporting of Sea Turtle Entanglement in Fishing Gear or Marine Debris, 45202–45203 Transportation Department Reporting Requirements for the Ocean Salmon Fishery See Federal Aviation Administration Off the Coasts of Washington, Oregon, and California, See Federal Railroad Administration 45191–45192 See Maritime Administration Endangered and Threatened Species: Take of Anadromous Fish, 45192–45197 Treasury Department International Affairs: See Community Development Financial Institutions Fund Fishing Opportunities in the Northwest Atlantic Fisheries Organization Regulatory Area, 45198–45202 Veterans Affairs Department Meetings: PROPOSED RULES Caribbean Fishery Management Council, 45197–45198 Educational Assistance for Certain Former Members of the Gulf of Mexico Fishery Management Council, 45203 Armed Forces, 45135–45139 NOTICES Nuclear Regulatory Commission Meetings: NOTICES Veterans and Community Oversight and Engagement Meetings: Sunshine Act, 45242–45243 Board, 45302 Postal Regulatory Commission PROPOSED RULES Reader Aids Periodic Reporting, 45139–45140 Consult the Reader Aids section at the end of this issue for Securities and Exchange Commission phone numbers, online resources, finding aids, and notice RULES of recently enacted public laws. Securities Offering Reform for Closed-End Investment To subscribe to the Federal Register Table of Contents Companies; Correction, 45092 electronic mailing list, go to https://public.govdelivery.com/ NOTICES accounts/USGPOOFR/subscriber/new, enter your e-mail Agency Information Collection Activities; Proposals, address, then follow the instructions to join, leave, or Submissions, and Approvals, 45285 manage your subscription.

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CFR PARTS AFFECTED IN THIS ISSUE

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

7 CFR 1217...... 45057 14 CFR 39 (8 documents) ...... 45059, 45062, 45066, 45069, 45073, 45075, 45079, 45081 91...... 45084 17 CFR 230...... 45092 232...... 45092 33 CFR 117...... 45092 38 CFR Proposed Rules: 17...... 45135 39 CFR Proposed Rules: 3050...... 45139 40 CFR 52...... 45094 81...... 45094 300...... 45107 721...... 45109 Proposed Rules: 52 (2 documents) ...... 45140, 45146 62...... 45154 300 (2 documents) ...... 45155, 45157 47 CFR 1...... 45126 Proposed Rules: 15...... 45158

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Rules and Regulations Federal Register Vol. 85, No. 144

Monday, July 27, 2020

This section of the FEDERAL REGISTER effects, distributive impacts and equity). the petitioner resides or conducts contains regulatory documents having general Executive Order 13563 emphasizes the business shall have the jurisdiction to applicability and legal effect, most of which importance of quantifying both costs review a final ruling on the petition, if are keyed to and codified in the Code of and benefits, reducing costs, the petitioner files a complaint for that Federal Regulations, which is published under harmonizing rules and promoting purpose not later than 20 days after the 50 titles pursuant to 44 U.S.C. 1510. flexibility. This action falls within a date of the entry of USDA’s final ruling. category of regulatory actions that the The Code of Federal Regulations is sold by Background the Superintendent of Documents. Office of Management and Budget (OMB) exempted from Executive Order This rule changes the eligibility 12866 review. Additionally, because requirements for nominees representing DEPARTMENT OF AGRICULTURE this rule does not meet the definition of domestic manufacturers on the Board. a significant regulatory action it does The Board administers the Softwood Agricultural Marketing Service not trigger the requirements contained Lumber Research, Promotion, Consumer in Executive Order 13771. See OMB’s Education and Industry Information 7 CFR Part 1217 Memorandum titled ‘‘Interim Guidance Order (Order) with oversight by the [Document Number AMS–SC–20–0031] Implementing Section 2 of the Executive USDA. Pursuant to the Order, Order of 30, 2017, titled assessments are collected from domestic Softwood Lumber Research, ‘Reducing Regulation and Controlling manufacturers and importers, and are Promotion, Consumer Education and Regulatory Costs’ ’’ ( 2, 2017). used for research and promotion Industry Information Order; Change to Executive Order 13175 projects designed to strengthen the the Board Membership Eligibility position of softwood lumber in the Requirements This action has been reviewed in marketplace. This change was accordance with the requirements of recommended to the Secretary by the AGENCY: Agricultural Marketing Service, Executive Order 13175, Consultation Board at its , 2020, meeting, USDA. and Coordination with Indian Tribal and will contribute to the effective ACTION: Final rule. Governments. The review reveals that administration of the program. this regulation would not have Section 1217.40 provides for the SUMMARY: This rule changes the substantial and direct effects on Tribal eligibility requirements for nominees establishment of the Board. The Board governments and would not have is comprised of manufacturers for the representing domestic manufacturers on significant Tribal implications. the Softwood Lumber Board (Board) U.S. market who manufacture and under the Agricultural Marketing Executive Order 12988 domestically ship or import 15 million Service’s (AMS) regulations regarding a This rule has been reviewed under board feet or more of softwood lumber national research and promotion Executive Order 12988, Civil Justice in the United States during a fiscal program for softwood lumber. This Reform. It is not intended to have period. In 2018, the Board change will help facilitate program retroactive effect. Section 524 of the recommended revising the Board operations. 1996 Act (7 U.S.C. 7423) provides that composition from 19 to 14 members it shall not affect or preempt any other over a three-year period. The Board took DATES: Effective 26, 2020. Federal or State law authorizing into consideration the consolidation of FOR FURTHER INFORMATION CONTACT: promotion or research relating to an the softwood lumber industry since the Andrea Ricci, Marketing Specialist, agricultural commodity. inception of the program, along with the Promotion and Economics Division, Section 519 of the 1996 Act (7 U.S.C. number of companies eligible to be Specialty Crops Program, AMS, USDA, 7418) provides that a person subject to represented on the Board. Additionally, 755 E Nees Avenue #25985, Fresno, CA an order may file a written petition with the Board recommended that U.S. Board 93720; telephone: (202) 572–1442; or U.S. Department of Agriculture (USDA) members reside in the region they electronic mail: [email protected]. stating that an order, any provision of an represent. This was intended to ensure SUPPLEMENTARY INFORMATION: This rule order, or any obligation imposed in that entities from outside the U.S. that affecting 7 CFR part 1217 (herein the connection with an order, is not own softwood lumber entities within ‘‘Order’’) is authorized by the established in accordance with the law, the U.S. could only represent a U.S. Commodity Promotion, Research, and and request a modification of an order region on the Board if the individual Information Act of 1996 (1996 Act) (7 or an exemption from an order. Any seeking nomination resided in the U.S.C. 7411–7425). petition filed challenging an order, any respective region. The recommendation provision of an order, or any obligation was finalized in a rule that was Executive Orders 12866, 13563, and imposed in connection with an order, published in the Federal Register on 13771 must be filed within two years after the 25, 2019 (84 FR 50294). The Executive Orders 12866 and 13563 effective date of an order, provision, or 2021 Board and each subsequent Board direct agencies to assess all costs and obligation subject to challenge in the shall be comprised of 14 members, 10 of benefits of available regulatory petition. The petitioner will have the whom shall represent domestic alternatives and, if regulation is opportunity for a hearing on the manufacturers and four of whom shall necessary, to select regulatory petition. Thereafter, USDA will issue a represent importers. Domestic approaches that maximize net benefits ruling on the petition. The 1996 Act manufacturer Board members represent (including potential economic, provides that the district court of the three regions: U.S. South Region; U.S. environmental, public health and safety United States for any district in which West Region; and Northeast and Lake

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States Region. The Order prescribes that seek nomination in one of the regions small businesses will not be domestic manufacturer representatives where the manufacturer they represent disproportionately burdened. The Small reside in the region they represent. has operations will provide flexibility to Business Administration (SBA) defines, the Order, while maintaining the intent in 13 CFR part 121, small agricultural Board Recommendation that Board members representing service firms (domestic softwood The Board met on February 26, 2020, domestic manufacturers reside in the lumber manufacturers and importers) as and recommended the Order be revised U.S. This change will help facilitate those having annual receipts of no more to allow a domestic manufacturer’s program operations. Therefore, than $8 million.1 representative to seek nomination in § 1217.40 (b)(1), (b)(1)(i), (b)(1)(ii), and The Random Lengths Publications, any of the regions where the (b)(1)(iii) will be revised accordingly. Inc.’s yearly average framing lumber manufacturer they represent has composite price was $356 per thousand Final Regulatory Flexibility Act manufacturing operations. The current board feet (mbf) in 2019. Dividing the $8 Analysis Order limits manufacturer million threshold that defines an representatives to seek nomination only In accordance with the Regulatory agricultural service firm as small by this in the region where he or she resides. Flexibility Act (RFA) (5 U.S.C. 601– price results in a maximum threshold of The Board conducted nominations 612), the Agricultural Marketing Service 22.5 million board feet (mmbf) of under the newly implemented (AMS) is required to examine the softwood lumber per year that a provisions and found that clarification impact of the action on small entities. domestic manufacturer or importer may in the Order was needed to reflect the Accordingly, AMS has considered the ship to be considered a small entity for multi-regional nature of manufacturers economic impact of this action on such purposes of the RFA. Table 1 shows the rather than the individual nominee. entities. number of entities and the amount of Several domestic manufacturers have The purpose of the RFA is to fit volume they represent that may be operations in multiple U.S. regions. regulatory actions to the scale of categorized as small or large based on Revising the Order to allow a person to businesses subject to the actions so that the SBA definition.

TABLE 1—DOMESTIC MANUFACTURERS AND IMPORTERS BY SBA SIZE STANDARDS [2019]

Domestic manufacturers Importers Totals Volume Volume Volume Entities (MMBF) Entities (MMBF) Entities (MMBF)

Small ...... 226 1,991 774 1,257 1,000 3,248 Large ...... 290 32,229 106 32,582 396 64,811

Total ...... 516 34,220 880 33,839 1,396 68,059 Sources: Forest Economic Advisors; Customs and Border Protection.

As shown in Table 1, there are a total with the program requirements, 2020, and at the Board meeting on of 1,396 domestic manufacturers and assessments are collected from domestic February 26, 2020. importers of softwood lumber based on manufacturers and importers, and are In accordance with the Paperwork 2019 data. Of these, 1,000 entities, or 72 used for research and promotion Reduction Act of 1995 (44 U.S.C. percent, shipped or imported less than projects designed to strengthen the Chapter 35), the information collection 22.5 mmbf and would be considered position of softwood lumber in the and recordkeeping requirements that are small based on the SBA definition. marketplace. Revising the Order to imposed by the Order have been These 1,000 entities domestically allow a person to seek nomination in approved previously under OMB manufactured or imported 3.25 billion one of the regions where the softwood board feet (bbf) in 2019, less than 5 lumber manufacturer has operations control number 0581–0093. This rule percent of total volume. The revision to will provide flexibility to the Order, will not result in a change to the the Board eligibility requirements will while maintaining the intent that Board information collection and not disproportionately burden small members representing domestic recordkeeping requirements previously domestic manufacturers and importers manufacturers reside in the U.S. approved and will impose no additional reporting and recordkeeping burden on of softwood lumber. Regarding alternatives, the Board domestic manufacturers and importers This rule revises § 1217.40 (b)(1), considered not changing the nominee of softwood lumber. (b)(1)(i), (b)(1)(ii), and (b)(1)(iii) to allow eligibility requirements; however, the domestic softwood lumber manufacturer entire Board determined that making As with all Federal promotion representatives to seek nomination in this change will better align the Order programs, reports and forms are any of the regions where the provisions with industry practices and periodically reviewed to reduce manufacturer they represent has will help facilitate Board operations. information requirements and manufacturing operations. The Order is This change was discussed at the duplication by industry and public administered by the Board with Industry Relations and Governance sector agencies. USDA has not oversight by the USDA. In accordance Committee meeting on , identified any relevant Federal rules

1 SBA does have a small business size standard Based on USDA’s understanding of the lumber reality, a large business. Therefore, USDA used for ‘‘Sawmills’’ of 500 employees (see https:// industry, using this criterion would be impractical ‘‘agricultural service firm’’ as a more appropriate www.sba.gov/sites/default/files/2019-08/ as sawmills often use contractors rather than criterion for this analysis. SBA%20Table%20of%20Size%20Standards_ employees to operate and, therefore, many mills Effective%20Aug%2019%2C%202019_Rev.pdf). would fall under this criterion while being, in

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that duplicate, overlap, or conflict with (i) Five members shall represent DEPARTMENT OF TRANSPORTATION this rule. manufacturers of softwood lumber in AMS is committed to complying with the U.S. South Region, which consists of Federal Aviation Administration the E-Government Act, to promote the the states of Alabama, Arkansas, use of the internet and other Florida, Georgia, Louisiana, Mississippi, 14 CFR Part 39 information technologies to provide North Carolina, Oklahoma, South [Docket No. FAA–2018–0753; Product increased opportunities for citizen Carolina, Tennessee, Texas, Virginia, Identifier 2018–SW–033–AD; Amendment access to Government information and and West Virginia. For the 2020 Board, 39–21169; AD 2020–15–06] services, and for other purposes. of these five members, two must A proposed rule concerning this RIN 2120–AA64 represent large and three must represent action was published in the Federal Airworthiness Directives; PZL Swidnik Register on , 2020 (85 FR 27690). small domestic manufacturers. For the S.A. Helicopters A 30-day comment period ending 2021 Board and each subsequent Board of these five members, two must 10, 2020, was provided to allow AGENCY: Federal Aviation interested persons to submit comments. represent large, two must represent Administration (FAA), DOT. small, and one may represent domestic ACTION: Analysis of Comments manufacturers of any size; Final rule; request for comments. Two comments were received in (ii) Five members shall represent response to the proposed rule. One manufacturers of softwood lumber in SUMMARY: The FAA is adopting a new commenter supported the change stating the U.S. West Region for the 2020 airworthiness directive (AD) for certain that it will give the board more Board, and for the 2021 Board and each PZL Swidnik S.A. (PZL) Model W–3A flexibility in seeking the best qualified subsequent Board, four members shall helicopters. This AD requires repetitive people to serve on the Board. The other manufacture softwood lumber in the inspections of the main transmission comment was outside the scope of this U.S. West Region, which consists of the (Main XSMN) case for a crack, and action. depending on the inspection outcome, After consideration of all relevant states of Alaska, Arizona, California, Colorado, Hawaii, Idaho, Montana, removing the WR–3 Main XSMN from material presented, including the service before further flight. This AD information and recommendations Nevada, New Mexico, North Dakota, Oregon, South Dakota, Utah, was prompted by a report of cracks in submitted by the Board, the comment a Main XSMN case. The actions of this Washington, and Wyoming. For the received, and other available AD are intended to address an unsafe 2020 Board, of these five members, four information, it is hereby found that this condition on these products. rule, as hereinafter set forth, is must represent large and one must DATES: This AD becomes effective consistent with and will effectuate the represent small domestic manufacturers. , 2020. purposes of the 1996 Act. For the 2021 Board and each subsequent The Director of the Federal Register Board, of the four members, two must List of Subjects in 7 CFR Part 1217 approved the incorporation by reference represent large, one must represent Administrative practice and of a certain document listed in this AD small, and one may represent domestic as of August 11, 2020. procedure, Advertising, Consumer manufacturers of any size; and information, Marketing agreements, The FAA must receive comments on Softwood Lumber promotion, Reporting (iii) One member shall represent a this AD by , 2020. and recordkeeping requirements. manufacturer of softwood lumber in the ADDRESSES: You may send comments by For the reasons set forth in the Northeast and Lake States Region, any of the following methods: preamble, 7 CFR part 1217, is amended which consists of the states of • Federal eRulemaking Docket: Go to as follows: Connecticut, Delaware, Illinois, Indiana, https://www.regulations.gov. Follow the Iowa, Kansas, Kentucky, Maine, online instructions for sending your PART 1217—SOFTWOOD LUMBER Maryland, Massachusetts, Michigan, comments electronically. RESEARCH, PROMOTION, Minnesota, Missouri, Nebraska, New • Fax: 202–493–2251. CONSUMER EDUCATION AND Hampshire, New Jersey, New York, • Mail: Send comments to the U.S. INDUSTRY INFORMATION ORDER Ohio, Pennsylvania, Rhode Island, Department of Transportation, Docket Vermont, Wisconsin and all other parts Operations, M–30, West Building ■ 1. The authority citation for 7 CFR of the United States not listed in Ground Floor, Room W12–140, 1200 part 1217 continues to read as follows: paragraph (b)(1)(i), (ii), or (iii) of this New Jersey Avenue SE, Washington, DC Authority: 7 U.S.C. 7411–7425; 7 U.S.C. section. This member may represent 20590–0001. • 7401. domestic manufacturers of any size. Hand Delivery: Deliver to the ‘‘Mail’’ address between 9 a.m. and 5 ■ 2. In § 1217.40, paragraphs (b)(1), * * * * * (b)(1)(i), (b)(1)(ii), and (b)(1)(iii), are p.m., Monday through Friday, except revised to read as follows: Erin Morris, Federal holidays. Associate Administrator, Agricultural § 1217.40 Establishment and membership. Examining the AD Docket Marketing Service. You may examine the AD docket on * * * * * [FR Doc. 2020–15715 Filed 7–24–20; 8:45 am] (b) * * * the internet at https:// (1) Domestic manufacturers. Domestic BILLING CODE 3410–02–P www.regulations.gov by searching for manufacturers must reside in the United and locating Docket No. FAA–2018– States. For the 2020 Board, 11 members 0753; or in person at Docket Operations shall represent domestic manufacturers between 9 a.m. and 5 p.m., Monday and for the 2021 Board and each through Friday, except Federal holidays. subsequent Board, ten members shall The AD docket contains this AD, the represent domestic manufacturers who European Aviation Safety Agency (now reside in the following three regions: Aviation Safety

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Agency) (EASA) AD, any service S´ WIDNIK’’ S.A.) Model PZL W–3A and 3X.10.12 with Main XMSN case part information that is incorporated by PZL W–3AS helicopters with a serial number (P/N) 64.21.0105 or P/N reference, any comments received, and number up to 3X.10.12 inclusive. EASA 64.22.0161 installed on WR–3 Main other information. The street address for advises of an occurrence reported of XMSN P/N 64.21.3000 or P/N Docket Operations is listed above. finding cracks on the Main XMSN case 64.21.4000, visually inspecting the Main For service information identified in housing. EASA further advises XMSN case for a crack, a surface this final rule, contact WSK ‘‘PZL- investigation results indicate the scratch, any paint coat chipping, and S´ widnik’’ S.A., Al. Lotniko´w Polskich 1, cracking mode has features of fatigue any oil leak and removing the Main 21–045 S´ widnik, Poland, telephone +48 deterioration, but the root cause has not XMSN from service before further flight 664 424 798, or at www.pzl.swidnik.pl. been determined. Accordingly, the if any of those conditions exist. You may view the referenced service EASA AD requires repetitive Differences Between This AD and the information at the FAA, Office of the inspections of the Main XMSN case and, EASA AD Regional Counsel, Southwest Region, based on the inspection results, 10101 Hillwood Pkwy., Room 6N–321, replacing certain parts. EASA also The EASA AD applies to Model PZL Fort Worth, TX 76177. It is also requires reporting the inspection results W–3AS helicopters, whereas this AD available on the internet at https:// to PZL-S´ widnik S.A. EASA considers its does not because that model is not FAA www.regulations.gov by searching for AD an interim action and further AD type-certificated. The EASA AD requires and locating Docket No. FAA–2018– action may follow. EASA states this reporting certain information to PZL- 0753. condition, if not detected and corrected, S´ widnik S.A., whereas this AD does not. could lead to structural failure and loss FOR FURTHER INFORMATION CONTACT: Rao Interim Action Edupuganti, Aviation Safety Engineer, of load carrying capabilities of the Main Regulations and Policy Section, XSMN, possibly resulting in loss of The FAA considers this proposed AD Rotorcraft Standards Branch, FAA, helicopter control. to be an interim action. If final action is 10101 Hillwood Pkwy., Fort Worth, TX FAA’s Determination later identified, the FAA might consider further rulemaking then. 76177; telephone 817–222–5110; email These helicopters have been approved [email protected]. by EASA and are approved for operation Regulatory Flexibility Act SUPPLEMENTARY INFORMATION: in the United States. Pursuant to the The requirements of the Regulatory Comments Invited FAA’s bilateral agreement with the Flexibility Act (RFA) do not apply when European Union, EASA has notified the an agency finds good cause pursuant to This AD is a final rule that involves FAA of the unsafe condition described requirements affecting flight safety, and 5 U.S.C. 553 to adopt a rule without in its AD. The FAA is issuing this AD prior notice and comment. Because the the FAA did not provide you with after evaluating all information notice and an opportunity to provide FAA has determined that it has good provided by EASA and determining the cause to adopt this rule without notice your comments prior to it becoming unsafe condition exists and is likely to effective. However, the FAA invites you and comment, RFA analysis is not exist or develop on other helicopters of required. to participate in this rulemaking by the same type design. submitting written comments, data, or Costs of Compliance views. The FAA also invites comments Related Service Information Under 1 relating to the economic, environmental, CFR Part 51 There are no costs of compliance energy, or federalism impacts that The FAA reviewed WYTWO´ RNIA associated with this AD because there resulted from adopting this AD. The SPRZE˛ TU KOMUNIKACYJNEGO ‘‘PZL- are no helicopters with this type most helpful comments reference a S´ widnik’’ Spo´lka Akcyjna Mandatory certificate on the U.S. Registry. specific portion of the AD, explain the Bulletin No. BO–37–18–294, dated FAA’s Justification and Determination reason for any recommended change, 12, 2018, which specifies using a of the Effective Date and include supporting data. To ensure light source and mirror to inspect the the docket does not contain duplicate Main XSMN case for indications of Section 553(b)(3)(B) of the comments, commenters should send possible cracks, such as paint coat Administrative Procedure Act (5 U.S.C.) only one copy of written comments, or chipping, surface scratches, and oil authorizes agencies to dispense with if comments are filed electronically, leaks. This service information also notice and comment procedures for commenters should submit them only specifies reporting certain information rules when the agency, for ‘‘good one time. The FAA will file in the to PZL-S´ widnik S.A., performing more cause,’’ finds that those procedures are docket all comments received, as well as in-depth inspections by performing a ‘‘impracticable, unnecessary, or contrary a report summarizing each substantive ground run test and checking for chalk to the public interest.’’ Under this public contact with FAA personnel mark discoloration, and if a crack exists, section, an agency, upon finding good concerning this rulemaking during the replacing the Main XSMN case before cause, may issue a final rule without comment period. The FAA will consider further flight. seeking comment prior to the all the comments received and may This service information is reasonably rulemaking. conduct additional rulemaking based on available because the interested parties There are no helicopters with this those comments. have access to it through their normal type certificate on the U.S. Registry. Therefore, the FAA finds good cause Discussion course of business or by the means identified in the ADDRESSES section. that notice and opportunity for prior EASA, which is the Technical Agent public comment are unnecessary for the Member States of the European AD Requirements pursuant to 5 U.S.C. 553(b)(3)(B). In Union, has issued EASA AD No. 2018– The AD requires within 5 hours time- addition, for the reasons stated above, 0092–E, dated , 2018, to correct in-service (TIS), and thereafter at the FAA finds that good cause exists an unsafe condition for Wytwo´rnia intervals not to exceed 25 hours TIS, for pursuant to 5 U.S.C. 553(d) for making Sprze˛tu Komunikacyjnego ‘‘PZL- all PZL Model PZL W–3A helicopters this amendment effective in less than 30 S´ widnik’’ Spo´5ka Akcyjna (WSK ‘‘PZL- serial number up to and including days.

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Authority for This Rulemaking (a) Applicability (f) Alternative Methods of Compliance (AMOCs) Title 49 of the United States Code This AD applies to PZL Swidnik S.A. (PZL) specifies the FAA’s authority to issue Model W–3A helicopters, with a serial (1) The Manager, Rotorcraft Standards rules on aviation safety. Subtitle I, number up to 3X.10.12 inclusive, certificated Branch, FAA, may approve AMOCs for this AD. Send your proposal to: Rao Edupuganti, section 106, describes the authority of in any category, with a main transmission (Main XMSN) case, part number (P/N) Aviation Safety Engineer, Regulations and the FAA Administrator. Subtitle VII: 64.21.0105 or P/N 64.22.0161, installed on a Policy Section, Rotorcraft Standards Branch, Aviation Programs, describes in more WR–3 Main XMSN P/N 64.21.3000 or P/N FAA, 10101 Hillwood Pkwy., Fort Worth, TX detail the scope of the Agency’s 64.21.4000. 76177; telephone 817–222–5110; email 9- authority. [email protected]. The FAA is issuing this rulemaking (b) Unsafe Condition (2) For operations conducted under a 14 under the authority described in This AD defines the unsafe condition as a CFR part 119 operating certificate or under Subtitle VII, Part A, Subpart III, Section crack in the Main XMSN case. This condition 14 CFR part 91, subpart K, the FAA suggests 44701: General requirements. Under could result in the structural failure and loss that you notify your principal inspector, or that section, Congress charges the FAA of load carrying capabilities of the Main lacking a principal inspector, the manager of with promoting safe flight of civil XMSN and subsequent loss of control of the the local flight standards district office or helicopter. certificate holding district office, before aircraft in air commerce by prescribing operating any aircraft complying with this regulations for practices, methods, and (c) Effective Date AD through an AMOC. procedures the Administrator finds This AD becomes effective August 11, necessary for safety in air commerce. 2020. (g) Additional Information This regulation is within the scope of The subject of this AD is addressed in (d) Compliance that authority because it addresses an European Aviation Safety Agency (now unsafe condition that is likely to exist or You are responsible for performing each European Union Aviation Safety Agency) develop on products identified in this action required by this AD within the (EASA) AD No. 2018–0092–E, dated April specified compliance time unless it has rulemaking action. 20, 2018. You may view the EASA AD on the already been accomplished prior to that time. internet at https://www.regulations.gov by searching for and locating it in Docket No. Regulatory Findings (e) Required Actions FAA–2018–0753. This AD will not have federalism (1) Within 5 hours time-in-service (TIS), implications under Executive Order using a light source and mirror, and paying (h) Subject 13132. This AD will not have a particular attention to the area above the Joint Aircraft Service Component (JASC) substantial direct effect on the States, on Main XSMN mounting flange as shown in Code: 6320, Main Rotor Gearbox. the relationship between the national Attachment 1, Sketch 2 LH side and Sketch 2 RH side of Wytwo´rnia Sprze˛tu (i) Material Incorporated by Reference government and the States, or on the ´ distribution of power and Komunikacyjnego ‘‘PZL-Swidnik’’ Spo´5ka (1) The Director of the Federal Register responsibilities among the various Akcyjna Mandatory Bulletin No. BO–37–18– approved the incorporation by reference of 294, dated , 2018 (BO–37–18–294), the service information listed in this levels of government. visually inspect the Main XMSN case for a paragraph under 5 U.S.C. 552(a) and 1 CFR For the reasons discussed above, I crack and indications of a crack. For part 51. certify that this AD: purposes of this inspection, indications of a (2) You must use this service information (1) Is not a ‘‘significant regulatory crack may be indicated by paint coat as applicable to do the actions required by action’’ under Executive Order 12866, chipping or cracking, a surface scratch, or an this AD, unless the AD specifies otherwise. and oil leak. (i) WYTWO´ RNIA SPRZE˛ TU (2) Will not affect intrastate aviation (i) If there is a crack, before further flight, KOMUNIKACYJNEGO ‘‘PZL-S´ widnik’’ in Alaska. remove from service the WR–3 Main XMSN. Spo´lka Akcyjna Mandatory Bulletin No. BO– (ii) If there is any indication of a crack, 37–18–294, dated April 12, 2018. List of Subjects in 14 CFR Part 39 before further flight, clean the Main XMSN (ii) [Reserved] Air transportation, Aircraft, Aviation case with a cotton cloth and washing or (3) For service information identified in degreasing agent (extraction naphtha or this AD, contact PZL-S´ widnik S.A., A1. safety, Incorporation by reference, ´ Safety. equivalent), and using a 5X or greater power Lotniko´w Polskich 1, 21–045 Swidnik, magnifying glass, visually inspect the area for Poland; telephone +48 81 468 09 01, 751 20 Adoption of the Amendment a crack. 71; fax +48 81 468 09 19, 751 21 73; or at (A) If there is a crack, before further flight, www.pzl.swidnik.pl. Accordingly, under the authority (4) You may view this service information delegated to me by the Administrator, remove from service the WR–3 Main XMSN. (B) If there is no a crack, before further at the FAA, Office of the Regional Counsel, the FAA amends 14 CFR part 39 as flight, apply white chalk on the area as Southwest Region, 10101 Hillwood Pkwy., follows: described in paragraph (e)(1) of this AD and Room 6N–321, Fort Worth, TX 76177. For perform a powerplant ground run for 15 information on the availability of this PART 39—AIRWORTHINESS minutes with engines running at ground idle material at the FAA, call 817–222–5110. DIRECTIVES rating. After shutting down, either inspect (5) You may view this service information the white chalk area for discoloration of the that is incorporated by reference at the ■ 1. The authority citation for part 39 chalk or dye penetrant inspect the area for a National Archives and Records continues to read as follows: crack. If the chalk is discolored or there is a Administration (NARA). For information on the availability of this material at NARA, Authority: 49 U.S.C. 106(g), 40113, 44701. crack, before further flight, remove from service the WR–3 Main XMSN. email [email protected], or go to: https:// § 39.13 [Amended] Note 1 to paragraph (e)(1)(ii)(B) of this AD: www.archives.gov/federal-register/cfr/ibr- locations.html. ■ 2. The FAA amends § 39.13 by adding Wytwo´rnia Sprze˛tu Komunikacyjnego ‘‘PZL- S´ widnik’’ Spo´5ka Akcyjna service the following new airworthiness Issued on , 2020. information refers to a dye penetrant Lance T. Gant, directive (AD): inspection as a color penetrant inspection. Director, Compliance & Airworthiness 2020–15–06 PZL Swidnik S.A.: (2) Thereafter following paragraph (e)(1) of Division, Aircraft Certification Service. Amendment 39–21169; Docket No. this AD, at intervals not to exceed 25 hours FAA–2018–0753; Product Identifier TIS, do the actions required by paragraph [FR Doc. 2020–16120 Filed 7–24–20; 8:45 am] 2018–SW–033–AD. (e)(1) of this AD. BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION between 9 a.m. and 5 p.m., Monday modification (mod) of the engine outlet through Friday, except Federal holidays. system and issued Alert Service Bulletins Federal Aviation Administration The AD docket contains this final rule, (ASB) ASB–M601E–72–00–00–0070, ASB– the mandatory continuing airworthiness M601D–72–00–00–0053, ASB–M601F–72– 14 CFR Part 39 00–00–0036, ASB–M601T–72–00–00–0029, information (MCAI), the regulatory ASB–M601Z–72–00–00–0039, ASB–H75–72– [Docket No. FAA–2017–0967; Project evaluation, any comments received, and 00–00–0011, ASB–H80–72–00–00–0025 and Identifier 2017–NE–35–AD; Amendment 39– other information. The address for ASB–H85–72–00–00–0007 (single document, 21167; AD 2020–15–04] Docket Operations is U.S. Department of hereafter referred to as ‘‘the ASB’’ in this Transportation, Docket Operations, M– AD), providing instructions for modification RIN 2120–AA64 30, West Building Ground Floor, Room of engines in service. For the reason described above, this AD Airworthiness Directives; GE Aviation W12–140, 1200 New Jersey Avenue SE, Washington, DC 20590. requires modification of the affected engines, Czech s.r.o. Turboprop Engines (Type and prohibits installation of pre-mod parts. Certificate Previously Held by WALTER FOR FURTHER INFORMATION CONTACT: Engines a.s., Walter a.s., and Barbara Caufield, Aerospace Engineer, You may obtain further information MOTORLET a.s.) ECO Branch, FAA, 1200 District by examining the MCAI in the AD Avenue, Burlington, MA 01803; phone: docket on the internet at https:// AGENCY: Federal Aviation 781–238–7146; fax: 781–238–7199; www.regulations.gov by searching for Administration (FAA), DOT. email: [email protected]. and locating Docket No. FAA–2017– ACTION: Final rule. SUPPLEMENTARY INFORMATION: 0967. SUMMARY: The FAA is adopting a new Discussion Comments airworthiness directive (AD) for all GE Aviation Czech s.r.o. M601D–11, The FAA issued a supplemental The FAA gave the public the M601E–11, M601E–11A, M601E–11AS, notice of proposed rulemaking (SNPRM) opportunity to participate in developing M601E–11S, M601F, H80, H80–100, to amend 14 CFR part 39 by adding an this final rule. The FAA received no H80–200, H75–100, H75–200, H85–100, AD that would apply to all GE Aviation comments on the SNPRM, on the and H85–200 model turboprop engines. Czech s.r.o. M601D–11, M601E–11, determination of the cost to the public, This AD was prompted by a review by M601E–11A, M601E–11AS, M601E– or the impact of the proposed rule on the manufacturer that identified the 11S, M601F, H80, H80–100, H80–200, small entities. H75–100, H75–200, H85–100, and H85– possibility of a power turbine (PT) rotor Conclusion overspeed and the uncontained release 200 model turboprop engines. The of PT blades. This AD requires installing SNPRM published in the Federal The FAA reviewed the relevant data a modified engine outlet system. The Register on , 2020 (85 FR and determined that air safety and the FAA is issuing this AD to address the 6110) (‘‘the SNPRM’’). The FAA public interest require adopting this unsafe condition on these products. preceded the SNPRM with a notice of final rule as proposed. proposed rulemaking (NPRM) that DATES: This AD is effective , published in the Federal Register on Related Service Information Under 1 2020. CFR Part 51 The Director of the Federal Register , 2018 (83 FR 3287) (‘‘the approved the incorporation by reference NPRM’’). The NPRM proposed to The FAA reviewed GE Aviation ASB of a certain publication listed in this AD require installing a modified engine ASB–M601E–72–00–00–0070[03], ASB– as of August 31, 2020. outlet system. The NPRM was prompted M601D–72–00–00–0053[03], ASB– by a review by the manufacturer that M601F–72–00–00–0036[03], ASB– ADDRESSES: For service information identified the possibility of a PT rotor M601T–72–00–00–0029[03], ASB– identified in this final rule, contact GE overspeed and the uncontained release ´ M601Z–72–00–00–0039[03], ASB–H75– Aviation Czech s.r.o., Beranovych 65, of PT blades. The FAA is issuing this 199 02 Praha 9—Letnˇ any, Czech 72–00–00–0011[03], ASB–H80–72–00– AD to address the unsafe condition on 00–0025[03], and ASB–H85–72–00–00– Republic; phone: +420 222 538 111; fax: these products. +420 222 538 222. You may view this 0007[03] (single document; formatted as The European Union Aviation Safety service bulletin identifier[revision service information at the FAA, Agency (EASA), which is the Technical Airworthiness Products Section, number]), dated July 24, 2018. The ASB Agent for the Member States of the describes procedures for removal and Operational Safety Branch, 1200 District European Community, has issued EASA Avenue, Burlington, MA, 01803. For replacement of the engine outlet system AD 2017–0151, dated , 2017 hardware. This service information is information on the availability of this (referred to after this as ‘‘the MCAI’’), to material at the FAA, call 781–238–7759. reasonably available because the address the unsafe condition on these interested parties have access to it It is also available on the internet at products. The MCAI states: https://www.regulations.gov by through their normal course of business searching for and locating Docket No. A recent design review identified the or by the means identified in the FAA–2017–0967. possibility of failure of the power turbine ADDRESSES section. (PT) or quill shaft splines. Examining the AD Docket This condition, if not corrected, could lead Costs of Compliance to a PT rotor overspeed, with consequent You may examine the AD docket on The FAA estimates that this AD release of PT blade(s), possibly resulting in affects 42 engines installed on airplanes the internet at https:// high energy debris and damage to, and/or www.regulations.gov by searching for reduced control of, the aeroplane. of U.S. registry. and locating Docket No. FAA–2017– To address this potential unsafe condition, The FAA estimates the following 0967; or in person at Docket Operations GE Aviation Czech (GEAC) designed a costs to comply with this AD:

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ESTIMATED COSTS

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

Replace exhaust system parts ...... 64 work-hours × $85 per hour = $5,440 ...... $63,000 $68,440 $2,874,480

Authority for This Rulemaking rule and this Final Regulatory 2. Significant Issues Raised in Public Title 49 of the United States Code Flexibility Analysis (FRFA). A FRFA Comments must contain the following: specifies the FAA’s authority to issue The FAA did not receive any public rules on aviation safety. Subtitle I, (1) A statement of the need for, and comments on the SNPRM. section 106, describes the authority of objectives of, the rule; 3. Response to SBA Comments the FAA Administrator. Subtitle VII: (2) A statement of the significant Aviation Programs, describes in more issues raised by the public comments in The Chief Counsel for Advocacy of detail the scope of the Agency’s response to the IRFA, a statement of the the Small Business Administration authority. assessment of the agency of such issues, (SBA) did not file any comments in The FAA is issuing this rulemaking and a statement of any changes made in response to the proposed rule. Thus, the under the authority described in the proposed rule as a result of such FAA did not make any changes to the Subtitle VII, Part A, Subpart III, Section comments; proposed rule in the final rule. 44701: ‘‘General requirements.’’ Under that section, Congress charges the FAA (3) The response of the agency to any 4. Small Entities to Which the Rule Will with promoting safe flight of civil comments filed by the Chief Counsel for Apply aircraft in air commerce by prescribing Advocacy of the Small Business Administration (SBA) in response to the This AD applies to all GE Aviation regulations for practices, methods, and Czech s.r.o. M601D–11, M601E–11, procedures the Administrator finds proposed rule, and a detailed statement of any change made to the proposed rule M601E–11A, M601E–11AS, M601E– necessary for safety in air commerce. 11S, M601F, H75–100, H75–200, H80, This regulation is within the scope of in the final rule as a result of the comments; H80–100, H80–200, H85–100, and H85– that authority because it addresses an 200 turboprop engines. These engines unsafe condition that is likely to exist or (4) A description of and an estimate are typically installed on airplanes that develop on products identified in this of the number of small entities to which are owned and operated by aerial rulemaking action. the rule will apply or an explanation of application businesses, which is a small why no such estimate is available; Regulatory Flexibility Determination segment of the aviation industry. These (5) A description of the projected airplanes, also known as ‘‘crop-dusters,’’ The Regulatory Flexibility Act of 1980 reporting, recordkeeping, and other spread fertilizer, insecticides, (Pub. L. 96–354, codified as amended at compliance requirements of the fungicides, and weed killers.1 5 U.S.C. 601–612) (RFA) establishes ‘‘as proposed rule, including an estimate of a principle of regulatory issuance that The FAA searched the 2018 Aircraft the classes of small entities which will Registration database that contains the agencies shall endeavor, consistent with be subject to the requirement and the the objectives of the rule and of records of all U.S. Civil Aircraft type of professional skills necessary for maintained by the FAA’s Aircraft applicable statutes, to fit regulatory and preparation of the report or record; informational requirements to the scale Registration Branch and identified 42 of the businesses, organizations, and (6) A description of the steps the airplanes with GE H80 series engines or governmental jurisdictions subject to agency has taken to minimize the equivalent turboprop engines installed. regulation. To achieve this principle, significant economic impact on small The Aircraft Registration database agencies are required to solicit and entities consistent with the stated shows that 38 companies own these 42 consider flexible regulatory proposals objectives of applicable statutes, airplanes, 4 companies own 2 airplanes, and to explain the rationale for their including a statement of the factual, while the remaining 34 companies own actions to assure that such proposals are policy, and legal reasons for selecting 1 airplane each. Based on these given serious consideration.’’ Public the alternative adopted in the final rule registration records, the FAA assumes Law 96–354, 2(b), Sept. 19, 1980. The and why each of the other significant that approximately each entity or RFA covers a wide-range of small alternatives to the rule considered by business owned one airplane. entities, including small businesses, the agency which affect the impact on By using the Small Business not-for-profit organizations, and small small entities was rejected. Administration (SBA)’s size standards and the North American Industry governmental jurisdictions. Agencies 1. Need for and Objectives of the Rule must perform a review to determine Classification System (NAICS) code whether a rule will have a significant This AD was prompted by a review by classifications, the FAA is able to economic impact on a substantial the manufacturer that identified the determine whether a business is small number of small entities. If the agency possibility of a PT overspeed and the or not. These entities operate under determines that it will, the agency must uncontained release of PT blades. The NAICS code 115112, Soil Preparation, prepare a regulatory flexibility analysis FAA is issuing this AD to prevent Planting, and Cultivating. The size as described in the RFA. uncontained release of the PT blades. standards for this NAICS code as The FAA published an Initial This AD requires installing a modified provided by SBA’s Size Standards Regulatory Flexibility Analysis (IRFA) engine outlet system. The unsafe in the proposed rule to aid the public in condition, if not addressed, could result 1 ‘‘Flying Low Is Flying High As Demand for Crop-Dusters Soars’’, by Jonathan Welsh, updated commenting on the potential impacts to in failure of the PT blades, uncontained Aug. 14, 2009: https://www.wsj.com/articles/ small entities. The FAA considered the release of the blades, damage to the SB125020758399330769. Accessed on , public comments in developing the final engine, and damage to the airplane. 2019.

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Table 2 is $7.5 million in annual by this AD would experience impacts of (c) Applicability revenues. Therefore, entities generating approximately 10 percent of their (1) This AD applies to all GE Aviation less than $7.5 million in annual annual revenue during the Czech s.r.o. M601D–11, M601E–11, M601E– revenues would be treated as small implementation of this AD ($68,440 ÷ 11A, M601E–11AS, M601E–11S, M601F, businesses for the purposes of this $700,000). H75–100, H75–200, H80, H80–100, H80–200, analysis. Therefore, the FAA determined that H85–100, and H85–200 turboprop engines. The FAA assumes that all 38 this AD rule will have a significant (2) These engines are known to be installed operators above that are affected by this economic impact on a substantial on, but not limited to, Thrush Aircraft, Inc. AD are small businesses because number of small entities. (formerly Quality, Ayres, Rockwell) S–2R, $700,000 annual revenue for a first- PZL ‘‘Warszawa-Oke˛cie’’ PZL–106 (Kruk), class, used turbine agricultural aviation Regulatory Findings Air Tractor AT–300, AT–400 and AT–500 plane 3 is a reasonable industry The FAA determined that this AD series, Allied Ag Cat Productions, Inc. would not have federalism implications (formerly Schweizer, Grumman American) estimate. On average, entities operating G–164 series, RUAG (formerly Dornier) Do 28 in the aerial application industry under Executive Order 13132. This AD and Aircraft Industries (formerly LET) L–410 generate approximately $700,000 each would not have a substantial direct airplanes. year ($700,000 × 1 crop-duster airplane), effect on the States, on the relationship which is below $7.5 million revenue between the national Government and (d) Subject size standards for NAICS code 115112. the States, or on the distribution of Joint Aircraft System Component (JASC) Therefore, the FAA assumes all 38 power and responsibilities among the Code 7810, Engine Collector/Tailpipe/ registered company owners or operators various levels of government. Nozzle. to be small entities. For the reasons discussed above, I (e) Unsafe Condition certify this AD: 5. Projected Reporting, Recordkeeping, (1) Is not a ‘‘significant regulatory This AD was prompted by a review by the and Other Compliance Requirements manufacturer that identified the possibility of action’’ under Executive Order 12866, a power turbine (PT) overspeed and the There are no record-keeping costs or and uncontained release of PT blades. The FAA other compliance costs associated with (2) Will not affect intrastate aviation is issuing this AD to prevent uncontained this final rule. in Alaska. release of the PT blades. The unsafe 6. Significant Alternatives Considered List of Subjects in 14 CFR Part 39 condition, if not addressed, could result in failure of the PT blades, uncontained release There is no direct safety alternative to Air transportation, Aircraft, Aviation of the blades, damage to the engine, and the modification of the engine outlet safety, Incorporation by reference, damage to the airplane. system. The modification addresses a Safety. safety issue aimed at preventing an (f) Compliance uncontained release of the PT blades. Adoption of the Amendment Comply with this AD within the Compliance cost of this AD comes from Accordingly, under the authority compliance times specified, unless already the removal and replacement of the delegated to me by the Administrator, done. exhaust system parts. Estimated the FAA amends 14 CFR part 39 as (g) Required Actions compliance cost per engine is identified follows: (1) After the effective date of this AD, below. PART 39—AIRWORTHINESS replace the parts listed in Tables 2 through Labor cost = 64 repair hours per 5 to paragraph (g) of this AD with the parts engine * $85 Mean Hourly Wage = DIRECTIVES identified in Planning Information, Paragraph $5,440. ■ 1. The authority citation for part 39 1.5, Sections I through IV, respectively in GE Cost of Parts = $63,000 per engine Aviation Alert Service Bulletin (ASB) ASB– (Source: GE Aviation Czech). continues to read as follows: M601E–72–00–00–0070[03], ASB–M601D– $5,440 labor per engine + $63,000 Authority: 49 U.S.C. 106(g), 40113, 44701. 72–00–00–0053[03], ASB–M601F–72–00–00– parts per engine = $68,440 compliance 0036[03], ASB–M601T–72–00–00–0029[03], cost per engine. § 39.13 [Amended] ASB–M601Z–72–00–00–0039[03], ASB– To estimate the revenue impacts of ■ 2. The FAA amends § 39.13 by adding H75–72–00–00–0011[03], ASB–H80–72–00– the AD on these 38 small operators, the the following new airworthiness 00–0025[03], and ASB–H85–72–00–00– FAA used the total estimated one-time directive (AD): 0007[03] (single document; formatted as service bulletin identifier[revision number]), costs of compliance per each engine 2020–15–04 GE Aviation Czech s.r.o. (Type ($68,440) and divided it by the dated July 24, 2018, using the criteria below, Certificate previously held by WALTER whichever occurs first: estimated annual revenue of each entity Engines a.s., Walter a.s., and (i) During the next engine shop visit, ($700,000). The FAA determined all 38 MOTORLET a.s.): Amendment 39– (ii) within the compliance time identified small businesses that would be affected 21167; Docket No. FAA–2017–0967; in the applicable Airworthiness Limitations Project Identifier 2017–NE–35–AD. Section of the existing maintenance manual 2 https://www.sba.gov/sites/default/files/files/ for the affected engine model, or _ _ (a) Effective Date Size Standards Table.pdf Accessed on July 26, (iii) within the compliance time, in years This AD is effective August 31, 2020. 2019. after the effective date of this AD, shown in 3 ‘‘How much does it cost?’’ by Bill Lavender, (b) Affected ADs Table 1 of this AD. , 2017. https://agairupdate.com/how-much- does-it-cost/ Accessed on July 26, 2019. None. BILLING CODE 4910–13–P

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BILLING CODE 4910–13–C Praha 9—Letnˇ any, Czech Republic; phone: Airbus Helicopters, 2701 N Forum (2) [Reserved] +420 222 538 111; fax: +420 222 538 222. Drive, Grand Prairie, TX 75052; (h) Installation Prohibition (4) You may view this service information telephone 972–641–0000 or 800–232– at FAA, Airworthiness Products Section, 0323; fax 972–641–3775; or at https:// (1) Do not install any part with a P/N listed Operational Safety Branch, 1200 District in Tables 2 through 5 to paragraph (g) of this Avenue, Burlington, MA, 01803. For www.airbus.com/helicopters/services/ AD on any engine after that engine has been information on the availability of this technical-support.html. You may view modified as required by paragraph (g)(1) of material at the FAA, call 781–238–7759. this referenced service information at this AD. (5) You may view this service information the FAA, Office of the Regional Counsel, (2) After the effective date of this AD, do that is incorporated by reference at the Southwest Region, 10101 Hillwood not install a part with a P/N listed in Tables National Archives and Records Pkwy., Room 6N–321, Fort Worth, TX 2 through 5 of this AD on any engine Administration (NARA). For information on manufactured on or after , 2017. 76177. It is also available on the internet the availability of this material at NARA, at https://www.regulations.gov by (i) Definition email: [email protected], or go to: searching for and locating Docket No. https://www.archives.gov/federal-register/cfr/ For the purpose of this AD, an engine shop ibr-locations.html. FAA–2017–1123. visit is when the engine is overhauled or rebuilt, or the PT is disassembled. Issued on July 10, 2020. Examining the AD Docket (j) Alternative Methods of Compliance Lance T. Gant, You may examine the AD docket on (AMOCs) Director, Compliance & Airworthiness the internet at https:// Division, Aircraft Certification Service. (1) The Manager, ECO Branch, FAA, has www.regulations.gov in Docket No. the authority to approve AMOCs for this AD, [FR Doc. 2020–16122 Filed 7–24–20; 8:45 am] FAA–2017–1123; or in person at Docket if requested using the procedures found in 14 BILLING CODE 4910–13–P Operations between 9 a.m. and 5 p.m., CFR 39.19. In accordance with 14 CFR 39.19, Monday through Friday, except Federal send your request to your principal inspector holidays. The AD docket contains this or local Flight Standards District Office, as DEPARTMENT OF TRANSPORTATION AD, the European Aviation Safety appropriate. If sending information directly Agency (now European Union Aviation to the manager of the ECO Branch, send it to Federal Aviation Administration Safety Agency) (EASA) AD, any service the attention of the person identified in information that is incorporated by paragraph (k)(1) of this AD. You may email 14 CFR Part 39 your request to: [email protected]. reference, any comments received, and (2) Before using any approved AMOC, [Docket No. FAA–2017–1123; Product other information. The street address for notify your appropriate principal inspector, Identifier 2017–SW–013–AD; Amendment Docket Operations is U.S. Department of or lacking a principal inspector, the manager 39–21176; AD 2020–15–13] Transportation, Docket Operations, M– of the local flight standards district office/ RIN 2120–AA64 30, West Building Ground Floor, Room certificate holding district office. W12–140, 1200 New Jersey Avenue SE, (k) Related Information Airworthiness Directives; Airbus Washington, DC 20590. (1) For more information about this AD, Helicopters Deutschland GmbH FOR FURTHER INFORMATION CONTACT: Matt contact Barbara Caufield, Aerospace Helicopters Fuller, AD Program Manager, Continued Engineer, ECO Branch, FAA, 1200 District Operational Safety Branch, Avenue, Burlington, MA 01803; phone: 781– AGENCY: Federal Aviation Airworthiness Products Section, 238–7146; fax: 781–238–7199; email: Administration (FAA), DOT. General Aviation and Rotorcraft Unit, [email protected]. ACTION: Final rule. (2) Refer to European Union Aviation FAA, 10101 Hillwood Pkwy., Fort Worth, TX 76177; telephone 817–222– Safety Agency (EASA) AD 2017–0151R1, SUMMARY: The FAA is superseding 5110; email [email protected]. dated 5, 2018, for more Airworthiness Directive (AD) 2017–02– information. You may examine the EASA AD 07 for Airbus Helicopters Deutschland SUPPLEMENTARY INFORMATION: in the AD docket on the internet at https:// www.regulations.gov by searching for and GmbH (Airbus Helicopters) Model Discussion locating it in Docket No. FAA–2017–0967. MBB–BK 117 C–2 and Model MBB–BK 117 D–2 helicopters. AD 2017–02–07 The FAA issued a supplemental (l) Material Incorporated by Reference required a repetitive inspection and a notice of proposed rulemaking (SNPRM) (1) The Director of the Federal Register one-time torque of each hydraulic to amend 14 CFR part 39 to supersede approved the incorporation by reference module plate assembly attachment point AD 2017–02–07, Amendment 39–18786 (IBR) of the service information listed in this (attachment point). This new AD retains (82 FR 10267, , 2017) (‘‘AD paragraph under 5 U.S.C. 552(a) and 1 CFR the initial inspection and torque 2017–02–07’’). AD 2017–02–07 applied part 51. to Airbus Helicopters Model MBB–BK (2) You must use this service information requirements of AD 2017–02–07 and requires replacing the attachment point 117 C–2 helicopters, serial numbers up as applicable to do the actions required by to and including 9750, and Model this AD, unless the AD specifies otherwise. hardware. This AD was prompted by a (i) GE Aviation Alert Service Bulletin terminating action has been developed MBB–BK 117 D–2 helicopters, serial ASB–M601E–72–00–00–0070[03], ASB– to address the unsafe condition. The numbers up to and including 20110, M601D–72–00–00–0053[03], ASB–M601F– actions of this AD are intended to with a hydraulic module plate assembly 72–00–00–0036[03], ASB–M601T–72–00– address an unsafe condition on these part number B291M0003103 with a 00–0029[03], ASB–M601Z–72–00–00– products. single locking attachment point 0039[03], ASB–H75–72–00–00–0011[03], installed. The SNPRM published in the ASB–H80–72–00–00–0025[03], and ASB– DATES: This AD is effective August 31, Federal Register on , 2020 H85–72–00–00–0007[03] (single document; 2020. (85 FR 11315). The FAA preceded the formatted as service bulletin The Director of the Federal Register SNPRM with a notice of proposed identifier[revision number]), dated July 24, approved the incorporation by reference rulemaking (NPRM) that published in 2018. of certain publications listed in this AD (ii) [Reserved] the Federal Register on , (3) For GE Aviation Czech service as of August 31, 2020. 2017 (82 FR 57390). The NPRM information identified in this AD, contact GE ADDRESSES: For service information proposed to retain the initial inspection Aviation Czech s.r.o., Beranovy´ch 65, 199 02 identified in this final rule, contact and torque requirements of AD 2017–

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02–07 and require replacing each single attachment point mechanism with a Other Related Service Information locking attachment point mechanism double locking attachment point The FAA also reviewed Airbus with a double locking attachment point mechanism within 300 hours TIS Helicopters ASB No. ASB MBB–BK117 mechanism. The SNPRM proposed to instead, which makes subsequent C–2–29A–003 for Model MBB–BK 117 add a requirement to reposition the aft inspections unnecessary. Since EASA C–2 helicopters and ASB No. ASB grounding straps and inspect the has not revised or superseded its AD to MBB–BK117 D–2–29A–001 for Model clamping effect of the aft attachment incorporate Revision 3 of the service MBB–BK 117 D–2 helicopters, both points when the double locking information, the EASA AD does not Revision 1 and dated 14, 2016, attachment hardware is installed, and require inspecting the clamping effect of and both Revision 2 and dated February for helicopters that have previously the aft joints, torque tightening the bolts, 1, 2017. Revisions 1 and 2 of this service installed the double locking attachment and corrective action if necessary for information contain the same visual hardware, the SNPRM proposed to add helicopters with a hydraulic module inspection and torque tightening check an alternative clamp effect inspection plate assembly with double locking procedures as Revision 3. Revision 2 of requirement. The SNPRM also corrected attachment hardware installed in this service information adds the the torque application requirement accordance with Airbus Helicopters procedures to replace the single locking proposed in the NPRM to just each Alert Service Bulletin (ASB) No. ASB attachment hardware with double forward (not aft) attachment point. MBB–BK117 C–2–29A–003 or ASB No. locking attachment hardware and The NPRM was prompted by EASA ASB MBB–BK117 D–2–29A–001, both contains the same forward locking AD No. 2017–0047, dated , Revision 2 and dated , 2017. attachment hardware replacement 2017, issued by EASA, which is the procedures as Revision 3. Technical Agent for the Member States Related Service Information Under 1 of the European Union, to correct an CFR Part 51 Costs of Compliance unsafe condition on Airbus Helicopters The FAA estimates that this AD Deutschland GmbH (formerly The FAA reviewed Airbus Helicopters affects 167 helicopters of U.S. Registry. Eurocopter Deutschland GmbH) Model ASB No. ASB MBB–BK117 C–2–29A– The FAA estimates that operators may MBB–BK117 C–2, MBB–BK117 C–2e, 003 for Model MBB–BK 117 C–2 incur the following costs in order to MBB–BK117 D–2 and MBB–BK117 D– helicopters and ASB No. ASB MBB– comply with this AD. The FAA 2m helicopters. EASA advises that the BK117 D–2–29A–001 for Model MBB– estimates the cost of labor at $85 per hydraulic plate assembly on certain BK 117 D–2 helicopters, both Revision work-hour. MBB–BK117 models has four 3 and dated , 2017. Until Visually inspecting the four attachment points on the fuselage the attachment points are modified with attachment points takes about 0.75 secured by a single locking mechanism. double locking attachment mechanisms, work-hour for an estimated cost of $64 According to EASA, a design this service information specifies a per helicopter and $10,688 for the U.S. reassessment revealed stiffness of the repetitive visual inspection for fleet. Inspecting the torque of the hydraulic plate may be insufficient to condition and correct installation of the attachment points takes about 0.25 withstand the in-service loads in the attachment points and replacing the work-hour for an estimated cost of $21 event one of the four single locking affected parts if there is a crack. This per helicopter and $3,507 for the U.S. attachment points fails. The EASA AD service information also specifies a fleet. Replacing any of the attachment requires a repetitive inspection and one- tightening torque check of the forward point parts takes a minimal amount of time torque tightening of the attachment attachment points after the initial time and parts cost about $48 per points until replacement of the single inspection and replacing the affected attachment point. Installing four double locking attachment hardware with parts if torque cannot be applied. This locking attachment point mechanisms double locking attachment hardware. service information specifies procedures takes a minimal amount of time and to replace the single locking attachment parts cost about $400 per helicopter and Comments hardware with double locking $66,800 for the U.S. fleet. The FAA gave the public the attachment hardware. For certain double locking attachment opportunity to participate in developing For certain helicopters with a hardware aft joints, inspecting the this final rule. The FAA has considered hydraulic module plate assembly with clamping effect and applying torque the comment received. One commenter the double locking attachment hardware takes about 1 work-hour for an commented in support of the SNPRM. installed, this revision of the service estimated cost of $85 per helicopter. If required, inspecting and replacing parts, FAA’s Determination information contains procedures to inspect the clamping effect of the aft repositioning the aft grounding strap, The FAA has reviewed the relevant attachment points and torque tightening inspecting the electrical bonding, and information and determined that an the screw joints (bolts). If a bolt can be applying lacquer to the grounding unsafe condition exists and is likely to turned while applying this torque, the connection takes about 0.5 work-hour exist or develop on other helicopters of service information specifies and parts cost about $15 for an these same type designs and that air instructions to replace the split pin, estimated cost of $58 per helicopter. safety and the public interest require According to Airbus Helicopters’ washer, and self-locking castellated nut, adopting the AD requirements as service information, some of the costs of check the bolt for wear and replace it if proposed. this AD may be covered under warranty, necessary, change the position of the aft thereby reducing the cost impact on Differences Between this AD and the grounding strap, check the electrical affected individuals. The FAA does not EASA AD bonding, and apply PU-Lacquer to the control warranty coverage by Airbus grounding connection. The EASA AD specifies performing Helicopters. Accordingly, the FAA has the visual inspection of each attachment This service information is reasonably included all costs in this cost estimate. point at intervals not exceeding 400 available because the interested parties flight hours. This AD does not require have access to it through their normal Authority for This Rulemaking a repetitive inspection. This AD requires course of business or by the means Title 49 of the United States Code the replacement of each single locking identified in the ADDRESSES section. specifies the FAA’s authority to issue

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rules on aviation safety. Subtitle I, 2020–15–13 Airbus Helicopters each forward attachment point. If a torque of Section 106, describes the authority of Deutschland GmbH: Amendment 39– 9 to 10 Nm cannot be applied, replace the the FAA Administrator. Subtitle VII, 21176; Docket No. FAA–2017–1123; affected nut before further flight. Aviation Programs, describes in more Product Identifier 2017–SW–013–AD. (2) For helicopters with a hydraulic module plate assembly with a single locking (a) Applicability detail the scope of the Agency’s attachment hardware installed, within 300 authority. This AD applies to Airbus Helicopters hours TIS: The FAA is issuing this rulemaking Deutschland GmbH Model MBB–BK 117 C– (i) Replace each forward single locking under the authority described in 2 helicopters, serial numbers up to and attachment hardware with double locking Subtitle VII, Part A, Subpart III, Section including 9750, and Airbus Helicopters attachment hardware by following the 44701: General requirements. Under Deutschland GmbH Model MBB–BK 117 D– Accomplishment Instructions, paragraphs 2 helicopters, serial numbers up to and that section, Congress charges the FAA 3.B.3.3. through 3.B.3.6. on page 11 of ASB including 20110, certificated in any category, MBB–BK117 C–2–29A–003 Rev 3 or ASB with promoting safe flight of civil with a hydraulic module plate assembly part MBB–BK117 D–2–29A–001 Rev 3, as aircraft in air commerce by prescribing number B291M0003103 with a single locking applicable to your model helicopter, except regulations for practices, methods, and attachment point installed or with a double you are not required to discard old parts. procedures the Administrator finds locking attachment point installed before the (ii) Replace each aft single locking necessary for safety in air commerce. effective date of this AD in accordance with attachment hardware with double locking This regulation is within the scope of Airbus Helicopters Alert Service Bulletin attachment hardware and reposition the LH (ASB) No. ASB MBB–BK117 C–2–29A–003 and RH aft grounding straps by following the that authority because it addresses an (ASB MBB–BK117 C–2–29A–003 Rev 2) or unsafe condition that is likely to exist or Accomplishment Instructions, paragraphs ASB No. ASB MBB–BK117 D–2–29A–001 3.B.3.1. through 3.B.3.7. on page 13 of ASB develop on products identified in this (ASB MBB–BK117 D–2–29A–001 Rev 2), MBB–BK117 C–2–29A–003 Rev 3 or ASB rulemaking action. both Revision 2 and dated February 1, 2017, MBB–BK117 D–2–29A–001 Rev 3, as as applicable to your model helicopter. Regulatory Findings applicable to your model helicopter, except (b) Unsafe Condition you are not required to discard old parts. The FAA has determined that this AD (3) If you have replaced the attachment This AD defines the unsafe condition as hardware with double locking attachment will not have federalism implications failure of a hydraulic module plate assembly hardware before the effective date of this AD under Executive Order 13132. This AD attachment point (attachment point). This in accordance with ASB MBB–BK117 C–2– will not have a substantial direct effect condition could result in loss of the 29A–003 Rev 2 or ASB MBB–BK117 D–2– on the States, on the relationship hydraulic module plate and subsequent loss 29A–001 Rev 2, as applicable to your model of control of the helicopter. between the national government and helicopter: Within 300 hours TIS, inspect the the States, or on the distribution of (c) Affected ADs clamping effect of the LH and RH aft screw power and responsibilities among the This AD replaces AD 2017–02–07, joints (bolts) of the hydraulic module plate various levels of government. Amendment 39–18786 (82 FR 10267, by following the Accomplishment For the reasons discussed above, I February 10, 2017). Instructions, paragraph 3.B.5., of ASB MBB– certify that this AD: BK117 C–2–29A–003 Rev 3 or ASB MBB– (d) Effective Date 1. Is not a ‘‘significant regulatory BK117 D–2–29A–001 Rev 3, as applicable to your model helicopter, except you are not action’’ under Executive Order 12866, This AD becomes effective August 31, 2020. required to discard old parts. 2. Will not affect intrastate aviation in Note 1 to paragraph (f)(3) of this AD: (e) Compliance Alaska, and Airbus Helicopters refers to bolts as ‘‘screw 3. Will not have a significant You are responsible for performing each joints.’’ economic impact, positive or negative, action required by this AD within the on a substantial number of small entities specified compliance time unless it has (g) Credit for Previous Actions under the criteria of the Regulatory already been accomplished prior to that time. Actions accomplished before the effective Flexibility Act. (f) Required Actions date of this AD in accordance with the procedures specified in the following are Comply with either paragraphs (f)(1) and List of Subjects in 14 CFR Part 39 considered acceptable for compliance with (2) of this AD, or paragraph (f)(3) of this AD, Air transportation, Aircraft, Aviation as applicable to your helicopter. the corresponding actions in paragraph (f)(1) (1) For helicopters with a hydraulic of this AD: safety, Incorporation by reference, (1) AD 2017–02–07, Amendment 39–18786 Safety. module plate assembly with a single locking attachment hardware installed, within 100 (82 FR 10267, February 10, 2017). Adoption of the Amendment hours time-in-service (TIS): (2) Airbus Helicopters ASB No. ASB MBB– (i) Visually inspect the split pins, BK117 C–2–29A–003, Revision 1, dated Accordingly, under the authority castellated nuts, plugs, nuts, and hexagon , 2016. delegated to me by the Administrator, bolts of each attachment point for a crack and (3) Airbus Helicopters ASB No. ASB MBB– the FAA amends 14 CFR part 39 as for proper installation by following the BK117 C–2–29A–003, Revision 2, dated follows: Accomplishment Instructions, paragraphs February 1, 2017. 3.B.1.3.a. through 3.B.1.3.d., of Airbus (4) Airbus Helicopters ASB No. ASB MBB– PART 39—AIRWORTHINESS Helicopters ASB No. ASB MBB–BK117 C–2– BK117 D–2–29A–001, Revision 1, dated DIRECTIVES 29A–003 (ASB MBB–BK117 C–2–29A–003 October 14, 2016. Rev 3) or Airbus Helicopters ASB No. ASB (5) Airbus Helicopters ASB No. ASB MBB– ■ 1. The authority citation for part 39 MBB–BK117 D–2–29A–001 (ASB MBB– BK117 D–2–29A–001, Revision 2, dated BK117 D–2–29A–001 Rev 3), both Revision 3 February 1, 2017. continues to read as follows: and dated December 19, 2017, as applicable (h) Alternative Methods of Compliance Authority: 49 U.S.C. 106(g), 40113, 44701. to your model helicopter. Replace any part (AMOCs) that has a crack before further flight. If the § 39.13 [Amended] split pins, castellated nuts, or hexagon bolts (1) The Manager, Rotorcraft Standards Branch, FAA, may approve AMOCs for this ■ 2. The FAA amends § 39.13 by are not as depicted in Figures 1 and 2 of ASB MBB–BK117 C–2–29A–003 Rev 3 or ASB AD. Send your proposal to: Matt Fuller, AD removing Airworthiness Directive (AD) MBB–BK117 D–2–29A–001 Rev 3, before Program Manager, Continued Operational 2017–02–07, Amendment 39–18786 (82 further flight, properly install them. Safety Branch, Airworthiness Products FR 10267, February 10, 2017), and (ii) Apply a torque of 9 to 10 Nm to the Section, General Aviation and Rotorcraft adding the following new AD: left-hand (LH) and right-hand (RH) nuts of Unit, FAA, 10101 Hillwood Pkwy., Fort

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Worth, TX 76177; telephone 817–222–5110; email [email protected], or go to: https:// ADDRESSES: For service information email [email protected]. www.archives.gov/federal-register/cfr/ibr- identified in this final rule, contact GE (2) For operations conducted under a 14 locations.html. Aviation Czech s.r.o., Beranovy´ch 65, CFR part 119 operating certificate or under Issued on , 2020. ˇ 14 CFR part 91, subpart K, the FAA suggests 199 02 Praha 9—Letnany, Czech that you notify your principal inspector, or Lance T. Gant, Republic; phone: +420 222 538 111; fax lacking a principal inspector, the manager of Director, Compliance & Airworthiness +420 222 538 222; email: tp.ops@ the local flight standards district office or Division, Aircraft Certification Service. ge.com. You may view this service certificate holding district office, before [FR Doc. 2020–16166 Filed 7–24–20; 8:45 am] information at the FAA, Airworthiness operating any aircraft complying with this BILLING CODE 4910–13–P Products Section, Operational Safety AD through an AMOC. Branch, 1200 District Avenue, (i) Additional Information Burlington, MA 01803. For information (1) Airbus Helicopters ASB No. ASB MBB– DEPARTMENT OF TRANSPORTATION on the availability of this material at the BK117 C–2–29A–003 and ASB No. ASB FAA, call 781–238–7759. It is also MBB–BK117 D–2–29A–001, both Revision 1 Federal Aviation Administration available on the internet at https:// and dated October 14, 2016, and both www.regulations.gov by searching for Revision 2 and dated February 1, 2017, 14 CFR Part 39 and locating Docket No. FAA–2019– which are not incorporated by reference, [Docket No. FAA–2019–1021; Project 1021. contain additional information about the Identifier MCAI–2019–00120–E; Amendment subject of this AD. For service information 39–21166; AD 2020–15–03] Examining the AD Docket identified in this AD, contact Airbus You may examine the AD docket on Helicopters, 2701 N Forum Drive, Grand RIN 2120–AA64 Prairie, TX 75052; telephone 972–641–0000 the internet at https:// or 800–232–0323; fax 972–641–3775; or at Airworthiness Directives; GE Aviation www.regulations.gov by searching for https://www.airbus.com/helicopters/services/ Czech s.r.o. Turboprop Engines and locating Docket No. FAA–2019– technical-support.html. You may view a copy 1021; or in person at Docket Operations of the service information at the FAA, Office AGENCY: Federal Aviation between 9 a.m. and 5 p.m., Monday of the Regional Counsel, Southwest Region, Administration (FAA), DOT. through Friday, except Federal holidays. 10101 Hillwood Pkwy., Room 6N–321, Fort ACTION: Final rule. The AD docket contains this final rule, Worth, TX 76177. the mandatory continuing airworthiness (2) The subject of this AD is addressed in SUMMARY: The FAA is superseding information (MCAI), any comments European Aviation Safety Agency (now Airworthiness Directive (AD) 2016–07– received, and other information. The European Union Aviation Safety Agency) AD 13 and AD 2018–03–22 which apply to address for Docket Operations is U.S. No. 2017–0047, dated March 13, 2017. You certain GE Aviation Czech s.r.o. may view the EASA AD on the internet at Department of Transportation, Docket M601D–11, M601E–11, M601E–11A, https://www.regulations.gov in Docket No. Operations, M–30, West Building M601E–11AS, M601E–11S, and M601F FAA–2017–1123. Ground Floor, Room W12–140, 1200 model turboprop engines. AD 2016–07– (j) Subject 13 required inspection of the engine New Jersey Avenue SE, Washington, DC Joint Aircraft Service Component (JASC) power turbine (PT) disk and, if found 20590. Code: 2900, Hydraulic Power System. damaged, its replacement with a part FOR FURTHER INFORMATION CONTACT: (k) Material Incorporated by Reference eligible for installation. AD 2018–03–22 Mehdi Lamnyi, Aerospace Engineer, required the removal of certain engine ECO Branch, FAA, 1200 District (1) The Director of the Federal Register Avenue, Burlington, MA 01803; phone: approved the incorporation by reference of PT disks identified by part number (P/ the service information listed in this N) installed on the affected engines. 781–238–7743; fax: 781–238–7199; paragraph under 5 U.S.C. 552(a) and 1 CFR This AD requires an inspection of the email: [email protected]. part 51. engine PT disk and, if found damaged, SUPPLEMENTARY INFORMATION: (2) You must use this service information its replacement with a part eligible for as applicable to do the actions required by installation. This AD also requires the Discussion this AD, unless the AD specifies otherwise. removal of certain engine PT disks The FAA issued a notice of proposed (i) Airbus Helicopters Alert Service identified by P/N installed on the rulemaking (NPRM) to amend 14 CFR Bulletin (ASB) No. ASB MBB–BK117 C–2– 29A–003, Revision 3, dated December 19, affected engines. This AD was prompted part 39 to supersede AD 2016–07–13, 2017. by the discovery of damage to certain Amendment 39–18458 (81 FR 20222, (ii) Airbus Helicopters ASB No. ASB MBB– engine PT disks and a review by the , 2016) (‘‘AD 2016–07–13’’), and BK117 D–2–29A–001, Revision 3, dated manufacturer that determined that AD 2018–03–22, Amendment 39–19195 December 19, 2017. certain engine PT rotors have less (83 FR 6455, , 2018) (‘‘AD (3) For Airbus Helicopters service overspeed margin than originally 2018–03–22’’). AD 2016–07–13 and AD information identified in this AD, contact declared during product certification. 2018–03–22 applied to certain GE Airbus Helicopters, 2701 N Forum Drive, This AD was also prompted by the Aviation Czech s.r.o. M601D–11, Grand Prairie, TX 75052; telephone 972–641– manufacturer identifying additional P/ 0000 or 800–232–0323; fax 972–641–3775; or M601E–11, M601E–11A, M601E–11AS, at https://www.airbus.com/helicopters/ Ns and serial numbers (S/Ns) of engine M601E–11S, and M601F model services/technical-support.html. PT disks affected by damage or non- turboprop engines. The NPRM (4) You may view this service information conformity since publishing AD 2016– published in the Federal Register on at FAA, Office of the Regional Counsel, 07–13 and AD 2018–03–22. The FAA is , 2020 (85 FR 10099). The Southwest Region, 10101 Hillwood Pkwy, issuing this AD to address the unsafe NPRM was prompted by the discovery Room 6N–321, Fort Worth, TX 76177. For condition on these products. of damage to certain engine PT disks information on the availability of this DATES: This AD is effective August 31, and a review by the manufacturer that material at the FAA, call 817–222–5110. (5) You may view this service information 2020. determined that certain engine PT rotors that is incorporated by reference at the The Director of the Federal Register have less overspeed margin than National Archives and Records approved the incorporation by reference originally declared during product Administration (NARA). For information on of a certain publication listed in this AD certification. The NPRM was also the availability of this material at NARA, as of August 31, 2020. prompted by the manufacturer

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identifying additional P/Ns and S/Ns of the original issue of the ASB, later revised, changes. The FAA has determined that engine PT disks affected by damage or providing applicable instructions. these minor changes. non-conformity since publishing AD Consequently, EASA issued AD 2019– • 0061, retaining the requirements of EASA AD Are consistent with the intent that 2016–07–13 and AD 2018–03–22. The was proposed in the NPRM for NPRM proposed to require an 2016–0025–E and EASA AD 2017–0100, which were superseded, and requiring a one- addressing the unsafe condition; and inspection of the engine PT disk and, if time inspection and, depending on findings, • Do not add any additional burden found damaged, its replacement with a replacement of certain PT discs identified by upon the public than was already part eligible for installation. The NPRM P/N and s/n. That [EASA] AD also required proposed in the NPRM. also proposed to require the removal of replacement of certain PT discs identified by certain engine PT disks identified by P/ P/N, and prohibited (re)installation of Related Service Information Under 1 N installed on the affected engines. The affected parts. CFR Part 51 FAA is issuing this AD to address the Since that [EASA] AD was issued, it has unsafe condition on these products. been determined that the compliance time for The FAA reviewed GE Aviation Alert The European Union Aviation Safety replacement of affected part on Group 2 Service Bulletin (ASB) ASB–M601E– Agency (EASA), which is the Technical engines has to be amended, and GEAC 72–50–00–0069[02], ASB–M601D–72– published the ASB (now at Revision 02). 50–00–0052[02], ASB–M601T–72–50– Agent for the Member States of the For the reason stated above, this [EASA] European Community, has issued EASA 00–0028[02], ASB–M601F–72–50–00– AD retains the requirements of EASA AD 0035[02], and ASB–M601Z–72–50–00– AD 2019–0143, dated , 2019 2019–0061, which is superseded, introducing (referred to after this as ‘‘the MCAI’’), to amended compliance times for Group 2 0038[02] (single document; formatted as address the unsafe condition on these engines. service bulletin identifier[revision products. The MCAI states: number]), dated , 2019. The ASB You may obtain further information provides procedures for replacing the During engine shop visits or overhauls, by examining the MCAI in the AD engine PT disk. This service information certain PT discs may have been damaged in docket on the internet at https:// the area of the balance weights. Additional is reasonably available because the www.regulations.gov by searching for interested parties have access to it PT discs with non-conforming geometry of and locating Docket No. FAA–2019– the slot radius may also have been released through their normal course of business to service as a result of incorrect machining 1021. or by the means identified in the of the PT disc slot. Comments ADDRESSES section. This condition, if not detected and corrected, could lead to PT disc failure, with The FAA gave the public the Costs of Compliance subsequent release of high-energy debris, opportunity to participate in developing possibly resulting in damage to, and/or this final rule. The FAA received no The FAA estimates that this AD reduced control of, the aeroplane. comments on the NPRM or on the affects 24 GE Aviation Czech s.r.o. M601 After [EASA] ADs [2016–0025–E and determination of the cost to the public. turboprop engines installed on airplanes 2017–0100] were issued, GEAC identified of U.S. registry. The FAA estimates that additional P/N and s/n of PT discs affected Conclusion 12 affected turboprop engines are by damage or non-conformity. For those, as The FAA reviewed the relevant data ‘‘Group 1’’ engines and 12 are ‘‘Group well as for the PT discs affected by the 2’’ engines. reduction of the declared theoretical PT rotor and determined that air safety and the overspeed limit, an update of the risk public interest require adopting this AD The FAA estimates the following assessment was performed, and GEAC issued as proposed except for minor editorial costs to comply with this AD:

ESTIMATED COSTS

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

Inspect the engine PT disk (Group 1 engines) 52 work-hours × $85 per hour = $4,420 ...... $0 $4,420 $53,040 Replace the engine PT disk (Group 2 and 3 56 work-hours × $85 per hour = $4,760 ...... 6,989 11,749 140,988 engines).

The FAA estimates the following results of the required inspections. The number of engines that might need this costs to do any necessary replacements FAA has no way of determining the replacement: that would be required based on the

ON-CONDITION COSTS

Cost per Action Labor cost Parts cost product

Replace the engine PT disk (Group 1 engines) ...... 8 work-hours x $85 per hour = $680 ...... $6,989 $7,669

According to the manufacturer, some FAA has included all costs in its cost section 106, describes the authority of of the costs of this AD may be covered estimate. the FAA Administrator. Subtitle VII: under warranty, thereby reducing the Aviation Programs, describes in more Authority for This Rulemaking cost impact on affected individuals. The detail the scope of the Agency’s FAA does not control warranty coverage Title 49 of the United States Code authority. for affected individuals. As a result, the specifies the FAA’s authority to issue The FAA is issuing this rulemaking rules on aviation safety. Subtitle I, under the authority described in

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Subtitle VII, Part A, Subpart III, Section PART 39—AIRWORTHINESS and serial numbers (S/Ns) of engine PT disks 44701: ‘‘General requirements.’’ Under DIRECTIVES affected by damage or non-conformity since that section, Congress charges the FAA publishing AD 2016–07–13 and AD 2018– with promoting safe flight of civil ■ 1. The authority citation for part 39 03–22. The FAA is issuing this AD to prevent aircraft in air commerce by prescribing continues to read as follows: failure of the engine PT disk and rotor. The unsafe condition, if not addressed, could regulations for practices, methods, and Authority: 49 U.S.C. 106(g), 40113, 44701. result in uncontained release of the engine procedures the Administrator finds § 39.13 [Amended] PT disk and rotor, damage to the engine, and necessary for safety in air commerce. damage to the airplane. This regulation is within the scope of ■ 2. The FAA amends § 39.13 by: that authority because it addresses an ■ a. Removing Airworthiness Directive (f) Compliance unsafe condition that is likely to exist or (AD) 2016–07–13, Amendment 39– Comply with this AD within the develop on products identified in this 18458 (81 FR 20222, April 7, 2016), and compliance times specified, unless already rulemaking action. AD 2018–03–22, Amendment 39–19195 done. (83 FR 6455, February 14, 2018); and (g) Required Actions Regulatory Findings ■ b. Adding the following new AD: (1) For Group 1 engines: Before the affected This AD will not have federalism 2020–15–03 GE Aviation Czech s.r.o.: engine PT disk accumulates the number of implications under Executive Order Amendment 39–21166; Docket No. cycles since new as specified in Attachment 13132. This AD will not have a FAA–2019–1021; Project Identifier B of GE Aviation Alert Service Bulletin (ASB) substantial direct effect on the States, on MCAI–2019–00120–E. ASB–M601E–72–50–00–0069[02], ASB– the relationship between the national M601D–72–50–00–0052[02], ASB–M601T– (a) Effective Date Government and the States, or on the 72–50–00–0028[02], ASB–M601F–72–50–00– distribution of power and This AD is effective August 31, 2020. 0035[02], and ASB–M601Z–72–50–00– responsibilities among the various (b) Affected ADs 0038[02] (single document; formatted as service bulletin identifier[revision number]), levels of government. This AD replaces AD 2016–07–13, For the reasons discussed above, I dated June 11, 2019 (‘‘the ASB’’), or at the Amendment 39–18458 (81 FR 20222, April 7, next engine shop visit, whichever occurs first certify this AD: 2016) (‘‘2016–07–13’’), and AD 2018–03–22, (1) Is not a ‘‘significant regulatory after the effective date of this AD, perform a Amendment 39–19195 (83 FR 6455, February visual inspection, dimensional inspection, 14, 2018) (‘‘2018–03–22’’). action’’ under Executive Order 12866, and fluorescent penetrant inspection on the (2) Will not affect intrastate aviation (c) Applicability affected engine PT disk using Attachment G, in Alaska, and This AD applies to all GE Aviation Czech Inspection Instruction, of the ASB. (3) Will not have a significant (2) If, during the inspections required by economic impact, positive or negative, s.r.o. M601D–11, M601E–11, M601E–11A, M601E–11AS, M601E–11S, and M601F paragraph (g)(1) of this AD, any damage is on a substantial number of small entities model turboprop engines. detected, or a non-conforming slot radius is under the criteria of the Regulatory found that exceeds the acceptability criteria Flexibility Act. (d) Subject as defined in Table 1—PT Disc P/N M601– Joint Aircraft System Component (JASC) 3220.5 inspection limits of the ASB, before List of Subjects in 14 CFR Part 39 Code 7250, Turbine Section. further flight, remove the affected engine PT disk from service and replace it with a part Air transportation, Aircraft, Aviation (e) Unsafe Condition safety, Incorporation by reference, eligible for installation using Attachment F, Replacement Instruction, of the ASB. Safety. This AD was prompted by the discovery of damage to certain engine power turbine (PT) (3) For Group 2 engines: Within the Adoption of the Amendment disks and a review by the manufacturer that compliance time identified in Table 1 to determined that certain engine PT rotors paragraph (g)(3) of this AD, modify the Accordingly, under the authority have less overspeed margin than originally engine by removing the affected engine PT delegated to me by the Administrator, declared during product certification. This disk from service and replacing it with a part the FAA amends 14 CFR part 39 as AD was also prompted by the manufacturer eligible for installation using Attachment F, follows: identifying additional part numbers (P/Ns) Replacement Instruction, of the ASB.

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(4) For Group 3 engines: Within five years AD using the ASB, Revision 01 or the paragraph under 5 U.S.C. 552(a) and 1 CFR after , 2018 (the effective date of AD original issue. part 51. 2018–03–22), or during the next engine shop (j) No Reporting Requirement (2) You must use this service information visit after the effective date of this AD, as applicable to do the actions required by whichever occurs first, remove the affected The reporting requirements in the this AD, unless the AD specifies otherwise. Attachment G, Inspection Instruction, of the engine PT disk from service and replace it (i) GE Aviation Alert Service Bulletin ASB, are not required by this AD. with a part eligible for installation using (ASB) ASB–M601E–72–50–00–0069[02], Attachment F, Replacement Instruction, of (k) Alternative Methods of Compliance ASB–M601D–72–50–00–0052[02], ASB– the ASB. (AMOCs) M601T–72–50–00–0028[02], ASB–M601F– (h) Definitions (1) The Manager, ECO Branch, FAA, has 72–50–00–0035[02], and ASB–M601Z–72– (1) For the purpose of this AD, a Group 1 the authority to approve AMOCs for this AD, 50–00–0038[02] (single document; formatted engine is a GE Aviation Czech s.r.o. if requested using the procedures found in 14 as service bulletin identifier[revision turboprop engine that has an engine PT disk CFR 39.19. In accordance with 14 CFR 39.19, number]), dated June 11, 2019. having P/N M601–3220.5 and S/N 407560– send your request to your principal inspector (ii) [Reserved] 158, 407560–164, 406380–196 or 407560– or local Flight Standards District Office, as (3) For GE Aviation Czech service 190, installed. appropriate. If sending information directly information identified in this AD, contact GE (2) For the purpose of this AD, a Group 2 to the manager of the ECO Branch, send it to Aviation Czech s.r.o., Beranovy´ch 65, 199 02 engine is a GE Aviation Czech s.r.o. the attention of the person identified in Praha 9—Letnˇ any, Czech Republic; phone: paragraph (l)(1) of this AD. You may email turboprop engine that has an engine PT disk +420 222 538 111; fax +420 222 538 222; your request to: [email protected]. having P/N M601–3220.6 or P/N M601– email: [email protected]. 3220.7, and a S/N listed in Attachment C of (2) Before using any approved AMOC, (4) You may view this service information the ASB, installed. notify your appropriate principal inspector, at FAA, Airworthiness Products Section, (3) For the purpose of this AD, a Group 3 or lacking a principal inspector, the manager engine is a GE Aviation Czech s.r.o. of the local flight standards district office/ Operational Safety Branch, 1200 District turboprop engine that has an engine PT disk certificate holding district office. Avenue, Burlington, MA, 01803. For having P/N M601–3220.6 or P/N M601– information on the availability of this (l) Related Information 3220.7, and any S/N not listed in Attachment material at the FAA, call 781–238–7759. C of the ASB, installed. (1) For more information about this AD, (5) You may view this service information (4) For the purpose of this AD, an ‘‘affected contact Mehdi Lamnyi, Aerospace Engineer, that is incorporated by reference at the engine PT disk’’ is an engine PT disk having ECO Branch, FAA, 1200 District Avenue, National Archives and Records P/N M601–3220.5 and S/N 407560–158, Burlington, MA 01803; phone: 781–238– Administration (NARA). For information on 407560–164, 406380–196 or 407560–190, 7743; fax: 781–238–7199; email: the availability of this material at NARA, [email protected]. except those that passed an inspection (no email: [email protected], or go to: (2) Refer to European Union Aviation defects detected) using Attachment G, https://www.archives.gov/federal-register/cfr/ Inspection Instruction, of the ASB. An Safety Agency (EASA) AD 2019–0143, dated ibr-locations.html. ‘‘affected engine PT disk’’ is also an engine June 13, 2019, for more information. You PT disk having P/N M601–3220.6 or M601– may examine the EASA AD in the AD docket Issued on , 2020. 3220.7. on the internet at https:// Lance T. Gant, www.regulations.gov by searching for and (i) Credit for Previous Actions locating Docket No. FAA–2019–1021. Director, Compliance & Airworthiness You may take credit for the inspections Division, Aircraft Certification Service. and replacement of the affected engine PT (m) Material Incorporated by Reference [FR Doc. 2020–16121 Filed 7–24–20; 8:45 am] disk that are required by paragraph (g) of this (1) The Director of the Federal Register BILLING CODE 4910–13–P AD if you performed the inspections and approved the incorporation by reference replacement before the effective date of this (IBR) of the service information listed in this

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DEPARTMENT OF TRANSPORTATION European Aviation Safety Agency (now (FOIA) (5 U.S.C. 552), CBI is exempt European Union Aviation Safety from public disclosure. If your Federal Aviation Administration Agency) (EASA) AD, any service comments responsive to this NPRM information that is incorporated by contain commercial or financial 14 CFR Part 39 reference, any comments received, and information that is customarily treated [Docket No. FAA–2020–0675; Product other information. The street address for as private, that you actually treat as Identifier 2018–SW–027–AD; Amendment Docket Operations is listed above. private, and that is relevant or 39–21174; AD 2020–15–11] For service information identified in responsive to this NPRM, it is important this final rule, contact WSK ‘‘PZL- that you clearly designate the submitted RIN 2120–AA64 S´ widnik’’ S.A., Al. Lotniko´w Polskich 1, comments as CBI. Please mark each ´ Airworthiness Directives; PZL Swidnik 21–045 Swidnik, Poland, telephone +48 page of your submission containing CBI as ‘‘PROPIN.’’ The FAA will treat such S.A. Helicopters 664 424 798, or at www.pzl.swidnik.pl. You may view the referenced service marked submissions as confidential AGENCY: Federal Aviation information at the FAA, Office of the under the FOIA, and they will not be Administration (FAA), DOT. Regional Counsel, Southwest Region, placed in the public docket of this ACTION: Final rule; request for 10101 Hillwood Pkwy., Room 6N–321, NPRM. Submissions containing CBI comments. Fort Worth, TX 76177. It is also should be sent to Kristi Bradley, available on the internet at https:// Aerospace Engineer, Rotorcraft SUMMARY: The FAA is adopting a new www.regulations.gov by searching for Standards Branch, FAA, 10101 airworthiness directive (AD) for PZL and locating Docket No. FAA–2020– Hillwood Pkwy., Fort Worth, TX 76177; Swidnik S.A. Model PZL W–3A 0675. telephone 817–222–5110; email [email protected]. Any helicopters. This AD requires FOR FURTHER INFORMATION CONTACT: repetitively inspecting the main rotor commentary that the FAA receives Kristi Bradley, Aerospace Engineer, which is not specifically designated as (M/R) vibration absorber star and Rotorcraft Standards Branch, FAA, depending on the inspection outcome, CBI will be placed in the public docket 10101 Hillwood Pkwy., Fort Worth, TX for this rulemaking. performing more in-depth inspections 76177; telephone 817–222–5110; email and repairing, replacing, or removing [email protected]. Discussion the vibration absorber star from service. This AD was prompted by a report of SUPPLEMENTARY INFORMATION: EASA, which is the Technical Agent for the Member States of the European corrosion detected on an M/R vibration Comments Invited absorber star. The actions of this AD are Union, has issued EASA AD No. 2018– This AD is a final rule that involves intended to address an unsafe condition 0070, dated , 2018, to correct requirements affecting flight safety, and on these products. an unsafe condition for Wytwo´rnia the FAA did not provide you with Sprze˛tu Komunikacyjnego ‘‘PZL- DATES: This AD becomes effective notice and an opportunity to provide S´ widnik’’ Spo´5ka Akcyjna (WSK, ‘‘PZL- August 11, 2020. your comments prior to it becoming S´ WIDNIK’’ S.A.) Model PZL W–3A and The Director of the Federal Register effective. However, the FAA invites you PZL W–3AS helicopters with M/R approved the incorporation by reference to participate in this rulemaking by vibration absorber star part number (P/ of a certain document listed in this AD submitting written comments, data, or N) 30.23.005.01.04 installed. EASA as August 11, 2020. views. The most helpful comments advises that corrosion was found on the The FAA must receive comments on reference a specific portion of the AD, M/R vibration absorber star during this AD by September 25, 2020. explain the reason for any routine maintenance. EASA advises ADDRESSES: You may send comments by recommended change, and include subsequent investigation could not any of the following methods: supporting data. To ensure the docket identify the root cause of the corrosion. • Federal eRulemaking Docket: Go to does not contain duplicate comments, EASA states this condition, if not https://www.regulations.gov. Follow the commenters should send only one copy detected and corrected, could lead to online instructions for sending your of written comments, or if comments are structural failure of the M/R vibration comments electronically. filed electronically, commenters should absorber star, possibly resulting in • Fax: 202–493–2251. submit them only one time. damage to the main or tail rotor and • Mail: Send comments to the U.S. Except for Confidential Business subsequent loss of control of the Department of Transportation, Docket Information (CBI) as described in the helicopter. Operations, M–30, West Building following paragraph, and other Accordingly, the EASA AD requires Ground Floor, Room W12–140, 1200 information as described in 14 CFR repetitive inspections of the M/R New Jersey Avenue SE, Washington, DC 11.35, the FAA will file in the docket all vibration absorber star, and depending 20590–0001. comments received, as well as a report on the outcome of the inspections, • Hand Delivery: Deliver to the summarizing each substantive public repair or replacement. The EASA AD ‘‘Mail’’ address between 9 a.m. and 5 contact with FAA personnel concerning also requires inspecting an M/R p.m., Monday through Friday, except this rulemaking during the comment vibration absorber star before Federal holidays. period. The FAA will consider all the installation on a helicopter. comments received and may conduct Examining the AD Docket FAA’s Determination additional rulemaking based on those You may examine the AD docket on comments. These helicopters have been approved the internet at https:// by EASA and are approved for operation www.regulations.gov by searching for Confidential Business Information in the United States. Pursuant to the and locating Docket No. FAA–2020– Confidential Business Information FAA’s bilateral agreement with the 0675; or in person at Docket Operations (CBI) is commercial or financial European Union, EASA has notified the between 9 a.m. and 5 p.m., Monday information that is both customarily and FAA of the unsafe condition described through Friday, except Federal holidays. actually treated as private by its owner. in its AD. The FAA is issuing this AD The AD docket contains this AD, the Under the Freedom of Information Act after evaluating all information

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provided by EASA and determining the nick, or corrosion that exceeds the this amendment effective in less than 30 unsafe condition exists and is likely to accumulated maximum total polishing days. exist or develop on other helicopters of depth of 0.5 mm, this AD requires Authority for This Rulemaking the same type design. removing the M/R vibration absorber star from service. This AD also requires Title 49 of the United States Code Related Service Information Under 1 specifies the FAA’s authority to issue CFR Part 51 inspecting under each bolt head P/N 30.23.000.08.04 for corrosion. Lastly, rules on aviation safety. Subtitle I, WYTWORNIA SPRZE˛ TU this AD requires inspecting an M/R section 106, describes the authority of ´ KOMUNIKACYJNEGO ‘‘PZL-Swidnik’’ vibration absorber star before being the FAA Administrator. Subtitle VII: Spolka Akcyjna has issued Mandatory installed on any helicopter. Aviation Programs, describes in more Bulletin No. BO–37–18–291, dated detail the scope of the Agency’s Differences Between This AD and the March 13, 2018, which specifies authority. EASA AD repetitively inspecting the M/R The FAA is issuing this rulemaking vibration absorber star for paint coating The EASA AD applies to Model PZL under the authority described in damage and for signs of corrosion. W–3AS helicopters, whereas this AD Subtitle VII, Part A, Subpart III, Section Depending on the inspection results, does not because that model is not FAA 44701: General requirements. Under this service information specifies type-certificated. The EASA AD requires that section, Congress charges the FAA inspecting for corrosion under the bolt reporting certain information to PZL with promoting safe flight of civil heads that secure the M/R vibration S´ widnik S.A., whereas this AD does not. aircraft in air commerce by prescribing absorber star to the bracket and The EASA AD requires contacting PZL regulations for practices, methods, and mechanically removing the paint S´ widnik S.A., if the accumulated procedures the Administrator finds coating on the M/R vibration absorber maximum total polishing depth exceeds necessary for safety in air commerce. star to inspect further for corrosion. This 0.5 mm or if there is corrosion under the This regulation is within the scope of service information also specifies bolt head, whereas this AD requires that authority because it addresses an removing corrosion and repairing repairing or replacing the affected part unsafe condition that is likely to exist or mechanical damage that is within in accordance with FAA approved develop on products identified in this allowable limits. Additionally, this repair procedures or removing the rulemaking action. service information specifies emailing affected part from service. sketches showing the polishing depth in Regulatory Findings repaired M/R vibration absorber star Regulatory Flexibility Act This AD will not have federalism surfaces to PZL S´ widnik S.A. Finally, The requirements of the Regulatory implications under Executive Order this service information specifies Flexibility Act (RFA) do not apply when 13132. This AD will not have a contacting PZL S´ widnik S.A. for any an agency finds good cause pursuant to substantial direct effect on the States, on corrosion or mechanical damage that 5 U.S.C. 553 to adopt a rule without the relationship between the national reaches the maximum total polishing Government and the States, or on the depth or for corrosion under a bolt head. prior notice and comment. Because the This service information is reasonably FAA has determined that it has good distribution of power and available because the interested parties cause to adopt this rule without notice responsibilities among the various have access to it through their normal and comment, RFA analysis is not levels of government. course of business or by the means required. For the reasons discussed, I certify that this AD: identified in the ADDRESSES section. Costs of Compliance 1. Is not a ‘‘significant regulatory AD Requirements There are no costs of compliance action’’ under Executive Order 12866, This AD requires visually inspecting associated with this AD because there and certain areas of the M/R vibration are no helicopters of this type certificate 2. Will not affect intrastate aviation in absorber star within an initial on the U.S. Registry. Alaska. compliance time based on the helicopter FAA’s Justification and Determination List of Subjects in 14 CFR Part 39 serial number, and thereafter, repeating of the Effective Date the inspections at intervals not to Air transportation, Aircraft, Aviation exceed 300 hours time-in-service (TIS) Section 553(b)(3)(B) of the safety, Incorporation by reference, or 12 months, whichever occurs first. Administrative Procedure Act (5 U.S.C.) Safety. This AD requires inspecting the M/R authorizes agencies to dispense with Adoption of the Amendment vibration absorber star for paint coating notice and comment procedures for delamination, blistering, and rules when the agency, for ‘‘good Accordingly, under the authority discoloration, and missing paint cause,’’ finds that those procedures are delegated to me by the Administrator, coating, a scratch, a dent, a nick, and ‘‘impracticable, unnecessary, or contrary the FAA amends 14 CFR part 39 as corrosion. If there is any paint coating to the public interest.’’ Under this follows: delamination, blistering, or section, an agency, upon finding good discoloration, or missing paint, a cause, may issue a final rule without PART 39—AIRWORTHINESS scratch, a dent, a nick, or corrosion, this seeking comment prior to the DIRECTIVES AD requires mechanically removing any rulemaking. ■ remaining paint coating. If there is no There are no helicopters with this 1. The authority citation for part 39 scratch, dent, nick, or corrosion, this AD type certificate on the U.S. Registry. continues to read as follows: requires repairing the paint coating. If Therefore, notice and opportunity for Authority: 49 U.S.C. 106(g), 40113, 44701. there is a scratch, a dent, a nick, or prior public comment are unnecessary § 39.13 [Amended] corrosion less than the accumulated pursuant to 5 U.S.C. 553(b)(3)(B). In maximum total polishing depth of 0.5 addition, for the reasons stated above, ■ 2. The FAA amends § 39.13 by adding mm, this AD requires repairing the the FAA finds that good cause exists the following new airworthiness surface. If there is a scratch, a dent, a pursuant to 5 U.S.C. 553(d) for making directive (AD):

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2020–15–11 PZL Swidnik S.A.: (1) Using 150–180 grit abrasive paper, Spolka Akcyjna Mandatory Bulletin No. BO– Amendment 39–21174; Docket No. blend the repaired surface and make a 37–18–291, dated March 13, 2018. FAA–2020–0675; Product Identifier smooth chamfer as shown in Sketch 2. (ii) [Reserved] 2018–SW–027–AD. Blending Method, MB BO–37–18–291 (3) For service information identified in Attachment 1. The blending width ‘‘S’’ must this AD, contact PZL-S´ widnik S.A., A1. (a) Applicability be at least 10 times greater than blending Lotniko´w Polskich 1, 21–045 S´ widnik, This AD applies to PZL Swidnik S.A. (PZL) depth ‘‘h.’’ The radii ‘‘R1’’ and ‘‘R2’’ must be Poland; telephone +48 81 468 09 01, 751 20 Model PZL W–3A helicopters, certificated in at least 5 times greater than depth ‘‘h.’’ 71; fax +48 81 468 09 19, 751 21 73; or at any category, with a main rotor (M/R) (2) Using 600–900 grit abrasive paper, www.pzl.swidnik.pl. vibration absorber star part number (P/N) polish the repaired surface and repair the (4) You may view this service information 30.23.005.01.04 installed. paint coating. at the FAA, Office of the Regional Counsel, (C) If there is a scratch, a dent, a nick, or (b) Unsafe Condition Southwest Region, 10101 Hillwood Pkwy., corrosion on the M/R vibration absorber star Room 6N–321, Fort Worth, TX 76177. For This AD defines the unsafe condition as that meets or exceeds the accumulated information on the availability of this corrosion pits in the M/R vibration absorber maximum total polishing depth of 0.5 mm, material at the FAA, call 817- 222–5110. star. This condition could result in structural before further flight, remove from service the (5) You may view this service information failure of the M/R vibration absorber star, M/R vibration absorber star. that is incorporated by reference at the damage to the main and tail rotor, and (D) If there is corrosion on the head of any National Archives and Records subsequent loss of control of the helicopter. bolt P/N 30.23.000.08.04 that secures the Administration (NARA). For information on (c) Effective Date vibration absorber star to the bracket, before the availability of this material at NARA, further flight, repair or replace the M/R email [email protected], or go to: https:// This AD becomes effective August 11, vibration absorber star in accordance with www.archives.gov/federal-register/cfr/ibr- 2020. FAA approved procedures. locations.html. (d) Compliance (2) Thereafter, at intervals not to exceed 300 hours TIS or 1 year, whichever occurs Issued on , 2020. You are responsible for performing each first, perform the actions required by Lance T. Gant, action required by this AD within the paragraph (e)(1) of this AD. Director, Compliance & Airworthiness specified compliance time unless it has (3) After the effective date of this AD, do Division, Aircraft Certification Service. already been accomplished prior to that time. not install an M/R vibration absorber star on [FR Doc. 2020–16129 Filed 7–24–20; 8:45 am] (e) Required Actions any helicopter unless the requirements of paragraph (e)(1) of this AD have been BILLING CODE 4910–13–P For helicopters with a serial number (S/N) accomplished. up to 37.10.12 inclusive, within 25 hours time-in-service (TIS) or 15 days, whichever (f) Alternative Methods of Compliance DEPARTMENT OF TRANSPORTATION occurs first; and for helicopters with an S/N (AMOCs) above 37.10.12, within 300 hours TIS or 12 (1) The Manager, Rotorcraft Standards Federal Aviation Administration months after the date of manufacture, Branch, FAA, may approve AMOCs for this whichever occurs first: AD. Send your proposal to: Kristi Bradley, 14 CFR Part 39 (1) Access the M/R vibration absorber by Aerospace Engineer, Safety Management following Attachment 1, Procedure— Section, Rotorcraft Standards Branch, FAA, [Docket No. FAA–2020–0136; Project Removal, Inspection, Repair, and Installation 10101 Hillwood Pkwy., Fort Worth, TX Identifier MCAI–2019–00114–E; Amendment of Vibration Absorber Star, section II., of 76177; telephone 817–222–5110; email 9- 39–21168; AD 2020–15–05] WYTWORNIA SPRZE˛ TU [email protected]. RIN 2120–AA64 KOMUNIKACYJNEGO ‘‘PZL-Swidnik’’ (2) For operations conducted under a 14 Spolka Akcyjna Mandatory Bulletin No. BO– CFR part 119 operating certificate or under 37–18–291, dated March 13, 2018 (MB BO– 14 CFR part 91, subpart K, the FAA suggests Airworthiness Directives; Austro 37–18–291 Attachment 1). that you notify your principal inspector, or Engine GmbH Engines (i) Clean the M/R vibration absorber star lacking a principal inspector, the manager of AGENCY: Federal Aviation surface. Visually inspect the M/R vibration the local flight standards district office or absorber star for paint coating delamination, certificate holding district office, before Administration (FAA), DOT. blistering, discoloration, and missing paint operating any aircraft complying with this ACTION: Final rule. coating, a scratch, a dent, a nick, and AD through an AMOC. corrosion. SUMMARY: The FAA is superseding (ii) If there is any paint coating (g) Additional Information Airworthiness Directive (AD) 2018–18– delamination, blistering, or discoloration, or The subject of this AD is addressed in missing paint, any scratch, any dent, any 02 for certain Austro Engine GmbH European Aviation Safety Agency (now model E4 engines and all Austro Engine nick, or corrosion, before further flight, European Union Aviation Safety Agency) mechanically remove any remaining paint (EASA) AD No. 2018–0070, dated March 27, GmbH model E4P engines. AD 2018– coating and inspect the M/R vibration 2018. You may view the EASA AD on the 18–02 required replacement of the absorber star for a scratch, a dent, a nick, and internet at https://www.regulations.gov in timing chain and amending certain corrosion. Additionally, inspect the heads of Docket No. FAA–2020–0675. airplane flight manuals (AFMs) to limit each bolt P/N 30.23.000.08.04 that secures the use of windmill restarts. This AD (h) Subject the vibration absorber star to the bracket for requires amendment of certain existing corrosion under the bolt heads. Joint Aircraft Service Component (JASC) AFMs to limit the use of windmill Note 1 to paragraph (e)(1)(ii) of this AD: Code: 6300, Main Rotor Drive System. the anodic coating may become damaged restarts and removes the timing chain while removing the paint coating. (i) Material Incorporated by Reference replacement requirement in AD 2018– (A) If there is no scratch, dent, nick, or (1) The Director of the Federal Register 18–02. This AD was prompted by corrosion on the M/R vibration absorber star, approved the incorporation by reference of reports of considerable wear of the before further flight, repair the paint coating. the service information listed in this timing chain on the affected engines. (B) If there is a scratch, a dent, a nick, or paragraph under 5 U.S.C. 552(a) and 1 CFR The FAA is issuing this AD to address corrosion on the M/R vibration absorber star part 51. the unsafe condition on these products. not exceeding the accumulated maximum (2) You must use this service information total polishing depth of 0.5 mm, using 80– as applicable to do the actions required by DATES: This AD is effective August 31, 100 grit abrasive paper or an equivalent grit this AD, unless the AD specifies otherwise. 2020. file or scraper, polish out any scratch, dent, (i) WYTWORNIA SPRZE˛ TU The Director of the Federal Register nick, and corrosion and do the following: KOMUNIKACYJNEGO ‘‘PZL-Swidnik’’ approved the incorporation by reference

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of certain publications listed in this AD engines. The NPRM published in the This action remain required through EASA as of August 31, 2020. Federal Register on , 2020 (85 AD 2019–0041. ADDRESSES: For service information FR 15079). The NPRM was prompted by You may obtain further information identified in this final rule, contact reports of considerable wear of the by examining the MCAI in the AD Diamond Aircraft Industries, N. A., timing chain on the affected engines. docket on the internet at https:// Otto-Strabe 5, A–2700 Wiener Neustadt, The NPRM proposed to retain the www.regulations.gov by searching for A2700, Austria; phone: +43 2622 26700; requirements of AD 2018–18–02 for and locating Docket No. FAA–2020– fax: +43 2622 26780; website: amending certain AFMs to limit the use 0136. www.diamondaircraft.com. You may of windmill restarts to emergency view this service information at the procedures. The NPRM also proposed to Comments FAA, Airworthiness Products Section, remove the requirement in AD 2018– The FAA gave the public the Operational Safety Branch, 1200 District 18–02 for replacing the timing chain. opportunity to participate in developing Avenue, Burlington, MA, 01803. For The FAA is issuing this AD to address this final rule. The FAA received no information on the availability of this the unsafe condition on these products. comments on the NPRM or on the material at the FAA, call 781–238–7759. The European Union Aviation Safety determination of the cost to the public. It is also available on the internet at Agency (EASA), which is the Technical Conclusion https://www.regulations.gov by Agent for the Member States of the searching for and locating Docket No. European Community, has issued EASA The FAA reviewed the relevant data FAA–2020–0136. AD 2017–0103R1, dated , and determined that air safety and the public interest require adopting this Examining the AD Docket 2019 (referred to after this as ‘‘the MCAI’’), to address the unsafe condition final rule as proposed except for minor You may examine the AD docket on on these products. The MCAI states: editorial changes. The FAA has the internet at https:// determined that these minor changes: www.regulations.gov by searching for Considerable wear of the timing chain has • been detected on some engines. This may Are consistent with the intent that and locating Docket No. FAA–2020– have been caused by windmilling restarts, was proposed in the NPRM for 0136; or in person at Docket Operations which are known to cause high stress to the addressing the unsafe condition; and between 9 a.m. and 5 p.m., Monday timing chain. This condition, if not detected • Do not add any additional burden through Friday, except Federal holidays. and corrected, could lead to failure of the upon the public than was already The AD docket contains this final rule, timing chain and consequent engine power proposed in the NPRM. the mandatory continuing airworthiness loss, possibly resulting in reduced control of information (MCAI), any comments the aeroplane. Related Service Information Under 1 received, and other information. The To address this potential unsafe condition, CFR Part 51 address for Docket Operations is U.S. AE included instructions in the engine maintenance manual to periodically inspect The FAA reviewed Diamond Aircraft Department of Transportation, Docket the condition of the timing chain and, (DA) Temporary Revision (TR) TR– Operations, M–30, West Building depending on findings, to replace the timing MA¨ M–42–973, dated , 2016, Ground Floor, Room W12–140, 1200 chain and the chain wheel. The operation for the Diamond Aircraft Industries New Jersey Avenue SE, Washington, DC manual was updated to allow windmilling (DAI) model DA 42 NG Airplane Flight 20590. restart only as an emergency procedure. AE Manual (AFM) and DA TR TR–MA¨ M– FOR FURTHER INFORMATION CONTACT: also published Mandatory Service Bulletin 62–240, dated August 12, 2016, for the Mehdi Lamnyi, Aerospace Engineer, (MSB) MSB–E4–017/2, providing DAI model DA 62 AFM. These TRs ECO Branch, FAA, 1200 District instructions to replace the timing chain for define the removal of the normal engines with known windmilling restarts, Avenue, Burlington, MA 01803; phone: and EASA issued AD 2017–0103, requiring operation procedure for windmilling 781–238–7743; fax: 781–238–7199; replacement of the timing chain for engines restart for the respective airplanes. This email: [email protected]. with known windmilling restarts, and service information is reasonably SUPPLEMENTARY INFORMATION: amendment of the applicable Aircraft Flight available because the interested parties Manual (AFM). Since that [EASA] AD was have access to it through their normal Discussion issued, AE revised the applicable course of business or by the means The FAA issued a notice of proposed Airworthiness Limitation Section (ALS) identified in the ADDRESSES section. rulemaking (NPRM) to amend 14 CFR including, among others, the limitation part 39 to supersede AD 2018–18–02, required by that AD. Consequently, EASA Costs of Compliance published AD 2019–0041, requiring Amendment 39–19381 (83 FR 53802, accomplishment of the actions specified in The FAA estimates that this AD , 2018), (‘‘AD 2018–18–02’’). the ALS. affects 211 engines installed on AD 2018–18–02 applied to certain For the reason described above, this airplanes of U.S. registry. Austro Engine GmbH model E4 engines [EASA] AD is revised accordingly, removing The FAA estimates the following and all Austro Engine GmbH model E4P the requirement of timing chain replacement. costs to comply with this AD:

ESTIMATED COSTS

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

Amend AFM ...... 1 work-hour × $85 per hour = $85 ...... $0 $85 $17,935

Authority for This Rulemaking section 106, describes the authority of detail the scope of the Agency’s the FAA Administrator. Subtitle VII: authority. Title 49 of the United States Code Aviation Programs, describes in more specifies the FAA’s authority to issue The FAA is issuing this rulemaking rules on aviation safety. Subtitle I, under the authority described in

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Subtitle VII, Part A, Subpart III, Section List of Subjects in 14 CFR Part 39 (b) Affected ADs 44701: ‘‘General requirements.’’ Under This AD replaces AD 2018–18–02, that section, Congress charges the FAA Air transportation, Aircraft, Aviation Amendment 39–19381 (83 FR 53802, October with promoting safe flight of civil safety, Incorporation by reference, 25, 2018). Safety. aircraft in air commerce by prescribing (c) Applicability regulations for practices, methods, and Adoption of the Amendment This AD applies to Austro Engine GmbH procedures the Administrator finds model E4 engines with serial numbers that necessary for safety in air commerce. Accordingly, under the authority have a ‘‘–B’’ or ‘‘–C’’ configuration and to This regulation is within the scope of delegated to me by the Administrator, model E4P engines, all serial numbers. that authority because it addresses an the FAA amends 14 CFR part 39 as (d) Subject unsafe condition that is likely to exist or follows: develop on products identified in this Joint Aircraft System Component (JASC) rulemaking action. PART 39—AIRWORTHINESS Code 8520, Reciprocating Engine Power Section. Regulatory Findings DIRECTIVES (e) Unsafe Condition This AD will not have federalism ■ 1. The authority citation for part 39 This AD was prompted by reports of implications under Executive Order continues to read as follows: considerable wear of the timing chain on the 13132. This AD will not have a affected engines. The FAA is issuing this AD substantial direct effect on the States, on Authority: 49 U.S.C. 106(g), 40113, 44701. to prevent failure of the engine timing chain. The unsafe condition, if not addressed, could the relationship between the national § 9.13 [Amended] government and the States, or on the result in failure of the engine timing chain, loss of engine thrust control, and reduced distribution of power and ■ 2. The FAA amends § 39.13 by: responsibilities among the various control of the airplane. ■ a. Removing AD 2018–18–02, levels of government. (f) Compliance Amendment 39–19381 (83 FR 53802, For the reasons discussed above, I October 25, 2018); and Comply with this AD within the certify this AD: compliance times specified, unless already (1) Is not a ‘‘significant regulatory ■ b. Adding the following new done. airworthiness directive (AD): action’’ under Executive Order 12866, (g) Required Actions (2) Will not affect intrastate aviation 2020–15–05 Austro Engine GmbH: in Alaska, and (1) Within 30 days after the effective date Amendment 39–21168; Docket No. of this AD, under the Emergency Procedures (3) Will not have a significant FAA–2020–0136; Project Identifier chapter, amend the applicable airplane flight economic impact, positive or negative, MCAI–2019–00114–E. manual (AFM) by adding the information in on a substantial number of small entities Figure 1 to paragraph (g)(1) of this AD to under the criteria of the Regulatory (a) Effective Date limit the use of a windmilling restart to only Flexibility Act. This AD is effective August 31, 2020. an emergency procedure.

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(2) For affected Austro Engine GmbH (2) Before using any approved AMOC, Industries (DAI) model DA 42 NG Airplane model E4 engines installed on Diamond notify your appropriate principal inspector, Flight Manual (AFM). Aircraft Industries (DAI) model Diamond or lacking a principal inspector, the manager (ii) DA AFM TR TR–MA¨ M–62–240, dated Aircraft (DA) 42 NG and DA 42 M–NG of the local flight standards district office/ August 12, 2016, for the DAI model DA 62 airplanes, and for Austro Engine GmbH certificate holding district office. AFM. model E4P engines installed on DAI model (3) For Diamond Aircraft Industries service DA 62 airplanes, using DA AFM Temporary (j) Related Information information identified in this AD, contact Revision (TR) TR–MA¨ M–42–973, and DA (1) For more information about this AD, Diamond Aircraft Industries, N.A., Otto- AFM TR TR–MA¨ M–62–240, both dated contact Mehdi Lamnyi, Aerospace Engineer, Strabe 5, A–2700 Wiener Neustadt, A2700, August 12, 2016, to update the applicable ECO Branch, FAA, 1200 District Avenue, Austria; phone: +43 2622 26700; fax: +43 AFM is an acceptable method to comply with Burlington, MA, 01803; phone: 781–238– 2622 26780; website: paragraph (g)(1) of this AD. 7743; fax: 781–238–7199; email: www.diamondaircraft.com. (h) Credit for Previous Actions [email protected]. (4) You may view this service information (2) Refer to European Union Aviation at the FAA, Airworthiness Products Section, You may take credit for actions required by Safety Agency (EASA) AD 2017–0103R1, Operational Safety Branch, 1200 District paragraph (g) of this AD if you amended the dated February 25, 2019, for more Avenue, Burlington, MA, 01803. For applicable AFM for the airplane with the information on the availability of this affected engine installed before the effective information. You may examine the EASA AD in the AD docket on the internet at https:// material at the FAA, call 781–238–7759. date of this AD in accordance with AD 2018– (5) You may view this service information 18–02. www.regulations.gov by searching for and locating it in Docket No. FAA–2020–0136. that is incorporated by reference at the (i) Alternative Methods of Compliance National Archives and Records (AMOCs) (k) Material Incorporated by Reference Administration (NARA). For information on the availability of this material at NARA, (1) The Manager, ECO Branch, FAA, has (1) The Director of the Federal Register the authority to approve AMOCs for this AD, approved the incorporation by reference email: [email protected], or go to: if requested using the procedures found in 14 (IBR) of the service information listed in this https://www.archives.gov/federal-register/cfr/ CFR 39.19. In accordance with 14 CFR 39.19, paragraph under 5 U.S.C. 552(a) and 1 CFR ibr-locations.html. send your request to your principal inspector part 51. Issued on July 9, 2020. or local Flight Standards District Office, as (2) You must use this service information Lance T. Gant, appropriate. If sending information directly as applicable to do the actions required by Director, Compliance & Airworthiness to the manager of the ECO Branch, send it to this AD, unless the AD specifies otherwise. Division, Aircraft Certification Service. the attention of the person identified in (i) Diamond Aircraft (DA) Temporary paragraph (j)(1) of this AD. You may email Revision (TR) TR–MA¨ M–42–973, dated [FR Doc. 2020–16127 Filed 7–24–20; 8:45 am] your request to: [email protected]. August 12, 2016, for the Diamond Aircraft BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION Examining the AD Docket function of the LPC front case to contain certain engine failures. Federal Aviation Administration You may examine the AD docket on This condition, if not corrected, could, in the internet at https:// case of fan blade failure, lead to high energy 14 CFR Part 39 www.regulations.gov by searching for debris release, possibly resulting in damage and locating Docket No. FAA–2020– to, and reduced control of, the aeroplane. [Docket No. FAA–2020–0424; Project 0424; or in person at Docket Operations To address this potential unsafe condition, Identifier MCAI–2019–00130–E; Amendment between 9 a.m. and 5 p.m., Monday Rolls-Royce developed an updated life 39–21171; AD 2020–15–08] through Friday, except Federal holidays. management and issued the NMSB, RIN 2120–AA64 The AD docket contains this final rule, identifying those ESN that have an affected part installed, and providing the the mandatory continuing airworthiness corresponding limit (date) for in-shop front Airworthiness Directives; Rolls-Royce information (MCAI), any comments Deutschland Ltd & Co KG (Type fan case replacement. received, and other information. The For the reason described above, this Certificate Previously Held by Rolls- address for Docket Operations is U.S. [EASA] AD requires removal from service of Royce plc) Turbofan Engines Department of Transportation, Docket the affected engines to replace the affected AGENCY: Federal Aviation Operations, M–30, West Building parts. This [EASA] AD also prohibits re- Administration (FAA), DOT. Ground Floor, Room W12–140, 1200 installation of affected parts. ACTION: Final rule. New Jersey Avenue SE, Washington, DC 20590. You may obtain further information by examining the MCAI in the AD SUMMARY: The FAA is adopting a new FOR FURTHER INFORMATION CONTACT: airworthiness directive (AD) for all docket on the internet at https:// Stephen Elwin, Aerospace Engineer, www.regulations.gov by searching for Rolls-Royce Deutschland Ltd & Co KG ECO Branch, FAA, 1200 District (RRD) Trent 1000–A, Trent 1000–A2, and locating Docket No. FAA–2020– Avenue, Burlington, MA 01803; phone: 0424. Trent 1000–AE, Trent 1000–AE2, Trent 781–238–7236; fax: 781–238–7199; 1000–C, Trent 1000–C2, Trent 1000–CE, email: [email protected]. Comments Trent 1000–CE2, Trent 1000–D, Trent 1000–D2, Trent 1000–E, Trent 1000–E2, SUPPLEMENTARY INFORMATION: The FAA gave the public the Trent 1000–G, Trent 1000–G2, Trent Discussion opportunity to participate in developing 1000–H, Trent 1000–H2, Trent 1000–J2, this final rule. The FAA has considered Trent 1000–K2, and Trent 1000–L2 The FAA issued a notice of proposed the comment received. Boeing model turbofan engines. This AD was rulemaking (NPRM) to amend 14 CFR Commercial Airplanes supported the prompted by the manufacturer part 39 by adding an AD that would NPRM. identifying 38 low-pressure compressor apply to all RRD Trent 1000–A, Trent Conclusion (LPC) front cases that have non-optimal 1000–A2, Trent 1000–AE, Trent 1000– properties that could inhibit their ability AE2, Trent 1000–C, Trent 1000–C2, The FAA reviewed the relevant data, to contain certain engine failures. This Trent 1000–CE, Trent 1000–CE2, Trent considered the comments received, and AD requires removing the LPC front 1000–D, Trent 1000–D2, Trent 1000–E, determined that air safety and the case from service and replacing it with Trent 1000–E2, Trent 1000–G, Trent public interest require adopting this a part eligible for installation. The FAA 1000–G2, Trent 1000–H, Trent 1000–H2, final rule as proposed. is issuing this AD to address the unsafe Trent 1000–J2, Trent 1000–K2, and condition on these products. Trent 1000–L2 model turbofan engines. Related Service Information Under 1 DATES: This AD is effective August 31, The NPRM published in the Federal CFR Part 51 Register on , 2020 (85 FR 2020. The FAA reviewed Rolls-Royce plc The Director of the Federal Register 23929). The NPRM was prompted by the Alert Non-Modification Service Bulletin approved the incorporation by reference manufacturer identifying 38 LPC front (NMSB) Trent 1000 72–AK294, dated of a certain publication listed in this AD cases that have non-optimal properties , 2019. The NMSB contains the as of August 31, 2020. that could inhibit their ability to contain serial numbers of the affected LPC front ADDRESSES: For service information certain engine failures. The NPRM proposed to require removing the LPC cases, the engine serial numbers on identified in this final rule, contact which these LPC front cases are Rolls-Royce Deutschland Ltd & Co KG, front case from service and replacing it with a part eligible for installation. The installed, and the date to remove each Eschenweg 11, 15827 Blankenfelde- engine from service. This service Mahlow, Germany; phone: +49 (0) 33 FAA is issuing this AD to address the unsafe condition on these products. information is reasonably available 708 6 0; email: https://www.rolls- because the interested parties have The European Union Aviation Safety royce.com/contact-us.aspx. You may access to it through their normal course Agency (EASA), which is the Technical view this service information at the of business or by the means identified FAA, Airworthiness Products Section, Agent for the Member States of the in the ADDRESSES section. Operational Safety Branch, 1200 District European Community, has issued EASA Avenue, Burlington, MA 01803. For AD 2019–0286, dated , Costs of Compliance information on the availability of this 2019 (referred to after this as ‘‘the material at the FAA, call 781–238–7759. MCAI’’), to address the unsafe condition The FAA estimates that this AD It is also available on the internet at on these products. The MCAI states: affects three engines installed on airplanes of U.S. registry. https://www.regulations.gov by Engineering analysis has identified that 38 searching for and locating Docket No. LPC front cases have non-optimal material The FAA estimates the following FAA–2020–0424. properties. This could inhibit the intended costs to comply with this AD:

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ESTIMATED COSTS

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

Remove and replace the LPC front case ...... 390 work-hours × $85 per hour = $33,150 .... $1,238,654 $1,271,804 $3,815,412

Authority for This Rulemaking PART 39—AIRWORTHINESS 1000 72–AK294, dated July 16, 2019 (‘‘Rolls- DIRECTIVES Royce Alert NMSB Trent 1000 72–AK294’’): Title 49 of the United States Code (1) Remove LPC front case, P/N KH26266 specifies the FAA’s authority to issue ■ 1. The authority citation for part 39 and with a S/N identified in Appendix 1 of rules on aviation safety. Subtitle I, continues to read as follows: Rolls-Royce Alert NMSB Trent 1000 72– section 106, describes the authority of AK294, and Authority: 49 U.S.C. 106(g), 40113, 44701. (2) Replace the LPC front case with a part the FAA Administrator. Subtitle VII: eligible for installation. Aviation Programs, describes in more § 39.13 [Amended] detail the scope of the Agency’s (h) Alternative Methods of Compliance ■ 2. The FAA amends § 39.13 by adding (AMOCs) authority. the following new airworthiness (1) The Manager, ECO Branch, FAA, has The FAA is issuing this rulemaking directive (AD): the authority to approve AMOCs for this AD, under the authority described in 2020–15–08 Rolls-Royce Deutschland Ltd & if requested using the procedures found in 14 Subtitle VII, Part A, Subpart III, Section Co KG (Type Certificate previously held CFR 39.19. In accordance with 14 CFR 39.19, 44701: ‘‘General requirements.’’ Under by Rolls-Royce plc): Amendment 39– send your request to your principal inspector that section, Congress charges the FAA 21171; Docket No. FAA–2020–0424; or local Flight Standards District Office, as with promoting safe flight of civil Project Identifier MCAI–2019–00130–E. appropriate. If sending information directly to the manager of the ECO Branch, send it to aircraft in air commerce by prescribing (a) Effective Date regulations for practices, methods, and the attention of the person identified in This AD is effective August 31, 2020. paragraph (i)(1) of this AD. You may email procedures the Administrator finds your request to: [email protected]. necessary for safety in air commerce. (b) Affected ADs (2) Before using any approved AMOC, This regulation is within the scope of None. notify your appropriate principal inspector, that authority because it addresses an or lacking a principal inspector, the manager (c) Applicability unsafe condition that is likely to exist or of the local flight standards district office/ develop on products identified in this This AD applies to all Rolls-Royce certificate holding district office. rulemaking action. Deutschland Ltd & Co KG (Type Certificate previously held by Rolls-Royce plc) Trent (i) Related Information Regulatory Findings 1000–A, Trent 1000–A2, Trent 1000–AE, (1) For more information about this AD, Trent 1000–AE2, Trent 1000–C, Trent 1000– contact Stephen Elwin, Aerospace Engineer, This AD will not have federalism C2, Trent 1000–CE, Trent 1000–CE2, Trent ECO Branch, FAA, 1200 District Avenue, implications under Executive Order 1000–D, Trent 1000–D2, Trent 1000–E, Trent Burlington, MA 01803; phone: 781–238– 13132. This AD will not have a 1000–E2, Trent 1000–G, Trent 1000–G2, 7236; fax: 781–238–7199; email: [email protected]. substantial direct effect on the States, on Trent 1000–H, Trent 1000–H2, Trent 1000– J2, Trent 1000–K2, and Trent 1000–L2 model (2) Refer to European Union Aviation the relationship between the national turbofan engines. Safety Agency (EASA) AD 2019–0286, dated Government and the States, or on the November 26, 2019, for more information. distribution of power and (d) Subject You may examine the EASA AD in the AD responsibilities among the various Joint Aircraft System Component (JASC) docket on the internet at https:// levels of government. Code 7230, Turbine Engine Compressor www.regulations.gov by searching for and Section. locating Docket No. FAA–2020–0424. For the reasons discussed above, I certify this AD: (e) Unsafe Condition (j) Material Incorporated by Reference (1) Is not a ‘‘significant regulatory This AD was prompted by the (1) The Director of the Federal Register action’’ under Executive Order 12866, manufacturer identifying 38 low-pressure approved the incorporation by reference compressor (LPC) front cases, part number (IBR) of the service information listed in this (2) Will not affect intrastate aviation (P/N) KH26266 with individual serial paragraph under 5 U.S.C. 552(a) and 1 CFR in Alaska, and numbers (S/Ns), that have non-optimal part 51. (2) You must use this service information (3) Will not have a significant properties that could inhibit their ability to contain certain engine failures. The FAA is as applicable to do the actions required by economic impact, positive or negative, issuing this AD to prevent failure of the LPC this AD, unless the AD specifies otherwise. on a substantial number of small entities front case when subjected to high-energy (i) Rolls-Royce plc (RR) Alert Non- under the criteria of the Regulatory debris release. The unsafe condition, if not Modification Service Bulletin Trent 1000 72– Flexibility Act. addressed, could result in uncontained AK294, dated July 16, 2019. release of high-energy debris, damage to the (ii) [Reserved] List of Subjects in 14 CFR Part 39 engine, and damage to the airplane. (3) For RR service information identified in this AD, contact Rolls-Royce Deutschland Ltd Air transportation, Aircraft, Aviation (f) Compliance & Co KG, Eschenweg 11, 15827 Blankenfelde- safety, Incorporation by reference, Comply with this AD within the Mahlow, Germany; phone: +49 (0) 33 708 6 Safety. compliance times specified, unless already 0; email: https://www.rolls-royce.com/ done. contact-us.aspx. Adoption of the Amendment (4) You may view this service information (g) Required Actions at FAA, Airworthiness Products Section, Accordingly, under the authority After the effective date of this AD, no later Operational Safety Branch, 1200 District delegated to me by the Administrator, than the required removal date specified in Avenue, Burlington, MA 01803. For the FAA amends 14 CFR part 39 as Appendix 1 of Rolls-Royce Alert Non- information on the availability of this follows: Modification Service Bulletin (NMSB) Trent material at the FAA, call 781–238–7759.

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(5) You may view this service information issuing this AD to address the unsafe engine failures. Subsequently, the that is incorporated by reference at the condition on these products. manufacturer identified cracking of National Archives and Records DATES: This AD is effective August 31, parts in-service resulting in the need to Administration (NARA). For information on require new inspections using new the availability of this material at NARA, 2020. email: [email protected], or go to: The Director of the Federal Register inspection thresholds and intervals. The https://www.archives.gov/federal-register/cfr/ approved the incorporation by reference manufacturer also determined the need ibr-locations.html. of certain publications listed in this AD to add an optional terminating action, amend the asymmetric power condition Issued on July 10, 2020. as of August 31, 2020. for engine inspection, and require an Lance T. Gant, ADDRESSES: For service information identified in this final rule, contact inspection after a cabin depressurization Director, Compliance & Airworthiness event. The NPRM proposed to require Division, Aircraft Certification Service. Rolls-Royce Deutschland Ltd & Co KG, Eschenweg 11, 15827 Blankenfelde- new inspections based on updated [FR Doc. 2020–16119 Filed 7–24–20; 8:45 am] Mahlow, Germany; phone: +49 (0) 33 inspection thresholds and intervals for BILLING CODE 4910–13–P 708 6 0; email: https://www.rolls- these IPC parts. The NPRM also royce.com/contact-us.aspx. You may proposed to add an optional terminating action, amend the asymmetric power DEPARTMENT OF TRANSPORTATION view this service information at the FAA, Airworthiness Products Section, condition for engine inspection, and Federal Aviation Administration Operational Safety Branch, 1200 District require an inspection after a cabin Avenue, Burlington, MA 01803 For depressurization event. The FAA is 14 CFR Part 39 information on the availability of this issuing this AD to address the unsafe material at the FAA, call 781–238–7759. condition on these products. [Docket No. FAA–2020–0009; Project It is also available on the internet at The European Union Aviation Safety Identifier MCAI–2019–00111–E; Amendment https://www.regulations.gov by Agency (EASA), which is the Technical 39–21175; AD 2020–15–12] searching for and locating Docket No. Agent for the Member States of the FAA–2020–0009. European Community, has issued EASA RIN 2120–AA64 AD 2019–0250, dated , 2019 Examining the AD Docket (referred to after this as ‘‘the MCAI’’), to Airworthiness Directives; Rolls-Royce You may examine the AD docket on address the unsafe condition on these Deutschland Ltd & Co KG (Type the internet at https:// products. The MCAI states: Certificate Previously Held by Rolls- www.regulations.gov by searching for Royce plc) Turbofan Engines Occurrences were reported on Rolls-Royce and locating Docket No. FAA–2020– Trent 1000 ‘Pack C’ engines, where some IPC AGENCY: Federal Aviation 0009; or in person at Docket Operations Rotor 1 and Rotor 2 blades were found Administration (FAA), DOT. between 9 a.m. and 5 p.m., Monday cracked. through Friday, except Federal holidays. This condition, if not detected and ACTION: Final rule. corrected, could lead to in-flight blade The AD docket contains this AD, the release, possibly resulting in reduced control SUMMARY: The FAA is superseding mandatory continuing airworthiness of the aeroplane. Airworthiness Directive (AD) 2018–08– information (MCAI), any comments To address this potential unsafe condition, 02 for all Rolls-Royce Deutschland Ltd received, and other information. The Rolls-Royce initially issued Alert NMSB & Co KG (RRD) Trent 1000–A2, Trent address for Docket Operations is U.S. TRENT 1000 72–AJ814 and 72–AJ819 to 1000–AE2, Trent 1000–C2, Trent 1000– Department of Transportation, Docket provide inspection instructions for IPC Rotor CE2, Trent 1000–D2, Trent 1000–E2, Operations, M–30, West Building 1 blades, and IPC Rotor 2 blades and IPC Ground Floor, Room W12–140, 1200 shaft Stage 2 dovetail posts, respectively. Trent 1000–G2, Trent 1000–H2, Trent Rolls-Royce also issued NMSB TRENT 1000 1000–J2, Trent 1000–K2, and Trent New Jersey Avenue SE, Washington, DC 72–J871 to provide rework instructions for 1000–L2 model turbofan engines. AD 20590. the affected parts, and Alert NMSB TRENT 2018–08–02 required initial and FOR FURTHER INFORMATION CONTACT: 1000 72–AJ869 to inspect those post-rework repetitive ultrasonic or visual Stephen Elwin, Aerospace Engineer, parts. Consequently, EASA issued AD 2017– inspections of the intermediate-pressure ECO Branch, FAA, 1200 District 0248 to require repetitive inspections of the compressor (IPC) stage 1 rotor blades, Avenue, Burlington, MA 01803; phone: affected IPC Rotor blades and IPC shaft Stage 2 dovetail posts and, depending on findings, IPC stage 2 rotor blades, and IPC shaft 781–238–7236; fax: 781–238–7199; removal from service of the engine for stage 2 dovetail posts, and removal of email: [email protected]. corrective action. any cracked parts from service. This AD SUPPLEMENTARY INFORMATION: After that [EASA] AD was issued, Rolls- requires new inspections based on Royce issued Alert NMSB TRENT 1000 72– updated inspection thresholds and Discussion AK058 to provide instructions for a one-time intervals for these IPC parts. This AD The FAA issued a notice of proposed on-wing inspection. Consequently, EASA also adds an optional terminating rulemaking (NPRM) to amend 14 CFR issued AD 2018–0073, retaining the action, amends the asymmetric power part 39 to supersede AD 2018–08–02, requirements of EASA AD 2017–0248, which was superseded, to require an additional condition for engine inspection, and Amendment 39–19255 (83 FR 17746, borescope inspection of certain engines and, requires an inspection after a cabin , 2018), (‘‘AD 2018–08–02’’). AD depending on findings, removal from service depressurization event. This AD was 2018–08–02 applied to all RRD Trent of the engine for corrective action. prompted by IPC blade separations 1000–A2, Trent 1000–AE2, Trent 1000– After that [EASA] AD was issued, it was resulting in engine failures. C2, Trent 1000–CE2, Trent 1000–D2, determined that repetitive borescope Subsequently, the manufacturer Trent 1000–E2, Trent 1000–G2, Trent inspections are necessary on all engines to identified the need to add new 1000–H2, Trent 1000–J2, Trent 1000– ensure fleet-wide continued safe operation. inspections and an optional terminating K2, and Trent 1000–L2 model turbofan Consequently, Rolls-Royce revised Alert NMSB TRENT 1000 72–AJ869, Alert NMSB action, amend the asymmetric power engines. The NPRM published in the TRENT 1000 72–AJ814, Alert NMSB TRENT condition for engine inspection, and Federal Register on April 30, 2020 (85 1000 72–AJ819 and NMSB TRENT 1000 72– require an inspection after a cabin FR 23925). The NPRM was prompted by J871, and issued NMSB TRENT 1000 72– depressurization event. The FAA is IPC blade separations resulting in AK060 to consolidate all inspection

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instructions. Consequently, EASA issued AD imposed by EASA AD 2018–0084R2 (through blade, stage 2 blade, and IPC shaft stage 2018–0084 (later revised), retaining the NMSB TRENT 1000 72–AK060), and removes 2 dovetail posts. RR SB Trent 1000 72– requirements of EASA AD 2018–0073, which the references to Engine Health Monitoring J941 describes procedures for modifying was superseded, and requiring repetitive on- messages and ETOPS-related requirements. the engine by installing the redesigned wing borescope inspections of the affected Rotor 1 parts and affected Rotor 2 parts and, You may obtain further information IPC stage 1 and stage 2 rotor blades. depending on findings, removal from service by examining the MCAI in the AD This service information is reasonably of the engine for corrective action. That docket on the internet at https:// available because the interested parties [EASA] AD also introduced specific www.regulations.gov by searching for have access to it through their normal requirements for engines installed on and locating Docket No. FAA–2020– course of business or by the means aeroplanes involved in ETOPS, and 0009. identified in the ADDRESSES section. inspection following operation in asymmetric power conditions. Comments Other Related Service Information Rolls-Royce then introduced NMSB Trent The FAA gave the public the The FAA reviewed RR Alert NMSB 1000 72–AK092 to provide inspections for opportunity to participate in developing the rear face of the Rotor 2 blades and NMSB Trent 1000 72–AJ819, Revision 4, dated TRENT 1000 72–AK060 was revised (R1) this AD. The FAA has considered the , 2019; RR Alert NMSB Trent 1000 accordingly. Later, Rolls-Royce developed comment received. Boeing Commercial 72–AJ814, Revision 5, dated May 3, mod 72–J941, installing improved IPC Stage Airplanes supported the NPRM. 2019; and RR Alert NMSB Trent 1000 1 and Stage 2 rotor blades, and issued the Conclusion 72–AK092, Revision 4, dated May 3, modification SB, providing the necessary 2019. RR Alert NMSB Trent 1000 72– instructions for in-service application. EASA The FAA reviewed the relevant data, AJ819 describes procedures for issued AD 2018–0084R2 to exclude post-mod considered the comments received, and performing a visual borescope 72–J941 engines from the Applicability and determined that air safety and the inspection of the IPC stage 2 rotor introducing the modification SB as public interest require adopting this AD terminating action for the repetitive blades and IPC shaft stage 2 dovetail as proposed. inspections as required by that [EASA] AD. posts. RR Alert NMSB Trent 1000 72– Since that [EASA] AD was issued, Rolls- Related Service Information Under 1 AJ814 describes procedures for Royce issued the NMSB and revised Alert CFR Part 51 performing an ultrasonic inspection NMSB TRENT 1000 72–AJ814, 72–AJ819 and (USI) of the IPC stage 1 rotor blades. RR 72–AK092 to introduce new inspections, new The FAA reviewed Rolls-Royce plc thresholds and new intervals, depending on (RR) Alert Non-Modification Service Alert NMSB Trent 1000 72–AK092 engine configuration. These inspections are Bulletin (NMSB) Trent 1000 72–AK313, describes procedures for performing a now applicable for all operations, ETOPS and Revision 1, dated , 2019; and USI of the IPC stage 2 rotor blades. non-ETOPS. The latest revision of the NMSB RR Service Bulletin (SB) Trent 1000 72– Costs of Compliance also amended the asymmetric power J941, Revision 1, dated , conditions for engine inspection and 2019, and Initial Issue, dated December The FAA estimates that this AD introduced cabin depressurisation as an affects 7 engines installed on airplanes event to trigger engine inspection(s). 6, 2018. RR Alert NMSB Trent 1000 72– For the reason described above, this AK313 defines the initial inspection of U.S. registry. [EASA] AD requires introduction of the new threshold and repeat inspection The FAA estimates the following inspections, replacing those previously intervals for Trent 1000 IPC stage 1 costs to comply with this AD:

ESTIMATED COSTS

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

Inspect the IPC stage 1 blade root (Front 20 work-hours × $85 per hour = $1,700 ...... $0 $1,700 $11,900 Face). Inspect the IPC stage 2 blade root (Front 6 work-hours × $85 per hour = $510 ...... 0 510 3,570 Face) and IPC shaft stage 2 dovetail post (Front Face). Inspect the IPC stage 2 blade root (Rear 10 work-hours × $85 per hour = $850 ...... 0 850 5,950 Face).

The FAA estimates the following results of the mandated inspection. The number of engines that might need these costs to do any necessary replacements FAA has no way of determining the replacements: that would be required based on the

ON-CONDITION COSTS

Cost per Action Labor cost Parts cost product

Replace all 34 R1 Blades ...... 280 work-hours × $85 per hour = $23,800 ...... $52,360 $76,160 Replace all 49 R2 Blades ...... 280 work-hours × $85 per hour = $23,800 ...... 48,755 72,555 Replace IPC Drum ...... 144 work-hours × $85 per hour = $12,240 ...... 1,370,000 1,382,240

Authority for This Rulemaking rules on aviation safety. Subtitle I, Aviation Programs, describes in more Section 106, describes the authority of detail the scope of the Agency’s Title 49 of the United States Code specifies the FAA’s authority to issue the FAA Administrator. Subtitle VII, authority.

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The FAA is issuing this rulemaking (a) Effective Date (ii) Thereafter, perform repetitive visual under the authority described in This AD is effective August 31, 2020. inspections of the IPC stage 2 blade root Subtitle VII, Part A, Subpart III, Section (front face) and IPC shaft stage 2 dovetail post (b) Affected ADs 44701, ‘‘General requirements.’’ Under (front face). This AD replaces AD 2018–08–02, (iii) Use the Accomplishment Instructions, that section, Congress charges the FAA paragraph 3.B.(1)(a) (on-wing) or 3.B.(2)(b) with promoting safe flight of civil Amendment 39–19255 (83 FR 17746, April 24, 2018). (in-shop) of RR NMSB Trent 1000 72–AK313, aircraft in air commerce by prescribing R1 to perform the inspections. regulations for practices, methods, and (c) Applicability (3) After the effective date of this AD, procedures the Administrator finds This AD applies to Rolls-Royce before exceeding the initial inspection necessary for safety in air commerce. Deutschland Ltd & Co KG (Type Certificate threshold and repeat inspection intervals This regulation is within the scope of previously held by Rolls-Royce plc) Trent specified in Table 2 of RR NMSB Trent 1000 that authority because it addresses an 1000–A2, Trent 1000–AE2, Trent 1000–C2, 72–AK313, R1: unsafe condition that is likely to exist or Trent 1000–CE2, Trent 1000–D2, Trent 1000– (i) Perform initial USIs of IPC stage 2 blade E2, Trent 1000–G2, Trent 1000–H2, Trent root (rear face). develop on products identified in this (ii) Thereafter, perform repetitive USIs of rulemaking action. 1000–J2, Trent 1000–K2, and Trent 1000–L2 model turbofan engines, except those that IPC stage 2 blade root (rear face). Regulatory Findings have the redesigned intermediate-pressure (iii) Use the Accomplishment Instructions, compressor (IPC) stage 1 and stage 2 rotor paragraph 3.C.(1)(a) (on-wing) or 3.C.(2)(a) This AD will not have federalism blades introduced by Rolls-Royce plc (RR) (in-shop) of RR NMSB Trent 1000 72–AK313, implications under Executive Order Service Bulletin (SB) Trent 1000 72–J941, R1 to perform the inspections. 13132. This AD will not have a Revision 1, dated February 6, 2019. (4) After the effective date of this AD, substantial direct effect on the States, on within 5 engine flight cycles (FCs) after each the relationship between the national (d) Subject occurrence in which any engine operates in Government and the States, or on the Joint Aircraft System Component (JASC) asymmetric power conditions at an altitude distribution of power and Code 7230, Turbine Engine Compressor of less than 28,000 feet, perform the Section. following inspections on the engine not responsibilities among the various affected by the power reduction or in-flight levels of government. (e) Unsafe Condition shutdown (IFSD): For the reasons discussed above, I This AD was prompted by IPC blade (i) Perform initial USIs and visual certify that this AD: separations resulting in engine failures. inspections required by paragraphs (g)(1), (2), (1) Is not a ‘‘significant regulatory Subsequently, the manufacturer identified and (3) of this AD. action’’ under Executive Order 12866, cracking of parts in-service resulting in the (ii) Thereafter, perform the repetitive USIs (2) Will not affect intrastate aviation need to require new inspections using new and visual inspections required by in Alaska, and inspection thresholds and intervals. The paragraphs (g)(1), (2), and (3) of this AD. (3) Will not have a significant manufacturer also determined the need to (iii) Use the service information and economic impact, positive or negative, add an optional terminating action, amend repetitive inspection thresholds required by the asymmetric power condition for engine paragraphs (g)(1)(iii), (2)(iii), and (3)(iii) to on a substantial number of small entities inspection, and require an inspection after a perform the inspections, as applicable. under the criteria of the Regulatory cabin depressurization event. The FAA is (5) After the effective date of this AD, Flexibility Act. issuing this AD to prevent failure of the IPC. within 5 engine FCs following a cabin List of Subjects in 14 CFR Part 39 The unsafe condition, if not addressed, could depressurization event, perform the result in failure of one or more engines, loss following inspections on both engines Air transportation, Aircraft, Aviation of thrust control, and loss of the airplane. installed on the airplane: (i) Perform initial USIs and visual safety, Incorporation by reference, (f) Compliance Safety. inspections required by paragraphs (g)(1), (2), Comply with this AD within the and (3) of this AD. Adoption of the Amendment compliance times specified, unless already (ii) Thereafter, perform the repetitive USIs done. Accordingly, under the authority and visual inspections required by (g) Required Actions paragraphs (g)(1), (2), and (3) of this AD. delegated to me by the Administrator, (iii) Use the service information and the FAA amends part 39 of the Federal (1) After the effective date of this AD, repetitive inspection thresholds required by Aviation Regulations (14 CFR part 39) as before exceeding the initial inspection paragraphs (g)(1)(iii), (2)(iii), and (3)(iii) to follows: thresholds and repeat inspection intervals perform the inspections, as applicable. specified in Table 1 of RR Alert Non- (6) If any IPC stage 1 blade root (front face), PART 39—AIRWORTHINESS Modification Service Bulletin (NMSB) Trent IPC stage 2 blade root (front face), IPC shaft DIRECTIVES 1000 72–AK313, Revision 1, dated August stage 2 dovetail post (front face), or IPC stage 22, 2019 (‘‘RR NMSB Trent 1000 72–AK313, 2 blade root (rear face) is found cracked ■ 1. The authority citation for part 39 R1’’): during any inspection required by this AD, continues to read as follows: (i) Perform initial ultrasonic inspections replace the part with a part eligible for (USIs) of the IPC stage 1 blade root (front installation before further flight. Authority: 49 U.S.C. 106(g), 40113, 44701. face). (ii) Thereafter, perform repetitive USIs of (h) Terminating Action (Optional) § 39.13 [Amended] the IPC stage 1 blade root (front face). Modification of an engine by installing the ■ 2. The FAA amends § 39.13 by: (iii) Use the Accomplishment Instructions, redesigned IPC stage 1 and stage 2 rotor ■ a. Removing Airworthiness Directive paragraph 3.A.(1)(a) (on-wing) or 3.A.(2)(a) blades, using RR SB Trent 1000 72–J941, (AD) 2018–08–02, Amendment 39– and (b) (in-shop) of RR NMSB Trent 1000 72– Revision 1, dated February 6, 2019, or Initial 19255 (83 FR 17746, April 24, 2018); AK313, R1 to perform the inspections. Issue, dated , 2018, is the and (2) After the effective date of this AD, terminating action for the initial and before exceeding the initial inspection ■ b. Adding the following new AD: repetitive ultrasonic or visual inspection thresholds and repeat inspection intervals requirements, as applicable, of paragraph 2020–15–12 Rolls-Royce Deutschland Ltd & specified in Table 2 of RR NMSB Trent 1000 (g)(1) through (5) of this AD for that engine. Co KG (Type Certificate previously held 72–AK313, R1: by Rolls-Royce plc): Amendment 39– (i) Perform initial visual inspections of the (i) Definition 21175; Docket No. FAA–2020–0009; IPC stage 2 blade root (front face) and IPC For the purpose of this AD, an Project Identifier MCAI–2019–00111–E. shaft stage 2 dovetail post (front face). ‘‘asymmetric power condition’’ is the

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operation of the airplane at an altitude of less (n) Material Incorporated by Reference exercising the privileges of an airman than 28,000 feet, experiencing either single (1) The Director of the Federal Register certificate issued by the FAA, except engine take-off, engine fault (reduced power approved the incorporation by reference when such persons are operating U.S.- on one engine), or single engine IFSD, which (IBR) of the service information listed in this registered aircraft for a foreign air includes execution of any non-normal paragraph under 5 U.S.C. 552(a) and 1 CFR carrier; and operators of U.S.-registered checklist procedure. part 51. civil aircraft, except when the operator (j) Credit for Previous Actions (2) You must use this service information of such aircraft is a foreign air carrier. as applicable to do the actions required by You may take credit for the initial this AD, unless the AD specifies otherwise. This action incorporates the FAA’s inspections required by paragraphs (g)(1) (i) Rolls-Royce plc (RR) Alert Non- prohibition on U.S. civil flight through (5) of this AD if you performed these Modification Service Bulletin Trent 1000 72– operations in the territory and airspace inspections before the effective date of this AK313, Revision 1, dated August 22, 2019. of Libya at all altitudes contained in AD using any of the following. (ii) RR Service Bulletin (SB) Trent 1000 Notice to Airmen (NOTAM) KICZ (1) RR Alert NMSB Trent 1000 72–AJ819, 72–J941, Revision 1, dated February 6, 2019. A0026/19, into the SFAR. In addition, Revision 3, dated , 2018, or earlier (iii) RR SB Trent 1000 72–J941, Initial the FAA remains concerned about the revisions; Issue, dated December 6, 2018. (2) RR NMSB Trent 1000 72–AJ814, safety of U.S. civil aviation operations at (3) For RR service information identified in altitudes below Flight Level (FL) 300 in Revision 4, dated , 2018, or this AD, contact Rolls-Royce Deutschland earlier revisions; Ltd. & Co KG, Eschenweg 11, 15827 those portions of the Tripoli FIR (HLLL) (3) RR Alert NMSB Trent 1000 72–AK313, Blankenfelde-Mahlow, Germany; phone: +49 that are outside the territory and Initial Issue, dated May 2, 2019; or (0) 33 708 6 0; email: https://www.rolls- airspace of Libya because of the hazards (4) RR Alert NMSB Trent 1000 72–AK092, royce.com/contact-us.aspx. described in the preamble to the FAA’s Revision 3, dated , 2019 or earlier (4) You may view this service information March 2019 final rule. Accordingly, this revisions. at FAA, Airworthiness Products Section, final rule also prohibits U.S. civil flight (k) Special Flight Permit Operational Safety Branch, 1200 District operations below FL300 in those Avenue, Burlington, MA 01803. For Special flight permits, as described in portions of the Tripoli FIR (HLLL) information on the availability of this outside the territory and airspace of Section 21.197 and Section 21.199 of the material at the FAA, call 781–238–7759. Federal Aviation Regulations (14 CFR 21.197 (5) You may view this service information Libya. This action also extends the and 21.199), are subject to the requirements at the National Archives and Records expiration date of the SFAR from March of paragraph (k)(1) of this AD. Administration (NARA). For information on 20, 2021, to , 2023. Finally, the (1) Operators who are prohibited from the availability of this material at NARA, FAA republishes the approval process further flight due to a crack finding as a email: [email protected], or go to: http:// and exemption information for this result of paragraph (g) of this AD, may www.archives.gov/federal-register/cfr/ibr- SFAR, consistent with other recently perform a one-time non-revenue ferry flight locations.html. to a location where the engine can be published flight prohibition SFARs, and removed from service. This ferry flight must Issued on July 15, 2020. makes minor administrative revisions. be performed without passengers, involve Lance T. Gant, DATES: This final rule is effective on July non-ETOPS operation, and consume no more Director, Compliance & Airworthiness 27, 2020. than three FCs. Division, Aircraft Certification Service. FOR FURTHER INFORMATION CONTACT: Dale (2) [Reserved] [FR Doc. 2020–16175 Filed 7–24–20; 8:45 am] E. Roberts, Air Transportation Division, (l) Alternative Methods of Compliance BILLING CODE 4910–13–P Flight Standards Service, Federal (AMOCs) Aviation Administration, 800 (1) The Manager, ECO Branch, FAA, has Independence Avenue SW, Washington, the authority to approve AMOCs for this AD, DEPARTMENT OF TRANSPORTATION DC 20591; telephone 202–267–8166; if requested using the procedures found in 14 email [email protected]. CFR 39.19. In accordance with 14 CFR 39.19, Federal Aviation Administration SUPPLEMENTARY INFORMATION: send your request to your principal inspector or local Flight Standards District Office, as 14 CFR Part 91 I. Executive Summary appropriate. If sending information directly This action amends, with to the manager of the certification office, [Docket No.: FAA–2011–0246; Amdt. No. send it to the attention of the person 91–321E] modifications to reflect changed conditions in Libya and the associated identified in paragraph (m)(1) of this AD. RIN 2120–AL47 You may email your request to: ANE-AD- risks to U.S. civil aviation safety, the [email protected]. Prohibition Against Certain Flights in prohibition against certain U.S. civil (2) Before using any approved AMOC, the Tripoli Flight Information Region flight operations in the Tripoli FIR notify your appropriate principal inspector, (FIR) (HLLL) (HLLL) by all: U.S. air carriers; U.S. or lacking a principal inspector, the manager commercial operators; persons of the local flight standards district office/ AGENCY: Federal Aviation exercising the privileges of an airman certificate holding district office. Administration (FAA), Department of certificate issued by the FAA, except (m) Related Information Transportation (DOT). when such persons are operating U.S.- (1) For more information about this AD, ACTION: Final rule. registered aircraft for a foreign air contact Stephen Elwin, Aerospace Engineer, carrier; and operators of U.S.-registered ECO Branch, FAA, 1200 District Avenue, SUMMARY: This action amends, with civil aircraft, except when the operator Burlington, MA 01803; phone: 781–238– modifications to reflect changed of such aircraft is a foreign air carrier. 7236; fax: 781–238–7199; email: conditions in Libya and the associated Specifically, this amendment prohibits [email protected]. risks to U.S. civil aviation safety, the all persons described in paragraph (a) of (2) Refer to European Union Aviation Special Federal Aviation Regulation SFAR No. 112, § 91.1603 of title 14, Safety Agency (EASA) AD 2019–0250, dated October 9, 2019, for more information. You (SFAR) prohibiting certain flight Code of Federal Regulations (CFR), from may examine the EASA AD in the AD docket operations in the Tripoli Flight conducting flight operations in the on the internet at https:// Information Region (FIR) (HLLL) by all: territory and airspace of Libya at all www.regulations.gov by searching for and United States (U.S.) air carriers; U.S. altitudes due to the geographic locating Docket No. FAA–2020–0009. commercial operators; persons expansion and escalation of the ongoing

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conflict between the Tripoli-based commerce by prescribing, among other amendments to them are based upon Government of National Accord (GNA) things, regulations and minimum classified information, the FAA is not and the Tobruk-based Libyan National standards for practices, methods, and legally permitted to share such Army (LNA) for control over Libya’s procedures that the Administrator finds information with the general public, government, territory, and resources. necessary for safety in air commerce and who cannot meaningfully comment on This amendment incorporates the flight national security. information to which they are not prohibition contained in NOTAM KICZ This regulation is within the scope of legally allowed access. A0026/19, issued on , 2019, the FAA’s authority because it prohibits Under these conditions, public into SFAR No. 112, § 91.1603. This the persons described in paragraph (a) interest considerations also favor not amendment also continues the of SFAR No. 112, § 91.1603, from issuing notice and seeking comments for prohibition against all flights by U.S. conducting flight operations at all these rules and any amendments to civil operators and airmen at altitudes altitudes in the territory and airspace of them. While there is a public interest in below FL300 in those portions of the Libya due to the geographic expansion having an opportunity for the public to Tripoli FIR (HLLL) outside the territory and escalation of the ongoing conflict comment on agency action, there is a and airspace of Libya. Cumulatively, the between the Tripoli-based GNA and the greater public interest in having the result is that U.S. civil operators and Tobruk-based LNA for control over FAA’s flight prohibitions, and any airmen may only operate in the Tripoli Libya’s government, territory, and amendments thereto, reflect the FIR (HLLL) if they remain outside the resources, as described in the preamble agency’s most current understanding of territory and airspace of Libya and at to this final rule. Under the same the risk environment for U.S. civil altitudes at or above FL300, unless they authority, this action also continues the aviation. This allows the FAA to protect have received an exemption or approval FAA’s prohibition on U.S. civil flight the safety of U.S. operators’ aircraft and from the FAA. Consequently, U.S. operations at altitudes below FL300 in the lives of their passengers and crews operators continue to have the option of the remainder of the Tripoli FIR (HLLL), without over-restricting U.S. operators’ using several airways connecting due to the hazards in that airspace, also routing options. The FAA has identified western Africa with the Middle East, described in the preamble to this final a need to prohibit all persons described provided that they operate at altitudes at rule. in paragraph (a) of SFAR No. 112, or above FL300 while they are in the B. Good Cause for Immediate Adoption § 91.1603, from conducting flight Tripoli FIR (HLLL). operations at all altitudes in the territory Section 553(b)(3)(B) of title 5, U.S. This action also extends the and airspace of Libya due to the Code, authorizes agencies to dispense expiration date of this SFAR from geographic expansion and escalation of with notice and comment procedures March 20, 2021, to March 20, 2023. The the ongoing conflict between the for rules when the agency for ‘‘good FAA also republishes the approval cause’’ finds that those procedures are Tripoli-based GNA and the Tobruk- process and exemption information for ‘‘impracticable, unnecessary, or contrary based LNA for control over Libya’s this SFAR, consistent with other to the public interest.’’ Section 553(d) government, territory, and resources. recently published flight prohibition also authorizes agencies to forgo the The FAA has also identified a need to SFARs, and makes minor administrative delay in the effective date of the final continue to prohibit U.S. civil flight revisions. rule for good cause found and published operations at altitudes below FL300 in II. Legal Authority and Good Cause with the rule. In this instance, the FAA those portions of the Tripoli FIR (HLLL) finds good cause exists to forgo notice outside the territory and airspace of A. Legal Authority and comment because notice and Libya due to the continuing hazards in The FAA is responsible for the safety comment would be impracticable and that airspace described in the preamble of flight in the U.S. and for the safety contrary to the public interest. In of this final rule. of U.S. civil operators, U.S.-registered addition, it is contrary to the public For these reasons, the FAA finds good civil aircraft, and U.S.-certificated interest to delay the effective date of this cause to forgo notice and comment and airmen throughout the world. Sections amendment. any delay in the effective date for this 106(f) and (g) of title 49, U.S. Code, The risk environment for U.S. civil final rule. subtitle I establish the FAA aviation in airspace managed by other III. Background Administrator’s authority to issue rules countries with respect to safety of flight on aviation safety. Subtitle VII of title is fluid because of the risks posed by As a result of safety and national 49, Aviation Programs, describes in weapons capable of targeting, or security concerns regarding flight more detail the scope of the agency’s otherwise negatively affecting, U.S. civil operations in the Tripoli FIR (HLLL) authority. Section 40101(d)(1) provides aviation, as well as other hazards to U.S. during the Libyan Revolution and its that the Administrator shall consider in civil aviation associated with fighting, aftermath, the FAA prohibited U.S. civil the public interest, among other matters, extremist/militant activity, or flight operations at all altitudes in the assigning, maintaining, and enhancing heightened tensions. This fluidity and entire Tripoli FIR (HLLL) between 1 safety and security as the highest the need for the FAA to rely upon March 2011 and March 2019. In its priorities in air commerce. Section classified information in assessing these 1 For a more comprehensive history of SFAR No. 40105(b)(1)(A) requires the risks make seeking notice and comment 112, 14 CFR 91.1603, during this time period, see Administrator to exercise this authority impracticable and contrary to the public Prohibition Against Certain Flights Within the consistently with the obligations of the interest. With respect to the Tripoli (HLLL) Flight Information Region (FIR) final U.S. Government under international impracticability of notice and comment rule, 76 FR 16238, , 2011; Prohibition Against Certain Flights Within the Tripoli Flight agreements. procedures, the potential for rapid Information Region (FIR); Extension of Expiration The FAA is promulgating this changes in the risks to U.S. civil Date final rule, 79 FR 15679, March 20, 2014, rulemaking under the authority aviation significantly limits how far in corrected at 79 FR 19288, , 2014; Prohibition described in 49 U.S.C. 44701, General advance of a new or amended flight Against Certain Flights Within the Tripoli (HLLL) Flight Information Region (FIR); Extension of requirements. Under that section, the prohibition the FAA can usefully assess Expiration Date final rule, 80 FR 15503, , FAA is charged broadly with promoting the risk environment. Furthermore, to 2015; and Extension of the Prohibition Against safe flight of civil aircraft in air the extent that these rules and any Continued

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March 2019 final rule (84 FR 9950), the Libya and during low altitude (HLLL) at those altitudes and extended FAA found security and safety operations near airports or in areas of the expiration date of SFAR No. 112, conditions had sufficiently improved to actual or potential fighting. § 91.1603, from March 20, 2019, to allow U.S. civil flights to operate in the The FAA also noted in its March 2019 March 20, 2021. Tripoli FIR (HLLL) at altitudes at or final rule that Libya remained IV. Discussion of the Final Rule above FL300.2 Extremist/militant politically unstable, with a fragile elements operating in Libya were security situation.4 Since the fall of Following the publication of the believed not to possess anti-aircraft Muammar Gaddafi’s regime, Libya had March 20, 2019, final rule, the FAA weapons capable of threatening U.S. struggled with a power vacuum, a became concerned about increased civil aviation operations at or above limited security apparatus, and limited hazards to U.S. civil overflights of FL260, and there was a lower risk of territorial control. Multiple extremist northwestern Libya at or above FL300 civil-military de-confliction concerns at and militant groups with footholds in related to the ongoing conflict for cruising altitudes at or above FL300. Libya were armed with anti-aircraft- control of the capital, Tripoli. LNA Additionally, while there were, and capable weapons. Various militia, forces had begun operations aimed at continue to be, two air navigation extremist, and militant groups seizing control of Tripoli, including service providers (ANSPs) operating in continued to vie for strategic influence Tripoli International Airport (HLLT). the Tripoli FIR (HLLL),3 the FAA and control of vital infrastructure, The GNA, with support of militias, had determined that this situation posed a including airports, resulting in flight conducted counterattacks, including minimal safety risk to U.S. civil disruptions and damage to aircraft and tactical airstrikes on LNA forces. The overflight operations. The Tripoli-based airport facilities on various occasions in LNA had declared a military zone and ANSP, which is recognized by the 2017 and 2018. Violent extremists and was threatening to shoot down aircraft International Civil Aviation militants active in Libya possessed, or operating in portions of northwestern Organization (ICAO), had publicized had access to, a wide array of anti- Libya. overflight instructions in the aircraft-capable weapons posing a risk Both GNA and advancing LNA forces Aeronautical Information Publication to U.S. civil aviation operating at had access to advanced man-portable air and a NOTAM containing overflight altitudes below FL260. defense systems (MANPADS) and likely procedures for civil aviation operations Additionally, foreign sponsor aerial had access to anti-aircraft artillery. in the Tripoli FIR (HLLL). The FAA also activities, including a variety of These ground-based anti-aircraft had not received any reports of the two unmanned aircraft systems (UAS), other weapon systems presented a risk to U.S. ANSPs providing conflicting guidance military aircraft operations, and the civil aviation at altitudes below FL300. to civil aircraft or otherwise behaving in potential for electronic interference However, LNA forces had fighter aircraft ways that would pose safety of flight from counter-UAS measures, presented capable of intercepting civil aircraft concerns for international overflights. a civil-military de-confliction challenge operating at altitudes at and above Based on this assessment, the FAA for civil aircraft operating at altitudes FL300 in the self-declared military zone determined that overflights of the below FL300. While the FAA in northwestern Libya. While the LNA Tripoli FIR (HLLL) could be conducted recognized that aircraft overflying the fighter aircraft threat was likely safely at altitudes at or above FL300, Tripoli FIR (HLLL) at altitudes at or intended for GNA-associated military subject to the approval of, and in above FL300 could potentially aircraft, an inadvertent risk remained for accordance with the conditions encounter electronic interference from U.S. civil aviation operations at all established by, the appropriate counter-UAS measures, such altitudes in northwestern Libya due to authorities of Libya. interference would not present a potential miscalculation or However, as described in the March significant flight safety hazard. At 2019 final rule, the FAA found an misidentification. As a result of this cruising altitudes at or above FL300, the evolving threat, on , 2019, the extension of the flight prohibition was FAA expects pilots would have necessary for the Tripoli FIR (HLLL) at FAA issued NOTAM KICZ A0012/19, sufficient time to recognize the prohibiting U.S. civil flight operations at altitudes below FL300 to safeguard interference and respond to it by using against continuing hazards to U.S. civil all altitudes in the territory and airspace other instruments or navigation aids. of Libya from west of 17 degrees east aviation. These hazards related to Accordingly, in the March 2019 final continued instability in Libya; fighting longitude and north of 29 degrees north rule, based on the improved safety and latitude. involving various militia, extremist, and security conditions in the Tripoli FIR militant elements; the ready availability Subsequently, on October 23, 2019, (HLLL) at altitudes at or above FL300, the FAA issued KICZ NOTAM A0026/ of anti-aircraft-capable weapons to the FAA modified its flight prohibition extremists and militants; and aerial 19, which prohibited U.S. civil aviation for U.S. civil aviation to permit operations in the entire territory and activity by foreign sponsors supporting overflights of the Tripoli FIR (HLLL) at various elements operating in Libya that airspace of Libya at all altitudes. The altitudes at and above FL300, subject to might not be adequately de-conflicted FAA assessed the area of unacceptable the approval of, and in accordance with with civil air traffic. The risks to U.S. inadvertent risk to U.S. civil aviation the conditions established by, the civil aviation were greatest at airports in operations at all altitudes had spread to appropriate authorities of Libya. the entire territory and airspace of Libya However, as a result of the significant Certain Flights in the Tripoli (HLLL) Flight due to the geographic expansion of the Information Region (FIR) final rule, 82 FR 14433, continuing risk to the safety of U.S. civil ongoing conflict between the GNA and March 21, 2017. aviation operating at altitudes below the LNA for control over Libya’s 2 Amendment of the Prohibition Against Certain FL300 in the Tripoli FIR (HLLL), the government, territory, and resources. Flights in the Tripoli Flight Information Region FAA maintained its prohibition on U.S. (FIR) (HLLL) final rule, 84 FR 9950, , 2019. The conflict featured increased foreign 3 The Tripoli-based ANSP had issued an civil flight operations in the Tripoli FIR intervention and the employment of Aeronautical Information Publication and a advanced weapons systems. Foreign 4 NOTAM containing overflight procedures for civil Amendment of the Prohibition Against Certain state actors continued to provide aviation operations in the Tripoli FIR (HLLL). The Flights in the Tripoli Flight Information Region ANSP in Benghazi provides air navigation services (FIR) (HLLL) final rule, 84 FR at 9952–9953, March material and technical assistance to in the eastern part of the country. 19, 2019. rival factions, including surface-to-air

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missile (SAM) systems, UAS, and UAS air strikes to attack opposition LNA MiG–23 shot down near Tripoli. jamming equipment. aircraft at airbases that are usually co- The most recent of those reported shoot In addition, since mid-2019, each side located with international civil airports, downs occurred on , 2020, had conducted air strikes targeting presenting a risk to civil aircraft when GNA forces claimed to have military airfields co-located with operating at or near such airports. downed a UAS operating near Misrata. international civil airports. These While the anti-aircraft capabilities As a result of weapons activity posing attacks utilized both tactical combat and jamming were likely intended to a potential threat to civil aviation, the aircraft and, increasingly, long-range defend against military aircraft, an GNA closed Mitiga International Airport UAS. Foreign-operated armed UAS had inadvertent risk remained for U.S. civil (HLLM) on multiple occasions during conducted multiple strikes on aviation operations at all altitudes in the January and February 2020. In addition, competing airports or airbases, resulting territory and airspace of Libya due to LNA leader General Haftar announced in the destruction of multiple parked potential miscalculation or on , 2020, that LNA forces aircraft, including civil transport misidentification and the mobility of would engage any military or civil aircraft. The FAA was concerned these some of the advanced weapons systems aircraft operating from Mitiga strikes could lead to an increased air involved. Increased foreign involvement International Airport (HLLM). defense posture, including advanced had resulted in an unacceptable SAM capabilities, to protect airport or inadvertent risk to U.S. civil aviation The two sides’ failure to reach a airbase operations or fielded forces, operations in the territory and airspace ceasefire agreement, combined with the which would pose an inadvertent risk to of Libya due to command and control recent spate of aircraft shoot downs and U.S. civil aviation. During 2019, the and airspace de-confliction challenges, the potential for additional deployments increased air strikes prompted GNA- increased lethality of UAS operations, of advanced weapons capabilities, and LNA-aligned forces to increase force and the introduction of more advanced, present a further increasing risk to civil protection measures, such as jamming, higher-altitude anti-aircraft systems. aviation operations in the territory and air strikes, and the deployment of SAM Due to these hazards, NOTAM KICZ airspace of Libya at all altitudes. systems capable of reaching as high as A0026/19 prohibited U.S. civil flight Additional airstrikes targeting Libyan 49,000 feet. Each side had employed operations at all altitudes in the territory airports, and the associated air defense anti-aircraft weapons to defend against and airspace of Libya. reactions, could increase, posing a risk air strikes. In September 2019, the LNA Since the issuance of NOTAM KICZ to civil aircraft on the ground and in reportedly shot down a foreign-operated A0026/19, the risks to U.S. civil aviation flight. The GNA and LNA possess anti- UAS during an attempted attack on the operations in the territory and airspace aircraft artillery and MANPADS, some airbase at Jufra. In addition to foreign- of Libya have further increased due to of which have a maximum altitude of operated air defense capabilities, both increased foreign intervention. Clashes up to 25,000 feet (7,620 meters). GNA and LNA forces had, and continue continue for control of the capital, However, more advanced, higher- to have, access to advanced MANPADS, Tripoli, which the LNA has attempted altitude air defense systems have been some of which have a maximum to capture since early 2019, and these deployed to Libya. In addition to the altitude of 25,000 feet; anti-aircraft attacks have increasingly targeted SA–22 deployment previously artillery; and possible training, aviation. The escalation has resulted in described, a foreign sponsor associated technical, and material support from further expansion of foreign with the GNA reportedly deployed international partners. sponsorship of, and intervention in multiple variants of anti-aircraft In addition, more advanced, higher- support of, both the LNA and GNA. This weapons to provide a layered air altitude air defense systems were support involves third party forces, as defense in Tripoli. This deployment reportedly in Libya. As of mid-June well as deployment of advanced included a medium range I-Hawk SAM 2019, a Pantsir S–1 (SA–22) SAM weapons, including advanced fighter and a Korkut 35mm air defense gun. In system was reportedly deployed to aircraft, weaponized UAS, SAM addition, both the GNA and LNA may defend Jufra. The SA–22 has an effective systems, and, likely, jammers. Both augment their air defense operations range of 20 kilometers (10.8 nautical sides have conducted air strikes, with increased Global Positioning miles) and a maximum altitude of utilizing tactical combat aircraft and System (GPS) and radio frequency 15,000 meters (49,000 feet). The FAA long-range, armed UAS to target airport jamming. The FAA assesses that the was concerned the SA–22 could be infrastructure and aircraft on the ground escalating fighting, increased foreign relocated in response to the dynamic at airports. In May 2020, Russia intervention, and deployment of threat environment, and could be deployed multiple fighter aircraft to additional air defense capabilities repositioned to defend the base at Al Libya to provide close air support to its present an increasing risk to U.S. civil Khadim, Libya, with little or no private military contractors and the aviation operations in the territory and warning. Al Khadim was located LNA and protect their operations from airspace of Libya at all altitudes. For outside the area of northwestern Libya attacks by manned aircraft and these reasons, this final rule where the FAA had previously weaponized UAS. The foreign states incorporates the flight prohibition on prohibited U.S. civil flight operations at supporting the LNA and GNA also have U.S civil aviation operation in the all altitudes. deployed anti-aircraft weapons and self- territory and airspace of Libya at all In addition, air strikes had prompted protection jamming systems to mitigate altitudes, contained in NOTAM KICZ LNA-aligned forces to redeploy long- the air threat. The combination of these A0026/19, into SFAR No. 112, range UAS and SAMs to locations activities poses airspace de-confliction § 91.1603. outside the area of northwestern Libya concerns and an inadvertent risk of in- where they had previously been located. flight engagement of civil aircraft as a In addition, the FAA assesses that the The relocation of these SAMs presented result of possible misidentification or hazards to the safety of U.S. civil an inadvertent risk to U.S. civil aviation miscalculation. aviation operations at altitudes below at altitudes above FL300 in the territory Since November 2019, there have FL 300 described in the preamble to the and airspace of Libya. The FAA also been several GNA UAS shot down near March 2019 final rule remain of concern was concerned that GNA-and LNA- Tripoli’s Mitiga International Airport in those portions of the Tripoli FIR aligned forces might expand their use of (HLLM), and one LNA UAS and one (HLLL) that are outside the territory and

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airspace of Libya.5 The FAA also notes No. 112, § 91.1603, including a U.S. air in SFAR No. 112, § 91.1603, or for that foreign military manned and carrier or commercial operator, to multiple flight operations. To the extent unmanned tactical aircraft may operate conduct a charter to transport civilian or known, the letter must identify the or approach targets from off the military passengers or cargo or other person(s) expected to be covered under northern coast, presenting airspace de- operations, at all altitudes in the the SFAR on whose behalf the U.S. confliction challenges at altitudes below territory and airspace of Libya or at Government department, agency, or FL300. Additionally, there is the altitudes below FL300 in those portions instrumentality is seeking FAA potential for GPS interference bleed of the Tripoli FIR (HLLL) outside the approval, and it must describe— over that may impact flights operating territory and airspace of Libya, that • The proposed operation(s), over the southern Mediterranean Sea in department, agency, or instrumentality including the nature of the mission the Tripoli FIR (HLLL). For these may request the FAA to approve being supported; • reasons, this rule also continues the persons described in SFAR No. 112, The service to be provided by the § 91.1603, to conduct such operations. person(s) covered by the SFAR; prohibition against all flights by U.S. • civil operators and airmen at altitudes An approval request must be made To the extent known, the specific below FL300 in those portions of the directly by the requesting department, locations in the territory and airspace of Tripoli FIR (HLLL) outside the territory agency, or instrumentality of the U.S. Libya at all altitudes, and in those and airspace of Libya. Government to the FAA’s Associate portions of the Tripoli FIR (HLLL) For all of the reasons described in this Administrator for Aviation Safety in a outside the territory and airspace of preamble, the FAA also extends the letter signed by an appropriate senior Libya at altitudes below FL300, where expiration date of SFAR No. 112, official of the requesting department, the proposed operation(s) will be § 91.1603, until March 20, 2023. The agency, or instrumentality. The FAA conducted, including, but not limited FAA will continue to actively monitor will not accept or consider requests for to, the flight path and altitude of the the situation and evaluate the extent to approval from anyone other than the aircraft while it is operating in those which U.S. civil operators and airmen requesting department, agency, or areas and the airports, airfields, or might be able to operate safely in the instrumentality. In addition, the senior landing zones at which the aircraft will territory and airspace of Libya and the official signing the letter requesting take off and land; and • The method by which the Tripoli FIR (HLLL). Amendments to FAA approval on behalf of the department, agency, or instrumentality SFAR No. 112, § 91.1603, could be requesting department, agency, or will provide, or how the operator will appropriate if the risk to aviation safety instrumentality must be sufficiently otherwise obtain, current threat and security changes. The FAA may positioned within the organization to information and an explanation of how amend or rescind SFAR No. 112, demonstrate that the senior leadership the operator will integrate this § 91.1603, as necessary, prior to its of the requesting department, agency, or instrumentality supports the request for information into all phases of the expiration date. proposed operations (i.e., the pre- By this action, the FAA also approval and is committed to taking all mission planning and briefing, in-flight, republishes the details concerning the necessary steps to minimize operational risks to the proposed flights. The senior and post-flight phases). approval and exemption processes in The request for approval must also Sections V and VI of this preamble, official must also be in a position to: (1) Attest to the accuracy of all include a list of operators with whom consistent with other recently published the U.S. Government department, flight prohibition SFARs, to enable representations made to the FAA in the request for approval and (2) ensure that agency, or instrumentality requesting interested persons to refer to this final FAA approval has a current contract(s), rule for comprehensive information any support from the requesting U.S. Government department, agency, or grant(s), or cooperative agreement(s) (or about requesting relief from the FAA its prime contractor has a from the provisions of SFAR No. 112, instrumentality described in the request for approval is in fact brought to bear subcontract(s)) for specific flight § 91.1603. The FAA also makes minor operations in the territory and airspace administrative revisions to the approval and is maintained over time. Unless justified by exigent circumstances, of Libya at any altitude or in those process and SFAR No. 112, § 91.1603, in portions of the Tripoli FIR (HLLL) this final rule. requests for approval must be submitted to the FAA no less than 30 calendar outside the territory and airspace of V. Approval Process Based on a days before the date on which the Libya at altitudes below FL300. The Request From a Department, Agency, or requesting department, agency, or requestor may identify additional Instrumentality of the United States instrumentality wishes the proposed operators to the FAA at any time after Government operation(s) to commence. the FAA approval is issued. Both the The letter must be sent to the operators listed in the original request A. Approval Process Based on an Associate Administrator for Aviation and any operators that the requestor Authorization Request From a Safety, Federal Aviation subsequently seeks to add to the Department, Agency, or Instrumentality Administration, 800 Independence approval must be identified to the FAA of the United States Government Avenue SW, Washington, DC 20591. and obtain an Operations Specification In some instances, U.S. government Electronic submissions are acceptable, (OpSpec) or Letter of Authorization departments, agencies, or and the requesting entity may request (LOA) from the FAA, as appropriate, for instrumentalities may need to engage that the FAA notify it electronically as operations in the territory and airspace U.S. civil aviation to support their to whether the approval request is of Libya at any altitude or in those activities in the territory and airspace of granted. If a requestor wishes to make portions of the Tripoli FIR (HLLL) Libya or in the rest of the Tripoli FIR an electronic submission to the FAA, outside the territory and airspace of (HLLL). If a department, agency, or the requestor should contact the Air Libya at altitudes below FL300, as instrumentality of the U.S. Government Transportation Division, Flight applicable, before such operators determines that it has a critical need to Standards Service, at (202) 267–8166, to commence operations. The approval engage any person described in SFAR obtain the appropriate email address. A conditions discussed below apply to all single letter may request approval from operators, whether included in the 5 Id. the FAA for multiple persons described original list or subsequently added to

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the approval. Updated lists should be be imposed in OpSpecs or LOAs, as plans and procedures to be helpful in sent to the email address to be obtained applicable. facilitating the agency’s safety from the Air Transportation Division by The release and agreement to evaluation of petitions for exemption calling (202) 267–8166. indemnify do not preclude an operator from flight prohibition SFARs. If an approval request includes from raising a claim under an applicable Additionally, the release and classified information, requestors may non-premium war risk insurance policy agreement to indemnify, as referred to contact Aviation Safety Inspector Dale issued by the FAA under chapter 443 of previously, are required as a condition E. Roberts for instructions on submitting title 49, U.S. Code. of any exemption that may be issued it to the FAA. His contact information If the FAA approves the proposed under SFAR No. 112, § 91.1603. is listed in the FOR FURTHER INFORMATION operation(s), the FAA will issue an The FAA recognizes that the CONTACT section of this final rule. OpSpec or a LOA, as applicable, to the operations SFAR No. 112, § 91.1603, FAA approval of an operation under operator(s) identified in the original might affect could include operations SFAR No. 112, § 91.1603, does not request authorizing them to conduct the planned for the governments of other relieve persons subject to this SFAR of approved operation(s), and will notify countries with the support of the U.S. their responsibility to comply with all the department, agency, or Government. While the FAA will not other applicable FAA rules and instrumentality that requested the FAA permit these operations through the regulations. Operators of civil aircraft approval of any additional conditions approval process, the FAA will consider must comply with the conditions of beyond those contained in the approval exemption requests for such operations their certificate, OpSpecs, and LOAs, as letter. on an expedited basis and prior to other applicable. Operators must also comply VI. Information Regarding Petitions for exemption requests. with all rules and regulations of other Exemption If a petition for exemption includes U.S. Government departments or Any operations not conducted under security-sensitive or proprietary agencies that may apply to the proposed an approval the FAA issues through the information, requestors may contact operation(s), including, but not limited approval process set forth previously Aviation Safety Inspector Dale E. to, regulations issued by the must be conducted under an exemption Roberts for instructions on submitting it Transportation Security Administration. from SFAR No. 112, § 91.1603. A to the FAA. His contact information is B. Approval Conditions petition for exemption must comply listed in the FOR FURTHER INFORMATION CONTACT section of this final rule. If the FAA approves the request, the with 14 CFR part 11. The FAA will FAA’s Aviation Safety Organization will consider whether exceptional VII. Regulatory Notices and Analyses send an approval letter to the requesting circumstances exist beyond those contemplated by the approval process Changes to Federal regulations must department, agency, or instrumentality undergo several economic analyses. informing it that the FAA’s approval is described in the previous section. In addition to the information required by First, Executive Orders 12866 and 13563 subject to all of the following direct that each Federal agency shall conditions: 14 CFR 11.81, at a minimum, the requestor must describe in its propose or adopt a regulation only upon (1) The approval will stipulate those submission to the FAA— a reasoned determination that the procedures and conditions that limit, to • The proposed operation(s), benefits of the intended regulation the greatest degree possible, the risk to including the nature of the operation; justify its costs. Second, the Regulatory the operator, while still allowing the • The service to be provided by the Flexibility Act of 1980 (Pub. L. 96–354), operator to achieve its operational person(s) covered by the SFAR; as codified in 5 U.S.C. 603 et seq., objectives. • The specific locations in the requires agencies to analyze the (2) Before any approval takes effect, territory and airspace of Libya at all economic impact of regulatory changes the operator must submit to the FAA: altitudes, and in those portions of the on small entities. Third, the Trade (a) A written release of the U.S. Tripoli FIR (HLLL) outside the territory Agreements Act of 1979 (Pub. L. 96–39), Government from all damages, claims, and airspace of Libya at altitudes below as codified in 19 U.S.C. Chapter 13, and liabilities, including without FL300, where the proposed operation(s) prohibits agencies from setting limitation legal fees and expenses, will be conducted, including, but not standards that create unnecessary relating to any event arising out of or limited to, the flight path and altitude obstacles to the foreign commerce of the related to the approved operations in of the aircraft while it is operating in United States. In developing U.S. the territory and airspace of Libya at all those areas and the airports, airfields, or standards, the Trade Agreements Act altitudes and in those portions of the landing zones at which the aircraft will requires agencies to consider Tripoli FIR (HLLL) outside the territory take off and land; international standards and, where and airspace of Libya at altitudes below • The method by which the operator appropriate, that they be the basis of FL300; and will obtain current threat information U.S. standards. Fourth, the Unfunded (b) The operator’s written agreement and an explanation of how the operator Mandates Reform Act of 1995 (Pub. L. to indemnify the U.S. Government with will integrate this information into all 104–4), as codified in 2 U.S.C. Chapter respect to any and all third-party phases of its proposed operations (i.e., 25, requires agencies to prepare a damages, claims, and liabilities, the pre-mission planning and briefing, written assessment of the costs, benefits, including without limitation legal fees in-flight, and post-flight phases); and and other effects of proposed or final and expenses, relating to any event • The plans and procedures that the rules that include a Federal mandate arising from or related to the approved operator will use to minimize the risks, likely to result in the expenditure by operations at all altitudes in the territory identified in this preamble, to the State, local, or tribal governments, in the and airspace of Libya and in those proposed operations, to establish that aggregate, or by the private sector, of portions of the Tripoli FIR (HLLL) granting the exemption would not $100 million or more annually (adjusted outside the territory and airspace of adversely affect safety or would provide for inflation with base year of 1995). Libya at altitudes below FL300. a level of safety at least equal to that This portion of the preamble (3) Other conditions that the FAA provided by this SFAR. Note: The FAA summarizes the FAA’s analysis of the may specify, including those that may has found comprehensive, organized economic impacts of this final rule.

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In conducting these analyses, the FAA may petition for exemption from this international standards and, where has determined that this final rule has rule. appropriate, that they be the basis for benefits that justify its costs. This rule The FAA acknowledges the expanded U.S. standards. is a significant regulatory action, as flight prohibition in NOTAM KICZ The FAA has assessed the potential defined in section 3(f) of Executive A0026/19, which this final rule effect of this final rule and determined Order 12866, as it raises novel policy incorporates into SFAR No. 112, that its purpose is to protect the safety issues contemplated under that § 91.1603, may result in additional costs of U.S. civil aviation from risks to Executive Order. As notice and to some U.S. operators, such as aircraft operations in the Tripoli FIR comment under 5 U.S.C. 553 are not increased fuel costs and other (HLLL), a location outside the U.S. required for this final rule, the operational-related costs. However, the Therefore, this final rule complies with regulatory flexibility analyses described FAA expects the costs of this action are the Trade Agreements Act of 1979. exceeded by the benefits of avoided in 5 U.S.C. 603 and 604 regarding D. Unfunded Mandates Assessment impacts on small entities are not risks of fatalities, injuries, and property required. This rule will not create damage that could result from a U.S. Title II of the Unfunded Mandates unnecessary obstacles to the foreign operator’s aircraft being shot down (or Reform Act of 1995 (Pub. L. 104–4) commerce of the United States. This otherwise damaged) while operating in requires each Federal agency to prepare rule will not impose an unfunded the territory and airspace of Libya at all a written statement assessing the effects mandate on State, local, or tribal altitudes or in those portions of the of any Federal mandate in a proposed or governments, or on the private sector, Tripoli FIR (HLLL) outside the territory final agency rule that may result in an by exceeding the threshold identified and airspace of Libya at altitudes below expenditure of $100 million or more (in previously. FL300. The FAA will continue to 1995 dollars) in any one year by State, monitor and evaluate the risks to U.S. local, and tribal governments, in the A. Regulatory Evaluation civil operators and airmen as a result of aggregate, or by the private sector; such This action amends, with security conditions in the territory and a mandate is deemed to be a ‘‘significant modifications to reflect changed airspace of Libya, as well as in the rest regulatory action.’’ The FAA currently security conditions in Libya and the of the Tripoli FIR (HLLL). uses an inflation-adjusted value of $155 associated risks to U.S. civil aviation B. Regulatory Flexibility Act million in lieu of $100 million. This final rule does not contain such safety, the SFAR prohibiting certain The Regulatory Flexibility Act (RFA), flight operations in the Tripoli FIR a mandate. Therefore, the requirements in 5 U.S.C. 603, requires an agency to of Title II of the Act do not apply. (HLLL). This action prohibits U.S. civil prepare an initial regulatory flexibility flight operations in the territory and analysis describing impacts on small E. Paperwork Reduction Act airspace of Libya at all altitudes, entities whenever an agency is required The Paperwork Reduction Act of 1995 incorporating the flight prohibition by 5 U.S.C. 553, or any other law, to (44 U.S.C. 3507(d)) requires that the contained in NOTAM KICZ A0026/19 publish a general notice of proposed FAA consider the impact of paperwork into the SFAR, as a result of the rulemaking for any proposed rule. and other information collection significant hazards to U.S. civil aviation Similarly, 5 U.S.C. 604 requires an burdens imposed on the public. The detailed in the preamble of this final agency to prepare a final regulatory FAA has determined there is no new rule. This action also extends the flexibility analysis when an agency requirement for information collection expiration date of the SFAR for an issues a final rule under 5 U.S.C. 553, associated with this final rule. additional two years and continues the after being required by that section or prohibition against all U.S. civil flights any other law to publish a general F. International Compatibility and at altitudes below FL300 in those notice of proposed rulemaking. The Cooperation portions of the Tripoli FIR (HLLL) FAA found good cause exists to forgo In keeping with U.S. obligations outside the territory and airspace of notice and comment and any delay in under the Convention on International Libya. As a result of this rule, U.S. civil the effective date for this rule. As notice Civil Aviation, the FAA’s policy is to operators and airmen may only operate and comment under 5 U.S.C. 553 are not conform to ICAO Standards and in the Tripoli FIR (HLLL) if they remain required in this situation, the regulatory Recommended Practices to the outside the territory and airspace of flexibility analyses described in 5 U.S.C. maximum extent practicable. The FAA Libya and at altitudes at or above FL300, 603 and 604 are similarly not required. has determined there are no ICAO unless they have received an exemption Standards and Recommended Practices C. International Trade Impact or approval from the FAA. that correspond to this regulation. Consequently, U.S. operators have the Assessment The FAA finds that this action is fully option to continue using several airways The Trade Agreements Act of 1979 consistent with the obligations under 49 connecting western Africa with the (Pub. L. 96–39) prohibits Federal U.S.C. 40105(b)(1)(A) to ensure that the Middle East, provided that they operate agencies from establishing standards or FAA exercises its duties consistently at altitudes at or above FL300 in the engaging in related activities that create with the obligations of the United States Tripoli FIR (HLLL) and remain outside unnecessary obstacles to the foreign under international agreements. of Libyan territorial airspace. In commerce of the United States. While the FAA’s flight prohibition addition, U.S. Government departments, Pursuant to this Act, the establishment does not apply to foreign air carriers, agencies, and instrumentalities may take of standards is not considered an DOT codeshare authorizations prohibit advantage of the approval process on unnecessary obstacle to the foreign foreign air carriers from carrying a U.S. behalf of U.S. operators and airmen with commerce of the United States, so long codeshare partner’s code on a flight whom they have a contract, grant, or as the standard has a legitimate segment that operates in airspace for cooperative agreement, or with whom domestic objective, such as the which the FAA has issued a flight their prime contractor has a subcontract. protection of safety, and does not prohibition for U.S. civil aviation. In U.S. operators and airmen who do not operate in a manner that excludes addition, foreign air carriers and other have any of the foregoing types of imports that meet this objective. The foreign operators may choose to avoid, arrangements with the U.S. Government statute also requires consideration of or be advised or directed by their civil

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aviation authorities to avoid, airspace reduce, eliminate, or prevent List of Subjects in 14 CFR Part 91 for which the FAA has issued a flight unnecessary differences in regulatory Air traffic control, Aircraft, Airmen, prohibition for U.S. civil aviation. requirements. The FAA has analyzed Airports, Aviation safety, Freight, Libya. this action under the policies and G. Environmental Analysis agency responsibilities of Executive The Amendment The FAA has analyzed this action Order 13609, and has determined that In consideration of the foregoing, the under Executive Order 12114, this action would have no effect on Federal Aviation Administration Environmental Effects Abroad of Major international regulatory cooperation. amends chapter I of title 14, Code of Federal Actions, and DOT Order Federal Regulations, part 91, as follows: 5610.1C, Paragraph 16. Executive Order D. Executive Order 13771, Reducing Regulation and Controlling Regulatory 12114 requires the FAA to be informed PART 91—GENERAL OPERATING AND Costs of environmental considerations and FLIGHT RULES take those considerations into account This rule is not subject to the when making decisions on major requirements of Executive Order 13771 ■ 1. The authority citation for part 91 Federal actions that could have because it is issued with respect to a continues to read as follows: environmental impacts anywhere national security function of the United Authority: 49 U.S.C. 106(f), 106(g), 40101, beyond the borders of the United States. States. 40103, 40105, 40113, 40120, 44101, 44111, The FAA has determined this action is IX. Additional Information 44701, 44704, 44709, 44711, 44712, 44715, exempt pursuant to Section 2–5(a)(i) of 44716, 44717, 44722, 46306, 46315, 46316, Executive Order 12114, because it does A. Availability of Rulemaking 46504, 46506–46507, 47122, 47508, 47528– not have the potential for a significant Documents 47531, 47534, Pub. L. 114–190, 130 Stat. 615 effect on the environment outside the (49 U.S.C. 44703 note); articles 12 and 29 of United States. An electronic copy of a rulemaking the Convention on International Civil In accordance with FAA Order document may be obtained from the Aviation (61 Stat. 1180), (126 Stat. 11). internet by— 1050.1F, Environmental Impacts: ■ 2. Revise § 91.1603 to read as follows: Policies and Procedures, paragraph 8– • Searching the Federal Document 6(c), FAA has prepared a memorandum Management System (FDMS) Portal at § 91.1603 Special Federal Aviation for the record stating the reason(s) for http://www.regulations.gov; Regulation No. 112—Prohibition Against this determination and has placed it in • Visiting the FAA’s Regulations and Certain Flights in the Tripoli Flight the docket for this rulemaking. Policies web page at http:// Information Region (FIR) (HLLL). www.faa.gov/regulations_policies; or (a) Applicability. This Special Federal VIII. Executive Order Determinations • Accessing the Government Aviation Regulation (SFAR) applies to A. Executive Order 13132, Federalism Publishing Office’s website at http:// the following persons: www.govinfo.gov. (1) All U.S. air carriers and U.S. The FAA has analyzed this rule under commercial operators; the principles and criteria of Executive Copies may also be obtained by (2) All persons exercising the Order 13132, Federalism. The agency sending a request (identified by privileges of an airman certificate issued has determined this action would not amendment or docket number of this by the FAA, except when such persons have a substantial direct effect on the rulemaking) to the Federal Aviation are operating U.S.-registered aircraft for States, or the relationship between the Administration, Office of Rulemaking, a foreign air carrier; and Federal Government and the States, or ARM–1, 800 Independence Avenue SW, (3) All operators of U.S.-registered on the distribution of power and Washington, DC 20591, or by calling civil aircraft, except when the operator responsibilities among the various (202) 267–9677. levels of government, and, therefore, Except for classified material, all of such aircraft is a foreign air carrier. would not have Federalism documents the FAA considered in (b) Flight prohibition. Except as implications. developing this rule, including provided in paragraphs (c) and (d) of economic analyses and technical this section, no person described in B. Executive Order 13211, Regulations reports, may be accessed from the paragraph (a) of this section may That Significantly Affect Energy Supply, internet through the Federal Document conduct flight operations in the Distribution, or Use Management System Portal referenced following specified areas: The FAA analyzed this rule under previously. (1) The territory and airspace of Libya. Executive Order 13211, Actions (2) Any portion of the Tripoli FIR B. Small Business Regulatory (HLLL) that is outside the territory and Concerning Regulations that Enforcement Fairness Act Significantly Affect Energy Supply, airspace of Libya at altitudes below Distribution, or Use. The agency has The Small Business Regulatory Flight Level (FL) 300. determined that it would not be a Enforcement Fairness Act of 1996 (c) Permitted operations. This section ‘‘significant energy action’’ under the (SBREFA) (Pub. L. 104–121) (set forth as does not prohibit persons described in executive order and would not be likely a note to 5 U.S.C. 601) requires FAA to paragraph (a) of this section from to have a significant adverse effect on comply with small entity requests for conducting the following flight the supply, distribution, or use of information or advice about compliance operations in the Tripoli FIR (HLLL): energy. with statutes and regulations within its (1) Overflights of those portions of the jurisdiction. A small entity with Tripoli FIR (HLLL) that are outside the C. Executive Order 13609, Promoting questions regarding this document may territory and airspace of Libya that International Regulatory Cooperation contact its local FAA official, or the occur at altitudes at or above Flight Executive Order 13609, Promoting persons listed under the FOR FURTHER Level (FL) 300; or International Regulatory Cooperation, INFORMATION CONTACT heading at the (2) Flight operations in the Tripoli FIR promotes international regulatory beginning of the preamble. To find out (HLLL) that are conducted under a cooperation to meet shared challenges more about SBREFA on the internet, contract, grant, or cooperative involving health, safety, labor, security, visit http://www.faa.gov/regulations_ agreement with a department, agency, or environmental, and other issues and to policies/rulemaking/sbre_act/. instrumentality of the U.S. Government

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(or under a subcontract between the SUMMARY: This document makes 6. On page 33357, in the first column, prime contractor of the department, technical corrections to amendments to under ‘‘§ 232.405’’ in newly- agency, or instrumentality and the rules that modify the registration, redesignated Instruction 28.b, person described in paragraph (a) of this communications, and offering processes ‘‘Removing the heading and revising the section), with the approval of the FAA, for business development companies introductory text of paragraph (b)(1)’’ is or under an exemption issued by the (‘‘BDCs’’) and other closed-end corrected to read ‘‘Revising the FAA. The FAA will consider requests investment companies adopted in introductory text of paragraph (b)(1)’’. for approval or exemption in a timely Release No. 33–10771 (April 8, 2020) 7. On page 33357, in the second manner, with the order of preference (‘‘Adopting Release’’), which was column, under ‘‘§ 232.405’’ in newly- being: First, for those operations in published in the Federal Register on redesignated Instruction 28.d, support of U.S. Government-sponsored , 2020. ‘‘Redesignating the note to § 232.405 as activities; second, for those operations DATES: Effective , 2020 note 2 to § 232.405 and revising the last in support of government-sponsored FOR FURTHER INFORMATION CONTACT: sentence of newly redesignated note 2 to activities of a foreign country with the Amy Miller, Senior Counsel, Investment § 232.405’’ is corrected to read support of a U.S. Government Company Regulation Office, Division of ‘‘Redesignating note 2 to § 232.405 as department, agency, or instrumentality; Investment Management, Securities and Note 1 to § 232.405 and revising the last and third, for all other operations. Exchange Commission, 100 F Street NE, sentence of newly redesignated Note 1 (d) Emergency situations. In an Washington, DC 20549. to § 232.405 ’’. emergency that requires immediate SUPPLEMENTARY INFORMATION: We are 8. On page 33357, in the second decision and action for the safety of the making technical amendments to correct column, in ‘‘§ 232.405 Interactive Data flight, the pilot in command of an §§ 230.497 and 232.405. Specifically, File Submissions,’’ the introductory text aircraft may deviate from this section to this document amends Instructions 25 ‘‘note 2 to this section’’ is corrected to the extent required by that emergency. and 28 published in the Adopting read ‘‘Note 1 to this section’’. Except for U.S. air carriers and Release. Instruction 25.a is amended to 9. On page 33358, in the second commercial operators that are subject to correct a citation to Form N–2; and column, in ‘‘§ 232.405 Interactive Data the requirements of 14 CFR part 119, Instruction 25.b is removed, with File Submissions,’’ ‘‘Note 2 to 121, 125, or 135, each person who subsequent instructions renumbered § 232.405’’ is corrected to read ‘‘Note 1 deviates from this section must, within accordingly. Instruction 28.b is to § 232.405’’. 10 days of the deviation, excluding removed, with subsequent instructions Dated: July 9, 2020. Saturdays, Sundays, and Federal renumbered accordingly; newly- Vanessa A. Countryman, holidays, submit to the responsible designated Instruction b is amended to Secretary. Flight Standards Office a complete correct an unneeded direction to remove report of the operations of the aircraft a heading; and newly-redesignated [FR Doc. 2020–15170 Filed 7–24–20; 8:45 am] involved in the deviation, including a Instruction 28.d is amended to BILLING CODE 8011–01–P description of the deviation and the redesignate Note 2 to rule 405 of reasons for it. Regulation S–T as Note 1 to rule 405 of (e) Expiration. This Special Federal Regulation S–T. DEPARTMENT OF HOMELAND Aviation Regulation (SFAR) will remain ■ In FR doc. 2020–07790, which SECURITY in effect until March 20, 2023. The FAA published in the Federal Register on may amend, rescind, or extend this Monday, June 1, 2020, at 85 FR 33290, Coast Guard SFAR, as necessary. the following corrections are made: 33 CFR Part 117 Issued in Washington, DC, under the § 230.497 [Corrected] authority of 49 U.S.C. 106(f) and (g), [Docket No. USCG–2018–0953] 40101(d)(1), 40105(b)(1)(A), and 44701(a)(5), 1. On page 33356, in the third on , 2020. column, under ‘‘§ 230.497’’ in RIN 1625–AA09 Daniel K. Elwell, Instruction 25.a, ‘‘Remove from paragraphs (c) and (e) the text ‘‘Form N– Deputy Administrator. Drawbridge Operation Regulation; 2 (§§ 239.14 and 274.11a–1 of this Lacombe Bayou, LA [FR Doc. 2020–14721 Filed 7–24–20; 8:45 am] chapter)’’ is corrected to read ‘‘Remove BILLING CODE 4910–13–P from paragraphs (c) and (e) the text AGENCY: Coast Guard, DHS. ‘‘§§ 239.14 and 274.11a–1 of this ACTION: Final rule. chapter (Form N–2)’’. SECURITIES AND EXCHANGE 2. On page 33356, in the third SUMMARY: The Coast Guard is changing COMMISSION column, under ‘‘§ 230.497’’ remove the operating schedule that governs the Instruction 25.b. Tammany Trace swing bridge across 17 CFR Parts 230 and 232 3. On page 33356, in the third Lacombe Bayou, mile 5.2, at Lacombe, column, under ‘‘§ 230.497’’ redesignate St. Tammany Parish, Louisiana. This [Release Nos. 33–10771A; 34–88606A; IC– Instructions 25.c and d as Instructions bridge will open on signal if at least two 33836A; File No. S7–03–19] 25.b and c, respectively. hours notice is given. This rule is being RIN 3235–AM31 § 232.405 [Corrected] changed because there are infrequent requests to open the bridge. This change 4. On page 33357, in the first column, Securities Offering Reform for Closed- allows St. Tammany Parish to open the under ‘‘§ 232.405’’ remove Instruction End Investment Companies; bridge when needed by Tammany Trace 28.b. Correction 5. On page 33357, in the first and park officials. DATES: This rule is effective , AGENCY: Securities and Exchange second columns, under ‘‘§ 232.405’’ 2020. Commission. redesignate Instructions 28.c, d, and e, as Instructions 28.b, c, and d, ADDRESSES: To view documents ACTION: Final rule; correction. respectively. mentioned in this preamble as being

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available in the docket, go to https:// equestrian operations and maintenance. potential impact of regulations on small www.regulations.gov. Type USCG– There are few vessel movements entities during rulemaking. The term 2018–0953 in the ‘‘SEARCH’’ box and through this bridge. From 2015 through ‘‘small entities’’ comprises small click ‘‘SEARCH.’’ Click on Open Docket 2017 the bridge opened 197 times for businesses, not-for-profit organizations Folder on the line associated with this vessel passage. This equates to less than that are independently owned and rule. 3 bridge openings per month. operated and are not dominant in their FOR FURTHER INFORMATION CONTACT: If This change allows the parish to fields, and governmental jurisdictions you have questions on this rule, call or coordinate and schedule Tammany with populations of less than 50,000. email Mr. Doug Blakemore, Eighth Coast Trace requirements and provide for the The Coast Guard received 0 comments Guard District Bridge Administrator; reasonable needs of navigation. from the Small Business Administration on this rule. The Coast Guard certifies telephone (504) 671–2128, email IV. Discussion of Comments, Changes [email protected]. under 5 U.S.C. 605(b) that this rule will and the Final Rule not have a significant economic impact SUPPLEMENTARY INFORMATION: There were no comments on this rule on a substantial number of small I. Table of Abbreviations change. The Coast Guard provided a entities. comment period of 30 days. Based on While some owners or operators of CFR Code of Federal Regulations the infrequent number of times that this vessels intending to transit the bridge DHS Department of Homeland Security FR Federal Register bridge has opened for vessel traffic over may be small entities, for the reasons OMB Office of Management and Budget 3 years this rule provides vessels with stated in section V.A above, this rule NPRM Notice of Proposed Rulemaking a reasonable ability to use the waterway. will not have a significant economic (Advance, Supplemental) We identified no impacts on marine impact on any vessel owner or operator. § Section navigation with this proposed rule. Under section 213(a) of the Small STP St. Tammany Parish Business Regulatory Enforcement Trace Tammany Trace V. Regulatory Analyses Fairness Act of 1996 (Pub. L. 104–121), U.S.C. United States Code The Coast Guard has developed this we want to assist small entities in II. Background Information and rule after considering numerous statutes understanding this rule. If the rule Regulatory History and Executive Orders related to would affect your small business, rulemaking. Below we summarize our organization, or governmental On , 2019 the Coast Guard analyses based on a number of these jurisdiction and you have questions published a notice of proposed statutes and Executive Orders, and we concerning its provisions or options for rulemaking entitled Drawbridge discuss First Amendment rights of compliance, please contact the person Operation Regulations; Lacombe Bayou, protesters. listed in the FOR FURTHER INFORMATION LA in the Federal Register (84 FR A. Regulatory Planning and Review CONTACT section. 59741), to seek public comments on Small businesses may send comments whether the Coast Guard should Executive Orders 12866 and 13563 on the actions of Federal employees consider modifying the current direct agencies to assess the costs and who enforce, or otherwise determine operating schedule to the Tammany benefits of available regulatory compliance with, Federal regulations to Trace drawbridge. We received 0 alternatives and, if regulation is the Small Business and Agriculture comments. necessary, to select regulatory Regulatory Enforcement Ombudsman III. Legal Authority and Need for Rule approaches that maximize net benefits. and the Regional Small Business Executive Order 13771 directs agencies Regulatory Fairness Boards. The The Coast Guard is issuing this rule to control regulatory costs through a Ombudsman evaluates these actions under authority 33 U.S.C. 499. budgeting process. This rule has not annually and rates each agency’s St. Tammany Parish (STP) requested been designated a ‘‘significant responsiveness to small business. If you to change the operating requirements for regulatory action,’’ under Executive wish to comment on actions by the Tammany Trace swing bridge across Order 12866. Accordingly, it has not employees of the Coast Guard, call 1– Lacombe Bayou, mile 5.2, at Lacombe, been reviewed by the Office of 888–REG–FAIR (1–888–734–3247). The St. Tammany Parish, Louisiana. This Management and Budget (OMB) and Coast Guard will not retaliate against bridge currently opens on signal pursuant to OMB guidance it is exempt small entities that question or complain according to 33 CFR part 117.5. STP from the requirements of Executive about this rule or any policy or action requested to open the bridge if vessels Order 13771. of the Coast Guard. provide 2 hours advance notification. This regulatory action determination This bridge spans the Tammany Trace is based on the lack of commercial C. Collection of Information which is a park area that is used by vessel traffic on this waterway, and the This rule calls for no new collection pedestrians and bicyclists. The park is recreational boats that routinely transit of information under the Paperwork open from 7 a.m. to 7:30 p.m. daily. The the bridge under the proposed schedule. Reduction Act of 1995 (44 U.S.C. 3501– bridge operates during park hours and is Those vessels with a vertical clearance 3520). secured in the open to navigation requirement of less than 9.7 feet above D. Federalism and Indian Tribal position when the park is closed. This mean high water may transit the bridge Government bridge has a vertical clearance of 9.7 feet at any time, and the bridge will open in above mean high water in the closed to case of emergency at any time. This A rule has implications for federalism vessel position and unlimited vertical regulatory action takes into account the under Executive Order 13132, clearance in the open to vessel traffic reasonable needs of vessel and vehicular Federalism, if it has a substantial direct position. This waterway is primarily traffic. effect on the States, on the relationship used by recreational boaters in the between the National Government and Lacombe area and does not support B. Impact on Small Entities the States, or on the distribution of commercial activity. The STP bridge The Regulatory Flexibility Act of 1980 power and responsibilities among the operators also perform park official (RFA), 5 U.S.C. 601–612, as amended, various levels of government. We have activities including bike, pedestrian and requires federal agencies to consider the analyzed this rule under that Order and

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have determined that it is consistent List of Subjects in 33 CFR Part 117 DATES: This final rule is effective on with the fundamental federalism Bridges. August 26, 2020. principles and preemption requirements ADDRESSES: EPA has established a For the reasons discussed in the described in Executive Order 13132. docket for this action under Docket ID preamble, the Coast Guard amends 33 No. EPA–R05–OAR–2018–0839. All Also, this rule does not have tribal CFR part 117 as follows: implications under Executive Order documents in the docket are listed on 13175, Consultation and Coordination PART 117—DRAWBRIDGE the www.regulations.gov website. with Indian Tribal Governments, OPERATION REGULATIONS Although listed in the index, some because it does not have a substantial information is not publicly available, direct effect on one or more Indian ■ 1. The authority citation for part 117 i.e., Confidential Business Information tribes, on the relationship between the continues to read as follows: (CBI) or other information whose Federal Government and Indian tribes, Authority: 33 U.S.C. 499; 33 CFR 1.05–1; disclosure is restricted by statute. or on the distribution of power and and Department of Homeland Security Certain other material, such as responsibilities between the Federal Delegation No. 0170.1. copyrighted material, is not placed on Government and Indian tribes. ■ the internet and will be publicly 2. Revise § 117.463 to read as follows available only in hard copy form. E. Unfunded Mandates Reform Act § 117.463 Lacombe Bayou Publicly available docket materials are The Unfunded Mandates Reform Act (a) The draw of the US190 bridge, available either through of 1995 (2 U.S.C. 1531–1538) requires mile 6.8 at Lacombe, shall open on www.regulations.gov or at the Federal agencies to assess the effects of signal if at least 48 hours notice is given. Environmental Protection Agency, their discretionary regulatory actions. In (b) The draw of the Tammany Trace Region 5, Air and Radiation Division, 77 particular, the Act addresses actions bridge, mile 5.2 at Lacombe, shall open West Jackson Boulevard, Chicago, that may result in the expenditure by a on signal if at least 2 hours notice is Illinois 60604. This facility is open from State, local, or tribal government, in the given. 8:30 a.m. to 4:30 p.m., Monday through aggregate, or by the private sector of Friday, excluding Federal holidays and Dated: July 16, 2020. facility closures due to COVID 19. We $100,000,000 (adjusted for inflation) or John P. Nadeau, more in any one year. Though this rule recommend that you telephone Emily Rear Admiral, U.S. Coast Guard, Commander, Crispell, Environmental Scientist, at will not result in such an expenditure, Eighth Coast Guard District. we do discuss the effects of this rule (312) 353–8512 before visiting the elsewhere in this preamble. [FR Doc. 2020–16012 Filed 7–24–20; 8:45 am] Region 5 office. BILLING CODE 9110–04–P FOR FURTHER INFORMATION CONTACT: F. Environment Emily Crispell, Environmental Scientist, We have analyzed this rule under Control Strategies, Air Programs Branch Department of Homeland Security ENVIRONMENTAL PROTECTION (AR–18J), Environmental Protection Management Directive 023–01, Rev.1, AGENCY Agency, Region 5, 77 West Jackson associated implementing instructions, Boulevard, Chicago, Illinois 60604, 40 CFR Parts 52 and 81 and Environmental Planning Policy (312) 353–8512, [email protected]. SUPPLEMENTARY INFORMATION: COMDTINST 5090.1 (series) which [EPA–R05–OAR–2018–0839; FRL–10007– guide the Coast Guard in complying 92–Region 5] Throughout this document whenever with the National Environmental Policy ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean Act of 1969 (NEPA)(42 U.S.C. 4321– Air Plan Approval; Minnesota; EPA. 4370f). The Coast Guard has determined Revision to the Minnesota State I. Background Information that this action is one of a category of Implementation Plan actions that do not individually or On , 2020, EPA proposed to AGENCY: cumulatively have a significant effect on Environmental Protection approve a revision to the Minnesota SIP, the human environment. This rule Agency (EPA). which included amendments to rules promulgates the operating regulations or ACTION: Final rule. governing air emission permits, the procedures for drawbridges and s removal of regulations unnecessary for SUMMARY: The Environmental Protection categorically excluded from further Minnesota to attain and maintain the Agency (EPA) is approving a revision to review, under paragraph L49, of Chapter National Ambient Air Quality the Minnesota State Implementation 3, Table 3–1 of the U.S. Coast Guard Standards, and the addition of new and Plan (SIP) which updates Minnesota’s Environmental Planning previously deferred air program rules. air program rules. The Minnesota Implementation Procedures. 85 FR 6482. The notice of proposed Pollution Control Agency (MPCA) rulemaking provided an explanation of Neither a Record of Environmental submitted the request to EPA on the Clean Air Act (CAA) requirements, Consideration nor a Memorandum for , 2018. The revision to a detailed analysis of the revisions, and the Record are required for this rule. Minnesota’s air quality rules reflects EPA’s reasons for proposing approval. G. Protest Activities changes that have been made to the This action will not restate that State’s air program rules since August information. The public comment The Coast Guard respects the First 10, 2011, and updates on actions period for this proposed rule ended on Amendment rights of protesters. deferred from previous SIP submittals. , 2020. Protesters are asked to contact the EPA is approving the majority of During the comment period, EPA person listed in the FOR FURTHER MPCA’s submittal, which will result in received only one comment. This INFORMATION CONTACT section to consistent requirements of rules at both comment, sent from an anonymous coordinate protest activities so that your the State and Federal level. EPA commenter, consists solely of quotes message can be received without proposed to approve this action on from the 2007 animated film Bee Movie. jeopardizing the safety or security of February 5, 2020 and received no The comment is included in the docket people, places or vessels. adverse comments. for this action.

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We do not consider this comment to (12/24/2012), 7007.3000 (11/19/ 2003), 7011.0870 (04/21/2003), be germane or relevant to this action 2007), 7007.4000 (08/23/1993), 7011.0900 (06/01/1999), 7011.0903 and therefore not adverse to this action. 7007.4010 (05/24/2004), 7007.4020 (03/04/1996), 7011.0905 (12/19/ The comment lacks the required (06/01/1999), 7007.4030 (08/23/ 2016), 7011.0909 (03/04/1996), specificity to the proposed SIP revision 1993), 7007.5000 (11/19/2007) 7011.0911 (03/04/1996), 7011.0913 and the relevant requirements of CAA • Chapter 7008 Conditionally Exempt (05/24/2004), 7011.0917 (11/29/ section 110. Moreover, the comment Stationary Sources and Conditionally 2004), 7011.0920 (03/04/1996), does not address a specific regulation or Insignificant Activities 7011.0922 (03/04/1996), 7011.1000 provision in question, nor recommends 7008.0050 (04/23/2003), 7008.0100 (08/23/1993), 7011.1005 (11/19/ a different action on the SIP submission (12/19/2020), 7008.0200 (04/21/ 2007), 7011.1010 (01/12/1998), from what EPA proposed. Therefore, we 2003), 7008.0300 (04/21/2003), 7011.1015 (08/23/1993), 7011.1100 are finalizing our action as proposed. 7008.2000 (04/21/2003), 7008.2100 (08/23/1993), 7011.1105 (12/19/ (04/21/2003), 7008.2200 (04/21/ 2016), 7011.1110 (01/12/1998), II. Final Action 2003), 7008.2250 (04/21/2003), 7011.1115 (12/19/2016), 7011.1120 A. Regulations Approved and 7008.4000 (12/19/2016), 7008.4100 (08/23/1993), 7011.1125 (08/23/ Incorporated by Reference Into the SIP (12/19/2016), 7008.4110 (12/19/ 1993), 7011.1135 (12/19/2016), 2016) 7011.1140 (08/23/1993), 7011.1201 EPA is approving and incorporating • Chapter 7009 Ambient Air Quality (10/11/2011), 7011.1205 (09/22/ by reference into the Minnesota SIP at Standards 2014), 7011.1300 (08/23/1993), 40 CFR 52.1220(c)—the following rule 7009.0010 (12/19/2016), 7009.0020 7011.1305 (12/19/2016), 7011.1310 sections (adoption date): (12/19/2016), 7009.0050 (06/01/ (12/19/2016), 7011.1315 (08/23/ • Chapter 7000 Procedural Rules 1999), 7009.0090 (12/19/2016), 1993), 7011.1320 (12/19/2016), 7000.0300 (04/12/2004), 7000.5000 7009.1000 (03/18/1996), 7009.1010 7011.1325 (11/29/1993), 7011.1405 (04/12/2004) (08/23/1993), 7009.1020 (08/23/ • (12/19/2016), 7011.1410 (12/19/ Chapter 7002 Permit Fees 1993), 7009.1030 (08/23/1993), 2016), 7011.1420 (03/01/1999), 7002.0005 (12/19/2016), 7002.0015 7009.1040 (01/12/1998), 7009.1050 7011.1425 (12/19/2016), 7011.1430 (08/05/1996) (08/23/1993), 7009.1060 (12/19/ • (11/29/1993), 7011.1500 (06/01/ Chapter 7005 Definitions and 2016), 7009.1070 (08/23/1993), 1999), 7011.1505 (08/23/1993), Abbreviations 7009.1080 (08/23/1993), 7009.1090 7011.1510 (08/23/1993), 7011.1515 7005.0100 (12/19/2016), 7005.0110 (08/23/1993), 7009.1100 (08/23/ (08/23/1993), 7011.1600 (01/12/ (11/29/1993) 1993), 7009.1110 (08/23/1993), • 1998), 7011.1605 (08/23/1993), Chapter 7007 Air Emission Permits 7009.9000 (11/13/1995) 7011.1615 (03/01/1999), 7011.1620 7007.0050 (12/24/2012), 7007.0100 • Chapter 7011 Standards for (08/23/1993), 7011.1625 (11/29/ (12/19/2016) [All except for Stationary Sources 1993), 7011.1630 (11/29/1993), paragraphs 9b through 9f, 12c, 24a 7011.0010 (06/01/1999), 7011.0020 7011.1700 (08/23/1993), 7011.1705 and 24b], 7007.0250 (12/19/2016), (08/23/1993), 7011.0060 (11/19/ (01/12/1998), 7011.1715 (03/01/ 7007.0300 (12/19/2016), 7007.0350 2007), 7011.0061 (11/19/2007), 1999), 7011.1720 (08/23/1993), (12/19/2016), 7007.0400 (12/12/ 7011.0065 (12/19/2016), 7011.0070 7011.1725 (11/29/1993), 7011.2100 2012), 7007.0450 (10/11/1993), (12/19/2016), 7011.0072 (11/19/ (08/23/1993), 7011.2105 (08/23/ 7007.0550 (10/11/1993), 7007.0600 2007), 7011.0075 (11/19/2007), 1993), 7011.2300 (08/23/1993) (12/19/2016), 7007.0650 (12/19/ 7011.0080 (12/19/2016), 7011.0100 • Chapter 7017 Monitoring and 2016), 7007.0700 (12/19/2016), (08/23/1993), 7011.0105 (06/13/ Testing Requirements 7007.0750 (12/19/2016) [Subparts 1998), 7011.0110 (01/12/1998), 7017.0100 (02/21/1995), 7017.0200 1–7 only], 7007.0800 (12/19/2016), 7011.0115 (11/29/1993), 7011.0150 (05/24/2004), 7017.1002 (12/19/ 7007.0850 (12/12/1994), 7007.0900 (03/18/1996), 7011.0500 (08/23/ 2016), 7017.1004 (03/01/1999), (10/11/1993), 7007.0950 (12/19/ 1993), 7011.0505 (08/23/1993), 7017.1006 (03/01/1999), 7017.1010 2016), 7007.1000 (12/19/2016), 7011.0510 (12/19/2016), 7011.0515 (03/01/1999), 7017.1020 (02/06/ 7007.1050 (12/24/2012), 7007.1100 (12/19/2016), 7011.0520 (08/23/ 1995), 7017.1030 (03/01/1999), (12/19/2016), 7007.1110 (12/24/ 1993), 7011.0525 (08/23/1993), 7017.1035 (03/01/1999), 7017.1040 2012), 7007.1115 (12/24/2012), 7011.0530 (12/19/2016), 7011.0535 (03/01/1999), 7017.1050 (03/01/ 7007.1120 (12/24/2012), 7007.1125 (12/19/2016), 7011.0540 (08/23/ 1999), 7017.1060 (03/01/1999), (12/24/2012), 7007.1130 (12/24/ 1993), 7011.0545 (08/23/1993), 7017.1070 (03/01/1999), 7017.1080 2012), 7007.1140 (12/24/2012), 7011.0550 (08/23/1993), 7011.0551 (12/19/2016), 7017.1090 (03/01/ 7007.1141 (12/24/2012), 7007.1142 (09/22/2014), 7011.0553 (02/06/ 1999), 7017.1100 (03/01/1999), (12/19/2016), 7007.1143 (11/29/ 1995), 7011.0600 (08/23/1993), 7017.1110 (12/19/2016), 7017.1120 2004), 7007.1144 (11/29/2004), 7011.0605 (08/23/1993), 7011.0610 (12/19/2016), 7017.1130 (03/01/ 7007.1145 (12/24/2012), 7007.1146 (12/19/2016), 7011.0615 (12/19/ 1999), 7017.1135 (03/01/1999), (12/24/2012), 7007.1147 (11/29/ 2016), 7011.0620 (12/19/2016), 7017.1140 (03/01/1999), 7017.1150 2004), 7007.1148 (11/29/2004), 7011.0625 (09/22/2014), 7011.0700 (03/01/1999), 7017.1160 (03/01/ 7007.1150 (12/19/2016), 7007.1200 (08/23/1993), 7011.0705 (08/23/ 1999), 7017.1170 (12/19/2016), (11/12/2007), 7007.1250 (12/19/ 1993), 7011.0710 (12/19/2016), 7017.1180 (03/01/1999), 7017.1185 2016), 7007.1300 (12/19/2016), 7011.0715 (12/19/2016), 7011.0720 (03/01/1999), 7017.1190 (03/01/ 7007.1350 (12/19/2016), 7007.1400 (12/19/2016), 7011.0730 (11/19/ 1999), 7017.1200 (03/01/1999), (12/19/2016), 7007.1450 (12/24/ 2007), 7011.0735 (08/23/1993), 7017.1215 (12/19/2016), 7017.1220 2012), 7007.1500 (12/19/2016), 7011.0850 (04/21/2003), 7011.0852 (03/01/1999), 7017.2001 (12/19/ 7007.1600 (12/19/2016), 7007.1650 (11/23/1998), 7011.0854 (11/23/ 2016), 7017.2005 (11/19/2007), (10/11/1993), 7007.1700 (10/11/ 1998), 7011.0857 (11/23/1998), 7017.2010 (03/04/1996), 7017.2015 1993), 7007.1750 (10/11/1993), 7011.0858 (11/23/1998), 7011.0859 (12/19/2016), 7017.2017 (12/19/ 7007.1800 (10/11/1993), 7007.1850 (11/23/1998), 7011.0865 (04/21/ 2016), 7017.2020 (11/19/2007),

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7017.2025 (12/19/2016), 7017.2030 provided that they meet the criteria of Fairness Act of 1996, generally provides (03/01/1999), 7017.2035 (12/19/ the CAA. Accordingly, this action that before a rule may take effect, the 2016), 7017.2040 (03/18/1996), merely approves state law as meeting agency promulgating the rule must 7017.2045 (07/13/1998), 7017.2050 Federal requirements and does not submit a rule report, which includes a (12/19/2016), 7017.2060 (12/19/ impose additional requirements beyond copy of the rule, to each House of the 2016) those imposed by state law. For that Congress and to the Comptroller General • Chapter 7019 Emission Inventory reason, this action: of the United States. EPA will submit a Requirements • Is not a significant regulatory action report containing this action and other 7019.1000 (06/01/1999), 7019.3000 subject to review by the Office of required information to the U.S. Senate, (09/22/2014) [Subparts 1 and 2 Management and Budget under the U.S. House of Representatives, and only], 7019.3020 (12/19/2016), Executive Orders 12866 (58 FR 51735, the Comptroller General of the United 7019.3030 (09/22/2014), 7019.3040 , 1993) and 13563 (76 FR 3821, States prior to publication of the rule in (03/01/1999), 7019.3050 (09/22/ , 2011); the Federal Register. A major rule 2014), 7019.3060 (08/05/1996), • Is not an Executive Order 13771 (82 cannot take effect until 60 days after it 7019.3070 (08/05/1996), 7019.3080 FR 9339, , 2017) regulatory is published in the Federal Register. (11/19/2007), 7019.3090 (08/05/ action because SIP approvals are This action is not a ‘‘major rule’’ as 1996), 7019.3100 (08/05/1996) exempted under Executive Order 12866; defined by 5 U.S.C. 804(2). • Minnesota Statutes • Does not impose an information Under section 307(b)(1) of the CAA, 116.1100 (1983) collection burden under the provisions petitions for judicial review of this action must be filed in the United States B. Regulations To Remove From the SIP of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.); Court of Appeals for the appropriate As discussed in the proposal for this • Is certified as not having a circuit by September 25, 2020. Filing a action, we are removing from the SIP significant economic impact on a petition for reconsideration by the rule sections: 7001.0020, 7001.0050, substantial number of small entities Administrator of this final rule does not 7001.0140, 7001.0180, 7001.0550, under the Regulatory Flexibility Act (5 affect the finality of this action for the 7001.3050, 7007.1251, 7009.0060, U.S.C. 601 et seq.); purposes of judicial review nor does it 7009.0070, 7009.0080, 7011.0725, • Does not contain any unfunded extend the time within which a petition 7017.1210, and 7017.2018. mandate or significantly or uniquely for judicial review may be filed, and III. Incorporation by Reference affect small governments, as described shall not postpone the effectiveness of in the Unfunded Mandates Reform Act such rule or action. This action may not In this rule, EPA is finalizing of 1995 (Pub. L. 104–4); be challenged later in proceedings to regulatory text that includes • Does not have federalism enforce its requirements. (See section incorporation by reference. In implications as specified in Executive 307(b)(2).) accordance with requirements of 1 CFR Order 13132 (64 FR 43255, , List of Subjects 51.5, EPA is finalizing the incorporation 1999); by reference of the Minnesota • Is not an economically significant 40 CFR Part 52 Regulations described in section II.A. of regulatory action based on health or Environmental protection, Air this preamble and removing the safety risks subject to Executive Order pollution control, Carbon monoxide, Minnesota Regulations listed in II.B. of 13045 (62 FR 19885, , 1997); • Incorporation by reference, this preamble. EPA has made, and will Is not a significant regulatory action Intergovernmental relations, Lead, continue to make, the documents listed subject to Executive Order 13211 (66 FR Nitrogen dioxide, Ozone, Particulate in II.A. generally available through 28355, , 2001); • matter, Reporting and recordkeeping www.regulations.gov, and at the EPA Is not subject to requirements of requirements, Sulfur oxides, Volatile Region 5 Office (please contact the Section 12(d) of the National organic compounds. person identified in the FOR FURTHER Technology Transfer and Advancement INFORMATION CONTACT section of this Act of 1995 (15 U.S.C. 272 note) because 40 CFR Part 81 preamble for more information). application of those requirements would Environmental protection, Air Therefore, these materials have been be inconsistent with the CAA; and pollution control, National parks, • approved by EPA for inclusion in the Does not provide EPA with the Wilderness areas. SIP, have been incorporated by discretionary authority to address, as Dated: , 2020. reference by EPA into that plan, are appropriate, disproportionate human fully federally enforceable under health or environmental effects, using Kurt Thiede, sections 110 and 113 of the CAA as of practicable and legally permissible Regional Administrator, Region 5. the effective date of the final rulemaking methods, under Executive Order 12898 Accordingly, 40 CFR parts 52 and 81 of EPA’s approval, and will be (59 FR 7629, , 1994). are amended as follows: incorporated by reference in the next In addition, the SIP is not approved update to the SIP compilation.1 to apply on any Indian reservation land PART 52—APPROVAL AND or in any other area where EPA or an PROMULGATION OF IV. Statutory and Executive Order Indian tribe has demonstrated that a IMPLEMENTATION PLANS Reviews tribe has jurisdiction. In those areas of ■ Under the CAA, the Administrator is Indian country, the rule does not have 1. The authority citation for part 52 required to approve a SIP submission tribal implications and will not impose continues to read as follows: that complies with the provisions of the substantial direct costs on tribal Authority: 42 U.S.C. 7401 et seq. CAA and applicable Federal regulations. governments or preempt tribal law as ■ 2. Section 52.1220 is amended by 42 U.S.C. 7410(k); 40 CFR 52.02(a). specified by Executive Order 13175 (65 revising the table in paragraph (c) to Thus, in reviewing SIP submissions, FR 67249, , 2000). read as follows: EPA’s role is to approve state choices, The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the Small § 52.1220 Identification of plan. 1 62 FR 27968 (May 22, 1997). Business Regulatory Enforcement * * * * *

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(c) * * *

TABLE 1 TO PARAGRAPH (C)—EPA-APPROVED MINNESOTA REGULATIONS

State Minnesota Title/subject adoption EPA approval date Comments citation date

CHAPTER 7000 PROCEDURAL RULES

7000.0300 ...... DUTY OF CANDOR ...... 04/12/2004 07/27/2020, [insert Federal Register cita- tion]. 7000.5000 ...... DECLARATION OF EMERGENCY ...... 04/12/2004 07/27/2020, [insert Federal Register cita- tion].

CHAPTER 7002 PERMIT FEES

7002.0005 ...... SCOPE ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7002.0015 ...... DEFINITIONS ...... 08/05/1996 07/27/2020, [insert Federal Register cita- tion].

CHAPTER 7005 DEFINITIONS AND ABBREVIATIONS

7005.0100 ...... DEFINITIONS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7005.0110 ...... ABBREVIATIONS ...... 11/29/1993 07/27/2020, [insert Federal Register cita- tion].

CHAPTER 7007 AIR EMISSION PERMITS

7007.0050 ...... SCOPE ...... 12/24/2012 07/27/2020, [insert Federal Register cita- tion]. 7007.0100 ...... DEFINITIONS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- All except for para- tion]. graphs 9b through 9f, 12c, 24a and 24b. 7007.0150 ...... PERMIT REQUIRED ...... 12/27/1994 5/18/1999, 64 FR 26880. 7007.0200 ...... SOURCES REQUIRED OR ALLOWED 12/27/1994 5/18/1999, 64 FR 26880. TO OBTAIN A PART 70 PERMIT. 7007.0250 ...... SOURCES REQUIRED TO OBTAIN A 12/19/2016 07/27/2020, [insert Federal Register cita- STATE PERMIT. tion]. 7007.0300 ...... SOURCES NOT REQUIRED TO OBTAIN 12/19/2016 07/27/2020, [insert Federal Register cita- A PERMIT. tion]. 7007.0350 ...... EXISTING SOURCE APPLICATION 12/19/2016 07/27/2020, [insert Federal Register cita- DEADLINES AND SOURCE OPER- tion]. ATION DURING TRANSITION. 7007.0400 ...... PERMIT REISSUANCE APPLICATIONS 12/12/2012 07/27/2020, [insert Federal Register cita- AFTER TRANSITION; NEW SOURCE tion]. AND PERMIT AMENDMENT APPLI- CATIONS; APPLICATIONS FOR SOURCES NEWLY SUBJECT TO A PART 70 OR STATE PERMIT RE- QUIREMENT. 7007.0450 ...... PERMIT REISSUANCE APPLICATIONS 10/11/1993 07/27/2020, [insert Federal Register cita- AND CONTINUATION OF EXPIRING tion]. PERMITS. 7007.0500 ...... CONTENT OF PERMIT APPLICATION ... 8/10/1993 5/2/1995, 60 FR 21447. 7007.0550 ...... CONFIDENTIAL INFORMATION ...... 10/11/1993 07/27/2020, [insert Federal Register cita- tion]. 7007.0600 ...... COMPLETE APPLICATION AND SUP- 12/19/2016 07/27/2020, [insert Federal Register cita- PLEMENTAL INFORMATION RE- tion]. QUIREMENTS. 7007.0650 ...... WHO RECEIVES AN APPLICATION ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7007.0700 ...... COMPLETENESS REVIEW ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7007.0750 ...... APPLICATION PRIORITY AND 12/19/2016 07/27/2020, [insert Federal Register cita- Subparts 1–7 only. ISSUANCE TIMELINES. tion]. 7007.0800 ...... PERMIT CONTENT ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7007.0850 ...... PERMIT APPLICATION NOTICE AND 12/12/1994 07/27/2020, [insert Federal Register cita- COMMENT. tion]. 7007.0900 ...... REVIEW OF PART 70 PERMITS BY AF- 10/11/1993 07/27/2020, [insert Federal Register cita- FECTED STATES. tion].

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TABLE 1 TO PARAGRAPH (C)—EPA-APPROVED MINNESOTA REGULATIONS—Continued

State Minnesota Title/subject adoption EPA approval date Comments citation date

7007.0950 ...... EPA REVIEW AND OBJECTION ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7007.1000 ...... PERMIT ISSUANCE AND DENIAL ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7007.1050 ...... DURATION OF PERMITS ...... 12/24/2012 07/27/2020, [insert Federal Register cita- tion]. 7007.1100 ...... GENERAL PERMITS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7007.1110 ...... REGISTRATION PERMIT GENERAL RE- 12/24/2012 07/27/2020, [insert Federal Register cita- QUIREMENTS. tion]. 7007.1115 ...... REGISTRATION PERMIT OPTION A ...... 12/24/2012 07/27/2020, [insert Federal Register cita- tion]. 7007.1120 ...... REGISTRATION PERMIT OPTION B ...... 12/24/2012 07/27/2020, [insert Federal Register cita- tion]. 7007.1125 ...... REGISTRATION PERMIT OPTION C ..... 12/24/2012 07/27/2020, [insert Federal Register cita- tion]. 7007.1130 ...... REGISTRATION PERMIT OPTION D ..... 12/24/2012 07/27/2020, [insert Federal Register cita- tion]. 7007.1140 ...... CAPPED PERMIT ELIGIBILITY RE- 12/24/2012 07/27/2020, [insert Federal Register cita- QUIREMENTS. tion]. 7007.1141 ...... CAPPED PERMIT EMISSION THRESH- 12/24/2012 07/27/2020, [insert Federal Register cita- OLDS. tion]. 7007.1142 ...... CAPPED PERMIT ISSUANCE AND 12/19/2016 07/27/2020, [insert Federal Register cita- CHANGE OF PERMIT STATUS. tion]. 7007.1143 ...... CAPPED PERMIT GENERAL REQUIRE- 11/29/2004 07/27/2020, [insert Federal Register cita- MENTS. tion]. 7007.1144 ...... CAPPED PERMIT PUBLIC PARTICIPA- 11/29/2004 07/27/2020, [insert Federal Register cita- TION. tion]. 7007.1145 ...... CAPPED PERMIT APPLICATION ...... 12/24/2012 07/27/2020, [insert Federal Register cita- tion]. 7007.1146 ...... CAPPED PERMIT COMPLIANCE RE- 12/24/2012 07/27/2020, [insert Federal Register cita- QUIREMENTS. tion]. 7007.1147 ...... CAPPED PERMIT CALCULATION OF 11/29/2004 07/27/2020, [insert Federal Register cita- ACTUAL EMISSIONS. tion]. 7007.1148 ...... AMBIENT AIR QUALITY ASSESSMENT 11/29/2004 07/27/2020, [insert Federal Register cita- tion]. 7007.1150 ...... WHEN A PERMIT AMENDMENT IS RE- 12/19/2016 07/27/2020, [insert Federal Register cita- QUIRED. tion]. 7007.1200 ...... CALCULATING EMISSION CHANGES 11/12/2007 07/27/2020, [insert Federal Register cita- FOR PERMIT AMENDMENTS. tion]. 7007.1250 ...... INSIGNIFICANT MODIFICATIONS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7007.1300 ...... INSIGNIFICANT ACTIVITIES LIST ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7007.1350 ...... CHANGES WHICH CONTRAVENE CER- 12/19/2016 07/27/2020, [insert Federal Register cita- TAIN PERMIT TERMS. tion]. 7007.1400 ...... ADMINISTRATIVE PERMIT AMEND- 12/19/2016 07/27/2020, [insert Federal Register cita- MENTS. tion]. 7007.1450 ...... MINOR AND MODERATE PERMIT 12/24/2012 07/27/2020, [insert Federal Register cita- AMENDMENTS. tion]. 7007.1500 ...... MAJOR PERMIT AMENDMENTS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7007.1600 ...... PERMIT REOPENING AND AMEND- 12/19/2016 07/27/2020, [insert Federal Register cita- MENT BY AGENCY. tion]. 7007.1650 ...... REOPENINGS FOR CAUSE BY EPA ..... 10/11/1993 07/27/2020, [insert Federal Register cita- tion]. 7007.1700 ...... PERMIT REVOCATION BY AGENCY ..... 10/11/1993 07/27/2020, [insert Federal Register cita- tion]. 7007.1750 ...... FEDERAL ENFORCEABILITY ...... 10/11/1993 07/27/2020, [insert Federal Register cita- tion]. 7007.1800 ...... PERMIT SHIELD ...... 10/11/1993 07/27/2020, [insert Federal Register cita- tion]. 7007.1850 ...... EMERGENCY PROVISION ...... 12/24/2012 07/27/2020, [insert Federal Register cita- tion]. 7007.3000 ...... PREVENTION OF SIGNIFICANT DETE- 11/19/2007 07/27/2020, [insert Federal Register cita- RIORATION OF AIR QUALITY. tion].

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State Minnesota Title/subject adoption EPA approval date Comments citation date

OFFSETS

7007.4000 ...... SCOPE ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7007.4010 ...... DEFINITIONS ...... 05/24/2004 07/27/2020, [insert Federal Register cita- tion]. 7007.4020 ...... CONDITIONS FOR PERMIT ...... 06/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7007.4030 ...... LIMITATION ON USE OF OFFSETS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7007.5000 ...... BEST AVAILABLE RETROFIT TECH- 11/19/2007 07/27/2020, [insert Federal Register cita- NOLOGY. tion].

CHAPTER 7008 CONDITIONALLY EXEMPT STATIONARY SOURCES AND CONDITIONALLY INSIGNIFICANT ACTIVITIES

7008.0050 ...... SCOPE ...... 04/23/2003 07/27/2020, [insert Federal Register cita- tion]. 7008.0100 ...... DEFINITIONS ...... 12/19/2020 07/27/2020, [insert Federal Register cita- tion]. 7008.0200 ...... GENERAL REQUIREMENTS ...... 04/21/2003 07/27/2020, [insert Federal Register cita- tion]. 7008.0300 ...... PERMITS ...... 04/21/2003 07/27/2020, [insert Federal Register cita- tion]. 7008.2000 ...... CONDITIONALLY EXEMPT STA- 04/21/2003 07/27/2020, [insert Federal Register cita- TIONARY SOURCES; ELIGIBILITY. tion]. 7008.2100 ...... GASOLINE SERVICE STATIONS TECH- 04/21/2003 07/27/2020, [insert Federal Register cita- NICAL STANDARDS. tion]. 7008.2200 ...... CONCRETE MANUFACTURING TECH- 04/21/2003 07/27/2020, [insert Federal Register cita- NICAL STANDARDS. tion]. 7008.2250 ...... RECORD KEEPING FOR CONCRETE 04/21/2003 07/27/2020, [insert Federal Register cita- MANUFACTURING PLANTS. tion]. 7008.4000 ...... CONDITIONALLY INSIGNIFICANT AC- 12/19/2016 07/27/2020, [insert Federal Register cita- TIVITIES. tion]. 7008.4100 ...... CONDITIONALLY INSIGNIFICANT MA- 12/19/2016 07/27/2020, [insert Federal Register cita- TERIAL USAGE. tion]. 7008.4110 ...... CONDITIONALLY INSIGNIFICANT PM 12/19/2016 07/27/2020, [insert Federal Register cita- AND PM–10 EMITTING OPERATIONS. tion].

CHAPTER 7009 AMBIENT AIR QUALITY STANDARDS

7009.0010 ...... DEFINITIONS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7009.0020 ...... PROHIBITED EMISSIONS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7009.0050 ...... INTERPRETATION AND MEASURE- 06/01/1999 07/27/2020, [insert Federal Register cita- MENT METHODOLOGY, EXCEPT tion]. FOR HYDROGEN SULFIDE. 7009.0090 ...... NATIONAL AMBIENT AIR QUALITY 12/19/2016 07/27/2020, [insert Federal Register cita- STANDARDS. tion].

AIR POLLUTION EPISODES

7009.1000 ...... AIR POLLUTION EPISODES ...... 03/18/1996 07/27/2020, [insert Federal Register cita- tion]. 7009.1010 ...... DEFINITIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7009.1020 ...... EPISODE LEVELS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7009.1030 ...... EPISODE DECLARATION ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7009.1040 ...... CONTROL ACTIONS ...... 01/12/1998 07/27/2020, [insert Federal Register cita- tion]. 7009.1050 ...... EMERGENCY POWERS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7009.1060 ...... TABLE 1 ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7009.1070 ...... TABLE 2: EMISSION REDUCTION OB- 08/23/1993 07/27/2020, [insert Federal Register cita- JECTIVES FOR PARTICULATE MAT- tion]. TER.

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TABLE 1 TO PARAGRAPH (C)—EPA-APPROVED MINNESOTA REGULATIONS—Continued

State Minnesota Title/subject adoption EPA approval date Comments citation date

7009.1080 ...... TABLE 3: EMISSION OBJECTIVES FOR 08/23/1993 07/27/2020, [insert Federal Register cita- SULFUR OXIDES. tion]. 7009.1090 ...... TABLE 4: EMISSION REDUCTION OB- 08/23/1993 07/27/2020, [insert Federal Register cita- JECTIVES FOR NITROGEN OXIDES. tion]. 7009.1100 ...... TABLE 5: EMISSION REDUCTION OB- 08/23/1993 07/27/2020, [insert Federal Register cita- JECTIVES FOR HYDROCARBONS. tion]. 7009.1110 ...... TABLE 6: EMISSION REDUCTION OB- 08/23/1993 07/27/2020, [insert Federal Register cita- JECTIVES FOR CARBON MONOXIDE. tion].

ADOPTION OF FEDERAL REGULATIONS

7009.9000 ...... DETERMINING CONFORMITY OF GEN- 11/13/1995 07/27/2020, [insert Federal Register cita- ERAL FEDERAL ACTIONS TO STATE tion]. OR FEDERAL IMPLEMENTATION PLANS.

CHAPTER 7011 STANDARDS FOR STATIONARY SOURCES

7011.0010 ...... APPLICABILITY OF STANDARDS OF 06/01/1999 07/27/2020, [insert Federal Register cita- PERFORMANCE. tion]. 7011.0020 ...... CIRCUMVENTION ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion].

CONTROL EQUIPMENT

7011.0060 ...... DEFINITIONS ...... 11/19/2007 07/27/2020, [insert Federal Register cita- tion]. 7011.0061 ...... INCORPORATION BY REFERENCE ...... 11/19/2007 07/27/2020, [insert Federal Register cita- tion]. 7011.0065 ...... APPLICABILITY ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7011.0070 ...... LISTED CONTROL EQUIPMENT AND 12/19/2016 07/27/2020, [insert Federal Register cita- CONTROL EQUIPMENT EFFI- tion]. CIENCIES. 7011.0072 ...... REQUIREMENTS FOR CERTIFIED 11/19/2007 07/27/2020, [insert Federal Register cita- HOODS. tion]. 7011.0075 ...... LISTED CONTROL EQUIPMENT GEN- 11/19/2007 07/27/2020, [insert Federal Register cita- ERAL REQUIREMENTS. tion]. 7011.0080 ...... MONITORING AND RECORD KEEPING 12/19/2016 07/27/2020, [insert Federal Register cita- FOR LISTED CONTROL EQUIPMENT. tion].

EMISSION STANDARDS FOR VISIBLE AIR CONTAMINANTS

7011.0100 ...... SCOPE ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.0105 ...... VISIBLE EMISSION RESTRICTIONS 06/13/1998 07/27/2020, [insert Federal Register cita- FOR EXISTING FACILITIES. tion]. 7011.0110 ...... VISIBLE EMISSION RESTRICTIONS 01/12/1998 07/27/2020, [insert Federal Register cita- FOR NEW FACILITIES. tion]. 7011.0115 ...... PERFORMANCE TESTS ...... 11/29/1993 07/27/2020, [insert Federal Register cita- tion].

CONTROLLING FUGITIVE PARTICULATE MATTER

7011.0150 ...... PREVENTING PARTICULATE MATTER 03/18/1996 07/27/2020, [insert Federal Register cita- FROM BECOMING AIRBORNE. tion].

INDIRECT HEATING FOSSIL–FUEL–BURNING EQUIPMENT

7011.0500 ...... DEFINITIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.0505 ...... DETERMINATION OF APPLICABLE 08/23/1993 07/27/2020, [insert Federal Register cita- STANDARDS OF PERFORMANCE. tion]. 7011.0510 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- EXISTING INDIRECT HEATING tion]. EQUIPMENT. 7011.0515 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- NEW INDIRECT HEATING EQUIP- tion]. MENT.

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TABLE 1 TO PARAGRAPH (C)—EPA-APPROVED MINNESOTA REGULATIONS—Continued

State Minnesota Title/subject adoption EPA approval date Comments citation date

7011.0520 ...... ALLOWANCE FOR STACK HEIGHT 08/23/1993 07/27/2020, [insert Federal Register cita- FOR INDIRECT HEATING EQUIP- tion]. MENT. 7011.0525 ...... HIGH HEATING VALUE ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.0530 ...... PERFORMANCE TEST METHODS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7011.0535 ...... PERFORMANCE TEST PROCEDURES 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7011.0540 ...... DERATE ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.0545 ...... TABLE I: EXISTING INDIRECT HEAT- 08/23/1993 07/27/2020, [insert Federal Register cita- ING EQUIPMENT. tion]. 7011.0550 ...... TABLE II: NEW INDIRECT HEATING 08/23/1993 07/27/2020, [insert Federal Register cita- EQUIPMENT. tion]. 7011.0551 ...... RECORD KEEPING AND REPORTING 09/22/2014 07/27/2020, [insert Federal Register cita- FOR INDIRECT HEATING UNITS tion]. COMBUSTING SOLID WASTE. 7011.0553 ...... NITROGEN OXIDES EMISSION RE- 02/06/1995 07/27/2020, [insert Federal Register cita- DUCTION REQUIREMENTS FOR AF- tion]. FECTED SOURCES.

DIRECT HEATING FOSSIL-FUEL-BURNING EQUIPMENT

7011.0600 ...... DEFINITIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.0605 ...... DETERMINATION OF APPLICABLE 08/23/1993 07/27/2020, [insert Federal Register cita- STANDARDS OF PERFORMANCE. tion]. 7011.0610 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- FOSSIL–FUEL–BURNING DIRECT tion]. HEATING EQUIPMENT. 7011.0615 ...... PERFORMANCE TEST METHODS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7011.0620 ...... PERFORMANCE TEST PROCEDURES 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7011.0625 ...... RECORD KEEPING AND REPORTING 09/22/2014 07/27/2020, [insert Federal Register cita- FOR DIRECT HEATING UNITS COM- tion]. BUSTING SOLID WASTE.

INDUSTRIAL PROCESS EQUIPMENT

7011.0700 ...... DEFINITIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.0705 ...... SCOPE ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.0710 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- PRE–1969 INDUSTRIAL PROCESS tion]. EQUIPMENT. 7011.0715 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- POST–1969 INDUSTRIAL PROCESS tion]. EQUIPMENT. 7011.0720 ...... PERFORMANCE TEST METHODS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7011.0730 ...... TABLE 1 ...... 11/19/2007 07/27/2020, [insert Federal Register cita- tion]. 7011.0735 ...... TABLE 2 ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion].

CONCRETE MANUFACTURING PLANT STANDARDS OF PERFORMANCE

7011.0850 ...... DEFINITIONS ...... 04/21/2003 07/27/2020, [insert Federal Register cita- tion]. 7011.0852 ...... STANDARDS OF PERFORMANCE FOR 11/23/1998 07/27/2020, [insert Federal Register cita- CONCRETE MANUFACTURING tion]. PLANTS. 7011.0854 ...... CONCRETE MANUFACTURING PLANT 11/23/1998 07/27/2020, [insert Federal Register cita- CONTROL EQUIPMENT REQUIRE- tion]. MENTS. 7011.0857 ...... PREVENTING PARTICULATE MATTER 11/23/1998 07/27/2020, [insert Federal Register cita- FROM BECOMING AIRBORNE. tion].

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TABLE 1 TO PARAGRAPH (C)—EPA-APPROVED MINNESOTA REGULATIONS—Continued

State Minnesota Title/subject adoption EPA approval date Comments citation date

7011.0858 ...... NOISE ...... 11/23/1998 07/27/2020, [insert Federal Register cita- tion]. 7011.0859 ...... SHUTDOWN AND BREAKDOWN PRO- 11/23/1998 07/27/2020, [insert Federal Register cita- CEDURES. tion]. 7011.0865 ...... INCORPORATIONS BY REFERENCE .... 04/21/2003 07/27/2020, [insert Federal Register cita- tion]. 7011.0870 ...... STAGE–ONE VAPOR RECOVERY ...... 04/21/2003 07/27/2020, [insert Federal Register cita- tion].

HOT MIX ASPHALT PLANTS

7011.0900 ...... DEFINITIONS ...... 06/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7011.0903 ...... COMPLIANCE WITH AMBIENT AIR 03/04/1996 07/27/2020, [insert Federal Register cita- QUALITY STANDARDS. tion]. 7011.0905 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- EXISTING ASPHALT CONCRETE tion]. PLANTS. 7011.0909 ...... STANDARDS OF PERFORMANCE FOR 03/04/1996 07/27/2020, [insert Federal Register cita- NEW HOT MIX ASPHALT PLANTS. tion]. 7011.0911 ...... MAINTENANCE OF DRYER BURNER ... 03/04/1996 07/27/2020, [insert Federal Register cita- tion]. 7011.0913 ...... HOT MIX ASPHALT PLANT MATE- 05/24/2004 07/27/2020, [insert Federal Register cita- RIALS, FUELS, AND ADDITIVES OP- tion]. ERATING REQUIREMENTS. 7011.0917 ...... ASPHALT PLANT CONTROL EQUIP- 11/29/2004 07/27/2020, [insert Federal Register cita- MENT REQUIREMENTS. tion]. 7011.0920 ...... PERFORMANCE TESTS ...... 03/04/1996 07/27/2020, [insert Federal Register cita- tion]. 7011.0922 ...... OPERATIONAL REQUIREMENTS AND 03/04/1996 07/27/2020, [insert Federal Register cita- LIMITATIONS FROM PERFORMANCE tion]. TESTS.

BULK AGRICULTURAL COMMODITY FACILITIES

7011.1000 ...... DEFINITIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1005 ...... STANDARDS OF PERFORMANCE FOR 11/19/2007 07/27/2020, [insert Federal Register cita- DRY BULK AGRICULTURAL COM- tion]. MODITY FACILITIES. 7011.1010 ...... NUISANCE ...... 01/12/1998 07/27/2020, [insert Federal Register cita- tion]. 7011.1015 ...... CONTROL REQUIREMENTS SCHED- 08/23/1993 07/27/2020, [insert Federal Register cita- ULE. tion].

COAL HANDLING FACILITIES

7011.1100 ...... DEFINITIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1105 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- CERTAIN COAL HANDLING FACILI- tion]. TIES. 7011.1110 ...... STANDARDS OF PERFORMANCE FOR 01/12/1998 07/27/2020, [insert Federal Register cita- EXISTING OUTSTATE COAL HAN- tion]. DLING FACILITIES. 7011.1115 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- PNEUMATIC COAL–CLEANING tion]. EQUIPMENT AND THERMAL DRY- ERS AT ANY COAL HANDLING FA- CILITY. 7011.1120 ...... EXEMPTION ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1125 ...... CESSATION OF OPERATIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1135 ...... PERFORMANCE TEST PROCEDURES 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7011.1140 ...... DUST SUPPRESSANT AGENTS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion].

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State Minnesota Title/subject adoption EPA approval date Comments citation date

WASTE COMBUSTORS

7011.1201 ...... DEFINITIONS ...... 10/11/2011 07/27/2020, [insert Federal Register cita- tion]. 7011.1205 ...... INCORPORATIONS BY REFERENCE .... 09/22/2014 07/27/2020, [insert Federal Register cita- tion].

INCINERATORS

7011.1300 ...... DEFINITIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1305 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- EXISTING SEWAGE SLUDGE INCIN- tion]. ERATORS. 7011.1310 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- NEW SEWAGE SLUDGE INCINER- tion]. ATORS. 7011.1315 ...... MONITORING OF OPERATIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1320 ...... PERFORMANCE TEST METHODS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7011.1325 ...... PERFORMANCE TEST PROCEDURES 11/29/1993 07/27/2020, [insert Federal Register cita- tion].

PETROLEUM REFINERIES

7011.1400 ...... DEFINITIONS ...... 10/18/1993 5/24/1995, 60 FR 27411. 7011.1405 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- EXISTING AFFECTED FACILITIES AT tion]. PETROLEUM REFINERIES. 7011.1410 ...... STANDARDS OF PERFORMANCE FOR 12/19/2016 07/27/2020, [insert Federal Register cita- NEW AFFECTED FACILITIES AT PE- tion]. TROLEUM REFINERIES. 7011.1415 ...... EXEMPTIONS ...... 01/12/1998 8/10/2011, 76 FR 49303. 7011.1420 ...... EMISSION MONITORING ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7011.1425 ...... PERFORMANCE TEST METHODS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7011.1430 ...... PERFORMANCE TEST PROCEDURES 11/29/1993 07/27/2020, [insert Federal Register cita- tion].

LIQUID PETROLEUM AND VOLATILE ORGANIC LIQUID STORAGE VESSELS

7011.1500 ...... DEFINITIONS ...... 06/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7011.1505 ...... STANDARDS OF PERFORMANCE FOR 08/23/1993 07/27/2020, [insert Federal Register cita- STORAGE VESSELS. tion]. 7011.1510 ...... MONITORING OF OPERATIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1515 ...... EXCEPTION ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion].

SULFURIC ACID PLANTS

7011.1600 ...... DEFINITIONS ...... 01/12/1998 07/27/2020, [insert Federal Register cita- tion]. 7011.1605 ...... STANDARDS OF PERFORMANCE OF 08/23/1993 07/27/2020, [insert Federal Register cita- EXISTING SULFURIC ACID PRODUC- tion]. TION UNITS. 7011.1615 ...... CONTINUOUS EMISSION MONITORING 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7011.1620 ...... PERFORMANCE TEST METHODS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1625 ...... PERFORMANCE TEST PROCEDURES 11/29/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1630 ...... EXCEPTIONS ...... 11/29/1993 07/27/2020, [insert Federal Register cita- tion].

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State Minnesota Title/subject adoption EPA approval date Comments citation date

NITRIC ACID PLANTS

7011.1700 ...... DEFINITIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1705 ...... STANDARDS OF PERFORMANCE FOR 01/12/1998 07/27/2020, [insert Federal Register cita- EXISTING NITRIC ACID PRODUC- tion]. TION UNITS. 7011.1715 ...... EMISSION MONITORING ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7011.1720 ...... PERFORMANCE TEST METHODS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.1725 ...... PERFORMANCE TEST PROCEDURES 11/29/1993 07/27/2020, [insert Federal Register cita- tion].

EMISSION STANDARDS FOR INORGANIC FIBROUS MATERIALS

7011.2100 ...... DEFINITIONS ...... 08/23/1993 07/27/2020, [insert Federal Register cita- tion]. 7011.2105 ...... SPRAYING OF INORGANIC FIBROUS 08/23/1993 07/27/2020, [insert Federal Register cita- MATERIALS. tion].

STATIONARY INTERNAL COMBUSTION ENGINES

7011.2300 ...... STANDARDS OF PERFORMANCE FOR 08/23/1993 07/27/2020, [insert Federal Register cita- STATIONARY INTERNAL COMBUS- tion]. TION ENGINES.

CHAPTER 7017 MONITORING AND TESTING REQUIREMENTS

7017.0100 ...... ESTABLISHING VIOLATIONS ...... 02/21/1995 07/27/2020, [insert Federal Register cita- tion].

COMPLIANCE ASSURANCE MONITORING

7017.0200 ...... INCORPORATION BY REFERENCE ...... 05/24/2004 07/27/2020, [insert Federal Register cita- tion].

CONTINUOUS MONITORING SYSTEMS

7017.1002 ...... DEFINITIONS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7017.1004 ...... APPLICABILITY ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1006 ...... REQUIREMENT TO INSTALL MONITOR 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1010 ...... INCORPORATION OF FEDERAL MONI- 03/01/1999 07/27/2020, [insert Federal Register cita- TORING REQUIREMENTS BY REF- tion]. ERENCE. 7017.1020 ...... CONTINUOUS EMISSION MONITORING 02/06/1995 07/27/2020, [insert Federal Register cita- BY AFFECTED SOURCES. tion]. 7017.1030 ...... AGENCY ACCESS TO WITNESS OR 03/01/1999 07/27/2020, [insert Federal Register cita- CONDUCT TESTS. tion]. 7017.1035 ...... TESTING REQUIRED ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1040 ...... INSTALLATION REQUIREMENTS ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1050 ...... MONITOR CERTIFICATION AND RE- 03/01/1999 07/27/2020, [insert Federal Register cita- CERTIFICATION TEST. tion]. 7017.1060 ...... PRECERTIFICATION TEST REQUIRE- 03/01/1999 07/27/2020, [insert Federal Register cita- MENTS. tion]. 7017.1070 ...... CERTIFICATION TEST PROCEDURES 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1080 ...... CERTIFICATION TEST REPORT RE- 12/19/2016 07/27/2020, [insert Federal Register cita- QUIREMENTS. tion]. 7017.1090 ...... MONITOR OPERATIONAL REQUIRE- 03/01/1999 07/27/2020, [insert Federal Register cita- MENTS. tion]. 7017.1100 ...... EVIDENCE OF NONCOMPLIANCE ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1110 ...... EXCESS EMISSIONS REPORTS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion].

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TABLE 1 TO PARAGRAPH (C)—EPA-APPROVED MINNESOTA REGULATIONS—Continued

State Minnesota Title/subject adoption EPA approval date Comments citation date

7017.1120 ...... SUBMITTALS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7017.1130 ...... RECORD KEEPING ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1135 ...... APPLICABILITY ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1140 ...... CEMS DESIGN REQUIREMENTS ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1150 ...... CEMS TESTING COMPANY REQUIRE- 03/01/1999 07/27/2020, [insert Federal Register cita- MENT. tion]. 7017.1160 ...... CEMS MONITORING DATA ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1170 ...... QUALITY ASSURANCE AND CONTROL 12/19/2016 07/27/2020, [insert Federal Register cita- REQUIREMENTS FOR CEMS. tion]. 7017.1180 ...... QUALITY CONTROL REPORTING AND 03/01/1999 07/27/2020, [insert Federal Register cita- NOTIFICATION REQUIREMENTS tion]. FOR CEMS. 7017.1185 ...... APPLICABILITY ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1190 ...... COMS DESIGN REQUIREMENTS ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1200 ...... COMS MONITORING DATA ...... 03/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7017.1215 ...... QUALITY ASSURANCE AND CONTROL 12/19/2016 07/27/2020, [insert Federal Register cita- REQUIREMENTS FOR COMS. tion]. 7017.1220 ...... QUALITY ASSURANCE AND CONTROL 03/01/1999 07/27/2020, [insert Federal Register cita- REPORTING REQUIREMENTS FOR tion]. COMS.

PERFORMANCE TESTS

7017.2001 ...... APPLICABILITY ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7017.2005 ...... DEFINITIONS ...... 11/19/2007 07/27/2020, [insert Federal Register cita- tion]. 7017.2010 ...... INCORPORATION OF TEST METHODS 03/04/1996 07/27/2020, [insert Federal Register cita- BY REFERENCE. tion]. 7017.2015 ...... INCORPORATION OF FEDERAL TEST- 12/19/2016 07/27/2020, [insert Federal Register cita- ING REQUIREMENTS BY REF- tion]. ERENCE. 7017.2017 ...... SUBMITTALS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7017.2020 ...... PERFORMANCE TESTS GENERAL RE- 11/19/2007 07/27/2020, [insert Federal Register cita- QUIREMENTS. tion]. 7017.2025 ...... OPERATIONAL REQUIREMENTS AND 12/19/2016 07/27/2020, [insert Federal Register cita- LIMITATIONS. tion]. 7017.2030 ...... PERFORMANCE TEST PRETEST RE- 03/01/1999 07/27/2020, [insert Federal Register cita- QUIREMENTS. tion]. 7017.2035 ...... PERFORMANCE TEST REPORTING 12/19/2016 07/27/2020, [insert Federal Register cita- REQUIREMENTS. tion]. 7017.2040 ...... CERTIFICATION OF PERFORMANCE 03/18/1996 07/27/2020, [insert Federal Register cita- TEST RESULTS. tion]. 7017.2045 ...... QUALITY ASSURANCE REQUIRE- 07/13/1998 07/27/2020, [insert Federal Register cita- MENTS. tion]. 7017.2050 ...... PERFORMANCE TEST METHODS ...... 12/19/2016 07/27/2020, [insert Federal Register cita- tion]. 7017.2060 ...... PERFORMANCE TEST PROCEDURES 12/19/2016 07/27/2020, [insert Federal Register cita- tion].

CHAPTER 7019 EMISSION INVENTORY REQUIREMENTS

7019.1000 ...... SHUTDOWNS AND BREAKDOWNS ...... 06/01/1999 07/27/2020, [insert Federal Register cita- tion]. 7019.3000 ...... EMISSION INVENTORY ...... 09/22/2014 07/27/2020, [insert Federal Register cita- Subparts 1 and 2 tion]. only 7019.3020 ...... CALCULATION OF ACTUAL EMIS- 12/19/2016 07/27/2020, [insert Federal Register cita- SIONS FOR EMISSION INVENTORY. tion]. 7019.3030 ...... METHOD OF CALCULATION ...... 09/22/2014 07/27/2020, [insert Federal Register cita- tion].

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TABLE 1 TO PARAGRAPH (C)—EPA-APPROVED MINNESOTA REGULATIONS—Continued

State Minnesota Title/subject adoption EPA approval date Comments citation date

7019.3040 ...... CONTINUOUS EMISSION MONITOR 03/01/1999 07/27/2020, [insert Federal Register cita- (CEM) DATA. tion]. 7019.3050 ...... PERFORMANCE TEST DATA ...... 09/22/2014 07/27/2020, [insert Federal Register cita- tion]. 7019.3060 ...... VOLATILE ORGANIC COMPOUND 08/05/1996 07/27/2020, [insert Federal Register cita- (VOC) MATERIAL BALANCE. tion]. 7019.3070 ...... SO2 MATERIAL BALANCE ...... 08/05/1996 07/27/2020, [insert Federal Register cita- tion]. 7019.3080 ...... EMISSION FACTORS ...... 11/19/2007 07/27/2020, [insert Federal Register cita- tion]. 7019.3090 ...... ENFORCEABLE LIMITATIONS ...... 08/05/1996 07/27/2020, [insert Federal Register cita- tion]. 7019.3100 ...... FACILITY PROPOSAL ...... 08/05/1996 07/27/2020, [insert Federal Register cita- tion].

CHAPTER 7023 MOBILE AND INDIRECT SOURCES

7023.0100 ...... DEFINITIONS ...... 10/18/1993 5/24/1995, 60 FR 27411. 7023.0105 ...... STANDARDS OF PERFORMANCE FOR 10/18/1993 5/24/1995, 60 FR 27411. MOTOR VEHICLES. 7023.0110 ...... STANDARDS OF PERFORMANCE FOR 10/18/1993 5/24/1995, 60 FR 27411. TRAINS, BOATS, AND CONSTRUC- TION EQUIPMENT. 7023.0115 ...... EXEMPTION ...... 10/18/1993 5/24/1995, 60 FR 27411. 7023.0120 ...... AIR POLLUTION CONTROL SYSTEMS 10/18/1993 5/24/1995, 60 FR 27411. RESTRICTIONS. 7023.1010 ...... DEFINITIONS ...... 01/08/1994 10/29/1999, 64 FR 58344. 7023.1015 ...... INSPECTION REQUIREMENT ...... 01/08/1994 10/29/1999, 64 FR 58344. 7023.1020 ...... DESCRIPTION OF INSPECTION AND 01/08/1994 10/29/1999, 64 FR 58344. DOCUMENTS REQUIRED. 7023.1025 ...... TAMPERING INSPECTION ...... 01/08/1994 10/29/1999, 64 FR 58344. 7023.1030 ...... EXHAUST EMISSION TEST ...... 01/08/1994 10/29/1999, 64 FR 58344. 7023.1035 ...... REINSPECTIONS ...... 01/08/1994 10/29/1999, 64 FR 58344. 7023.1040 ...... VEHICLE INSPECTION REPORT ...... 01/08/1994 10/29/1999, 64 FR 58344. 7023.1045 ...... CERTIFICATE OF COMPLIANCE ...... 01/08/1994 10/29/1999, 64 FR 58344. 7023.1050 ...... VEHICLE NONCOMPLIANCE AND RE- 01/08/1994 10/29/1999, 64 FR 58344. PAIR. 7023.1055 ...... CERTIFICATE OF WAIVER ...... 01/08/1994 10/29/1999, 64 FR 58344. 7023.1060 ...... EMISSION CONTROL EQUIPMENT IN- 01/08/1994 10/29/1999, 64 FR 58344. SPECTION AS A CONDITION OF WAIVER. 7023.1065 ...... REPAIR COST LIMIT AND LOW EMIS- 01/08/1994 10/29/1999, 64 FR 58344. SION ADJUSTMENT. 7023.1070 ...... CERTIFICATE OF TEMPORARY EX- 01/08/1994 10/29/1999, 64 FR 58344. TENSION, CERTIFICATE OF ANNUAL EXEMPTION, AND CERTIFICATE OF EXEMPTION. 7023.1075 ...... EVIDENCE OF MEETING STATE IN- 01/08/1994 10/29/1999, 64 FR 58344. SPECTION REQUIREMENTS. 7023.1080 ...... FLEET INSPECTION STATION PER- 01/08/1994 10/29/1999, 64 FR 58344. MITS, PROCEDURES, AND INSPEC- TION. 7023.1085 ...... INSPECTION STATIONS TESTING 01/08/1994 10/29/1999, 64 FR 58344. FLEET VEHICLES. 7023.1090 ...... EXHAUST GAS ANALYZER SPECIFICA- 01/08/1994 10/29/1999, 64 FR 58344. TIONS; CALIBRATION AND QUALITY CONTROL. 7023.1100 ...... PUBLIC NOTIFICATION ...... 01/08/1994 10/29/1999, 64 FR 58344. 7023.1105 ...... INSPECTION FEES ...... 01/08/1994 10/29/1999, 64 FR 58344.

MINNESOTA STATUTES

10A.07 ...... CONFLICTS OF INTEREST ...... 05/25/2013 11/2/2017, 82 FR 50807. 10A.09 ...... STATEMENTS OF ECONOMIC INTER- 05/23/2015 11/2/2017, 82 FR 50807. EST. 17.135 ...... FARM DISPOSAL OF SOLID WASTE .... 1993 5/24/1995, 60 FR 27411. Only item (a). 88.01 ...... DEFINITIONS ...... 1993 5/24/1995, 60 FR 27411. Only Subd. 1, 2, 3, 4, 6, 14, 20, 23, 24, 25, and 26. 88.02 ...... CITATION, WILDFIRE ACT ...... 1993 5/24/1995, 60 FR 27411.

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TABLE 1 TO PARAGRAPH (C)—EPA-APPROVED MINNESOTA REGULATIONS—Continued

State Minnesota Title/subject adoption EPA approval date Comments citation date

88.03 ...... CODIFICATION ...... 1993 5/24/1995, 60 FR 27411. 88.16 ...... STARTING FIRES; BURNERS; FAILURE 1993 5/24/1995, 60 FR 27411. Only Subd. 1 and 2. TO REPORT A FIRE. 88.17 ...... PERMISSION TO START FIRES; PROS- 1993 5/24/1995, 60 FR 27411. ECUTION FOR UNLAWFULLY STARTING FIRES. 88.171 ...... OPEN BURNING PROHIBITIONS ...... 1993 5/24/1995, 60 FR 27411. Only Subd. 1, 2, 5, 6, 7, 8, 9, and 10. 116.11 ...... EMERGENCY POWERS ...... 1983 07/27/2020, [insert Federal Register cita- tion].

TWIN CITIES NONATTAINMENT AREA FOR CARBON MONOXIDE

116.60 ...... 1999 10/29/1999, 64 FR 58344 Only Subd. 12. 116.61 ...... 1999 10/29/1999, 64 FR 58344 Only Subd. 1 and 3. 116.62 ...... 1999 10/29/1999, 64 FR 58344 Only Subd. 2, 3, 5, and 10. 116.63 ...... 1999 10/29/1999, 64 FR 58344 Only Subd. 4.

* * * * * PART 81—DESIGNATION OF AREAS ■ 4. Section 81.324 is amended by FOR AIR QUALITY PLANNING revising the entry ‘‘Otter Tail County’’ PURPOSES in the table entitled ‘‘MINNESOTA— PM–10’’ to read as follows: ■ 3. The authority citation for part 81 continues to read as follows: § 81.324 Minnesota. Authority: 42 U.S.C. 7401, et seq. * * * * *

MINNESOTA—PM–10

Designation Classification Designated area Date 1 Type Date 1 Type

******* Otter Tail County ...... Unclassifiable/Attainment.

******* 1 This date is , 1990, unless otherwise noted.

* * * * * direct final Notification of Deletion of However, this deletion does not [FR Doc. 2020–13469 Filed 7–24–20; 8:45 am] the Scrap Processing Co., Inc. preclude future actions under BILLING CODE 6560–50–P Superfund Site (Scrap Processing Site or Superfund. Site), located in Medford, Wisconsin, DATES: This direct final deletion is from the National Priorities List (NPL). effective September 25, 2020 unless ENVIRONMENTAL PROTECTION The NPL, promulgated pursuant to EPA receives adverse comments by AGENCY Section 105 of the Comprehensive August 26, 2020. If adverse comments Environmental Response, 40 CFR Part 300 are received, EPA will publish a timely Compensation, and Liability Act withdrawal of the direct final deletion [EPA–HQ–SFUND–SFUND–2005–0011; (CERCLA) of 1980, as amended, is an in the Federal Register informing the FRL–10012–63–Region 5] appendix of the National Oil and public that the deletion will not take Hazardous Substances Pollution effect. National Oil and Hazardous Contingency Plan (NCP). This direct ADDRESSES: Submit your comments, Substances Pollution Contingency final deletion is being published by EPA Plan; National Priorities List: Deletion identified by Docket ID No. EPA–HQ– with the concurrence of the State of SFUND–2005–0011, by one of the of the Scrap Processing Co., Inc. Wisconsin, through the Wisconsin Superfund Site following methods: Department of Natural Resources • https://www.regulations.gov. AGENCY: Environmental Protection (WDNR) because EPA has determined Follow the on-line instructions for Agency (EPA). that all appropriate response actions submitting comments. Once submitted, ACTION: Direct final rule. under CERCLA, other than operation comments cannot be edited or removed and maintenance, monitoring from Regulations.gov. EPA may publish SUMMARY: The Environmental Protection institutional controls, and five-year any comment received to its public Agency (EPA) Region 5 is publishing a reviews, have been completed. docket. Do not submit electronically any

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information you consider to be encryption, and be free of any defects or (Fund). As described in 40 CFR Confidential Business Information (CBI) viruses. 300.425(e)(3) of the NCP, sites deleted or other information whose disclosure is Docket: All documents in the docket from the NPL remain eligible for Fund- restricted by statute. Multimedia are listed in the https:// financed remedial actions if future submissions (audio, video, etc.) must be www.regulations.gov index, Docket ID conditions warrant such actions. accompanied by a written comment. No. EPA–HQ–SFUND–2005–0011. Section II of this preamble explains The written comment is considered the Although listed in the index, some the criteria for deleting sites from the official comment and should include information is not publicly available, NPL. Section III of this preamble discussion of all points you wish to e.g., CBI or other information whose discusses the procedures that EPA is make. EPA will generally not consider disclosure is restricted by statute. using for this action. Section IV of this comments or comment contents located Certain other material, such as preamble discusses where to access and outside of the primary submission (i.e., copyrighted material, will be publicly review information that demonstrates on the web, cloud, or other file sharing available only in hard copy. Publicly how the deletion criteria have been met system). For additional submission available docket materials are available at the Scrap Processing Site. Section V methods, the full EPA public comment electronically at https:// of this preamble discusses EPA’s action policy, information about CBI or www.regulations.gov and at https:// to delete the Scrap Processing Site from multimedia submissions, and general www.epa.gov/superfund/scrap- the NPL unless adverse comments are guidance on making effective processing or you may contact the received during the public comment comments, please visit https:// person identified in the FOR FURTHER period. INFORMATION CONTACT section for www.epa.gov/dockets/commenting-epa- II. NPL Deletion Criteria dockets. additional availability information. • Email: Deletions@ The EPA is temporarily suspending The NCP establishes the criteria that usepa.onmicrosoft.com. its Docket Center and Regional Records EPA uses to delete sites from the NPL. Written comments submitted by mail Centers for public visitors to reduce the In accordance with 40 CFR 300.425(e), are temporarily suspended and no hand risk of transmitting COVID–19. In sites may be deleted from the NPL deliveries will be accepted. We addition, many site information where no further response is encourage the public to submit repositories are closed and information appropriate. In making such a comments via email or at https:// in these repositories, including the determination pursuant to 40 CFR www.regulations.gov. deletion docket, has not been updated 300.425(e), EPA will consider, in consultation with the State, whether any Instructions: Direct your comments to with hardcopy or electronic media. For of the following criteria have been met: Docket ID No. EPA–HQ–SFUND–2005– further information and updates on EPA i. Responsible parties or other persons 0011. EPA’s policy is that all comments Docket Center services, please visit us have implemented all appropriate received will be included in the public online at https://www.epa.gov/dockets. The EPA continues to carefully and response actions required; docket without change and may be ii. All appropriate Fund-financed made available online at https:// continuously monitor information from the Centers for Disease Control and response under CERCLA has been www.regulations.gov, including any implemented, and no further response personal information provided, unless Prevention (CDC), local area health departments, and our Federal partners action by responsible parties is the comment includes information appropriate; or claimed to be Confidential Business so that we can respond rapidly as conditions change regarding COVID–19. iii. The remedial investigation has Information (CBI) or other information shown that the release poses no whose disclosure is restricted by statute. FOR FURTHER INFORMATION CONTACT: Karen Cibulskis, NPL Deletion significant threat to public health or the Do not submit information that you environment and, therefore, the taking consider to be CBI or otherwise Coordinator, U.S. Environmental Protection Agency Region 5, at (312) of remedial measures is not appropriate. protected through https:// Pursuant to CERCLA Section 121(c) www.regulations.gov or email. The 886–1843 or via email at [email protected]. and the NCP, EPA conducts five-year https://www.regulations.gov website is reviews to ensure the continued SUPPLEMENTARY INFORMATION: an ‘‘anonymous access’’ system, which protectiveness of remedial actions means EPA will not know your identity Table of Contents where hazardous substances, pollutants, or contact information unless you or contaminants remain at a site above provide it in the body of your comment. I. Introduction II. NPL Deletion Criteria levels that allow for unlimited use and If you send an email comment directly III. Deletion Procedures unrestricted exposure. EPA conducts to EPA without going through https:// IV. Basis for Site Deletion such five-year reviews even if a site is www.regulations.gov, your email V. Deletion Action deleted from the NPL. EPA may initiate address will be automatically captured I. Introduction further action to ensure continued and included as part of the comment protectiveness at a deleted site if new that is placed in the public docket and EPA Region 5 is publishing this direct information becomes available that made available on the internet. If you final Notification of Deletion of the indicates it is appropriate. Whenever submit an electronic comment, EPA Scrap Processing Site from the NPL. The there is a significant release from a site recommends that you include your NPL constitutes Appendix B of 40 CFR deleted from the NPL, the deleted site name and other contact information in part 300, which is the NCP, which EPA may be restored to the NPL without the body of your comment and with any promulgated pursuant to Section 105 of application of the hazard ranking disk or CD–ROM you submit. If EPA CERCLA of 1980, as amended. EPA system. cannot read your comment due to maintains the NPL as the list of sites technical difficulties and cannot contact that appear to present a significant risk III. Deletion Procedures you for clarification, EPA may not be to public health, welfare, or the The following procedures apply to able to consider your comment. environment. Sites on the NPL may be deletion of the Scrap Processing Site: Electronic files should avoid the use of the subject of remedial actions financed (1) EPA consulted with the State of special characters, any form of by the Hazardous Substance Superfund Wisconsin prior to developing this

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direct final Notification of Deletion and EPA–HQ–SFUND–2005–0011 and at ENVIRONMENTAL PROTECTION the Notification of Intent to Delete co- https://www.epa.gov/superfund/scrap- AGENCY published today in the ‘‘Proposed processing. Rules’’ section of the Federal Register. 40 CFR Part 721 V. Deletion Action (2) EPA has provided the State thirty [EPA–HQ–OPPT–2013–0225; FRL–10010– (30) working days for review of this EPA, with concurrence of the State of 44] action and the parallel Notification of Wisconsin, through the WDNR, has Intent to Delete prior to their RIN 2070–AJ99 determined that all appropriate publication today, and the State, through the WDNR, concurred with the response actions under CERCLA, other Long-Chain Perfluoroalkyl Carboxylate deletion of the Scrap Processing Site than operation and maintenance, and Perfluoroalkyl Sulfonate Chemical from the NPL on July 16, 2020. monitoring institutional controls, and Substances; Significant New Use Rule five-year reviews have been completed (3) Concurrently with the publication AGENCY: at the Scrap Processing Site. Therefore, Environmental Protection of this direct final Notification of Agency (EPA). Deletion, an announcement of the EPA is deleting the Scrap Processing ACTION: Final rule. availability of the parallel Notification Site from the NPL. of Intent to Delete is being published in Because EPA considers this action to SUMMARY: Under the Toxic Substances a major local newspaper, The Star be noncontroversial and routine, EPA is Control Act (TSCA), the Environmental News. The newspaper advertisement taking it without prior publication. This Protection Agency (EPA) is finalizing announces the 30-day public comment action will be effective September 25, amendments to the significant new use period concerning the Notification of 2020 unless EPA receives adverse rule (SNUR) for long-chain Intent to Delete the Scrap Processing comments by August 26, 2020. If perfluoroalkyl carboxylate (LCPFAC) Site from the NPL. adverse comments are received within chemical substances that were proposed (4) EPA placed copies of documents the 30-day public comment period, EPA on January 21, 2015; an amendment to supporting the proposed deletion in the will publish a timely withdrawal of this a SNUR for perfluoroalkyl sulfonate deletion docket and made these items direct final Notification of Deletion chemical substances that was proposed available for public inspection and before its effective date and the deletion on January 21, 2015; and an amendment copying at https://www.regulations.gov, will not take effect. EPA will prepare a to make inapplicable the exemption for Docket ID No. EPA–HQ–SFUND–2005– response to comments and continue persons who import a subset of LCPFAC 0011 and at https://www.epa.gov/ with the deletion process on the basis of chemical substances as part of surface superfund/scrap-processing. the Notification of Intent to Delete and coatings on articles, which was If adverse comments are received the comments already received. There proposed on , 2020. This final within the 30-day public comment will be no additional opportunity to rule requires persons to notify EPA at period on this deletion action, EPA will comment. least 90 days before commencing the publish a timely notice of withdrawal of manufacture (including import) or this direct final Notification of Deletion List of Subjects in 40 CFR Part 300 processing of these chemical substances in the Federal Register before its for the significant new uses described in Environmental protection, Air effective date and will prepare a this notice. The required significant new pollution control, Chemicals, Hazardous response to comments and continue use notification initiates EPA’s substances, Hazardous waste, with the deletion process on the basis of evaluation of the conditions of use Intergovernmental relations, Penalties, the Notification of Intent to Delete and associated with the significant new use. Reporting and recordkeeping the comments already received. Manufacturing (including import) or Deletion of a site from the NPL does requirements, Superfund, Water processing for the significant new use not itself create, alter, or revoke any pollution control, Water supply. are prohibited from commencing until individual’s rights or obligations. Dated: , 2020. EPA has conducted a review of the Deletion of a site from the NPL does not notice, made an appropriate in any way alter EPA’s right to take Kurt Thiede, determination on the notice, and taken enforcement actions, as appropriate. Regional Administrator, Region 5. such actions as are required in The NPL is designed primarily for For the reasons set out in this association with that determination. As informational purposes and to assist document, 40 CFR part 300 is amended with any SNUR, this final rule excludes EPA management. Section 300.425(e)(3) as follows: ongoing uses. Ongoing uses cannot be of the NCP states that the deletion of a subject to a SNUR. site from the NPL does not preclude PART 300—NATIONAL OIL AND eligibility for future response actions, DATES: This final rule is effective HAZARDOUS SUBSTANCES September 25, 2020. should future conditions warrant such POLLUTION CONTINGENCY PLAN actions. ADDRESSES: The docket for this action, identified by docket identification (ID) IV. Basis for Site Deletion ■ 1. The authority citation for part 300 number EPA–HQ–OPPT–2013–0225, is The EPA placed a copy of its Final continues to read as follows: available at http://www.regulations.gov Close Out Report for the Site and other Authority: 33 U.S.C. 1251 et seq. or at the Office of Pollution Prevention documents supporting the proposed and Toxics Docket (OPPT Docket), deletion in the deletion docket. The Appendix B to Part 300—[Amended] Environmental Protection Agency material provides the explanation of Docket Center (EPA/DC), West William ■ EPA’s rationale for the deletion and 2. Table 1 of Appendix B to part 300 Jefferson Clinton Bldg., Rm. 3334, 1301 demonstrates how it meets the deletion is amended by removing the entry ‘‘WI,’’ Constitution Ave. NW, Washington, DC. criteria. This information is made ‘‘Scrap Processing Co., Inc.’’, The Public Reading Room is open from available for public inspection in the ‘‘Medford’’. 8:30 a.m. to 4:30 p.m., Monday through deletion docket available at https:// [FR Doc. 2020–16248 Filed 7–24–20; 8:45 am] Friday, excluding legal holidays. The www.regulations.gov, Docket ID No. BILLING CODE 6560–50–P telephone number for the Public

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Reading Room is (202) 566–1744, and assist you and others in determining • The extent to which a use increases the telephone number for the OPPT whether this action might apply to the magnitude and duration of exposure Docket is (202) 566–0280. Please review certain entities. of human beings or the environment to the visitor instructions and additional This action may affect certain entities a chemical substance, information about the docket available through pre-existing import certification • The reasonably anticipated manner at http://www.epa.gov/dockets. and export notification rules under and methods of manufacturing, FOR FURTHER INFORMATION CONTACT: TSCA. Persons who import any processing, distribution in commerce, For technical information contact: chemical substance governed by a final and disposal of a chemical substance. Tyler Lloyd, Chemical Control Division SNUR are subject to the TSCA section In addition to these factors (7405M), Office of Pollution Prevention 13 (15 U.S.C. 2612) import certification enumerated in TSCA section 5(a)(2), the and Toxics, Environmental Protection requirements and the corresponding statute authorizes EPA to consider any Agency, 1200 Pennsylvania Ave. NW, regulations at 19 CFR 12.118 through other relevant factors. Once EPA Washington, DC 20460–0001; telephone 12.127; see also 19 CFR 127.28. Those determines that a use of a chemical number: (202) 564–4016; email address: persons must certify that the shipment substance is a significant new use, [email protected]. of the chemical substance complies with TSCA section 5(a)(1)(B)(i) requires For general information contact: The all applicable rules and orders under persons to submit a significant new use TSCA-Hotline, ABVI-Goodwill, 422 TSCA, including any SNUR notice (SNUN) to EPA at least 90 days South Clinton Ave., Rochester, NY requirements. The EPA policy in before they manufacture (including 14620; telephone number: (202) 554– support of import certification appears import) or process the chemical 1404; email address: TSCA-Hotline@ at 40 CFR part 707, subpart B. substance for that use (15 U.S.C. epa.gov. Additionally, persons who export or 2604(a)(1)(B)(i)). TSCA furthermore intend to export a chemical substance prohibits such manufacturing or SUPPLEMENTARY INFORMATION: that is the subject of a proposed or final processing from commencing until EPA I. Executive Summary SNUR are subject to the export has conducted a review of the notice, notification provisions of TSCA section made an appropriate determination on A. Does this action apply to me? 12(b) (15 U.S.C. 2611(b); see also 40 CFR the notice, and taken such actions as are You may be potentially affected by part 707, subpart D and 40 CFR 721.20). required in association with that this action if you manufacture Under the existing TSCA import determination (15 U.S.C. (including import), process, or certification and export notification 2604(a)(1)(B)(ii)). Additionally, TSCA distribute in commerce chemical rules, persons who import a chemical section 5(a)(5) (15 U.S.C. 2604(a)(5)), as substances and mixtures in the class of substance covered under this final rule amended in 2016, authorizes EPA to long-chain perfluoroalkyl carboxylate as part of an article would be exempt require notification for the import or (LCPFAC) and perfluoroalkyl sulfonate from TSCA section 13 import processing of a chemical substance as chemical substances. The following list certification, and persons who export or part of an article or category of articles of North American Industrial intend to export a chemical substance as under TSCA section 5(a)(1)(A)(ii) (15 Classification System (NAICS) codes is part of an article would be exempt from U.S.C. 2604(a)(1)(A)(ii)) if EPA makes an not intended to be exhaustive, but rather the TSCA section 12(b) export affirmative finding in a rule under provides a guide to help readers notification requirements. See Unit V. TSCA section 5(a)(2) (15 U.S.C. determine whether this document for more information on the 2604(a)(2)) that the reasonable potential applies to them. Potentially affected applicability of the import certification for exposure to the chemical substance entities may include: and export notification requirements. through the article or category of articles • Manufacturers (including If you have any questions regarding subject to the rule justifies notification. importers) of one or more of subject the applicability of this action to a As described in Unit V., the general chemical substances (NAICS codes 325 particular entity, consult the technical SNUR provisions are found at 40 CFR and 324110); e.g., chemical information contact listed under FOR part 721, subpart A. manufacturing and petroleum refineries. FURTHER INFORMATION CONTACT. C. What action is the Agency taking? • Fiber, yarn, and thread mills B. What is the Agency’s authority for In the Federal Register of January 21, (NAICS code 31311). taking this action? • Carpet and rug mills (NAICS code 2015 (80 FR 2885) (FRL–9915–63), EPA 314110). TSCA section 5(a)(2) (15 U.S.C. proposed a SNUR for Long-Chain • Home furnishing merchant 2604(a)(2)) authorizes EPA to determine Perfluoroalkyl Carboxylate and wholesalers (NAICS code 423220). that a use of a chemical substance is a Perfluoroalkyl Sulfonate Chemical • Carpet and upholstery cleaning ‘‘significant new use.’’ EPA must make Substances (Ref. 1). In the Federal services (NAICS code 561740). this determination by rule after Register of March 3, 2020 (85 FR 12479) • Manufacturers of computer and considering all relevant factors, (FRL–10003–21) (Ref. 2), EPA other electronic products, appliances, including those listed in TSCA section supplemented the 2015 proposed SNUR and components (NAICS codes 324 and 5(a)(2). TSCA section 5(a)(2) (15 U.S.C. to be responsive to the article 335). 2604(a)(2)) states that EPA’s consideration provision at section • Manufacturers of surgical and determination that a use of a chemical 5(a)(5), added with the passage of the medical instruments (NAICS 339112). substance is a significant new use must Frank R. Lautenberg Chemical Safety for • Merchant wholesalers (NAICS be made after consideration of the the 21st Century Act (Lautenberg Act), codes 423 and 424). following factors: which states that articles can be subject • Stores and retailers (NAICS codes • The projected volume of to notification requirements as a 442, 442, 444, 448, 451, 454). manufacturing and processing of a significant new use provided that EPA • Providers of other support services chemical substance, makes an affirmative finding in a rule (NAICS code 561990). • The extent to which a use changes that the reasonable potential for Other types of entities not listed in the type or form of exposure of human exposure to a chemical from an article this unit could also be affected. The beings or the environment to a chemical or category of articles justifies NAICS codes have been provided to substance, notification.

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EPA’s response to public comments carpets. The second significant new use This Economic Analysis (Ref. 4), which received on both the 2015 proposed rule date is , 2015, for the is available in the docket, is discussed and the 2020 supplemental proposed manufacturing or processing of a subset in Unit IX., and is briefly summarized rule are provided in a Response to of LCPFAC chemical substances, those here. Comments document that is available in listed in the list of LCPFAC chemical In the event that a SNUN is the docket and summarized in Unit XII. substances in Unit II. for any use. The submitted, costs are estimated to be (Ref. 3). Please consult the Federal chemical substances listed in the list of approximately $23,000 per SNUN Register documents of January 21, 2015 LCPFAC chemical substances in Unit II. submission for large business submitters (Ref. 1) and March 3, 2020 (Ref. 2) for correspond to the chemical substances and about $10,000 for small business further background information for this that the principal manufacturers and submitters. The rule may also affect final rule. processors of LCPFAC chemical firms that plan to import articles that This final SNUR will require persons substances participating in the 2010/ may be subject to the SNUR. Although to notify EPA at least 90 days before 2015 PFOA Stewardship Program there are no specific requirements in the commencing: agreed to phaseout by the end of 2015. rule for these firms, they may choose to 1. The manufacturing (including Ongoing uses are described in the undertake some activity to assure importing) or processing of a subset of Response to Comment for this rule (Unit themselves that they are not LCPFAC chemical substances for any XII. and Ref. 3) and are reflected in undertaking a significant new use. In use that was not ongoing after December updates to the regulatory text. the accompanying Economic Analysis 31, 2015; In the supplement to the proposed for this SNUR (Ref. 4), EPA provides 2. The manufacturing (including rule (Ref. 2), EPA requested comment on example steps (and their respective importing) or processing of all other whether EPA could adopt a de minimis costs) that an importer might take to LCPFAC chemicals substances for threshold for determining ‘‘reasonable identify LCFPAC chemical substances which there were no ongoing uses as of potential for exposure’’ and if so, how in articles. These can include gathering January 21, 2015 (the date of the original that de minimis threshold could be information through agreements with 2015 proposal); established. Additionally, EPA suppliers, declarations through 3. The import of a subset of LCPFAC requested comment on whether or not databases or surveys, or use of a third- chemicals as part of a surface coating on the Agency should include a safe harbor party certification system. EPA is unable articles; and provision for importers of articles that to predict, however, what, if any, 4. The import of perfluoroalkyl can demonstrate their use was ongoing particular steps an importer might take; sulfonate chemical substances as part of prior to the effective date of this rule. thus, potential total costs were not carpets. EPA appreciates the comments received. estimated. Importers may require This final SNUR will preclude the In this final rule, EPA is not finalizing suppliers to provide certificates of commencement of such manufacturing a de minimis threshold for determining testing analysis of the products or and processing until EPA has conducted ‘‘reasonable potential for exposure’’ or a perform their own laboratory testing of a review of the notice, made an safe harbor provision. EPA will, certain articles. An estimate of article appropriate determination on the notice, however, continue to engage with testing cost is provided in Exhibit 3–7 and taken such actions as are required interested stakeholders on these two of the Economic Analysis. While testing in association with that determination. issues. A further discussion of the costs will vary depending on the In the Federal Register of April 24, comments received relating to a de specific chemical being tested for, the 1990 (55 FR 17376; FRL–3658–5), EPA minimis threshold and a safe harbor complexity of the article and sample decided that the intent of TSCA section provision are included in the Response preparation required, and the exact fees 5(a)(1)(B) is best served by designating to Comment for this rule (Unit XII. and of the laboratory chosen for the analysis, a use as a significant new use as of the Ref. 3). an average of $150 per article tested is date of publication of the proposed rule given in the Exhibit. rather than as of the effective date of the D. Why is the Agency taking this action? final rule. Uses arising after the These SNUR amendments are II. Chemical Substances Subject to This publication of the proposed rule are necessary to ensure that EPA receives Rule distinguished from uses that exist at timely advance notice of any future This final SNUR modifies the publication of the proposed rule. The manufacturing (including importing) requirements for a subset of LCPFAC former would be new uses, the latter and processing of LCPFAC and chemical substances in the existing would be ongoing uses, except that uses perfluoroalkyl sulfonate chemical SNUR at 40 CFR 721.10536 by: that are ongoing as of the publication of substances for new uses that . Designating manufacturing the proposed rule would not be produce changes in human and (including importing) or processing of considered ongoing uses if they have environmental exposures. Additionally, LCPFAC chemical substances listed in ceased by the date of issuance of a final section 7352 of the National Defense the list of LCPFAC chemical substances rule. This rule was published on Authorization Act of 2020 mandates in this unit for any use that was no January 21, 2015 and contains two that EPA take final action on the 2015 longer ongoing after December 31, 2015, significant new use dates. The first proposal no later than , 2020. as a significant new use; and significant new use date is the date that The rationale and objectives for this 2. Designating manufacturing the 2015 proposed rule published and rule are explained in Unit III. (including importing) or processing of applies to: The manufacturing or perfluorooctanoic acid (PFOA) or its processing of all LCPFAC chemicals E. What are the estimated incremental salts, which are considered LCPFAC substances, other than those listed in impacts of this action? chemical substances, and all other the list of LCPFAC chemical substances EPA has evaluated the potential costs LCPFAC chemical substances for any in Unit II.; the import of articles of establishing SNUR reporting use not ongoing as of January 21, 2015, containing a subset of LCPFAC chemical requirements for potential the date on which the proposed rule substances as part of a surface coating; manufacturers (including importers) was published, as a significant new use. and the import of perfluoroalkyl and processors of the chemical For this final SNUR, EPA is also sulfonate chemical substances as part of substances included in this final rule. making the exemption at 40 CFR

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721.45(f) inapplicable for persons who Pentacosafluorotetradecan-1-ol (CASRN • Polyfluoroalkyl betaine (generic) import LCPFAC chemical substances 39239–77–5; TSCA Chemical Inventory (CASRN is CBI; EPA Accession No. listed in the list of LCPFAC chemical Name: 1-Tetradecanol, 71217; TSCA Chemical Inventory Name: substances in this unit and PFOA or its 3,3,4,4,5,5,6,6,7,7,8,8, Polyfluoroalkyl betaine salts (see examples in this unit) as part 9,9,10,10,11,11,12,12,13,13,14,14,14- (PROVISIONAL)). of a surface coating on articles because pentacosafluoro-). • Modified fluoroalkyl urethane there is reasonable potential for • 3,3,4,4,5,5,6,6,7,7,8,8,9,9, (generic) (CASRN is CBI; EPA Accession exposure to LCPFAC chemical 10,10,11,11,12,12,13,13,14, No. 89419; TSCA Chemical Inventory substances, including PFOA, if these 14,15,15,16,16,16- Name: Modified fluoroalkyl urethane chemical substances are incorporated as Nonacosafluorohexadecan-1-ol (CASRN (PROVISIONAL)). surface coatings in articles and then 60699–51–6; TSCA Chemical Inventory • Perfluorinated polyamine (generic) imported. As was originally proposed in Name: 1-Hexadecanol, 3,3,4,4,5,5,6,6, (CASRN is CBI; EPA Accession No. 2015, the article exemption still applies 7,7,8,8,9,9,10,10,11,11,12,12,13,13,14, 274147; TSCA Chemical Inventory to LCPFAC chemical substances not 14,15,15,16,16,16-nonacosafluoro-). Name: Perfluorinated polyamine listed in this unit or that are not PFOA • 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7, (PROVISIONAL)). or its salts, with the exception of the 8,8,9,9,10,10,11,11,12,12,13,13,14,14- The term LCPFAC refers to the long- import of carpets, for which the import Nonacosafluoro-16-iodohexadecane chain category of perfluorinated exemption is already inapplicable (78 (CASRN 65510–55–6; TSCA Chemical carboxylate chemical substances with FR 62443, , 2013; FRL–9397– Inventory Name: Hexadecane, perfluorinated carbon chain lengths 1). The other provision of 40 CFR 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8, equal to or greater than seven carbons 721.45(f), respecting processing a 9,9,10,10,11,11,12,12,13,13,14,14- and less than or equal to 20 carbons. nonacosafluoro-16-iodo-). The category of LCPFAC chemical chemical substance as part of an article, • remains applicable. These LCPFAC Sodium;2-methylpropane-1- substances also includes the salts and chemical substances are: sulfonate (CASRN 68187–47–3; TSCA precursors of these perfluorinated • Perfluorooctyl iodide (CAS Registry Chemical Inventory Name: 1- carboxylates. See Unit II.A. of the 2015 No. (CASRN) 507–63–1; TSCA Chemical Propanesulfonic acid, 2-methyl-, 2-[[1- proposed rule (Ref. 1) for further Inventory Name: Octane, oxo-3-[(.gamma.-.omega.-perfluoro- C4– discussion of the LCPFAC category. In 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8- 16-alkyl)thio]propyl]amino] derivs., addition to the subset of LCPFAC sodium salts). chemical substances identified in the heptadecafluoro-8-iodo-). • • Tetrahydroperfluoro-1-decanol 1,1,2,2-Tetrahydroperfluoroalkyl list above, PFOA and its salts are subject (CASRN 678–39–7; TSCA Chemical (C8–C14) alcohol (CASRN 68391–08–2; to the final rule. PFOA and its salts are Inventory Name: 1-Decanol, TSCA Chemical Inventory Name: considered LCPFAC chemical 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- Alcohols, C8–14, .gamma.-.omega.- substances. PFOA and examples of perfluoro). PFOA salts with CASRNs and chemical heptadecafluoro-). • • Perfluoro-1-dodecanol (CASRN Thiols, C8–20, gamma-omega- names are as follows: 865–86–1; TSCA Chemical Inventory perfluoro, telomers with acrylamide • Pentadecafluorooctanoyl fluoride Name: 1-Dodecanol, (CASRN 70969–47–0; TSCA Chemical (CASRN 335–66–0; TSCA Chemical 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10, Inventory Name: Thiols, C8–20, Inventory Name: Octanoyl fluoride, 10,11,11,12,12,12-heneicosafluoro-). .gamma.-.omega.-perfluoro, telomers 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- • Perfluorodecyl iodide (CASRN with acrylamide). pentadecafluoro-). • 2043–53–0; TSCA Chemical Inventory Silicic acid (H4SiO4), sodium salt • Perfluorooctanoic acid (CASRN Name: Decane, 1,1,1,2,2,3,3,4,4,5,5 (1:2), reaction products with 335–67–1; TSCA Chemical Inventory ,6,6,7,7,8,8-heptadecafluoro-10-iodo-). chlorotrimethylsilane and Name: Octanoic acid, 2,2,3,3,4,4,5,5,6, • 1,1,2,2-Tetrahydroperfluorododecyl 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- 6,7,7,8,8,8-pentadecafluoro- (PFOA)). iodide (CASRN 2043–54–1; TSCA heptadecafluoro-1-decanol (CASRN • Silver perfluorooctanoate (CASRN Chemical Inventory Name: Dodecane, 125476–71–3; TSCA Chemical 335–93–3; TSCA Chemical Inventory 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10, Inventory Name: Silicic acid (H4SiO4), Name: Octanoic acid, 10-heneicosafluoro-12-iodo-). sodium salt (1:2), reaction products with 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- • Perfluorodecylethyl acrylate chlorotrimethylsilane and pentadecafluoro-, silver (+) salt (1:1)). (CASRN 17741–60–5; TSCA Chemical 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- • Sodium perfluorooctanoate Inventory Name: 2-Propenoic acid, heptadecafluoro-1-decanol). (CASRN 335–95–5; TSCA Chemical 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11, • Thiols, C4–20, gamma-omega- Inventory Name: Octanoic acid, 12,12,12-heneicosafluorododecyl ester). perfluoro, telomers with acrylamide and 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- • 1,1,2,2-Tetrahydroperfluorodecyl acrylic acid, sodium salts) (CASRN pentadecafluoro-, sodium salt (1:1)). acrylate (CASRN 27905–45–9; TSCA 1078712–88–5; TSCA Chemical • Potassium perfluorooctanoate Chemical Inventory Name: 2-Propenoic Inventory Name: Thiols, C4–20, (CASRN 2395–00–8; TSCA Chemical acid, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- .gamma.-.omega.-perfluoro, telomers Inventory Name: Octanoic acid, heptadecafluorodecyl ester). with acrylamide and acrylic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- • 1,1,1,2,2,3,3,4,4,5,5,6,6, sodium salts). pentadecafluoro-, potassium salt (1:1)). 7,7,8,8,9,9,10,10,11,11,12,12- • 1-Propanaminium, 3-amino-N- • Ammonium perfluorooctanoate Pentacosafluoro-14-iodotetradecane (carboxymethyl)-N,N-dimethyl-, N-(2- (CASRN 3825–26–1; TSCA Chemical (CASRN 30046–31–2; TSCA Chemical ((gamma-omega-perfluoro-C4–20- Inventory Name: Octanoic acid, Inventory Name: Tetradecane, alkyl)thio)acetyl) derivs., inner salts 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- 1,1,1,2,2,3,3,4,4,5,5,6,6, (CASRN 1078715–61–3; TSCA Chemical pentadecafluoro-, ammonium salt (1:1) 7,7,8,8,9,9,10,10,11,11,12,12- Inventory Name: 1-Propanaminium, 3- (APFO). pentacosafluoro-14-iodo-). amino-N-(carboxymethyl)-N,N- EPA is also amending the existing • 3,3,4,4,5,5,6,6,7,7, dimethyl-, N-[2-[(.gamma.-.omega.- SNUR at 40 CFR 721.9582 for 8,8,9,9,10,10,11,11, perfluoro-C4–20-a lkyl)thio]acetyl] perfluoroalkyl sulfonate chemical 12,12,13,13,14,14,14- derivs., inner salts). substances to make the exemption at 40

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CFR 721.45(f) inapplicable for persons which can exist in the anionic form perfluoroalkyl sulfonates are no longer who import perfluoroalkyl sulfonate under certain environmental conditions imported as part of carpets. EPA is chemical substances as part of carpets, (Ref. 15). PFASA is highly persistent in concerned that the manufacturing or which is being finalized as proposed. the environment and has a tendency to processing of these chemical substances The perfluoroalkyl sulfonate chemical bioaccumulate (Ref. 15). While most for significant new uses could be substances for which EPA is modifying studies of perfluoroalkyl sulfonate reinitiated in the future. If reinitiated, an existing SNUR are currently listed in chemical substances to date have EPA believes that such use could 40 CFR 721.9582(a)(1). In this rule, focused primarily on perfluorooctane significantly increase the magnitude and which is consistent with the proposal sulfonate (PFOS), structure-activity duration of exposure to humans and the and 40 CFR 721.9582, the term relationship analysis indicates that the environment to these chemical perfluoroalkyl sulfonates refers to a results of those studies are applicable to substances. category of perfluorinated sulfonate the entire category. Available test data 2. Identification of Significant New Uses chemical substances of any chain have raised concerns about their length. In the 2015 proposed rule, as potential developmental, reproductive, Consistent with EPA’s past practice was past practice, perfluoroalkyl and systemic toxicity (Refs. 5, 6, 13, and for issuing SNURs under TSCA section sulfonates chemical substances were 19). 5(a)(2), EPA’s decision to propose a referred to as ‘‘PFAS’’ chemical In the absence of a regulation, SNUR for a particular use of a chemical substances. EPA, however, recognizes manufacture or processing for the substance is not based on an extensive that the acronym PFAS is now used for significant new uses proposed on evaluation of the hazard, exposure, or ‘‘perfluoroalkyl and polyfluoroalkyl January 21, 2015 (Ref. 1), may begin at potential risk associated with that use. substances.’’ Moving forward, EPA will any time, without prior notice to EPA. Rather, EPA’s determination that a use use PFAS as an acronym for As explained in the January 21, 2015, constitutes a significant new use perfluoroalkyl and polyfluoroalkyl proposal (Ref. 1), EPA is concerned that requires a notice, upon receipt of which substances. commencement of the manufacture or EPA would conduct an assessment. If a processing for any new uses, including person decides to begin manufacturing III. Rationale and Objectives resumption of past uses, of LCPFAC and or processing any of these chemicals for A. Rationale perfluoroalkyl sulfonate chemical a significant new use, the notice to EPA substances could increase the allows the Agency to evaluate the use 1. Known Exposures to LCPFAC and magnitude and duration of exposure to according to the specific parameters and Perfluoroalkyl Sulfonate Substances humans and the environment. circumstances surrounding the LCPFAC and perfluoroalkyl sulfonate The manufacture of LCPFAC chemical conditions of use. chemical substances have been found in substances listed in Unit II. was 3. Basis for Lifting the Article the blood of the general human discontinued after December 31, 2015, Exemption population, as well as in wildlife, as committed by the principal indicating that exposure to these manufacturers and processors of Enacted on June 22, 2016, the Frank chemical substances is widespread LCPFAC chemical substances R. Lautenberg Chemical Safety for the (Refs. 5, 6, and 7). PFOA and its salts, participating in the 2010/2015 PFOA 21st Century Act (Pub. L. 114–182) which are considered LCPFAC chemical Stewardship Program. Given that these amended several sections of TSCA and substances, have been a primary focus chemical substances have been added section 5(a)(5), Article of studies related to the LCPFAC class discontinued, EPA expects the presence Consideration, which states that EPA of chemical substances. PFOA is of LCPFAC chemical substances in ‘‘may require notification under this persistent, widely present in humans humans and the environment to decline section for the import or processing of and the environment, has a half-life in over time as has been observed in the a chemical substance as part of an humans of 2.3–3.8 years, and can cause past when production and use of other article or category of articles’’ if EPA adverse effects in laboratory animals, persistent chemicals have ceased (Ref. affirmatively finds in a rule under including cancer and developmental 20). At this time, EPA is aware, and has section 5(a)(2) that the reasonable and systemic toxicity (Refs. 5, 8, 9, 10, provided an exemption for, the potential for exposure to the chemical and 11). Human epidemiology data processing of select chemical substances substance through the article or category report associations between PFOA listed in Unit II. that continues from the of articles justifies notification. In the exposure and high cholesterol, use of existing stocks for specific uses. 2015 proposal (Ref. 1), EPA proposed to increased liver enzymes, decreased The processing of existing stocks of make the exemption from notification vaccination response, thyroid disorders, these LCPFAC chemical substances is requirements for persons who import pregnancy-induced hypertension and expected to decline over time as stocks the chemical substance as part of an preeclampsia, and cancer (testicular and of these chemicals are depleted. article inapplicable for the import of a kidney) (Ref. 12). PFOA precursors, Similarly, EPA also expects ongoing subset of LCPFAC chemical substances chemicals which degrade or may uses of other LCPFAC chemicals in ‘‘all’’ articles. After careful degrade to PFOA, are also present substances to decline because the consideration, and in order to align the worldwide in humans and the manufacture and processing for those 2015 proposed rule with the new environment and, in some cases, might uses have declined or ceased, as requirements under TSCA, EPA issued be more toxic and be present at higher indicated by industry communication, a supplemental proposal to require concentrations than PFOA (Refs. 13, 14, market research, information submitted submission of a significant new use 15, 16, and 17). Multiple pathways of to EPA under the Chemical Data notice for the import of a subset of exposure, including through drinking Reporting (CDR) rule, and comments LCPFAC chemical substances ‘‘as part of water, food, house dust, and release received related to the proposed rule a surface coating on articles’’ as opposed from treated articles, are possible (Ref. (Ref. 1) and supplement to the proposed to ‘‘all articles.’’ The supplemental 18). rule (Ref. 2). In addition, EPA expects proposal better defined the articles Perfluoroalkyl sulfonate chemical the presence of perfluoroalkyl sulfonate subject to the rule by defining the substances degrade ultimately to chemical substances to decline in subject articles by the category: perfluoroalkylsulfonic acid (PFASA), humans and the environment because ‘‘imported articles where certain

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LCPFAC chemical substances are part of notification for import is justified by the and to include a definition in the a surface coating on the articles.’’ While reasonable potential for exposure to regulatory text. EPA does not intend to the 2020 supplemental and the 2015 certain LCPFAC chemical substances finalize a regulatory definition of proposed SNUR differ in language, EPA when part of surface coatings on ‘‘surface coating.’’ Rather, EPA will be believes that the difference in impact articles. If a person wants to issuing guidance within a reasonable will be minimal. LCPFAC chemical recommence a significant new use, timeframe of the final rule. EPA is not substances can be applied to articles as existence of the SNUR ensures the defining this term due to the many a surface coating. By lifting the articles submission of a SNUN, thereby allowing different ways that LCPFAC chemical exemption for articles that contain EPA to evaluate potential uses (before substances could be applied to an article certain LCPFAC chemical substances as those uses would begin) for any hazards, as part of a surface coating and how a part of a surface coating, EPA believes exposures and risks that might exist. given article could move through the During the public comment period for that it has captured the majority of supply chain from manufacture to article applications of these chemical the supplemental proposal (Ref. 2), disposal. EPA believes that this substances. Other than instances where several commenters questioned if EPA approach ensures that EPA will have the LCPFAC chemicals may be used to had adequately shown the reasonable manufacture fluoropolymer membranes, potential for exposure from articles opportunity to conduct a detailed EPA is unaware of any other uses of containing LCPFAC chemical consideration of potential exposures LCPFAC chemical substances in articles substances as part of a surface coating related to these uses when there is a other than as a surface coating. EPA may or the risks associated with such specific condition of use to review. If propose future SNURs for the import of potential exposure. One commenter EPA receives a SNUN, EPA will other articles containing LCPFAC asked that EPA provide linking data evaluate the potential releases from the chemical substances as appropriate. between presence of LCPFAC chemical article with information specific to that Products such as paints and coatings, substances in the general population article. lubricants, and fire-fighting foam are not and the release of LCPFAC chemical Articles that have surface coatings articles. As defined at 40 CFR 704.3, substances from coatings. EPA believes that contain certain LCPFAC chemical article means a manufactured item (1) that the reasonable potential for substances that have been cured or which is formed to a specific shape or exposure has been addressed through undergone chemical reaction after being design during manufacture, (2) which the studies cited in both this final rule applied to an article are subject to this has end use function(s) dependent in and the supplement to the proposed rule. Even when LCPFAC are bound whole or in part upon its shape or rule (Refs. 2, 5, 23, 25, and 26). EPA has within the matrix of the coating, they design during end use, and (3) which provided support that there is a can still be released from the coating has either no change of chemical reasonable potential for exposure composition during its end use or only through the citation of peer-reviewed over time and present a reasonable those changes of composition which literature, which documents that potential for exposure. These surface have no commercial purpose separate LCPFAC chemical substances either coatings have been unambiguously from that of the article, and that result have the reasonable potential to migrate shown to be a source of LCPFAC in the from a chemical reaction that occurs from articles or that LCPFAC chemical environment (Refs. 23, 25, 27, and 28), upon end use of other chemical substances do migrate from articles. In even when adhered to surfaces in substances, mixtures, or articles; except order to require notification for the accordance with practices reported in that fluids and particles are not import or processing of an article under patents (Refs. 23 and 25), and hence, considered articles regardless of shape TSCA section 5, it is not necessary to present the reasonable potential for or design. Examples of articles that definitively show or illustrate the exposure to the chemical substance could contain LCPFAC chemical mechanisms by which exposure to a through the category of articles subject substances as part of a surface coating chemical substance through an article to the rule. include, but are not limited to, apparel, may occur. Since the use designated as As noted in Unit V. of the proposed outdoor equipment, automotive parts, a significant new use does not currently rule (Ref.1), EPA is retaining the carpets, furniture, and electronic exist, EPA defers a detailed exemption at 40 CFR 721.45(f) for components. consideration of potential exposures persons who process chemical As detailed in the March 3, 2020 related to that use until there is a substances as part of articles because supplemental proposal (Ref. 2), given specific condition of use and data to existing stocks of articles still contain that the release of LCPFAC chemical review. EPA’s standard for an LCPFAC or perfluoroalkyl sulfonate substances from surface coatings on affirmative finding is consistent with chemical substances. EPA considers articles has been shown to occur and the statutory language requiring a recycling to be a form of processing (Ref. that these releases can reasonably be reasonable potential for exposure (rather 29). Because the processing of articles expected to result in exposure to the than a certainty of exposure. users of articles and the general public As stated in the supplemental containing LCPFAC or perfluoroalkyl (Refs. 21, 22, 23, 24, and 25), EPA has proposal, a coating is a material applied sulfonate chemical substances is reason to anticipate that importing in a thin layer to a surface as a ongoing, it cannot be subject to a SNUR. articles that have certain LCPFAC protective, decorative, or functional If EPA finds reason to believe that the chemical substances as part of a surface film. This term often refers to paints processing of articles containing coating would create a reasonable such as lacquers or enamels, but also LCPFAC or perfluoroalkyl sulfonate potential for exposure to these LCPFAC refers to films applied to other materials chemical substances has ceased, EPA chemical substances, and that EPA including, but are not limited to, paints, may issue a future SNUR on the should have an opportunity to review varnishes, sealants, adhesives, inks, processing of articles that contain these the use before such use could occur. maskants, and temporary protective chemical substances. See Comment- Therefore, in light of the evidence coatings. During the public comment Response 7 in the Response to Comment before EPA (including the studies period for the 2020 supplemental document for additional discussion of referenced below), EPA affirmatively proposal (Ref. 2), several commenters the ongoing processing of these finds under TSCA section 5(a)(5) that asked EPA to define ‘‘surface coating’’ chemical substances (Ref. 3).

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B. Objectives processing of LCPFAC and chemical substances for the new use. Based on the considerations in Unit perfluoroalkyl sulfonate chemical This required notification provides EPA III.A., EPA wants to achieve the substances for these uses has been with the opportunity to evaluate any following objectives with regard to the discontinued in the United States, intended significant new use of the significant new uses of LCPFAC and exposure will decrease over time. EPA regulated chemical substances and, if perfluoroalkyl sulfonate chemical expects their presence in humans and necessary, an opportunity to protect substances that are designated in the the environment to decline over time. If against potential unreasonable risks. January 21, 2015, proposal (Ref. 1) and any of the new uses of LCPFAC and EPA has determined that the import the March 3, 2020, supplemental perfluoroalkyl sulfonate chemical of fluoropolymer dispersions and proposal (Ref. 2): substances were to resume after having emulsions and articles containing 1. EPA would receive notice of any been phased out, EPA believes that such fluoropolymers in articles is not a person’s intent to manufacture uses could both change the type and significant new use because, at the time (including import) or process the form and increase the magnitude and of the 2015 proposed rule, EPA believed chemical substances for the described duration of human and environmental this use to be ongoing and did not significant new use before that activity exposure to the substances, constituting propose to include this use in the begins. a significant new use. Based on SNUR. Ongoing uses cannot be subject 2. EPA would have an opportunity to consideration of the statutory factors to a SNUR. Since proposing the SNUR review and evaluate data submitted in a discussed herein, EPA has determined in 2015, EPA has received comment that SNUN before the notice submitter the following uses are significant new the use fluoropolymer dispersions and begins manufacturing or processing the uses: emulsions made with PFOA has ceased. • chemical substances for the described Manufacturing (including Because EPA did not propose and take significant new use. importing) or processing of LCPFAC comment on lifting the exemption for 3. EPA would be able to either chemical substances listed in the list of the import of fluoropolymer dispersions determine that the significant new use LCPFAC chemical substances in Unit II. and emulsions, and fluoropolymers as is not likely to present an unreasonable for any use that is no longer ongoing part of articles, EPA has not included it risk, or to take necessary regulatory after December 31, 2015. in this final rule. At this time, EPA is • action associated with any other Manufacturing (including not making inapplicable any of the determination, before the described importing) or processing of PFOA or its standard exemptions at 40 CFR 721.45 significant new use of the chemical salts for any use not ongoing as of the for fluoropolymer dispersions and substance occurs. date on which the proposed rule was emulsions, and fluoropolymers as part published (Ref. 1). of articles. Yet, EPA may issue a future IV. Significant New Use Determination • Manufacturing (including SNUR on the manufacture and According to TSCA section 5(a)(2), importing) or processing of all other processing of fluoropolymer dispersions EPA’s determination that a use of a LCPFAC chemical substances for any and emulsions and articles containing chemical substance is a significant new use not ongoing as of January 21, 2015, fluoropolymers. use must be made after consideration of the date on which the proposed rule In a previous rule (78 FR 62443, all relevant factors, including: was published (Ref. 1). October 22, 2013; FRL–9397–1), EPA 1. The projected volume of EPA believes any new use of certain designated all uses of the perfluoroalkyl manufacturing and processing of a LCPFAC chemical substances as part of sulfonate chemicals identified in 40 chemical substance. a surface coating of an article could CFR 721.9582 as significant new uses, 2. The extent to which a use changes increase the duration and magnitude of except the ongoing uses specified in 40 the type or form of exposure of human human and environmental exposure to CFR 721.9582 (a)(3) through (a)(5). The beings or the environment to a chemical the chemical substances, as discussed in Agency has determined that the substance. the March 3, 2020, supplement to manufacture (including import) and 3. The extent to which a use increases proposed SNUR (Ref. 2). Based on these processing of any of the perfluoroalkyl the magnitude and duration of exposure considerations, EPA has determined sulfonate chemical substances subject to of human beings or the environment to that: Importing LCPFAC chemical this rule have been discontinued, a chemical substance. substances listed in the list of LCPFAC including the importing of these 4. The reasonably anticipated manner chemical substances in Unit II. and chemical substances as part of carpets. and methods of manufacturing, PFOA or its salts (See Unit I. for EPA believes any new use of processing, distribution in commerce, examples of PFOA salts) as part of a perfluoroalkyl sulfonate chemicals and disposal of a chemical substance. surface coating of an article, for uses not substances as part of carpets could In addition to these factors ongoing as of the date on which the increase the duration and magnitude of enumerated in TSCA section 5(a)(2), the 2015 proposed rule was published (Ref. human and environmental exposure to statute authorizes EPA to consider any 1), constitutes a significant new use and the chemical substances, as discussed in other relevant factors to determine what warrants making the exemption at 40 the January 21, 2015, proposed SNUR would constitute a significant new use CFR 721.45(f) inapplicable to importers (Ref. 1). The category of articles subject of the LCPFAC and perfluoroalkyl of such articles. to the SNUR has not been modified sulfonate chemical substances subject to Evidence supports that there is a since the 2015 proposed rule; therefore, this final rule, as discussed in this unit. reasonable potential for exposure to the EPA does not need to modify any of its EPA considered relevant information chemical substances subject to this considerations in order to make the about the toxicity of these substances, SNUR through their importation as part finding under section 5(a)(5). Based on trends in blood levels, likely human of a surface coating of an article. EPA the information provided in the 2015 exposures and environmental releases should have an opportunity to review proposed SNUR, EPA affirmatively associated with possible uses, and the such uses before they can resume. finds under TSCA section 5(a)(5) that four factors listed in TSCA section Persons subject to this SNUR are notification for import is justified by the 5(a)(2). required to notify EPA at least 90 days reasonable potential for exposure to As discussed in Unit III.A., since the prior to commencing manufacture perfluoroalkyl sulfonate chemicals as manufacture (including import) and (including import) or processing of the part of carpets. Based on these

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considerations, EPA has determined sections 5(h)(1), (h)(2), (h)(3), and (h)(5) Thus, persons who began commercial that: Importing perfluoroalkyl sulfonate apply to SNURs. manufacture or processing of LCPFAC chemicals identified in 40 CFR 721.9582 Once EPA receives a SNUN, EPA and perfluoroalkyl sulfonate chemical as part of carpets, which were not must either determine that the substances after the proposal was ongoing as of January 21, 2015, the date significant new use is not likely to published on January 21, 2015, must on which the proposed rule was present an unreasonable risk of injury or cease such activity before the effective published (Ref. 1), constitutes a take such other regulatory action as is date of this final rule. These persons significant new use and warrants required by TSCA section 5(a)(3) before would have to comply with all making the exemption at 40 CFR the manufacturing (including importing) applicable SNUR notice requirements 721.45(f) inapplicable to importers of or processing for the significant new use and wait to resume the commercial carpets. can commence. If EPA determines that manufacture or processing of the subject the significant new use is not likely to chemical substances until EPA has V. Applicability of the General present an unreasonable risk, EPA is made a determination. Uses arising after Provisions required under TSCA section 5(g) to the publication of the proposed rule are The general provisions for SNURs make public, and submit for publication distinguished from uses that exist at appear under 40 CFR part 721, subpart in the Federal Register, a statement of publication of the proposed rule. The A, and they apply to this rule except as EPA’s finding. former would be new uses, the latter modified by the rule. These provisions Persons who export or intend to would be ongoing uses, except that uses describe persons subject to the rule, export a chemical substance identified that are ongoing as of the publication of recordkeeping requirements, in the proposed or final SNUR are the proposed rule would not be exemptions to reporting requirements, subject to the export notification considered ongoing uses if they have and applicability of the rule to uses provisions of TSCA section 12(b). The ceased by the date of issuance of a final occurring before the effective date of the regulations that interpret TSCA section rule. Public commenters on the final rule. However, EPA is making the 12(b) appear at 40 CFR part 707, subpart proposed rule and the supplement to exemption at 40 CFR 721.45(f) D. In accordance with 40 CFR 707.60(b), the proposal identified ongoing uses, inapplicable to persons who import this final SNUR does not trigger notice which have been captured in the LCPFAC chemicals substances listed in of export for articles. Persons who Response to Comments in Unit XII. (Ref. the list of LCPFAC chemical substances import a chemical substance identified 3) and are not covered by this SNUR. in Unit II. and PFOA or its salts as part in a final SNUR are subject to the TSCA Ongoing uses cannot be subject to a of a surface coating of an article (See section 13 import certification SNUR. Unit I. for examples of PFOA salts). requirements, codified at 19 CFR 12.118 Additionally, EPA is making the through 12.127; see also 19 CFR 127.28. VII. Development and Submission of exemption at 40 CFR 721.45(f) Such persons must certify that the Information inapplicable to persons who import shipment of the chemical substance EPA recognizes that TSCA section 5 perfluoroalkyl sulfonate chemicals complies with all applicable rules and does not usually require developing substances listed in 40 CFR 721.9582 as orders under TSCA, including any new information (e.g., generating test part of carpets. As a result, persons SNUR requirements. The TSCA section data) before submission of a SNUN; subject to the provisions of this final 13 import certification requirement however, there is an exception: rule would not be exempt from applies to articles containing a chemical development of information is required submitting a significant new use notice substance or mixture if so required by where the chemical substance subject to if they import those LCPFAC chemical the Administrator by a specific rule the SNUR is also subject to a rule, order, substances, including PFOA or its salts, under TSCA. At this time, EPA is not or consent agreement under TSCA as part of a surface coating of an article requiring import certification for these section 4 (see TSCA section 5(b)(1)). or if they import perfluoroalkyl chemical substances as part of articles. Also pursuant to TSCA section 4(h), sulfonate chemical substances as part of The EPA policy on import certification which pertains to reduction of testing of carpets. However, EPA is retaining the appears at 40 CFR part 707, subpart B. vertebrate animals, EPA encourages exemption at 40 CFR 721.45(f) for consultation with the Agency on the use VI. Applicability of Rule to Uses persons who process chemical of alternative test methods and Occurring Before Effective Date of the substances as part of an article because strategies (also called New Approach Final Rule existing stocks of articles may still Methodologies or NAMs), if available, to contain LCPFAC or perfluoroalkyl As discussed in the Federal Register generate any recommended test data. sulfonate chemical substances. of April 24, 1990 (55 FR 17376) (FRL– EPA encourages dialogue with Agency Provisions relating to user fees appear at 3658–5) (Ref. 30), EPA has decided that representatives to help determine how 40 CFR part 700. Additionally, TSCA, as the intent of TSCA section 5(a)(1)(B) best the submitter can meet both the amended by the Lautenberg Act, makes best served by designating a use as a data needs and the objective of TSCA the provision at 40 CFR 721.45(h) significant new use as of the date of section 4(h). inapplicable. publication of the proposed rule In the absence of a TSCA section 4 According to 40 CFR 721.1(c), persons (including the posting of a pre- test rule covering the chemical subject to SNURs must comply with the publication copy of the rule) rather than substance, persons are required to same notice requirements and EPA as of the effective date of the final rule. submit only information in their regulatory procedures as described in 40 If uses begun after publication of the possession or control and to describe CFR part 720 for submitters of proposed rule were considered ongoing any other information known to or Premanufacture Notices (PMNs) under rather than new, it would be difficult for reasonably ascertainable by them (15 TSCA section 5(a)(1)(A), at least to the EPA to establish significant new uses, U.S.C. 2604(d); 40 CFR 721.25, and 40 extent there is no conflict with the because a person could defeat the SNUR CFR 720.50). However, as a general provisions at part 721. In addition, the by initiating the proposed significant matter, EPA recommends that SNUN information submission requirements of new use before the rule became final, submitters include information that TSCA sections 5(b) and 5(d)(1) and the and then argue that the use was ongoing would permit a reasoned evaluation of exemptions authorized by TSCA as of the effective date of the final rule. risks posed by the chemical substance

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during its manufacturing (including manufacturers and processors of the information from suppliers along the importing), processing, use, distribution chemical substance included in this supply chain, and/or testing samples of in commerce, or disposal. EPA final rule (Ref. 4). In the event that a the article itself. Costs vary across the encourages persons to consult with the SNUN is submitted, average costs are activities chosen and the extent of Agency before submitting a SNUN. As estimated at approximately $23,000 per familiarity a firm has regarding the part of this optional pre-notice SNUN submission for large business articles it imports. Cost ranges are consultation, EPA would discuss submitters and about $10,000 for small presented in Understanding the Costs specific information it believes may be business submitters. These estimates Associated with Eliminating useful in evaluating a significant new include the cost to prepare and submit Exemptions for Articles in SNURs (Ref. use. the SNUN (averaging about $7,100), and 31). Based on available information, Submitting a SNUN that does not the payment of a user fee. Businesses EPA believes that article importers that itself include information sufficient to that submit a SNUN would be subject to choose to investigate their products will permit a reasoned evaluation may either a $16,000 user fee required by 40 incur costs at the lower end of the increase the likelihood that EPA will CFR 700.45(c)(2)(ii), or, if they are a ranges presented in the Economic either respond with a determination that small business, a reduced user fee of Analysis. For those companies choosing the information available to the Agency $2,800 (40 CFR 700.45(c)(1)(ii)). The to undertake actions to assess the is insufficient to permit a reasoned costs of submission of SNUNs will not composition of the articles they import, evaluation of the health and be incurred by any company unless a EPA expects that importers will take environmental effects of the significant company decides to pursue a significant actions that are commensurate with the new use or, alternatively, that in the new use as defined in this final SNUR. company’s perceived likelihood that a absence of sufficient information, the EPA’s complete economic analysis is chemical substance might be a part of an manufacturing (including importing), available in the public docket for this article for the significant new uses processing, distribution in commerce, rule (Ref. 4). identified in Units II. and III., and the resources it has available. Example use, or disposal of the chemical B. Export Notification substance may present an unreasonable activities and their costs are provided in risk of injury to health or the Under TSCA section 12(b) and the the accompanying Economic Analysis of environment. implementing regulations at 40 CFR part this final rule (Ref. 4). 707, subpart D, exporters must notify SNUN submitters should be aware X. Alternatives that EPA will be better able to evaluate EPA if they export or intend to export SNUNs and define the terms of any a chemical substance or mixture for Before proposing this SNUR, EPA potentially necessary controls if the which, among other things, a rule has considered the following alternative submitter provides detailed information been proposed or promulgated under regulatory action: Promulgate a TSCA on human exposure and environmental TSCA section 5. For persons exporting section 8(a) Reporting Rule. Under a TSCA section 8(a) rule, EPA releases that may result from the a substance that is the subject of a SNUR, a one-time notice to EPA must be could, among other things, generally significant new uses of the chemical provided each calendar year for the first require persons to report information to substance. export or intended export to a particular the Agency when they manufacture VIII. SNUN Submissions country. The total costs of export (including import) or process a chemical EPA recommends that submitters notification will vary by chemical, substance for a specific use or any use. However, for LCPFAC and consult with the Agency prior to depending on the number of required perfluoroalkyl sulfonate chemical submitting a SNUN to discuss what notifications (i.e., the number of substances, the use of TSCA section 8(a) information may be useful in evaluating countries to which the chemical is rather than SNUR authority would have a significant new use. Discussions with exported). several limitations. First, if EPA were to the Agency prior to submission can C. Import of Chemical Substances as require reporting under TSCA section afford ample time to conduct any tests Part of an Article 8(a) instead of TSCA section 5(a), that that might be helpful in evaluating risks In making inapplicable the exemption action would not ensure that EPA posed by the chemical substance. relating to persons who import certain receives timely advance notice of future According to 40 CFR 721.1(c), persons LCPFAC chemical substances as part of manufacturing (including importing) or submitting a SNUN must comply with the surface coating of an article, this processing of LCPFAC chemical the same notice requirements and EPA action may affect firms that plan to substances (including as part of an regulatory procedures as persons import types of articles that may contain article and components thereof) for new submitting a PMN, including the subject chemical substances in a uses that may produce changes in submission of test data on health and surface coating. This is because while human and environmental exposures. environmental effects as described in 40 some firms have an understanding of Nor would action under 8(a) ensure that CFR 720.50. SNUNs must be submitted the contents of the articles they import an appropriate determination (relevant on EPA Form No. 7710–25, generated other firms do not. EPA acknowledges to the risks of such manufacturing using e-PMN software, and submitted to that importers of articles may have (including importing) or processing) has the Agency in accordance with the varying levels of knowledge about the been issued prior to the commencement procedures set forth in 40 CFR 721.25 chemical content of the articles that of such manufacturing (including and 40 CFR 720.40. E–PMN software is they import. These parties may need to importing) or processing. Furthermore, a available electronically at http:// become familiar with the requirements TSCA section 8(a) rule would not www.epa.gov/opptintr/newchems. of the rule. And while not required by ensure that manufacturing (including IX. Economic Analysis the SNUR, these parties may take importing) or processing for the additional steps to determine whether significant new use cannot proceed A. SNUNs the subject chemical substances are part until EPA has taken the required actions EPA has evaluated the potential costs of the articles that they are considering under TSCA sections 5(e) or 5(f) in the of establishing SNUR reporting for import. This determination may event that EPA determines any of the requirements for potential involve activities such as gathering following: (1) That the significant new

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use presents an unreasonable risk under procedures, measures, methods, ’significant new uses’ certain ongoing the conditions of use (without protocols, methodologies or models activities for certain chemicals. consideration of costs or other non-risk used in EPA’s decision have been Exclusions from the definition of factors, and including an unreasonable subject to independent verification or ’significant new uses’ are included with risk to a potentially exposed or peer review, EPA believes that their use the regulation amendment at 40 CFR susceptible subpopulation identified as is appropriate in this rule. EPA 721.10536(b)(5). relevant by EPA); (2) that the recognizes, based on the available While reviewing ongoing use claims, information available to EPA is information, that there is variability and EPA found chemical substances that did insufficient to permit a reasoned uncertainty in whether any particular not fall within the scope of the SNUR. evaluation of the health and significant new use would actually Additionally, during communication environmental effects of the significant present an unreasonable risk. For with commenters that supplied ongoing new use; (3) that in the absence of precisely this reason, EPA is proposing use claims, EPA discovered that in some sufficient information, the manufacture to require notice and review for these instances commenters had ceased the (including import), processing, uses at such time as they are known use of their reported chemical distribution in commerce, use, or more definitively. substance. Accordingly, EPA has not disposal of the substance, or any recognized and excluded from the XII. Response to Public Comment combination of such activities, may definition of ’significant new uses’ present an unreasonable risk (without The Agency reviewed and considered ongoing use claims that fall outside the consideration of costs or other non-risk all comments received related to the scope of the SNUR, have ceased by the factors, and including an unreasonable 2015 proposed rule (Ref. 1) and the 2020 date of issuance of the final rule, or risk to a potentially exposed or supplement to the proposed rule (Ref. were unable to be substantiated. susceptible subpopulation identified as 2). Copies of all comments are available During the comment response relevant by EPA); or (4) that there is in the docket for this action (EPA–HQ– process, EPA reached out to one substantial production and sufficient OPPT–2013–0225). Responses to all commenter who was unable to supply potential for environmental release or comments received are in the document substantiation of their claim, yet stated human exposure (as defined in TSCA titled: ‘‘Response to Comments on the that their ongoing use claim was section 5(a)(3)(B)(ii)(II)). Proposed Long-Chain Perfluoroalkyl captured in communication from the In view of the health concerns about Carboxylate and Perfluoroalkyl supplier directly with EPA. As such, LCPFAC and perfluoroalkyl sulfonate Sulfonate Chemical Substances their ongoing use claim was reviewed chemical substances if used for a Significant New Use Rule (SNUR)’’ (Ref. and has been addressed in the comment significant new use, EPA believes that a 3), which is also available in the docket. submitted by commenter’s supplier. TSCA section 8(a) rule for this Six primary comments, covering the With regards to the use of LCPFAC substance would not meet EPA’s majority of the issues raised by the chemical substances by the regulatory objectives at this time. comments received, are included below. semiconductor industry, it has not been 1. Comment: Several commenters EPA’s practice to identify an industry as XI. Scientific Standards, Evidence, and claimed ongoing uses of LCPFAC, a whole when recognizing ongoing uses. Available Information PFOA, or perfluoroalkyl sulfonate Commenters stated that LCPFAC EPA has used scientific information, chemical substances and requested that chemical substances used in the technical procedures, measures, EPA modify the proposed SNUR to semiconductor industry may be present methods, protocols, methodologies, and specifically recognize and exclude from in surfactants, coatings, seals, gaskets, models consistent with the best the definition of ’significant new uses’ hoses, motors, electrical wiring, tools, available science, as applicable. These certain ongoing activities that do not robots, parts, ancillary equipment, and information sources supply information appear to have been previously other components but were unable to relevant to whether a particular use identified by the Agency to be ongoing. provide specific information such as a would be a significant new use, based Some commenters reiterated ongoing Safety Data Sheet or other on relevant factors including those uses that EPA had already identified as documentation to support their claim. listed under TSCA section 5(a)(2). ongoing. One commenter suggested that EPA was only able to verify ongoing Consistent with EPA’s past practice for EPA should define ongoing uses ‘‘in a uses within the semiconductor industry issuing SNURs under TSCA section manner that is not company specific.’’ in a subset of the claims made, which 5(a)(2), EPA’s decision to promulgate a Several commenters requested that EPA have been recognized in 40 CFR SNUR for a particular chemical use designate ‘‘use in semiconductor 721.10536. need not be based on an extensive processing, manufacturing or During public comment for the evaluation of the hazard, exposure, or semiconductor component assembly’’ as supplemental rule (Ref. 2), EPA received potential risk associated with that use; not a significant new use for LCPFAC two comments stating ongoing uses of as such, the January 2015 proposed rule chemical substances and maintain the LCPFAC chemical substances used in (Ref. 1), the 2020 supplemental proposal exemption under 40 CFR 721.45(f) for medical supplies, medical equipment, (Ref. 2), and this final rule are not based all on-going uses in the semiconductor and for pharmaceutical or on an evaluation of expected risks. industry. Two commenters asked EPA biopharmaceutical research applications The clarity and completeness of the to exempt medical supplies or other that may be important to the COVID–19 data, assumptions, methods, quality equipment that may be used during the pandemic response. EPA agrees that assurance, and analyses employed in COVID–19 public health emergency. See ongoing uses, especially ones critical to EPA’s decision are documented, as the Response to Comment document COVID–19 pandemic response, should applicable and to the extent necessary (Ref. 3) for the specific Docket IDs for not be restricted by this SNUR. TSCA for purposes of the January 2015 these comments. section 3(2)(B) excludes devices proposed rule, the 2020 supplemental Response: EPA reviewed all ongoing regulated under the Federal Food, Drug, proposal, and this final rule, in Unit III. use claims, requested additional and Cosmetic Act from the definition of and in the references cited throughout information from commenters to clarify a chemical substance under TSCA. the three preambles. Considering the the claims, and has recognized and Gloves (21 CFR 880.6250), gowns (21 extent to which the various information, excluded from the definition of CFR 880.6265), and masks are all listed

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separately as devices in FDA’s minerals, particles and inorganic • Use of Poly(oxy-1,2-ethanediyl), regulations and such devices would not surfaces for hydrophobicity; and .alpha.-hydro-.omega.-hydroxy-, ether be covered by this SNUR. However, it is monomer to make specialty resins with .alpha.-fluoro-.omega.-(2- important to note that other face masks, hydrophobic. hydroxyethyl)poly(difluoromethylene) gloves, and personal protective • Use of Octanoic acid, (1:1) (CASRN 65545–80–4) in water- equipment that are marketed to the 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- based inks. general public for general, non-medical pentadecafluoro- (CASRN 335–67–1) as • Use of Poly(difluoromethylene), purposes, would be covered by the a surfactant and coating as part of the .alpha.-[2-[(2-carboxyethyl)thio]ethyl]- SNUR if the use is not ongoing. As with following articles: Stickers, labels, and .omega.-fluoro-, lithium salt (1:1) other verified ongoing uses, EPA has parts to which those stickers and labels (CASRN 65530–69–0) in photo media also exempted the ongoing uses of are attached. coatings. certain LCPFAC chemical substances • Use of 1-Propanesulfonic acid, 2- • Use of Ethanol, 2,2′-iminobis-, used in pharmaceutical and methyl-, 2-[[1-oxo-3-[(.gamma.-.omega.- compd. with .alpha.-fluoro-.omega.-[2- biopharmaceutical research from this perfluoro-C4–16- (phosphonooxy)ethyl] rule. EPA, however, has not broadly alkyl)thio]propyl]amino] derivs., poly(difluoromethylene) (2:1) (CASRN exempted all uses of LCPFAC chemical sodium salts (CASRN 68187–47–3); 65530–63–4); Ethanol, 2,2′-iminobis-, substances used in pharmaceutical and Thiols, C8–20, .gamma.-.omega.- compd. with .alpha.,.alpha.’- biopharmaceutical research because perfluoro, telomers with acrylamide [phosphinicobis(oxy-2,1-ethanediyl)]bis only a select number of applications are (CASRN 70969–47–0);or Perfluorinated [.omega.-fluoropoly(difluoromethylene)] ongoing. polyamine (generic) (ACC274147) as a (1:1) (CASRN 65530–64–5); or Ethanol, When possible, EPA has made component in fire extinguishing agent. 2,2′-iminobis-, compd. with .alpha.- explicit chemical and use specific • Use of Octanoic acid, fluoro-.omega.-[2- exclusions from the definition of 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- (phosphonooxy)ethyl]poly ‘significant new uses’ rather than broad pentadecafluoro- (CASRN 335–67–1); (difluoromethylene) (1:1) (CASRN industry or categorical exclusions. As Octanoic acid, 65530–74–7) in paints and coatings, reflected by the exclusions in the final 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- grouts, and sealers. rule, ongoing activities include pentadecafluoro-, sodium salt (1:1) (CAS • Use of Poly(oxy-1,2-ethanediyl), manufacturing (including import) or No. 335–95–5); or Octanoic acid, .alpha.-hydro-.omega.-hydroxy-, ether processing of these chemical substances. 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- with .alpha.-fluoro-.omega.-(2- EPA will continue to work with pentadecafluoro-, ammonium salt (1:1) hydroxyethyl)poly(difluoromethylene) industry to phase out LCPFAC, PFOA (CASRN 3825–26–1) in automotive (1:1) (CASRN 65545–80–4) in paints, and its salts, and perfluoroalkyl articles, both in factory assembly and coatings, ink jet inks, and ink sulfonate chemical substances and will replacement parts. masterbatch. review the need to promulgate future • Use of Poly(difluoromethylene), • Use of 1-Propanesulfonic acid, 2- rules as necessary. As a result of public .alpha.,.alpha.′-[phosphinicobis(oxy-2,1- methyl-, 2-[[1-oxo-3-[(.gamma.-.omega.- comments received, EPA recognizes ethanediyl)]bis[.omega.-fluoro-, perfluoro-C4–16- manufacture, import, or processing of ammonium salt (1:1) (CASRN 65530– alkyl)thio]propyl]amino] derivs., certain LCPFAC chemical substances for 70–3); Poly(difluoromethylene), .alpha.- sodium salts (CASRN 68187–47–3) in the following uses as ongoing: fluoro-.omega.-[2-(phosphonooxy)ethyl]- adhesives. • Use of LCPFAC chemical , ammonium salt (1:1) (CASRN 65530– 2. Comment: Several commenters substances for use in an antireflective 71–4); or Poly(difluoromethylene), believe that the lack of LCPFAC CAS coating, photoresists, or surfactant for .alpha.-fluoro-.omega.-[2- numbers and the generic identification use in photomicrolithography and other (phosphonooxy)ethyl]-, ammonium salt of PFOA and its salts provide process to produce semiconductors or (1:2) (CAS No. 65530–72–5) in the insufficient information for entities to similar components of electronic or manufacturing of architectural coatings understand what chemicals the rule other miniaturized devices. or wood coatings, at a maximum encompasses. They believe that EPA • Use of 2-Propenoic acid, concentration of 0.1% by weight. must define the universe of covered 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- • Use of Poly(difluoromethylene), chemicals that would be subject to the heptadecafluorodecyl ester (CASRN .alpha.,.alpha.′-[phosphinicobis(oxy-2,1- regulation. See the Response to 27905–45–9) as a coating or component ethanediyl)]bis[.omega.-fluoro-, Comment document (Ref. 3) for the of a hydrophobic and/or oleophobic ammonium salt (1:1) (CASRN 65530– specific Docket IDs for these comments. coating or barrier applied to 70–3); Poly(difluoromethylene), .alpha.- • Response: TSCA section 26(c) manufactured articles or component of fluoro-.omega.-[2-(phosphonooxy)ethyl]- expressly recognizes that an action may articles using an energy source or , ammonium salt (1:1) (CASRN 65530– be taken with respect to a category of plasma deposition methods, which 71–4); or Poly(difluoromethylene), chemical substances or mixtures based include a pulse deposition mode. .alpha.-fluoro-.omega.-[2- on chemical structure, and EPA believes Examples of such articles include: (phosphonooxy)ethyl]-, ammonium salt the most precise way to identify the electronic devices and components (1:2) (CAS No. 65530–72–5) in the chemicals subject to this SNUR is thereof, medical consumables and bio- manufacturing of industrial primer through the chemical structure consumables, filtration devices and coatings for non-spray applications to definition. Downstream customers filtration materials, clothing, footwear metal by coil coating application, at a should have sufficient information from and fabrics. maximum concentration of 0.01% by suppliers (i.e., CAS registry number and • Use of Silane, weight. unique chemical identity) to generate trichloro • Use of Alcohols, C8–14, .gamma.- the specific structure for any potentially (3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- .omega.-perfluoro (CASRN 68391–08–2) reportable substance and compare to the heptadecafluorodecyl)-(CASRN 78560– in the manufacture of coatings and LCPFAC category definition. 44–8) as a surface treatment to make low finishes for a variety of textile, leather, As a convenience to the regulated refractive index resin for optical and hard surface treatments, and in the community, EPA has made available in applications; surface treatment for manufacture of wetting agents. the public docket an illustrative list of

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chemical substances subject to the rule section 5(a)(5), EPA will have to recommended that EPA ‘‘establish a (Ref. 32). As part of that list, EPA has consider whether the ‘‘reasonable rebuttable presumption that a SNUN is provided specific examples of chemicals potential for exposure’’ to the chemical not required for an imported article if that meet the various components of the substance through the article or category the foreign supplier of that article LCPFAC category definition. The list is of articles justifies notification. Since certifies in writing that the article not exhaustive, but rather provides a the use designated as a significant new (including all components of the article) guide to help readers determine whether use does not currently exist, EPA is was not manufactured using any of the this rule applies to them. deferring a detailed consideration of substances identified in the Additionally, Congress added certain potential exposures related to that use Supplemental Proposal.’’ Another active LCPFAC chemical substances to until there is a specific condition of use commenter asked that EPA allow the Toxics Release Inventory (TRI) list. and data to review. If EPA receives a importers to rely on supplier/ These chemicals were added to the TRI SNUN, EPA would evaluate the manufacture certifications for purposes list under section 7321(b)(1) of the potential releases from the article and of compliance. Related to the idea of a National Defense Authorization Act of with information specific to that article. safe harbor provision, several fiscal year 2020. TRI added both TSCA section 5(a)(5) does not commenters emphasized complex LCPFAC and perfluoroalkyl sulfonate establish an explicit threshold that an supply chains that comprise many chemical substances that were exposure must meet in order to be industries and the difficulties this identified as active in commerce on the considered a ‘‘reasonable potential for would pose when determining if an TSCA inventory that was published in exposure’’ or to ‘‘justify notification.’’ article contains a subject chemical February 2019. While this list includes Rather, TSCA section 5(a)(5) states: substance. See the Response to only LCPFAC chemicals on the active ‘‘The Administrator may require Comment document (Ref. 3) for the inventory, it may assist the regulated notification under this section for the specific Docket IDs for these comments. community in determining whether or import or processing of a chemical Response: EPA appreciates the not a given chemical substance is substance as part of an article or comments received. EPA is not subject to this rule. The list can be category of articles under paragraph establishing a safe harbor provision in found on EPA’s website and a citation (1)(A)(ii) if the Administrator makes an this final rule. EPA makes every effort is included in Unit XIII. (Ref. 33). affirmative finding in a rule under to notify manufacturers and processors 3. Comment: Several commenters paragraph (2) that the reasonable of chemical substances that may be provided comment on whether EPA potential for exposure to the chemical could adopt a de minimis threshold for substance through the article or category subject to a given rule, so that they may determining ‘‘reasonable potential for of articles subject to the rule justifies participate in the regulatory process. exposure’’ and if so, how that de notification.’’ If there is evidence that a EPA provided notice to importers in the minimis threshold could be established. chemical substance is or may be 2015 proposed rule and again provided Some comments supported the released from an article such that there notice of the proposed requirements in establishment of a threshold while is a reasonable potential of exposure to the 2020 supplemental proposal. A safe others opposed the idea of a de minimis the chemical substance, EPA thinks the harbor approach undermines the threshold. One commenter Agency can reasonably find the regulatory process for what uses are recommended a standard default de statutory criterion to be met in most or allowed by permitting a manufacturer to minimis threshold of 0.1% for articles all cases. claim a use was ongoing at the time the for all SNURs. One commenter did not For this final rule, EPA believes that SNUR was issued. For this final rule, have an opinion on the establishment of the reasonable potential for exposure EPA does not believe there should be a a threshold or as a de minimis was adequately demonstrated by the safe-harbor provision for uses not exemption but did state that they were studies cited in both the 2015 proposed identified as ongoing uses in the SNUR, ‘‘interested in EPA establishing a rule (Ref. 1) and the 2020 supplement to particularly since notice of the characterization of the ‘reasonable the proposed rule (Ref. 2). The studies requirements of this action were potential for exposure’ what might be cited during the rulemaking process provided five years ago. As part of the ‘reasonably ascertainable’ with specific represent the exposures that could public comment period for the proposed criteria for determining this.’’ See the result from the significant new uses rule and supplemental to the proposed Response to Comment document (Ref. 3) subject to the SNUR. In showing that rule, EPA received comments of ongoing for the specific Docket IDs for these releases have been documented from uses of LCPFAC chemical substances as comments. articles using LCFAC chemical part of a surface coating on articles and Response: EPA appreciates the substances as a surface coating (Refs. 21, has recognized those uses as ongoing comments received. EPA is not 22, 23, 24, and 25), EPA asserts that the because ongoing uses are not subject to establishing a de minimis threshold for statutory standard has been met to show SNURs. Similarly, a general safe-harbor determining ‘‘reasonable potential for that there is reasonable potential for provision may provide incentives for exposure’’ in this final rule. EPA will, exposure from these significant new importers to not submit comments to however, continue to engage with uses. EPA also concludes, on the record EPA during the public comment period interested stakeholders on this issue and before it, that this reasonable potential regarding ongoing uses not recognized continue to consider whether guidance for exposure justifies notification. in a proposed rule, because an importer for applying this standard may be 4. Comment: Several commenters who fails to submit such comments, and appropriate in the future, whether as a provided comment on whether or not thus to acknowledge such uses, would general matter or, for instance, as the Agency should include a safe harbor be more easily able to claim that it did applied to specific categories of provision for importers of articles that not realize the subject chemical substances or potential exposures. can demonstrate their use was ongoing substance was in its product. An As a general proposition, EPA prior to the effective date of this rule. importer could potentially use a safe believes that TSCA section 5(a)(5) Some comments supported the harbor provision to justify a lack of actions should be considered on a case- establishment of a safe harbor provision involvement in a rule making because by-case basis. Each time EPA considers while others opposed the idea of a safe the importer would have the requiring notification under TSCA harbor provision. One commenter opportunity to identify chemicals later.

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The importer could avoid participation learn the identities of the imported 721.45(d). As such, importers are not early on because he could wait to see if substances and their compliance with required to submit a SNUN for or report anyone else submitted comments and TSCA, the smaller his chance of on a substance based simply on that even if there are no comments on his committing a violation by importing a substance’s presence as an impurity chemical use, he has the alternative to noncomplying shipment. If a shipment (i.e., a chemical substance is use the safe harbor to challenge the rule. is ultimately determined to have unintentionally present with another While EPA acknowledges that violated TSCA, the good faith efforts of chemical substance, 40 CFR 720.3(m)). imported articles may have a complex the importer to verify compliance, as Additionally, the impurity exemption at supply chain, the most effective method evidenced by documents contained in 40 CFR 721.45(d) includes domestic to ensure that certain LCPFAC chemical his files, may obviate or mitigate the manufacture and processing. substances in this SNUR are not present assessment of a civil penalty under EPA is aware of the issues related to in the surface coating of imported section 16 of TSCA.’’ perfluorinated chemical impurities and articles is to encourage importers to EPA recognizes the complexities of polymer degradation. Given that the know with specificity the contents of imports. EPA will take into Agency did not propose to require a what they are importing and to work consideration compliance certification certification procedure, it does not agree with their foreign manufacturers to and other documents demonstrating that that a certification procedure should be ensure that an article does not contain the importer relied on the supplier. EPA specified and incorporated into the final certain LCPFAC chemical substances in will also continue to engage with rule. However, the Agency continues to surface coatings. interested stakeholders on how to study this issue and has not ruled out Even though 19 CFR 12.119 allows ensure compliance with this and future a later proposal to require import EPA to establish TSCA section 13 rules. Additionally, EPA maintains the certification for these chemical import certification requirements for TSCA Hotline and responds to substances as part of articles. chemicals in articles, EPA did not questions from industry. responds to With or without an import propose to require TSCA section 13 industry questions. certification requirement, it is the import certification for the subject 5. Comment: Several commenters importer that is ‘‘responsible for chemical substances when part of raised concern over the issue of [e]nsuring that chemical importation articles. Considering the use of these impurities, stating that the impurity complies with TSCA just as domestic chemicals in articles covered by this levels of PFOA and its salts cannot be manufacturers are responsible for SNUR are no longer ongoing, requiring completely eliminated. Additionally, [e]nsuring that chemical manufacture TSCA section 13 import certification commenters reported that fluorinated complies with TSCA.’’ 40 CFR seems an unnecessary requirement to substances that do not fall into the 707.20(b)(1). include in the SNUR. This is consistent scope of the SNUR may degrade into in- With regards to providing an with EPA’s past practice of making the scope LCPFAC substances. One additional exemption to importers on exemption at 40 CFR 721.45(f) commenter stated that their imported the basis of being unable to determine inapplicable without also requiring article contained residual LCPFAC from the presence of a given chemical import certification or export the use of polytetrafluoroethylene substance, or an inability to determine notification for these chemical (PTFE) production, outside the US; the whether a use is ‘‘intended ’’ vs. an substances as part of articles (40 CFR commenter further indicated that their ‘‘impurity’’, any exemption would 721.2800; 40 CFR 721.10068). With or PTFE supplier is currently working to create a safe-harbor for importers based without an import certification develop an LCPFAC-free product, but at on lack of knowledge, thus creating requirement, it is the importer that is this time the use is ongoing. Also, a incentives for foreign suppliers to ‘‘responsible for [e]nsuring that comment stated that it is not possible deliberately withhold information from chemical importation complies with for end users to determine the presence importers. This could greatly reduce the TSCA just as domestic manufacturers of a given chemical substance, making efficacy of this SNUR. are responsible for [e]nsuring that it difficult for determining ‘‘intended 6. Comment: Several commenters chemical manufacture complies with use’’ vs. ‘‘impurity’’. requested that EPA consider TSCA.’’ 40 CFR 707.20(b)(1). As a result of the impurity concerns, promulgating TSCA section 6(a) rules to EPA is not establishing a rebuttable multiple commenters requested that directly restrict perfluoroalkyl and presumption for this rule as one EPA require suppliers to provide polyfluoroalkyl substances (PFAS) and commenter suggested. EPA, however, Certificate of Compliance to importers. complete planned development of a may consider the factors discussed in One comment suggested that the SNUR detailed assessment to determine if EPA’s import policy that may obviate or include all fluoropolymer resins ‘‘made PFAS chemical substances presents an mitigate penalties for violations with the with’’ LCPFACs and exempt such unreasonable risk. See the Response to import of articles, as described at 40 products ‘‘made without’’ LCPFACs, Comment document (Ref. 3) for the CFR 707.20(c)(1)(iii). The language at 40 even if such products may nevertheless specific Docket IDs for these comments. CR 707.20(c)(1)(iii) states that ‘‘[ . . . ] bear trace amounts of LCPFACs due to Response: TSCA section 6(a) states EPA realizes that sometimes importers cross-contamination, to encourage that ‘‘[i]f the Administrator determines may not have actual knowledge of the importers to demonstrate compliance by in accordance with subsection (b)(4)(A) chemical composition of imported obtaining Certificates of Compliance that the manufacture, processing, mixtures. In these cases, the importer from their overseas suppliers. See the distribution in commerce, use, or should attempt to discover the chemical Response to Comment document (Ref. 3) disposal of a chemical or mixture, or constituents of the shipment by for the specific Docket IDs for these that any combination of such activities, contacting another party to the comments. presents an unreasonable risk of injury transaction (e.g., his principal or the Response: To the extent the chemical to health or the environment’’ the foreign manufacturer). This person may substance subject to the SNUR is only Administrator shall take action under be able to identify the components of ‘‘unintentionally present’’ at the point of TSCA section 6(a). While EPA the mixture, or at least state that the foreign manufacture, it is already appreciates the commenters request to substances comply with TSCA. The exempt from reporting by the importer promulgate a rule in accordance with greater the effort an importer makes to as an imported impurity. See 40 CFR this provision, EPA is not doing so at

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this time. Rather, at this time EPA 3. EPA. Response to Comments on the 19. EPA. Perfluoroalkyl Sulfonates; Proposed believes that a rule under TSCA section Proposed Long-Chain Perfluoroalkyl Significant New Use Rule; Proposed 5(a)(2), in conjunction with the 2010/ Carboxylate and Perfluoroalkyl Sulfonate Rule. Federal Register. 67 FR 11014, 2015 PFOA Stewardship Program, is an Chemical Substances Significant New , 2002 (FRL–6823–7). Use Rule (SNUR). , 2020. 20. Kato, K. et al. Trends in Exposure to effective method to protect human 4. EPA. Economic Analysis of the Final Polyfluoroalkyl Chemicals in the U.S. health and the environment from any Significant New Use Rule for Population: 1999–2008. Environmental risks posed by LCPFAC and Perfluoroalkyl Sulfonates and Long- Science and Technology. 45: 8037–8045. perfluoroalkyl sulfonate chemical Chain Perfluoroalkyl Carboxylate 2011. substances. Chemical Substances. June 19, 2020. 21. Gremmel, Christoph, et al. ‘‘Systematic Through the 2010/2015 PFOA 5. EPA. Long-Chain Perfluorinated Chemicals determination of perfluoroalkyl and Stewardship Program, a voluntary risk Action Plan. , 2009. polyfluoroalkyl substances (PFASs) in Accessed at: https://www.epa.gov/sites/ outdoor jackets.’’ Chemosphere 160 reduction program, eight major production/files/2016-01/documents/ (2016): 173–180. fluoropolymer and telomer pfcs_action_plan1230_09.pdf. 22. Liu, Xiaoyu, et al. ‘‘Determination of manufacturers and processors 6. EPA. Perfluoroalkyl Sulfonates; Significant fluorotelomer alcohols in selected committed to voluntarily work toward a New Use Rule; Final Rule. Federal consumer products and preliminary phase-out of LCPFAC chemical Register. 67 FR 72854, , 2002 investigation of their fate in the indoor substances (Ref. 34). As such, the (FRL–6823–6). environment.’’ Chemosphere 129 (2015): reduced supply of long-chain 7. 3M Company. The Science of Organic 81–86. Fluorochemistry. St. Paul, Minnesota, 23. Washington, J.W., T.M. Jenkins. 2015. perfluorinated chemicals has led February 5, 1999. industries to more quickly transition to Abiotic hydrolysis of fluorotelomer 8. Butt, Craig M., et al. ‘‘Levels and trends of polymers as a source of alternative chemical substances, as poly-and perfluorinated compounds in perfluorocarboxylates at the global scale. noted in both public comments and the arctic environment.’’ Science of the Environmental Science & Technology. industry communication. For persons Total Environment 408.15 (2010): 2936– 49. 14129–14135. subject to this SNUR, they are required 2965. 24. Guo, Zhishi, et al. ‘‘Perfluorocarboxylic to notify EPA at least 90 days prior to 9. Houde, Magali, et al. ‘‘Biological acid content in 116 articles of monitoring of polyfluoroalkyl commencing manufacture or processing commerce.’’ Research Triangle Park, NC: substances: a review.’’ Environmental US Environmental Protection Agency of these chemical substances. This Science & Technology 40.11 (2006): required notification provides EPA with (2009). 3463–3473. 25. Washington, J.W., T.M. Jenkins, K. the opportunity to evaluate any 10. Calafat, Antonia M., et al. Rankin, J.E. Naile. 2015. Decades-Scale ‘‘Polyfluoroalkyl chemicals in the US significant new use of the regulated Degradation of Commercial, Side-Chain, population: data from the National perfluorinated chemical substances and, Fluorotelomer-based Polymers in Soils & Health and Nutrition Examination if necessary, protect against potential Water. Environmental Science & Survey (NHANES) 2003–2004 and unreasonable risks. EPA continues to Technology. 49. 915–923. comparisons with NHANES 1999–2000.’’ 26. Plastics Industry Association. Guide to review the manufacturing, import, and Environmental Health Perspectives processing of the ongoing uses of these 115.11 (2007): 1596. the Safe Handling of Fluoropolymer substances of concern. If EPA has reason 11. Lau, Christopher, et al. ‘‘Perfluoroalkyl Resins. Fifth Addition. 2018. to believe that either a use of these acids: a review of monitoring and 27. Washington, J.W., J.J. Ellington, T.M. chemical substances is no longer toxicological findings.’’ Toxicological Jenkins, J.J Evans, H. Yoo, S.C. Hafner. 2009. Degradability of an Acrylate- ongoing or that a TSCA section 6(a) rule Sciences 99.2 (2007): 366–394. 12. EPA. Health Effects Support Document Linked Fluorotelomer Polymer in Soil. would better regulate LCPFAC and Environmental Science & Technology. perfluoroalkyl sulfonate chemical for Perfluorooctanoic Acid (PFOA). EPA 822–R–16–003. May 2016. 43. 6617–6623. substances, EPA will consider taking 13. Ahrens L., et al. Polyfluoroalkyl 28. Washington, J.W., K. Rankin, K., E.L. further regulatory action. Compounds in the Aquatic Environment: Libelo, D.G. Lynch, M. Cyterski. 2019. Determining global background soil XIII. References A Review of Their Occurrence and Fate. Journal of Environmental Monitoring. 13: PFAS loads and the fluorotelomer-based The following is a list of the 20–31. 2011. polymer degradation rates that can documents that are specifically 14. Sturm R., et al. Trends of Polyfluoroalkyl account for these loads. Science of the Compounds in Marine Biota and in Total Environment. 651. 2444–2449. referenced in this document. The docket 29. EPA. Draft Scope of the Risk Evaluation includes these documents, as well as Humans. Environmental Chemistry. 7: 457–484. 2010. for 1,2-Dichloroethane. April 2020. other information considered by EPA 15. Lau, C. Perfluorinated Compounds. Accessed at: https://www.epa.gov/sites/ that are not listed below, including Molecular, Clinical and Environmental production/files/2020-04/documents/ documents that are referenced within Toxicology Experientia Supplementum. casrn-107-06-2_12-dichloroethane_draft_ the documents that are included in the Volume 101, pp. 47–86. 2012. scope.pdf. docket. For assistance in locating docket 16. Yoo, H., et al. Concentrations, 30. EPA. Significant New Uses of Certain items, please consult the technical Distribution and Persistence of Chemical Substances; Final Rule. Federal Register. 55 FR 17376, April 24, person listed under FOR FURTHER Fluorotelomer Alcohols in Sludge- 1990 (FRL–3658–5). INFORMATION CONTACT. applied Soils Near Decatur, Alabama, USA. Environmental Science & 31. EPA. Understanding the Costs Associated 1. EPA. Long-Chain Perfluoroalkyl Technology. 44: 8397–8402. 2010. with Eliminating Exemptions for Articles Carboxylate and Perfluoroalkyl Sulfonate 17. Washington, J.W., et al. Concentrations, in SNURs. , 2014. Chemical Substances; Significant New Distribution and Persistence of 32. EPA. Illustrative List of LCPFACs Update Use Rule. Proposed Rule. Federal Perfluoroalkylates in Sludge-applied , 2014. Register. 80 FR 2885, January 21, 2015 Soils Near Decatur, Alabama, USA. 33. EPA. Chemicals Added to the Toxics (FRL–9915–63). Environmental Science and Technology. Release Inventory Pursuant to Section 2. EPA. Long-Chain Perfluoroalkyl 44: 8390–8396. 2010. 7321 of the National Defense Carboxylate and Perfluoroalkyl Sulfonate 18. Strynar, Mark J., and Andrew B. Authorization Act. , 2020. Chemical Substances; Significant New Lindstrom. ‘‘Perfluorinated compounds Accessed at: https://www.epa.gov/sites/ Use Rule. Supplemental Proposal. in house dust from Ohio and North production/files/2020-04/documents/tri_ Federal Register. 85 FR 12479, March 3, Carolina, USA.’’ Environmental Science non-cbi_pfas_list_2_19_2020_final_ 2020 (FRL–10003–21). & Technology 42.10 (2008): 3751–3756. clean.pdf.

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34. EPA. 2010/2015 PFOA Stewardship notification. In both cases, burden is While EPA does not have estimates on Program Final Report. Accessed at: estimated to be lower for submitters the cost of developing and marketing a https://www.epa.gov/sites/production/ _ _ who have already registered to use the new chemical, it has identified a mean files/2017-02/documents/2016 pfoa electronic submission system. reformulation cost of $31,700 and a stewardship_summary_table_0.pdf. An agency may not conduct or maximum of $114,000, which is well XIV. Statutory and Executive Order sponsor, and a person is not required to above the $10,000 SNUN costs. Reviews respond to a collection of information Therefore, EPA believes that the Additional information about these that requires OMB approval under the potential economic impact of complying statutes and Executive Orders can be PRA, unless it has been approved by with this final SNUR is not expected to found at http://www2.epa.gov/laws- OMB and displays a currently valid be significant or adversely impact a regulations/laws-and-executive-orders. OMB control number. The OMB control substantial number of small entities. numbers for EPA’s regulations in Title A. Executive Order 12866: Regulatory 40 of the CFR, after appearing in the E. Unfunded Mandates Reform Act Planning and Review and Executive Federal Register, are listed in 40 CFR, (UMRA) Order 13563: Improving Regulation and part 9, and included on the related Based on EPA’s experience with Regulatory Review collection instrument, or form, as proposing and finalizing SNURs, State, This action is a significant regulatory applicable. local, and Tribal governments have not action that was submitted to the Office D. Regulatory Flexibility Act (RFA) been impacted by these rulemakings, of Management and Budget (OMB) for and EPA does not have any reason to review under Executive Orders 12866 Pursuant to section 605(b) of the RFA, 5 U.S.C. 601 et seq., I certify that believe that any State, local, or Tribal (58 FR 51735, October 4, 1993) and government would be impacted by this 13563 (76 FR 3821, January 21, 2011). promulgation of this SNUR would not have a significant economic impact on rulemaking. As such, the requirements Any changes made in response to OMB of sections 202, 203, 204, or 205 of recommendations have been a substantial number of small entities. The rationale supporting this UMRA, 2 U.S.C. 1531–1538, do not documented in the docket for this action apply to this action. as required by section 6(a)(3)(E) of conclusion is as follows. Executive Order 12866. A SNUR applies to any person F. Executive Order 13132: Federalism (including small or large entities) who EPA prepared an economic analysis of This action will not have federalism the potential costs and benefits intends to engage in any activity described in the rule as a ‘‘significant implications as specified in Executive associated with this action. A copy of Order 13132 (64 FR 43255, August 10, the economic analysis, entitled new use.’’ By definition of the word ‘‘new’’ and based on all information 1999), because it will not have ‘‘Economic Analysis of the Significant substantial direct effect on States, on the New Use Rule for Perfluoroalkyl currently available to EPA, it appears that no small or large entities presently relationship between the national Sulfonates and Long-Chain government and the States, or on the Perfluoroalkyl Carboxylate Chemical engage in such activities. Since this distribution of power and Substances’’ (Ref. 4), is available in the SNUR will require a person who intends responsibilities among the various docket and is briefly summarized in to engage in such activity in the future levels of government. Unit XI. to first notify EPA by submitting a SNUN, no economic impact will occur G. Executive Order 13175: Consultation B. Executive Order 13771: Reducing unless someone files a SNUN to pursue and Coordination With Indian Tribal Regulations and Controlling Regulatory a significant new use in the future or Governments Costs forgoes profits by avoiding or delaying This is a regulatory action subject to the significant new use. Although some This action does not have tribal Executive Order 13771 (82 FR 9339, small entities may decide to conduct implications as specified in Executive , 2017). Details on the such activities in the future, EPA cannot Order 13175 (65 FR 67249, November 9, estimated costs and benefits of this final presently determine how many, if any, 2000), because it will not have any rule can be found in EPA’s analysis (Ref. there may be. However, EPA’s effect on tribal governments, on the 4), which is available in the docket and experience to date is that, in response to relationship between the Federal is summarized in Unit I.E. the promulgation of SNURs covering Government and the Indian tribes, or on over 1,000 chemical substances, the the distribution of power and C. Paperwork Reduction Act (PRA) Agency receives only a handful of responsibilities between the Federal This action does not impose any new notices per year. During the six-year Government and Indian tribes. information collection burden under the period from 2005–2010, only three H. Executive Order 13045: Protection of PRA, 44 U.S.C. 3501 et seq. Burden is submitters self-identified as small in Children From Environmental Health defined in 5 CFR 1320.3(b). The their SNUN submission (Ref. 4). Based Risks and Safety Risks information collection activities on this, EPA believes that few SNUN associated with existing chemical submissions will occur as a result of the This action is not subject to Executive SNURs are already approved under rule. EPA believes the total cost of Order 13045 (62 FR 19885, April 23, OMB control number 2070–0038 (EPA submitting a SNUN, $10,000 for small 1997), because this action does not ICR No. 1188); and the information business submitters, is relatively small address environmental health or safety collection activities associated with compared to annual revenues of the risks, and EPA interprets Executive export notifications are already companies and does not have a Order 13045 as applying only to those approved under OMB control number significant economic impact as regulatory actions that concern 2070–0030 (EPA ICR No. 0795). If an compared to the cost of developing and environmental health or safety risks that entity were to submit a SNUN to the marketing a chemical new to a firm or EPA has reason to believe may Agency, the annual burden is estimated marketing a new use of the chemical. disproportionately affect children, per to be less than 100 hours per response, This estimate does not include any costs the definition of ‘‘covered regulatory and the estimated burden for export associated with importer’s identification action’’ in section 2–202 of the notifications is less than 1.5 hours per of chemicals associated with the SNUR. Executive Order.

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I. Executive Order 13211: Actions Dated: June 22, 2020. exempt from submitting a significant Concerning Regulations That Andrew Wheeler, new use notice. The other provision of Significantly Affect Energy Supply, Administrator. § 721.45(f), respecting processing a Distribution, or Use Therefore, for the reasons stated in the chemical substance as part of an article, remains applicable. This final rule is not subject to preamble, EPA amends 40 CFR chapter (2) The provision at § 721.45(h) does Executive Order 13211 (66 FR 28355, I as follows: not apply to this section. May 22, 2001), because this action is not expected to affect energy supply, PART 721—SIGNIFICANT NEW USES ■ 3. Revise § 721.10536 to read as distribution, or use. OF CHEMICAL SUBSTANCES follows: J. National Technology Transfer and ■ 1. The authority citation for part 721 § 721.10536 Long-chain perfluoroalkyl Advancement Act (NTTAA) continues to read as follows: carboxylate chemical substances. Since this action does not involve any Authority: 15 U.S.C. 2604, 2607, and (a) Definitions. The definitions in technical standards, section 12(d) of 2625(c). § 721.3 apply to this section. In NTTAA, 15 U.S.C. 272 note, does not ■ 2. Amend § 721.9582 by: addition, the following definition apply to this action. ■ a. Redesignating paragraph (a) as (b). applies: ■ b. Adding new paragraph (a). Carpet means a finished fabric or K. Executive Order 12898: Federal ■ c. Adding paragraph (b)(2)(v). similar product intended to be used as Actions To Address Environmental ■ d. Adding paragraph (c). a floor covering. This definition Justice in Minority Populations and The additions read as follows: excludes resilient floor coverings such Low-Income Populations as linoleum and vinyl tile. § 721.9582 Certain perfluoroalkyl This final rule does not invoke special sulfonates. (b) Chemical substances and significant new uses subject to reporting. consideration of environmental justice (a) Definitions. The definitions in (1) The chemical substances identified related issues as delineated by § 721.3 apply to this section. In in this paragraph, where 5 < n < 21 or Executive Order 12898 (59 FR 7629, addition, the following definition 6 < m < 21, are subject to reporting February 16, 1994), because EPA has applies: under this section for the significant determined that this action will not Carpet means a finished fabric or new uses described in paragraph have disproportionately high and similar product intended to be used as adverse human health or environmental (b)(4)(i) and (b)(4)(iv) of this section. a floor covering. This definition + effects on minority or low-income excludes resilient floor coverings such (i) CF3(CF2)n-COO M where M = H or populations. as linoleum and vinyl tile. any other group where a formal dissociation can be made; L. Congressional Review Act (CRA) (b) * * * (2) * * * (ii) CF3(CF2)n-CH=CH2; This action is subject to the CRA, 5 (v) Import as part of carpets. (iii) CF3(CF2)n-C(=O)-X, where X is U.S.C. 801–808, and EPA will submit a * * * * * any chemical moiety; rule report to each House of the (c) Specific requirements. The (iv) CF3(CF2)m-CH2-X, where X is any Congress and to the Comptroller General provisions of subpart A of this part chemical moiety; and of the United States. This action is not apply to this section except as modified (v) CF3(CF2)m-Y–X, where Y = non-S, a ‘‘major rule’’ as defined by 5 U.S.C. by this paragraph (c). non-N heteroatom and where X is any 804(2). (1) Revocation of certain notification chemical moiety. exemptions. With respect to imports of (2) The chemical substances listed in List of Subjects in 40 CFR Part 721 carpets, the provisions of § 721.45(f) do Table 1 of this paragraph are subject to Environmental protection, Chemicals, not apply to this section. A person who reporting under this section for the Hazardous substances, Reporting and imports a chemical substance identified significant new uses described in recordkeeping requirements. in this section as part of a carpet is not paragraph (b)(4)(ii) of this section.

TABLE 1 TO PARAGRAPH (b)(2)—LCPFAC CHEMICAL SUBSTANCES SUBJECT TO REPORTING AFTER DECEMBER 31, 2015

CAS registry No. EPA Chemical name (CASRN) accession No. TSCA chemical inventory name

Perfluorooctyl iodide ...... 507–63–1 ...... N/A Octane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8-heptadecafluoro-8-iodo-. Tetrahydroperfluoro-1-decanol ...... 678–39–7 ...... N/A 1-Decanol, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluoro-. Perfluoro-1-dodecanol ...... 865–86–1 ...... N/A 1-Dodecanol, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,12-.henei cosafluoro- Perfluorodecyl iodide ...... 2043–53–0 ...... N/A Decane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8-heptadecafluoro-10-iodo-. 1,1,2,2-Tetrahydroperfluorododecyl 2043–54–1 ...... N/A Dodecane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10-heneicosafluoro- iodide. 12-iodo-. Perfluorodecylethyl acrylate...... 17741–60–5 ..... N/A 2-Propenoic acid, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,12- heneicosafluorododecyl ester. 1,1,2,2-Tetrahydroperfluorodecyl ac- 27905–45–9 ..... N/A 2-Propenoic acid, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10-heptadecafluoro rylate. decyl ester 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9, 30046–31–2 ..... N/A Tetradecane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12- 9,10,10,11,11,12,12- pentacosafluoro-14-iodo-. Pentacosafluoro-14- iodotetradecane. 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11, 39239–77–5 ..... N/A 1-Tetradecanol, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13, 11,12,12,13,13,14,14,14- 14,14,14-pentacosafluoro-. Pentacosafluorotetradecan-1-ol.

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TABLE 1 TO PARAGRAPH (b)(2)—LCPFAC CHEMICAL SUBSTANCES SUBJECT TO REPORTING AFTER DECEMBER 31, 2015—Continued

CAS registry No. EPA Chemical name (CASRN) accession No. TSCA chemical inventory name

3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11, 60699–51–6 ..... N/A 1-Hexadecanol, 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12,13,13,14, 11,12,12,13,13,14,14,15,15,16, 14,15,15,16,16,16-nonacosafluoro-. 16,16-Nonacosafluorohexadecan- 1-ol. 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9, 65510–55–6 ..... N/A Hexadecane, 1,1,1,2,2,3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,11,11,12,12, 10,10,11,11,12,12,13,13,14,14- 13,13,14,14-nonacosafluoro-16-iodo-. Nonacosafluoro-16- iodohexadecane. Sodium;2-methylpropane-1- 68187–47–3 ..... N/A 1-Propanesulfonic acid, 2-methyl-, 2-[[1-oxo-3-[(.gamma.-.omega.- sulfonate. perfluoro- C4-16-alkyl)thio]propyl]amino] derivs., sodium salts 1,1,2,2-Tetrahydroperfluoroalkyl 68391–08–2 ..... N/A Alcohols, C8-14, .gamma.-.omega.-perfluoro. (C8-C14) alcohol. Thiols, C8-20, gamma-omega- 70969–47–0 ..... N/A Thiols, C8-20, .gamma.-.omega.-perfluoro, telomers with acrylamide. perfluoro, telomers with acryl- amide. Silicic acid (H4SiO4), sodium salt 125476–71–3 ... N/A Silicic acid (H4SiO4), sodium salt (1:2), reaction products with (1:2), reaction products with chlorotrimethylsilane and 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- chlorotrimethylsilane and 3,3,4,4, heptadecafluoro-1-decanol. 5,5,6,6,7,7,8,8,9,9,10,10,10- heptadecafluoro-1-decanol. Thiols, C4-20, gamma-omega- 1078712–88–5 N/A Thiols, C4-20, .gamma.-.omega.-perfluoro, telomers with acrylamide perfluoro, telomers with acryl- and acrylic acid, sodium salts. amide and acrylic acid, sodium salts). 1-Propanaminium, 3-amino-N- 1078715–61–3 N/A 1-Propanaminium, 3-amino-N-(carboxymethyl)-N,N-dimethyl-, N-[2- (carboxymethyl)-N,N-dimethyl-, N- [(.gamma.-.omega.-perfluoro-C4-20-a lkyl)thio]acetyl] derivs., inner (2-((gamma-omega-perfluoro-C4– salts. 20-alkyl)thio)acetyl) derivs., inner salts. Polyfluoroalkyl betaine (generic) ..... CBI ...... 71217 Polyfluoroalkyl betaine (PROVISIONAL). Modified fluoroalkyl urethane (ge- CBI ...... 89419 Modified fluoroalkyl urethane (PROVISIONAL). neric). Perfluorinated polyamine (generic) CBI ...... 274147 Perfluorinated polyamine (PROVISIONAL).

(3) The chemical substances listed in Table 2 of this paragraph, are for the significant new uses described in identified as perfluorooctanoic acid subject to reporting under this section paragraph (b)(4)(iii) of this section. (PFOA) and its salts, including those

TABLE 2 TO PARAGRAPH (b)(3)—PFOA AND EXAMPLES OF ITS SALTS

CAS registry Chemical name No. TSCA chemical inventory name (CASRN)

Pentadecafluorooctanoyl fluoride ...... 335–66–0 Octanoyl fluoride, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-. Perfluorooctanoic acid ...... 335–67–1 Octanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro- (PFOA). Silver perfluorooctanoate ...... 335–93–3 Octanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-, silver (+) salt (1:1). Sodium perfluorooctanoate ...... 335–95–5 Octanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-, sodium salt (1:1). Potassium perfluorooctanoate ...... 2395–00–8 Octanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-, potassium salt (1:1). Ammonium perfluorooctanoate ...... 3825–26–1 Octanoic acid, 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8-pentadecafluoro-, ammonium salt (1:1) (APFO).

(4) Significant new uses: processing for any use after December as a significant new use subject to (i) The significant new use for 31, 2015. reporting. chemical substances identified in (iii) The significant new use for (iv) The significant new use for chemical substances identified in paragraph (b)(1) of this section is: chemical substances identified in paragraph (b)(1) of this section, except Manufacture (including import) or paragraph (b)(3) of this section is: for those chemicals identified in Table processing for use as part of carpets or Manufacture (including import) or 1 of paragraph (b)(2) of this section is: to treat carpets (e.g., for use in the carpet processing for any use. Import or Manufacture (including import) or aftercare market). processing of fluoropolymer dispersions processing for any use other than the (ii) The significant new use for and emulsions, and fluoropolymers as use already covered by paragraph chemical substances identified in part of articles, containing chemical (b)(4)(i) of this section. paragraph (b)(2) of this section is: substances identified in paragraph (b)(3) (5) Manufacturing (including Manufacture (including import) or of this section shall not be considered importing) or processing of certain

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chemical substances identified in (vii) Use of Poly(difluoromethylene), (1) Revocation of certain notification paragraph (b)(1), paragraph (b)(2), and .alpha.,.alpha.’-[phosphinicobis(oxy-2,1- exemptions. With respect to imports of paragraph (b)(3) of this section for the ethanediyl)]bis[.omega.-fluoro-, carpets, the provisions of § 721.45(f) do following specific uses shall not be ammonium salt (1:1) (CAS No. 65530– not apply to this section. With respect considered as a significant new use 70–3); Poly(difluoromethylene), .alpha.- to imports of articles, the provisions of subject to reporting under this section: fluoro-.omega.-[2-(phosphonooxy)ethyl]- § 721.45(f) also do not apply to a (i) Use in an antireflective coating, , ammonium salt (1:1) (CAS No. 65530– chemical substance identified in photoresists, or surfactant for use in 71–4); or Poly(difluoromethylene), paragraphs (b)(2) or (b)(3) of this section photomicrolithography and other .alpha.-fluoro-.omega.-[2- when they are part of a surface coating processes to produce semiconductors or (phosphonooxy)ethyl]-, ammonium salt of an article. A person who imports a similar components of electronic or (1:2) (CAS No. 65530–72–5) for use in chemical substance identified in other miniaturized devices. the manufacturing or processing of: paragraph (b)(1) of this section as part (ii) Use of 2-Propenoic acid, (A) Architectural coatings or wood of a carpet or who imports a chemical 3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- coatings, at a maximum concentration of substance identified in paragraphs (b)(2) heptadecafluorodecyl ester (CAS No. 0.1% by weight. or (b)(3) of this section as part of a 27905–45–9) as a coating or component (B) Industrial primer coatings for non- surface coating on an article is not of a hydrophobic and/or oleophobic spray applications to metal by coil exempt from submitting a significant coating or barrier applied to coating application, at a maximum new use notice. The other provision of manufactured articles or components of concentration of 0.01% by weight. § 721.45(f), respecting processing a articles using an energy source or (viii) Use of Alcohols, C8-14, chemical substance as part of an article, plasma deposition methods, which .gamma.-.omega.-perfluoro (CAS No. remains applicable. include a pulse deposition mode. 68391–08–2) in the manufacture or (2) The provision at § 721.45(h) does Examples of such articles include: processing of coatings and finishes for a not apply to this section. Electronic devices and components variety of textile, leather, and hard thereof, medical consumables and bio- surface treatments, and in the [FR Doc. 2020–13738 Filed 7–24–20; 8:45 am] consumables, filtration devices and manufacture of wetting agents. BILLING CODE 6560–50–P filtration materials, clothing, footwear (ix) Use of Poly(oxy-1,2-ethanediyl), and fabrics. .alpha.-hydro-.omega.-hydroxy-, ether (iii) Use of Silane, with .alpha.-fluoro-.omega.-(2- FEDERAL COMMUNICATIONS trichloro hydroxyethyl)poly(difluoromethylene) COMMISSION (3,3,4,4,5,5,6,6,7,7,8,8,9,9,10,10,10- (1:1) (CAS No. 65545–80–4) in water- heptadecafluorodecyl)-(CAS No. 78560– based inks. 47 CFR Part 1 44–8) as a surface treatment to make low (x) Use of Poly(difluoromethylene), [WT Docket No. 19–250 and RM–11849; FCC refractive index resin for optical .alpha.-[2-[(2-carboxyethyl)thio]ethyl]- 20–75: FRS 16876] applications; surface treatment for .omega.-fluoro-, lithium salt (1:1) (CAS minerals, particles and inorganic No. 65530–69–0) in photo media Accelerating Wireless and Wireline surfaces for hydrophobicity; and coatings. Broadband Deployment by Removing monomer to make specialty resins (xi) Use of Ethanol, 2,2’-iminobis-, Barriers to Infrastructure Investment hydrophobic. compd. with .alpha.-fluoro-.omega.-[2- (iv) Use of Octanoic acid, (phosphonooxy) AGENCY: Federal Communications 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- ethyl]poly(difluoromethylene) (2:1) Commission. pentadecafluoro- (CAS No. 335–67–1) as (CAS No. 65530–63–4); Ethanol, 2,2’- ACTION: Declaratory ruling. a surfactant and coating, as part of iminobis-, compd. with .alpha.,.alpha.’- SUMMARY: articles: Stickers, labels, and parts to [phosphinicobis(oxy-2,1- In this document, the Federal which those stickers and labels are ethanediyl)]bis[.omega.- Communications Commission attached. fluoropoly(difluoromethylene)] (1:1) (‘‘Commission’’ or ‘‘FCC’’) clarifies its (v) Use of 1-Propanesulfonic acid, 2- (CAS No. 65530–64–5); or Ethanol, 2,2’- rules implementing portions of the methyl-, 2-[[1-oxo-3-[(.gamma.-.omega.- iminobis-, compd. with .alpha.-fluoro- Spectrum Act of 2012 that streamline perfluoro-C4-16- .omega.-[2-(phosphonooxy)ethyl] State and local review of applications to alkyl)thio]propyl]amino] derivs., poly(difluoromethylene) (1:1) (CAS No. modify existing wireless infrastructure. sodium salts (CAS No. 68187–47–3); 65530–74–7) in paints and coatings, The Declaratory Ruling clarifies the Thiols, C8-20, .gamma.-.omega.- grouts, and sealers. following: When the 60-day shot clock perfluoro, telomers with acrylamide (xii) Use of Poly(oxy-1,2-ethanediyl), starts for local governments to review (CAS No. 70969–47–0); or .alpha.-hydro-.omega.-hydroxy-, ether and approve an eligible modification; Perfluorinated polyamine (generic) with .alpha.-fluoro-.omega.-(2- what constitutes a ‘‘substantial change’’ (ACC274147) as a component in fire hydroxyethyl)poly(difluoromethylene) when a modification would increase the extinguishing agent. (1:1) (CAS No. 65545–80–4) in paints, height of an existing structure, would (vi) Use of Octanoic acid, coatings, ink jet inks, and ink require the addition of equipment 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- masterbatch. cabinets, or would change the visual pentadecafluoro- (CAS No. 335–67–1); (xiii) Use of 1-Propanesulfonic acid, profile of a structure; and whether, Octanoic acid, 2-methyl-, 2-[[1-oxo-3-[(.gamma.- within the context of the Commission’s 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- .omega.-perfluoro-C4-16- environmental review rules, an pentadecafluoro-, sodium salt (1:1) (CAS alkyl)thio]propyl]amino] derivs., environmental assessment is required No. 335–95–5); or Octanoic acid, sodium salts (CAS No. 68187–47–3) in when an impact to historic properties 2,2,3,3,4,4,5,5,6,6,7,7,8,8,8- adhesives. has already been mitigated in the pentadecafluoro-, ammonium salt (1:1) (c) Specific requirements. The Commission’s historic preservation (CAS No. 3825–26–1) for use in provisions of subpart A of this part review process. automotive articles, both in factory apply to this section except as modified DATES: This Declaratory Ruling was assembly and replacement parts. by this paragraph (c). effective , 2020.

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FOR FURTHER INFORMATION CONTACT: Paul is part of a stealth-designed facility A. Commencement of Shot Clock D’Ari, [email protected], of the intended to make a structure look like Wireless Telecommunications Bureau, something other than a wireless facility, 4. Section 1.6100(c)(2) provides that Competition & Infrastructure Policy and that was part of a prior approval; the 60-day review period for eligible facilities requests begins ‘‘on the date on Division, (202) 418–1150. • To ‘‘defeat’’ a concealment element which an applicant submits a request SUPPLEMENTARY INFORMATION: This is a under § 1.6100(b)(7)(v), a proposed seeking approval.’’ If the local summary of the FCC’s Declaratory modification must cause a reasonable jurisdiction ‘‘fails to approve or deny a Ruling in WT Docket No. 19–250 and person to view a structure’s intended request seeking approval under this RM–11849, FCC 20–75, adopted on June stealth design as no longer effective; and section within the timeframe for review 9, 2020, and released on June 10, 2020. • (accounting for any tolling), the request The document is available for download The phrase ‘‘conditions associated shall be deemed granted.’’ The 2014 at https://www.fcc.gov/edocs. To request with the siting approval’’ may include Infrastructure Order discusses the materials in accessible formats for aesthetic conditions to minimize the procedures that local governments need people with disabilities (Braille, large visual impact of a wireless facility as to implement in order to carry out their print, electronic files, audio format), long as the condition does not prevent obligations to approve eligible facilities send an email to [email protected] or call modifications explicitly allowed under requests within 60 days; it does not, the Consumer & Governmental Affairs § 1.6100(b)(7)(i) through (iv) (antenna however, define the date on which an Bureau at 202–418–0530 (voice), 202– height, antenna width, equipment applicant is deemed to have submitted 418–0432 (TTY). cabinets, and excavations or deployments outside the current site) an eligible facilities request for purposes Synopsis and so long as there is express evidence of triggering the 60-day shot clock. I. Declaratory Ruling that at the time of approval the locality 5. There is evidence in the record that required the feature and conditioned some local jurisdictions effectively 1. In this Declaratory Ruling, the approval upon its continuing existence. postpone the date on which they Commission clarifies several key consider eligible facilities requests to be elements that determine whether a 3. Certain parties contend that the duly filed (thereby delaying the modification request qualifies as an Commission lacks legal authority to commencement of the shot clock) by eligible facilities request that a State or adopt the rulings requested in the treating applications as incomplete local government must approve within petitions, which they contend do not unless applicants have complied with 60 days, and it clarifies when the 60-day just clarify or interpret the rules time-consuming requirements. Such shot clock for review of an eligible established in 2014 but also change requirements include meeting with city facilities request commences. These them, requiring that the Commission or county staff, consulting with interpretations provide greater certainty issue a Notice of Proposed Rulemaking neighborhood councils, obtaining to applicants for State and local followed by a Report and Order. As an various certifications, or making government approval of wireless facility initial matter, the Commission notes presentations at public hearings. While modifications, as well as to the that it is not adopting all of the rulings some stakeholders may have assumed reviewing government agencies, and requested in WIA’s and CTIA’s petitions that, after the 2014 Infrastructure Order, these interpretations should accelerate for declaratory ruling because it finds local governments would develop the deployment of advanced wireless incremental action to be an appropriate procedures designed to review and networks. step at this juncture, particularly given, 2. Specifically, the Commission as mentioned above, that the approve covered requests within a 60- clarifies that: Commission has continued to take steps day shot clock period, many have not • The 60-day shot clock in to ease barriers to deployment of done so and instead continue to require § 1.6100(c)(2) begins to run when an wireless infrastructure since adopting applicants to apply for forms of applicant takes the first procedural step rules to implement Section 6409(a). The authorizations that entail more ‘‘lengthy in a locality’s application process and determinations in this Declaratory and onerous processes’’ of review. In submits written documentation showing Ruling are intended solely to interpret such jurisdictions, applicants may need that a proposed modification is an and clarify the meaning and scope of the to obtain clearance from numerous, eligible facilities request; existing rules set forth in the 2014 separate municipal departments, which • The phrase ‘‘with separation from Infrastructure Order, in order to remove could make it difficult to ascertain the nearest existing antenna not to uncertainty and in light of the differing whether or when the shot clock has exceed twenty feet’’ in § 1.6100(b)(7)(i) positions of the parties on these started to run. allows an increase in the height of the questions. In addition, the Commission 6. To address uncertainty regarding tower of up to twenty (20) feet between finds it appropriate to initiate a Notice the commencement of the shot clock, antennas, as measured from the top of of Proposed Rulemaking regarding the Commission clarifies that, for an existing antenna to the bottom of a tower site boundaries and excavation or purposes of its shot clock and deemed proposed new antenna on the top of a deployment outside the boundaries of granted rules, an applicant has tower; an existing tower site, in order to effectively submitted a request for • The term ‘‘equipment cabinets’’ in consider whether modifications of its approval that triggers the running of the § 1.6100(b)(7)(iii) does not include rules are needed to resolve current shot clock when it satisfies both of the relatively small electronic components, disputes. The Commission intends, with following criteria: (1) The applicant such as remote radio units, radio these steps, to continue to advance the takes the first procedural step that the transceivers, amplifiers, or other devices same goals that led it to adopt local jurisdiction requires as part of its mounted on the structure, and up to regulations implementing Section applicable regulatory review process four such cabinets may be added to an 6409(a) in the first instance—to avoid under Section 6409(a), and, to the extent existing facility per separate eligible ambiguities leading to disputes that it has not done so as part of the first facilities request; could undermine the goals of the required procedural step, (2) the • The term ‘‘concealment element’’ in Spectrum Act, i.e., to advance wireless applicant submits written § 1.6100(b)(7)(v) means an element that broadband service. documentation showing that a proposed

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modification is an eligible facilities allowed to cause delays or prevent these submit local zoning documentation as request. requests from being timely approved. As well in order to trigger the shot clock. 7. By requiring that an applicant take an additional example, a local 11. Fourth, the Commission notes that the first procedural step required by the government could not establish as its a local government may use conditional locality, the goal is to give localities first step a requirement that an use permits, variances, or other similar ‘‘considerable flexibility’’ to structure applicant demonstrate that it has types of authorizations under the local their procedures for review of eligible addressed all concerns raised by the government’s standard zoning or siting facilities requests, but prevent localities public, as such a step would not be rules, in connection with the from ‘‘impos[ing] lengthy and onerous objectively verifiable. consideration of an eligible facilities processes not justified by the limited 9. Second, the Commission clarifies request. The Commission clarifies, scope of review contemplated’’ by that a local government may not delay however, that requirements to obtain section 6409(a). In taking the first the triggering of the shot clock by such authorizations may not be used by procedural step that the local defining the ‘‘first step’’ as a the local government to delay the start jurisdiction requires as part of its combination or sequencing of steps, of or to toll the shot clock under the applicable regulatory review process, rather than a single step. For example, section 6409(a) process. The shot clock applicants demonstrate that they are if a local government defines the first would begin once the applicant takes complying with a local government’s step of its process as separate the first step in whatever process the procedures. The second criterion— consultations with a citizens’ local government uses in connection requiring applicants to submit written association, a historic preservation with reviewing applications subject to documentation showing that the review board, and the local government section 6409(a) and satisfies the second proposed modification is an eligible staff, an applicant will trigger the shot of the criteria (documentation). The facilities request—is necessary because clock by taking any one of those actions, Commission rejects localities’ localities must have the opportunity to along with satisfying the second of the suggestions that the shot clock should review this documentation to determine criteria (documentation). Once the shot not commence until an applicant whether the proposed modification is an clock has begun, it would not be tolled submits documentation required for all eligible facilities request that must be if the local government were to deny, necessary permits, as such an approach approved within 60 days. The delay review of, or require refiling of the is inconsistent with federal law. Commission anticipates that the application on the grounds that the local Subsequently, if the locality rejects the documentation sufficient to start the government’s separate consultation applicant’s request to modify wireless shot clock under the stated criteria requirements were not completed. The facilities as incomplete based on might include elements like a Commission expects applicants to act in requirements relating to such permits, description of the proposed good faith to fulfill reasonable steps set variances, or similar authorizations, the modification and an explanation of how forth by a local government that can be shot clock would not be tolled and the the proposed modification is an eligible completed within the 60 day period, but application would be deemed granted facilities request. The Commission finds the local government would bear after 60 days if the application that these criteria strike a reasonable responsibility for ensuring that any constitutes an eligible facilities request balance between local government steps in its process, as well as the under the Commission’s rules. flexibility and the streamlined review substantive review of the proposed Localities may only toll the shot clock envisioned by Section 6409(a). facility modification, are all completed ‘‘by mutual agreement’’ or if the locality 8. In addition, the Commission finds within 60 days. If not, the eligible ‘‘determines that the application is that further clarifications are needed to facilities request would be deemed incomplete.’’ achieve its goal of balancing local granted under the Commission’s rules. 12. Fifth, the Commission notes that government flexibility with the 10. Third, the Commission clarifies some jurisdictions have not established streamlined review envisioned by that a local government may not delay specific procedures for the review and Section 6409(a). First, the Commission the start of the shot clock by declining approval of eligible facilities requests clarifies that a local government may to accept an applicant’s submission of under Section 6409(a). In those cases, not delay the triggering of the shot clock documentation intended to satisfy the the Commission clarifies that, for by establishing a ‘‘first step’’ that is second of the criteria for starting the purposes of triggering the shot clock outside of the applicant’s control or is shot clock. In addition, a local under Section 6409(a), the applicant can not objectively verifiable. For example, government may not delay the start of consider the first procedural step to be if the first step required by a local the shot clock by requiring an applicant submission of the type of filing that is government is that applicants meet with to submit documentation that is not typically required to initiate a standard municipal staff before making any filing, reasonably related to determining zoning or siting review of a proposed the applicant should be able to satisfy whether the proposed modification is an deployment that is not subject to section that first step by making a written eligible facilities request. The 6409(a). Comparable modification request to schedule the meeting—a step Commission clarifies how its requests might include applications to within the applicant’s control. In this documentation rules apply in the install, modify, repair, or replace example, the 60-day shot clock would context of the shot clock to provide wireless transmission equipment on a start once the applicant has made a certainty that unnecessary structure that is outside the scope of written request for the meeting and the documentation requests do not Section 6409(a), or to mount cable applicant also has satisfied the second effectively delay the shot clock as part television, wireline telephone, or of the criteria (documentation). The of the local government’s ‘‘first step,’’ electric distribution cables or equipment Commission does not wish to even if providing that documentation on outdoor towers or poles. Where the discourage meetings between applicants would be within the applicant’s control first step in the process is submission of and the local governments, and it and could be objectively verified. For the type of filing that is typically recognizes that such consultations may example, if a locality requires as the first required for comparable modification help avoid errors that localities have step in its section 6409(a) process that requests, the Commission notes that identified as leading to delays, but such an applicant meet with a local zoning applicants are not required to file any meetings themselves should not be board, that applicant would not need to documentation that is inconsistent with

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the Commission’s rules for eligible considered a substantial change, by Commission discussed in the 2014 facilities requests under Section 6409(a). itself, if there is no more than twenty Infrastructure Order, limits on height 13. The Commission finds that these feet of separation between the nearest and width increases should depend on clarifications serve to remove existing antenna. The phrase the type and location of the underlying uncertainty about the scope and ‘‘separation from the nearest existing structure. The Commission therefore meaning of various provisions of antenna’’ means the distance from the adopted the Collocation Agreement’s Section 1.6100 consistent with the text, top of the highest existing antenna on ‘‘substantial increase in size’’ test for history, and purpose of the 2014 the tower to the bottom of the proposed towers outside the rights-of-way, and it Infrastructure Order. The Commission new antenna to be deployed above it. adopted a different standard for non- also notes that the commencement of Thus, when determining whether an tower structures. Localities are the shot clock does not excuse the application satisfies the criteria for an rearguing an issue already settled in the applicant from continuing to follow the eligible facilities request, localities 2014 Infrastructure Order when they locality’s procedural and substantive should not measure this separation from urge that the same height increase requirements (to the extent those the top of the existing antenna to the top standard should apply to different types requirements are consistent with the of the new antenna, because the height of structures. The Commission also Commission’s rules), including of the new antenna itself should not be rejects the argument that this obligations ‘‘to comply with generally included when calculating the interpretation would lead to virtually applicable building, structural, allowable height increase. Rather, under unconstrained increases in the height of electrical, and safety codes or with other the Commission’s interpretation, the such towers. These concerns are laws codifying objective standards word ‘‘separation’’ refers to the distance unwarranted because the 2014 reasonably related to health and safety.’’ from the top of the existing antenna to Infrastructure Order already limits the B. Height Increase for Towers Outside the bottom of the proposed antenna. cumulative increases in height from the Public Rights-of-Way Interpreting ‘‘separation’’ otherwise to eligible modifications and nothing in include the height of the new antenna this Declaratory Ruling changes those 14. Adding new collocated equipment could limit the number of proposed limits. near or at the top of an existing tower height increases that would qualify for 18. The clarification is limited to can be an efficient means of expanding Section 6409(a) treatment, given typical Section 1.6100(b)(7)(i) and the the capacity or coverage of a wireless antenna sizes and separation distances maximum increase in the height of a network without the disturbances between antennas, which would tower outside the rights-of-way allowed associated with building an entirely undermine the statute’s objective to pursuant to an eligible facilities request new structure. Adding this equipment facilitate streamlined review of under Section 6409(a). The Commission to an existing tower would change the modifications of existing wireless reminds applicants that ‘‘eligible facility tower’s physical dimensions, but if such structures. requests covered by Section 6409(a) a change is not ‘‘substantial,’’ then a 16. Specifically, and in response to must comply with any relevant Federal request to implement it would qualify as commenters’ arguments regarding the requirement, including any applicable an eligible facilities request, and a language in Section 1.6100(b)(7)(i), the Commission, FAA, NEPA, or Section locality would be required to approve it. Commission find that its resolution is 106 [historic review] requirements.’’ Section 1.6100(b)(7)(i) provides that a consistent with the long-established C. Equipment Cabinets modification on a tower outside of the interpretation of the comparable public rights-of-way would cause a standard set forth in the 2001 19. To upgrade to 5G and for other substantial change if it ‘‘increases the Collocation Agreement for determining technological and capacity height of the tower by more than 10% the maximum size of a proposed improvements, providers often add or by the height of one additional collocation that is categorically equipment cabinets to existing wireless antenna array with separation from the excluded from historic preservation sites. Section 1.6100(b)(7)(iii) provides nearest existing antenna not to exceed review. Commission staff explained, in that a proposed modification to a twenty feet, whichever is greater.’’ a fact sheet released in 2002, that under support structure constitutes a 15. Commenters assert that they have this provision of the Collocation substantial change if ‘‘it involves two different interpretations of the Agreement, if a ‘‘150-foot tower . . . installation of more than the standard meaning of this language in Section already [has] an antenna at the top of number of new equipment cabinets for 1.6100(b)(7)(i). Industry commenters the tower, the tower height could the technology involved, but not to read Section 1.6100(b)(7)(i) as allowing increase by up to 20 feet [i.e., the exceed four cabinets.’’ Some localities a new antenna to be added without ‘‘separation’’ distance] plus the height of suggest that telecommunications being a substantial change if there is no a new antenna to be located at the top transmission equipment manufactured more than twenty feet in ‘‘separation’’ of the tower’’ without constituting a with outer protective covers can be between the existing and new antennas, substantial increase in size. That ‘‘equipment cabinets’’ under Section and that the size/height of the new standard was the source of the standard 1.6100(b)(7)(iii) of the rules. The antenna itself is irrelevant to the for the allowable height increases for Commission concludes that localities concept of ‘‘separation.’’ Localities towers outside the rights-of-way that the are interpreting ‘‘equipment cabinet’’ appear to be of the view, however, that Commission adopted in the 2014 under Section 1.6100(b)(7)(iii) too such an interpretation strains what the Infrastructure Order. broadly to the extent they are treating statute and regulations would permit— 17. The Commission’s interpretation equipment itself as a cabinet simply creating different standards for antenna also aligns with the clarification sought because transmission equipment may height depending on where it is located by WIA and other industry parties. The have protective housing. Nor does a and leading to indefinite increases in Commission rejects the argument that small piece of transmission equipment antenna height under a streamlined this interpretation creates irrational mounted on a structure become an process not designed for that purpose. inconsistences among height increase ‘‘equipment cabinet’’ simply because it Adding an antenna array to a tower out standards depending on the type of is more visible when mounted above of the public right-of-way that increases structure and whether a tower is inside ground. Consistent with common usage the height of the tower would not be or outside the rights-of-way. As the of the term ‘‘equipment cabinet’’ in the

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telecommunications industry, small to add an unlimited number of new concealment elements to features pieces of equipment such as remote equipment cabinets to a structure so identified in the original approval radio heads/remote radio units, long as the applicant proposes adding would negate land use requirements amplifiers, transceivers mounted behind them in increments of four or less. The that were a factor in the original antennas, and similar devices are not Commission disagrees that this deployment but not specified as such. ‘‘equipment cabinets’’ under Section clarification permits an unlimited 24. Clarification of ‘‘Concealment 1.6100(b)(7)(iii) if they are not used as number of cabinets on a structure. The Element.’’ The Commission clarifies that physical containers for smaller, distinct text of Section 1.6100(b)(7)(iii) limits concealment elements are elements of a devices. Moreover, the Commission the number of equipment cabinets per stealth-designed facility intended to notes that Section 1.6100(b)(3) defines modification to no more than ‘‘the make the facility look like something an ‘‘eligible facilities request’’ (i.e., a standard number of new equipment other than a wireless tower or base request entitled to streamlined cabinets for the technology involved.’’ station. The 2014 Infrastructure Order treatment under Section 6409(a)) as any defines ‘‘concealed or ‘stealth’ ’’- D. Concealment Elements request for modification of an existing designed facilities as ‘‘facilities tower or base station that does not 22. Section 1.6100(b)(7)(v) states that designed to look like some feature other substantially change the physical a modification ‘‘substantially changes’’ than a wireless tower or base station,’’ dimensions of such tower or base the physical dimensions of an existing and further provides that any change station and that involves the structure if ‘‘[i]t would defeat the that defeats the concealment elements of collocation, removal or replacement of concealment elements of the eligible such facilities would be considered a ‘‘transmission equipment.’’ Interpreting support structure.’’ The 2014 substantial change under Section ‘‘transmission equipment,’’ an element Infrastructure Order provides that, ‘‘in 6409(a). Significantly, the 2014 required in order for a modification to the context of a modification request Infrastructure Order identified parts of a qualify for streamlined treatment, to be related to concealed or ‘stealth’- stealth wireless facility such as ‘‘equipment cabinets,’’ an element that designed facilities —i.e., facilities ‘‘painting to match the supporting is subject to numerical limits that can designed to look like some feature other fac¸ade or artificial tree branches’’ as cause the modification not to qualify for than a wireless tower or base station— examples of concealment elements. The streamlined treatment, would strain the any change that defeats the concealment Commission agrees with industry intended purposes of Sections elements of such facilities would be commenters that concealment elements 1.6100(b)(3) and 1.6100(b)(7)(iii). The considered a ‘substantial change’ under are those elements of a wireless facility Commission does not address here other Section 6409(a).’’ The 2014 installed for the purpose of rendering aspects of the definition of equipment Infrastructure Order notes that both the ‘‘appearance of the wireless facility cabinets on which industry commenters locality and industry commenters as something fundamentally different seek clarification. generally agreed that ‘‘a modification than a wireless facility,’’ and that 20. In addition, the Commission that undermines the concealment concealment elements are ‘‘confined to clarifies that the maximum number of elements of a stealth wireless facility, those used in stealth facilities.’’ additional equipment cabinets that can such as painting to match the 25. The Commission disagrees with be added under the rule is measured for supporting fac¸ade or artificial tree localities who argue that any attribute each separate eligible facilities request. branches, should be considered that minimizes the visual impact of a According to WIA, one unidentified city substantial under Section 6409(a).’’ facility, such as a specific location on a in Tennessee interprets the term ‘‘not to 23. Stakeholders subsequently have rooftop site or placement behind a tree exceed four cabinets’’ in Section interpreted the definition of line or fence, can be a concealment 1.6100(b)(7)(iii) as ‘‘setting a cumulative ‘‘concealment element’’ and the types of element. As localities acknowledged in limit, rather than a limit on the number modifications that would ‘‘defeat’’ comments they submitted in response to of cabinets associated with a particular concealment in different ways. the 2013 Infrastructure NPRM, ‘‘local eligible facilities request.’’ The Petitioners and industry commenters governments often address visual effects Commission finds that such an urge the Commission to clarify that the and concerns in historic districts not interpretation runs counter to the text of term ‘‘concealment element’’ only refers through specific stealth conditions, but Section 1.6100(b)(7)(iii), which restricts to ‘‘a stealth facility or those aspects of through careful placement’’ conditions. the number of ‘‘new’’ cabinets per a design that were specifically intended The Commission’s rules separately eligible facilities request. The city’s to disguise the appearance of a facility, address conditions to minimize the interpretation ignores the fact that the such as faux tree branches or paint visual impact of non-stealth facilities word ‘‘it’’ in the rule refers to a color.’’ T-Mobile states that some under Section 1.6100(b)(7)(vi) governing ‘‘modification’’ and supports the localities are ‘‘proffering ‘creative or ‘‘conditions associated with the siting conclusion that the limit on equipment inappropriate’ regulatory interpretations approval.’’ The Commission narrowly cabinet installations applies separately of what a concealment element is.’’ defined concealment elements to mean to each eligible facilities request. This Locality commenters counter that there the elements of a stealth facility, and no conclusion is also supported by the is more to concealment than ‘‘fully other conditions fall within the scope of context of the rule as a whole. The stealthed facilities and semi-stealthed Section 1.6100(b)(7)(v). number and size of preexisting cabinets monopines.’’ They argue that the 26. The Commission also clarifies are irrelevant to the limitation on proposed changes would undermine the that, in order to be a concealment equipment cabinets on eligible support ability of local jurisdictions to enforce element under Section 1.6100(b)(7)(v), structures, in contrast to the rest of the regulations designed to conceal the element must have been part of the rule, which takes into account whether equipment. NLC asserts that many facility that the locality approved in its there are preexisting ground cabinets at attributes of a site contribute to prior review. The Commission’s the site and whether proposed new concealment, such as the ‘‘specific clarification that concealment elements cabinets’ volume exceeds the volume of location of a rooftop site, or the must be related to the locality’s prior preexisting cabinets by more than 10%. inclusion of equipment in a particular approval is informed by the 2014 21. Several localities argue that this architectural feature.’’ Locality Infrastructure Order and its underlying clarification would permit an applicant commenters contend that limiting record, which assumed that ‘‘stealth’’

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designed facilities in most cases would clarification does not mean that a • In other cases, localities have be installed at the request of an concealment element must have been interpreted any change to the color of a approving local government. Further, in explicitly articulated by the locality as stealth tower or structure as defeating the 2014 Infrastructure Order, the a condition or requirement of a prior concealment. Such interpretations are Commission stated that a modification approval. While specific words or overly broad and can frustrate would be considered a substantial formulations are not needed, there must Congress’s intent to expedite the Section increase if ‘‘it would defeat the existing be express evidence in the record to 6409(a) process. A change in color must concealment elements of the tower or demonstrate that a locality considered make a reasonable person believe that base station.’’ The Commission clarifies in its approval that a stealth design for the intended stealth is no longer that the term ‘‘existing’’ means that the a telecommunications facility would effective. Changes to the color of a concealment element existed on the look like something else, such as a pine stealth structure can occur for many facility that was subject to a prior tree, flag pole, or chimney. However, it approval by the locality. In addition, the would be inconsistent with the purpose reasons, including for example, the record in the 2014 Infrastructure Order, of Section 6409(a)—facilitating wireless discontinuance of the previous color. as relied upon by the Commission, infrastructure deployment—to give local An otherwise compliant eligible characterized stealth requirements as governments discretion to require new facilities request will not defeat identifiable, pre-existing elements in concealment elements that were not part concealment in this case merely because place before an eligible facilities request of the facility that was subject to the the modification uses a slightly different is submitted. locality’s prior approval. The paint color. Further, if the new 27. Regarding the meaning of a prior Commission expects that this equipment is shielded by an existing approval in the context of an ‘‘existing’’ clarification will also promote the shroud that is not being modified, then concealment element, the Commission purpose of the rules to provide greater the color of the equipment is irrelevant notes that Section 1.6100(b)(7)(i) certainty to localities and applicants as because it is not visible to the public provides that permissible increases in to whether a concealment element and would not render an intended the height of a tower (other than a tower exists. concealment ineffective. Therefore, such in the public rights-of-way) should be 29. Clarification of ‘‘Defeat a change would not defeat concealment. measured relative to a locality’s original Concealment.’’ Next, the Commission • approval of the tower or the locality’s clarifies that, to ‘‘defeat concealment,’’ WIA reports that a locality in approval of any modifications that were the proposed modification must cause a Colorado claims that a small increase in approved prior to the passage of the reasonable person to view the height on a stealth monopine, which is Spectrum Act. The Commission finds it structure’s intended stealth design as no less than the size thresholds of Section reasonable to interpret an ‘‘existing’’ longer effective after the modification. 1.6100(b)(7)(i) through (iv), defeats concealment element relative to the In other words, if the stealth design concealment and therefore constitutes a same temporal reference points, which features would continue effectively to substantial change. The Commission are intended to allow localities to adopt make the structure appear not to be a clarifies that such a change would not legitimate requirements for approval of wireless facility, then the modification defeat concealment if the change in size an original tower at any time but not to would not defeat concealment. The does not cause a reasonable person to allow localities to adopt these same Commission’s definition is consistent view the structure’s intended stealth requirements for a modification to the with dictionary definitions and common design (i.e., the design of the wireless original tower (except for a modification usage of the term ‘‘defeat’’ and is facility to resemble a pine tree) as no prior to the Spectrum Act when supported by the record. The longer effective after the modification. localities would not have been on notice clarification is necessary because, as • of the limitations in Section 6409(a)). In industry commenters point out, some If a prior approval included a other words, the purpose of Section localities construe even small changes stealth-designed monopine that must 1.6100(b)(7)(v) is to identify and to ‘‘defeat’’ concealment, which delays remain hidden behind a tree line, a preserve prior local recognition of the deployment, extends the review proposed modification within the need for such concealment, but not to processes for modifications to existing thresholds of Section 1.6100(b)(7)(i) invite new restrictions that the locality facilities, and frustrates the intent through (iv) that makes the monopine did not previously identify as necessary. behind Section 6409(a). visible above the tree line would be Accordingly, the Commission clarifies 30. Examples of Whether permitted under Section 1.6100(b)(7)(v). that under Section 1.6100(b)(7)(v), a Modifications Defeat Concealment First, the concealment element would concealment element must have been Elements. The Commission offers the not be defeated if the monopine retains part of the facility that was considered following examples to provide guidance its stealth design in a manner that a by the locality at the original approval on concealment elements and whether reasonable person would continue to of the tower or at the modification to the or not they have been defeated to help view the intended stealth design as original tower, if the approval of the inform resolution of disputes should effective. Second, a requirement that the modification occurred prior to the they arise: facility remain hidden behind a tree line • In some cases, localities take the Spectrum Act or lawfully outside of the is not a feature of a stealth-designed position that the placement of coaxial Section 6409(a) process (for instance, an facility; rather it is an aesthetic approval for a modification that did not cable on the outside of a stealth facility condition that falls under Section qualify for streamlined Section 6409(a) constitutes a substantial change based 1.6100(b)(7)(vi). Under that analysis, as treatment). on the visual impact of the cable. 28. The Commission is not persuaded Coaxial cables typically range from 0.2 explained in greater detail below, a by localities’ arguments that this inches to slightly over a half-inch in proposed modification within the clarification would negate land use diameter, and it is unlikely that such thresholds of Section 1.6100(b)(7)(i) requirements that were a factor in the cabling would render the intended through (iv) that makes the monopine approval of the original deployment stealth design ineffective at the visible above the tree line likely would even if those requirements were not distances where individuals would view be permitted under Section specified as a condition. The a facility. 1.6100(b)(7)(vi).

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E. Conditions Associated With the Siting under Section 1.6100(b)(7)(vi), the shrouding requirement that is not size- Approval conflict should be resolved in favor of specific and that does not limit 31. Section 1.6100(b)(7)(vi) states that permitting the modifications. For modifications allowed under Section example, a local government’s condition 1.6100(b)(7)(i) through (iv). a modification is a substantial increase • if ‘‘[i]t does not comply with conditions of approval that requires a specifically T-Mobile claims that some localities associated with the siting approval of sized shroud around an antenna could consider existing walls and fences the construction or modification of the limit an increase in antenna size that is around non-camouflaged towers to be eligible support structure or base station otherwise permissible under Section concealment elements that have been equipment, provided however that this 1.6100(b)(7)(i). Under Section defeated if new equipment is visible limitation does not apply to any 1.6100(b)(7)(vi), however, the size limit over those walls or fences. First, such conditions are not concealment modification that is non-compliant only of the shroud would not be enforceable elements; rather, they are considered in a manner that would not exceed the if it purported to prevent a modification aesthetic conditions under Section thresholds identified in to add a larger antenna, but a local 1.6100(b)(7)(vi). Such conditions may § 1.61001(b)(7)(i) through (iv).’’ Industry government could enforce its shrouding not prevent modifications specifically commenters argue that changes condition if the provider reasonably allowed by Section 1.6100(b)(7)(i) specifically allowed under Section could install a larger shroud to cover the through (iv). However, if there were 1.6100(b)(7)(i) through (iv) should not larger antenna and thus meet the purpose of the condition. express evidence that the wall or fence constitute a substantial change under 33. By providing guidance on the were conditions of approval to fully Section 1.6100(b)(7)(vi). For example, relationship between Section obscure the original equipment from the record shows that some localities 1.6100(b)(7)(i) through (iv) and view, the locality may require a claim that small increases in the size of 1.6100(b)(7)(vi), including the provider to make reasonable efforts to a structure, such as increasing its height limitations on conditions that a locality extend the wall or fence to maintain the or increasing the width of its cannister, may impose, the Commission expects covering of the equipment. are a substantial change because they there to be fewer cases where • If an original siting approval wrongly characterize any increase to a conditions, especially aesthetic specified that a tower must remain structure’s visual profile or negative conditions, are improperly used to hidden behind a tree line, a proposed aesthetic impact as defeating a prevent modifications otherwise modification within the thresholds of concealment element—even if the size expressly allowed under Section Section 1.6100(b)(7)(i) through (iv) that changes would be within the allowances 1.6100(b)(7)(i) through (iv). The makes the tower visible above the tree under the Commission’s rules. Commission reaffirms that beyond the line would be permitted under Section 32. Conditions associated with the specific conditions that localities may 1.6100(b)(7)(vi), because the provider siting approval under Section impose through Section 1.6100(b)(7)(vi), cannot reasonably replace a grove of 1.6100(b)(7)(vi) may relate to improving localities can enforce ‘‘generally mature trees with a grove of taller the aesthetics, or minimizing the visual applicable building, structural, mature trees to maintain the absolute impact, of non-stealth facilities electrical, and safety codes’’ and ‘‘other hiding of the tower. (facilities not addressed under Section laws codifying objective standards • In a similar vein, San Francisco has 1.6100(b)(7)(v)). However, localities reasonably related to health and safety.’’ conditions to reduce the visual impact cannot merely assert that a detail or 34. Examples of Aesthetics Related of a wireless facility, including that it feature of the facility was a condition of Conditions. Petitioners and both must be set back from the roof at the the siting approval; there must be industry and locality commenters have front building wall. San Francisco states express evidence that at the time of provided numerous examples of that it will not approve a modification approval the locality required the disputes involving modifications to if the new equipment to be installed feature and conditioned approval upon wireless facilities. Using examples from does not meet the set back requirement. its continuing existence in order for the record, and assuming that the Even if a proposed modification within non-compliance with the condition to locality has previously imposed an the thresholds of Section 1.6100(b)(7)(i) disqualify a modification from being an aesthetic-related condition under through (iv) exceeds the required set eligible facilities request. Even so, like Section 1.6100(b)(7)(vi), the back, San Francisco could enforce its set any other condition under Section Commission offers examples to provide back condition if the provider 1.6100(b)(7)(vi), such an aesthetics- guidance on the validity of the reasonably could take other steps to related condition still cannot be used to condition to decrease future disputes reduce the visual impact of the facility prevent modifications specifically and to help inform resolution of to meet the purpose of its condition. allowed under Section 1.6100(b)(7)(i) disputes should they arise: through (iv) of the Commission’s rules. • If a city has an aesthetic-related F. Environmental Assessments After Consistent with ‘‘commonplace [ ] condition that specified a three-foot Execution of Memorandum of statutory construction that the specific shroud cover for a three-foot antenna, Agreement governs the general,’’ the Commission the city could not prevent the 35. The Commission’s environmental clarifies that where there is a conflict replacement of the original antenna rules implementing the National between a locality’s general ability to with a four-foot antenna otherwise Environmental Policy Act categorically impose conditions under (vi) and permissible under Section exclude all actions from environmental modifications specifically deemed not 1.6100(b)(7)(i) because the new antenna evaluations, including the preparation substantial under (i)–(iv), the conditions cannot fit in the shroud. As described of an environmental assessment, except under (vi) should be enforced only to above, if there was express evidence for defined actions associated with the the extent that they do not prevent the that the shroud was a condition of construction of facilities that may modification in (i)–(iv). In other words, approval, the city could enforce its significantly affect the environment. when a proposed modification shrouding condition if the provider Pursuant to Section 1.1307(a) of the otherwise permissible under Section reasonably could install a four-foot Commission’s rules, applicants 1.6100(b)(7)(i) through (iv) cannot shroud to cover the new four-foot currently submit an environmental reasonably comply with conditions antenna. The city also could enforce a assessment for those facilities that fall

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within specific categories, including assessment is determined to be ACHP’s rules, which explicitly state that facilities that may affect historic sufficient and no comments or such a memorandum of agreement properties protected under the National oppositions are filed, the Commission ‘‘evidences the agency official’s Historic Preservation Act. Under the issues a Finding of No Significant compliance with section 106.’’ The Commission’s current process, an Impact and allows an applicant to Commission reminds applicants that an applicant submits an environmental proceed with the project. environmental assessment is still assessment for facilities that may affect 39. In this Declaratory Ruling the required if the proposed project may historic properties, even if the applicant Commission clarifies that an significantly affect the environment in has executed a memorandum of environmental assessment is ways unrelated to historic properties. agreement with affected parties to unnecessary after an adverse effect on a address those adverse effects. historic property is mitigated by a II. Procedural Matters 36. The Commission clarifies on its memorandum of agreement. Applicants 41. Paperwork Reduction Act. This own motion that an environmental already are required to consider Declaratory Ruling does not contain assessment is not needed when the FCC alternatives to avoid adverse effects proposed information collection(s) and applicants have entered into a prior to executing a memorandum of subject to the Paperwork Reduction Act memorandum of agreement to mitigate agreement. The executed agreement of 1995 (PRA), Public Law 104–13. In effects of a proposed undertaking on demonstrates that the applicant: Has addition, therefore, it does not contain historic properties, consistent with notified the public of the proposed any new or modified information Section VII.D of the Wireless Facilities undertaking; has consulted with the collection burden for small business Nationwide Programmatic Agreement, if State Historic Preservation Officer and/ concerns with fewer than 25 employees, the only basis for the preparation of an or Tribal Historic Preservation Officers, pursuant to the Small Business environmental assessment was the and other interested parties to identify Paperwork Relief Act of 2002, Public potential for significant effects on such potentially affected historic properties; Law 107–198, see 44 U.S.C. 3506(c)(4). properties. The Commission expects and has worked with such parties to 42. Congressional Review Act. The this clarification should further agree on a plan to mitigate adverse Commission has determined, and the streamline the environmental review effects. This mitigation eliminates any Administrator of the Office of process. significant adverse effects on a historic Information and Regulatory Affairs, 37. Section 1.1307(a)(4) of the property, and each memorandum of Office of Management and Budget, Commission’s rules requires an agreement must include as a standard concurs that this rule is ‘‘non-major’’ environmental assessment if a proposed provision that the memorandum of under the Congressional Review Act, 5 communications facility may have a agreement ‘‘shall constitute full, U.S.C. 804(2). The Commission will significant effect on a historic property. complete, and adequate mitigation send a copy of this Declaratory Ruling The Commission adopted a process to under the NHPA . . . and the FCC’s to Congress and the Government identify potential effects on historic rules.’’ Accountability Office pursuant to 5 properties by codifying the Wireless 40. The Commission notes that U.S.C. 801(a)(1)(A). Facilities Nationwide Programmatic Section 1.1307(a) requires an applicant Agreement as the means to comply with to submit an environmental assessment III. Ordering Clauses Section 106 of the National Historic if a facility ‘‘may significantly affect the Preservation Act. If adverse effects on environment,’’ which includes facilities 43. Accordingly, it is ordered, historic properties are identified during that may affect historic properties, pursuant to Sections 1, 4(i)–(j), 7, 201, this process, the Wireless Facilities endangered species, or critical habitats. 253, 301, 303, 309, 319, and 332 of the Nationwide Programmatic Agreement As a result of the mitigation required by Communications Act of 1934, as requires that the applicant consult with a memorandum of agreement, the amended, and Section 6409 of the the State Historic Preservation Officer Commission concludes that any effects Middle Class Tax Relief and Job and/or Tribal Historic Preservation on historic properties remaining after Creation Act of 2012, as amended, 47 Officer, and other interested parties to the agreement is executed would be U.S.C. 151, 154(i) through (j), 157, 201, avoid, minimize, or mitigate the adverse below the threshold of ‘‘significance’’ to 253, 301, 303, 309, 319, 332, 1455 that effects. trigger an environmental assessment. this Declaratory Ruling in WT Docket 38. When such effects cannot be After the memorandum of agreement is No. 19–250 and RM–11849 Is hereby avoided, under the terms of the Wireless executed, a proposed facility should no Adopted. Facilities Nationwide Programmatic longer ‘‘have adverse effects on 44. It is further ordered that this Agreement, the applicant, the State identified historic properties’’ within Declaratory Ruling shall be effective Historic Preservation Officer and/or the meaning of Section 1.1307(a)(4) and, upon release. It is the Commission’s Tribal Historic Preservation Officer, and therefore, should no longer be within intention in adopting the foregoing other interested parties may proceed to the ‘‘types of facilities that may Declaratory Ruling that, if any provision negotiate a memorandum of agreement significantly affect the environment.’’ If of the Declaratory Ruling, or the that the signatories agree fully mitigates none of the other criteria for requiring application thereof to any person or all adverse effects. The agreement is an environmental assessment in Section circumstance, is held to be unlawful, then sent to Commission staff for review 1.1307(a) exist, then such facilities the remaining portions of such and signature. Under current practice, automatically fall into the broad Declaratory Ruling not deemed even after a memorandum of agreement category of actions that the Commission unlawful, and the application of such is executed, an applicant is still has already found to ‘‘have no Declaratory Ruling to other person or required to prepare an environmental significant effect on the quality of the circumstances, shall remain in effect to assessment and file it with the human environment and are the fullest extent permitted by law. Commission. The Commission categorically excluded from 45. It is further ordered that, pursuant subsequently places the environmental environmental processing.’’ The to 47 CFR 1.4(b)(1), the period for filing assessment on public notice, and the Commission’s rules should be read in petitions for reconsideration or petitions public has 30 days to file comments/ light of the scope of the Commission’s for judicial review of this Declaratory oppositions. If the environmental obligation under Section 106 and the Ruling will commence on

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the date that this Declaratory Ruling is Counsel for Advocacy of the Small Congressional Review Act, see 5 U.S.C. released. Business Administration. 801(a)(1)(A). 46. It is further ordered that the 47. It is further ordered that this Federal Communications Commission. Commission’s Consumer & Declaratory Ruling shall be sent to Marlene Dortch, Governmental Affairs Bureau, Reference Congress and the Government Secretary. Information Center, Shall Send a copy Accountability Office pursuant to the [FR Doc. 2020–13951 Filed 7–24–20; 8:45 am] of this Declaratory Ruling to the Chief BILLING CODE 6712–01–P

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Proposed Rules Federal Register Vol. 85, No. 144

Monday, July 27, 2020

This section of the FEDERAL REGISTER FOR FURTHER INFORMATION CONTACT: Scot physician assistant.’’ This would be contains notices to the public of the proposed Burroughs, Acting Director Physician consistent with in section 246(a) of the issuance of rules and regulations. The Assistant Services. 810 Vermont Avenue Consolidated Appropriations Act, 2018. purpose of these notices is to give interested NW, Washington, DC 20420, Section 17.536 Eligibility persons an opportunity to participate in the [email protected], (319) 358–0581 rule making prior to the adoption of the final Proposed § 17.536 would restate the rules. extension 4860. (This is not a toll-free number.) eligibility requirements for participants SUPPLEMENTARY INFORMATION: On March in the EACFMAF found in section DEPARTMENT OF VETERANS 23, 2018, section 246 of Public Law 246(b) of the Consolidated AFFAIRS 115–141, the Consolidated Appropriations Act, 2018. Although Appropriations Act, 2018, established a section 246(b) of the Consolidated 38 CFR Part 17 pilot program that would provide Appropriations Act, 2018 does not educational assistance to certain former indicate that the type of discharge from RIN 2900–AQ74 members of the Armed Forces for service that the individual must have in education and training leading to order to participate in the EACFMAF, Educational Assistance for Certain employment as a VA physician we believe that the intent of the Public Former Members of the Armed Forces assistant, the Educational Assistance for Law is to assist those individuals who Certain Former Members of the Armed were discharged under conditions other AGENCY: Department of Veterans Affairs. Forces (EACFMAF) program. See also than dishonorable. This is the same ACTION: Proposed rule. 38 United States Code (U.S.C.) 7601 condition of the definition of the term Note (2018) Physician Assistant ‘‘veteran’’ in 38 U.S.C. 101(2). We SUMMARY: The Department of Veterans Education and Training Pilot Program would mirror this language in proposed Affairs (VA) proposes to amend its for Former Members of the Armed § 17.536 by stating that an individual regulations that govern scholarships to Forces. Several branches of the Armed must be a former member of the Armed certain health care professionals. This Forces train individuals to perform the Forces who was discharged or released rulemaking would implement the duties of a physician assistant without therefrom under conditions other than mandates of the Consolidated the required educational training. The dishonorable. Appropriations Act 2018 by establishing EACFMAF would allow such We would also state in proposed a pilot program to provide educational individuals the opportunity to complete paragraph (a) that an individual is assistance to certain former members of their education and training in order to eligible to participate in the EACFMAF the Armed Forces for education and be employed by VA as a physician if they meet one of the following criteria training leading to a degree as a assistant. The EACFMAF would while they were a member of the armed physician assistant. increase access to VA health care by forces. The first criteria is that the DATES: Comments must be received on utilizing a veteran workforce that has individual has medical or military or before September 25, 2020. received training as a physician health experience gained while serving ADDRESSES: Written comments may be assistant in the Armed Forces. The as a member of the Armed Forces. This submitted through http:// Consolidated Appropriations Act sets military experience would be www.Regulations.gov; by mail or hand- forth the eligibility criteria, the types of determined by the individual’s DD214, delivery to: Director, Office of available funding, established an Military Occupational Specialty, or Regulation Policy and Management agreement to be met by the participants, other official documentation. The (00REG), Department of Veterans as well as the consequences for a breach second criteria would be that the Affairs, 810 Vermont Ave. NW, Room in such agreement. This proposed rule individual has received a certificate, 1064, Washington, DC 20420; or by fax would establish the regulations needed associate degree, baccalaureate degree, to (202) 273–9026. (This is not a toll-free to carry out the EACFMAF. Immediately master’s degree, or post baccalaureate telephone number.) Comments should following title 38 of the Code of Federal training in a science relating to health indicate that they are submitted in Regulations (CFR) 17.531, we would care. Such degrees may include majors response to ‘‘RIN 2900–AQ74— add a new undesignated center heading in biology, anatomy and physiology, Educational Assistance for Certain titled ‘‘Educational Assistance for and other such related fields. The third Former Members of the Armed Forces.’’ Certain Former Members of the Armed criteria would be that the individual has Copies of comments received will be Forces’’ and add new §§ 17.535 through participated in the delivery of health available for public inspection in the 17.539 as discussed in further detail care services or related medical services, Office of Regulation Policy and below. including participation in military Management, Room 1064, between the training relating to the identification, hours of 8 a.m. and 4:30 p.m., Monday Section 17.535 Purpose evaluation, treatment, and prevention of through Friday (except holidays). Please Proposed § 17.535 would establish the disease and disorders. This criterial call (202) 461–4902 for an appointment. purpose for §§ 17.535 through 17.539, would include direct patient health care (This is not a toll-free telephone which would establish the EACFMAF and training in the delivery of such number.) In addition, during the program. We would state that the health care. comment period, comments may be ‘‘EACFMAF will provide funding to We would also establish the school viewed online through the Federal certain former members of the Armed requirements that the individual must Docket Management System (FDMS) at Forces for the education and training meet in order to be eligible for the http://www.Regulations.gov. leading to employment as a VA EACFMAF. The requirements would be

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that the individual must be studies or similar master’s degree for a days after the date that the eligible unconditionally accepted for enrollment period of one to three years. We would individual completes a master’s degree or be enrolled as a full-time student in say or similar master’s degree because in physician assistant studies or similar an accredited school located in a State; most educational programs are graduate master’s degree. This requirement is be pursuing a degree leading to programs leading to the award of consistent with similar scholarship employment as a physician assistant; be master’s degrees in either physician programs. See 38 CFR 17.607(b). a citizen of the United States; and assistant studies (MPAS), Health Because of changing access needs submit an application to participate in Science (MHS), or Medical Science within VA, VA reserves the right to the Scholarship Program together with a (MMSc), and require a bachelor’s degree make the final decision as to where an signed contract. These school for entry. Keeping in line with the individual would perform their period requirements are in alignment with administration of similar VA of obligated service that meets the similar VA scholarship programs. See scholarship programs managed by 38 requirements of section 246. We would 38 CFR 17.602. U.S.C. 7601, we would also state that state this condition in proposed the payments to scholarship § 17.538(b)(2). Also, the location of the Section 17.537 Award Procedures participants are exempt from Federal obligated service may not necessarily be Proposed paragraph (a) would restate taxation and that the payments will within the commuting area of where the the priority for selection of participants consist of: Tuition and required fees; eligible individual resides. We would, for the EACFMAF found in section Other educational expenses, including therefore, state in proposed 246(d)(2) of the Consolidated books and laboratory equipment. See 38 § 17.538(b)(2) that VA reserves the right Appropriations Act, 2018. Also, under CFR 17.606(a). to make final decisions on the location section 401(a) of Public Law 115–182, and position of the obligated service. An Section 17.538 Agreement and the John S. McCain III, Daniel K. Akaka, eligible individual who receives an Obligated Service and Samuel R. Johnson VA Maintaining EACFMAF must be willing to relocate to Internal Systems and Strengthening Proposed § 17.538 would establish the another geographic location to carry out Integrated Outside Networks Act of agreement and obligated service that an their service obligation. The relocation 2018, or the VA MISSION Act of 2018, eligible individual must adhere to of the eligible individual would be at Congress mandated VA to ‘‘develop comply with the EACFMAF. Section such individual’s expense. This criteria to designate medical centers, 246(f) of the Consolidated language is consistent with similar ambulatory care facilities, and Appropriations Act, 2018 states that VA scholarship programs. See 38 CFR community based outpatient clinics of shall enter into an agreement with each 17.607(d). the Department of Veterans Affairs as individual participating in the pilot underserved facilities.’’ In addition to program in which such individual Section 17.539 Failure To Comply stating that a VA medical facility agrees to be employed as a physician with Terms and Conditions of located in a community that is assistant for the Veterans Health Agreement designated as medically underserved Administration for a period of obligated Proposed paragraph § 17.539(a) would under 42 U.S.C 245b(b)(3)(A), would service to be determined by the establish the consequences for failure to include those VA medical facilities that Secretary. Proposed § 17.538(a) would satisfy the terms and conditions of the VA has determined as medically specify the details of the agreement. We participant’s agreement. The breach of underserved. Given section 401 of the would state that the eligible individual the terms of agreement are stated in VA Mission Act of 2018 was established must agree to maintain enrollment, section 246(g) of the Consolidated after the Consolidated Appropriations attendance, and acceptable level of Appropriations Act, 2018. We would Act of 2018, VA believes that it is also academic standing as defined by the restate section 246(g) in proposed necessary to give preference to those VA school; Complete a master’s degree in paragraph § 17.536(a) with minor medical facilities. We would, therefore, physician assistant studies or similar technical edits for clarity. We would state that VA would give priority to master’s degree; and Be employed as a state that If an eligible individual who eligible individuals who ‘‘agree to be full-time clinical practice employee in accepts funding for the EACFMAF fails employed as physician assistants in a VA as a physician assistant for a period to satisfy the terms of agreement, the VA medical facility that: Is located in a of obligated service for one calendar United States is entitled to recover community that is designated as a year for each school year or part thereof damages in an amount equal to the total medically underserved population for which the EACFMAF was awarded, amount of EACFMAF funding paid or is under 42 U.S.C. 254b(b)(3)(A); Is but for no less than three years. For payable to or on behalf of the designated by VA as a medically example, if VA awarded an individual individual, reduced by the total number underserved facility; and Is in a State EACFMAF for two and a half years, the of obligated service days the individual with a per capita population of veterans individual’s period of obligated service has already served minus the total of more than five percent, according to would be three years. Although these number of days in the individual’s the National Center for Veterans requirements are not specifically stated period of obligated service. Analysis and Statistics and the United in section 246(f) of the Consolidated Section 246 of the Consolidated States Census Bureau.’’ Appropriations Act, 2018, this language Appropriations Act, 2018 does not Proposed paragraph (b) would restate is consistent with the agreement of establish a time frame for when an the type of educational assistance that similar scholarship programs. See 38 eligible individual will repay the would be available to eligible CFR 17.632. amount of damages when such eligible individuals, which is found in section Proposed § 17.538(b)(1) would specify individual breaches their terms of 246(e) of the Consolidated the requirements of the obligated agreement. We would mirror the Appropriations Act, 2018. We would service. An eligible individual’s repayment period language from similar state that VA will provide educational obligated service would commence on scholarship programs in proposed assistance to individuals who the date that such individual begins § 17.539(b). See 38 U.S.C. 7617(c)(2) and participate in the EACFMAF to cover full-time permanent employment with 38 CFR 17.610(c). We would state that the costs of such individuals obtaining VA as a clinical practice employee as a an eligible individual will pay the a master’s degree in physician assistant physician assistant, but no later than 90 amount of damages that the United

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States is entitled to recover under this Educational Assistance for Certain with VA for a period of no less than 3 section in full to the United States no Former Members of the Armed Forces.’’ years. The information collected under later than one year after the date of the OMB is required to make a decision this section would comprise an breach of the agreement. Because VA concerning the collections of agreement between VA and the eligible has provided the repayment information contained in this proposed individual who accepts funding for the requirements up front, we believe that a rule between 30 and 60 days after EACFMAF. one-year period is sufficient time for the publication of this document in the Description of the need for individual to repay the amount of funds Federal Register. Therefore, a comment information and proposed use of granted by the EACFMAF and such time to OMB is best assured of having its full information: The agreement between VA frame is consistent with similar effect if the comment is received within and the eligible individual would hold scholarship programs. 30 days of publication. This does not the eligible individual accountable for affect the 60-day deadline for the public upholding the terms and conditions of Paperwork Reduction Act to comment on the proposed rule. the agreement and alert the eligible The Paperwork Reduction Act of 1995 VA considers comments by the public individual of the consequences of a (44 U.S.C. 3507(d)) requires that VA on proposed collections of information breach in the agreement. consider the impact of paperwork and in— Description of likely respondents: • other information collection burdens Evaluating whether the proposed Eligible individuals who are accepted imposed on the public. According to the collections of information are necessary for participation in the EACFMAF. 1995 amendments to the Paperwork for the proper performance of the Estimated number of respondents per Reduction Act (5 CFR 1320.8(b)(2)(vi)), functions of VA, including whether the month/year: 100. an agency may not collect or sponsor information will have practical utility; Estimated frequency of responses per • the collection of information, nor may it Evaluating the accuracy of VA’s month/year: 1 per year. impose an information collection estimate of the burden of the proposed Estimated average burden per requirement unless it displays a collections of information, including the response: 4 hours. currently valid Office of Management validity of the methodology and Estimated total annual reporting and and Budget (OMB) control number. This assumptions used; recordkeeping burden: 400 hours. • Estimated cost to respondents per proposed rule includes provisions Enhancing the quality, usefulness, year: VA estimates the total cost to all constituting an amendment of an and clarity of the information to be respondents to be $ 9,992 per year (400 existing collection of information under collected; and • Minimizing the burden of the burden hours × $24.98 per hour). the Paperwork Reduction Act of 1995 collections of information on those who Legally, respondents may not pay a that require approval by the OMB. The are to respond, including through the person or business for assistance in existing OMB control number that will use of appropriate automated, completing the information collection. be amended by this action is 2900–0793. electronic, mechanical, or other Therefore, there are no expected Accordingly, under 44 U.S.C. 3507(d), technological collection techniques or overhead costs to respondents for VA has submitted a copy of this other forms of information technology, completing the information collection. rulemaking action to OMB for review. e.g., permitting electronic submission of Regulatory Flexibility Act OMB assigns control numbers to responses. collections of information it approves. The collections of information The Secretary hereby certifies that VA may not conduct or sponsor, and a contained in 38 CFR 17.538 are this proposed rule would not have a person is not required to respond to, a described immediately following this significant economic impact on a collection of information unless it paragraph, under their respective titles. substantial number of small entities as displays a currently valid OMB control For the proposed collection of they are defined in the Regulatory number. Proposed 38 CFR 17.538 information below, VA used general Flexibility Act, 5 U.S.C. 601–612. This contains a collection of information wage data from the Bureau of Labor rulemaking does not change VA’s policy under the Paperwork Reduction Act of Statistics (BLS) to estimate the regarding small businesses, does not 1995. If OMB does not approve the respondents’ costs associated with have an economic impact to individual collection of information as requested, completing the information collection. businesses, and there are no increased VA will immediately remove the According to the latest available BLS or decreased costs to small business provision containing a collection of data, the mean hourly wage of full-time entities. On this basis, the proposed rule information or take such other action as wage and salary workers was $24.98 would not have an economic impact on is directed by OMB. based on the BLS wage code—‘‘00–0000 a substantial number of small entities as Comments on the collection of All Occupations.’’ This information was they are defined in the Regulatory information contained in this proposed taken from the following website: Flexibility Act, 5 U.S.C. 601–612. rule should be submitted to the Office https://www.bls.gov/oes/2018/may/oes_ Therefore, pursuant to 5 U.S.C. 605(b), of Management and Budget, Attention: nat.htm May 2018. this rulemaking is exempt from the Desk Officer for the Department of Title: Educational Assistance for initial and final regulatory flexibility Veterans Affairs, Office of Information Certain Former Members of the Armed analysis requirements of 5 U.S.C. 603 and Regulatory Affairs, Washington, DC Forces. and 604 do not apply. 20503, with copies sent by mail or hand OMB Control No.: 2900–0793. delivery to the Director, Office of CFR Provision: 38 CFR 17.538. Executive Orders 12866, 13563 and Regulation Policy and Management Summary of collection of information: 13771 (00REG), Department of Veterans The EACFMAF provides funding for the Executive Orders 12866 and 13563 Affairs, 810 Vermont Avenue NW, medical education of eligible direct agencies to assess the costs and Room 1064, Washington, DC 20420; fax individuals who enroll in a master’s benefits of available regulatory to (202) 273–9026; or through degree in physician assistant studies or alternatives and, when regulation is www.Regulations.gov. Comments similar master’s degree program. As part necessary, to select regulatory should indicate that they are submitted of the EACFMAF, the eligible individual approaches that maximize net benefits in response to ‘‘RIN 2900–AQ74 agrees to a period of obligated service (including potential economic,

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environmental, public health and safety Brooks D. Tucker, Acting Chief of Staff, identification, evaluation, treatment, effects, and other advantages; Department of Veterans Affairs, and prevention of disease and disorders. distributive impacts; and equity). approved this document on , (b) School and Individual Executive Order 13563 (Improving 2020, for publication. requirements. To be eligible for the Regulation and Regulatory Review) EACFMAF, an applicant must: Consuela Benjamin, emphasizes the importance of (1) Be unconditionally accepted for quantifying both costs and benefits, Regulations Development Coordinator, Office enrollment or be enrolled as a full-time of Regulation Policy & Management, Office student in an accredited school located reducing costs, harmonizing rules, and of the Secretary, Department of Veterans promoting flexibility. The Office of Affairs. in a State; Information and Regulatory Affairs has (2) Be pursuing a degree leading to determined that this rule is not a For the reasons set forth in the employment as a physician assistant; significant regulatory action under preamble, we propose to amend 38 CFR (3) Be a citizen of the United States; Executive Order 12866. part 17 as follows: and VA’s impact analysis can be found as (4) Submit an application to PART 17—MEDICAL a supporting document at http:// participate in the Scholarship Program www.regulations.gov, usually within 48 ■ 1. The authority citation for part 17 together with a signed contract. hours after the rulemaking document is continues to read as follows: § 17.537 Award procedures. published. Additionally, a copy of the rulemaking and its impact analysis are Authority: 38 U.S.C. 501, and as noted in (a) Priority. In awarding EACFMAF, specific sections. available on VA’s website at http:// VA will give priority to eligible www.va.gov/orpm by following the link * * * * * individuals who agree to be employed for VA Regulations Published from FY Sections 17.535 through 17.539 are also as physician assistants in a VA medical issued under Public Law 115–141, sec. 246. 2004 through Fiscal Year to Date. facility that: This proposed rule is not subject to * * * * * (1) Is located in a community that is ■ the requirements of E.O. 13771 because 2. Add an undesignated center designated as a medically underserved this rule is not significant under E.O. heading immediately following § 17.531 population under 42 U.S.C. 12866. and new §§ 17.535 through 17.539 to 254b(b)(3)(A); read as follows. (2) Is designated by VA as a medically Unfunded Mandates underserved facility; and Educational Assistance for Certain (3) Is in a State with a per capita The Unfunded Mandates Reform Act Former Members of the Armed Forces of 1995 requires, at 2 U.S.C. 1532, that population of veterans of more than five agencies prepare an assessment of Sec. percent, according to the National anticipated costs and benefits before 17.535 Purpose. Center for Veterans Analysis and 17.536 Eligibility. Statistics and the United States Census issuing any rule that may result in the 17.537 Award procedures. expenditure by State, local, and tribal Bureau. 17.538 Agreement and obligated service. (b) Amount of funds. VA will provide governments, in the aggregate, or by the 17.539 Failure to comply with terms and private sector, of $100 million or more conditions of agreement. a scholarship to individuals who (adjusted annually for inflation) in any participate in the EACFMAF to cover one year. This proposed rule would § 17.535 Purpose. the costs of such individuals obtaining have no such effect on State, local, and The purpose of §§ 17.535 through a master’s degree in physician assistant tribal governments, or on the private 17.539 is to establish the Educational studies or similar master’s degree for a sector. Assistance for Certain Former Members period of one to three years. All such of the Armed Forces (EACFMAF). The payments to scholarship participants are Congressional Review Act EACFMAF will provide a scholarship to exempt from Federal taxation. The Pursuant to the Congressional Review certain former members of the Armed payments will consist of: Act (5 U.S.C. 801 et seq.), the Office of Forces for the education and training (i) Tuition and required fees; Information and Regulatory Affairs leading to employment as a VA (ii) Other educational expenses, designated this rule as not a major rule, physician assistant. including books and laboratory as defined by 5 U.S.C. 804(2). equipment. § 17.536 Eligibility. Catalog of Federal Domestic Assistance (a) Military and Training § 17.538 Agreement and obligated service. There are no Catalog of Federal requirements. An individual is eligible (a) Agreement. Each eligible Domestic Assistance numbers and titles to participate in the EACFMAF if such individual who accepts funds from the for this rule. individual is a former member of the EACFMAF will enter into an agreement Armed Forces who was discharged or with VA where the eligible individual List of Subjects in 38 CFR Part 17 released therefrom under conditions agrees to the following: Administrative practice and other than dishonorable and meets the (1) Maintain enrollment, attendance, procedure, Health care, Health facilities, following criteria: and acceptable level of academic Health professions, Scholarships and (1) Has medical or military health standing as defined by the school; fellowships. experience gained while serving as a (2) Complete a master’s degree in member of the Armed Forces; physician assistant studies or similar Signing Authority (2) Has received a certificate, associate master’s degree; and The Secretary of Veterans Affairs, or degree, baccalaureate degree, master’s (3) Be employed as a full-time clinical designee, approved this document and degree, or post baccalaureate training in practice employee in VA as a physician authorized the undersigned to sign and a science relating to health care; or assistant for a period of obligated submit the document to the Office of the (3) Has participated in the delivery of service for one calendar year for each Federal Register for publication health care services or related medical school year or part thereof for which the electronically as an official document of services, including participation in EACFMAF was awarded, but for no less the Department of Veterans Affairs. military training relating to the than three years.

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(b) Obligated service. (1) General. An POSTAL REGULATORY COMMISSION General Ledger accounts: account no. eligible individual’s obligated service 53298 (INTERNATIONAL–FOREIGN will begin on the date on which the 39 CFR Part 3050 POST EXPENSE (OTHER)) and account eligible individual begins full-time [Docket No. RM2020–11; Order No. 5587] no. 53299 (INTERNATIONAL– permanent employment with VA as a FOREIGN POST EXPENSE (AIR)). Id. clinical practice employee as a Periodic Reporting Currently, the Postal Service applies a physician assistant, but no later than 90 single benchmark factor to all of the AGENCY: Postal Regulatory Commission. days after the date that the eligible products and sub-products in each of ACTION: Proposed rule. individual completes a master’s degree these two accounts. Id. The Postal Service also filed a detailed assessment in physician assistant studies or similar SUMMARY: The Commission is of the impact of the proposal on master’s degree, or the date the eligible acknowledging a recent filing requesting particular products in a non-public individual becomes licensed in a State the Commission initiate a rulemaking attachment accompanying this and certified as required by the proceeding to consider changes to proposal.2 Secretary, whichever is later. VA will analytical principles relating to periodic Proposal. The Postal Service’s actively assist and monitor eligible reports (Proposal Four). This document proposal seeks to replace the existing individuals to ensure State licenses and informs the public of the filing, invites methodology which uses a single certificates are obtained in a minimal public comment, and takes other benchmark factor for each account with amount of time following graduation. If administrative steps. an approach that benchmarks to eight an eligible individual fails to obtain his DATES: Comments are due: , product and sub-product categories or her degree, or fails to become 2020. within the two settlement expense licensed in a State or become certified ADDRESSES: Submit comments accounts. Petition, Proposal Four at 1– no later than 180 days after receiving electronically via the Commission’s 2. The Postal Service states that the the degree, the eligible individual is Filing Online system at http:// proposal would use additional Foreign considered to be in breach of the www.prc.gov. Those who cannot submit Postal Settlement (FPS) mail category acceptance agreement. comments electronically should contact item-and weight-component expense the person identified in the FOR FURTHER data to develop these benchmarks. Id. at (2) Location and position of obligated 1. The Postal Service avers that the service. VA reserves the right to make INFORMATION CONTACT section by telephone for advice on filing structure for more detailed final decisions on the location and alternatives. benchmarking already existed in the position of the obligated service. An ICRA but required more detailed eligible individual who receives an FOR FURTHER INFORMATION CONTACT: information that is now available from EACFMAF must be willing to relocate to David A. Trissell, General Counsel, at FPS. Id. at 3. another geographic location to carry out 202–789–6820. Rationale and impact. The Postal their service obligation. SUPPLEMENTARY INFORMATION: Service contends that the proposed (The Office of Management and Budget has Table of Contents methodology will improve ICRA approved the information collection reporting by providing ‘‘a finer level of I. Introduction mail category detail.’’ Id at 2. The Postal requirements in this section under control II. Proposal Four number XXXX–XXXX.) Service states that the proposed III. Notice and Comment methodology ‘‘eliminates the need to IV. Ordering Paragraphs § 17.539 Failure to comply with terms and use single account-level factors to conditions of agreement. I. Introduction benchmark the expense amounts across all mail categories[,]’’ and instead uses (a) Participant fails to satisfy terms of On , 2020, the Postal Service additional FPS data to report settlement agreement. If an eligible individual who filed a petition pursuant to 39 CFR expenses that are ‘‘directly related’’ to accepts funding for the EACFMAF fails 3050.11 requesting that the Commission initiate a rulemaking proceeding to the eight product and sub-product to satisfy the terms of agreement, the categories in the two outbound United States is entitled to recover consider changes to analytical 1 settlement expense accounts. Id. damages in an amount equal to the total principles relating to periodic reports. The Petition identifies the proposed The Postal Service states that the amount of EACFMAF funding paid or is analytical changes filed in this docket as proposed methodology would shift $7 payable to or on behalf of the Proposal Four. million of expenses in FY 2019 from individual, reduced by the total number market dominant to competitive of obligated service days the individual II. Proposal Four products. Id. The Postal Service has already served minus the total Background. Proposal Four relates to characterizes this impact as ‘‘relatively number of days in the individual’s the methodology used in International modest.’’ Id. period of obligated service. Cost and Revenue Analysis (ICRA) III. Notice and Comment reporting to distribute international mail (b) Repayment period. The eligible The Commission establishes Docket individual will pay the amount of settlement expenses to international mail categories. Petition, Proposal Four No. RM2020–11 for consideration of damages that the United States is matters raised by the Petition. More entitled to recover under this section in at 1. The Postal Service reports outbound settlement costs in two information on the Petition may be full to the United States no later than accessed via the Commission’s website one year after the date of the breach of 1 Petition of the United States Postal Service for at http://www.prc.gov. Interested the agreement. the Initiation of a Proceeding to Consider Proposed persons may submit comments on the [FR Doc. 2020–15989 Filed 7–24–20; 8:45 am] Changes in Analytical Principles (Proposal Four), Petition and Proposal Four no later than July 13, 2020 (Petition). The Postal Service also BILLING CODE 8320–01–P August 14, 2020. Pursuant to 39 U.S.C. filed a notice of non-public materials relating to Proposal Four. Notice of Filing of USPS–RM2020– 505, Gregory Stanton is designated as an 11–NP1 and Application for Nonpublic Treatment, July 13, 2020. 2 See Library Reference USPS–RM2020–11–NP1.

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officer of the Commission (Public Portland and Midcoast areas. EPA is 100, (Mail code 05–2), Boston, MA Representative) to represent the proposing to approve the Portland and 02109–3912, tel. (617) 918–1628, email interests of the general public in this Midcoast LMPs because they provide for [email protected]. proceeding. the maintenance of the 1997 ozone SUPPLEMENTARY INFORMATION: NAAQS through the end of the second IV. Ordering Paragraphs Throughout this document whenever 10-year portion of the maintenance ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean It is ordered: period. The effect of this action will be EPA. 1. The Commission establishes Docket to make certain commitments related to No. RM2020–11 for consideration of the maintenance of the 1997 ozone NAAQS Table of Contents matters raised by the Petition of the in the Portland and Midcoast I. Summary of EPA’s Action United States Postal Service for the maintenance areas part of the Maine SIP II. Background Initiation of a Proceeding to Consider and therefore federally enforceable. III. Maine’s SIP Submittal Proposed Changes in Analytical DATES: Written comments must be IV. EPA’s Evaluation of Maine’s SIP Principles (Proposal Four), filed July 13, received on or before August 26, 2020. Submittal A. Procedural Requirements 2020. ADDRESSES: Submit your comments, 2. Comments by interested persons in B. Substantive Requirements identified by Docket ID No. EPA–R01– i. Attainment Emissions Inventory this proceeding are due no later than OAR–2020–0284 at https:// ii. Maintenance Demonstration 3 August 14, 2020. www.regulations.gov, or via email to iii. Monitoring Network and Verification of 3. Pursuant to 39 U.S.C. 505, the [email protected]. For comments Continued Attainment Commission appoints Gregory Stanton submitted at Regulations.gov, follow the iv. Contingency Plan to serve as an officer of the Commission online instructions for submitting V. Transportation Conformity (Public Representative) to represent the comments. Once submitted, comments VI. Proposed Action and Public Comment VII. Statutory and Executive Order Reviews interests of the general public in this cannot be edited or removed from docket. Regulations.gov. For either manner of I. Summary of EPA’s Action 4. The Secretary shall arrange for submission, the EPA may publish any Under the CAA, EPA is proposing to publication of this order in the Federal comment received to its public docket. Register. approve Limited Maintenance Plans Do not submit electronically any (LMP) for the Portland and Midcoast By the Commission. information you consider to be maintenance areas for the 1997 ozone Erica A. Barker, Confidential Business Information (CBI) NAAQS, submitted as a revision to the Secretary. or other information whose disclosure is Maine State Implementation Plan (SIP) [FR Doc. 2020–15740 Filed 7–24–20; 8:45 am] restricted by statute. Multimedia on February 18, 2020. The Portland area submissions (audio, video, etc.) must be BILLING CODE 7710–FW–P under the 1997 ozone NAAQS is accompanied by a written comment. comprised of 57 cities and towns in The written comment is considered the York, Cumberland and Sagadahoc official comment and should include ENVIRONMENTAL PROTECTION Counties along with Durham, Maine in discussion of all points you wish to AGENCY Androscoggin County. The Midcoast make. The EPA will generally not area is made up of 55 coastal towns and 40 CFR Part 52 consider comments or comment islands in Hancock, Knox, Lincoln and contents located outside of the primary Waldo counties. On , 2004, the [EPA–R01–OAR–2020–0284; FRL–10012– submission (i.e. on the web, cloud, or 45–Region 1] Portland and Midcoast areas were other file sharing system). For designated as nonattainment areas for Air Plan Approval; Maine; Midcoast additional submission methods, please the 1997 ozone NAAQS. On , FOR Area and Portland Second 10-Year contact the person identified in the 2007, the areas were redesignated to Limited Maintenance Plans for 1997 FURTHER INFORMATION CONTACT section. attainment with that standard. Ozone NAAQS For the full EPA public comment policy, The Portland and Midcoast areas’ information about CBI or multimedia LMPs for the 1997 ozone NAAQS AGENCY: Environmental Protection submissions, and general guidance on submitted by Maine DEP are designed to Agency (EPA). making effective comments, please visit maintain the 1997 ozone NAAQS within ACTION: Proposed rule. https://www.epa.gov/dockets/ these areas through the end of the commenting-epa-dockets. Publicly second ten-year period of the SUMMARY: Pursuant to the Clean Air Act available docket materials are available maintenance period. We are proposing (CAA), the Environmental Protection at https://www.regulations.gov or at the to approve the plans because they meet Agency (EPA) is proposing to approve a U.S. Environmental Protection Agency, all applicable requirements under CAA state implementation plan (SIP) revision EPA Region 1 Regional Office, Air and sections 110 and 175A. submitted by the State of Maine. On Radiation Division, 5 Post Office February 18, 2020, the State submitted Square—Suite 100, Boston, MA. EPA II. Background their 1997 ozone national ambient air requests that if at all possible, you Ground-level ozone is formed when quality standards (NAAQS) Limited contact the contact listed in the FOR oxides of nitrogen (NOX) and volatile Maintenance Plans (LMPs) for the FURTHER INFORMATION CONTACT section to organic compounds (VOC) react in the schedule your inspection. The Regional presence of sunlight. These two 3 The Commission reminds interested persons Office’s official hours of business are pollutants, referred to as ozone that its revised and reorganized Rules of Practice Monday through Friday, 8:30 a.m. to and Procedure became effective April 20, 2020, and precursors, are emitted by many types of should be used in filings with the Commission after 4:30 p.m., excluding legal holidays and pollution sources, including on- and off- April 20, 2020. The new rules are available on the facility closures due to COVID–19. road motor vehicles and engines, power Commission’s website and can be found in Order FOR FURTHER INFORMATION CONTACT: Eric plants and industrial facilities, and No. 5407. Docket No. RM2019–13, Order Reorganizing Commission Regulations and Rackauskas, Air Quality Branch, U.S. smaller area sources such as lawn and Amending Rules of Practice, , 2020 Environmental Protection Agency, EPA garden equipment and paints. Scientific (Order No. 5407). Region 1, 5 Post Office Square—Suite evidence indicates that adverse public

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health effects occur following exposure When a nonattainment area has three the future.6 EPA refers to this to ozone, particularly in children and years of complete, certified air quality streamlined demonstration of adults with lung disease. Breathing air data that has been determined to attain maintenance as an LMP. EPA has containing ozone can reduce lung the 1997 ozone NAAQS, and the area interpreted CAA section 175A as function and inflame airways, which has met other required criteria described permitting this option because section can increase respiratory symptoms and in section 107(d)(3)(E) of the CAA, the 175A of the Act defines few specific aggravate asthma or other lung diseases. state can submit to the EPA a request to content requirements for maintenance Ozone exposure also has been be redesignated to attainment, referred plans, and in EPA’s experience associated with increased susceptibility to as a ‘‘maintenance area’’.3 One of the implementing the various NAAQS, to respiratory infections, medication criteria for redesignation is to have an areas that qualify for an LMP and have use, doctor and emergency department approved maintenance plan under CAA approved LMPs have rarely, if ever, visits and hospital admissions for section 175A. The maintenance plan experienced subsequent violations of individuals with lung disease. Ozone must demonstrate that the area will the NAAQS. As noted in the LMP exposure also increases the risk of continue to maintain the standard for guidance memoranda, states seeking an premature death from heart or lung the period extending 10 years after LMP must still submit the other disease. Children are at increased risk redesignation and must contain such maintenance plan elements outlined in from exposure to ozone because their additional measures as necessary to the Calcagni memo, including: An lungs are still developing and they are ensure maintenance and such attainment emissions inventory, more likely to be active outdoors, which provisions for the continued operation 1 contingency provisions as necessary to increases their exposure. assure that violations of the standard of the ambient air quality monitoring In 1979, under section 109 of the will be promptly corrected. At the end network, verification of continued CAA, EPA established primary and attainment, and a contingency plan in secondary NAAQS for ozone at 0.12 of the eighth year after the effective date of the redesignation, the state must also the event of a future violation of the parts per million (ppm), averaged over NAAQS. Moreover, states seeking an a 1-hour period. 44 FR 8202 (February submit a second maintenance plan to ensure ongoing maintenance of the LMP must still submit their section 8, 1979). On , 1997, EPA revised 175A maintenance plan as a revision to the primary and secondary NAAQS for standard for an additional ten years. CAA section 175A. their state implementation plan, with all ozone to set the acceptable level of attendant notice and comment ozone in the ambient air at 0.08 ppm, EPA has published long-standing procedures. averaged over an 8-hour period. 62 FR guidance for states on developing 2 4 While the LMP guidance memoranda 38856 (July 18, 1997). The EPA set the maintenance plans. The Calcagni were originally written with respect to 8-hour ozone NAAQS based on memo provides that states may certain NAAQS,7 EPA has extended the scientific evidence demonstrating that generally demonstrate maintenance by LMP interpretation of section 175A to ozone causes adverse health effects at either performing air quality modeling other NAAQS and pollutants not lower concentrations and over longer to show that the future mix of sources specifically covered by the previous periods of time than was understood and emission rates will not cause a guidance memos.8 In this case, EPA is when the pre-existing 1-hour ozone violation of the NAAQS or by showing proposing to approve Maine’s LMP, NAAQS was set. EPA determined that that future emissions of a pollutant and because the State has made a showing, the 8-hour standard would be more its precursors will not exceed the level consistent with EPA’s prior LMP protective of human health, especially of emissions during a year when the guidance, that the area’s ozone for children and adults who are active area was attaining the NAAQS (i.e., concentrations are well below the 1997 outdoors, and individuals with a attainment year inventory). EPA preexisting respiratory disease, such as ozone NAAQS and have been clarified in three subsequent guidance historically stable. Maine DEP has asthma. memos that certain nonattainment areas Following promulgation of a new or submitted these LMPs for the Portland could meet the CAA section 175A and Midcoast 1997 ozone NAAQS areas revised NAAQS, EPA is required by the requirement to provide for maintenance CAA to designate areas throughout the to fulfill the second maintenance plan by demonstrating that the area’s design requirement in the Act. Our evaluation nation as attaining or not attaining the 5 value was well below the NAAQS and of the Portland and Midcoast areas 1997 NAAQS. On , 2004, EPA that the historical stability of the area’s designated the Portland and Midcoast ozone NAAQS LMPs is presented air quality levels showed that the area below. areas as nonattainment for the 1997 was unlikely to violate the NAAQS in ozone NAAQS, and the designations became effective on June 15, 2004. 6 See ‘‘Limited Maintenance Plan Option for 3 Section 107(d)(3)(E) of the CAA sets out the Nonclassifiable Ozone Nonattainment Areas’’ from Under the CAA, states are also required requirements for redesignation. They include Sally L. Shaver, Office of Air Quality Planning and to adopt and submit SIPs to implement, attainment of the NAAQS, full approval under Standards (OAQPS), dated , 1994; maintain, and enforce the NAAQS in section 110(k) of the applicable SIP, determination ‘‘Limited Maintenance Plan Option for designated nonattainment areas and that improvement in air quality is a result of Nonclassifiable CO Nonattainment Areas’’ from permanent and enforceable reductions in emissions, Joseph Paisie, OAQPS, dated , 1995; and throughout the state. demonstration that the state has met all section 110 ‘‘Limited Maintenance Plan Option for Moderate and part D requirements, and a fully approved PM10 Nonattainment Areas’’ from Lydia Wegman, 1 See ‘‘Fact Sheet, Proposal to Revise the National maintenance plan under CAA section 175A. OAQPS, dated , 2001. Copies of these Ambient Air Quality Standards for Ozone,’’ Calcagni, John, Director, Air Quality guidance memoranda can be found in the docket for 6, 2010 and 75 FR 2938 (, 2010). Management Division, EPA Office of Air Quality this proposed rulemaking. 2 In March 2008, EPA completed another review Planning and Standards, ‘‘Procedures for Processing 7 The prior memos addressed: Unclassifiable of the primary and secondary ozone standards and Requests to Redesignate Areas to Attainment,’’ areas under the 1-hour ozone NAAQS, tightened them further by lowering the level for , 1992 (Calcagni memo). nonattainment areas for the PM10 (particulate matter both to 0.075 ppm. 73 FR 16436 (March 27, 2008). 5 The ozone design value for a monitoring site is with an aerodynamic diameter less than 10 Additionally, in October 2015, EPA completed a the 3-year average of the annual fourth-highest daily microns) NAAQS, and nonattainment areas for the review of the primary and secondary ozone maximum 8-hour average ozone concentrations. carbon monoxide NAAQS. standards and tightened them by lowering the level The design value for an ozone nonattainment area 8 See, e.g., 79 FR 41900 (July 18, 2014) (Approval for both to 0.70 ppm. 80 FR 65292 (, is the highest design value of any monitoring site of second ten-year LMP for Grant County 1971 SO2 2015). in the area. maintenance area).

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On , 2006, Maine DEP because of the revocation of that Ozone NAAQS LMPs; no oral or written submitted to EPA a request to standard. South Coast, 882 F.3d 1138 comments were submitted. Maine DEP redesignate the Portland and Midcoast (D.C. Cir. 2018). Thus, states with 1997 then submitted the Portland and nonattainment areas to attainment for ozone NAAQS maintenance areas still Midcoast areas 1997 Ozone NAAQS the 1997 ozone NAAQS. This submittal must comply with the requirement to LMPs to EPA as a revision to the Maine included a plan to provide for submit maintenance plans for the SIP. The process followed by Maine maintenance of the 1997 ozone NAAQS second maintenance period. DEP in adopting the Portland and in the Portland and Midcoast Accordingly, on February 18, 2020, Midcoast areas 1997 Ozone NAAQS nonattainment areas through 2016 as a Maine submitted second maintenance LMP complies with the procedural revision to the Maine SIP. EPA plans for the Portland and Midcoast requirements for SIP revisions under approved maintenance plans for the areas that show that the areas are CAA section 110 and EPA’s Portland and Midcoast nonattainment expected to remain in attainment with implementing regulations. areas and the State’s request to the 1997 ozone NAAQS through the last redesignate the Portland and Midcoast year of the second 10-year maintenance B. Substantive Requirements nonattainment areas to attainment for period, i.e., through the end of the full EPA has reviewed the Portland and the 1997 ozone NAAQS on -year maintenance period. Midcoast maintenance areas 1997 11, 2006 (71 FR 71489). III. Maine’s SIP Submittal In conjunction with our approval of Ozone NAAQS LMPs, which are the Portland and Midcoast On February 18, 2020, Maine DEP designed to maintain the 1997 ozone nonattainment areas 1997 ozone submitted the Portland and Midcoast NAAQS within the Portland and Maintenance Plan covering the first 10- areas LMPs to the EPA as a revision to Midcoast areas through the end of the year maintenance period, we approved the Maine SIP. The submittal includes 20-year period beyond redesignation, as various regulatory provisions adopted the LMP and appendices. Appendices to required under CAA section 175A(b). by the State providing for the continued the plan include air quality data, The following is a summary of EPA’s 10 implementation of the control measures emission inventory information, air interpretation of the requirements and relied upon for attainment, and for the quality monitoring information, and EPA’s evaluation of how each authority for state agencies to documentation of notice, hearing, and requirement is met. implement contingency measures public participation. 1. Attainment Emissions Inventory should the area violate the standard IV. EPA’s Evaluation of Maine’s SIP again during this period. Submittal For maintenance plans, a state should Under CAA section 175A(b), states develop a comprehensive, accurate must submit a revision to the first A. Procedural Requirements inventory of actual emissions for an maintenance plan eight years after CAA section 110(a)(2) and 110(l) attainment year to identify the level of redesignation to provide for require revisions to a SIP to be adopted emissions which is sufficient to maintenance of the NAAQS for ten by the state after reasonable notice and maintain the NAAQS. A state should additional years following the end of the public hearing. EPA has promulgated develop this inventory consistent with first 10-year period. EPA’s final specific procedural requirements for SIP EPA’s most recent guidance on implementation rule for the 2008 ozone revisions in 40 CFR part 51, subpart F. emissions inventory development. For NAAQS revoked the 1997 ozone These requirements include publication ozone, the inventory should be based on NAAQS and stated that one of a notice by prominent advertisement typical summer day emissions of VOCs consequence of revocation was that in the relevant geographic area of the and NOX, as these pollutants are areas that had been redesignated to proposed SIP revisions, at least a 30-day precursors to ozone formation. The attainment (i.e., maintenance areas) for public comment period, and an Portland and Midcoast areas LMPs the 1997 standard no longer needed to opportunity for a public hearing. include an ozone attainment inventory submit second 10-year maintenance Maine DEP published a notice of a 30- for the Portland and Midcoast plans under CAA section 175A(b).9 In day comment period and notice for a maintenance areas that reflects typical South Coast Air Quality Management public hearing for LMPs for the Portland summer day emissions in 2005, 2014, District v. EPA, the D.C. Circuit vacated and Midcoast maintenance areas on the and 2028. Tables 1 and 2 present a EPA’s interpretation that second State’s website. On , 2019, summary of the inventories for these maintenance plans were not required for Maine DEP held a public hearing on the years contained in the maintenance 1997 NAAQS maintenance areas Portland and Midcoast areas 1997 plan.

TABLE 1—SUMMER DAY TYPICAL OZONE EMISSIONS FOR THE PORTLAND MAINTENANCE AREA [Tons/day]

2005 2014 2028 Category VOC NOX VOC NOX VOC NOX

Point ...... 4.22 10.48 2.04 4.52 2.04 4.33 Nonpoint ...... 41.56 6.30 21.09 11.01 16.83 7.25 Mobile: Onroad ...... 27.03 55.33 12.04 28.92 3.96 7.52 Mobile: Nonroad ...... 20.60 12.02 11.70 6.86 8.36 4.11

Total ...... 93.41 84.13 51.87 51.31 31.22 23.21

9 See 80 FR 12315 (March 6, 2015). 10 See Calcagni memo.

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TABLE 2—SUMMER DAY TYPICAL OZONE EMISSIONS FOR THE MIDCOAST MAINTENANCE AREA [Tons/day]

2005 2014 2028 Category VOC NOX VOC NOX VOC NOX

Point ...... 1.52 4.53 1.96 5.05 1.98 3.19 Nonpoint ...... 14.21 3.66 5.12 4.22 4.78 3.97 Mobile: Onroad ...... 8.66 15.30 4.41 8.82 1.17 1.60 Mobile: Nonroad...... 13.73 4.71 8.20 4.18 4.61 2.79

Total ...... 38.12 28.20 19.69 22.27 12.54 11.55

Maine obtained the 2005 emission the area is well below the level of the measures will remain in place through data from the Maine DEP’s 2006 standard, that past air quality trends the end of the second 10-year redesignation request as approved on have been shown to be stable, and that maintenance period, absent a showing , 2006 (71 FR 71489). The the probability of the area experiencing consistent with section 110(l) that such 2014 emissions inventory information is a violation over the second 10-year measures are not necessary to assure from the EPA 2014 version 7.0 modeling maintenance period is low.13 These maintenance.14 platform.11 The 2028 emissions criteria are evaluated below with regard Table 3 presents the design values for inventory is projected from the EPA to the Portland and Midcoast areas. each monitor in the Portland and 2011 version 6.3 modeling.12 Midcoast areas over the 2016–2018 a. Evaluation of Ozone Air Quality period. As shown in Table 3, all sites Based on our review of the methods, Levels models, and assumptions used by Maine have been well below the level of the DEP to develop the VOC and NOX To attain the 1997 ozone NAAQS, the 1997 ozone NAAQS and the most estimates, we find that the Portland and three-year average of the fourth-highest current design value is below the level Midcoast areas 1997 8-Hour Ozone daily maximum 8-hour average ozone of 85% of the NAAQS, consistent with NAAQS LMPs include comprehensive, concentrations (design value) at each prior LMP guidance. reasonably accurate inventories of monitor within an area must not exceed Additional supporting information actual ozone precursor emissions in 0.08 ppm. Based on the rounding that these areas are expected to continue attainment year 2005, and conclude that convention described in 40 CFR part 50, to maintain the standard can be found the plans’ inventories are acceptable for Appendix I, the standard is attained if in projections of future year design the purposes of a subsequent the design value is 0.084 ppm or below. values that EPA recently completed to maintenance plans under CAA section Consistent with prior guidance, EPA assist states with development of 175A(b). believes that if the most recent air interstate transport SIPs for the 2015 quality design value for the area is at a ozone NAAQS. Using a 2011 base year, 2. Maintenance Demonstration level that is well below the NAAQS EPA forecast ozone concentrations for Maine’s projected emissions to 2028 (e.g., below 85% of the standard, or in 2023 under alternative scenarios that show that the area will continue to this case below 0.071 ppm), then EPA included a modified version of the maintain the NAAQS until the end of considers the state to have met the ‘‘3x3’’ grid approach for those monitors the 20-year period following section 175A requirement for a located in coastal areas. Those redesignation. Moreover, the State also demonstration that the area will projections, made for the year 2023 (also submitted information that indicates maintain the NAAQS for the requisite in Table 3), show that the highest design that the guidelines for an LMP have also period. Such a demonstration assumes values of any monitor in the Portland been met. These guidelines are met if continued applicability of PSD and Midcoast areas are all expected to the state can provide sufficient weight requirements, any control measures be well below the 85% maximum of evidence indicating that air quality in already in the SIP, and Federal allowed value of 0.071ppm (71ppb).

TABLE 3—OZONE NAAQS DESIGN VALUES (DV) [Parts per billion, ppb]

2009–2013 2009–2013 2023 AQS County avg max 2016–2018 ‘‘3x3’’ max site ID DV DV DV DV

230010014 ...... Androscoggin ...... 61.0 62 59 50.2 230052003 ...... Cumberland ...... 69.3 70 65 56.8 230090102 ...... Hancock ...... 71.7 74 70 63.2 230090103 ...... Hancock ...... 66.3 69 63 57.3 230112005 ...... Kennebec ...... 62.7 64 62 51.5 230130004 ...... Knox ...... 67.7 69 63 55.7

11 The inventory documentation for this platform 13 ‘‘Limited Maintenance Plan Option for ‘‘Limited Maintenance Plan Option for Moderate can be found at: https://www.epa.gov/airemissions- Nonclassifiable Ozone Nonattainment Areas’’ from PM10 Nonattainment Areas’’ from Lydia Wegman, modeling/2014-version-70-platform. Sally L. Shaver, Office of Air Quality Planning and OAQPS, dated August 9, 2001. 12 The inventory documentation for this platform Standards (OAQPS), dated November 16, 1994; 14 As part of the Ozone Transport Region (OTR), can be found at: https://www.epa.gov/air-emissions- ‘‘Limited Maintenance Plan Option for the Portland and Midcoast areas are also subject to Nonclassifiable CO Nonattainment Areas’’ from additional permitting requirements through modeling/2011-version-63-platform. Joseph Paisie, OAQPS, dated October 6, 1995; and nonattainment new source review (NNSR).

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TABLE 3—OZONE NAAQS DESIGN VALUES (DV)—Continued [Parts per billion, ppb]

2009–2013 2009–2013 2023 AQS County avg max 2016–2018 ‘‘3x3’’ max site ID DV DV DV DV

230173001 ...... Oxford ...... 54.3 55 N/A 44.3 230194008 ...... Penobscot ...... 57.7 59 57 47.6 230230006 ...... Sagadahoc ...... 61.0 61 N/A 48.7 230310038 ...... York ...... 60.3 62 59 49.6 230310040 ...... York ...... 64.3 65 61 52.0 230312002 ...... York ...... 73.7 75 66 61.2

Therefore, the Portland and Midcoast process. EPA has reviewed and when the contingency measures need to areas demonstration that the areas will approved the 2020 Ambient Air be implemented. While a violation of maintain the NAAQS based on the long Monitoring Network Assessment and the NAAQS is an acceptable trigger, record of monitored ozone Plan. states may wish to choose a violation concentrations that attain the NAAQS, To verify the attainment status of the action level below the NAAQS as a together with the continuation of area over the maintenance period, the trigger, such as an exceedance of the existing VOC and NOX emissions maintenance plan should contain NAAQS. By taking action promptly after control programs, adequately provide provisions for continued operation of an an exceedance occurs, a state may be for the maintenance of the 1997 ozone appropriate, EPA-approved monitoring able to prevent a violation of the NAAQS in the Portland and Midcoast network in accordance with 40 CFR part NAAQS. Possible contingency measures maintenance areas through the second 58. As noted above, Maine DEP’s identified by Maine include the 10-year maintenance period (and monitoring network in the Portland and following: beyond). Midcoast areas has been approved by • Reduce the VOC content limit for b. Stability of Ozone Levels EPA in accordance with 40 CFR part 58, cutback asphalt from 5% to 4%, and and the area has committed to continue lower current VOC content limits for As discussed above, the Portland and to maintain a network in accordance emulsified asphalt by 20%. Midcoast areas have maintained air with EPA requirements. For further • Adopt and implement the Ozone quality well below the 1997 ozone details on monitoring, the reader is Transport Commission 2011 Model Rule NAAQS over the past ten years. referred to the 2020 Maine DEP’s for Motor Vehicle and Mobile Additionally, the design value data Annual Network Plan found at: https:// Equipment Non-Assembly Line Coating shown within Table 3 illustrates that www.maine.gov/dep/air/monitoring/ Operations. ozone levels have been relatively stable docs/2020-air-monitoring-plan.pdf as • Adopt and implement the Ozone over this timeframe, with a modest well as EPA’s approval letter for the Transport Commission 2012 Model Rule downward trend. This downward trend 2020 Annual Network Plan, which can for Consumer Products. in ozone levels, coupled with the be found in the docket for today’s • Adopt and implement the 2014 relatively small year over year variation action. We believe Maine’s monitoring OTC Model Rule for Architectural in ozone design values, makes it network is adequate to verify continued Coatings. reasonable to conclude that the Portland attainment of the 1997 ozone NAAQS in • Increase enforcement of existing and Midcoast areas will not exceed the the Portland and Midcoast areas. rules to increase rule effectiveness. 1997 ozone NAAQS during the second EPA proposes to find that Maine’s 4. Contingency Plan 10-year maintenance period. contingency measures, as well as the After Maine submitted the LMPs for Section 175A(d) of the Act requires commitment to continue implementing the Portland and Midcoast areas, EPA that a maintenance plan include any SIP requirements, satisfy the released the final 2017–2019 ozone contingency provisions. The purpose of pertinent requirements of CAA section design values. These values show a such contingency provisions is to 175A. continued downward trend in ozone prevent future violations of the NAAQS levels, with 2017–2019 design values for or promptly remedy any NAAQS V. Transportation Conformity the Portland and Midcoast areas of violations that might occur during the Transportation conformity is required 15 0.064 and 0.069 ppm, respectively. maintenance period. These contingency by section 176(c) of the CAA. 3. Monitoring Network and Verification measures do not have to be fully Conformity to a SIP means that of Continued Attainment adopted regulations at the time of transportation activities will not redesignation. However, the produce new air quality violations, EPA periodically reviews the ozone contingency plan is an enforceable part worsen existing violations, or delay monitoring network that Maine DEP of the SIP and should ensure that the timely attainment of the NAAQS (CAA operates and maintains, in accordance contingency measures are adopted 176(c)(1)(B)). EPA’s conformity rule at with 40 CFR part 58. This network is expeditiously once they are triggered by 40 CFR part 93 requires that consistent with the ambient air a future violation of the NAAQS or transportation plans, programs and monitoring network assessment and some other trigger. The contingency projects conform to SIPs and establish plan developed by Maine DEP that is plan should identify the measures to be the criteria and procedures for submitted annually to EPA and that expeditiously adopted and provide a determining whether or not they follows a public notification and review schedule and procedure for adoption conform. The conformity rule generally requires a demonstration that emissions 15 For EPA’s full design value report please see and implementation of the measures. https://www.epa.gov/air-trends/air-quality-design- The state should also identify specific from the Regional Transportation Plan values. triggers which will be used to determine (RTP) and the Transportation

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Improvement Program (TIP) are revision to the Maine SIP. We are of the Paperwork Reduction Act (44 consistent with the motor vehicle proposing to approve the Portland and U.S.C. 3501 et seq.); emissions budget (MVEB) contained in Midcoast areas LMPs because we find • Is certified as not having a the control strategy SIP revision or that they include an acceptable update significant economic impact on a maintenance plan (40 CFR 93.101, of the various elements of the 1997 substantial number of small entities 93.118, and 93.124). A MVEB is defined ozone NAAQS Maintenance Plan under the Regulatory Flexibility Act as ‘‘that portion of the total allowable approved by EPA for the first 10-year (5 U.S.C. 601 et seq.); emissions defined in the submitted or period (including emissions inventory, approved control strategy assurance of adequate monitoring and • Does not contain any unfunded implementation plan revision or verification of continued attainment, mandate or significantly or uniquely maintenance plan for a certain date for and contingency provisions), and affect small governments, as described the purpose of meeting reasonable essentially carry forward all of the in the Unfunded Mandates Reform Act further progress milestones or control measures and contingency of 1995 (Pub. L. 104–4); demonstrating attainment or provisions relied upon in the earlier • Does not have federalism maintenance of the NAAQS, for any plan. implications as specified in Executive We also find that the Portland and criteria pollutant or its precursors, Order 13132 (64 FR 43255, August 10, allocated to highway and transit vehicle Midcoast areas qualify for the LMP 1999); use and emissions (40 CFR 93.101). option and that therefore the Portland Under the conformity rule, LMP areas and Midcoast areas 1997 Ozone NAAQS • Is not an economically significant may demonstrate conformity without a LMPs adequately demonstrate regulatory action based on health or regional emission analysis (40 CFR maintenance of the 1997 8-hour ozone safety risks subject to Executive Order 93.109(e)). NAAQS through documentation of 13045 (62 FR 19885, April 23, 1997); All actions that would require monitoring data showing maximum • Is not a significant regulatory action transportation conformity 1997 8-hour ozone levels well below the subject to Executive Order 13211 determinations for the Portland and NAAQS and continuation of existing (66 FR 28355, May 22, 2001); Midcoast ozone maintenance areas control measures. We believe the • under our transportation conformity Portland and Midcoast areas 1997 Is not subject to requirements of rule provisions are considered to have Ozone LMPs to be sufficient to provide Section 12(d) of the National already satisfied the regional emissions for maintenance of the 1997 ozone Technology Transfer and Advancement analysis and ‘‘budget test’’ requirements NAAQS in the Portland and Midcoast Act of 1995 (15 U.S.C. 272 note) because in 40 CFR 93.118 as a result of an areas over the second 10-year application of those requirements would adequacy finding for the LMP or maintenance period (though 2026) and be inconsistent with the Clean Air Act; approval of the LMP. (See 69 FR 40004, to thereby satisfy the requirements for and 40063 (July 1, 2004).) such a plan under CAA section 175A(b). • Does not provide EPA with the However, because LMP areas are still EPA is soliciting public comments on discretionary authority to address, as maintenance areas, certain aspects of this document and on issues relevant to appropriate, disproportionate human transportation conformity EPA’s proposed action. We will accept determinations still will be required for health or environmental effects, using comments from the public on this practicable and legally permissible transportation plans, programs and proposal for the next 30 days. projects. Specifically, for such methods, under Executive Order 12898 determinations, RTPs, TIPs and VII. Statutory and Executive Order (59 FR 7629, February 16, 1994). transportation projects still will have to Reviews In addition, the SIP is not approved demonstrate that they are fiscally Under the Clean Air Act, the to apply on any Indian reservation land constrained (40 CFR 93.108), meet the Administrator is required to approve a or in any other area where EPA or an criteria for consultation (40 CFR 93.105 SIP submission that complies with the Indian tribe has demonstrated that a and 40 CFR 93.112) and Transportation provisions of the Act and applicable tribe has jurisdiction. In those areas of Control Measure (TCM) implementation Federal regulations. 42 U.S.C. 7410(k); Indian country, the rule does not have in the conformity rule provisions (40 40 CFR 52.02(a). Thus, in reviewing SIP tribal implications and will not impose CFR 93.113). Additionally, conformity submissions, EPA’s role is to approve substantial direct costs on tribal determinations for RTPs and TIPs must state choices, provided that they meet governments or preempt tribal law as be determined no less frequently than the criteria of the Clean Air Act. specified by Executive Order 13175 (65 every four years, and conformity of plan Accordingly, this proposed action FR 67249, November 9, 2000). and TIP amendments and transportation merely approves state law as meeting projects is demonstrated in accordance Federal requirements and does not List of Subjects in 40 CFR Part 52 with the timing requirements specified impose additional requirements beyond in 40 CFR 93.104. In addition, in order those imposed by state law. For that Environmental protection, Air for projects to be approved they must reason, this proposed action: pollution control, Carbon monoxide, come from a currently conforming RTP • Is not a significant regulatory action Incorporation by reference, and TIP (40 CFR 93.114 and 93.115). subject to review by the Office of Intergovernmental relations, Lead, Management and Budget under Nitrogen dioxide, Ozone, Particulate VI. Proposed Action and Public Executive Orders 12866 (58 FR 51735, matter, Reporting and recordkeeping Comment October 4, 1993) and 13563 (76 FR 3821, requirements, Sulfur oxides, Volatile Under sections 110(k) and 175A of the January 21, 2011); organic compounds. • CAA and for the reasons set forth above, Is not expected to be an Executive Dated: July 13, 2020. EPA is proposing to approve the second Order 13771 regulatory action because Dennis Deziel, 10-year LMPs for the Portland and this action is not significant under Midcoast maintenance areas for the Executive Order 12866; Regional Administrator, EPA Region 1. 1997 Ozone NAAQS, submitted by • Does not impose an information [FR Doc. 2020–15442 Filed 7–24–20; 8:45 am] Maine DEP on February 18, 2020, as a collection burden under the provisions BILLING CODE 6560–50–P

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ENVIRONMENTAL PROTECTION FOR FURTHER INFORMATION CONTACT: John In this action, EPA is proposing to AGENCY Chi, EPA Region 10 Air and Radiation approve the prong 1 and prong 2 Division, 1200 Sixth Avenue, Seattle, portions of the Washington’s February 40 CFR Part 52 WA 98101, (206)–553–1185, chi.john@ 7, 2018 SIP submission because, based [EPA–R10–OAR–2016–0590; FRL–10009– epa.gov. on the information available at the time 70–Region 10] SUPPLEMENTARY INFORMATION: of this rulemaking, Washington Throughout this document, whenever demonstrated that it will not Air Plan Approval; WA; Interstate ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, it is significantly contribute to Transport Requirements for the 2010 intended to refer to EPA. Information is nonattainment or interfere with Sulfur Dioxide National Ambient Air organized as follows: maintenance of the 2010 SO2 NAAQS in Quality Standards any other state. All other applicable Table of Contents infrastructure SIP requirements for this AGENCY: Environmental Protection SIP submission will be addressed in Agency (EPA). I. Background A. Infrastructure SIPs separate rulemakings. ACTION: Proposed rule. B. 2010 1-Hour SO2 NAAQS Designations B. 2010 1-Hour SO2 NAAQS SUMMARY: The Environmental Protection Background Designations Background Agency (EPA) is proposing to approve II. Relevant Factors To Evaluate 2010 SO2 Interstate Transport SIPs In this action, EPA has considered the State Implementation Plan (SIP) III. State Submission information from the 2010 1-hour SO submission from the State of 2 IV. EPA’s Analysis NAAQS designations process, as Washington (Washington) A. Prong 1 Evaluation discussed in more detail in Section III demonstrating that the SIP meets certain B. Prong 2 Evaluation of this preamble. For this reason, a brief Clean Air Act (CAA) interstate transport V. Proposed Action summary of EPA’s designations process requirements for the 2010 1-hour Sulfur VI. Statutory and Executive Order Reviews for the 2010 1-hour SO NAAQS is Dioxide (SO ) National Ambient Air 2 2 I. Background included here.2 Quality Standards (NAAQS). In this After the promulgation of a new or A. Infrastructure SIPs action, EPA is proposing to determine revised NAAQS, EPA is required to that emissions from sources in On , 2010, EPA established a designate areas as ‘‘nonattainment,’’ Washington will not contribute new primary 1-hour SO2 NAAQS of 75 ‘‘attainment,’’ or ‘‘unclassifiable’’ significantly to nonattainment or parts per billion (ppb), based on a 3-year pursuant to section 107(d)(1) of the interfere with maintenance of the 2010 average of the annual 99th percentile of CAA. The process for designating areas SO2 NAAQS in any other state. 1-hour daily maximum concentrations.1 following promulgation of a new or Therefore, EPA is proposing to approve The CAA requires each state to submit, revised NAAQS is contained in section Washington’s , 2018 SIP within 3 years after promulgation of a 107(d) of the CAA. The CAA requires submission as meeting the interstate new or revised NAAQS, SIPs meeting EPA to complete the initial designations transport requirements for the 2010 1- the applicable infrastructure elements of process within two years of hour SO2 NAAQS. sections 110(a)(1) and (2). One of these promulgating a new or revised standard. DATES: Comments must be received on applicable infrastructure elements, CAA If the Administrator has insufficient or before August 26, 2020. section 110(a)(2)(D)(i), requires SIPs to information to make these designations ADDRESSES: Submit your comments, contain ‘‘good neighbor’’ provisions to by that deadline, EPA has the authority identified by Docket ID No. EPA–R10– prohibit certain adverse air quality to extend the deadline for completing OAR–2016–0590, at https:// effects on neighboring states due to designations by up to one year. www.regulations.gov. Follow the online interstate transport of pollution. EPA promulgated the 2010 1-hour instructions for submitting comments. Section 110(a)(2)(D)(i) includes four SO2 NAAQS on June 2, 2010. See 75 FR Once submitted, comments cannot be distinct components, commonly 35520 (June 22, 2010). EPA completed edited or removed from regulations.gov. referred to as prongs, that must be the first round of designations (’’round 3 EPA may publish any comment received addressed in infrastructure SIP 1’’) for the 2010 1-hour SO2 NAAQS on to its public docket. Do not submit submissions. The first two prongs, , 2013, designating 29 areas in 16 electronically any information you codified at CAA section consider to be Confidential Business 110(a)(2)(D)(i)(I), require SIPs to contain 2 While designations may provide useful Information (CBI) or other information adequate provisions that prohibit any information for purposes of analyzing transport, the disclosure of which is restricted by particularly for a more source-specific pollutant source or other type of emissions such as SO2, EPA notes that designations statute. Multimedia submissions (audio, activity in one state from contributing themselves are not dispositive of whether or not video, etc.) must be accompanied by a significantly to nonattainment of the upwind emissions are impacting areas in written comment. The written comment NAAQS in any other state (prong 1) and downwind states. EPA has consistently taken the position that CAA section 110(a)(2)(D)(i)(I) is considered the official comment and from interfering with maintenance of addresses ‘‘nonattainment’’ anywhere it may occur should include discussion of all points the NAAQS in any other state (prong 2). in other states, not only in designated you wish to make. EPA will generally The remaining prongs, codified at CAA nonattainment areas nor any similar formulation not consider comments or comment requiring that designations for downwind section 110(a)(2)(D)(i)(II), require SIPs to nonattainment areas must first have occurred. See contents located outside of the primary contain adequate provisions that e.g., Clean Air Interstate Rule, 70 FR 25162, 25265 submission (i.e. on the web, cloud, or prohibit emissions activity in one state (, 2005); Cross-State Air Pollution Rule, 76 other file sharing system). For from interfering with measures required FR 48208, 48211 (, 2011); Final Response to Petition from New Jersey Regarding SO2 additional submission methods, the full to prevent significant deterioration of air Emissions From the Portland Generating Station, 76 EPA public comment policy, quality in any other state (prong 3) and FR 69052 (, 2011) (finding facility in information about CBI or multimedia from interfering with measures to violation of the prohibitions of CAA section submissions, and general guidance on protect visibility in any other state 110(a)(2)(D)(i)(I) with respect to the 2010 1-hour SO2 NAAQS prior to issuance of designations for making effective comments, please visit (prong 4). that standard). https://www.epa.gov/dockets/ 3 The term ‘‘round’’ in this instance refers to commenting-epa-dockets. 1 75 FR 35520 (June 22, 2010). which ‘‘round of designations.’’

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8 states as nonattainment for the 2010 1- II. Relevant Factors To Evaluate 2010 2010 SO2 NAAQS. The submission hour SO2 NAAQS. See 78 FR 47191 SO2 Interstate Transport SIPs concluded that SO2 emissions from (, 2013). EPA signed Federal sources in Washington will not Although SO2 is emitted from a Register actions of promulgation for a similar universe of point and nonpoint contribute to nonattainment or interfere second round of designations 4 (‘‘round with maintenance of the 2010 SO sources, interstate transport of SO2 is 2 2’’) , 2016 (81 FR 45039 (, unlike the transport of fine particulate NAAQS in any other state. Washington 2016)) and on , 2016 (81 matter (PM2.5) or ozone, in that SO2 is arrived at this conclusion after (1) FR 89870 (, 2016)), and a not a regional pollutant and does not reviewing SO2 emissions sources, (2) third round of designations (‘‘round 3’’) commonly contribute to widespread identifying downwind monitoring sites on , 2017 (83 FR 1098 nonattainment over a large (and often as potential receptors in neighboring (, 2018)).5 multi-state) area. The transport of SO2 is states, (3) conducting an emissions over On , 2015 (80 FR 51052), more analogous to the transport of lead distance (Q/D) analysis, (4) evaluating EPA separately promulgated air quality (Pb) because its physical properties available SO2 modeling results for characterization requirements for the result in localized pollutant impacts specific sources, and (5) reviewing the 2010 1-hour SO2 NAAQS in the Data very near the emissions source. current SIP for existing federally- Requirements Rule (DRR). The DRR However, ambient concentrations of SO2 approved controls that limit SO2 requires state air agencies to do not decrease as quickly with distance emissions from existing and future characterize air quality, through air from the source as Pb because of the sources. dispersion modeling or monitoring, in physical properties and typical release areas associated with sources that Emissions Sources heights of SO2. Emissions of SO2 travel emitted 2,000 tons per year (tpy) or farther and have wider ranging impacts Washington reviewed preliminary more of SO2, or that have otherwise than emissions of Pb but do not travel 2014 emissions inventory data (the most been listed under the DRR by EPA or far enough to be treated in a manner recent data available at the time the state air agencies. In lieu of modeling or submission was developed).9 Point similar to ozone or PM2.5. The monitoring, state air agencies, by approaches that EPA has adopted for sources, including electrical utilities specified dates, could elect to impose ozone or PM2.5 transport are too and industrial sources, account for the federally enforceable emissions regionally focused, and the approach for largest anthropogenic sources of SO2 limitations on those sources restricting Pb transport is too tightly circumscribed emissions as shown in Table 1. their annual SO2 emissions to less than to the source to serve as a model for SO Washington’s port and shipping 2,000 tpy, or provide documentation 2 transport. SO2 transport is therefore a activities account for the second highest that the sources have been shut down. unique case and requires a different source category, after point sources. EPA expected that the information approach. Washington’s conclusions about this generated by implementation of the DRR In this proposed rulemaking, as in source sector are also further discussed would help inform designations for the prior SO2 transport analyses, EPA in a later section of this document. 2010 1-hour SO2 NAAQS. focuses on a 50 km-wide zone because In ‘‘round 3’’ of designations, EPA the physical properties of SO2 result in TABLE 1—PRELIMINARY 2014 EMIS- designated Lewis and Thurston counties relatively localized pollutant impacts SIONS INVENTORY OF ANTHROPO- in Washington as unclassifiable for the near an emissions source that drop off GENIC SO2 SOURCES IN WASH- 2010 1-hour SO2 NAAQS. Washington with distance. Given the physical 10 selected the monitoring pathway INGTON properties of SO2, EPA selected the pursuant to the DRR for the areas ‘‘urban scale’’, a spatial scale with Source category Emissions surrounding two sources in Chelan and dimensions from 4 to 50 kilometers (km) (short tons) Douglas, and Whatcom counties. These from point sources given the usefulness areas will be designated in a fourth of that range in assessing trends in both Point sources ...... 14,510 round of designations (‘‘round 4’’) by area-wide air quality and the Commercial marine vessels 11,316 December 31, 2020. The remaining Silvicultural burning ...... 1,177 effectiveness of large-scale pollution Industrial, commercial, insti- counties in Washington were designated control strategies at such point sources.7 as attainment/unclassifiable in round tutional combustion ...... 1,095 As such, EPA utilized an assessment up On-road mobile ...... 591 3.6 to 50 km from point sources in order to assess trends in area-wide air quality Receptors in Neighboring States 4 EPA and state documents and public comments that might impact downwind states. related to the round 2 final designations are in the The submission identified SO2 docket at regulations.gov with Docket ID No. EPA– III. State Submission monitoring sites in Idaho and Oregon, HQ–OAR–2014–0464 and at EPA’s website for SO2 designations at https://www.epa.gov/sulfur-dioxide- On February 7, 2018, the Washington which are the only two states that designations. State Department of Ecology (Ecology) border Washington. These monitoring 5 Consent Decree, Sierra Club v. McCarthy, Case submitted a SIP to address CAA section sites were selected as downwind No. 3:13–cv–3953–SI (N.D. Cal. , 2015). receptors and further evaluated for This consent decree requires EPA to sign for 110(a)(2)(D)(i)(I), prongs 1 and 2, of the publication in the Federal Register documents of ‘‘good neighbor’’ provisions, for the the Agency’s promulgation of area designations for 8 The February 7, 2018 SIP submission also the 2010 1-hour SO2 NAAQS by three specific National Ambient Air Quality Standard for addressed the 2015 ozone NAAQS. EPA approved deadlines: , 2016 (‘‘round 2’’); December 31, Washington at https://www.epa.gov/sites/ the ozone-related portion of the SIP submission on 2017 (‘‘round 3’’); and December 31, 2020 production/files/2017-08/documents/43_wa_so2_ , 2018 (83 FR 47568). (‘‘round 4’’). rd3-final.pdf. 9 In Section III of this preamble, we have 6 7 See Technical Support Document: Chapter 42 For the definition of spatial scales for SO2, reviewed more recent data released as part of the Final Round 3 Area Designations for the 2010 1- please see 40 CFR part 58, appendix D, section 4.4 2017 National Emissions Inventory. 10 Hour SO2 Primary National Ambient Air Quality (‘‘Sulfur Dioxide (SO2) Design Criteria’’). For further The top five categories and emissions numbers Standard for Washington at https://www.epa.gov/ discussion on how EPA is applying these in table 1 are re-printed from page 9 (Table 5) of sites/production/files/2017-12/documents/42-wa- definitions with respect to interstate transport of the Washington State Implementation Plan Revision so2-rd3-final.pdf. See also Technical Support SO2, see EPA’s proposal on Connecticut’s SO2 Interstate Transport of Sulfur Dioxide and Ozone, Document: Chapter 42 Intended Round 3 Area transport SIP. 82 FR 21351, 21352, 21354 (, February 2018, publication 18–02–005, in the Designations for the 2010 1-Hour SO2 Primary 2017). docket for this action.

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potential impacts from Washington SO2 recent data available at the time the daily maximum 1-hour average sources. The submission included a submission was developed). The data concentrations at the identified table of downwind receptor monitored presented in Table 2 is the 99th receptors, in parts per billion (ppb). values for 2012 through 2016 (the most percentile of the annual distribution of

11 TABLE 2—99TH PERCENTILE FOR THE 2010 SO2 NAAQS AT IDENTIFIED DOWNWIND RECEPTORS (PPB)

County Site ID 2012 2013 2014 2015 2016

Ada County, ID ...... 160010010 6 11 5 3 4 Bannock County, ID...... 160050004 73 40 38 45 33 Caribou County, ID...... 160290031 35 31 23 23 32 Multnomah County, OR ...... 410510080 10 5 3 4 3

The submission included a spatial Washington identified two ports are not likely to impact the analysis of these receptor locations Washington SO2 sources with annual Multnomah County receptor (nor the relative to the Washington State border, emissions greater than 100 tons within Idaho receptors) in part because the and relative to stationary sources in 50 km of the Washington border. These ports are located over 50 km from the Washington that are located within 50 two sources, Weyerhaeuser NR Oregon border and also because the port kilometers (km) of each receptor. After Company and Longview Fibre, are pulp emissions are spread across large areas, mapping the identified downwind and paper plants. Washington further vessels, and operations, as opposed to receptors, the Washington Department evaluated these sources to assess emissions from stationary point of Ecology found that the Multnomah whether they may have a potential sources.13 County, Oregon receptor (Site ID impact on the Multnomah County Emissions-to-Distance Analysis 41051008), which is the National Core receptor. The State reviewed monitoring (NCore) site located in the Portland data, local weather data, and regional The submission included an metropolitan area, warranted further emissions modeling and found it is emissions-to-distance (Q/D) analysis analysis because (1) it is within 50 km reasonable to conclude that most of the used to prioritize point sources with of the Washington border and because SO2 monitored at the Multnomah potential impact on the closest receptor (2) four Washington SO2 point sources County receptor originates within the in a neighboring state. Q/D is a common are within a 50-km radius of the Portland metropolitan area of Oregon.12 screening technique used to estimate Multnomah County receptor. The Washington proceeded to conduct an potential visibility impacts for purposes submission states that the sources emissions-to-distance analysis of point of Regional Haze planning and to within the 50-km radius are small (three sources (including Weyerhaeuser NR analyze predicted air quality impacts in of the four sources emitted less than 10 Company and Longview Fibre) as the context of major stationary source tons SO2 in 2014, and the fourth source described in the following section. permitting in areas designated emitted 17 tons in 2014). In addition, Washington also reviewed SO2 attainment and unclassifiable the Multnomah County receptor has emissions from commercial marine (Prevention of Significant Deterioration historically monitored low 1-hour SO2 vessels operating at several Washington (PSD) permitting). The submission 99th percentile values, as shown in the ports. Washington asserted that SO2 included the following table of Q/D prior table. emissions from western-Washington results.

TABLE 3—EMISSIONS-TO-DISTANCE (Q/D) RESULTS 14

Distance Distance 2014 SO2 Facility Type County to border to receptor 15 Q/D (km) (km) (short tons)

TransAlta Centralia General Electricity Generation via Com- Lewis ...... 68 141 3,037 21.5 LLC. bustion. Alcoa Primary Metals Intalco Primary Aluminum Plant ...... Whatcom ...... 292 373 4,794 12.9 Works. Alcoa Primary Metals Primary Aluminum Plan ...... Chelan ...... 164 281 2,935 10.5 Wenatchee Works. Weyerhaeuser NR Company ... Pulp and Paper Plant ...... Cowlitz ...... 1 76 440 5.8 BP Cherry Point Refinery ...... Petroleum Refinery ...... Whatcom ...... 296 377 917 2.4 Longview Fibre ...... Pulp and Paper Plant ...... Cowlitz ...... 1 72 141 2.0 Boise Paper ...... Pulp and Paper Plant ...... Walla Walla ..... 150 100 186 1.85 RockTenn Mill Tacoma ...... Pulp and Paper Plant ...... Pierce ...... 131 197 261 1.3 Cosmo Specialty Fibers ...... Pulp and Paper Plant ...... Grays Harbor .. 75 185 237 1.3 Puget Sound Refining Com- Petroleum Refinery ...... Skagit ...... 255 331 347 1.0 pany.

11 The values in table 2 are re-printed from page 12 See page 13–14 of the Washington State 14 Ibid. Table was from the SIP submittal with 8 (Tables 3 and 4) of the Washington State Implementation Plan Revision Interstate Transport added sources. Implementation Plan Revision Interstate Transport of Sulfur Dioxide and Ozone, February 2018, 15 Most recent emissions data available at the time of Sulfur Dioxide and Ozone, February 2018, publication 18–02–005, in the docket for this the State developed the submission. In Section III publication 18–02–005, in the docket for this action. of this preamble, we have reviewed more recent action. These are 99th percentile values, rounded to data released as part of the 2017 National Emissions 13 Ibid. the nearest whole number. Inventory.

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The TransAlta Centralia Generation • 40 CFR 52.2470(c) reasonably IV. EPA’s Analysis facility was the only source that available control technology EPA first reviewed the Washington exceeded Washington’s threshold ratio requirements (Revised Code of submission to assess how the State of 20 for the Q/D analysis (Q/D = 21.5). Washington (RCW) 90.94.154 and evaluated interstate transport of SO2, the As a result, it was the only source that Chapter 173–400 Washington types of information Washington used Washington evaluated further following Administrative Code (WAC)) • in the analysis, and the conclusions the Q/D analysis. 40 CFR 52.2470(c) kraft pulp mill drawn by the State. We then conducted regulations (173–405 WAC) a weight of evidence analysis to Available SO2 Modeling Results • 40 CFR 52.2470(c) sulfite pulp mill determine if we agree with the State’s regulations (173–410 WAC) In the SIP submission, Washington • conclusion that SO2 emissions from explained their review of published 40 CFR 52.2470(c) primary aluminum sources in Washington will not smelter regulations (173–415 WAC) modeling data for the TransAlta facility significantly contribute to • 40 CFR 52.2470(c) pre-construction and indicated that the modeling showed nonattainment or interfere with permitting (WAC 173–400–111 and limited SO impact outside of the maintenance of the 2010 SO2 NAAQS in 2 720) immediate area of the facility.16 any other state. • 40 CFR 52.2470(c) gasoline vapor and Washington also provided plume volatile organic compound emission A. Prong 1 Evaluation modeling data that indicated the regulations (173–490 and 491 WAC) Washington’s submission focused on facility’s SO2 plume distributes toward • 40 CFR 52.2470(d) BART one downwind receptor and a relatively the south but would not be expected to requirements for TransAlta Centralia reach the area near the Multnomah limited source-oriented and spatial (coal units BW21 and BW22 will evaluation of potential transport based County receptor in any significant permanently cease burning coal and concentration.17 Washington further on an emissions-to-distance analysis. As be decommissioned by December 31, a result of the emissions-to-distance explained that the facility has SO2 2020 and December 31, 2025, analysis, Washington reviewed one emissions at the facility of less than 19 respectively) source, TransAlta, for potential 1,350 pounds per hour as of December • 40 CFR 52.2470(d) BART transport. TransAlta is located 15, 2016.18 Based on this information, requirements for BP Cherry Point Washington concluded that the approximately 70 km from the state Refinery border with Oregon.20 TransAlta facility does not significantly • 40 CFR 52.2500 BART requirements EPA has performed a supplemental contribute to SO emissions at the 2 for ALCOA Primary Metals Intalco analysis to more fully evaluate sources Multnomah County Receptor. Works in Washington for potential transport to • 40 CFR 52.2501 BART requirements Existing and Future SO2 Controls neighboring states. In our analysis we for Tesoro Petroleum Refinery reviewed: (1) Emissions inventory data • Washington reviewed current and 40 CFR 52.2502 BART requirements and emissions trends for point sources future enforceable emission limits and for ALCOA Primary Metals in Washington emitting greater than 100 Wenatchee Works controls that apply to SO2 sources in tpy; (2) SO2 ambient air quality data; Washington. Most of the limits and Based on their analysis of monitoring and (3) spatial analysis of point sources control requirements referenced have and emissions data, the Q/D analysis, located within 50 km of the Washington been approved into the Code of Federal and current and future SO2 controls, state border. Regulations (CFR) at 40 CFR part 52, Washington concluded that SO2 subpart WW, including the SIP and emissions from sources in Washington 1. Point Source Emissions Inventory Federal Implementation Plan (FIP) will not contribute to nonattainment or Data requirements related to Regional Haze interfere with maintenance of the 2010 First, we compiled a list of best available retrofit technology SO2 NAAQS in any other state. Washington point sources emitting over (BART). These provisions and others Therefore, Washington requested EPA 100 tons per year of SO2 according to listed below are designed to limit SO2 approval of the submission for purposes the 2017 NEI. Then, we added 2008, emissions from existing and future of CAA section 110(a)(2)(D)(i)(I) for the 2011, and 2014 NEI data, for reference, sources in the State: 2010 SO2 NAAQS. as listed in Table 4.

21 TABLE 4—TRENDS IN SO2 EMISSIONS (TONS PER YEAR) FROM POINT SOURCES IN WASHINGTON

Facility Type County 2008 2011 2014 2017

Alcoa Primary Metals Intalco Works Primary Aluminum Plant ...... Whatcom ...... 4,523 4,538 4,794 3,987 TransAlta Centralia Generation, LLC Electricity Generation via Combus- Lewis ...... 2,318 1,136 3,037 1,689 tion. Alcoa Primary Metals Wenatchee Primary Aluminum Plant ...... Chelan ...... 1,810 2,906 2,935 ...... Works*. BP Cherry Point Refinery ...... Petroleum Refinery ...... Whatcom ...... 1,764 1,007 917 808

16 See page 12 of the Washington State 19 The submission references Southwest Clean modeling as the basis for the Unclassifiable Implementation Plan Revision Interstate Transport Air Agency Regulatory Order 16–32 dated designation. This Unclassifiable area boundary is of Sulfur Dioxide and Ozone, February 2018, , 2016. This regulatory order was not within 50 km of the Washington state border, publication 18–02–005, in the docket for this submitted for approval and is therefore not however, the only source emitting over 100 tpy in action. addressed in this action. the area, TransAlta, is located more than 50 km 17 https://www.epa.gov/sites/production/files/ 20 As mentioned in Section I.B of this preamble, from the state border. Given the distance between 2017-01/documents/ EPA designated the area containing TransAlta, TransAlta and the state border, EPA did not ecologytechnicalreporttransaltaso2modelingresults Lewis and Thurston counties in Washington, as evaluate this source further for potential transport. 21 2017.pdf. Unclassifiable in Round 3 of SO2 designations. 2011, 2014, and 2017 National Emissions 18 http://www.swcleanair.org/docs/permits/ Washington submitted modeling for the area, Inventory data for point sources available at https:// prelim/16-3202ADP.pdf. however, EPA identified deficiencies with the www.epa.gov/air-emissions-inventories.

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21 TABLE 4—TRENDS IN SO2 EMISSIONS (TONS PER YEAR) FROM POINT SOURCES IN WASHINGTON —Continued

Facility Type County 2008 2011 2014 2017

Boise Paper ...... Pulp and Paper Plant ...... Wallula ...... 780 793 186 885 Weyerhaeuser NR Company Pulp and Paper Plant ...... Cowlitz ...... 512 582 440 390 (Nippon Dynawave). Puget Sound Refining Company ..... Petroleum Refinery ...... Skagit ...... 450 359 347 225 Longview Fibre ...... Pulp and Paper Plant ...... Cowlitz ...... 281 202 141 197 WestRock Tacoma Mill ...... Pulp and Paper Plant ...... Pierce ...... 635 349 261 189 Cosmo Specialty Fibers ...... Pulp and Paper Plant ...... Grays Harbor ...... — 214 237 242 Sea-Tac International Airport ...... Airport ...... King ...... 192 243 261 506 Chemtrade ...... Chemical Plant ...... Skagit ...... 123 155 215 203

Total ...... 13,388 12,484 13,771 9,321 * Curtailed since 2015.

The NEI data from 2008 to 2017 show 2. SO2 Ambient Air Quality Data monitoring information for monitors in decreases in SO2 emissions from certain Washington and the bordering states of sources, including two petroleum Information from SO2 monitors near Idaho and Oregon. We note that there refineries: BP Cherry Point and Puget the borders between Washington and its are only two monitors within Sound Refining Company. The data in neighboring states of Idaho and Oregon approximately 50 km of the Washington Table 4 also show a mix of slight is also useful context for evaluating State border, and both monitors are increases and decreases at some large whether the SIP submission from located outside of the State (in Idaho pulp and paper plants and other sources Washington satisfies prong 1. Tables 5 and Oregon). categories. and 6 below summarize this SO2

22 TABLE 5—TRENDS IN 3-YEAR SO2 DESIGN VALUES (PPB) FOR AQS MONITORS IN WASHINGTON

∼ Distance Site ID Site name to border 2013–2015 2014–2016 2015–2017 (km)

530570011 ...... Anacortes-202 O Ave ..... 263 5 ...... 5 ...... 4 530090013 ...... Cheeka Peak ...... 240 2 ...... 2 ...... 1 incomplete ...... incomplete 530730013 ...... Ferndale-Kickerville Rd ... 293 invalid ...... invalid ...... invalid 530730017 ...... Ferndale-Mountain View 294 invalid ...... invalid ...... invalid Rd. 530070012 ...... Malaga-Malaga Highway 228 invalid ...... invalid ...... invalid 530330080 ...... Seattle-Beacon Hill ...... 167 6 ...... 5 ...... 6 incomplete ...... incomplete ...... incomplete incomplete = Design value calculated based on data that does not meet completeness criteria. invalid = Insufficient data collected to determine a valid 3-year design value.

TABLE 6—TRENDS IN 99TH PERCENTILE VALUES (PPB) FOR AQS MONITORS IN WASHINGTON 23

∼ Distance Site ID Site name to border 2017 2018 2019 (km)

530570011 ..... Anacortes-202 O Ave ...... 263 3 2 3 530090013 ..... Cheeka Peak ...... 240 1 1 1 530730013 ..... Ferndale-Kickerville Rd* ...... 293 70 74 70 530730017 ..... Ferndale-Mountain View Rd* ...... 294 114 101 105 530070012 ..... Malaga-Malaga Highway** ...... 228 1 1 1 530330080 ..... Seattle-Beacon Hill ...... 167 6 8 6 * These two monitors are source-oriented monitors that began operating in early 2017 to characterize air quality around Alcoa Intalco Works. ** This monitor is a source-oriented monitor that began operating in early 2017 to characterize air quality around Alcoa Wenatchee Works.

24 TABLE 7—TREND IN 3-YEAR SO2 DESIGN VALUES (PPB) FOR AQS MONITORS SURROUNDING WASHINGTON

∼ Distance to Site ID County Border 2013–2015 2014–2016 2015–2017

160010010 ..... Ada County, Idaho ...... 55 7 ...... 4 3 incomplete ...... 160050004 ..... Bannock County, Idaho ...... 489 41 ...... 39 38

22 Data obtained on 11/13/2019 at https:// 23 Data obtained on 4/16/2020 at https:// 24 Data obtained from EPA’s Outdoor Air Quality www.epa.gov/air-trends/air-quality-design-values. www.epa.gov/outdoor-air-quality-data/monitor- Database (11/13/2019). values-report.

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24 TABLE 7—TREND IN 3-YEAR SO2 DESIGN VALUES (PPB) FOR AQS MONITORS SURROUNDING WASHINGTON — Continued

∼ Distance to Site ID County Border 2013–2015 2014–2016 2015–2017

160290031 ..... Caribou County, Idaho ...... 558 26 ...... 26 30 410510080 ..... Multnomah County, Oregon ...... 12 4 ...... 3 3 incomplete = Design value calculated based on data that does not meet completeness criteria.

Except for the Anacortes monitor, states and are therefore not likely to impact at these locations and is Washington SO2 monitors have either have an adverse impact on air quality in insufficient to capture the impact at all incomplete or invalid data during the the neighboring states of Idaho and locations in the neighboring states. last three design value periods.25 Oregon. Therefore, we have also conducted a However, in Table 6 of this document, Valid, complete data is available for source-oriented analysis. we’ve included the 99th percentile the SO monitors in Idaho and Oregon, 2 3. Spatial Analysis of Point Sources values for these monitors in Washington and design values are well below the as additional evidence that, generally, level of the 2010 SO2 NAAQS, as shown As noted, EPA has determined that it statewide monitored values are below in Table 7 of this document. As is appropriate to examine the impacts of the level of the NAAQS. described, there are no Washington emissions from stationary sources in Three new SO2 monitors were monitors located within 50 km of a distances ranging from 0 km to 50 km established in Washington in early neighboring state’s border, however, from the facility, based on the ‘‘urban 2017. These three monitors were there are two monitors in neighboring scale’’ definition contained in appendix established to characterize two sources states located within approximately 50 D to 40 CFR part 58, section 4.4. As a for purposes of the SO2 Data km of the Washington border, and these result, we evaluated point sources of up Requirements Rule (DRR), namely Alcoa monitors recorded SO2 design values to 50 km from the state border for Primary Metals Intalco Works and Alcoa well below the level of the 2010 SO2 emissions trends and SO2 Wenatchee Works. These areas will be NAAQS for the most recent valid design concentrations in areawide air quality. designated in Round 4 of SO2 value periods. These monitored values In the absence of special factors, for designations. The data from these do not, alone, indicate any particular example the presence of nearby larger monitors (Site IDs 530730013, location that would warrant further sources or unusual factors, sources 530730017, and 530070012) was investigation with respect to SO2 emitting less than 100 tons per year SO2 required to be certified by the State as emission sources that might can be appropriately presumed to not be valid, 3-year design values by May 1, significantly contribute to significantly contributing to SO2 2020. One of these monitors is recording nonattainment in the neighboring states. concentrations above the 2010 SO2 exceedances of the NAAQS. However, However, because the monitoring NAAQS. The list of sources emitting we note that all three monitors (and the network is not necessarily designed to 100 tons per year or more of SO2, based sources they were sited to characterize) capture all locations of high SO2 on 2017 point source data, within 50 km are over 200 km away from the concentrations, this observation of the Washington state border, are Washington border with neighboring indicates an absence of evidence of shown in Table 8.

TABLE 8—SOURCES WITHIN 50 KM OF THE WASHINGTON STATE BORDER WITH SO2 EMISSIONS GREATER THAN 100 TPY AND NEAREST NEIGHBORING STATE SOURCES

2017 SO2 2017 SO2 Distance from Emissions of Sources Emissions the Border Neighboring State Neighboring State Source Neighboring (tons) (km) (Distance Between the Sources) State Source (tons)

Weyerhaeuser NR Company— 390 1 Oregon...... Wauna Mill—Paper Mill— 540 Longview, Washington. Clatskanie, Oregon (33 km). Longview Fibre—Longview, Wash- 197 1 Oregon...... Wauna Mill—Paper Mill— 540 ington. Clatskanie, Oregon (38 km). Boise Paper—Wallula, Wash- 885 11 Oregon ...... PGE Boardman—Boardman, Or- 3298 ington. egon (82 km). Portland International Airport— 215 2 Washington...... Longview Fibre—Longview, 197 Portland, Oregon. Washington (62 km). Owens-Brockway Glass Container 118 4 Washington...... Longview Fibre—Longview, 197 Inc.—Portland Oregon. Washington (66 km). PGE Boardman—Boardman, Or- 3298 17 Washington ...... Boise Paper—Wallula, Wash- 885 egon. ington (82). Wauna Mill—Paper Mill— 540 <1 Washington ...... Weyerhaeuser NR Company— 390 Clatskanie, Oregon. Longview, Washington (33).

25 To be comparable to the NAAQS, the design CFR part 50 which specifies minimum data completeness criteria for the 1-hour 2010 SO2 value must be valid according to appendix T to 40 NAAQS.

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The Washington sources listed are of respect to Washington SO2 emission with emissions from the Wauna Mill in interest with respect to SO2 transport sources that might contribute to Clatskanie, Oregon, in such a way as to because of the possibility that they are problems with attainment of the 2010 adversely impact a violation of the SO2 causing a violation of the 2010 SO2 SO2 NAAQS in neighboring states. As NAAQS in Oregon. Based on these NAAQS in their locality that extends shown, there are two sources in factors, we propose to concur with the into a neighboring state. There is also Washington which are within 50 state’s conclusion that SO2 emissions the possibility of emissions from one or kilometers from a source in a from sources in Longview, Washington, more of these sources in Washington neighboring state; Weyerhaeuser NR will not contribute significantly to and emissions from a source in a Company and Longview Fibre in nonattainment of the 2010 SO2 NAAQS neighboring state interacting in such a Longview, Washington, located 33 and in the neighboring state of Oregon. way as to contribute significantly to a 38 km respectively, from the Wauna EPA has also evaluated PGE violation in the neighboring state. As Mill in Clatskanie, Oregon. Therefore, Boardman, a DRR source located within such, we have also included sources in we have evaluated these sources further. 50 km of the Washington border. PGE neighboring states within 50 km of the Longview, Washington, and Boardman is located in Boardman, Washington state border as part of this Clatskanie, Oregon, comprise a cross- Oregon, and, as shown in Table 8 of this analysis. The prior table shows the border, uncombined metropolitan area. document, the nearest source in distance from each of the sources listed Currently, EPA does not have Washington is Boise Paper in Wallula, therein to the nearest source across the monitoring or modeling information to Washington. Although these sources are Washington state border emitting above indicate a violation or elevated SO2 located 82 km apart, and it is unlikely 100 tons per year of SO2. Generally, a concentrations in this area. Given the that their emissions could interact in greater distance between two sources distance between the cross-state sources such a way as to contribute significantly reduces the likelihood that their (over 30 km), the declining emissions at to violations in the neighboring state, emissions could interact in such a way the sources in Longview, Washington, because emissions from PGE Boardman as to contribute significantly to a as demonstrated in Table 4 of this near the Washington border are over violation in the neighboring state. Given document, and the lack of evidence of 3000 tons per year, we have further the localized range of potential 1-hour violations or elevated SO2 evaluated the source. The State of SO2 impacts, sources which are greater concentrations in the area; it is unlikely Oregon modeled the area surrounding than 50 km from each other would not that emissions from the two sources in the facility, and the details are warrant further investigation with Longview, Washington, could interact summarized in Table 9.

TABLE 9—OTHER STATES’ SOURCES WITH DRR MODELING LOCATED WITHIN 50 KM OF WASHINGTON

Approximate County Distance From Other facilities Modeled 99th percentile daily Model grid extends into DRR source Source maximum 1-hour SO2 concentration (state) to Washington included in modeling (ppb) another state? Border (km)

PGE Morrow 17 11 sources in Oregon: 73 (based on PTE emissions) ...... Yes, into WA (portions of Boardman 26. (OR). Columbia Ridge Land- Benton, Klickitat and fill, PGE Boardman Yakima Counties, Carty Plant, ConAgra WA). Foods Lamb Weston, Inc., TMF Biofuels, LLC, Hermiston Power LLC, Hermiston Gen- erating Company, Pe- rennial-Windchaser LLC, Oregon Potato Company, Finley Bio- Energy LLC, Gas Transmission North- west LLC, Finley Buttes Landfill.

The State submitted the resulting Furthermore, Oregon’s SIP requires concur with the State’s conclusion that model data to EPA and indicated that PGE Boardman to implement a phased SO2 emissions from sources in Oregon found no modeled exceedances reduction of operation and cease coal- Washington will not contribute of the 2010 SO2 NAAQS within 50 km fired operation by December 31, 2020. significantly to nonattainment of the of the Boardman Plant. The State Based on this analysis, as well as the 2010 SO2 NAAQS in the area in Oregon recommended EPA designate the area modeling results for the area around the surrounding the PGE Boardman facility. around the Boardman Plant as Boardman plant and the federally This spatial analysis of point sources unclassifiable/attainment. EPA agreed enforceable emissions reductions within 50 km of the Washington border, and designated the entire State of planned for the facility, we propose to including available modeling results, Oregon attainment/unclassifiable for the weighed along with the other factors in 2010 SO2 NAAQS (83 FR 1098, January Hour SO2 Primary National Ambient Air Quality 27 this document, support EPA’s proposed 9, 2018). Standard for Oregon at https://www.epa.gov/sites/ production/files/2017-08/documents/34_or_so2_ conclusion that sources in Washington 26 See Technical Support Document: Chapter 34 rd3-final.pdf. will not adversely impact air quality so Final Round 3 Area Designations for the 2010 1- 27 See 40 CFR 81.338. as to significantly contribute to

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nonattainment of the 2010 1-hour SO2 As described in the Washington and Oregon, taken along with the other NAAQS in any other state. Furthermore, Department of Ecology submission and factors considered in this document EPA does not have any evidence of any summarized in Section II of this support EPA’s proposed conclusion that violations of the 2010 1-hour SO2 preamble, there are multiple provisions there will be no interference with NAAQS in the neighboring states to in the Washington SIP designed to maintenance of the 2010 SO2 NAAQS in which SO2 emissions from Washington control and limit SO2 emissions from neighboring states from sources in could significantly contribute. existing Washington sources. Future Washington. Based on our weight of Based on our review of the stationary sources of SO2 emissions are evidence analysis, we propose to Washington submission and our weight subject to Washington’s SIP-approved conclude that sources in Washington of evidence analysis, we propose to pre-construction permitting program, will not interfere with maintenance of conclude that sources in Washington also known as New Source Review. New the 2010 SO2 NAAQS in any other state, will not significantly contribute to Source Review for major stationary per the requirements of CAA section nonattainment of the 2010 SO2 NAAQS sources in areas designated 110(a)(2)(D)(i)(I). nonattainment for the 2010 SO2 NAAQS in any other state, per the requirements V. Proposed Action of CAA section 110(a)(2)(D)(i)(I). is called nonattainment New Source Review (NNSR) and requires lowest As discussed in Section III of this B. Prong 2 Evaluation achievable emission rates and offsets in preamble, Washington concluded that Prong 2 of CAA section accordance with the SIP-approved SO2 emissions from the State will not 110(a)(2)(D)(i)(I) requires an evaluation NNSR program for Washington State. significantly contribute to of the potential impact of a state’s New Source Review for major stationary nonattainment or interfere with emissions on areas in other states that sources in attainment and unclassifiable maintenance of the 2010 SO2 NAAQS in may have trouble attaining and areas is called Prevention of Significant any other state. EPA’s analysis, maintaining the NAAQS in the future. Deterioration (PSD) and requires that discussed in Section IV of this Approval of a SIP for prong 2 requires best available control technology be preamble, confirms this finding. applied to any new major source or a conclusion that SO2 emissions from Therefore, we are proposing to approve the State’s sources will not interfere major modification of a major source. the Washington SIP as meeting CAA with maintenance of the 2010 1-hour Washington’s SIP-approved PSD section 110(a)(2)(D)(i)(I) requirements program requires that new or modified SO2 NAAQS in another state. for the 2010 SO2 NAAQS. Our prong 2 evaluation for major sources in attainment and unclassifiable areas do not interfere VI. Statutory and Executive Order Washington builds on our analysis Reviews regarding significant contribution to with maintenance in any other state, in Under the CAA, the Administrator is nonattainment (prong 1). Specifically, as accordance with federal regulations set required to approve a SIP submission explained in Section IV.A of this forth in 40 CFR 51.165(b)(1). See 40 CFR 52.2497. that complies with the provisions of the preamble, we have a sufficient basis to Turning to minor sources, such CAA and applicable Federal conclude that there are no NAAQS sources are covered by the State’s SIP- regulations.28 Thus, in reviewing SIP violations in other states near their approved minor new source review submissions, EPA’s role is to approve shared borders with Washington (Idaho permitting program. In accordance with state choices, provided that they meet and Oregon) and accordingly, we are 40 CFR 51.160 through 164, subject the criteria of the CAA. Accordingly, proposing that sources in Washington sources may not interfere with this proposed action merely approves are not significantly contributing to a attainment or maintenance of the state law as meeting Federal violation of the NAAQS in any of those NAAQS. We note that the neighboring requirements and does not impose states. As explained in this section, we states of Idaho and Oregon also have additional requirements beyond those also have a sufficient basis for SIP-approved PSD and minor source imposed by state law. For that reason, concluding that SO emissions from 2 permitting programs. See 40 CFR 52.683 this proposed action: sources in Washington and other states and 52.1987, respectively. The • Is not a ‘‘significant regulatory near their shared borders are highly permitting regulations contained within action’’ subject to review by the Office unlikely to increase sufficiently to alter these programs are designed to ensure of Management and Budget under this situation. Therefore, we are that ambient concentrations of SO2 in Executive Orders 12866 (58 FR 51735, proposing to find that SO2 levels in the neighboring states of Idaho or October 4, 1993) and 13563 (76 FR 3821, neighboring states (Idaho and Oregon) Oregon are not exceeded as a result of January 21, 2011); near the Washington border will new facility construction or • Is not an Executive Order 13771 (82 continue to be at or below the level of modifications occurring in the near- FR 9339, February 2, 2017) regulatory the SO2 NAAQS. border areas of these states. action because actions such as SIP As presented in Table 4 in Section In conclusion, for interstate transport approvals are exempted under IV.A of this preamble, SO2 emissions prong 2, EPA has incorporated Executive Order 12866; from larger point sources in Washington additional information about emissions • Does not impose an information have decreased by approximately 30 trends as well as the technical collection burden under the provisions percent between 2008 and 2017. This information considered for interstate of the Paperwork Reduction Act (44 information on point source SO2 transport prong 1, into our evaluation of U.S.C. 3501 et seq.); emissions trends does not by itself Washington’s submission, which did • Is certified as not having a demonstrate that SO2 emissions in the not include an independent analysis of significant economic impact on a near-border areas in Washington and prong 2. We find that the large distances substantial number of small entities neighboring states will not impact between cross-state SO2 sources, under the Regulatory Flexibility Act (5 neighboring states. However, as a combined with an overall reduction in U.S.C. 601 et seq.); component of our weight of evidence SO2 emissions from larger Washington • Does not contain any unfunded analysis for prong 2, it provides an sources and SIP-approved measures mandate or significantly or uniquely indication that such an increase is designed to control and limit emissions unlikely. from SO2 sources in Washington, Idaho, 28 42 U.S.C. 7410(k); 40 CFR 52.02(a).

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affect small governments, as described SUMMARY: The Environmental Protection performance for certain existing sources. in the Unfunded Mandates Reform Act Agency (EPA) is proposing to approve Air pollutants included under this of 1995 (Pub. L. 104–4); negative declarations submitted to section are those which have not • Does not have federalism satisfy the requirements of the Emission already been established as air quality implications as specified in Executive Guidelines and Compliance Times for criteria pollutants via 42 U.S.C. 7408(a) Order 13132 (64 FR 43255, August 10, Municipal Solid Waste Landfills for the or hazardous air pollutants via 42 U.S.C. 1999); City of Philadelphia, located in the 7412. Section 111(d)(1) requires states to • Is not an economically significant Commonwealth of Pennsylvania, and submit to EPA for approval a plan that regulatory action based on health or the District of Columbia. The negative establishes standards of performance. safety risks subject to Executive Order declarations certify that there are no The plan must provide that the state 13045 (62 FR 19885, April 23, 1997); existing municipal solid waste landfills will implement and enforce the • Is not a significant regulatory action in the City of Philadelphia or the standards of performance. A Federal subject to Executive Order 13211 (66 FR District of Columbia that are subject to plan is prescribed if a state does not 28355, May 22, 2001); the requirements of 40 CFR part 60 submit a state-specific plan or the • Is not subject to requirements of subpart Cf. submitted plan is disapproved. If a state Section 12(d) of the National DATES: Written comments must be has no designated facilities for a Technology Transfer and Advancement received on or before August 26, 2020. standards of performance source Act of 1995 (15 U.S.C. 272 note) because ADDRESSES: Submit your comments, category, it may submit a negative application of the requirements would identified by Docket ID No. EPA–R03– declaration in lieu of a state plan for be inconsistent with the Clean Air Act; OAR–2019–0678 at https:// that source category according to 40 and www.regulations.gov, or via email to CFR 60.23a(b) and 62.06. • Does not provide EPA with the [email protected]. For comments II. Municipal Solid Waste Landfill discretionary authority to address, as submitted at Regulations.gov, follow the Regulations appropriate, disproportionate human online instructions for submitting health or environmental effects, using comments. Once submitted, comments A municipal solid waste (MSW) practicable and legally permissible cannot be edited or removed from landfill is defined in 40 CFR 60.41f as, methods, under Executive Order 12898 Regulations.gov. For either manner of ‘‘an entire disposal facility in a (59 FR 7629, February 16, 1994). submission, EPA may publish any contiguous geographical space where In addition, this proposed action does comment received to its public docket. household waste is placed in or on land.’’ Other substances may be placed not apply on any Indian reservation Do not submit electronically any in the landfill which are regulated land or in any other area where EPA or information you consider to be under the Resource Conservation and an Indian tribe has demonstrated that a confidential business information (CBI) Recovery Act (RCRA) subtitle D, 40 CFR tribe has jurisdiction. In those areas of or other information whose disclosure is 257.2. MSW landfills emit gases Indian country, the rule does not have restricted by statute. Multimedia generated by the decomposition of tribal implications as specified by submissions (audio, video, etc.) must be organic compounds or evolution of new Executive Order 13175 (65 FR 67249, accompanied by a written comment. organic compounds from the deposited November 9, 2000). The written comment is considered the waste. EPA regulations specifically official comment and should include List of Subjects in 40 CFR Part 52 delineate measures to control methane discussion of all points you wish to and nonmethane organic compound Environmental protection, Air make. EPA will generally not consider (NMOC) emissions, which can adversely pollution control, Incorporation by comments or comment contents located impact public health. reference, Intergovernmental relations, outside of the primary submission (i.e. The Emission Guidelines and Sulfur dioxide, Reporting and on the web, cloud, or other file sharing Compliance Times for Municipal Solid recordkeeping requirements. system). For additional submission Waste Landfills, as codified at 40 CFR Authority: 42 U.S.C. 7401 et seq. methods, please contact the person part 60 subpart Cf (subpart Cf, or identified in the FOR FURTHER Dated: July 10, 2020. Emission Guidelines) apply to states INFORMATION CONTACT section. For the with MSW landfills that accepted waste Michelle Pirzadeh, full EPA public comment policy, Acting Regional Administrator, Region 10. after , 1987 and commenced information about CBI or multimedia construction, reconstruction, or [FR Doc. 2020–15399 Filed 7–24–20; 8:45 am] submissions, and general guidance on modification before , 2014. Such BILLING CODE 6560–50–P making effective comments, please visit landfills are considered to be ‘‘existing’’ https://www.epa.gov/dockets/ landfills. In states with facilities commenting-epa-dockets. meeting the applicability criteria of an ENVIRONMENTAL PROTECTION FOR FURTHER INFORMATION CONTACT: AGENCY existing MSW landfill, the Matthew Willson, Permits Branch Administrator of an air quality program 40 CFR Part 62 (3AD10), Air & Radiation Division, U.S. must submit a state plan to EPA that Environmental Protection Agency, implements the Emission Guidelines. [EPA–R03–OAR–2019–0678; FRL–10011– Region III, 1650 Arch Street, The City of Philadelphia Air 93–Region 3] Philadelphia, Pennsylvania 19103. The Management Services (AMS) and the telephone number is (215) 814–5795. District of Columbia Department of Approval and Promulgation of State Mr. Willson can also be reached via Energy and Environment (DOEE) have Plans for Designated Facilities and electronic mail at Willson.Matthew@ determined that there are no MSW Pollutants: City of Philadelphia and epa.gov. landfills in their respective jurisdictions District of Columbia SUPPLEMENTARY INFORMATION: subject to Federal CAA landfill AGENCY: regulations pursuant to part 40 CFR part Environmental Protection I. Background Agency (EPA). 60 subpart Cf. AMS and DOEE have Section 111(d) of the Clean Air Act submitted negative declarations to EPA ACTION: Proposed rule. (CAA) establishes standards of on , 2018 and November 15,

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2019, respectively, pursuant to the • Is not an economically significant Macalloy Corporation Superfund Site requirements at 40 CFR 60.23a(b) and regulatory action based on health or (Site) located at 1800 Pittsburgh 62.06, certifying that there are no safety risks subject to Executive Order Avenue, North Charleston, South existing source MSW landfills in their 13045 (62 FR 19885, April 23, 1997); Carolina 29405 from the National respective jurisdictions subject to the • Is not a significant regulatory action Priorities List (NPL) and requests public requirements of 40 CFR part 60 subpart subject to Executive Order 13211 (66 FR comments on this proposed action. The Cf. A typographical error in the letter 28355, May 22, 2001); NPL, promulgated pursuant to section from AMS was noted and clarified by • Is not subject to requirements of 105 of the Comprehensive Philadelphia AMS in an email on May section 12(d) of the National Environmental Response, 1, 2020 Technology Transfer and Advancement Compensation, and Liability Act Act of 1995 (15 U.S.C. 272 note) because (CERCLA) of 1980, as amended, is an III. Proposed Action application of those requirements would appendix of the National Oil and EPA is proposing to approve the City be inconsistent with the Clean Air Act; Hazardous Substances Pollution of Philadelphia’s and the District of and Contingency Plan (NCP). The EPA and • Columbia’s negative declarations. The Does not provide EPA with the the State of South Carolina, through the negative declarations satisfy the discretionary authority to address, as South Carolina Department of Health requirements of 40 CFR 60.23a(b) and appropriate, disproportionate human and Environmental Control (SCDHEC), 62.06, serving in lieu of a CAA 111(d) health or environmental effects, using have determined that all appropriate state plan for existing MSW landfills. practicable and legally permissible response actions at these identified EPA is soliciting public comments on methods, under Executive Order 12898 parcels under CERCLA, other than the issues discussed in this document. (59 FR 7629, February 16, 1994). groundwater monitoring and five-year These comments will be considered In addition, this proposed reviews, have been completed. before taking final action. rulemaking, certifying that there are no However, this deletion does not existing municipal solid waste landfills preclude future actions under IV. Statutory and Executive Order that are subject to the requirements of Superfund. This partial deletion Reviews 40 CFR part 60 subpart Cf in the City of pertains to 134-acres. The remaining 6- Under the CAA, the Administrator is Philadelphia or the District of Columbia, acres with groundwater concentrations required to approve a 111(d) plan does not have tribal implications as above the 100 ug/L Maximum submission that complies with the specified by Executive Order 13175 (65 Contaminant Level (MCL) for total provisions of the CAA and applicable FR 67249, November 9, 2000), because chromium will remain on the NPL and Federal regulations (40 CFR 62.04). the SIP is not approved to apply in is not being considered for deletion as Thus, in reviewing 111(d) plan Indian country located in the State, and part of this action. EPA notes that it will not impose submissions, EPA’s role is to approve DATES: Comments must be received by substantial direct costs on tribal state choices, provided that they meet August 26, 2020. governments or preempt tribal law. the criteria of the CAA. Accordingly, ADDRESSES: Submit your comments, this action merely approves state law as List of Subjects in 40 CFR Part 62 identified by Docket ID no. EPA–HQ– meeting Federal requirements and does SFUND–2000–0006, by one of the not impose additional requirements Environmental protection, Administrative practice and procedure, following methods: beyond those imposed by state law. For • https://www.regulations.gov. that reason, this proposed action: Air pollution control, Intergovernmental relations, Reporting and recordkeeping Follow on-line instructions for • Is not a significant regulatory action requirements. submitting comments. Once submitted, subject to review by the Office of comments cannot be edited or removed Management and Budget under Dated: July 13, 2020. from Regulations.gov. The EPA may Executive Orders 12866 (58 FR 51735, Cosmo Servidio, publish any comment received to its October 4, 1993) and 13563 (76 FR 3821, Regional Administrator, Region III. public docket. Do not submit January 21, 2011); [FR Doc. 2020–15649 Filed 7–24–20; 8:45 am] electronically any information you • Is not an Executive Order 13771 BILLING CODE 6560–50–P consider to be Confidential Business regulatory action because this action is Information (CBI) or other information not significant under Executive Order whose disclosure is restricted by statute. 12866; ENVIRONMENTAL PROTECTION Multimedia submissions (audio, video, • Does not impose an information AGENCY etc.) must be accompanied by a written collection burden under the provisions comment. The written comment is 40 CFR Part 300 of the Paperwork Reduction Act (44 considered the official comment and U.S.C. 3501 et seq.); [EPA–HQ–SFUND–2000–0006; FRL–10011– should include discussion of all points • Is certified as not having a 89–Region 4] you wish to make. The EPA will significant economic impact on a generally not consider comments or substantial number of small entities National Oil and Hazardous comment contents located outside of the under the Regulatory Flexibility Act (5 Substances Pollution Contingency primary submission (i.e. on the web, U.S.C. 601 et seq.); Plan; National Priorities List: Partial cloud, or other file sharing system). For • Does not contain any unfunded Deletion of the Macalloy Corporation additional submission methods, the full mandate or significantly or uniquely Superfund Site EPA public comment policy, affect small governments, as described AGENCY: Environmental Protection information about CBI or multimedia in the Unfunded Mandates Reform Act Agency (EPA). submissions, and general guidance on of 1995 (Pub. L. 104–4); ACTION: Proposed rule. making effective comments, please visit • Does not have Federalism https://www2.epa.gov/dockets/ implications as specified in Executive SUMMARY: The Environmental Protection commenting-epa-dockets. Order 13132 (64 FR 43255, August 10, Agency (EPA) Region 4 is proposing to • Email: [email protected] 1999); Delete 134-acres of the 140-acre (Remedial Project Manager).

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• Following Centers for Disease restricted by statute. Certain other 1995). As described in 300.425(e)(3) of Control and Prevention (CDC) and material, such as copyrighted material, the NCP, a portion of a site deleted from Office of Policy Management (OPM) will be publicly available only in the the NPL remains eligible for Fund- guidance and specific state guidelines hard copy. Publicly available docket financed remedial action if future impacting our regional offices, EPA’s materials are available electronically in conditions warrant such actions. workforce has been authorized to https://www.regulations.gov. EPA will accept comments on the telework to help prevent transmission of The EPA is temporarily suspending proposal to partially delete this site for the coronavirus [COVID–19]. As a result its Docket Center and Regional Records thirty (30) days after publication of this there is a temporary shutdown of EPA’s Centers for public visitors to reduce the document in the Federal Register. risk of transmitting COVID–19. In Docket Center and EPA Regional Section II of this preamble explains Records Centers. While in this addition, many site information the criteria for deleting sites from the workforce telework status, there are repositories are closed and information NPL. Section III of this preamble practical limitations on the ability of in these repositories, including the discusses procedures that EPA is using staff to collect, and for Agency deletion docket, has not been updated for this action. Section IV of this personnel to respond to, ‘‘hard copy’’ with hardcopy or electronic media. For preamble discusses where to access and mailed queries sent directly to Agency further information and updates on EPA review information that demonstrates office locations. Therefore, until the Docket Center services, please visit us how the deletion criteria have been met workforce is able to return to office online at https://www.epa.gov/dockets. for 134-acres of the 140-acre Macalloy locations, EPA recommends that, to the The EPA continues to carefully and Corporation Superfund Site. extent feasible, any correspondence continuously monitor information from mailed to the Agency should also be the Centers for Disease Control and II. NPL Deletion Criteria sent via email. Prevention (CDC), local area health Instructions: Direct your comments to departments, and our Federal partners The NCP establishes the criteria that Docket ID no. EPA–HQ–SFUND–2000– so that we can respond rapidly as EPA uses to delete sites from the NPL. 0006. EPA’s policy is that all comments conditions change regarding COVID–19. In accordance with 40 CFR 300.425(e), received will be included in the public FOR FURTHER INFORMATION CONTACT: sites may be deleted from the NPL docket without change and may be Craig Zeller, P.E., Remedial Project where no further response is made available online at https:// Manager, U.S. Environmental Protection appropriate. In making such a www.regulations.gov, including any Agency, Region 4, Superfund & determination pursuant to 40 CFR personal information provided, unless Emergency Management Division, 61 300.425(e), EPA will consider, in the comment includes information Forsyth Street SW, Atlanta, GA 30303, consultation with the State, whether any claimed to be Confidential Business (404) 562–8827, email: Zeller.Craig@ of the following criteria have been met: Information (CBI) or other information epa.gov. i. Responsible parties or other persons whose disclosure is restricted by statute. SUPPLEMENTARY INFORMATION: have implemented all appropriate Do not submit information that you response actions required; consider to be CBI or otherwise Table of Contents ii. all appropriate Fund-financed protected through https:// I. Introduction response under CERCLA has been www.regulations.gov or email. The II. NPL Deletion Criteria implemented, and no further response https://www.regulations.gov website is III. Deletion Procedures action by responsible parties is an ‘‘anonymous access’’ system, which IV. Basis for Partial Site Deletion appropriate; or means EPA will not know your identity I. Introduction iii. the remedial investigation has or contact information unless you EPA Region 4 announces its intent to shown that the release poses no provide it in the body of your comment. significant threat to public health or the If you send an email comment directly delete 134-acres of the 140-acre environment and, therefore, the taking to EPA without going through https:// Macalloy Corporation Superfund Site of remedial measures is not appropriate. www.regulations.gov, your email (Site), from the National Priorities List address will be automatically captured (NPL) and request public comment on Pursuant to CERCLA section 121(c) and included as part of the comment this proposed action. The NPL and the NCP, EPA conducts five-year that is placed in the public docket and constitutes Appendix B of 40 CFR part reviews to ensure the continued made available on the internet. If you 300 which is the National Oil and protectiveness of remedial actions submit an electronic comment, EPA Hazardous Substances Pollution where hazardous substances, pollutants, recommends that you include your Contingency Plan (NCP), which EPA or contaminants remain at a site above name and other contact information in promulgated pursuant to section 105 of levels that allow for unlimited use and the body of your comment and with any the Comprehensive Environmental unrestricted exposure. EPA conducts disk or CD–ROM you submit. If EPA Response, Compensation and Liability such five-year reviews even if a site is cannot read your comment due to Act (CERCLA) of 1980, as amended. deleted from the NPL. EPA may initiate technical difficulties and cannot contact EPA maintains the NPL as those sites further action to ensure continued you for clarification, EPA may not be that appear to present a significant risk protectiveness at a deleted site if new able to consider your comment. to public health, welfare, or the information becomes available that Electronic files should avoid the use of environment. Sites on the NPL may be indicates it is appropriate. Whenever special characters, any form of the subject of remedial actions financed there is a significant release from a site encryption, and be free of any defects or by the Hazardous Substance Superfund deleted from the NPL, the deleted site viruses. (Fund). This partial deletion of the may be restored to the NPL without Docket: All documents in the docket Macalloy Corporation Superfund Site is application of the hazard ranking are listed in the https:// proposed in accordance with 40 CFR system. www.regulations.gov index. Although 300.425(e) and is consistent with the III. Deletion Procedures listed in the index, some information is Notice of Policy Change: Partial not publicly available, e.g., CBI or other Deletion of Sites Listed on the National The following procedures apply to information whose disclosure is Priorities List. 60 FR 55466 (Nov. 1, deletion of 134-acres of the Site:

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(1) EPA consulted with the State IV. Basis for Partial Site Deletion that all appropriate response actions before developing this Notice of Intent The EPA placed copies of documents under CERCLA, other than operation for Partial Deletion. supporting the proposed partial deletion and maintenance, monitoring (2) EPA has provided the state 30 in the deletion docket. The material institutional controls, and five-year working days for review of this action provides explanation of EPA’s rationale reviews, have been completed at the prior to publication of it today. for the partial deletion and Scrap Processing Site. However, this (3) In accordance with the criteria deletion does not preclude future discussed above, EPA has determined demonstrates how it meets the deletion criteria. This information is made actions under Superfund. that no further response is appropriate. DATES: Comments must be received by (4) The State of South Carolina, available for public inspection in the August 26, 2020. through the South Carolina Department docket identified above. ADDRESSES: Submit your comments, of Health and Environmental Control List of Subjects in 40 CFR Part 300 has concurred with the deletion of 134- identified by Docket ID No. EPA–HQ– acres of the 140-acre Macalloy Environmental protection, Air SFUND–2005–0011, by one of the pollution control, Chemicals, Hazardous following methods: Corporation Superfund Site, from the • NPL. waste, Hazardous substances, https://www.regulations.gov (our (5) Concurrently, with the publication Intergovernmental relations, Penalties, preferred method). Follow the of this Notice of Intent for Partial Reporting and recordkeeping instructions for submitting comments. Deletion in the Federal Register, a requirements, Superfund, Water Once submitted, comments cannot be notice is being published in a major pollution control, Water supply. edited or removed from Regulations.gov. local newspaper, The Charleston Post & Authority: 33 U.S.C.1251 et seq; 42 U.S.C. EPA may publish any comment received Courier. The newspaper announces the 9601–9657; E.O. 13626, 77 FR 56749, 3 CFR, to its public docket. Do not submit 30-day public comment period 2013 Comp., p. 306; E.O. 12777, 56 FR 54757, electronically any information you concerning the Notice of Intent for 3 CFR, 1991 Comp., p. 351; E.O. 12580, 52 consider to be Confidential Business Partial Deletion of the Site from the FR 2923, 3 CFR, 1987 Comp., p. 193. Information (CBI) or other information NPL. Dated: July 16, 2020. whose disclosure is restricted by statute. (6) The EPA placed copies of Mary Walker, Multimedia submissions (audio, video, documents supporting the proposed Regional Administrator, Region 4. etc.) must be accompanied by a written partial deletion in the deletion docket, comment. The written comment is [FR Doc. 2020–16066 Filed 7–24–20; 8:45 am] made these items available for public considered the official comment and inspection, and copying at the Site BILLING CODE 6560–50–P should include discussion of all points information repositories identified you wish to make. EPA will generally above. ENVIRONMENTAL PROTECTION not consider comments or comment If comments are received within the AGENCY contents located outside of the primary 30-day comment period on this submission (i.e., on the web, cloud, or document, EPA will evaluate and 40 CFR Part 300 other file sharing system). For respond accordingly to the comments additional submission methods, the full before making a final decision to delete [EPA–HQ–SFUND–2005–0011; FRL–10012– EPA public comment policy, the 134 acre parcel. If necessary, EPA 62–Region 5] information about CBI or multimedia will prepare a Responsiveness Summary National Oil and Hazardous submissions, and general guidance on to address any significant public Substances Pollution Contingency making effective comments, please visit comments received. After the public Plan; National Priorities List: Deletion https://www.epa.gov/dockets/ comment period, if EPA determines it is commenting-epa-dockets. of the Scrap Processing Co., Inc. • still appropriate to delete 134-acres of Superfund Site Email: Deletions@ the 140- acre Macalloy Corporation usepa.onmicrosoft.com. Superfund Site, the Regional AGENCY: Environmental Protection Written comments submitted by mail Administrator will publish a final Agency (EPA). are temporarily suspended and no hand Notice of Partial Deletion in the Federal ACTION: Proposed rule; notification of deliveries will be accepted. We Register. Public notices, public intent. encourage the public to submit submissions and copies of the comments via email or at https:// Responsiveness Summary, if prepared, SUMMARY: The Environmental Protection www.regulations.gov. will be made available to interested Agency (EPA) Region 5 is issuing a Instructions: Direct your comments to parties and included in the site Notification of Intent to Delete the Scrap Docket ID No. EPA–HQ–SFUND–2005– information repositories listed above. Processing Co., Inc. Superfund Site 0011. EPA’s policy is that all comments Deletion of a portion of a site from the (Scrap Processing Site or Site) located in received will be included in the public NPL does not itself create, alter, or Medford, Wisconsin, from the National docket without change and may be revoke any individual’s rights or Priorities List (NPL) and requests public made available online at https:// obligations. Deletion of a portion of a comments on this proposed action. The www.regulations.gov, including any site from the NPL does not in any way NPL, promulgated pursuant to Section personal information provided, unless alter EPA’s right to take enforcement 105 of the Comprehensive the comment includes information actions, as appropriate. The NPL is Environmental Response, claimed to be Confidential Business designed primarily for informational Compensation, and Liability Act Information (CBI) or other information purposes and to assist EPA (CERCLA) of 1980, as amended, is an whose disclosure is restricted by statute. management. Section 300.425(e)(3) of appendix of the National Oil and Do not submit information that you the NCP states that the deletion of a site Hazardous Substances Pollution consider to be CBI or otherwise from the NPL does not preclude Contingency Plan (NCP). The EPA and protected through https:// eligibility for future response actions, the State of Wisconsin, through the www.regulations.gov or email. The should future conditions warrant such Wisconsin Department of Natural https://www.regulations.gov website is actions. Resources (WDNR), have determined an ‘‘anonymous access’’ system, which

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means EPA will not know your identity Coordinator, U.S. Environmental ACTION: Petition for Reconsideration or contact information unless you Protection Agency Region 5, at (312) Dismissed. provide it in the body of your comment. 886–1843 or via email at If you send an email comment directly [email protected]. SUMMARY: In this document, the Office to EPA without going through https:// SUPPLEMENTARY INFORMATION: In the of Engineering and Technology www.regulations.gov, your email ‘‘Rules and Regulations’’ Section of this dismisses Encina Communications address will be automatically captured issue of the Federal Register, we are Corporation’s Petition for and included as part of the comment publishing a direct final Notification of Reconsideration for the final rule that is placed in the public docket and Deletion of the Scrap Processing Site published in the Federal Register on made available on the internet. If you without prior Notification of Intent to , 2020. A Petition for submit an electronic comment, EPA Delete because EPA views this as a Reconsideration of this order must have recommends that you include your noncontroversial revision and been filed within thirty days, i.e. on or name and other contact information in anticipates no adverse comment(s). We by , 2020, to be considered the body of your comment and with any have explained our reasons for this disk or CD–ROM you submit. If EPA deletion in the preamble to the direct timely. However, the Petition was filed cannot read your comment due to final Notification of Deletion, and those on , 2020, four days late. We technical difficulties and cannot contact reasons are incorporated herein. If we therefore dismiss it. you for clarification, EPA may not be receive no adverse comment(s) on this DATES: Request for Petition of able to consider your comment. deletion action, we will not take further Reconsideration for the document Electronic files should avoid the use of action on this Notification of Intent to published at 85 FR 31390, May 26, special characters, any form of Delete. If we receive adverse 2020, denied July 13, 2020. encryption, and be free of any defects or comment(s), we will withdraw the viruses. direct final Notification of Deletion, and ADDRESSES: Federal Communications Docket: All documents in the docket it will not take effect. We will, as Commission, 445 12th Street SW, are listed in the https:// appropriate, address all public Washington, DC 20554. www.regulations.gov index, Docket ID comments in a subsequent final FOR FURTHER INFORMATION CONTACT: No. EPA–HQ–SFUND–2005–0011. Notification of Deletion based on this Although listed in the index, some Notification of Intent to Delete. We will Nicholas Oros, Office of Engineering information is not publicly available, not institute a second comment period and Technology, 202–418–0636, e.g., CBI or other information whose on this Notification of Intent to Delete. [email protected]. disclosure is restricted by statute. Any parties interested in commenting SUPPLEMENTARY INFORMATION: This is a Certain other material, such as must do so at this time. summary of the Commission’s copyrighted material, will be publicly For additional information, see the Memorandum Opinion and Order, ET available only in hard copy. Publicly direct final Notification of Deletion Docket No. 18–295, GN Docket No. 17– which is located in the Rules section of available docket materials are available 183, DA 20–730, adopted July 13, 2020, this issue of the Federal Register. electronically at https:// and released July 13, 2020. The full text www.regulations.gov, Docket ID No. List of Subjects in 40 CFR Part 300 of this document is available for EPA–HQ–SFUND–2005–0011 and at inspection and copying during normal https://www.epa.gov/superfund/scrap- Environmental protection, Air business hours in the FCC Reference processing or you may contact the pollution control, Chemicals, Hazardous Center (Room CY–A257), 445 12th person in the FOR FURTHER INFORMATION substances, Hazardous waste, CONTACT section for additional Intergovernmental relations, Penalties, Street SW, Washington, DC 20554. The availability information. Reporting and recordkeeping full text may also be downloaded at: The EPA is temporarily suspending requirements, Superfund, Water https://www.fcc.gov/document/oet- its Docket Center and Regional Records pollution control, Water supply. dismisses-encina-communications- Centers for public visitors to reduce the Authority: 33 U.S.C. 1251 et seq. petition-reconsideration. People with risk of transmitting COVID–19. In Dated: July 22, 2020. Disabilities: To request materials in addition, many site information Kurt Thiede, accessible formats for people with disabilities (braille, large print, repositories are closed and information Regional Administrator, Region 5. in these repositories, including the electronic files, audio format), send an [FR Doc. 2020–16247 Filed 7–24–20; 8:45 am] deletion docket, has not been updated email to [email protected] or call the BILLING CODE 6560–50–P with hardcopy or electronic media. For Consumer & Governmental Affairs further information and updates on EPA Bureau at 202–418–0530 (voice), 202– Docket Center services, please visit us 418–0432 (tty). online at https://www.epa.gov/dockets. FEDERAL COMMUNICATIONS The EPA continues to carefully and COMMISSION Federal Communications Commission. continuously monitor information from Ronald T. Repasi, 47 CFR Part 15 the Centers for Disease Control and Acting Chief, Office of Engineering and Prevention (CDC), local area health [ET Docket No. 18–295, GN Docket No. 17– Technology. departments, and our Federal partners 183; DA 20–730; FRS 16942] [FR Doc. 2020–16153 Filed 7–24–20; 8:45 am] so that we can respond rapidly as BILLING CODE 6712–01–P conditions change regarding COVID–19. Unlicensed Use of the 6 GHz Band FOR FURTHER INFORMATION CONTACT: AGENCY: Federal Communications Karen Cibulskis, NPL Deletion Commission.

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Notices Federal Register Vol. 85, No. 144

Monday, July 27, 2020

This section of the FEDERAL REGISTER with hearing impairments may also will convene by conference call on contains documents other than rules or follow the proceedings by first calling Thursday, , 2020 at 12:00 p.m. proposed rules that are applicable to the the Federal Relay Service at 1–800–877– The purpose of the meeting is to review public. Notices of hearings and investigations, 8339 and providing the Service with the a statement of concern to update the committee meetings, agency decisions and conference call number and conference Commission on the committee’s 2018 rulings, delegations of authority, filing of petitions and applications and agency ID number. Sectarian Aid report. Members of the public are also statements of organization and functions are DATES: Thursday, August 6, 2020 at entitled to submit written comments; examples of documents appearing in this 12:00 p.m. (MDT). section. the comments must be received in the regional office within 30 days following Public Call-In Information: 1–800– the meeting. Written comments may be 367–2403; Conference ID: 9800799. COMMISSION ON CIVIL RIGHTS emailed to Carolyn Allen at callen@ FOR FURTHER INFORMATION CONTACT: usccr.gov in the Regional Program Unit Barbara Delaviez, [email protected] or by Notice of Public Meeting of the Illinois Office/Advisory Committee phone at 202–539–8246. Advisory Committee Management Unit. Persons who desire SUPPLEMENTARY INFORMATION: Interested AGENCY: U.S. Commission on Civil additional information may contact the members of the public may listen to the Rights. Regional Program Unit at 202–499– discussion by calling the following toll- 4066. ACTION: free conference call number: 1–800– Announcement of meeting. Records generated from this meeting 367–2403; Conference ID: 9800799. SUMMARY: Notice is hereby given, may be inspected and reproduced at the Please be advised that, before being pursuant to the provisions of the rules Chicago office, as they become placed into the conference call, the and regulations of the U.S. Commission available, both before and after the conference call operator will ask callers on Civil Rights and the Federal meeting. Records of the meeting will be to provide their names, their Advisory Committee Act that the available via https://www.faca organizational affiliations (if any), and Illinois Advisory Committee database.gov/FACA/FACAPublicView email addresses (so that callers may be (Committee) will hold a meeting via CommitteeDetails?id=a10t0000001 notified of future meetings). Callers can teleconference on Tuesday, , gzlZAAQ under the Commission on expect to incur charges for calls they 2020 at 1:00 p.m. Central Time, the Civil Rights, Illinois Advisory initiate over wireless lines, and the purpose of the meeting is to review the Committee link. Persons interested in draft report on Fair Housing in Illinois. the work of this Committee are directed Commission will not refund any incurred charges. Callers will incur no DATES: The meeting will be held on to the Commission’s website, http:// www.usccr.gov, or may contact the charge for calls they initiate over land- Tuesday, August 4, 2020 at 1:00 p.m. line connections to the toll-free Central Time. Chicago Office at the above email or telephone number provided. Public Call Information: Dial: 800– phone number. Persons with hearing impairments 367–2403, Conference ID: 1987018. Agenda FOR FURTHER INFORMATION CONTACT: may also follow the discussion by first David Barreras, Designated Federal I. Welcome and Roll Call calling the Federal Relay Service at 1– II. Discussion of draft report on Fair Official, at [email protected] or 202– 800–877–8339 and providing the Housing in Illinois 499–4066. operator with the toll-free conference III. Public Comment call number: 1–800–367–2403; SUPPLEMENTARY INFORMATION: Members IV. Adjournment Conference ID: 9800799. of the public may listen to the discussion. This meeting is available to Dated: July 22, 2020. Members of the public are invited to the public through the call in David Mussatt, make statements during the open information listed above. Any interested Supervisory Chief, Regional Programs Unit. comment period of the meeting or email member of the public may call this [FR Doc. 2020–16194 Filed 7–24–20; 8:45 am] written comments. Written comments number and listen to the meeting. An BILLING CODE 6335–01–P may be emailed to Barbara Delaviez at open comment period will be provided [email protected] approximately 30 days to allow members of the public to make after each scheduled meeting. Persons a statement to the Committee as time COMMISSION ON CIVIL RIGHTS who desire additional information may allows. The conference call operator also contact Barbara Delaviez at (202) will ask callers to identify themselves, Agenda and Notice of Public Meeting 539–8246. the organization they are affiliated with of the Colorado Advisory Committee Records and documents discussed (if any), and an email address prior to AGENCY: Commission on Civil Rights. during the meeting will be available for placing callers into the conference ACTION: Announcement of meeting. public viewing as they become available room. 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Agenda: Thursday, August 6, 2020 at the toll-free telephone number. Persons DATES: The meeting will be held on 12:00 p.m. (MDT) with hearing impairments may also Friday, August 21, 2020, from 1:00–2:00 I. Roll Call follow the proceedings by first calling p.m. EST. II. Review Statement of Concern the Federal Relay Service at 1–800–877– Public Call Information: Dial: (800) Regarding 2018 Sectarian Aid 8339 and providing the Service with the 367–2403; Conference ID: 7109728. conference call number and conference Report FOR FURTHER INFORMATION CONTACT: III. Next Steps ID number. Members of the public are also Mallory Trachtenberg, Designated IV. Other Business entitled to submit written comments; Federal Officer (DFO), at V. Open Comment the comments must be received in the [email protected] or 202–809– VI. Adjournment regional office within 30 days following 9618. Dated: , 2020. the meeting. Written comments may be SUPPLEMENTARY INFORMATION: Members David Mussatt, emailed to Mallory Trachtenberg at of the public can listen to the Supervisory Chief, Regional Programs Unit. [email protected] in the discussion. This meeting is available to [FR Doc. 2020–16171 Filed 7–24–20; 8:45 am] Regional Program Unit Office/Advisory the public through the following toll- BILLING CODE P Committee Management Unit. Persons free call-in number. An open comment who desire additional information may period will be provided to allow contact the Regional Program Unit may members of the public to make a COMMISSION ON CIVIL RIGHTS contact the Regional Programs Unit statement as time allows. The Office at 202–809–9618. conference operator will ask callers to Notice of Public Meeting of the Indiana Records generated from this meeting identify themselves, the organizations Advisory Committee to the U.S. may be inspected and reproduced at the they are affiliated with (if any), and an Commission on Civil Rights Regional Programs Unit Office, as they email address prior to placing callers become available, both before and after into the conference call. Callers can AGENCY: U.S. Commission on Civil the meeting. Records of the meeting will Rights. expect to incur charges for calls they be available via https://www.faca initiate over wireless lines, and the ACTION: Announcement of meeting. database.gov/FACA/FACAPublicView Commission will not refund any CommitteeDetails?id=a10t0000001 SUMMARY: Notice is hereby given, incurred charges. Callers will incur no gzlgAAA under the Commission on charge for calls they initiate over land- pursuant to the provisions of the rules Civil Rights, Indiana Advisory and regulations of the U.S. Commission line connections to the toll-free Committee link. Persons interested in telephone number. Persons with hearing on Civil Rights (Commission) and the the work of this Committee are also Federal Advisory Committee Act that impairments may also follow the directed to the Commission’s website, proceedings by first calling the Federal the Indiana Advisory Committee http://www.usccr.gov, or may contact (Committee) will hold a meeting via Relay Service at 1–800–977–8339 and the Regional Programs Unit office at the providing the Service with the teleconference on Thursday , above email or phone number. 2020, at 2:00 p.m. ET for the purpose of conference call number and conference discussing the Committee’s draft Lead Agenda ID number. Poisoning and Environmental Justice I. Welcome and Roll Call Members of the public are also report. II. Approval of Minutes entitled to submit written comments; III. Discussion: Draft Lead Poisoning and the comments must be received in the DATES: The meeting will be held on Environmental Justice Report regional office within 30 days following Thursday August 27, 2020 at 2:00 p.m. IV. Public Comment the meeting. Written comments may be ET. V. Adjournment emailed to Mallory Trachtenberg at Public Call Information: Dial: 800– Dated: July 22, 2020. [email protected] in the 367–2403; Conference ID: 6012170. David Mussatt, Regional Programs Unit Office/Advisory FOR FURTHER INFORMATION CONTACT: Supervisory Chief, Regional Programs Unit. Committee Management Unit. Persons Mallory Trachtenberg, DFO, at who desire additional information may [email protected] or 202–809– [FR Doc. 2020–16198 Filed 7–24–20; 8:45 am] BILLING CODE P contact the Regional Program Unit at 9618. 202–809–9618. SUPPLEMENTARY INFORMATION: Members Records generated from this meeting of the public can listen to the COMMISSION ON CIVIL RIGHTS may be inspected and reproduced at the discussion. This meeting is available to Regional Programs Unit Office, as they the public through the above listed toll- Notice of Public Meeting of the New become available, both before and after free number. An open comment period York Advisory Committee the meeting. Records of the meeting will will be provided to allow members of AGENCY: U.S. Commission on Civil be available via https://www.faca the public to make a statement as time Rights. database.gov/FACA/apex/FACAPublic Committee?id=a10t0000001gzmAAAQ allows. The conference call operator ACTION: Notice of meeting. will ask callers to identify themselves, under the Commission on Civil Rights, the organization they are affiliated with SUMMARY: Notice is hereby given, New York Advisory Committee link. (if any), and an email address prior to pursuant to the provisions of the rules Persons interested in the work of this placing callers into the conference and regulations of the U.S. Commission Committee are also directed to the room. Callers can expect to incur regular on Civil Rights (Commission) and the Commission’s website, http:// charges for calls they initiate over Federal Advisory Committee Act that www.usccr.gov, or may contact the wireless lines, according to their the New York Advisory Committee Regional Programs Unit office at the wireless plan. The Commission will not (Committee) will hold a meeting on above email or phone number. refund any incurred charges. Callers Friday, August 21, 2020, from 1:00–2:00 Agenda will incur no charge for calls they p.m. EST for the purpose of discussing initiate over land-line connections to the committee’s civil rights project. I. Welcome and Roll Call

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II. Approval of Minutes from the Last 2020, the petitioner filed responses to seeking relief.6 On and 9, 2020, Meeting these requests for additional the petitioner revised the scope.7 The III. Discussion: Civil Rights Topics information.4 description of the merchandise covered IV. Public Comment In accordance with section 732(b) of by this investigation, as described in the V. Next Steps the Tariff Act of 1930, as amended (the appendix to this notice, reflects these VI. Adjournment Act), the petitioner alleges that imports clarifications. As discussed in the Preamble to Dated: July 22, 2020. of twist ties from China are being, or are Commerce’s regulations, we are setting David Mussatt, likely to be, sold in the United States at less than fair value (LTFV) within the aside a period for interested parties to Supervisory Chief, Regional Programs Unit. meaning of section 731 of the Act, and raise issues regarding product coverage [FR Doc. 2020–16208 Filed 7–24–20; 8:45 am] that imports of such products are (i.e., scope).8 Commerce will consider BILLING CODE P materially injuring, or threatening all comments received from interested material injury to, the domestic twist tie parties and, if necessary, will consult industry in the United States. Consistent with interested parties prior to the DEPARTMENT OF COMMERCE with section 732(b)(1) of the Act, the issuance of the preliminary Petition is accompanied by information determination. If scope comments International Trade Administration reasonably available to the petitioner include factual information, all such [A–570–131] supporting the allegation. factual information should be limited to Commerce finds that the petitioner public information.9 To facilitate Twist Ties From the People’s Republic filed the Petition on behalf of the preparation of its questionnaires, of China: Initiation of Less-Than-Fair- domestic industry because the Commerce requests that all interested Value Investigation petitioner is an interested party, as parties submit such comments by 5:00 defined in sections 771(9)(C) of the Act. p.m. Eastern Time (ET) on August 5, AGENCY: Enforcement and Compliance, Commerce also finds that the petitioner 2020, which is 20 calendar days from International Trade Administration, demonstrated sufficient industry the signature date of this notice. Any Department of Commerce. support for the initiation of the rebuttal comments, which may include DATES: Applicable July 16, 2020. requested AD investigation.5 factual information, must be filed by FOR FURTHER INFORMATION CONTACT: Alex 5:00 p.m. ET on , 2020, which Period of Investigation Wood or Brittany Bauer; AD/CVD is the next business day after ten Operations, Enforcement and Because China is a non-market calendar days from the initial comment Compliance, International Trade economy (NME) country, pursuant to 19 deadline.10 Administration, U.S. Department of CFR 351.204(b)(1), the period of Commerce requests that any factual Commerce, 1401 Constitution Avenue investigation for the investigation is information parties consider relevant to NW, Washington, DC 20230; telephone: , 2019 through , the scope of the investigation be (202) 482–1959 or (202) 482–3860, 2020. submitted during this period. However, respectively. if a party subsequently finds that Scope of the Investigation additional factual information SUPPLEMENTARY INFORMATION: The products covered by this pertaining to the scope of the The Petition investigation is twist ties from China. investigation may be relevant, the party For a full description of the scope of this may contact Commerce and request On , 2020, the U.S. investigation, see the appendix to this permission to submit the additional Department of Commerce (Commerce) notice. information. All such submissions must received an antidumping duty (AD) be filed on the records of the concurrent petition concerning imports of twist ties Comments on the Scope of the AD and CVD investigations. from the People’s Republic of China Investigation Filing Requirements (China) filed in proper form on behalf of On June 30 and , 2020, Bedford Industries, Inc. (the petitioner), All submissions to Commerce must be 1 Commerce requested further a domestic producer of twist ties. The information from the petitioner filed electronically via Enforcement and Petition was accompanied by a regarding the proposed scope to ensure Compliance’s (E&C’s) Antidumping countervailing duty (CVD) petition that the scope language in the Petition Duty and Countervailing Duty concerning imports of twist ties from Centralized Electronic Service System 2 is an accurate reflection of the products China. for which the domestic industry is (ACCESS), unless an exception On June 30 and July 7, 2020, Commerce requested supplemental Supplemental Questions Concerning Volume II,’’ all 6 See General Issues Supplemental at 3–4; see also information pertaining to certain aspects dated June 30, 2020; and Memorandum, ‘‘Petitions Phone Call Memorandum. of the Petition in separate supplemental for the Imposition of Antidumping and 7 See Second General Issues Supplement at 3–4; Countervailing Duties on Imports of Twist Ties see also Second General Issues Supplement at 3– questionnaires and a phone call with 4. 3 from the People’s Republic of China: Phone Call the petitioner. On July 2, 6, and 9, with Counsel to the Petitioner,’’ dated July 7, 2020 8 See Antidumping Duties; Countervailing Duties, (Phone Call Memorandum). Final Rule, 62 FR 27296, 27323 (, 1997) 1 See Petitioner’s Letter, ‘‘Petition for the 4 See Petitioner’s Letters, ‘‘Twist Ties from the (Preamble). Imposition of Antidumping and Countervailing People’s Republic of China,’’ dated July 6, 2020 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual Duties on Twist Ties from the People’s Republic of (General Issues Supplement) and ‘‘Petition for the information’’). China,’’ dated June 26, 2020 (the Petition). Imposition of Antidumping Duties on Twist Ties 10 See 19 CFR 351.303(b). Commerce practice 2 Id. from China: Response to Supplemental Questions dictates that where a deadline falls on a weekend 3 See Commerce’s Letters, ‘‘Petitions for the from the Department of Commerce,’’ dated July 2, or Federal holiday, the appropriate deadline is the Imposition of Antidumping and Countervailing 2020 (China AD Supplement); and Petitioner’s next business day (in this instance, August 17, Duties on Imports of Twist Ties from the People’s Letter, ‘‘Twist Ties from the People’s Republic of 2020). See Notice of Clarification: Application of Republic of China: Supplemental Questions,’’ China,’’ dated July 9, 2020 (Second General Issues ‘‘Next Business Day’’ Rule for Administrative (General Issues Supplemental); ‘‘Petition for the Supplement). Determination Deadlines Pursuant to the Tariff Act Imposition of Antidumping Duties on Imports of 5 See the ‘‘Determination of Industry Support for of 1930, As Amended, 70 FR 24533 (, 2005) Twist Ties from the People’s Republic of China: the Petition’’ section, infra. (Next Business Day Rule).

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applies.11 An electronically filed producers or workers accounting for In determining whether the petitioner document must be received successfully more than 50 percent of the total has standing under section 732(c)(4)(A) in its entirety by the time and date it is production of the domestic like product, of the Act, we considered the industry due. Commerce shall: (i) Poll the industry or support data contained in the Petition rely on other information in order to with reference to the domestic like Comments on Product Characteristics determine if there is support for the product as defined in the ‘‘Scope of the Commerce is providing interested petition, as required by subparagraph Investigation,’’ in the appendix to this parties an opportunity to comment on (A); or (ii) determine industry support notice. To establish industry support, the appropriate physical characteristics using a statistically valid sampling the petitioner provided its own of twist ties to be reported in response method to poll the ‘‘industry.’’ production of the domestic like product to Commerce’s AD questionnaire. This Section 771(4)(A) of the Act defines in 2019 and compared this to the information will be used to identify the the ‘‘industry’’ as the producers as a estimated total production of the key physical characteristics of the whole of a domestic like product. Thus, domestic like product for the entire subject merchandise in order to report to determine whether a petition has the domestic industry.17 We have relied on the relevant factors of production requisite industry support, the statute the data provided by the petitioner for (FOPs) accurately, as well as to develop directs Commerce to look to producers purposes of measuring industry appropriate product-comparison and workers who produce the domestic support.18 criteria. like product. The International Trade Our review of the data provided in the Interested parties may provide any Commission (ITC), which is responsible Petition, the General Issues Supplement, information or comments that they feel for determining whether ‘‘the domestic the Second General Issues Supplement, are relevant to the development of an industry’’ has been injured, must also and other information readily available accurate list of physical characteristics. determine what constitutes a domestic to Commerce indicates that the In order to consider the suggestions of like product in order to define the petitioner has established industry interested parties in developing and industry. While both Commerce and the support for the Petition.19 First, the issuing the AD questionnaire, all ITC must apply the same statutory Petition established support from comments must be filed by 5:00 p.m. ET definition regarding the domestic like domestic producers (or workers) on August 5, 2020, which is 20 calendar product,13 they do so for different accounting for more than 50 percent of days from the signature date of this purposes and pursuant to a separate and the total production of the domestic like notice.12 Any rebuttal comments, which distinct authority. In addition, product and, as such, Commerce is not may include factual information, must Commerce’s determination is subject to required to take further action in order be filed by 5:00 p.m. ET on August 17, limitations of time and information. to evaluate industry support (e.g., 2020, which is the next business day Although this may result in different polling).20 Second, the domestic after ten calendar days from the initial definitions of the like product, such producers (or workers) have met the comment deadline. All comments and differences do not render the decision of statutory criteria for industry support submissions to Commerce must be filed either agency contrary to law.14 under section 732(c)(4)(A)(i) of the Act electronically using ACCESS, as Section 771(10) of the Act defines the because the domestic producers (or explained above, on the record of the domestic like product as ‘‘a product workers) who support the Petition AD investigation. which is like, or in the absence of like, account for at least 25 percent of the most similar in characteristics and uses total production of the domestic like Determination of Industry Support for with, the article subject to an product.21 Finally, the domestic the Petition investigation under this title.’’ Thus, the producers (or workers) have met the Section 732(b)(1) of the Act requires reference point from which the statutory criteria for industry support that a petition be filed on behalf of the domestic like product analysis begins is under section 732(c)(4)(A)(ii) of the Act domestic industry. Section 732(c)(4)(A) ‘‘the article subject to an investigation’’ because the domestic producers (or of the Act provides that a petition meets (i.e., the class or kind of merchandise to workers) who support the Petition this requirement if the domestic be investigated, which normally will be account for more than 50 percent of the producers or workers who support the the scope as defined in the petition). production of the domestic like product petition account for: (i) At least 25 With regard to the domestic like produced by that portion of the industry percent of the total production of the product, the petitioner does not offer a expressing support for, or opposition to, domestic like product; and (ii) more definition of the domestic like product than 50 percent of the production of the distinct from the scope of the regarding industry support, see the Antidumping domestic like product produced by that investigation.15 Based on our analysis of Duty Investigation Initiation Checklist: Twist Ties the information submitted on the from the People’s Republic of China (China AD portion of the industry expressing Initiation Checklist) at Attachment II, Analysis of support for, or opposition to, the record, we have determined that twist Industry Support for the Antidumping and petition. Moreover, section 732(c)(4)(D) ties, as defined in the scope, constitute Countervailing Duty Petitions Covering Twist Ties a single domestic like product, and we from the People’s Republic of China (Attachment of the Act provides that, if the petition II). This checklist is dated concurrently with, and does not establish support of domestic have analyzed industry support in terms hereby adopted by, this notice and on file 16 of that domestic like product. electronically via ACCESS. 11 See Antidumping and Countervailing Duty 17 See Second General Issues Supplement at 2–3 Proceedings: Electronic Filing Procedures; 13 See section 771(10) of the Act. and Supplemental Declaration. Administrative Protective Order Procedures, 76 FR 14 See USEC, Inc. v. United States, 132 F. Supp. 18 See Volume I of the Petition at Exhibit GEN– 39263 (July 6, 2011); see also Enforcement and 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. 1; General Issues Supplement at 6–9; and Second Compliance; Change of Electronic Filing System v. United States, 688 F. Supp. 639, 644 (CIT 1988), General Issues Supplement at 2–3 and Name, 79 FR 69046 (, 2014) for details aff’d 865 F. 2d 240 (Fed. Cir. 1989)). Supplemental Declaration. For further discussion, of Commerce’s electronic filing requirements, 15 See Volume I of the Petition at 17–20 and see Attachment II of the China AD Initiation effective August 5, 2011. Information on help using Exhibit GEN–1; see also General Issues Supplement Checklist. ACCESS can be found at https://access.trade.gov/ at 5–6; and Second General Issues Supplement at 19 See Attachment II of the China AD Initiation help.aspx and a handbook can be found at https:// 4–5 and Supplemental Declaration from Jay Checklist. access.trade.gov/help/Handbook_on_Electronic_ Milbrandt (Supplemental Declaration). 20 Id.; see also section 732(c)(4)(D) of the Act. Filing_Procedures.pdf. 16 For a discussion of the domestic like product 21 See Attachment II of the China AD Initiation 12 See 19 CFR 351.303(b). analysis as applied to this case and information Checklist.

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the Petition.22 Accordingly, Commerce Normal Value (i.e., rebars, cold finished bars, wire determines that the Petition was filed on rods, and other products).32 behalf of the domestic industry within Commerce considers China to be an 28 Fair Value Comparisons the meaning of section 732(b)(1) of the NME country. In accordance with Act.23 section 771(18)(C)(i) of the Act, any Based on the data provided by the determination that a foreign country is petitioner, there is reason to believe that Allegations and Evidence of Material an NME country shall remain in effect imports of twist ties from China are Injury and Causation until revoked by Commerce. Therefore, being, or are likely to be, sold in the The petitioner alleges that the U.S. we continue to treat China as an NME United States at LTFV. Based on a industry producing the domestic like country for purposes of the initiation of comparison of EP to NV in accordance product is being materially injured, or is this investigation. Accordingly, NV in with sections 772 and 773 of the Act, threatened with material injury, by China is appropriately based on FOPs the estimated dumping margin for twist reason of the imports of the subject valued in a surrogate market economy ties from China is 72.96 percent.33 merchandise sold at LTFV. In addition, country, in accordance with section Initiation of LTFV Investigation the petitioner alleges that subject 773(c) of the Act. imports exceed the negligibility Based upon our examination of the The petitioner states that Mexico is an threshold provided for under section Petition on twist ties from China and 771(24)(A) of the Act.24 appropriate surrogate country because supplemental responses, we find that The petitioner contends that the Mexico is a market economy country the Petition meets the requirements of industry’s injured condition is that is at a level of economic section 732 of the Act. Therefore, we are illustrated by a significant volume and development comparable to that of initiating an AD investigation to market share of subject imports; China and is a significant producer of determine whether imports of twist ties 29 underselling and price depression and comparable merchandise. The from China are being, or are likely to be, suppression; lost sales and revenues; petitioner submitted publicly available sold in the United States at LTFV. In declines in shipments and net sales; information from Mexico to value all accordance with section 733(b)(1)(A) of decline in financial performance; and FOPs.30 Based on the information the Act and 19 CFR 351.205(b)(1), low level of capacity utilization.25 We provided by the petitioner, we unless postponed, we will make our assessed the allegations and supporting determine that it is appropriate to use preliminary determination no later than evidence regarding material injury, Mexico as a surrogate country for China 140 days after the date of this initiation. threat of material injury, causation, as for initiation purposes. Respondent Selection well as negligibility, and we have Interested parties will have the The petitioner named six companies determined that these allegations are opportunity to submit comments in China as producers/exporters of twist properly supported by adequate regarding surrogate country selections ties.34 In accordance with our standard evidence and meet the statutory and, pursuant to 19 CFR practice for respondent selection in an requirements for initiation.26 351.301(c)(3)(i), will be provided an AD investigation involving an NME Allegations of Sales at LTFV opportunity to submit publicly available country, Commerce selects respondents information to value FOPs within 30 based on quantity and value (Q&V) The following is a description of the days before the scheduled date of the allegations of sales at LTFV upon which questionnaires in cases where it has preliminary determination. Commerce based its decision to initiate determined that the number of the AD investigation of imports of twist Factors of Production companies is large, and it cannot ties from China. The sources of data for individually examine each company the deductions and adjustments relating The petitioner used its own product- based upon its resources. Therefore, to U.S. price and normal value (NV) are specific consumption rates as a considering the number of producers discussed in greater detail in the China surrogate to value Chinese and exporters identified in the Petitions, AD Initiation Checklist. manufacturers’ FOPs.31 Additionally, Commerce will solicit Q&V information the petitioner calculated factory that can serve as a basis for selecting U.S. Price overhead; selling, general and exporters for individual examination in The petitioner based export price (EP) administrative expenses; and profit the event that Commerce decides to on information from a sale or offer for based on the experience of a Mexican limit the number of respondents sale for twist ties produced in and producer of comparable merchandise individually examined pursuant to exported from China by a Chinese section 777A(c)(2) of the Act. Commerce producer and made adjustments for 28 See, e.g., Antidumping Duty Investigation of will issue Q&V questionnaires to all six movement expenses, where Certain Aluminum Foil from the People’s Republic identified producers and exporters for appropriate.27 of China: Affirmative Preliminary Determination of which there is address information on Sales at Less-Than-Fair Value and Postponement of the record. Final Determination, 82 FR 50858, 50861 22 In addition, Commerce will post the Id. (, 2017), and accompanying Preliminary 23 Id. Decision Memorandum at ‘‘China’s Status as a Non- Q&V questionnaire along with filing 24 See Volume I of the Petition at 22 and Exhibit Market Economy,’’ unchanged in Certain instructions on E&C’s website at https:// GEN–1; see also General Issues Supplement at 10. Aluminum Foil from the People’s Republic of enforcement.trade.gov/questionnaires/ 25 See Volume I of the Petition at 8, 15–16, 21– China: Final Determination of Sales at Less Than questionnaires-ad.html. Producers/ 29 and Exhibits GEN–1, GEN–8, and GEN–11; see Fair Value, 83 FR 9282 (, 2018). also General Issues Supplement at 2 and 9–10; and 29 See Volume II of the Petitions at 2 and Exhibit exporters of twist ties from China that Second General Issues Supplement at 3. AD–CH–3. 26 See the China AD Initiation Checklist at 30 Id. at Exhibits AD–CH–3, AD–CH–4; and China 32 See Volume II of the Petition at 4 and Exhibit Attachment III, Analysis of Allegations and AD Supplement at Exhibits AD–CN–S2, AD–CN– AD–CH–3; and China AD Supplement at Exhibit Evidence of Material Injury and Causation for the S3, and AD–CH–S4. AD–CN–S3. Antidumping and Countervailing Duty Petitions 31 See Volume II of the Petition at 4 and Exhibits 33 See China AD Supplement at Exhibit AD–CH– Covering Twist Ties from the People’s Republic of AD–CH–2, AD–CH–3, AD–CH–4; and China AD 5. China (Attachment III). Supplement at Exhibits AD–CN–S2, AD–CN–S3, 34 See Volume I of the Petition at 14–15 and 27 See the China AD Initiation Checklist. and AD–CH–S4. Exhibit Gen-6.

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do not receive Q&V questionnaires may response will not receive separate rate Submission of Factual Information still submit a response to the Q&V consideration. Factual information is defined in 19 questionnaire and can obtain a copy of Use of Combination Rates CFR 351.102(b)(21) as: (i) Evidence the Q&V questionnaire from E&C’s submitted in response to questionnaires; website. In accordance with our Commerce will calculate combination (ii) evidence submitted in support of standard practice for respondent rates for certain respondents that are allegations; (iii) publicly available selection in AD cases involving NME eligible for a separate rate in an NME information to value factors under 19 countries, in the event Commerce investigation. The Separate Rates and CFR 351.408(c) or to measure the decides to limit the number of Combination Rates Bulletin states: adequacy of remuneration under 19 CFR respondents individually investigated, { } 351.511(a)(2); (iv) evidence placed on Commerce intends to base respondent w hile continuing the practice of assigning separate rates only to exporters, all the record by Commerce; and (v) selection on the responses to the Q&V separate rates that {Commerce} will now evidence other than factual information questionnaire that it receives. assign in its NME Investigation will be described in (i)–(iv). Any party, when Responses to the Q&V questionnaire specific to those producers that supplied the submitting factual information, must must be submitted by the relevant exporter during the period of investigation. specify under which subsection of 19 Chinese producers/exporters no later Note, however, that one rate is calculated for CFR 351.102(b)(21) the information is than 5:00 p.m. ET on August 3, 2020. the exporter and all of the producers which being submitted 40 and, if the supplied subject merchandise to it during the All Q&V responses must be filed information is submitted to rebut, electronically via ACCESS. period of investigation. This practice applies both to mandatory respondents receiving an clarify, or correct factual information Interested parties must submit already on the record, to provide an applications for disclosure under APO individually calculated separate rate as well as the pool of non-investigated firms explanation identifying the information in accordance with 19 CFR 351.305(b). receiving the weighted-average of the already on the record that the factual Instructions for filing such applications individually calculated rates. This practice is information seeks to rebut, clarify, or may be found on E&C’s website at referred to as the application of ‘‘combination correct.41 Time limits for the http://enforcement.trade.gov/apo. rates’’ because such rates apply to specific submission of factual information are Commerce intends to finalize its combinations of exporters and one or more addressed in 19 CFR 351.301, which decisions regarding respondent producers. The cash-deposit rate assigned to provides specific time limits based on an exporter will apply only to merchandise selection within 20 days of publication the type of factual information being of this notice. both exported by the firm in question and produced by a firm that supplied the exporter submitted. Please review the regulations Separate Rates during the period of investigation.37 prior to submitting factual information in this investigation. In order to obtain separate-rate status Distribution of Copies of the AD in an NME investigation, producers/ Petition Extensions of Time Limits exporters must submit a separate-rate Parties may request an extension of 35 In accordance with section application. The specific requirements time limits before the expiration of a 732(b)(3)(A) of the Act and 19 CFR for submitting a separate-rate time limit established under 19 CFR 351.202(f), a copy of the public version application in a China investigation are 351.301, or as otherwise specified by of the Petition has been provided to the outlined in detail in the application Commerce. In general, an extension Government of China via ACCESS. itself, which is available on E&C’s request will be considered untimely if it Furthermore, to the extent practicable, website at http://enforcement.trade.gov/ is filed after the expiration of the time Commerce will attempt to provide a nme/nme-sep-rate.html. The separate- limit established under 19 CFR 351.301. copy of the public version of the rate application will be due 30 days For submissions that are due from Petition to each exporter named in the after publication of this initiation multiple parties simultaneously, an 36 Petition, as provided under 19 CFR notice. Producers/exporters who extension request will be considered 351.203(c)(2). submit a separate-rate application and untimely if it is filed after 10:00 a.m. ET have been selected as mandatory ITC Notification on the due date. Under certain respondents will be eligible for circumstances, we may elect to specify consideration for separate-rate status Commerce will notify the ITC of our a different time limit by which only if they respond to all parts of initiation, as required by section 732(d) extension requests will be considered Commerce’s AD questionnaire as of the Act. untimely for submissions which are due mandatory respondents. Commerce Preliminary Determinations by the ITC from multiple parties simultaneously. In requires that companies from China such a case, Commerce will inform submit a response to both the Q&V The ITC will preliminarily determine, parties in a letter or memorandum of the questionnaire and the separate-rate within 45 days after the date on which deadline (including a specified time) by application by the respective deadlines the Petition was filed, whether there is which extension requests must be filed in order to receive consideration for a reasonable indication that imports of to be considered timely. An extension separate-rate status. Companies not twist ties from China are materially request must be made in a separate, filing a timely Q&V questionnaire injuring, or threatening material injury stand-alone submission; under limited to, a U.S. industry.38 A negative ITC circumstances we will grant untimely- 35 See Policy Bulletin 05.1: ‘‘Separate-Rates determination will result in the filed requests for the extension of time Practice and Application of Combination Rates in 39 Antidumping Investigation involving NME investigation being terminated. limits. Parties should review Extension Countries,’’ (, 2005), available at http:// Otherwise, this investigation will of Time Limits; Final Rule, 78 FR 57790 enforcement.trade.gov/policy/bull05-1.pdf (Policy proceed according to statutory and (September 20, 2013), available at Bulletin 05.1). regulatory time limits. http://www.gpo.gov/fdsys/pkg/FR-2013- 36 Although in past investigations this deadline 09-20/html/2013-22853.htm, prior to was 60 days, consistent with 19 CFR 351.301(a), which states that ‘‘the Secretary may request any 37 See Policy Bulletin 05.1 at 6 (emphasis added). person to submit factual information at any time 38 See section 733(a) of the Act. 40 See 19 CFR 351.301(b). during a proceeding,’’ this deadline is now 30 days. 39 Id. 41 See 19 CFR 351.301(b)(2).

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submitting factual information in this machine direction (width of the tie— POSCO single entity). We preliminarily investigation. measurement perpendicular with the wire); a determine that sales of subject thickness between .015’’ and .045’’ over the merchandise by the POSCO single entity Certification Requirements wire; and a thickness between .002’’ and were not made at prices below normal .020’’ in areas without wire. The scope Any party submitting factual value (NV). Interested parties are invited information in an AD or CVD includes an all-plastic twist tie containing a plastic core as well as a plastic covering (the to comment on these preliminary proceeding must certify to the accuracy wing) over the core, just like paper and/or results. and completeness of that information.42 plastic in a metal tie. An all-plastic twist tie DATES: Applicable July 27, 2020. Parties must use the certification (without metal wire) would be of the same FOR FURTHER INFORMATION CONTACT: formats provided in 19 CFR measurements as a twist tie containing one 351.303(g).43 Commerce intends to or more metal wires. Twist ties are Michael Bowen or William Horn, AD/ reject factual submissions if the commonly available individually in pre-cut CVD Operations, Office VIII, submitting party does not comply with lengths (‘‘singles’’), wound in large spools to Enforcement and Compliance, the applicable certification be cut later by machine or hand, or in International Trade Administration, perforated sheets of spooled or single twist requirements. U.S. Department of Commerce, 1401 ties that are later slit by machine or by hand Constitution Avenue NW, Washington, Notification to Interested Parties (‘‘gangs’’). DC 20230; telephone: (202) 482–0768 or The covering material of a twist tie may be (202) 482–4868, respectively. Interested parties must submit paper (metallic or plain), or plastic, and can applications for disclosure under APO be dyed in a variety of colors with or without SUPPLEMENTARY INFORMATION: in accordance with 19 CFR 351.305. On printing. A twist tie may have the same Background , 2008, Commerce published covering material on both sides or one side Antidumping and Countervailing Duty of paper and one side of plastic. When On July 15, 2019, based on a timely Proceedings: Documents Submission comprised of two sides of paper, the paper request for review, in accordance with Procedures; APO Procedures, 73 FR material is bound together with an adhesive 19 CFR 351.221(c)(1)(i), we initiated an or plastic. A twist tie may also have a tag or 3634 (January 22, 2008). Parties wishing administrative review of the label attached to it or a pre-applied adhesive antidumping duty order on certain to participate in this investigation attached to it. should ensure that they meet the Twist ties are imported into the United carbon and alloy steel cut-to-length 1 requirements of these procedures (e.g., States under Harmonized Tariff Schedule of plate from the Republic of Korea for 2 the filing of letters of appearance as the United States (HTSUS) subheadings twelve companies. On September 4, discussed at 19 CFR 351.103(d)). Note 8309.90.0000 and 5609.00.3000. Subject 2019, we selected POSCO/POSCO 3 that Commerce has temporarily merchandise may also enter under HTSUS Daewoo Corporation /POSCO modified certain of its requirements for subheadings 3920.51.5000, 3923.90.0080, Processing & Service Co., Ltd. for 3926.90.9990, 4811.59.6000, 4821.10.2000, individual examination as the sole serving documents containing business 4821.10.4000, 4821.90.2000, 4821.90.4000, proprietary information until further mandatory respondent in this and 4823.90.8600. These HTSUS administrative review.4 Additionally, on notice.44 subheadings are provided for reference only. This notice is issued and published The written description of the scope of the October 9, 2019 the petitioners pursuant to sections 732(c)(2) and 777(i) investigation is dispositive. withdrew their request for review of all of the Act, and 19 CFR 351.203(c). companies except for this entity.5 [FR Doc. 2020–16233 Filed 7–24–20; 8:45 am] In December 2019, we extended the Dated: July 16, 2020. BILLING CODE 3510–DS–P deadline for these preliminary results Jeffrey I. Kessler, until , 2020.6 On April 24, 2020, Assistant Secretary for Enforcement and DEPARTMENT OF COMMERCE Compliance. 1 See Certain Carbon and Alloy Steel Cut-to- Length Plate from Austria, Belgium, France, the Appendix—Scope of the Investigation International Trade Administration Federal Republic of Germany, Italy, Japan, the Republic of Korea, and Taiwan: Amended Final The merchandise covered by this [A–580–887] investigation consists of twist ties, which are Affirmative Antidumping Determinations for thin, bendable ties for closing containers, France, the Federal Republic of Germany, the Carbon and Alloy Steel Cut-to-Length Republic of Korea and Taiwan, and Antidumping such as bags, bundle items, or identifying Plate from the Republic of Korea: Duty Orders, 82 FR 24096 (, 2017) (Order). objects. A twist tie in most circumstances is Preliminary Results of Antidumping 2 See Initiation of Antidumping and comprised of one or more metal wires Duty Administrative Review; 2018– Countervailing Duty Administration Reviews, 84 FR encased in a covering material, which allows 33739 (July 15, 2019) (Initiation Notice). the tie to retain its shape and bind against 2019 and Partial Rescission of Review 3 Based on the record evidence in this review, we itself. However, it is possible to make a twist AGENCY: Enforcement and Compliance, are preliminarily finding POSCO International tie with plastic and no metal wires. The Corporation to be the successor in interest to metal wire that is generally used in a twist International Trade Administration, POSCO Daewoo Corporation. For a full discussion tie is stainless or galvanized steel and Department of Commerce. of the proprietary details of Commerce’s analysis typically measures between the gauges of 19 SUMMARY: The Department of Commerce regarding the successor-in-interest finding, see (.0410’’ diameter) and 31 (.0132’’) (American (Commerce) is conducting an Memorandum, ‘‘Certain Carbon and Alloy Steel Cut-to-Length Plate from the Republic of Korea: Standard Wire Gauge). A twist tie usually has administrative review of the POSCO Affiliation and Collapsing Memorandum,’’ a width between .075’’ and 1’’ in the cross- antidumping duty order on carbon and dated concurrently with this memorandum alloy steel cut-to-length plate from the (Affiliation and Collapsing Memorandum). 42 See section 782(b) of the Act. Republic of Korea. The period of review 4 See Memorandum, ‘‘2018–2019 Administrative 43 See Certification of Factual Information to (POR) is May 1, 2018, through April 30, Review of Carbon and Alloy Steel Cut-to-Length Import Administration During Antidumping and Plate from the Republic of Korea: Respondent Countervailing Duty Proceedings, 78 FR 42678 (July 2019. The review covers one producer/ Selection,’’ dated September 4, 2019. 17, 2013) (Final Rule). Answers to frequently asked exporter of the subject merchandise, 5 See Petitioners’ Letter, ‘‘Carbon and Alloy Steel questions regarding the Final Rule are available at POSCO/POSCO International Cut-To-Length Plate from the Republic of Korea— http://enforcement.trade.gov/tlei/notices/factual_ Corporation (successor in interest to Petitioners’ Partial Withdrawal of Administrative info_final_rule_FAQ_07172013.pdf. Review Request,’’ dated October 9, 2019. 44 See Temporary Rule Modifying AD/CVD POSCO Daewoo Corporation)/POSCO 6 See Memorandum, ‘‘Carbon and Alloy Steel Cut- Service Requirements Due to COVID–19; Extension Processing & Service Co., Ltd. and its To-Length Plate from the Republic of Korea: of Effective Period, 85 FR 41363 (July 10, 2020). affiliated companies (collectively, the Continued

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Commerce tolled all deadlines in Partial Rescission of Review Countervailing Duty Centralized administrative reviews by 50 days, Pursuant to 19 CFR 351.213(d)(1), Electronic Service System (ACCESS). thereby extending the deadline for these Commerce will rescind an ACCESS is available to registered users preliminary results until July 20, 2020.7 administrative review, in whole or in at http://access.trade.gov. In addition, a For a complete description of the events part, if the party that requested a review complete version of the Preliminary that followed the initiation of this withdraws its request within 90 days of Decision Memorandum can be accessed review, see the Preliminary Decision the date of publication of the notice of at http://enforcement.trade.gov/frn/ Memorandum.8 initiation. We initiated a review of 12 index.html. The signed Preliminary companies for this segment of the Decision Memorandum and the Scope of the Order proceeding and published notice of the electronic version of the Preliminary Decision Memorandum are identical in The merchandise subject to the Order initiation on July 15, 2019.9 All requests for review of the following producers/ content. A list of the topics discussed in is Carbon and Alloy Steel Cut-to-Length the Preliminary Decision Memorandum Plate. For a complete description of the exporters were timely withdrawn: Buma Ce Co., Ltd., Dong Yang Steel Pipe Co., is attached as an Appendix to this subject merchandise, please see the notice. Preliminary Decision Memorandum. Ltd., Dongkuk Steel Mill Co., Ltd., Expeditors Korea Ltd., Haem Co., Ltd., The product is currently classified Preliminary Results of the Review Hyundai Glovis Co., Ltd., Hyundai Steel under the Harmonized Tariff Schedule We preliminarily find that a Company, J.I. Sea & Air Express Co., weighted-average dumping margin of of the United States (HTSUS) Ltd., Maxpeed Co., Ltd., Ramses zero percent exists for the POSCO single subheadings 7208.40.3030, Logistics Co., Ltd., and Sumitomo Corp. entity for the period May 1, 2018 7208.40.3060, 7208.51.0030, Korea Ltd.10 Accordingly, Commerce is through April 30, 2019.12 Therefore, 7208.51.0045, 7208.51.0060, rescinding the administrative review Commerce preliminarily determines 7208.52.0000, 7211.13.0000, with respect to these eleven companies, that the POSCO single entity did not 7211.14.0030, 7211.14.0045, in accordance with 19 CFR make sales of subject merchandise at 7225.40.1110, 7225.40.1180, 351.213(d)(1). The review will continue prices below NV during the POR. 7225.40.3005, 7225.40.3050, with respect to the POSCO single 7226.20.0000, and 7226.91.5000. entity.11 Disclosure and Public Comment The products subject to the Order may Methodology Commerce intends to disclose the also enter under the following HTSUS calculations performed in connection item numbers: 7208.40.6060, Commerce is conducting this review with these preliminary results to 7208.53.0000, 7208.90.0000, in accordance with section 751(a)(1)(B) interested parties within five days of the 7210.70.3000, 7210.90.9000, and (2) of the Tariff Act of 1930, as date of publication of this notice in 7211.19.1500, 7211.19.2000, amended (the Act). Export price and accordance with 19 CFR 351.224(b). 7211.19.4500, 7211.19.6000, constructed export price are calculated Interested parties may submit case 7211.19.7590, 7211.90.0000, in accordance with section 772 of the briefs to Commerce no later than 30 7212.40.1000, 7212.40.5000, Act. NV is calculated in accordance days after the date of publication of this 7212.50.0000, 7214.10.000, with section 773 of the Act. notice.13 Rebuttal briefs, limited to For a full description of the 7214.30.0010, 7214.30.0080, issues raised in the case briefs, may be methodology underlying our 7214.91.0015, 7214.91.0060, filed no later than seven days after the conclusions, see the Preliminary date for filing case briefs.14 Pursuant to 7214.91.0090, 7225.11.0000, Decision Memorandum, dated 7225.19.0000, 7225.40.5110, 19 CFR 351.309(c)(2) and (d)(2), parties concurrently with these results and who submit case briefs or rebuttal briefs 7225.40.5130, 7225.40.5160, hereby adopted by this notice. The 7225.40.7000, 7225.99.0010, in this proceeding are encouraged to Preliminary Decision Memorandum is a submit with each argument: (1) A 7225.99.0090, 7206.11.1000, public document and is on file 7226.11.9060, 7229.19.1000, statement of the issue; (2) a brief electronically via Enforcement and summary of the argument; and (3) a 7226.19.9000, 7226.91.0500, Compliance’s Antidumping and 7226.91.1530, 7226.91.1560, table of authorities. Case and rebuttal briefs should be filed using ACCESS.15 7226.91.2530, 7226.91.2560, 9 See Initiation Notice. All submissions to Commerce must be 7226.91.7000, 7226.91.8000, and 10 See Petitioners’ Letter, ‘‘Carbon and Alloy Steel filed electronically using ACCESS and Cut-To-Length Plate from the Republic of Korea— 7226.99.0180. The HTSUS subheadings must also be served on interested are provided for convenience and Petitioners’ Partial Withdrawal of Administrative Review Request,’’ dated October 9, 2019. parties.16 An electronically filed customs purposes only; the written 11 Commerce preliminarily determines that document must be received successfully product description of the scope of the POSCO, POSCO International Corporation in its entirety by Commerce’s electronic Order is dispositive. (successor in interest to POSCO Daewoo records system, ACCESS, by 5:00 p.m. Corporation), POSCO Processing & Service Co., Ltd., and certain distributors and service centers Eastern Time on the date that the Extension of the Deadline for Preliminary Results (Taechang Steel Co., Ltd., Winsteel Co., Ltd., document is due. Note that Commerce of the Antidumping Duty Administrative Review; Moonbae Steel Co., Ltd., Dae Dong Steel Co., Ltd., has temporarily modified certain of its 2018–2019,’’ dated December 31, 2019. Shinjin Esco Co., Ltd., Shilla Steel Co., Ltd., and 7 See Memorandum, ‘‘Tolling of Deadlines for POSCO Plate Fabricating Division) are affiliated 12 Antidumping and Countervailing Duty pursuant to section 771(33)(E) of the Act, and that See Preliminary Decision Memorandum Administrative Reviews in Response to Operational these companies should be treated as a single entity 13 See 19 CFR 351.309(c)(1)(ii). Adjustments Due to COVID–19,’’ dated April 24, (collectively, the POSCO single entity) pursuant to 14 See 19 CFR 351.309(d); see also Temporary 2020. 19 CFR 351.401(f). Our collapsing determination Rule Modifying AD/CVD Service Requirements Due 8 See Memorandum, ‘‘Decision Memorandum for with respect to Moonbae Steel Co., Ltd. and Dae to COVID–19, 85 FR 17006 (, 2020) (‘‘To Preliminary Results of Antidumping Duty Dong Steel Co., Ltd. relates only to the portion of provide adequate time for release of case briefs via Administrative Review; 2018–2019: Certain Carbon the POR during which these companies were ACCESS, E&C intends to schedule the due date for and Alloy Steel Cut-to-Length Plate from the affiliated with POSCO, i.e., from May 1, 2018 to July all rebuttal briefs to be 7 days after case briefs are Republic of Korea,’’ dated concurrently with and 2, 2018, and from May 1, 2018 to , 2018, filed (while these modifications are in effect).’’). hereby adopted by this notice (Preliminary Decision respectively. See Affiliation and Collapsing 15 See 19 CFR 351.303. Memorandum). Memorandum. 16 See 19 CFR 351.303(f).

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requirements for serving documents (estimated) ad valorem importer- completed segment; (3) if the exporter is containing business proprietary specific assessment rates with which to not a firm covered in this review, a prior information, until further notice.17 assess whether the per-unit assessment review, or the original investigation, but Interested parties who wish to request rate is de minimis . We will instruct the producer is, then the cash deposit a hearing must submit a written request CBP to assess antidumping duties on all rate will be the rate established for the to the Assistant Secretary for appropriate entries covered by this most recently-completed segment for Enforcement and Compliance, U.S. review when either the respondent’s the producer of the merchandise; and Department of Commerce, using weighted-average dumping margin is (4) the cash deposit rate for all other Enforcement and Compliance’s ACCESS not zero or de minimis or the importer- producers or exporters will continue to system within 30 days of publication of specific ad valorem assessment rate be 7.39 percent, the all-others rate this notice. 18 Requests should contain: calculated in the final results of this established in the less-than-fair-value (1) The party’s name, address, and review is not zero or de minimis. Where investigation.24 These cash deposit telephone number; (2) the number of either the respondent’s ad valorem requirements, when imposed, shall participants; and (3) a list of issues to be weighted-average dumping margin is remain in effect until further notice. discussed. Issues raised in the hearing zero or de minimis, or an importer- Notification to Importers will be limited to those raised in the specific ad valorem assessment rate is respective case and rebuttal briefs. If a zero or de minimis,22 we will instruct This notice also serves as a request for a hearing is made, Commerce CBP to liquidate the appropriate entries preliminary reminder to importers of intends to hold the hearing at a time and without regard to antidumping duties. their responsibility under 19 CFR date to be determined. Parties should Commerce’s ‘‘reseller policy’’ will 351.402(f)(2) to file a certificate confirm the date and time of the hearing apply to entries of subject merchandise regarding the reimbursement of two days before the scheduled date. during the POR produced by the POSCO antidumping duties prior to liquidation Unless the deadline is extended single entity for which it did not know of the relevant entries during this pursuant to section 751(a)(2)(B)(iv) of that the merchandise it sold to the review period. Failure to comply with the Act and 19 CFR 351.213(h)(2), intermediary (e.g., a reseller, trading this requirement could result in the Commerce intends to issue the final company, or exporter) was destined for Secretary’s presumption that results of this administrative review, the United States. In such instances, we reimbursement of antidumping duties including the results of its analysis of will instruct CBP to liquidate occurred and the subsequent assessment issues raised in any written briefs, not unreviewed entries at the all-others rate of double antidumping duties. later than 120 days after the date of if there is no rate for the intermediate Notification to Interested Parties publication of this notice.19 company(ies) involved in the 23 We are issuing and publishing these Assessment Rates transaction. We intend to issue instructions to results in accordance with sections Upon publication of the final results CBP 15 days after the date of 751(a)(1) and 777(i)(1) of the Act, and 19 of this administrative review, Commerce publication of the final results of this CFR 351.221(b)(4). shall determine, and U.S. Customs and review. Dated: July 20, 2020. Border Protection (CBP) shall assess, antidumping duties on all appropriate Cash Deposit Requirements Jeffrey I. Kessler, entries covered by this review.20 Assistant Secretary for Enforcement and The following deposit requirements Compliance. Commerce will calculate importer- will be effective upon publication of the specific antidumping duty assessment notice of final results of administrative Appendix—List of Topics Discussed in rates when a respondent’s weighted review for all shipments of the subject the Preliminary Decision Memorandum average dumping margin is not zero or merchandise entered, or withdrawn de minimis (i.e., less than 0.5 percent). I. Summary from warehouse, for consumption on or II. Background Pursuant to 19 CFR 351.212(b)(1), where after the publication date, as provided III. Scope of the Order the respondent reported the entered by section 751(a)(2)(C) of the Act: (1) IV. Affiliation and Collapsing value of its U.S. sales, we will calculate The cash deposit rate for the POSCO V. Discussion of the Methodology importer-specific ad valorem duty single entity will be the rate established VI. Currency Conversion assessment rates based on the ratio of in the final results of this review, except VII. Recommendation the total amount of dumping calculated if the rate is de minimis within the [FR Doc. 2020–16200 Filed 7–24–20; 8:45 am] for the examined sales to the total meaning of 19 CFR 351.106(c)(1) (i.e., BILLING CODE 3510–DS–P entered value of such sales. Where the less than 0.5 percent), in which case the respondent did not report entered value, cash deposit rate will be zero; (2) for we will calculate importer-specific merchandise exported by producers or DEPARTMENT OF COMMERCE assessment rates on the basis of the ratio exporters not covered in this review but International Trade Administration of the total amount of dumping covered in a prior segment of the calculated for the importer’s examined proceeding, the cash deposit rate will [A–201–853] sales and the total quantity of those continue to be the company-specific rate sales, in accordance with 19 CFR Standard Steel Welded Wire Mesh from 21 published for the most recently- 351.212(b)(1). We will also calculate Mexico: Initiation of Less-Than-Fair- Antidumping Proceedings: Calculation of the Value Investigation 17 See Temporary Rule Modifying AD/CVD Weighted-Average Dumping Margin and Service Requirements Due to COVID–19; Extension Assessment Rate in Certain Antidumping AGENCY: Enforcement and Compliance, of Effective Period, 85 FR 41363 (July 10, 2020). Proceedings: Final Modification, 77 FR 8101 International Trade Administration, 18 See 19 CFR 351.310(c). (February 14, 2012). 19 See section 751(a)(3)(A) of the Act and 19 CFR 22 See 19 CFR 351.106(c)(2). Department of Commerce. 351.213(h). 23 For a full discussion of this clarification, see DATES: Applicable July 20, 2020. 20 See 19 CFR 351.212(b)(1). Antidumping and Countervailing Duty Proceedings: 21 In these preliminary results, Commerce applied Assessment of Antidumping Duties, 68 FR 23954 the assessment rate calculation method adopted in (, 2003). 24 See Order.

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FOR FURTHER INFORMATION CONTACT: domestic industry because the additional factual information Alice Maldonado or Melissa Kinter; AD/ petitioners are interested parties, as pertaining to the scope of the CVD Operations, Office II, Enforcement defined in section 771(9)(C) of the Act. investigation may be relevant, the party and Compliance, International Trade Commerce also finds that the petitioners may contact Commerce and request Administration, U.S. Department of demonstrated sufficient industry permission to submit the additional Commerce, 1401 Constitution Avenue support for the initiation of the information. All such submissions must NW, Washington, DC 20230; telephone: requested AD investigation.6 be filed on the records of the concurrent (202) 482–4682 or (202) 482–1413, AD and CVD investigations. Period of Investigation respectively. Because the Petition was filed on June Filing Requirements SUPPLEMENTARY INFORMATION: 30, 2020, the period of investigation All submissions to Commerce must be The Petition (POI) for this AD investigation is April filed electronically via Enforcement and On June 30, 2020, the Department of 1, 2019 through March 31, 2020, Compliance’s Antidumping Duty and 7 Commerce (Commerce) received an pursuant to 19 CFR 351.204(b)(1). Countervailing Duty Centralized Electronic Service System (ACCESS), antidumping duty (AD) petition Scope of the Investigation concerning imports of standard steel unless an exception applies.11 An The products covered by this welded wire mesh (wire mesh) from electronically filed document must be investigation are wire mesh from Mexico filed in proper form on behalf of received successfully in its entirety by Mexico. For a full description of the the petitioners,1 domestic producers of the time and date it is due. scope of this investigation, see the wire mesh.2 The Petition was appendix to this notice. Comments on Product Characteristics accompanied by a countervailing duty (CVD) petition concerning imports of Comments on the Scope of the Commerce is providing interested wire mesh from Mexico.3 Investigation parties an opportunity to comment on the appropriate physical characteristics On July 2, 2020, Commerce requested As discussed in the Preamble to supplemental information pertaining to of wire mesh to be reported in response Commerce’s regulations, we are setting to Commerce’s AD questionnaires. This certain aspects of the Petition in aside a period for interested parties to separate supplemental questionnaires.4 information will be used to identify the raise issues regarding product coverage key physical characteristics of the The petitioners filed responses to the 8 (i.e., scope). Commerce will consider subject merchandise in order to report supplemental questionnaires on July 7, all comments received from interested 5 the relevant costs of production 2020. parties and, if necessary, will consult In accordance with section 732(b) of accurately, as well as to develop with interested parties prior to the appropriate product-comparison the Tariff Act of 1930, as amended (the issuance of the preliminary Act), the petitioners allege that imports criteria. determination. If scope comments Interested parties may provide any of wire mesh from Mexico are being, or 9 include factual information, all such information or comments that they feel are likely to be, sold in the United States factual information should be limited to at less than fair value (LTFV) within the are relevant to the development of an public information. To facilitate accurate list of physical characteristics. meaning of section 731 of the Act, and preparation of its questionnaires, that imports of such products are Specifically, they may provide Commerce requests that all interested comments as to which characteristics materially injuring, or threatening parties submit such comments by 5:00 material injury to, the wire mesh are appropriate to use as: (1) General p.m. Eastern Time (ET) on August 10, product characteristics; and (2) product industry in the United States. Consistent 2020, which is the next business day with section 732(b)(1) of the Act, the comparison criteria. We note that it is after 20 calendar days from the not always appropriate to use all Petition is accompanied by information signature date of this notice.10 Any reasonably available to the petitioners product characteristics as product rebuttal comments, which may include comparison criteria. We base product supporting their allegations. factual information, must be filed by Commerce finds that the petitioners comparison criteria on meaningful 5:00 p.m. ET on , 2020, which filed the Petition on behalf of the commercial differences among products. is ten calendar days from the initial In other words, although there may be comment deadline. 1 Insteel Industries, Inc.; Mid South Wire some physical product characteristics Company; National Wire LLC; Oklahoma Steel & Commerce requests that any factual utilized by manufacturers to describe Wire Co.; and Wire Mesh Corp. (collectively, the information parties consider relevant to wire mesh, it may be that only a select petitioners). the scope of the investigation be few product characteristics take into 2 See Petitioners’ Letter, ‘‘Standard Steel Welded submitted during this period. However, account commercially meaningful Wire Mesh from Mexico—Petition for the if a party subsequently finds that Imposition of Antidumping and Countervailing physical characteristics. In addition, Duties,’’ dated June 30, 2020 (the Petition). interested parties may comment on the 6 3 Id. See infra, section on ‘‘Determination of Industry order in which the physical 4 See Commerce’s Letters, ‘‘Petitions for the Support for the Petition.’’ 7 characteristics should be used in Imposition of Antidumping Duties and See 19 CFR 351.204(b)(1). Countervailing Duties on Imports of Standard Steel 8 See Antidumping Duties; Countervailing Duties, matching products. Generally, Welded Wire Mesh from Mexico: Supplemental Final Rule, 62 FR 27296, 27323 (May 19, 1997) Questions’’; and ‘‘Petition for the Imposition of (Preamble). 11 See Antidumping and Countervailing Duty Antidumping Duties on Imports of Standard Steel 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual Proceedings: Electronic Filing Procedures; Welded Wire Mesh from Mexico: Supplemental information’’). Administrative Protective Order Procedures, 76 FR Questions,’’ both dated July 2, 2020. 10 See 19 CFR 351.303(b). Commerce practice 39263 (July 6, 2011); see also Enforcement and 5 See Petitioners’ Letters, ‘‘Standard Steel Welded dictates that where a deadline falls on a weekend Compliance; Change of Electronic Filing System Wire Mesh from Mexico—Petitioners’ Amendment or Federal holiday, the appropriate deadline is the Name, 79 FR 69046 (November 20, 2014) for details to Volume I Concerning General Issues,’’ (General next business day (in this instance, August 10, of Commerce’s electronic filing requirements, Issues Supplement); and ‘‘Standard Steel Welded 2020). See also Notice of Clarification: Application effective August 5, 2011. Information on help using Wire Mesh from Mexico—Petitioners’ Amendment of ‘‘Next Business Day’’ Rule for Administrative ACCESS can be found at https://access.trade.gov/ to Volume II Related to Antidumping Duties from Determination Deadlines Pursuant to the Tariff Act help.aspx and a handbook can be found at https:// Mexico,’’ (Mexico AD Supplement), both dated July of 1930, As Amended, 70 FR 24533 (May 10, 2005) access.trade.gov/help/Handbook_on_Electronic_ 7, 2020. (Next Business Day Rule). Filing_Procedures.pdf.

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Commerce attempts to list the most Commerce’s determination is subject to provided by the petitioners for purposes important physical characteristics first limitations of time and information. of measuring industry support.19 and the least important characteristics Although this may result in different From July 13 through 17, 2020, we last. definitions of the like product, such received comments on industry support In order to consider the suggestions of differences do not render the decision of from Deacero S.A.P.I. de C.V, a Mexican interested parties in developing and either agency contrary to law.14 producer, and its affiliated U.S. issuing the AD questionnaires, all Section 771(10) of the Act defines the importer, Deacero USA, Inc. product characteristics comments must domestic like product as ‘‘a product (collectively, Deacero).20 The petitioners be filed by 5:00 p.m. ET on August 10, which is like, or in the absence of like, responded to these industry support 2020, which is the next business day most similar in characteristics and uses comments on July 14 and 16, 2020, after 20 calendar days from the with, the article subject to an respectively.21 signature date of this notice.12 Any investigation under this title.’’ Thus, the Our review of the data provided in the rebuttal comments must be filed by 5:00 reference point from which the Petition, the General Issues Supplement, p.m. ET on August 20, 2020. All domestic like product analysis begins is and other information readily available comments and submissions to ‘‘the article subject to an investigation’’ to Commerce indicates that the Commerce must be filed electronically (i.e., the class or kind of merchandise to petitioners have established industry using ACCESS, as explained above. be investigated, which normally will be support for the Petition.22 First, the Petition established support from Determination of Industry Support for the scope as defined in the petition). domestic producers (or workers) the Petition With regard to the domestic like product, the petitioners do not offer a accounting for more than 50 percent of Section 732(b)(1) of the Act requires definition of the domestic like product the total production of the domestic like that a petition be filed on behalf of the distinct from the scope of the product, and, as such, Commerce is not domestic industry. Section 732(c)(4)(A) investigation.15 Based on our analysis of required to take further action in order of the Act provides that a petition meets the information submitted on the to evaluate industry support (e.g., this requirement if the domestic record, we have determined that wire polling).23 Second, the domestic producers or workers who support the mesh, as defined in the scope, producers (or workers) have met the petition account for: (i) At least 25 constitutes a single domestic like statutory criteria for industry support percent of the total production of the product, and we have analyzed industry under section 732(c)(4)(A)(i) of the Act domestic like product; and (ii) more support in terms of that domestic like because the domestic producers (or than 50 percent of the production of the product.16 workers) who support the Petition domestic like product produced by that In determining whether the account for at least 25 percent of the portion of the industry expressing petitioners have standing under section total production of the domestic like support for, or opposition to, the 732(c)(4)(A) of the Act, we considered product.24 Finally, the domestic petition. Moreover, section 732(c)(4)(D) the industry support data contained in producers (or workers) have met the of the Act provides that, if the petition the Petition with reference to the statutory criterion for industry support does not establish support of domestic domestic like product as defined in the under section 732(c)(4)(A)(ii) of the Act producers or workers accounting for ‘‘Scope of the Investigation,’’ in the because the domestic producers (or more than 50 percent of the total appendix to this notice. To establish workers) who support the Petition production of the domestic like product, industry support, the petitioners account for more than 50 percent of the Commerce shall: (i) Poll the industry or provided their 2019 production of the production of the domestic like product rely on other information in order to domestic like product, as well as the produced by that portion of the industry determine if there is support for the 2019 production of Davis Wire expressing support for, or opposition to, petition, as required by subparagraph Corporation and Liberty Steel USA, the Petition.25 Accordingly, Commerce (A); or (ii) determine industry support supporters of the Petition.17 The determines that the Petition was filed on using a statistically valid sampling petitioners compared the production of behalf of the domestic industry within method to poll the ‘‘industry.’’ the supporters of the Petition to the Section 771(4)(A) of the Act defines 19 estimated total production of the Id. For further discussion, see Mexico AD the ‘‘industry’’ as the producers as a Initiation Checklist at Attachment II. domestic like product for the entire whole of a domestic like product. Thus, 20 See Deacero’s Letter, ‘‘Standard Steel Welded domestic industry.18 We relied on data to determine whether a petition has the Wire Mesh from Mexico—Request to Clarify Scope requisite industry support, the statute and to Poll Domestic Industry,’’ dated July 13, 2020; 14 See USEC, Inc. v. United States, 132 F. Supp. Deacero’s Letter, ‘‘Standard Steel Welded Wire directs Commerce to look to producers 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. Mesh from Mexico—Continued Request to Clarify and workers who produce the domestic v. United States, 688 F. Supp. 639, 644 (CIT 1988), Scope and to Poll Domestic Industry,’’ dated July like product. The International Trade aff’d 865 F.2d 240 (Fed. Cir. 1989)). 15, 2020; and Deacero’s Letter, ‘‘Standard Steel 15 See Volume I of the Petition at 16–17; see also Welded Wire Mesh from Mexico—Third Request to Commission (ITC), which is responsible Clarify Scope and to Poll Domestic Industry,’’ dated for determining whether ‘‘the domestic General Issues Supplement at 9–10. 16 For a discussion of the domestic like product July 17, 2020. industry’’ has been injured, must also analysis as applied to this case and information 21 See Petitioners’ Letter, ‘‘Standard Steel Welded determine what constitutes a domestic regarding industry support, see Antidumping Duty Wire Mesh from Mexico—Petitioners’ Response to like product in order to define the Investigation Initiation Checklist: Standard Steel Deacero’s Request to Clarify Scope and to Poll Domestic Industry,’’ dated July 14, 2020; see also industry. While both Commerce and the Welded Wire Mesh from Mexico (Mexico AD Initiation Checklist) at Attachment II, ‘‘Analysis of Petitioners’ Letter, ‘‘Standard Steel Welded Wire ITC must apply the same statutory Industry Support for the Antidumping and Mesh from Mexico—Petitioners’ Response to definition regarding the domestic like Countervailing Duty Petitions Covering Standard Deacero’s Second Request to Clarify Scope and to product,13 they do so for different Steel Welded Wire Mesh from Mexico’’ Poll Domestic Industry,’’ dated July 16, 2020. 22 purposes and pursuant to a separate and (Attachment II), dated concurrently with this notice Id. and on file electronically via ACCESS. 23 See Mexico AD Initiation Checklist at distinct authority. In addition, 17 See Volume I of the Petition at 3–4 and Exhibit Attachment II.; see also section 732(c)(4)(D) of the GEN–3. Act. 12 See 19 CFR 351.303(b); and Next Business Day 18 See Volume I of the Petition at 3–4 and Exhibits 24 See Mexico AD Initiation Checklist at Rule. GEN–1 and GEN–3; see also General Issues Attachment II. 13 See section 771(10) of the Act. Supplement at 11 and Exhibit GEN–SUPP–3. 25 Id.

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the meaning of section 732(b)(1) of the Normal Value 31 later than 140 days after the date of this 26 Act. The petitioners based NV on a home initiation. Allegations and Evidence of Material market price quote obtained through Respondent Selection Injury and Causation market research for wire mesh produced in and sold, or offered for sale, in In the Petition, the petitioners named The petitioners allege that the U.S. Mexico within the applicable time nine companies in Mexico 36 as industry producing the domestic like period.32 The petitioners provided producers/exporters of wire mesh. product is being materially injured, or is information indicating that the price Following standard practice in AD threatened with material injury, by quote was below the COP and, therefore, investigations involving market reason of the imports of the subject the petitioners also calculated NV based economy countries, in the event merchandise sold at LTFV. In addition, on constructed value (CV). Commerce determines that the number the petitioners allege that subject For further discussion of CV, see the of exporters or producers in any imports exceed the negligibility section ‘‘Normal Value Based on individual case is large such that threshold provided for under section Constructed Value.’’ Commerce cannot individually examine 27 each company based upon its resources, 771(24)(A) of the Act. Normal Value Based on Constructed where appropriate, Commerce intends The petitioners contend that the Value to select mandatory respondents in that industry’s injured condition is As noted above, the petitioners case based on U.S. Customs and Border illustrated by a significant and provided information indicating that the Protection (CBP) data for U.S. imports increasing volume of subject imports; price charged for wire mesh produced under the appropriate Harmonized reduced market share; underselling and in and sold, or offered for sale, in Tariff Schedule of the United States price depression and/or suppression; Mexico was below the COP. numbers listed in the ‘‘Scope of the lost sales and revenues; decreasing Accordingly, the petitioners also based Investigation,’’ in the appendix. capacity utilization rates and shipments; NV on CV.33 Pursuant to section 773(e) declines in employment variables; and On July 14, 2020, Commerce released of the Act, the petitioners calculated CV CBP data on imports of wire mesh from declining financial performance and as the sum of the cost of manufacturing; Mexico under Administrative Protective operating income.28 We assessed the selling, general, and administrative Order (APO) to all parties with access to allegations and supporting evidence expenses; financial expenses; and information protected by APO and 34 regarding material injury, threat of profit. indicated that interested parties wishing material injury, causation, as well as Fair Value Comparisons to comment on the CBP data must do so negligibility, and we have determined within three business days of the that these allegations are properly Based on the data provided by the publication date of the notice of supported by adequate evidence, and petitioners, there is reason to believe initiation of this investigation.37 meet the statutory requirements for that imports of wire mesh from Mexico Comments must be filed electronically 29 initiation. are being, or are likely to be, sold in the using ACCESS. An electronically-filed United States at LTFV. Based on Allegations of Sales at LTFV document must be received successfully comparisons of EP to NV in accordance in its entirety via ACCESS by 5:00 p.m. The following is a description of the with sections 772 and 773 of the Act, ET on the specified deadline. Commerce allegations of sales at LTFV upon which the estimated dumping margins for wire will not accept rebuttal comments mesh for Mexico range from 64.07 to regarding the CBP data or respondent Commerce based its decision to initiate 35 an AD investigation of imports of wire 152.68 percent. selection. mesh from Mexico. The sources of data Initiation of LTFV Investigation Interested parties must submit for the deductions and adjustments Based upon the examination of the applications for disclosure under APO relating to U.S. price and normal value Petition and supplemental responses, in accordance with 19 CFR 351.305(b). (NV) are discussed in greater detail in we find that they meet the requirements Instructions for filing such applications the Mexico AD Initiation Checklist. of section 732 of the Act. Therefore, we may be found on Commerce’s website at http://enforcement.trade.gov/apo. U.S. Price are initiating an AD investigation to determine whether imports of wire Distribution of Copies of the AD The petitioners based EP on pricing mesh from Mexico are being, or are Petition information for a sale of wire mesh likely to be, sold in the United States at produced in and exported from Mexico. LTFV. In accordance with section In accordance with section The petitioners made certain 733(b)(1)(A) of the Act and 19 CFR 732(b)(3)(A) of the Act and 19 CFR adjustments to U.S. price to calculate a 351.205(b)(1), unless postponed, we will 351.202(f), copies of the public version net ex-factory U.S. price.30 make our preliminary determination no of the AD Petition has been provided to the Government of Mexico via ACCESS. 26 Id. 31 In accordance with section 773(b)(2) of the Act, To the extent practicable, we will 27 See Volume I of the Petition at 18–19 and for this investigation, Commerce will request attempt to provide a copy of the public Exhibit GEN–9. information necessary to calculate the constructed version of the AD Petition to each 28 See Volume I of the Petition at 9–10, 15, 18– value and cost of production (COP) to determine exporter named in the AD Petition, as 27 and Exhibits GEN–1, GEN–5, GEN–6 and GEN– whether there are reasonable grounds to believe or 9 through GEN–12; see also General Issues suspect that sales of the foreign like product have provided under 19 CFR 351.203(c)(2). Supplement at 11 and Exhibit GEN–SUPP–5. been made at prices that represent less than the 29 See Mexico AD Initiation Checklist at COP of the product. 36 See Volume I of the Petition at Exhibit GEN– Attachment III, Analysis of Allegations and 32 See Mexico AD Initiation Checklist. 7. Evidence of Material Injury and Causation for the 33 See Mexico AD Initiation Checklist for details 37 See Memorandum, ‘‘Antidumping Duty Antidumping and Countervailing Duty Petitions of calculations. Investigation of Standard Steel Welded Wire Mesh Covering Standard Steel Welded Wire Mesh from 34 See Mexico AD Initiation Checklist. from Mexico: Release of Customs Data from U.S. Mexico. 35 See Mexico AD Initiation Checklist for details Customs and Border Protection,’’ dated July 14, 30 See Mexico AD Initiation Checklist. of calculations. 2020.

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ITC Notification another calculation methodology under and completeness of that information.42 We will notify the ITC of our this subtitle or any other calculation Parties must use the certification initiation, as required by section 732(d) methodology.’’ When an interested formats provided in 19 CFR 43 of the Act. party submits a PMS allegation pursuant 351.303(g). Commerce intends to to section 773(e) of the Act, Commerce reject factual submissions if the Preliminary Determinations by the ITC will respond to such a submission submitting party does not comply with The ITC will preliminarily determine, consistent with 19 CFR 351.301(c)(2)(v). the applicable certification within 45 days after the date on which If Commerce finds that a PMS exists requirements. under section 773(e) of the Act, then it the AD Petition was filed, whether there Notification to Interested Parties is a reasonable indication that imports will modify its dumping calculations of wire mesh from Mexico are materially appropriately. Interested parties must submit injuring, or threatening material injury Neither section 773(e) of the Act, nor applications for disclosure under APO to, a U.S. industry.38 A negative ITC 19 CFR 351.301(c)(2)(v), set a deadline in accordance with 19 CFR 351.305. On determination will result in the for the submission of PMS allegations January 22, 2008, Commerce published investigation being terminated.39 and supporting factual information. Antidumping and Countervailing Duty Otherwise, the AD investigation will However, in order to administer section Proceedings: Documents Submission proceed according to statutory and 773(e) of the Act, Commerce must Procedures; APO Procedures, 73 FR regulatory time limits. receive PMS allegations and supporting 3634 (January 22, 2008). Parties wishing to participate in this investigation Submission of Factual Information factual information with enough time to consider the submission. Thus, should should ensure that they meet the Factual information is defined in 19 an interested party wish to submit a requirements of these procedures (e.g., CFR 351.102(b)(21) as: (i) Evidence PMS allegation and supporting new the filing of letters of appearance as submitted in response to questionnaires; factual information pursuant to section discussed at 19 CFR 351.103(d)). Note (ii) evidence submitted in support of 773(e) of the Act, it must do so no later that Commerce has temporarily allegations; (iii) publicly available than 20 days after submission of a modified certain portions of its information to value factors under 19 respondent’s initial section D requirements for serving documents CFR 351.408(c) or to measure the questionnaire response. containing business proprietary adequacy of remuneration under 19 CFR information, until further notice.44 351.511(a)(2); (iv) evidence placed on Extensions of Time Limits This notice is issued and published the record by Commerce; and (v) Parties may request an extension of pursuant to sections 732(c)(2) and 777(i) evidence other than factual information time limits before the expiration of a of the Act, and 19 CFR 351.203(c). described in (i)–(iv). Section 351.301(b) time limit established under 19 CFR Dated: July 20, 2020. of Commerce’s regulations requires any 351.301 or as otherwise specified by Jeffrey I. Kessler, party, when submitting factual Commerce. In general, an extension Assistant Secretary for Enforcement and information, to specify under which request will be considered untimely if it Compliance. subsection of 19 CFR 351.102(b)(21) the is filed after the expiration of the time 40 Appendix information is being submitted and, if limit established under 19 CFR 351.301. the information is submitted to rebut, For submissions that are due from Scope of the Investigation clarify, or correct factual information multiple parties simultaneously, an The scope of this investigation covers already on the record, to provide an extension request will be considered uncoated standard welded steel explanation identifying the information untimely if it is filed after 10:00 a.m. ET reinforcement wire mesh (wire mesh) already on the record that the factual on the due date. Under certain produced from smooth or deformed wire. information seeks to rebut, clarify, or circumstances, we may elect to specify Subject wire mesh is produced in square and correct.41 Time limits for the a different time limit by which rectangular grids of uniformly spaced steel wires that are welded at all intersections. submission of factual information are extension requests will be considered addressed in 19 CFR 351.301, which Sizes are specified by combining the spacing untimely for submissions which are due of the wires in inches or millimeters and the provides specific time limits based on from multiple parties simultaneously. In wire cross-sectional area in hundredths of the type of factual information being such a case, we will inform parties in a square inch or millimeters squared. Subject submitted. Interested parties should letter or memorandum of the deadline wire mesh may be packaged and sold in rolls review the regulations prior to (including a specified time) by which or in sheets. submitting factual information in this extension requests must be filed to be Subject wire mesh is currently produced to investigation. considered timely. An extension request ASTM specification A1064/A1064M, which covers carbon-steel wire and welded wire Particular Market Situation Allegation must be made in a separate, stand-alone reinforcement, smooth and deformed, for submission; under limited Section 773(e) of the Act addresses concrete in the following seven styles: circumstances we will grant untimely- the concept of particular market 1. 6x6 W1.4/W1.4 or D1.4/D1.4 filed requests for the extension of time situation (PMS) for purposes of CV, 2. 6x6 W2.1/W2.1 or D2.1/D2.1 limits. Parties should review Extension stating that ‘‘if a particular market 3. 6x6 W2.9/W2.9 or D2.9/D2.9 of Time Limits; Final Rule, 78 FR 57790 4. 6x6 W4/W4 or D4/D4 situation exists such that the cost of (September 20, 2013), available at materials and fabrication or other http://www.gpo.gov/fdsys/pkg/FR-2013- 42 See section 782(b) of the Act. processing of any kind does not 09-20/html/2013-22853.htm, prior to 43 See Certification of Factual Information to accurately reflect the cost of production submitting factual information in this Import Administration During Antidumping and in the ordinary course of trade, the Countervailing Duty Proceedings, 78 FR 42678 (July investigation. administering authority may use 17, 2013) (Final Rule). Answers to frequently asked questions regarding the Final Rule are available at Certification Requirements http://enforcement.trade.gov/tlei/notices/factual_ 38 See section 733(a) of the Act. Any party submitting factual info_final_rule_FAQ_07172013.pdf. 39 Id. 44 See Temporary Rule Modifying AD/CVD 40 See 19 CFR 351.301(b). information in an AD or CVD Service Requirements Due to COVID–19; Extension 41 See 19 CFR 351.301(b)(2). proceeding must certify to the accuracy of Effective Period, 85 FR 41363 (July 10, 2020).

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5. 6x12 W4/W4 or D4/D4 gauge) gauge) 6. 4x4 W2.9/W2.9 or D2.9/D2.9 Roll Sizes: 5′ x 150′ Sheet Size: 5′ x 10′ 7. 4x4 W4/W4 or D4/D4 7′ x 200′ 7′ x 20′ The first number in the style denotes the All rolled wire mesh is included in scope 7′6″ x 20′ nominal spacing between the longitudinal regardless of length. 8′ x 12′6″ wires and the second number denotes the Sheets of subject wire mesh are produced 8′ x 12′8″ nominal spacing between the transverse in the following styles and nominal width 8′ x 15′ wires. In the first style listed above, for and length combinations: 8′ x 20′ example, ‘‘6x6’’ denotes a grid size of six Style: 6x6 W1.4/W1.4 or D1.4/D1.4 (i.e., 10 Style: 4x4 W4/W4 or D4/D4 (i.e., 4 gauge) inches by six inches. ‘‘W’’ denotes the use of gauge) Sheet Size: 5′ x 10′ smooth wire, and ‘‘D’’ denotes the use of Sheet Size: 3′6″ x 7′ 8′ x 12′6″ deformed wire in making the mesh. The ′ ′ 4 x 7 8′ x 12′8″ number following the W or D denotes the 4′ x 7′6″ ′ ′ nominal cross-sectional area of the transverse ′ ′ 8 x 15 5 x 10 8′ x 20′ and longitudinal wires in hundredths of a 7′ x 20′ square inch (i.e., W1.4 or D1.4 is .014 square 7′6″ x 20′ Any product imported, sold, or invoiced in inches). 8′ x 12′6″ one of these size combinations is within the Smooth wire is wire that has a uniform 8′ x 15′ scope. cross-sectional diameter throughout the 8′ x 20′ ASTM specification A1064/A1064M length of the wire. Style: 6x6 W2.1/W2.1 or D2.1/D2.1 (i.e., 8 provides for permissible variations in wire Deformed wire is wire with indentations or gauge) gauges, the spacing between transverse and raised transverse ribs, which results in wire Sheet Size: 5′ x 10′ longitudinal wires, and the length and width that does not have a uniform cross-sectional 7′ x 20′ combinations. To the extent a roll or sheet of diameter throughout the length of the wire. ′ ″ ′ 7 6 x 20 welded wire mesh falls within these Rolls of subject wire mesh are produced in 8′ x 12′6″ the following styles and nominal width and ′ ′ permissible variations, it is within this scope. 8 x 15 ASTM specification A1064/A1064M also length combinations: 8′ x 20′ defines permissible oversteeling, which is the Style: 6x6 W1.4/W1.4 or D1.4/D1.4 (i.e., 10 Style: 6x6 W2.9/W2.9 or D2.9/D2.9 (i.e., 6 use of a heavier gauge wire with a larger gauge) gauge) Roll Sizes: 5′ x 50′ Sheet Size: 3′6″ x 20′ cross-sectional area than nominally specified. 5′ x 150′ 5′ x 10′ It also permits a wire diameter tolerance of ± 6′ x 150′ 7′ x 20′ 0.003 inches for products up to W5/D5 and ± 5′ x 200′ 7′6″ x 20′ 0.004 for sizes over W5/D5. A producer 7′ x 200′ 8′ x 12′6″ may oversteel by increasing smooth or 7.5′ x 200′ 8′ x 15′ deformed wire diameter up to two whole Style: 6x6 W2.1/W2.1 or D2.1/D2.1 (i.e., 8 8′ x 20′ number size increments on Table 1 of A1064. gauge) Style: 6x12 W4/W4 or D4/D4 (i.e., 4 gauge) Subject wire mesh has the following actual Roll Sizes: 5′ x 150′ Sheet Size: 8′ x 20′ wire diameter ranges, which account for both Style: 6x6 W2.9/W2.9 or D2.9/D2.9 (i.e., 6 Style: 4x4 W2.9/W2.9 or D2.9/D2.9 (i.e., 6 oversteeling and diameter tolerance:

Maximum W/D No. oversteeling Diameter range No. (inch)

1.4 (i.e., 10 gauge) ...... 3.4 0.093 to 0.211 2.1 (i.e., 8 gauge) ...... 4.1 0.161 to 0.231 2.9 (i.e., 6 gauge) ...... 4.9 0.189 to 0.253 4.0 (i.e., 4 gauge) ...... 6.0 0.223 to 0.280

To the extent a roll or sheet of welded wire proprietary specifications is included in the DEPARTMENT OF COMMERCE mesh falls within the permissible variations scope. provided above, it is within this scope. Excluded from the scope is wire mesh that International Trade Administration In addition to the tolerances permitted in is galvanized (i.e., coated with zinc) or coated ASTM specification A1064/A1064M, wire with an epoxy coating. In order to be Notice of Amendment to the mesh within this scope includes excluded as galvanized, the excluded welded Cybersecurity Business Development combinations where: Mission to Peru, Chile, and Uruguay, 1. A width and/or length combination wire mesh must have a zinc coating thickness varies by ± one grid size in any direction, i.e., meeting the requirements of ASTM With an Optional Stop in Argentina ± specification A641/A641M. Epoxy coating is 6 inches in length or width where the wire AGENCY: International Trade mesh’s grid size is ‘‘6x6’’; and/or a mix of epoxy resin and hardener that can Administration, Department of 2. The center-to-center spacing between be applied to the surface of steel wire. individual wires may vary by up to one Merchandise subject to this investigation Commerce. quarter of an inch from the nominal grid size are classified under Harmonized Tariff ACTION: Notice. specified. Schedule of the United States (HTSUS) SUMMARY: The United States Department Length is measured from the ends of any categories 7314.20.0000 and 7314.39.0000. wire and width is measured between the of Commerce, International Trade While HTSUS subheadings are provided for center-line of end longitudinal wires. Administration, is amending the Notice convenience and customs purposes, the Additionally, although the subject wire published March 2, 2020, regarding the mesh typically meets ASTM A1064/A1064M, written description of the scope of this investigation is dispositive. Cybersecurity Business Development the failure to include certifications, test Mission to Peru, Chile, and Uruguay, reports or other documentation establishing [FR Doc. 2020–16185 Filed 7–24–20; 8:45 am] that the product meets this specification does with an optional stop in Argentina, not remove the product from the scope. Wire BILLING CODE 3510–DS–P scheduled from –9, 2020, to mesh made to comparable foreign amend the dates and deadline for specifications (e.g., DIN, JIS, etc.) or submitting applications for the event.

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SUPPLEMENTARY INFORMATION: Development Mission to Peru, Chile, submitted an application are Amendments to Revise the Trade and Uruguay, with an optional stop in encouraged to do so. The schedule is Mission Dates, and Deadline for Argentina, which have been modified updated as follows: Submitting Applications. from October 5–9, and 13, 2020, to –5, and 8, 2021. The new Proposed Timetable Background deadline for applications has been * Note: The final schedule and The United States Department of extended to , 2020. potential site visits will depend on the Commerce, International Trade Applications may be accepted after that availability of host government and Administration, is amending the Notice date if space remains and scheduling business officials, specific goals of published at 85 FR 12259 (, constraints permit. Interested U.S. 2020), regarding the dates of ITA’s companies and trade associations/ mission participants, and ground planned Cybersecurity Business organizations that have not already transportation.

Sunday, February 28, 2021 ...... • Trade Mission Participants Arrive in Lima, Peru. Monday, March 1, 2021 ...... • Welcome and Country Briefing (Peru). • Presentations and/or cabinet/ministry meetings. • Networking Lunch. • One-on-One business matchmaking appointments. • Networking Reception at Ambassador’s residence (TBC). Tuesday, March 2, 2021...... • Travel to Santiago, Chile. • Welcome and Country Briefing (Chile). • Presentations. Wednesday, March 3, 2021 ...... • One-on-One business matchmaking appointments. • Networking Lunch. • Cabinet/Ministry meetings. • Networking Reception at Ambassador’s residence (TBC). Thursday, , 2021 ...... • (Morning) Travel to Montevideo, Uruguay. • (Afternoon) Welcome and Briefing. • Presentations by Uruguayan government entities. Friday, March 5, 2021 ...... • (Morning) Business atchmaking. • Closing Ambassador’s reception (TBC). • (Afternoon) Trade mission participants depart for optional Argentina stop or return home. Saturday–Sunday, March 6–7, 2021 ...... • Travel day (End of Mission) or free time for Argentina optional stop participants. Tuesday, , 2021 (Optional) ...... • Welcome and Country Briefing (Argentina). • One-on-One business matchmaking appointments.

The U.S. Department of Commerce Argentina Constitution Avenue NW, Washington, will review applications and make DC 20230; telephone: (202) 482–0486. Karen Ballard, Commercial Officer, U.S. selection decisions on a rolling basis in Embassy—Santiago, Chile, SUPPLEMENTARY INFORMATION: accordance with the Notice published at [email protected] 85 FR 12259 (March 10, 2020). The The Petition applicants selected will be notified as Gemal Brangman, On June 30, 2020, the Department of soon as possible. Senior Advisor, Trade Missions, ITA Events Commerce (Commerce) received a countervailing duty (CVD) petition Contacts Management Task Force. [FR Doc. 2020–16139 Filed 7–24–20; 8:45 am] concerning imports of silicon metal Gemal Brangman, Senior Advisor, Trade BILLING CODE 3510–DR–P from the Republic of Kazakhstan Missions, Trade Events Task Force, (Kazakhstan), filed in proper form on Washington, DC, 202–482–3773, behalf of the petitioners,1 domestic [email protected] DEPARTMENT OF COMMERCE producers of silicon metal.2 The Petition Paul Matino, Senior International Trade was accompanied by antidumping duty Specialist, Baltimore, MD—USEAC, International Trade Administration (AD) petitions concerning imports of 410–962–4539, Paul.Matino@ silicon metal from Bosnia and trade.gov [C–834–811] Herzegovina, Iceland, and Malaysia. Peru On July 6 and 7, 2020, Commerce Silicon Metal from the Republic of requested supplemental information Leon Skarshinski, Commercial Officer, Kazakhstan: Initiation of pertaining to certain aspects of the U.S. Embassy—Lima, Peru, Countervailing Duty Investigation Petition in separate supplemental [email protected] questionnaires.3 The petitioners filed AGENCY: Enforcement and Compliance, Chile International Trade Administration, 1 The petitioners are Globe Specialty Metals, Inc. Joshua Leibowitz, Commercial Officer, Department of Commerce. and Mississippi Silicon LLC. U.S. Embassy—Santiago, Chile, 2 DATES: Applicable July 20, 2020. See Petitioners’ Letter, ‘‘Petitions for the [email protected] Imposition of Antidumping and Countervailing FOR FURTHER INFORMATION CONTACT: Duties: Silicon Metal from Bosnia and Herzegovina, Uruguay Justin Neuman; AD/CVD Operations, Iceland, the Republic of Kazakhstan, and Malaysia,’’ dated June 30, 2020 (the Petition). Matthew Poole, Senior Commercial Office V, Enforcement and Compliance, 3 See Commerce’s Letters, ‘‘Petitions for the Officer, U.S. Embassy—Montevideo, International Trade Administration, Imposition of Antidumping Duties on Imports of Uruguay, [email protected] U.S. Department of Commerce, 1401 Continued

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responses to the supplemental issuance of the preliminary Determination of Industry Support for questionnaires on and 10, 2020, determination. If scope comments the Petition 4 7 respectively. include factual information, all such Section 702(b)(1) of the Act requires In accordance with section 702(b)(1) factual information should be limited to that a petition be filed on behalf of the of the Tariff Act of 1930, as amended public information. Commerce requests domestic industry. Section 702(c)(4)(A) (the Act), the petitioners allege that the that all interested parties submit such of the Act provides that a petition meets Government of Kazakhstan (GOK) is comments by 5:00 p.m. Eastern Time this requirement if the domestic providing countervailable subsidies, (ET) on August 10, 2020, which is 21 producers or workers who support the within the meaning of sections 701 and calendar days from the signature date of petition account for: (i) at least 25 771(5) of the Act, to producers of silicon this notice. Any rebuttal comments, percent of the total production of the metal in Kazakhstan, and that imports of which may include factual information, domestic like product; and (ii) more such products are materially injuring, or must be filed by 5:00 p.m. ET on August than 50 percent of the production of the threatening material injury to, the 20, 2020, which is 10 calendar days domestic like product produced by that domestic silicon metal industry in the from the initial comment deadline. portion of the industry expressing United States. Consistent with section Commerce requests that any factual support for, or opposition to, the 702(b)(1) of the Act and 19 CFR information parties consider relevant to petition. Moreover, section 702(c)(4)(D) 351.202(b), for those alleged programs the scope of the investigation be of the Act provides that, if the petition on which we are initiating a CVD submitted during this period. However, does not establish support of domestic investigation, the petitioners provided if a party subsequently finds that producers or workers accounting for reasonably available information in the additional factual information more than 50 percent of the total Petition to support their allegations. pertaining to the scope of the production of the domestic like product, Commerce finds that the petitioners investigation may be relevant, the party Commerce shall: (i) Poll the industry or filed the Petition on behalf of the may contact Commerce and request rely on other information in order to domestic industry, because the permission to submit the additional determine if there is support for the petitioners are an interested party, as information. All such submissions must petition, as required by subparagraph defined in section 771(9)(C) of the Act. also be filed on the records of the (A); or (ii) determine industry support Commerce also finds that the petitioners concurrent AD investigations. using a statistically valid sampling demonstrated sufficient industry Filing Requirements method to poll the ‘‘industry.’’ support necessary for the initiation of Section 771(4)(A) of the Act defines the requested CVD investigation.5 All submissions to Commerce must be the ‘‘industry’’ as the producers as a filed electronically via Enforcement and Period of Investigation whole of a domestic like product. Thus, Compliance’s AD and CVD Centralized to determine whether a petition has the Because the Petition was filed on June Electronic Service System (ACCESS), requisite industry support, the statute 8 30, 2020, the period of investigation is unless an exception applies. An directs Commerce to look to producers , 2019 through December 31, electronically-filed document must be and workers who produce the domestic 2019. received successfully in its entirety by like product. The International Trade the time and date it is due. Scope of the Investigation Commission (ITC), which is responsible for determining whether ‘‘the domestic The product covered by this Consultations industry’’ has been injured, must also investigation is silicon metal from Pursuant to sections 702(b)(4)(A)(i) determine what constitutes a domestic Kazakhstan. For a full description of the and (ii) of the Act, Commerce notified like product in order to define the scope of this investigation, see the representatives of the GOK of the receipt industry. While both Commerce and the appendix to this notice. of the Petition and provided them the opportunity for consultations with ITC must apply the same statutory Scope Comments 9 definition regarding the domestic like respect to the Petition. Consultations 12 As discussed in the Preamble to were held with the GOK on July 13, product, they do so for different Commerce’s regulations, we are setting 2020.10 The GOK submitted purposes and pursuant to a separate and aside a period for interested parties to consultation remarks on July 14, 2020.11 distinct authority. In addition, raise issues regarding product coverage Commerce’s determination is subject to (i.e., scope).6 Commerce will consider 7 See 19 CFR 351.102(b)(21) (defining ‘‘factual limitations of time and information. all comments received from interested information’’). Although this may result in different parties and, if necessary, will consult 8 See Antidumping and Countervailing Duty definitions of the like product, such with interested parties prior to the Proceedings: Electronic Filing Procedures; differences do not render the decision of Administrative Protective Order Procedures, 76 FR either agency contrary to law.13 39263 (July 6, 2011); see also Enforcement and Silicon Metal from Bosnia and Herzegovina, Compliance; Change of Electronic Filing System Section 771(10) of the Act defines the Iceland, and Malaysia and Countervailing Duties on Name, 79 FR 69046 (November 20, 2014), for details domestic like product as ‘‘a product Imports from Kazakhstan: Supplemental of Commerce’s electronic filing requirements, which is like, or in the absence of like, Questions,’’ dated July 6, 2020; and ‘‘Petition for the effective August 5, 2011. Information on help using most similar in characteristics and uses Imposition of Countervailing Duties on Imports of ACCESS can be found at https://access.trade.gov/ Silicon Metal from Kazakhstan: Supplemental help.aspx, and a handbook can be found at https:// with, the article subject to an Questions,’’ dated July 7, 2020. access.trade.gov/help/Handbook%20on investigation under this title.’’ Thus, the 4 See Petitioners’ Letters, ‘‘Silicon Metal from %20Electronic%20Filling%20Procedures.pdf. reference point from which the Bosnia and Herzegovina, Iceland, and Malaysia and 9 See Commerce’s Letter, ‘‘Countervailing Duty domestic like product analysis begins is Kazakhstan: General Volume Petition Supplement,’’ Petition on Silicon Metal from Kazakhstan: ‘‘the article subject to an investigation’’ dated July 8, 2020 (General Issues Supplement); and Invitation for Consultations,’’ dated July 1, 2020. ‘‘Silicon Metal from Kazakhstan: Volume V Petition 10 See Memorandum, ‘‘Consultations with (i.e., the class or kind of merchandise to Supplement,’’ dated July 10, 2020. Officials from the Government of the Republic of 5 See the ‘‘Determination of Industry Support for Kazakhstan Regarding the Countervailing Duty 12 See section 771(10) of the Act. the Petition’’ section, infra. Investigation of Silicon Metal from the Republic of 13 See USEC, Inc. v. United States, 132 F. Supp. 6 See Antidumping Duties; Countervailing Duties, Kazakhstan,’’ dated July 14, 2020. 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. Final Rule, 62 FR 27296, 27323 (May 19, 1997) 11 See GOK’s Letter, ‘‘Silicon Metal from v. United States, 688 F. Supp. 639, 644 (CIT 1988), (Preamble). Kazakhstan,’’ dated July 14, 2020. aff’d 865 F.2d 240 (Fed. Cir. 1989)).

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be investigated, which normally will be to evaluate industry support (e.g., assessed the allegations and supporting the scope as defined in the petition). polling).20 Second, the domestic evidence regarding material injury, With regard to the domestic like producers (or workers) have met the threat of material injury, causation, and product, the petitioners do not offer a statutory criteria for industry support negligibility, and we have determined definition of the domestic like product under section 702(c)(4)(A)(i) of the Act that these allegations are properly distinct from the scope of the because the domestic producers (or supported by adequate evidence and investigation.14 Based on our analysis of workers) who support the Petition meet the statutory requirements for the information submitted on the account for at least 25 percent of the initiation.26 record, we have determined that silicon total production of the domestic like Initiation of CVD Investigation metal, as defined in the scope, product.21 Finally, the domestic constitutes a single domestic like producers (or workers) have met the Based upon an examination of the product, and we have analyzed industry statutory criteria for industry support Petition and supplemental responses, support in terms of that domestic like under section 702(c)(4)(A)(ii) of the Act we find that the Petition meets the product.15 because the domestic producers (or requirements of section 702 of the Act. In determining whether the workers) who support the Petition Therefore, we are initiating a CVD petitioners have standing under section account for more than 50 percent of the investigation to determine whether 702(c)(4)(A) of the Act, we considered production of the domestic like product imports of silicon metal from the industry support data contained in produced by that portion of the industry Kazakhstan benefit from countervailable the Petition with reference to the expressing support for, or opposition to, subsidies conferred by the GOK. domestic like product as defined in the the Petition.22 Accordingly, Commerce Based on our review of the Petition, ‘‘Scope of the Investigation,’’ in the determines that the Petition was filed on we find that there is sufficient appendix to this notice. To establish behalf of the domestic industry within information to initiate a CVD industry support, the petitioners the meaning of section 702(b)(1) of the investigation on all eight of the alleged provided their actual 2019 production Act.23 programs. For a full discussion of the of the domestic like product.16 To basis for our decision to initiate on each estimate the 2019 production for the Injury Test program, see Kazakhstan CVD Initiation entire U.S. silicon metal industry, the Because Kazakhstan is a ‘‘Subsidies Checklist. A public version of the petitioners relied on their own 2019 Agreement Country’’ within the initiation checklist for this investigation production data and estimated meaning of section 701(b) of the Act, is available on ACCESS. In accordance production data reported for the non- section 701(a)(2) of the Act applies to with section 703(b)(1) of the Act and 19 petitioning producer (DC Alabama).17 this investigation. Accordingly, the ITC CFR 351.205(b)(1), unless postponed, We relied on data provided by the must determine whether imports of the we will make our preliminary petitioners for purposes of measuring subject merchandise from Kazakhstan determination no later than 65 days industry support.18 materially injure, or threaten material after the date of this initiation. Our review of the data provided in the injury to, a U.S. industry. Respondent Selection Petition, the General Issues Supplement, and other information readily available Allegations and Evidence of Material In the Petition, the petitioners named to Commerce indicates that the Injury and Causation two companies as producers of silicon petitioners have established industry The petitioners allege that imports of metal in Kazakhstan, as well as two support for the Petition.19 First, the the subject merchandise are benefitting additional companies as potential Petition established support from from countervailable subsidies and that exporters.27 On July 10, 2020, domestic producers (or workers) such imports are causing, or threaten to Commerce released U.S. Customs and accounting for more than 50 percent of cause, material injury to the U.S. Border Protection (CBP) data for U.S. the total production of the domestic like industry producing the domestic like imports of silicon metal from product and, as such, Commerce is not product. In addition, the petitioners Kazakhstan under the appropriate required to take further action in order allege that subject imports exceed the Harmonized Tariff Schedule of the negligibility threshold provided for United States numbers listed in the 14 See Volume I of the Petition at 25–28. under section 771(24)(A) of the Act.24 appendix to this notice under 15 For a discussion of the domestic like product The petitioners contend that the Administrative Protective Order (APO) analysis as applied to these cases, and information industry’s injured condition is to all parties with access to information regarding industry support, see the Kazakhstan CVD protected by APO and indicated that Initiation Checklist at Attachment II (‘‘Analysis of illustrated by a significant and Industry Support for the Antidumping and increasing volume of subject imports; interested parties wishing to comment Countervailing Duty Petitions Covering Silicon declining market share; underselling; on the CBP data must do so within three Metal from Bosnia and Herzegovina, Iceland, price depression and suppression; lost business days of the publication date of Malaysia, and Kazakhstan’’) (Attachment II). This the notice of initiation of this checklist is dated concurrently with, and hereby sales and revenues; declines in capacity, 28 adopted by, this notice and is on file electronically production, shipments, employment, investigation. However, based on the via ACCESS. prices, revenue, and profitability; and 16 See Volume I of the Petition at 3–4 and Exhibits declining financial performance.25 We I–18, I–20, I–23, I–24, I–32, I–34, and I–37 through I–2 and I–3; see also General Issues Supplement at I–59. 2. 26 See Kazakhstan CVD Initiation Checklist at 20 17 See Volume I of the Petition at 3–4 and Exhibit See Attachment II of the Kazakhstan CVD Attachment III (‘‘Analysis of Allegations and I–5; see also General Issues Supplement at 2. Initiation Checklist; see also section 702(c)(4)(D) of Evidence of Material Injury and Causation for the the Act. 18 See Volume I of the Petition at 3–4 and Exhibit Antidumping and Countervailing Duty Petitions 21 I–5; see also General Issues Supplement at 2. For See Attachment II of the Kazakhstan CVD Covering Silicon Metal from Bosnia and further discussion, see Attachment II of the Initiation Checklist. Herzegovina, Iceland, Kazakhstan, and Malaysia’’) Kazakhstan CVD Initiation Checklist. 22 Id. (Attachment III). 19 See Volume I of the Petition at 3–4 and Exhibits 23 Id. 27 See Volume I of the Petition at 2. I–2, I–3, and I–5; see also General Issues 24 See Volume I of the Petition at 31 and Exhibit 28 See Memorandum, ‘‘Petition for the Imposition Supplement at 2. For further discussion, see I–31. of Countervailing Duties on Imports of Silicon Attachment II of the Kazakhstan CVD Initiation 25 See Volume I of the Petition at 41–68 and Metal from Kazakhstan: Release of Entry Data,’’ Checklist. Exhibits I–1, I–5 through I–7, I–10, I–13, I–15, I–16, dated July 10, 2020.

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CBP data, Commerce determines that submitted in response to questionnaires; Certification Requirements there was not a large number of (ii) evidence submitted in support of producers/exporters of silicon metal allegations; (iii) publicly available Any party submitting factual during the POI. Commerce therefore information to value factors under 19 information in an AD or CVD intends to follow its standard practice in CFR 351.408(c) or to measure the proceeding must certify to the accuracy CVD investigations and calculate adequacy of remuneration under 19 CFR and completeness of that information.33 company-specific subsidy rates for each 351.511(a)(2); (iv) evidence placed on Parties must use the certification publicly-identifiable company included the record by Commerce; and (v) formats provided in 19 CFR in the CBP data. Therefore, we are evidence other than factual information 351.303(g).34 Commerce intends to selecting JSC NMC Tau-Ken Samruk and described in (i)–(iv). Any party, when reject factual submissions if the Tau-Ken Temir LLP as mandatory submitting factual information, must submitting party does not comply with respondents in this proceeding. specify under which subsection of 19 the applicable certification Interested parties that wish to comment CFR 351.301(b) the information is being requirements. on this selection, or on the CBP data, submitted 31 and, if the information is Notification to Interested Parties may do so within three business days of submitted to rebut, clarify, or correct the publication date of this notice. factual information already on the Interested parties must submit Commerce will not accept rebuttal record, to provide an explanation applications for disclosure under APO comments regarding the CBP data or identifying the information already on in accordance with 19 CFR 351.305. respondent selection. the record that the factual information Instructions for filing such applications Interested parties must submit seeks to rebut, clarify, or correct.32 Time may be found on the Commerce website applications for disclosure under APO limits for the submission of factual at http://enforcement.trade.gov/apo. in accordance with 19 CFR 351.305(b). information are addressed in 19 CFR Parties wishing to participate in this Instructions for filing such applications 351.301, which provides specific time investigation should ensure that they may be found on Commerce’s website at limits based on the type of factual meet the requirements of 19 CFR http://enforcement.trade.gov/apo. information being submitted. Interested 351.103(d) (e.g., by filing a notice of Comments must be filed electronically parties should review the regulations appearance). Note that Commerce has using ACCESS. An electronically-filed prior to submitting factual information temporarily modified certain of its document must be received in this investigation. requirements for serving documents successfully, in its entirety, by ACCESS containing business proprietary Extensions of Time Limits no later than 5:00 p.m. on the date noted information, until further notice.35 above, unless an exception applies. Parties may request an extension of This notice is issued and published Distribution of Copies of the Petition time limits before the expiration of a pursuant to sections 702(c) and 777(i) of time limit established under 19 CFR the Act, and 19 CFR 351.203(c). In accordance with section 351.301, or as otherwise specified by Dated: July 20, 2020. 702(b)(4)(A)(i) of the Act and 19 CFR Commerce. In general, an extension 351.202(f), a copy of the public version request will be considered untimely if it Jeffrey I. Kessler, of the Petition has been provided to the is filed after the expiration of the time Assistant Secretary for Enforcement and GOK via ACCESS. To the extent limit established under 19 CFR 351.301. Compliance. practicable, Commerce will attempt to For submissions that are due from Appendix provide a copy of the public version of multiple parties simultaneously, an the Petition to each exporter named in extension request will be considered Scope of the Investigation the Petition, as provided under 19 CFR untimely if it is filed after 10:00 a.m. ET The scope of this investigation covers all 351.203(c)(2). on the due date. Under certain forms and sizes of silicon metal, including ITC Notification circumstances, Commerce may elect to silicon metal powder. Silicon metal contains specify a different time limit by which at least 85.00 percent but less than 99.99 Commerce will notify the ITC of our percent silicon, and less than 4.00 percent initiation, as required by section 702(d) extension requests will be considered untimely for submissions which are due iron, by actual weight. Semiconductor grade of the Act. silicon (merchandise containing at least from multiple parties simultaneously. In 99.99 percent silicon by actual weight and Preliminary Determination by the ITC such a case, Commerce will inform classifiable under Harmonized Tariff The ITC will preliminarily determine, parties in the letter or memorandum Schedule within 45 days after the date on which setting forth the deadline (including a of the United States (HTSUS) subheading the Petition was filed, whether there is specified time) by which extension 2804.61.0000) is excluded from the scope of a reasonable indication that imports of requests must be filed to be considered this investigation. silicon metal from Kazakhstan are timely. An extension request must be Silicon metal is currently classifiable materially injuring, or threatening made in a separate, stand-alone under subheadings 2804.69.1000 and material injury to, a U.S. industry.29 A submission; under limited 2804.69.5000 of the HTSUS. While the circumstances Commerce will grant HTSUS numbers are provided for negative ITC determination will result convenience and customs purposes, the in this investigation being terminated.30 untimely-filed requests for the extension Otherwise, this investigation will of time limits. Parties should review 33 See section 782(b) of the Act. proceed according to the statutory and Extension of Time Limits, 78 FR 57790 (September 20, 2013), available at 34 See Certification of Factual Information to regulatory time limits. Import Administration During Antidumping and http://www.gpo.gov/fdsys/pkg/FR-2013- Countervailing Duty Proceedings, 78 FR 42678 (July Submission of Factual Information 09-20/html/2013-22853.htm, prior to 17, 2013) (Final Rule); see also frequently asked Factual information is defined in 19 submitting extension requests or factual questions regarding the Final Rule, available at information in this investigation. http://enforcement.trade.gov/tlei/notices/factual_ CFR 351.102(b)(21) as: (i) Evidence info_final_rule_FAQ_07172013.pdf. 35 See Temporary Rule Modifying AD/CVD 29 See section 703(a)(2) of the Act. 31 See 19 CFR 351.301(b). Service Requirements Due to COVID–19; Extension 30 See section 703(a)(1) of the Act. 32 See 19 CFR 351.301(b)(2). of Effective Period, 85 FR 41363 (July 10, 2020).

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written description of the scope remains supplemental questionnaires between include factual information,8 all such dispositive. July 8 and July 15, 2020.5 factual information should be limited to [FR Doc. 2020–16221 Filed 7–24–20; 8:45 am] In accordance with section 732(b) of public information. To facilitate BILLING CODE 3510–DS–P the Tariff Act of 1930, as amended (the preparation of its questionnaires, Act), the petitioners allege that imports Commerce requests that all interested of silicon metal from Bosnia, Iceland, parties submit such comments by 5:00 DEPARTMENT OF COMMERCE and Malaysia are being, or are likely to p.m. Eastern Time (ET) on August 10, be, sold in the United States at less than 2020, which is 21calendar days from the International Trade Administration fair value (LTFV) within the meaning of signature date of this notice. Any section 731 of the Act, and that imports rebuttal comments, which may include [A–893–001, A–400–001, A–557–820] of such products are materially injuring, factual information, must be filed by or threatening material injury to, the 5:00 p.m. ET on August 20, 2020, which Silicon Metal From Bosnia and domestic silicon metal industry in the is ten calendar days from the initial Herzegovina, Iceland, and Malaysia: United States. Consistent with section comment deadline. Initiation of Less-Than-Fair-Value 732(b)(1) of the Act, the Petitions are Commerce requests that any factual Investigations accompanied by information reasonably information parties consider relevant to the scope of the investigations be AGENCY: Enforcement and Compliance, available to the petitioners supporting submitted during this period. However, International Trade Administration, their allegations. if a party subsequently finds that Department of Commerce. Commerce finds that the petitioners filed the Petitions on behalf of the additional factual information DATES: Applicable July 20, 2020. domestic industry, because the pertaining to the scope of the FOR FURTHER INFORMATION CONTACT: Jerry petitioners are interested parties, as investigations may be relevant, the party Huang at (202) 482–4047 (Bosnia and defined in section 771(9)(C) of the Act. may contact Commerce and request Herzegovina); or Kabir Archuletta at Commerce also finds that the petitioners permission to submit the additional (202) 482–1766 (Iceland and Malaysia); demonstrated sufficient industry information. All such submissions must AD/CVD Operations, Enforcement and support for the initiation of the be filed on the records of the concurrent Compliance, International Trade requested AD investigations.6 AD and CVD investigations. Administration, U.S. Department of Filing Requirements Commerce, 1401 Constitution Avenue Period of Investigation All submissions to Commerce must be NW, Washington, DC 20230. Because the Petitions were filed on filed electronically via Enforcement and SUPPLEMENTARY INFORMATION: June 30, 2020, the period of Compliance’s AD and CVD Centralized investigation (POI) for the Bosnia, The Petitions Electronic Service System (ACCESS), Iceland, and Malaysia AD investigations unless an exception applies.9 An On June 30, 2020, the Department of is April 1, 2019 through March 31, 2020, electronically-filed document must be Commerce (Commerce) received pursuant to 19 CFR 351.204(b)(1). antidumping duty (AD) petitions received successfully in its entirety by concerning imports of silicon metal Scope of the Investigations the time and date it is due. from Bosnia and Herzegovina (Bosnia), The product covered by these Comments on Product Characteristics Iceland, and Malaysia filed in proper investigations is silicon metal from Commerce is providing interested form on behalf of the petitioners,1 Bosnia, Iceland, and Malaysia. For a full parties an opportunity to comment on domestic producers of silicon metal.2 description of the scope of these the appropriate physical characteristics The Petitions were accompanied by a investigations, see the appendix to this of silicon metal to be reported in countervailing duty (CVD) petition notice. response to Commerce’s AD concerning imports of silicon metal questionnaires. This information will be from the Republic of Kazakhstan.3 Scope Comments used to identify the key physical Between July 6 and 14, 2020, As discussed in the Preamble to characteristics of the subject Commerce requested supplemental Commerce’s regulations, we are setting merchandise in order to report the information pertaining to certain aspects aside a period for interested parties to relevant costs of production accurately, of the Petitions in separate raise issues regarding product coverage as well as to develop appropriate 4 7 supplemental questionnaires. The (i.e., scope). Commerce will consider product-comparison criteria. petitioners filed responses to the all comments received from interested Interested parties may provide any parties and, if necessary, will consult information or comments that they feel 1 The petitioners are Globe Specialty Metals, Inc. with interested parties prior to the are relevant to the development of an and Mississippi Silicon LLC. issuance of the preliminary accurate list of physical characteristics. 2 See Petitioners’ Letter, ‘‘Petitions for the determinations. If scope comments Imposition of Antidumping and Countervailing Specifically, they may provide Duties: Silicon Metal from Bosnia and Herzegovina, Iceland, the Republic of Kazakhstan, and Malaysia,’’ 5 See Petitioners’ First Country-Specific 8 See 19 CFR 351.102(b)(21) (defining ‘‘factual dated June 30, 2020 (the Petitions). Supplemental Responses, dated July 8, 2020; and information’’). 3 Id. Petitioners’ Letter, ‘‘Silicon Metal from Bosnia and 9 See Antidumping and Countervailing Duty 4 See Commerce’s Letters, ‘‘Petition for the Herzegovina, Iceland, and Malaysia and Proceedings: Electronic Filing Procedures; Imposition of Antidumping Duties on Imports of Kazakhstan: General Volume Petition Supplement,’’ Administrative Protective Order Procedures, 76 FR Silicon Metal from Bosnia and Herzegovina, dated July 8, 2020 (General Issues Supplement); see 39263 (July 6, 2011); see also Enforcement and Iceland, and Malaysia and Countervailing Duties on also Petitioners’ Second Iceland Supplemental Compliance; Change of Electronic Filing System Imports from Kazakhstan: Supplemental Response, Second Malaysia Supplemental Name, 79 FR 69046 (November 20, 2014) for details Questions,’’ dated July 6, 2020; and country-specific Response, dated July 15, 2020. of Commerce’s electronic filing requirements, supplemental questionnaires: Bosnia Supplemental, 6 See infra, section on ‘‘Determination of Industry effective August 5, 2011. Information on help using Iceland Supplemental, Malaysia Supplemental, Support for the Petitions.’’ ACCESS can be found at https://access.trade.gov/ dated July 6, 2020; and Iceland Second 7 See Antidumping Duties; Countervailing Duties, help.aspx and a handbook can be found at https:// Supplemental, Malaysia Second Supplemental, Final Rule, 62 FR 27296, 27323 (May 19, 1997) access.trade.gov/help/Handbook%20on dated July 14, 2020. (Preamble). %20Electronic%20Filling%20Procedures.pdf.

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comments as to which characteristics directs Commerce to look to producers of the domestic like product.14 To are appropriate to use as: (1) General and workers who produce the domestic estimate the 2019 production for the product characteristics; and (2) product like product. The International Trade entire U.S. silicon metal industry, the comparison criteria. We note that it is Commission (ITC), which is responsible petitioners relied on their own 2019 not always appropriate to use all for determining whether ‘‘the domestic production data and estimated product characteristics as product industry’’ has been injured, must also production data reported for the non- comparison criteria. We base product determine what constitutes a domestic petitioning producer (DC Alabama).15 comparison criteria on meaningful like product in order to define the We relied on data provided by the commercial differences among products. industry. While both Commerce and the petitioners for purposes of measuring In other words, although there may be ITC must apply the same statutory industry support.16 some physical product characteristics definition regarding the domestic like Our review of the data provided in the utilized by manufacturers to describe product,10 they do so for different Petitions, the General Issues silicon metal, it may be that only a purposes and pursuant to a separate and Supplement, and other information select few product characteristics take distinct authority. In addition, readily available to Commerce indicates into account commercially meaningful Commerce’s determination is subject to that the petitioners have established physical characteristics. In addition, limitations of time and information. industry support for the Petitions.17 interested parties may comment on the Although this may result in different First, the Petitions established support order in which the physical definitions of the like product, such from domestic producers (or workers) characteristics should be used in differences do not render the decision of accounting for more than 50 percent of matching products. Generally, either agency contrary to law.11 the total production of the domestic like Commerce attempts to list the physical Section 771(10) of the Act defines the product and, as such, Commerce is not characteristics in order of importance, domestic like product as ‘‘a product required to take further action in order from most important to least important. which is like, or in the absence of like, to evaluate industry support (e.g., In order to consider the suggestions of most similar in characteristics and uses polling).18 Second, the domestic interested parties in developing and with, the article subject to an producers (or workers) have met the issuing the AD questionnaires, all investigation under this title.’’ Thus, the statutory criteria for industry support product characteristics comments must reference point from which the under section 732(c)(4)(A)(i) of the Act be filed by 5:00 p.m. ET on August 10, domestic like product analysis begins is because the domestic producers (or 2020. Any rebuttal comments must be ‘‘the article subject to an investigation’’ workers) who support the Petitions filed by 5:00 p.m. ET on August 17, (i.e., the class or kind of merchandise to account for at least 25 percent of the 2020. All comments and submissions to be investigated, which normally will be total production of the domestic like Commerce must be filed electronically the scope as defined in the petition). product.19 Finally, the domestic using ACCESS, as explained above, on With regard to the domestic like producers (or workers) have met the the record of each of the AD product, the petitioners do not offer a statutory criteria for industry support investigations. definition of the domestic like product under section 732(c)(4)(A)(ii) of the Act distinct from the scope of the because the domestic producers (or Determination of Industry Support for investigations.12 Based on our analysis workers) who support the Petitions the Petitions of the information submitted on the account for more than 50 percent of the Section 732(b)(1) of the Act requires record, we have determined that silicon production of the domestic like product that a petition be filed on behalf of the metal, as defined in the scope, produced by that portion of the industry domestic industry. Section 732(c)(4)(A) constitutes a single domestic like expressing support for, or opposition to, of the Act provides that a petition meets product, and we have analyzed industry the Petitions.20 Accordingly, Commerce this requirement if the domestic support in terms of that domestic like determines that the Petitions were filed producers or workers who support the product.13 on behalf of the domestic industry petition account for: (i) At least 25 In determining whether the within the meaning of section 732(b)(1) percent of the total production of the petitioners have standing under section of the Act.21 domestic like product; and (ii) more 732(c)(4)(A) of the Act, we considered than 50 percent of the production of the the industry support data contained in Allegations and Evidence of Material domestic like product produced by that the Petitions with reference to the Injury and Causation portion of the industry expressing domestic like product as defined in the The petitioners allege that the U.S. support for, or opposition to, the ‘‘Scope of the Investigations,’’ in the industry producing the domestic like petition. Moreover, section 732(c)(4)(D) appendix to this notice. To establish product is being materially injured, or is of the Act provides that, if the petition industry support, the petitioners does not establish support of domestic provided their actual 2019 production 14 See Volume I of the Petitions at 3–4 and producers or workers accounting for Exhibits I–2 and I–3; see also General Issues Supplement at 2. 10 See section 771(10) of the Act. more than 50 percent of the total 15 See Volume I of the Petitions at 3–4 and Exhibit 11 See USEC, Inc. v. United States, 132 F. Supp. production of the domestic like product, I–5; see also General Issues Supplement at 2. 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. 16 Commerce shall: (i) Poll the industry or v. United States, 688 F. Supp. 639, 644 (CIT 1988), Id. For further discussion, see Attachment II of rely on other information in order to aff’d 865 F.2d 240 (Fed. Cir. 1989)). the country-specific AD Initiation Checklists. 17 determine if there is support for the 12 See Volume I of the Petitions at 25–28. See Volume I of the Petitions at 3–4 and Exhibits I–2, I–3, and I–5; see also General Issues 13 For a discussion of the domestic like product petition, as required by subparagraph Supplement at 2. For further discussion, see analysis as applied to these cases and information (A); or (ii) determine industry support Attachment II of the country-specific AD Initiation regarding industry support, see the country-specific Checklists. using a statistically valid sampling AD Initiation Checklists at Attachment II, Analysis 18 method to poll the ‘‘industry.’’ of Industry Support for the Antidumping and See Attachment II of the country-specific AD Section 771(4)(A) of the Act defines Countervailing Duty Petitions Covering Silicon Initiation Checklists; see also section 732(c)(4)(D) of the Act. the ‘‘industry’’ as the producers as a Metal from Bosnia and Herzegovina, Iceland, Malaysia, and Kazakhstan (Attachment II). These 19 See Attachment II of the country-specific AD whole of a domestic like product. Thus, checklists are dated concurrently with, and hereby Initiation Checklists. to determine whether a petition has the adopted by, this notice and on file electronically via 20 Id. requisite industry support, the statute ACCESS. 21 Id.

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threatened with material injury, by market prices for silicon metal produced dumping margins for silicon metal for reason of the imports of the subject and sold in the subject countries. each of the countries covered by this merchandise sold at LTFV. In addition, Therefore, for Bosnia, the petitioners initiation are as follows: (1) Bosnia, the petitioners allege that subject provided third country import AUVs for 21.41 percent; (2) Iceland, 28.12–47.54 imports exceed the negligibility the POI, as well as price quotes to third percent; and (3) Malaysia, 11.49—16.92 threshold provided for under section countries.28 The petitioners also percent.37 771(24)(A) of the Act.22 provided information for Bosnia Initiation of LTFV Investigations The petitioners contend that the indicating that the AUVs and price industry’s injured condition is quotes were below the COP and, Based upon the examination of the illustrated by a significant and therefore, the petitioners calculated NV Petitions and supplemental responses, increasing volume of subject imports; based on CV.29 For further discussion of we find that they meet the requirements declining market share; underselling; CV, see the section ‘‘Normal Value of section 732 of the Act. Therefore, we price depression and suppression; lost Based on Constructed Value.’’ are initiating AD investigations to sales and revenues; declines in capacity, For Iceland, the petitioners based NV determine whether imports of silicon production, shipments, employment, on AUVs of publicly available data for metal from Bosnia, Iceland, and prices, revenue, and profitability; and imports of silicon metal from Iceland Malaysia are being, or are likely to be, declining financial performance.23 We into Germany.30 The petitioners made sold in the United States at LTFV. In assessed the allegations and supporting certain adjustments to those prices to accordance with section 733(b)(1)(A) of evidence regarding material injury, calculate an ex-factory third country the Act and 19 CFR 351.205(b)(1), threat of material injury, causation, as price, in accordance with section 773 of unless postponed, we will make our well as negligibility, and we have the Act.31 preliminary determinations no later determined that these allegations are For Malaysia, the petitioners based than 140 days after the date of this properly supported by adequate NV on home market price quotes initiation. evidence, and meet the statutory obtained through market research for Respondent Selection requirements for initiation.24 silicon metal produced and sold in In the Petitions, the petitioners named Malaysia.32 The petitioners made Allegations of Sales at LTFV five producers/exporters of silicon metal certain adjustments to those prices to in Bosnia, four producers/exporters of The following is a description of the calculate an ex-factory home market silicon metal in Iceland, and six allegations of sales at LTFV upon which price, in accordance with section 773 of producers/exporters of silicon metal in Commerce based its decision to initiate the Act.33 AD investigations of imports of silicon Malaysia.38 metal from Bosnia, Iceland, and Normal Value Based on Constructed Following standard practice in AD Malaysia. The sources of data for the Value investigations involving market economy countries, in the event deductions and adjustments relating to As noted above, the petitioners Commerce determines that the number U.S. price and normal value (NV) are demonstrated that the third country of companies is large and that discussed in greater detail in the import AUVs and price quotes for Commerce cannot individually examine country-specific AD Initiation Bosnia were below COP. Accordingly, each company based upon Commerce’s Checklists. the petitioners based NV on CV.34 resources, where appropriate, Pursuant to section 773(e) of the Act, U.S. Price Commerce intends to select mandatory the petitioners calculated CV as the sum For all countries, the petitioners based respondents in Bosnia, Iceland, and of the cost of manufacturing, selling, export price (EP) on the average unit Malaysia based on U.S. Customs and general, and administrative expenses, value (AUV) of publicly-available Border Protection (CBP) data for U.S. financial expenses, and profit.35 We import data.25 The petitioners made imports under the appropriate recalculated the financial ratios certain adjustments to U.S. price to Harmonized Tariff Schedule of the submitted by the petitioners but made calculate a net ex-factory U.S. price.26 United States numbers listed in the no other changes to their calculation of ‘‘Scope of the Investigations,’’ in the Normal Value 27 CV. 36 appendix. For Bosnia and Iceland, the Fair Value Comparisons For each country, on July 10, 2020, petitioners were unable to obtain home Based on the data provided by the Commerce released CBP data on imports of silicon metal to all parties with access 22 See Volume I of the Petitions at 31 and Exhibit petitioners, there is reason to believe that imports of silicon metal from to information protected by I–31. Administrative Protective Order (APO) 23 Id. at 41–68 and Exhibits I–1, I–5 through I–7, Bosnia, Iceland, and Malaysia are being, I–10, I–13, I–15, I–16, I–18, I–20, I–23, I–24, I–32, or are likely to be, sold in the United and indicated that interested parties I–34, and I–37 through I–59. States at LTFV. Based on comparisons wishing to comment on the CBP data 24 See country-specific AD Initiation Checklists at of EP to NV in accordance with sections must do so within three business days Attachment III, Analysis of Allegations and of the publication date of the notice of Evidence of Material Injury and Causation for the 772 and 773 of the Act, the estimated 39 Antidumping and Countervailing Duty Petitions initiation of these investigations. Covering Silicon Metal from Bosnia and longer requires a COP allegation to conduct this Commerce will not accept rebuttal Herzegovina, Iceland, Kazakhstan, and Malaysia analysis. comments regarding the CBP data or (Attachment III). 28 See AD Initiation Checklist for Bosnia. respondent selection. 25 See country-specific AD Initiation Checklists. 29 Id. Interested parties must submit 26 Id. 30 See AD Initiation Checklist for Iceland. applications for disclosure under APO 27 In accordance with section 773(b)(2) of the Act, 31 Id. for these investigations, Commerce will request 32 See AD Initiation Checklist for Malaysia. 37 information necessary to calculate the constructed Id. 33 value (CV) and cost of production (COP) to Id. 38 See Volume I of the Petitions at pages 14–20 determine whether there are reasonable grounds to 34 See AD Initiation Checklist for Bosnia, Iceland, and Exhibit I–9. believe or suspect that sales of the foreign like and Malaysia. 39 See country-specific memoranda, ‘‘Release of product have been made at prices that represent 35 Id. Customs Data from U.S. Customs and Border less than the COP of the product. Commerce no 36 Id. Protection,’’ dated July 10, 2020.

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in accordance with 19 CFR 351.305(b). submission of factual information are extension requests must be filed to be Instructions for filing such applications addressed in 19 CFR 351.301, which considered timely. An extension request may be found on Commerce’s website at provides specific time limits based on must be made in a separate, stand-alone http://enforcement.trade.gove/apo. the type of factual information being submission; under limited submitted. Interested parties should circumstances we will grant untimely- Distribution of Copies of the AD review the regulations prior to filed requests for the extension of time Petitions submitting factual information in these limits. Parties should review Extension In accordance with section investigations. of Time Limits; Final Rule, 78 FR 57790 732(b)(3)(A) of the Act and 19 CFR (September 20, 2013), available at Particular Market Situation Allegation 351.202(f), copies of the public version http://www.gpo.gov/fdsys/pkg/FR-2013- of the AD Petitions have been provided Section 773(e) of the Act addresses 09-20/html/2013-22853.htm, prior to to the governments of Bosnia, Iceland, the concept of a particular market submitting factual information in these and Malaysia via ACCESS. To the extent situation (PMS) for CV, stating that ‘‘if investigations. practicable, we will attempt to provide a particular market situation exists such a copy of the public version of the AD that the cost of materials and fabrication Certification Requirements Petitions to each exporter named in the or other processing of any kind does not Any party submitting factual AD Petitions, as provided under 19 CFR accurately reflect the cost of production information in an AD or CVD 351.203(c)(2). in the ordinary course of trade, the proceeding must certify to the accuracy administering authority may use and completeness of that information.44 ITC Notification another calculation methodology under Parties must use the certification We will notify the ITC of our this subtitle or any other calculation formats provided in 19 CFR initiation, as required by section 732(d) methodology.’’ When an interested 351.303(g).45 Commerce intends to of the Act. party submits a PMS allegation pursuant reject factual submissions if the Preliminary Determinations by the ITC to section 773(e) of the Act, Commerce submitting party does not comply with will respond to such a submission the applicable certification The ITC will preliminarily determine, consistent with 19 CFR 351.301(c)(2)(v). requirements. within 45 days after the date on which If Commerce finds that a PMS exists Notification to Interested Parties the AD Petitions were filed, whether under section 773(e) of the Act, then it there is a reasonable indication that will modify its dumping calculations Interested parties must submit imports of silicon metal from Bosnia, appropriately. applications for disclosure under APO Iceland, and Malaysia are materially Neither section 773(e) of the Act, nor in accordance with 19 CFR 351.305. On injuring, or threatening material injury 19 CFR 351.301(c)(2)(v), sets a deadline January 22, 2008, Commerce published to, a U.S. industry.40 A negative ITC for the submission of PMS allegations Antidumping and Countervailing Duty determination for any country will and supporting factual information. Proceedings: Documents Submission result in the investigation being However, in order to administer section Procedures; APO Procedures, 73 FR terminated with respect to that 773(e) of the Act, Commerce must 3634 (January 22, 2008). Parties wishing country.41 Otherwise, these AD receive PMS allegations and supporting to participate in these investigations investigations will proceed according to factual information with enough time to should ensure that they meet the statutory and regulatory time limits. consider the submission. Thus, should requirements of these procedures (e.g., Submission of Factual Information an interested party wish to submit a the filing of letters of appearance as PMS allegation and supporting new discussed at 19 CFR 351.103(d)). Note Factual information is defined in 19 factual information pursuant to section that Commerce has temporarily CFR 351.102(b)(21) as: (i) Evidence 773(e) of the Act, it must do so no later modified certain of its requirements for submitted in response to questionnaires; than 20 days after submission of a serving documents containing business (ii) evidence submitted in support of respondent’s initial section D proprietary information, until further allegations; (iii) publicly available questionnaire response. notice.46 information to value factors under 19 This notice is issued and published CFR 351.408(c) or to measure the Extensions of Time Limits pursuant to sections 732(c)(2) and 777(i) adequacy of remuneration under 19 CFR Parties may request an extension of of the Act, and 19 CFR 351.203(c). 351.511(a)(2); (iv) evidence placed on time limits before the expiration of a the record by Commerce; and (v) Dated: July 20, 2020. time limit established under 19 CFR Jeffrey I. Kessler, evidence other than factual information 351.301, or as otherwise specified by described in (i)–(iv). Section 351.301(b) Assistant Secretary for Enforcement and Commerce. In general, an extension Compliance. of Commerce’s regulations requires any request will be considered untimely if it party, when submitting factual is filed after the expiration of the time Appendix—Scope of the Investigations information, to specify under which limit established under 19 CFR 351.301. The scope of these investigations covers all subsection of 19 CFR 351.102(b)(21) the For submissions that are due from information is being submitted 42 and, if forms and sizes of silicon metal, including multiple parties simultaneously, an silicon metal powder. Silicon metal contains the information is submitted to rebut, extension request will be considered at least 85.00 percent but less than 99.99 clarify, or correct factual information untimely if it is filed after 10:00 a.m. ET already on the record, to provide an 44 on the due date. Under certain See section 782(b) of the Act. explanation identifying the information 45 circumstances, we may elect to specify See Certification of Factual Information to already on the record that the factual Import Administration During Antidumping and a different time limit by which information seeks to rebut, clarify, or Countervailing Duty Proceedings, 78 FR 42678 (July extension requests will be considered correct.43 Time limits for the 17, 2013) (Final Rule). Answers to frequently asked untimely for submissions which are due questions regarding the Final Rule are available at from multiple parties simultaneously. In http://enforcement.trade.gov/tlei/notices/factual_ 40 See section 733(a) of the Act. info_final_rule_FAQ_07172013.pdf. 41 Id. such a case, we will inform parties in a 46 See Temporary Rule Modifying AD/CVD 42 See 19 CFR 351.301(b). letter or memorandum of the deadline Service Requirements Due to COVID–19; Extension 43 See 19 CFR 351.301(b)(2). (including a specified time) by which of Effective Period, 85 FR 41363 (July 10, 2020).

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percent silicon, and less than 4.00 percent filed responses on July 7, 2020 and July (i.e., scope).8 Commerce will consider iron, by actual weight. Semiconductor grade 8, 2020, respectively.5 all comments received from interested silicon (merchandise containing at least In accordance with section 702(b)(1) parties and, if necessary, will consult 99.99 percent silicon by actual weight and with interested parties prior to the classifiable under Harmonized Tariff of the Tariff Act of 1930, as amended Schedule of the United States (HTSUS) (the Act), the petitioners allege that the issuance of the preliminary subheading 2804.61.0000) is excluded from Government of Mexico (GOM) is determination. If scope comments 9 the scope of these investigations. providing countervailable subsidies, include factual information, all such Silicon metal is currently classifiable within the meaning of sections 701 and factual information should be limited to under subheadings 2804.69.1000 and 771(5) of the Act, to producers of wire public information. To facilitate 2804.69.5000 of the HTSUS. While the mesh in Mexico and that such imports preparation of its questionnaires, HTSUS numbers are provided for Commerce requests that all interested convenience and customs purposes, the are materially injuring, or threatening material injury to, the domestic industry parties submit scope comments by 5:00 written description of the scope remains p.m. Eastern Time (ET) on August 10, dispositive. producing wire mesh in the United 2020, which is the next business day [FR Doc. 2020–16220 Filed 7–24–20; 8:45 am] States. Consistent with section 702(b)(1) of the Act and 19 CFR 351.202(b), for after 20 calendar days from the BILLING CODE 3510–DS–P 10 those alleged programs on which we are signature date of this notice. Any initiating a CVD investigation, the rebuttal comments, which may include factual information, must be filed by DEPARTMENT OF COMMERCE Petition was accompanied by information reasonably available to the 5:00 p.m. ET on August 20, 2020, which International Trade Administration petitioners supporting their allegations. is ten calendar days from the initial comment deadline. [C–201–854] Commerce finds that the petitioners Commerce requests that any factual filed the Petition on behalf of the information parties consider relevant to Standard Steel Welded Wire Mesh domestic industry because the the scope of the investigation be From Mexico: Initiation of petitioners are interested parties, as submitted during this time period. Countervailing Duty Investigation defined in section 771(9)(C) of the Act. However, if a party subsequently finds Commerce also finds that the petitioners that additional factual information AGENCY: Enforcement and Compliance, demonstrated sufficient industry International Trade Administration, pertaining to the scope of the support for the initiation of the investigation may be relevant, the party Department of Commerce. 6 requested CVD investigation. may contact Commerce and request DATES: Applicable July 20, 2020. Period of Investigation permission to submit the additional FOR FURTHER INFORMATION CONTACT: information. All such comments must Joshua Tucker or Ian Hamilton, AD/CVD Because the Petition was filed on June also be filed on the record of the Operations, Office II, Enforcement and 30, 2020, the period of investigation concurrent AD and CVD investigations. Compliance, International Trade (POI) for this CVD investigation is Administration, U.S. Department of January 1, 2019 through December 31, Filing Requirements Commerce, 1401 Constitution Avenue 2019, pursuant to 19 CFR All submissions to Commerce must be NW, Washington, DC 20230; telephone: 351.204(b)(2).7 filed electronically using Enforcement (202) 482–2044 or (202) 482–4798, and Compliance’s (E&C’s) Antidumping Scope of the Investigation respectively. Duty and Countervailing Duty SUPPLEMENTARY INFORMATION: The products covered by this Centralized Electronic Service System investigation are wire mesh from (ACCESS), unless an exception The Petition Mexico. For a full description of the applies.11 An electronically filed On June 30, 2020, the Department of scope of this investigation, see the document must be received successfully Commerce (Commerce) received a appendix to this notice. in its entirety by the time and date it is countervailing duty (CVD) petition due. concerning imports of standard steel Comments on Scope of the Investigation welded wire mesh (wire mesh) from 8 See Antidumping Duties; Countervailing Duties, As discussed in the Preamble to Final Rule, 62 FR 27296, 27323 (May 19, 1997) Mexico filed in proper form on behalf of Commerce’s regulations, we are setting 1 (Preamble). the petitioners, domestic producers of aside a period for interested parties to 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual 2 wire mesh. The Petition was raise issues regarding product coverage information’’). accompanied by an antidumping duty 10 See 19 CFR 351.303(b). Commerce’s practice dictates that where a deadline falls on a weekend (AD) petition concerning imports of Countervailing Duties on Imports of Standard Steel wire mesh from Mexico.3 or Federal holiday, the appropriate deadline is the Welded Wire Mesh from Mexico: Supplemental next business day (in this instance, August 10, On July 2, 2020 and July 6, 2020, Questions,’’ dated July 2, 2020; see also 2020). See also Notice of Clarification: Application Commerce requested supplemental Commerce’s Letter, ‘‘Petition for the Imposition of of ‘‘Next Business Day’’ Rule for Administrative Countervailing Duties on Standard Steel Welded Determination Deadlines Pursuant to the Tariff Act information pertaining to certain aspects Wire Mesh from Mexico: Supplemental Questions,’’ of the Petition,4 to which the petitioners of 1930, As Amended, 70 FR 24533 (May 10, 2005); dated July 6, 2020. and 19 CFR 351.303(b). 5 See Petitioners’ Letter, ‘‘Standard Steel Welded 11 See Antidumping and Countervailing Duty 1 Insteel Industries, Inc.; Mid South Wire Wire Mesh from Mexico—Petitioners’ Amendment Proceedings: Electronic Filing Procedures; Company; National Wire LLC; Oklahoma Steel & to Administrative Protective Order Procedures, 76 FR Wire Co.; and Wire Mesh Corp. (collectively, the Volume I Concerning General Issues,’’ dated July 39263 (July 6, 2011); see also Enforcement and petitioners). 7, 2020 (General Issues Supplement); see also Compliance; Change of Electronic Filing System 2 See Petitioners’ Letter, ‘‘Standard Steel Welded Petitioners’ Letter, ‘‘Standard Steel Welded Wire Name, 79 FR 69046 (November 20, 2014), for details Wire Mesh from Mexico—Petition for the Mesh from Mexico—Petitioners’ Amendment to of Commerce’s electronic filing requirements, Imposition of Antidumping and Countervailing Volume III Related to Countervailing Duties from effective August 5, 2011. Information on using Duties,’’ dated June 30, 2020 (the Petition). Mexico,’’ dated July 8, 2020. ACCESS can be found at https://access.trade.gov/ 3 Id. 6 See infra, section on ‘‘Information Related to help.aspx and a handbook can be found at https:// 4 See Commerce’s Letter, ‘‘Petitions for the Industry Support.’’ access.trade.gov/help/Handbook_on_Electronic_ Imposition of Antidumping Duties and 7 See 19 CFR 351.204(b)(2). Filing_Procedures.pdf.

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Consultations definitions of the like product, such provided by the petitioners for purposes 20 Pursuant to sections 702(b)(4)(A)(i) differences do not render the decision of of measuring industry support. and (ii) of the Act, Commerce notified either agency contrary to law.15 From July 13–July 17, 2020, we received comments on industry support the GOM of the receipt of the Petition Section 771(10) of the Act defines the from Deacero S.A.P.I. de C.V, a Mexican and provided it the opportunity for domestic like product as ‘‘a product producer, and its affiliated U.S. consultations with respect to the CVD which is like, or in the absence of like, importer, Deacero USA, Inc. Petition.12 The GOM requested most similar in characteristics and uses (collectively, Deacero).21 The petitioners consultations, which were held on July with, the article subject to an 17, 2020.13 responded to these industry support investigation under this title.’’ Thus, the comments on July 14 and July 16, 2020, Determination of Industry Support for reference point from which the respectively.22 the Petition domestic like product analysis begins is Our review of the data provided in the Section 702(b)(1) of the Act requires ‘‘the article subject to an investigation’’ Petition, the General Issues Supplement, that a petition be filed on behalf of the (i.e., the class or kind of merchandise to and other information readily available domestic industry. Section 702(c)(4)(A) be investigated, which normally will be to Commerce indicates that the of the Act provides that a petition meets the scope as defined in the petition). petitioners have established industry this requirement if the domestic With regard to the domestic like support for the Petition.23 First, the producers or workers who support the product, the petitioners do not offer a Petition established support from petition account for: (i) At least 25 definition of the domestic like product domestic producers (or workers) percent of the total production of the distinct from the scope of the accounting for more than 50 percent of domestic like product; and (ii) more investigation.16 Based on our analysis of the total production of the domestic like than 50 percent of the production of the the information submitted on the product and, as such, Commerce is not domestic like product produced by that record, we have determined that wire required to take further action in order portion of the industry expressing mesh, as defined in the scope, to evaluate industry support (e.g., 24 support for, or opposition to, the constitutes a single domestic like polling). Second, the domestic producers (or workers) have met the petition. Moreover, section 702(c)(4)(D) product, and we have analyzed industry statutory criteria for industry support of the Act provides that, if the petition support in terms of that domestic like does not establish support of domestic under section 702(c)(4)(A)(i) of the Act product.17 producers or workers accounting for because the domestic producers (or more than 50 percent of the total In determining whether the workers) who support the Petition production of the domestic like product, petitioners have standing under section account for at least 25 percent of the Commerce shall: (i) Poll the industry or 702(c)(4)(A) of the Act, we considered total production of the domestic like rely on other information in order to the industry support data contained in product.25 Finally, the domestic determine if there is support for the the Petition with reference to the producers (or workers) have met the petition, as required by subparagraph domestic like product as defined in the statutory criterion for industry support (A); or (ii) determine industry support ‘‘Scope of the Investigation,’’ in the under section 702(c)(4)(A)(ii) of the Act using a statistically valid sampling appendix to this notice. To establish because the domestic producers (or method to poll the ‘‘industry.’’ industry support, the petitioners workers) who support the Petition Section 771(4)(A) of the Act defines provided their 2019 production of the account for more than 50 percent of the the ‘‘industry’’ as the producers as a domestic like product, as well as the production of the domestic like product whole of a domestic like product. Thus, 2019 production of Davis Wire produced by that portion of the industry to determine whether a petition has the Corporation and Liberty Steel USA., expressing support for, or opposition to, requisite industry support, the statute supporters of the Petition.18 The the Petition.26 Accordingly, Commerce directs Commerce to look to producers petitioners compared the production of determines that the Petition was filed on and workers who produce the domestic the supporters of the Petition to the behalf of the domestic industry within like product. The International Trade estimated total production of the Commission (ITC), which is responsible domestic like product for the entire 20 Id. For further discussion, see Mexico CVD for determining whether ‘‘the domestic Initiation Checklist at Attachment II. domestic industry.19 We relied on data industry’’ has been injured, must also 21 See Deacero’s Letter, ‘‘Standard Steel Welded determine what constitutes a domestic Wire Mesh from Mexico—Request to Clarify Scope 15 See USEC, Inc. v. United States, 132 F. Supp. and to Poll Domestic Industry,’’ dated July 13, 2020; like product in order to define the 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. Deacero’s Letter, ‘‘Standard Steel Welded Wire industry. While both Commerce and the v. United States, 688 F. Supp. 639, 644 (CIT 1988), Mesh from Mexico—Continued Request to Clarify ITC must apply the same statutory aff’d 865 F.2d 240 (Fed. Cir. 1989), cert. denied 492 Scope and to Poll Domestic Industry,’’ dated July definition regarding the domestic like U.S. 919 (1989)). 15, 2020; and Deacero’s Letter, ‘‘Standard Steel 16 Welded Wire Mesh from Mexico—Third Request to product,14 they do so for different See Volume I of the Petition at 16–17; see also General Issues Supplement at 9–10. Clarify Scope and to Poll Domestic Industry,’’ dated purposes and pursuant to a separate and 17 For a discussion of the domestic like product July 17, 2020. distinct authority. In addition, analysis as applied to this case and information 22 See Petitioners’ Letter, ‘‘Standard Steel Welded Commerce’s determination is subject to regarding industry support, see Countervailing Duty Wire Mesh from Mexico—Petitioners’ Response to limitations of time and information. Investigation Initiation Checklist: Standard Steel Deacero’s Request to Clarify Scope and to Poll Welded Wire Mesh from Mexico (Mexico CVD Domestic Industry,’’ dated July 14, 2020; see also Although this may result in different Initiation Checklist) at Attachment II, ‘‘Analysis of Petitioners’ Letter, ‘‘Standard Steel Welded Wire Industry Support for the Antidumping and Mesh from Mexico—Petitioners’ Response to 12 See Commerce’s Letter, ‘‘Standard Steel Countervailing Duty Petitions Covering Standard Deacero’s Second Request to Clarify Scope and to Welded Wire Mesh from Mexico: Invitation for Steel Welded Wire Mesh from Mexico’’ Poll Domestic Industry,’’ dated July 16, 2020. Consultation to Discuss the Countervailing Duty (Attachment II), dated concurrently with this notice 23 Id. Petition,’’ dated July 10, 2020. and on file electronically via ACCESS. 24 See Mexico CVD Initiation Checklist at 13 See Memorandum, ‘‘Standard Steel Welded 18 See Volume I of the Petition at 3–4 and Exhibit Attachment II; see also section 702(c)(4)(D) of the Wire Mesh from Mexico Countervailing Duty GEN–3. Act. Petition: Consultations with the Government of 19 See Volume I of the Petition at 4 and Exhibits 25 see Mexico CVD Initiation Checklist at Mexico,’’ dated July 17, 2020. GEN–1 and GEN–3; see also General Issues Attachment II. 14 See section 771(10) of the Act. Supplement at 11 and Exhibit GEN–SUPP–3. 26 Id.

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the meaning of section 702(b)(1) of the is sufficient information to initiate a Distribution of Copies of the Petition Act.27 CVD investigation on 16 of the 17 In accordance with section Injury Test alleged programs. For a full discussion of the basis for our decision to initiate 702(b)(4)(A) of the Act and 19 CFR Because Mexico is a ‘‘Subsidies on each program, see Mexico CVD 351.202(f), a copy of the public version Agreement Country’’ within the Initiation Checklist. A public version of of the CVD Petition has been provided to the GOM via ACCESS. Furthermore, meaning of section 701(b) of the Act, the initiation checklist for this to the extent practicable, we will section 701(a)(2) of the Act applies to investigation is available on ACCESS. In attempt to provide a copy of the public this investigation. Accordingly, the ITC accordance with section 703(b)(1) of the must determine whether imports of the version of the CVD Petition to each Act and 19 CFR 351.205(b)(1), unless subject merchandise from Mexico exporter named in the CVD Petition, as postponed, we will make our materially injure, or threaten material provided under 19 CFR 351.203(c)(2). preliminary determination no later than injury to, a U.S. industry. 65 days after the date of this initiation. ITC Notification Allegations and Evidence of Material Injury and Causation Respondent Selection Commerce will notify the ITC of our initiation, as required by section 702(d) The petitioners allege that imports of In the Petition, the petitioners named of the Act. the subject merchandise are benefitting nine companies in Mexico as producers/ from countervailable subsidies and that exporters of wire mesh.31 Commerce Preliminary Determination by the ITC such imports are causing, or threaten to intends to follow its standard practice in The ITC will preliminarily determine, cause, material injury to the U.S. CVD investigations and calculate industry producing the domestic like within 45 days after the date on which company-specific subsidy rates in this the CVD Petition was filed, whether product. In addition, the petitioners investigation. In the event Commerce allege that subject imports exceed the there is a reasonable indication that determines that the number of imports of wire mesh from Mexico are negligibility threshold provided for companies is large and it cannot under section 771(24)(A) of the Act.28 materially injuring, or threatening individually examine each company material injury to, a U.S. industry.33 A The petitioners contend that the based upon Commerce’s resources, industry’s injured condition is negative ITC determination will result where appropriate, Commerce intends in the investigation being terminated.34 illustrated by a significant and to select mandatory respondents based increasing volume of subject imports; Otherwise, the CVD investigation will on U.S. Customs and Border Protection reduced market share; underselling and proceed according to statutory and (CBP) data for U.S. imports of wire mesh price depression and/or suppression; regulatory time limits. from Mexico during the POI under the lost sales and revenues; decreasing appropriate Harmonized Tariff Schedule Submission of Factual Information capacity utilization rates and shipments; of the United States numbers listed in declines in employment variables; and Factual information is defined in 19 declining financial performance and the ‘‘Scope of the Investigation,’’ in the CFR 351.102(b)(21) as: (i) Evidence operating income.29 We have assessed appendix. submitted in response to questionnaires; the allegations and supporting evidence On July 15, 2020, Commerce released (ii) evidence submitted in support of regarding material injury, threat of CBP data on imports of wire mesh from allegations; (iii) publicly available material injury, causation, as well as Mexico under administrative protective information to value factors under 19 negligibility, and we have determined order (APO) to all parties with access to CFR 351.408(c) or to measure the that these allegations are properly information protected by APO and adequacy of remuneration under 19 CFR supported by adequate evidence, and indicated that interested parties wishing 351.511(a)(2); (iv) evidence placed on meet the statutory requirements for to comment on the CBP data must do so the record by Commerce; and (v) initiation.30 within three business days of the evidence other than factual information described in (i)–(iv). Section 351.301(b) Initiation of CVD Investigation publication date of the notice of initiation of this investigation.32 of Commerce’s regulations requires any Based upon the examination of the Comments must be filed electronically party, when submitting factual Petition and supplemental responses, using ACCESS. An electronically-filed information, to specify under which we find that the Petition meets the document must be received successfully subsection of 19 CFR 351.102(b)(21) the 35 requirements of section 702 of the Act. in its entirety via ACCESS by 5:00 p.m. information is being submitted and, if Therefore, we are initiating a CVD ET on the specified deadline. Commerce the information is submitted to rebut, investigation to determine whether will not accept rebuttal comments clarify, or correct factual information imports of wire mesh from Mexico regarding the CBP data or respondent already on the record, to provide an benefit from countervailable subsidies selection. explanation identifying the information conferred by the GOM. Based on our already on the record that the factual review of the Petition, we find that there Interested parties must submit information seeks to rebut, clarify, or applications for disclosure under APO correct.36 Time limits for the 27 Id. in accordance with 19 CFR 351.305(b). submission of factual information are 28 See Volume I of the Petition at 18–19 and Instructions for filing such applications addressed in 19 CFR 351.301, which Exhibit GEN–9. may be found on E&C’s website at provides specific time limits based on 29 See Volume I of the Petition at 9–10, 15, 18– http://enforcement.trade.gov/apo. 27 and Exhibits GEN–1, GEN–5, GEN–6 and GEN– the type of factual information being 9 through GEN–12; see also General Issues submitted. Interested parties should Supplement at 11 and Exhibit GEN–SUPP–5. 31 See Volume I of the Petition at Exhibit GEN– review the regulations prior to 30 See Mexico CVD Initiation Checklist at 7. Attachment III, ‘‘Analysis of Allegations and 32 See Memorandum, ‘‘Standard Steel Welded 33 Evidence of Material Injury and Causation for the Wire Mesh from Mexico Countervailing Duty See section 703(a)(1) of the Act. Antidumping and Countervailing Duty Petitions Petition: Release of Customs Data from U.S. 34 Id. Covering Standard Steel Welded Wire Mesh from Customs and Border Protection,’’ dated July 15, 35 See 19 CFR 351.301(b). Mexico.’’ 2020. 36 See 19 CFR 351.301(b)(2).

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submitting factual information in this 3634 (January 22, 2008). Parties wishing Rolls of subject wire mesh are produced in investigation. to participate in this investigation the following styles and nominal width and should ensure that they meet the length combinations: Extensions of Time Limits requirements of these procedures (e.g., Style: 6x6 W1.4/W1.4 or D1.4/D1.4 (i.e., 10 Parties may request an extension of the filing of letters of appearance as gauge) time limits before the expiration of a discussed at 19 CFR 351.103(d)). Note Roll Sizes: 5′ x 50′ time limit established under 19 CFR that Commerce has temporarily ′ ′ 351.301, or as otherwise specified by 5 x 150 modified certain of its requirements for 6′ x 150′ Commerce. In general, an extension serving documents containing business 5′ x 200′ request will be considered untimely if it proprietary information, until further 7′ x 200′ is filed after the expiration of the time notice.40 7.5′ x 200′ limit established under 19 CFR Style: 6x6 W2.1/W2.1 or D2.1/D2.1 (i.e., 8 37 This notice is issued and published 351.301. For submissions that are due pursuant to sections 702 and 777(i) of gauge) Roll Sizes: 5′ x 150′ from multiple parties simultaneously, the Act, and 19 CFR 351.203(c). an extension request will be considered Style: 6x6 W2.9/W2.9 or D2.9/D2.9 (i.e., 6 untimely if it is filed after 10:00 a.m. ET Dated: July 20, 2020. gauge) on the due date. Under certain Jeffrey I. Kessler, Roll Sizes: 5′ x 150′ Assistant Secretary for Enforcement and circumstances, Commerce may elect to 7′ x 200′ specify a different time limit by which Compliance. All rolled wire mesh is included in scope extension requests will be considered Appendix regardless of length. untimely for submissions which are due Sheets of subject wire mesh are produced from multiple parties simultaneously. In Scope of the Investigation in the following styles and nominal width such a case, Commerce will inform The scope of this investigation covers and length combinations: parties in a letter or memorandum of the uncoated standard welded steel Style: 6x6 W1.4/W1.4 or D1.4/D1.4 (i.e., 10 deadline (including a specified time) by reinforcement wire mesh (wire mesh) gauge) which extension requests must be filed produced from smooth or deformed wire. Sheet Size: to be considered timely. An extension Subject wire mesh is produced in square and 3′6″ x 7′ request must be made in a separate, rectangular grids of uniformly spaced steel 4′ x 7′ ′ ′ ″ stand-alone submission; under limited wires that are welded at all intersections. 4 x 7 6 Sizes are specified by combining the spacing ′ ′ circumstances we will grant untimely- 5 x 10 of the wires in inches or millimeters and the 7′ x 20′ filed requests for the extension of time wire cross-sectional area in hundredths of 7′6″ x 20′ limits. Parties should review Extension square inch or millimeters squared. Subject 8′ x 12′6″ of Time Limits; Final Rule, 78 FR 57790 wire mesh may be packaged and sold in rolls 8′ x 15′ (September 20, 2013), available at or in sheets. 8′ x 20′ http://www.gpo.gov/fdsys/pkg/FR-2013- Subject wire mesh is currently produced to Style: 6x6 W2.1/W2.1 or D2.1/D2.1 (i.e., 8 09-20/html/2013-22853.htm, prior to ASTM specification A1064/A1064M, which gauge) submitting extension requests or factual covers carbon-steel wire and welded wire Sheet Size: ′ ′ information in this investigation. reinforcement, smooth and deformed, for 5 x 10 concrete in the following seven styles: 7′ x 20′ Certification Requirements 7′6″ x 20′ 1. 6x6 W1.4/W1.4 or D1.4/D1.4 ′ ′ ″ 2. 6x6 W2.1/W2.1 or D2.1/D2.1 8 x 12 6 Any party submitting factual 8′ x 15′ information in an AD or CVD 3. 6x6 W2.9/W2.9 or D2.9/D2.9 ′ ′ 4. 6x6 W4/W4 or D4/D4 8 x 20 proceeding must certify to the accuracy Style: 6x6 W2.9/W2.9 or D2.9/D2.9 (i.e., 6 and completeness of that information.38 5. 6x12 W4/W4 or D4/D4 6. 4x4 W2.9/W2.9 or D2.9/D2.9 gauge) Sheet Size: Parties must use the certification 7. 4x4 W4/W4 or D4/D4 formats provided in 19 CFR 3′6″ x 20′ The first number in the style denotes the 351.303(g).39 Commerce intends to 5′ x 10′ nominal spacing between the longitudinal 7′ x 20′ reject factual submissions if the wires and the second number denotes the ′ ″ ′ submitting party does not comply with 7 6 x 20 nominal spacing between the transverse 8′ x 12′6″ the applicable certification wires. In the first style listed above, for 8′ x 15′ requirements. example, ‘‘6x6’’ denotes a grid size of six 8′ x 20′ inches by six inches. ‘‘W’’ denotes the use of Notification to Interested Parties Style: 6x12 W4/W4 or D4/D4 (i.e., 4 gauge) smooth wire, and ‘‘D’’ denotes the use of Sheet Size: 8′ x 20′ Interested parties must submit deformed wire in making the mesh. The Style: 4x4 W2.9/W2.9 or D2.9/D2.9 (i.e., 6 applications for disclosure under APO number following the W or D denotes the gauge) in accordance with 19 CFR 351.305. On nominal cross-sectional area of the transverse Sheet Size: January 22, 2008, Commerce published and longitudinal wires in hundredths of a 5′ x 10′ square inch (i.e., W1.4 or D1.4 is .014 square 7′ x 20′ Antidumping and Countervailing Duty inches). ′ ″ ′ Proceedings: Documents Submission 7 6 x 20 Smooth wire is wire that has a uniform 8′ x 12′6″ Procedures; APO Procedures, 73 FR cross-sectional diameter throughout the 8′ x 12′8″ length of the wire. 8′ x 15′ 37 See 19 CFR 351.302. Deformed wire is wire with indentations or 8′ x 20′ 38 See section 782(b) of the Act. raised transverse ribs, which results in wire Style: 4x4 W4/W4 or D4/D4 (i.e., 4 gauge) 39 See Certification of Factual Information to that does not have a uniform cross-sectional Sheet Size: Import Administration During Antidumping and diameter throughout the length of the wire. 5′ x 10′ Countervailing Duty Proceedings, 78 FR 42678 (July 8′ x 12′6″ 17, 2013) (Final Rule); see also frequently asked ′ ′ ″ questions regarding the Final Rule, available at 40 See Temporary Rule Modifying AD/CVD 8 x 12 8 http://enforcement.trade.gov/tlei/notices/factual_ Service Requirements Due to COVID–19; Extension 8′ x 15′ info_final_rule_FAQ_07172013.pdf. of Effective Period, 85 FR 41363 (July 10, 2020). 8′ x 20′

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Any product imported, sold, or invoiced in welded wire mesh falls within these ± 0.004 for sizes over W5/D5. A producer one of these size combinations is within the permissible variations, it is within this scope. may oversteel by increasing smooth or scope. ASTM specification A1064/A1064M also deformed wire diameter up to two whole ASTM specification A1064/A1064M defines permissible oversteeling, which is the number size increments on Table 1 of A1064. provides for permissible variations in wire use of a heavier gauge wire with a larger Subject wire mesh has the following actual gauges, the spacing between transverse and cross-sectional area than nominally specified. longitudinal wires, and the length and width It also permits a wire diameter tolerance of wire diameter ranges, which account for both combinations. To the extent a roll or sheet of ± 0.003 inches for products up to W5/D5 and oversteeling and diameter tolerance:

Maximum W/D Number oversteeling Diameter range Number (inch)

1.4 (i.e., 10 gauge) ...... 3.4 0.093 to 0.211. 2.1 (i.e., 8 gauge) ...... 4.1 0.161 to 0.231. 2.9 (i.e., 6 gauge) ...... 4.9 0.189 to 0.253. 4.0 (i.e., 4 gauge) ...... 6.0 0.223 to 0.280.

To the extent a roll or sheet of welded wire DEPARTMENT OF COMMERCE 24, 2020, Commerce tolled all deadlines mesh falls within the permissible variations in administrative reviews by 50 days, provided above, it is within this scope. International Trade Administration thereby extending the deadline for these In addition to the tolerances permitted in 3 [C–580–888] preliminary results until July 20, 2020. ASTM specification A1064/A1064M, wire For a complete description of the mesh within this scope includes Certain Carbon and Alloy Steel Cut-to- events that followed the initiation of combinations where: Length Plate From the Republic of this review, see the Preliminary 1. A width and/or length combination Korea: Preliminary Results of Decision Memorandum.4 A list of topics ± varies by one grid size in any direction, i.e., Countervailing Duty Administrative discussed in the Preliminary Decision ± 6 inches in length or width where the wire Review, and Intent to Rescind Review, Memorandum is included at the mesh’s grid size is ‘‘6x6’’; and/or in Part; 2018 appendix to this notice. The Preliminary 2. The center-to-center spacing between Decision Memorandum is a public individual wires may vary by up to one AGENCY: Enforcement and Compliance, document and is on file electronically quarter of an inch from the nominal grid size International Trade Administration, via Enforcement and Compliance’s specified. U.S. Department of Commerce. Antidumping and Countervailing Duty Length is measured from the ends of any SUMMARY: The Department of Commerce Centralized Electronic Service System wire and width is measured between the (Commerce) preliminarily determines (ACCESS). ACCESS is available to center-line of end longitudinal wires. that countervailable subsidies are being registered users at http:// Additionally, although the subject wire provided to producers and exporters of access.trade.gov. In addition, a complete mesh typically meets ASTM A1064/A1064M, certain carbon and alloy steel cut-to- version of the Preliminary Decision the failure to include certifications, test length plate (CTL plate) from the Memorandum can be accessed directly reports or other documentation establishing Republic of Korea (Korea). The period of at http://enforcement.trade.gov/frn/. that the product meets this specification does review is January 1, 2018 through The signed and electronic versions of not remove the product from the scope. Wire December 31, 2018. the Preliminary Decision Memorandum mesh made to comparable foreign DATES: Applicable July 27, 2020. are identical in content. specifications (e.g., DIN, JIS, etc.) or FOR FURTHER INFORMATION CONTACT: Bob Scope of the Order proprietary specifications is included in the Palmer or Faris Montgomery, AD/CVD scope. Operations, Office VIII, Enforcement The merchandise covered by the order Excluded from the scope is wire mesh that and Compliance, International Trade is carbon and alloy steel cut-to-length is galvanized (i.e., coated with zinc) or coated Administration, U.S. Department of plate. For a complete description of the with an epoxy coating. In order to be Commerce, 1401 Constitution Avenue scope of the order, see the Preliminary excluded as galvanized, the excluded welded NW, Washington, DC 20230; telephone: Decision Memorandum. wire mesh must have a zinc coating thickness (202) 482–9068 and (202) 482–1537, meeting the requirements of ASTM Methodology respectively. specification A641/A641M. Epoxy coating is Commerce is conducting this review a mix of epoxy resin and hardener that can SUPPLEMENTARY INFORMATION: in accordance with section 751(a)(l)(A) be applied to the surface of steel wire. Background of the Tariff Act of 1930, as amended Merchandise subject to this investigation (the Act). For each of the subsidy are classified under Harmonized Tariff On July 15, 2019, Commerce programs found countervailable, we Schedule of the United States (HTSUS) published a notice of initiation of an categories 7314.20.0000 and 7314.39.0000. administrative review of the Results of Countervailing Duty Administrative While HTSUS subheadings are provided for countervailing duty (CVD) order on CTL Review; 2018,’’ dated December 30, 2019. convenience and customs purposes, the plate from Korea.1 On December 30, 3 See Memorandum, ‘‘Tolling of Deadlines for written description of the scope of this 2019, Commerce extended the deadline Antidumping and Countervailing Duty investigation is dispositive. for the preliminary results of this review Administrative Reviews in Response to Operational 2 Adjustments Due to COVID–19,’’ dated April 24, [FR Doc. 2020–16186 Filed 7–24–20; 8:45 am] to no later than May 29, 2019. On April 2020. 4 BILLING CODE 3510–DS–P See Memorandum, ‘‘Decision Memorandum for 1 See Initiation of Antidumping and the Preliminary Results of the Countervailing Duty Countervailing Duty Administrative Reviews, 84 FR Administrative Review; 2018: Certain Carbon and 33739 (July 15, 2019). Alloy Steel Cut-to-Length Plate from the Republic 2 See Memorandum ‘‘Certain Carbon and Alloy of Korea,’’ dated concurrently with, and hereby Steel Cut-to-Length Plate from the Republic of adopted by, this notice (Preliminary Decision Korea: Extension of Deadline for Preliminary Memorandum).

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preliminarily determine that there is a the period of review, the net publication of the final results of this subsidy, i.e., a government-provided countervailable subsidy rates for the review. financial contribution that gives rise to producers/exporters under review are as Cash Deposit Rate a benefit to the recipient, and that the follows: subsidy is specific.5 For a full Pursuant to section 751(a)(2)(C) of the description of the methodology Net Act, Commerce intends to instruct CBP underlying our conclusions, see the countervailable to collect cash deposits of estimated Company subsidy rate Preliminary Decision Memorandum. (percent countervailing duties in the amount indicated above with regard to Intent to Rescind Administrative ad valorem) shipments of subject merchandise Review, in Part 8 POSCO ...... 0.50 entered, or withdrawn from warehouse, On and 14, 2019, Hyundai BDP International ...... 0.50 for consumption on or after the date of Steel Company and Dongkuk Steel Mill Blue Track Equipment .... 0.50 publication of the final results of this Boxco ...... 0.50 Co., Ltd. timely submitted no shipment review. For all non-reviewed firms, we 6 Bukook Steel Co., Ltd .... 0.50 certifications. Because there is no Buma CE Co., Ltd ...... 0.50 will instruct CBP to continue to collect evidence on the record to indicate that China Chengdu Inter- cash deposits of estimated Hyundai Steel Company or Dongkuk national Techno-Eco- countervailing duties at the most recent Steel Mill Co., Ltd. had entries, exports, nomic Cooperation company-specific or all-others rate (i.e., or sales of subject merchandise to the Co., Ltd ...... 0.50 4.31 percent) applicable to the United States during the period of Daehan I.M. Co., Ltd ...... 0.50 company, as appropriate.9 These cash review, and U.S. Customs and Border Daelim Industrial Co., Ltd 0.50 deposit instructions, when imposed, Daesam Industrial Co., Protection (CBP) did not provide shall remain in effect until further Commerce with any contradictory Ltd ...... 0.50 Daesin Lighting Co., Ltd 0.50 notice. information, we intend to rescind the Daewoo International Disclosure and Public Comment review with respect to these companies Corp ...... 0.50 in accordance with 19 CFR Dong Yang Steel Pipe .... 0.50 We will disclose to parties to this 351.213(d)(3).7 Dongbu Steel Co., Ltd .... 0.50 proceeding the calculations performed Dongkuk Industries Co., in reaching the preliminary results Companies Not Selected for Individual Ltd ...... 0.50 Review within five days of the date of EAE Automotive Equip- publication of these preliminary Commerce calculated an individual ment ...... 0.50 results.10 Interested parties may submit estimated net countervailable subsidy EEW KHPC Co., Ltd ...... 0.50 Eplus Expo Inc ...... 0.50 written comments (case briefs) within rate for POSCO, the sole mandatory 30 days of publication of the respondent in this segment of the GS Global Corp ...... 0.50 Haem Co., Ltd ...... 0.50 preliminary results, and rebuttal proceeding, which is not zero, de Han Young Industries ..... 0.50 comments (rebuttal briefs) within seven minimis, or based entirely under section Hyosung Corp ...... 0.50 days 11 after the time limit for filing case 776 of the Act. Pursuant to section Jinmyung Frictech Co., briefs.12 Pursuant to 19 CFR 705(c)(5)(A)(i) of the Act, we are Ltd ...... 0.50 351.309(d)(2), rebuttal briefs must be assigning POSCO’s rate to all producers Kindus Inc ...... 0.50 limited to issues raised in the case and exporters not selected for Korean Iron and Steel briefs. Parties who submit arguments are individual review. For further Co., Ltd ...... 0.50 Kyoungil Precision Co., requested to submit with the argument: information on the calculation of the (1) A statement of the issue; (2) a brief non-examined company rate, refer to the Ltd ...... 0.50 Samsun C&T Corp ...... 0.50 summary of the argument; and (3) a section in the Preliminary Decision Shipping Imperial Co., table of authorities.13 Note that Memorandum entitled ‘‘Rate for Non- Ltd ...... 0.50 Commerce has temporarily modified Examined Companies.’’ Sinchang Eng Co., Ltd ... 0.50 certain of its requirements for serving Preliminary Results of Review SK Networks Co., Ltd ..... 0.50 documents containing business SNP Ltd ...... 0.50 proprietary information, until further In accordance with 19 CFR Steel N People Ltd ...... 0.50 notice.14 351.221(b)(4)(i), we calculated an Summit Industry ...... 0.50 individual net countervailable subsidy Sungjin Co., Ltd ...... 0.50 Interested parties who wish to request rate for POSCO. Commerce Young Sun Steel ...... 0.50 a hearing must submit a written request preliminarily determines that, during to the Assistant Secretary for Assessment Rate Enforcement and Compliance, U.S. 5 See sections 771(5)(B) and (D) of the Act Department of Commerce, using Consistent with section 751(a)(2)(C) of Enforcement and Compliance’s ACCESS regarding financial contribution; section 771(5)(E) the Act, upon issuance of the final of the Act regarding benefit; and section 771(5A) of system within 30 days of publication of the Act regarding specificity. results, Commerce shall determine, and 6 See Hyundai Steel Company’s letter, ‘‘Carbon CBP shall assess, countervailing duties 9 See Certain Carbon and Alloy Steel Cut-to- and Alloy Steel Cut-To-Length Plate from Korea— on all appropriate entries covered by Length Plate from the Republic of Korea: Notice of No Sales,’’ dated August 13, 2019; and this review. We intend to issue Countervailing Duty Order, 82 FR 24103 (May 25, Dongkuk Steel Mill Co., Ltd.’s letter, 2017). ‘‘Administrative Review of the Countervailing Duty instructions to CBP 15 days after 10 Order on Carbon and Alloy Steel Cut-to-Length See 19 CFR 351.224(b). 11 Plate from Korea for the 2018 Review Period—No 8 As discussed in the Preliminary Decision See Temporary Rule Modifying AD/CVD Shipments Letter,’’ dated August 14, 2019. Memorandum, Commerce has found the following Service Requirements Due to COVID–19; Extension 7 See Memorandum, ‘‘Certain Carbon and Alloy companies to be cross-owned with POSCO: POSCO of Effective Period, 85 FR 41363 (July 10, 2020) Steel Cut-to-Length Plate from the Republic of Chemtech, POSCO M-Tech, Pohang Scrap (Temporary Rule). Korea (C–580–888),’’ dated June 19, 2020; see also Recycling Distribution Center Co., Ltd., POSCO 12 See 19 CFR 351.309(c)(1)(ii) and (d)(1); see also Memorandum, ‘‘Certain Carbon and Alloy Steel Nippon Steel RHF Joint Venture Co., Ltd., POSCO 19 CFR 351.303 (for general filing requirements). Cut-to-Length Plate from the Republic of Korea (C– Terminal and POSCO Daewoo Corporation. The 13 See 19 CFR 351.309(c)(2) and (d)(2). 580–888),’’ dated June 22, 2020. subsidy rates apply to all cross-owned companies. 14 See Temporary Rule.

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this notice.15 Requests should contain: SUMMARY: The Department of Commerce and Decision Memorandum is a public (1) The party’s name, address, and (Commerce) determines that Jiangsu document and is made available to the telephone number; (2) the number of Runchen Agricultural/Sideline public via Enforcement and participants; and (3) a list of issues to be Foodstuff Co., Ltd. (Runchen) did not Compliance’s Antidumping and discussed. Issues raised in the hearing make a bona fide sale during the period Countervailing Duty Centralized will be limited to those raised in the of review (POR) of , 2017 Electronic Service System (ACCESS). respective case and rebuttal briefs. If a through , 2018. Therefore, ACCESS is available to registered users request for a hearing is made, Commerce we are rescinding this administrative at https://access.trade.gov. In addition, a intends to hold the hearing at a time and review. complete version of the Issues and date to be determined. Parties should Decision Memorandum is available at DATES: Applicable July 27, 2020. confirm the date and time of the hearing http://enforcement.trade.gov/frn/. The FOR FURTHER INFORMATION CONTACT: two days before the scheduled date. signed and electronic versions of the Parties are reminded that all briefs Jasun Moy, AD/CVD Operations, Office Issues and Decision Memorandum are and hearing requests must be filed V, Enforcement and Compliance, identical in content. electronically using ACCESS and International Trade Administration, Bona Fides Analysis received successfully in their entirety by U.S. Department of Commerce, 1401 5 p.m. Eastern Time on the due date. Constitution Avenue NW, Washington, In the Preliminary Results, we found Unless the deadline is extended DC 20230; telephone: (202) 482–8194. that Runchen’s sale of subject pursuant to section 751(a)(3)(A) of the Background merchandise to the United States during Act, Commerce intends to issue the final the POR was not a bona fide sale. After On , 2019, Commerce results of this administrative review, analyzing interested parties’ comments, published the Preliminary Results and including the results of our analysis of we continue to find that Runchen’s sale invited interested parties to comment.1 the issues raised by the parties in their is not a bona fide sale. We reached this On , 2020, we received a case comments, within 120 days after conclusion based on multiple factors, brief from Runchen.2 On , publication of these preliminary results. including: (1) The atypical nature of the 2020, we received a rebuttal brief from price and quantity of the sale; (2) the Notification to Interested Parties the American Honey Producers profit, or lack thereof, made by These preliminary results of review Association and Sioux Honey Runchen’s customer on the resale; and are issued and published in accordance Association (collectively, the (3) other considerations, such as the with sections 751(a)(1) and 777(i)(1) of petitioner).3 timing of the payment from Runchen’s the Act and 19 CFR 351.213 and Scope of the Order customer, the fact that Runchen made 351.221(b)(4). only a single sale made during the POR, The merchandise subject to this order the lack of experience of the importer in Dated: July 20, 2020. is natural honey, artificial honey Jeffrey I. Kessler, the honey industry, and the lack of containing more than 50 percent natural experience of Runchen in exporting Assistant Secretary for Enforcement and honey by weight, preparations of natural Compliance. honey to the United States. Our analysis honey containing more than 50 percent led us to conclude that Runchen’s POR Appendix I natural honey by weight, and flavored sale is unlikely to be representative of honey. For a full description of the its future sales. List of Topics Discussed in the Preliminary scope, see the Issues and Decision Decision Memorandum Because we have determined that Memorandum.4 Runchen had no bona fide sales during I. Summary II. Background Analysis of Comments Received the POR, we are rescinding this administrative review. III. Period of Review All issues raised in Runchen’s case IV. Diversification of Korea’s Economy Assessment Rates V. Intent to Rescind, in Part, the brief are listed in the appendix to this Administrative Review notice and are addressed in the Issues Because Commerce is rescinding this VI. Scope of the Order and Decision Memorandum. The Issues administrative review, we have not VII. Rate for Non-Examined Companies calculated a company-specific dumping VIII. Subsidies Valuation Information 1 See Honey from the People’s Republic of China: margin for Runchen. Runchen remains IX. Analysis of Programs Preliminary Results and Preliminary Intent to part of the China-wide entity and the X. Recommendation Rescind of Antidumping Duty Administrative Review; 2017–2018, 84 FR 66374 (December 4, entry of its subject merchandise during [FR Doc. 2020–16074 Filed 7–24–20; 8:45 am] 2019) (Preliminary Results). the POR will be assessed antidumping BILLING CODE 3510–DS–P 2 See Runchen’s Letter, ‘‘Honey from the PRC— duties at the China-wide entity rate. The Administrative Case Brief of Jiangsu Runchen China-wide entity rate is $2.63 per Agricultural/Sideline Foodstuff Co., Ltd.,’’ dated kilogram.5 DEPARTMENT OF COMMERCE January 3, 2020. On January 9, 2020, Runchen timely refiled its case brief to remove new factual Cash Deposit Requirements information. See Runchen’s Letter, ‘‘Honey from the International Trade Administration PRC—Administrative Case Brief of Jiangsu Runchen As noted above, Commerce is [A–570–863] Agricultural/Sideline Foodstuff Co., Ltd.,’’ dated rescinding this administrative review. January 9, 2020; see also Memorandum, ‘‘Administrative Review of the Antidumping Duty Thus, we have not calculated a Honey From the People’s Republic of Order on Honey from the People’s Republic of company-specific dumping margin for China: Final Results and Rescission of China: Rejection of Case Brief,’’ dated , Runchen. Therefore, entries of Antidumping Duty Administrative 2020. Runchen’s subject merchandise Review; 2017–2018 3 See Petitioner’s Letter, ‘‘Honey from China: continue to be subject to the China-wide Petitioners’ Rebuttal Brief,’’ dated January 15, 2020. AGENCY: Enforcement and Compliance, 4 See Memorandum, ‘‘Issues and Decision entity cash deposit rate of $2.63 per International Trade Administration, Memorandum for the Antidumping Duty Administrative Review of Honey from the People’s 5 See Honey from the People’s Republic of China: Department of Commerce. Republic of China; 2017–2018,’’ dated concurrently Final Results of Antidumping Duty Administrative with, and hereby adopted by, this notice (Issues and Review; 2012–2013, 80 FR 27633–34 (, 15 See 19 CFR 351.310(c). Decision Memorandum). 2015).

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kilogram. This cash deposit requirement DEPARTMENT OF COMMERCE In accordance with section 702(b)(1) shall remain in effect until further of the Tariff Act of 1930, as amended notice. International Trade Administration (the Act), the petitioner alleges that the Government of China (GOC) is Administrative Protective Order [C–570–132] providing countervailable subsidies, This notice also serves as a final Twist Ties From the People’s Republic within the meaning of sections 701 and reminder to parties subject to of China: Initiation of Countervailing 771(5) of the Act, to producers of twist administrative protective order (APO) of Duty Investigation ties in China and that such imports are their responsibility concerning the materially injuring, or threatening return or destruction of proprietary AGENCY: Enforcement and Compliance, material injury to, the domestic industry information disclosed under APO in International Trade Administration, producing twist ties in the United accordance with 19 CFR 351.305(a)(3), Department of Commerce. States. Consistent with section 702(b)(1) which continues to govern business DATES: Applicable July 16, 2020. of the Act and 19 CFR 351.202(b), for proprietary information in this segment FOR FURTHER INFORMATION CONTACT: those alleged programs on which we are of the proceeding. Timely written Darla Brown or Ajay Menon, AD/CVD initiating a CVD investigation, the notification of the return or destruction Operations, Office II, Enforcement and Petition is supported by information of APO materials, or conversion to Compliance, International Trade reasonably available to the petitioner judicial protective order is hereby Administration, U.S. Department of supporting its allegations. requested. Failure to comply with the Commerce, 1401 Constitution Avenue Commerce finds that the petitioner regulations and terms of an APO is a NW, Washington, DC 20230; telephone: filed the Petition on behalf of the violation which is subject to sanction. (202) 482–1791 or (202) 482–1993, domestic industry because the petitioner is an interested party as Notification to Importers respectively. SUPPLEMENTARY INFORMATION: defined in section 771(9)(C) of the Act. This notice also serves as a final Commerce also finds that the petitioner reminder to importers of their The Petition demonstrated sufficient industry responsibility under 19 CFR On June 26, 2020, the U.S. support with respect to the initiation of 351.402(f)(2) to file a certificate Department of Commerce (Commerce) the requested CVD investigation.4 regarding the reimbursement of received a countervailing duty (CVD) Period of Investigation antidumping duties prior to liquidation petition concerning imports of twist ties of the relevant entries during the POR. from the People’s Republic of China Because the Petition was filed on June Failure to comply with this requirement (China) filed in proper form on behalf of 26, 2020, the period of investigation could result in Commerce’s Bedford Industries, Inc. (the (POI) is January 1, 2019 through presumption that reimbursement of petitioner).1 The Petition was December 31, 2019.5 antidumping duties has occurred and accompanied by an antidumping duty Scope of the Investigation the subsequent assessment of double (AD) petition concerning imports of antidumping duties. twist ties from China. The merchandise covered by this investigation is twist ties from China. Notification to Interested Parties Between June 30 and July 13, 2020, Commerce requested supplemental For a full description of the scope of this We are issuing and publishing these information pertaining to certain aspects investigation, see the appendix to this final results in accordance with sections of the Petition,2 to which the petitioner notice. 751(a)(1) and 777(i)(1) of the Tariff Act filed responses between July 2 and 13, Comments on Scope of the Investigation of 1930, as amended, and 19 CFR 2020.3 351.213(h)(1) and 19 CFR 351.221(b)(5). On June 30 and July 7, 2020, 1 Dated: July 21, 2020. See Petitioner’s Letter, ‘‘Petition for the Commerce requested further Imposition of Antidumping and Countervailing information from the petitioner Jeffrey I. Kessler, Duties on Twist Ties from China,’’ dated June 26, regarding the proposed scope to ensure 2020 (the Petition). Assistant Secretary for Enforcement and that the scope language in the Petition Compliance. 2 See Commerce’s Letter, ‘‘Petition for the Imposition of Countervailing Duties on Imports of is an accurate reflection of the products Appendix Twist Ties from the People’s Republic of China: for which the domestic industry is Supplemental Questions,’’ dated June 30, 2020; see 6 List of Topics Discussed in the Issues and seeking relief. On July 6 and 9, 2020, also Commerce’s Letter, ‘‘Petition for the Imposition 7 Decision Memorandum of Countervailing Duties on Imports of Twist Ties the petitioner revised the scope. The description of the merchandise covered I. Summary from the People’s Republic of China: Supplemental II. Background Questions,’’ dated July 2, 2020; Commerce’s Letter, by this investigation, as described in the ‘‘Petition for the Imposition of Countervailing III. Scope of the Order Duties on Imports of Twist Ties from the People’s IV. Discussion of the Issues Republic of China: Supplemental Questions,’’ dated Countervailing Duties on Twist Ties from China: Comment 1: Whether a Bona Fides July 7, 2020; Memorandum, ‘‘Petitions for the Response of Bedford Industries, Inc. to Analysis is Applicable in Administrative Imposition of Antidumping and Countervailing Supplemental Questionnaire,’’ dated July 7, 2020 Reviews Duties on Imports of Twist Ties from the People’s (Second CVD Petition Supplement); Petitioner’s Letter, ‘‘Twist Ties from the People’s Republic of Comment 2: Appropriateness of Using U.S. Republic of China: Phone Call with Counsel to the Petitioner,’’ dated July 7, 2020 (Phone Call China,’’ dated July 9, 2020 (Second General Issues Customs and Border Protection Data Supplement); and Petitioner’s Letter, ‘‘Twist Ties Comment 3: Whether Sale Price and Memorandum); and Memorandum, ‘‘Twist Ties from the People’s Republic of China Countervailing from the People’s Republic of China,’’ dated July 13, Quantity Weigh in Favor of Finding Duty Petition: Placing Document on the Record,’’ 2020 (General Issues Supplement). Runchen’s Sale Not Bona Fide dated July 13, 2020. 4 See ‘‘Determination of Industry Support for the Comment 4: Whether the Goods Were 3 See Petitioner’s Letter, ‘‘Petition for the Petition’’ section, infra. Resold at a Profit Imposition of Antidumping and Countervailing 5 See 19 CFR 351.204(b)(2). Comment 5: Other Relevant Factors Duties on Twist Ties from China: Response of 6 See General Issues Supplemental at 3–4; see also V. Recommendation Bedford Industries, Inc. to Supplemental Phone Call Memorandum. Questionnaire,’’ dated July 2, 2020 (First CVD 7 See Second General Issues Supplement at 3–4; [FR Doc. 2020–16192 Filed 7–24–20; 8:45 am] Petition Supplement); see also Petitioner’s Letter, see also Second General Issues Supplement at 3– BILLING CODE 3510–DS–P ‘‘Petition for the Imposition of Antidumping and 4.

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appendix to this notice, reflects these document must be received successfully purposes and pursuant to a separate and clarifications. in its entirety by the time and date it is distinct authority. In addition, As discussed in the Preamble to due. Commerce’s determination is subject to Commerce’s regulations, we are setting Consultations limitations of time and information. aside a period for interested parties to Although this may result in different raise issues regarding product coverage Pursuant to sections 702(b)(4)(A)(i) definitions of the like product, such 8 (i.e., scope). Commerce will consider and (ii) of the Act, Commerce notified differences do not render the decision of the GOC of the receipt of the Petition all comments received from interested either agency contrary to law.16 parties and, if necessary, will consult and provided it the opportunity for with interested parties prior to the consultations with respect to the CVD Section 771(10) of the Act defines the issuance of the preliminary Petition.13 The GOC requested domestic like product as ‘‘a product determination. If scope comments consultations, which were held on July which is like, or in the absence of like, include factual information,9 all such 14, 2020.14 most similar in characteristics and uses with, the article subject to an factual information should be limited to Determination of Industry Support for investigation under this title.’’ Thus, the public information. To facilitate the Petition preparation of its questionnaires, reference point from which the Commerce requests that all interested Section 702(b)(1) of the Act requires domestic like product analysis begins is parties submit scope comments by 5:00 that a petition be filed on behalf of the ‘‘the article subject to an investigation’’ p.m. Eastern Time (ET) on August 5, domestic industry. Section 702(c)(4)(A) (i.e., the class or kind of merchandise to 2020, which is 20 calendar days from of the Act provides that a petition meets be investigated, which normally will be the signature date of this notice.10 Any this requirement if the domestic the scope as defined in the petition). rebuttal comments, which may include producers or workers who support the With regard to the domestic like factual information, must be filed by petition account for: (i) At least 25 product, the petitioner does not offer a 5:00 p.m. ET on August 17, 2020, which percent of the total production of the definition of the domestic like product is the next business day after 10 domestic like product; and (ii) more calendar days from the initial comment than 50 percent of the production of the distinct from the scope of the 17 deadline.11 domestic like product produced by that investigation. Based on our analysis of Commerce requests that any factual portion of the industry expressing the information submitted on the information the parties consider support for, or opposition to, the record, we have determined that twist relevant to the scope of the investigation petition. Moreover, section 702(c)(4)(D) ties, as defined in the scope, constitute be submitted during this time period. of the Act provides that, if the petition a single domestic like product, and we However, if a party subsequently finds does not establish support of domestic have analyzed industry support in terms that additional factual information producers or workers accounting for of that domestic like product.18 more than 50 percent of the total pertaining to the scope of the In determining whether the petitioner production of the domestic like product, investigation may be relevant, the party has standing under section 702(c)(4)(A) may contact Commerce and request Commerce shall: (i) poll the industry or rely on other information in order to of the Act, we considered the industry permission to submit the additional support data contained in the Petition information. All such comments must determine if there is support for the petition, as required by subparagraph with reference to the domestic like also be filed on the record of the product as defined in the ‘‘Scope of the concurrent AD investigation. (A); or (ii) determine industry support using a statistically valid sampling Investigation,’’ in the appendix to this Filing Requirements method to poll the industry. notice. To establish industry support, All submissions to Commerce must be Section 771(4)(A) of the Act defines the petitioner provided its own filed electronically using Enforcement the ‘‘industry’’ as the producers as a production of the domestic like product and Compliance’s (E&C’s) Antidumping whole of a domestic like product. Thus, in 2019 and compared this to the Duty and Countervailing Duty to determine whether a petition has the estimated total production of the Centralized Electronic Service System requisite industry support, the statute domestic like product for the entire (ACCESS), unless an exception directs Commerce to look to producers domestic industry.19 We have relied on applies.12 An electronically filed and workers who produce the domestic the data provided by the petitioner for like product. The International Trade 8 See Antidumping Duties; Countervailing Duties, Commission (ITC), which is responsible 16 See USEC, Inc. v. United States, 132 F. Supp. 62 FR 27296, 27323 (May 19, 1997) (Preamble). for determining whether ‘‘the domestic 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual industry’’ has been injured, must also v. United States, 688 F. Supp. 639, 644 (CIT 1988), information’’). determine what constitutes a domestic aff’d 865 F. 2d 240 (Fed. Cir. 1989), cert. denied 492 10 U.S. 919 (1989)). See 19 CFR 351.303(b). like product in order to define the 11 Commerce’s practice dictates that where a 17 See Volume I of the Petition at 17–20 and deadline falls on a weekend or Federal holiday, the industry. While both Commerce and the Exhibit GEN–1; see also General Issues Supplement appropriate deadline is the next business day (in ITC must apply the same statutory at 5–6; and Second General Issues Supplement at this instance, August 17, 2020). See Notice of definition regarding the domestic like 4–5 and Supplemental Declaration from Jay Clarification: Application of ‘‘Next Business Day’’ product,15 they do so for different Milbrandt (Supplemental Declaration). Rule for Administrative Determination Deadlines 18 For a discussion of the domestic like product Pursuant to the Tariff Act of 1930, As Amended, 70 analysis as applied to this case and information FR 24533 (May 10, 2005). access.trade.gov/help/Handbook_on_Electronic_ regarding industry support, see Countervailing Duty _ 12 See Antidumping and Countervailing Duty Filing Procedures.pdf. Investigation Initiation Checklist: Twist Ties from Proceedings: Electronic Filing Procedures; 13 See Commerce’s Letter, ‘‘Twist Ties from the the People’s Republic of China (China CVD Administrative Protective Order Procedures, 76 FR People’s Republic of China: Invitation for Initiation Checklist) at Attachment II, Analysis of 39263 (July 6, 2011); see also Enforcement and Consultation to Discuss the Countervailing Duty Industry Support for the Antidumping and Compliance; Change of Electronic Filing System Petition, ’’ dated June 26, 2020. Countervailing Duty Petitions Covering Twist Ties Name, 79 FR 69046 (November 20, 2014), for details 14 See Memorandum, ‘‘Twist Ties from the from the People’s Republic of China (Attachment of Commerce’s electronic filing requirements, People’s Republic of China Countervailing Duty II). This checklist is dated concurrently with this effective August 5, 2011. Information on using Petition: Consultations with the Government of the notice and on file electronically via ACCESS. ACCESS can be found at https://access.trade.gov/ People’s Republic of China,’’ dated July 15, 2020. 19 See Second General Issues Supplement at 2–3 help.aspx and a handbook can be found at https:// 15 See section 771(10) of the Act. and Supplemental Declaration.

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purposes of measuring industry industry producing the domestic like of companies is large and it cannot support.20 product. In addition, the petitioner individually examine each company Our review of the data provided in the alleges that subject imports exceed the based upon Commerce’s resources, Petition, the General Issues Supplement, negligibility threshold provided for where appropriate, Commerce intends the Second General Issues Supplement, under section 771(24)(A) of the Act.26 to select mandatory respondents based and other information readily available The petitioner contends that the on quantity and value (Q&V) to Commerce indicates that the industry’s injured condition is questionnaires issued to the potential petitioner has established industry illustrated by a significant volume and respondents. Commerce normally support for the Petition.21 First, the market share of subject imports; selects mandatory respondents in CVD Petition established support from underselling and price depression and investigations using U.S. Customs and domestic producers (or workers) suppression; lost sales and revenues; Border Protection (CBP) entry data for accounting for more than 50 percent of declines in shipments and net sales; U.S. imports under the appropriate the total production of the domestic like decline in financial performance; and Harmonized Tariff Schedule of the product and, as such, Commerce is not low level of capacity utilization.27 We United States (HTSUS) numbers listed required to take further action in order assessed the allegations and supporting in the scope of the investigation. to evaluate industry support (e.g., evidence regarding material injury, However, for this investigation, the polling).22 Second, the domestic threat of material injury, causation, as main HTSUS numbers under which the producers (or workers) have met the well as negligibility, and we have subject merchandise would enter (i.e., statutory criteria for industry support determined that these allegations are 5609.00.3000, and 8309.90.0000) are under section 702(c)(4)(A)(i) of the Act properly supported by adequate basket categories under which non- because the domestic producers (or evidence, and meet the statutory subject merchandise may enter. workers) who support the Petition requirements for initiation.28 Therefore, we cannot rely on CBP entry data in selecting respondents. We account for at least 25 percent of the Initiation of CVD Investigation total production of the domestic like intend instead to issue Q&V product.23 Finally, the domestic Based upon our examination of the questionnaires to each potential producers (or workers) have met the Petition and supplemental responses, respondent for which the petitioner has statutory criteria for industry support we find that the Petition meets the provided a complete address. under section 702(c)(4)(A)(ii) of the Act requirements of section 702 of the Act. Producers/exporters of twist ties from because the domestic producers (or Therefore, we are initiating a CVD China that do not receive Q&V workers) who support the Petition investigation to determine whether questionnaires by mail may still submit account for more than 50 percent of the imports of twist ties from China benefit a response to the Q&V questionnaire production of the domestic like product from countervailable subsidies and can obtain the Q&V questionnaire produced by that portion of the industry conferred by the GOC. Based on our from E&C’s website at http://trade.gov/ expressing support for, or opposition to, review of the Petition, we find that there enforcement/news.asp. Responses to the the Petition.24 Accordingly, Commerce is sufficient information to initiate a Q&V questionnaire must be submitted determines that the Petition was filed on CVD investigation on 15 of the 20 by the relevant Chinese producers/ behalf of the domestic industry within alleged programs. For a full discussion exporters no later than 5:00 p.m. ET on the meaning of section 702(b)(1) of the of the basis for our decision to initiate August 3, 2020. All Q&V responses must Act.25 on each program, see China CVD be filed electronically via ACCESS. An Initiation Checklist. A public version of electronically filed document must be Injury Test the initiation checklist for this received successfully, in its entirety, by Because China is a ‘‘Subsidies investigation is available on ACCESS. In ACCESS no later than 5:00 p.m. ET on Agreement Country’’ within the accordance with section 703(b)(1) of the the deadline noted above. Commerce meaning of section 701(b) of the Act, Act and 19 CFR 351.205(b)(1), unless intends to finalize its decisions section 701(a)(2) of the Act applies to postponed, we will make our regarding respondent selection within this investigation. Accordingly, the ITC preliminary determination no later than 20 days of publication of this notice. 65 days after the date of this initiation. must determine whether imports of the Distribution of Copies of the Petition subject merchandise from China Respondent Selection materially injure, or threaten material In accordance with section injury to, a U.S. industry. The petitioner named six companies 702(b)(4)(A) of the Act and 19 CFR in China as producers/exporters of twist 351.202(f), a copy of the public version Allegations and Evidence of Material ties.29 Commerce intends to follow its of the Petition has been provided to the Injury and Causation standard practice in CVD investigations GOC via ACCESS. Furthermore, to the The petitioner alleges that imports of and calculate company-specific subsidy extent practicable, Commerce will the subject merchandise are benefitting rates in this investigation. In the event attempt to provide a copy of the public from countervailable subsidies and that Commerce determines that the number version of the Petition to each exporter such imports are causing, or threaten to named in the Petition, as provided cause, material injury to the U.S. 26 See Volume I of the Petition at 22 and Exhibits under 19 CFR 351.203(c)(2). GEN–1 and GEN–11 through GEN–13. 27 See Volume I of the Petition at 8, 15–16, 21– ITC Notification 20 See General Issues Supplement at 7; see also 29 and Exhibits GEN–1, GEN–8, and GEN–11; see Second General Issues Supplement at 2–3. For also General Issues Supplement at 2 and 9–10; and Commerce will notify the ITC of its further discussion, see Attachment II of the China Second General Issues Supplement at 3. initiation, as required by section 702(d) CVD Initiation Checklist. 28 See China CVD Initiation Checklist at of the Act. 21 See Attachment II of the China CVD Initiation Attachment III, Analysis of Allegations and Checklist. Evidence of Material Injury and Causation for the Preliminary Determination by the ITC 22 Id.; see also section 702(c)(4)(D) of the Act. Antidumping and Countervailing Duty Petitions The ITC will preliminarily determine, 23 See Attachment II of the China CVD Initiation Covering Twist Ties from the People’s Republic of Checklist. China (Attachment III). within 45 days after the date on which 24 Id. 29 See Volume I of the Petition at Exhibit GEN– the Petition was filed, whether there is 25 Id. 6. a reasonable indication that imports of

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twist ties from China are materially parties in a letter or memorandum of the thin, bendable ties for closing containers, injuring, or threatening material injury deadline (including a specified time) by such as bags, bundle items, or identifying to, a U.S. industry.30 A negative ITC which extension requests must be filed objects. A twist tie in most circumstances is determination will result in the to be considered timely. An extension comprised of one or more metal wires 31 encased in a covering material, which allows investigation being terminated. request must be made in a separate, the tie to retain its shape and bind against Otherwise, this investigation will stand-alone submission; under limited itself. However, it is possible to make a twist proceed according to statutory and circumstances we will grant untimely- tie with plastic and no metal wires. The regulatory time limits. filed requests for the extension of time metal wire that is generally used in a twist limits. Parties should review Extension tie is stainless or galvanized steel and Submission of Factual Information of Time Limits; Final Rule, 78 FR 57790 typically measures between the gauges of 19 Factual information is defined in 19 (September 20, 2013), available at (.0410’’ diameter) and 31 (.0132’’) (American CFR 351.102(b)(21) as: (i) Evidence http://www.gpo.gov/fdsys/pkg/FR-2013- Standard Wire Gauge). A twist tie usually has submitted in response to questionnaires; 09-20/html/2013-22853.htm, prior to a width between .075’’ and 1’’ in the cross- machine direction (width of the tie— (ii) evidence submitted in support of submitting extension requests or factual measurement perpendicular with the wire); a allegations; (iii) publicly available information in this investigation. thickness between .015’’ and .045’’ over the information to value factors under 19 Certification Requirements wire; and a thickness between .002’’ and CFR 351.408(c) or to measure the .020’’ in areas without wire. The scope adequacy of remuneration under 19 CFR Any party submitting factual includes an all-plastic twist tie containing a 351.511(a)(2); (iv) evidence placed on information in an AD or CVD plastic core as well as a plastic covering (the the record by Commerce; and (v) proceeding must certify to the accuracy wing) over the core, just like paper and/or evidence other than factual information and completeness of that information.35 plastic in a metal tie. An all-plastic twist tie described in (i)–(iv). Section 351.301(b) Parties must use the certification (without metal wire) would be of the same measurements as a twist tie containing one of Commerce’s regulations requires any formats provided in 19 CFR 351.303(g).36 Commerce intends to or more metal wires. Twist ties are party, when submitting factual commonly available individually in pre-cut information, to specify under which reject factual submissions if the lengths (‘‘singles’’), wound in large spools to subsection of 19 CFR 351.102(b)(21) the submitting party does not comply with be cut later by machine or hand, or in information is being submitted 32 and, if the applicable certification perforated sheets of spooled or single twist the information is submitted to rebut, requirements. ties that are later slit by machine or by hand (‘‘gangs’’). clarify, or correct factual information Notification to Interested Parties already on the record, to provide an The covering material of a twist tie may be Interested parties must submit paper (metallic or plain), or plastic, and can explanation identifying the information applications for disclosure under APO be dyed in a variety of colors with or without already on the record that the factual in accordance with 19 CFR 351.305. On printing. A twist tie may have the same information seeks to rebut, clarify, or January 22, 2008, Commerce published covering material on both sides or one side correct.33 Time limits for the of paper and one side of plastic. When Antidumping and Countervailing Duty submission of factual information are comprised of two sides of paper, the paper Proceedings: Documents Submission addressed in 19 CFR 351.301, which material is bound together with an adhesive Procedures; APO Procedures, 73 FR provides specific time limits based on or plastic. A twist tie may also have a tag or 3634 (January 22, 2008). Parties wishing the type of factual information being label attached to it or a pre-applied adhesive to participate in this investigation attached to it. submitted. Interested parties should should ensure that they meet the Twist ties are imported into the United review the regulations prior to requirements of these procedures (e.g., States under Harmonized Tariff Schedule of submitting factual information in this the filing of letters of appearance as the United States (HTSUS) subheadings investigation. discussed at 19 CFR 351.103(d)). Note 8309.90.0000 and 5609.00.3000. Subject merchandise may also enter under HTSUS Extensions of Time Limits that Commerce has temporarily subheadings 3920.51.5000, 3923.90.0080, Parties may request an extension of modified certain of its requirements for 3926.90.9990, 4811.59.6000, 4821.10.2000, time limits before the expiration of a serving documents containing business 4821.10.4000, 4821.90.2000, 4821.90.4000, time limit established under 19 CFR proprietary information, until further and 4823.90.8600. These HTSUS notice.37 subheadings are provided for reference only. 351.301, or as otherwise specified by This notice is issued and published The written description of the scope of the Commerce. In general, an extension pursuant to sections 702(c)(2) and 777(i) investigation is dispositive. request will be considered untimely if it of the Act, and 19 CFR 351.203(c). is filed after the expiration of the time [FR Doc. 2020–16232 Filed 7–24–20; 8:45 am] limit established under 19 CFR Dated: July 16, 2020. BILLING CODE 3510–DS–P 351.301.34 For submissions that are due Jeffrey I. Kessler, Assistant Secretary for Enforcement and from multiple parties simultaneously, DEPARTMENT OF COMMERCE an extension request will be considered Compliance. untimely if it is filed after 10:00 a.m. ET Appendix—Scope of the Investigation National Oceanic and Atmospheric on the due date. Under certain Administration circumstances, Commerce may elect to The merchandise covered by this investigation consists of twist ties, which are specify a different time limit by which Agency Information Collection extension requests will be considered Activities; Submission to the Office of 35 See section 782(b) of the Act. untimely for submissions which are due 36 See Certification of Factual Information to Management and Budget (OMB) for from multiple parties simultaneously. In Import Administration During Antidumping and Review and Approval; Comment such a case, Commerce will inform Countervailing Duty Proceedings, 78 FR 42678 (July Request; Reporting Requirements for 17, 2013) (Final Rule); see also frequently asked the Ocean Salmon Fishery Off the 30 questions regarding the Final Rule, available at See section 703(a)(1) of the Act. http://enforcement.trade.gov/tlei/notices/factual_ Coasts of Washington, Oregon, and 31 Id. info_final_rule_FAQ_07172013.pdf. California 32 See 19 CFR 351.301(b). 37 See Temporary Rule Modifying AD/CVD 33 See 19 CFR 351.301(b)(2). Service Requirements Due to COVID–19; Extension The Department of Commerce will 34 See 19 CFR 351.302. of Effective Period, 85 FR 41363 (July 10, 2020). submit the following information

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collection request to the Office of fishery managers in telephone Review—Open for Public Comments’’ or Management and Budget (OMB) for conference calls involving the NMFS by using the search function and review and clearance in accordance West Coast Regional Administrator and entering either the title of the collection with the Paperwork Reduction Act of representatives of the Council. However, or the OMB Control Number 0648–0433. 1995, on or after the date of publication NMFS acknowledges that unsafe of this notice. We invite the general weather or mechanical problems could Sheleen Dumas, public and other Federal agencies to prevent commercial fishermen from Department PRA Clearance Officer, Office of comment on proposed, and continuing making their landings at the times and the Chief Information Officer, Commerce Department. information collections, which helps us places specified, and the MSA requires assess the impact of our information conservation and management measures [FR Doc. 2020–16241 Filed 7–24–20; 8:45 am] collection requirements and minimize to promote the safety of human life at BILLING CODE 3510–22–P the public’s reporting burden. Public sea. Therefore, the annual management comments were previously requested measures will include provisions to DEPARTMENT OF COMMERCE via the Federal Register on March 27, exempt commercial salmon fishermen 2020, during a 60-day comment period. from compliance with the landing National Oceanic and Atmospheric This notice allows for an additional 30 requirements when they experience Administration days for public comments. unsafe weather conditions or Agency: National Oceanic and mechanical problems at sea, so long as [RTID 0648–XA305] Atmospheric Administration (NOAA). the appropriate notifications are made Title: Emergency Commercial Salmon by, for example, at-sea radio and Endangered and Threatened Species; Landing Report. cellular telephone, and information on Take of Anadromous Fish OMB Control Number: 0648–0433. catch and other required information is AGENCY: National Marine Fisheries Form Number(s): None. given, under this collection of Service (NMFS), National Oceanic and Type of Request: Regular submission information. The annual management Atmospheric Administration (NOAA), (extension of a current information measures will specify the contents and Commerce. collection). procedure of the notifications, and the ACTION: Notice; applications for 17 Number of Respondents: 40. entities receiving the notifications (e.g., Average Hours per Response: 15 permit renewals, 1 permit modification, U.S. Coast Guard). Absent this and 2 new permits. minutes. requirement by the Council, the state Total Annual Burden Hours: 10 reporting systems would not regularly SUMMARY: Notice is hereby given that hours. collect this specific type of in-season Needs and Uses: Ocean salmon NMFS has received 20 scientific radio report. These provisions, and this fisheries conducted in the U.S. research permit application requests federal collection of information, exclusive economic zone, 3–200 relating to Pacific salmon and steelhead, promote safety at sea and provide nautical miles off the West Coast states eulachon, and green sturgeon. The practical utility for sustainably of Washington, Oregon, and California, proposed research is intended to managing the fishery, and ensure are managed by the Pacific Fishery increase knowledge of species listed regulatory consistency across each state Management Council (Council) and under the Endangered Species Act by implementing the same requirements NOAA’s National Marine Fisheries (ESA) and to help guide management in the territorial waters off each state Service (NMFS) under the Magnuson and conservation efforts. The This information collection is intended Stevens Fishery Conservation and applications may be viewed online at: to be general in scope by leaving the Management Act (MSA). Management https://apps.nmfs.noaa.gov/preview/ specifics of the notifications for annual _ _ _ measures for the ocean salmon fisheries preview open for comment.cfm. determination, thus providing flexibility are set annually, consistent with the DATES: Comments or requests for a in responding to salmon management Council’s Pacific Coast Salmon Fishery public hearing on the applications must concerns in any given year. Management Plan (FMP). The FMP be received at the appropriate address Affected Public: Business or other for- (see ADDRESSES) no later than 5 p.m. provides a framework for managing the profit organizations (specifically, ocean salmon fisheries in a sustainable Pacific Standard Time on August 26, commercial salmon fishermen). 2020. manner, as required under the MSA, Frequency: Reporting under this through the use of conservation emergency provision is infrequent. ADDRESSES: Because all West Coast objectives, annual catch limits, and Respondent’s Obligation: Mandatory NMFS offices are currently closed, all other reference points and status in order to deviate from landing written comments on the applications determination criteria described in the requirements due to unsafe weather or should be sent in by email to nmfs.wcr- FMP. To meet these criteria, annual mechanical problems. [email protected] (please include the management measures, published in the Legal Authority: 16 U.S.C. 1801 et seq. permit number in the subject line of the Federal Register by NMFS, specify This information collection request email). regulatory areas, catch restrictions, and may be viewed at www.reginfo.gov. FOR FURTHER INFORMATION CONTACT: Rob landing restrictions based on the stock Follow the instructions to view the Clapp, Portland, OR (ph.: 503–231– abundance forecasts. These catch and Department of Commerce collections 2314), email: [email protected]). landing restrictions include area- and currently under review by OMB. Permit application instructions are species-specific quotas for the Written comments and available from the address above, or commercial ocean salmon fishery, and recommendations for the proposed online at https://apps.nmfs.noaa.gov. generally require landings to be reported information collection should be SUPPLEMENTARY INFORMATION: to the appropriate state agencies to submitted within 30 days of the allow for a timely and accurate publication of this notice on the Species Covered in This Notice accounting of the season’s catch (50 CFR following website www.reginfo.gov/ The following listed species are 660.404 and 50 CFR 660.408(o)). The public/do/PRAMain. Find this covered in this notice: best available catch and effort data and particular information collection by Chinook salmon (Oncorhynchus projections are presented by the state selecting ‘‘Currently under 30-day tshawytscha): Threatened Lower

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Columbia River (LCR); threatened Puget Port Blakely Tree Farms owns and imperative to understanding the Sound (PS); threatened Snake River manages. The research would benefit complex interactions among water (SnkR) spring/summer-run; threatened listed salmonids by producing data to be operations, abiotic and biotic conditions Upper Willamette River (UWR); used in conserving the species and in the Delta, and population dynamics threatened California Coastal (CC); restoring critical habitat. Port Blakely of species of management concern. The Threatened Central Valley spring-run Tree Farms proposes to capture (using researchers are proposing to kill a subset (CVS); Endangered Sacramento River backpack electrofishing and dipnetting), of larval and hatchery-origin juvenile winter-run (SacR). handle, and release juvenile fish. The ESA-listed fish and, though it is not Steelhead (O. mykiss): Threatened researchers do not intend to kill any fish intended, a small number of juveniles Middle Columbia River (MCR); being captured but a small number may and adults of all salmon and steelhead Threatened LCR; Threatened UWR; die as an unintended result of the species may also be killed as an threatened PS; threatened UCR; research activities. inadvertent result of the proposed sampling activities. threatened Central California Coast 13791–7R (CCC); threatened California Central 14516–3R Valley (CCV); threatened Northern The Lodi office of the U.S. Fish and California (NC); threatened South- Wildlife Service (USFWS) is seeking to San Jose State University is seeking to Central California Coast (SCCC); renew for five years a permit that allows renew for five years a permit that endangered Southern California (SC), them to annually take adult and juvenile currently allows them to annually take Deschutes River steelhead non-essential SacR winter-run Chinook salmon, CVS juvenile and adult CCC coho salmon population (NEP). Chinook salmon, CCV steelhead, and and steelhead while conducting Chum salmon (O. keta): Threatened Southern DPS green sturgeon while research in Gazos Creek, Waddell Creek, Columbia River (CR). conducting research at long-term Scott Creek, Pescadero Creek Lagoon, Coho salmon (O. kisutch): Threatened monitoring sites in the Sacramento and San Gregorio Lagoon on the central LCR; threatened Southern Oregon/ River, San Joaquin River, San Joaquin coast of California. Fish would be Northern California Coast (SONCC); Delta, San Pablo Bay, San Francisco captured (by using beach seines and threatened CCC. Bay, Suisun Bay, and the Cache Slough backpack electrofishing), handled Eulachon (Thaleichthys pacificus): complex in the California Central Valley (weighed, measured, and checked for Threatened southern (S). as well as the San Joaquin Valley and marks or tags), and released. A Green Sturgeon (Acipenser San Francisco Estuary in California. subsample of juvenile and all adult fish medirostris): Threatened southern (S). Fish would be captured (Kodiak trawl, from both species would be marked midwater trawl, beach seine, and/or sampled for biological tissues. Authority zooplankton net, larval net, gillnet, fyke Carcasses would also be measured and Scientific research permits are issued net, purse seine, light trap, and boat sampled for biological tissues during in accordance with section 10(a)(1)(A) electrofishing), handled (weighed, spawning surveys. The purpose of the of the ESA (16 U.S.C. 1531 et. seq) and measured, and checked for marks or research is to continue monitoring coho regulations governing listed fish and tags), and released. A subsample of salmon and steelhead year-to-year wildlife permits (50 CFR 222–226). adult and juvenile fish from any of the abundance, habitat utilization patterns, NMFS issues permits based on findings stated species would be marked, tagged, growth rates, and relative abundance that such permits: (1) Are applied for in and/or sampled for biological tissue. among rearing life-history patterns. The good faith; (2) if granted and exercised, Subsamples of hatchery-origin juvenile resulting data would be used to guide would not operate to the disadvantage Sacramento River winter-run and management actions (including of the listed species that are the subject Central Valley spring-run Chinook hatchery smolts releases) and help of the permit; and (3) are consistent salmon and larval southern DPS green evaluate the relative importance of with the purposes and policy of section sturgeon will be lethally sampled for habitat types and how the interaction 2 of the ESA. The authority to take coded wire tag collection or larval fish between coho salmon and steelhead listed species is subject to conditions set species identification, respectively. The affects juvenile rearing. The researchers purpose of the research is to collect forth in the permits. are not proposing to kill any fish, but a scientific data to evaluate and monitor: Anyone requesting a hearing on an small number of juveniles may be killed (1) Abundance, temporal and spatial application listed in this notice should as an inadvertent result of these distribution, and survival of salmonids set out the specific reasons why a activities. and other fishes in the Sacramento and hearing on that application would be San Joaquin rivers and San Francisco 14808–5R appropriate (see ADDRESSES). Such Estuary; (2) occurrence and habitat use The California Department of Fish hearings are held at the discretion of the of fishes within the Liberty Island and and Wildlife (CDFW) is seeking to Assistant Administrator for Fisheries, Cache Slough Complex; (3) relative gear renew for five years a permit that NMFS. efficiency for all Interagency Ecological currently allows them to annually take Applications Received Program fish survey nets; (4) juvenile juvenile and adult SacR winter-run Chinook Salmon littoral habitat use in Chinook salmon, CVS Chinook salmon, 1336–9R the Delta; (5) abundance and CCV steelhead, and southern DPS green Port Blakely Tree Farms is seeking to distribution of Delta Smelt; (6) length-at- sturgeon while conducting research in renew for five years a permit that date race criteria of winter-run sized the Sacramento River in the California currently allows it to take juvenile UWR and larger Chinook Salmon; (7) winter- Central Valley. Fish would be captured Chinook salmon, LCR Chinook salmon, and spring-run sized Chinook Salmon (by using rotary screw traps, fyke traps, LCR coho salmon, UWR steelhead and floodplain usage in the Yolo Bypass; and beach seines), handled (weighed, LCR steelhead in headwater streams in and (8) salmonid genetics. The resulting measured, and checked for marks or western Oregon and Washington. The data would be used to quantify the tags), and released. The majority of the purpose of the research is to evaluate timing, distribution, and survival of juvenile and adult fish from all species factors limiting fish distribution and salmon and steelhead migrating through would be marked and/or sampled for water quality in streams on land that the Delta. This information is biological tissues and a subsample

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would be anesthetized and tagged (PIT, determine are severely compromised the screw traps, and recaptured for the elastomer, or acoustic tag). A further a and unlikely to survive would be taken. purpose of determining trap efficiency. subsample of hatchery-origin juvenile The researchers do not intend to kill any 15390–2R SacR Chinook salmon would be listed salmonids, but a small number intentionally lethally taken for coded The Resource Conservation District may die as an unintended result of the wire tag recovery. Juvenile and adult (RCD) of the Santa Monica Mountains is activities. Chinook salmon and steelhead from seeking to renew for five years a permit 16290–4R species would also be observed through that currently allows them to annually snorkel and video/DIDSON surveys. The take juvenile and adult SC steelhead in The Oregon Department of Fish and purpose of the research is to monitor— Topanga Creek and Malibu Creek in Los Wildlife (ODFW) is seeking to renew for in real time—juvenile salmonids Angeles County, California. Fish would five years a permit that currently outmigration. It is also intended to be captured (by using backpack authorizes them to take listed salmonids evaluate how environmental conditions electrofishing, fyke traps, and minnow while conducting research on the affect downstream juvenile movement, traps), handled (weighed, measured, Oregon Chub. The purpose of the estimate steelhead population and checked for marks or tags), and research is to study the distribution, abundance, trends, and spatial released. A subsample of juveniles abundance, and factors limiting the distribution in the Central Valley, and would be anesthetized, PIT-tagged, and recovery of Oregon chub. The ODFW document spawning activity and sampled for biological tissues or would capture, handle, and release relative abundance of juvenile stomach contents. The purpose of the juvenile UWR Chinook salmon, UWR salmonids in recently restored habitat. research is to document the status of the steelhead, LCR Chinook salmon, LCR The resulting data would be used to population of Southern California steelhead, LCR coho salmon, and CR help manage downstream gates and steelhead in the coastal creeks of Santa chum salmon while conducting the water intakes in ways designed to Monica Bay, understand outmigration research. The Oregon chub is endemic reduce juvenile entrainment. The data patterns, identify habitat constraints and to the Willamette Valley of Oregon and would also be used to help managers restoration opportunities, and identify the habitats it depends on are important develop recommendations for steelhead pathogens or diseases related to fish die- to salmonids. Research on the Oregon monitoring programs in support of off events. The resulting data would be chub would benefit listed salmonids by species recovery and evaluate used to evaluate smolt production, helping managers recover habitats that restoration project outcomes. The recruitment, and seasonal habitat use in the species share. The ODFW researchers are proposing to kill a subset Topanga Creek and assess the researchers would use boat of hatchery-origin juvenile ESA-listed contribution of various pathogens and electrofishing equipment, minnow fish captured, and a small number of diseases to mortality in Malibu creek. traps, beach seines, dip nets, hoop nets, juveniles of all species may be killed as The researchers are not proposing to kill and fyke nets to capture juvenile fish. an inadvertent result of sampling any fish, but a small number of Researchers would avoid contact with activities. The researchers are not juveniles may be killed as an adult fish. If listed salmonids are proposing to kill any adult fish, but a inadvertent result of these activities. captured during the research they would be released immediately. The small number may be killed as an 16122–3R inadvertent result of these activities. researchers do not expect to kill any The Colville Confederated Tribes listed salmonids but a small number 15215–2R (CCT) are seeking to renew for five years may die as an unintended result of the The CDFW is seeking to renew for five a permit that currently allows them to research activities. years a permit that currently allows take juvenile UCR steelhead in the 16417–3M them to annually take juvenile and adult Okanogan River, Washington. The SacR winter-run Chinook salmon, CCC purpose of the research is to monitor The Santa Clara Valley Water District coho salmon, and SC steelhead steelhead populations in the basin. The is seeking to modify a permit that allows anywhere in the State of California and researchers are seeking to estimate them to annually take juvenile and adult its waters. This permit only allows the natural production and productivity and CCC steelhead and juvenile SCCC CDFW researchers to take dead or calculate annual population estimates, steelhead in the Guadalupe River, moribund fish in the event of an egg-to-emigrant survival, and emigrant- Coyote Creek, and Stevens Creek observed fish die-off. Dead or moribund to-adult survival rates. The population Watershed (Guadalupe Creek, Alamitos fish found during such an event would estimates would be used to evaluate the Creek, Calero Creek, Los Gatos Creek, be collected and tissue-sampled. effects of supplementation programs in Guadalupe River, Stevens Creek, Coyote Animals determined to be moribund the Okanogan River Basin and provide Creek, and Upper Penitencia Creek), due to such an event would be collected mangers with the data they need to Pajaro Watershed (Pacheco Creek, Cedar by hand- or dip-net and euthanized determine spawning success. The Creek, North Fork Pacheco Creek, before being tissue-sampled. The research would benefit the fish by Middle Fork Pacheco Creek, South Fork collected tissue samples would be giving state and Federal managers Pacheco Creek, Hagerman Canyon, Uvas evaluated for pathogens, immunological information on UCR steelhead status Creek, LLagas Creek, Bodfish Creek, response, or DNA testing. The purpose and the degree to which they are being Little Arthur Creek, Tar Creek, and Solis of the research is to understand the role affected by supplementation programs Creek), and Lake Almaden in North of disease when fish die-off events in the area. The fish would be captured Santa Clara County, California. In occur. Data identifying die-off causes at screw trapping sites on the Okanogan addition to the currently authorized would be used to inform fishery and River. All captured fish would be take, the applicants are requesting water resource management in ways identified and checked for marks and additional take of juvenile CCCC designed to help avoid future such tags. A subsample of selected fish would steelhead and juvenile SCCC steelhead. events. The researchers are not be measured and weighed before being Fish would be captured (by using proposing to capture or kill any healthy released back into the Okanogan River. backpack electrofishing, boat live fish; only dead fish and those that A further subsample would be marked electrofishing, and beach seines), CDFW pathologists or veterinarians with a brown dye, released upstream of handled (weighed, measured, and

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checked for marks or tags), and released. influencing disease in fish populations weighed, measured, and checked for A subsample of juveniles would be of the Klamath River Basin. The marks or tags), and released. A anesthetized, PIT-tagged, and sampled resulting data would be used to help subsample of captured fish would be for biological tissues. No additional take managers understand the effects of flow anesthetized and PIT-tagged prior to is being requested for adult fish. The and temperature conditions and timing release. The purpose of the research is purpose of the research is to collect data on disease, the importance of specific to assess juvenile salmonid abundance, on steelhead distribution, habitat use, habitats to aquatic species, the response run timing, length, weight, condition, survival rates, and movements. The of aquatic habitats to restoration actions, health, habitat utilization, movement resulting data would be used to fill and how aquatic habitat is affected by patterns, and growth, as well as to knowledge gaps regarding steelhead human interaction. The researchers are estimate the natural mainstem Trinity distribution and relative abundance in not proposing to kill any fish, but a River spawning escapement and Santa Clara County and help better align small number of juvenile fish may be investigate the potential impacts of water district operations and fisheries killed as an inadvertent result of these predation and competition by invasive management. The researchers are not activities. brown trout. The resulting data would proposing to kill any fish, but a small be used to (a) determine the relative 17867–2R number of juveniles may be killed as an value of habitat and its use where inadvertent result of these activities. The Humboldt Redwood Company restoration projects are considered, (b) (HRC) is seeking to renew for five years support development of a salmon 17063–3R a permit that currently allows them to production model for use in restoration The U.S. Forest Service is seeking to annually take juvenile and adult SONCC planning, and (c) evaluate restoration renew for five years a permit that coho salmon, NC steelhead, and CCC effectiveness to determine if expected currently allows them to annually take Chinook salmon in the Lower Eel River, habitat improvements are being juvenile SONCC coho salmon, NC Van Duzen River, Freshwater Creek, Elk realized. The researchers are not steelhead, and CC Chinook salmon in River, Mattole River, and Bear River in proposing to kill any fish, but a small the Mad River, Lower Eel River, Van Humboldt County, California. Adult and number of juveniles may be killed as an Duzen River, and Weaver Creek juvenile fish would be observed via inadvertent result of these activities. drainage in the Mad-Redwood, Lower snorkel survey, and a subset of juvenile Eel, and Trinity River sub-basins of SONCC coho and NC steelhead would Permit 18921–2R coastal Northern California. Fish would be captured (by using backpack The Samish Indian Nation be captured (by using backpack electrofishing), handled (weighed, Department of Natural Resources electrofishing), handled (anesthetized, measured, and checked for marks or (SINDNR) is seeking to renew for five weighed, measured, and checked for tags), and released. The purpose of the years a research permit that currently marks or tags), and released. A research is to determine the occurrence, allows it to annually take juvenile PS subsample of SONCC coho would be distribution, population abundance, and Chinook salmon and PS steelhead. The PIT-tagged. The purpose of the research habitat conditions of listed salmonids SINDNR research may also cause them is to continue building long-term on HRC lands. The resulting data would to take adult S eulachon, for which physical and biological data sets that be used to monitor, protect, restore and there are currently no ESA take would be used to develop an individual- enhance the anadromous fishery prohibitions. The sampling would take based model of anadromous salmonids resources in watersheds owned by HRC. place in the marine waters adjacent to in Weaver Creek and monitor the The researchers are not proposing to kill Cypress Island (of the San Juan Island distribution of non-native speckled dace any fish, but a small number of juvenile archipelago) in Secret Harbor (Skagit in the Mad River and Eel River fish may be killed as an inadvertent County, WA). Secret Harbor restoration drainages. The resulting data would be result of these activities. (2008–2018) involved the restoration of used to assess the effectiveness of an agricultural field to its historical 17877–3R habitat restoration projects completed in form by breaching an existing tidal dike, recent years and study why speckled The U.S. Bureau of Reclamation is restoring tidal exchange and freshwater dace have not expanded their range in seeking to renew a permit that allows stream connectivity to the area, and the Eel River. The researchers are not them to annually take juvenile and adult replacing invasive plant species with proposing to kill any fish, but a small SONCC Coast coho salmon in the native vegetation. The restored estuary number of individuals may be killed as Trinity River and its tributaries in and salt marsh habitats are expected to an inadvertent result of these activities. Trinity and Humboldt counties, enhance and improve structural habitat California. Adult fish would be complexity and potentially support a 17272–2R observed via snorkel surveys or greater diversity of species. The purpose The U.S. Fish and Wildlife Service is spawning surveys, and tissue samples of the study is to determine fish seeking to renew for five years a permit would be collected from carcasses found presence both within and around the that currently allows them to annually during spawning surveys. A small Secret Harbor estuary restoration site to take juvenile and adult SONCC coho number of adults would be captured (by continue studying the effectiveness of salmon in the mainstem Klamath River using barbless hook and line angling) the restoration efforts. This research in Northern California. Adult fish would when the researchers engage in would benefit the affected species by be observed during spawning surveys, sampling that targets invasive brown informing future restoration designs and and tissue samples would be collected trout. Any listed fish caught in this providing data to support future from spawned adult carcasses. Juvenile manner would immediately be released. enhancement projects. The SINDAR fish would be captured (by using rotary Juvenile coho salmon would also be proposes to capture fish by using beach screw traps, fyke traps, and beach observed via snorkel surveys and a seines during year-round monthly seines), handled (weighed, measured, subset would be captured (by using sampling events. Fish would be and checked for marks or tags), and rotary screw traps, boat electrofishing, captured, identified to species, released. The purpose of the research is fyke traps, minnow traps, beach seines, measured, and released. The researchers to assess population status, health, and hand-netting during snorkel do not propose to kill any of the listed habitat use, and mechanisms surveys), handled (anesthetized, fish being captured, but a small number

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may die as an unintended result of the sturgeon adults captured as a result of designed to help scientists and activities. longline sampling would be managers: (1) Determine the inter- anesthetized, PIT-tagged, and would be annual and seasonal variability in 18937–3R sampled for biological tissues prior to growth, feeding, and energy status The Scripps Institute of release. The purpose of this research is among juvenile salmonids in the coastal Oceanography is seeking to renew a to study how physical and biological ocean off northern and central permit that allows them to annually take factors relate to fish assemblages and California as well as southern Oregon; juvenile and adult CC Chinook salmon, populations—particularly with regard to (2) determine migration paths and CCC coho salmon, and CCC steelhead in the distribution of delta smelt in tidal spatial distribution among genetically tributaries of the Russian River in wetlands in the San Francisco Estuary distinct salmonid stocks during their Mendocino and Sonoma counties, and Delta. The resulting data would be early ocean residence; (3) characterize California. Adult fish would be used to address potential benefits of the biological and physical observed via snorkel surveys or habitat restoration, specifically by oceanographic features associated with spawning surveys, and tissue samples identifying habitat characteristics in juvenile salmon ocean habitat from the would be collected from carcasses found restored sites that are associated with shore to the continental shelf break; (4) during spawning surveys. If any adults plankton production sufficient to identify potential links between coastal were to be unintentionally captured in establish a food web supporting native geography, oceanographic features, and juvenile sampling gear, they would fish populations. The data would also salmon distribution patterns; and (5) immediately be released. Juvenile fish help researchers develop new research identify and test ecological indices for would also be observed via snorkel tools for studying delta smelt. The salmon survival. This research would surveys and a subset would be captured researchers are not proposing to kill any benefit listed fish by informing (by using backpack electrofishing, hand- ESA-listed fish, but a small number of comprehensive lifecycle models that or dip-nets, funnel/pipe traps, and adult and juvenile fish may be killed as incorporate both freshwater and marine minnow traps), handled (anesthetized, an inadvertent result of these activities. conditions and recognize the weighed, measured, and checked for In addition, a small number of juvenile relationship between the two habitats. It marks or tags), and released. A non-ESA listed (i.e., fall-run) Chinook would also identify and predict sources subsample would be anesthetized and salmon would also be intentionally of salmon mortality at sea and thereby PIT-tagged, have tissue samples taken, sacrificed for stomach contents analysis, help managers develop indices of or have stomach contents sampled (non- and a small number of juvenile CVS salmonid survival in the marine lethally). The purpose of the research is spring-run Chinook salmon may be environment. to estimate salmonid population metrics killed as part of this effort in the 19437–2R such as abundance, survival, growth, unlikely event that they are and spatial distribution of multiple life misidentified. The University of California at Davis stages in the Russian River watershed. is seeking to renew for five years a The resulting data would be used to 19320–2R permit that currently allows them to provide resource agencies with NOAA’s Southwest Fisheries Science annually take juvenile and adult SacR information relating to population Center is seeking to renew for five years winter-run Chinook salmon, CVS metrics and thereby help them plan a permit that currently allows them to Chinook salmon, CCV steelhead, and recovery actions such as hatchery take juveniles and sub-adults from 10 southern DPS green sturgeon in the releases, habitat enhancement projects, species of listed salmonids: CC Chinook Cache-Lindsey complex, Sherman Lake and stream flow improvement projects. salmon, CVS Chinook salmon, LCR complex, and Suisun Marsh in the The researchers are not proposing to kill Chinook salmon, SacR winter-run Sacramento-San Joaquin Delta and San any fish, but a small number of Chinook salmon, SR spring/summer Francisco Estuary, California. Fish juveniles and post-spawn steelhead Chinook salmon, CCC coho salmon, would be captured (by using boat (kelts) may be killed as an inadvertent SONCC coho salmon, CVS steelhead, electrofishing, otter trawls, and beach result of these activities. CCC steelhead, and NC steelhead. The seines), handled (weigh, measure, and fish would primarily be captured by check for marks or tags), and released. 19121–2R surface trawling, however beach seining Green sturgeon adults will also be The U.S. Geological Survey is seeking may also occasionally be used. Sub- scanned for PIT tags and may be to renew a permit that allows them to adult salmonids (i.e., all salmon larger sampled for biological tissues before annually take juvenile and adult SacR than 250 mm) that survive capture being released release. The purpose of winter-run Chinook salmon, CVS would have fin tissue and scale samples this research is to develop better spring-run Chinook salmon, CVS taken and then be released. All sub- understanding of how physical and steelhead, and adult southern DPS green adult salmonids that do not survive biological habitat features (such as flow sturgeon in the north San Francisco Bay capture and all captured juvenile and other factors) interact to maintain Delta (including the general Cache salmonids (i.e., fish larger than 80 mm assemblages of native and non-native Slough complex, Little Holland Tract, but less than 250 mm) would be lethally species in the upper San Francisco and the Sacramento Deep Water sampled (i.e., intentional directed Estuary—particularly in shallow water Shipping Channel) downstream to the mortality) in order to collect: (1) and marsh habitat. The resulting data upper San Francisco Estuary in the Otoliths for age and growth studies; (2) would be used to help managers (a) vicinity of Suisun Bay in the San coded wire tags for origin and age understand how fishes commonly Francisco Estuary and Sacramento-San (hatchery fish); (3) muscle tissues for inhabiting Suisun Marsh use the Joaquin Delta, California. Salmonids stable isotopes and/or lipid assays; (4) Sacramento River corridor to access would be captured (by using boat stomachs and contents for diet studies; habitats in other parts of the estuary, (b) electrofishing, fyke nets, gill nets, and (5) other tissues including the heart, model fish abundance, (c) guide zooplankton nets, midwater trawls, otter liver, intestines, and kidney for special restoration projects to support native trawls, and beach seines), handled studies upon request. fishes, and (d) evaluate the response of (weighed, measured, and checked for The research is intended to generate the Delta ecosystem to drought. The marks or tags), and released. Any green a great deal of information. It is researchers are not proposing to kill any

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fish, but a small number of juvenile captured, identified to species, https://global.gotomeeting.com/join/ salmon and steelhead may be killed as measured, fin clipped (caudal fin), 440034621 an inadvertent result of these activities. dyed, and released. Observational You can also dial in using your methods such as snorkel and redd phone. 23649 surveys would be used to inform and United States: +1 (872) 240–3412 Mount Hood Environmental is supplement the above methods. The Access Code: 440–034–621 seeking a five-year permit that would researchers do not propose to kill any of Get the app now and be ready when allow them to annually take juvenile the listed fish being captured, but a the first meeting starts: MCR steelhead from a non-essential small number may die as an unintended https://global.gotomeeting.com/install/ experimental population in the Crooked result of the activities. 440034621 River (Deschutes River watershed) in This notice is provided pursuant to central Oregon. The researchers would Wednesday, August 12, 2020, 9 a.m.— section 10(c) of the ESA. NMFS will 12:30 p.m. (GMT–04:00) use backpack electrofishing units and evaluate the applications, associated screw traps to capture the fish which documents, and comments submitted to Please join the meeting from your would then be measured, weighed, determine whether the applications computer, tablet or smartphone. checked for marks and tags, allowed to meet the requirements of section 10(a) https://global.gotomeeting.com/join/ recover, and released back to the river. of the ESA and Federal regulations. The 972849573 A subsample of the captured fish may final permit decisions will not be made You can also dial in using your also be tissue-sampled for genetic until after the end of the 30-day phone. assays. The purpose of the research is to comment period. NMFS will publish United States: +1 (872) 240–3212 establish baseline population notice of its final action in the Federal Access Code: 972–849–573 information (presence, abundance, Register. Get the app now and be ready when density, etc.) on MCR steelhead and the first meeting starts: Dated: July 21, 2020. native redband trout in the vicinity of https://global.gotomeeting.com/install/ Angela Somma, Bowman Dam, on the Crooked River. 972849573 The work will benefit the species by Chief, Endangered Species Division, Office In case there are problems with helping managers maintain and operate of Protected Resources, National Marine GoToMeeting, and we cannot reconnect Fisheries Service. Bowman Dam (and a possible new via GoToMeeting, the meeting will hydroelectric turbine proposed for [FR Doc. 2020–16176 Filed 7–24–20; 8:45 am] continue via Google Meet. construction there) in the most fish- BILLING CODE 3510–22–P friendly manner possible. The Tuesday, August 11, 2020, 9 a.m.–4 researchers do not intend to kill any of p.m., Atlantic Standard Time the fish being captured, but a small DEPARTMENT OF COMMERCE Join with Google Meet number may die as an unintended result meet.google.com/gbs-xeaw-zzq of the activities. National Oceanic and Atmospheric Administration Wednesday, August 12, 2020, 9 a.m.– 23843 12:30 p.m. Atlantic Standard Time— [RTID 0648–XA296] The Skagit River System Cooperative Puerto Rico (SRSC) is seeking a five-year permit to Caribbean Fishery Management Join with Google Meet capture juvenile PS Chinook salmon Council; Public Meeting meet.google.com/nvm-nkcp-jmf and PS steelhead in the Skagit River FOR FURTHER INFORMATION CONTACT: floodplain between river miles 54 and AGENCY: National Marine Fisheries Miguel Rolo´n, Executive Director, 79 (Skagit County, WA). The purpose of Service (NMFS), National Oceanic and Caribbean Fishery Management Council, the study is to evaluate a restoration Atmospheric Administration (NOAA), 270 Mun˜ oz Rivera Avenue, Suite 401, action designed to reconnect 1,700 acres Commerce. San Juan, Puerto Rico 00918–1903, (about 6.88 km2) of Skagit River ACTION: Notice of public meeting. telephone: (787) 398–3717. floodplain (Barnaby Slough) by SUPPLEMENTARY INFORMATION: The monitoring its effect upon salmonid SUMMARY: The Caribbean Fishery Management Council (CFMC) will hold following items included in the densities and productivity. Barnaby tentative agenda will be discussed: Slough was used as a rearing pond for the 170th public meeting (virtual) to hatchery steelhead by the Washington address the items contained in the August 11, 2020, 9 a.m.—11 a.m. Department of Fish and Wildlife from tentative agenda included in the —Call to Order the 1960’s until 2007 and includes three SUPPLEMENTARY INFORMATION. —Roll Call dams, numerous dikes, and a smaller DATES: The 170th CFMC virtual public —Swearing of New Council Members enclosed rearing pond. These features meeting will be held on August 11, —Election of Officers modify flow conditions and block fish 2020, from 9 a.m. to 4 p.m. and on —Adoption of Agenda passage to the slough and are slated for August 12, 2020, from 9 a.m. to 12:30 —Consideration of 169th Council removal and restoration. This study will p.m. The meeting will be at Eastern Meeting Verbatim Transcriptions employ a Before-After-Control-Impact Daylight Time. —Executive Director’s Report design with two years of pre-project and ADDRESSES: You may join the 170th August 11, 2020, 11 a.m.–11:10 a.m. three years of post-project monitoring to CFMC virtual public meeting via —Break evaluate fish and habitat relationships. GoToMeeting, from a computer, tablet This research would benefit the affected or smartphone by entering the following August 11, 2020, 11:10 a.m.–12 p.m. species by informing future restoration address: —Scientific and Statistical Committee designs as well as providing impetus for Tuesday, August 11, 2020, 9 a.m.–4 (SSC) Report on July 27–28, 2020, future enhancement projects. The SRSC Meeting– Richard Appeldoorn proposes to capture fish using fence- p.m. (GMT–04:00) weir smolt traps and backpack and boat Please join the meeting from your August 11, 2020, 12 p.m.–1 p.m. electrofishing equipment. Fish would be computer, tablet or smartphone. —Lunch Break

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August 11, 2020, 1 p.m.–1:30 p.m. the start time on the first date, interested and requirements for vessels to apply to —Ecosystem-Based Fishery parties should be aware that discussions participate in this fishery. Allocation of Management Technical Advisory may start earlier or later than indicated these fishing privileges would be for Panel Report—Sennai Habtes in the agenda, at the discretion of the five years, unless the approved vessel(s) Chair. are unable to successfully utilize the August 11, 2020, 1:30 p.m.–2 p.m. available quotas or the privilege is Special Accommodations —Southeast Fisheries Science Center otherwise revoked. Update Simultaneous interpretation will be DATES: These fishing opportunities are provided. effective August 11, 2020 through August 11, 2020, 2 p.m.–2:30 p.m. Se proveera´ interpretacio´n en espan˜ ol. December 31, 2024. Expressions of —Five-Year Strategic Plan Update— Para interpretacio´n en espan˜ ol puede interest regarding fishing opportunities Michell Duval marcar el siguiente nu´ mero para entrar in NAFO will be accepted through a la reunio´n: August 11, 2020. August 11, 2020, 2:30 p.m.–3:30 p.m. US/Canada´: llame al +1–888–947– ADDRESSES: Expressions of interest —Gear Discussion: Allowable Gear 3988, cuando el sistema conteste, entrar regarding U.S. fishing opportunities in Types el nu´ mero 1*999996#. NAFO should be made in writing to —Anchoring Discussion: Grammanik For English interpretation you may Michael Pentony, U.S. Commissioner to Bank dial the following number to enter the the Northwest Atlantic Fisheries meeting: August 11, 2020, 3:30 p.m.–4 p.m. Organization (NAFO), NMFS Greater US/Canada: call +1–888–947–3988, Atlantic Regional Fisheries Office, by —Public Comment Period (5-minute when the system answers enter the emailing Moira Kelly, Senior Fishery presentations) number 2*999996#. Program Specialist, at Moira.Kelly@ For any additional information on this August 11, 2020, 4 p.m. noaa.gov. public virtual meeting, please contact Information relating to chartering —Adjourn Diana Martino, Caribbean Fishery vessels of another NAFO Contracting Management Council, 270 Mun˜ oz August 12, 2020, 9 a.m.–10 a.m. Party, transferring NAFO fishing Rivera Avenue, Suite 401, San Juan, opportunities to or from another NAFO —Island-Based Fishery Management Puerto Rico 00918–1903, telephone: Contracting Party, or general U.S. Plans Update—Maria del Mar Lo´pez (787) 226–8849. participation in NAFO is available from —Options Paper for Updating Spiny Authority: 16 U.S.C. 1801 et seq. Patrick E. Moran, NMFS Office of Lobster Annual Catch Limit on Island- International Affairs and Seafood Based Fishery Management Plans Dated: July 22, 2020. Tracey L. Thompson, Inspection, email: [email protected]. Based on SEDAR 57 Additional information about NAFO —Discussion of Yellowtail Snapper Acting Deputy Director, Office of Sustainable Conservation and Enforcement Fisheries, National Marine Fisheries Service. Recreational Bag Limit under the St. Measures and the High Seas Fishing Croix Fishery Management Plan [FR Doc. 2020–16179 Filed 7–24–20; 8:45 am] Compliance Act Permit required for BILLING CODE 3510–22–P August 12, 2020, 10 a.m.–10:10 a.m. NAFO participation is available from Shannah Jaburek, NMFS Greater —Break Atlantic Regional Fisheries Office, 55 DEPARTMENT OF COMMERCE August 12, 2020, 10:10 a.m.–10:40 a.m. Great Republic Drive, Gloucester, MA 01930 (phone: 978–282–8456, fax: 978– —Outreach and Education Advisory National Oceanic and Atmospheric 281–9135, email: Shannah.Jaburek@ Panel Report—Alida Ortı´z Administration noaa.gov) and online from NAFO at August 12, 2020, 10:40 a.m.–11:40 a.m. [RTID 0648–XX057] https://www.nafo.int. —Enforcement (15 minutes each) International Affairs; U.S. Fishing FOR FURTHER INFORMATION CONTACT: —Puerto Rico—Department of Natural Opportunities in the Northwest Atlantic Moira Kelly, (978) 281–9218. and Environmental Resources (DNER) Fisheries Organization Regulatory SUPPLEMENTARY INFORMATION: —U.S.V.I—Department of Planning and Area General NAFO Background Natural Resources (DPNR) —U.S. Coast Guard AGENCY: National Marine Fisheries The United States is a Contracting —NOAA Fisheries Office of Law Service (NMFS), National Oceanic and Party to the Northwest Atlantic Enforcement Atmospheric Administration (NOAA), Fisheries Organization (NAFO). NAFO Commerce. is an intergovernmental fisheries August 12, 2020, 11:40 a.m.–12 p.m. ACTION: Notification of U.S. fishing science and management body whose —Other Business opportunities. convention applies to most fishery resources in international waters of the August 12, 2020, 12 p.m.–12:30 p.m. SUMMARY: We are announcing 2020– Northwest Atlantic, except salmon, —Public Comment Period (5-minute 2024 fishing opportunities in the tunas/marlins, whales, and sedentary presentations) Northwest Atlantic Fisheries species such as shellfish. Currently, Organization Regulatory Area. This NAFO has 12 contracting parties from August 12, 2020, 12:30 p.m. action is necessary to make fishing North America, Europe, Asia, and the —Adjourn privileges in the Regulatory Area Caribbean. NAFO’s Commission is The order of business may be adjusted available on an equitable basis to the responsible for the management and as necessary to accommodate the extent possible. The intent of this notice conservation of the fishery resources in completion of agenda items. The is to alert U.S. fishing vessels of these the Regulatory Area (waters outside the meeting will begin on August 11, 2020, fishing opportunities, to relay the Exclusive Economic Zones (EEZ)). at 9 a.m. EDT, and will end on August available quotas available to U.S. Figure 1 shows the NAFO Regulatory 12, 2020, at 12:30 p.m. EDT. Other than participants, and to outline the process Area.

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As a Contracting Party within NAFO, requirements for U.S. vessels that wish Division 3M shrimp fishery this year. the United States may be allocated catch to participate in the 2020–2024 NAFO NAFO is currently undertaking a quotas or effort allocations for certain fisheries. Allocations, including the process to move the 3M shrimp fishery species in specific areas within the ‘‘Others’’ quotas, may vary based on away from days-at-sea to a quota- NAFO Regulatory Area and may decisions made at the NAFO Annual management scheme. In addition, the participate in fisheries for other species Meeting. Substantial changes in United States has agreed to receive a for which we have not received a allocations may facilitate additional transfer of 1,000 mt of NAFO Division specific quota. For most stocks for solicitations of fishing interest, which 3LNO yellowtail flounder from Canada’s which the United States does not would be announced in the Federal 2020–2024 quota allocations, consistent receive a specific allocation, an open Register, as necessary. with a recent bilateral arrangement. This allocation, known as the ‘‘Others’’ transfer arrangement may be modified NAFO Fishing Opportunities Available allocation under the Convention, is or discontinued by either the United to U.S. Fishing Vessels shared access between all NAFO States or Canada prior to October 1 of Contracting Parties. The principal species managed by each year. The Greater Atlantic Regional Additional information on NAFO can NAFO are Atlantic cod, yellowtail and Fisheries Office will announce any be found online at https://www.nafo.int/ witch flounders, Acadian redfish, changes to the arrangement, as About-us. The NAFO Conservation and American plaice, Greenland halibut, necessary. Enforcement Measures (CEM) that white hake, capelin, shrimp, skates, and Fishing in the NAFO Regulatory Area specify the fishery regulations, total Illex squid. NAFO specifies requires substantial investment by the allowable catches (TAC, quotas), and conservation measures for fisheries on vessel owners. In recent years, NMFS other information about the fishery these species occurring in its Regulatory has allocated U.S. fishing opportunity program is available online at: https:// Area, including TACs for these managed on an annual basis. However, it is often www.nafo.int/Fisheries/Conservation. species that are allocated among NAFO difficult for vessels to make sufficient NAFO updates the CEM annually. Contracting Parties. market arrangements given the This notice announces the fishing The United States receives annual uncertainty of an annual allocation opportunities available to U.S. vessels quota allocations at the NAFO Annual process. In addition, a recently in NAFO regulatory waters, including Meetings for two stocks to be fished in negotiated bilateral arrangement with specific stocks for which the United the subsequent year (Division 3M Canada provides for a transfer of 1,000 States has an allocation under NAFO or Redfish and Subareas 3 and 4 Illex mt of 3LNO yellowtail flounder for 5 through arrangements with other squid). For 2020, the United States was years. As such, we intend to allocate Contracting Parties and fishing allocated 69 metric tons (mt) of 3M U.S. fishing privileges for the duration opportunities under the ‘‘Other’’ NAFO redfish and 453 mt of Subareas 3 and 4 of the yellowtail flounder arrangement allocations. This notice also outlines the Illex squid. The United States was also (through December 31, 2024) for all application process and other allocated 25 fishing days for the NAFO species the United States is

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authorized to fish for, except 3M vessel is unable to successfully utilize where the United States has not been shrimp, which will be allocated for just awarded fishing privileges, transfers to allocated quota through the ‘‘Others’’ 2020. The Greater Atlantic Regional other approved vessels or additional allocation, as noted in Annex I.A of the Fisheries Office will announce future solicitations of interest may be CEM. For 2020, the Others quotas are as allocations of 3M shrimp based on warranted. follows: further discussions of the management Additional fishing opportunities may scheme within NAFO. If any approved be available to U.S. vessels for stocks

TABLE 1—2020 NAFO OTHERS ALLOCATIONS [mt, live weight]

Species NAFO division Others quota

Cod ...... 3M ...... 34 Redfish ...... 3LN ...... 109 3M ...... 124 3O ...... 100 Yellowtail Flounder ...... 3LNO ...... 85 Witch Flounder ...... 3NO ...... 12 White Hake ...... 3NO ...... 59 Skates ...... 3LNO ...... 258 Illex squid ...... Squid 3, 4 794 (Sub-Areas 3+4).

The United States shares the Others 6. For all other Annex I.A stocks Applying for These Fishing quota with other NAFO Contracting where the United States has no specific Opportunities Parties and access is on a first come, quota, the bycatch limit is 2,500 kg or Expressions of interest to fish for any first served basis across all Contracting 10 percent, unless a ban on fishing or all of the 2020–2024 U.S. fishing Parties. Directed fishing is prohibited by applies or the quota for the stock has opportunities in NAFO described above NAFO when the Others quota for a been fully utilized. If the fishery for the will be considered from all U.S. fishing particular stock has been fully stock is closed or a retention ban interests (e.g., vessel owners, processors, harvested. applies, the permitted bycatch limit is agents, others). Applicants are urged to Additional directed quota for these 1,250 kg or 5 percent. and other stocks managed within the carefully review and thoroughly address NAFO Regulatory Area could be made Opportunities to fish for species not the application requirements and available to U.S. vessels through listed above (i.e., species listed in selection criteria as detailed below. industry-initiated chartering Annex I.A of the NAFO CEM and non- Expressions of interest should be arrangements or government-to- allocated on non-regulated species), but directed in writing to Regional government transfers of quota from occurring within the NAFO Regulatory Administrator Michael Pentony (see ADDRESSES). other NAFO Contracting Parties. If such Area, including Atlantic halibut, may additional quota becomes available, also be available. U.S. fishermen Information Required in an Application GARFO may publish additional interested in fishing for these other Letter solicitations of interest. species should contact the NMFS U.S. vessels participating in NAFO Expressions of interest should include Greater Atlantic Regional Fisheries a detailed description of anticipated may also retain bycatch of NAFO Office (see ADDRESSES) for additional managed species to the following fishing operations for the full five years. information. Authorization to fish for Descriptions should include, at a maximum amounts as outlined in such species will include permit-related Article 6 of the CEM. The percentage, by minimum: conditions or restrictions, including but • weight, is calculated as a percent of Intended target species; not limited to, minimum size • each stock of the total catch of species Proposed dates of fishing requirements, bycatch-related measures, operations; listed in Annex I.A (i.e., the NAFO • managed stocks previously listed) and catch limits. Any such conditions Vessel(s) to be used to harvest fish, retained onboard from the applicable or restrictions will be designed to including the name, registration, and division at the time of inspection, based ensure the optimum utilization, long- home port of the intended harvesting term sustainability, and rational vessel(s); on logbook information: • 1. Cod, Division 3M: 1,250 kg or 5 management and conservation of fishery The number of fishing personnel percent, whichever is more; resources in the NAFO Regulatory Area, and their nationality involved in vessel 2. Witch Flounder, Division 3M: 1,250 consistent with the Convention on operations; • kg or 5 percent, whichever is more; Future Multilateral Cooperation in the Intended landing port or ports; 3. Redfish, Division 3LN: 1,250 kg or Northwest Atlantic Fisheries as well as including for ports outside of the United 5 percent, whichever is more; the Amendment to the Convention on States, whether or not the product will 4. Cod, Division 3NO: 1,000 kg or 4 Future Multilateral Cooperation in the be shipped to the United States for percent, whichever is more; Northwest Atlantic Fisheries, which has processing; 5. American plaice: While conducting • Processing facilities to be used; been adopted by all NAFO Contracting a directed fishery for yellowtail flounder • Target market for harvested fish; Parties. in Divisions 3LNO: 15 percent of and, American plaice; otherwise, 1,250 kg or • Evidence demonstrating the ability 5 percent, whichever is greater; and of the applicant to successfully

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prosecute fishing operations in the To ensure equitable access by U.S. involved in a chartering arrangement NAFO Regulatory Area, in accordance fishing interests, we may provide must agree to the charter, and the NAFO with NAFO management measures. This additional guidance or procedures, or Executive Secretary must be advised of may include descriptions of previously we may issue regulations designed to the chartering arrangement before the successful NAFO or domestic fisheries allocate fishing interests to one or more commencement of any charter fishing participation. U.S. applicants from among qualified operations. Any U.S. vessel or fishing Note that applicant U.S. vessels must applicants. These regulatory changes operation interested in making use of possess or be eligible to receive a valid may result in NMFS altering or the chartering provisions of NAFO must High Seas Fishing Compliance Act amending quota the NMFS grants an provide at least the following (HSFCA) permit. HSFCA permits are applicant through this process. NMFS information: The name and registration available from the NMFS Greater will notify any approved applicant of number of the U.S. vessel; a copy of the Atlantic Regional Fisheries Office. the proposed regulatory changes in charter agreement; a detailed fishing Information regarding other advance of making the changes. After plan; a written letter of consent from the requirements for fishing in the NAFO reviewing all requests for allocations applicable NAFO Contracting Party; the Regulatory Area is detailed below and is submitted, we may also decide not to date from which the vessel is authorized also available from the NMFS Greater grant any allocations if it is determined to commence fishing; and the duration Atlantic Regional Fisheries Office (see that no requests adequately meet the of the charter (not to exceed six ADDRESSES). criteria described in this notice. months). U.S. applicants wishing to harvest Notification of Selected Vessels for Expressions of interest using another U.S. allocations using a vessel from NAFO Fisheries NAFO Contracting Party vessel under another NAFO Contracting Party, or charter should be accompanied by a hoping to enter a chartering We will provide written responses to detailed description of anticipated arrangement with a vessel from another all applicants notifying them of their benefits to the United States, as NAFO Contracting Party, should see application status and, as needed for described above. Additional detail on below for details on U.S. and NAFO successful applicants, allocation awards chartering arrangements can be found in requirements for such activities. If you will be made as quickly as possible so Article 26 of the CEM (https:// have further questions regarding what that we may notify NAFO and take other www.nafo.int/Fisheries/Conservation). information is required in an expression necessary actions to facilitate operations Any vessel from another Contracting of interest, please contact Patrick Moran in the regulatory area by U.S. fishing Party wishing to enter into a chartering (see ADDRESSES). interests. Successful applicants will arrangement with the United States receive additional information from us must be in full current compliance with Criteria Used in Identifying Successful on permit conditions and applicable the requirements outlined in the NAFO Applicants regulations before starting fishing Convention and CEM. These Applicants demonstrating the greatest operations. requirements include, but are not benefits to the United States through Mid-Term Allocation Adjustments limited to, submission of the following their intended operations will be most reports to the NAFO Executive successful. Such benefits may include: In the event that an approved U.S. Secretary: • The use of U.S vessels and crew to entity does not, is not able to, or is not • Notification that the vessel is harvest fish in the NAFO Regulatory expected to fish an allocation, or part authorized by its flag state to fish within Area; thereof, awarded to them, NMFS may the NAFO Regulatory Area during the • Detailed, positive impacts on U.S. reallocate to other approved U.S. applicable fishing year; employment as a result of the fishing, entities. If requested, approved U.S. • Provisional monthly catch reports transport, or processing operations; entities must provide updated fishing for all vessels of that NAFO Contracting • Use of U.S. processing facilities; plans and/or schedules. A U.S. entity Party operating in the NAFO Regulatory • Transport, marketing, and sales of may not consolidate or transfer Area; product within the United States; allocations without prior approval from • Daily catch reports for each day • Other ancillary, demonstrable NMFS. In the event that other approved fished by the subject vessel within the benefits to U.S. businesses as a result of U.S. entities are unable to fish Regulatory Area; the fishing operation; and additional allocation, NMFS may solicit • Observer reports within 30 days • Documentation of the physical further interest by notice in the Federal following the completion of a fishing characteristics and economics of the Register. trip; and fishery for future use by the U.S. fishing • An annual statement of actions industry. Chartering a Vessel To Fish Available U.S. Allocations taken by its flag state to comply with the Other factors we may consider NAFO Convention. include but are not limited to: A Under the bilateral arrangement with The United States may also consider documented history of successful Canada, the United States may enter the vessel’s previous compliance with fishing operations in NAFO or other into a chartering (or other) arrangement NAFO bycatch, reporting, and other similar fisheries; the history of with a Canadian vessel to harvest the provisions, as outlined in the NAFO compliance by the vessel with the transferred yellowtail flounder. For CEM, before authorizing the chartering NAFO CEM or other domestic and other NAFO-regulated species listed in arrangement. international regulatory requirements, Annexes I.A and I.B, the United States including potential disqualification of may enter into a chartering arrangement Transfer of U.S. Quota Allocations to an applicant with repeated compliance with a vessel from any other NAFO Another NAFO Party issues; and, for those applicants without Contracting Party. Additionally, any The United States may transfer fishing NAFO or other international fishery U.S. vessel or fishing operation may opportunities by mutual agreement with history, a description of demonstrated enter into a chartering arrangement with another NAFO Contracting Party and harvest, processing, marketing, and any other vessel or business from a with prior notification to the NAFO regulatory compliance within domestic NAFO Contracting Party. The United Executive Secretary. An applicant may fisheries. States and the other Contracting Party request to arrange for any of the

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previously described U.S. opportunities the Convention on Future Multilateral vessel fishes, except for transiting to be transferred to another NAFO party, Cooperation in the Northwest Atlantic purposes, exclusively in the NAFO although such applications will likely Fisheries and the CEM. We reserve the Regulatory Area and does not harvest be given lesser priority than those that right to impose additional permit fish in, or possess fish harvested in, or involve more direct harvesting or conditions that ensure compliance with from, the U.S. EEZ; when transiting the processing by U.S. entities. Applications the NAFO Convention and the CEM, the U.S. EEZ, all gear is properly stowed to arrange for a transfer of U.S. fishing Magnuson-Stevens Fishery and not available for immediate use as opportunities should contain a letter of Conservation and Management Act, and defined under § 648.2; and the vessel consent from the receiving NAFO any other applicable law. operator complies with the provisions, Contracting Party, and should also be The CEM provisions include, but are conditions, and restrictions specified on accompanied by a detailed description not limited to: the HSFCA permit and all NAFO CEM of anticipated benefits to the United • Maintaining a fishing logbook with while fishing in the NAFO Regulatory States. As in the case of chartering NAFO-designated entries (Annex II.A Area. and Article 28); operations, the United States may also Dated: July 20, 2020. • Adhering to NAFO hail system consider a NAFO Contracting Party’s Alexa Cole, previous compliance with NAFO requirements (Annexes II.D and II.F; Director, Office of International Affairs and bycatch, reporting, and other provisions, Article 28; Article 30 part B); • Seafood Inspection, National Marine as outlined in the NAFO CEM, before Carrying an approved onboard observer for each trip consistent with Fisheries Service. agreeing to enter into a transfer [FR Doc. 2020–16132 Filed 7–24–20; 8:45 am] arrangement. requirements of Article 30 part A; • Maintaining and using a BILLING CODE 3510–22–P Receiving a Transfer of NAFO Quota functioning, autonomous vessel Allocations From Another NAFO Party monitoring system authorized by DEPARTMENT OF COMMERCE The United States may also receive issuance of the HSFCA permit as transfers of additional fishing required by Articles 29 and 30; and National Oceanic and Atmospheric • Complying with all relevant NAFO opportunities from other NAFO Administration Contracting Parties. We are required to CEM requirements, including minimum provide a letter consenting to such a fish sizes, gear, bycatch retention, and Agency Information Collection transfer and must provide notice to the per-tow move on provisions for Activities; Submission to the Office of NAFO Executive Secretary. In the event exceeding bycatch limits in any one Management and Budget (OMB) for that an applicant is able to arrange for haul/set. Review and Approval; Comment the transfer of additional fishing Further details regarding U.S. and Request; Reporting of Sea Turtle opportunities from another NAFO NAFO requirements are available from Entanglement in Fishing Gear or Contracting Party to the United States, the NMFS Greater Atlantic Regional Marine Debris NMFS may agree to facilitate such a Fisheries Office, and can be found in the transfer. However, there is no guarantee NAFO CEM on the internet (https:// The Department of Commerce will that if an applicant has facilitated the www.nafo.int/Fisheries/Conservation). submit the following information transfer of quota from another Vessels issued valid HSFCA permits collection request to the Office of Contracting Party to the United States, under 50 CFR part 300 are exempt from Management and Budget (OMB) for such applicant will receive certain domestic fisheries regulations review and clearance in accordance authorization to fish for such quota. If governing fisheries in the Northeast with the Paperwork Reduction Act of quota is transferred to the United States, United States found in 50 CFR 648 1995, on or after the date of publication we may need to solicit new applications when participating in NAFO fisheries. of this notice. We invite the general public and other Federal agencies to for the use of such quota. All applicable Specifically, vessels are exempt from comment on proposed, and continuing NAFO requirements for transfers must the Northeast multispecies, monkfish, information collections, which helps us be met. As in the case of chartering and skate requirements. These assess the impact of our information operations, the United States may also exemption include permit, mesh size, collection requirements and minimize consider a NAFO Contracting Party’s effort-control, minimum fish size, and the public’s reporting burden. Public previous compliance with NAFO possession limit restrictions, specified comments were previously requested bycatch, reporting, and other provisions, in §§ 648.4, 648.51, 648.53, 648.80, via the Federal Register on March 27, as outlined in the NAFO CEM, before 648.82, 648.83, 648.86, 648.87, 648.91, 2020, during a 60-day comment period. agreeing to accept a transfer. Any 648.92, 648.94, 648.322. Exemptions apply while transiting the U.S. This notice allows for an additional 30 fishing quota or other harvesting days for public comments. opportunities received via this type of exclusive economic zone with multispecies and/or monkfish on board Agency: National Oceanic and transfer are subject to all U.S and NAFO Atmospheric Administration (NOAA), rules as detailed below. the vessel, or landing multispecies and/ or monkfish in U.S. ports that were Commerce. For more details on NAFO Title: Reporting of Sea Turtle caught while fishing in the NAFO requirements for chartering and Entanglement in Fishing Gear or Marine Regulatory Area. U.S. vessels fishing in transferring NAFO allocations, contact Debris. Patrick Moran (see ADDRESSES). NAFO may possess, retain, and land OMB Control Number: 0648–0496. barndoor skate; however, they may not Fishing in the NAFO Regulatory Area Form Number(s): None. possess, retain, or land other prohibited Type of Request: Regular submission U.S. applicant vessels must be in skate species specified in §§ 648.14(v) [extension of a current information possession of, or obtain, a valid HSFCA and 634.322(g). These exemptions are collection]. permit, which is available from the conditional on the following Number of Respondents: 116. NMFS Greater Atlantic Regional requirements: The vessel operator has a Average Hours Per Response: 2 to 2.5 Fisheries Office. All permitted vessels letter of authorization issued by the hours per case (78 cases). must comply with any conditions of this Regional Administrator on board the Total Annual Burden Hours: 169 permit and all applicable provisions of vessel; for the duration of the trip, the hours.

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Needs and Uses: NOAA’s National DEPARTMENT OF COMMERCE Estimates, and SSC Discussion and Marine Fisheries Service (NMFS) Recommendations. manages the Sea Turtle Disentanglement National Oceanic and Atmospheric Administration Wednesday, August 12, 2020; 9 a.m.–12 Network (STDN) to respond to sea turtle Noon, EDT entanglement in active or discarded [RTID 0648–XA293] fishing gear (in particular those The Committees will reconvene and involving the vertical line of fixed gear Gulf of Mexico Fishery Management continue discussing items from Day 1, review Public Comments, and discuss fisheries), marine debris, or other line in Council; Public Meeting any Other Business items. the marine environment. Entanglement AGENCY: National Marine Fisheries has the potential to cause serious injury –Meeting Adjourns Service (NMFS), National Oceanic and The meeting will be broadcast via or mortality, which would negatively Atmospheric Administration (NOAA), webinar. You may register for the impact the recovery of endangered and Commerce. webinar by visiting www.gulfcouncil.org threatened sea turtle populations. The ACTION: Notice of a public meeting. and clicking on the SSC meeting on the STDN’s goals are to increase reporting, calendar. to reduce serious injury and mortality to SUMMARY: The Gulf of Mexico Fishery The Agenda is subject to change, and sea turtles, and to collect information Management Council (Council) will the latest version along with other that can be used for mitigation of these hold a two-day meeting via webinar of meeting materials will be posted on threats. As there is limited observer its Standing, Reef Fish, Ecosystem and www.gulfcouncil.org as they become coverage of fixed gear fisheries, the Socioeconomic Scientific and Statistical available. STDN data are invaluable to NMFS in Committees (SSC). Although other non-emergency issues understanding the threat of DATES: The meeting will be held on not on the agenda may come before the entanglement and working towards Tuesday, August 11, 2020, from 9 a.m. Scientific and Statistical Committees for mitigation. to 4 p.m. and Wednesday, August 12, discussion, in accordance with the Magnuson-Stevens Fishery Affected Public: Individuals or 2020, from 9 a.m. to 12 noon, EDT. Conservation and Management Act, households; Business or other for-profit ADDRESSES: The meeting will take place those issues may not be the subject of organizations; Not-for-profit via webinar; you may register by visiting www.gulfcouncil.org and clicking on the formal action during this meeting. institutions; State, Local, or Tribal Actions of the Scientific and Statistical government; Federal government. SSC meeting on the calendar. Council address: Gulf of Mexico Committee will be restricted to those Frequency: Variable depending on Fishery Management Council, 4107 W. issues specifically identified in the reports of entanglement incidents; up to Spruce Street, Suite 200, Tampa, FL agenda and any issues 78 cases annually. 33607; telephone: (813) 348–1630. arising after publication of this notice that require emergency action under Respondent’s Obligation: Voluntary. FOR FURTHER INFORMATION CONTACT: section 305(c) of the Magnuson-Stevens Ryan Rindone, Lead Fishery Biologist, Legal Authority: 16 U.S.C. 35, Fishery Conservation and Management Gulf of Mexico Fishery Management Endangered Species Act of 1973. Act, provided the public has been Council; [email protected], notified of the Council’s intent to take This information collection request telephone: (813) 348–1630. may be viewed at www.reginfo.gov. action to address the emergency. SUPPLEMENTARY INFORMATION: Follow the instructions to view the Authority: 16 U.S.C. 1801 et seq. Department of Commerce collections Tuesday, August 11, 2020; 9 a.m.–4 Dated: July 22, 2020. currently under review by OMB. p.m., EDT Tracey L. Thompson, Written comments and The meeting will begin with Acting Deputy Director, Office of Sustainable recommendations for the proposed Introductions and Adoption of Agenda, Fisheries, National Marine Fisheries Service. information collection should be Approval of Minutes from the July 21– [FR Doc. 2020–16178 Filed 7–24–20; 8:45 am] submitted within 30 days of the 23, 2020 webinar meeting, and review of BILLING CODE 3510–22–P publication of this notice on the Scope of Work. following website www.reginfo.gov/ The Committees will receive a public/do/PRAMain. Find this Summary of Gulf State Methods and DEPARTMENT OF DEFENSE particular information collection by Resulting Calibrations; and, SSC selecting ‘‘Currently under 30-day Discussion and Recommendations for Office of the Secretary Review—Open for Public Comments’’ or Alabama, Florida, Louisiana, and [Docket ID: DoD–2020–OS–0008] by using the search function and Mississippi. entering either the title of the collection Lunch: 12 Noon–1 p.m., Eastern Time Submission for OMB Review; or the OMB Control Number 0648–0496. Comment Request The Committees will review the Sheleen Dumas, Results of Individual State Calibrations AGENCY: The Office of Net Assessment, Department PRA Clearance Officer, Office of and State Specific Annual Catch Limits; Department of Defense (DoD). the Chief Information Officer, Commerce Presentation, Background ACTION: 30-Day information collection Department. Documentation, and SSC Discussion notice. [FR Doc. 2020–16226 Filed 7–24–20; 8:45 am] and Recommendations. BILLING CODE 3510–22–P The Committees will discuss the SUMMARY: The Department of Defense Tasks for Gulf Transition Team: has submitted to OMB for clearance the Revisiting and Updating Calibrations, following proposal for collection of Transparency in Data Delivery, information under the provisions of the Management, Accessibility, and QA & Paperwork Reduction Act. QC, Future Research, Examining Drivers DATES: Consideration will be given to all for Differences between Survey comments received by August 26, 2020.

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ADDRESSES: Written comments and received without change, including any Needs and Uses: The purpose of this recommendations for the proposed personal identifiers or contact information collection is to assist the information collection should be sent information. Secretary of a Military Department or within 30 days of publication of this DOD Clearance Officer: Ms. Angela United States Coast Guard (USCG) in notice to www.reginfo.gov/public/do/ James. determining if an applicant was a PRAMain. Find this particular Requests for copies of the information member of a group that has been found information collection by selecting collection proposal should be sent to to have performed active military ‘‘Currently under 30-day Review—Open Ms. James at whs.mc-alex.esd.mbx.dd- service. If the information requested on for Public Comments’’ or by using the [email protected]. the DD Form 2168, Application for search function. Dated: July 20, 2020. Discharge of Member or Survivor of FOR FURTHER INFORMATION CONTACT: Aaron T. Siegel, Member of Group Certified to Have Angela James, 571–372–7574, or Alternate OSD Federal Register Liaison Performed Active Duty with the Armed whs.mc-alex.esd.mbx.dd-dod- Officer, Department of Defense. Forces of the United States, is [email protected]. [FR Doc. 2020–16147 Filed 7–24–20; 8:45 am] compatible with that of a corresponding SUPPLEMENTARY INFORMATION: BILLING CODE 5001–06–P approved group and the applicant can Title; Associated Form; and OMB provide supporting evidence, he or she Number: Exploring Civil-Military Views will receive veteran’s status in Regarding AI and Related Technologies DEPARTMENT OF DEFENSE accordance with the provisions of DoD OMB Control Number 0704–XXXX. Directive 1000.20, as established by 38 Office of the Secretary Type of Request: New. U.S.C. 106. The information from the Number of Respondents: 5,210. [Docket ID: DoD–2014–OS–0080] DD Form 2168 will be extracted by the Responses per Respondent: 1. appropriate military personnel office Annual Responses: 5,210. Submission for OMB Review; and used to complete the DD Form 214, Average Burder per Response: 16 Comment Request ‘‘Certificate for Release or Discharge minutes. from Active Duty.’’ The Veterans Annual Burden Hours: 1,390. AGENCY: Office of the Under Secretary of Administration uses information on the Needs and Uses: The U.S. DoD is Defense for Personnel and Readiness, DD Form 2168 to verify benefits requesting approval from the Office of Department of Defense (DoD). eligibility. The form can be Management and Budget (OMB) to ACTION: 30-Day information collection electronically accessed and downloaded conduct a survey with members of the notice. from the following Defense Link software engineering community, SUMMARY: The DoD has submitted to employees of defense and aerospace Publication site: http://www.dod.gov/ OMB for clearance the following companies, and the general public. The pubs/. proposal for collection of information study will also conduct focus groups Affected Public: Individuals or under the provisions of the Paperwork with members of the software households. Reduction Act. engineering community and students Frequency: On occasion. from computer science programs. This DATES: Consideration will be given to all project is funded by the U.S. comments received by August 26, 2020. Respondent’s Obligation: Voluntary, Department of Defense, Joint Artificial ADDRESSES: Written comments and but required to receive benefits. Intelligence Center (JAIC). JAIC has recommendations for the proposed OMB Desk Officer: Ms. Jasmeet contracted with the RAND Corporation, information collection should be sent Seehra. a non-profit research institute, to within 30 days of publication of this You may also submit comments and conduct this study. This data collection notice to www.reginfo.gov/public/do/ recommendations, identified by Docket will help ensure DoD’s ability to engage PRAMain. Find this particular ID number and title, by the following with leading private sector technology information collection by selecting method: ‘‘Currently under 30-day Review—Open corporations and their employees. • Affected Public: Individuals or for Public Comments’’ or by using the Federal eRulemaking Portal: http:// households. search function. www.regulations.gov. Follow the Frequency: On occasion. FOR FURTHER INFORMATION CONTACT: instructions for submitting comments. Respondent’s Obligation: Voluntary. Angela James, 571–372–7574, or Instructions: All submissions received OMB Desk Officer: Ms. Jasmeet whs.mc-alex.esd.mbx.dd-dod- must include the agency name, Docket Seehra. [email protected]. ID number, and title for this Federal You may also submit comments and SUPPLEMENTARY INFORMATION: Register document. The general policy recommendations, identified by Docket Title; Associated Form; and OMB for comments and other submissions ID number and title, by the following Number: Application for Discharge of from members of the public is to make method: Member or Survivor of Group Certified these submissions available for public • Federal eRulemaking Portal: http:// to have Performed Active Duty with the viewing on the internet at http:// www.regulations.gov. Follow the Armed Forces of the United States; DD www.regulations.gov as they are instructions for submitting comments. Form 2168; OMB Control Number 0704– received without change, including any Instructions: All submissions received 0100. personal identifiers or contact must include the agency name, Docket Type of Request: Reinstatement with information. ID number, and title for this Federal change. DOD Clearance Officer: Ms. Angela Register document. The general policy Number of Respondents: 500. James. for comments and other submissions Responses per Respondent: 1. from members of the public is to make Annual Responses: 500. Requests for copies of the information these submissions available for public Average Burden per Response: 30 collection proposal should be sent to viewing on the internet at http:// minutes. Ms. James at whs.mc-alex.esd.mbx.dd- www.regulations.gov as they are Annual Burden Hours: 250 hours. [email protected].

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Dated: July 20, 2020. FOR FURTHER INFORMATION CONTACT: To educational institutions, and to provide Aaron T. Siegel, request more information on this feedback to the respondent throughout Alternate OSD Federal Register Liaison proposed information collection or to the process and once a resolution has Officer, Department of Defense. obtain a copy of the proposal and been reached. [FR Doc. 2020–16168 Filed 7–24–20; 8:45 am] associated collection instruments, Dated: July 20, 2020. BILLING CODE 5001–06–P please write to Office of the Assistant Aaron T. Siegel, Secretary of Defense for Readiness, Alternate OSD Federal Register Liaison Force Education and Training, Officer, Department of Defense. DEPARTMENT OF DEFENSE Voluntary Education, ATTN: Ms. Dawn Bilodeau, Pentagon, Room 2E573, [FR Doc. 2020–16174 Filed 7–24–20; 8:45 am] Office of the Secretary Washington, DC 20301–1500, call 571– BILLING CODE 5001–06–P [Docket ID: DOD–2020–OS–0067] 372–0864, or send email to project officer at: dawn.a.bilodeau.civ@ DEPARTMENT OF DEFENSE Proposed Collection; Comment mail.mil. Request SUPPLEMENTARY INFORMATION: Department of the Army, Corps of AGENCY: Under Secretary of Personnel Title; Associated Form; and OMB Engineers and Readiness, Department of Defense Number: DoD Postsecondary Education (DoD). Complaint Intake Form, DD Form 2961; Intent to Prepare a Draft Environmental Impact Statement for a Proposed ACTION: Information collection notice. OMB Control Number 0704–0501. Needs and Uses: The information Landfill Expansion within Wetlands SUMMARY: In compliance with the collection requirement is necessary to that Drain to Burnetts Mill Creek at the Paperwork Reduction Act of 1995, the obtain, document, and respond to Existing Regional Landfill off Merged Office of the Under Secretary of egregious complaints, questions, and U.S. Routes 58, 13, and 460 in Suffolk, Defense, Personnel and Readiness, other information concerning actions Virginia announces a proposed public post-secondary education programs and AGENCY: information collection and seeks public Department of the Army, U.S. services provided to military service Army Corps of Engineers, DOD. comment on the provisions thereof. members and spouse-students. The DoD Comments are invited on: Whether the Postsecondary Education Complaint ACTION: Notice of Intent. proposed collection of information is Intake form will provide pertinent SUMMARY: The U.S. Army Corps of necessary for the proper performance of information such as: The content of the Engineers (Corps) will prepare an the functions of the agency, including complaint, the educational institution Environmental Impact Statement (EIS) whether the information shall have the student is attending, the level of to evaluate project alternatives and the practical utility; the accuracy of the study, the education program the public interest review factors, as well as agency’s estimate of the burden of the student is enrolled in, the type of the effects on 129 acres of forested proposed information collection; ways education benefits being used, the wetlands for the proposed landfill to enhance the quality, utility, and branch of the military service, and the expansion. clarity of the information to be preferred contact information. collected; and ways to minimize the Affected Public: Individuals or DATES: The proposed project’s virtual burden of the information collection on households; business or other for- public scoping room will be available respondents, including through the use profits; not-for-profit institutions. from , 2020 through September of automated collection techniques or Annual Burden Hours: 16. 14, 2020. other forms of information technology. Number of Respondents: 63. ADDRESSES: U.S. Army Corps of DATES: Consideration will be given to all Responses per Respondent: 1. Engineers, Norfolk District, 803 Front comments received by September 25, Annual Responses: 63. Street, Norfolk, VA 23510. 2020. Average Burden per Response: 15 minutes. FOR FURTHER INFORMATION CONTACT: ADDRESSES: You may submit comments, Questions about the proposed action identified by docket number and title, Frequency: On occasion. Respondents are military spouses who and the Draft Environmental Impact by any of the following methods: Statement (DEIS) can be answered by: Federal eRulemaking Portal: http:// submit complaints via the Department Melissa Nash, U.S. Army Corps of www.regulations.gov. Follow the of Defense (DoD) Postsecondary Engineers, Norfolk District, 803 Front instructions for submitting comments. Education Complaint Intake form. The Mail: DoD cannot receive written PECS Intake form is used to record Street, Norfolk, VA 23510, (757) 201– comments at this time due to the complaints concerning educational 7489 or email: [email protected]. COVID–19 pandemic. Comments should institutions that military spouses feel Project website: be sent electronically to the docket have acted deceptively, aggressively or www.nao.usace.army.mil/Missions/ listed above. fraudulently towards them. The Intake Regulatory/SPSAPermit/ Instructions: All submissions received form documents information such as the SUPPLEMENTARY INFORMATION: 1. must include the agency name, docket level of study of the student, the Proposed Action: Southeastern Public number and title for this Federal educational institution the student is Service Authority (SPSA) proposes to Register document. The general policy attending, the type of education benefits expand landfill operations into Cells for comments and other submissions being used, the branch of the military VIII and IX at the existing Regional from members of the public is to make service the spouses’ sponsor, the Landfill. The landfill expansion would these submissions available for public content of the complaint, and the impact approximately 129 acres of viewing on the internet at http:// preferred contact information for the nontidal, forested wetlands, which are www.regulations.gov as they are person making the contact. Complaint waters of the United States regulated received without change, including any Case Managers use information from the under Section 404 of the Clean Water personal identifiers or contact Intake form to track and manage cases Act (33 U.S.C. 1344); therefore, a information. and to coordinate a resolution with Department of the Army Individual

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Permit would be required for the 400 Maryland Avenue SW, Room 111, Electronic Access to This Document: proposed action. LBJ, Washington, DC 20202. Telephone: The official version of this document is 2. Alternatives: Alternatives, which (202) 453–6423. Email: the document published in the Federal will be investigated include, but will [email protected]. Register. You may access the official not be limited to: alternate onsite If you use a telecommunications edition of the Federal Register and the layouts, alternative technologies, device for the deaf (TDD) or a text Code of Federal Regulations at hauling, off-site alternatives, a telephone (TTY), call the Federal Relay www.govinfo.gov. At this site you can combination of alternatives, and the no Service (FRS), toll free, at 1–800–877– view this document, as well as all other project alternative. 8339. documents of this Department 3. Scoping Process: The Corps held a SUPPLEMENTARY INFORMATION: On June published in the Federal Register, in pre-scoping interagency meeting with 22, 2020, we published in the Federal text or Portable Document Format State and federal agencies on , Register an NIA for new awards for FY (PDF). To use PDF you must have 2020. The significant issues identified 2020 for the Out-of-School Time Career Adobe Acrobat Reader, which is thus far include: potential impacts to Pathway Program (85 FR 37438). In the available free at this site. forested wetlands, the Dismal Swamp NIA, we indicated that Grants.gov had You may also access documents of the National Wildlife Refuge, wildlife relaxed the requirement for applicants Department published in the Federal habitat, and environmental justice to have an active registration in the Register by using the article search communities. System for Award Management (SAM) feature at www.federalregister.gov. 4. Public Scoping Meeting: The Corps in order to apply for funding during the Specifically, through the advanced will issue a Public Notice to inform the COVID–19 pandemic. This flexibility search feature at this site, you can limit public about the project’s virtual ended the business day before this your search to documents published by scoping meeting room, which will be a notice published. Therefore, an the Department. link on the project website listed above. applicant must have an active SAM The public and agencies will be able to Frank T. Brogan, registration in order to submit an submit comments to the address listed Assistant Secretary for Elementary and application. above or on the virtual scoping room All other information in the NIA, Secondary Education. from July 31, 2020 through September including the , 2020, [FR Doc. 2020–16140 Filed 7–24–20; 8:45 am] 14, 2020. deadline for transmittal of applications, BILLING CODE 4000–01–P 5. DEIS Availability: The Corps remains the same. Instructions for estimates that the DEIS will be available submitting an application can be found to the public for review and comment in the NIA. DEPARTMENT OF EDUCATION around the beginning of 2021. [Docket ID ED–2019–IES–0073] Dated: July 21, 2020. Correction Karen J. Baker, In FR Doc. 2020–13304 appearing on Privacy Act of 1974; System of Programs Director, North Atlantic Division, page 37438 in the Federal Register of Records U.S. Army Corps of Engineers. June 22, 2020, the following correction is made: AGENCY: Institute of Education Sciences, [FR Doc. 2020–16177 Filed 7–24–20; 8:45 am] Department of Education. BILLING CODE 3720–58–P 1. On page 37441, in the third column, replace the second paragraph ACTION: Notice of a new system of under the heading ‘‘1. Application records. DEPARTMENT OF EDUCATION Submission Instructions: ’’with the following: SUMMARY: In accordance with the Privacy Act of 1974, as amended Applications for New Awards; Out of An applicant must use Grants.gov to (Privacy Act), the Department of School Time Career Pathway Program; apply and Grants.gov requires Education (the Department) publishes Correction applicants to have an active registration in the System for Award Management this notice of a new system of records AGENCY: Office of Elementary and (SAM) in order to apply for funding. An entitled ‘‘National Evaluation of the Secondary Education, Department of applicant that does not have an active Striving Readers Comprehensive Education. SAM registration can register with Literacy and Comprehensive Literacy ACTION: Notice; correction. Grants.gov. With questions, please State Development Programs’’ (18–13– contact the Grants.gov Support Desk, 45). This system contains individually SUMMARY: On June 22, 2020, the Office toll-free, at 1–800–518–4726. Note: identifying information of principals, of Elementary and Secondary Education Once your SAM.gov registration is teachers, and students voluntarily published in the Federal Register a active, it may be 24 to 48 hours before provided by grantees, subgrantees, and notice inviting applications (NIA) for you can access the information in, and individuals that participate in the new awards for fiscal year (FY) 2020 for submit an application through, Striving Readers Comprehensive the Out-of-School Time Career Pathway Grants.gov. Literacy (SRCL) program and the Program, Catalog of Federal Domestic Program Authority: Title IV, part B of Comprehensive Literacy State Assistance (CFDA) number 84.287D. We the Elementary and Secondary Development (CLSD) program. The are correcting the information regarding Education Act of 1965, as amended, SRCL program and the CLSD program the Grants.gov registration section 4202(a)(2), 20 U.S.C. 7172(a)(2). both provide high-quality literacy requirements. All other information in Accessible Format: Individuals with instruction to improve the reading and the NIA, including the September 21, disabilities can obtain this document writing skills of students from birth 2020, deadline for transmittal of and a copy of the application package in through grade 12. The information in applications, remains the same. an accessible format (e.g., braille, large this system will be used to conduct a DATES: This correction is applicable July print, audiotape, or compact disc) on national evaluation of the SRCL 27, 2020. request to the program contact person program’s implementation and FOR FURTHER INFORMATION CONTACT: Erin listed under FOR FURTHER INFORMATION outcomes and the CLSD program’s Shackel, U.S. Department of Education, CONTACT. implementation and effectiveness.

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DATES: Submit your comments on this contact the person listed under FOR SYSTEM LOCATION: new system of records notice on or FURTHER INFORMATION CONTACT. (1) Institute of Education Sciences, before August 26, 2020. FOR FURTHER INFORMATION CONTACT: U.S. Department of Education, Potomac This new system of records will Tracy Rimdzius, Institute of Education Center Plaza, 550 12th Street SW, become applicable upon publication in Sciences, U.S. Department of Education, Washington, DC 20202. the Federal Register on July 27, 2020. Potomac Center Plaza, 550 12th Street (2) American Institutes for Research, All proposed routine uses in the section SW, Room 4114–1, Washington, DC 1000 Thomas Jefferson Street NW, of the new system of records notice 20202. Telephone: (202) 245–6940. Washington, DC 20007(contractor). entitled ‘‘ROUTINE USES OF RECORDS Email: [email protected]. (3) National Opinion Research Center MAINTAINED IN THE SYSTEM, If you use a telecommunications at the University of Chicago, 55 East INCLUDING CATEGORIES OF USERS device for the deaf (TDD) or a text Monroe Street, 30th Floor, Chicago, IL AND PURPOSES OF SUCH USES’’ will telephone (TTY), you may call the 60603 (subcontractor). become applicable on August 26, 2020, Federal Relay Service at 1–800–877– SYSTEM MANAGER(S): unless the new system of records notice 8339. needs to be changed as a result of public Comprehensive Literacy Program comment. The Department will publish SUPPLEMENTARY INFORMATION: The Evaluation contracting officer any changes to the system of records or information contained in the system representative, Institute of Education routine uses that result from public will be used to conduct a national Sciences, U.S. Department of Education, comment. evaluation of the SRCL program’s Potomac Center Plaza, 550 12th Street implementation and outcomes and a SW, Room 4114–1, Washington, DC ADDRESSES: Submit your comments national evaluation of the 20202. through the Federal eRulemaking Portal implementation and effectiveness of the or via postal mail, commercial delivery, CLSD program. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: or hand delivery. We will not accept Accessible Format: Individuals with The study is authorized under comments submitted by fax or by email disabilities can obtain this document in sections 171(b) and 173 of the Education or those submitted after the comment an accessible format (e.g., braille, large Sciences Reform Act of 2002 (ESRA)(20 period. To ensure that we do not receive print, audiotape, or compact disc) on U.S.C. 9561(b) and 9563), section duplicate copies, please submit your request to the person listed under FOR 1502(b) of the Elementary and comments only once. In addition, please FURTHER INFORMATION CONTACT. Secondary Education Act, as amended include the Docket ID at the top of your Electronic Access to This Document: by the No Child Left Behind Act of comments. The official version of this document is • 2001, and section 2225 of the Federal eRulemaking Portal: Go to the document published in the Federal Elementary and Secondary Education www.regulations.gov to submit your Register. You may access the official Act, as amended by the Every Student comments electronically. Information edition of the Federal Register and the Succeeds Act (20 U.S.C. 6645). on using Regulations.gov, including Code of Federal Regulations at instructions for accessing agency www.govinfo.gov. At this site you can PURPOSE(S) OF THE SYSTEM: documents, submitting comments, and view this document, as well as all other The information contained in the viewing the docket, is available on the documents of this Department records maintained in this system is site under the ‘‘Help’’ tab. used to conduct a national evaluation of • published in the Federal Register, in Postal Mail, Commercial Delivery, text or Portable Document Format the Striving Readers Comprehensive or Hand Delivery: If you mail or deliver (PDF). To use PDF you must have Literacy (SRCL) program and the your comments about this modified Adobe Acrobat Reader, which is Comprehensive Literacy State system of records, address them to: available free at the site. Development (CLSD) program. Tracy Rimdzius, Institute of Education You may also access documents of the The study will address the following Sciences, U.S. Department of Education, Department published in the Federal central research questions: How do State Potomac Center Plaza, 550 12th Street Register by using the article search grantees implement their SRCL/CLSD SW, Room 4114–1, Washington, DC feature at www.federalregister.gov. program grants? How do subgrantees 20202. Specifically, through the advanced target SRCL/CLSD program awards to Privacy Note: The Department’s search feature at this site, you can limit schools and early learning programs? policy is to make all comments received your search to documents published by What literacy interventions and from members of the public available for the Department. practices are used by schools and early public viewing in their entirety on the learning programs in the SRCL and Federal eRulemaking Portal at Mark Schneider, CLSD programs? What are the literacy www.regulations.gov. Therefore, Director, Institute of Education Sciences. outcomes for students in SRCL schools commenters should be careful to For the reasons discussed in the and early learning programs? What is include in their comments only preamble, the Director of the Institute of the impact of the CLSD program on information that they wish to make Education Sciences, U.S. Department of classroom reading instruction? What is publicly available. Education (Department), publishes a the impact of the CLSD program on Assistance to Individuals with notice of a new system of records to student reading outcomes? Disabilities in Reviewing the read as follows: Rulemaking Record: On request, we will CATEGORIES OF INDIVIDUALS COVERED BY THE provide an appropriate accommodation SYSTEM NAME AND NUMBER: SYSTEM: or auxiliary aid to an individual with a National Evaluation of the Striving This system contains records on disability who needs assistance to Readers Comprehensive Literacy and principals, teachers, and students in the review the comments or other Comprehensive Literacy State schools and early learning programs that documents in the public rulemaking Development Programs (18–13–45). are participating in the evaluations of record for this notice. If you want to the SRCL and CLSD programs. The schedule an appointment for this type of SECURITY CLASSIFICATION: system contains records on accommodation or auxiliary aid, please Unclassified. approximately 600 school principals,

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3,700 teachers, and 3.7 million students is obtained from schools or school POLICIES AND PRACTICES FOR RETRIEVAL OF (in grades three to eight and one grade districts must also comply with the RECORDS: in high school) in 413 school districts in requirements of the Family Educational Records in this system will be the 11 states with SRCL program grants. Rights and Privacy Act (FERPA) (20 indexed and retrieved by a unique The system contains records on U.S.C. 1232g; 34 CFR part 99), which number assigned to each individual that approximately 130 school principals, protects the privacy of student will be cross-referenced by the 180 teachers, and 1.9 million students education records and the PII contained individual’s name on a separate list. (in grades three to eight and one grade therein. in high school) in 200 school districts in POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: the states with CLSD program grants. (1) Contract Disclosure. The Department may disclose records to The Department shall submit a CATEGORIES OF RECORDS IN THE SYSTEM: employees of an entity with which the retention and disposition schedule that For teachers, this system includes, but Department contracts when disclosure covers the records contained in this is not limited to, the following is necessary for an employee of the system to the National Archives and information: Full name, contact entity to perform a function pursuant to Records Administration (NARA) for information, background characteristics, the Department’s contract with the review. The records will not be teaching experience and professional entity. As part of such a contract, the destroyed until such time as NARA development, teaching certification, and Department shall require the contractor approves said schedule. descriptions of their reading instruction. to agree to establish and maintain ADMINISTRATIVE, TECHNICAL, AND PHYSICAL For principals, this system includes, but safeguards to protect the security and SAFEGUARDS: is not limited to, the following confidentiality of the disclosed records. Security protocols for this system of information: Full name, contact Any contractor or subcontractor that information, and years of experience. records meet all required security either obtains PII contained in student standards. The contractor and For students, this system includes, but education records on behalf of the is not limited to, the following subcontractor will be required to ensure Department or to which the Department that information identifying individuals information: English learner status, discloses PII contained in education gender, race/ethnicity, grade, eligibility is in files physically separated from records pursuant to this routine use for free/reduced-price lunch, other research data and electronic files shall comply with all applicable FERPA individualized education plan status, identifying individuals are separated and standardized English/Language Arts restrictions that apply to such PII, from other electronic research data files. and Math test scores. including, but not limited to, on the use, The contractor and subcontractor will redisclosure, and destruction of such maintain security of the complete set of RECORD SOURCE CATEGORIES: PII. all master data files and documentation. Information in this system is obtained (2) Research Disclosure. The Access to individually identifiable data will be strictly controlled. All from human resource and student Department may disclose information information will be kept in locked file education records maintained by the from this system of records to a cabinets during nonworking hours, and school districts; surveys of principals researcher if an appropriate official of and of teachers that are administered by work on hardcopy data will take place the Department determines that the in a single room, except for data entry. the study team; and, observations of individual or organization to which the reading instruction conducted by the Physical security of electronic data disclosure would be made is qualified to study team. also will be maintained. Security carry out specific research that is features that protect project data will ROUTINE USES OF RECORDS MAINTAINED IN THE compatible with the purpose(s) of this include: Password-protected accounts SYSTEM, INCLUDING CATEGORIES OF USERS AND system of records. The official may that authorize users to use the PURPOSES OF SUCH USES: disclose information from this system of contractor’s and subcontractor’s systems The Department may disclose records to that researcher solely for the but to access only specific network information contained in a record in purpose of carrying out such research directories and network software; user this system of records under the routine related to the purpose(s) of this system rights and directory and file attributes uses listed in this system of records of records. The researcher must agree to that limit those who can use particular without the consent of the individual if establish and maintain safeguards directories and files and determine how the disclosure is compatible with the consistent with section 183(c) of the they can use them; and additional purposes for which the record was ESRA (20 U.S.C. 9573(c)) to protect the security features that the network collected. The Department may make security and confidentiality of such administrators will establish for projects these disclosures on a case-by-case basis records disclosed from this system. as needed. The contractor’s and or, if the Department has complied with Researchers to whom the Department subcontractor’s employees who the computer matching requirements of discloses PII from student education ‘‘maintain’’ (collect, maintain, use, or the Privacy Act of 1974, as amended records pursuant to this routine use disseminate) data in this system must (Privacy Act), under a computer shall comply with all applicable FERPA comply with the requirements of the matching agreement. Any disclosure of restrictions that apply to such PII, Privacy Act and the confidentiality individually identifiable information including, but not limited to, on the use, standards in section 183 of the ESRA from a record in this system must also redisclosure, and destruction of such (20 U.S.C. 9573). comply with the requirements of section PII. 183 of the ESRA (20 U.S.C. 9573), RECORD ACCESS PROCEDURES: providing for confidentiality standards If you wish to request access to your POLICIES AND PRACTICES FOR STORAGE OF that apply to all collection, reporting, records, you must contact the system RECORDS: and publication of data by the Institute manager at the address listed above of Education Sciences. Any disclosure Records in this system are maintained under the section entitled ‘‘SYSTEM of personally identifiable information in a secure, password-protected MANAGER(S).’’ Your request must (PII) from student education records that electronic system. provide necessary particulars of your

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full name, address, and telephone Take notice that the Commission Filed Date: 7/21/20. number, and any other identifying received the following exempt Accession Number: 20200721–5122. information requested by the wholesale generator filings: Comments Due: 5 p.m. ET 8/11/20. Department while processing the Docket Numbers: EG20–216–000. Docket Numbers: ER20–2464–000. request, to distinguish between Applicants: Tatanka Ridge Wind, Applicants: Alcoa Power Generating individuals with the same name. Your LLC. Inc. request must meet the requirements of Description: Notice of Self- Description: Tariff Cancellation: the Department’s Privacy Act Certification of Exempt Wholesale Cancellation of Tapoco Division Open regulations set forth in 34 CFR 5b.5, Generator Status of Tatanka Ridge Access Transmission Tariff to be including proof of identity. Wind, LLC. effective 9/20/2020. Filed Date: 7/21/20. Filed Date: 7/21/20. CONTESTING RECORD PROCEDURES: Accession Number: 20200721–5074. Accession Number: 20200721–5123. If you wish to contest the content of Comments Due: 5 p.m. ET 8/11/20. Comments Due: 5 p.m. ET 8/11/20. a record regarding you in the system of Take notice that the Commission The filings are accessible in the records, contact the system manager at received the following electric rate Commission’s eLibrary system by the address listed above under the filings: clicking on the links or querying the section entitled ‘‘SYSTEM Docket Numbers: ER19–404–004. docket number. MANAGER(S).’’ Your request must meet Applicants: Southwestern Public Any person desiring to intervene or the requirements of the Department’s Service Company, Public Service protest in any of the above proceedings Privacy Act regulations set forth in 34 Company of Colorado. must file in accordance with Rules 211 CFR 5b.7. Description: Compliance filing: 2020– and 214 of the Commission’s NOTIFICATION PROCEDURES: 07–20 OATT-Att O–SPS–ADIT-Amnd Regulations (18 CFR 385.211 and _ 385.214) on or before 5:00 p.m. Eastern If you wish to inquire whether a Compliance ER19–404 to be effective 2/ time on the specified comment date. record exists regarding you in this 1/2020. Protests may be considered, but system, you must contact the system Filed Date: 7/20/20. Accession Number: 20200720–5129. intervention is necessary to become a manager at the address listed above Comments Due: 5 p.m. ET 8/10/20. party to the proceeding. under the section entitled ‘‘SYSTEM eFiling is encouraged. More detailed MANAGER(S).’’ You must provide Docket Numbers: ER20–2014–000. information relating to filing necessary particulars of your full name, Applicants: Rattlesnake Flat, LLC. requirements, interventions, protests, address, and telephone number, and any Description: Second Supplement to service, and qualifying facilities filings other identifying information requested , 2020 Rattlesnake Flat, LLC tariff can be found at:http://www.ferc.gov/ by the Department while processing the filing. Filed Date: 7/20/20. docs-filing/efiling/filing-req.pdf. For request, to distinguish between Accession Number: 20200720–5089. other information, call (866) 208–3676 individuals with the same name. Your Comments Due: 5 p.m. ET 7/30/20. (toll free). For TTY, call (202) 502–8659. request must meet the requirements of the Department’s Privacy Act Docket Numbers: ER20–2087–000. Dated: July 21, 2020. regulations set forth in 34 CFR 5b.5, Applicants: Gichi Noodin Wind Farm, Nathaniel J. Davis, Sr., LLC. including proof of identity. Deputy Secretary. Description: Supplement to June 17– [FR Doc. 2020–16190 Filed 7–24–20; 8:45 am] EXEMPTIONS PROMULGATED FOR THE SYSTEM: 2020 Gichi Noodin Wind Farm, LLC BILLING CODE 6717–01–P None. tariff filing. Filed Date: 7/20/20. HISTORY: Accession Number: 20200720–5183. DEPARTMENT OF ENERGY None. Comments Due: 5 p.m. ET 7/30/20. [FR Doc. 2020–16201 Filed 7–24–20; 8:45 am] Docket Numbers: ER20–2098–000. Federal Energy Regulatory BILLING CODE 4000–01–P Applicants: Titan Solar 1, LLC. Commission Description: Second Supplement to , 2020 Titan Solar 1, LLC tariff [Docket No. RM98–1–000] filing. Records Governing Off-the-Record DEPARTMENT OF ENERGY Filed Date: 7/16/20. Communications; Public Notice Accession Number: 20200716–5176. Federal Energy Regulatory Comments Due: 5 p.m. ET 8/6/20. Commission This constitutes notice, in accordance Docket Numbers: ER20–2462–000. with 18 CFR 385.2201(b), of the receipt Combined Notice of Filings #1 Applicants: PacifiCorp. of prohibited and exempt off-the-record Description: § 205(d) Rate Filing: communications. Take notice that the Commission Moon Lake Revised Wheeling Order No. 607 (64 FR 51222, received the following electric corporate Agreement Rev 5 to be effective 9/20/ , 1999) requires filings: 2020. Commission decisional employees, who Docket Numbers: EC20–82–000. Filed Date: 7/21/20. make or receive a prohibited or exempt Applicants: Golden Fields Solar III, Accession Number: 20200721–5090. off-the-record communication relevant LLC. Comments Due: 5 p.m. ET 8/11/20. to the merits of a contested proceeding, Description: Application for Docket Numbers: ER20–2463–000. to deliver to the Secretary of the Authorization Under Section 203 of the Applicants: Alcoa Power Generating Commission, a copy of the Federal Power Act, et al. of Golden Inc. communication, if written, or a Fields Solar III, LLC. Description: Tariff Cancellation: summary of the substance of any oral Filed Date: 7/20/20. Cancellation of Long Sault Division communication. Accession Number: 20200720–5185. Open Access Transmission Tariff to be Prohibited communications are Comments Due: 5 p.m. ET 8/10/20. effective 9/20/2020. included in a public, non-decisional file

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associated with, but not a part of, the communication shall serve the provides all interested persons an decisional record of the proceeding. document on all parties listed on the opportunity to view and/or print the Unless the Commission determines that official service list for the applicable contents of this document via the the prohibited communication and any proceeding in accordance with Rule internet through the Commission’s responses thereto should become a part 2010, 18 CFR 385.2010. Home Page (http://ferc.gov) using the of the decisional record, the prohibited Exempt off-the-record ‘‘eLibrary’’ link. Enter the docket off-the-record communication will not communications are included in the number excluding the last three digits in be considered by the Commission in decisional record of the proceeding, the docket number field to access the reaching its decision. Parties to a unless the communication was with a document. At this time, the Commission proceeding may seek the opportunity to cooperating agency as described by 40 has suspended access to the respond to any facts or contentions CFR 1501.6, made under 18 CFR Commission’s Public Reference Room, made in a prohibited off-the-record 385.2201(e)(1)(v). due to the proclamation declaring a communication and may request that The following is a list of off-the- National Emergency concerning the the Commission place the prohibited record communications recently Novel Coronavirus Disease (COVID–19), communication and responses thereto received by the Secretary of the issued by the President on March 13, in the decisional record. The Commission. The communications 2020. For assistance, contact the Federal Commission will grant such a request listed are grouped by docket numbers in Energy Regulatory Commission at only when it determines that fairness so ascending order. In addition to [email protected] or toll requires. Any person identified below as publishing the full text of this document free at (866) 208–3676, or for TTY, having made a prohibited off-the-record in the Federal Register, the Commission contact (202) 502–8659.

Docket Nos. File date Presenter or requester

Prohibited: 1. EL20–42–000 ...... 7–13–2020 Mass Mailings.1 2. EL20–42–000 ...... 7–14–2020 Mass Mailings.2 3. EL20–42–000 ...... 7–14–2020 Mass Mailings.3 4. EL19–58–000, EL17–32–000, EL17–36–000 ...... 7–15–2020 FERC Staff.4 5. EL20–42–000 ...... 7–15–2020 Mass Mailings.5 6. ER18–1314–006 ...... 7–17–2020 Customer First Renewables. Exempt: 1. ER20–1926–000 ...... 7–15–2020 U.S. Senator John Hoeven. 2. P–14803–000, P–2082–000 ...... 7–16–2020 U.S. Representative Doug LaMalfa. 3. CP17–458–000 ...... 7–21–2020 U.S. Representative Tom Cole. 1 Emailed comments of Stephen Schmeiser and 66 other individuals. 2 Emailed comments of Martha Spencer and 81 other individuals. 3 Emailed comments of Jean Su on behalf of 450 groups. 4 Email and memorandum regarding the 4/24/2020 communication with Jay Apt. 5 Emailed comments of Ed Manning and 170 other individuals.

Dated: July 21, 2020. Energy Regulatory Commission, 888 Persons unable to file electronically Nathaniel J. Davis, Sr., First Street NE, Washington, DC 20426, may mail similar pleadings to the Deputy Secretary. in accordance with Rules 211 and 214 Federal Energy Regulatory Commission, [FR Doc. 2020–16189 Filed 7–24–20; 8:45 am] of the Commission’s Rules of Practice 888 First Street NE, Washington, DC BILLING CODE 6717–01–P and Procedure (18 CFR 385.211 and 20426. Hand delivered submissions in 385.214). Anyone filing a motion to docketed proceedings should be intervene or protest must serve a copy delivered to Health and Human DEPARTMENT OF ENERGY of that document on the Applicant. Services, 12225 Wilkins Avenue, Rockville, Maryland 20852. Notice is hereby given that the Federal Energy Regulatory In addition to publishing the full text Commission deadline for filing protests with regard to the applicant’s request for blanket of this document in the Federal Register, the Commission provides all [Docket No. ER20–2458–000] authorization, under 18 CFR part 34, of future issuances of securities and interested persons an opportunity to Hunter Solar LLC; Supplemental assumptions of liability, is August 10, view and/or print the contents of this Notice That Initial Market-Based Rate 2020. document via the internet through the Commission’s Home Page (http:// Filing Includes Request for Blanket The Commission encourages Section 204 Authorization ferc.gov) using the ‘‘eLibrary’’ link. electronic submission of protests and Enter the docket number excluding the This is a supplemental notice in the interventions in lieu of paper, using the last three digits in the docket number above-referenced proceeding of Hunter FERC Online links at http:// field to access the document. At this Solar LLC’s application for market- www.ferc.gov. To facilitate electronic time, the Commission has suspended based rate authority, with an service, persons with internet access access to the Commission’s Public accompanying rate tariff, noting that who will eFile a document and/or be Reference Room, due to the such application includes a request for listed as a contact for an intervenor proclamation declaring a National blanket authorization, under 18 CFR must create and validate an Emergency concerning the Novel part 34, of future issuances of securities eRegistration account using the Coronavirus Disease (COVID–19), issued and assumptions of liability. eRegistration link. Select the eFiling by the President on March 13, 2020. For Any person desiring to intervene or to link to log on and submit the assistance, contact the Federal Energy protest should file with the Federal intervention or protests. Regulatory Commission at

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[email protected] or call FOR FURTHER INFORMATION CONTACT: Erik authorize and support research, training toll-free, (886) 208–3676 or TYY, (202) Herzog, U. S. Environmental Protection and air pollutant control activities. 502–8659. Agency, 2000 Traverwood Drive, S–72, SmartWay is open to organizations Dated: July 21, 2020. Ann Arbor, MI 48105; telephone that own, operate, or contract with fleet Nathaniel J. Davis, Sr., number: 734–214–4487; Fax: 734–214– operations, including truck, rail, barge, 4906; email address: herzog.erik@ Deputy Secretary. air and multi-modal carriers, logistics epa.gov. companies, and shippers. Organizations [FR Doc. 2020–16191 Filed 7–24–20; 8:45 am] that do not operate fleets, but that are BILLING CODE 6717–01–P SUPPLEMENTARY INFORMATION: Supporting documents which explain in working to strengthen the freight detail the information that the EPA will industry, such as industry trade be collecting are available in the public associations, state and local ENVIRONMENTAL PROTECTION transportation agencies and AGENCY docket for this ICR. The docket can be viewed online at www.regulations.gov environmental groups, also may join as [EPA–HQ–OAR–2007–0482; FRL–10012–48– or in person at the EPA Docket Center, SmartWay affiliates. All organizations OAR] WJC West, Room 3334, 1301 that join SmartWay are asked to provide Constitution Ave. NW, Washington, DC. EPA with information as part of their Information Collection Request The telephone number for the Docket SmartWay registration to annually Number 2265.04; Proposed Information Center is 202566–1744. For additional benchmark their transportation-related Collection Request; Comment information about EPA’s public docket, operations and improve the Request; Information Collection visit http://www.epa.gov/dockets. environmental performance of their Activities Associated With the Pursuant to section 3506(c)(2)(A) of freight activities. SmartWay Transport Partnership the PRA, EPA is soliciting comments A company joins SmartWay when it AGENCY: Environmental Protection and information to enable it to: (i) completes and submits a SmartWay Agency (EPA). Evaluate whether the proposed Excel-based tool (‘‘reporting tool’’) to ACTION: Notice. collection of information is necessary EPA. The company submits an updated for the proper performance of the reporting tool annually thereafter. Truck SUMMARY: The Environmental Protection functions of the Agency, including carriers with fewer than 20 trucks may Agency (EPA) is planning to submit an whether the information will have submit their annual updates through the information collection request (ICR), practical utility; (ii) evaluate the On-Line Truck Tool, rather than the ‘‘Information Collection Activities accuracy of the Agency’s estimate of the Excel-based version. The data outputs Associated with the SmartWay burden of the proposed collection of from the submitted tool are used by Transport Partnership’’ (EPA ICR No. information, including the validity of partners and SmartWay in several ways. 2265.04, OMB Control No. 2060–0663) the methodology and assumptions used; First, the data provides confirmation to the Office of Management and Budget (iii) enhance the quality, utility, and that SmartWay partners are meeting (OMB) for review and approval in clarity of the information to be established objectives in their accordance with the Paperwork collected; and (iv) minimize the burden Partnership Agreement. The reporting Reduction Act. Before doing so, EPA is of the collection of information on those tool outputs enable EPA to assist soliciting public comments on specific who are to respond, including through SmartWay partners as appropriate, and aspects of the proposed information the use of appropriate automated to update them with environmental collection as described below. This is a electronic, mechanical, or other performance and technology proposed extension of the ICR, which is technological collection techniques or information that empower them to currently approved through April 30, other forms of information technology, improve their efficiency. This 2021. An Agency may not conduct or e.g., permitting electronic submission of information also improves EPA’s sponsor and a person is not required to responses. EPA will consider the knowledge and understanding of the respond to a collection of information comments received and amend the ICR environmental and energy impacts unless it displays a currently valid OMB as appropriate. The final ICR package associated with goods movement, and control number. will then be submitted to OMB for the effectiveness of both proven and DATES: Comments must be submitted on review and approval. At that time, EPA emerging strategies to lessen those or before September 25, 2020. will issue another Federal Register impacts. ADDRESSES: Submit your comments, document to announce the submission In addition to requesting annual referencing Docket ID No. EPA–HQ– of the ICR to OMB and the opportunity freight transportation-related data, EPA OAR–2007–0482 online using to submit additional comments to OMB. may ask its SmartWay partners for other www.regulations.gov (our preferred Abstract: The EPA’s Office of Air and kinds of information which could method), by email to smartway_ Radiation (OAR) developed the include opinions and test data on the [email protected], or by mail to: EPA SmartWay Transport Partnership effectiveness of new and emerging Docket Center, Environmental (‘‘SmartWay’’) under directives outlined technology applications, sales volumes Protection Agency, Mail Code 28221 T, in Subtitle D of the Energy Policy Act associated with SmartWay- 1200 Pennsylvania Ave. NW, of 2005 which calls on EPA to assess the recommended vehicle equipment and Washington, DC 20460. energy and air quality impacts of technologies, the reach and value of EPA’s policy is that all comments activities within the freight industry. partnering with EPA through the received will be included in the public These activities include long-duration SmartWay Partnership, and awareness docket without change including any truck idling, the development and of the SmartWay brand. In some personal information provided, unless promotion of strategies for reducing instances, EPA might query other freight the comment includes profanity, threats, idling, fuel consumption, and negative industry representatives (not just information claimed to be Confidential air quality effects. SmartWay’s SmartWay partners), including trade Business Information (CBI) or other objectives also are consistent with the and professional associations, nonprofit information whose disclosure is Clean Air Act, the Federal Technology environmental groups, energy and restricted by statute. Transfer Act and other laws that community organizations, and

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universities, and a small sampling of the processing and maintaining comment period specified below will be general public. information, and disclosing and presented to the EXIM Board of Form Numbers: None. providing information; adjust the Directors prior to final action on this Respondents/affected entities: Entities existing ways to comply with any Transaction. potentially affected by this action previously applicable instructions and DATES: Comments must be received on include private and public organizations requirements; train personnel to be able or before August 21, 2020 to be assured that join the SmartWay Transport to respond to a collection of Partnership; freight industry of consideration before final decision on information; search data sources; the additional guarantee amount. representatives who engage in activities complete and review the collection of ADDRESSES: Comments may be related to the SmartWay Partnership; information; and transmit or otherwise submitted through Regulations.gov at and representative samplings of disclose the information. WWW.REGULATIONS.GOV. To submit consumers in the general public. These Total estimated cost: The total annual a comment, enter EIB–2020–004 under entities may be affected by EPA efforts cost to all respondent partners is the heading ‘‘Enter Keyword or ID’’ and to assess the effectiveness and value of $860339. The total annual cost to select Search. Follow the instructions the SmartWay program, awareness of federal agency respondents is $170,831. provided at the Submit a Comment the SmartWay brand, and ideas for Changes in estimates: There is a screen. Please include your name, developing and improving SmartWay. decrease of 667 hours and $49,489 in company name (if any), and EIB–2020– Respondent’s obligation to respond: the total estimated respondent partner 004 on any attached document. Voluntary. burden compared with the ICR currently Estimated number of respondents: approved by OMB. This decrease SUPPLEMENTARY INFORMATION: 4,770. reflects the following adjustments and Frequency of response: The Reference: AP003048AA program changes: information collections described in the Brief Description of Nature and (1) Implementation of a new On-Line ICR must be completed in order for an Purpose of the Facility: This is a general Truck Tool for carrier partners with organization to register as or continue guarantee on the interest of Secured small fleets; its status as a SmartWay partner, to Notes issued by the Private Export (2) Elimination of the Affiliate become a SmartWay affiliate, to use the Funding Corporation (PEFCO), in Challenge and its associated response SmartWay logo on an EPA-designated accordance with both the Guarantee and burden. tractor or trailer, or to be considered for There is also a decrease of 222 hours Credit Agreement, as Amended, and the a SmartWay Excellence Award. and $24,090 in the total estimated Guarantee Agreement between EXIM Total estimated burden: The annual agency burden currently approved by and PEFCO. The purpose of the burden for this collection of information OMB. This decrease is due to the guarantee of interest on the Secured that all respondent partners and following: Notes is to facilitate private funding affiliates incur is estimated to average (1) Implementation of the On-line from the U.S. capital markets for EXIM- 12,557 hours with a projected annual Truck Tool for small fleets reduces guaranteed export finance transactions. aggregate cost of $860,339. The annual Total Amount of Guarantees: The review time for EPA. burden for this collection of information exact number is not determinable due to (2) Elimination of the Affiliate that federal agency respondents incur is market-determined pricing and Challenge and its associated burden. estimated to average 4,688 hours with a uncertainty as to the amount and timing projected annual aggregate cost of Dated: July 21, 2020. of Secured Notes to be issued; however, $170,831. Karl Simon, it could potentially be in excess of $100 This ICR estimates that approximately Director, Transportation and Climate million. 3,800 respondent partners will incur Division, Office of Transportation and Air Reasons for the Facility and Methods burden associated with SmartWay in the Quality. of Operation: The general guarantee is first year, with a growth of 320 partners [FR Doc. 2020–16239 Filed 7–24–20; 8:45 am] set up to guarantee interest on PEFCO’s per year projected into the future. The BILLING CODE 6560–50–P issuance of Secured Notes. The estimated average burden time per principal amount of the Secured Notes respondent is 2.65 hours annually. This is secured by a collateral pool of U.S. is an average across all Smart Way EXPORT-IMPORT BANK government-risk debt and securities, partners, regardless of whether they are including EXIM-guaranteed loans. The [Public Notice: EIB–2020–0004] affiliates, shippers, carriers or logistics proceeds from the Secured Notes are companies. The average also includes Receipt of Request To Increase the used to fund additional EXIM- 150 consumer and industry respondents Amount of Long-Term General guaranteed loans and provide a liquid who spend far less time, providing the Guarantee on Interest of Secured secondary market for EXIM-guaranteed SmartWay program with basic Notes Issued by the Private Export loans. information on their awareness of the Funding Corporation (PEFCO) Party Requesting Guarantee: Private program. Among respondent partners Export Funding Corporation (PEFCO) the burden hours are typically higher for AGENCY: Export-Import Bank of the Information on Decision: Information larger companies with complex fleets, United States. on the final decision for this transaction than for smaller companies. ACTION: Notice. will be available in the ‘‘Summary Burden means the total time, effort, or Minutes of Meetings of Board of financial resources expended by persons SUMMARY: This Notice is to inform the Directors’’ on http://exim.gov/ to generate, maintain, retain, disclose or public that Export-Import Bank of the newsandevents/boardmeetings/board/. provide information to or for a federal United States (‘‘EXIM’’) has received a Confidential Information: Please note agency. This includes the time needed request to increase the amount of the that this notice does not include to review instructions; develop, acquire, long-term general guarantee on the confidential or proprietary business install, and utilize technology and interest of Secured Notes issued by the information; information which, if systems for the purposes of collecting, Private Export Funding Corporation disclosed, would violate the Trade validating, and verifying information, (PEFCO). Comments received within the Secrets Act; or information which

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would jeopardize jobs in the United always a private-based alternative to Commission (FCC or Commission) States by supplying information that EXIM direct loans and to facilitate the invites the general public and other competitors could use to compete with liquidity of EXIM-guaranteed and Federal agencies to take this companies in the United States. -insured transactions. PEFCO opportunity to comment on the accomplishes these purposes by following information collections. Joyce B. Stone, intermediating between the efficiency Comments are requested concerning: Assistant Corporate Secretary. and immense scale of the U.S. capital Whether the proposed collection of [FR Doc. 2020–16097 Filed 7–24–20; 8:45 am] markets and the day-to-day funding information is necessary for the proper BILLING CODE 6690–01–P needs of export financing for cases performance of the functions of the ranging from several hundred thousand Commission, including whether the dollars to several hundred million information shall have practical utility; EXPORT-IMPORT BANK dollars. Over the course of its 50-year the accuracy of the Commission’s [Public Notice: EIB–2020–003] existence, PEFCO has funded more than burden estimate; ways to enhance the $38 billion in EXIM-guaranteed and quality, utility, and clarity of the Request To Renew Partnership With -insured export transactions brought to information collected; ways to minimize Private Export Funding Corporation it by commercial entities. Since the the burden of the collection of (PEFCO) Global Financial Crisis and the information on the respondents, emergence of the Basel III regulatory including the use of automated AGENCY: Export-Import Bank of the environment, PEFCO’s primary role has collection techniques or other forms of United States. been to act as a source of liquidity for information technology; and ways to ACTION: Notice. the commercial market. This crowds the further reduce the information private sector into official export collection burden on small business SUMMARY: This Notice is to inform the concerns with fewer than 25 employees. public that the Export-Import Bank of finance and maximizes the DATES: Written comments should be the United States (EXIM) has received a competitiveness of EXIM-guaranteed/ submitted on or before September 25, request to renew its partnership with insured transactions. The Export-Import 2020. If you anticipate that you will be Private Export Funding Corporation Bank is authorized to issue this notice submitting comments, but find it (PEFCO) that is scheduled to expire on pursuant to the Export-Import Bank Act difficult to do so within the period of December 31, 2020. EXIM is seeking of 1945, as amended, 12 U.S.C. 635 et time allowed by this notice, you should public comment regarding possible seq. Information on Decision: Information advise the contacts below as soon as benefits or costs of continuing such a on the final decision for this matter will possible. relationship. Comments received within be available in the ‘‘Summary Minutes the comment period specified below ADDRESSES: Direct all PRA comments to of Meetings of Board of Directors’’ on will be presented to the EXIM Board of Cathy Williams, FCC, via email PRA@ http://exim.gov/newsandevents/ Directors prior to final action on this fcc.gov and to [email protected]. boardmeetings/board/. Action. FOR FURTHER INFORMATION CONTACT: For Confidential Information: Please note additional information about the DATES: Comments must be received on that this notice does not include information collection, contact Cathy or before August 21, 2020 to be assured confidential or proprietary business Williams at (202) 418–2918. of consideration before final information; information which, if SUPPLEMENTARY INFORMATION: The FCC consideration on renewal of the disclosed, would violate the Trade may not conduct or sponsor a collection agreement by the Board of Directors of Secrets Act; or information which of information unless it displays a EXIM. would jeopardize jobs in the United currently valid Office of Management States by supplying information that ADDRESSES: Comments may be and Budget (OMB) control number. No competitors could use to compete with submitted through Regulations.gov at person shall be subject to any penalty WWW.REGULATIONS.GOV. To submit companies in the United States. for failing to comply with a collection a comment, enter EIB–2020–003 under Joyce B. Stone, of information subject to the PRA that the heading ‘‘Enter Keyword or ID’’ and Assistant Corporate Secretary. does not display a valid OMB control select Search. Follow the instructions [FR Doc. 2020–16096 Filed 7–24–20; 8:45 am] number. provided at the Submit a Comment As part of its continuing effort to BILLING CODE 6690–01–P screen. Please include your name, reduce paperwork burdens, and as company name (if any) and EIB–2020– required by the PRA of 1995 (44 U.S.C. 003 on any attached document. 3501–3520), the FCC invites the general FEDERAL COMMUNICATIONS SUPPLEMENTARY INFORMATION: public and other Federal agencies to COMMISSION Party’s Relationship with Exim: The take this opportunity to comment on the Private Export Funding Corporation [OMB 3060–0798; FRS 16943] following information collections. (PEFCO) was created in 1970 as a Comments are requested concerning: public-private partnership between the Information Collection Being Reviewed Whether the proposed collection of U.S. Federal Government and private by the Federal Communications information is necessary for the proper companies involved in financing or Commission performance of the functions of the producing U.S. exports. PEFCO entered AGENCY: Federal Communications Commission, including whether the into an official partnership with EXIM Commission. information shall have practical utility; in 1971, which was renewed in 1994 ACTION: Notice and request for the accuracy of the Commission’s through December 31, 2020. PEFCO is a comments. burden estimate; ways to enhance the funding source for EXIM guarantees or quality, utility, and clarity of the insurance provided to commercial SUMMARY: As part of its continuing effort information collected; ways to minimize financing entities that originate and to reduce paperwork burdens, and as the burden of the collection of structure export financing transactions. required by the Paperwork Reduction information on the respondents, It was created to ensure there was Act (PRA), the Federal Communications including the use of automated

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collection techniques or other forms of certain services specifically designated first three years of this collection, we information technology; and ways to by the Commission. estimate that 30 respondents will file 60 further reduce the information The data on FCC Form 601 includes responses per year (two per licensee), collection burden on small business the FCC Registration Number (FRN), with an estimate time burden of 30 concerns with fewer than 25 employees. which serves a ‘‘common link’’ for all hours (30 minutes per filing). We OMB Control Number: 3060–0798. filings an entity has with the FCC. The estimate that 30 respondents will file 60 Title: FCC Authorization for Radio Debt Collection Improvement Act of responses (once at the six-year mark, Service Authorization; Wireless 1996 requires entities filing with the and once at the 12-year mark of the 900 Telecommunications Bureau; Public Commission to use an FRN. Records MHz broadband license term), with an Safety and Homeland Security Bureau. may include information about estimate time burden of 30 hours in Form Number: FCC Form 601. individuals or households, e.g., each of those two years (1 hour per Type of Review: Revision of a personally identifiable information or filing). currently approved collection. PII, and the use(s) and disclosure of this Section 27.1503(b)(1) requires an Respondents: Individual and information are covered by the applicant to file an application for a 900 households, Business or other for-profit requirements of a system of records MHz broadband license in accordance entities, state, local, or tribal notice of ‘SORN,’ FCC–WTB–1, with part 1, subpart F, of the government, and not for profit ‘‘Wireless Services Licensing Records.’’ Commission’s rules. The 900 MHz institutions. There are no additional impacts under broadband service is a new service Number of Respondents: 255,552 the Privacy Act. governed under part 27 of the respondents; 255,552 responses. On April 23, 2020, the Commission Commission’s rules. The Commission Estimated Time per Response: 0.5 to Adopted a Report and Order and requests OMB approval to revise FCC 1.25 hours. Further Notice of Proposed Rulemaking Form 601 to add a new radio service Frequency of Response: in ET Docket 18–295, FCC 20–51, that code, a new Schedule N for the 900 Recordkeeping requirement; third party requires temporary fixed microwave MHz broadband service, and two new disclosure requirement, on occasion licensees to register temporary fixed attachment types for the Eligibility reporting requirement and periodic links in the ULS database in order to Certification and Transition Plan. reporting requirement. receive protection from unlicensed Schedule N would be a new Obligation to Respond: Required to devices operating in the 6GHz band, a supplementary schedule for 900 MHz obtain or retain benefits. Statutory summary of which was published at 85 broadband service applicants to apply authority for these collections are FR 31390 (May 26, 2020). Automated for the required license authorization in contained in 47 U.S.C. 151, 152, 154, frequency coordination (AFC) conjunction with the FCC 601 Main 154(i), 155(c), 157, 201, 202, 208, 214, administrators will use this information Form. In Schedule N, 900 MHz 301, 302a, 303, 307, 308, 309, 310, 311, to determine where unlicensed devices broadband service applicants would 314, 316, 319, 324, 331, 332, 333, 336, can operate. Temporary fixed licensees identify the market(s) to which the filing 534, 535, and 554 of the were not previously required to file pertains and certifications that the Communications Act of 1934. applications with the Commission when applicant has attached an Eligibility Total Annual Burden: 224,008 hours. they commenced operation, so this is a Certification and Transition Plan, that Total Annual Cost: $71,934,000. new filing requirement. We estimate the applicant will return licensed 900 Privacy Impact Assessment: Yes. that 70 respondents, will file 1,050 MHz spectrum to the Commission, and Nature and Extent of Confidentiality: responses per year (15 per licensee), that it will remit an anti-windfall In general, there is no need for with an estimated time burden of 525 payment if applicable. confidentiality with this collection of hours (30 minutes per filing). In Section 27.1503(b)(2) requires an information. addition to creating this new filing applicant to file an Eligibility Needs and Uses: FCC Form 601 is a requirement, two new data fields will be Certification as part of its application for consolidated, multi-part application required to describe when the a 900 MHz broadband license. In its form that is used for market-based and temporary fixed links will be Eligibility Certification, an applicant site-based licensing for wireless operational, so that the AFCs will know must list the licenses the applicant telecommunications services, including when to protect the temporary fixed holds in the 900 MHz band to public safety licenses, which are filed links. For this purpose a ‘‘start date’’ demonstrate that it holds licenses for through the Commission’s Universal and ‘‘end date’’ will be added to the more than 50% of the total licensed 900 Licensing System (ULS). FCC Form 601 Form 601, Schedule I. MHz spectrum for the county, including is composed of a main form that On , 2020, the FCC adopted a credit for spectrum included in an contains administrative information and Report and Order, FCC 20–67, in WT application to acquire or relocate any a series of schedules used for filing Docket No. 17–200, modified by an covered incumbents filed on or after technical and other information. This erratum released July 1, 2020, that , 2019. The Eligibility form is used to apply for a new license, establishes rules for broadband license Certification must also include a to amend or withdraw a pending operations in the 897.5–900.5/936.5– statement that the applicant’s Transition application, to modify or renew an 939.5 MHz segment of the 900 MHz Plan details how it holds spectrum in existing license, cancel a license, band (896–901/935–940 MHz), a the broadband segment and/or has request a duplicate license, submit summary of which was published at 85 reached an agreement to clear through requested notifications, request an FR 43124 (July 16, 2020). The acquisition or relocation, or demonstrate extension of time to satisfy construction Commission seeks approval from OMB how it will provide interference requirements, or request an for the information collection protection to, covered incumbent administrative update to an existing requirements contained in the Report licensees collectively holding licenses license (such as mailing address and Order, FCC 20–67. The in the broadband segment for at least change), request a Special Temporary requirements in §§ 27.1503(b)(1), (2), 90% of the site-channels in the county, Authority or Developmental License. and (3) and (c)(1) and 27.1505(a) and (b) and within 70 miles of the county Respondents are required to submit FCC constitute revised information boundary and geographically licensed Form 601 electronically, except in collections pursuant to the PRA. For the channels where the license area

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completely or partially overlaps the Industrial/Land Transportation licenses, FEDERAL COMMUNICATIONS county. up to six megahertz, conditioned upon COMMISSION Section 27.1503(b)(3) requires an Commission grant of its license. An applicant to file a Transition Plan as applicant would file FCC Form 601 to [OMB 3060–0411; FRS 16945] part of its application for a 900 MHz cancel existing licenses, but this broadband license. In its Transition information collection does not involve Information Collection Being Reviewed Plan, an applicant must demonstrate a revision of FCC Form 601. by the Federal Communications one or more of the following for at least Commission Under Delegated 90% of the site-channels in the county Section 27.1505 requires a 900 MHz Authority and within 70 miles of the county broadband licensee to meet performance boundary, and geographically licensed requirements. Section 27.1505(a) AGENCY: Federal Communications channels where the license area requires an applicant to file a Commission. completely or partially overlaps the construction notification in accordance ACTION: Notice and request for county: (1) Agreement by covered with § 1.946(d) of the Commission’s comments. incumbents to relocate form the rules. An applicant would file FCC SUMMARY: broadband segment; (2) protection of Form 601 to file the construction As part of its continuing effort to reduce paperwork burdens, and as site-based covered incumbents through notification, and this information required by the Paperwork Reduction compliance with minimum spacing collection would encompass adding a Act (PRA) of 1995, the Federal criteria; (3) protection of site-based new radio service code for the 900 MHz covered incumbents through new or Communications Commission (FCC or broadband service. Pursuant to the Commission) invites the general existing letters of concurrence agreeing § 27.1505(b), licensees can satisfy to lesser base station separations; (4) public and other Federal agencies to performance requirement through take this opportunity to comment on the protection of geographically-based population or geographic coverage. covered incumbents through private following information collection. Under the population metric, a 900 MHz contractual agreements; and/or (5) Comments are requested concerning: broadband licensee would be required evidence that it holds licenses for the Whether the proposed collection of site channels in the county and within to provide reliable signal coverage and information is necessary for the proper 70 miles of the county boundary and offer broadband service to at least 45% performance of the functions of the geographically licensed channels where of the population in its license area Commission, including whether the the license area completely or partially within six years of license grant and to information shall have practical utility; overlaps the county. The Transition at least 80% of the population in its the accuracy of the Commission’s Plan must describe in detail: (1) license area within twelve years of burden estimate; ways to enhance the Descriptions of the agreements reached license grant. Under the geographic quality, utility, and clarity of the with covered incumbents to relocate coverage metric, a 900 MHz broadband information collected; ways to minimize and the applications that the parties to licensee would be required to provide the burden of the collection of the agreements will file for spectrum in reliable signal coverage and offer information on the respondents, the narrowband segment in order to broadband service to at least 25% of the including the use of automated relocate or repack licensees; (2) geographic license area within six years collection techniques or other forms of descriptions of how the applicant will of license grant and to at least 50% of information technology; and ways to provide interference protection to, and/ the geographic license area within further reduce the information or acquire or relocate from the twelve years of license grant. To meet collection burden on small business concerns with fewer than 25 employees. broadband segment, covered the broadband service obligation, the The FCC may not conduct or sponsor a incumbents collectively holding Commission expects licensees to deploy collection of information unless it licenses for at least 90% of the site- technologies that make intensive use of channels in the county and within 70 displays a currently valid control the entire 3/3 megahertz band segment miles of the county boundary, and number. No person shall be subject to and yield high uplink and downlink geographically licensed channels where any penalty for failing to comply with the license area completely or partially data rates and minimal latency a collection of information subject to the overlaps the county, and/or evidence sufficient to provide for real-time, two- PRA that does not display a valid Office that it holds licenses for the site- way communications. The 900 MHz of Management and Budget (OMB) channels and/or geographically licensed broadband licensees would demonstrate control number. channels; (3) any rule waivers or other its compliance with § 27.1505(b) by DATES: Written PRA comments should actions necessary to implement an filing an attachment to their FCC Form be submitted on or before September 25, agreement with a covered incumbent; 601 construction notification filings. 2020. If you anticipate that you will be and (4) such additional information as Federal Communications Commission. submitting comments, but find it may be required. The Commission Marlene Dortch, difficult to do so within the period of requires the applicant to include in the Secretary, Office of the Secretary. time allowed by this notice, you should Transition Plan a certification from a advise the contact listed below as soon frequency coordinator that the [FR Doc. 2020–16202 Filed 7–24–20; 8:45 am] as possible. Transition Plan can be implemented BILLING CODE 6712–01–P ADDRESSES: Direct all PRA comments to consistent with the Commission’s rules. Nicole Ongele, FCC, via email PRA@ The Commission allows an applicant fcc.gov and to [email protected]. seeking to transition multiple counties simultaneously to file a single FOR FURTHER INFORMATION CONTACT: For Transition Plan that covers all of its additional information about the county-based applications. information collection, contact Nicole Section 27.1503(c)(1) requires an Ongele at (202) 418–2991. applicant to cancel its 900 MHz SUPPLEMENTARY INFORMATION: Specialized Mobile Radio and Business/ OMB Control Number: 3060–0411.

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Title: Procedures for Formal May 22, 2009. Subsequent related stipulated facts, disputed facts and key Complaints. approvals include: (1) FCC/EB–5, legal issues, along with all associated Form Number: FCC Form 485. ‘‘EBATS,’’ on January 24, 2011: and, (2) affidavits, exhibits and other Type of Review: Extension of a September 21, 2017 was updated. attachments. currently approved collection. Needs and Uses: Sections 206–209 of This collection of information Respondents: Individuals or the Communications Act of 1934, as includes the process for electronically households, business or other for-profit amended (the ‘‘Act’’), provide the submitting a formal complaint against a entities, not-for-profit institutions, statutory framework for adjudicating common carrier. The Commission uses federal government, and state, local, or formal complaints against common this information to determine the tribal governments. carriers. To resolve complaints between sufficiency of complaints and to resolve Number of Respondents and providers regarding compliance with the merits of disputes between the Responses: 5 respondents; 13 responses. data roaming obligations, Commission parties. The Commission bases its Estimated Time per Response: 1—68 Rule 20.12(e) adopts by reference the orders in formal complaint proceedings hours. procedures already in place for upon evidence and argument produced Frequency of Response: resolving Section 208 formal complaints by the parties in accordance with the Recordkeeping requirement, on- against common carriers, except that the Formal Complaint Rules. If the occasion reporting requirement, and remedy of damages, is not available for information were not collected, the third party disclosure requirement. complaints against commercial mobile Commission would not be able to Obligation to Respond: Required to data service providers. resolve common carrier-related obtain or retain benefits. Statutory Section 208(a) authorizes complaints complaint proceedings, as required by authority for this information collection by any person ‘‘complaining of anything section 208 of the Act. is contained in 47 U.S.C. 151, 154(i), done or omitted to be done by any In addition, the Commission has 154(j), 206, 207, 208, 209, 301, 303, 304, common carrier’’ subject to the adopted most of this formal complaint 309, 316, 332, and 1302. provisions of the Act. process to govern data roaming Total Annual Burden: 366 hours. Section 208(a) states that if a carrier complaints. Specifically, the Total Annual Cost: $ 97,175. does not satisfy a complaint or there Nature and Extent of Confidentiality: Commission has extended, as appears to be any reasonable ground for applicable, the procedural rules in the 47 CFR 1.731 provides for confidential investigating the complaint, the treatment of materials disclosed or Commission’s Part I, Subpart E rules, 47 Commission shall ‘‘investigate the CFR 1.716–1.718, 1.720, 1.721, and exchanged during the course of formal matters complained of in such manner 1.723–1.735, to disputes arising out of complaint proceedings when the and by such means as it shall deem the data roaming rule contained in 47 disclosing party has identified the proper.’’ Certain categories of CFR 20.12(e). Therefore, in addition to materials as proprietary or confidential. complaints are subject to a statutory being necessary to resolve common In the rare case in which a producing deadline for resolution. See, e.g., 47 carrier-related complaint proceedings, party believes that section 1.731 will not U.S.C. 208(b)(1) (imposing a five-month this collection of information is also provide adequate protection for its deadline for complaints challenging the necessary to resolve data roaming- assorted confidential material, it may ‘‘lawfulness of a charge, classification, related complaint proceedings. request either that the opposing party regulation, or practice’’); 47 U.S.C. 271 consent to greater protection, or that the (d)(6) (imposing a 90-day deadline for Federal Communications Commission. staff supervising the proceeding order complaints alleging that a Bell Marlene Dortch, greater protection. Operating Company has ceased to meet Secretary, Office of the Secretary. Privacy Act Impact Assessment: Yes. conditions imposed in connection with [FR Doc. 2020–16204 Filed 7–24–20; 8:45 am] The information collection requirements approval to provide in-region BILLING CODE 6712–01–P may affect individuals or households. interLATA services). As required by the Privacy Act of 1974, Formal complaint proceedings before as amended, 5 U.S.C. 552a, and OMB the Commission are similar to civil FEDERAL COMMUNICATIONS regulations, M–03–22 (September 22, litigation in federal district court. In COMMISSION 2003), the FCC has completed both a fact, under section 207 of the Act, a system of records, FCC/EB–5, party claiming to be damaged by a [OMB 3060–XXXX; FRS 16944] common carrier may file its complaint ‘‘Enforcement Bureau Activity Tracking Information Collection Being Reviewed with the Commission or in any district System,’’ and a Privacy Impact by the Federal Communications court of the United States, ‘‘but such Assessment (PIA), to cover the Commission collection, maintenance, use, and person shall not have the right to pursue disposal of all personally identifiable both such remedies’’ (47 U.S.C. 207). AGENCY: Federal Communications information (PII) that may be submitted The Commission has promulgated rules Commission. as part of a formal complaint filed (Formal Complaint Rules) to govern its ACTION: Notice and request for against a common carrier: formal complaint proceedings that are comments. (a) The system of records notice similar in many respects to the Federal (SORN), FCC/EB–5, ‘‘Enforcement Rules of Civil Procedure. See 47 CFR SUMMARY: As part of its continuing effort Bureau Activity Tracking System 1.720–1.736. These rules require the to reduce paperwork burdens, and as (EBATS),’’ was published in the Federal submission of information from the required by the Paperwork Reduction Register on , 2010 (75 FR parties necessary to create a record on Act of 1995 (PRA), the Federal 77872) and became effective on January which the Commission can decide Communications Commission (FCC or 24, 2011. It is posted on the FCC’s complex legal and factual issues. As Commission) invites the general public Privacy Act web page at: http:// described in section 1.720 of the rules, and other Federal agencies to take this www.fcc.gov/omd/privacyact/records- the Commission resolves formal opportunity to comment on the systems.html. complaint proceedings on a written following information collections. (b) The initial Privacy Impact record consisting of a complaint, answer Comments are requested concerning: Assessment (PIA) was completed on or response, and joint statement of Whether the proposed collection of

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information is necessary for the proper 1, 616, 620, 621, 623, 623 note, 721, and PSAP when technically feasible; performance of the functions of the 1471. otherwise they must provide either Commission, including whether the Total Annual Burden: 634,610 hours. dispatchable location based on end-user information shall have practical utility; Total Annual Cost: $1,911,540. manual update, or alternative location the accuracy of the Commission’s Privacy Act Impact Assessment: No information. For off-premises MLTS burden estimate; ways to enhance the impact(s). calls to 911, the MLTS operator or quality, utility, and clarity of the Nature and Extent of Confidentiality: manager must provide (1) dispatchable information collected; ways to minimize There is no need for confidentiality with location, if technically feasible, or, the burden of the collection of this collection of information. otherwise, either 2) manually-updated information on the respondents, Needs and Uses: The Commission is dispatchable location, or (3) enhanced obligated by statute to promote ‘‘safety including the use of automated location information, which may be of life and property’’ and to ‘‘encourage collection techniques or other forms of coordinate-based, consisting of the best and facilitate the prompt deployment information technology; and ways to available location that can be obtained throughout the United States of a further reduce the information from any available technology or seamless, ubiquitous, and reliable end- collection burden on small business combination of technologies at to-end infrastructure’’ for public safety. concerns with fewer than 25 employees. reasonable cost. The requirements Congress has established 911 as the The FCC may not conduct or sponsor a adopted in the 2019 Order account for national emergency number to enable collection of information unless it variance in the feasibility of providing all citizens to reach emergency services displays a currently valid Office of dispatchable location for non-fixed directly and efficiently, irrespective of MLTS 911 calls, and the means Management and Budget (OMB) control whether a citizen uses wireline or number. No person shall be subject to wireless technology when calling for available to provide it. The information any penalty for failing to comply with help by dialing 911. Efforts by federal, collection requirements associated with a collection of information subject to the state and local government, along with these rules will ensure that Fixed PRA that does not display a valid OMB the significant efforts of wireline and Telephony and MLTS providers have control number. wireless service providers, have resulted the means to provide 91l callers’ DATES: Written PRA comments should in the nearly ubiquitous deployment of locations to PSAPs, thus reducing be submitted on or before September 25, this life-saving service. response times for emergency services. 2020. If you anticipate that you will be Section 506 of RAY BAUM’S Act Federal Communications Commission. submitting comments, but find it requires the Commission to ‘‘consider Marlene Dortch, difficult to do so within the period of adopting rules to ensure that the Secretary, Office of the Secretary. time allowed by this notice, you should dispatchable location is conveyed with [FR Doc. 2020–16205 Filed 7–24–20; 8:45 am] advise the contact listed below as soon a 9–1–1 call, regardless of the BILLING CODE 6712–01–P as possible. technological platform used and ADDRESSES: Direct all PRA comments to including with calls from multi-line Nicole Ongele, FCC, via email PRA@ telephone system.’’ RAY BAUM’S Act FEDERAL COMMUNICATIONS fcc.gov and to [email protected]. also states that, ‘‘[i]n conducting the COMMISSION proceeding . . . the Commission may FOR FURTHER INFORMATION CONTACT: For [OMB 3060–XXXX; FRS 16939] additional information about the consider information and conclusions information collection, contact Nicole from other Commission proceedings Information Collection Being Ongele, (202) 418–2991. regarding the accuracy of the Submitted for Review and Approval to dispatchable location for a 9–1–1 call Office of Management and Budget SUPPLEMENTARY INFORMATION: OMB . . . .’’ RAY BAUM’S Act defines a ‘‘9– Control Number: 3060–XXXX. 1–1 call’’ as a voice call that is placed, AGENCY: Federal Communications Title: E911 Compliance for Fixed or a message that is sent by other means Commission. Telephony and Multi-line Telephone of communication, to a Public Safety ACTION: Notice and request for Systems. Answering Point (PSAP) for the purpose comments. Form Number: N/A. of requesting emergency services. Type of Review: New information As part of implementing Section 506 SUMMARY: As part of its continuing effort collection. of RAY BAUM’S Act, on August 1, to reduce paperwork burdens, as Respondents: Business or other for- 2019, the Commission adopted a Report required by the Paperwork Reduction profit entities. and Order (2019 Order), set forth rules Act (PRA) of 1995, the Federal Number of Respondents and requiring Fixed Telephony providers Communications Commission (FCC or Responses: 1,275,636 respondents; and MLTS providers to ensure that the Commission) invites the general 38,048,948 responses. dispatchable location is conveyed with public and other Federal Agencies to Estimated Time per Response: 0.016 911 calls. take this opportunity to comment on the hours (one minute). The Commission’s 2019 Order following information collection. Frequency of Response: One-time, on adopted §§ 9.8(a) and 9.16(b)(3)(i), (ii), Pursuant to the Small Business occasion, third party disclosure and (iii) to facilitate the provision of Paperwork Relief Act of 2002, the FCC requirement, and recordkeeping automated dispatchable location. For seeks specific comment on how it can requirement. Fixed Telephony and in fixed Multi-line further reduce the information Obligation to Respond: Mandatory. Telephone Systems (MLTS) collection burden for small business Statutory authority for this information environments, respective providers concerns with fewer than 25 employees. collection is contained in 47 U.S.C. must provide automated dispatchable DATES: Written comments and 151–154, 152(a), 155(c), 157, 160, 201, location with 911 calls. For on- recommendations for the proposed 202, 208, 210, 214, 218, 219, 222, 225, premises, non-fixed devices associated information collection should be 251(e), 255, 301, 302, 303, 307, 308, 309, with an MLTS, the MLTS operator or submitted on or before , 2020. 310, 316, 319, 332, 403, 405, 605, 610, manager must provide automated ADDRESSES: Comments should be sent to 615, 615 note, 615a, 615b, 615c, 615a- dispatchable location to the appropriate www.reginfo.gov/public/do/PRAMain.

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Find this particular information information on the respondents, the 3.7–4.2 GHz band, also known as the collection by selecting ‘‘Currently under including the use of automated C-band. Currently, the 3.7–4.2 GHz band 30-day Review—Open for Public collection techniques or other forms of is allocated in the United States Comments’’ or by using the search information technology. Pursuant to the exclusively for non-Federal use on a function. Your comment must be Small Business Paperwork Relief Act of primary basis for Fixed Satellite Service submitted into www.reginfo.gov per the 2002, Public Law 107–198, see 44 U.S.C. (FSS) and Fixed Service (FS). above instructions for it to be 3506(c)(4), the FCC seeks specific Domestically, space station operators considered. In addition to submitting in comment on how it might ‘‘further use the 3.7–4.2 GHz band to provide www.reginfo.gov also send a copy of reduce the information collection downlink signals of various bandwidths your comment on the proposed burden for small business concerns with to licensed transmit-receive, registered information collection to Cathy fewer than 25 employees.’’ receive-only, and unregistered receive- Williams, FCC, via email to PRA@ OMB Control No.: 3060–XXXX. only earth stations throughout the fcc.gov and to [email protected]. Title: 3.7 GHz Band Relocation United States. Include in the comments the OMB Payment Clearinghouse; 3.7 GHz Band The 3.7 GHz Report and Order calls control number as shown in the Relocation Coordinator; 3.7 GHz Band for the relocation of existing FSS SUPPLEMENTARY INFORMATION below. Space Station Operators. operations in the band into the upper FOR FURTHER INFORMATION CONTACT: For Form No.: N/A. 200 megahertz of the band (4.0–4.2 GHz) additional information or copies of the Type of Review: New collection. and relocation of existing FS operations information collection, contact Cathy Respondents: Business or other for- into other bands, making the lower 280 Williams at (202) 418–2918. To view a profit entities; not-for-profit institutions; megahertz (3.7–3.98 GHz) available for copy of this information collection State, Local or Tribal Government. flexible use throughout the contiguous Number of Respondents and request (ICR) submitted to OMB: (1) Go United States through a Commission- Responses: 3,007 respondents and 9,362 to the web page http://www.reginfo.gov/ administered public auction of overlay responses. public/do/PRAMain, (2) look for the licenses that is scheduled to occur later Estimated Time per Response: 0.5 this year. The Commission adopted a section of the web page called hours–600 hours. robust transition schedule to achieve a ‘‘Currently Under Review,’’ (3) click on Frequency of Response: prompt relocation of FSS and FS the downward-pointing arrow in the Recordkeeping requirement; on operations so that a significant amount ‘‘Select Agency’’ box below the occasion, weekly, monthly, quarterly, of spectrum could be made available ‘‘Currently Under Review’’ heading, (4) semi-annual, and annual reporting quickly for next-generation wireless select ‘‘Federal Communications requirements; third party disclosure deployments. At the same time, the Commission’’ from the list of agencies requirement. Commission sought to ensure the presented in the ‘‘Select Agency’’ box, Obligation to Respond: Required to effective accommodation of relocated (5) click the ‘‘Submit’’ button to the obtain or retain benefits. The statutory incumbent users. To facilitate an right of the ‘‘Select Agency’’ box, (6) authority for this collection of efficient transition, the Commission when the list of FCC ICRs currently information is contained in sections 1, adopted a process for fully reimbursing under review appears, look for the Title 2, 4(i), 4(j), 5(c), 201, 302, 303, 304, existing operators for the costs of this of this ICR and then click on the ICR 307(e), 309, and 316 of the relocation and for offering accelerated Reference Number. A copy of the FCC Communications Act of 1934, as relocation payments to encourage a submission to OMB will be displayed. amended, 47 U.S.C. 151, 152, 154(i), timely transition. Flexible-use licensees SUPPLEMENTARY INFORMATION: The 154(j), 155(c), 201, 302, 303, 304, 307(e), will be required to pay any accelerated Commission may not conduct or 309, and 316. relocation payments, if elected by sponsor a collection of information Total Annual Burden: 77,754 hours. eligible space station operators, and unless it displays a currently valid Annual Cost Burden: $10,705,353. reimburse incumbent operators for their Office of Management and Budget Privacy Act Impact Assessment: No actual relocation costs associated with (OMB) control number. No person shall impact(s). clearing the lower 300 megahertz of the be subject to any penalty for failing to Nature and Extent of Confidentiality: band while ensuring continued comply with a collection of information The information collected under this operations for their customers. The 3.7 subject to the PRA that does not display collection will be made publicly GHZ Report and Order establishes a a valid OMB control number. available. However, to the extent Relocation Payment Clearinghouse to As part of its continuing effort to information submitted pursuant to this oversee the cost-related aspects of the reduce paperwork burdens, as required information collection is determined to transition and establishes a Relocation by the Paperwork Reduction Act (PRA) be confidential, it will be protected by Coordinator to establish a timeline and of 1995 (44 U.S.C. 3501–3520), the FCC the Commission. If a respondent seeks take actions necessary to migrate and invited the general public and other to have information collected pursuant filter incumbent earth stations to ensure Federal Agencies to take this to this information collection withheld continued, uninterrupted service during opportunity to comment on the from public inspection, the respondent and following the transition. following information collection. may request confidential treatment FCC staff will use this data to ensure Comments are requested concerning: (a) *29718pursuant to section 0.459 of the that 3.7–4.2 GHz band stakeholders Whether the proposed collection of Commission’s rules for such adopt practices and standards in their information is necessary for the proper information. operations to ensure an effective, performance of the functions of the Needs and Uses: On February 28, efficient, and streamlined transition. Commission, including whether the 2020, in furtherance of the goal of Status reports and other information information shall have practical utility; releasing more mid-band spectrum into required in this collection will be used (b) the accuracy of the Commission’s the market to support and enabling to ensure that the process of clearing the burden estimates; (c) ways to enhance next-generation wireless networks, the lower portion of the band is efficient the quality, utility, and clarity of the Commission adopted a Report and and timely, so that the spectrum can be information collected; and (d) ways to Order, FCC 20–22, (3.7 GHz Report and auctioned for flexible-use service minimize the burden of the collection of Order), in which it reformed the use of licenses and deployed for next-

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generation wireless services, including 30-day Review—Open for Public collection techniques or other forms of 5G, as quickly as possible. The Comments’’ or by using the search information technology. Pursuant to the collection is also necessary for the function. Your comment must be Small Business Paperwork Relief Act of Commission to satisfy its oversight submitted into www.reginfo.gov per the 2002, Public Law 107–198, see 44 U.S.C. responsibilities and/or agency specific/ above instructions for it to be 3506(c)(4), the FCC seeks specific government-wide reporting obligations. considered. In addition to submitting in comment on how it might ‘‘further The Commission concluded in the 3.7 www.reginfo.gov also send a copy of reduce the information collection GHz Report and Order that a Relocation your comment on the proposed burden for small business concerns with Payment Clearinghouse and Relocation information collection to Cathy fewer than 25 employees.’’ Coordinator are critical to ensuring that Williams, FCC, via email to PRA@ OMB Control Number: 3060–0849. the reconfiguration is administered in a fcc.gov and to [email protected]. Title: Commercial Availability of fair, transparent manner and that the Include in the comments the OMB Navigation Devices. transition occurs as expeditiously as control number as shown in the Form Number: Not applicable. possible. To accomplish these goals SUPPLEMENTARY INFORMATION below. Type of Review: Extension of a most effectively, the Commission is FOR FURTHER INFORMATION CONTACT: For currently approved collection. seeking approval for a new information additional information or copies of the Respondents: Business or other for- collection to collect information from information collection, contact Cathy profit entities. Number of Respondents and the Relocation Payment Clearinghouse, Williams at (202) 418–2918. To view a Responses: 962 respondents; 65,252 the Relocation Coordinator, and copy of this information collection responses. incumbent space station operators and request (ICR) submitted to OMB: (1) Go allow the Relocation Payment Estimated Time per Response: to the web page http://www.reginfo.gov/ 0.00278 hours–40 hours. Clearinghouse and Relocation public/do/PRAMain, (2) look for the Coordinator to collection information to Frequency of Response: section of the web page called Recordkeeping requirement; Third party ensure that the band is transitioned ‘‘Currently Under Review,’’ (3) click on effectively. disclosure requirement; On occasion the downward-pointing arrow in the reporting requirement; Annual reporting Federal Communications Commission. ‘‘Select Agency’’ box below the requirement; Semi-annual reporting Marlene Dortch, ‘‘Currently Under Review’’ heading, (4) requirement. Secretary, Office of the Secretary. select ‘‘Federal Communications Obligation To Respond: Required to [FR Doc. 2020–16206 Filed 7–24–20; 8:45 am] Commission’’ from the list of agencies obtain or retain benefits. The statutory presented in the ‘‘Select Agency’’ box, BILLING CODE 6712–01–P authority is contained in Sections 4(i), (5) click the ‘‘Submit’’ button to the 303(r) and 629 of the Communications right of the ‘‘Select Agency’’ box, (6) Act of 1934, as amended. FEDERAL COMMUNICATIONS when the list of FCC ICRs currently Total Annual Burden: 15,921 hours. COMMISSION under review appears, look for the Title Total Annual Cost: $2,990. of this ICR and then click on the ICR Privacy Act Impact Assessment: No [OMB 3060–0849; FRS 16940] Reference Number. A copy of the FCC impact(s). submission to OMB will be displayed. Information Collection Being Nature and Extent of Confidentiality: Submitted for Review and Approval to SUPPLEMENTARY INFORMATION: The There is no need for confidentiality with Office of Management and Budget Commission may not conduct or this collection of information. sponsor a collection of information Needs and Uses: The information AGENCY: Federal Communications unless it displays a currently valid collection requirements contained in the Commission. Office of Management and Budget collection are as follows: 47 CFR ACTION: Notice and request for (OMB) control number. No person shall 15.123(c)(3) states subsequent to the comments. be subject to any penalty for failing to testing of its initial unidirectional comply with a collection of information digital cable product model, a SUMMARY: As part of its continuing effort subject to the PRA that does not display manufacturer or importer is not required to reduce paperwork burdens, as a valid OMB control number. to have other models of unidirectional required by the Paperwork Reduction As part of its continuing effort to digital cable products tested at a Act (PRA) of 1995, the Federal reduce paperwork burdens, as required qualified test facility for compliance Communications Commission (FCC or by the Paperwork Reduction Act (PRA) with the procedures of Uni-Dir-PICS– the Commission) invites the general of 1995 (44 U.S.C. 3501–3520), the FCC I01–030903: ‘‘Uni-Directional Receiving public and other Federal Agencies to invited the general public and other Device: Conformance Checklist: PICS take this opportunity to comment on the Federal Agencies to take this Proforma’’ (incorporated by reference, following information collection. opportunity to comment on the see § 15.38) unless the first model tested Pursuant to the Small Business following information collection. was not a television, in which event the Paperwork Relief Act of 2002, the FCC Comments are requested concerning: (a) first television shall be tested as seeks specific comment on how it can Whether the proposed collection of provided in § 15.123(c)(1). The further reduce the information information is necessary for the proper manufacturer or importer shall ensure collection burden for small business performance of the functions of the that all subsequent models of concerns with fewer than 25 employees. Commission, including whether the unidirectional digital cable products DATES: Written comments and information shall have practical utility; comply with the procedures in the Uni- recommendations for the proposed (b) the accuracy of the Commission’s Dir-PICS–I01–030903: ‘‘Uni-Directional information collection should be burden estimates; (c) ways to enhance Receiving Device: Conformance submitted on or before August 26, 2020. the quality, utility, and clarity of the Checklist: PICS Proforma’’ (incorporated ADDRESSES: Comments should be sent to information collected; and (d) ways to by reference, see § 15.38) and all other www.reginfo.gov/public/do/PRAMain. minimize the burden of the collection of applicable rules and standards. The Find this particular information information on the respondents, manufacturer or importer shall maintain collection by selecting ‘‘Currently under including the use of automated records indicating such compliance in

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accordance with the verification to permit navigation devices to operate showing by a provider of multichannel procedure requirements in part 2, with multichannel video programming video programming and other services subpart J of this chapter. The systems shall be provided by the system offered over multichannel video manufacturer or importer shall further operator upon request. programming systems, or an equipment submit documentation verifying 47 CFR 76.1205(b)(1) states a provider that such a waiver is necessary compliance with the procedures in the multichannel video programming to assist the development or Uni-Dir-PICS–I01–030903: ‘‘Uni- provider that is subject to the introduction of a new or improved Directional Receiving Device: requirements of Section 76.1204(a)(1) multichannel video programming or must provide the means to allow Conformance Checklist: PICS Proforma’’ other service offered over multichannel subscribers to self-install the (incorporated by reference, see § 15.38) video programming systems, to the testing laboratory representing CableCARD in a CableCARD-reliant technology, or products. Such waiver cable television system operators device purchased at retail and inform a serving a majority of the cable television subscriber of this option when the requests are to be made pursuant to 47 subscribers in the United States. subscriber requests a CableCARD. This CFR 76.7. 47 CFR 15.123(c)(5)(iii) states requirement shall be effective August 1, 47 CFR 76.1208 states that any subsequent to the successful testing of 2011, if the MVPD allows its subscribers interested party may file a petition to its initial M–UDCP, a manufacturer or to self-install any cable modems or the Commission for a determination to importer is not required to have other operator-leased set-top boxes and provide for a sunset of the navigation M–UDCP models tested at a qualified , 2011 if the MVPD does not devices regulations on the basis that (1) test facility for compliance with M-Host allow its subscribers to self-install any the market for multichannel video UNI–DIR–PICS–IOI–061101 cable modems or operator-leased set-top distributors is fully competitive; (2) the (incorporated by reference, see § 15.38) boxes. market for converter boxes, and 47 CFR 76.1205(b)(1)(A) states that unless the first model tested was not a interactive communications equipment, television, in which event the first this requirement shall not apply to cases used in conjunction with that service is television shall be tested as provided in in which neither the manufacturer nor fully competitive; and (3) elimination of § 15.123(c)(5)(i). The manufacturer or the vendor of the CableCARD-reliant importer shall ensure that all device furnishes to purchasers the regulations would promote subsequent models of M–UDCPs comply appropriate instructions for self- competition and the public interest. with M-Host UNI–DIR–PICS–IOI– installation of a CableCARD, and a 47 CFR 15.118(a) and 47 CFR 15.19(d) 061101 (incorporated by reference, see manned toll-free telephone number to (label and information disclosure)—The § 15.38) and all other applicable rules answer consumer questions regarding U.S. Bureau of the Census reports that, and standards. The manufacturer or CableCARD installation but only for so at the end of 2002, there were 571 U.S. importer shall maintain records long as such instructions are not establishments that manufacture audio indicating such compliance in furnished and the call center is not and visual equipment. These accordance with the verification offered. manufacturers already have in place procedure requirements in part 2, The requirements contained in mechanisms for labeling equipment and Section 76.1205 are intended to ensure subpart J of this chapter. For each M– including consumer disclosures in the that consumers are able to install UDCP model, the manufacturer or form of owners’ manuals and brochures importer shall further submit CableCARDs in the devices they in equipment packaging. The documentation verifying compliance purchase because we have determined Commission estimate that with M-Host UNI–DIR–PICS–IOI– this is essential to a functioning retail 061101 to the testing laboratory market. manufacturers who voluntarily decide representing cable television system 47 CFR 76.1205(b)(2) states effective to label their equipment will need no operators serving a majority of the cable August 1, 2011, provide multi-stream more than 5 hours to develop a label or television subscribers in the United CableCARDs to subscribers, unless the to develop wording for a consumer States. subscriber requests a single-stream disclosure for owners’ manuals/ 47 CFR 76.1203 provides that a CableCARD. This requirement will brochures to be included with the multichannel video programming ensure that consumers have access to device. Once developed, we do not distributor may restrict the attachment CableCARDs that are compatible with anticipate any ongoing burden or use of navigation devices with its their retail devices, and can request associated with the revision/ system in those circumstances where such devices from their cable operators. modification of the label, if used, or the electronic or physical harm would be 47 CFR 76.1205(b)(5) requires to disclosure. caused by the attachment or operation separately disclose to consumers in a Status Reports—Periodic reports are of such devices or such devices that conspicuous manner with written required from large cable multiple assist or are intended or designed to information provided to customers in assist in the unauthorized receipt of accordance with Section 76.1602, with system operators detailing CableCARD service. Such restrictions may be written or oral information at consumer deployment/support for navigation accomplished by publishing and request, and on websites or billing devices. (This requirement is specified providing to subscribers standards and inserts. This requirement is intended to in FCC 05–76, CS Docket No. 97–80). descriptions of devices that may not be ensure that consumers understand that Federal Communications Commission. used with or attached to its system. retail options are available and that Marlene Dortch, Such standards shall foreclose the cable operators are not subsidizing their Secretary, Office of the Secretary. attachment or use only of such devices own devices with service fees in as raise reasonable and legitimate violation of Section 629 of the Act. [FR Doc. 2020–16199 Filed 7–24–20; 8:45 am] concerns of electronic or physical harm 47 CFR 76.1207 states that the BILLING CODE 6712–01–P or theft of service. Commission may waive a regulation 47 CFR 76.1205(a) states that related to Subpart P (‘‘Competitive technical information concerning Availability of Navigation Devices’’) for interface parameters which are needed a limited time, upon an appropriate

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GENERAL SERVICES concerning each proposed collection of CMS–116 Clinical Laboratory ADMINISTRATION information (including each proposed Improvement Amendments (CLIA) extension or reinstatement of an existing [Notice MV–2020–02; Docket No. 2020– Application Form and Supporting 0002; Sequence No. 27] collection of information) and to allow Regulations 60 days for public comment on the Under the PRA (44 U.S.C. 3501– proposed action. Interested persons are Notice of GSA Live Webinar regarding 3520), federal agencies must obtain invited to send comments regarding our GSA’s Implementation of Section 889 approval from the Office of Management burden estimates or any other aspect of of the FY 2019 National Defense and Budget (OMB) for each collection of Authorization Act (NDAA); Correction this collection of information, including the necessity and utility of the proposed information they conduct or sponsor. AGENCY: Office of Governmentwide information collection for the proper The term ‘‘collection of information’’ is Policy (OGP), General Services performance of the agency’s functions, defined in 44 U.S.C. 3502(3) and 5 CFR Administration (GSA). the accuracy of the estimated burden, 1320.3(c) and includes agency requests ACTION: Notice; correction. ways to enhance the quality, utility, and or requirements that members of the clarity of the information to be public submit reports, keep records, or SUMMARY: On July 22, 2020, GSA collected, and the use of automated provide information to a third party. published a notice regarding the hosting collection techniques or other forms of Section 3506(c)(2)(A) of the PRA of a live and recorded virtual webinar information technology to minimize the requires federal agencies to publish a on August 12, 2020 at 1:00 p.m. Eastern information collection burden. 60-day notice in the Federal Register Standard Time (EST). This notice is to DATES: Comments must be received by concerning each proposed collection of list the correct website for the meeting September 28, 2020. information, including each proposed registration. ADDRESSES: When commenting, please extension or reinstatement of an existing FOR FURTHER INFORMATION CONTACT: reference the document identifier or collection of information, before Patricia Richardson at OMB control number. To be assured submitting the collection to OMB for [email protected] or Maria consideration, comments and approval. To comply with this Swaby at 202–208–0291. recommendations must be submitted in requirement, CMS is publishing this SUPPLEMENTARY INFORMATION: any one of the following ways: notice. Correction 1. Electronically. You may send your comments electronically to http:// Information Collection In FR Doc. 2020–15846, published on www.regulations.gov. Follow the July 22, 2020 at 85 FR 44302, make the 1. Type of Information Collection instructions for ‘‘Comment or Request: Revision of a currently following correction: Submission’’ or ‘‘More Search Options’’ On page 44302, third column, in the approved collection; Title of to find the information collection Information Collection: Clinical ADDRESSES section, remove ‘‘HERE’’ and document(s) that are accepting Laboratory Improvement Amendments add ‘‘https://gsa.zoomgov.com/webinar/ comments. _ register/WN hQ6tHTRDR- 2. By regular mail. You may mail (CLIA) Application Form and mMNnRRxJy22Q’’ in its place. written comments to the following Supporting Regulations; Use: Section 353 (b) of the Public Health Service Act Jeffrey A. Koses, address: CMS, Office of Strategic Operations and Regulatory Affairs, specifies that the laboratory must Senior Procurement Executive, Office of submit an application in such form and Acquisition Policy, Office of Government- Division of Regulations Development, wide Policy. Attention: Document Identifier/OMB manner as the Secretary shall prescribe that describes the characteristics of the [FR Doc. 2020–16242 Filed 7–24–20; 8:45 am] Control Numberlllll, Room C4– laboratory and examinations and BILLING CODE 6820–61–P 26–05, 7500 Security Boulevard, Baltimore, Maryland 21244–1850. procedures performed by the laboratory. To obtain copies of a supporting The application must be completed by statement and any related forms for the DEPARTMENT OF HEALTH AND entities performing laboratory’s testing proposed collection(s) summarized in HUMAN SERVICES specimens for diagnostic or treatment this notice, you may make your request purposes. This information is vital to Centers for Medicare & Medicaid using one of following: the certification process. In this Services 1. Access CMS’ website address at revision, the majority of changes were website address at https://www.cms.gov/ minor changes to the form and [Document Identifier: CMS–116] Regulations-and-Guidance/Legislation/ accompanying instructions to facilitate PaperworkReductionActof1995/PRA- Agency Information Collection the completion and data entry of the Listing.html form. We anticipate that the changes Activities: Proposed Collection; 2. Call the Reports Clearance Office at will not increase the time to complete Comment Request (410) 786–1326. the form. Form Number: CMS–116 FOR FURTHER INFORMATION CONTACT: AGENCY: Centers for Medicare & (OMB control number: 0938–0581); William N. Parham at (410) 786–4669. Medicaid Services, HHS. Frequency: Biennially and Occasionally; ACTION: Notice. SUPPLEMENTARY INFORMATION: Affected Public: Private Sector— Business or other for-profits and Not- SUMMARY: The Centers for Medicare & Contents Medicaid Services (CMS) is announcing This notice sets out a summary of the for-profit institutions; Number of an opportunity for the public to use and burden associated with the Respondents: 52,140; Total Annual comment on CMS’ intention to collect following information collections. More Responses: 52,140; Total Annual Hours: information from the public. Under the detailed information can be found in 52,140. (For policy questions regarding Paperwork Reduction Act of 1995 (the each collection’s supporting statement this collection contact Kathleen Todd at PRA), federal agencies are required to and associated materials (see 410–786–3385.) publish notice in the Federal Register ADDRESSES).

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Dated: July 22, 2020. Services (HHS), is requesting a 3-year District of Columbia, tribes, tribal William N. Parham, III, extension of the form OCS–0024: Low organizations, and U.S. territories Director, Paperwork Reduction Staff, Office Income Home Energy Assistance applying for LIHEAP block grant funds of Strategic Operations and Regulatory Program (LIHEAP) Model Plan must, prior to receiving federal funds, Affairs. Application (OMB #0970–0075, submit an annual application (Model [FR Doc. 2020–16243 Filed 7–24–20; 8:45 am] expiration 9/30/2020). There are no Plan, ACF–122) that meets the LIHEAP BILLING CODE 4120–01–P changes requested to the form. statutory and regulatory requirements. DATES: Comments due within 60 days of In addition to the Model Plan, grantees publication. In compliance with the are also required to complete the DEPARTMENT OF HEALTH AND requirements of Section 3506(c)(2)(A) of Mandatory Grant Application, SF–424— HUMAN SERVICES the Paperwork Reduction Act of 1995, Mandatory, which is included as the ACF is soliciting public comment on the first section of the Model Plan. Administration for Children and specific aspects of the information The LIHEAP Model Plan is an Families collection described above. electronic form and is submitted to ADDRESSES: Copies of the proposed Proposed Information Collection OCS/ACF through the On-Line Data collection of information can be Activity; Application Requirements for Collection (OLDC) system within obtained and comments may be the Low Income Home Energy GrantSolutions, which is currently forwarded by emailing infocollection@ Assistance Program (LIHEAP) Model being used by all LIHEAP grantees to Plan Application (OMB #0970–0075) acf.hhs.gov. Alternatively, copies can also be obtained by writing to the submit other required LIHEAP reporting forms. In order to reduce the reporting AGENCY: Office of Community Services, Administration for Children and burden, all data entries from each Administration for Children and Families, Office of Planning, Research, Families, HHS. and Evaluation (OPRE), 330 C Street grantee’s prior year’s submission of the Model Plan in OLDC are saved and re- ACTION: Request for public comment. SW, Washington, DC 20201, Attn: ACF Reports Clearance Officer. All requests, populated into the form for the SUMMARY: The Office of Community emailed or written, should be identified following fiscal year’s application. Services (OCS), Administration for by the title of the information collection. Respondents: States, the District of Children and Families (ACF), U.S. SUPPLEMENTARY INFORMATION: Columbia, U.S. territories, and tribal Department of Health and Human Description: States, including the governments.

ANNUAL BURDEN ESTIMATES

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

LIHEAP Detailed Model Plan ...... 210 1 .50 105

Estimated Total Annual Burden DEPARTMENT OF HEALTH AND Syndrome Coronavirus 2 (SARS-CoV–2) and Hours: 105. HUMAN SERVICES Coronavirus Disease 2019 (COVID–19) (R21/ R01 Clinical Trial Not Allowed). Comments: The Department National Institutes of Health Date: August 13, 2020. specifically requests comments on (a) Time: 11:00 a.m. to 6:00 p.m. whether the proposed collection of National Institute of Allergy and Agenda: To review and evaluate grant information is necessary for the proper Infectious Diseases; Notice of Closed applications. performance of the functions of the Meeting Place: National Institute of Allergy and agency, including whether the Pursuant to section 10(d) of the Infectious Diseases, National Institutes of information shall have practical utility; Federal Advisory Committee Act, as Health, 5601 Fishers Lane, Room 3F52, (b) the accuracy of the agency’s estimate amended, notice is hereby given of the Rockville, MD 20892, (Telephone Conference of the burden of the proposed collection following meeting. Call). of information; (c) the quality, utility, The meeting will be closed to the Contact Person: Margaret A. Morris Fears, and clarity of the information to be public in accordance with the Ph.D., Scientific Review Officer, Scientific collected; and (d) ways to minimize the provisions set forth in sections Review Program, National Institute of Allergy burden of the collection of information 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., and Infectious Diseases, National Institutes of on respondents, including through the as amended. The grant applications and Health, 5601 Fishers Lane, Room 3F52, Rockville, MD 20852, maggie.morrisfears@ use of automated collection techniques the discussions could disclose nih.gov. or other forms of information confidential trade secrets or commercial technology. Consideration will be given property such as patentable material, This notice is being published less than 15 to comments and suggestions submitted and personal information concerning days prior to the meeting due to the timing within 60 days of this publication. individuals associated with the grant limitations imposed by the review and funding cycle. (Authority: 42 U.S.C. 8621) applications, the disclosure of which would constitute a clearly unwarranted (Catalogue of Federal Domestic Assistance John M. Sweet Jr., invasion of personal privacy. Program Nos. 93.855, Allergy, Immunology, ACF/OPRE Certifying Officer. and Transplantation Research; 93.856, Name of Committee: National Institute of Microbiology and Infectious Diseases [FR Doc. 2020–16197 Filed 7–24–20; 8:45 am] Allergy and Infectious Diseases Special BILLING CODE 4184–80–P Emphasis Panel Emergency Awards: Rapid Research, National Institutes of Health, HHS) Investigation of Severe Acute Respiratory

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Dated: July 21, 2020. property such as patentable material, DEPARTMENT OF HEALTH AND Tyeshia M. Roberson, and personal information concerning HUMAN SERVICES Program Analyst, Office of Federal Advisory individuals associated with the grant Committee Policy. applications, the disclosure of which National Institutes of Health [FR Doc. 2020–16181 Filed 7–24–20; 8:45 am] would constitute a clearly unwarranted BILLING CODE 4140–01–P invasion of personal privacy. National Institute of Allergy and Name of Committee: National Institute of Infectious Diseases; Notice of Closed Allergy and Infectious Diseases Special Meeting DEPARTMENT OF HEALTH AND Emphasis Panel, NIAID Clinical Trial HUMAN SERVICES Implementation Cooperative Agreement Pursuant to section 10(d) of the (U01), and Clinical Trial Planning Grant Federal Advisory Committee Act, as National Institutes of Health (R34). amended, notice is hereby given of the Date: , 2020. following meeting. National Institute of Neurological Time: 10:00 a.m. to 5:00 p.m. Disorders and Stroke; Amended Notice Agenda: To review and evaluate grant The meeting will be closed to the of Meeting applications. public in accordance with the Place: National Institute of Allergy and provisions set forth in sections Notice is hereby given of a change in Infectious Diseases, National Institutes of 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., the meeting of the National Advisory Health, 5601 Fishers Lane, Room 3G33 as amended. The grant applications and Neurological Disorders and Stroke Rockville, MD 20892, (Telephone Conference the discussions could disclose Council, , 2020, 12:30 p.m. Call). confidential trade secrets or commercial to , 2020, 01:00 p.m., Contact Person: David C Chang, Ph.D. National Institutes of Health, Scientific Review Officer Scientific Review property such as patentable material, Neuroscience Center, Bethesda, MD Program Division of Extramural Activities, and personal information concerning National Institute of Allergy and Infectious 20892, which was published in the individuals associated with the grant Diseases, National Institutes of Health, 5601 applications, the disclosure of which Federal Register on , 2019, Fishers Lane, Room 3G33 Rockville, MD 84FR55974. 20852, (301) 594–4218, changdac@ would constitute a clearly unwarranted The meeting notice is amended to mail.nih.gov. invasion of personal privacy. change the meeting format from in (Catalogue of Federal Domestic Assistance Name of Committee: National Institute of person to video assisted meeting and to Program Nos. 93.855, Allergy, Immunology, Allergy and Infectious Diseases Special change the meeting times each day. The and Transplantation Research; 93.856, Emphasis Panel Emergency Awards: Rapid Microbiology and Infectious Diseases new meeting times are Wednesday, Investigation of Severe Acute Respiratory Research, National Institutes of Health, HHS) September 9, 2020, from 1 p.m. to 5 Syndrome Coronavirus 2 (SARS-CoV–2) and p.m. (open session) and Thursday, Dated: July 21, 2020. Coronavirus Disease 2019 (COVID–19) September 10, 2020, from 1 p.m. to 5 Tyeshia M. Roberson, Date: August 21, 2020. p.m. (closed session). The meeting is Program Analyst, Office of Federal Advisory Time: 10:00 a.m. to 5:30 p.m. partially Closed to the public. Committee Policy. Agenda: To review and evaluate grant Visit NINDS homepage for more [FR Doc. 2020–16180 Filed 7–24–20; 8:45 am] applications. information: https://www.ninds.nih.gov/ BILLING CODE 4140–01–P Place: National Institute of Allergy and News-Events/Events-Proceedings/ Infectious Diseases, National Institutes of Events/National-Advisory-Council- Health, 5601 Fishers Lane, Room 3G22A NANDSC-Meeting-September-2020. DEPARTMENT OF HEALTH AND Rockville, MD 20892, (Telephone Conference Dated: July 21, 2020. HUMAN SERVICES Call). Tyeshia M. Roberson, Contact Person: Inka I. Sastalla, Ph.D., National Institutes of Health Scientific Review Officer, Scientific Review Program Analyst, Office of Federal Advisory Committee Policy. Program, Division of Extramural Activities, National Institute of Neurological National Institute of Allergy and Infectious [FR Doc. 2020–16184 Filed 7–24–20; 8:45 am] Disorders and Stroke; Amended Notice Diseases, National Institutes of Health, 5601 BILLING CODE 4140–01–P of Meeting Fishers Lane, Room 3G22A Rockville, MD 20852, 301–761–6431, [email protected]. Notice is hereby given of a change in DEPARTMENT OF HEALTH AND the meeting of the Board of Scientific (Catalogue of Federal Domestic Assistance Program Nos. 93.855, Allergy, Immunology, HUMAN SERVICES Counselors, National Institute of and Transplantation Research; 93.856, Neurological Disorders and Stroke, National Institutes of Health Microbiology and Infectious Diseases , 2020, 06:00 p.m. to Research, National Institutes of Health, HHS) National Institute of Allergy and , 2020, 12:00 p.m., Infectious Diseases; Notice of Closed National Institutes of Health, Bethesda, Dated: July 21, 2020. Meeting MD 20814, which was published in the Tyeshia M. Roberson, Federal Register on , 2019, Program Analyst, Office of Federal Advisory Pursuant to section 10(d) of the 84FR69383. Committee Policy. Federal Advisory Committee Act, as This notice is being amended to [FR Doc. 2020–16183 Filed 7–24–20; 8:45 am] amended, notice is hereby given of the announce that the meeting is cancelled. BILLING CODE 4140–01–P following meeting. The meeting is closed to the public. The meeting will be closed to the public in accordance with the Dated: July 21, 2020. provisions set forth in sections Tyeshia M. Roberson, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Program Analyst, Office of Federal Advisory as amended. The grant applications and Committee Policy. the discussions could disclose [FR Doc. 2020–16182 Filed 7–24–20; 8:45 am] confidential trade secrets or commercial BILLING CODE 4140–01–P

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DEPARTMENT OF HOMELAND information describing the Collection’s any personal information you have SECURITY purpose, the Collection’s likely burden provided. For more about privacy and on the affected public, an explanation of submissions in response to this Coast Guard the necessity of the Collection, and document, see DHS’s eRulemaking [Docket No. USCG–2020–0320] other important information describing System of Records notice (85 FR 14226, the Collection. There is one ICR for each March 11, 2020). Collection. Information Collection Request to Information Collection Request Office of Management and Budget; The Coast Guard invites comments on OMB Control Number: 1625–0078 whether this ICR should be granted Title: Credentialing and Manning based on the Collection being necessary Requirements for Officers of Towing AGENCY: Coast Guard, Homeland for the proper performance of Vessels. Security (DHS). Departmental functions. In particular, OMB Control Number: 1625–0078. ACTION: Sixty-day notice requesting the Coast Guard would appreciate Summary: Credentialing and manning comments. comments addressing: (1) The practical requirements ensure that towing vessels utility of the Collection; (2) the accuracy operating on the navigable waters of the SUMMARY: In compliance with the of the estimated burden of the U.S. are under the control of Paperwork Reduction Act of 1995, the Collection; (3) ways to enhance the credentialed officers who meet certain U.S. Coast Guard intends to submit an quality, utility, and clarity of qualification and training standards. Information Collection Request (ICR) to information subject to the Collection; Need: Title 46 Code of Federal the Office of Management and Budget and (4) ways to minimize the burden of Regulations parts 10 and 11 prescribe (OMB), Office of Information and the Collection on respondents, regulations for the credentialing of Regulatory Affairs (OIRA), requesting an including the use of automated maritime personnel. This information extension of its approval for the collection techniques or other forms of collection is necessary to ensure that a following collection of information: information technology. Consistent with mariner’s training information is 1625–0078, Credentialing and Manning the requirements of Executive Order available to assist in determining his or Requirements for Officers of Towing 13771, Reducing Regulation and her overall qualifications to hold certain Vessels; without change. Our ICR Controlling Regulatory Costs, and credentials. describes the information we seek to Executive Order 13777, Enforcing the Forms: None. collect from the public. Before Regulatory Reform Agenda, the Coast Respondents: Owners and operators submitting this ICR to OIRA, the Coast Guard is also requesting comments on of towing vessels. Guard is inviting comments as the extent to which this request for Frequency: On occasion. described below. information could be modified to reduce Hour Burden Estimate: The estimated burden has increased from 18,635 hours DATES: Comments must reach the Coast the burden on respondents. to 24,152 a year due to an estimated Guard on or before September 25, 2020. In response to your comments, we may revise this ICR or decide not to seek increase in the annual number of ADDRESSES: You may submit comments respondents. identified by Coast Guard docket an extension of approval for the number [USCG–2020–0320] to the Coast Collection. We will consider all Authority: The Paperwork Reduction Act Guard using the Federal eRulemaking comments and material received during of 1995; 44 U.S.C. chapter 35, as amended. Portal at https://www.regulations.gov. the comment period. Dated: July 21, 2020. See the ‘‘Public participation and We encourage you to respond to this Kathleen Claffie, request for comments’’ portion of the request by submitting comments and Chief, Office of Privacy Management, U.S. SUPPLEMENTARY INFORMATION section for related materials. Comments must Coast Guard. contain the OMB Control Number of the further instructions on submitting [FR Doc. 2020–16134 Filed 7–24–20; 8:45 am] ICR and the docket number of this comments. BILLING CODE 9110–04–P A copy of the ICR is available through request, [USCG–2020–0320], and must the docket on the internet at https:// be received by September 25, 2020. www.regulations.gov. Additionally, Submitting Comments DEPARTMENT OF THE INTERIOR copies are available from: Commandant We encourage you to submit (CG–6P), Attn: Paperwork Reduction comments through the Federal Bureau of Indian Affairs Act Manager, U.S. Coast Guard, 2703 eRulemaking Portal at https:// [201A2100DD/AAKC001030/ Martin Luther King Jr. Ave. SE, Stop www.regulations.gov. If your material A0A501010.999900 253G; OMB Control 7710, Washington, DC 20593–7710. cannot be submitted using https:// Number 1076–0176] FOR FURTHER INFORMATION CONTACT: A.L. www.regulations.gov, contact the person Agency Information Collection Craig, Office of Privacy Management, in the FOR FURTHER INFORMATION Activities; Submission to the Office of telephone 202–475–3528, or fax 202– CONTACT section of this document for 372–8405, for questions on these alternate instructions. Documents Management and Budget for Review documents. mentioned in this notice, and all public and Approval; IDEIA Part B and C Child Count SUPPLEMENTARY INFORMATION: comments, are in our online docket at https://www.regulations.gov and can be AGENCY: Bureau of Indian Affairs, Public Participation and Request for viewed by following that website’s Comments Interior. instructions. Additionally, if you go to ACTION: Notice of information collection; This notice relies on the authority of the online docket and sign up for email request for comment. the Paperwork Reduction Act of 1995; alerts, you will be notified when 44 U.S.C. chapter 35, as amended. An comments are posted. SUMMARY: In accordance with the ICR is an application to OIRA seeking We accept anonymous comments. All Paperwork Reduction Act of 1995, we, the approval, extension, or renewal of a comments received will be posted the Bureau of Indian Affairs (BIA) are Coast Guard collection of information without change to https:// proposing to renew an information (Collection). The ICR contains www.regulations.gov and will include collection.

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DATES: Interested persons are invited to identifying information—may be made DEPARTMENT OF THE INTERIOR submit comments on or before August publicly available at any time. While 26, 2020. you can ask us in your comment to Bureau of Land Management ADDRESSES: Send written comments on withhold your personal identifying [LLCOF02400.L16100000.DO0000. this information collection request (ICR) information from public review, we LXSSC0100000.20X] to the Office of Management and cannot guarantee that we will be able to Budget’s Desk Officer for the do so. Notice of Availability of the Records of Department of the Interior by email at Abstract: Indian Tribes and Tribal Decision for the Browns Canyon _ OIRA [email protected]; or via organizations must submit information National Monument Resource facsimile to (202) 395–5806. Please to the BIE if they are served by Management Plan, Colorado provide a copy of your comments to Ms. elementary or secondary schools for AGENCY: Bureau of Land Management, Sue Bement, Office of Sovereignty in Indian children that, through Interior. Indian Education, 2001 Killebrew Department of the Interior, receive ACTION: Notice of availability. Drive—Suite 122, Bloomington, allocations of funding under the IDEIA Minnesota 55425; or by email to for the coordination of assistance for SUMMARY: The Bureau of Land [email protected]. Please reference Indian children 0 to 5 years of age with Management (BLM) and the U.S. Forest OMB Control Number 1076–0176 in the disabilities on reservations. The Service (USFS) have prepared separate subject line of your comments. information must be provided on two Records of Decision (ROD) for the joint FOR FURTHER INFORMATION CONTACT: To forms. The Part B form addresses Indian Approved Resource Management Plan request additional information about children 3 to 5 years of age on (RMP) for the Browns Canyon National this ICR, contact Ms. Sue Bement by reservations served by Bureau-funded Monument (BCNM) located in Chaffee email at [email protected] or by schools. The Part C form addresses County, Colorado. telephone at (952) 851–5423. You may Indian children up to 3 years of age on DATES: The BLM Colorado State Director also view the ICR at http:// reservations served by Bureau-funded signed the BLM ROD on July 21, 2020, www.reginfo.gov/public/do/PRAMain. schools. The information required by and the Approved RMP is effective SUPPLEMENTARY INFORMATION: In the forms includes counts of children as immediately on monument lands accordance with the Paperwork of a certain date each year. administered by the BLM. The Forest Reduction Act of 1995, we provide the Title of Collection: IDEIA Part B and Supervisor of the Pike and San Isabel general public and other Federal Part C Child Count. National Forest Comanche Cimarron agencies with an opportunity to Grasslands (PSICC) also signed the comment on new, proposed, revised, OMB Control Number: 1076–0176. USFS ROD on July 21, 2020, and the and continuing collections of Form Number: N/A. Approved RMP will be effective on information. This helps us assess the Type of Review: Extension of a monument lands administered by the impact of our information collection currently approved collection. USFS 30 days after publication of this requirements and minimize the public’s notice. reporting burden. It also helps the Respondents/Affected Public: Indian ADDRESSES: Copies of the BLM and public understand our information Tribes and Tribal organizations. USFS RODs and the Approved RMP are collection requirements and provide the Total Estimated Number of Annual available upon request from the Field requested data in the desired format. Respondents: 118. Manager, Royal Gorge Field Office, A Federal Register notice with a 60- Bureau of Land Management (BLM day public comment period soliciting Total Estimated Number of Annual RGFO), 3028 E. Main St., Can˜ on City, comments on this collection of Responses: 118. CO 81212, and from the District Ranger, information was published on March Estimated Completion Time per PSICC Salida Ranger District, 5575 30, 2020 (85 FR 17596). No comments Response: 20 hours per form. Cleora Road, Salida, CO 81201 or via the were received. Total Estimated Number of Annual internet at https://go.usa.gov/xn2eC. We are soliciting comments on the Burden Hours: 2,360 hours. proposed ICR that is described below. Copies of the RODs and Approved RMP We are especially interested in public Respondent’s Obligation: Required to are available for public inspection by comment addressing the following Obtain a Benefit. appointment at BLM RGFO, 3028 E. ˜ issues: (1) Is the collection necessary to Frequency of Collection: Twice (Once Main St., Canon City, CO 81212, and at the proper functions of the BIE; (2) will per year for each form). the PSICC Salida Ranger District, 5575 Cleora Road, Salida, CO 81201. this information be processed and used Total Estimated Annual Nonhour FOR FURTHER INFORMATION CONTACT: in a timely manner; (3) is the estimate Burden Cost: $0. of burden accurate; (4) how might the Joseph Vieira, Project Manager, BIE enhance the quality, utility, and An agency may not conduct or telephone 719–246–9966; address 5575 clarity of the information to be sponsor and a person is not required to Cleora Road, Salida, CO 81201; email collected; and (5) how might the BIE respond to a collection of information [email protected]. Persons who use a minimize the burden of this collection unless it displays a currently valid OMB telecommunications device for the deaf on the respondents, including through control number. (TDD) may call the Federal Relay the use of information technology. The authority for this action is the Service (FRS) at 1–800–877–8339 to Comments that you submit in Paperwork Reduction Act of 1995 (44 contact Mr. Vieira during normal response to this notice are a matter of U.S.C. 3501 et seq.). business hours. The FRS is available 24 public record. Before including your hours per day, 7 days per week, to leave address, phone number, email address, Elizabeth K. Appel, a message or question. You will receive or other personal identifying Director, Office of Regulatory Affairs and a reply during normal business hours. information in your comment, you Collaborative Action—Indian Affairs. SUPPLEMENTARY INFORMATION: The BLM should be aware that your entire [FR Doc. 2020–16146 Filed 7–24–20; 8:45 am] and USFS have worked cooperatively comment—including your personal BILLING CODE 4337–15–P with the public, stakeholders, interest

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groups, cooperating agencies in State Approved RMP includes planning level or complainant’s filing pursuant to the and local government, tribes, the decisions and land and resource use Commission’s Rules of Practice and Environmental Protection Agency, and allocations and allowances, but it does Procedure. the U.S. Fish and Wildlife Service to not include decisions that implement FOR FURTHER INFORMATION CONTACT: Lisa develop an Approved RMP that components of the land use plan. R. Barton, Secretary to the Commission, provides for the long-term conservation The BLM and USFS conducted pre- U.S. International Trade Commission, and protection of the monument planning public involvement work 500 E Street SW, Washington, DC resources, objects, and values (ROV) sessions and compiled best available 20436, telephone (202) 205–2000. The identified in Presidential Proclamation scientific information from October public version of the complaint can be 9232. These values include the 2016 to April 2019. The agencies accessed on the Commission’s ‘‘landscape’s canyons, rivers, and initiated a joint scoping effort for the Electronic Document Information backcountry forests, . . . diversity of RMP in May 2019 and collected System (EDIS) at https://edis.usitc.gov. plants and wildlife, including a information and input via public For help accessing EDIS, please email significant herd of bighorn sheep, . . . meetings and cooperating agency [email protected]. scientifically significant geological, meetings with CPW, Chaffee County, the General information concerning the ecological, riparian, cultural, and City of Salida, and the Town of Buena Commission may also be obtained by historic resources.’’ The Presidential Vista to develop the Draft RMP/ accessing its internet server at United Proclamation states that the monument Environmental Impact Statement (EIS) States International Trade Commission will ‘‘preserve its prehistoric and released in October 2019. The BLM and (USITC) at https://www.usitc.gov. The historic legacy and maintain its diverse USFS developed the Proposed Plan public record for this investigation may array of scientific resources, ensuring Alternative based upon the Draft be viewed on the Commission’s that the prehistoric, historic, and Preferred Alternative and public Electronic Document Information scientific values remain for the benefit comments on the Draft RMP/EIS. The System (EDIS) at https://edis.usitc.gov. of all Americans,’’ while recognizing its Proposed RMP/Final EIS published in Hearing-impaired persons are advised ‘‘world class river rafting and outdoor the Federal Register on , 2020 that information on this matter can be recreation opportunities, including (84 FR 21454), which initiated a 30-day obtained by contacting the hunting, fishing, hiking, camping, protest period. The agencies received 10 Commission’s TDD terminal on (202) mountain biking, and horseback riding.’’ protests on a variety of issues, which 205–1810. The Presidential Proclamation also were resolved by the BLM Director and SUPPLEMENTARY INFORMATION: The provides that the monument shall be the USFS Deputy Regional Forester. In Commission has received a complaint subject to valid existing rights, and accordance with its regulations, the and a submission pursuant to § 210.8(b) directs that laws, regulations, and BLM also provided the Governor an of the Commission’s Rules of Practice policies followed by the BLM or USFS opportunity to review the Proposed and Procedure filed on behalf of Versa in the administration of grazing shall RMP/Final EIS to promote consistency Products Inc. on July 21, 2020. The continue to apply, consistent with the with State government plans or policies. complaint alleges violations of section care and management of the monument The Governor did not identify any 337 of the Tariff Act of 1930 (19 U.S.C. ROVs. inconsistency with State government 1337) in the importation into the United Management decisions outlined in the plans or policies. Based on further States, the sale for importation, and the Approved RMP apply only to lands internal review, the BLM and USFS sale within the United States after managed within the boundaries of the made minor editorial modifications to importation of certain height-adjustable BCNM (approximately 21,600 acres). the Approved RMP to provide further desk platforms and certain components The Approved RMP represents a new clarification of some of the decisions. thereof. The complaint names as management plan for 9,790 acres (Authority: 40 CFR 1506.6) respondents: Varidesk LLC of Coppell, administered by the BLM under the TX; CKNAPP Sales, Inc. of Goodfield, Jamie E. Connell, National Landscape Conservation IL; Loctek, Inc. of Livermore, CA; Loctek System and amends the Pike and San Colorado State Director. Ergonomic Technology Corporation of Isabel National Forest Land and [FR Doc. 2020–16151 Filed 7–24–20; 8:45 am] China; Zhejiang Loctek Smart Drive Resource Management Plan covering BILLING CODE 4310–JB–P Technology Co., Ltd. of China; Amazon 11,810 acres administered by the USFS. Import Inc. of El Monte, CA; and Stand The Approved RMP also includes a Steady Company, LLC of Birmingham, portion of the Arkansas Headwaters INTERNATIONAL TRADE AL. The complainant requests that the Recreation Area, a cooperatively COMMISSION Commission issue a general exclusion managed area along the Arkansas River order, or in the alternative, a limited administered by the USFS, the BLM, Notice of Receipt of Complaint; exclusion order, and cease and desist and Colorado Parks and Wildlife (CPW). Solicitation of Comments Relating to orders. The Approved RMP establishes goals, the Public Interest Proposed respondents, other objectives, BLM management actions/ AGENCY: U.S. International Trade interested parties, and members of the USFS standards and allowable uses for Commission. public are invited to file comments on monument resources and lands ACTION: Notice. any public interest issues raised by the including, but not limited to, the BLM complaint or § 210.8(b) filing. wilderness study area, eligible and SUMMARY: Notice is hereby given that Comments should address whether suitable wild and scenic rivers, and the U.S. International Trade issuance of the relief specifically lands subject to USFS wilderness Commission has received a complaint requested by the complainant in this suitability determination. The Approved entitled Certain Height-Adjustable Desk investigation would affect the public RMP also balances recreation, livestock Platforms and Certain Components health and welfare in the United States, grazing, travel and transportation, and Thereof, DN 3475; the Commission is competitive conditions in the United realty use in a manner consistent with soliciting comments on any public States economy, the production of like ROV conservation and protection. The interest issues raised by the complaint or directly competitive articles in the

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United States, or United States edis.usitc.gov.) No in-person paper- ACTION: Notice. consumers. based filings or paper copies of any In particular, the Commission is electronic filings will be accepted until SUMMARY: Notice is hereby given that a interested in comments that: further notice. Persons with questions complaint was filed with the U.S. (i) Explain how the articles regarding filing should contact the International Trade Commission on June potentially subject to the requested Secretary at [email protected]. 19, 2020, under section 337 of the Tariff remedial orders are used in the United Any person desiring to submit a Act of 1930, as amended, on behalf of States; document to the Commission in Novartis Pharma AG of Switzerland; (ii) identify any public health, safety, confidence must request confidential Novartis Pharmaceuticals Corporation of or welfare concerns in the United States treatment. All such requests should be East Hanover, New Jersey; and Novartis relating to the requested remedial directed to the Secretary to the Technology LLC of East Hanover, New Jersey. A letter supplementing the orders; Commission and must include a full complaint was filed on July 10, 2020. (iii) identify like or directly statement of the reasons why the The complaint alleges violations of competitive articles that complainant, Commission should grant such section 337 based upon the importation its licensees, or third parties make in the treatment. See 19 CFR 201.6. Documents into the United States, the sale for United States which could replace the for which confidential treatment by the importation, and the sale within the subject articles if they were to be Commission is properly sought will be United States after importation of excluded; treated accordingly. All information, certain pre-filled syringes for (iv) indicate whether complainant, including confidential business intravitreal injection and components complainant’s licensees, and/or third information and documents for which party suppliers have the capacity to thereof by reason of infringement of confidential treatment is properly certain claims of U.S. Patent No. replace the volume of articles sought, submitted to the Commission for potentially subject to the requested 9,220,631 (‘‘the ’631 patent’’). The purposes of this Investigation may be complaint further alleges that an exclusion order and/or a cease and disclosed to and used: (i) By the desist order within a commercially industry in the United States exists or Commission, its employees and Offices, is in the process of being established as reasonable time; and and contract personnel (a) for (v) explain how the requested required by the applicable Federal developing or maintaining the records Statute. The complainants request that remedial orders would impact United of this or a related proceeding, or (b) in States consumers. the Commission institute an internal investigations, audits, reviews, investigation and, after the Written submissions on the public and evaluations relating to the interest must be filed no later than by investigation, issue a limited exclusion programs, personnel, and operations of order and a cease and desist order. close of business, eight calendar days the Commission including under 5 ADDRESSES: The complaint, except for after the date of publication of this U.S.C. Appendix 3; or (ii) by U.S. notice in the Federal Register. There any confidential information contained government employees and contract therein, may be viewed on the will be further opportunities for personnel 2, solely for cybersecurity comment on the public interest after the Commission’s electronic docket (EDIS) purposes. All nonconfidential written at https://edis.usitc.gov. For help issuance of any final initial submissions will be available for public determination in this investigation. Any accessing EDIS, please email inspection at the Office of the Secretary [email protected]. Hearing impaired written submissions on other issues and on EDIS.3 must also be filed by no later than the individuals are advised that information This action is taken under the on this matter can be obtained by close of business, eight calendar days authority of section 337 of the Tariff Act after publication of this notice in the contacting the Commission’s TDD of 1930, as amended (19 U.S.C. 1337), terminal on (202) 205–1810. Persons Federal Register. Complainant may file and of §§ 201.10 and 210.8(c) of the replies to any written submissions no with mobility impairments who will Commission’s Rules of Practice and need special assistance in gaining access later than three calendar days after the Procedure (19 CFR 201.10, 210.8(c)). date on which any initial submissions to the Commission should contact the were due. Any submissions and replies By order of the Commission. Office of the Secretary at (202) 205– Issued: July 22, 2020. filed in response to this Notice are 2000. General information concerning limited to five (5) pages in length, Lisa Barton, the Commission may also be obtained inclusive of attachments. Secretary to the Commission. by accessing its internet server at Persons filing written submissions [FR Doc. 2020–16238 Filed 7–24–20; 8:45 am] https://www.usitc.gov. must file the original document BILLING CODE 7020–02–P FOR FURTHER INFORMATION CONTACT: electronically on or before the deadlines Pathenia M. Proctor, The Office of stated above. Submissions should refer Unfair Import Investigations, U.S. to the docket number (‘‘Docket No. INTERNATIONAL TRADE International Trade Commission, 3475’’) in a prominent place on the COMMISSION telephone (202) 205–2560. cover page and/or the first page. (See SUPPLEMENTARY INFORMATION: [Investigation No. 337–TA–1207] Handbook for Electronic Filing Authority: The authority for institution of Procedures, Electronic Filing Certain Pre-Filled Syringes for this investigation is contained in section 337 1 Procedures ). Please note the Intravitreal Injection and Components of the Tariff Act of 1930, as amended, 19 Secretary’s Office will accept only Thereof; Institution of Investigation U.S.C. 1337, and in § 210.10 of the electronic filings during this time. Commission’s Rules of Practice and Filings must be made through the AGENCY: U.S. International Trade Procedure, 19 CFR 210.10 (2020). Commission’s Electronic Document Commission. Scope of Investigation: Having Information System (EDIS, https:// considered the complaint, the U.S. International Trade Commission, on 2 All contract personnel will sign appropriate 1 Handbook for Electronic Filing Procedures: nondisclosure agreements. July 21, 2020, 2020, ordered that— https://www.usitc.gov/documents/handbook_on_ 3 Electronic Document Information System (1) Pursuant to subsection (b) of filing_procedures.pdf. (EDIS): https://edis.usitc.gov. section 337 of the Tariff Act of 1930, as

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amended, an investigation be instituted submitted by the named respondent in industry in the United States within a to determine whether there is a accordance with § 210.13 of the reasonably foreseeable time. violation of subsection (a)(1)(B) of Commission’s Rules of Practice and Background section 337 in the importation into the Procedure, 19 CFR 210.13. Pursuant to United States, the sale for importation, 19 CFR 201.16(e) and 210.13(a), as The Commission instituted these or the sale within the United States after amended in 85 FR 15798 (March 19, reviews on May 1, 2019 (84 FR 18577) importation of certain products 2020), such responses will be and determined on August 5, 2019 that identified in paragraph (2) by reason of considered by the Commission if it would conduct full reviews (84 FR infringement of one or more of claims received not later than 20 days after the 44330, , 2019). Notice of the 1–6 and 11–26 of the ’631 patent, and date of service by the complainants of scheduling of the Commission’s reviews whether an industry in the United the complaint and the notice of and of a public hearing to be held in States exists as required by subsection investigation. Extensions of time for connection therewith was given by (a)(2) of section 337; submitting responses to the complaint posting copies of the notice in the Office (2) Pursuant to § 210.10(b)(1) of the and the notice of investigation will not of the Secretary, U.S. International Commission’s Rules of Practice and be granted unless good cause therefor is Trade Commission, Washington, DC, Procedure, 19 CFR 210.10(b)(1), the shown. and by publishing the notice in the plain language description of the Failure of the respondent to file a Federal Register on January 22, 2020 accused products or category of accused timely response to each allegation in the (85 FR 3717). Subsequently, the products, which defines the scope of the complaint and in this notice may be Commission cancelled its previously investigation, is ‘‘syringes that are pre- deemed to constitute a waiver of the scheduled hearing following a request filled with ophthalmic medication, and right to appear and contest the on behalf of the domestic interested components of such syringes, including allegations of the complaint and this parties (85 FR 31550, May 26, 2020). The Commission made these barrels, plungers, and stoppers’’; notice, and to authorize the determinations pursuant to section (3) Pursuant to Commission Rule administrative law judge and the 751(c) of the Act (19 U.S.C. 1675(c)). It § 210.50(b)(1), 19 CFR 210.50(b)(1), the Commission, without further notice to completed and filed its determinations presiding administrative law judge shall the respondent, to find the facts to be as in these reviews on July 22, 2020. The take evidence or other information and alleged in the complaint and this notice views of the Commission are contained hear arguments from the parties or other and to enter an initial determination in USITC Publication 5086 (July 2020), interested persons with respect to the and a final determination containing entitled Light-Walled Rectangular Pipe public interest in this investigation, as such findings, and may result in the and Tube from China, Korea, Mexico, appropriate, and provide the issuance of an exclusion order or a cease and Turkey: Investigation Nos. 701–TA– Commission with findings of fact and a and desist order or both directed against 449 and 731–TA–1118–1121 (Second recommended determination on this the respondent. Review). issue, which shall be limited to the By order of the Commission. statutory public interest factors set forth By order of the Commission. Issued: July 21, 2020. Issued: July 22, 2020. in 19 U.S.C. 1337(d)(1), (f)(1), (g)(1); Lisa Barton, (4) For the purpose of the Lisa Barton, Secretary to the Commission. investigation so instituted, the following Secretary to the Commission. [FR Doc. 2020–16138 Filed 7–24–20; 8:45 am] are hereby named as parties upon which [FR Doc. 2020–16236 Filed 7–24–20; 8:45 am] BILLING CODE 7020–02–P this notice of investigation shall be BILLING CODE 7020–02–P served: (a) The complainants are: INTERNATIONAL TRADE Novartis Pharma AG, Forum 1, Novartis COMMISSION DEPARTMENT OF JUSTICE Campus, CH–4056 Basel, Switzerland. Novartis Pharmaceuticals Corporation, [Investigation Nos. 701–TA–449 and 731– Bureau of Alcohol, Tobacco, Firearms One Health Plaza, East Hanover, New TA–1118–1121 (Second Review)] and Explosives Jersey, 07936. [OMB Number 1140–0013] Novartis Technology LLC, One Health Light-Walled Rectangular Pipe and Plaza, East Hanover, New Jersey, Tube From China, Korea, Mexico, and Agency Information Collection 07936. Turkey Activities; Proposed eCollection (b) The respondent is the following Determination eComments Requested; Application entity alleged to be in violation of for Tax-Exempt Transfer of Firearm 1 section 337, and is the party upon On the basis of the record developed and Registration to Special which the complaint is to be served: in the subject five-year reviews, the Occupational Taxpayer—ATF Form 3 United States International Trade (5320.3) Regeneron Pharmaceuticals, Inc., 77 Old Commission (‘‘Commission’’) Saw Mill River Road, Tarrytown, New determines, pursuant to the Tariff Act of AGENCY: Bureau of Alcohol, Tobacco, York 10591. 1930 (‘‘the Act’’), that revocation of the Firearms and Explosives, Department of (c) The Office of Unfair Import countervailing duty order on light- Justice. Investigations, U.S. International Trade walled rectangular pipe and tube from ACTION: 30-Day notice. Commission, 500 E Street SW, Suite China and antidumping duty orders on SUMMARY: 401, Washington, DC 20436; and light-walled rectangular pipe and tube The Department of Justice (5) For the investigation so instituted, from China, Korea, Mexico, and Turkey (DOJ), Bureau of Alcohol, Tobacco, the Chief Administrative Law Judge, would be likely to lead to continuation Firearms and Explosives (ATF), will U.S. International Trade Commission, or recurrence of material injury to an submit the following information shall designate the presiding collection request to the Office of Administrative Law Judge. 1 The record is defined in sec. 207.2(f) of the Management and Budget (OMB) for Responses to the complaint and the Commission’s Rules of Practice and Procedure (19 review and approval in accordance with notice of investigation must be CFR 207.2(f)). the Paperwork Reduction Act of 1995.

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DATES: Comments are encouraged and Registration to Special Occupational (hereinafter, Respondent), of Agawam, will be accepted for an additional 30 Taxpayer—ATF Form 3 (5320.3) form is Massachusetts and Hammond, Indiana. days until August 26, 2020. used by Federal firearms licensees, to Administrative Law Judge Exhibit ADDRESSES: Written comments and apply for the transfer and registration of (hereinafter, ALJX) 1 (Order to Show recommendations for the proposed a National Firearms Act (NFA) firearm Cause (hereinafter, OSC)), at 1. The OSC information collection should be sent that is subject to exemption from proposed the revocation of within 30 days of publication of this transfer tax, as provided by 26 U.S.C. Respondent’s DEA certificate of notice to www.reginfo.gov/public/do/ 5852(d). registration (hereinafter, registration) on PRAMain. Find this particular (5) An estimate of the total number of the ground that he ‘‘materially falsified information collection by selecting respondents and the amount of time . . . [his] application for renewal in ‘‘Currently under 30-day Review—Open estimated for an average respondent to violation of 21 U.S.C. 823(f) and for Public Comments’’ or by using the respond: An estimated 130,289 824(a)(1).’’ Id. search function. respondents will utilize the form The substantive grounds for the annually, and it will take each SUPPLEMENTARY INFORMATION: Written proceeding, as more specifically alleged comments and suggestions from the respondent approximately 30 minutes to in the OSC, are that Respondent, ‘‘[o]n public and affected agencies concerning complete their responses. or about February 7, 2017, . . . (6) An estimate of the total public the proposed collection of information submitted a renewal application for . . . burden (in hours) associated with the are encouraged. Your comments should [his registration number] BS5000411 collection: The estimated annual public address one or more of the following seeking to change . . . [his] registered burden associated with this collection is four points: address to . . . Hammond, Indiana . . . 65,145 hours, which is equal to 130,289 [and] made two material false —Evaluate whether the proposed (# of respondents) * 1 (# of responses statements in . . . [his] renewal collection of information is necessary per respondent) * .5 (30 minutes or the application’’—(1) answering ‘‘no’’ to for the proper performance of the total time taken to complete each whether he had ever been convicted of functions of the agency, including response). a crime in connection with controlled whether the information will have (7) An Explanation of the Change in substances under state or federal law, or practical utility; Estimates: The adjustments to this whether any such action is pending, and —Evaluate the accuracy of the agency’s information collection include a (2) answering ‘‘no’’ to whether he had estimate of the burden of the decrease in the total responses by ever surrendered (for cause) or had a proposed collection of information, 47,211. Consequently, the annual state professional license revoked, including the validity of the burden hours has also reduced by suspended, denied, restricted, or placed methodology and assumptions used; 23,605. However, the public cost on probation, or whether any such —Evaluate whether and if so how the increased to $ 4,292, because some action is pending. Id. at 2. Citing 21 quality, utility, and clarity of the respondents completed and mailed their U.S.C. 823(f) and 824(a)(1), the OSC information to be collected can be applications to ATF for processing, concluded that ‘‘DEA must revoke . . . enhanced; and although this collection can be [Respondent’s registration] based upon —Minimize the burden of the collection electronically submitted. . . . [his] material falsifications of . . . of information on those who are to If additional information is required [his] renewal application.’’ Id. respond, including through the use of contact: Melody Braswell, Department The OSC notified Respondent of his appropriate automated, electronic, Clearance Officer, United States right to request a hearing on the mechanical, or other technological Department of Justice, Justice allegations or to submit a written collection techniques or other forms Management Division, Policy and statement while waiving his right to a of information technology, e.g., Planning Staff, Two Constitution hearing, the procedures for electing each permitting electronic submission of Square, 145 N Street NE, 3E.405A, option, and the consequences for failing responses. Washington, DC 20530. to elect either option. Id. at 2–3 (citing Overview of This Information Dated: July 22, 2020. 21 CFR 1301.43). Respondent timely Collection Melody Braswell, requested a hearing by letter dated April (1) Type of Information Collection: Department Clearance Officer for PRA, U.S. 29, 2017. ALJX 2 (Request for Hearing). Extension with change of a currently Department of Justice. The matter was placed on the docket approved collection. [FR Doc. 2020–16172 Filed 7–24–20; 8:45 am] of the Office of Administrative Law Judges and assigned to Chief (2) The Title of the Form/Collection: BILLING CODE 4410–14–P Application for Tax-Exempt Transfer of Administrative Law Judge (hereinafter, Firearm and Registration to Special ALJ) John J. Mulrooney, II. The parties 1 Occupational Taxpayer. DEPARTMENT OF JUSTICE initially agreed to eight stipulations. (3) The agency form number, if any, Drug Enforcement Administration 1 ‘‘1. The Respondent is registered with the DEA and the applicable component of the as a practitioner to handle controlled substances in Department sponsoring the collection: [Docket No. 17–29] Schedules II to V under DEA COR [certificate of Form number: ATF Form 3 (5320.3). registration] No. BS5000411, with a registered Component: Bureau of Alcohol, Frank Joseph Stirlacci, M.D.; Decision address of Regional Health Center, 559 State Street, Tobacco, Firearms and Explosives, U.S. and Order Hammond, Indiana 46320. The Respondent’s DEA COR expires by its own terms on , 2020. Department of Justice. I. Introduction ‘‘2. From April 17, 2015 to May 11, 2015, the (4) Affected public who will be asked Respondent was incarcerated in Kentucky. or required to respond, as well as a brief On April 5, 2017, the then-Assistant ‘‘3. On February 5, 2016, the Respondent entered abstract: Administrator, Diversion Control into a Voluntary Agreement Not to Practice Primary: Business or other for-profit. Division, Drug Enforcement Medicine in the Commonwealth of Massachusetts with the Board of Registration. Other: Federal Government. Administration (hereinafter, DEA or ‘‘4. On , 2017, the Respondent was Abstract: The Application for Tax- Government), issued an Order to Show indicted by the Commonwealth of Massachusetts Exempt Transfer of Firearm and Cause to Frank Joseph Stirlacci, M.D. Continued

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ALJX 11 (Prehearing Ruling, dated June II. Findings of Fact C. The Material Falsification Allegations 22, 2017), at 1–2. A. Respondent’s Current Registration As already discussed, the OSC alleges The hearing in this matter lasted one that Respondent submitted a renewal day and took place in Arlington, Respondent’s current registration, application containing two material Virginia on August 22, 2017. The BS5000411, is at the Regional Health falsifications. OSC, at 2. The first Recommended Rulings, Findings of Center in Hammond, Indiana. GX 1 alleged material falsification is his Fact, Conclusions of Law, and Decision (Certificate of Registration), at 1; Tr. 13. negative response to whether he had 3 of the Administrative Law Judge Its expiration date is February 29, 2020. ever been convicted of a crime in (hereinafter, RD) is dated , GX 1, at 1; GX 2 (Certification of connection with controlled substances 2017. Respondent filed exceptions to Registration Status), at 1. under state or federal law, or whether ‘‘any such action [is] pending?’’ Id. the RD. ALJX 31 (Respondent’s B. The Investigation of Respondent According to the Government, Exceptions to the CALJ’s Recommended Respondent’s negative response to this Decision, dated Oct. 19, 2017). The A former employee of Respondent ‘‘liability question’’ was materially false, Government sought and received leave contacted DEA stating that Respondent ‘‘authorized the issuing of prescriptions because the ‘‘Commonwealth of to respond to Respondent’s Exceptions Massachusetts had indicted . . . [him] over Respondent’s objection. ALJX 32 and seeing patients by a medical assistant in his office while he was for crimes in connection with controlled (Government’s Request for Leave to File incarcerated.’’ Tr. 20, 23. The case substances less than two weeks earlier.’’ Response to Respondent’s Exceptions, Diversion Investigator (hereinafter, DI) Id. dated Oct. 19, 2017); ALJX 34 (Order followed up on the allegation by The second alleged material Granting the Government’s Request for obtaining copies of prescriptions that falsification is Respondent’s negative Leave to File Response to Respondent’s Respondent issued during his response to whether he had ‘‘ever Exceptions, dated Oct. 24, 2017). The incarceration and requesting recordings surrendered (for cause) or had a state Government’s response to Respondent’s of telephone conversations between professional license . . . revoked, Exceptions is dated November 1, 2017. Respondent and his office staff during suspended, denied, restricted, or placed ALJX 35 (Government’s Response to the same period. Id. at 23–30. on probation, or is any such action Respondent’s Exceptions, dated Nov. 1, pending?’’ Id. The OSC alleges, and the While the hearing testimony’s 2017). Government sufficiently and timely description of the allegation does not further explicated, that this negative Having considered the record in its specify whether any of the alleged response was materially false, because entirety, I agree with the RD’s prescriptions were for controlled Respondent ‘‘had just agreed to not conclusion that the record establishes, substances, there is substantial evidence practice medicine within the by clear, unequivocal, and convincing in the record that the allegation did Commonwealth of Massachusetts.’’ 4 Id.; evidence, that Respondent materially include, at least in part, the prescribing 5 U.S.C. 554(b)(3); contra ALJX 31, at 1. falsified his registration renewal of controlled substances. For example, There is factual agreement among the application.2 I find that Respondent did the DEA employee staffing the DEA tip witnesses on a number of matters. When not accept responsibility for the material line referred the allegation to DI. Id. at there is factual disagreement, I apply my falsification. Accordingly, I conclude 20–23. If the allegation had no potential credibility determinations and the that I can no longer entrust Respondent connection to controlled substances, the credibility recommendations of the with a registration, that his registration DEA employee initially receiving the tip Chief ALJ in all but a portion of one should be revoked, and that any would not have referred it to DI for instance. Infra Section D. investigation based on DEA’s pending application by Respondent for D. The Government’s Case registration in Indiana should be jurisdiction. Further, DI’s investigation denied. I make the following findings. of the allegation included his request for The Government’s admitted information from prescription documentary evidence consists for: (1) 26 counts of Improper Prescriptions, in monitoring programs (hereinafter, primarily of Respondent’s renewal violation of Mass. Gen. Laws ch. 94C § 19(a); (2) 22 PDMP). Id. at 23–24. The Massachusetts application (GX 6), the sixty-eight page counts of False Health Care Claims, in violation of PDMP was established to ‘‘maintain an Hampden County Superior Court Mass. Gen. Laws ch. 175H § 2; and (3) 20 counts electronic system to monitor the criminal indictment of Respondent (GX of Uttering False Prescriptions, in violation of Mass. Gen. Laws ch. 94C § 33(b). prescribing . . . of all schedule II to V, 5), and the Voluntary Agreement Not to ‘‘5. On February 7, 2017, at approximately 17:04 inclusive, controlled substances and Practice Medicine that Respondent and Eastern Time, the Respondent submitted a renewal certain additional drugs . . . his attorney signed and that the application for his DEA COR. determined . . . to carry a bona fide Massachusetts Board of Registration in ‘‘6. The Respondent did not disclose the February potential for abuse.’’ Mass. Gen. Laws Medicine (hereinafter, MBRM) 5, 2016 Voluntary Agreement Not to Practice Medicine on his February 7, 2017 renewal ch. 94C, § 24A (Current through Chapter ‘‘accepted,’’ on February 5, 2016 (GX 3) application. 44 of the 2020 2nd Annual Session). (hereinafter, Mass. Accepted Voluntary ‘‘7. The Respondent did not disclose the January Had the tip not included an allegation No-Practice Agreement).5 The 26, 2017 indictments outlined above on his related to controlled substances, there February 7, 2017 renewal application. would not have been any reason for DI 4 Although the date in the OSC associated with ‘‘8. The Respondent did not supplement his this allegation is February 5, 2017, the parties February 7, 2017 renewal application.’’ to request PDMP information. As such, subsequently agreed that the correct date is On the hearing day, the parties submitted I find that the allegation by February 5, 2016. Joint Stipulation No. 3. additional Stipulations. ALJX 26; transcript page Respondent’s staff concerned, at least in 5 The Hampden County Superior Court criminal number (hereinafter, Tr.) 5–6. According to the part, the unlawful prescribing of indictment charges Respondent with twenty-six ‘‘Joint Notice of Stipulations,’’ the parties stipulated controlled substances. counts of ‘‘improper prescription,’’ twenty counts of to the authenticity of Respondent’s registration in ‘‘uttering false prescription,’’ and twenty-two GX 1, of Respondent’s registration history in GX 2, counts of ‘‘false health care claim.’’ GX 5 and of the Affidavit of Daniel Kelly, RX 3. 3 The current status of Respondent’s registration, (Massachusetts Superior Court Indictment No. 17 2 I reviewed, and agree with, the Chief ALJ’s pre- whether expired or timely renewed, does not 039 (dated Jan. 26, 2017)). The improper hearing, hearing, and post-hearing rulings and impact my adjudication of this matter. Jeffrey D. prescription allegations concern controlled orders. Olsen, M.D., 84 FR 68,474 (2019); 5 U.S.C. 558(c). substances such as hydrocodone (15 counts),

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Government called two witnesses: DI lack of permission to practice medicine or about , 2016, about a week and an Investigator for the MBRM in Massachusetts due to his signing the after he submitted a medical license (hereinafter, MBRM Investigator). Mass. Accepted Voluntary No-Practice renewal application. Id. at 131. DI testified about his investigation- Agreement.6 Tr. 59–75, 74, 74–75, and Respondent testified he entered into the related activities of the ‘‘tip’’ submitted 75–80, respectively. Mass. Accepted Voluntary No-Practice by Respondent’s former employee, MBRM Investigator testified during Agreement because the MBRM ‘‘had including, his interaction with the Government’s rebuttal case that he concerns regarding what occurred with Respondent’s attorney, Daniel M. Kelly, previously investigated two other cases . . . [his] divorce, incarceration, on February 6, 2017, about the concerning Respondent. Id. at 150–52. contempt,’’ and because MBRM Hampden County Superior Court In both instances, MBRM Investigator Investigator asked him to sign it. Id. at criminal indictment of Respondent and stated, he notified Respondent of the 95–96. He testified that he signed it with his request for the surrender of investigation by phone, by letter, or by the assistance of Mr. Kelly, ‘‘the Respondent’s registration, and his both phone and letter. Id. at 152. attorney who’s representing . . . [him] acquisition of an official copy of the MBRM Investigator also testified in the indictment in Massachusetts,’’ Mass. Accepted Voluntary No-Practice during the Government’s rebuttal case that his Massachusetts medical license Agreement (GX 3). Tr. 34–40 and 41–43, that Respondent ‘‘would call and leave had not expired, and that the Mass. respectively. . . . messages’’ about the case, Accepted Voluntary No-Practice DI testified during the Government’s ‘‘continually . . . asking what he could Agreement ‘‘is non-disciplinary, there’s rebuttal case that he investigated do to speed the case along.’’ Id. at 152– no violation, so I guess it’s a tool that whether DEA had a record of 53. According to the MBRM Massachusetts has or a remedy until Respondent’s notification of the Mass. Investigator, Respondent’s calls they can further pursue . . . whatever Accepted Voluntary No-Practice occurred during the summer of 2016. Id. they have concerns about.’’ 7 Id. at 96– Agreement. Tr. 140. DI stated that he at 153. Respondent did not rebut this 97. checked DEA’s ‘‘permanent and running aspect of MBRM Investigator’s Respondent confirmed that there are database of any activity regarding any testimony. Id. at 154. ‘‘reporting requirements’’ associated registrants or any DEA registration.’’ Id. I agree with the Chief ALJ that MBRM with the Mass. Accepted Voluntary No- at 142. He also testified that he asked Investigator’s testimony was Practice Agreement and certified that he the registration specialist for ‘‘sufficiently detailed, internally fulfilled them. Id. at 97–98, 155–56. He Massachusetts, who is responsible for consistent, and plausible to be granted testified that he received a ‘‘return recording any communication from a full credibility,’’ except as to the receipt requested’’ green card from his registrant, whether DEA had received a plausibility of MBRM Investigator’s notification to DEA, but no actual communication from Respondent. Id. at interpretation of the legal effect of the notification of receipt from DEA. Id. at 143. Neither the check of the database Mass. Accepted Voluntary No-Practice 98–99.8 He also stated that he did not nor the check with the registration Agreement. RD, at 5. I agree with the have a ‘‘direct conversation’’ with specialist showed any communication Chief ALJ that MBRM Investigator anyone at DEA about his entering into from Respondent about the Mass. ‘‘presented as a credible, objective, the Mass. Accepted Voluntary No- Accepted Voluntary No-Practice dispassionate investigator without any Practice Agreement. Id. at 99. Agreement. Id. at 140–45. DI discernible incentive to fabricate or During cross-examination, acknowledged that Respondent could exaggerate.’’ Id. Respondent offered his perspective of have notified DEA after DI checked the the Mass. Accepted Voluntary No- database and spoke with the registration E. Respondent’s Case Practice Agreement. He testified that the specialist, and that the registration Respondent testified and called no ‘‘effect’’ of the document is ‘‘self- specialist’s check may not have been other witness. Tr. 81–82. contained in the words of the document thorough. Id. at 146–48. During his testimony, Respondent itself.’’ Id. at 110. He stated that, I agree with the Chief ALJ that DI’s recounted his pursuit of a career as a although he did not know whether testimony was ‘‘sufficiently detailed, physician since his childhood, Massachusetts was still investigating internally consistent, and plausible to discussed his medical licenses and him, he ‘‘assumed’’ that its investigation be granted full credibility’’ and that he primary care physician practices in ‘‘presented as a credible, objective, Indiana and Massachusetts, and 7 Stipulation No. 2, ‘‘From April 17, 2015 to May explained that the ‘‘immediate cause’’ of 11, 2015, the Respondent was incarcerated in dispassionate investigator without any Kentucky,’’ concerns Respondent’s having been discernible incentive to fabricate or his moving from Massachusetts to held in contempt and incarcerated in Kentucky in exaggerate.’’ RD, at 5. Indiana was his ‘‘enter[ing] into the connection with a divorce matter. ALJX 11, at 2. MBRM Investigator testified that he is voluntary agreement not to practice During cross-examination, Respondent admitted the lead MBRM investigator assigned to medicine’’ on February 5, 2016. Id. at that he responded in the negative to a question on the Massachusetts medical license renewal assess the information the MBRM 86–87, 88–93, and 93–95, respectively. application about whether he had been ‘‘charged received from DEA about Respondent, Respondent testified that he first with any criminal offense during this period?’’ Tr. that Respondent issued prescriptions found out from MBRM Investigator that 124–25. He also admitted to responding ‘‘no’’ to Massachusetts was investigating him on questions on the same application about whether when incarcerated in Kentucky, and any criminal offenses or charges against him had that the investigation remains open. Tr. been resolved during the time period, and whether 59, 77. MBRM Investigator testified 6 During cross-examination, MBRM Investigator any criminal charges were pending against him about the multiple oral and written responded ‘‘no’’ when Respondent’s counsel asked ‘‘today.’’ Tr. 125–26. Respondent explained that he if the Mass. Accepted Voluntary No-Practice answered ‘‘no’’ because the Kentucky matter was communications he had with Agreement is a suspension, revocation, resignation, about his divorce and not, in his understanding, Respondent, Respondent’s hiring an lapsing, or restriction on Respondent’s medical about a medical or criminal matter. Tr. 129. He attorney, Respondent’s signing the license, or if it is a ‘‘probationary agreement.’’ Tr. stated that ‘‘to think that contempt in my divorce Mass. Accepted Voluntary No-Practice 77–78. rose to a level of criminal activity, it didn’t quite In response to questions posed by the Chief ALJ, register like that. I mean, I’m sorry. It just didn’t.’’ Agreement, and Respondent’s continued MBRM Investigator stated his understanding that Id. ‘‘if you practice [medicine] during a voluntary, we 8 According to Respondent, he ‘‘possibly may,’’ oxycodone (6 counts), fentanyl (3 counts), and as the Board of Medicine could possibly summarily but does not ‘‘believe’’ that he still has the return methadone (3 counts). suspend you.’’ Tr. 80; see also GX 3, at 2. receipt card from the mailing to DEA. Tr. 115.

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was still open, more likely than not. Id. Regarding the Hampden County about that investigation.... Further, . . . In response to a question posed by the Superior Court criminal indictment, [Respondent’s] unwillingness to Chief ALJ, however, Respondent agreed Respondent confirmed that its acknowledge that benign responses to the that his signing the Mass. Accepted allegations stem ‘‘from that time . . . Liability Questions were less likely to raise concern did not enhance his credibility here. Voluntary No-Practice Agreement meant [he] was incarcerated.’’ Id. He testified The Respondent is an educated professional, that everything was ‘‘sort of’’ held in the that Mr. Kelly told him about the and irrespective of his view that his answers status quo. Id. at 134. He again indictment on Thursday morning, in the application were candid, his refusal to ‘‘assumed’’ that the hold was so MBRM , 2017, a couple days after accept the proposition that unremarkable could finish its investigation. Id. at 135. Respondent submitted the registration responses are generally more likely to result As Respondent continued to say ‘‘I don’t renewal. Id. at 100. He stated that he did in a favorable outcome in a DEA application know’’ and ‘‘I guess’’ about the status of not know that he had been indicted was a gratuitous depreciation of his overall the MBRM investigation, the Chief ALJ when he submitted the registration credibility. renewal. Id.; see also id. at 102–03 Moreover, the Respondent’s testimony that sought clarification, asking, ‘‘But your he forwarded a copy of the . . . [Mass. belief wasn’t that you were just going to (denying he received personal service of Accepted Voluntary No-Practice Agreement] stop practicing medicine forever. Your the indictment before he submitted the to DEA, but failed to keep a shred of belief was that until they sort this out, renewal application). paperwork memorializing that act, is you were in this status?’’ Id. Respondent Respondent testified that he never implausible. By the Respondent’s own answered, ‘‘Until, right, right, that they had a problem with his registration account, sending the Agreement to various would sort it.’’ Id. at 135–36. since he first received it in offices, including DEA, was a term of the The Chief ALJ then asked Respondent ‘‘approximately’’ 1996, and that he has Agreement.... That he would fail to keep ‘‘who is Daniel Kelly? Where does he had a ‘‘full unrestricted’’ medical any evidence of his compliance with that license since 1996. Id. at 100–01. He term, particularly after he expounded on the come into it?’’ Id. at 136. Respondent importance of such compliance as an integral replied that Mr. Kelly represented him stated that his registration and medical aspect of his profession, is simply not in the federal and local criminal matters licenses have ‘‘all been in good credible. Although much of the Respondent’s ‘‘from the beginning . . . so he was standing, unrestricted [in] full with all testimony is worthy of belief, in instances aware of—he knew the entire situation, states that I’ve ever held licenses in.’’ Id. where that testimony is at variance with I guess,’’ and that Respondent retained at 101. Respondent explained his other credible testimony, it must be viewed him ‘‘a year prior’’ to the indictment. Id. negative response to the third liability with heightened scrutiny.10 at 136–37. During this inquiry, the Chief question on the renewal application by RD, at 7–8 [citations and footnotes omitted]. ALJ suggested, and I agree, that testifying that ‘‘my license has not been F. Allegation That Respondent Respondent retained a criminal defense revoked, my license has not been Submitted a Materially False attorney because he knew that a suspended. They did not deny my Registration Renewal Application criminal investigation was pending. Id. license. I have my license. It’s currently preserved .... There’s no restriction As already discussed, the OSC Respondent stated his understanding charged Respondent with submitting a that the ‘‘or is any such action pending’’ on my license. It has not been placed on probation. So the answer is no.’’ Id. at renewal application containing two portion of the third liability question material false statements. The first did not call for him to answer yes, even 104. In addition, Respondent confirmed that he did not ‘‘consider whether the alleged material false statement though he assumed that Massachusetts concerns Liability Question No. 1 and was still investigating him. Id. at 111– Massachusetts voluntary agreement not to practice medicine, whether that Respondent’s negative response as to 12. When asked if he would have had whether he had ever been convicted of to answer ‘‘yes’’ if he knew about an should cause . . . [him] to answer ‘‘Yes’’ to that particular question.’’ Id. a crime in connection with controlled investigation by Massachusetts, he substances under state or federal law, answered yes, he should have answered Respondent testified that he ‘‘honestly believed when . . . [he] completed the ‘‘or [is] any such action pending.’’ OSC, ‘‘yes’’ if he were aware of a at 2. The second alleged material false Massachusetts investigation. Id. at 114– application that . . . [his] answers were 15. He elaborated by reiterating his view truthful, to the best of . . . [his] ability,’’ and that he had ‘‘no intent to deceive 10 The RD ‘‘found that Respondent’s testimony that the Mass. Accepted Voluntary No- was ‘convincingly contradicted’ by a Government Practice Agreement is a ‘‘tool’’ of the the DEA. There would be no purpose in witness, thus disputing the credibility of 9 MBRM. Id. at 112. He stated that it is that.’’ Id. at 104–05; see also id. at 109. Respondent’s testimony.’’ ALJX 31, at 9. I agree with the Chief ALJ’s analysis Respondent took exception to this portion of the ‘‘non-disciplinary’’ and that it is ‘‘not RD, arguing that the RD’s credibility determination restriction, probation, all of the things of the credibility of Respondent’s testimony. ‘‘is not supported by the cited record as Respondent that it has in there pertaining to the never made any such assertion.’’ Id. at 10. I reject question, and my understanding is it’s While the Respondent’s testimony was not Respondent’s exception. without some credible aspects, it was also First, although Respondent correctly to avoid any action.’’ Id. Further, on re- distinguishes between the words ‘‘discipline’’ and direct, Respondent testified that he not without some bases for reservation. In addition to the incontrovertible fact that as ‘‘investigations’’ in the transcript, he ignores the ‘‘answered the question [on the DEA the subject of these proceedings, the substance of MBRM Investigator’s testimony. Tr. application] honestly at that time . . . to 101, 151. MBRM Investigator clearly testified that Respondent has the most at stake, his he opened a ‘‘second docket’’ due to Respondent’s the best of my knowledge.’’ Id. at 130. unequivocal assertion that his state licensure ‘‘failure to answer the . . . [MBRM] during that first On re-cross, Respondent answered ‘‘no’’ has never been the subject of any case.’’ Id. at 152. I find that Respondent’s fully when asked whether he thought investigation since the commencement of his honest response to his counsel’s question of ‘‘And ‘‘putting all those ‘‘No’s’’ there, it was medical practice in 1996 was convincingly before all this started taking place, did you ever contradicted by . . . [MBRM Investigator], have any sort of medical state discipline?’’ would more likely that they were going to have included and disclosed the opening of the renew your certificate of registration.’’ who credibly testified that he investigated the Respondent regarding a patient complaint second docket due to Respondent’s failure to Id. at 133. He responded ‘‘not one way and failure to cooperate with that complaint, answer the MBRM during the first case. Id. at 101. or the other. I mean, they’re asking Second, as the Government points out, Respondent and that he telephonically informed him inaccurately suggests that the RD makes a ‘‘negative questions and then they will make a credibility determination based solely on determination based on the totality of 9 Respondent also testified that he would lose his Respondent’s failure to disclose two prior state everything.... [I]t’s up to them.’’ Id. job if he did not have a registration. Tr. 105. investigations.’’ ALJX 35, at 8.

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statement concerns Liability Question from clear, unequivocal, and convincing any such action pending?’’ 11 GX 2, at 2. No. 3 and Respondent’s negative evidence that the Mass. Accepted As already discussed, I find from clear, response as to whether he had ever Voluntary No-Practice Agreement is the unequivocal, and convincing evidence surrendered (for cause) or had a state reason Respondent is not permitted to that, at a minimum, the Mass. Accepted professional license revoked, practice medicine in Massachusetts. Voluntary No-Practice Agreement shows suspended, denied, restricted, or placed ALJX 11, at 2 (Stipulation No. 3); Tr. a pending action exists in Massachusetts on probation, or whether ‘‘any such 94–99. I find from clear, unequivocal, concerning Respondent by its explicit action [is] pending.’’ Id. and convincing evidence that the terms warning that ‘‘immediate summary suspension’’ of Respondent’s G. Liability Question No. 1 of the Mass. Accepted Voluntary No- Practice Agreement include Massachusetts medical license is a I find that Respondent answered ‘‘no’’ Respondent’s ‘‘immediate’’ cessation of possible result of ‘‘any violation of this to the first Liability Question on the the practice of medicine in Agreement.’’ 12 GX 3, at 2. registration application. GX 2, at 2; Massachusetts. GX 3, at 2. Based on Consequently, I find based on clear, ALJX 11, at 2 (Stipulation Nos. 7 and 8). clear, unequivocal, and convincing unequivocal, and convincing evidence, I find that the Hampden County evidence, I find that the Mass. Accepted that Respondent’s ‘‘no’’ answer to the Superior Court criminal indictment of 13 Voluntary No-Practice Agreement is a third Liability Question was false. For Respondent is dated January 26, 2017. clear indicator, and is part, of pending the same reasons, and based on the GX 5. I find that DI informed action by the MBRM regarding same clear, unequivocal, and Respondent’s attorney about the convincing evidence, I also find that Hampden County Superior Court Respondent’s Massachusetts medical license. For example, the top of the first Respondent knew, or should have criminal indictment on February 6, known, that his answer to the third 2017. Tr. 34–40. Even if the Hampden page of the Mass. Accepted Voluntary No-Practice Agreement is captioned ‘‘In Liability Question was false. Further, for County Superior Court criminal the same reasons and based on the same indictment is a precursor ‘‘action the Matter of’’ Respondent and shows a docket number starting with the year. evidence in conjunction with the pending’’ to a possible criminal credibility determinations I already conviction in connection with Id. The second paragraph clearly states that the Mass. Accepted Voluntary No- made, I find that Respondent falsified controlled substances under state or his answer to the third Liability federal law, I find that there is Practice Agreement ‘‘will remain in effect’’ until the MBRM modifies it, Question to help ensure DEA’s favorable insufficient evidence in the record that action on his application and, therefore, Respondent, himself, as opposed to his terminates it, ‘‘takes other action against . . . [Respondent’s] license to practice that Respondent’s falsification indicates attorney, knew about the Hampden an intent to deceive.14 County Superior Court criminal medicine,’’ or ‘‘takes final action on the indictment on or before February 7, above-referenced matter.’’ Id. The sixth III. Discussion paragraph of the Mass. Accepted 2017. I, thus find that the evidence the A. The Controlled Substances Act and Voluntary No-Practice Agreement warns Government submitted does not the OSC Allegations establish that Respondent’s ‘‘no’’ that ‘‘[a]ny violation of this Agreement response to the first Liability Question shall be prima facie evidence for Pursuant to section 303(f) of the was false, let alone materially false, immediate summary suspension of my Controlled Substances Act (hereinafter, when he submitted his renewal license to practice medicine.’’ Id. [italics CSA), ‘‘[t]he Attorney General shall application to DEA on February 7, 2017. added]. The last page of the Mass. register practitioners . . . to dispense Accepted Voluntary No-Practice . . . controlled substances . . . if the H. Liability Question No. 3 Agreement contains the dates on which applicant is authorized to dispense . . . I find from clear, unequivocal, and the MBRM ‘‘accepted’’ and ‘‘ratified,’’ convincing evidence that Respondent by vote of the MBRM, the Agreement. 11 I need not address Respondent’s argument that answered ‘‘no’’ to the third Liability his signing the Mass. Accepted Voluntary No- GX 3, at 3. These terms and provisions Practice Agreement was not a ‘‘for cause’’ surrender Question on the registration application. leave no room for doubt that the Mass. because my Decision is not based on that aspect of ALJX 11, at 2 (Stipulation Nos. 6 and 8); Accepted Voluntary No-Practice Liability Question No. 3. GX 2, at 2. I find from clear, Agreement evidences, and is part of, 12 Respondent’s argument that he is still subject unequivocal, and convincing evidence to an open investigation may also be true. ALJX 30 pending action by the MBRM regarding (Respondent’s Proposed Findings of Fact and that Respondent and his attorney signed Respondent’s medical license. Indeed, I Conclusions of Law, dated Sept. 21, 2017), at 11. the Mass. Accepted Voluntary No- find from clear, unequivocal, and I need not address Respondent’s argument that an Practice Agreement on February 5, 2016. convincing evidence that the Mass. investigation is not a ‘‘pending action.’’ Id. at 12– GX 3, at 3. I find from clear, 13. As already explained, the Mass. Accepted Accepted Voluntary No-Practice Voluntary No-Practice Agreement makes clear on its unequivocal, and convincing evidence Agreement envisions the possibility that face that the MBRM has a pending action that the MBRM ‘‘accepted’’ and it could be used as prima facie evidence concerning Respondent, and I find unavailing all of ‘‘ratified’’ the Mass. Accepted Voluntary for the ‘‘immediate summary Respondent’s arguments to the contrary. See, e.g., No-Practice Agreement on February 5, ALJX 31, at 4–6. suspension’’ of Respondent’s 13 2016 and , 2016, For the same reasons, I conclude that Massachusetts medical license. GX 3, at Respondent’s arguments that he ‘‘still maintains his respectively. Id. 2. license,’’ that he did not surrender it, are misplaced I find from clear, unequivocal, and and legally irrelevant. convincing evidence that the Mass. In sum, I find from clear, unequivocal, 14 Proof of intent to deceive has never been, and Accepted Voluntary No-Practice and convincing evidence that the third is not, a required element of a material falsification Agreement resulted from the MBRM Liability Question on the application under 21 U.S.C. 824(a)(1). Indeed, at its essence, Respondent submitted to DEA asks intent to deceive conflicts with Agency decisions’ investigation of the tip DEA received, long-standing material falsification determinations that the Mass. Accepted Voluntary No- whether the applicant ever surrendered of whether the applicant ‘‘knew or should have Practice Agreement is still in effect, and (for cause) or had a state professional known’’ that the application was false. Some past that the MBRM investigation was open license or controlled substance Agency material falsification decisions address an registration revoked, suspended, denied, intent to deceive in determining the appropriate at least through the date of the DEA sanction for a material falsification, as do I. See administrative hearing. Tr. 76–77. I find restricted, or placed on probation, ‘‘or is infra note 32.

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controlled substances under the laws of whether to grant or deny an application affect the decision); see also ALJX 30 the State in which he practices.’’ 21 under section 303. See Richard J. (Respondent’s Proposed Findings of U.S.C. 823(f). Section 303(f) further Settles, D.O., 81 FR 64,940, 64,945 Fact and Conclusions of Law, dated provides that an application for a (2016); Arthur H. Bell, D.O., 80 FR Sept. 21, 2017), at 14; Universal Health practitioner’s registration may be denied 50,035, 50,037 (2015); The Lawsons, Servs., Inc. v. United States ex rel. upon a determination that ‘‘the issuance Inc., t/a The Medicine Shoppe Escobar, 136 S. Ct. 1989, 2003 (2016) of such registration . . . would be Pharmacy, 72 FR 74,334, 74,338 (2007); (hereinafter, Escobar) (stating that inconsistent with the public interest.’’ Samuel S. Jackson, D.D.S., 72 FR ‘‘[u]nder any understanding of the Id. In making the public interest 23,848, 23,852 (2007); Alan R. concept, materiality ‘look[s] to the effect determination, the CSA requires me to Schankman, M.D., 63 FR 45,260, 45,260 on the likely or actual behavior of the consider the following factors: (1998); Kuen H. Chen, M.D., 58 FR recipient of the alleged (1) The recommendation of the 65,401, 65,402 (1993).15 misrepresentation.’’’); Maslenjak v. appropriate State licensing board or The Government has the burden of United States, 137 S. Ct. 1918, 1928 professional disciplinary authority. proof in this proceeding. 21 CFR (2017) (concluding that when ‘‘there is (2) The applicant’s experience in 1301.44. an obvious causal link between the . . . dispensing . . . controlled substances. As already discussed, Respondent lie and . . . [the] procurement of (3) The applicant’s conviction record submitted a registration renewal citizenship,’’ the facts ‘‘misrepresented under Federal or State laws relating to application containing a false answer to are themselves disqualifying’’ and I the manufacture, distribution, or the question of whether he ‘‘ever ‘‘can make quick work of that inquiry’’). dispensing of controlled substances. surrendered (for cause) or had a state Respondent’s provision of false (4) Compliance with applicable State, professional license . . . revoked, information deprived me of the ability Federal, or local laws relating to suspended, denied, restricted, or placed to carry out my statutorily mandated controlled substances. on probation, or is any such action five-factor analysis concerning the (5) Such other conduct which may pending?’’ The Supreme Court registration of practitioners. 21 U.S.C. threaten the public health and safety. explained decades ago that ‘‘the 823(f). In other words, there is no doubt ultimate finding of materiality turns on that Respondent’s falsity was Id. an interpretation of substantive law.’’ ‘‘These factors are . . . considered in ‘‘predictably capable of affecting, i.e., Kungys v. United States, 485 U.S. 759, had a natural tendency to affect, the the disjunctive.’’ Robert A. Leslie, M.D., 772 (1988) (citing a Sixth Circuit case 68 FR 15,227, 15,230 (2003). I ‘‘may rely official decision’’ the CSA instructs me involving 18 U.S.C. 1001 and explaining to make. Kungys, 485 U.S. at 771. on any one or a combination of factors that, even though the instant case and may give each factor the weight [I] concerned 8 U.S.C. 1451(a), ‘‘we see no The facts in this case clearly deem[ ] appropriate in determining reason not to follow what has been done demonstrate the connection between whether . . . an application for with the materiality requirement under one liability question and three of registration [should be] denied.’’ Id. other statutes dealing with section 303(f)’s five factors. Infra note Moreover, while I am required to misrepresentations to public officers’’). 30. The first section 303(f) factor is the consider each of the factors, I ‘‘need not The Supreme Court also clarified that a ‘‘recommendation of the appropriate make explicit findings as to each one,’’ falsity is material if it is ‘‘predictably State licensing board or professional and I ‘‘can ‘give each factor the weight capable of affecting, i.e., had a natural disciplinary authority.’’ 21 U.S.C. . . . [I] determine[ ] is appropriate.’ ’’ tendency to affect, the official decision.’’ 823(f)(1). In this case, the MBRM MacKay v. Drug Enf’t Admin., 664 F.3d Id. at 771. accepted and ratified Respondent’s 808, 816 (10th Cir. 2011) (quoting In this case, application of the Mass. Accepted Voluntary No-Practice Volkman v. Drug Enf’t Admin., 567 F.3d Supreme Court’s materiality analysis, in Agreement on February 5 and 11, 2016, 215, 222 (6th Cir. 2009) quoting Hoxie the context of the CSA, means that respectively. GX 3, at 2. As already v. Drug Enf’t Admin., 419 F.3d 477, 482 Respondent’s false submission was discussed, pursuant to Respondent’s (6th Cir. 2005)). In other words, the material. Id. Indeed, the falsity Mass. Accepted Voluntary No-Practice public interest determination ‘‘is not a Respondent submitted in his renewal Agreement, as accepted and ratified by contest in which score is kept; the application relates to three of section the MBRM, Respondent admits that his Agency is not required to mechanically 303(f)’s five factors, which provide the Massachusetts medical license no longer count up the factors and determine how bases for my determination of whether permits him to practice medicine; many favor the Government and how an application is inconsistent with the Respondent’s state professional license many favor the registrant. Rather, it is public interest. 21 U.S.C. 823(f); see JM is restricted to a practical nullity. Tr. 89, an inquiry which focuses on protecting Pharmacy Group, Inc., d/b/a Farmacia 93. Further, as already discussed, the the public interest; what matters is the Nueva and Best Pharma Corp., 80 FR second paragraph of the Mass. Accepted seriousness of the registrant’s 28,667, 28,681 (2015) (stating that a Voluntary No-Practice Agreement misconduct.’’ Peter A. Ahles, M.D., 71 falsity must be analyzed in the context explicitly states that the ‘‘Matter’’ of FR 50,097, 50,098–99 (2006). of the application requirements sought Respondent’s Mass. Accepted Voluntary Pursuant to section 304(a)(1), the by DEA and provided by the applicant, No-Practice Agreement, Docket No. 16– Attorney General is also authorized to and must relate to a ground that could 033, remains pending before the MBRM. suspend or revoke a registration ‘‘upon GX 3, at 2 (‘‘This Agreement will remain a finding that the registrant . . . has 15 Just as materially falsifying an application in effect until the . . . [MBRM] materially falsified any application filed provides a basis for revoking an existing registration determines that this . . . [Mass. without proof of any other misconduct, see 21 pursuant to or required by this U.S.C. 824(a)(1), it also provides an independent Accepted Voluntary No-Practice subchapter.’’ 21 U.S.C. 824(a)(1). It is and adequate ground for denying an application. Agreement] should be modified or well established that the various Richard J. Settles, D.O., 81 FR at 64,945; Arthur H. terminated; or until the . . . [MBRM] grounds for revocation or suspension of Bell, D.O., 80 FR at 50,037; The Lawsons, Inc., t/ takes other action against . . . a The Medicine Shoppe Pharmacy, 72 FR at 74,338; an existing registration that Congress Bobby Watts, M.D., 58 FR 46,995, 46,995 (1993); [Respondent’s] license to practice enumerated in this section are also Shannon L. Gallentine, D.P.M., 76 FR 45,864, medicine; or until the . . . [MBRM] properly considered in deciding 45,865 (2011). takes final action on the above-

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referenced matter.’’). In addition, also of the alleged misrepresentation.’’’). federal fraud statutes’’ and to the already discussed, a clear indication of Consequently, I must find, based on the common law.17 It connects its the significance of the Mass. Accepted CSA and the analysis underlying discussion of federal fraud statutes with Voluntary No-Practice Agreement is the multiple Supreme Court decisions the common law by stating that the document’s sixth paragraph that ‘‘[a]ny involving materiality, that the falsity ‘‘common law could not have conceived violation . . . shall be prima facie Respondent submitted was material.16 of ‘fraud’ without proof of materiality.’’ evidence for immediate summary Escobar, 136 S. Ct. at 2002 (citing Neder B. Respondent’s Arguments and suspension’’ of Respondent’s medical v. United States, 527 U.S. 1, 22 (1999). Exceptions license. Id. [italics added]. Thus, It emphasizes the similarity of the Respondent’s false submission Respondent posited many arguments definitions of ‘‘materiality’’ in the False implicates the first factor that I am during the administrative hearing and in Claims Act and in the common law by statutorily mandated to consider. John exceptions to the RD. Some have stating that ‘‘[w]e need not decide’’ O. Dimowo, M.D., 85 FR 15,800, 15,809– already been addressed. Others are whether the False Claims Act’s 10 (2020). addressed below. ‘‘materiality requirement is governed by The second section 303(f) factor is the Respondent argues that a recent . . . [the False Claims Act] or derived ‘‘applicant’s experience in dispensing Supreme Court decision’s treatment of directly from the common law.’’ . . . controlled substances.’’ 21 U.S.C. ‘‘materiality’’ in a False Claims Act case Escobar, 136 S. Ct. at 2002. Thus, 823(f)(2). I already found that DEA and is ‘‘particularly unfavorable to the Respondent’s invitation that I apply the Massachusetts law enforcement were Government’s attempt to prove Supreme Court’s Escobar analysis of the investigating an allegation that materiality in light of DEA’s informed False Claims Act to the CSA more Respondent unlawfully issued inaction.’’ ALJX 30, at 16 (citing broadly than only to the definition of controlled substance prescriptions when Escobar). According to Respondent, ‘‘materiality’’ goes beyond the clear he was incarcerated in Kentucky. Tr. ‘‘[i]n terms of . . . [False Claims Act] boundaries of Escobar and is without 20–40. Further, the unrefuted record liability, the [Supreme] Court held that merit.18 As the RD states, ‘‘Whether the testimony is that Respondent entered evidence that the government knew into the Mass. Accepted Voluntary No- about an alleged regulatory violation 17 It explicitly mentions mail, bank, and wire Practice Agreement after multiple that caused a claim submitted to the fraud statutes, Neder v. United States, 527 U.S. 1 interactions with the MBRM government to be false yet continued to (1999), and fraudulent statements to immigration officials, Kungys v. United States, 485 U.S. 759 Investigator regarding this allegation. Id. pay those claims was ‘very strong (1988). Escobar, 136 S. Ct. at 2002. at 93–97, 155–56; GX 5. The fact that evidence’ that the underlying conduct 18 Likewise, in conjunction with the Court’s this unrefuted record evidence includes was not material.’’ Id. at 17. Since the statement in Maslenjak, the Court’s more recent unproven allegations does not change Supreme Court ‘‘utilized the same naturalization decision, that the naturalization definition of ‘material’ set forth by the process ‘‘is set up to provide little or no room for the salient point. The CSA requires me subjective preferences,’’ I note that the CSA differs to consider Respondent’s experience in [Supreme] Court in Kungys,’’ from the naturalization process in that respect. dispensing controlled substances. Respondent argues, the Government Maslenjak, 137 S. Ct. at 1928 (concluding that ‘‘the Respondent’s alleged controlled ‘‘cannot prevail in light of its inaction question of what any individual decisionmaker despite knowledge of the alleged past might have done with accurate information is substance dispensing while incarcerated beside the point’’ because the ‘‘entire system . . . in Kentucky, which irrefutably led to conduct underlying the indictment.’’ Id. is set up to provide little or no room for subjective the Mass. Accepted Voluntary No- The RD rejects this argument, as do I. preferences’’). While the CSA establishes Practice Agreement, implicates this RD, at 16–17. parameters for issuing and terminating registrations, CSA-mandated factor regardless of the First, Respondent’s reasoning, based the final registration-related decision, such as on the appearance of the same root granting or denying a registration, and continuing, weight, if any, I give it. The falsity suspending, or revoking a registration, is left to the Respondent submitted in his word, ‘‘material,’’ for applying Escobar’s reviewable discretion of the Attorney General. 21 application deprived me of information False Claims Act analysis to the CSA is U.S.C. 823 and 824 (using the word ‘‘may’’ in potentially relevant to factor two, and, not convincing. The Supreme Court in provisions to confer discretion on the Attorney Escobar ties its analysis to ‘‘other General regarding the granting, denying, therefore, I was unable to carry out my continuing, suspending, and revoking of CSA-mandated responsibilities. practitioner registrations). The difference between The analysis of the same unrefuted 16 As the parties stipulated, Respondent’s false the objective naturalization process and the record evidence under factor four submission to DEA appeared in the registration discretionary CSA process, however, does not renewal application he submitted on February 7, detract from the usefulness of the Supreme Court’s (compliance with applicable state, 2017. ALJX 11, at 2 (Joint Stipulation No. 5), supra decisions on the meaning of ‘‘materially falsified’’ federal, and local laws relating to note 1. That renewal application was granted. under section 304(a)(1). controlled substances) leads to the same Subsequently, DEA identified the falsity and issued Although the existence of a factor in 823(f) is not, conclusion. Respondent’s submission of the OSC seeking revocation based of 21 U.S.C. in and of itself, disqualifying as a fact could be in 824(a)(1). a falsified application deprived me of the naturalization process, the CSA states clearly The liability questions implicate the public that ‘‘in determining the public interest, the information potentially relevant to interest factors of 21 U.S.C. 823(f). Infra note 30. A following factors shall be considered.’’ 21 U.S.C. factor four, and, therefore, I was unable false response to a liability question is, by 823(f) (emphasis added). Depriving me of accurate to carry out my CSA-mandated definition, therefore, always ‘‘material’’ and always information that I am statutorily required to responsibilities. a reason why I may deny an initial or subsequent consider interferes with my responsibility to application under section 303(f). According to the consider the public interest factors. The clear intent In sum, the falsity Respondent terms of section 303(f), my ultimate decision of of the CSA is that applicants and registrants shall submitted relates to three of section whether to deny such a materially false application provide me with accurate information for my 303(f)’s five factors. Based on an shall be based on my determination of whether analysis under section 303, and that a falsification analysis of the CSA, Respondent’s ‘‘issuance of such registration or modification of any information concerning a section 303 factor would be consistent with the public interest’’ as thwarts my ability to assess the public interest as falsity directly implicates my statutorily determined by my consideration of that section’s the CSA requires me to do, and is therefore mandated analysis and decision by five factors. necessarily material to my decision on the depriving me of legally relevant facts. When, however, as here, the Agency does not application. In light of the discretion afforded me Escobar, 136 S. Ct. at 2002 (‘‘Under any identify the material falsity until after the in the CSA, it would make little sense to impose registration or modification is granted, the a ‘‘but for’’ test or even a ‘‘more likely than not’’ understanding of the concept, determination of the appropriate sanction, if any, is test on the effect of a false statement. After all, I materiality ‘look[s] to the effect on the based on the relevant facts and circumstances. 21 cannot analyze the five factors without accurate likely or actual behavior of the recipient U.S.C. 824(a)(1). information.

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Government decides to pay a [contract] absolute discretion.’’ Heckler v. Chaney, discovered by accident). This decision claim despite knowledge that certain 470 U.S. 821, 831 (1985); see also 5 and others interpreting section 304(a)(1) conditions of payment are not satisfied U.S.C. 701(a) and Heckler v. Chaney, concluded that the submission of simply does not implicate the same 470 U.S. at 831–32 (discussing reasons falsified applications is a serious offense considerations as the decision of the why there is generally no judicial that cannot be tolerated because it Government to delay (or even to forgo) review of agency decisions not to renders the Agency ‘‘unable to bringing . . . [a CSA] action against a enforce). meaningfully pass on the fitness of the . . . [registrant] despite knowledge of Fourth, Agency decisions have applicant.’’ Id.; see also Carl E. Darby, alleged conduct which could support a addressed section 304(a)(1), including M.D., 53 FR 51,330, 51,331 (1988); sanction.’’ RD, at 16–17. I reject the meaning of ‘‘materially,’’ on Ronald H. Futch, M.D., 53 FR 38,990, Respondent’s invitation to equate the multiple past occasions. Relying on 38,991 (1988). The questions on the CSA with the False Claims Act. I agree those interpretations of the CSA, as registration application ‘‘serve a with the RD that these two statutes opposed to taking the novel approach purpose which cannot be overlooked by share no commonality that would that Respondent proposes, is important the Administrator’’ and, had the legally support, let alone require, such to the Agency’s mission.20 applicant submitted accurate responses, a correlation. An Agency decision from 1986 noted ‘‘an investigation could have taken Second, Respondent’s argument takes that the Agency ‘‘processes thousands of place.’’ Ezzat E. Majd Pour, M.D., 55 FR Escobar beyond the parameters of the practitioner registrations each year’’ and 47,547, 47,548 (1990) (finding finalized Supreme Court’s opinion. Respondent that there is ‘‘no feasible method . . . or pending medical license revocation/ argues that the Government ‘‘cannot [for the Agency] to make an suspension proceedings in three states prevail in light of its inaction, despite investigation into the accuracy of each even though applicant provided a ‘‘no’’ knowledge of the alleged past conduct application submitted.’’ William M. answer to the relevant liability question underlying the indictment.’’ ALJX 30, at Knarr, D.O., 51 FR 2772, 2773 (1986) on the application). In carrying out its 17 [emphasis added]. The Supreme (noting that the falsifications were statutory mission to authorize the Court, however, merely warned that ‘‘if dispensing of controlled substances in 20 the Government pays a particular claim To the extent that Agency decisions contain the public interest, the Agency must be in full despite its actual knowledge that differences in their interpretations or applications of 21 U.S.C. 824(a)(1), I note F.C.C. v. Fox able to rely on the truthfulness of certain requirements were violated, that Television Stations, Inc., 556 U.S. 502 (2009). In applicants’ submissions. Anne D. is very strong evidence that those that case, the Supreme Court acknowledged that DeBlanco, M.D., 62 FR 36,844, 36,845 requirements are not material.’’ Escobar, administrative agency adjudications change course (1997) (‘‘Since DEA must rely on the 136 S. Ct. at 2003 [emphasis added]. and addressed how an agency may do so and continue to pass muster on appellate review under truthfulness of information supplied by Respondent’s argument that the the Administrative Procedure Act (hereinafter, applicants in registering them to handle Government ‘‘cannot prevail in light of APA). First, the Supreme Court pointed out that the controlled substances, falsification its [prior] inaction’’ against Respondent, APA does not mention a heightened standard of review for agency adjudication course adjustments. cannot be tolerated.’’); Leonel Tano, is not only inapposite, it also carries the M.D., 62 FR 22,968, 22,972 (1997) Escobar decision beyond the Court’s Id. at 514. Instead, it stated that the narrow and deferential standard of review of agency (same); Linwood T. Townsend, D.D.S., clear terms that inaction is ‘‘very strong adjudications set out in 5 U.S.C. 706 continues to 59 FR 32,224, 32,225 (1994) (same); evidence,’’ but not dispositive. apply. Id. at 513–14 (concluding that ‘‘our opinion Bobby Watts, M.D., 58 FR 46,995, 46,995 Third, Respondent’s argument in State Farm neither held nor implied that every (1993) (same); Carl E. Darby, M.D., 53 incorrectly assumes that no crime or agency action representing a policy change must be justified by reasons more substantial than those FR at 51,331 (same); Ronald H. Futch, violation has occurred unless law required to adopt a policy in the first instance.’’). M.D., 53 FR at 38,991 (same); William enforcement has initiated a criminal Second, according to the Supreme Court, an M. Knarr, D.O., 51 FR at 2773 prosecution or a civil or administrative agency would ‘‘ordinarily display awareness that it (concluding that the Agency ‘‘must rely enforcement action. According to is changing position’’ and it may not ‘‘depart from on the truthfulness of every applicant’’). Respondent, ‘‘[i]f [Respondent’s] alleged a prior policy sub silentio or simply disregard rules that are still on the books.’’ Id. at 515. Further, an In the late 1990s, the Agency past conduct were material, DEA could agency must ‘‘show that there are good reasons for have brought an order to show cause the new policy’’ but need not ‘‘demonstrate to a elaborated on its earlier decisions and against . . . [him] based on this conduct court’s satisfaction that the reasons for the new distinguished between finding the at some point over the last two years. policy are better than the reasons for the old one; existence of a material falsification and it suffices that the new policy is permissible under determining the appropriate sanction. Instead, DEA has allowed . . . the statute, that there are good reasons for it, and [Respondent] to maintain his COR.’’ that the agency believes it to be better.’’ Id. Martha Hernandez, M.D. (hereinafter, ALJX 30, at 17. Respondent’s position is (emphases in original). Finally, the Supreme Court Hernandez) repeated the observation untenable. had warned in an earlier decision that an ‘‘irrational from earlier Agency decisions that ‘‘the departure’’ from agency policy, ‘‘as opposed to an Respondent knew, or should have Section 304 of the CSA states that the avowed alteration of it,’’ could be overturned as Attorney General ‘‘may’’ revoke or arbitrary and capricious, or an abuse of discretion. known, that his DEA registration had suspend a registration. 21 U.S.C. 824(a). I.N.S. v. Yueh-Shaio Yang, 519 U.S. 26, 32 (1996). been revoked.’’ 62 FR 61,145, 61,146 The discretion the CSA affords the Thus, while my analysis of Agency decisions’ (1997) (citing Bobby Watts, M.D., 58 FR Attorney General regarding his legal interpretations over time of ‘‘materially at 46,995 and Herbert J. Robinson, M.D., falsified’’ shows substantial uniformity, I note a few 59 FR 6304, 6304 (1994)). Hernandez, initiation of a revocation or suspension instances of an arguable degree of departure. The enforcement action is unfettered.19 departure may be attributable to particular or though, characterized this observation According to the Supreme Court, in unusual facts, to my predecessor’s perspective on as a necessary part of the analysis of the situations such as the one presented by the degree of transparency or candor required in the existence of a material falsification. specific interaction with the Agency at issue, or the According to Hernandez, again the CSA, ‘‘an agency’s decision not to like. While my legal analysis of the CSA’s provision prosecute or enforce, whether through addressing material falsification may not be the referencing Bobby Watts, M.D. and civil or criminal process, is a decision agency adjudication course adjustment the Supreme Herbert J. Robinson, M.D., ‘‘DEA has generally committed to an agency’s Court contemplated in Fox Television, I am previously held that in finding that following the Court’s Fox Television parameters as there has been a material falsification of I carry out my CSA-related responsibilities. The 19 Section 304(a)(1–5) lists grounds for ramifications of my doing so include increasing an application, it must be determined suspension or revocation of a registration. transparency and facilitating any appellate review. that the applicant knew or should have

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known that the response given to the applications.’’ Id. Nevertheless, the the application of 21 U.S.C. 824(a)(1).23 liability question was false.’’ 62 FR at decision finds ‘‘significant’’ that, prior For example, in 2005, the Agency 61,146. The Agency then ‘‘conclude[d] to the issuance of the OSC, the confirmed the ‘‘knew or should have that there is no question that . . . Hernandez respondent ‘‘answered a known’’ determination for whether [respondent] materially falsified two of similar liability question correctly on there had been a ‘‘material falsification’’ her applications for DEA registration’’ her . . . Illinois application . . . after and the consideration of all the facts and stated that this was ‘‘extremely discussing the matter with an Illinois and circumstances in determining the troubling since DEA relies on accurate official.’’ Id. The decision notes that the appropriate sanction. Felix K. Prakasam, information being submitted by its Illinois Department of Professional M.D., 70 FR 33,203, 33,205–06 (2005). applicants.’’ 21 Id. at 61,148. Regulation ‘‘has seen fit to allow . . . When faced with a respondent whose Admitting to the inaccuracy of the [her] to continue to practice medicine as ‘‘explanations for the misstatements and answers on her DEA application, the long as she continues to repay her his continued insistence that his Hernandez respondent argued that she loan.’’ Id. Thus, the decision concludes, answers were correct are disingenuous submitted no ‘‘materially’’ false the state medical boards’ handling of the at best,’’ the Agency bluntly stated that statement, that she had no intent to Hernandez respondent’s student loan respondent’s answers were not accurate. deceive or mislead DEA, that her repayment challenges was ‘‘relevant, Id. The Agency then stated clearly what underlying misconduct was not related although not dispositive, in determining it had introduced in a 1993 decision— to controlled substances, and that she the appropriate sanction.’’ Id. After its ‘‘concern regarding Respondent’s on- responded correctly to similar questions considering all of the facts and going refusal or inability to on a state application after someone circumstances, the decision concludes acknowledge a registrant’s explained the proper way to interpret that ‘‘revocation would be too severe a responsibility to provide forthright and the application question. Id. at 61,146. sanction given the facts and complete information to DEA, when The Agency did not fully embrace her circumstances of this case.’’ Id. at required to do so as a matter of law or arguments. In addition to concluding 61,148. Instead, it reprimands the regulation. This attitude . . . does not that the falsifications were material, Hernandez respondent ‘‘for her failure auger well for his future compliance Hernandez made clear that a to properly complete her applications with the responsibilities of a misinterpretation of the application for registration,’’ and required her, for registrant.’’ 24 Id. Thus, the Agency does ‘‘not relieve [respondent] . . . of three years, ‘‘to submit to the DEA revoked respondent’s registrations based her responsibility to carefully read the ..., on an annual basis, on a finding of a violation of 21 U.S.C. question and to honestly answer all documentation from . . . [the] medical 824(a)(1) and respondent’s lack of parts of the question.’’ Id. at 61,147. licensing authorities certifying that her legally mandated forthrightness and While the decision may be interpreted medical licenses remain in good transparency. Id. to agree with the Hernandez respondent standing . . . and that there is no The Agency continued to develop the that she did not intend to deceive DEA, impediment to her handling controlled Felix K. Prakasam, M.D. forthrightness the decision states that ‘‘negligence and substances at the state level.’’ Id. carelessness in completing an 23 See, e.g., Theodore Neujahr, D.V.M., 64 FR application could be a sufficient reason Some Agency decisions incorporate 72,362 (1999) (noting Hernandez and the ‘‘knew or to revoke a registration.’’ Id. Regarding both pre-Hernandez and Hernandez should have known’’ test to determine materiality); analyses.22 Other Agency decisions KK Pharmacy, 64 FR 49,507 (1999) (same); Saihb S. the Hernandez respondent’s argument Halil, M.D., 64 FR 33,319 (1999) (reiterating that the that the falsification did not involve apply the material falsification application signatory is responsible for the controlled substances, the Agency elaborations and distinctions articulated truthfulness of the application’s contents, even if he in Hernandez, and continue developing did not personally complete it, and relying on the agreed with the Government that it had ‘‘knew or should have known’’ determination, no ‘‘in fact revoked registrations in the past state authority, and admitted lack of knowledge of based upon the material falsification of 22 See, e.g., VI Pharmacy, Rushdi Z. Salem, 69 FR controlled substance regulations to revoke the an application that was not related to 5584 (2004) (invoking the ‘‘knew or should have registration); Anthony D. Funches, 64 FR 14,267 known’’ determination, stating that falsification (1999) (finding a material falsification not based on the mishandling of controlled cannot be tolerated since DEA must rely on the intentional or negligent behavior, and granting the substances.’’ Id. at 61,148 (citing Ezzat truthfulness of the information supplied by distributor registration subject to applicant’s E. Majd Pour, M.D.). applicants in registering them, and evaluating the acceptance of inspection concessions); John J. Hernandez, then, drew the distinction ‘‘totality of the circumstances’’ in determining the Cienki, M.D., 63 FR 52,293 (1998) (reiterating that appropriate sanction); Thomas G. Easter II, M.D., 69 the applicant ‘‘knew or should have known’’ about between finding a material falsification FR 5579 (2004) (citing Barry H. Brooks, M.D. the falsity of the response for a material falsification and the next inquiry—whether concerning the ‘‘knew or should have known’’ to exist); Samuel Arnold, D.D.S., 63 FR 8687 (1998) ‘‘revocation is the appropriate sanction determination, reiterating that answers to liability (stating that the applicant ‘‘knew or should have in light of the facts and circumstances questions are always material because DEA relies known’’ about the falsity of the response for there on them to determine whether it is necessary to to be a material falsification, and that a of this case.’’ Id. The decision appears investigate the application, stating that falsification consideration of all the facts and circumstances of to credit as ‘‘credible,’’ while also cannot be tolerated since DEA must rely on the the case determines the appropriate remedy when stating it is ‘‘clearly an incorrect truthfulness of the information supplied by a material falsification exists); Richard S. Wagner, interpretation,’’ the Hernandez applicants in registering them, and evaluating the M.D., 63 FR 6771 (1998) (applying the ‘‘knew or ‘‘totality of the circumstances’’ in determining the should have known’’ determination, concluding respondent’s explanation for the falsity. appropriate sanction); Barry H. Brooks, M.D., 66 FR that intent to deceive does not limit the sanction of Id. Further, the decision calls 18,305 (2001) (recounting testimony explaining revocation, and highlighting the extreme ‘‘troubl[ing]’’ the Hernandez how DEA uses the liability questions to evaluate importance of truthful answers since they alert DEA respondent’s ‘‘carelessness in failing to applications, noting the ‘‘knew or should have as to whether further investigation is necessary). known’’ determination, rejecting the argument that 24 In Kuen H. Chen, M.D., the Agency carefully read the question on the the omission of relevant information from an characterized, and adopted in its entirety, the application is not material if DEA already knows it, Administrative Law Judge’s recommendation. 58 FR 21 The falsifications in that case related to the reiterating that answers to liability questions are 65,401 (1993). It did not attach the doctor’s inability to repay her student loan. The always material because DEA relies on them to recommendation. The recommendation, as repayment issue had ramifications for her medical determine whether it is necessary to investigate the described in the Agency decision, found that licenses in Illinois and Indiana. The Hernandez application, asserting that falsification cannot be respondent’s ‘‘cavalier attitude toward the respondent admitted that her responses to the tolerated, and evaluating the ‘‘totality of the importance of accurately executing the application application’s liability questions were incorrect. 62 circumstances’’ in determining the appropriate suggests a lack of concern for the responsibilities FR at 61,146. sanction). inherent in a DEA registration.’’ Id. at 65,402.

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and transparency analysis for 21 U.S.C. original]. According to the Court, the the discretion afforded under section 824(a)(1) in Peter A. Ahles, M.D. materiality test ‘‘must be met, of course, 303(f) (‘‘may deny an application’’ According to that decision, ‘‘it is clear’’ by evidence that is clear, unequivocal, emphasis added) regarding whether to and ‘‘indisputable’’ that respondent and convincing.’’ Id. at 772. deny a registration application or materially falsified his application by Thus, following the Supreme Court, I modification. In addition, my analysis not disclosing that California placed his conclude that the falsification of any of and conclusion that this Respondent medical license on probation three the liability questions is ‘‘material’’ submitted a materially false renewal times. 71 FR at 50,098. After finding under 21 U.S.C. 824(a)(1). My application are in line with the weight that respondent materially falsified his conclusion flows directly from the fact of past Agency decisions.29 Some of the application, the decision, citing the that each of the liability questions is Sixth Circuit, stated that the Agency connected to at least one of section 29 See, e.g., Zelideh I. Cordova-Velazco, M.D., 83 considers candor to be an ‘‘important 303(f) factors that, according to the CSA, FR 62,902 (2018) (citing both the ‘‘knew or should I ‘‘shall’’ consider as I analyze whether have known’’ determination and Kungys regarding factor when assessing whether a material falsification allegations, and concluding physician’s registration is consistent issuing a registration ‘‘would be that applicant’s now-current state license is ‘‘simply with the public interest’’ and, therefore, inconsistent with the public interest.’’ 28 not relevant in terms of resolving’’ the material ‘‘falsification cannot be tolerated.’’ Id. at 21 U.S.C. 823(f). I am unable to falsification allegation); Richard Jay Blackburn, discharge the responsibilities of the CSA D.O., 82 FR 18,669 (2017) (citing Kungys and 50,099 (citing Hoxie v. Drug Enf’t denying the application without a sanction analysis Admin., 419 F.3d at 483). every time I am given false information because the applicant had not opposed the My analysis shows that the approach in response to a liability question. Thus, Government’s motion for summary disposition, let to section 304(a)(1) taken by most past each falsification of a liability question alone offered an explanation for the falsification or Agency decisions aligns with the has a natural tendency to influence, or mitigating evidence); Wesley Pope, M.D., 82 FR 14,944 (2017) (emphasizing an Agency decision that instruction Kungys and its progeny is capable of influencing my decision had applied the ‘‘knew or should have known’’ provide concerning the meaning of and is therefore material. determination); Daniel A. Glick, D.D.S., 80 FR ‘‘material’’ absent a definition in the After finding the existence of a 74,800 (2015) (citing Kungys, stating that the 25 material falsification, I then determine ‘‘correct analysis depends on whether the registrant relevant statute. As already discussed, knew or should have known that he or she the approach of Kungys and its progeny the appropriate sanction. My submitted a false application,’’ and considering the to materiality is consistent with the determination involves considering all ‘‘totality of the circumstances’’ in determining the CSA.26 The Supreme Court’s the facts and circumstances before me. sanction); Mark William Andrew Holder, M.D., 80 This Kungys/Maslenjak–based two- FR 71,618 (2015) (finding a clear, intentional, and interpretation and analysis rest on the material falsification because applicant did not ‘‘most common formulation . . . that a step analysis is consistent with the want DEA to discover that he was a drug abuser); concealment or misrepresentation is provisions of the CSA. It is consistent Arthur H. Bell, D.O., 80 FR 50,035 (2015) (citing material if it ‘has a natural tendency to with the statutory requirements under Kungys, concluding that applicant’s failure to section 303 (‘‘the following factors shall disclose his surrender of his DEA registration ‘‘for influence, or was capable of influencing, cause’’ was materially false and intentional, and the decision of’ the decisionmaking be considered’’ emphasis added), and finding that applicant failed to produce sufficient body to which it was addressed.’’ 485 evidence showing why he should be entrusted with U.S. at 770. The Court emphasized that Agency decisions that found a false answer to a a new registration); JM Pharmacy Group, Inc., d/b/ the test for materiality ‘‘has never been’’ liability question ‘‘always material’’ due to DEA’s a Farmacia Nueva and Best Pharma Corp., 80 FR reliance on the answers to those questions. See, e.g., 28,667 (2015) (citing both the ‘‘knew or should have that the ‘‘misrepresentation or Mark William Andrew Holder, M.D., 80 FR 71,618 known’’ determination and Kungys regarding concealment would more likely than not n.19 (2015). I, however, see no inevitable conflict material falsification allegations, and concluding have produced an erroneous decision, between these pre-Kungys Agency decisions and that applicant ‘‘clearly knew’’ that he ‘‘(1) [h]ad or even that it would more likely than Kungys and its progeny. surrendered his registrations, (2) had done so in 28 The liability questions on the DEA–225 (04– response to allegations that his pharmacies had not have triggered an 12), ‘‘Application for Registration,’’ (Approved committed violations of the CSA, and (3) did so to investigation.’’ 27 Id. at 771 [emphases in OMB NO 1117–0012, Form Expires: 9/30/2021) are avoid proceedings to revoke the registrations, (1) ‘‘Has the applicant ever been convicted of a [meaning] he also clearly knew that he had 25 Indeed, in 2007, an Agency decision relied on crime in connection with controlled substance(s) surrendered ‘‘for cause’’); Jose G. Zavaleta, M.D., 78 Kungys for the meaning of ‘‘material.’’ Samuel S. under state or federal law, or been excluded or FR 27,431 (2013) (citing both the ‘‘knew or should Jackson, D.D.S., 72 FR 23,848 (2007). In that directed to be excluded from participation in a have known’’ determination and Kungys regarding Decision, the Agency determined that the medicare or state health care program, or is any material falsification allegations); Richard A. Government’s evidence was insufficient to establish such action pending?’’ (see 21 U.S.C. 823(f)(2–4); Herbert, M.D., 76 FR 53,942 (2011) (citing both the a violation of 21 U.S.C. 824(a)(1). see also § 824(a)(2) and (5)); (2) ‘‘Has the applicant ‘‘knew or should have known’’ determination and 26 Regarding the different substantive legal ever surrendered (for cause) or had a federal Kungys regarding material falsification allegations, contexts in which ‘‘material’’ appears, the Supreme controlled substance registration revoked, citing Hoxie about the importance of candor in the Court stated that a statute revoking citizenship and suspended, restricted, or denied, or is any such assessment of whether a registration is in the public a criminal statute whose penalties are a fine or action pending?’’ (see 21 U.S.C. 823(f)(2–5); see also interest, and explicitly tying the falsification to two imprisonment are not ‘‘so different as to justify § 824); (3) ‘‘Has the applicant ever surrendered (for 21 U.S.C. 823(f) factors); Shannon L. Gallentine, adoption of a different standard.’’ Kungys, 485 U.S. cause) or had a state professional license or D.P.M., 76 FR 45,864 (2011) (citing Kungys at 770. According to the Court, ‘‘[w]here Congress controlled substance registration revoked, regarding material falsification allegations and uses terms that have accumulated settled meaning suspended, denied, restricted, or placed on explaining that ‘‘[g]iven the circumstances of the under either equity or the common law, a court probation, or is any such action pending?’’ (see 21 surrender, during which . . . [applicant] was must infer, unless the statute otherwise dictates, U.S.C. 823(f)(1), (3), and (4); see also § 824(a)(3)); confronted with questions by the Investigators that Congress means to incorporate the established and (4) ‘‘If the applicant is a corporation (other than about his prescribing practices and lack of meaning of these terms.’’ Id. My review of Supreme a corporation whose stock is owned and traded by documentation to justify his prescriptions, . . . Court cases citing Kungys shows that decision cited the public), association, partnership, or pharmacy, [applicant] cannot claim that he did not surrender in a variety of cases, including the False Claims Act has any officer, partner, stockholder, or proprietor his registration for cause’’); Mark De La Lama, P.A., (Escobar, 136 S. Ct. 1989 (2016)), a false statement been convicted of a crime in connection with 76 FR 20,011 (2011) (citing Kungys regarding in conjunction with a firearm sale (Abramski v. controlled substance(s) under state or federal law, material falsification allegations); Gilbert Eugene United States, 573 U.S. 169 (2014)), mail and tax or ever surrendered, for cause, or had a federal Johnson, M.D., 75 FR 65,663 (2010) (finding that fraud (Neder v. United States, 527 U.S. 1 (1999)), controlled substance registration revoked, registrant knew his answers were false, citing and a false statement to federally insured financial suspended, restricted, denied, or ever had a state Kungys, and stating that the false answers were institutions (United States v. Wells, 519 U.S. 482 professional license or controlled substance material because the CSA requires consideration of (1997)). Thus, the Supreme Court instructs on the registration revoked, suspended, denied, restricted the matters registrant falsified); Alvin Darby, M.D., meaning of ‘‘material’’ in situations when or placed on probation, or is any such action 75 FR 26,993 (2010) (citing both ‘‘knew or should ‘‘material’’ is not defined in the statute at issue. pending?’’ (see 21 U.S.C. 823(f)(1 through 5); see have known’’ and Kungys regarding material 27 Citing this portion of Kungys, some Agency also §§ 824 and 824(a)(2) and (3)) [emphases in falsification allegations); Craig H. Bammer, D.O., 73 decisions explicitly step away from pre-Kungys original]. FR 34,327 (2008) (citing Kungys on the meaning of

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cases that Respondent urges me to In sum, I carefully considered all of enforcement responsibilities would be follow are not.30 Respondent’s arguments and conclude, extraordinarily difficult if the Agency based on could not rely on the candor of a ‘‘material’’ false statement and Hoxie on clear, unequivocal, and convincing applicants and those in the regulated ‘‘candor’’); The Lawsons, Inc., t/a The Medicine record evidence, that Respondent community. Id. Shoppe Pharmacy, 72 FR 74,334 (2007) (citing both I agree with the Chief ALJ that the ‘‘knew or should have known’’ determination materially falsified his registration and Kungys regarding material falsification renewal application. Respondent, through counsel, explicitly allegations, and citing Hoxie about the importance stated that Respondent did not accept of candor in the assessment of a registration IV. Sanction responsibility and did not offer any application); but see Michel P. Toret, M.D., 82 FR Where, as here, the Government has remedial measures during his 60,041 (2017) (ruling that a Voluntary Surrender 31 Form alone, indicating nothing about applicant’s established by clear, unequivocal, and testimony. Id. at 18; Tr. 179. In his failure to comply with any controlled substance convincing evidence that a respondent Posthearing Brief, Respondent reiterated requirement, is an insufficient basis to find a materially falsified his registration that he does not prescribe controlled material falsification); Richard D. Vitalis, D.O., 79 renewal application, the respondent substances in his current position, yet FR 68,701 (2014) (citing Kungys, finding three ‘‘clearly false, and knowingly so’’ answers regarding must then ‘‘present[ ] sufficient needs a registration to continue to the suspension of his state medical license based on mitigating evidence’’ to show why he qualify for that position. ALJX 30, at 23; his history of alcohol dependency, and concluding can be entrusted with a registration. Tr. 92, 105. The Posthearing Brief argues that those false answers were not material because Garrett Howard Smith, M.D., 83 FR that revoking Respondent’s registration alcohol dependency is not actionable misconduct under the CSA); Hoi Y. Kam, M.D., 78 FR 62,694 18,882, 18,910 (2018). Further, as past would deprive the low-income and (2013) (citing Kungys, finding a false statement, performance is the best predictor of homeless patients he currently serves of stating that the ‘‘relevant decision for assessing future performance, Agency decisions his medical services.32 ALJX 30, at 23. whether a false statement is material is the Agency’s require the respondent unequivocally to This argument is not consistent with decision as to whether an applicant is entitled to be registered,’’ and concluding the falsity was not accept responsibility for his actions and recent Agency decisions concerning material because the state license was no longer demonstrate that he will not engage in community impact evidence. I decline revoked and ‘‘the Government offers no argument, future misconduct. ALRA Labs, Inc. v. to accept Respondent’s community let alone any evidence, that the truthful disclosure Drug Enf’t Admin., 54 F.3d 450, 452 (7th impact argument. of the State’s action against his medical license would have led it to evidence in the exclusion Cir. 1995); Jayam Krishna-Iyer, M.D., 74 As the Chief ALJ concluded, proceeding that Respondent violated any state rules FR 459, 463 (2009) (collecting cases); Respondent acknowledged no or regulations regarding controlled substances and Jeffrey Stein, M.D., 84 FR 46,968, deficiency and offered no plan to thus would have supported the denial of his 46,972–73 (2019). In addition, a conform his future conduct. RD, at 19. application’’); Scott C. Bickman, M.D., 76 FR ‘‘In his view,’’ the RD observes, 17,694, 17,701 (2011) (citing both the ‘‘knew or registrant’s candor during the should have known’’ determination and Kungys investigation and hearing has been an Respondent ‘‘did nothing wrong and regarding material falsification allegations, citing important factor in determining would presumably enter the same false Hoxie about the importance of candor in the acceptance of responsibility and the response on a future renewal assessment of a registration application and, citing application if faced with like Gonzales v. Oregon, granting the renewal appropriate sanction. Garrett Howard application because the Government’s evidence did Smith, M.D., 83 FR at 18,910 (collecting circumstances.’’ Id. In this situation, not establish that ‘‘Respondent’s failure to disclose cases). The Agency has decided that the revocation is appropriate to avoid that the State Board had placed him on probation egregiousness and extent of the another proceeding charging material was capable of influencing the decision to grant his falsification ‘‘because the Respondent renewal application,’’ because the probation was for misconduct are significant factors in medical malpractice and the CSA does not state that determining the appropriate sanction. believes his conduct to have been medical malpractice is a disqualification for a Id. The Agency has also considered the appropriate.’’ Id. registration). need to deter similar acts by the 30 See, e.g., Respondent’s citation to, and reliance respondent and by the community of 31 Respondent’s proposed Corrective Action Plan on, the results in Hoi Y. Kam, M.D., 78 FR 62,694 would have ‘‘counsel review all registration (2013) and Scott C. Bickman, M.D., 76 FR 17,694, registrants. Id. Consistent with past applications [for the next five years] prior to 17,701 (2011). ALJX 30, at 14. Agency decisions, I consider the totality submission to DEA to ensure accuracy and Respondent also argues that ‘‘the Government of the facts and circumstances before me compliance with DEA’s application disclosure must prove that the overall intent of the application to determine the appropriate sanction. requirements,’’ and to take two, specified was to deceive DEA.’’ ALJX 30, at 9 (citing Daniel continuing medical education courses concerning A. Glick, D.D.S., 80 FR 74,800, 74,808 (2015) and See, e.g., Hernandez, 62 FR at 61,147– opioids. Samuel S. Jackson, D.D.S., 72 FR 23,848, 23,852– 48 (finding material falsification, but 32 Respondent also argued that ‘‘the sanction of 53 (2007)). denying the Government’s request for revocation . . . would deviate from the Agency’s According to Daniel A. Glick, D.D.S., 80 FR at revocation as ‘‘too severe’’ given the decisions in Funches and Hernandez.’’ ALJX 30, at 74,808, ‘‘the correct analysis depends on whether 23. Both Funches and Hernandez, however, are the registrant knew or should have known that he facts and circumstances of the case). inapposite. or she submitted a false application,’’ and Respondent’s misconduct proven by In Funches, the application was for a registration ‘‘[a]lthough even an unintentional falsification can the record evidence is one falsity on one as a retail distributor of list I chemicals. 64 FR at serve as a basis for adverse action regarding a application. However, the falsity was 14,267. The applicant indisputably operated his registration, lack of intent to deceive and evidence not the result of confusion or business in a ‘‘responsible manner’’ and credibly that the falsification was not intentional or testified that the falsification was neither negligent are all relevant considerations.’’ Similarly, inadvertence, but a deliberate attempt to intentional nor negligent. Id. at 14,268. The according to Samuel S. Jackson, D.D.S., 63 FR at hide the existence of the Mass. falsification concerned a guilty plea twenty years 23,852, citing the ‘‘knew or should have known’’ Accepted Voluntary No-Practice before to a misdemeanor whose sentence was determination, Agency decisions ‘‘make clear that Agreement. RD, at 20. The record subsequently suspended, and ‘‘involvement’’ in a culpability short of intentional falsification is cocaine transaction over twenty years before. Id. at actionable.’’ evidence regarding that falsity clearly 14,267–69. Thus, both Decisions Respondent cites, Daniel A. demonstrates to me that Respondent Hernandez, already discussed in detail, Glick, D.D.S. and Samuel S. Jackson, D.D.S., to does not take his responsibility of concerned a respondent’s student loan repayment support his argument state that a falsification need candor to the Agency seriously. Id. challenges and the state licensing authority’s not be intentional to be actionable. I reject decision to allow the respondent to retain her Respondent’s argument that the Government must Accomplishing the scope of DEA’s law medical license as long as she continued to repay prove an ‘‘overall intent to deceive DEA.’’ An intent her student loans. 62 FR at 61,147. The decision to deceive, however, has been considered as part of falsification. See, e.g., Daniel A. Glick, D.D.S., 80 FR appeared to credit as ‘‘credible,’’ while also calling the totality of the circumstances when determining at 74,808; Anthony D. Funches, 64 FR at 14,268– it ‘‘clearly an erroneous interpretation,’’ the the appropriate sanction in the face of a material 69. respondent’s explanation for the falsity. Id.

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I agree with the Chief ALJ that DEPARTMENT OF JUSTICE e.g., permitting electronic submission of ‘‘[c]onsiderations of specific and general responses. [OMB Number 1110–0057] deterrence militate in favor of Overview of this information revocation.’’ Id. Failing to sanction Agency Information Collection collection: Respondent in this case would send a Activities; Proposed eCollection 1. Type of Information Collection: message to Respondent and others in eComments Requested; Extension of a Extension of a currently approved the registrant community that Currently Approved Collection; collection. Respondent is vindicated, and that his Uniform Crime Reporting Data 2. The Title of the Form/Collection: false answer to Liability Question No. 3 Collection Instrument Pretesting and UCR Data Collection Instrument is the ‘‘benchmark of exactly how Burden Estimation Generic Clearance Pretesting and Burden Estimation candid . . . [one] ever needs to be in AGENCY: Federal Bureau of Generic Clearance providing information to DEA.’’ Id. at Investigation, Department of Justice. 3. The agency form number, if any, 19–20. I decline to create a ‘‘perverse ACTION: 60-day notice. and the applicable component of the incentive on registrants and applicants Department sponsoring the collection: to withhold requested application SUMMARY: The Department of Justice The form number is 1110–0057. The information any time where the (DOJ), Federal Bureau of Investigation applicable component within the DOJ is withheld information may lead to an (FBI), Criminal Justice Information the CJIS Division, in the FBI. adverse decision on a DEA registration Services (CJIS) Division, will be 4. Affected public who will be asked or renewal application.’’ Id. at 20. submitting the following information or required to respond, as well as a brief I agree with the former Acting collection request to the Office of abstract: Management and Budget (OMB) for Assistant Administrator of the Diversion 5. Primary: Federal, state, county, Control Division, that Respondent’s review and approval in accordance with the Paperwork Reduction Act of 1995. local, and tribal law enforcement proposed Corrective Action Plan agencies DATES: Comments are encouraged and provides no basis for me to discontinue Abstract: This clearance provides the or defer this proceeding. Its will be accepted for 60 days until September 25, 2020. UCR Program the ability to conduct insufficiencies include Respondent’s pretests which evaluate the validity and FOR FURTHER INFORMATION CONTACT: failure to accept responsibility, to reliability of information collection All comments, suggestions, or institute remedial measures, and to instruments and determine the level of questions regarding additional convince me to entrust him with a burden state and local agencies have in information, to include obtaining a copy registration. 21 U.S.C. 824(c)(3). reporting crime data to the FBI. The of the proposed information collection Paperwork Reduction Act only allows Accordingly, I shall order the instrument with instructions, should be for nine or fewer respondents in the sanctions the Government requested, as directed to Mrs. Amy C. Blasher, Unit collection of information, such as contained in the Order below. Chief, Federal Bureau of Investigation, pretesting activities. This clearance CJIS Division, Module E–3, 1000 Custer Order request expands the pretesting sample Hollow Road, Clarksburg, West Virginia to 350 people for each of the twelve 26306; telephone number (304) 625– Pursuant to 28 CFR 0.100(b) and the information collections administered by 3566. authority vested in me by 21 U.S.C. the UCR Program. Further, the clearance 824(a), I hereby revoke DEA Certificates SUPPLEMENTARY INFORMATION: Written will allow for a brief 5-minute cost and of Registration BS5000411 issued to comments and suggestions from the burden assessment for the 18,000 law Frank Joseph Stirlacci, M.D. Pursuant to public and affected agencies concerning enforcement agencies participating in 28 CFR 0.100(b) and the authority the proposed collection of information the UCR Program. vested in me by 21 U.S.C. 823(f), I are encouraged. Your comments should An estimate of the total number of further hereby deny any pending address one or more of the following respondents and the amount of time application of Frank Joseph Stirlacci, four points: estimated for an average respondent to M.D., to renew or modify this —Evaluate whether the proposed respond: UCR Participation Burden registration, as well as any other collection of information is necessary Estimation: There are approximately pending application of Frank Joseph for the proper performance of the 18,000 law enforcement respondents; Stirlacci, M.D. for registration in functions of the Federal Bureau of calculated estimates indicate five Indiana. This Order is effective August Investigation, including whether the minutes per submission. UCR Form 26, 2020. information will have practical utility; Pretesting: There are approximately 350 —Evaluate the accuracy of the respondents; calculated estimates Timothy J. Shea, agency’s estimate of the burden of the indicate one hour per pretest. Acting Administrator. proposed collection of information, 6. An estimate of the total public [FR Doc. 2020–16193 Filed 7–24–20; 8:45 am] including the validity of the methodology and assumptions used; burden (in hours) associated with the BILLING CODE 4410–09–P —Evaluate whether and if so how the collection: There are approximately quality, utility, and clarity of the 1,850 hours, annual burden, associated information to be collected can be with this information collection. enhanced; and If additional information is required —Minimize the burden of the contact: Melody Braswell, Department collection of information on those who Clearance Officer, United States are to respond, including through the Department of Justice, Justice use of appropriate automated, Management Division, Policy and electronic, mechanical, or other Planning Staff, Two Constitution technological collection techniques or Square, 145 N Street NE, 3E.405A, other forms of information technology, Washington, DC 20530.

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Dated: July 22, 2020. do not wish to be made available to the Section 75.336(e) requires a certified Melody Braswell, public, submit the comment as a person to record each sampling result, Department Clearance Officer for PRA, U.S. written/paper submission. including the location of the sampling Department of Justice. Written/Paper Submissions: Submit points and the oxygen and methane [FR Doc. 2020–16173 Filed 7–24–20; 8:45 am] written/paper submissions in the concentrations. Also, any hazardous BILLING CODE 4410–02–P following way: conditions found must be corrected and • Mail/Hand Delivery: Mail or visit recorded in accordance with existing DOL–MSHA, Office of Standards, section 75.363. DEPARTMENT OF LABOR Regulations, and Variances, 201 12th Section 75.337(c)(1)—(c)(5) requires a Street South, Suite 4E401, Arlington, certified person to perform several tasks Mine Safety and Health Administration VA 22202–5452. during seal construction and repair and • MSHA will post your comment as certify that the tasks were done in [OMB Control No. 1219–0142] well as any attachments, except for accordance with the approved information submitted and marked as Proposed Extension of Information ventilation plan. In addition, a mine confidential, in the docket at https:// Collection; Sealing of Abandoned foreman or equivalent mine official www.regulations.gov. Areas must countersign the record. FOR FURTHER INFORMATION CONTACT: Section 75.337(d) requires a senior AGENCY: Mine Safety and Health Roslyn B. Fontaine, Deputy Director, Administration, Labor. mine management official, such as a Office of Standards, Regulations, and mine manager or superintendent, to ACTION: Request for public comments. Variances, MSHA, at certify that the construction, [email protected] SUMMARY: The Department of Labor, as installation, and materials used were in (email); (202) 693–9440 (voice); or (202) part of its continuing effort to reduce accordance with the approved 693–9441 (facsimile). paperwork and respondent burden, ventilation plan. conducts a pre-clearance consultation SUPPLEMENTARY INFORMATION: Section 75.337(e) requires the mine program to provide the general public I. Background operator to notify MSHA of certain and Federal agencies with an Section 103(h) of the Federal Mine activities concerning the construction of opportunity to comment on proposed Safety and Health Act of 1977 (Mine seals. collections of information in accordance Act), 30 U.S.C. 813(h), authorizes Section 75.337(e)(1) requires the mine with the Paperwork Reduction Act of MSHA to collect information necessary operator to notify the District Manager 1995. This program helps to ensure that to carry out its duty in protecting the between 2 and 14 days prior to requested data can be provided in the safety and health of miners. Further, commencement of seal construction. desired format, reporting burden (time section 101(a) of the Mine Act, 30 U.S.C. Section 75.337(e)(2) requires the mine and financial resources) is minimized, 811, authorizes the Secretary of Labor to operator to notify the District Manager, collection instruments are clearly develop, promulgate, and revise as may in writing, within 5 days of completion understood, and the impact of collection be appropriate, improved mandatory of a set of seals and provide a copy of requirements on respondents can be health or safety standards for the the certifications required in section properly assessed. Currently, the Mine protection of life and prevention of 75.337(d). Safety and Health Administration injuries in coal or other mines. Section 75.337(e)(3) requires the mine (MSHA) is soliciting comments on the MSHA’s standards for sealing operator to submit a copy of the quality information collection for Sealing of abandoned areas in underground coal Abandoned Areas. control test results for seal material mines include requirements addressing properties specified by section 75.335 DATES: All comments must be received the design and construction of new seals within 30 days of completion of such on or before September 25, 2020. and the examination, maintenance, and tests. ADDRESSES: You may submit comment repair of all seals. Section 75.337(g)(3) requires the mine as follows. Please note that late, Section 75.335(b) sets forth operator to label sampling pipes to untimely filed comments will not be procedures for the approval of seal indicate the location of the sampling considered. design applications. point when the mine operator installs Electronic Submissions: Submit Section 75.335(c) requires the electronic comments in the following submission and certification of more than one sampling pipe through a way: information for seal installation. seal. • Federal eRulemaking Portal: Section 75.336(a)(2) requires the mine Section 75.338(a) requires mine https://www.regulations.gov. Follow the operator to evaluate the atmosphere in operators to certify that persons instructions for submitting comments the sealed area to determine whether conducting sampling were trained in the for docket number MSHA–2020–0023. sampling through the sampling pipes in use of appropriate sampling equipment, Comments submitted electronically, seals provides appropriate sampling techniques, the location of sampling including attachments, to https:// locations of the sealed area. The mine points, the frequency of sampling, the www.regulations.gov will be posted to operator will make an evaluation for size and condition of sealed areas, and the docket, with no changes. Because each area that has seals. the use of continuous monitoring your comment will be made public, you Section 75.336(c) requires that when systems, if applicable, before they are responsible for ensuring that your a sample is taken from the sealed conduct sampling, and annually comment does not include any atmosphere with seals of less than 120 thereafter. confidential information that you or a psi and the sample indicates that the Section 75.338(b) requires mine third party may not wish to be posted, oxygen concentration is 10 percent or operators to certify that miners such as your or anyone else’s Social greater and methane is between 4.5 constructing or repairing seals, Security number or confidential percent and 17 percent, the mine designated certified persons, and senior business information. operator must immediately take an mine management officials were trained • If you want to submit a comment additional sample and then immediately prior to constructing or repairing a seal with confidential information that you notify the District Manager. and annually thereafter.

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II. Desired Focus of Comments will be available at https:// This meeting will be webcast live at MSHA is soliciting comments www.reginfo.gov. the Web address—https://www.nrc. gov/. concerning the proposed information Roslyn B. Fontaine, collection related to Sealing of Certifying Officer. Week of September 21, 2020—Tentative Abandoned Areas. MSHA is particularly [FR Doc. 2020–16133 Filed 7–24–20; 8:45 am] There are no meetings scheduled for interested in comments that: BILLING CODE 4510–43–P the week of September 21, 2020. • Evaluate whether the collection of information is necessary for the proper Week of September 28, 2020—Tentative performance of the functions of the Wednesday , 2020 Agency, including whether the NUCLEAR REGULATORY information has practical utility; COMMISSION 9:00 a.m. Strategic Programmatic • Evaluate the accuracy of MSHA’s Overview of the Operating Reactors estimate of the burden of the collection [NRC–2020–0001] and New Reactors Business Lines of information, including the validity of and Results of the Agency Action the methodology and assumptions used; Sunshine Act Meetings Review Meeting (Public Meeting) • Suggest methods to enhance the (Contact: Luis Betancourt: 301–415– quality, utility, and clarity of the TIME AND DATE: Weeks of July 27, August 6146) information to be collected; and 3, 10, 17, 24, 31, , 14, 21, This meeting will be webcast live at • Minimize the burden of the 28, October 5, 12, 19, 2020. the Web address—https://www.nrc. collection of information on those who PLACE: Commissioners’ Conference gov/. are to respond, including through the Room, 11555 Rockville Pike, Rockville, Week of October 5, 2020—Tentative use of appropriate automated, Maryland. electronic, mechanical, or other STATUS: Public. Thursday, , 2020 technological collection techniques or 10:00 a.m. Meeting with the Week of July 27, 2020 other forms of information technology, Organization of Agreement States e.g., permitting electronic submission of There are no meetings scheduled for (OAS) and the Conference of responses. the week of July 27, 2020. Radiation Control Program Background documents related to this Week of August 3, 2020—Tentative Directors (CRCPD) (Public Meeting) information collection request are (Contact: Celimar Valentin- available at https://regulations.gov and There are no meetings scheduled for Rodriquez: 301–415–7124) in DOL–MSHA located at 201 12th the week of August 3, 2020. This meeting will be webcast live at Street South, Suite 4E401, Arlington, Week of August 10, 2020—Tentative the Web address—https://www.nrc. VA 22202–5452. Questions about the gov/. information collection requirements There are no meetings scheduled for may be directed to the person listed in the week of August 10, 2020. Week of , 2020—Tentative the FOR FURTHER INFORMATION CONTACT Week of August 17, 2020—Tentative There are no meetings scheduled for section of this notice from the previous the week of October 12, 2020. collection of information. There are no meetings scheduled for the week of August 17, 2020. Week of , 2020—Tentative III. Current Actions Week of August 24, 2020—Tentative Wednesday, , 2020 This information collection request concerns provisions for Sealing of There are no meetings scheduled for 10:00 a.m. Briefing on Human Capital Abandoned Areas. MSHA has updated the week of August 24, 2020. and Equal Employment Opportunity (Public Meeting) the data with respect to the number of Week of August 31, 2020—Tentative respondents, responses, burden hours, (Contact: Randi Neff: 301–287– and burden costs supporting this There are no meetings scheduled for 0583) information collection request from the the week of August 31, 2020. This meeting will be webcast live at the Web address—https://www.nrc. previous information collection request. Week of September 7, 2020—Tentative Type of Review: Extension, without gov/. change, of a currently approved There are no meetings scheduled for 1:00 p.m. All Employees Meeting with collection. the week of September 7, 2020. the Commissioners (Public Meeting) Agency: Mine Safety and Health Week of , 2020—Tentative CONTACT PERSON FOR MORE INFORMATION: Administration. For more information or to verify the OMB Number: 1219–0142. Tuesday. , 2020. status of meetings, contact Denise Affected Public: Business or other for- 10:00 a.m. Agency’s Response to the McGovern at 301–415–0681 or via email profit. COVID–19 Public Health at [email protected]. The Number of Respondents: 177. Emergency (Public Meeting) schedule for Commission meetings is Frequency: On occasion. (Contact: Luis Betancourt: 301–415– subject to change on short notice. Number of Responses: 47,194. 6146) The NRC Commission Meeting Annual Burden Hours: 4,870 hours. This meeting will be webcast live at Schedule can be found on the internet Annual Respondent or Recordkeeper the Web address—https://www.nrc. at: https://www.nrc.gov/public-involve/ Cost: $709,972. gov/. public-meetings/schedule.html. Comments submitted in response to The NRC provides reasonable this notice will be summarized in the Thursday, September 17, 2020 accommodation to individuals with request for Office of Management and 10:00 a.m. Transformation at the disabilities where appropriate. If you Budget approval of the proposed NRC—Milestones and Results need a reasonable accommodation to information collection request; they will (Public Meeting) (Contact: Maria participate in these public meetings or become a matter of public record and Arribas-Colon: 301–415–6026) need this meeting notice or the

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transcript or other information from the ‘‘Opening and Halt Cross’’; Options 4A, but they are not obligated to quote.4 BX public meetings in another format (e.g., Section 11, ‘‘Trading Sessions’’; and Lead Market Makers are required to braille, large print), please notify Anne Options 6B, Section 1, ‘‘Exercise of quote intra-day.5 The Exchange Silk, NRC Disability Program Specialist, Options Contracts’’. proposes to retain the Valid Width at 301–287–0745, by videophone at The text of the proposed rule change NBBO requirements with respect to 240–428–3217, or by email at is available on the Exchange’s website at Opening With a Trade pursuant to [email protected]. Determinations on https://listingcenter.nasdaq.com/ proposed Options 3, Section 8(i) and (j). requests for reasonable accommodation rulebook/bx/rules, at the principal office The Exchange’s proposal would will be made on a case-by-case basis. of the Exchange, and at the maintain BX’s ability to open with a Members of the public may request to Commission’s Public Reference Room. BBO (no trade) pursuant to proposed receive this information electronically. Options 3, Section 8(f) either with: (1) II. Self-Regulatory Organization’s If you would like to be added to the A Valid Width NBBO; (2) upon the Statement of the Purpose of, and distribution, please contact the Nuclear opening of a certain number of away Statutory Basis for, the Proposed Rule Regulatory Commission, Office of the markets; or (3) if a certain amount of Change Secretary, Washington, DC 20555 (301– time has passed since the 415–1969), or by email at In its filing with the Commission, the commencement of the Opening Process. [email protected] or Tyesha.Bush@ Exchange included statements When opening with a trade, BX’s nrc.gov. concerning the purpose of and basis for proposal will adopt Phlx’s Opening The NRC is holding the meetings the proposed rule change and discussed Processes to further limit the current under the authority of the Government any comments it received on the opening price boundaries on BX.6 The in the Sunshine Act, 5 U.S.C. 552b. proposed rule change. The text of these proposal would align BX’s current Valid statements may be examined at the Width NBBO requirements to Phlx’s Dated: , 2020. 7 For the Nuclear Regulatory Commission. places specified in Item IV below. The Quality Opening Markets requirements. Phlx’s Opening Process requires tighter Denise L. McGovern Exchange has prepared summaries, set forth in sections A, B, and C below, of Valid Width Quotes to open Phlx as Policy Coordinator, Office of the Secretary. the most significant aspects of such compared to the proposed opening for [FR Doc. 2020–16285 Filed 7–23–20; 11:15 am] statements. BX.8 Today, Phlx’s Opening Process is BILLING CODE 7590–01–P A. Self-Regulatory Organization’s 4 Other options markets do not require their lead Statement of the Purpose of, and the market makers to quote during the opening. See SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule Cboe Exchange, Inc. Rule 5.31. See also The Nasdaq Change Options Market LLC Options 3, Section 8. COMMISSION 5 See BX Options 2, Section 4(j). [Release No. 34–89356; File No. SR–BX– 1. Purpose 6 See proposed BX Options 3, Section 8(i). 2020–016] 7 Phlx’s Quality Opening Market is a bid/ask The Exchange proposes to amend differential applicable to the best bid and offer from Options 2, Section 4, ‘‘Obligations of all Valid Width Quotes defined in a table to be Self-Regulatory Organizations; Nasdaq Market Makers and Lead Market determined by the Exchange and published on the BX, Inc.; Notice of Filing of Proposed Makers’’; Options 3, Section 7, ‘‘Types Exchange’s website. The calculation of Quality Rule Change To Amend BX’s Opening Opening Market is based on the best bid and offer of Orders and Order and Quote Process in Connection With a of Valid Width Quotes. The differential between the Protocols’’; Options 3, Section 8, titled best bid and offer are compared to reach this Technology Migration ‘‘Opening and Halt Cross’’; Options 4A, determination. The allowable differential, as determined by the Exchange, takes into account the July 21, 2020. Section 11, ‘‘Trading Sessions’’; and type of security (for example, Penny Pilot versus Pursuant to Section 19(b)(1) of the Options 6B, Section 1, ‘‘Exercise of non-Penny Pilot issue), volatility, option premium, Securities Exchange Act of 1934 Options Contracts’’ in connection with and liquidity. The Quality Opening Market 1 2 a technology migration to an enhanced differential is intended to ensure the price at which (‘‘Act’’), and Rule 19b–4 thereunder, the Exchange opens reflects current market notice is hereby given that on July 20, Nasdaq, Inc. (‘‘Nasdaq’’) architecture conditions. See Phlx Options 3, Section 8(a)(viii). 2020, Nasdaq BX, Inc. (‘‘BX’’ or which results in higher performance, Similarly, BX’s Valid Width NBBO is the ‘‘Exchange’’) filed with the Securities scalability, and more robust combination of all away market quotes and Valid and Exchange Commission (‘‘SEC’’ or functionality. With this System Width Quotes received over the SQF. The Valid Width NBBO will be configurable by the underlying ‘‘Commission’’) the proposed rule migration, BX intends to adopt certain security, and tables with valid width differentials, change as described in Items I and II opening functionality, which currently which will be posted by the Exchange on its below, which Items have been prepared exists on Nasdaq Phlx LLC (‘‘Phlx’’) at website. Away markets that are crossed will void by the Exchange. The Commission is Options 3, Section 8, ‘‘Options Opening all Valid Width NBBO calculations. If any Market Maker quotes on the Exchange are crossed publishing this notice to solicit Process.’’ internally, then all Exchange quotes will be comments on the proposed rule change These proposed enhancements will excluded from the Valid Width NBBO calculation. from interested persons. allow BX to continue to have a robust These two concepts both provide the applicable Opening Process. Broadly, the bid/ask differential and ensure the price at which I. Self-Regulatory Organization’s Exchange’s proposal is intended to the Exchange opens reflects current market Statement of the Terms of Substance of conditions. create an opening process similar to 8 the Proposed Rule Change BX’s Valid Width Quote is a two-sided Phlx, however, unlike Phlx, BX will not electronic quotation, submitted by a Market Maker, The Exchange proposes to amend require its Lead Market Makers to enter quoted with a difference not to exceed $5 between Options 2, Section 4, ‘‘Obligations of Valid Width Quotes during the the bid and offer regardless of the price of the bid. 3 See proposed BX Options 3, Section 8(a)(9). This is Market Makers and Lead Market opening. Today, BX Lead Market compared to Phlx’s Valid Width Quote which is a Makers’’; Options 3, Section 7, ‘‘Types Makers are not required to quote during two-sided electronic quotation submitted by a Phlx of Orders and Order and Quote the opening, that will remain Electronic Market Maker that meets the following Protocols’’; Options 3, Section 8, titled unchanged. Today, BX Lead Market requirements: Options on equities and index options bidding and/or offering so as to create Makers may quote during the opening, differences of no more than $.25 between the bid 1 15 U.S.C. 78s(b)(1). and the offer for each option contract for which the 2 17 CFR 240.19b–4. 3 See Phlx Options 3, Section 8(d)(i). Continued

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more stringent than BX’s current Options 3, Section 8(a)(1). The words open all underlying securities from the opening. This proposal seeks to provide ‘‘shall mean’’ are replaced by ‘‘is,’’ but primary market. The Exchange will a process for BX, when opening with a otherwise the description remains the select the non-primary market with the trade, that requires tighter boundaries same. most liquidity in the aggregate for all similar to Phlx. The Exchange’s The Exchange proposes to relocate underlying securities that trade on the proposal is described in greater detail ‘‘imbalance’’ from current BX Options 3, primary market for the previous two below. Section 8(a)(1) to proposed Options 3, calendar months, excluding the primary The Exchange proposes to amend the Section 8(a)(2) and amend the language and alternate markets. In order to open title of Options 3, Section 8 from to provide that an imbalance is the an option series it would require an ‘‘Opening and Halt Cross’’ to ‘‘Options number of unmatched contracts priced equity market’s underlying quote. If Opening Process’’ to conform the title to through the Potential Opening Price. another equity market displays opening Phlx’s Rule at Options 3, Section 8, Currently, the term ‘‘imbalance’’ is prices for the underlying security, the ‘‘Options Opening Process.’’ The defined as ‘‘the number of contracts of Exchange proposes to utilize those Exchange also proposes to amend the eligible interest that may not be quotes. This proposed change to the title of Options 3, Section 8, within matched with other order contracts at a current System would allow the Options 4A, Section 11, Trading particular price at any given time.’’ The Exchange to open in situations, where Session, and Options 6B, Section 1, Exchange proposes to adopt the Phlx the primary market is experiencing an Exercise of Options Contracts, to definition.9 The Exchange will be issue, and also where an alternative conform the title to ‘‘Options Opening defining Potential Opening Price within market designated by the primary Process’’ as proposed herein. this rule change and therefore the new market may not be designated by the proposed imbalance definition would be primary market, or is unable to open. Definitions more applicable with that definition. Utilizing a non-primary market with the The Exchange proposes to amend the The Exchange proposes to relocate most liquidity in the aggregate for all current ‘‘Definitions’’ section at ‘‘market for the underlying security’’ underlying securities for the previous proposed BX Options 3, Section 8(a). from current BX Options 3, Section two calendar months will ensure that The Exchange proposes to remove the 8(a)(5) to proposed Options 3, Section the Exchange opens with quotes which text ‘‘For purposes of this Rule the 8(a)(3).10 Today Options 3, Section are representative of the volume on that term:’’ and instead state, ‘‘The Exchange 8(a)(5) describes ‘‘market for the primary market. The Exchange believes conducts an opening for all option underlying security’’ as ‘‘. . .either the that this proposal will enable it to open series traded on the Exchange using its primary listing market, the primary in the event that there are issues with System.’’ This rule text change is volume market (defined as the market the primary market or the alternate intended to conform to Phlx Options 3, with the most liquidity in that market assigned by the primary. Section 8(a). underlying security for the previous two The Exchange proposes a new The Exchange proposes to amend and calendar months), or the first market to definition, ‘‘Opening Price,’’ at alphabetize the current definitions open the underlying security, as proposed Options 3, Section 8(a)(4). within Options 3, Section 8(a). The determined by the Exchange on an This proposed definition would state Exchange proposes to set forth the issue-by-issue basis and announced to that the Opening Price is described in following terms, which are described the membership on the Exchange’s sections (i) and (k). This proposed below: ‘‘Away Best Bid or Offer’’ or website.’’ The Exchange proposes to definition is the same as Phlx Options ‘‘ABBO;’’ ‘‘imbalance;’’ ‘‘market for the amend this definition by replacing the 3, Section 8(a)(iii). underlying security;’’ ‘‘Opening Price;’’ term ‘‘primary volume market’’ with ‘‘an The Exchange proposes a new ‘‘Opening Process;’’ ‘‘Potential Opening alternative market designated by the definition, ‘‘Opening Process,’’ at Price;’’ ‘‘Pre-Market BBO;’’ ‘‘Valid primary market.’’ The Exchange proposed Options 3, Section 8(a)(5). Width National Best Bid or Offer’’ or anticipates that an alternative market This proposed definition would state ‘‘Valid Width NBBO;’’ ‘‘Valid Width would be necessary if the primary that ‘‘Opening Process’’ is described in 11 Quote,’’ and ‘‘Zero Bid Market.’’ The listing market were impaired. In the section (d). This proposed definition is Exchange is conforming the definitions event that a primary market is impaired the same as Phlx Options 3, Section within Options 3, Section 8(a) to start and utilizes its designated alternative 8(a)(iv). with ‘‘A’’ or ‘‘An,’’ as appropriate. market, the Exchange would utilize that The Exchange proposes a new The Exchange proposes to relocate market as the underlying.12 The definition, ‘‘Potential Opening Price,’’ at and amend the term ‘‘Away Best Bid or Exchange further proposes an additional proposed Options 3, Section 8(a)(6). Offer’’ or ‘‘ABBO’’ from current BX contingency, in the event that the This proposed definition would state Options 3, Section 8(a)(7) to proposed primary market is unable to open, and that Potential Opening Price is an alternative market is not designated described in section (h). This proposed prevailing bid is less than $2; no more than $.40 (and/or the designated alternative definition is the same as Phlx Options where the prevailing bid is $2 or more but less than market does not open), the Exchange 3, Section 8(a)(vi). $5; no more than $.50 where the prevailing bid is may utilize a non-primary market to The Exchange proposes a new $5 or more but less than $10; no more than $.80 definition, ‘‘Pre-Market BBO,’’ at where the prevailing bid is $10 or more but less 9 than $20; and no more than $1 where the prevailing See Phlx Options 3, Section 8(a)(xi). Options 3, Section 8(a)(7). This bid is $20 or more, provided that, in the case of 10 This term is identical to Phlx’s Options 3, proposed definition would state that equity options, the bid/ask differentials stated Section 8(a)(ii). Pre-Market BBO is the highest bid and 11 above shall not apply to in-the-money series where The primary listing market and the primary lowest offer among Valid Width Quotes. the market for the underlying security is wider than volume market, as defined in BX’s Rules, could be the differentials set forth above. For such series, the the same market and therefore an alternative market The term ‘‘Valid Width Quote’’ is bid/ask differentials may be as wide as the is not available under the current Rule. defined below. This proposed definition quotation for the underlying security on the 12 For example, in the event that the New York is the same as Phlx Options 3, Section primary market, or its decimal equivalent rounded Stock Exchange LLC was unable to open because of 8(a)(vii). down to the nearest minimum increment. The an issue with its market and it designated NYSE Exchange may establish differences other than the Arca, Inc. (‘‘NYSE Arca’’) as its alternative market, The Exchange proposes to relocate above for one or more series or classes of options. then BX would utilize NYSE Arca as the market for and amend the definition of ‘‘Valid See Phlx Options 3, Section 8(a)(ix). the underlying. Width National Best Bid or Offer’’ or

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‘‘Valid Width NBBO’’ from current BX Sweeps are considered eligible interest current BX Options 3, Section 8(a)(2).16 Options 3, Section 8(a)(6) to proposed during the Opening Process. This term is no longer necessary as the Options 3, Section 8(a)(8). The The Exchange proposes a new Exchange is amending the manner in Exchange proposes to replace the words definition, ‘‘Valid Width Quote,’’ at which imbalances are handled on BX. ‘‘shall mean’’ with ‘‘is’’ and also replace proposed Options 3, Section 8(a)(9). Today, the Order Imbalance Indicator the rule text which states, ‘‘any This proposed definition would state describes a message that is disseminated combination of BX Options-registered that a Valid Width Quote is a two-sided by electronic means, and contains Market Maker order and quotes received electronic quotation, submitted by a information about Eligible Interest and over the SQF 13 Protocols within a Market Maker, quoted with a difference the price in penny increments at which specified bid/ask differential as not to exceed $5 between the bid and such interest would execute at the time established and published by the offer regardless of the price of the bid. of dissemination. BX would disseminate Exchange,’’ with the proposed term However, respecting in-the-money the number of unmatched contracts ‘‘Valid Width Quote.’’ The Exchange series where the market for the priced through the Potential Opening also proposes a grammatical correction underlying security is wider than $5, Price, similar to Phlx.17 to add ‘‘the underlying security’’ instead the bid/ask differential may be as wide The Exchange proposes to eliminate of ‘‘underlying’’ and also add ‘‘which’’ as the quotation for the underlying the term ‘‘BX Opening Cross’’ at current in the second sentence. Finally, the security on the primary market, or its BX Options 3, Section 8(a)(3).18 This Exchange proposes to amend the last decimal equivalent rounded down to term is being replaced by the new term sentence to: (1) Replace ‘‘BX Options’’ the nearest minimum increment. The ‘‘Opening Process’’ at proposed BX with ‘‘Exchange;’’ (2) remove references Exchange may establish differences Options 3, Section 8(a)(5) and provides, to Market Maker ‘‘orders’’ and only refer other than the above for one or more ‘‘An Opening Process is described to quotes; and (3) change the term series or classes of options. The bid/ask herein in section (d).’’ ‘‘such’’ to ‘‘Exchange’’ to make clear that differentials on BX differ from Phlx. The Exchange proposes to eliminate all local quotes would be excluded from Phlx Options 3, Section 8(a)(ix), similar the term ‘‘Eligible Interest’’ at current the Valid Width NBBO, when any local to proposed BX Options 3, Section BX Options 3, Section 8(a)(4).19 The quotes are crossed. This proposed 8(a)(9), permits the bid/ask differential Exchange describes eligible interest change to the definition will align BX’s to be as wide as the quotation for the within proposed BX Options 3, Section consideration of only Market Maker underlying security on the primary 8(b), similar to Phlx. The defined term quotes, and not orders, with Phlx market, or its decimal equivalent is no longer necessary. rounded down to the nearest minimum Options 3, Section 8. BX’s current rule Eligible Interest includes Market Maker orders, Market increment. Also, both markets would Maker quotes and away market quotes permit the Exchange to establish The first part of the Opening Process as part of the Valid Width NBBO differences, other than as stated for one determines what constitutes eligible calculation. The Exchange proposes to or more series or classes of options. interest. The Opening Process is a price amend the Valid Width NBBO to Both markets refer back to their discovery process which considers exclude Market Maker orders and only respective intra-day differentials. BX interest, both on BX and away markets, include Market Maker Valid Width refers to a difference not to exceed $5 to determine the optimal bid and offer Quotes and away market quotes. This between the bid and offer, similar to BX with which to open the market. The would exclude Opening Sweeps, which Options 2, Section 4(f) and 5(d)(2). Phlx Opening Process seeks the price point at are orders that are entered by Market refers to differentials so as to create which the most number of contracts Makers through SQF.14 The Exchange differences of no more than $.25 16 The Order Imbalance Indicator shall proposes to exclude such orders from between the bid and the offer for each option contract for which the prevailing disseminate the following information: (A) ‘‘Current the Valid Width NBBO because Opening Reference Price’’ shall mean an indication of what bid is less than $2; no more than $.40 the opening cross price would be at a particular 13 ‘‘Specialized Quote Feed’’ or ‘‘SQF’’ is an where the prevailing bid is $2 or more point in time; (B) the number of contracts of Eligible interface that allows Market Makers to connect, but less than $5; no more than $.50 Interest that are paired at the Current Reference send, and receive messages related to quotes, where the prevailing bid is $5 or more Price; (C) the size of any Imbalance; and (D) the buy/sell direction of any Imbalance. See BX Immediate-or-Cancel Orders, and auction responses but less than $10; no more than $.80 into and from the Exchange. Features include the Options 3, Section 8(a)(2). following: (1) Options symbol directory messages where the prevailing bid is $10 or more 17 BX’s proposed imbalance message would (e.g underlying instruments); (2) System event but less than $20; and no more than $1 include the symbol, side of the imbalance, size of messages (e.g., start of trading hours messages and where the prevailing bid is $20 or more, matched contracts, size of the imbalance, and start of opening); (3) trading action messages (e.g., similar to Phlx Options 8, Section Potential Opening Price bounded by the Pre-Market halts and resumes); (4) execution messages; (5) BBO. See proposed BX Options 3, Section 8(k)(1). 15 quote messages; (6) Immediate-or-Cancel Order 27(c)(1)(A). 18 ‘‘BX Opening Cross’’ shall mean the process for messages; (7) risk protection triggers and purge Finally, the Exchange proposes a new opening or resuming trading pursuant to this Rule notifications; (8) opening imbalance messages; (9) definition, ‘‘Zero Bid Market,’’ at and shall include the process for determining the auction notifications; and (10) auction responses. proposed Options 5, Section 8(a)(10). price at which Eligible Interest shall be executed at The SQF Purge Interface only receives and notifies the open of trading for the day, or the open of of purge request from the Market Maker. Market This proposed new definition would trading for a halted option, and the process for Makers may only enter interest into SQF in their state that a Zero Bid Market is where the executing that Eligible Interest. assigned options series. See Options 3, Section best bid for an options series is zero. 19 ‘‘Eligible Interest’’ shall mean any quotation or 7(d)(1)(B). This proposed definition is the same as any order that may be entered into the system and 14 Proposed BX Options 3, Section 7(a)(9) designated with a time-in-force of IOC (immediate- provides, ‘‘Opening Sweep’’ is a one-sided order Phlx Options 3, Section 8(a)(x). or-cancel), DAY (day order), GTC (good-till- entered by a Market Maker through SQF for The Exchange believes that these cancelled), and OPG (On the Open Order). execution against eligible interest in the System definitions will bring additional clarity However, orders received via FIX protocol prior to during the Opening Process. This order type is not to the proposed rule. the BX Opening Cross designated with a time-in- subject to any protections listed in Options 3, The Exchange proposes to eliminate force of IOC will be rejected and shall not be Section 15, except for Automated Quotation considered eligible interest. Orders received via Adjustments. The Opening Sweep will only the term ‘‘Order Imbalance Indicator’’ at SQF prior to the BX Opening Cross designated with participate in the Opening Process pursuant to a time-in-force of IOC will remain in-force through Options 3, Section 8 and will be cancelled upon the 15 Phlx’s bid/ask differentials in the opening are the opening and shall be cancelled immediately open if not executed.’’ similar to those for the trading floor. after the opening.

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may be executed, while protecting away Market Maker may enter an Opening maintain a continuous quote with a Valid market interest. Sweep into SQF for execution against Width Quote in the affected series. Proposed BX Options 3, Section 8(b) eligible interest in the System during The proposed rule text is similar to explains the eligible interest that will be the Opening Process. The Exchange Phlx Options 3, Section 8(b)(i)(A). Since accepted during the Opening Process provides additional information about the protocol over which an Opening which includes, Valid Width Quotes, the order type, similar to Phlx. This Sweep is submitted is used for Market Opening Sweeps 20 and orders. order type is not subject to any Maker quoting, the acceptance of an Quotes,21 other than Valid Width protections listed in Options 3, Section Opening Sweep was structured to rely Quotes, will not be included in the 15, except for Automated Quotation on the Valid Width Quote. An Opening Opening Process. This rule text is Adjustments.24 The Opening Sweep Sweep may only be submitted by a identical to Phlx Options 3, Section will only participate in the Opening Market Maker when he/she has a Valid 8(b), except that certain text not relevant Process, pursuant to Options 3, Section Width Quote in the affected series. to BX is not included.22 Opening 8, and will be cancelled upon the open The Exchange proposes rule text Sweeps may be submitted through the if not executed. This sentence provides within Options 3, Section 8(b)(1)(B), Specialized Quote Feed or ‘‘SQF’’ additional context to the Opening which is similar to Phlx Options 3, protocol, which permits one-sided Sweep, and is the same as Phlx’s rule. Section 8(b)(i)(B). BX proposes to state orders to be entered by a Market Further, BX currently permits orders within Options 3, Section 8(b)(1)(B): Maker.23 marked with a ‘‘Time In Force’’ or ‘‘TIF’’ Opening Sweeps may be entered at any The Exchange proposes to define an of ‘‘On the Open Order’’ or ‘‘OPG’’ to be price with a minimum price variation ‘‘Opening Sweep’’ within BX Options 3, utilized to specify orders for submission applicable to the affected series, on either Section 8(b)(9) as defined at proposed into the Opening Cross.25 This TIF of side of the market, at single or multiple price BX Options 3, Section 7(a)(9). This level(s), and may be cancelled and re- description for an Opening Sweep is the ‘‘OPG’’ means for orders so designated, entered. A single Market Maker may enter same as Phlx Options 3, Section 8(b)(i), that if after entry into the System, the multiple Opening Sweeps, with each which cites to a similar provision in order is not fully executed in its entirety Opening Sweep at a different price level. If Phlx’s rules at Options 3, Section during the Opening Cross, the order, or a Market Maker submits multiple Opening any unexecuted portion of such order, Sweeps, the System will consider only the 7(b)(6). As proposed, an Opening Sweep most recent Opening Sweep at each price is a Market Maker order submitted for will be cancelled back to the entering participant. Similar to Phlx Options 3, level submitted by such Market Maker in execution against eligible interest in the determining the Opening Price. Unexecuted System during the Opening Process. Section 7(c)(3), BX proposes to replace Opening Sweeps will be cancelled once the 26 Market participants may specify orders the ‘‘On the Open Order’’ TIF with an affected series is open. ‘‘Opening Only’’ or ‘‘OPG’’ TIF, which for the Opening Process by placing a TIF The Exchange proposes to state at of ‘‘OPG’’ on the order as explained can only be executed in the Opening Process pursuant to Options 3, Section proposed BX Options 3, Section 8(b)(2) below. All Participants may submit that, ‘‘The System will allocate interest interest into the Opening Process. 8. Any portion of the order that is not executed during the Opening Process is pursuant to Options 3, Section 10.’’ Additionally, the Exchange proposes Options 3, Section 10 is the Exchange’s to amend current BX Options 3, Section cancelled. This order type is not subject to any protections listed in Options 3, allocation methodology which would 7(a)(9) to remove the current order type apply to allocation in the Opening described as ‘‘On the Open Order’’ and Section 15.27 Finally, the Exchange proposes to note that OPG orders may Process. This rule text is similar to Phlx instead adopt an ‘‘Opening Sweep’’ 28 not route. Options 3, Section 8(b)(ii). Today, BX order type similar to Phx at Options 3, allocates pursuant to Options 3, Section Section 7(b)(6). While the ‘‘On the Open The Exchange also proposes rule text 10 within its opening. The allocation Order’’ and ‘‘Opening Sweep’’ are within Options 3, Section 8(b)(1)(A) methodology is not being amended with similar, in that both order types may which is similar to Phlx Options 3, this proposal. only be entered during the Opening Section 8(b)(i)(A). BX proposes to state The Exchange proposes to reserve Process, and both cancel back the within Options 3, Section 8(b)(1)(A): Options 3, Section 8(c). Phlx discusses unexecuted portion of the order, the A Market Maker assigned in a particular Floor Broker orders within Options 3, Exchange believes that utilizing the option may only submit an Opening Sweep Section 8(c). BX does not have a Trading same terminology and level of detail in if, at the time of entry of the Opening Sweep, Floor and is reserving this section to describing this order type, as Phlx’s the Market Maker has already submitted and retain similar lettering/numbering as current description of an Opening maintained a Valid Width Quote. All compared to Phlx. Sweep, will conform the Opening Opening Sweeps in the affected series Pursuant to proposed BX Options 3, Process of these two Nasdaq affiliated entered by a Market Maker will be cancelled immediately if that Market Maker fails to Section 8(d), eligible interest may be markets. As is the case today, only a submitted into BX’s System and will be received starting at the times noted 20 24 Automated Quotation Adjustments are See proposed BX Options 3, Section 7(a)(9). herein. Specifically, Market Maker Valid 21 The term quotes shall refer to a two-sided described within BX Options 3, Section 15(c)(2). quote. 25 See current BX Options 3, Section 7(a)(9). Width Quotes and Opening Sweeps 22 Phlx describes what a Non-SQT Market Maker 26 See current BX Options 3, Section 7(b)(1). may submit. An ‘‘SQT’’ is a Streaming Quote 27 Phlx Options 3, Section 7(c)(3) provides that an 28 Current BX Options 3, Section 8(b)(5) states, ‘‘If Trader. That term is defined within Phlx Options OPG Order is not subject to any protections listed the BX Opening Cross price is selected and fewer 1, Section 1(b)(54) and is specific to Phlx. No such in Options 3, Section 15, except for Automated than all contracts of Eligible Interest that are term exists on BX. Further, Phlx has All-or-None Quotation Adjustments. Today, OPG Orders on available in BX Options would be executed, all Orders which are permitted to rest on the Order Phlx are not subject to any protections, including Eligible Interest shall be executed at the BX Book. See Phlx Options 3, Section 7(b)(5). BX’s All- Automated Quotation Adjustments protections. Opening Cross price in accordance with the or-None Orders must be executed in its entirety or Phlx intends to file a rule change to remove the rule execution algorithm assigned to the associated not at all, and do not rest on the Order Book. See text which provides, ‘‘except for Automated underlying option.’’ The Exchange would continue BX Options 3, Section 7(a)(8). The behavior of All- Quotation Adjustments,’’ as OPG Orders are not to allocate pursuant to the Exchange’s allocation or-None Orders is not relevant for BX’s Opening subject to that risk protection. BX will not include methodology within Options 3, Section 10. Further, because they do not rest on the Order Book and are the exception in the proposed rule text. OPG Orders in accordance with current BX Options 3, Section rejected pre-opening. are handled in the same manner by the Phlx System 8(b)(6), all eligible interest will be executed at the 23 See note 13 above. today and the BX System, as proposed. Opening Price and disseminated on OPRA.

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received starting at 9:25 a.m. will be requirements for Lead Market Makers. underlying security in the assigned included in the Opening Process. Orders Today, BX, unlike Phlx, does not option series has opened for trading. As entered at any time before an option require its Lead Market Makers to noted above, the quoting obligations series opens are included in the submit Valid Width Quotes. BX is not described in Phlx’s rule do not apply in Opening Process. This proposed proposing to adopt the same quoting BX’s current rule, as BX does not language adds specificity to the rule requirements during the Opening require Lead Market Makers to quote in regarding the submission of Valid Width Process that exist on Phlx. Therefore, the Opening Process today. The Quotes and Opening Sweeps. The 9:25 the Phlx requirement for Lead Market Exchange’s proposal does not require a.m. trigger is intended to tie the option Makers would not be applicable to BX. Lead Market Makers to quote during the Opening Process to quoting in the Further, proposed BX Options 3, Opening Process. majority of the underlying securities; it Section 8(d)(3) makes clear that the Similar to Phlx Options 3, Section presumes that option quotes submitted Opening Process will stop and an option 8(d)(v), BX proposed within Options 3, before any indicative quotes have been series will not open if the ABBO Section 8(d)(3) to provide that the disseminated for the underlying security becomes crossed. Therefore, the Opening Process will stop and an option may not be reliable or intentional. Exchange does not note within series will not open if the ABBO Therefore, the Exchange has chosen a proposed Options 3, Section 8(d)(1) that becomes crossed. Once this condition reasonable timeframe at which to begin the ABBO may not be crossed. no longer exists, the Opening Process in utilizing option quotes, based on the The Exchange is proposing to state in the affected option series will start again Exchange’s experience when underlying proposed BX Options 3, Section 8(d)(2), pursuant to paragraphs (f)–(k). All quotes start becoming available. BX’s similar to Phlx Options 3, Section eligible opening interest will continue current rule at Options 3, Section 8(b) 8(d)(ii), that for all options, the to be considered during the Opening provides the Opening Cross shall occur underlying security, including indexes, Process when the process is re-started. at or after 9:30 if the dissemination of must be open on the market for the The proposed rule reflects that the a regular market hours quote or trade by underlying security for a certain time ABBO cannot be crossed for the the market for the underlying security period to be determined by the Opening Process to proceed. These has occurred or in the case of index Exchange for the Opening Process to events are indicative of uncertainty in options the Exchange has received the commence. The Exchange is proposing the marketplace of where the option opening price of the underlying index. that the time period be no less than 100 series should be valued. In these cases, The Exchange continues to rely on the milliseconds and no more than 5 the Exchange will wait for the ABBO to underlying price with this proposal. seconds.30 This proposal is intended to become uncrossed before initiating the Proposed BX Options 3, Section permit the price of the underlying Opening Process to ensure that there is 8(d)(1) describes when the Opening security to settle down and not flicker stability in the marketplace in order to Process may begin with specific time- back and forth among prices after its assist the Exchange in determining the related triggers. The proposed rule opening. It is common for a stock to Opening Price, or for a Valid Width provides that the Opening Process for an fluctuate in price immediately upon Quote to be submitted. Unlike Phlx option series will be conducted opening; such volatility reflects a Options 3, Section 8(d)(v),31 BX will not pursuant to proposed Options 3, Section natural uncertainty about the ultimate consider if a Valid Width Quote(s) is no 8 (f) through (k) on or after 9:30 a.m., Opening Price, while the buy and sell longer present. Unlike Phlx, BX does when the System has received the interest is matched. The Exchange is not require its Lead Market Makers to opening trade or quote on the market for proposing a range of no less than 100 quote in the Opening Process. This the underlying security in the case of milliseconds and no more than 5 requirement is not necessary for BX as equity options or in the case of index seconds, in order to ensure that it has BX’s market would open with a BBO, options. This requirement is intended to the ability to adjust the period for which pursuant to Options 3, Section 8(f), tie the option Opening Process to the underlying security must be open on unless the ABBO becomes crossed. receipt of liquidity. This rule text differs the primary market. The Exchange may While, BX is not adopting Phlx’s from Phlx’s rule at Options 3, Section determine that in periods of high/low requirement to quote in the Opening 8(d)(i).29 Phlx’s rule describes quoting volatility that allowing the underlying Process, certain protections exist within to be open for a longer/shorter period of proposed Options 3, Section 8(d)(4). A 29 Phlx Options 3 Section 8(d)(i) provides, ‘‘The Valid Width NBBO must be present for Opening Process for an option series will be time may help to ensure more stability conducted pursuant to paragraphs (f)—(k) below on in the marketplace prior to initiating the BX to open with a trade pursuant to this or after 9:30 a.m. if: the ABBO, if any, is not Opening Process. proposal. crossed; and the System has received, within two BX is not adopting Phlx Rules at The Exchange proposes to add rule minutes (or such shorter time as determined by the text within proposed Options 3, Section Exchange and disseminated to membership on the Options 3, Section 8(d)(iii) and (iv), Exchange’s website) of the opening trade or quote which describe quoting obligations for 8(d)(4) to provide a scenario, which is on the market for the underlying security in the Phlx Lead Market Makers once an specific to BX, and would not be case of equity options or, in the case of index applicable to Phlx. The Exchange options, within two minutes of the receipt of the proposes that an Opening Process will opening price in the underlying index (or such Electronic Market Maker has submitted a Valid shorter time as determined by the Exchange and Width Quote.’’ stop and an options series will not open, disseminated to membership on the Exchange’s 30 The Phlx Opening Process is set at 100 if a Valid Width NBBO is no longer website), or within two minutes of market opening milliseconds. The Exchange believes that 100 present, pursuant to paragraph (i)(2). for the underlying currency in the case of U.S. milliseconds is the appropriate amount of time Once this condition no longer exists, the dollar-settled FCO (or such shorter time as given the experience with the Phlx market. The determined by the Exchange and disseminated to Exchange would set the timer for BX initially at 100 membership on the Exchange’s website) any of the milliseconds. The Exchange will issue a notice to 31 Phlx Options 3, Section 8(d)(v) provides, ‘‘The following: (A) the Lead Market Maker’s Valid Width provide the initial setting and, would, thereafter, Opening Process will stop and an option series will Quote; (B) the Valid Width Quotes of at least two issue a notice if it were to change the timing, which not open if the ABBO becomes crossed or when a Phlx Electronic Market Makers other than the Lead may be between 100 milliseconds and 5 seconds. Valid Width Quote(s) pursuant to paragraph (d)(i) Market Maker; or (C) if neither the Lead Market If the Exchange were to select a time not between is no longer present. Once each of these conditions Maker’s Valid Width Quote nor the Valid Width 100 milliseconds and 5 seconds, it would be no longer exist, the Opening Process in the affected Quotes of two Phlx Electronic Market Makers have required to file a rule proposal with the option series will start again pursuant to paragraphs been submitted within such timeframe, one Phlx Commission. (f)–(k) below.’’

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Opening Process in the affected options Unlike Phlx, which provides that 8(f) exist to ensure there are no series will start again, pursuant to certain conditions may not exist,32 BX’s impediments to opening with a PBBO paragraphs (j) and (k) below. Today, BX proposal affirmatively states that the (Phlx’s BBO). would not open with a trade unless System will open with no trade Current BX Options 3, Section 8(b)(2) there is a Valid Width NBBO present. provided one of the three conditions provides that ‘‘[i]f no trade is possible This would remain the case with this within Options 3, Section 8(f) are met. on BX, then BX will open dependent proposal. The Exchange believes that These three conditions are similar to upon one of the following: (A) A Valid the addition of this text provides market BX’s current rule text within Options 3, Width NBBO is present; (B) A certain participants with an expectation of the Section 8(b). BX’s proposal at proposed number of other options exchanges (as circumstances under which the Options 3, Section (f)(1) provides that determined by the Exchange) have Exchange would open an option series, that the System will open, provided any disseminated a firm quote on OPRA; or as well as price protection afforded to one of the three conditions are met, and (C) A certain period of time (as determined by the Exchange) has interest attempting to participate in the one of those conditions is a Valid Width elapsed.’’ It will continue to permit one Opening Process on BX. NBBO, as noted in (f)(1). Subject to Options 3, Section 8(f)(2), an options of these 3 scenarios to open an options Reopening After a Trading Halt series may open if a certain number of series on BX. The Exchange also notes other options exchanges (as determined that a Valid Width NBBO must be Proposed BX Options 3, Section 8(e) by the Exchange) have disseminated a present to open, pursuant to Options 3, is intended to provide information firm quote on OPRA.33 Also, an options Section 8(j) or (k), which are described regarding the manner in which a trading series will open if a certain period of below. halt would impact the Opening Process time, as determined by the Exchange, Further Opening Processes similar to Phlx Options 3, Section 8(e). has elapsed pursuant to Options 3, Proposed BX Options 3, Section 8(e) Section 8(f)(3).34 Unlike Phlx which If, as proposed, an opening did not states that ‘‘[t]he procedure described in requires a Lead Market Maker to quote occur pursuant to proposed paragraph this Rule will be used to reopen an during the Opening Process, BX requires (e) (Reopening After a Trading Halt) and option series after a trading halt. If there a Valid Width NBBO to open. Phlx’s there are opening Valid Width Quotes, is a trading halt or pause in the rule will open with a Valid Width or orders, that lock or cross each other, underlying security, the Opening Quote, unless all of the conditions in the System will calculate the Pre-Market 35 Process will start again irrespective of Phlx Options 3, Section 8(f) exist. The BBO. The Pre-Market BBO only uses the specific times listed in paragraph three conditions noted in Phlx, (i) a Valid Width Quotes, which provide (d).’’ This last sentence makes clear that Zero Bid Market; (ii) no ABBO; and (iii) both a bid and offer as compared to this rule applies to openings related to no Quality Opening Market, would orders which are one-sided. The rule text of proposed BX Options 3, Section the normal market opening, as well as cause Phlx to calculate an OQR because 8(g) provides, ‘‘If there are opening intra-day re-openings following a it could not open with a trade. The Valid Width Quotes or orders that lock trading halt. Current BX Options 3, Exchange notes that the concept is similar for Phlx and BX, except that the or cross each other, the System will Section 8(b) similarly provides that an calculate the Pre-Market BBO.’’ This Opening Cross shall occur when trading triggers for opening are different, a Valid Width Quote as compared to a Valid rule text is the same as Phlx Options 3, resumes after a trading halt. The Section 8(g). The Exchange calculates a Exchange is not amending this Width NBBO (e.g. BX does not require a Lead Market Maker to quote to open Pre-Market BBO in order for the provision, rather the text is being Exchange to open with a trade pursuant presented similar to Phlx’s Options 3, an option series and, thus does not require a Valid Width Quote to open). to proposed Options 3, Section 8(i), to Section 8. BX does not require a Valid Width ensure that the Pre-Market BBO is a Opening With a BBO Quote and, therefore, requires the Valid Width NBBO, which is required to conditions within proposed BX Options open the market.36 The Exchange does Proposed BX Options 3, Section 8(f) 3, Section 8(f) to open with a BBO not disseminate a Pre-Market BBO, describes when the Exchange may open Conversely, Phlx requires a Valid Width rather, the Exchange disseminates with a quote on its market (no trade). Quote and, therefore, once that Valid imbalance messages to notify The proposed rule states, Width Quote is available, Phlx would Participants of available trading Opening with a BBO (No Trade). If consider if all of the three conditions opportunities on BX during the Opening there are no opening quotes or orders noted within Phlx Options 3, Section Process. that lock or cross each other, and no Potential Opening Price 32 Phlx Options 3, Section 8(f) states, ‘‘Opening routable orders locking or crossing the with a PBBO (No Trade). If there are no opening Current BX Options 3, Section 8(b)(4) ABBO, the System will open with an quotes or orders that lock or cross each other and provides that the ‘‘[t]he BX Opening opening quote by disseminating the no routable orders locking or crossing the ABBO, Cross shall occur at the price that Exchange’s best bid and offer among the System will open with an opening quote by disseminating the Exchange’s best bid and offer maximizes the number of contracts of quotes and orders (‘‘BBO’’) that exist in among quotes and orders (‘‘PBBO’’) that exist in the eligible interest in BX Options to be the System at that time, if any of the System at that time, unless all three of the following executed at or within the ABBO and below conditions are satisfied: conditions exist: (i) A Zero Bid Market; (ii) no ABBO; and (iii) no Quality Opening Market. If all within a defined range, as established (1) A Valid Width NBBO is present; of these conditions exist, the Exchange will and published by the Exchange, of the calculate an Opening Quote Range pursuant to (2) A certain number of other options Valid Width NBBO.’’ The proposed paragraph (j) and conduct the Price Discovery Opening Process seeks to maximize the exchanges (as determined by the Mechanism pursuant to paragraph (k) below.’’ Exchange) have disseminated a firm 33 BX currently requires at least two other options exchanges to open. The setting will be initially set 35 See proposed BX Options 3, Section 8(g). quote on OPRA; or at two away options exchanges with this new 36 The Pre-Market BBO is calculated to ensure, (3) A certain period of time (as proposal. when the Exchange opens with a trade, a Valid determined by the Exchange) has 34 BX currently requires 15 minutes to pass with Width NBBO is present, particularly when there is respect to this setting, The setting will remain at 15 no away market quote or when the away market elapsed. minutes with this proposal. quote is not a Valid Width NBBO.

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number of number of contracts of Potential Opening Price on the The Exchange believes that since the eligible interest that will execute during maximum quantity that is executable. Opening Price can be determined within the Opening Process. The Exchange Proposed BX Options 3, Section a well-defined boundary and not trading proposes to establish boundaries, 8(h)(3) provides that ‘‘[t]he Opening through other markets, it is fair to open similar to Phlx, to establish the Opening Price is bounded by the better away the market immediately with a trade Price. The ABBO will continue to be market price that cannot be satisfied and to have the remaining interest considered as part of the Potential with the Exchange routable interest.’’ available to remain on the Order Book Opening Price. Proposed BX Options 3, The Exchange does not open with a to be potentially executed in the Section 8(i) describes the manner in trade at a price that trades through displayed market. Using a boundary- which the ABBO is considered in another market’s BBO. This process, based price counterbalances opening arriving at the Potential Opening Price. importantly, breaks a tie by considering faster at a less bounded and perhaps less Proposed BX Options 3, Section 8(h), the largest sized side and away markets, expected price and reduces the similar to Phlx Options 3, Section 8(h), which are relevant to determining a fair possibility of leaving an imbalance. describes the general concept of how the Opening Price. Proposed BX Options 3, Section System calculates the Potential Opening The System applies certain 8(i)(2), provides that if there is more Price under all circumstances, once the boundaries to the Potential Opening than one Potential Opening Price which Opening Process is triggered. The first Price to help ensure that the price is a meets the conditions set forth in sentence of that paragraph describes a reasonable one by identifying the proposed BX Options 3, Section Potential Opening Price as a price where quality of that price; if a well-defined, 8(i)(1)(A), (B) or (C), where (A) no the System may open once all other fair price can be found within these contracts would be left unexecuted and Opening Process criteria is met. Next, boundaries, the option series can open (B) any value used for the mid-point the rule text provides, ‘‘[t]o calculate the at that price without going through a calculation (which is described in Potential Opening Price, the System will further price discovery mechanism. subparagraph (g)) would cross either: (i) take into consideration all Valid Width Proposed BX Options 3, Section 8(i), The Pre-Market BBO or (ii) the ABBO, Quotes and orders (including Opening Opening with a Trade, provides: then the Exchange will open the option Sweeps) for the option series and The Exchange will open the option series series for trading with an execution and identify the price at which the for trading with a trade on Exchange interest use the best price which the Potential maximum number of contracts can trade only at the Opening Price, if any of these Opening Price crosses as a boundary (‘‘maximum quantity criterion’’). In conditions occur: price for the purpose of the mid-point (A) The Potential Opening Price is at or calculation. If these aforementioned addition, paragraphs (i)(1)(C) and (j)(5)– within the best of the Pre-Market BBO and (7) below contain additional provisions conditions are not met, but a Valid the ABBO, which is also a Valid Width Width NBBO is present, an Opening related to the Potential Opening Price.’’ NBBO; The proposal attempts to maximize the (B) the Potential Opening Price is at or Quote Range is calculated as described number of contracts that can trade, and within the non-zero bid ABBO, which is also in proposed BX Options 3, Section 8(j) is intended to find the most reasonable a Valid Width NBBO, if the Pre-Market BBO and the price discovery mechanism, and suitable price, relying on the is crossed; or described in proposed BX Options 3, (C) where there is no ABBO, the Potential maximization to reflect the best price. Section 8(k), would commence. The Opening Price is at or within the Pre-Market proposed rule explains the boundary, as Proposed BX Options 3, Section BBO, which is also a Valid Width NBBO. 8(h)(1) presents the scenario for more well as the price basis for the mid-point than one Potential Opening Price. For the purposes of calculating the calculation, to enable the market to Proposed Options 3, Section 8(h)(1) mid-point the Exchange will use the immediately open with a trade, which provides, better of the Pre-Market BBO or ABBO improves the detail included in the rule. as a boundary price and will open that The Exchange believes that this process More Than One Potential Opening Price. options series for trading with an is logical because it seeks to select a fair When two or more Potential Opening Prices execution at the resulting Potential and balanced price. This rule text is would satisfy the maximum quantity Opening Price.37 similar to Phlx Options 3, Section 8(i). criterion and leave no contracts unexecuted, Today, BX has the concept of a Valid the System takes the highest and lowest of These boundaries serve to validate the those prices and takes the mid-point; if such quality of the Opening Price. Proposed Width NBBO in its current rule. Rather mid-point is not expressed as a permitted BX Options 3, Section 8(i), provides that than adopt Phlx’s notion of a Quality minimum price variation, it will be rounded the Exchange will open the option series Opening Market,38 which is very similar to the minimum price variation that is closest for trading with an execution at the to the closing price for the affected series resulting Potential Opening Price, as 38 Phlx’s Quality Opening Market is a bid/ask from the immediately prior trading session. long as it is within the defined differential applicable to the best bid and offer from all Valid Width Quotes defined in a table to be If there is no closing price from the boundaries regardless of any imbalance. immediately prior trading session, the determined by the Exchange and published on the Exchange’s website. The calculation of Quality System will round up to the minimum price 37 BX’s current rule at Options 3, Section Opening Market is based on the best bid and offer variation to determine the Opening Price. 8(b)(4)(B) states, ‘‘If more than one price exists of Valid Width Quotes. The differential between the Proposed BX Options 3, Section under subparagraph (A), and there are no contracts best bid and offer are compared to reach this that would remain unexecuted in the cross, the BX determination. The allowable differential, as 8(h)(2) presents the scenario for two or Opening Cross shall occur at the midpoint price, determined by the Exchange, takes into account the more Potential Opening Prices. rounded to the penny closest to the price of the last type of security (for example, Penny Pilot versus Proposed Options 3, Section 8(h)(2) execution in that series (and in the absence of a non-Penny Pilot issue), volatility, option premium, provides, ‘‘If two or more Potential previous execution price, the price will round up, and liquidity. The Quality Opening Market if necessary) of (1) the National Best Bid or the last differential is intended to ensure the price at which Opening Prices for the affected series offer on BX Options against which contracts will be the Exchange opens reflects current market would satisfy the maximum quantity traded whichever is higher, and (2) the National conditions. See Phlx Options 3, Section 8(a)(viii). criterion and leave contracts Best Offer or the last bid on BX Options against Similarly, BX’s Valid Width NBBO is the unexecuted, the Opening Price will be which contracts will be traded whichever is lower.’’ combination of all away market quotes and Valid This process for considering the mid-point is being Width Quotes received over the SQF. The Valid either the lowest executable bid or eliminated in favor of Phlx’s methodology for Width NBBO will be configurable by the underlying highest executable offer of the largest calculating the mid-point as described in proposed security, and tables with valid width differentials, sized side.’’ This, again, bases the BX Options 3, Section 8(h). Continued

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to the concept of a Valid Width NBBO, markets are no longer crossed. Once the series 40 the OQR would broaden the BX retained the concept of a Valid away markets are no longer crossed, the range of prices at which the Exchange Width NBBO. Phlx’s rules at Options 3, Exchange will determine if a Valid may open. This would allow additional Section 8(d), require a Valid Width Width NBBO can be calculated. Assume interest to be eligible for consideration Quote. The calculation of Phlx’s Quality the ABBO uncrosses because MIAX in the Opening Process. The OQR is an Opening Market is based on the best bid updates their quote to .90–1.15, the BX additional type of boundary beyond the and offer of Valid Width Quotes. BX’s BBO of 1.05–1.10 is considered a Valid boundaries mentioned in proposed BX proposed rule will only require a Valid Width NBBO. Pursuant to proposed Options 3, Section 8(h) and (i). OQR is Width NBBO, which is the combination Options 3, Section 8(f), BX Options will intended to limit the Opening Price to of all away market quotes and Valid open with no trade and BBO a reasonable, middle ground price and Width Quotes received over SQF. disseminated as 1.05–1.10. thus reduce the potential for erroneous Unlike Phlx’s requirements in Options Example 2: (BX Options orders/quotes trades during the Opening Process. 3, Section 8(d), which require a Lead are crossed, ABBO is Valid Width Although the Exchange applies other Market Maker’s quote, a BX Lead Market NBBO) boundaries such as the BBO, the OQR Maker may quote during the Opening Assume that the Valid Width NBBO provides a range of prices that may be Process, but is not required to quote in bid/ask differential is set by the able to satisfy additional contracts, the Opening Process. BX’s proposed Exchange at .10. while still ensuring a reasonable rule retained the concept of a Valid Opening Price. The Exchange seeks to Width NBBO because there is no Market Maker1 is quoting on the execute as much volume as is possible requirement for Lead Market Makers to Exchange 1.05–1.15 (10x10 contracts) at the Opening Price. OQR is submit a Valid Width Quote. In contrast, Market Maker2 is quoting on the constrained by the least aggressive limit Phlx utilized a Quality Opening Market Exchange .90-.95 (10x10 contracts) prices within the broader limits of OQR. concept. BX BBO crossed, 1.05–.95, while The least aggressive buy order or Valid BX’s Valid Width NBBO is another Market Maker3 is quoting on Width Quote bid and least aggressive configurable by underlying, and a table the Exchange at .90–1.15 (10x10 sell order or Valid Width Quote offer with valid width differentials is contracts). within the OQR will further bound the available on BX’s web page.39 Away Since the BX BBO is crossed, the OQR. Although the Exchange applies markets that are crossed (e.g. Cboe crossing quotes are excluded from the other boundaries such as the BBO, the crosses MIAX, BOX crosses CBOE) will Valid Width NBBO calculation. OQR is outside of the BBO. It is meant void all Valid Width NBBO However, assume Cboe is quoting .95– to provide a price that can satisfy more calculations. If any Market Maker quotes 1.10 and MIAX is quoting .95–1.05, size without becoming unreasonable. on BX Options are crossed internally, resulting in an uncrossed ABBO of .95– Below is an example of the manner in then all such quotes will be excluded 1.05. which OQR is constrained. from the Valid Width NBBO calculation. The ABBO of .95–1.05 meets the OQR Example: Assume the below pre- Within the Valid Width NBBO, all away required .10 bid/ask differential and is opening interest: market quotes and any combination of considered a Valid Width NBBO. As Lead Market Maker quotes 4.10 (100) x Market Maker Valid Width Quotes, Market Maker1 and Market Maker2 have 4.20 (50) whether they include the Exchange’s 10 contracts each, these contracts will Order1: Public Customer Buy 300 @4.39 Best Bid or Offer or not, are represented. cross because there is more than one Order2: Public Customer Sell 50 @4.13 The price discovery on BX currently price at which those contracts could Order3: Public Customer Sell 5 @4.29 includes not only Market Maker quotes, execute. The opening will occur with 10 Opening Quote Range configuration in but also away market interest, this will contracts executing at 1.00, which is the this scenario is +/¥0.10 remain the same with the proposal. The mid-point of the NBBO. 9:30 a.m. events occur, underlying following examples illustrate the At the end of the Opening Process, opens calculation of the Valid Width NBBO: only the quote from Market Maker3 First imbalance message: Buy imbalance Example 1: (away markets are crossed) remains so the BX Options disseminated @4.20, 100 matched, 200 unmatched Assume the Valid Width NBBO bid/ quote at the end of Opening Process will Next 3 imbalance messages: Buy ask differential is set by BX at .10. be .90–1.15 (10x10 contracts). imbalance @4.29, 105 matched, 195 Market Maker1 is quoting on the The requirement of a Valid Width unmatched Exchange 1.05–1.15 NBBO being present continues to ensure Potential Opening Price calculation Market Maker2 is quoting on the that the Opening Price is rationally would have been 4.20 + 0.10 = 4.30, Exchange 1.00–1.10 based on what is present in the broader but OQR is further bounded by the BX BBO 1.05–.1.10 marketplace during the Opening least aggressive Sell order @4.29 Assume Cboe is quoting .90–1.10 Process. As noted herein, the Valid Order1 executes against Order 2 50 @ Assume MIAX is quoting .70–.85. 4.29 Since the ABBO is crossed (.90-.85), Width NBBO includes all away market quotes. A Potential Opening Price must Order1 executes against Lead Market Valid Width NBBO calculations are not Maker quote 50 @4.29 taken into account until the away be at or within the ABBO, provided the market opened prior to calculation an Order1 executes against Order 3 5 @4.29 OQR as discussed below. Remainder of Order1 cancels as it is which will be posted by the Exchange on its through the Opening Price Proposed BX Options 3, Section 8(j) website. Away markets that are crossed will void Lead Market Maker quote purges as its all Valid Width NBBO calculations. If any Market provides that the System will calculate entire offer side volume has been Maker quotes on the Exchange are crossed an Opening Quote Range (‘‘OQR’’) for a internally, then all Exchange quotes will be exhausted particular option series that will be excluded from the Valid Width NBBO calculation. Specifically, to determine the utilized in the price discovery These two concepts both provide the applicable minimum value for the OQR, an bid/ask differential and ensure the price at which mechanism if the Exchange has not amount, as defined in a table to be the Exchange opens reflects current market opened subject to any of the provisions conditions. 39 See https://www.nasdaqtrader.com/Content/ described above. Provided the Exchange 40 This would refer to an opening pursuant to TechnicalSupport/BXOptions_SystemSettings.pdf. has been unable to open the option proposed BX Options 3, Section 8(f) or (i).

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determined by the Exchange, will be Finally, proposed BX Options 3, receiving a potentially erroneous subtracted from the highest quote bid Section 8(j)(6) provides if the Exchange execution price on the opening. among Valid Width Quotes on the determines that non-routable interest Opening immediately has the benefit of Exchange and on the away market(s), if can execute the maximum number of speed and certainty, but that benefit any, except as provided in proposed BX Exchange contracts against Exchange must be weighed against the quality of Options 3, Section 8(j) paragraphs (3) interest, after routable interest has been the execution price, and whether orders and (4). To determine the maximum determined by the System to satisfy the were left unexecuted. The Exchange value for the OQR, an amount, as away market, then the Potential believes that the proposed rule strikes defined in a table to be determined by Opening Price is the price at which the an appropriate balance. maximum number of contracts can the Exchange, will be added to the The proposed rule attempts to open execute, excluding the interest which lowest quote offer among Valid Width using Exchange interest only to will be routed to an away market, which Quotes on the Exchange and on the determine an Opening Price, provided away market(s), if any, except as may be executed on the Exchange as described in proposed BX Options 3, certain conditions contained in provided in proposed BX Options 3, proposed BX Options 3, Section 8(j) are 41 Section 8(h). This continues the theme Section 8(j) paragraphs (3) and (4). present, to ensure market participants However, if one or more away markets of trying to satisfy the maximum receive a quality execution in the are disseminating a BBO that is not amount of interest during the Opening opening. The proposed rule does not crossed, and there are Valid Width Process. This is similar to Phlx Options consider away market liquidity, for Quotes on the Exchange that cross each 3, Section 8(j). BX’s proposed rule at purposes of routing interest to other other or are marketable against the Options 3, Section 8(j)(6) provides that markets, until the price discovery ABBO, then the minimum value for the the System will route all routable mechanism pursuant to proposed OQR will be the highest away bid.42 It interest pursuant to Options 3, Section paragraph (k). Rather, away market should be noted that the Opening 10(a)(1).46 Both Phlx and the proposed prices are considered for purposes of Process would stop and an option series BX rule cite to their respective 47 avoiding trade-throughs. As a result, the will not open if the ABBO becomes allocation rules. Exchange might open without routing, if crossed, pursuant to proposed Options Price Discovery Mechanism 3, Section 8(d)(3). In addition, the all of the conditions described above are maximum value for the OQR will be the If the Exchange has not opened met. The Exchange believes that the lowest away offer.43 pursuant to proposed paragraphs (f) or benefit of this process is a more rapid (i), after the OQR is calculated, pursuant opening with quality execution prices. If there is more than one Potential to proposed BX Options 3, Section 8(j), Opening with a quote, pursuant to Opening Price possible, where no the Exchange will conduct a price Options 3, Section 8(f), would not contracts would be left unexecuted, any discovery mechanism, pursuant to require consideration of away market price used for the mid-point calculation proposed BX Options 3, Section 8(k), quotes because BX would have opened (which is described in proposed BX which is similar to Phlx Options 3, with a local quote that was not locked Options 3, Section 8(h)(3)), that is Section 8(k). The price discovery or crossed with the away market, outside of the OQR, will be restricted to mechanism is the process by which the provided there are no opening quotes or the OQR price on that side of the market Exchange seeks to identify an Opening orders that lock or cross each other, and for the purposes of the mid-point Price having not been able to do so no routable orders locking or crossing calculation. BX Options 3, Section following the process outlined thus far the ABBO.48 With respect to Opening 8(j)(4) continues the theme of relying on herein. The principles behind the price with a Trade, pursuant to Options 3, both maximizing executions and discovery mechanism are, as described Section 8(i), the Exchange would not looking at the correct side of the market above, to satisfy the maximum number consider away market interest if it could to determine a fair price. of contracts possible by identifying a open immediately with a trade, Proposed BX Options 3, Section price that may leave unexecuted provided that the Exchange would not 8(j)(5) deals with the situation where contracts. However, the price discovery trade-through an away market. If BX is there is an away market price involved. mechanism applies a proposed, wider locked and crossed with an away If there is more than one Potential boundary to identify the Opening Price, market, then the Exchange would Opening Price possible, where no and the price discovery mechanism require additional price discovery, contracts would be left unexecuted, involves seeking additional liquidity. pursuant to Options 3, Section 8(j) and pursuant to proposed BX Options 3, The Exchange believes that (k). Finally, the Exchange considers Section 8(h)(3), when contracts will be conducting the price discovery process away market interest in the Valid Width routed, the System will use the away in these situations protects orders from NBBO. market price as the Potential Opening receiving a random price that does not Price. The Exchange is seeking to reflect the totality of what is happening Today, pursuant to current BX execute the maximum amount of in the markets on the opening, and also Options 3, Section 8(b)(3) and (7), BX volume possible at the Opening Price. further protects opening interest from disseminates, by electronic means, an The Exchange will enter into the Order Order Imbalance Indicator every 5 seconds beginning between 9:20 and Book any unfilled interest at a price 46 Phlx Options 3, Section 8(k)(C)(6) provides, equal to or inferior to the Opening ‘‘The System will execute orders at the Opening 9:28, or a shorter dissemination interval 44 Price that have contingencies (such as, without as established by the Exchange, with the Price. It should be noted, the limitation, all-or-none) and non-routable orders, Exchange will not trade through an default being set at 9:25 a.m. The start such as a ‘‘Do Not Route’’ or ‘‘DNR’’ Orders, to the of dissemination, and a dissemination away market.45 extent possible. The System will only route non- contingency Public Customer and Professional interval, are posted by BX on its orders.’’ Phlx routes Public Customer and website. Also, BX would disseminate an 41 See proposed BX Options 3, Section 8(j)(2). Professional orders, while BX would route orders Order Imbalance Indicator for an 42 See proposed BX Options 3, Section 8(j)(3)(A). for all market participants. 43 imbalance containing marketable See proposed BX Options 3, Section 8(j)(3)(B). 47 Phlx Options 3, Section 8(k)(E) provides that 44 See proposed BX Options 3, Section 8(k)(5). the allocation provisions of Options 3, Section 10 45 See current BX Options 3, Section 5(d). will apply. 48 See BX Options 3, Section 8(f).

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routable interest.49 The Exchange The Exchange proposes to provide at Case 1—An Update Which Does Not proposes to continue to disseminate an BX Options 3, Section 8(k)(1)(A), An Result in a Change to Potential Opening imbalance, but instead of the manner in Imbalance Message will be disseminated Price which BX utilizes an Order Imbalance showing a ‘‘0’’ volume and a $0.00 price Valid Width NBBO = 0.20 Indicator today, BX would instead post if: (i) No executions are possible but CBOE market maker quotes 1.15 x 1.30 up to 4 Imbalance Messages which each routable interest is priced at or through (10) run its own Imbalance Timer, similar to the ABBO; or (ii) internal quotes are BX Market Maker quotes 1 x 1.25 (10) Phlx. Today, BX’s imbalance process crossing each other. Where the Potential Order to sell arrives for 1 contract @1.26 begins, even if it has no interest. With Opening Price is through the ABBO, an (Potential Opening Price updates, but this proposal, BX’s imbalance message imbalance message will display the side determines there is no match, and will serve to notify Participants of the of interest priced through the ABBO. therefore no change to lack of availability of interest to cross in the This rule text explains the Potential Opening Price) opening. The Exchange believes that the information that is being conveyed Order to buy arrives for 100 contracts @ proposed methodology will attract when an imbalance message indicates 1.26 (Potential Opening Price updates, interest during the Opening Process, ‘‘0’’ volume, such as (i) when no and changes to 1.26) because the imbalance message will executions are possible and routable Order to buy arrives for 1000 contracts highlight for Participants the available interest is priced at or through the @1.24 (Potential Opening Price size that may be crossed. The Exchange ABBO; or (ii) internal quotes are updates, but remains unchanged from believes that Phlx’s process attracts crossing each other. The Imbalance 1.26) additional liquidity, because the Message provides detail regarding the Case 2—An Update Results in a Change to the Potential Opening Price proposed amendments are intended to potential state of the interest available. create a more robust experience for Valid Width NBBO = 0.20 Where the Potential Opening Price is CBOE market maker quotes 1.15 x 1.30 market participants seeking to have through the ABBO, an imbalance their orders executed during the (10) message will display the side of interest Opening Process. The Exchange believes BX Market Maker quotes 1 x 1.25 (10) priced through the ABBO. The adopting Phlx’s process improves the Order to sell arrives for 1 contract @1.26 Imbalance Message provides quality of execution of BX Options’ (Potential Opening Price updates, but transparency to market participants opening by attracting more liquidity determines there is no match, and during the Opening Process. This rule through more meaningful imbalance therefore no change to lack of text differs from Phlx Options 3, Section notifications that broadcast trading Potential Opening Price) 8(k)(A)(1),51 which also provides, ‘‘. . . opportunities during BX’s Opening Order to buy arrives for 1000 contracts or there is a Valid Width Quote, but Process. The proposed changes give @1.24 (Potential Opening Price there is no Quality Opening Market.’’ Participants more transparency into updates, but determines there is no BX’s Opening Process that would afford BX, as noted herein, does not have a match, and therefore no change to them a better experience. concept of a Quality Opening Market, lack of Potential Opening Price) but does have a concept of a Valid Order to sell arrives for 1000 contracts Specifically, proposed BX Options 3, Width NBBO, which is always required, @1.24 (Potential Opening Price Section 8(k)(1) provides that the System when attempting to open with a trade updates and changes to 1.24) will broadcast an Imbalance Message for pursuant to Options 3 Section 8(d)(4). In If during or at the end of the the affected series (which includes the addition, a Valid Width Quote is always Imbalance Timer, the Opening Price is symbol, side of the imbalance, size of required on Phlx pursuant to Options 3, at or within the OQR, the Imbalance matched contracts, size of the Section 8(d), but the open is not Timer will end and the System will imbalance, and Potential Opening Price required to be quoted by a Lead Market open with a trade at the Opening Price bounded by the Pre-Market BBO) to Maker on BX. Therefore, the third if the executions consist of Exchange participants, and begin an ‘‘Imbalance prong, a Valid Width Quote from a local interest only without trading through Timer,’’ not to exceed three seconds to Market Maker, in the Phlx rule text is the ABBO, and without trading through notify Participants of available interest unnecessary for BX. the limit price(s) of interest within OQR, that may be crossed during the Opening Proposed BX Options 3, Section which is unable to be fully executed at Process. The Imbalance Timer would the Opening Price. If no new interest initially be set 200 milliseconds.50 The 8(k)(2), states that any new interest received by the System will update the comes in during the Imbalance Timer, Imbalance Message is intended to attract and the Potential Opening Price is at or additional liquidity, much like an Potential Opening Price. An update may not result in an immediate change to the within OQR and does not trade through auction, using an auction message and the ABBO, the Exchange will open with timer. The Imbalance Timer would be Potential Opening Price, however, the Exchange will consider new interest as a trade at the end of the Imbalance for the same number of seconds for all Timer at the Potential Opening Price. options traded on the Exchange. it arrives and update the Potential Opening Price accordingly based on This reflects that the Exchange is Pursuant to this proposed rule, as seeking to identify a price on the described in more detail below, the existing interest and new interest. By way of example: Exchange without routing away, yet Exchange may have up to 4 Imbalance which price may not trade through Messages which each run its own another market and the quality of which Imbalance Timer. 51 Phlx Options 3, Section 8(k)(A)(1) provides, ‘‘An Imbalance Message will be disseminated is addressed by applying the OQR showing a ‘‘0’’ volume and a $0.00 price if: (i) No boundary. 49 See current BX Options 3, Section 8(b)(3). executions are possible but routable interest is Provided the option series has not 50 The Phlx timer is currently set at 200 priced at or through the ABBO; (ii) internal quotes opened pursuant to proposed Options 3, milliseconds. The Exchange will issue a notice to are crossing each other; or (iii) there is a Valid 52 provide the initial setting and would thereafter Width Quote, but there is no Quality Opening Section 8(k)(2), the System will send issue a notice if it were to change the timing. If the Market. Where the Potential Opening Price is Exchange were to select a time which exceeds 3 through the ABBO, an imbalance message will 52 The System would not open pursuant to seconds, it would be required file a rule proposal display the side of interest priced through the proposed Options 3, Section 8(k)(2) if the Potential with the Commission. ABBO.’’ Opening Price is outside of the OQR, or if the

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a second Imbalance Message with a contracts’’) would satisfy the number of the order is received by the away Potential Opening Price that is bounded marketable contracts available on the market. by the OQR (and would not trade Exchange. This provision protects the Proposed Options 3, Section through the limit price(s) of interest unexecuted interest and should result in 8(k)(3)(C)(ii) provides if the total within OQR, which is unable to be fully a fairer price.55 The Exchange will open number of better priced away contracts executed at the Opening Price) and the option series by routing and/or would not satisfy the number of includes away market volume in the trading on the Exchange, pursuant to marketable contracts the Exchange has, size of the imbalance to Participants; proposed Options 3, Section 8(k)(3)(C) the System will determine how many and concurrently initiate a Route Timer, paragraphs (i) through (iii). contracts it has available at the not to exceed one second.53 The Route Exchange Opening Price. If the total Timer is intended to give Exchange Proposed Options 3, Section number of better priced away contracts, users an opportunity to respond to an 8(k)(3)(C)(i) provides if the total number plus the number of contracts available at Imbalance Message before any opening of better priced away contracts would the Exchange Opening Price, would interest is routed to away markets and, satisfy the number of marketable satisfy the number of marketable thereby, maximize trading on the contracts available on the Exchange on contracts on the Exchange on either the Exchange. If during the Route Timer, either the buy or sell side, the System buy or sell side, the System will interest is received by the System, will route all marketable contracts on contemporaneously route, based on which would allow the Opening Price to the Exchange to such better priced away price/time priority of routable interest, a be within OQR, without trading through markets as Intermarket Sweep Order number of contracts that will satisfy away markets and without trading (‘‘ISO’’),56 designated as Immediate-or- interest at away markets at prices better through the limit price(s) of interest Cancel (‘‘IOC’’) 57 Order(s), and than the Exchange Opening Price and within OQR, which is unable to be fully determine an opening BX Best Bid or trade available contracts on the executed, the System will open with Offer (‘‘BBO’’) that reflects the interest Exchange at the Exchange Opening trades and the Route Timer will remaining on the Exchange. The System Price. The System will price any simultaneously end. The System will will price any contracts routed to away contracts routed to away markets at the monitor quotes and orders received markets at the Exchange’s Opening Price better of the Exchange Opening Price or during the Route Timer period and or pursuant to proposed Options 3, the order’s limit price pursuant to this make ongoing corresponding changes to Section 8(k)(3)(C)(ii) or (iii) described subparagraph. This continues with the the permitted OQR and Potential below. Routing away at the Exchange’s theme of maximum possible execution Opening Price to reflect them.54 This Opening Price is intended to achieve the of the interest on the Exchange or away proposal serves to widen the boundary best possible price available at the time markets. of available Opening Prices, which Proposed Options 3, Section should similarly increase the likelihood 55 Current BX Options 3, Section 8(b)(4)(C) 8(k)(3)(C)(iii) provides if the total that an Opening Price can be considers unexecuted contracts. The proposed number of better priced away contracts, determined. The Route Timer, like the Opening Process likewise serves to protect plus the number of contracts available at unexecuted interest and also execute as many the Exchange Opening Price, plus the Imbalance Timer, is intended to permit contract as possible during the Opening Process. responses to be submitted and The System will price any contracts routed to away contracts available at away markets at considered by the System in calculating markets at the better of the Exchange Opening Price the Exchange Opening Price would the Potential Opening Price. The System or the order’s limit price. Any unexecuted contracts satisfy the number of marketable from the imbalance not traded or routed will be contracts the Exchange has on either the does not route away until the Route cancelled back to the entering participant if they Timer ends. remain unexecuted and priced through the Opening buy or sell side, the System will Proposed Options 3, Section 8(k)(3)(C) Price. All other interest will be eligible for trading contemporaneously route, based on provides if no trade occurred pursuant after opening, if consistent with the Participant’s price/time priority of routable interest, a to proposed Section 8(k)(3)(B), when the instruction as provided for within proposed number of contracts that will satisfy Options 3, Section 8(k)(3)(E) pursuant to a Forced Route Timer expires, if the Potential Opening. interest at away markets at prices better Opening Price is within OQR (and 56 BX Options 3, Section 7(a)(6) provides that an than the Exchange Opening Price would not trade through the limit ‘‘Intermarket Sweep Order’’ or ‘‘ISO’’ are limit (pricing any contracts routed to away price(s) of interest within OQR, which orders that are designated as ISOs in the manner markets at the better of the Exchange is unable to be fully executed at the prescribed by BX and are executed within the Opening Price or the order’s limit price), System by Participants at multiple price levels Opening Price), the System will without respect to Protected Quotations of other trade available contracts on the determine if the total number of Eligible Exchanges as defined in Options 5, Section Exchange at the Exchange Opening contracts displayed at better prices than 1. ISOs may have any time-in-force designation Price, and route a number of contracts the Exchange’s Potential Opening Price except WAIT, are handled within the System that will satisfy interest at away markets pursuant to Options 3, Section 10 and shall not be on away markets (‘‘better priced away eligible for routing as set out in Options 3, Section at prices equal to the Exchange Opening 19. ISOs with a time-in-force designation of GTC are Price. This provision is intended to Potential Opening Price is at or within the OQR, but treated as having a time-in-force designation of Day. introduce routing to away markets would otherwise trade through the ABBO, or 57 BX Options 3, Section 7(b)(2) provides that an potentially both at a better price than through the limit price(s) of interest within the ‘‘Immediate Or Cancel’’ or ‘‘IOC’’ shall mean for the Exchange Opening Price, as well as OQR, which is unable to be fully executed at the orders so designated, that if after entry into the Potential Opening Price. System a marketable order (or unexecuted portion at the Exchange Opening Price to access 53 The Route Timer would be a brief timer that thereof) becomes non-marketable, the order (or as much liquidity as possible to operates as a pause before an order is routed to an unexecuted portion thereof) shall be canceled and maximize the number of contracts able away market. Currently, the Phlx Route Timer is set returned to the entering participant. IOC Orders to be traded as part of the Opening to one second. BX’s Route Timer will also be shall be available for entry from the time prior to initially set to one second. The Exchange will issue market open specified by the Exchange on its Process. The Exchange routes at the a notice to Members to provide the initial setting website until market close and for potential better of the Exchange’s Opening Price and would thereafter issue a notice to Members, if execution from 9:30 a.m. until market close. IOC or the order’s limit price to first ensure it were to change the timing within the range of up Orders entered between the time specified by the the order’s limit price is not violated. to one second. If the Exchange were to select a time Exchange on its website and 9:30 a.m. Eastern Time beyond one second, it would be required file a rule will be held within the System until 9:30 a.m. at Routing away at the Exchange’s proposal with the Commission. which time the System shall determine whether Opening Price is intended to achieve the 54 See proposed BX Options 3, Section 8(k)(3)(B). such orders are marketable. best possible price for the routed order,

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at the time the order is received by the Exchange Opening Price for their provide certainty to its Participants, in away market. By way of example: disseminated size, trading available line with current handling on BX. Example of Interest ‘‘Better Than’’ and contracts on the Exchange at the Proposed Options 3, Section ‘‘Better of the Exchange Opening Exchange Opening Price bounded by 8(k)(3)(F), provides the System will Price’’ rule text: Options 3, Section OQR (without trading through the limit execute non-routable orders, such as 8(k)(3)(C)(ii), Options 3, Section price(s) of interest within OQR, which ‘‘Do-Not-Route’’ or ‘‘DNR’’ Orders,60 to 8(k)(3)(C)(iii) and Options 3, Section is unable to be fully executed at the the extent possible. The System will 61 8(k)(5) Opening Price). The System will also only route non-contingency orders. 62 BX Market Maker 1 BBO 4.00 x 4.15 route contracts to away markets at Unlike Phlx, which describes (100 contracts) prices equal to the Exchange Opening contingency orders, BX does not have contingency orders that participate in Cboe 4.00 x 4.14 (100 contracts) Price at their disseminated size. In this the Opening Process.63 The Exchange is DNR Order to buy 105 @4.20 situation, the System will price any adding this detail to memorialize the Routable SRCH Order to buy 100 contracts routed to away markets at the contracts at 4.18 manner in which the System will better of the Exchange Opening Price or execute non-routable orders at the Sell 2 contracts @4.21 the order’s limit price. Any unexecuted After imbalance process: opening. The Exchange desires to interest from the imbalance not traded SRCH Order routes at limit price of 4.18 provide certainty to market participants or routed will be cancelled back to the (better than Opening Price of 4.20) as to which contingency orders will and executes at 4.14 on Cboe’s offer. entering Participant, if they remain execute, and which orders will route DNR Order trades 100 with BX Market unexecuted and priced through the during the Opening Process. Maker quote (quote purges) Opening Price, otherwise orders will The Exchange proposes to state at remain in the Order Book. All other Proposed Options 3, Section Options 3, Section 8(k)(4) that, pursuant interest will be eligible for trading after 8(k)(3)(D) provides that the System may to Options 3, Section 8(k)(3)(F), the System will re-price Do Not Route send up to two additional Imbalance opening, if consistent with the Orders (that would otherwise have to be Messages 58 (which may occur while the Participant’s instruction. The routed to the exchange(s) disseminating Route Timer is operating) bounded by boundaries of OQR and limit prices the ABBO for an opening to occur) to a OQR and reflecting away market interest within the OQR are intended to ensure price that is one minimum trading in the volume. These boundaries are a quality Opening Price as well as increment inferior to the ABBO, and intended to assist in determining a protect unexecutable interest, which disseminate the re-priced DNR Order as reasonable price at which an option may not be able to be fully executed. 59 part of the new BBO. This paragraph series might open. This provision is This rule differs from Phlx’s rule. On explains the treatment of DNR Orders, proposed to further state that after the Phlx, unless the member that submitted similar to Phlx Options 3, Section Route Timer has expired, the processes the original order has instructed the Exchange in writing to reenter the 8(k)(3)(D). The System will re-price a in proposed Options 3, Section DNR Order when any residual DNR 8(k)(3)(C)(3) will repeat (except no new remaining size, the remaining size will be automatically submitted as a new Order interest, which was not satisfied Route Timer will be initiated). No new in the Opening Process, crosses the Route Timer is initiated, because after order, whereas BX’s proposed rule will 64 cancel the order back to the entering ABBO. the Route Timer has been initiated and Proposed BX Options 3, Section subsequently expired, no further delay party. The Exchange believes that 8(k)(5) provides that the System will is needed before routing contracts. This cancelling the order back to the cancel any order or quote priced is the case if at any point thereafter the Participant allows for the Participant to through the Opening Price. All other Exchange is able to satisfy the total determine how its customer would like interest will be eligible for trading after number of marketable contracts the its order to be handled. The Exchange the opening. This rule text is similar to Exchange has by executing on the believes that there are many methods in Phlx Options 3, Section 8(k)(G). This Exchange and routing to other markets. which to handle an order that is not rule text makes clear that interest priced Proposed Options 3, Section executed. BX proposes to cancel back to through the Opening will be cancelled. 8(k)(3)(E), entitled ‘‘Forced Opening,’’ Proposed BX Options 3, Section will describe what happens as a last 59 Phlx Options 3, Section 8(k)(C)(5), ‘‘Forced 8(k)(6), which is identical to Phlx resort in order to open an options series Opening. After all additional Imbalance Messages Options 3, Section 8(k)(E), provides that when the processes described above have occurred pursuant to paragraph (4) above, the System will open the series by executing as many during the opening of the option series, have not resulted in an opening of the contracts as possible by routing to away markets at where there is an execution possible, options series. Under this process, prices better than the Exchange Opening Price for the System will give priority to Market called a Forced Opening, after all their disseminated size, trading available contracts Orders 65 first, then to resting Limit additional Imbalance Messages have on the Exchange at the Exchange Opening Price bounded by OQR (without trading through the limit 60 occurred, pursuant to proposed price(s) of interest within OQR which is unable to A Do-Not-Route Order is described within BX subparagraph (D), the System will open be fully executed at the Opening Price), and routing Options 5, Section 4(a)(iii)(A). the series by executing as many contracts to away markets at prices equal to the 61 Phlx’s Rule at Options 3, Section 8(k)(6) states contracts as possible by routing to away Exchange Opening Price at their disseminated size. that the System will only route Public Customer In this situation, the System will price any contracts and Professional orders. BX will allow all orders to markets at prices better than the routed to away markets at the better of the Exchange route not just Public Customer and Professional Opening Price or the order’s limit price. Any orders. 58 The first two Imbalance Messages always occur unexecuted interest from the imbalance not traded 62 See Phlx Options 3, Section 8(k)(C)(6). if there is interest which will route to an away or routed will be cancelled back to the entering 63 BX Minimum Quantity Orders and All-or-None market. If the Exchange is thereafter unable to open participant if they remain unexecuted and priced Orders, which are described within Options 3, at a price without trading through the ABBO, up to through the Opening Price, unless the member that Section 7(a)(4) and (8), respectively, are both two more Imbalance Messages may occur based on submitted the original order has instructed the Immediate or Cancel Orders, which are rejected pre- whether or not the Exchange has been able to open Exchange in writing to reenter the remaining size, opening and therefore do not participate in the before repeating the Imbalance Process. The in which case the remaining size will be Opening Process. Exchange may open prior to the end of the first two automatically submitted as a new order. All other 64 See proposed BX Options 3, Section 8(k)(4). Imbalance Messages provided routing is not interest will be eligible for trading after opening, if 65 BX Options 3, Section 7(a)(5) provides that necessary. consistent with the member’s instructions.’’ ‘‘Market Orders’’ are orders to buy or sell at the best

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Orders 66 and quotes. The allocation Exchange believes that market interest which locks or crosses each provisions of Options 3, Section 10 will participants would prefer to have these other and does not cross the ABBO, the apply. Options 3, Section 10 describes orders returned to them for further option opens for trading with an BX’s Order Book allocation. The assessment, rather than have these Exchange BBO of 2.05 (10) × 2.10 (100) Exchange is providing certainty to orders immediately entered onto the and no trade. Since there is a Valid market participants as to the priority Order Book at a price which is more Width NBBO, the System does not scheme during the Opening Process. aggressive than the price at which the conduct the price discovery mechanism Market Orders will be immediately Exchange opened. and the option opens without delay. executed first, because these orders have Example 2a. Proposed Options 3, Opening Process Cancel Timer no specified price and Limit Orders will Section 8(i) Opening with Trade. be executed, thereafter, in accordance The Exchange proposes to retain BX’s Suppose the LMM enters the same quote with the prices specified. Opening Order Cancel Timer, which is in an option, 2.00 (100) bid and 2.10 Proposed BX Options 3, Section currently described within Options 3, (100) offer. This quote defines the Pre- 8(k)(7),which is identical to Phlx Section 8(c). The Exchange proposes to Market BBO. CBOE disseminates a Options 3, Section 8(k)(F), provides that relocate this rule text within Options 3, quote of 2.01 (100) by 2.09 (100), upon opening of an option series, Section 8(l), similar to Phlx Options 3, making up the ABBO. Firm A enters a regardless of an execution, the System Section 8(l), and rename it ‘‘Opening buy order at 2.04 for 50 contracts. Firm disseminates the price and size of the Process Cancel Timer.’’ While the B enters a sell order at 2.04 for 50 Exchange’s best bid and offer (BBO). Exchange is retaining the timer, the contracts. The Exchange opens with the This provision simply makes known the Exchange proposes to amend the rule Firm A and Firm B orders fully trading manner in which the Exchange text to conform the language to Phlx’s at an Opening Price of 2.04 which establishes the BBO for purposes of rule text. This process specifies that if satisfies the condition defined in reference upon opening. an options series has not opened before proposed Options 3, Section 8(i), the Finally, proposed BX Options 3, the conclusion of the Opening Process Potential Opening Price is at or within Section 8(k)(8) provides that any Cancel Timer, a Participant may elect to the best of the Pre-Market BBO and the remaining contracts, which are not have orders returned by providing ABBO, which is a Valid Width NBBO. priced through the Exchange Opening written notification to the Exchange. Example 2b. Proposed Options 3, Price after routing a number of contracts The Opening Process Cancel Timer will Section 8(i) Opening with Trade. to satisfy better priced away contracts, continue to be posted by the Exchange Similarly, suppose the LMM enters the will be posted to the Order Book at the on its website. Orders submitted same quote in an option, 2.00 (100) bid better of the away market price or the through FIX with a TIF of Good-Till- and 2.10 (100) offer. A Market Maker order’s limit price. This includes DNR Canceled 68 or ‘‘GTC’’ may not be enters a quote of 2.00 (100) × 2.12 (100). Orders that are not crossed with the cancelled, as is the case today. This The Pre-Market BBO is therefore 2.00 Opening Price. Only in the event that provision would provide for the bid and 2.10 offer. CBOE disseminates ABBO interest, which the DNR Order continued return of orders for un- a quote of 2.05 (100) by 2.15 (100), would otherwise be crossing, has been opened options symbols. As is the case making up the ABBO. Firm A enters a satisfied by routable interest during the today, Participants would have the buy order at 2.11 for 300 contracts. Firm Opening Process would DNR Orders be ability to elect to have orders returned, B enters a sell order at 2.11 for 100 included within the remaining contracts except for non-GTC orders, when contracts. The option does not open for described in proposed BX Options 3, options do not open. This functionality trading because the Potential Opening Section 8(k)(8).67 This rule text accounts provides Participants with choice about Price of 2.11 does not satisfy the for orders which have routed away and where, and when, they can send orders condition defined in proposed Options returned unsatisfied, and also accounts for the opening that would afford them 3, Section 8(i) as the Potential Opening for interest that remains unfilled during the best experience. Price is outside the Pre-Market BBO. the Opening Process, provided that The System thereafter calculates the interest was not priced through the Opening Process Examples OQR and initiates the price discovery Opening Price. The following examples are intended mechanism, as discussed in proposed The Exchange cancels orders, which to demonstrate the Opening Process. Options 3, Section 8(k) to facilitate the are priced through the Opening Price, Example 1. Proposed Options 3, Opening Process for the option. since it lacks enough liquidity to satisfy Section 8(f) Opening with a BBO (No Assume an allowable OQR of 0.04. these orders on the opening, yet their Trade). Suppose the Lead Market Maker When the price discovery mechanism is limit price gives the appearance that (‘‘LMM’’) in an option enters a quote, initiated: they should have been executed. The 2.00 (100) bid and 2.10 (100) offer and The System broadcasts the first a buy order to pay 2.05 for 10 contracts Imbalance Message with a Potential price available at the time of execution. Participants is present in the System. The System Opening Price of 2.10 and a sell side can designate that their Market Orders not executed also observes an ABBO is present with imbalance of 200 and 100 matched. after a pre-established period of time, as established The System opens with a trade @2.11 by the Exchange, will be cancelled back to the CBOE quoting a spread of 2.05 (100) and Participant. 2.15 (100). Given the Exchange has no with Firm A buying 100 from the LMM 66 BX Options 3, Section 7(a)(3) provides that and another 100 from Firm B; invoking ‘‘Limit Orders’’ are orders to buy or sell an option 68 BX Options 3, Section 7(b)(4) provides that a OQR of 0.04 (the maximum value for at a specified price or better. A limit order is ‘‘Good Til Cancelled’’ or ‘‘GTC’’ shall mean for OQR is the lowest quote offer (2.10) plus marketable when, for a limit order to buy, at the orders so designated, that if after entry into System, 0.04). time it is entered into the System, the order is the order is not fully executed, the order (or priced at the current inside offer or higher, or for unexecuted portion thereof) shall remain available Example 3. Proposed Options 3, a limit order to sell, at the time it is entered into for potential display and/or execution unless Section 8(k) Price Discovery Mechanism the System, the order is priced at the inside bid or cancelled by the entering party, or until the option and second iteration with routing. lower. expires, whichever comes first. GTC Orders shall be Suppose the LMM enters a quote, 2.00 67 DNR Orders that are not crossed with the available for entry from the time prior to market Opening Price rest on the Order Book at the better open specified by the Exchange on its website until (100) bid and 2.10 (100) offer and the of the ABBO price or the DNR Order’s limit order market close and for potential execution from 9:30 defined allowable OQR is 0.04. If CBOE price. a.m. until market close. disseminates a quote of 2.00 (100) by

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2.09 (100), the away offer is better than determinations to allow wider markets, is being granted by the Exchange. BX the LMM quote. Public Customer A BX Regulation should consider the would no longer file a report with BX enters a routable buy order at 2.10 for following factors: (A) Whether there is operations. Today, no other Nasdaq 150 contracts. The price discovery pending news, a news announcement or exchange files a report when it grants mechanism initiates because the other special events; (B) whether the exemptions in the opening, including Potential Opening Price (2.10) is equal underlying security is trading outside of exemptions for BX Market Makers. The to the Pre-Market BBO but outside of the the bid or offer in such security then Exchange notes that decisions to grant ABBO. The Potential Opening Price is being disseminated; (C) whether exemptions in the opening are made 2.10 because there is both buy and sell Options Participants receive no based on current market conditions. BX interest at that price point. The System response to orders placed to buy or sell is required to react swiftly when market is unable to open after the first iteration the underlying security; and (D) conditions change dramatically and, of Imbalance since the Potential whether a vendor quote feed is clearly thereby, may require BX to grant Opening Price is within the OQR but stale or unreliable. quoting relief in the opening. The outside of the ABBO. The System (1) In the event that BX Regulation additional steps that are currently proceeds with the price discovery determines that unusual market required on BX are not conducive to mechanism and initiates a Route Timer conditions exist in any option, it will be granting relief in fast changing markets. and broadcasts a second Imbalance the responsibility of BX Regulation to The Exchange notes that other options Message (assume no additional interest file a report with Exchange Operations markets do not limit the quote relief is received during the imbalance setting forth the relief granted for the they would grant their lead market period). The System opens the option unusual market conditions, the time and makers in the same manner as BX limits for trading after the Route Timer has duration of such relief and the reasons quote relief for its Lead Market Makers. expired and the Imbalance Timer has therefore. The Exchange believes that permitting completed since the Potential Opening Phlx’s Rule at Options 3, Section BX to have the same discretion as Phlx, Price is within OQR. The System routes 8(a)(ix) allows the Exchange to establish ISE, GEMX and MRX will assist the 100 contracts of the Public Customer differences, other than those noted Exchange in making similar order to the better priced away offer at within Options 3, Section 8(a)(ix), for determinations to affected options CBOE. The Exchange would route to one or more series or classes of options. series. CBOE at an Opening Price of 2.10 to The Exchange is proposing to add execute against the interest at 2.09 on similar discretion to proposed BX Implementation CBOE. The 50 options contracts open Options 3, Section 8(a)(9). The rule text The Exchange intends to begin and execute on the Exchange with an of BX Options 2, Section 4(g) permits implementation of the proposed rule Opening Price of 2.10. The Exchange spread differentials of up to two times, change prior to , 2020. The routes to CBOE using the Exchange’s or in exceptional circumstances, up to Exchange will issue an Options Trader Opening Price to ensure, if there is three times, the legal limits permitted Alert to Members to provide notification market movement, that the routed order under this Rule. This limitation does of the symbols that will migrate and the is able to access any price point equal not exist today on Phlx, Nasdaq ISE, relevant dates. to or better than the Exchange’s Opening LLC (‘‘ISE’’), Nasdaq GEMX, LLC Price. (‘‘GEMX’’) or Nasdaq MRX, LLC 2. Statutory Basis 69 Options 2, Section 4 (‘‘MRX’’). Today, BX Regulation takes The Exchange believes that its into account: (A) Whether there is proposal is consistent with Section 6(b) The Exchange proposed to define a pending news, a news announcement or of the Act,71 in general, and furthers the ‘‘Valid Width Quote’’ within proposed other special events; (B) whether the objectives of Section 6(b)(5) of the Act,72 Options 3, Section 8(a)(9) as ‘‘a two- underlying security is trading outside of in particular, in that it is designed to sided electronic quotation, submitted by the bid or offer in such security then promote just and equitable principles of a Market Maker, quoted with a being disseminated; (C) whether trade and to protect investors and the difference not to exceed $5 between the Options Participants receive no public interest for the reasons stated bid and offer regardless of the price of response to orders placed to buy or sell below. the bid.’’ The Exchange proposed to the underlying security; and (D) The Exchange’s proposal to amend state within proposed BX Options 3, whether a vendor quote feed is clearly BX’s Opening Process is consistent with Section 8(a)(9), similar to Phlx’s Rule at stale or unreliable, in making such the Act. The Exchange believes that Options 3, Section 8(a)(ix), that the determinations when granting quoting adopting some methodologies similar to ‘‘The Exchange may establish discretion. The ability to establish Phlx Options 3, Section 8 will enhance differences other than the above for one differences, other than the stated bid/ BX’s current Opening Process, while or more series or classes of options.’’ ask differentials, for one or more series retaining certain elements of its current The Exchange proposes to remove the or classes of options already exists today process, such as the Valid Width rule text from Options 2, Section 4(g) for BX Lead Market Maker quoting NBBO 73 and not requiring its Lead and reserve that subparagraph. Options requirements, however this discretion in Market Makers to quote during the 2, Section 4(g) provides, the opening is limited by BX Options 2, 74 (g) Unusual Conditions—Opening Opening Process. Also, the proposed Section 4(g).70 Auction. If the interest of maintaining a The Exchange’s proposal amendments will continue to allow BX fair and orderly market so requires, BX would align the procedure BX would 71 15 U.S.C. 78f(b). Regulation may declare that unusual follow with procedures of other Nasdaq options exchanges, which notify 72 15 U.S.C. 78f(b)(5). market conditions exist in a particular 73 The Exchange proposes to retain the Valid issue and allow LMMs in that issue to members in writing, via an Options Regulatory Alert, of any discretion that Width NBBO requirements with respect to Opening make auction bids and offers with With a Trade pursuant to proposed Options 3, spread differentials of up to two times, Section 8(i) and (j). 69 ISE, GEMX and MRX Rules at Options 3, 74 Today, BX Lead Market Makers may quote or in exceptional circumstances, up to Section 8(a)(8) provides the same discretionary during the opening, but they are not obligated to three times, the legal limits permitted language as exists on Phlx today. quote. BX Lead Market Makers are required to quote under this Rule. In making such 70 See BX Options 2, Section 4(f)(5). intra-day. See BX Options 2, Section 4(j).

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to open with an optimal price, as the primary market does not open, and an Eligible Interest proposed rule further limits the opening alternate primary market is not The first part of the proposed BX price boundaries. At a high level, the designated and/or is also unable to Opening Process determines what proposal would permit the price of the open. In this situation, the Exchange constitutes eligible interest. The underlying security to settle down and proposes to utilize a non-primary Exchange’s proposal seeks to make clear not flicker back and forth among prices market to open its market. The what type of eligible opening interest is after its opening. It is common for a Exchange will select the non-primary included. Valid Width Quotes, Opening stock to fluctuate in price immediately market with the most liquidity in the Sweeps, and orders are included. The upon opening; such volatility reflects a aggregate for all underlying securities Exchange further notes that Market natural uncertainty about the ultimate from the primary market for the Makers may submit quotes, Opening Opening Price, while the buy and sell previous two calendar months, Sweeps and orders, but quotes other interest is matched. The proposed rule excluding the primary and alternate than Valid Width Quotes will not be provides for a range of no less than 100 markets. For example, in the event that included in the Opening Process. The milliseconds and no more than 5 the New York Stock Exchange LLC was Exchange believes that defining what seconds, in order to ensure that it has unable to open because of an issue with qualifies as eligible interest is consistent the ability to adjust the period for which its market and it designated NYSE Arca with the Act because market the underlying security must be open on as its alternative market, and the participants will be provided with the primary market. The Exchange may alternate primary was unable to open or certainty, when submitting interest, as determine that in periods of high/low NYSE was unable to designate an to which type of interest will be volatility that allowing the underlying alternate market because of system considered in the Opening Process. to be open for a longer/shorter period of Unlike the regular session where time may help to ensure more stability difficulties, then BX would determine which non-primary market had the most orders route if they cannot execute on in the marketplace prior to initiating the BX, the Opening Process is a price Opening Process. liquidity in the aggregate for all underlying securities for the previous discovery process which considers interest, both on BX and away markets, Definitions two calendar months, excluding the to determine the optimal bid and offer primary and alternate markets. The The Exchange’s proposal amends and with which to open the market. The Exchange would utilize that market to alphabetizes the current definitions Opening Process seeks the price point at within Options 3, Section 8(a). The open all underlying securities from the which the most number of contracts Exchange proposes to set forth the primary market. In order to open an may be executed while protecting away following terms: ‘‘Away Best Bid or option series it would require an equity market interest. Offer’’ or ‘‘ABBO;’’ ‘‘imbalance;’’ market’s underlying quote. Utilizing a The Exchange’s proposal to define an ‘‘market for the underlying security;’’ non-primary market with the most ‘‘Opening Sweep’’ within BX Options 3, ‘‘Opening Price;’’ ‘‘Opening Process;’’ liquidity in the aggregate for all Section 7(b)(9), similar to Phlx Options ‘‘Potential Opening Price;’’ ‘‘Pre-Market underlying securities for the previous 3, Section 7(b)(i), will also align the BX BBO;’’ ‘‘Valid Width National Best Bid two calendar months will ensure that and Phlx rules. Specifically, the or Offer’’ or ‘‘Valid Width NBBO;’’ the Exchange opens based on the next Exchange proposes to remove the ‘‘Valid Width Quote,’’ and ‘‘Zero Bid best alternative to the primary market current order type described as ‘‘On the Market.’’ The amendment of the given the circumstances. This Open Order’’ and instead adopt an ‘‘Definitions’’ section is consistent with contingency will provide the Exchange ‘‘Opening Sweep’’ order type, similar to the Act because the terms will assist with the ability to open in situations Phlx at Options 3, Section 7(b)(6). The market participants in understanding where the primary market is adoption of an Opening Sweep is the meaning of terms used throughout experiencing an issue, and also where consistent with the Act because the the proposed Rule. an alternative primary market may also order type will permit Market Makers to With respect to the amendment to the be impacted. The Exchange believes that continue to submit orders during the definition of the term, ‘‘market for the this proposal would protect investors Opening Process for execution against underlying security,’’ the Exchange’s eligible interest in the System. Other proposal would remove the concept of and the general public by providing additional venues for BX to utilize as market participants may continue to a primary volume market and replace also submit orders with a TIF of ‘‘OPG’’ that concept with an alternative market part of its Opening Process and thereby allow investors to transact on its market. for the Opening Process. As is the case designated by the primary market. It is today, only a Market Maker may enter most likely the case that the primary The Exchange desires to open its market despite any issues that may arise with an Opening Sweep into SQF for market is the primary volume market, so execution against eligible interest in the this term offers no contingency in most the underlying market. The Exchange is proposing alternate methods to open its System during the Opening Process. cases. The primary market has the Therefore, all Participants will continue ability to designate an alternate primary market to account for situations which may arise if the primary market is to be able to enter orders into the market when the primary market is Opening Process. The order types are unable to open, and if the proposed experiencing difficulties. In those very similar; both order types are alternate designated market is unable to situations, the Exchange proposes to cancelled upon the open if not open. Once the market opens with an utilize the alternate primary market to executed. A difference is that the underlying price, the options market open its market. For example, in the Opening Sweep is not subject to any event that the New York Stock Exchange may continue to trade for the remainder risk protections listed within Options 3, LLC was unable to open because of an of the trading day. The Exchange Section 15, except for Automated issue with its market and it designated believes it benefits investors and the Quotation Adjustments.75 NYSE Arca as its alternative market, general public to have the options BX also proposes to replace its current then BX would utilize NYSE Arca as the market available to enter new positions, ‘‘TIF’’ of ‘‘On the Open Order’’ or market for the underlying security. or close open positions. This term is Second, the Exchange proposes identical to Phlx’s Options 3, Section 75 Automated Quotation Adjustments are another alternative in the event that the 8(a)(ii). described within BX Options 3, Section 15(c)(2).

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‘‘OPG’’ to an ‘‘Opening Only’’ or ‘‘OPG’’ rule text is similar to Phlx Options 3, describe quoting requirements for Lead TIF, which can only be executed in the Section 8(b)(ii).79 The allocation Market Makers once an underlying Opening Process pursuant to Options 3, methodology is not being amended with security in the assigned option series Section 8.76 This TIF is similar to Phlx, this proposal. has opened for trading. Today, BX, in that, any portion of the order that is The Exchange believes that this unlike Phlx, does not require its Lead not executed during the Opening allocation is consistent with the Act Market Makers to submit Valid Width Process is cancelled. This order type is because it mirrors the current allocation Quotes. BX is not proposing to adopt the not subject to any protections listed in process on BX in other trading sessions. same quoting requirements during the Options 3, Section 15.77 The Exchange The Exchange proposes at BX Options Opening Process that exist on Phlx. believes that the adoption of the 3, Section 8(d) the specific times that Therefore, the Phlx requirement for Opening Sweep and OPG Order is eligible interest may be submitted into Lead Market Makers would not be consistent with the Act in that BX’s System. The Exchange’s proposed applicable to BX. Further, proposed BX Participants will be able to continue to time for entering Market Maker Valid Options 3, Section 8(d)(3) makes clear submit orders to be entered into the Width Quotes and Opening Sweeps that the Opening Process will stop and Opening Process. The two orders types (9:25 a.m.) eligible to participate in the an option series will not open if the will conform Phlx’s order types, which Opening Process, are consistent with the ABBO becomes crossed. Therefore, the are relevant to the Opening Process, Act because the times are intended to tie Exchange does not note within with those of BX. These order types the option Opening Process to quoting proposed Options 3, Section 8(d)(1) that would continue to not be not valid in certain underlying securities; 80 it the ABBO may not be crossed. While, outside of the Opening Process; they presumes that option quotes submitted BX is not adopting Phlx’s requirement may not be submitted in the regular before any indicative quotes have been to quote in the Opening Process, trading session. disseminated for the underlying security protections exist within proposed With respect to an Opening Sweep, may not be reliable or intentional. The Options 3, Section 8(d)(4). A Valid the Exchange further provides the Exchange believes the time represents a Width NBBO must be present for BX to manner in which Opening Sweeps may reasonable timeframe at which to begin Open with a Trade pursuant to this be entered into the System. The utilizing option quotes, based on the proposal. Exchange proposes rule text within Exchange’s experience when underlying The Exchange’s proposed rule Options 3, Section 8(b)(1)(B), which is quotes start becoming available. The considers the underlying security, similar to Phlx Options 3, Section proposed language adds specificity to including indexes, which must be open 8(b)(i)(B). An Opening Sweep may be the rule regarding the submission of on the primary market for a certain time entered at any price with a minimum orders. period for all options to be determined price variation applicable to the affected The Exchange’s proposal at BX by the Exchange for the Opening series, on either side of the market, at Options 3, Section 8(d)(1) describes Process to commence. The Exchange single or multiple price level(s), and when the Opening Process can begin proposes a time period be no less than may be cancelled and re-entered. A with specific time-related triggers. The 100 milliseconds and no more than 5 single Market Maker may enter multiple proposed rule, which provides that the seconds to permit the price of the Opening Sweeps, with each Opening Opening Process for an option series underlying security to settle down and Sweep at a different price level. If a will be conducted on or after 9:30 a.m., not flicker back and forth among prices after its opening. Since it is common for Market Maker submits multiple when the System has received an Opening Sweeps, the System will a stock to fluctuate in price immediately opening trade or quote on the market for consider only the most recent Opening upon opening, the Exchange accounts the underlying security in the case of Sweep at each price level submitted by for such volatility in its process. The equity options or in the case of index such Market Maker. Unexecuted volatility reflects a natural uncertainty options is consistent with the Act. This Opening Sweeps will be cancelled once about the ultimate Opening Price, while requirement is intended to tie the option the affected series is open.78 The the buy and sell interest is matched. The Opening Process to receipt of liquidity. Exchange believes that the addition of Exchange’s proposed range is consistent If the System has not received an Opening Sweeps will also provide with the Act, because it ensures that it opening trade or quote on the market for certainty to market participants as to the has the ability to adjust the period for the underlying security, the Exchange manner in which the System will which the underlying security must be handle such interest. will not initiate the Opening Process or open on the primary market. The With respect to trade allocation, the continue an ongoing Opening Process. Exchange may determine that in periods proposal notes at proposed BX Options The Exchange’s proposal to amend its of high/low volatility that allowing the 3, Section 8(b)(2) that the System will Opening Process is consistent with the underlying to be open for a longer/ allocate pursuant to BX Options 3, Act because the new rule continues to shorter period of time may help to Section 10, as is the case today. This seek the best price. Phlx Rules at ensure more stability in the marketplace Options 3, Section 8(d)(iii) and (iv) prior to initiating the Opening Process. 76 See current BX Options 3, Section 7(a)(9). Similar to Phlx Options 3, Section 79 77 Phlx Options 3, Section 7(c)(3) provides that an Current BX Options 3, Section 8(b)(5) states, ‘‘If 8(d)(v), BX Options 3, Section 8(d)(3) the BX Opening Cross price is selected and fewer OPG Order is not subject to any protections listed provides that the Opening Process will in Options 3, Section 15, except for Automated than all contracts of Eligible Interest that are Quotation Adjustments. Today, OPG Orders on available in BX Options would be executed, all stop and an option series will not open Phlx are not subject to any protections, including Eligible Interest shall be executed at the BX if the ABBO becomes crossed. Once this Automated Quotation Adjustments protections. Opening Cross price in accordance with the condition no longer exists, the Opening Phlx intends to file a rule change to remove the rule execution algorithm assigned to the associated text which provides, ‘‘except for Automated underlying option.’’ The Exchange would continue Process in the affected option series will Quotation Adjustments,’’ as OPG Orders are subject to allocate pursuant to the Exchange’s allocation start again pursuant to paragraphs (f)–(k) to that risk protection. BX will not include the methodology within Options 3, Section 10. Further, of Options 3, Section 8. All eligible exception in the proposed rule text. OPG Orders are in accordance with current BX Options 3, Section opening interest will continue to be handled in the same manner by the Phlx System 8(b)(6), all eligible interest will be executed at the today and the BX System, as proposed. Opening Price and displayed on OPRA. considered during the Opening Process 78 See proposed BX Options 3, Section 8(b)(1)(B). 80 For purposes of this rule, the underlying when the process is re-started. Not See also proposed BX Options 3, Section 7(a)(9). security can also be an index. opening if the ABBO becomes crossed is

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consistent with the Act and the there is stability in the marketplace in of trade because it uses size as a tie protection of investors and the public order to assist the Exchange in breaker. interest because a crossed ABBO is determining the Opening Price. Current The System will calculate an OQR for indicative of uncertainty in the BX Options 3, Section 8(b) similarly a particular option series that will be marketplace with respect to where the provides that an Opening Cross shall utilized in the price discovery option series should be valued. Waiting occur when trading resumes after a mechanism if the Exchange has not for the ABBO to become uncrossed trading halt. The Exchange is not opened, pursuant to the provisions in before initiating the Opening Process amending this provision, rather the text Options 3, Section 8(d)–(i). OQR would ensures that there is stability in the is being presented similar to Phlx’s broaden the range of prices at which the marketplace and will assist the Options 3, Section 8. Exchange may open to allow additional Exchange in determining the Opening interest to be eligible for consideration Price. Unlike Phlx Options 3, Section Opening With a BBO in the Opening Process. OQR is 8(d)(v),81 BX will not consider if a Valid The Exchange’s proposed rule intended to limit the Opening Price to Width Quote(s) is no longer present. accounts for a situation where there are a reasonable, middle ground price, and Unlike Phlx, BX does not require its no opening quotes or orders that lock or thus reduce the potential for erroneous Lead Market Makers to quote in the cross each other and no routable orders trades during the Opening Process. Opening Process. This requirement is locking or crossing the ABBO. In this Although the Exchange applies other not necessary for BX as BX’s market situation, the System will open with an boundaries such as the BBO, the OQR would open with a BBO, pursuant to opening quote by disseminating the provides a range of prices that may be Options 3, Section 8(f), unless the Exchange’s best bid and offer among able to satisfy additional contracts while ABBO becomes crossed. quotes and orders (‘‘BBO’’) that exist in still ensuring a reasonable Opening The Exchange’s proposal to add rule the System at that time, if any of the Price. More specifically, the Exchange’s text, within proposed Options 3, Section conditions are met (1) a Valid Width Opening Price is bounded by the OQR 8(d)(4), to make clear that the Exchange NBBO is present; (2) a certain number without trading through the limit would not open with a trade, pursuant of other options exchanges (as price(s) of interest within OQR, which to paragraph (i)(2), if a Valid Width determined by the Exchange) have is unable to fully execute at the Opening NBBO is not present is consistent with disseminated a firm quote on OPRA; or Price in order to provide participants the Act. Once this condition no longer (3) a certain period of time (as with assurance that their orders will not be traded through. The Exchange seeks exists, the Opening Process in the determined by the Exchange) has to execute as much volume as is affected options series will start again elapsed. These three conditions are pursuant to paragraphs (j) and (k) below. possible at the Opening Price. similar to BX’s current rule text within The Exchange’s method for Today, BX would not open with a trade Options 3, Section 8(b). The Exchange unless there is a Valid Width NBBO determining the Potential Opening Price desires to maintain these three potential and Opening Price is consistent with the present. This would remain the case conditions which it believes are valid with this proposal. The Exchange Act because the proposed process seeks sources of liquidity to determine an to discover a reasonable price and believes that the addition of this text Opening Price. provides market participants with an considers both interest present in BX’s expectation of the circumstances under Further Opening Processes and Price System as well as away market interest. which the Exchange would open an Discovery Mechanism The Exchange’s method seeks to validate the Opening Price and avoid option series, as well as price protection The proposed rule promotes just and afforded to interest attempting to opening at aberrant prices. The rule equitable principles of trade because, in provides for opening with a trade, participate in the Opening Process on arriving at the Potential Opening Price, BX. which is consistent with the Act, the rule considers the maximum because it enables an immediate Reopening After a Trading Halt number of contracts that can be opening to occur within a certain executed, which results in a price that In order to provide certainty to market boundary without need for the price is logical and reasonable in light of participants in the event of a trading discovery process. The boundary away markets and other interest present halt, the Exchange provides in its provides protections while still ensuring in the System. As noted herein, the proposal information regarding the a reasonable Opening Price. Exchange’s Opening Price is bounded manner in which a trading halt would The proposed rule considers more by the OQR without trading through the impact the Opening Process. Proposed than one Potential Opening Price, which limit price(s) of interest within OQR, BX Options 3, Section 8(e) provides if is consistent with the Act, because it which is unable to fully execute at the there is a trading halt or pause in the forces the Potential Opening Price to fall Opening Price, in order to provide underlying security, the Opening within the OQR boundary, thereby Participants with assurance that their Process will start again, irrespective of providing price protection. Specifically, orders will not be traded through. the specific times listed in paragraph the mid-point calculation balances the Although the Exchange applies other (d). The Exchange’s proposal to restart, price among interest participating in the boundaries such as the BBO, the OQR in the event of a trading halt, is Opening, when there is more than one provides a range of prices that may be consistent with the Act and promotes price at which the maximum number of able to satisfy additional contracts while contracts could execute. Limiting the just and equitable principles of trade still ensuring a reasonable Opening mid-point calculation to the OQR, when because the proposed rule ensures that Price. The Exchange seeks to execute as a price would otherwise fall outside of the OQR, ensures the final mid-point 81 Phlx Options 3, Section 8(d)(v) provides, ‘‘The much volume as is possible at the Opening Process will stop and an option series will Opening Price. When choosing between price will be within the protective OQR not open if the ABBO becomes crossed or when a multiple Opening Prices when some boundary. If there is more than one Valid Width Quote(s) pursuant to paragraph (d)(i) contracts would remain unexecuted, Potential Opening Price possible, where is no longer present. Once each of these conditions no contracts would be left unexecuted no longer exist, the Opening Process in the affected using the lowest bid or highest offer of option series will start again pursuant to paragraphs the largest sized side of the market and any price used for the mid-point (f)–(k) below.’’ promotes just and equitable principles calculation is an away market price,

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when contracts will be routed, the Exchange is utilizing the interest Exchange Opening Price (pricing any System will use the away market price currently present on its market to contracts routed to away markets at the as the Potential Opening Price. determine a quality Opening Price.82 better of the Exchange Opening Price or The Exchange’s proposal to route all The Exchange will attempt to match the order’s limit price), trade available interest, pursuant to Options 3, Section interest in the System, which is within contracts on the Exchange at the 10(a)(1), is consistent with the Act. The the OQR, and not leave interest Exchange Opening Price, and route a Exchange believes that it routing all unsatisfied that was otherwise at that number of contracts that will satisfy routable interest will provide all market price. The Exchange will not trade- interest at other markets at prices equal participants the opportunity to have through the away market interest in to the Exchange Opening Price. This their interest executed on away markets. satisfying this interest at the Exchange. provision is consistent with the Act The price discovery mechanism The proposal attempts to maximize the because it considers routing to away reflects what is generally known as an number of contracts that can trade, and markets potentially both at a better price imbalance process and is intended to is intended to find the most reasonable than the Exchange Opening Price, as attract liquidity to improve the price at and suitable price, relying on the well as at the Exchange Opening Price, which an option series will open as well maximization to reflect the best price. to access as much liquidity as possible as to maximize the number of contracts With respect to the manner in which to maximize the number of contracts that can be executed on the opening. the Exchange disseminates an able to be traded as part of the Opening This process will only occur if the Imbalance Message, as proposed within Process. The Exchange routes at the Exchange has not been able to otherwise BX Options 3, Section 8(k)(A), the better of the Exchange’s Opening Price open an option series utilizing the other Imbalance Message is intended to attract or the order’s limit price to first ensure processes available in proposed BX additional liquidity, much like an the order’s limit price is not violated. Options 3, Section 8. The Exchange auction, using an auction message and Routing away at the Exchange’s believes the process presented in the timer. The Imbalance Timer is Opening Price is intended to achieve the price discovery mechanism is consistent consistent with the Act because it best possible price available at the time with just and equitable principles of would provide a reasonable time for the order is received by the away trade because the process applies a participants to respond to the Imbalance market. proposed, wider boundary to identify Message before any opening interest is Proposed BX Options 3, Section the Opening Price and seeks additional routed to away markets and, thereby, 8(k)(3)(E), entitled ‘‘Forced Opening,’’ liquidity. The price discovery maximize trading on the Exchange. The provides for the situation where, as a mechanism also promotes just and Imbalance Timer would be for the same last resort, the Exchange may open an equitable principles of trade by taking number of seconds for all options traded options series when the processes into account whether all interest can be on the Exchange. This process will described above have not resulted in an fully executed, which helps investors by repeat, up to four iterations, until the opening of the options series. Under a including as much interest as possible options series opens. The Exchange Forced Opening, the System will open in the Opening Process. The Exchange believes that this process is consistent the series executing as many contracts believes that conducting the price with the Act because the Exchange is as possible by routing to away markets discovery process in these situations seeking to identify a price on the at prices better than the Exchange protects opening orders from receiving a Exchange without routing away, yet Opening Price for their disseminated random price that does not reflect the which price may not trade through size, trading available contracts on the totality of what is happening in the another market and the quality of which Exchange at the Exchange Opening markets on the opening and also further is addressed by applying the OQR Price, bounded by OQR (without trading protects opening interest from receiving boundary. through the limit price(s) of interest a potentially erroneous execution price Proposed Options 3, Section within OQR, which is unable to be fully on the opening. Opening immediately 8(k)(3)(C)(i) provides if the total number executed at the Opening Price). The has the benefit of speed and certainty, of better priced away contracts, plus the System will also route interest to away but that benefit must be weighed against number of contracts available at the markets at prices equal to the Exchange the quality of the execution price and Exchange Opening Price, plus the Opening Price at their disseminated whether orders were left unexecuted. contracts available at away markets at size. In this situation, the System will The Exchange believes that the the Exchange Opening Price, would price any contracts routed to away proposed rule strikes an appropriate satisfy the number of marketable markets at the better of the Exchange balance. Today, BX would start contracts the Exchange has on either the Opening Price or the order’s limit price. imbalance messages even without a buy or sell side, the System will Any unexecuted interest from the Valid Width NBBO. With the proposed contemporaneously route a number of imbalance not traded or routed will be amendments, BX would not start the contracts that will satisfy interest at cancelled back to the entering imbalance process unless a Valid Width away markets at prices better than the participant, if they remain unexecuted NBBO was present. and priced through the Opening Price, It is consistent with the Act to not 82 Opening with a quote, pursuant to proposed otherwise orders will remain in the consider away market liquidity, i.e. Options 3, Section 8(f), would not require Order Book. The Exchange believes that away market volume, until the price consideration of away market quotes because BX would have opened with a local quote that was not this process is consistent with the Act discovery mechanism occurs because locked or crossed with the away market, provided because after attempting to open by this proposed process provides for a there are no opening quotes or orders that lock or soliciting interest on BX and swift, yet conservative opening. The cross each other, and no routable orders locking or considering other away market interest crossing the ABBO. With respect to Opening with Exchange is bounded by the Pre-Market a Trade, pursuant to Options 3, Section 8(i), the and considering interest responding to BBO when determining an Opening Exchange would not consider away market interest Imbalance Messages, the Exchange Price. The away market prices would be if it could open immediately with a trade, provided could not otherwise locate a fair and considered, albeit not immediately. It is that the Exchange would never trade-through an reasonable price with which to open away market. If BX is locked and crossed with an consistent with the Act to consider away market, then the Exchange would require options series. interest on the Exchange prior to routing additional price discovery, pursuant to paragraphs The Exchange’s proposal to to an away market, because the (j) and (k). memorialize the manner in which

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proposed rule will cancel and prioritize to conform the rule text similar to Phlx may not have enough information to interest provides certainty to market Options 3, Section 8(l), is consistent maintain fair and orderly markets. participants as to the priority scheme with the Act. The cancel timer will B. Self-Regulatory Organization’s during the Opening Process.83 The continue to provide Participants with Statement on Burden on Competition Exchange’s proposal to execute Market the ability to elect to have orders Orders first and then Limit Orders is returned, except for non-GTC orders. The Exchange does not believe that consistent with the Act because these This functionality provides Participants the proposed rule change will impose orders have no specified price and Limit with choice, when symbols do not open, any burden on competition not Orders will be executed, thereafter, in about where, and when, they can send necessary or appropriate in furtherance accordance with the prices specified orders for the opening that would afford of the purposes of the Act. due to the nature of these order types. them the best experience. Definitions This is consistent with the manner in which these orders execute after the Options 2, Section 4 The Exchange’s proposal to amend opening today. The Exchange’s proposal to remove and alphabetize the current definitions Proposed BX Options 3, Section the rule text from Options 2, Section within Options 3, Section 8(a) does not 8(k)(7), which provides upon opening of 4(g) and permit BX to establish impose a burden on competition. The the option series, regardless of an differences, other than noted within definitions will assist market execution, the System dissemination of proposed BX Options 3, Section 8(a)(9), participants in understanding the the price and size of the Exchange’s for one or more series or classes of meaning of terms used throughout the BBO, is consistent with the Act because options, similar to other Nasdaq proposed Rule. it clarifies the manner in which the affiliated exchanges,85 is consistent with Amending the definition of ‘‘market Exchange establishes the BBO for the Act. Today, BX Regulation takes into for the underlying security’’ within purposes of reference upon opening. account: (A) Whether there is pending Options 3, Section 8(a)(ii) does not Proposed BX Options 3, Section news, a news announcement or other impose a burden on competition. The 8(k)(8) accounts for remaining contracts, special events; (B) whether the Exchange’s proposal offers alternative which did not price through the underlying security is trading outside of paths to open BX in the event that the Opening Price. These contracts would the bid or offer in such security then primary market or even a designated post on the Order Book at the better of being disseminated; (C) whether alternate primary market experiences an the away market price or the order’s Options Participants receive no issue. The Exchange’s proposal is limit price. Specifically, any remaining response to orders placed to buy or sell intended to create additional certainty contracts, which are not priced through the underlying security; and (D) in the event that an issue with the the Exchange Opening Price after whether a vendor quote feed is clearly primary market arises. With this routing a number of contracts to satisfy stale or unreliable, in making such proposal, the Exchange would have better priced away contracts, will be determinations regarding quoting other equity markets to look to with posted to the Order Book at the better discretion. The Exchange believes that respect to underlying prices on which to of the away market price or the order’s permitting BX to have the same open BX. This proposal also does not limit price. This includes DNR Orders discretion as Phlx, ISE, GEMX and MRX impact the ability of other options that are not crossed with the Opening will assist the Exchange in making markets to open. Price. Only in the event that ABBO similar determinations to affected Eligible Interest interest, which the DNR Order would options series. The Exchange’s proposal otherwise be crossing, has been satisfied Defining what qualifies as eligible to amend Options 2, Section 4(g) and interest does not impose a burden on by routable interest during the Opening instead permit the Exchange to grant Process would DNR Orders be included competition because Participants will be discretion based on proposed BX within the remaining contracts provided with certainty, when Options 3, Section 8(a)(9) is consistent described in proposed BX Options 3, submitting interest, as to which type of with the Act because such discretion Section 8(k)(8).84 This rule text accounts interest will be considered in the would permit the Exchange the ability for orders which have routed away and Opening Process. Unlike the regular to attract liquidity from Market Makers, returned unsatisfied, and also accounts session, where orders route if they while also maintaining a fair and for interest that remains unfilled during cannot execute on BX, the Opening orderly market. Market Makers accept a the Opening Process, provided that Process is a price discovery process certain amount of risk when quoting on interest was not priced through the which considers interest, both on BX the Exchange. The Exchange imposes Opening Price. The Exchange believes and away markets, to determine the quoting and other obligations on Market that the proposed text in Options 3, optimal bid and offer with which to Makers.86 Section 8(k)(8) is consistent with the These risks, which Market open the market. The Opening Process Act in that the Exchange is accounting Makers accept each trading day are seeks the price point at which the most for the handling of all interest in the calculated risks. The Exchange number of contracts may be executed Opening Process with this rule text. considers certain factors, which are while protecting away market interest. likely unforeseen, in determining The Exchange’s proposal to define an Opening Process Cancel Timer whether to grant relief, either in ‘‘Opening Sweep’’ within BX Options 3, The Exchange’s proposal to retain its individual options classes or for all Section 7(a)(9), similar to Phlx Options renamed ‘‘Opening Process Cancel option classes based upon specific 3, Section 7(b)(i), does not impose a Timer’’ within proposed BX Options 3, criteria. The Exchange believes that it is burden on competition. Removing the Section 8(l), with rule text modifications necessary to grant quote relief in certain current order type described as ‘‘On the circumstances where a Market Maker Open Order’’ and instead adopting an 83 See proposed BX Options 3, Section 8(j) and ‘‘Opening Sweep’’ order type, similar to (k)(6)(B). 85 ISE, GEMX and MRX Rules at Options 3, Phx at Options 3, Section 7(b)(6), will 84 DNR Orders that are not crossed with the Section 8(a)(8), and Phlx Rules at Options 3, Opening Price rest on the Order Book at the better Section 8(a)(ix), provide the same discretionary permit Market Makers to continue to of the ABBO price or the DNR Order’s limit order language. submit orders during the Opening price. 86 See BX Options 2, Sections 4 and 5. Process for execution against eligible

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interest in the System. Other market 8(d)(3) provides that the Opening Further Opening Processes and Price participants will continue to also submit Process will stop and an option series Discovery Mechanism orders that enter with a TIF of ‘‘OPG’’ will not open if the ABBO becomes The proposed rule continues to for the Opening Process. crossed. This proposal does not impose consider the maximum number of Likewise, replacing the current ‘‘TIF’’ a burden on competition. Once this contracts that can be executed, which of ‘‘On the Open Order’’ or ‘‘OPG’’ to an condition no longer exists, the Opening results in a price that is logical and ‘‘Opening Only’’ or ‘‘OPG’’ TIF, which Process in the affected option series will reasonable in light of away markets and can only be executed in the Opening start again pursuant to paragraphs (f)–(k) other interest present in the System. The Process, pursuant to Options 3, Section below. Unlike Phlx Options 3, Section Exchange’s method seeks to validate the 8, and is similar to Phlx Options 3, 89 8(d)(v), BX will not consider if a Valid Opening Price and avoid opening at Section 7(b)(6), does not burden Width Quote(s) is no longer present. aberrant prices does not impose a competition. This TIF is similar to Phlx, Unlike Phlx, BX does not require its burden on competition. The Opening in that, any portion of the order that is Lead Market Makers to quote in the Price would be applied to all eligible not executed during the Opening Opening Process. This requirement is interest. Process is cancelled. This order type is not necessary for BX as BX’s market not subject to any protections listed in would open with a BBO, pursuant to Options 2, Section 4 Options 3, Section 15.87 Participants Options 3, Section 8(f), unless the The Exchange’s proposal to remove will be able to continue to submit orders ABBO becomes crossed. the rule text from Options 2, Section to be entered into the Opening Process. 4(g) and permit BX to establish The two orders types will conform to The Exchange’s proposal to add rule differences as noted within proposed Phlx’s order types, which are relevant to text within proposed Options 3, Section Options 3, Section 8(a)(9), for one or the Opening Process, with those of BX. 8(d)(4) to make clear that the Exchange more series or classes of options, similar These order types would continue to not would not open with a trade, pursuant to other Nasdaq Affiliated Exchanges,90 be valid outside of an Opening Process; to paragraph (i)(2), if a Valid Width does not create a burden on they may not be submitted in the regular NBBO does not impose an undue competition. trading session. burden on competition. Today, BX With respect to trade allocation, the would not open with a trade unless Finally, the proposed amendments do proposal notes at proposed BX Options there is a Valid Width NBBO present. not create a burden on inter-market 3, Section 8(b)(2) that the System will This would remain the case with this competition because other options allocate pursuant to BX Options 3, proposal. The addition of this rule text markets have the same intra-day Section 10. The Exchange believes that provides market participants with an requirements. this allocation does not impose a burden expectation of the circumstances under C. Self-Regulatory Organization’s on competition because it mirrors the which the Exchange would open an Statement on Comments on the current allocation process on BX in option series. Proposed Rule Change Received From other trading sessions. Reopening After a Trading Halt Members, Participants, or Others Permitting the Opening Process for an No written comments were either option series to be conducted on or after Proposed BX Options 3, Section 8(e) solicited or received. 9:30 a.m., when the System has received provides if there is a trading halt or an opening trade or quote on the market pause in the underlying security, the III. Date of Effectiveness of the for the underlying security in the case Opening Process will start again Proposed Rule Change and Timing for of equity options or in the case of index irrespective of the specific times listed Commission Action options 88 does not impose a burden on in paragraph (d). The Exchange’s Within 45 days of the date of competition because this requirement proposal to restart in the event of a will tie the option Opening Process to publication of this notice in the Federal trading halt does not impose a burden Register or within such longer period receipt of liquidity. The Exchange’s on competition because the proposed proposed rule considers the liquidity up to 90 days (i) as the Commission may rule ensures that there is stability in the designate if it finds such longer period present on its market before initiating marketplace in order to assist the other processes to obtain additional to be appropriate and publishes its Exchange in determining the Opening reasons for so finding or (ii) as to which pricing information. Today, BX, unlike Price. Phlx, does not require its Lead Market the Exchange consents, the Commission Makers to submit Valid Width Quotes. Opening With a BBO will: BX is not proposing to adopt the same A. By order approve or disapprove quoting requirements during the The Exchange’s proposal to validate such proposed rule change, or Opening Process that exist on Phlx. the Opening Price against away markets B. institute proceedings to determine Similar to Phlx Options 3, Section or by attracting additional interest to whether the proposed rule change 8(d)(v), proposed BX Options 3, Section address the specific condition does not should be disapproved. impose a burden on competition. It IV. Solicitation of Comments 87 Phlx Options 3, Section 7(c)(3) provides that an should avoid opening executions in OPG Order is not subject to any protections listed very wide or unusual markets where an Interested persons are invited to in Options 3, Section 15, except for Automated opening execution price cannot be submit written data, views, and Quotation Adjustments. Today, OPG Orders on Phlx are not subject to any protections, including validated. arguments concerning the foregoing, Automated Quotation Adjustments protections. including whether the proposed rule Phlx intends to file a rule change to remove the rule 89 Phlx Options 3, Section 8(d)(v) provides, ‘‘The change is consistent with the Act. text which provides, ‘‘except for Automated Opening Process will stop and an option series will Comments may be submitted by any of Quotation Adjustments,’’ as OPG Orders are subject not open if the ABBO becomes crossed or when a the following methods: to that risk protection. BX will not include the Valid Width Quote(s) pursuant to paragraph (d)(i) exception in the proposed rule text. OPG Orders are is no longer present. Once each of these conditions handled in the same manner by the Phlx System no longer exist, the Opening Process in the affected 90 ISE, GEMX and MRX Rules at Options 3, today and the BX System, as proposed. option series will start again pursuant to paragraphs Section 8(a)(8) provides the same discretionary 88 See proposed BX Options 3, Section 8(d)(1). (f)–(k) below.’’ language as exists on Phlx today.

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Electronic Comments SECURITIES AND EXCHANGE eliminate redundancy between these documents; (3) revise the description of • COMMISSION Use the Commission’s internet the additional liquid net assets (‘‘LNA’’) comment form (http://www.sec.gov/ [Release No. 34–89361; File No. SR–DTC– 2020–010] funded by equity, referred to as the rules/sro.shtml); or ‘‘Buffer’’ to provide the Clearing • Send an email to rule-comments@ Self-Regulatory Organizations; The Agencies with flexibility in calculating sec.gov. Please include File Number SR– Depository Trust Company; Notice of this discretionary amount; and (4) make BX–2020–016 on the subject line. Filing and Immediate Effectiveness of other updates and revisions to the a Proposed Rule Change To Revise the Capital Policy in order to simplify the Paper Comments Clearing Agency Policy on Capital language and improve the clarity of the Policy, as described in greater detail • Send paper comments in triplicate Requirements below. to: Secretary, Securities and Exchange July 21, 2020. Commission, 100 F Street NE, Pursuant to Section 19(b)(1) of the II. Clearing Agency’s Statement of the Washington, DC 20549–1090. Securities Exchange Act of 1934 Purpose of, and Statutory Basis for, the 1 2 Proposed Rule Change All submissions should refer to File (‘‘Act’’) and Rule 19b–4 thereunder, Number SR–BX–2020–016. This file notice is hereby given that on July 15, In its filing with the Commission, the number should be included on the 2020, The Depository Trust Company clearing agency included statements concerning the purpose of and basis for subject line if email is used. To help the (‘‘DTC’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change and discussed Commission process and review your the proposed rule change as described any comments it received on the comments more efficiently, please use in Items I, II and III below, which Items proposed rule change. The text of these only one method. The Commission will have been prepared by the clearing statements may be examined at the post all comments on the Commission’s agency. DTC filed the proposed rule places specified in Item IV below. The internet website (http://www.sec.gov/ change pursuant to Section 19(b)(3)(A) clearing agency has prepared rules/sro.shtml). Copies of the of the Act 3 and Rule 19b–4(f)(3) summaries, set forth in sections A, B, submission, all subsequent thereunder.4 The Commission is and C below, of the most significant amendments, all written statements publishing this notice to solicit aspects of such statements. with respect to the proposed rule comments on the proposed rule change (A) Clearing Agency’s Statement of the change that are filed with the from interested persons. Commission, and all written Purpose of, and Statutory Basis for, the communications relating to the I. Clearing Agency’s Statement of the Proposed Rule Change Terms of Substance of the Proposed proposed rule change between the 1. Purpose Rule Change Commission and any person, other than The Clearing Agencies are proposing The proposed rule change consists of those that may be withheld from the to revise the Capital Policy, which was amendments to the Clearing Agency public in accordance with the adopted by the Clearing Agencies in Policy on Capital Requirements provisions of 5 U.S.C. 552, will be July 2017 6 and is maintained by the (‘‘Capital Policy’’ or ‘‘Policy’’) of DTC available for website viewing and Clearing Agencies in compliance with and its affiliates, National Securities printing in the Commission’s Public Rule 17Ad–22(e)(15) under the Act,7 in Clearing Corporation (‘‘NSCC’’) and Reference Room, 100 F Street NE, order to (1) update the frequency of the Fixed Income Clearing Corporation Washington, DC 20549 on official calculation of the Total Capital (‘‘FICC,’’ and together with DTC and business days between the hours of Requirement to align with the Clearing NSCC, the ‘‘Clearing Agencies’’). In 10:00 a.m. and 3:00 p.m. Copies of the Agencies’ quarterly financial statements; particular, the proposed revisions to the (2) replace the description of the filing also will be available for Capital Policy would (1) update the calculation of the Recovery/Wind-down inspection and copying at the principal frequency of the calculation of the Total Capital Requirement with a reference to office of the Exchange. All comments Capital Requirement (as defined below the Clearing Agencies’ Recovery & received will be posted without change. and in the Policy) to align with the Wind-down Plans to eliminate Persons submitting comments are Clearing Agencies’ quarterly financial redundancy between these documents; cautioned that we do not redact or edit statements; (2) replace the description of (3) revise the description of the personal identifying information from the calculation of the Recovery/Wind- additional LNA funded by equity, comment submissions. You should down Capital Requirement (as defined referred to as the ‘‘Buffer’’ to provide the submit only information that you wish below and in the Policy) with a Clearing Agencies with flexibility in to make available publicly. All reference to the Clearing Agencies’ calculating this discretionary amount; submissions should refer to File Recovery & Wind-down Plans 5 to and (4) make other updates and Number SR–BX–2020–016 and should revisions to the Capital Policy in order 1 15 U.S.C. 78s(b)(1). be submitted on or before August 17, to simplify the language and improve 2020. 2 17 CFR 240.19b–4. 3 15 U.S.C. 78s(b)(3)(A). the clarity of the Policy, as described in For the Commission, by the Division of 4 17 CFR 240.19b–4(f)(3). greater detail below. Trading and Markets, pursuant to delegated 5 See Securities Exchange Act Release Nos. 83972 Overview of the Capital Policy authority.91 (, 2018), 83 FR 44964 (September 4, 2018) (SR–DTC–2017–021); 83953 (August 27, 2018), 83 J. Matthew DeLesDernier, The Capital Policy sets forth the FR 44381 (, 2018) (SR–DTC–2017–803); manner in which each Clearing Agency Assistant Secretary. 83973 (August 28, 2018), 83 FR 44942 (September [FR Doc. 2020–16165 Filed 7–24–20; 8:45 am] 4, 2018) (SR–FICC–2017–021); 83954 (August 27, 2018), 83 FR 44361 (August 30, 2018) (SR–FICC– 6 See Securities Exchange Act Release No. 81105 BILLING CODE 8011–01–P 2017–805); 83974 (August 28, 2018), 83 FR 44988 (July 7, 2017), 82 FR 32399 (July 13, 2017) (SR– (September 4, 2018) (SR–NSCC–2017–017); 83955 DTC–2017–003, SR–FICC–2017–007, SR–NSCC– (August 27, 2018), 83 FR 44340 (August 30, 2018) 2017–004). 91 17 CFR 200.30–3(a)(12). (SR–NSCC–2017–805). 7 17 CFR 240.17Ad–22(e)(15).

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identifies, monitors, and manages its sum of its General Business Risk Capital month.11 Therefore, the Clearing general business risk with respect to the Requirement and Corporate Agencies believe the calculation would requirement to hold sufficient LNA Contribution. Finally, the Policy still be completed on an appropriate funded by equity to cover potential provides a plan for the replenishment of frequency. general business losses so the Clearing capital through the Clearing Agency The proposed change would also Agency can continue operations and Capital Replenishment Plan. simplify the Capital Policy by removing services as a going concern if such the reference to the frequency of each of Proposed Revisions to the Capital Policy losses materialize.8 The amount of LNA the other calculations. Each of the other funded by equity to be held by each of The Capital Policy is reviewed and calculations that determine the Total the Clearing Agencies for this purpose is approved by the Boards annually. In Capital Requirement are completed at defined in the Policy as the General connection with the most recent annual different frequencies throughout the Business Risk Capital Requirement. The review of the Policy, the Clearing year, as currently described in the Policy provides that the General Agencies are proposing revisions and Capital Policy, and all occur at least Business Risk Requirement is calculated updates, described in greater detail annually. The proposed change would for each Clearing Agency as the greatest below. These proposed changes are state that the most recent results of these of three separate calculations—(1) an designed to update the Capital Policy calculations would be used in the amount based on that Clearing Agency’s and enhance the clarity of the Policy to quarterly calculation of the Total Capital general business risk profile (‘‘Risk- ensure that it continues to operate as Requirement. These calculations have Based Capital Requirement’’), (2) an intended. different purposes and provide the amount based on the time estimated to 1. Update Frequency of Calculation of Clearing Agencies with different execute a recovery or orderly wind- Total Capital Requirement measures. Therefore, these calculations down of the critical operations of that are completed at different frequencies The Clearing Agencies are proposing Clearing Agency (‘‘Recovery/Wind- during the year, generally timed to to update the Capital Policy to change down Capital Requirement’’), and (3) an occur when updated information is the frequency of the calculation of the amount based on an analysis of that available. By removing the frequency of Total Capital Requirement to occur Clearing Agency’s estimated operating these calculations from the Capital quarterly, and clarify that the expenses for a six month period Policy, and only specifying the calculation of the Total Capital (‘‘Operating Expense Capital frequency of the Total Capital Requirement would use the most Requirement’’). The General Business Requirement calculation, which would recently completed calculations of the use the most recent results of these Risk Capital Requirement for each General Business Risk Capital Clearing Agency is determined as the underlying calculations, the proposed Requirement and the Corporate change would simplify the Policy and greatest of these calculations. Contribution. In connection with this The Capital Policy also addresses how would provide the Clearing Agencies proposed change, the Capital Policy each Clearing Agency maintains an with flexibility to adjust the timing of would also be amended to remove amount of LNA funded by equity as a these calculations as necessary. references to the timing of the other part of its management of credit risk 9 In order to reflect this change, the 10 calculations. Clearing Agencies are proposing to pursuant to its respective rules, As described above, the Total Capital referred to as the ‘‘Corporate update Section 4 of the Capital Policy to Requirement is the sum of the General state that the Total Capital Requirement Contribution.’’ These resources are Business Risk Capital Requirement and maintained to address losses due to a would be calculated quarterly, using the the Corporate Contribution; and the most recent calculations of the General participant default and are held in General Business Risk Capital addition to the Clearing Agencies’ Business Risk Capital Requirement and Requirement is the greatest of the Risk- Corporate Contribution. The proposed General Business Risk Capital Based Capital Requirement, Recovery/ Requirement. The Capital Policy changes would also remove statements Wind-down Capital Requirement and in Sections 5, 6, 6.1.2 and 6.3 regarding describes how each Clearing Agency’s the Operating Expense Capital General Business Risk Capital the timing of the underlying Requirement. Currently the Capital calculations. Requirement and Corporate Policy states that the Total Capital Contribution fit within the Clearing Requirement is calculated monthly. The 2. Update Description of Recovery/ Agencies’ Capital Framework, where the Capital Policy also describes the Wind-Down Capital Requirement To ‘‘Total Capital Requirement’’ of each frequency of each of the other Refer to the Recovery & Wind-Down Clearing Agency is calculated as the calculations that are used in calculating Plans of the Clearing Agencies The Clearing Agencies are proposing 8 the Total Capital Requirement, which Supra note 6. occur at different intervals throughout to amend the Capital Policy with respect 9 LNA funded by equity held as the Clearing Agencies’ Corporate Contribution is held in the year. to the Recovery/Wind-down Capital addition to resources held by the Clearing Agencies The Clearing Agencies are proposing Requirement to update references to the for credit risk in compliance with Rule 17Ad– to update the Capital Policy to state that Recovery & Wind-down Plans of the 22(e)(4) under the Act, and in addition to resources the Total Capital Requirement will be Clearing Agencies. In connection with held by the Clearing Agencies for liquidity risk in compliance with Rule 17Ad–22(e)(7). 17 CFR calculated quarterly, using the most this change, the Capital Policy would 240.17Ad–22(e)(4), (7). recently calculated components. This also be updated to clarify the role of 10 See Rule 4 of the Rules, By-laws and proposed change would align the timing management in advising the Boards in Organizational Certificate of DTC (‘‘DTC Rules’’), of this calculation with the timing of connection with their annual Rule 4 of the Rulebook of the Government determination of the Recovery/Wind- Securities Division of FICC (‘‘GSD Rules’’), Rule 4 each of the Clearing Agencies’ quarterly of the Clearing Rules of the Mortgage-Backed financial statements, where the results down Capital Requirement. Securities Division of FICC (‘‘MBSD Rules’’), and of this calculation is reported. While the Rule 4 of the Rules & Procedures of NSCC (‘‘NSCC calculation would occur less frequently 11 The Total Capital Requirement amount has Rules,’’ and together with the DTC Rules, GSD been reported in footnote 9 to the Clearing Rules and MBSD Rules, the ‘‘Clearing Agencies’ than it is currently conducted, the Total Agencies’ financial statements since the third Rules’’ or ‘‘Rules’’), available at http://dtcc.com/ Capital Requirement amount does not quarter of 2018, available at https://www.dtcc.com/ legal/rules-and-procedures. change materially from month to legal/financial-statements.

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First, the proposed changes would Requirement for each Clearing Agency 4. Technical Revisions and replace descriptions of the calculation on an annual basis. Clarifications of the Recovery/Wind-down Capital The Treasury group of The Depository In addition to the proposed changes Requirement with references to the Trust & Clearing Corporation (‘‘DTCC described above, the Clearing Agencies Clearing Agencies’ Recovery & Wind- Treasury group’’) and members of are also proposing the following down Plans, which have been adopted management in other relevant groups technical revisions to the Capital Policy. by the Clearing Agencies and include may provide the Boards with analyses First, the proposed changes would detailed descriptions of the calculation and relevant data to facilitate this of this amount.12 The Recovery/Wind- update the description of the Corporate determination. Therefore, the Clearing Contribution in Figure 1 of Section 4 of down Capital Requirement is an amount Agencies are proposing to amend the Capital Policy. The proposed change based on the time estimated to execute Section 6.2 of the Capital Policy to state would replace the current description of a recovery or orderly wind-down of the that the DTCC Treasury group and this amount with a reference to the critical operations of that Clearing members of management in other Clearing Agencies’ Rules, where this Agency and is used by the Clearing relevant groups may provide such amount is defined. The proposed Agencies to determine their General information to the Boards. change would align the description in Business Risk Capital Requirement, as Figure 1 of Section 4 with the described above. Each of the Clearing 3. Revise Description of Buffer Amount description of the Corporate Agencies have adopted a Recovery & The Clearing Agencies are proposing Contribution in Section 5 of the Capital Wind-down Plan, which provides plans to amend the Capital Policy to revise the Policy, which also describes the for the recovery and orderly wind-down description of the additional, Corporate Contribution by referring to of each of the Clearing Agencies discretionary amount of LNA funded by the Clearing Agencies’ Rules. necessitated by credit losses, liquidity equity held by the Clearing Agencies in Second, the proposed changes would shortfalls, losses from general business addition to the Total Capital revise Section 6.3 of the Capital Policy risk, or any other losses.13 Section 8.7 of Requirement, which is referred to as a to use the defined term for Operating each of the Recovery & Wind-down ‘‘Buffer.’’ Currently, the Capital Policy Expense Capital Requirement, which is Plans includes an analysis of the states that the amount of LNA funded by defined in the Glossary of Key Terms in calculation of the Recovery/Wind-down equity held as Buffer would be Section 2 of the Capital Policy. Capital Requirement. periodically assessed by the DTCC Third, the proposed changes would The Clearing Agencies believe their Treasury group and would generally also revise Section 6.3 to clarify that the respective Recovery & Wind-down Plans equal approximately four to six (4–6) data used to estimate prospective are the appropriate documents for the months of operating expenses for the Clearing Agency expenses in calculating description of the calculation of the respective Clearing Agency. The the Operating Expense Capital Recovery/Wind-down Capital Clearing Agencies are proposing to Requirement comes from a budget Requirement. The proposed change make two changes to the description of developed by the Financial Planning & would remove redundancy between the Buffer in the Capital Policy, Analysis department for the respective these documents and minimize the risk described below. Clearing Agencies. of inconsistency in this description. First, the Clearing Agencies are Finally, the proposed changes would In order to implement this change, the proposing to remove the specificity update Section 7.2 of the Capital Policy, Clearing Agencies are proposing to (1) regarding how the Buffer amount held which describes where the Clearing revise the definition of Recovery/Wind- by the Clearing Agencies is measured. Agencies report their assessment of LNA down Capital Requirement in Section 2 This proposed change would provide funded by equity against the Total of the Capital Policy to refer to the the Clearing Agencies with flexibility to Capital Requirement. The proposed description of this amount in the manage capital when determining the change would state that, in addition to Recovery & Wind-down Plan of each appropriate amount of LNA funded by internal reporting, this assessment is Clearing Agency; and (2) revise Section equity that they would each hold in also reported publicly in the Clearing 6.2 of the Capital Policy to remove the addition to the Total Capital Agencies’ financial statements. description of the calculation of the Requirement. The Clearing Agencies Each of these proposed changes Recovery/Wind-down Capital would implement this proposed change would make technical drafting Requirement and replace it with a by amending the description of Buffer in corrections or clarifications to the reference to this description in the Section 4 of the Capital Policy to existing descriptions in the Capital Recovery & Wind-down Plan of each of remove the reference to four to six (4– Policy. While these proposed changes the Clearing Agencies. 6) months of operating expenses, and would not substantively alter the Second, the proposed changes would state simply that this amount is descriptions in the Capital Policy, they clarify the role of management with determined based on various factors, would improve the clarity of the Policy. including historical fluctuations of LNA respect to the Boards’ annual 2. Statutory Basis determination of the Recovery/Wind- and estimates of potential losses from down Capital Requirement. Pursuant to general business risk. The Clearing Agencies believe that the the Clearing Agencies’ Recovery & Second, the Clearing Agencies are proposed rule changes to the Capital Wind-down Plans, and in compliance proposing to amend Section 4 of the Policy are consistent with the with the requirements of Rule 17Ad– Capital Policy to clarify that the Buffer requirements of the Act, and the rules 22(e)(15)(ii) under the Act,14 the Boards will be calculated at least annually. and regulations thereunder applicable to are responsible for determining the Currently the Capital Policy states that a registered clearing agency. In Recovery/Wind-down Capital the Buffer will be calculated particular, the Clearing Agencies believe periodically. This proposed change that the proposed changes are consistent 15 12 Supra note 5. would provide more specificity with Section 17A(b)(3)(F) of the Act 13 Id. regarding the frequency of this 14 17 CFR 240.17Ad–22(e)(15)(ii). calculation. 15 15 U.S.C. 78q–1(b)(3)(F).

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and Rule 17Ad–22(e)(15) under the requirements of Section 17A(b)(3)(F) of Commission of any written comments Act,16 for the reasons described below. the Act.18 received by the Clearing Agencies. Rule 17Ad–22(e)(15) under the Act Section 17A(b)(3)(F) of the Act III. Date of Effectiveness of the requires, in part, that the rules of the requires the Clearing Agencies to establish, implement, maintain and Proposed Rule Change, and Timing for Clearing Agencies be designed to Commission Action promote the prompt and accurate enforce written policies and procedures clearance and settlement of securities reasonably designed to identify, The foregoing rule change has become transactions, and to assure the monitor, and manage their respective effective pursuant to Section safeguarding of securities and funds general business risk and hold sufficient 19(b)(3)(A) 21 of the Act and paragraph which are in the custody or control of liquid net assets funded by equity to (f) 22 of Rule 19b–4 thereunder. At any the Clearing Agencies or for which they cover potential general business losses time within 60 days of the filing of the are responsible.17 The Capital Policy is so that the Clearing Agencies can proposed rule change, the Commission designed to ensure that each of the continue operations and services as a summarily may temporarily suspend Clearing Agencies hold sufficient LNA going concern if those losses such rule change if it appears to the funded by equity to cover potential materialize.19 As originally Commission that such action is general business losses so that they can implemented, the Capital Policy was necessary or appropriate in the public continue the prompt and accurate designed to meet the requirements of interest, for the protection of investors, clearance and settlement of securities Rule 17Ad–22(e)(15). For the reasons or otherwise in furtherance of the transactions, and can continue to assure described above, the proposed revisions purposes of the Act. the safeguarding of securities and funds would not materially alter how the IV. Solicitation of Comments which are in their custody or control or Clearing Agencies comply with their for which they are responsible if those requirements under this rule. Therefore, Interested persons are invited to losses materialize. the proposed changes would allow the submit written data, views and arguments concerning the foregoing, The proposed changes described Clearing Agencies to maintain the including whether the proposed rule above would not materially alter how Capital Policy in a way that continues change is consistent with the Act. the Capital Policy accomplishes this to be consistent with the requirements 20 Comments may be submitted by any of goal. The proposed changes would of Rule 17Ad–22(e)(15) under the Act. the following methods: update the frequency of the calculation (B) Clearing Agency’s Statement on of the amount of LNA funded by equity Burden on Competition Electronic Comments held by the Clearing Agencies. Changing • Each of the Clearing Agencies believes Use the Commission’s internet this frequency would not alter the comment form (http://www.sec.gov/ Clearing Agencies’ ability to hold an that none of the proposed revisions to the Capital Policy would have any rules/sro.shtml); or amount needed to cover potential • Send an email to rule-comments@ general business losses, as the result of impact, or impose any burden, on competition. The Policy is maintained sec.gov. Please include File Number SR– these calculations do not currently DTC–2020–010 on the subject line. change materially on a month to month by the Clearing Agencies in order to basis. The proposed change to refer to satisfy their regulatory requirements and Paper Comments generally reflect internal tools and the Clearing Agencies’ Recovery & • Send paper comments in triplicate procedures. Tools and procedures that Wind-down Plans for the description of to Secretary, Securities and Exchange have a direct impact on the rights, the Recovery/Wind-down Capital Commission, 100 F Street NE, responsibilities or obligations of Requirement would reduce the Washington, DC 20549. members or participants of the Clearing redundancy between the Policy and All submissions should refer to File these plans, and would not alter the Agencies are reflected in the Clearing Agencies’ Rules. Accordingly, the Number SR–DTC–2020–010. This file calculation of this amount. The number should be included on the proposed change to the description of Capital Policy enhances the Clearing Agencies’ regulatory compliance and subject line if email is used. To help the the Buffer would provide the Clearing Commission process and review your Agencies with additional flexibility in internal management and does not have any impact, or impose any burden, on comments more efficiently, please use calculating this amount, which is held only one method. The Commission will in addition to the amounts needed to competition. The proposed revisions would not post all comments on the Commission’s meet compliance with their regulatory effect any changes to the fundamental internet website (http://www.sec.gov/ requirements. Finally, the proposed purpose or materially impact the rules/sro.shtml). Copies of the technical revisions would simplify and operation of the Capital Policy. As such, submission, all subsequent clarify the descriptions in the Policy, the proposed changes also would not amendments, all written statements and would not alter the way the Policy have any impact, or impose any burden, with respect to the proposed rule operates. on competition. change that are filed with the The proposed revisions would not Commission, and all written materially change how the Policy (C) Clearing Agency’s Statement on communications relating to the ensures that each of the Clearing Comments on the Proposed Rule proposed rule change between the Agencies hold sufficient LNA funded by Change Received From Members, Commission and any person, other than equity to cover potential general Participants, or Others those that may be withheld from the business losses but would allow the The Clearing Agencies have not public in accordance with the Clearing Agencies to maintain this solicited or received any written provisions of 5 U.S.C. 552, will be document to operate in the way it was comments relating to this proposal. The available for website viewing and intended. Therefore, such proposed Clearing Agencies will notify the printing in the Commission’s Public revisions would be consistent with the Reference Room, 100 F Street NE, 18 Id. 16 17 CFR 240.17Ad–22(e)(15). 19 17 CFR 240.17Ad–22(e)(15). 21 15 U.S.C 78s(b)(3)(A). 17 15 U.S.C. 78q–1(b)(3)(F). 20 Id. 22 17 CFR 240.19b–4(f).

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Washington, DC 20549 on official Shares in the definition of ‘‘UTP trade on the Exchange pursuant to business days between the hours of Exchange Traded Product.’’ The unlisted trading privileges (‘‘UTP’’). 10:00 a.m. and 3:00 p.m. Copies of the proposed rule change is available on the To effect this change, the Exchange filing also will be available for Exchange’s website at www.nyse.com, at proposes to add a bullet point listing inspection and copying at the principal the principal office of the Exchange, and ‘‘Active Proxy Portfolio Shares listed office of DTC and on DTCC’s website at the Commission’s Public Reference pursuant to NYSE Arca, Inc. Rule (http://dtcc.com/legal/sec-rule- Room. 8.601–E, Tracking Fund Shares listed filings.aspx). All comments received pursuant to Cboe BZX Exchange, Inc. will be posted without change. Persons II. Self-Regulatory Organization’s Rule 14.11(m), and Proxy Portfolio submitting comments are cautioned that Statement of the Purpose of, and Shares listed pursuant to Nasdaq Stock we do not redact or edit personal Statutory Basis for, the Proposed Rule Market LLC Rule 5750’’ in Rule identifying information from comment Change 1.1E(bbb) to include them in the submissions. You should submit only In its filing with the Commission, the enumerated list of ETPs that may trade information that you wish to make self-regulatory organization included on the Exchange on a UTP basis. The available publicly. All submissions statements concerning the purpose of, Exchange also proposes non-substantive should refer to File Number SR–DTC– and basis for, the proposed rule change changes to accommodate the addition of 2020–010 and should be submitted on and discussed any comments it received this bullet point as the final item in the or before August 17, 2020. on the proposed rule change. The text bulleted list in Rule 1.1E(bbb). The Exchange also proposes to amend For the Commission, by the Division of of those statements may be examined at Trading and Markets, pursuant to delegated the places specified in Item IV below. Rule 1.1E(bbb) to include Index Fund authority.23 The Exchange has prepared summaries, Shares listed pursuant to BZX Rule J. Matthew DeLesDernier, set forth in sections A, B, and C below, 14.11(c) or Nasdaq Rule 5705(b) as a Assistant Secretary. of the most significant parts of such type of ETP that may trade pursuant to statements. UTP. To effect this change, the [FR Doc. 2020–16158 Filed 7–24–20; 8:45 am] Exchange proposes to amend the BILLING CODE 8011–01–P A. Self-Regulatory Organization’s existing bullet point listing ‘‘Investment Statement of the Purpose of, and the Company Units’’ to include Index Fund Statutory Basis for, the Proposed Rule Shares as the alternative name for the SECURITIES AND EXCHANGE Change COMMISSION same product. Accordingly, the 1. Purpose Exchange proposes to revise the bullet [Release No. 34–89367; File No. SR– point to list ‘‘Investment Company NYSEAMER–2020–49] The Exchange proposes to amend Units listed pursuant to NYSE Arca, Inc. Rule 1.1E(bbb), which sets forth the Rule 5.2–E(j)(3) and Index Fund Shares Self-Regulatory Organizations; NYSE meanings of ‘‘Exchange Traded listed pursuant to Cboe BZX Exchange, American LLC; Notice of Filing and Product’’ and ‘‘UTP Exchange Traded Inc. Rule 14.11(c) or Nasdaq Stock Immediate Effectiveness of Proposed Product’’ as those terms are used in Exchange LLC Rule 5705(b).’’ Rule Change To Amend Rule 1.1E To Exchange rules. Include Active Proxy Portfolio Shares, Specifically, the Exchange proposes to 2. Statutory Basis Tracking Fund Shares, Proxy Portfolio amend the definition of ‘‘UTP Exchange The Exchange believes that the Shares, and Index Fund Shares Traded Product’’ to include Active proposed rule change is consistent with Proxy Portfolio Shares listed pursuant to 5 July 21, 2020. Section 6(b) of the Act, in general, and NYSE Arca, Inc. (‘‘NYSE Arca’’) Rule Pursuant to Section 19(b)(1) 1 of the furthers the objectives of Section 6(b)(5) 8.601–E, Tracking Fund Shares listed 6 Securities Exchange Act of 1934 of the Act, in particular, because it is pursuant to Cboe BZX Exchange, Inc. (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 designed to remove impediments to and (‘‘BZX’’) Rule 14.11(m), and Proxy notice is hereby given that on July 10, perfect the mechanism of a free and Portfolio Shares which may in the 2020, NYSE American LLC (‘‘NYSE open market, to promote just and future be listed pursuant to Nasdaq American’’ or ‘‘Exchange’’) filed with equitable principles of trade, and, in Stock Market LLC (‘‘Nasdaq’’) Rule the Securities and Exchange general, to protect investors and the 5750 4 Commission (‘‘Commission’’) the as additional types of Exchange public interest. proposed rule change as described in Traded Products (‘‘ETPs’’) that may The proposed rule change is designed Items I and II below, which Items have to remove impediments to and perfect been prepared by the self-regulatory 4 Active Proxy Portfolio Shares, Tracking Fund the mechanism of a free and open Shares, and Proxy Portfolio Shares are substantially organization. The Commission is market, promote just and equitable similar products with different names and generally principles of trade, and, in general, to publishing this notice to solicit refer to shares of actively managed exchange-traded comments on the proposed rule change funds for which the portfolio is disclosed in protect investors and the public interest from interested persons. accordance with standard mutual fund disclosure because it modifies Rule 1.1E(bbb) to rules. See Securities Exchange Act Release No. state the complete list of ETPs that may I. Self-Regulatory Organization’s 89185 (June 29, 2020) (order approving NYSE Arca trade on a UTP basis on the Exchange, Rule 8.601–E); Securities Exchange Act Release No. Statement of the Terms of Substance of 88887 (, 2020), 85 FR 30990 (, 2020) providing specificity, clarity, and the Proposed Rule Change (order approving BZX Rule 14.11(m)); Securities transparency in the Exchange’s rules. The Exchange proposes to amend Exchange Act Release No. 89110 (June 22, 2020), 85 Moreover, the proposed rule change will FR 38461 (June 26, 2020) (Notice of Filing and facilitate the trading of additional types Rule 1.1E to include Active Proxy Immediate Effectiveness of Proposed Rule Change Portfolio Shares, Tracking Fund Shares, to Adopt Nasdaq Rule 5750 to List and Trade Proxy of ETPs on the Exchange pursuant to Proxy Portfolio Shares, and Index Fund Portfolio Shares). On , 2020, BZX commenced UTP, thereby enhancing competition trading its first securities listed under BZX Rule among market participants for the 14.11(m) (Fidelity Blue Chip Growth ETF (FBCG), 23 benefit of investors and the marketplace. 17 CFR 200.30–3(a)(12). Fidelity Blue Chip Value ETF (FBCV), and Fidelity 1 15 U.S.C. 78s(b)(1). New Millennium ETF (FMIL)). Although Nasdaq 2 15 U.S.C. 78a. has rules pertaining to Proxy Portfolio Shares, it 5 15 U.S.C. 78f(b). 3 17 CFR 240.19b–4. does not yet list any such product. 6 15 U.S.C. 78f(b)(4) & (5).

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B. Self-Regulatory Organization’s Active Proxy Portfolio Shares, Tracking with respect to the proposed rule Statement on Burden on Competition Fund Shares, and Proxy Portfolio Shares change that are filed with the The Exchange does not believe that on the Exchange and therefore would Commission, and all written the proposed rule change will impose provide investors with an additional communications relating to the any burden on competition that is not trading venue option. In addition, the proposed rule change between the proposal would specifically name Commission and any person, other than necessary or appropriate in furtherance products substantially similar to those that may be withheld from the of the purposes of the Act. The Investment Company Units known as public in accordance with the proposed change would provide the Index Fund Shares on other exchanges provisions of 5 U.S.C. 552, will be public and investors with up-to-date in the list of product that may trade on available for website viewing and information about the types of ETPs that the Exchange pursuant to unlisted printing in the Commission’s Public can trade on the Exchange on a UTP trading privileges. The Commission Reference Room, 100 F Street NE, basis and would promote competition believes that waiver of the 30-day Washington, DC 20549 on official by adding additional types of ETPs that operative delay is consistent with the business days between the hours of may trade on the Exchange pursuant to protection of investors and the public 10:00 a.m. and 3:00 p.m. Copies of the UTP. interest. Therefore, the Commission filing also will be available for C. Self-Regulatory Organization’s hereby waives the operative delay and inspection and copying at the principal Statement on Comments on the designates the proposed rule change office of the Exchange. All comments Proposed Rule Change Received From operative upon filing.11 received will be posted without change. Members, Participants, or Others At any time within 60 days of the Persons submitting comments are filing of the proposed rule change, the cautioned that we do not redact or edit No written comments were solicited Commission summarily may personal identifying information from or received with respect to the proposed temporarily suspend such rule change if comment submissions. You should rule change. it appears to the Commission that such submit only information that you wish III. Date of Effectiveness of the action is necessary or appropriate in the to make available publicly. All Proposed Rule Change and Timing for public interest, for the protection of submissions should refer to File Commission Action investors, or otherwise in furtherance of Number SR–NYSEAMER–2020–49 and the purposes of the Act. should be submitted on or before Because the proposed rule change August 17, 2020. does not: (i) Significantly affect the IV. Solicitation of Comments protection of investors or the public For the Commission, by the Division of Interested persons are invited to Trading and Markets, pursuant to delegated interest; (ii) impose any significant submit written data, views, and 12 burden on competition; or (iii) become authority. arguments concerning the foregoing, J. Matthew DeLesDernier, operative prior to 30 days from the date including whether the proposed rule Assistant Secretary. on which it was filed, or such shorter change is consistent with the Act. time as the Commission may designate Comments may be submitted by any of [FR Doc. 2020–16161 Filed 7–24–20; 8:45 am] if consistent with the protection of the following methods: BILLING CODE 8011–01–P investors and the public interest, it has become effective pursuant to Section Electronic Comments 19(b)(3)(A) of the Act 7 and Rule 19b– • Use the Commission’s internet SECURITIES AND EXCHANGE 4(f)(6) thereunder.8 comment form (http://www.sec.gov/ COMMISSION A proposed rule change filed rules/sro.shtml); or [Release No. 34–89357; File No. SR–NYSE– pursuant to Rule 19b–4(f)(6) under the • Send an email to rule-comments@ 2020–57] Act 9 normally does not become sec.gov. Please include File Number SR– operative for 30 days after the date of its NYSEAMER–2020–49 on the subject Self-Regulatory Organizations; New filing. However, Rule 19b–4(f)(6)(iii) 10 line. York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of permits the Commission to designate a Paper Comments shorter time if such action is consistent Proposed Rule Change To Amend Rule • with the protection of investors and the Send paper comments in triplicate 1.1 To Include Active Proxy Portfolio public interest. The Exchange has asked to Secretary, Securities and Exchange Shares, Tracking Fund Shares, Proxy the Commission to waive the 30-day Commission, 100 F Street NE, Portfolio Shares, and Index Fund operative delay so that the proposal may Washington, DC 20549–1090. Shares All submissions should refer to File become operative upon filing. The July 21, 2020. Number SR–NYSEAMER–2020–49. This Exchange believes that a waiver of the Pursuant to Section 19(b)(1) 1 of the file number should be included on the operative delay is consistent with the Securities Exchange Act of 1934 subject line if email is used. To help the protection of investors and the public (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Commission process and review your interest because it would allow for the notice is hereby given that on July 10, comments more efficiently, please use immediate trading, pursuant to UTP, of 2020, New York Stock Exchange LLC only one method. The Commission will (‘‘NYSE’’ or ‘‘Exchange’’) filed with the 7 15 U.S.C. 78s(b)(3)(A). post all comments on the Commission’s Securities and Exchange Commission 8 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– internet website (http://www.sec.gov/ (‘‘Commission’’) the proposed rule 4(f)(6)(iii) requires a self-regulatory organization to rules/sro.shtml). Copies of the give the Commission written notice of its intent to change as described in Items I and II submission, all subsequent file the proposed rule change, along with a brief below, which Items have been prepared amendments, all written statements description and text of the proposed rule change, by the self-regulatory organization. The at least five business days prior to the date of filing of the proposed rule change, or such shorter time 11 For purposes only of waiving the 30-day 12 as designated by the Commission. The Exchange operative delay, the Commission also has 17 CFR 200.30–3(a)(12). has satisfied this requirement. considered the proposed rule’s impact on 1 15 U.S.C. 78s(b)(1). 9 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See 2 15 U.S.C. 78a. 10 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 3 17 CFR 240.19b–4.

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Commission is publishing this notice to Traded Product (‘‘ETPs’’) that may trade because it modifies Rule 1.1(l) to state solicit comments on the proposed rule on the Exchange pursuant to unlisted the complete list of ETPs that may trade change from interested persons. trading privileges (‘‘UTP’’). on a UTP basis on the Exchange, To effect this change, the Exchange providing specificity, clarity, and I. Self-Regulatory Organization’s proposes to add a bullet point listing transparency in the Exchange’s rules. Statement of the Terms of Substance of ‘‘Active Proxy Portfolio Shares listed Moreover, the proposed rule change will the Proposed Rule Change pursuant to NYSE Arca, Inc. Rule facilitate the trading of additional types The Exchange proposes to amend 8.601–E, Tracking Fund Shares listed of ETPs on the Exchange pursuant to Rule 1.1 to include Active Proxy pursuant to Cboe BZX Exchange, Inc. UTP, thereby enhancing competition Portfolio Shares, Tracking Fund Shares, Rule 14.11(m), and Proxy Portfolio among market participants for the Proxy Portfolio Shares, and Index Fund Shares listed pursuant to Nasdaq Stock benefit of investors and the marketplace. Shares in the definition of ‘‘UTP Market LLC Rule 5750’’ in Rule 1.1(l) to Exchange Traded Product.’’ The include them in the enumerated list of B. Self-Regulatory Organization’s proposed rule change is available on the ETPs that may trade on the Exchange on Statement on Burden on Competition Exchange’s website at www.nyse.com, at a UTP basis. The Exchange also The Exchange does not believe that the principal office of the Exchange, and proposes non-substantive changes to the proposed rule change will impose at the Commission’s Public Reference accommodate the addition of this bullet any burden on competition that is not Room. point as the final item in the bulleted necessary or appropriate in furtherance II. Self-Regulatory Organization’s list in Rule 1.1(l). of the purposes of the Act. The The Exchange also proposes to amend Statement of the Purpose of, and proposed change would provide the Rule 1.1(l) to include Index Fund Shares Statutory Basis for, the Proposed Rule public and investors with up-to-date listed pursuant to BZX Rule 14.11(c) or Change information about the types of ETPs that Nasdaq Rule 5705(b) as a type of ETP can trade on the Exchange on a UTP In its filing with the Commission, the that may trade pursuant to UTP. To basis and would promote competition self-regulatory organization included effect this change, the Exchange by adding additional types of ETPs that statements concerning the purpose of, proposes to amend the existing bullet may trade on the Exchange pursuant to and basis for, the proposed rule change point listing ‘‘Investment Company UTP. and discussed any comments it received Units’’ to include Index Fund Shares as on the proposed rule change. The text the alternative name for the same C. Self-Regulatory Organization’s of those statements may be examined at product. Accordingly, the Exchange Statement on Comments on the the places specified in Item IV below. proposes to revise the bullet point to list Proposed Rule Change Received From The Exchange has prepared summaries, ‘‘Investment Company Units listed Members, Participants, or Others set forth in sections A, B, and C below, pursuant to NYSE Arca, Inc. Rule 5.2– No written comments were solicited of the most significant parts of such E(j)(3) and Index Fund Shares listed or received with respect to the proposed statements. pursuant to Cboe BZX Exchange, Inc. rule change. A. Self-Regulatory Organization’s Rule 14.11(c) or Nasdaq Stock Exchange LLC Rule 5705(b).’’ III. Date of Effectiveness of the Statement of the Purpose of, and the Proposed Rule Change and Timing for Statutory Basis for, the Proposed Rule 2. Statutory Basis Commission Action Change The Exchange believes that the Because the proposed rule change 1. Purpose proposed rule change is consistent with does not: (i) Significantly affect the 5 The Exchange proposes to amend Section 6(b) of the Act, in general, and protection of investors or the public furthers the objectives of Section 6(b)(5) interest; (ii) impose any significant Rule 1.1(l), which sets forth the 6 meanings of ‘‘Exchange Traded of the Act, in particular, because it is burden on competition; or (iii) become Product’’ and ‘‘UTP Exchange Traded designed to remove impediments to and operative prior to 30 days from the date Product’’ as those terms are used in perfect the mechanism of a free and on which it was filed, or such shorter Exchange rules. open market, to promote just and time as the Commission may designate Specifically, the Exchange proposes to equitable principles of trade, and, in if consistent with the protection of amend the definition of ‘‘UTP Exchange general, to protect investors and the investors and the public interest, it has Traded Product’’ to include Active public interest. become effective pursuant to Section Proxy Portfolio Shares listed pursuant to The proposed rule change is designed 19(b)(3)(A) of the Act 7 and Rule 19b– NYSE Arca, Inc. (‘‘NYSE Arca’’) Rule to remove impediments to and perfect 4(f)(6) thereunder.8 8.601–E, Tracking Fund Shares listed the mechanism of a free and open A proposed rule change filed pursuant to Cboe BZX Exchange, Inc. market, promote just and equitable pursuant to Rule 19b–4(f)(6) under the (‘‘BZX’’) Rule 14.11(m), and Proxy principles of trade, and, in general, to Act 9 normally does not become Portfolio Shares which may in the protect investors and the public interest operative for 30 days after the date of its future be listed pursuant to Nasdaq filing. However, Rule 19b–4(f)(6)(iii) 10 (order approving BZX Rule 14.11(m)); Securities Stock Market LLC (‘‘Nasdaq’’) Rule Exchange Act Release No. 89110 (June 22, 2020), 85 5750 4 as additional types of Exchange FR 38461 (June 26, 2020) (Notice of Filing and 7 15 U.S.C. 78s(b)(3)(A). Immediate Effectiveness of Proposed Rule Change 8 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4 Active Proxy Portfolio Shares, Tracking Fund to Adopt Nasdaq Rule 5750 to List and Trade Proxy 4(f)(6)(iii) requires a self-regulatory organization to Shares, and Proxy Portfolio Shares are substantially Portfolio Shares). On June 4, 2020, BZX commenced give the Commission written notice of its intent to similar products with different names and generally trading its first securities listed under BZX Rule file the proposed rule change, along with a brief refer to shares of actively managed exchange-traded 14.11(m) (Fidelity Blue Chip Growth ETF (FBCG), description and text of the proposed rule change, funds for which the portfolio is disclosed in Fidelity Blue Chip Value ETF (FBCV), and Fidelity at least five business days prior to the date of filing accordance with standard mutual fund disclosure New Millennium ETF (FMIL)). Although Nasdaq of the proposed rule change, or such shorter time rules. See Securities Exchange Act Release No. has rules pertaining to Proxy Portfolio Shares, it as designated by the Commission. The Exchange 89185 (June 29, 2020) (order approving NYSE Arca does not yet list any such product. has satisfied this requirement. Rule 8.601–E); Securities Exchange Act Release No. 5 15 U.S.C. 78f(b). 9 17 CFR 240.19b–4(f)(6). 88887 (May 15, 2020), 85 FR 30990 (May 21, 2020) 6 15 U.S.C. 78f(b)(4) & (5). 10 17 CFR 240.19b–4(f)(6)(iii).

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permits the Commission to designate a All submissions should refer to File ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 shorter time if such action is consistent Number SR–NYSE–2020–57. This file notice is hereby given that on July 14, with the protection of investors and the number should be included on the 2020, New York Stock Exchange LLC public interest. The Exchange has asked subject line if email is used. To help the (‘‘NYSE’’ or the ‘‘Exchange’’) filed with the Commission to waive the 30-day Commission process and review your the Securities and Exchange operative delay so that the proposal may comments more efficiently, please use Commission (‘‘Commission’’) the become operative upon filing. The only one method. The Commission will proposed rule change as described in Exchange believes that a waiver of the post all comments on the Commission’s Items I and II below, which Items have operative delay is consistent with the internet website (http://www.sec.gov/ been prepared by the self-regulatory protection of investors and the public rules/sro.shtml). Copies of the organization. The Commission is interest because it would allow for the submission, all subsequent publishing this notice to solicit immediate trading, pursuant to UTP, of amendments, all written statements comments on the proposed rule change Active Proxy Portfolio Shares, Tracking with respect to the proposed rule from interested persons. Fund Shares, and Proxy Portfolio Shares change that are filed with the I. Self-Regulatory Organization’s on the Exchange and therefore would Commission, and all written Statement of the Terms of Substance of provide investors with an additional communications relating to the the Proposed Rule Change trading venue option. In addition, the proposed rule change between the proposal would specifically name Commission and any person, other than The Exchange proposes to amend products substantially similar to those that may be withheld from the Rule 7.37 to specify the Exchange’s Investment Company Units known as public in accordance with the source of data feeds from MEMX LLC Index Fund Shares on other exchanges provisions of 5 U.S.C. 552, will be (‘‘MEMX’’) for purposes of order in the list of product that may trade on available for website viewing and handling, order execution, order the Exchange pursuant to unlisted printing in the Commission’s Public routing, and regulatory compliance. The trading privileges. The Commission Reference Room, 100 F Street NE, proposed rule change is available on the believes that waiver of the 30-day Washington, DC 20549 on official Exchange’s website at www.nyse.com, at operative delay is consistent with the business days between the hours of the principal office of the Exchange, and protection of investors and the public 10:00 a.m. and 3:00 p.m. Copies of the at the Commission’s Public Reference interest. Therefore, the Commission filing also will be available for Room. hereby waives the operative delay and inspection and copying at the principal II. Self-Regulatory Organization’s designates the proposed rule change office of the Exchange. All comments Statement of the Purpose of, and operative upon filing.11 received will be posted without change. Statutory Basis for, the Proposed Rule At any time within 60 days of the Persons submitting comments are Change filing of the proposed rule change, the cautioned that we do not redact or edit In its filing with the Commission, the Commission summarily may personal identifying information from self-regulatory organization included temporarily suspend such rule change if comment submissions. You should statements concerning the purpose of, it appears to the Commission that such submit only information that you wish and basis for, the proposed rule change action is necessary or appropriate in the to make available publicly. All and discussed any comments it received public interest, for the protection of submissions should refer to File on the proposed rule change. The text investors, or otherwise in furtherance of Number SR–NYSE–2020–57 and should of those statements may be examined at the purposes of the Act. be submitted on or before August 17, the places specified in Item IV below. 2020. IV. Solicitation of Comments The Exchange has prepared summaries, For the Commission, by the Division of set forth in sections A, B, and C below, Interested persons are invited to Trading and Markets, pursuant to delegated of the most significant parts of such submit written data, views, and authority.12 statements. arguments concerning the foregoing, J. Matthew DeLesDernier, A. Self-Regulatory Organization’s including whether the proposed rule Assistant Secretary. change is consistent with the Act. Statement of the Purpose of, and the [FR Doc. 2020–16154 Filed 7–24–20; 8:45 am] Comments may be submitted by any of Statutory Basis for, the Proposed Rule the following methods: BILLING CODE 8011–01–P Change Electronic Comments 1. Purpose SECURITIES AND EXCHANGE The Exchange proposes to update and • Use the Commission’s internet COMMISSION amend the use of data feeds table in comment form (http://www.sec.gov/ Rule 7.37, which sets forth on a market- rules/sro.shtml); or by-market basis the specific securities • Send an email to rule-comments@ [Release No. 34–89369; File No. SR–NYSE– 2020–60] information processor (‘‘SIP’’) and sec.gov. Please include File Number SR– proprietary data feeds that the Exchange NYSE–2020–57 on the subject line. Self-Regulatory Organizations; New utilizes for the handling, execution, and Paper Comments York Stock Exchange LLC; Notice of routing of orders, and for performing the Filing and Immediate Effectiveness of regulatory compliance checks related to • Send paper comments in triplicate Proposed Rule Change to Amend Rule each of those functions. Specifically, the to Secretary, Securities and Exchange 7.37 Exchange proposes to amend the table Commission, 100 F Street NE, in Rule 7.37(e) to specify that, with July 21, 2020. Washington, DC 20549–1090. respect to MEMX, the Exchange will Pursuant to Section 19(b)(1) 1 of the receive the SIP feed as its primary 11 For purposes only of waiving the 30-day Securities Exchange Act of 1934 (the source of data for order handling, order operative delay, the Commission also has considered the proposed rule’s impact on efficiency, competition, and capital formation. See 12 17 CFR 200.30–3(a)(12). 2 15 U.S.C. 78a. 15 U.S.C. 78c(f). 1 15 U.S.C. 78s(b)(1). 3 17 CFR 240.19b–4.

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execution, order routing, and regulatory C. Self-Regulatory Organization’s All submissions should refer to File compliance. The Exchange will not have Statement on Comments on the Number SR–NYSE–2020–60. This file a secondary source for data from Proposed Rule Change Received from number should be included on the MEMX. Members, Participants, or Others subject line if email is used. To help the The Exchange proposes that this No written comments were solicited Commission process and review your proposed rule change would be or received with respect to the proposed comments more efficiently, please use operative on the day that MEMX rule change. only one method. The Commission will launches operations as an equities post all comments on the Commission’s III. Date of Effectiveness of the internet website (http://www.sec.gov/ exchange, which is currently expected Proposed Rule Change and Timing for on September 4, 2020.4 rules/sro.shtml). Copies of the Commission Action submission, all subsequent 2. Statutory Basis The Exchange has filed the proposed amendments, all written statements rule change pursuant to Section with respect to the proposed rule The proposed rule change is 19(b)(3)(A)(iii) of the Act 7 and Rule change that are filed with the consistent with Section 6(b) of the Act,5 19b 4(f)(6) thereunder.8 Because the Commission, and all written in general, and furthers the objectives of proposed rule change does not: (i) communications relating to the Section 6(b)(5),6 in particular, because it Significantly affect the protection of proposed rule change between the is designed to prevent fraudulent and investors or the public interest; (ii) Commission and any person, other than manipulative acts and practices, to impose any significant burden on those that may be withheld from the promote just and equitable principles of competition; and (iii) become operative public in accordance with the trade, to foster cooperation and for 30 days from the date on which it provisions of 5 U.S.C. 552, will be coordination with persons engaged in was filed, or such shorter time as the available for website viewing and facilitating transactions in securities, to Commission may designate, it has printing in the Commission’s Public remove impediments to, and perfect the become effective pursuant to Section Reference Room, 100 F Street, NE, mechanism of, a free and open market 19(b)(3)(A) of the Act and Rule 19b– Washington, DC 20549 on official and a national market system and, in 4(f)(6) thereunder. business days between the hours of general, to protect investors and the At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the public interest. The Exchange believes filing of the proposed rule change, the filing also will be available for its proposal to amend the table in Rule Commission summarily may inspection and copying at the principal 7.37(e) to include the data feed source temporarily suspend such rule change if office of the Exchange and on its for MEMX will ensure that Rule 7.37 it appears to the Commission that such internet website at https:// correctly identifies and publicly states action is necessary or appropriate in the www.nyse.com. All comments received on a market-by-market basis all of the public interest, for the protection of will be posted without change. Persons specific SIP and proprietary data feeds investors, or otherwise in furtherance of submitting comments are cautioned that that the Exchange utilizes for the the purposes of the Act. If the we do not redact or edit personal handling, execution, and routing of Commission takes such action, the identifying information from comment orders, and for performing the Commission shall institute proceedings under Section 19(b)(2)(B) 9 of the Act to submissions. You should submit only regulatory compliance checks for each determine whether the proposed rule information that you wish to make of those functions. The proposed rule change should be approved or available publicly. change also removes impediments to disapproved. and perfects the mechanism of a free All submissions should refer to File and open market and protects investors IV. Solicitation of Comments Number SR–NYSE–2020–60 and should and the public interest by providing Interested persons are invited to be submitted on or before August 17, additional specificity, clarity, and submit written data, views, and 2020. transparency in the Exchange’s rules. arguments concerning the foregoing, For the Commission, by the Division of B. Self-Regulatory Organization’s including whether the proposed rule Trading and Markets, pursuant to delegated authority.10 Statement on Burden on Competition change is consistent with the Act. Comments may be submitted by any of J. Matthew DeLesDernier, The Exchange does not believe that the following methods: Assistant Secretary. the proposed rule change will impose Electronic Comments [FR Doc. 2020–16163 Filed 7–24–20; 8:45 am] any burden on competition that is not • BILLING CODE 8011–01–P necessary or appropriate in furtherance Use the Commission’s internet of the purposes of the Act. The comment form (http://www.sec.gov/ rules/sro.shtml); or proposed change is not designed to • address any competitive issue, but Send an email to rule-comments@ sec.gov. Please include File Number SR– rather would provide the public and NYSE–2020–60 on the subject line. market participants with up-to-date information about the data feeds the Paper Comments Exchange will use for the handling, • Send paper comments in triplicate execution, and routing of orders, as well to: Secretary, Securities and Exchange as for regulatory compliance. Commission, 100 F StreetF NE, Washington, DC 20549–1090. 4 See https://memx.com/memx-timeline-update- launch-set-for-september-4th/. 7 15 U.S.C. 78s(b)(3)(A)(iii). 5 15 U.S.C. 78f(b). 8 17 CFR 240.19b–4(f)(6). 6 15 U.S.C. 78f(b)(5). 9 15 U.S.C. 78s(b)(2)(B). 10 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE and lift the temporary suspension on Floor facilities to DMMs or after the COMMISSION ‘‘crossing’’ orders pursuant to Rule 76. Exchange closes on July 31, 2020.8 [Release No. 34–89368; File No. SR–NYSE– Background Proposed Rule Change 2020–61] To slow the spread of COVID–19 The Exchange has determined that, Self-Regulatory Organizations; New through social-distancing measures, on during this phase of the partial York Stock Exchange LLC; Notice of , 2020, the CEO of the reopening of the Trading Floor when Filing and Immediate Effectiveness of Exchange made a determination under both DMMs and Floor brokers have Proposed Rule Change To Delete Rule 7.1(c)(3) that, beginning March 23, returned to the Trading Floor with Supplementary Material .20 to Rule 76 2020, the Trading Floor facilities located reduced staff, Floor brokers can resume at 11 Wall Street in New York City ‘‘crossing’’ transactions pursuant to Rule July 21, 2020. would close and the Exchange would 76, including the Cross Function Pursuant to Section 19(b)(1) 1 of the move, on a temporary basis, to fully specified in Supplementary Material .10 Securities Exchange Act of 1934 (the electronic trading.4 On May 14, 2020, to Rule 76, in a manner consistent with ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 the CEO of the Exchange made a the safety measures designed to prevent notice is hereby given that on July 20, determination under Rule 7.1(c)(3) to the spread of COVID–19. 2020, New York Stock Exchange LLC reopen the Trading Floor on a limited Crossing transactions, which require a (‘‘NYSE’’ or the ‘‘Exchange’’) filed with basis on May 26, 2020 to a subset of verbal representation of the proposed the Securities and Exchange Floor brokers, subject to safety measures crossing transaction, involve face-to-face Commission (the Commission’’) the designed to prevent the spread of interactions on the Trading Floor. proposed rule change as described in COVID–19.5 On June 15, 2020, the CEO Because such proposed transactions do Items I and II below, which Items have of the Exchange made a determination not happen at set times during the been prepared by the self-regulatory under Rule 7.1(c)(3) to begin the second trading day, they generally do not result organization. The Commission is phase of the Trading Floor reopening by in large numbers of individuals publishing this notice to solicit allowing DMMs to return on June 17, congregating on the Trading Floor. The comments on the proposed rule change 2020, subject to safety measures Exchange has discussed the resumption from interested persons. designed to prevent the spread of of crossing orders with member I. Self-Regulatory Organization’s COVID–19.6 organizations that operate DMM units Statement of the Terms of Substance of The Exchange has modified its rules and Floor broker firms that have the Proposed Rule Change to add Commentaries to Rules 7.35, returned to the Trading Floor. Based on 7.35A, 7.35B, and 7.35C; Supplementary The Exchange proposes to delete these discussions, the Exchange believes Material .20 to Rule 76; and rule relief Supplementary Material .20 to Rule 76 that crossing transactions can be in Rule 36.30 7 that are in effect until the and lift the temporary suspension on resumed in a manner consistent with earlier of a full reopening of the Trading ‘‘crossing’’ orders pursuant to Rule 76. both the safety measures required on the Trading Floor, including the use of cloth The proposed rule change is available 4 on the Exchange’s website at See Press Release, dated March 18, 2020, face masks or coverings and maintaining available here: https://ir.theice.com/press/press- at least six-foot physical distancing from www.nyse.com, at the principal office of releases/all-categories/2020/03-18-2020-204202110. 9 the Exchange, and at the Commission’s 5 See Securities Exchange Act Release No. 88933 other individuals, and the Rule 76 Public Reference Room. (May 22, 2020), 85 FR 32059 (, 2020) (SR– requirement that such proposed NYSE–2020–47) (Notice of filing and immediate transactions be clearly announced to the II. Self-Regulatory Organization’s effectiveness of proposed rule change). trading crowd. 6 Statement of the Purpose of, and See Securities Exchange Act Release No. 89086 To effect this change, the Exchange Statutory Basis for, the Proposed Rule (June 17, 2020) (SR–NYSE–2020–52) (Notice of filing and immediate effectiveness of proposed rule proposes to lift the temporary Change change). suspension of Rule 76 by deleting In its filing with the Commission, the 7 See Securities Exchange Act Release Nos. 88413 Supplementary Material .20 to Rule 76. self-regulatory organization included (March 18, 2020), 85 FR 16713 (March 24, 2020) (SR–NYSE–2020–19) (amending Rule 7.35C to add The Exchange would be able to statements concerning the purpose of, Commentary .01); 88444 (March 20, 2020), 85 FR implement the proposed rule change and basis for, the proposed rule change 17141 (March 26, 2020) (SR–NYSE–2020–22) immediately upon effectiveness of this and discussed any comments it received (amending Rules 7.35A to add Commentary .01, proposed rule change. on the proposed rule change. The text 7.35B to add Commentary .01, and 7.35C to add Commentary .02); 88488 (March 26, 2020), 85 FR 2. Statutory Basis of those statements may be examined at 18286 (April 1, 2020) (SR–NYSE–2020–23) the places specified in Item IV below. (amending Rule 7.35A to add Commentary .02); The proposed rule change is The Exchange has prepared summaries, 88546 (, 2020), 85 FR 19782 (April 8, 2020) consistent with Section 6(b) of the set forth in sections A, B, and C below, (SR–NYSE–2020–28) (amending Rule 7.35A to add Commentary .03); 88562 (April 3, 2020), 85 FR of the most significant parts of such 20002 (, 2020) (SR–NYSE–2020–29) 8 See Securities Exchange Act Release No. 89199 statements. (amending Rule 7.35C to add Commentary .03); (June 30, 2020), 85 FR 40718 (July 7, 2020) (SR– 88705 (, 2020), 85 FR 23413 (, NYSE–2020–56) (Notice of filing and immediate A. Self-Regulatory Organization’s 2020) (SR–NYSE–2020–35) (amending Rule 7.35A effectiveness of proposed rule change to extend the Statement of the Purpose of, and the to add Commentary .04); 88725 (, 2020), 85 temporary period for Commentaries to Rules 7.35, Statutory Basis for, the Proposed Rule FR 23583 (, 2020) (SR–NYSE–2020–37) 7.35A, 7.35B, and 7.35C, Supplementary Material (amending Rule 7.35 to add Commentary .01); .20 to Rule 76, and temporary rule relief to Rules Change 88950 (May 26, 2020), 85 FR 33252 (June 1, 2020) 36.30 to end on the earlier of a full reopening of 1. Purpose (SR–NYSE–2020–48) (amending Rule 7.35A to add the Trading Floor facilities to DMMs or after the Commentary .05); 89059 (, 2020), 85 FR Exchange closes on July 31, 2020). The Exchange proposes to delete 36911 (June 18, 2020) (SR–NYSE–2020–50) 9 See NYSE IM–20–03, ‘‘Standards of Conduct for Supplementary Material .20 to Rule 76 (amending Rule 7.35C to add Commentary .04); and the Safety and Welfare of Persons on the Trading 89086 (June 17, 2020) (SR–NYSE–2020–52) Floor Relating to COVID–19,’’ dated May 14, 2020, (amending Rules 7.35A to add Commentary .06, available here: https://www.nyse.com/publicdocs/ 1 15 U.S.C. 78s(b)(1). 7.35B to add Commentary .03, 76 to add nyse/markets/nyse/rule-interpretations/2020/ 2 15 U.S.C. 78a. Supplementary Material 20, and Supplementary NYSE%20IM%20(5-14-20)%20-%20Final%20-%20 3 17 CFR 240.19b–4. Material .30 to Rule 36). Republished.pdf.

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Act,10 in general, and furthers the suspension on crossing transactions At any time within 60 days of the objectives of Section 6(b)(5) of the Act,11 pursuant to Rule 76. filing of such proposed rule change, the in particular, in that it is designed to Commission summarily may C. Self-Regulatory Organization’s prevent fraudulent and manipulative temporarily suspend such rule change if Statement on Comments on the it appears to the Commission that such acts and practices, to promote just and Proposed Rule Change Received From action is necessary or appropriate in the equitable principles of trade, to foster Members, Participants, or Others cooperation and coordination with public interest, for the protection of persons engaged in facilitating No written comments were solicited investors, or otherwise in furtherance of transactions in securities, and to remove or received with respect to the proposed the purposes of the Act. If the impediments to and perfect the rule change. Commission takes such action, the mechanism of a free and open market III. Date of Effectiveness of the Commission shall institute proceedings 19 and a national market system. Proposed Rule Change and Timing for under Section 19(b)(2)(B) of the Act to To reduce the spread of COVID–19, Commission Action determine whether the proposed rule the CEO of the Exchange made a change should be approved or The Exchange has filed the proposed disapproved. determination under Rule 7.1(c)(3) that rule change pursuant to Section beginning March 23, 2020, the Trading 19(b)(3)(A)(iii) of the Act 12 and Rule IV. Solicitation of Comments Floor facilities located at 11 Wall Street 19b–4(f)(6) thereunder.13 Because the Interested persons are invited to in New York City would close and the foregoing proposed rule change does Exchange would move, on a temporary submit written data, views, and not: (i) Significantly affect the arguments concerning the foregoing, basis, to fully electronic trading. On protection of investors or the public including whether the proposed rule May 14, 2020, the CEO of the Exchange interest; (ii) impose any significant change is consistent with the Act. made a determination under Rule burden on competition; and (iii) become Comments may be submitted by any of 7.1(c)(3) that, beginning May 26, 2020, operative for 30 days from the date on the following methods: the Trading Floor would be partially which it was filed, or such shorter time reopened to allow a subset of Floor as the Commission may designate, it has Electronic Comments brokers to return to the Trading Floor. become effective pursuant to Section • Use the Commission’s internet And on June 15, 2020, the CEO of the 19(b)(3)(A)(iii) of the Act 14 and comment form (http://www.sec.gov/ Exchange made a determination under subparagraph (f)(6) of Rule 19b–4 rules/sro.shtml); or Rule 7.1(c)(3) that, beginning June 17, thereunder.15 • Send an email to rule-comments@ 2020, the Trading Floor would be A proposed rule change filed under sec.gov. Please include File Number SR– partially reopened to allow a subset of Rule 19b–4(f)(6) 16 normally does not NYSE–2020–61 on the subject line. DMMs to return to the Trading Floor. become operative prior to 30 days after Paper Comments The Exchange believes that the the date of the filing. However, pursuant proposed rule change would remove to Rule 19b4(f)(6)(iii),17 the Commission • Send paper comments in triplicate impediments to and perfect the may designate a shorter time if such to: Secretary, Securities and Exchange mechanism of a free and open market action is consistent with the protection Commission, 100 F Street NE, and a national market system because it of investors and the public interest. The Washington, DC 20549–1090. would permit the resumption of Exchange has asked the Commission to All submissions should refer to File crossing transactions pursuant to Rule waive the 30-day operative delay so that Number SR–NYSE–2020–61. This file 76, and therefore restore functionality to the proposal may take effect number should be included on the Floor brokers. The Exchange believes immediately. The Exchange believes subject line if email is used. To help the that crossing transactions can be that waiver of the operative delay is Commission process and review your resumed on the Trading Floor in a consistent with the protection of comments more efficiently, please use manner consistent with both the investors and the public interest only one method. The Commission will requirements of Rule 76 and the safety because it will lift a temporary rule post all comments on the Commission’s measures required on the Trading Floor, suspension and restore functionality to internet website (http://www.sec.gov/ including the use of cloth face masks or Floor brokers without any further delay. rules/sro.shtml). Copies of the coverings and maintaining at least six- Accordingly, the Commission hereby submission, all subsequent foot physical distancing from other waives the 30-day operative delay and amendments, all written statements individuals. The Exchange therefore designates the proposal operative upon with respect to the proposed rule proposes to lift this temporary filing.18 change that are filed with the suspension by deleting Supplementary Commission, and all written Material .20 to Rule 76. 12 15 U.S.C. 78s(b)(3)(A)(iii). communications relating to the 13 17 CFR 240.19b–4(f)(6). B. Self-Regulatory Organization’s proposed rule change between the 14 15 U.S.C. 78s(b)(3)(A)(iii). Commission and any person, other than Statement on Burden on Competition 15 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– those that may be withheld from the 4(f)(6)(iii) requires a self-regulatory organization to The Exchange does not believe that give the Commission written notice of its intent to public in accordance with the the proposed rule change would impose file the proposed rule change, along with a brief provisions of 5 U.S.C. 552, will be any burden on competition that is not description and text of the proposed rule change, available for website viewing and necessary or appropriate in furtherance at least five business days prior to the date of filing printing in the Commission’s Public of the proposed rule change, or such shorter time of the purposes of the Act. This as designated by the Commission. The Exchange Reference Room, 100 F Street NE, proposed rule change is not designed to has fulfilled this requirement. Washington, DC 20549 on official address any competitive issues but 16 17 CFR 240.19b–4(f)(6). business days between the hours of rather to restore functionality to Floor 17 17 CFR 240.19b–4(f)(6)(iii). 10:00 a.m. and 3:00 p.m. Copies of the brokers by lifting the temporary 18 For purposes only of accelerating the operative filing also will be available for date of this proposal, the Commission has considered the proposed rule’s impact on inspection and copying at the principal 10 15 U.S.C. 78f(b). efficiency, competition, and capital formation. 15 11 15 U.S.C. 78f(b)(5). U.S.C. 78c(f). 19 15 U.S.C. 78s(b)(2)(B).

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office of the Exchange. All comments II. Self-Regulatory Organization’s Rule 14.11(m), and Proxy Portfolio received will be posted without change. Statement of the Purpose of, and Shares listed pursuant to Nasdaq Stock Persons submitting comments are Statutory Basis for, the Proposed Rule Market LLC Rule 5750’’ in Rule 1.1(k) to cautioned that we do not redact or edit Change include them in the enumerated list of personal identifying information from In its filing with the Commission, the Derivative Securities Products that may comment submissions. You should self-regulatory organization included trade on the Exchange on a UTP basis. submit only information that you wish statements concerning the purpose of, The Exchange also proposes non- to make available publicly. All and basis for, the proposed rule change substantive changes accommodate the submissions should refer to File and discussed any comments it received addition of this bullet point as the final Number SR–NYSE–2020–61 and should on the proposed rule change. The text item in the bulleted list in Rule 1.1(k). The Exchange also proposes to amend be submitted on or before August 17, of those statements may be examined at Rule 1.1(k) to include Index Fund 2020. the places specified in Item IV below. Shares listed pursuant to BZX Rule For the Commission, by the Division of The Exchange has prepared summaries, 14.11(c) or Nasdaq Rule 5705(b) as a Trading and Markets, pursuant to delegated set forth in sections A, B, and C below, 20 type of Derivative Securities Product authority. of the most significant parts of such that may trade pursuant to UTP. To J. Matthew DeLesDernier, statements. Assistant Secretary. effect this change, the Exchange [FR Doc. 2020–16162 Filed 7–24–20; 8:45 am] A. Self-Regulatory Organization’s proposes to amend the existing bullet Statement of the Purpose of, and the point listing ‘‘Investment Company BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule Units’’ to include Index Fund Shares as Change the alternative name for the same product. Accordingly, the Exchange SECURITIES AND EXCHANGE 1. Purpose COMMISSION proposes to revise the bullet point to list The Exchange proposes to amend ‘‘Investment Company Units listed [Release No. 34–89366; File No. SR– Rule 1.1(k), which sets forth the pursuant to NYSE Arca, Inc. Rule 5.2– NYSEArca–2020–61] meanings of ‘‘Derivative Securities E(j)(3) and Index Fund Shares listed Product’’ and ‘‘UTP Derivative Self-Regulatory Organizations; NYSE pursuant to Cboe BZX Exchange, Inc. Securities Product’’ as those terms are Arca, Inc.; Notice of Filing and Rule 14.11(c) or Nasdaq Stock Exchange used in Exchange rules. LLC Rule 5705(b).’’ Immediate Effectiveness of Proposed Specifically, the Exchange proposes to Rule Change to Amend Rule 1.1 to amend the definition of ‘‘UTP 2. Statutory Basis Include Active Proxy Portfolio Shares, Derivative Securities Product’’ to The Exchange believes that the Tracking Fund Shares, Proxy Portfolio include Active Proxy Portfolio Shares proposed rule change is consistent with Shares, and Index Fund Shares listed pursuant to NYSE Arca Rule Section 6(b) of the Act,5 in general, and July 21, 2020. 8.601–E, Tracking Fund Shares listed furthers the objectives of Section 6(b)(5) Pursuant to Section 19(b)(1) 1 of the pursuant to Cboe BZX Exchange, Inc. of the Act,6 in particular, because it is Securities Exchange Act of 1934 (‘‘BZX’’) Rule 14.11(m), and Proxy designed to remove impediments to and (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Portfolio Shares which may in the perfect the mechanism of a free and notice is hereby given that, on July 10, future be listed pursuant to Nasdaq open market, to promote just and 2020, NYSE Arca, Inc. (‘‘NYSE Arca’’ or Stock Market LLC (‘‘Nasdaq’’) Rule equitable principles of trade, and, in ‘‘Exchange’’) filed with the Securities 5750 4 as additional types of Derivative general, to protect investors and the and Exchange Commission Securities Products that may trade on public interest. (‘‘Commission’’) the proposed rule the Exchange pursuant to unlisted The proposed rule change is designed change as described in Items I and II trading privileges (‘‘UTP’’). to remove impediments to and perfect below, which Items have been prepared To effect this change, the Exchange the mechanism of a free and open by the self-regulatory organization. The proposes to add a bullet point listing market, promote just and equitable Commission is publishing this notice to ‘‘Active Proxy Portfolio Shares listed principles of trade, and, in general, to solicit comments on the proposed rule pursuant to NYSE Arca, Inc. Rule protect investors and the public interest change from interested persons. 8.601–E, Tracking Fund Shares listed because it modifies Rule 1.1(k) to state pursuant to Cboe BZX Exchange, Inc. the complete list of Derivative Securities I. Self-Regulatory Organization’s Products that may trade on a UTP basis Statement of the Terms of Substance of 4 Active Proxy Portfolio Shares, Tracking Fund on the Exchange, providing specificity, the Proposed Rule Change Shares, and Proxy Portfolio Shares are substantially clarity, and transparency in the similar products with different names and generally The Exchange proposes to amend refer to shares of actively managed exchange-traded Exchange’s rules. Moreover, the Rule 1.1 to include Active Proxy funds for which the portfolio is disclosed in proposed rule change will facilitate the Portfolio Shares, Tracking Fund Shares, accordance with standard mutual fund disclosure trading of additional types of Derivative Proxy Portfolio Shares, and Index Fund rules. See Securities Exchange Act Release No. Securities Products on the Exchange 89185 (June 29, 2020) (order approving NYSE Arca Shares in the definition of ‘‘UTP Rule 8.601–E); Securities Exchange Act Release No. pursuant to UTP, thereby enhancing Derivative Securities Product.’’ The 88887 (May 15, 2020), 85 FR 30990 (May 21, 2020) competition among market participants proposed rule change is available on the (order approving BZX Rule 14.11(m)); Securities for the benefit of investors and the Exchange’s website at www.nyse.com, at Exchange Act Release No. 89110 (June 22, 2020), 85 marketplace. FR 38461 (June 26, 2020) (Notice of Filing and the principal office of the Exchange, and Immediate Effectiveness of Proposed Rule Change B. Self-Regulatory Organization’s at the Commission’s Public Reference to Adopt Nasdaq Rule 5750 to List and Trade Proxy Statement on Burden on Competition Room. Portfolio Shares). On June 4, 2020, BZX commenced trading its first securities listed under BZX Rule The Exchange does not believe that 14.11(m) (Fidelity Blue Chip Growth ETF (FBCG), 20 the proposed rule change will impose 17 CFR 200.30–3(a)(12). Fidelity Blue Chip Value ETF (FBCV), and Fidelity 1 15 U.S.C. 78s(b)(1). New Millennium ETF (FMIL)). Although Nasdaq 2 15 U.S.C. 78a. has rules pertaining to Proxy Portfolio Shares, it 5 15 U.S.C. 78f(b). 3 17 CFR 240.19b–4. does not yet list any such product. 6 15 U.S.C. 78f(b)(4) & (5).

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any burden on competition that is not trading venue option. In addition, the Commission and any person, other than necessary or appropriate in furtherance proposal would specifically name those that may be withheld from the of the purposes of the Act. The products substantially similar to public in accordance with the proposed change would provide the Investment Company Units known as provisions of 5 U.S.C. 552, will be public and investors with up-to-date Index Fund Shares on other exchanges available for website viewing and information about the types of in the list of product that may trade on printing in the Commission’s Public Derivative Securities Products that can the Exchange pursuant to unlisted Reference Room, 100 F Street, NE, trade on the Exchange on a UTP basis trading privileges. The Commission Washington, DC 20549 on official and would promote competition by believes that waiver of the 30-day business days between the hours of adding additional types of Derivative operative delay is consistent with the 10:00 a.m. and 3:00 p.m. Copies of the Securities Products that may trade on protection of investors and the public filing also will be available for the Exchange pursuant to UTP. interest. Therefore, the Commission inspection and copying at the principal hereby waives the operative delay and office of the Exchange. All comments C. Self-Regulatory Organization’s designates the proposed rule change received will be posted without change. Statement on Comments on the operative upon filing.11 Persons submitting comments are Proposed Rule Change Received from At any time within 60 days of the cautioned that we do not redact or edit Members, Participants, or Others filing of the proposed rule change, the personal identifying information from No written comments were solicited Commission summarily may comment submissions. You should or received with respect to the proposed temporarily suspend such rule change if submit only information that you wish rule change. it appears to the Commission that such to make available publicly. All III. Date of Effectiveness of the action is necessary or appropriate in the submissions should refer to File Proposed Rule Change and Timing for public interest, for the protection of Number SR–NYSEArca–2020–61 and Commission Action investors, or otherwise in furtherance of should be submitted on or before the purposes of the Act. August 17, 2020. Because the proposed rule change does not: (i) Significantly affect the IV. Solicitation of Comments For the Commission, by the Division of Trading and Markets, pursuant to delegated protection of investors or the public Interested persons are invited to authority.12 interest; (ii) impose any significant submit written data, views, and J. Matthew DeLesDernier, burden on competition; or (iii) become arguments concerning the foregoing, Assistant Secretary. operative prior to 30 days from the date including whether the proposed rule on which it was filed, or such shorter change is consistent with the Act. [FR Doc. 2020–16160 Filed 7–24–20; 8:45 am] time as the Commission may designate Comments may be submitted by any of BILLING CODE 8011–01–P if consistent with the protection of the following methods: investors and the public interest, it has become effective pursuant to Section Electronic Comments SECURITIES AND EXCHANGE 19(b)(3)(A) of the Act 7 and Rule 19b– • Use the Commission’s internet COMMISSION 4(f)(6) thereunder.8 comment form (http://www.sec.gov/ [Release No. 34–89358; File No. SR– A proposed rule change filed rules/sro.shtml); or NASDAQ–2020–027] pursuant to Rule 19b–4(f)(6) under the • Send an email to rule-comments@ Act 9 normally does not become sec.gov. Please include File Number SR– Self-Regulatory Organizations; The operative for 30 days after the date of its NYSEArca–2020–61 on the subject line. Nasdaq Stock Market LLC; Notice of 10 Designation of a Longer Period for filing. However, Rule 19b–4(f)(6)(iii) Paper Comments permits the Commission to designate a Commission Action on a Proposed • shorter time if such action is consistent Send paper comments in triplicate Rule Change To Apply Additional with the protection of investors and the to Secretary, Securities and Exchange Initial Listing Criteria for Companies public interest. The Exchange has asked Commission, 100 F Street, NE, Primarily Operating in Restrictive the Commission to waive the 30-day Washington, DC 20549–1090. Markets operative delay so that the proposal may All submissions should refer to File become operative upon filing. The Number SR–NYSEArca–2020–61. This July 21, 2020 Exchange believes that a waiver of the file number should be included on the On May 29, 2020, The Nasdaq Stock operative delay is consistent with the subject line if email is used. To help the Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) protection of investors and the public Commission process and review your filed with the Securities and Exchange interest because it would allow for the comments more efficiently, please use Commission (‘‘Commission’’), pursuant immediate trading, pursuant to UTP, of only one method. The Commission will to Section 19(b)(1) of the Securities Active Proxy Portfolio Shares, Tracking post all comments on the Commission’s Exchange Act of 1934 (‘‘Act’’) 1 and Rule Fund Shares, and Proxy Portfolio Shares internet website (http://www.sec.gov/ 19b–4 thereunder,2 a proposed rule on the Exchange and therefore would rules/sro.shtml). Copies of the change to apply additional initial listing provide investors with an additional submission, all subsequent criteria for companies primarily amendments, all written statements operating in a jurisdiction that has 7 15 U.S.C. 78s(b)(3)(A). with respect to the proposed rule secrecy laws, blocking statues, national 8 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– change that are filed with the security laws or other laws or 4(f)(6)(iii) requires a self-regulatory organization to Commission, and all written give the Commission written notice of its intent to regulations restricting access to file the proposed rule change, along with a brief communications relating to the information by regulators of U.S.-listed description and text of the proposed rule change, proposed rule change between the companies in such jurisdiction. The at least five business days prior to the date of filing proposed rule change was published for of the proposed rule change, or such shorter time 11 For purposes only of waiving the 30-day as designated by the Commission. The Exchange operative delay, the Commission also has has satisfied this requirement. considered the proposed rule’s impact on 12 17 CFR 200.30–3(a)(12). 9 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 10 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.

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comment in the Federal Register on (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 II. Clearing Agency’s Statement of the June 12, 2020.3 notice is hereby given that on July 15, Purpose of, and Statutory Basis for, the Section 19(b)(2) of the Act 4 provides 2020, Fixed Income Clearing Proposed Rule Change that within 45 days of the publication of Corporation (‘‘FICC’’) filed with the In its filing with the Commission, the notice of the filing of a proposed rule Securities and Exchange Commission clearing agency included statements change, or within such longer period up (‘‘Commission’’) the proposed rule concerning the purpose of and basis for to 90 days as the Commission may change as described in Items I, II and III the proposed rule change and discussed designate if it finds such longer period below, which Items have been prepared any comments it received on the to be appropriate and publishes its by the clearing agency. FICC filed the proposed rule change. The text of these reasons for so finding, or as to which the proposed rule change pursuant to statements may be examined at the self-regulatory organization consents, Section 19(b)(3)(A) of the Act 3 and Rule places specified in Item IV below. The the Commission shall either approve the 19b–4(f)(3) thereunder.4 The clearing agency has prepared proposed rule change, disapprove the Commission is publishing this notice to summaries, set forth in sections A, B, proposed rule change, or institute solicit comments on the proposed rule and C below, of the most significant proceedings to determine whether the aspects of such statements. proposed rule change should be change from interested persons. (A) Clearing Agency’s Statement of the disapproved. The 45th day after I. Clearing Agency’s Statement of the Purpose of, and Statutory Basis for, the publication of the notice for this Terms of Substance of the Proposed Proposed Rule Change proposed rule change is July 27, 2020. Rule Change The Commission is extending this 45- 1. Purpose day time period. The proposed rule change consists of The Clearing Agencies are proposing amendments to the Clearing Agency The Commission finds it appropriate to revise the Capital Policy, which was to designate a longer period within Policy on Capital Requirements adopted by the Clearing Agencies in which to take action on the proposed (‘‘Capital Policy’’ or ‘‘Policy’’) of FICC July 2017 6 and is maintained by the rule change so that it has sufficient time and its affiliates, National Securities Clearing Agencies in compliance with to consider the proposed rule change Clearing Corporation (‘‘NSCC’’) and The Rule 17Ad–22(e)(15) under the Act,7 in and the comments received. Depository Trust Company (‘‘DTC,’’ and order to (1) update the frequency of the Accordingly, the Commission, pursuant together with FICC and NSCC, the calculation of the Total Capital 5 to Section 19(b)(2) of the Act, ‘‘Clearing Agencies’’). In particular, the Requirement to align with the Clearing designates September 10, 2020 as the proposed revisions to the Capital Policy Agencies’ quarterly financial statements; date by which the Commission shall would (1) update the frequency of the (2) replace the description of the either approve or disapprove, or calculation of the Total Capital calculation of the Recovery/Wind-down institute proceedings to determine Requirement (as defined below and in Capital Requirement with a reference to whether to disapprove, the proposed the Policy) to align with the Clearing the Clearing Agencies’ Recovery & rule change (File No. SR–NASDAQ– Agencies’ quarterly financial statements; Wind-down Plans to eliminate 2020–027). (2) replace the description of the redundancy between these documents; For the Commission, by the Division of calculation of the Recovery/Wind-down (3) revise the description of the Trading and Markets, pursuant to delegated Capital Requirement (as defined below additional LNA funded by equity, authority.6 and in the Policy) with a reference to referred to as the ‘‘Buffer’’ to provide the J. Matthew DeLesDernier, the Clearing Agencies’ Recovery & Clearing Agencies with flexibility in calculating this discretionary amount; Assistant Secretary. Wind-down Plans 5 to eliminate and (4) make other updates and [FR Doc. 2020–16155 Filed 7–24–20; 8:45 am] redundancy between these documents; BILLING CODE 8011–01–P revisions to the Capital Policy in order (3) revise the description of the to simplify the language and improve additional liquid net assets (‘‘LNA’’) the clarity of the Policy, as described in SECURITIES AND EXCHANGE funded by equity, referred to as the greater detail below. COMMISSION ‘‘Buffer’’ to provide the Clearing Agencies with flexibility in calculating Overview of the Capital Policy [Release No. 34–89363; File No. SR–FICC– this discretionary amount; and (4) make The Capital Policy sets forth the 2020–008] other updates and revisions to the manner in which each Clearing Agency Capital Policy in order to simplify the identifies, monitors, and manages its Self-Regulatory Organizations; Fixed general business risk with respect to the Income Clearing Corporation; Notice of language and improve the clarity of the requirement to hold sufficient LNA Filing and Immediate Effectiveness of Policy, as described in greater detail funded by equity to cover potential a Proposed Rule Change to Revise the below. general business losses so the Clearing Clearing Agency Policy on Capital 1 Agency can continue operations and Requirements 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. services as a going concern if such July 21, 2020. 3 15 U.S.C. 78s(b)(3)(A). losses materialize.8 The amount of LNA Pursuant to Section 19(b)(1) of the 4 17 CFR 240.19b–4(f)(3). funded by equity to be held by each of Securities Exchange Act of 1934 5 See Securities Exchange Act Release Nos. 83972 the Clearing Agencies for this purpose is (August 28, 2018), 83 FR 44964 (September 4, 2018) defined in the Policy as the General (SR–DTC–2017–021); 83953 (August 27, 2018), 83 3 See Securities Exchange Act Release No. 89027 FR 44381 (August 30, 2018) (SR–DTC–2017–803); Business Risk Capital Requirement. The (June 8, 2020), 85 FR 35962. Comments on the 83973 (August 28, 2018), 83 FR 44942 (September proposed rule change can be found at: https:// 4, 2018) (SR–FICC–2017–021); 83954 (August 27, 6 See Securities Exchange Act Release No. 81105 www.sec.gov/comments/sr-nasdaq-2020-027/ 2018), 83 FR 44361 (August 30, 2018) (SR–FICC– (July 7, 2017), 82 FR 32399 (July 13, 2017) (SR– srnasdaq2020027.htm. 2017–805); 83974 (August 28, 2018), 83 FR 44988 DTC–2017–003, SR–FICC–2017–007, SR–NSCC– 4 15 U.S.C. 78s(b)(2). (September 4, 2018) (SR–NSCC–2017–017); 83955 2017–004). 5 Id. (August 27, 2018), 83 FR 44340 (August 30, 2018) 7 17 CFR 240.17Ad–22(e)(15). 6 17 CFR 200.30–3(a)(31). (SR–NSCC–2017–805). 8 Supra note 6.

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Policy provides that the General updates, described in greater detail calculations that determine the Total Business Risk Requirement is calculated below. These proposed changes are Capital Requirement are completed at for each Clearing Agency as the greatest designed to update the Capital Policy different frequencies throughout the of three separate calculations—(1) an and enhance the clarity of the Policy to year, as currently described in the amount based on that Clearing Agency’s ensure that it continues to operate as Capital Policy, and all occur at least general business risk profile (‘‘Risk- intended. annually. The proposed change would state that the most recent results of these Based Capital Requirement’’), (2) an 1. Update Frequency of Calculation of calculations would be used in the amount based on the time estimated to Total Capital Requirement execute a recovery or orderly wind- quarterly calculation of the Total Capital down of the critical operations of that The Clearing Agencies are proposing Requirement. These calculations have Clearing Agency (‘‘Recovery/Wind- to update the Capital Policy to change different purposes and provide the down Capital Requirement’’), and (3) an the frequency of the calculation of the Clearing Agencies with different amount based on an analysis of that Total Capital Requirement to occur measures. Therefore, these calculations Clearing Agency’s estimated operating quarterly, and clarify that the are completed at different frequencies expenses for a six month period calculation of the Total Capital during the year, generally timed to (‘‘Operating Expense Capital Requirement would use the most occur when updated information is Requirement’’). The General Business recently completed calculations of the available. By removing the frequency of Risk Capital Requirement for each General Business Risk Capital these calculations from the Capital Clearing Agency is determined as the Requirement and the Corporate Policy, and only specifying the greatest of these calculations. Contribution. In connection with this frequency of the Total Capital The Capital Policy also addresses how proposed change, the Capital Policy Requirement calculation, which would each Clearing Agency maintains an would also be amended to remove use the most recent results of these amount of LNA funded by equity as a references to the timing of the other underlying calculations, the proposed part of its management of credit risk 9 calculations. change would simplify the Policy and pursuant to its respective rules,10 As described above, the Total Capital would provide the Clearing Agencies referred to as the ‘‘Corporate Requirement is the sum of the General with flexibility to adjust the timing of Contribution.’’ These resources are Business Risk Capital Requirement and these calculations as necessary. maintained to address losses due to a the Corporate Contribution; and the In order to reflect this change, the participant default and are held in General Business Risk Capital Clearing Agencies are proposing to Requirement is the greatest of the Risk- addition to the Clearing Agencies’ update Section 4 of the Capital Policy to Based Capital Requirement, Recovery/ General Business Risk Capital state that the Total Capital Requirement Wind-down Capital Requirement and Requirement. The Capital Policy would be calculated quarterly, using the the Operating Expense Capital describes how each Clearing Agency’s most recent calculations of the General Requirement. Currently the Capital General Business Risk Capital Business Risk Capital Requirement and Policy states that the Total Capital Requirement and Corporate Corporate Contribution. The proposed Requirement is calculated monthly. The Contribution fit within the Clearing changes would also remove statements Capital Policy also describes the Agencies’ Capital Framework, where the in Sections 5, 6, 6.1.2 and 6.3 regarding frequency of each of the other ‘‘Total Capital Requirement’’ of each the timing of the underlying calculations that are used in calculating calculations. Clearing Agency is calculated as the the Total Capital Requirement, which sum of its General Business Risk Capital occur at different intervals throughout 2. Update Description of Recovery/ Requirement and Corporate the year. Wind-Down Capital Requirement To Contribution. Finally, the Policy The Clearing Agencies are proposing Refer to the Recovery & Wind-Down provides a plan for the replenishment of to update the Capital Policy to state that Plans of the Clearing Agencies capital through the Clearing Agency the Total Capital Requirement will be The Clearing Agencies are proposing Capital Replenishment Plan. calculated quarterly, using the most to amend the Capital Policy with respect Proposed Revisions to the Capital Policy recently calculated components. This to the Recovery/Wind-down Capital proposed change would align the timing The Capital Policy is reviewed and Requirement to update references to the of this calculation with the timing of Recovery & Wind-down Plans of the approved by the Boards annually. In each of the Clearing Agencies’ quarterly connection with the most recent annual Clearing Agencies. In connection with financial statements, where the results this change, the Capital Policy would review of the Policy, the Clearing of this calculation is reported. While the Agencies are proposing revisions and also be updated to clarify the role of calculation would occur less frequently management in advising the Boards in than it is currently conducted, the Total 9 LNA funded by equity held as the Clearing connection with their annual Agencies’ Corporate Contribution is held in Capital Requirement amount does not determination of the Recovery/Wind- addition to resources held by the Clearing Agencies change materially from month to down Capital Requirement. for credit risk in compliance with Rule 17Ad– month.11 Therefore, the Clearing First, the proposed changes would 22(e)(4) under the Act, and in addition to resources Agencies believe the calculation would replace descriptions of the calculation held by the Clearing Agencies for liquidity risk in compliance with Rule 17Ad–22(e)(7). 17 CFR still be completed on an appropriate of the Recovery/Wind-down Capital 240.17Ad–22(e)(4), (7). frequency. Requirement with references to the 10 See Rule 4 of the Rules, By-laws and The proposed change would also Clearing Agencies’ Recovery & Wind- Organizational Certificate of DTC (‘‘DTC Rules’’), simplify the Capital Policy by removing down Plans, which have been adopted Rule 4 of the Rulebook of the Government the reference to the frequency of each of Securities Division of FICC (‘‘GSD Rules’’), Rule 4 by the Clearing Agencies and include of the Clearing Rules of the Mortgage-Backed the other calculations. Each of the other detailed descriptions of the calculation Securities Division of FICC (‘‘MBSD Rules’’), and of this amount.12 The Recovery/Wind- Rule 4 of the Rules & Procedures of NSCC (‘‘NSCC 11 The Total Capital Requirement amount has down Capital Requirement is an amount Rules,’’ and together with the DTC Rules, GSD been reported in footnote 9 to the Clearing Rules and MBSD Rules, the ‘‘Clearing Agencies’ Agencies’ financial statements since the third based on the time estimated to execute Rules’’ or ‘‘Rules’’), available at http://dtcc.com/ quarter of 2018, available at https://www.dtcc.com/ legal/rules-and-procedures. legal/financial-statements. 12 Supra note 5.

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a recovery or orderly wind-down of the relevant groups may provide such change would align the description in critical operations of that Clearing information to the Boards. Figure 1 of Section 4 with the Agency and is used by the Clearing description of the Corporate 3. Revise Description of Buffer Amount Agencies to determine their General Contribution in Section 5 of the Capital Business Risk Capital Requirement, as The Clearing Agencies are proposing Policy, which also describes the described above. Each of the Clearing to amend the Capital Policy to revise the Corporate Contribution by referring to Agencies have adopted a Recovery & description of the additional, the Clearing Agencies’ Rules. Wind-down Plan, which provides plans discretionary amount of LNA funded by Second, the proposed changes would for the recovery and orderly wind-down equity held by the Clearing Agencies in revise Section 6.3 of the Capital Policy of each of the Clearing Agencies addition to the Total Capital to use the defined term for Operating necessitated by credit losses, liquidity Requirement, which is referred to as a Expense Capital Requirement, which is shortfalls, losses from general business ‘‘Buffer.’’ Currently, the Capital Policy defined in the Glossary of Key Terms in risk, or any other losses.13 Section 8.7 of states that the amount of LNA funded by Section 2 of the Capital Policy. each of the Recovery & Wind-down equity held as Buffer would be Third, the proposed changes would Plans includes an analysis of the periodically assessed by the DTCC also revise Section 6.3 to clarify that the calculation of the Recovery/Wind-down Treasury group and would generally data used to estimate prospective Capital Requirement. equal approximately four to six (4–6) Clearing Agency expenses in calculating The Clearing Agencies believe their months of operating expenses for the the Operating Expense Capital respective Recovery & Wind-down Plans respective Clearing Agency. The Requirement comes from a budget are the appropriate documents for the Clearing Agencies are proposing to developed by the Financial Planning & description of the calculation of the make two changes to the description of Analysis department for the respective Recovery/Wind-down Capital the Buffer in the Capital Policy, Clearing Agencies. Requirement. The proposed change described below. Finally, the proposed changes would First, the Clearing Agencies are would remove redundancy between update Section 7.2 of the Capital Policy, proposing to remove the specificity these documents and minimize the risk which describes where the Clearing regarding how the Buffer amount held of inconsistency in this description. Agencies report their assessment of LNA by the Clearing Agencies is measured. In order to implement this change, the funded by equity against the Total This proposed change would provide Clearing Agencies are proposing to (1) Capital Requirement. The proposed the Clearing Agencies with flexibility to revise the definition of Recovery/Wind- change would state that, in addition to manage capital when determining the down Capital Requirement in Section 2 internal reporting, this assessment is appropriate amount of LNA funded by of the Capital Policy to refer to the also reported publicly in the Clearing equity that they would each hold in description of this amount in the Agencies’ financial statements. addition to the Total Capital Recovery & Wind-down Plan of each Each of these proposed changes Requirement. The Clearing Agencies Clearing Agency; and (2) revise Section would make technical drafting would implement this proposed change 6.2 of the Capital Policy to remove the corrections or clarifications to the by amending the description of Buffer in description of the calculation of the existing descriptions in the Capital Section 4 of the Capital Policy to Recovery/Wind-down Capital Policy. While these proposed changes remove the reference to four to six (4– Requirement and replace it with a would not substantively alter the 6) months of operating expenses, and reference to this description in the descriptions in the Capital Policy, they state simply that this amount is Recovery & Wind-down Plan of each of would improve the clarity of the Policy. determined based on various factors, the Clearing Agencies. including historical fluctuations of LNA 2. Statutory Basis Second, the proposed changes would and estimates of potential losses from The Clearing Agencies believe that the clarify the role of management with general business risk. proposed rule changes to the Capital respect to the Boards’ annual Second, the Clearing Agencies are Policy are consistent with the determination of the Recovery/Wind- proposing to amend Section 4 of the requirements of the Act, and the rules down Capital Requirement. Pursuant to Capital Policy to clarify that the Buffer and regulations thereunder applicable to the Clearing Agencies’ Recovery & will be calculated at least annually. a registered clearing agency. In Wind-down Plans, and in compliance Currently the Capital Policy states that particular, the Clearing Agencies believe with the requirements of Rule 17Ad- the Buffer will be calculated that the proposed changes are consistent 14 22(e)(15)(ii) under the Act, the Boards periodically. This proposed change with Section 17A(b)(3)(F) of the Act 15 are responsible for determining the would provide more specificity and Rule 17Ad–22(e)(15) under the Recovery/Wind-down Capital regarding the frequency of this Act,16 for the reasons described below. Requirement for each Clearing Agency calculation. Section 17A(b)(3)(F) of the Act on an annual basis. requires, in part, that the rules of the 4. Technical Revisions and The Treasury group of The Depository Clearing Agencies be designed to Clarifications Trust & Clearing Corporation (‘‘DTCC promote the prompt and accurate Treasury group’’) and members of In addition to the proposed changes clearance and settlement of securities management in other relevant groups described above, the Clearing Agencies transactions, and to assure the may provide the Boards with analyses are also proposing the following safeguarding of securities and funds and relevant data to facilitate this technical revisions to the Capital Policy. which are in the custody or control of determination. Therefore, the Clearing First, the proposed changes would the Clearing Agencies or for which they Agencies are proposing to amend update the description of the Corporate are responsible.17 The Capital Policy is Section 6.2 of the Capital Policy to state Contribution in Figure 1 of Section 4 of designed to ensure that each of the that the DTCC Treasury group and the Capital Policy. The proposed change Clearing Agencies hold sufficient LNA members of management in other would replace the current description of this amount with a reference to the 15 15 U.S.C. 78q–1(b)(3)(F). 13 Id. Clearing Agencies’ Rules, where this 16 17 CFR 240.17Ad–22(e)(15). 14 17 CFR 240.17Ad–22(e)(15)(ii). amount is defined. The proposed 17 15 U.S.C. 78q–1(b)(3)(F).

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funded by equity to cover potential implemented, the Capital Policy was necessary or appropriate in the public general business losses so that they can designed to meet the requirements of interest, for the protection of investors, continue the prompt and accurate Rule 17Ad–22(e)(15). For the reasons or otherwise in furtherance of the clearance and settlement of securities described above, the proposed revisions purposes of the Act. transactions, and can continue to assure would not materially alter how the IV. Solicitation of Comments the safeguarding of securities and funds Clearing Agencies comply with their which are in their custody or control or requirements under this rule. Therefore, Interested persons are invited to for which they are responsible if those the proposed changes would allow the submit written data, views and losses materialize. Clearing Agencies to maintain the arguments concerning the foregoing, The proposed changes described Capital Policy in a way that continues including whether the proposed rule above would not materially alter how to be consistent with the requirements change is consistent with the Act. the Capital Policy accomplishes this of Rule 17Ad–22(e)(15) under the Act.20 Comments may be submitted by any of goal. The proposed changes would the following methods: (B) Clearing Agency’s Statement on update the frequency of the calculation Electronic Comments of the amount of LNA funded by equity Burden on Competition • held by the Clearing Agencies. Changing Each of the Clearing Agencies believes Use the Commission’s internet this frequency would not alter the that none of the proposed revisions to comment form(http://www.sec.gov/ rules/sro.shtml); or Clearing Agencies’ ability to hold an the Capital Policy would have any • amount needed to cover potential impact, or impose any burden, on Send an email to rule-comments@ general business losses, as the result of competition. The Policy is maintained sec.gov. Please include File Number SR– these calculations do not currently by the Clearing Agencies in order to FICC–2020–008 on the subject line. change materially on a month to month satisfy their regulatory requirements and Paper Comments basis. The proposed change to refer to generally reflect internal tools and • Send paper comments in triplicate the Clearing Agencies’ Recovery & procedures. Tools and procedures that to Secretary, Securities and Exchange Wind-down Plans for the description of have a direct impact on the rights, Commission, 100 F Street NE, the Recovery/Wind-down Capital responsibilities or obligations of Washington, DC 20549. Requirement would reduce the members or participants of the Clearing redundancy between the Policy and All submissions should refer to File Agencies are reflected in the Clearing Number SR–FICC–2020–008. This file these plans, and would not alter the Agencies’ Rules. Accordingly, the calculation of this amount. The number should be included on the Capital Policy enhances the Clearing subject line if email is used. To help the proposed change to the description of Agencies’ regulatory compliance and the Buffer would provide the Clearing Commission process and review your internal management and does not have comments more efficiently, please use Agencies with additional flexibility in any impact, or impose any burden, on calculating this amount, which is held only one method. The Commission will competition. post all comments on the Commission’s in addition to the amounts needed to The proposed revisions would not meet compliance with their regulatory internet website (http://www.sec.gov/ effect any changes to the fundamental rules/sro.shtml). Copies of the requirements. Finally, the proposed purpose or materially impact the technical revisions would simplify and submission, all subsequent operation of the Capital Policy. As such, amendments, all written statements clarify the descriptions in the Policy, the proposed changes also would not and would not alter the way the Policy with respect to the proposed rule have any impact, or impose any burden, change that are filed with the operates. on competition. The proposed revisions would not Commission, and all written materially change how the Policy (C) Clearing Agency’s Statement on communications relating to the ensures that each of the Clearing Comments on the Proposed Rule proposed rule change between the Agencies hold sufficient LNA funded by Change Received From Members, Commission and any person, other than equity to cover potential general Participants, or Others those that may be withheld from the business losses but would allow the The Clearing Agencies have not public in accordance with the Clearing Agencies to maintain this solicited or received any written provisions of 5 U.S.C. 552, will be document to operate in the way it was comments relating to this proposal. The available for website viewing and intended. Therefore, such proposed Clearing Agencies will notify the printing in the Commission’s Public revisions would be consistent with the Commission of any written comments Reference Room, 100 F Street NE, requirements of Section 17A(b)(3)(F) of received by the Clearing Agencies. Washington, DC 20549 on official the Act.18 business days between the hours of Rule 17Ad–22(e)(15) under the Act III. Date of Effectiveness of the 10:00 a.m. and 3:00 p.m. Copies of the requires the Clearing Agencies to Proposed Rule Change, and Timing for filing also will be available for establish, implement, maintain and Commission Action inspection and copying at the principal enforce written policies and procedures The foregoing rule change has become office of FICC and on DTCC’s website reasonably designed to identify, effective pursuant to Section (http://dtcc.com/legal/sec-rule- monitor, and manage their respective 19(b)(3)(A) 21 of the Act and paragraph filings.aspx). All comments received general business risk and hold sufficient (f) 22 of Rule 19b–4 thereunder. At any will be posted without change. Persons liquid net assets funded by equity to time within 60 days of the filing of the submitting comments are cautioned that cover potential general business losses proposed rule change, the Commission we do not redact or edit personal so that the Clearing Agencies can summarily may temporarily suspend identifying information from comment continue operations and services as a such rule change if it appears to the submissions. You should submit only going concern if those losses Commission that such action is information that you wish to make materialize.19 As originally available publicly. All submissions 20 Id. should refer to File Number SR–FICC– 18 Id. 21 15 U.S.C 78s(b)(3)(A). 2020–008 and should be submitted on 19 17 CFR 240.17Ad–22(e)(15). 22 17 CFR 240.19b–4(f). or before August 17, 2020.

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For the Commission, by the Division of the Clearing Agencies’ Recovery & Clearing Agencies with flexibility in Trading and Markets, pursuant to delegated Wind-down Plans 5 to eliminate calculating this discretionary amount; authority.23 redundancy between these documents; and (4) make other updates and J. Matthew DeLesDernier, (3) revise the description of the revisions to the Capital Policy in order Assistant Secretary. additional liquid net assets (‘‘LNA’’) to simplify the language and improve [FR Doc. 2020–16159 Filed 7–24–20; 8:45 am] funded by equity, referred to as the the clarity of the Policy, as described in BILLING CODE 8011–01–P ‘‘Buffer’’ to provide the Clearing greater detail below. Agencies with flexibility in calculating Overview of the Capital Policy this discretionary amount; and (4) make SECURITIES AND EXCHANGE other updates and revisions to the The Capital Policy sets forth the COMMISSION Capital Policy in order to simplify the manner in which each Clearing Agency identifies, monitors, and manages its [Release No. 34–89360; File No. SR–NSCC– language and improve the clarity of the 2020–014] Policy, as described in greater detail general business risk with respect to the below. requirement to hold sufficient LNA funded by equity to cover potential Self-Regulatory Organizations; II. Clearing Agency’s Statement of the National Securities Clearing general business losses so the Clearing Purpose of, and Statutory Basis for, the Agency can continue operations and Corporation; Notice of Filing and Proposed Rule Change Immediate Effectiveness of a Proposed services as a going concern if such Rule Change To Revise the Clearing In its filing with the Commission, the losses materialize.8 The amount of LNA Agency Policy on Capital clearing agency included statements funded by equity to be held by each of Requirements concerning the purpose of and basis for the Clearing Agencies for this purpose is the proposed rule change and discussed defined in the Policy as the General July 21, 2020. any comments it received on the Business Risk Capital Requirement. The Pursuant to Section 19(b)(1) of the proposed rule change. The text of these Policy provides that the General Securities Exchange Act of 1934 statements may be examined at the Business Risk Requirement is calculated (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 places specified in Item IV below. The for each Clearing Agency as the greatest notice is hereby given that on July 15, clearing agency has prepared of three separate calculations—(1) an 2020, National Securities Clearing summaries, set forth in sections A, B, amount based on that Clearing Agency’s Corporation (‘‘NSCC’’) filed with the and C below, of the most significant general business risk profile (‘‘Risk- Securities and Exchange Commission aspects of such statements. Based Capital Requirement’’), (2) an (‘‘Commission’’) the proposed rule (A) Clearing Agency’s Statement of the amount based on the time estimated to change as described in Items I, II and III Purpose of, and Statutory Basis for, the execute a recovery or orderly wind- below, which Items have been prepared Proposed Rule Change down of the critical operations of that by the clearing agency. NSCC filed the Clearing Agency (‘‘Recovery/Wind- proposed rule change pursuant to 1. Purpose down Capital Requirement’’), and (3) an Section 19(b)(3)(A) of the Act 3 and Rule The Clearing Agencies are proposing amount based on an analysis of that 19b–4(f)(3) thereunder.4 The to revise the Capital Policy, which was Clearing Agency’s estimated operating Commission is publishing this notice to adopted by the Clearing Agencies in expenses for a six month period solicit comments on the proposed rule July 2017 6 and is maintained by the (‘‘Operating Expense Capital change from interested persons. Clearing Agencies in compliance with Requirement’’). The General Business I. Clearing Agency’s Statement of the Rule 17Ad–22(e)(15) under the Act,7 in Risk Capital Requirement for each Terms of Substance of the Proposed order to (1) update the frequency of the Clearing Agency is determined as the Rule Change calculation of the Total Capital greatest of these calculations. Requirement to align with the Clearing The Capital Policy also addresses how The proposed rule change consists of Agencies’ quarterly financial statements; each Clearing Agency maintains an amendments to the Clearing Agency (2) replace the description of the amount of LNA funded by equity as a Policy on Capital Requirements calculation of the Recovery/Wind-down part of its management of credit risk 9 (‘‘Capital Policy’’ or ‘‘Policy’’) of NSCC Capital Requirement with a reference to pursuant to its respective rules,10 and its affiliates, The Depository Trust the Clearing Agencies’ Recovery & referred to as the ‘‘Corporate Company (‘‘DTC’’) and Fixed Income Wind-down Plans to eliminate Contribution.’’ These resources are Clearing Corporation (‘‘FICC,’’ and redundancy between these documents; maintained to address losses due to a together with DTC and NSCC, the (3) revise the description of the ‘‘Clearing Agencies’’). In particular, the additional LNA funded by equity, 8 Supra note 6. proposed revisions to the Capital Policy referred to as the ‘‘Buffer’’ to provide the 9 LNA funded by equity held as the Clearing would (1) update the frequency of the Agencies’ Corporate Contribution is held in calculation of the Total Capital addition to resources held by the Clearing Agencies 5 See Securities Exchange Act Release Nos. 83972 for credit risk in compliance with Rule 17Ad– Requirement (as defined below and in (August 28, 2018), 83 FR 44964 (September 4, 2018) 22(e)(4) under the Act, and in addition to resources the Policy) to align with the Clearing (SR–DTC–2017–021); 83953 (August 27, 2018), 83 held by the Clearing Agencies for liquidity risk in Agencies’ quarterly financial statements; FR 44381 (August 30, 2018) (SR–DTC–2017–803); compliance with Rule 17Ad–22(e)(7). 17 CFR (2) replace the description of the 83973 (August 28, 2018), 83 FR 44942 (September 240.17Ad–22(e)(4), (7). 4, 2018) (SR–FICC–2017–021); 83954 (August 27, 10 See Rule 4 of the Rules, By-laws and calculation of the Recovery/Wind-down 2018), 83 FR 44361 (August 30, 2018) (SR–FICC– Organizational Certificate of DTC (‘‘DTC Rules’’), Capital Requirement (as defined below 2017–805); 83974 (August 28, 2018), 83 FR 44988 Rule 4 of the Rulebook of the Government and in the Policy) with a reference to (September 4, 2018) (SR–NSCC–2017–017); 83955 Securities Division of FICC (‘‘GSD Rules’’), Rule 4 (August 27, 2018), 83 FR 44340 (August 30, 2018) of the Clearing Rules of the Mortgage-Backed (SR–NSCC–2017–805). Securities Division of FICC (‘‘MBSD Rules’’), and 23 17 CFR 200.30–3(a)(12). 6 See Securities Exchange Act Release No. 81105 Rule 4 of the Rules & Procedures of NSCC (‘‘NSCC 1 15 U.S.C. 78s(b)(1). (July 7, 2017), 82 FR 32399 (July 13, 2017) (SR– Rules,’’ and together with the DTC Rules, GSD 2 17 CFR 240.19b–4. DTC–2017–003, SR–FICC–2017–007, SR–NSCC– Rules and MBSD Rules, the ‘‘Clearing Agencies’ 3 15 U.S.C. 78s(b)(3)(A). 2017–004). Rules’’ or ‘‘Rules’’), available at http://dtcc.com/ 4 17 CFR 240.19b–4(f)(3). 7 17 CFR 240.17Ad–22(e)(15). legal/rules-and-procedures.

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participant default and are held in calculated quarterly, using the most 2. Update Description of Recovery/ addition to the Clearing Agencies’ recently calculated components. This Wind-Down Capital Requirement To General Business Risk Capital proposed change would align the timing Refer to the Recovery & Wind-Down Requirement. The Capital Policy of this calculation with the timing of Plans of the Clearing Agencies describes how each Clearing Agency’s each of the Clearing Agencies’ quarterly The Clearing Agencies are proposing General Business Risk Capital financial statements, where the results to amend the Capital Policy with respect Requirement and Corporate of this calculation is reported. While the to the Recovery/Wind-down Capital Contribution fit within the Clearing calculation would occur less frequently Requirement to update references to the Agencies’ Capital Framework, where the than it is currently conducted, the Total Recovery & Wind-down Plans of the ‘‘Total Capital Requirement’’ of each Capital Requirement amount does not Clearing Agencies. In connection with Clearing Agency is calculated as the change materially from month to this change, the Capital Policy would sum of its General Business Risk Capital 11 also be updated to clarify the role of Requirement and Corporate month. Therefore, the Clearing management in advising the Boards in Contribution. Finally, the Policy Agencies believe the calculation would provides a plan for the replenishment of still be completed on an appropriate connection with their annual capital through the Clearing Agency frequency. determination of the Recovery/Wind- down Capital Requirement. Capital Replenishment Plan. The proposed change would also First, the proposed changes would simplify the Capital Policy by removing Proposed Revisions to the Capital Policy replace descriptions of the calculation the reference to the frequency of each of The Capital Policy is reviewed and of the Recovery/Wind-down Capital the other calculations. Each of the other Requirement with references to the approved by the Boards annually. In calculations that determine the Total connection with the most recent annual Clearing Agencies’ Recovery & Wind- Capital Requirement are completed at review of the Policy, the Clearing down Plans, which have been adopted different frequencies throughout the Agencies are proposing revisions and by the Clearing Agencies and include updates, described in greater detail year, as currently described in the detailed descriptions of the calculation below. These proposed changes are Capital Policy, and all occur at least of this amount.12 The Recovery/Wind- designed to update the Capital Policy annually. The proposed change would down Capital Requirement is an amount and enhance the clarity of the Policy to state that the most recent results of these based on the time estimated to execute ensure that it continues to operate as calculations would be used in the a recovery or orderly wind-down of the intended. quarterly calculation of the Total Capital critical operations of that Clearing Requirement. These calculations have Agency and is used by the Clearing 1. Update Frequency of Calculation of different purposes and provide the Agencies to determine their General Total Capital Requirement Clearing Agencies with different Business Risk Capital Requirement, as The Clearing Agencies are proposing measures. Therefore, these calculations described above. Each of the Clearing to update the Capital Policy to change are completed at different frequencies Agencies have adopted a Recovery & the frequency of the calculation of the during the year, generally timed to Wind-down Plan, which provides plans Total Capital Requirement to occur occur when updated information is for the recovery and orderly wind-down quarterly, and clarify that the available. By removing the frequency of of each of the Clearing Agencies calculation of the Total Capital these calculations from the Capital necessitated by credit losses, liquidity Requirement would use the most Policy, and only specifying the shortfalls, losses from general business 13 recently completed calculations of the frequency of the Total Capital risk, or any other losses. Section 8.7 of General Business Risk Capital Requirement calculation, which would each of the Recovery & Wind-down Requirement and the Corporate Plans includes an analysis of the use the most recent results of these Contribution. In connection with this calculation of the Recovery/Wind-down underlying calculations, the proposed proposed change, the Capital Policy Capital Requirement. would also be amended to remove change would simplify the Policy and The Clearing Agencies believe their references to the timing of the other would provide the Clearing Agencies respective Recovery & Wind-down Plans calculations. with flexibility to adjust the timing of are the appropriate documents for the As described above, the Total Capital these calculations as necessary. description of the calculation of the Requirement is the sum of the General In order to reflect this change, the Recovery/Wind-down Capital Business Risk Capital Requirement and Clearing Agencies are proposing to Requirement. The proposed change the Corporate Contribution; and the update Section 4 of the Capital Policy to would remove redundancy between General Business Risk Capital state that the Total Capital Requirement these documents and minimize the risk Requirement is the greatest of the Risk- would be calculated quarterly, using the of inconsistency in this description. Based Capital Requirement, Recovery/ most recent calculations of the General In order to implement this change, the Wind-down Capital Requirement and Business Risk Capital Requirement and Clearing Agencies are proposing to (1) the Operating Expense Capital Corporate Contribution. The proposed revise the definition of Recovery/Wind- Requirement. Currently the Capital changes would also remove statements down Capital Requirement in Section 2 Policy states that the Total Capital in Sections 5, 6, 6.1.2 and 6.3 regarding of the Capital Policy to refer to the Requirement is calculated monthly. The the timing of the underlying description of this amount in the Capital Policy also describes the Recovery & Wind-down Plan of each calculations. frequency of each of the other Clearing Agency; and (2) revise Section calculations that are used in calculating 6.2 of the Capital Policy to remove the the Total Capital Requirement, which description of the calculation of the occur at different intervals throughout 11 The Total Capital Requirement amount has Recovery/Wind-down Capital the year. been reported in footnote 9 to the Clearing Requirement and replace it with a The Clearing Agencies are proposing Agencies’ financial statements since the third to update the Capital Policy to state that quarter of 2018, available at https://www.dtcc.com/ 12 Supra note 5. the Total Capital Requirement will be legal/financial-statements. 13 Id.

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reference to this description in the determined based on various factors, 2. Statutory Basis Recovery & Wind-down Plan of each of including historical fluctuations of LNA The Clearing Agencies believe that the the Clearing Agencies. and estimates of potential losses from proposed rule changes to the Capital Second, the proposed changes would general business risk. Policy are consistent with the clarify the role of management with Second, the Clearing Agencies are requirements of the Act, and the rules respect to the Boards’ annual proposing to amend Section 4 of the and regulations thereunder applicable to determination of the Recovery/Wind- Capital Policy to clarify that the Buffer a registered clearing agency. In down Capital Requirement. Pursuant to will be calculated at least annually. particular, the Clearing Agencies believe the Clearing Agencies’ Recovery & Currently the Capital Policy states that that the proposed changes are consistent Wind-down Plans, and in compliance the Buffer will be calculated with Section 17A(b)(3)(F) of the Act 15 with the requirements of Rule 17Ad– periodically. This proposed change 14 and Rule 17Ad–22(e)(15) under the 22(e)(15)(ii) under the Act, the Boards would provide more specificity Act,16 for the reasons described below. are responsible for determining the regarding the frequency of this Section 17A(b)(3)(F) of the Act Recovery/Wind-down Capital calculation. requires, in part, that the rules of the Requirement for each Clearing Agency 4. Technical Revisions and Clearing Agencies be designed to on an annual basis. Clarifications promote the prompt and accurate The Treasury group of The Depository clearance and settlement of securities In addition to the proposed changes Trust & Clearing Corporation (‘‘DTCC transactions, and to assure the described above, the Clearing Agencies Treasury group’’) and members of safeguarding of securities and funds are also proposing the following management in other relevant groups which are in the custody or control of technical revisions to the Capital Policy. may provide the Boards with analyses the Clearing Agencies or for which they First, the proposed changes would and relevant data to facilitate this are responsible.17 The Capital Policy is update the description of the Corporate determination. Therefore, the Clearing designed to ensure that each of the Contribution in Figure 1 of Section 4 of Agencies are proposing to amend Clearing Agencies hold sufficient LNA the Capital Policy. The proposed change Section 6.2 of the Capital Policy to state funded by equity to cover potential would replace the current description of that the DTCC Treasury group and general business losses so that they can this amount with a reference to the members of management in other continue the prompt and accurate Clearing Agencies’ Rules, where this relevant groups may provide such clearance and settlement of securities amount is defined. The proposed information to the Boards. transactions, and can continue to assure change would align the description in 3. Revise Description of Buffer Amount the safeguarding of securities and funds Figure 1 of Section 4 with the The Clearing Agencies are proposing which are in their custody or control or description of the Corporate for which they are responsible if those to amend the Capital Policy to revise the Contribution in Section 5 of the Capital description of the additional, losses materialize. Policy, which also describes the The proposed changes described discretionary amount of LNA funded by Corporate Contribution by referring to above would not materially alter how equity held by the Clearing Agencies in the Clearing Agencies’ Rules. the Capital Policy accomplishes this addition to the Total Capital Second, the proposed changes would goal. The proposed changes would Requirement, which is referred to as a revise Section 6.3 of the Capital Policy update the frequency of the calculation ‘‘Buffer.’’ Currently, the Capital Policy to use the defined term for Operating of the amount of LNA funded by equity states that the amount of LNA funded by Expense Capital Requirement, which is held by the Clearing Agencies. Changing equity held as Buffer would be defined in the Glossary of Key Terms in this frequency would not alter the periodically assessed by the DTCC Section 2 of the Capital Policy. Clearing Agencies’ ability to hold an Treasury group and would generally Third, the proposed changes would amount needed to cover potential equal approximately four to six (4–6) also revise Section 6.3 to clarify that the general business losses, as the result of months of operating expenses for the data used to estimate prospective these calculations do not currently respective Clearing Agency. The Clearing Agency expenses in calculating change materially on a month to month Clearing Agencies are proposing to the Operating Expense Capital basis. The proposed change to refer to make two changes to the description of Requirement comes from a budget the Clearing Agencies’ Recovery & the Buffer in the Capital Policy, developed by the Financial Planning & Wind-down Plans for the description of described below. Analysis department for the respective the Recovery/Wind-down Capital First, the Clearing Agencies are Clearing Agencies. Requirement would reduce the proposing to remove the specificity Finally, the proposed changes would redundancy between the Policy and regarding how the Buffer amount held update Section 7.2 of the Capital Policy, these plans, and would not alter the by the Clearing Agencies is measured. which describes where the Clearing calculation of this amount. The This proposed change would provide Agencies report their assessment of LNA proposed change to the description of the Clearing Agencies with flexibility to funded by equity against the Total the Buffer would provide the Clearing manage capital when determining the Capital Requirement. The proposed Agencies with additional flexibility in appropriate amount of LNA funded by change would state that, in addition to calculating this amount, which is held equity that they would each hold in internal reporting, this assessment is in addition to the amounts needed to addition to the Total Capital also reported publicly in the Clearing meet compliance with their regulatory Requirement. The Clearing Agencies Agencies’ financial statements. requirements. Finally, the proposed would implement this proposed change Each of these proposed changes technical revisions would simplify and by amending the description of Buffer in would make technical drafting clarify the descriptions in the Policy, Section 4 of the Capital Policy to corrections or clarifications to the and would not alter the way the Policy remove the reference to four to six (4– existing descriptions in the Capital operates. 6) months of operating expenses, and Policy. While these proposed changes state simply that this amount is would not substantively alter the 15 15 U.S.C. 78q–1(b)(3)(F). descriptions in the Capital Policy, they 16 17 CFR 240.17Ad–22(e)(15). 14 17 CFR 240.17Ad–22(e)(15)(ii). would improve the clarity of the Policy. 17 15 U.S.C. 78q–1(b)(3)(F).

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The proposed revisions would not have any impact, or impose any burden, change that are filed with the materially change how the Policy on competition. Commission, and all written ensures that each of the Clearing communications relating to the (C) Clearing Agency’s Statement on Agencies hold sufficient LNA funded by proposed rule change between the Comments on the Proposed Rule equity to cover potential general Commission and any person, other than Change Received From Members, business losses but would allow the those that may be withheld from the Participants, or Others Clearing Agencies to maintain this public in accordance with the document to operate in the way it was The Clearing Agencies have not provisions of 5 U.S.C. 552, will be intended. Therefore, such proposed solicited or received any written available for website viewing and revisions would be consistent with the comments relating to this proposal. The printing in the Commission’s Public requirements of Section 17A(b)(3)(F) of Clearing Agencies will notify the Reference Room, 100 F Street NE, the Act.18 Commission of any written comments Washington, DC 20549 on official Rule 17Ad–22(e)(15) under the Act received by the Clearing Agencies. business days between the hours of requires the Clearing Agencies to III. Date of Effectiveness of the 10:00 a.m. and 3:00 p.m. Copies of the establish, implement, maintain and Proposed Rule Change, and Timing for filing also will be available for enforce written policies and procedures Commission Action inspection and copying at the principal reasonably designed to identify, office of NSCC and on DTCC’s website monitor, and manage their respective The foregoing rule change has become (http://dtcc.com/legal/sec-rule- effective pursuant to Section filings.aspx). All comments received general business risk and hold sufficient 21 19(b)(3)(A) of the Act and paragraph will be posted without change. Persons liquid net assets funded by equity to 22 cover potential general business losses (f) of Rule 19b–4 thereunder. At any submitting comments are cautioned that so that the Clearing Agencies can time within 60 days of the filing of the we do not redact or edit personal continue operations and services as a proposed rule change, the Commission identifying information from comment going concern if those losses summarily may temporarily suspend submissions. You should submit only materialize.19 As originally such rule change if it appears to the information that you wish to make implemented, the Capital Policy was Commission that such action is available publicly. All submissions designed to meet the requirements of necessary or appropriate in the public should refer to File Number SR–NSCC– Rule 17Ad–22(e)(15). For the reasons interest, for the protection of investors, 2020–014 and should be submitted on described above, the proposed revisions or otherwise in furtherance of the or before August 17, 2020. purposes of the Act. would not materially alter how the For the Commission, by the Division of Clearing Agencies comply with their IV. Solicitation of Comments Trading and Markets, pursuant to delegated 23 requirements under this rule. Therefore, Interested persons are invited to authority. the proposed changes would allow the submit written data, views and J. Matthew DeLesDernier, Clearing Agencies to maintain the arguments concerning the foregoing, Assistant Secretary. Capital Policy in a way that continues including whether the proposed rule [FR Doc. 2020–16157 Filed 7–24–20; 8:45 am] to be consistent with the requirements BILLING CODE 8011–01–P 20 change is consistent with the Act. of Rule 17Ad–22(e)(15) under the Act. Comments may be submitted by any of (B) Clearing Agency’s Statement on the following methods: Burden on Competition SECURITIES AND EXCHANGE Electronic Comments COMMISSION Each of the Clearing Agencies believes • Use the Commission’s internet that none of the proposed revisions to comment form(http://www.sec.gov/ [Release No. 34–89370; File No. SR– the Capital Policy would have any rules/sro.shtml); or NYSEAMER–2020–56] impact, or impose any burden, on • Send an email to rule-comments@ competition. The Policy is maintained sec.gov. Please include File Number SR– Self-Regulatory Organizations; NYSE by the Clearing Agencies in order to NSCC–2020–014 on the subject line. American LLC; Notice of Filing and satisfy their regulatory requirements and Immediate Effectiveness of Proposed Paper Comments generally reflect internal tools and Rule Change To Amend Rule 7.37E procedures. Tools and procedures that • Send paper comments in triplicate have a direct impact on the rights, to Secretary, Securities and Exchange July 21, 2020. responsibilities or obligations of Commission, 100 F Street NE, Pursuant to Section 19(b)(1) 1 of the members or participants of the Clearing Washington, DC 20549. Securities Exchange Act of 1934 (the Agencies are reflected in the Clearing All submissions should refer to File ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Agencies’ Rules. Accordingly, the Number SR–NSCC–2020–014. This file notice is hereby given that on July 14, Capital Policy enhances the Clearing number should be included on the 2020, NYSE American LLC (‘‘NYSE Agencies’ regulatory compliance and subject line if email is used. To help the American’’ or the ‘‘Exchange’’) filed internal management and does not have Commission process and review your with the Securities and Exchange any impact, or impose any burden, on comments more efficiently, please use Commission (‘‘Commission’’) the competition. only one method. The Commission will proposed rule change as described in The proposed revisions would not post all comments on the Commission’s Items I and II below, which Items have effect any changes to the fundamental internet website (http://www.sec.gov/ been prepared by the self-regulatory purpose or materially impact the rules/sro.shtml). Copies of the organization. The Commission is operation of the Capital Policy. As such, submission, all subsequent publishing this notice to solicit the proposed changes also would not amendments, all written statements with respect to the proposed rule 23 17 CFR 200.30–3(a)(12). 18 Id. 1 15 U.S.C.78s(b)(1). 19 17 CFR 240.17Ad–22(e)(15). 21 15 U.S.C 78s(b)(3)(A). 2 15 U.S.C. 78a. 20 Id. 22 17 CFR 240.19b–4(f). 3 17 CFR 240.19b–4.

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comments on the proposed rule change 2. Statutory Basis 19b–4(f)(6) thereunder.8 Because the from interested persons. proposed rule change does not: (i) The proposed rule change is Significantly affect the protection of I. Self-Regulatory Organization’s consistent with Section 6(b) of the Act,5 investors or the public interest; (ii) Statement of the Terms of Substance of in general, and furthers the objectives of impose any significant burden on the Proposed Rule Change Section 6(b)(5),6 in particular, because it competition; and (iii) become operative is designed to prevent fraudulent and The Exchange proposes to amend for 30 days from the date on which it manipulative acts and practices, to Rule 7.37E to specify the Exchange’s was filed, or such shorter time as the promote just and equitable principles of source of data feeds from MEMX LLC Commission may designate, it has trade, to foster cooperation and (‘‘MEMX’’) for purposes of order become effective pursuant to Section coordination with persons engaged in handling, order execution, order 19(b)(3)(A) of the Act and Rule 19b– facilitating transactions in securities, to routing, and regulatory compliance. The 4(f)(6) thereunder. remove impediments to, and perfect the proposed rule change is available on the At any time within 60 days of the mechanism of, a free and open market Exchange’s website at www.nyse.com, at filing of the proposed rule change, the and a national market system and, in the principal office of the Exchange, and Commission summarily may general, to protect investors and the at the Commission’s Public Reference temporarily suspend such rule change if public interest. The Exchange believes Room. it appears to the Commission that such its proposal to amend the table in Rule action is necessary or appropriate in the II. Self-Regulatory Organization’s 7.37E(d) to include the data feed source public interest, for the protection of Statement of the Purpose of, and for MEMX will ensure that Rule 7.37E investors, or otherwise in furtherance of Statutory Basis for, the Proposed Rule correctly identifies and publicly states the purposes of the Act. If the Change on a market-by-market basis all of the Commission takes such action, the specific SIP and proprietary data feeds In its filing with the Commission, the Commission shall institute proceedings that the Exchange utilizes for the self-regulatory organization included under Section 19(b)(2)(B) 9 of the Act to handling, execution, and routing of statements concerning the purpose of, determine whether the proposed rule orders, and for performing the and basis for, the proposed rule change change should be approved or regulatory compliance checks for each and discussed any comments it received disapproved. on the proposed rule change. The text of those functions. The proposed rule of those statements may be examined at change also removes impediments to IV. Solicitation of Comments the places specified in Item IV below. and perfects the mechanism of a free Interested persons are invited to The Exchange has prepared summaries, and open market and protects investors submit written data, views, and set forth in sections A, B, and C below, and the public interest by providing arguments concerning the foregoing, of the most significant parts of such additional specificity, clarity, and including whether the proposed rule statements. transparency in the Exchange’s rules. change is consistent with the Act. B. Self-Regulatory Organization’s Comments may be submitted by any of A. Self-Regulatory Organization’s the following methods: Statement of the Purpose of, and the Statement on Burden on Competition Statutory Basis for, the Proposed Rule The Exchange does not believe that Electronic Comments Change the proposed rule change will impose • Use the Commission’s internet any burden on competition that is not 1. Purpose comment form (http://www.sec.gov/ necessary or appropriate in furtherance rules/sro.shtml); or The Exchange proposes to update and of the purposes of the Act. The • Send an email to rule-comments@ amend the use of data feeds table in proposed change is not designed to sec.gov. Please include File Number SR– Rule 7.37E, which sets forth on a address any competitive issue, but NYSEAMER–2020–56 on the subject market-by-market basis the specific rather would provide the public and line. securities information processor (‘‘SIP’’) market participants with up-to-date and proprietary data feeds that the information about the data feeds the Paper Comments Exchange utilizes for the handling, Exchange will use for the handling, • Send paper comments in triplicate execution, and routing of orders, and for execution, and routing of orders, as well to: Secretary, Securities and Exchange performing the regulatory compliance as for regulatory compliance. Commission, 100 F Street NE, checks related to each of those Washington, DC 20549–1090. C. Self-Regulatory Organization’s functions. Specifically, the Exchange All submissions should refer to File Statement on Comments on the proposes to amend the table in Rule Number SR–NYSEAMER–2020–56. This Proposed Rule Change Received From 7.37E(d) to specify that, for MEMX, the file number should be included on the Members, Participants, or Others Exchange will receive the SIP feed as its subject line if email is used. To help the primary source of data for order No written comments were solicited Commission process and review your handling, order execution, order or received with respect to the proposed comments more efficiently, please use routing, and regulatory compliance. The rule change. only one method. The Commission will Exchange will not have a secondary post all comments on the Commission’s III. Date of Effectiveness of the source for data from MEMX. internet website (http://www.sec.gov/ Proposed Rule Change and Timing for The Exchange proposes that this rules/sro.shtml). Copies of the Commission Action proposed rule change would be submission, all subsequent operative on the day that MEMX The Exchange has filed the proposed amendments, all written statements launches operations as an equities rule change pursuant to Section with respect to the proposed rule exchange, which is currently expected 19(b)(3)(A)(iii) of the Act 7 and Rule change that are filed with the on September 4, 2020.4 Commission, and all written 5 15 U.S.C. 78f(b). 4 See https://memx.com/memx-timeline-update- 6 15 U.S.C. 78f(b)(5). 8 17 CFR 240.19b–4(f)(6). launch-set-for-september-4th/. 7 15 U.S.C. 78s(b)(3)(A)(iii). 9 15 U.S.C. 78s(b)(2)(B).

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communications relating to the (‘‘UITs’’) other than separate accounts displays a currently valid OMB control proposed rule change between the that are currently issuing securities, number. Commission and any person, other than including UITs that are issuers of Written comments are invited on: (a) those that may be withheld from the periodic payment plan certificates and Whether the proposed collection of public in accordance with the UITs of which a management information is necessary for the proper provisions of 5 U.S.C. 552, will be investment company is the sponsor or performance of the functions of the available for website viewing and depositor, to comply with the filing and agency, including whether the printing in the Commission’s Public disclosure requirements imposed by information will have practical utility; Reference Room, 100 F Street NE, section 8(b) of the Investment Company (b) the accuracy of the agency’s estimate Washington, DC 20549 on official Act of 1940 (15 U.S.C. 80a-8(b)). Form of the burden of the collection of business days between the hours of N–8B–2 requires disclosure about the information; (c) ways to enhance the 10:00 a.m. and 3:00 p.m. Copies of the organization of a UIT, its securities, the quality, utility, and clarity of the filing also will be available for personnel and affiliated persons of the information collected; and (d) ways to inspection and copying at the principal depositor, the distribution and minimize the burden of the collection of office of the Exchange and on its redemption of securities, the trustee or information on respondents, including internet website at https:// custodian, and financial statements. The www.nyse.com. All comments received Commission uses the information through the use of automated collection will be posted without change. Persons provided in the collection of techniques or other forms of information submitting comments are cautioned that information to determine compliance technology. Consideration will be given we do not redact or edit personal with section 8(b) of the Investment to comments and suggestions submitted identifying information from comment Company Act. in writing within 60 days of this publication. submissions. You should submit only Each registrant subject to the Form N– information that you wish to make 8B–2 filing requirement files Form N– Please direct your written comments available publicly. 8B–2 for its initial filing and does not to David Bottom, Director/Chief All submissions should refer to File file post-effective amendments on Form Information Officer, Securities and Number SR–NYSEAMER–2020–56 and N–8B–2.1 The Commission staff Exchange Commission, C/O Cynthia should be submitted on or before estimates that approximately one Roscoe, 100 F Street NE, Washington, _ August 17, 2020. respondent files one Form N–8B–2 DC 20549; or send an email to: PRA For the Commission, by the Division of filing annually with the Commission. [email protected]. Trading and Markets, pursuant to delegated Based on form amendments to include Dated: July 21, 2020. authority.10 formatting and hyperlinking J. Matthew DeLesDernier, J. Matthew DeLesDernier, requirements to Form N–8B–2 arising Assistant Secretary. Assistant Secretary. from the adoption of the FAST Act release,2 staff estimates that the burden [FR Doc. 2020–16141 Filed 7–24–20; 8:45 am] for compliance with Form N–8B–2 is BILLING CODE 8011–01–P [FR Doc. 2020–16164 Filed 7–24–20; 8:45 am] approximately 28 hours per filing.3 The BILLING CODE 8011–01–P total hourly burden for the Form N–8B– 2 filing requirement therefore is 28 SECURITIES AND EXCHANGE hours in the aggregate (1 respondent × COMMISSION SECURITIES AND EXCHANGE one filing per respondent × 28 hours per COMMISSION filing), at an internal cost burden of [Release No. 34–89359; File No. SR– [SEC File No. 270–186, OMB Control No. $9,912, and external cost burden of NYSEArca–2020–68] 3235–0186] $10,300. Self-Regulatory Organizations; NYSE Estimates of the burden hours are Arca, Inc.; Notice of Filing and Proposed Collection; Comment made solely for the purposes of the PRA Immediate Effectiveness of Proposed Request and are not derived from a Rule Change To Update the NYSE Arca comprehensive or even a representative Upon Written Request, Copies Available Options Fee Schedule From: Securities and Exchange survey or study of the costs of SEC rules Commission, Office of FOIA Services, and forms. The information provided on July 21, 2020. 100 F Street NE, Washington, DC Form N–8B–2 is mandatory. The Pursuant to Section 19(b)(1) 1 of the 20549–2736 information provided on Form N–8B–2 will not be kept confidential. An agency Securities Exchange Act of 1934 (the Revision: Form N–8B–2 2 3 may not conduct or sponsor, and a ‘‘Act’’), and Rule 19b–4 thereunder, Notice is hereby given that, pursuant person is not required to respond to, a notice is hereby given that on July 16, to the Paperwork Reduction Act of 1995 collection of information unless it 2020 NYSE Arca, Inc. (‘‘NYSE Arca’’ or (44 U.S.C. 3501 et seq.), the Securities the ‘‘Exchange’’) filed with the and Exchange Commission (the 1 Post-effective amendments are filed with the Securities and Exchange Commission ‘‘Commission’’) is soliciting comments Commission on the UIT’s Form S–6. Hence, (the ‘‘Commission’’) the proposed rule on the collection of information respondents only file Form N–8B–2 for their initial change as described in Items I and II summarized below. The Commission registration statement and not for post-effective below, which Items have been prepared amendments. by the self-regulatory organization. The plans to submit this existing collection 2 FAST Act Modernization and Simplification of of information to the Office of Regulation S–K, Securities Act Release No. 10618 Commission is publishing this notice to Management and Budget for extension (March 20, 2019) [84 FR 12674 (April 2, 2019)]. solicit comments on the proposed rule and approval. 3 Staff estimates are also adjusted to reflect new change from interested persons. Form N–8B–2 (17 CFR 274.12) is the disclosures for UIT ETFs arising from the adoption of the Exchange-Traded Funds release. See form used by unit investment trusts Exchange-Traded Funds, Investment Company Act 1 15 U.S.C. 78s(b)(1). Release No. 33646 (Sept. 25, 2019) [84 FR 57162 2 15 U.S.C. 78a. 10 17 CFR 200.30–3(a)(12). (Oct. 24, 2019)]. 3 17 CFR 240.19b–4.

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I. Self-Regulatory Organization’s Program (‘‘Amendment No. 5’’).4 The 2. Statutory Basis Statement of the Terms of Substance of Exchange then filed to conform its The Exchange believes that its the Proposed Rule Change rules—including Rule 6.27A–O—to proposal is consistent with Section 6(b) The Exchange proposes to modify its Amendment No. 5, which rules (like of the Securities Exchange Act of 1934 rules to conform the terminology in the Amendment No. 5) became operative (the ‘‘Act’’),11 in general, and furthers 5 NYSE Arca Options Fee Schedule (‘‘Fee July 1, 2020 (the ‘‘Penny Program’’). the objectives of Section 6(b)(5) of the Schedule’’) to Rule 6.72A–O The Penny Pilot, which was adopted in Act,12 in particular, in that it is designed (Requirements for Penny Interval 2007 and extended and expanded over to prevent fraudulent and manipulative Program), which permits quoting in the years, expired by its own terms on acts and practices, to promote just and penny increments for certain option June 30, 2020.6 equitable principles of trade, to remove impediments to and perfect the classes on a permanent basis. The Proposed Changes proposed rule change is available on the mechanism of a free and open market Exchange’s website at www.nyse.com, at The Exchange proposes to modify the and a national market system, and, in the principal office of the Exchange, and terminology in the Fee Schedule to align general, to protect investors and the at the Commission’s Public Reference with the terminology in the Penny public interest. Room. Program by adding new definitions for In particular, the proposed rule change, which conforms the II. Self-Regulatory Organization’s ‘‘Penny’’ and ‘‘non-Penny’’ issues and eliminating all references to ‘‘Pilot.’’ 7 terminology in the Fee Schedule to Rule Statement of the Purpose of, and 6.72A–O, promotes just and equitable As proposed, a ‘‘ ‘Penny’ issue or class Statutory Basis for, the Proposed Rule principles of trade because it does not refers to option classes that participate Change alter any existing fees or credits but in the Penny Interval Program, as instead is technical in nature insofar as In its filing with the Commission, the described in Rule 6.72A–O’’ and a self-regulatory organization included it adopts new definitions for ‘‘Penny’’ ‘‘‘non-Penny’ issue or class refers to statements concerning the purpose of, and ‘‘non-Penny’’ issues, consistent option classes that do not participate in and basis for, the proposed rule change with Exchange rules, and removes the Penny Interval Program, as references to the now-expired (Penny) and discussed any comments it received 8 on the proposed rule change. The text described in Rule 6.72A–O.’’ ‘‘Pilot.’’ This proposed change would of those statements may be examined at Consistent with the foregoing, the provide internal consistency within the places specified in Item IV below. Exchange proposes to eliminate from Exchange rules and operate to protect The Exchange has prepared summaries, the Fee Schedule all references to investors and the investing public by set forth in sections A, B, and C below, ‘‘Pilot’’ as that term relates to the making the Exchange rules easier to of the most significant parts of such ‘‘Penny Pilot’’ because such references navigate and comprehend. The statements. became obsolete as of July 1, 2020.9 proposed change would render the rules more accurate and reduce potential For consistency in usage and A. Self-Regulatory Organization’s investor confusion, thus helping to terminology, the Exchange proposes to Statement of the Purpose of, and facilitate the maintenance of a fair and modify references to ‘‘non-Penny’’ in Statutory Basis for, the Proposed Rule orderly market. Change existing text to consistently hyphenate Regarding the proposed technical and utilize a lower case ‘‘n’’ to denote 1. Purpose changes (see supra notes 9 and 10), the the term except when it is used in a Exchange believes the changes would The purpose of this filing is to modify section or column heading, which add clarity and transparency to the Fee its rules to conform the terminology in would add clarity, transparency and Schedule making it easier to navigate 10 the Fee Schedule to Rule 6.72A–O internal consistency. and comprehend to the benefit of all (Requirements for Penny Interval market participants. Program), which permits quoting in 4 See Securities Exchange Act Release No. 88532 penny increments for certain option (April 1, 2020), 85 FR 19545 (April 7, 2020) (File B. Self-Regulatory Organization’s classes on a permanent basis. In sum, No 4–443). Statement on Burden on Competition the Exchange proposes to define 5 See Securities Exchange Act Release No. 88943 (May 26, 2020), 85 FR 33255 (June 1, 2020) (SR– In accordance with Section 6(b)(8) of ‘‘Penny’’ and ‘‘non-Penny’’ issues, with NYSEArca–2020–50) (immediately effective filing the Act, the Exchange does not believe cross-reference to Rule 6.72A–O and to that is operative on July 1, 2020, which outlines the that the proposed rule change would eliminate from the Fee Schedule history of the Penny Pilot program and details the impose any burden on competition that obsolete references to the ‘‘Pilot’’ process for the Penny Interval Program). 6 See Securities Exchange Act Release No. 87610 is not necessary or appropriate in program. This filing is technical in (, 2019) 84 FR 66047 (, furtherance of the purposes of the Act. nature as it merely updates the 2019) (NYSEArca-2019–83). The proposal, which modifies the nomenclature regarding transactions in 7 See generally proposed Fee Schedule, NYSE terminology in the Fee Schedule to align Penny and non-Penny issues and does Arca OPTIONS: TRADE–RELATED CHARGES FOR with the terminology in the Exchange’s not modify any associated fees or credits STANDARD OPTIONS and NYSE Arca OPTIONS: GENERAL. rules, is not a competitive filing. for such transactions. 8 See proposed Fee Schedule, NYSE Arca Instead, the proposed change is meant Background OPTIONS: TRADE–RELATED CHARGES FOR to add clarity and transparency to the STANDARD OPTIONS. Fee Schedule to the benefit of all market 9 On April 1, 2020, the U.S. Securities See proposed Fee Schedule, NYSE Arca participants that trade on the Exchange. and Exchange Commission (the OPTIONS: TRADE–RELATED CHARGES FOR STANDARD OPTIONS (deleting reference to Given the technical nature of this filing, ‘‘Commission’’) approved Amendment ‘‘Pilot’’ throughout) and NYSE Arca OPTIONS: the Exchange anticipates that other No. 5 to the Plan for the Purpose of GENERAL, Endnote 6 (deleting reference to ‘‘Pilot’’ options exchanges will similarly update Developing and Implementing and including a reference to Penny Interval Program their fee schedules (as needed) to align Procedures Designed to Facilitate the and cross reference to Rule 6.72A–O). 10 See generally proposed Fee Schedule, NYSE Listing and Trading of Standardized Arca OPTIONS: TRADE–RELATED CHARGES FOR 11 15 U.S.C. 78f(b). Options to Adopt a Penny Interval STANDARD OPTIONS. 12 15 U.S.C. 78f(b)(5).

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with any rule(s) adopted in At any time within 60 days of the personal identifying information from conformance with Amendment No. 5. filing of the proposed rule change, the comment submissions. You should Commission summarily may submit only information that you wish C. Self-Regulatory Organization’s temporarily suspend such rule change if to make available publicly. All Statement on Comments on the it appears to the Commission that such submissions should refer to File Proposed Rule Change Received From action is necessary or appropriate in the Members, Participants, or Others Number SR–NYSEArca–2020–68 and public interest, for the protection of should be submitted on or before No written comments were solicited investors, or otherwise in furtherance of August 17, 2020. or received with respect to the proposed the purposes of the Act. If the rule change. For the Commission, by the Division of Commission takes such action, the Trading and Markets, pursuant to delegated III. Date of Effectiveness of the Commission shall institute proceedings authority.18 Proposed Rule Change and Timing for to determine whether the proposed rule J. Matthew DeLesDernier, Commission Action should be approved or disapproved. Assistant Secretary. The Exchange has filed the proposed IV. Solicitation of Comments [FR Doc. 2020–16156 Filed 7–24–20; 8:45 am] rule change pursuant to Section Interested persons are invited to BILLING CODE 8011–01–P 19(b)(3)(A)(iii) of the Act 13 and Rule submit written data, views, and 19b–4(f)(6) thereunder.14 Because the arguments concerning the foregoing, foregoing proposed rule change does including whether the proposed rule SMALL BUSINESS ADMINISTRATION not: (i) Significantly affect the change is consistent with the Act. protection of investors or the public Comments may be submitted by any of Data Collection Available for Public interest; (ii) impose any significant the following methods: Comments burden on competition; and (iii) become operative for 30 days after the date of Electronic Comments ACTION: 60-day notice and request for the filing, or such shorter time as the • Use the Commission’s internet comments. Commission may designate, it has comment form (http://www.sec.gov/ SUMMARY: The Small Business become effective pursuant to Section rules/sro.shtml); or Administration (SBA) intends to request 15 • 19(b)(3)(A) of the Act and Rule 19b– Send an email to rule-comments@ approval, from the Office of 16 4(f)(6) thereunder. The Exchange has sec.gov. Please include File Number SR– Management and Budget (OMB) for the proposed to implement the proposed NYSEArca–2020–68 on the subject line. collection of information described rule change immediately upon filing Paper Comments below. The Paperwork Reduction Act and has asked the Commission to waive (PRA) of 1995 requires federal agencies the 30-day operative delay for this • Send paper comments in triplicate to Secretary, Securities and Exchange to publish a notice in the Federal filing. Register concerning each proposed The Commission believes that Commission, 100 F Street NE, collection of information before waiving the 30-day operative delay is Washington, DC 20549–1090. submission to OMB, and to allow 60 consistent with the protection of All submissions should refer to File days for public comment in response to investors and the public interest Number SR–NYSEArca-2020–68. This the notice. This notice complies with because it will allow the Exchange to file number should be included on the that requirement. modify the terminology in its fee subject line if email is used. To help the schedule to conform it to the Penny Commission process and review your DATES: Submit comments on or before Program, which is currently described comments more efficiently, please use September 25, 2020. in NYSE Arca Rule 6.72A–O. The only one method. The Commission will ADDRESSES: Send all comments to Paula proposed rule change does not raise any post all comments on the Commission’s Tavares, Director, Marketing and novel issues and is technical in nature internet website (http://www.sec.gov/ Customer Service Office of as it is designed to update the language rules/sro.shtml). Communications & Public Liaison in the Exchange’s fee schedule to reflect Copies of the submission, all [email protected], Small Business the language used throughout the subsequent amendments, all written Administration, 409 3rd Street, 7th Exchange’s rulebook. The Commission statements with respect to the proposed Floor, Washington, DC 20416. believes that the proposed rule change rule change that are filed with the FOR FURTHER INFORMATION CONTACT: proposes ministerial changes which are Commission, and all written Paula Tavares, Director, Marketing and designed to alleviate the potential for communications relating to the Customer Service Office of investor confusion. Accordingly, the proposed rule change between the Communications & Public Liaison 202– Commission designates the proposed Commission and any person, other than 590–0479 [email protected], or rule change as operative upon filing.17 those that may be withheld from the Curtis B. Rich, Management Analyst, public in accordance with the 202–205–7030, [email protected]. 13 15 U.S.C. 78s(b)(3)(A)(iii). provisions of 5 U.S.C. 552, will be SUPPLEMENTARY INFORMATION: The 14 17 CFR 240.19b–4(f)(6). available for website viewing and 15 information collected from the public, 15 U.S.C. 78s(b)(3)(A). printing in the Commission’s Public 16 17 CFR 240.19b-4(f)(6). In addition, Rule 19b– including our program participants and 4(f)(6) requires a self-regulatory organization to give Reference Room, 100 F Street NE, stakeholders, will help ensure users the Commission written notice of its intent to file Washington, DC 20549, on official have an effective, and satisfying the proposed rule change at least five business days business days between the hours of experience with the programs and prior to the date of filing of the proposed rule change, or such shorter time as designated by the 10:00 a.m. and 3:00 p.m. Copies of the activities offered or sponsored by the Commission. The Exchange has satisfied this filing also will be available for Small Business Administration. The requirement. inspection and copying at the principal information will provide insights into 17 For purposes only of waiving the operative office of the Exchange. All comments the public’s perceptions, experience and delay for this proposal, the Commission has received will be posted without change. considered the proposed rule’s impact on expectations, and help focus attention efficiency, competition, and capital formation. See Persons submitting comments are 15 U.S.C. 78c(f). cautioned that we do not redact or edit 18 17 CFR 200.30–3(a)(12).

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on areas where communication, training Administrator’s disaster declaration, details of the modified system as set or changes in operations might improve applications for disaster loans may be forth under the caption, SUPPLEMENTARY delivery of products or services. filed at the address listed above or other INFORMATION. locally announced locations. Solicitation of Public Comments DATES: The system of records notice The following areas have been (SORN) is applicable upon its SBA is requesting comments on (a) determined to be adversely affected by publication in today’s Federal Register, Whether the collection of information is the disaster: with the exception of the routine uses, necessary for the agency to properly Primary Counties: Franklin which are effective August 26, 2020. We perform its functions; (b) whether the Contiguous Counties: invite public comment on the routine burden estimates are accurate; (c) Ohio: Delaware, Fairfield, Licking, uses or other aspects of this SORN. In whether there are ways to minimize the Madison, Pickaway, Union. accordance with 5 U.S.C. 552a(e)(4) and burden, including through the use of The Interest Rates are: (e)(11), the public is given a 30-day automated techniques or other forms of period in which to submit comments. information technology; and (d) whether Percent Therefore, please submit any comments there are ways to enhance the quality, by August 26, 2020. utility, and clarity of the information. For Physical Damage: Homeowners With Credit Avail- ADDRESSES: The public, Office of Summary of Information Collection able Elsewhere ...... 2.500 Management and Budget (OMB), and (1) Title: Generic Clearance for the Homeowners Without Credit Congress may comment on this Collection of Qualitative and Available Elsewhere ...... 1.250 publication by writing to the Executive Businesses With Credit Avail- Quantitative Feedback on Agency Director, Office of Privacy and able Elsewhere ...... 6.000 Disclosure, Office of the General Service Delivery.’’ Businesses Without Credit Description of Respondents: Program Counsel, SSA, Room G–401 West High Available Elsewhere ...... 3.000 Rise, 6401 Security Boulevard, participants and stakeholders. Non-Profit Organizations With Form Number: N/A. Credit Available Elsewhere ... 2.750 Baltimore, Maryland 21235–6401, or Total Estimated Annual Responses: Non-Profit Organizations With- through the Federal e-Rulemaking Portal 500,000. out Credit Available Else- at http://www.regulations.gov, please Total Estimated Annual Hour Burden: where ...... 2.750 reference docket number SSA–2015– 70,000. For Economic Injury: 0056. All comments we receive will be Businesses & Small Agricultural available for public inspection at the Curtis Rich, Cooperatives Without Credit above address and we will post them to Management Analyst. Available Elsewhere ...... 3.000 http://www.regulations.gov. Non-Profit Organizations With- [FR Doc. 2020–16237 Filed 7–24–20; 8:45 am] FOR FURTHER INFORMATION CONTACT: BILLING CODE 8026–03–P out Credit Available Else- where ...... 2.750 Navdeep Sarai, Government Information Specialist, Privacy Implementation Division, Office of Privacy and SMALL BUSINESS ADMINISTRATION The number assigned to this disaster for physical damage is 16555 6 and for Disclosure, Office of the General [Disaster Declaration # 16555 and # 16556; economic injury is 16556 0. Counsel, SSA, Room G–401 West High Ohio Disaster Number OH–00079] The State which received an EIDL Rise, 6401 Security Boulevard, Declaration # is Ohio. Baltimore, Maryland 21235–6401, Administrative Declaration of a telephone: (410) 966–5855, email: Disaster for the State of Ohio (Catalog of Federal Domestic Assistance [email protected]. Number 59008) AGENCY: U.S. Small Business SUPPLEMENTARY INFORMATION: We are Administration. Jovita Carranza, modifying the system manager section ACTION: Notice. Administrator. to include contact information per OMB [FR Doc. 2020–16187 Filed 7–24–20; 8:45 am] Circular A–108, Federal Agency SUMMARY : This is a notice of an BILLING CODE 8026–03–P Responsibilities for Review, Reporting, Administrative declaration of a disaster and Publication under the Privacy Act. for the State of Ohio dated 07/20/2020. We are modifying the policies and Incident: Severe Storms and Flooding. SOCIAL SECURITY ADMINISTRATION practices for retention and disposal of Incident Period: 05/18/2020 through records section to include the National 05/19/2020. [Docket No. SSA–2015–0056] Archives and Records Administration DATES: Issued on 07/20/2020. (NARA) General Records Schedule Privacy Act of 1974; System of Physical Loan Application Deadline (GRS) 2.3 Employee Relations Records, Records Date: 09/18/2020. Item 041, Anti-Harassment Complaint Economic Injury (EIDL) Loan AGENCY: Deputy Commissioner of Case Files. We are modifying the Application Deadline Date: 04/20/2021. Human Resources, Social Security policies and practices for retrieval of ADDRESSES: Submit completed loan Administration (SSA). records section to include the names of applications to: U.S. Small Business ACTION: Notice of a modified system of alleging victims, which could be SSA Administration, Processing and records. employees, contractors, volunteers or Disbursement Center, 14925 Kingsport others performing services for the Road, Fort Worth, TX 76155. SUMMARY: In accordance with the agency as authorized by law, FOR FURTHER INFORMATION CONTACT: A. Privacy Act, we are issuing public Harassment Prevention Officers (HPO), Escobar, Office of Disaster Assistance, notice of our intent to modify an or Deciding Management Officials U.S. Small Business Administration, existing system of records, the Anti- (DMO). We are modifying the purpose(s) 409 3rd Street SW, Suite 6050, Harassment & Hostile Work of the system to clarify the scope of Washington, DC 20416, (202) 205–6734. Environment Case Tracking and Records allegations covered by this system. We SUPPLEMENTARY INFORMATION: Notice is System (60–0380), last published on are revising routine use No. 4 and hereby given that as a result of the December 2, 2016. This notice publishes adding routine use No. 14, in

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accordance with OMB Memorandum PURPOSE(S) OF THE SYSTEM: RECORD SOURCE CATEGORIES: 17–12, Preparing for and Responding to SSA takes seriously its obligation to We obtain information in this system a Breach of Personally Identifiable maintain a work environment free from from alleged victims and harassers, Information, which we previously discrimination, including harassment. witnesses, members of the public, law published on , 2018 at 83 Managers and employees are enforcement officers of other Federal FR 54969. Lastly, we are modifying this responsible for preventing harassment agencies, and other individuals notice throughout to correct involved with the allegation. Some from occurring and stopping harassment miscellaneous stylistic formatting and information, such as the alleged victim’s before it becomes severe or pervasive. typographical errors of the previously or harasser’s name, personal The agency takes seriously all published notice, and to ensure the identification number (PIN), employee allegations of workplace harassment, language reads consistently across identification number, position, and job and conducts prompt, thorough, and multiple systems. We are republishing location is pre-populated in the system the entire notice for ease of reference. impartial investigations into allegations by using information contained in our of harassment. The Anti-Harassment In accordance with 5 U.S.C. 552a(r), Human Resource Operational Data Store System captures and houses information we provided a report to OMB and system. regarding allegations of workplace Congress on this new system of records. harassment filed by SSA employees, ROUTINE USES OF RECORDS MAINTAINED IN THE Matthew Ramsey, contractors, or volunteers and others SYSTEM, INCLUDING CATEGORIES OF USERS AND Executive Director, Office of Privacy and performing services for the agency as THE PURPOSES OF SUCH USES: Disclosure, Office of the General Counsel. authorized by law alleging harassment We will disclose records pursuant to by another SSA employee and any the following routine uses, however, we SYSTEM NAME AND NUMBER: investigation and/or response taken as a will not disclose any information Anti-Harassment & Hostile Work result of the allegation. The Anti- defined as ‘‘return or return Environment Case Tracking and Records Harassment System also captures and information’’ under 26 U.S.C. 6103 of System, 60–0380. houses information regarding the Internal Revenue Code, unless allegations of workplace harassment authorized by statute, the Internal SECURITY CLASSIFICATION: filed by SSA employees alleging Revenue Service (IRS), or IRS Unclassified. harassment by SSA contractors, or regulations. volunteers and others performing 1. To a congressional office in SYSTEM LOCATION: services for the agency as authorized by response to an inquiry from that office made on behalf of, and at the request of, Social Security Administration, law and any investigation and/or the subject of the record or third party Deputy Commissioner of Human response taken as a result of the acting on the subject’s behalf. Resources, Office of Labor Management allegation. Other allegations between 2. To the Department of Justice (DOJ), and Employee Relations, 6401 Security individuals covered by this system may a court or other tribunal, or another Boulevard, Baltimore, MD 21235. be captured and housed on a case-by- party before such court or tribunal, case basis. SYSTEM MANAGER(S): when: (a) SSA, or any component thereof; or Social Security Administration, CATEGORIES OF INDIVIDUALS COVERED BY THE (b) any SSA employee in his or her Deputy Commissioner of Human SYSTEM: official capacity; or Resources, Office of Labor Management SSA employees, contractors, or (c) any SSA employee in his or her and Employee Relations, 6401 Security volunteers and others performing individual capacity where DOJ (or SSA, Boulevard, Baltimore, MD 21235, 410– services for the agency as authorized by where it is authorized to do so) has 965–5855. law who report allegations of workplace agreed to represent the employee; or (d) the United States or any agency AUTHORITY FOR MAINTENANCE OF THE SYSTEM: harassment to the Office of Civil Rights and Equal Opportunity (OCREO) or to thereof where SSA determines the Title VII of the Civil Rights Act of management; SSA employees, litigation is likely to affect SSA or any 1964, 42 U.S.C. 2000e, et seq.; Age contractors, or volunteers and others of its components, is a party to the Discrimination in Employment Act of performing services for the agency as litigation or has an interest in such 1967, 29 U.S.C. 621, et seq.; The authorized by law against whom litigation, and SSA determines that the Americans with Disabilities Act of 1990 allegations of workplace harassment use of such records by DOJ, a court or (ADA), 42 U.S.C. 12101, et seq.; The have been reported to OCREO or to other tribunal, or another party before ADA Amendments Act of 2008; The management; and SSA HPOs, the tribunal is relevant and necessary to Rehabilitation Act of 1973 (Section 501), investigators, and DMOs who conduct the litigation, provided, however, that in 29 U.S.C. 791; The Notification and program business or inquiries relative to each case, the agency determines that Federal Employee Antidiscrimination reports of alleged workplace disclosures of the records to DOJ, court and Retaliation Act of 2002 (No FEAR harassment. or other tribunal, or another party is a Act), Public Law 107–174; Genetic use of the information contained in the Information Nondiscrimination Act of CATEGORIES OF RECORDS IN THE SYSTEM: records that is compatible with the 2008 (GINA), Public Law 110–233; purpose for which the records were Executive Order 13087, Executive Order This system maintains information collected. 13152, and further amendments to collected or generated in response to an 3. To the National Archives and Executive Order 11478 and Executive allegation of workplace harassment, Records Administration (NARA) under Order 11246; and Equal Employment which may include allegations of 44 U.S.C. 2904 and 2906. Opportunity Commission Enforcement workplace harassment; information 4. To appropriate agencies, entities, Guidance: Vicarious Employer Liability generated during fact-finding and persons when: for Unlawful Harassment by investigations; and other records related (a) SSA suspects or has confirmed Supervisors, Notice 915.002, V.C.1 (June to the investigation, and/or response that there has been a breach of the 18, 1999). taken as a result of the allegation. system of records;

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(b) SSA has determined that as a Uniformed Guidelines on Employee storage areas accessible only by our result of the suspected or confirmed Selection Procedures, or other functions authorized employees and contractors breach, there is a risk of harm to vested in the Commission. who have a need for the information individuals, SSA (including its 12. To officials of labor organizations when performing their official duties. information systems, programs, and recognized under 5 U.S.C. chapter 71 Security measures include the use of operations), the Federal Government, or when relevant and necessary to their codes and profiles, PIN and password, national security; and duties of exclusive representation and personal identification verification (c) the disclosure made to such concerning personnel policies, cards. We further restrict the electronic agencies, entities, and persons is practices, and matters affecting records by the use of the PIN for only reasonably necessary to assist in conditions of employment. those employees who are authorized to connections with SSA’s efforts to 13. To Federal, State and local law access the system. We keep paper respond to the suspected or confirmed enforcement agencies and private records in locked cabinets within secure breach or to prevent, minimize, or security contractors, as appropriate, areas, with access limited to only those remedy such harm. information necessary: employees who have an official need for 5. To the Office of the President in (a) To enable them to protect the access in order to perform their duties. response to an inquiry from that office safety of SSA employees and customers, We annually provide our employees made on behalf of, and at the request of, the security of the SSA workplace, the and contractors with appropriate the subject of the record or a third party operation of SSA facilities, or security awareness training that acting on the subject’s behalf. (b) to assist investigations or includes reminders about the need to 6. To contractors and other Federal prosecutions with respect to activities protect PII and the criminal penalties agencies, as necessary, for the purpose that affect such safety and security or that apply to unauthorized access to, or of assisting SSA in the efficient activities that disrupt the operations of disclosure of, PII (e.g., 5 U.S.C. administration of its programs. We SSA facilities. 552a(i)(1)). Furthermore, employees and disclose information under this routine 14. To another Federal agency or contractors with access to databases use only in situations in which SSA Federal entity, when SSA determines maintaining PII must sign a sanctions may enter into a contractual or similar that information from this system of document annually, acknowledging agreement with a third party to assist in records is reasonably necessary to assist their accountability for inappropriately accomplishing an agency function the recipient agency or entity in: accessing or disclosing such relating to this system of records. (a) Responding to a suspected or information. 7. To student volunteers, individuals confirmed breach; or RECORD ACCESS PROCEDURES: working under a personal services (b) preventing, minimizing, or contract, and other workers who remedying the risk of harm to Individuals may submit requests for technically do not have the status of individuals, the recipient agency or information about whether this system Federal employees when they are entity (including its information contains a record about them by performing work for SSA, as authorized systems, programs, and operations), the submitting a written request to the by law, and they need access to Federal Government, or national system manager at the above address, personally identifiable information (PII) security, resulting from a suspected or which includes their name, Social in SSA records in order to perform their confirmed breach. Security number (SSN), or other assigned agency functions. information that may be in this system 8. To any agency, person, or entity in POLICIES AND PRACTICES FOR STORAGE OF of records that will identify them. the course of an investigation to the RECORDS: Individuals requesting notification of, or extent necessary to obtain information We will maintain records in this access to, a record by mail must include pertinent to the investigation. system in paper and electronic form. (1) a notarized statement to us to verify 9. To the alleged victim or harasser, their identity or (2) must certify in the POLICIES AND PRACTICES FOR RETRIEVAL OF or their representatives, the minimal request that they are the individual they RECORDS: information necessary to provide the claim to be and that they understand status or the results of the investigation We will retrieve records by the name that the knowing and willful request for, or case involving them. of the alleging victim (which could be or acquisition of, a record pertaining to 10. To the Office of Personnel SSA employees, contractors, or another individual under false pretenses Management or the Merit Systems volunteers and others performing is a criminal offense. Protection Board (including the Office services for the agency as authorized by Individuals requesting notification of, of Special Counsel) when information is law), the name of the alleged harasser, or access to, records in person must requested in connection with appeals, the name of the HPO, the name of the provide their name, SSN, or other special studies of the civil service and DMO, and unique case identifiers. information that may be in this system other merit systems, review of those POLICIES AND PRACTICES FOR RETENTION AND of records that will identify them, as agencies’ rules and regulations, DISPOSAL OF RECORDS: well as provide an identity document, investigation of alleged or possible In accordance with NARA rules preferably with a photograph, such as a prohibited personnel practices, and for codified at 36 CFR 1225.16, we maintain driver’s license. Individuals lacking such other functions of these agencies as records in accordance with the identification documents sufficient to may be authorized by law, e.g., 5 U.S.C. approved NARA GRS 2.3 Employee establish their identity must certify in 1205 and 1206. Relations Records, Item 041 Anti- writing that they are the individual they 11. To the Equal Employment Harassment Complaint Case Files. See claim to be and that they understand Opportunity Commission when https://www.archives.gov/files/records- that the knowing and willful request for, requested in connection with mgmt/grs/grs02-3.pdf. or acquisition of, a record pertaining to investigations into alleged or possible another individual under false pretenses discriminatory practices in the Federal ADMINISTRATIVE, TECHNICAL, AND PHYSICAL is a criminal offense. sector, examination of Federal SAFEGUARDS: These procedures are in accordance affirmative employment programs, We retain electronic and paper files with our regulations at 20 CFR 401.40 compliance by Federal agencies with with personal identifiers in secure and 401.45.

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CONTESTING RECORD PROCEDURES: ADDRESSES: Interested parties may for Extra Help as part of the agency’s Same as record access procedures. comment on this notice by either Medicare outreach efforts. Individuals should also reasonably telefaxing to (410) 966–0869, writing to CATEGORIES OF RECORDS: identify the record, specify the Matthew Ramsey, Executive Director, information they are contesting, and Office of Privacy and Disclosure, Office VA’s data file comes from state the corrective action sought and of the General Counsel, Social Security compensation and pension payment the reason(s) for the correction with Administration, G–401 WHR, 6401 data records. SSA matches VA data supporting justification showing how Security Boulevard, Baltimore, MD against Medicare Database (MDB) data. the record is incomplete, untimely, 21235–6401, or emailing SSA will conduct the match using the inaccurate, or irrelevant. These [email protected]. All Social Security number, name, date of procedures are in accordance with our comments received will be available for birth, and VA claim number on both the regulations at 20 CFR 401.65(a). public inspection by contacting Mr. VA file and the MDB. Ramsey at this street address. NOTIFICATION PROCEDURES: SYSTEM(S) OF RECORDS: FOR FURTHER INFORMATION CONTACT: VA will provide compensation and Same as record access procedures. Interested parties may submit general These procedures are in accordance pension payment data from its Systes of questions about the matching program Records (SOR) entitled ‘‘Compensation, with our regulations at 20 CFR 401.40 to Andrea Huseth, Division Director, and 401.45. Pension, Education, and Vocational Office of Privacy and Disclosure, Office Rehabilitation and Employment EXEMPTIONS PROMULGATED FOR THE SYSTEM: of the General Counsel, Social Security Records-VA’’ (58VA21/22/28), Administration, G–401 WHR, 6401 This system of records has been republished with updated name at 74 Security Boulevard, Baltimore, MD exempted from certain provisions of the FR 14865 (April 1, 2009) and last 21235–6401, at telephone: (410) 966– Privacy Act pursuant to 5 U.S.C. amended at 77 FR 42593 (, 2012). 5855, or send an email to 552a(k)(2). Rules have been SSA will match the VA data with SSA [email protected]. promulgated in accordance with the SOR ‘‘Medicare Database File,’’ 60– requirements of 5 U.S.C. 553(b), (c), and SUPPLEMENTARY INFORMATION: None. 0321, last fully published at 71 FR (e) and have been published in the Matthew Ramsey, 42159 (July 25, 2006) and amended at 72 FR 69723 (, 2007) and Federal Register (FR Doc. 2016–290335 Executive Director, Office of Privacy and Filed 12–1–16; 8:45 a.m.). Disclosure, Office of the General Counsel. 83 FR 54969 (November 1, 2018). [FR Doc. 2020–16144 Filed 7–24–20; 8:45 am] HISTORY: PARTICIPATING AGENCIES: BILLING CODE 4191–02–P 81 FR 87119, Anti-Harassment & SSA and VA VBA. Hostile Work Environment Case Tracking and Records System; 83 FR AUTHORITY FOR CONDUCTING THE MATCHING DEPARTMENT OF STATE 54969, Anti-Harassment & Hostile Work PROGRAM: Environment Case Tracking and Records The legal authority for this computer [Public Notice 11144] System. matching are sections 1144(a)(1) and 30-Day Notice of Proposed Information (b)(1), and 1860D–14(a)(3) of the Social [FR Doc. 2020–16143 Filed 7–24–20; 8:45 am] Collection: Affidavit Regarding a Security Act (42 U.S.C. 1320b–14(a)(1) BILLING CODE 4191–02–P Change of Name and (b)(1), 1395w–114(a)(3)).

PURPOSE(S): ACTION: Notice of request for public SOCIAL SECURITY ADMINISTRATION comment and submission to OMB of This matching program establishes proposed collection of information. [Docket No. SSA–2019–0053] the conditions under which the VA VBA will provide SSA with VA SUMMARY: The Department of State has Privacy Act of 1974; Matching Program compensation and pension payment submitted the information collection data. This disclosure will provide SSA described below to the Office of AGENCY: Social Security Administration with information necessary to verify an Management and Budget (OMB) for (SSA). individual’s self-certification of approval. In accordance with the ACTION: Notice of a New Matching eligibility for the Medicare Prescription Paperwork Reduction Act of 1995 we Program. Drug (Medicare Part D) subsidy (Extra are requesting comments on this Help). It will also enable SSA to identify collection from all interested SUMMARY: In accordance with the individuals who may qualify for Extra provisions of the Privacy Act, as individuals and organizations. The Help as part of the agency’s Medicare purpose of this Notice is to allow 30 amended, this notice announces a new outreach efforts. matching program with the Department days for public comment. of Veterans Affairs (VA), Veterans CATEGORIES OF INDIVIDUALS: DATES: Submit comments up to August Benefits Administrarion (VBA). The individuals whose information is 26, 2020. DATES: The deadline to submit involved in this matching program are ADDRESSES: Written comments and comments on the proposed matching those who are recorded in VA recommendations for the proposed program is 30 days from the date of compensation and pension payment information collection should be sent publication of this notice in the Federal records and are matched with data in within 30 days of publication of this Register. The matching program will be SSA’s Medicare Database system of notice to www.reginfo.gov/public/do/ applicable on , 2020, or records. Such individuals have self- PRAMain. Find this particular once a minimum of 30 days after certified eligibility to SSA for the information collection by selecting publication of this notice has elapsed, Medicare Prescription Drug (Medicare ‘‘Currently under 30-day Review—Open whichever is later. The matching Part D) subsidy (Extra Help). In for Public Comments’’ or by using the program will be in effect for a period of addition, SSA will use the information search function. 18 months. to identify individuals who may quality SUPPLEMENTARY INFORMATION:

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• Title of Information Collection: signed in the presence of a passport ACTION: Notice. Affidavit Regarding a Change of Name. agent, passport acceptance agent, or • OMB Control Number: 1405–0133. notary public. SUMMARY: The FAA is considering a • Type of Request: Revision of a proposal to change 6.592 acres of airport Currently Approved Collection. Zachary Parker, land from aeronautical use to non- • Originating Office: Department of Director. aeronautical use and to authorize the State, Bureau of Consular Affairs, [FR Doc. 2020–16145 Filed 7–24–20; 8:45 am] sale of airport property located at Passport Services, Office of Program BILLING CODE 4710–06–P Freeman Municipal Airport, Seymour, Management and Operational Support IN. The aforementioned land is not (CA/PPT/S/PMO/CR). needed for aeronautical use. The land is • Form Number: DS–60. DEPARTMENT OF STATE located in the northeast portion of the • Respondents: Individuals. [Public Notice: 11170] airport just east of Airport Access Road • Estimated Number of Respondents: and north of the Runway 23 runway 2,592. Department of State FY 2018 & FY 2017 protection zone. This is vacant land and • Estimated Number of Responses: Service Contract Inventory is proposed to be sold to the City of 2,592. Seymour for the construction of AGENCY: Department of State. • Average Time Per Response: 40 Burkhart Boulevard. minutes. ACTION: Notice of release of the • Department of State’s FY 2018 & FY DATES: Comments must be received on Total Estimated Burden Time: 1,728 or before August 26, 2020. hours. 2017 Service Contract Inventory. • ADDRESSES: Documents are available for Frequency: On Occasion. SUMMARY: Acting in compliance with • Obligation to Respond: Required to review by appointment at the FAA Section 743 of Division C of the Chicago Airports District Office, Victor Obtain a Benefit. Consolidated Appropriations Act of We are soliciting public comments to Iniguez, Program Manager, 2300 East 2010, the Department of State is Devon Ave., Des Plaines, IL 60018 permit the Department to: publishing this notice to advise the • Evaluate whether the proposed Telephone: (847) 294–7436/Fax: (847) public of the availability of the FY 2018 294–7046. information collection is necessary for & FY 2017 Service Contract Inventory. Written comments on the Sponsor’s the proper functions of the Department. The FY 2018 Service Contract Inventory • request must be delivered or mailed to: Evaluate the accuracy of our includes the FY 2018 Planned Analysis, Victor Iniguez, Program Manager, estimate of the time and cost burden for and the FY 2017 Meaningful Analysis. Federal Aviation Administration, this proposed collection, including the The FY 2017 Service Contract Inventory Chicago Airports District Office, 2300 validity of the methodology and includes the FY 2017 Planned Analysis, East Devon Ave., Des Plaines, IL 60018, assumptions used. and the FY 2016 Meaningful Analysis. • Telephone Number: (847) 294–7436/ Enhance the quality, utility, and The inventory was developed in FAX Number: (847) 294–7046. clarity of the information to be accordance with guidance issued by the collected. Office of Management and Budget FOR FURTHER INFORMATION CONTACT: • Minimize the reporting burden on (OMB), Office of Federal Procurement Victor Iniguez, Program Manager, those who are to respond, including the Policy (OFPP). Federal Aviation Administration, use of automated collection techniques DATES: The inventory is available on the Chicago Airports District Office, 2300 or other forms of information East Devon Ave., Des Plaines, IL. technology. Department’s website as of July 14, 2020. Telephone Number: (847) 294–7436/ Please note that comments submitted FAX Number: (847) 294–7046. in response to this Notice are public ADDRESSES: The Department of State has SUPPLEMENTARY INFORMATION: record. Before including any detailed posted its FY 2018 & FY 2017 Service In personal information, you should be Contract Inventory at the following link: accordance with section 47107(h) of aware that your comments as submitted, https://csm.state.gov/index2.html. Title 49, United States Code, this notice is required to be published in the including your personal information, FOR FURTHER INFORMATION CONTACT: Federal Register 30 days before will be available for public review. Marlon D. Henry, Management and modifying the land-use assurance that Program Analyst, A/EX/CSM, 202–485– Abstract of Proposed Collection requires the property to be used for an 7210, [email protected]. The Affidavit Regarding a Change of aeronautical purpose. Name is submitted in conjunction with Marlon D. Henry, There is no current or future an application for a U.S. passport. It is Management and Program Analyst, Bureau aeronautical need for the subject land. It used by Passport Services to collect of Administration, Collaborative Strategy and is currently vacant land used for information for the purpose of Management Division, Department of State. agricultural and open space. The land is establishing that a passport applicant [FR Doc. 2020–16136 Filed 7–24–20; 8:45 am] surplus property from the U.S. has adopted a new name without formal BILLING CODE 4710–24–P Government that was transferred to the court proceedings or by marriage and Seymour Aviation Commission (later to has publicly and exclusively used the become the Seymour Municipal Airport adopted name over a period of time (at DEPARTMENT OF TRANSPORTATION Authority) on November 30, 1948. The least five years). proposed use of the land is for the Federal Aviation Administration construction of Burkhart Boulevard. The Methodology airport will receive fair market value for Notice of Intent of Waiver With Respect the sale of this land. When needed by an applicant for a to Land; Freeman Municipal Airport, passport, the Affidavit Regarding a Seymour, IN The disposition of proceeds from the Change of Name is either provided by sale of the airport property will be in the Department or downloaded from the AGENCY: Federal Aviation accordance with FAA’s Policy and Department’s website at eforms.state.gov Administration (FAA), Transportation Procedures Concerning the Use of and completed by the affiant. It must be (DOT). Airport Revenue, published in the

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Federal Register on February 16, 1999 part of the grantor’s land lying within 98.68 feet to point ‘‘615’’ designated on (64 FR 7696). the right of way lines depicted on the said plat; thence North 88 degrees 02 This notice announces that the FAA attached Right of Way Parcel Plat, minutes 46 seconds East 251.05 feet to is considering the release of the subject marked EXHIBIT ‘‘B’’, described as point ‘‘614’’ designated on said plat; airport property at the Freeman follows: Beginning at the northeast thence North 89 degrees 11 minutes 14 Municipal Airport, Seymour, IN, from corner of said section, said northeast seconds East 128.83 feet to the east line federal land covenants, subject to a corner being designated as point of the grantor’s land; thence South 0 reservation for continuing right of flight ‘‘10131’’ on said plat; thence South 0 degrees 45 minutes 05 seconds East as well as restrictions on the released degrees 12 minutes 35 seconds East 105.77 feet along said east line to the property as required in FAA Order 344.46 feet along the east line of said centerline of G Avenue; thence South 89 5190.6B section 22.16. Approval does section to the centerline of G Avenue; degrees 24 minutes 05 seconds West not constitute a commitment by the thence South 89 degrees 09 minutes 48 568.05 feet along said centerline to the FAA to financially assist in the disposal seconds West 214.87 feet along said west line of said section; thence North of the subject airport property nor a centerline to a corner of a 2,234.25-acre 0 degrees 12 minutes 35 seconds West determination of eligibility for grant-in- tract of land described in Deed Record 233.86 feet along said west line to the aid funding from the FAA. 93, page 405; thence North 0 degrees 34 point of beginning and containing 1.623 Parcel 1 minutes 44 seconds West 33.63 feet acres, more or less, inclusive of the along the west line of said 2,234.25-acre presently existing right of way, which A part of the Northeast Quarter of the tract of land; thence North 78 degrees 19 contains 0.192 acres, more or less. Northeast Quarter of Section 25, minutes 23 seconds East 138.44 feet to Parcel 25 Township 6 North, Range 5 East, point ‘‘624’’ designated on said plat; Jackson County, Indiana, and being that thence North 36 degrees 03 minutes 13 A part of Lot 1, in Freeman Municipal part of the grantor’s land lying within seconds East 17.53 feet to point ‘‘623’’ Airport Industrial Park, a subdivision in the right of way lines depicted on the designated on said plat; thence North 0 the West Half of Section 30, Township attached Right of Way Parcel Plat, degrees 52 minutes 43 seconds West 6 North, Range 6 East, and the Southeast marked EXHIBIT ‘‘B’’, described as 173.01 feet to point ‘‘622’’ designated on Quarter of Section 25, Township 6 follows: Commencing at the Northeast said plat; thence North 3 degrees 40 North, Range 5 East, the plat of which corner of Section 25, Township 6 North, minutes 01 second East 49.00 feet to the is recorded in Plat Book 6, page 2, in the Range 5 East, on the North boundary west boundary of Airport Road (First Office of the Recorder of Jackson line, thence South 88 degrees 40 Avenue) at point ‘‘621’’ designated on County, Indiana, and being that part of minutes West on said section line for a said plat; thence North 0 degrees 30 the grantor’s land lying within the right distance of 217.1 feet to a point marked minutes 40 seconds West 48.47 feet of way lines depicted on the attached with an iron pin, thence South 0 degrees along the boundary of said Airport Road Right of Way Parcel Plat, marked 49 minutes East for a distance of 344.3 (First Avenue) to the north line of said EXHIBIT ‘‘B’’, described as follows: feet (the foregoing portion of this section; thence North 88 degrees 47 Beginning at the northwest corner of description beginning with the words minutes 57 seconds East 68.00 feet said lot; thence North 89 degrees 24 ‘‘at the Northeast’’ is quoted from Deed along said north line to the point of minutes 05 seconds East 231.44 feet Record 93, page 405) to the centerline of beginning and containing 0.710 acres, along the north line of said lot to point G Avenue and to the point of beginning more or less, inclusive of the presently ‘‘512’’ designated on said parcel plat; of this description, said point of existing right of way, which contains thence South 0 degrees 48 minutes 46 beginning being a corner of a 2,234.25- 0.325 acres, more or less. seconds East 15.75 feet to point ‘‘511’’ acre tract of land described in Deed designated on said parcel plat; thence Record 93, page 405: Thence South 89 Parcel 24 South 88 degrees 00 minutes 44 seconds degrees 09 minutes 48 seconds West A part of the Northwest Quarter of West 78.01 feet to point ‘‘510’’ 140.83 feet along said centerline; thence Section 30, Township 6 North, Range 6 designated on said parcel plat; thence North 2 degrees 22 minutes 06 seconds East, Jackson County, Indiana, and being South 86 degrees 42 minutes 08 seconds West 16.62 feet to point ‘‘627’’ that part of the grantor’s land lying West 146.21 feet to point ‘‘509’’ designated on said plat; thence North 81 within the right of way lines depicted designated on said parcel plat; thence degrees 46 minutes 55 seconds East on the attached Right of Way Parcel South 0 degrees 36 minutes 26 seconds 54.18 feet to point ‘‘626’’ designated on Plat, marked EXHIBIT ‘‘B’’, described as East 229.00 feet to point ‘‘508’’ said plat; thence North 88 degrees 37 follows: Beginning at a point on the designated on said parcel plat; thence minutes 01 second East 37.01 feet to west line of said section South 0 degrees South 89 degrees 37 minutes 05 seconds point ‘‘625’’ designated on said plat; 25 minutes 41 seconds East 399.12 feet West 7.505 feet to the west line of said thence North 78 degrees 19 minutes 23 from the northwest corner of said lot at point ‘‘507’’ designated on said seconds East 51.61 feet to the west line section, said point of beginning being parcel plat; thence North 0 degrees 35 of said 2,234.25-acre tract of land; the intersection of said west line with minutes 55 seconds West 253.50 feet thence South 0 degrees 34 minutes 44 the prolonged south line of a 1.427-acre along said west to the point of beginning seconds East 33.63 feet along the west tract of land described in Deed Record and containing 0.144 acres, more or less. line to the point of beginning and 273, page 22; thence South 89 degrees Parcel 26 containing 0.078 acres, more or less, 34 minutes 39 seconds East 63.37 feet inclusive of the presently existing right along said prolonged south line and A part of Lot 4, in Freeman Municipal of way, which contains 0.026 acres, along the south line of said 1.427-acre Airport Industrial Park, a subdivision in more or less. tract of land; thence South 8 degrees 25 the West Half of Section 30, Township minutes 32 seconds East 43.76 feet to 6 North, Range 6 East, and the Southeast Parcel 1A point ‘‘617’’ designated on said plat; Quarter of Section 25, Township 6 A part of the Northeast Quarter of the thence South 28 degrees 45 minutes 04 North, Range 5 East, the plat of which Northeast Quarter of Section 25, seconds East 56.82 feet to point ‘‘616’’ is recorded in Plat Book 6, page 2, in the Township 6 North, Range 5 East, designated on said plat; thence South 66 Office of the Recorder of Jackson Jackson County, Indiana, and being that degrees 43 minutes 58 seconds East County, Indiana, and being that part of

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the grantor’s land lying within the right along said south line and along the East 172.31 feet along said east line to of way lines depicted on the attached prolonged south line of said 5.132-acre the point of beginning and containing Right of Way Parcel Plat, marked tract to the east line of said section; 0.174 acres, more or less, inclusive of EXHIBIT ‘‘B’’, described as follows: thence South 1 degree 21 minutes 22 the presently existing right of way, Beginning at the northeast corner of said seconds East 317.98 feet along said east which contains 0.095 acres, more or lot; thence South 0 degrees 35 minutes line to the point of beginning and less. 55 seconds East 22.02 feet along the east containing 3.451 acres, more or less, Issued in Des Plaines, IL on July 22, 2020. line of said lot to point ‘‘515’’ inclusive of the presently existing right Debra L Bartell, designated on said parcel plat; thence of way, which contains 0.181 acres, Westerly 314.79 feet along an arc to the more or less. Manager, Chicago Airports District Office, FAA, Great Lakes Region. left and having a radius of 4,040.00 feet Parcel 27A and subtended by a long chord having [FR Doc. 2020–16231 Filed 7–24–20; 8:45 am] a bearing of North 88 degrees 20 A part of the Northeast Quarter of BILLING CODE 4910–13–P minutes 08 seconds West and a length Section 30, Township 6 North, Range 6 of 314.72 feet to the west line of said lot; East, Jackson County, Indiana, and being DEPARTMENT OF TRANSPORTATION thence North 0 degrees 35 minutes 55 that part of the grantor’s land lying within the right of way lines depicted seconds West 9.60 feet along said west Federal Railroad Administration line to the northwest corner of said lot; on the attached Right of Way Parcel thence North 89 degrees 24 minutes 05 Plat, marked EXHIBIT ‘‘B’’, described as [Docket Number FRA–1999–6254] seconds East 314.47 feet along the north follows: Beginning at a point on the east line of said lot to the point of beginning line of said section North 1 degree 21 Petition for Waiver of Compliance and containing 0.099 acres, more or less. minutes 22 seconds West 193.13 feet from the southeast corner of said quarter Under part 211 of title 49 Code of Parcel 27 section, said southeast corner being Federal Regulations (CFR), this A part of the Northeast Quarter of designated as point ‘‘10106’’ on said document provides the public notice Section 30, Township 6 North, Range 6 plat; thence South 88 degrees 38 that on July 15, 2020, the Santa Clara East, Jackson County, Indiana, and being minutes 38 seconds West 29.90 feet to Valley Transportation Authority that part of the grantor’s land lying point ‘‘521’’ designated on said plat; (SCVTA) petitioned the Federal within the right of way lines depicted thence North 21 degrees 06 minutes 34 Railroad Administration (FRA) to renew on the attached Right of Way Parcel seconds West 179.67 feet; thence North a waiver of compliance from certain Plat, marked EXHIBIT ‘‘B’’, described as 45 degrees 16 minutes 05 seconds East provisions of the Federal railroad safety follows: Beginning at a point on the east 124.67 feet to the east line of said regulations contained at 49 CFR parts line of said section North 1 degree 21 section; thence South 1 degree 21 214, 217, 219, 220, 221, 223, 225, 228, minutes 22 seconds West 447.85 feet minutes 22 seconds East 254.72 feet 229, 231, 233, 236, 238, and 239. FRA from the southeast corner of said quarter along said east line to the point of assigned the petition Docket Number section, said southeast corner being beginning and containing 0.323 acres, FRA–1999–6254. designated as point ‘‘10106’’ on said more or less, inclusive of the presently In its petition, SCVTA seeks to extend plat; thence South 45 degrees 16 existing right of way, which contains the terms and conditions of its shared minutes 05 seconds West 124.67 feet; 0.134 acres, more or less. use waiver, originally granted by FRA’s thence North 21 degree 06 minutes 34 Railroad Safety Board on , Parcel 28 seconds West 123.55 feet to point ‘‘520’’ 2005; modified in 2008; extended in designated on said plat; thence South 88 A part of the Northeast Quarter of 2011, 2013, 2018, and 2019. degrees 48 minutes 26 seconds West Section 30, Township 6 North, Range 6 Specifically, SCVTA requests the 69.02 feet to point ‘‘519’’ designated on East, Jackson County, Indiana, and being following relief, for a period of five said plat; thence Northwesterly 737.90 that part of the grantor’s land lying years: partial relief from part 220, feet along an arc to the right and having within the right of way lines depicted Railroad Communications, for SCVTA a radius of 1,260.00 feet and subtended on the attached Right of Way Parcel employees, except its dispatchers; by a long chord having a bearing of Plat, marked EXHIBIT ‘‘B’’, described as partial relief from part 225, Railroad North 74 degrees 24 minutes 57 seconds follows: Beginning at a point on the east Accidents/Incident Reports, only for West and a length of 727.40 feet to the line of said section North 1 degree 21 employee injuries; and full relief from northwestern line of the grantor’s land; minutes 22 seconds West 765.82 feet some parts of multiple regulations (e.g., thence North 45 degrees 17 minutes 57 from the southeast corner of said quarter 49 CFR parts 217, 219, 221, 229, 238, seconds East 154.46 feet along said section, said southeast corner being and 239). northwestern line; thence Southeasterly designated as point ‘‘10106’’ on said This shared use waiver is for the 615.46 feet along an arc to the left and plat, said point of beginning being the continued operation of the SCVTA rail having a radius of 1,110.00 feet and intersection of said east line with the fixed guideway transit system with the subtended by a long chord having a prolonged south line of a 5.132-acre Union Pacific Railroad (UPRR) in the bearing of South 75 degrees 18 minutes tract of land described in Miscellaneous Vasona Corridor. SCVTA shares this 30 seconds East and a length of 607.61 Record Y, page 365; thence South 88 corridor with UPRR, as they operate in feet to point ‘‘610’’ designated on said degrees 43 minutes 38 seconds West parallel for 5 miles of the existing 15- plat; thence North 88 degrees 48 58.28 feet along said prolonged south mile-long UPRR Vasona Industrial Lead. minutes 26 seconds East 120.02 feet to line and along the south line of said It serves the cities of southwest San Jose point ‘‘609’’ designated on said plat; 5.132-acre tract of land; thence North 8 and Campbell, California. Because thence North 8 degrees 00 minutes 09 degrees 00 minutes 09 seconds East SCVTA owns this 5-mile-long portion of seconds East 139.41 feet to the south 174.54 feet to point ‘‘608’’ designated on the shared corridor, SCVTA and UPRR line of a 5.132-acre tract of land said plat; thence North 88 degrees 38 have executed an Operations and described in Miscellaneous Record Y, minutes 38 seconds East 29.90 feet to Maintenance Agreement, which page 365; thence North 88 degrees 43 the east line of said section; thence includes an exclusive operating minutes 38 seconds East 58.28 feet South 1 degree 21 minutes 22 seconds easement, allowing UPRR to fulfill its

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obligations as a common carrier of also https://www.regulations.gov/ The Test Program is designed to test freight by continuing its existing freight privacyNotice for the privacy notice of autonomous track geometry operations within the purchased regulations.gov. measurement systems and gradually corridor. This agreement requires Issued in Washington, DC. decrease manual visual inspections as SCVTA to inspect, maintain, and repair John Karl Alexy, an alternative to FRA’s inspection all tracks, signal systems, and automatic frequency requirements. CP indicates Associate Administrator for Railroad warning devices along the freight track Safety,Chief Safety Officer. that it will continue to use other within that portion of the corridor inspection technologies during the Test shared with SCVTA tracks. [FR Doc. 2020–16229 Filed 7–24–20; 8:45 am] Program, including: (1) Vehicle Track SCVTA explains it has worked BILLING CODE 4910–06–P Interaction monitoring systems; (2) diligently with FRA to rectify ultrasonic rail inspection systems; and compliance concerns found during the DEPARTMENT OF TRANSPORTATION (3) optical joint bar inspection systems. 2018–2019 waiver relief period, and The Test Program will be carried out in seeks a full five-year extension of the Federal Railroad Administration three separate phases over the course of regulations as previously granted in this 12 months, as detailed in Exhibit C of docket. [Docket No. FRA–2020–0056] the Test Program (available for review at A copy of the petition, as well as any www.regulations.gov (docket number written communications concerning the Program Approval: Canadian Pacific FRA–2020–0056)). petition, is available for review online at Railway Company After review and analysis of CP’s www.regulations.gov. petition for a Test Program, subject to Interested parties are invited to AGENCY: Federal Railroad certain conditions designed to ensure participate in these proceedings by Administration (FRA), Department of safety, FRA approved CP’s Test Program submitting written views, data, or Transportation (DOT). and suspended the requirements of 49 comments. If any interested parties ACTION: Notice of approval. CFR 213.233(b)(3) 1 and (c) as necessary desire an opportunity for oral comment to carry out the Test Program. A copy and a public hearing, they should notify SUMMARY: FRA is issuing this notice to of FRA’s letter approving CP’s Test FRA, in writing, before the end of the explain its rationale for approving a Program and granting the requested comment period and specify the basis Canadian Pacific Railway Company (CP) limited temporary suspension of 49 CFR for their request. petition for a Test Program designed to All communications concerning these test track inspection technologies (i.e., 213.233(b)(3) and (c), as well as a proceedings should identify the an autonomous track geometry complete copy of the Test Program, is appropriate docket number and may be measurement system) and new available in docket number FRA–2020– submitted by any of the following operational approaches to track 0056 at www.regulations.gov. FRA’s methods: inspections and its rationale for granting letter approving CP’s Test Program and • website: http:// a limited, temporary suspension of a granting the requested limited www.regulations.gov. Follow the online substantive FRA rule that is necessary to temporary suspension of certain instructions for submitting comments. facilitate the conduct of the Test regulations specifically details the • Fax: 202–493–2251. Program. conditions CP will need to undertake • Mail: Docket Operations Facility, during the Test Program. As required by FOR FURTHER INFORMATION CONTACT: U.S. Department of Transportation, 1200 Yu- 49 CFR 211.51(c), FRA is providing this New Jersey Ave. SE, W12–140, Jiang Zhang, Staff Director, Track and explanatory statement describing the Washington, DC 20590. Structures Division, Office of Railroad Test Program. • Hand Delivery: 1200 New Jersey Safety, FRA, 1200 New Jersey Avenue SE, Washington, DC 20590, telephone As explained more fully in its Ave. SE, Room W12–140, Washington, approval letter, FRA finds that the DC 20590, between 9 a.m. and 5 p.m., (202) 493–6460 or email yujiang.zhang@ dot.gov; Aaron Moore, Attorney, Office temporary, limited suspension of 49 Monday through Friday, except Federal CFR 213.233(b)(3) and (c) is necessary to Holidays. of Chief Counsel, FRA, 1200 New Jersey Avenue SE, Washington, DC 20590, the conduct of the approved Test Communications received by Program, which is specifically designed September 10, 2020 will be considered telephone (202) 493–7009 or email [email protected]. to evaluate the effectiveness of new by FRA before final action is taken. automated track inspection technologies Comments received after that date will SUPPLEMENTARY INFORMATION: On July 2, and operational methods. Furthermore, be considered if practicable. 2020, CP petitioned FRA under title 49 FRA also finds that the scope and Anyone can search the electronic Code of Federal Regulations (CFR) application of the granted suspension of form of any written communications § 211.51 to suspend certain 49 CFR 213.233(b)(3) and (c) as applied and comments received into any of our requirements of FRA’s track safety to the Test Program are limited to that dockets by the name of the individual regulations to conduct a program to test necessary to conduct the Test Program. submitting the comment (or signing the new track inspection technologies (i.e., Finally, FRA’s approval letter outlines document, if submitted on behalf of an an autonomous track geometry the conditions of the Test Program that association, business, labor union, etc.). measurement system) and new will ensure standards sufficient to Under 5 U.S.C. 553(c), DOT solicits operational approaches to track assure safety. comments from the public to better inspections. CP also submitted a written inform its processes. DOT posts these Test Program providing a description of John Karl Alexy, comments, without edit, including any the proposed tests and the geographic Associate Administrator for Railroad Safety, personal information the commenter scope of the testing territory. Chief Safety Officer. provides, to www.regulations.gov, as The Test Program specifies that the [FR Doc. 2020–16222 Filed 7–24–20; 8:45 am] described in the system of records tests will be conducted on BILLING CODE 4910–06–P notice (DOT/ALL–14 FDMS), which can approximately 480 miles of track on be reviewed at https:// CP’s corridor between St. Paul, 1 The suspension of 49 CFR 213.233(b)(3) only www.transportation.gov/privacy. See Minnesota and Rondout, Illinois. applies to Phase 3 of the Test Program.

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DEPARTMENT OF TRANSPORTATION without an emergency two-way DEPARTMENT OF TRANSPORTATION communication device, as it was built Federal Railroad Administration before the current regulation went into Federal Railroad Administration [Docket Number FRA–2020–0047] effect. [Docket Number FRA–2020–0053] A copy of the petition, as well as any Petition for Waiver of Compliance written communications concerning the Petition for Waiver of Compliance Under part 211 of title 49 Code of petition, is available for review online at Under part 211 of title 49 Code of Federal Regulations (CFR), this www.regulations.gov. Federal Regulations (CFR), this document provides the public notice Interested parties are invited to document provides the public notice that on June 12, 2020, the National participate in these proceedings by that on , 2020, Berkshire Scenic Railroad Passenger Corporation submitting written views, data, or Railway Museum (BCRY) petitioned the (Amtrak) petitioned the Federal comments. If any interested parties Federal Railroad Administration (FRA) Railroad Administration (FRA) for a desire an opportunity for oral comment for a waiver of compliance from certain waiver of compliance from certain and a public hearing, they should notify provisions of the Federal railroad safety provisions of the Federal railroad safety FRA, in writing, before the end of the regulations contained at 49 CFR part regulations contained at 49 CFR part comment period and specify the basis 240, Qualifications and Certification of 238, Passenger Equipment Safety for their request. Locomotive Engineers. FRA assigned Standards. FRA assigned the petition All communications concerning these the petition Docket Number FRA–2020– Docket Number FRA–2020–0047. proceedings should identify the 0053. Amtrak requests relief from the appropriate docket number and may be Specifically, BCRY seeks a waiver requirements of 49 CFR 238.121, submitted by any of the following from the requirements of 49 CFR Emergency communication, for a new methods: 240.201(d), Implementation, which fleet of Viewliner II sleeping cars. Each states that a railroad can only permit • new passenger car must be equipped website: http:// qualified locomotive engineers to with an intercom system at each half www.regulations.gov. Follow the online operate locomotives. BCRY seeks to end of the car that provides a means for instructions for submitting comments. operate a ‘‘hand on the throttle’’ charter passengers and crewmembers to • Fax: 202–493–2251. program and offer non-certified communicate by voice during an • Mail: Docket Operations Facility, individuals the opportunity to operate a emergency. Amtrak’s Viewliner II cars U.S. Department of Transportation, 1200 diesel-electric locomotive under the are configured with two passenger New Jersey Ave. SE, W12–140, direct supervision of a certified and emergency intercoms (PEIs): one located Washington, DC 20590. qualified locomotive engineer. BCRY in the hallway at the car’s A-end and the states the waiver would affect only • other inside the Americans with Hand Delivery: 1200 New Jersey persons who participate in the program Disabilities Act (ADA) bedroom at the Ave. SE, Room W12–140, Washington, and restrictions would be placed on this car’s B-end. Amtrak states that it DC 20590, between 9 a.m. and 5 p.m., operation. believes this arrangement meets the Monday through Friday, except Federal The waiver would cover operations requirements for a PEI at each end of the Holidays. on a 2-mile segment of other-than-main car. However, because the PEI on the B- Communications received by track between mile post (MP) 0.0 and end of the vehicle is located inside the September 10, 2020 will be considered MP 2.0. There are no public grade ADA bedroom, which is not readily by FRA before final action is taken. crossings or otherwise hazardous or accessible to all passengers on that car Comments received after that date will unusual conditions on this segment of end, the PEI is not compliant with the be considered if practicable. Anyone track. regulation. can search the electronic form of any Through a license agreement with the Amtrak explains it is working with written communications and comments Massachusetts Department of Ultra-Tech Enterprises, the current PEI received into any of our dockets by the Transportation (Mass DOT), BCRY vendor, to develop the scope of work name of the individual submitting the utilizes 5 miles of the Adams Industrial and cost of installation of a fully comment (or signing the document, if Track to provide tourist service on accessible PEI in each car’s B-end submitted on behalf of an association, weekends. BCRY’s tourist operations on hallway. The modification will be made business, labor union, etc.). Under 5 this track are at restricted speed, at a as the cars are delivered, and all cars are U.S.C. 553(c), DOT solicits comments maximum of 15 miles per hour. Mass expected to be delivered and modified from the public to better inform its DOT also has a license agreement with within two years. processes. DOT posts these comments, Pan Am Railways (PAR) on this same However, Amtrak wishes to place the without edit, including any personal track segment. PAR only operates on the cars into service before the modification information the commenter provides, to Adam Industrial lead on Tuesday and is complete, as waiting will shorten the www.regulations.gov, as described in Thursday between 0700 and 1700. warranty period of the vehicles, while the system of records notice (DOT/ALL– BCRY must always coordinate with the still incurring costs to perform periodic 14 FDMS), which can be reviewed at PAR dispatcher and obtain permission maintenance and delay Amtrak the https://www.transportation.gov/privacy. prior to occupying the track between opportunity to offer a new product that See also https://www.regulations.gov/ MP. 0.0 and MP 5.0 to ensure there are may attract passengers during the privacyNotice for the privacy notice of no PAR trains on this track segment. current economic hardship. Until the regulations.gov. A copy of the petition, as well as any modification is complete, Amtrak written communications concerning the proposes to install signage that will Issued in Washington, DC. petition, is available for review online at inform passengers of the PEI locations. John Karl Alexy, www.regulations.gov. Amtrak also states that the current Associate Administrator for Railroad Safety, Interested parties are invited to cars’ configuration is similar to the Chief Safety Officer. participate in these proceedings by configuration of the Viewliner I [FR Doc. 2020–16228 Filed 7–24–20; 8:45 am] submitting written views, data, or equipment, which has operated safely BILLING CODE 4910–06–P comments. If any interested parties

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desire an opportunity for oral comment text of the Voluntary Tanker Agreement part 332. The proposed agreement will and a public hearing, they should notify (VTA). The public meeting will be held revise and replace the VTA that was FRA, in writing, before the end of the via teleconference and web conference. published in Volume 73 of the Federal comment period and specify the basis Teleconference and web conference Register at page 51692 (Sept. 4, 2008). for their request. access information will be provided Because the proposed VTA will All communications concerning these once meeting participants register to contain changes, both former and new proceedings should identify the attend as provided for in the FOR participants must submit a new appropriate docket number and may be FURTHER INFORMATION CONTACT section application once the final text is submitted by any of the following below. published. VTA applications are methods: DATES: The public meeting via available from MARAD by contacting • website: http:// teleconference and web conference will the persons listed in the FOR FURTHER www.regulations.gov. Follow the online take place on August 18, 2020 from 1:00 INFORMATION CONTACT section above. The instructions for submitting comments. p.m. to 3:00 p.m. Eastern Daylight Time complete draft text of the proposed • Fax: 202–493–2251. agreement was published in the Federal • (EDT). Requests to participate must be Mail: Docket Operations Facility, received no later than 5:00 p.m. EDT on Register on November 1, 2019, 84 FR U.S. Department of Transportation, 1200 August 14, 2020. If you wish to speak 58824–58829. Copies of the draft text New Jersey Ave. SE, W12–140, during the meeting, you must submit a are also available to the public upon Washington, DC 20590. written copy of your remarks via email request. • Hand Delivery: 1200 New Jersey to [email protected] no later than II. Agenda Ave. SE, Room W12–140, Washington, August 14, 2020. DC 20590, between 9 a.m. and 5 p.m., Attendees should register with The agenda will include: (1) Monday through Friday, except Federal MARAD by 12:00 p.m. on August 14, Welcome, opening remarks, and Holidays. 2020 by providing their name, introductions; (2) brief remarks by the Communications received by telephone number, email address, title, Associate Administrator for Strategic September 10, 2020 will be considered and organization to the person listed in Sealift or Director, Office of Sealift by FRA before final action is taken. the FOR FURTHER INFORMATION CONTACT Support; (3) administrative items; (4) Comments received after that date will section below. Requests for review of public docket comments; (5) be considered if practicable. Anyone accommodations for a disability must be oral participation from the public; and can search the electronic form of any received by August 14, 2020. (6) closing remarks. written communications and comments ADDRESSES: The meeting will be held III. Public Participation received into any of our dockets by the via teleconference and web conference. name of the individual submitting the The meeting will be open to the Access information will be provided public. comment (or signing the document, if upon registration. submitted on behalf of an association, Public Comments: The public FOR FURTHER INFORMATION CONTACT: business, labor union, etc.). Under 5 comment period at the meeting will William G. McDonald, Director, Office U.S.C. 553(c), DOT solicits comments commence at approximately 1:30 p.m. of Sealift Support, U.S. Department of from the public to better inform its on August 18, 2020. To provide time for Transportation, Maritime processes. DOT posts these comments, as many people to speak as possible, Administration, 1200 New Jersey without edit, including any personal speaking time for each individual will Avenue SE, Washington, DC 20590. information the commenter provides, to be limited to five minutes. Speakers will Office Telephone (202) 366–0688; Cell www.regulations.gov, as described in be placed on the agenda in the order in Phone (202) 570–0062, or the system of records notice (DOT/ALL– which the notifications are received. If [email protected]. Members 14 FDMS), which can be reviewed at time allows, additional speakers will be of the public who wish to register, https://www.transportation.gov/privacy. permitted. Persons wishing to speak request accommodations for a disability, See also https://www.regulations.gov/ during public meeting should refer to or speak during the teleconference, must privacyNotice for the privacy notice of the DATES section, above. contact Rhonda Davis at (202)-309–9775 regulations.gov. Written comments: Written comments or [email protected], with their should be submitted via email by Issued in Washington, DC. contact information and affiliations by August 14, 2020. See FOR FURTHER John Karl Alexy, the timelines in the DATES section INFORMATION CONTACT section above. Associate Administrator for Railroad Safety, above. Once the participant has Also, MARAD is extending the period Chief Safety Officer. registered, Ms. Davis will email the for the submission of written comments [FR Doc. 2020–16227 Filed 7–24–20; 8:45 am] participant teleconference and web established in its Federal Register BILLING CODE 4910–06–P access information unless another form notice of November 1, 2019 (84 FR of MARAD response communication is 58824) from December 2, 2019 to requested at the time of registration (e.g. August 14, 2020. Comments submitted DEPARTMENT OF TRANSPORTATION by telephone). after the August 14, 2020 will be SUPPLEMENTARY INFORMATION: accepted as is practical. Written Maritime Administration comments submitted after the meeting I. Background Voluntary Tanker Agreement Program; may be submitted as follows: The Maritime Administration • Federal eRulemaking Portal: Go to Notice of Public Meeting (MARAD) is developing a voluntary http://regulations.gov. Search MARAD– AGENCY: Maritime Administration, agreement necessary to renew the 2019–0183 and follow the instructions Department of Transportation. Voluntary Tanker Agreement Program, for submitting comments. • ACTION: Notice of public meeting. pursuant to the authority contained in Mail: The Docket Management Section 708 of the Defense Production Facility is in the West Building, Ground SUMMARY: The Maritime Administration Act of 1950 (DPA), as amended. Floor of the U.S. Department of (MARAD) announces a public meeting Regulations governing Voluntary Tanker Transportation. The Docket for the purpose of developing the final Agreements (VTAs) appear at 44 CFR Management Facility address is: U.S.

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Department of Transportation, MARAD– $5 million for the SDLP under the The CDFI Fund will make SDLP 2019–0183, 1200 New Jersey Avenue Consolidated Appropriations Act, 2020 awards to qualified Certified CDFIs SE, West Building, Room W12–140, (Pub. L. 116–93). The first Notice for based upon criteria to be set forth in a Washington, DC 20590. Facility hours Funding Availability (NOFA) and forthcoming NOFA and Application. are 9:00 a.m. to 5:00 p.m., Monday Application are anticipated to be Type of Review: Regular through Friday, except on Federal released in FY 2021. Eligible applicants, Affected Public: Businesses or other holidays. per the SDLP statute (12 U.S.C. 4719), for-profit institutions, non-profit Services for Individuals with will be limited to Certified Community entities, and State, local, and Tribal Disabilities: The U.S. Department of Development Financial Institutions entities participating in CDFI Fund Transportation is committed to (CDFIs) and partnerships between such programs. providing equal access to this Certified CDFIs and any other Federally Proposed Definitions of Key Terms: teleconference for all participants. If you Insured Depository Institution with a This section contains proposed need alternative formats or services primary mission to serve targeted definitions of key terms to assist in the because of a disability, such as sign Investment Areas. A ‘‘Federally Insured review of this document and is not a language, interpretation, or other Depository Institution’’ means any comprehensive list of all defined terms ancillary aids, please contact Rhonda insured depository institution as that relevant to the SDLP. Please see the Davis at [email protected]. term is defined in section 3 of the SDLP statute (12 U.S.C. 4719) for other (Authority: 50 U.S.C. 4558, 49 CFR 1.93(l), 44 Federal Deposit Insurance Act (12 defined terms related to the SDLP. CFR 332) U.S.C. 1813). (a) Federally Insured Depository The purpose of the SDLP is to provide Institution means any insured Dated: July 22, 2020. depository institution as that term is By Order of the Maritime Administrator. grants for Loan Loss Reserves (LLRs) and Technical Assistance (TA) to enable defined in section 3 of the Federal T. Mitchell Hudson, Jr., Certified CDFIs to establish and Deposit Insurance Act (12 U.S.C. 1813). Secretary, Maritime Administration. maintain small dollar loan programs. An (b) Investment Area means as that [FR Doc. 2020–16235 Filed 7–24–20; 8:45 am] applicant can request SDLP grants for term is defined in 12 CFR BILLING CODE 4910–81–P LLRs, TA, or both. SDLP grants cannot 1805.201(b)(3)(ii). (c) Loan Loss Reserve (LLR) means be used to provide direct loans to funds set aside in the form of cash consumers. The SDLP statute defines reserves, or through accounting-based DEPARTMENT OF THE TREASURY small dollar loans as those that do not accrual reserves, to cover losses on exceed $2,500. This funding is intended loans, accounts, and notes receivable or Community Development Financial to help Certified CDFIs address the for related purposes that the CDFI Fund Institutions Fund issues of expanding consumer access to deems appropriate. SDLP grants can be mainstream financial institutions and Small Dollar Loan Program used to establish LLRs in order to defray providing alternatives to high cost small the costs of offering small dollar loan dollar loans. It is also intended to help ACTION: Notice and request for products. unbanked and underbanked populations information. (d) Small Dollar Loan Program means build credit, access affordable capital, a loan program wherein a Certified CDFI SUMMARY: The Community Development and allow greater access into the or partnership offers loans to consumers Financial Institutions Fund (CDFI mainstream financial system. Fund), U.S. Department of the Treasury, that: It is anticipated that award Recipients • Are made in amounts not exceeding is soliciting comments concerning the with demonstrated track records of Small Dollar Loan Program (SDLP). $2,500; providing small dollar loan products • must be repaid in installments; DATES: Written comments must be may have two years to expend their • have no pre-payment penalty; received on or before September 10, award dollars and a two year Period of • have payments reported to at least 2020 to be assured of consideration. Performance, while those with a limited one of the three nationwide consumer ADDRESSES: Submit your comments via track record (or those who plan to reporting agencies; and email to Mia Sowell, Acting Program establish a small dollar loan product • meet any other affordability Manager, Small Dollar Loan Program, shortly after receiving an award) may requirements as may be established by CDFI Fund, at [email protected] or have three years to expend award the CDFI Fund. Service Request (SR) in the Awards dollars and a three year Period of (e) Technical Assistance (TA) means Management Information System Performance. Applicants should keep in technology, staff support, and other (AMIS). For the SR, select ‘‘Small Dollar mind there is a distinction between activities associated with establishing a Loan Program’’ for the record type. expending award funds and meeting all small dollar loan program. SDLP grants FOR FURTHER INFORMATION CONTACT: Mia performance goals set forth in the can be used for TA costs. Sowell, Acting Program Manager, Small Assistance Agreements during the Requests for Information: Prior to Dollar Loan Program, CDFI Fund, U.S. Period of Performance. For LLR grants, releasing the initial NOFA and Department of the Treasury, 1500 it is anticipated that SDLP awards will Application for the SDLP, the CDFI Pennsylvania Avenue NW, Washington, be considered expended upon being Fund is seeking input from the public DC 20220, by phone at (202) 653–0300 allocated by the Recipient as loan loss on various aspects of the SDLP through or email to [email protected]. reserves for an SDLP, after execution of this Request for Information (RFI), to SUPPLEMENTARY INFORMATION: the Assistance Agreement. However, ensure that the program addresses the Title: Small Dollar Loan Program Recipients must meet additional, to-be- needs of Certified CDFIs to establish and (SDLP) determined performance goals, beyond maintain a small dollar loan program Background: The SDLP is a new just expending award dollars, during the that maximizes benefits to their program, authorized by the Dodd-Frank Period of Performance that will be set beneficiaries. Wall Street Reform and Consumer forth in their Assistance Agreements. Through this RFI, the CDFI Fund Protection Act, to be administered by This RFI seeks input on performance seeks input from the public on certain the CDFI Fund. The CDFI Fund received goals. aspects of the SDLP, as listed in

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Sections I through IX. The CDFI Fund the product. As a result, separate II. Minimum and Maximum Award also seeks any additional information questions in the application may be Sizes beyond these questions that members of directed to those organizations that have The CDFI Fund has the discretion to the public believe would assist in a track record of offering the product set a minimum and maximum award developing the new SDLP. The CDFI and for those that do not. amount to ensure award utility, and also Fund intends to consider the feedback 1. What characteristics should to make funds available to multiple received through this RFI as it develops determine whether an Applicant has a organizations that qualify for an award. the SDLP, including program criteria, limited track record with small dollar The CDFI Fund is contemplating taking award characteristics, application loans? For example: the following into consideration when requirements, evaluation criteria, a. Less than ‘‘x’’ number of years of setting the minimum and maximum compliance and reporting, and other offering small dollar loans or similar award amounts: an organization’s areas of input. type of loan product. Commentators are encouraged to business plan regarding its ability to b. less than ‘‘x’’ percent of loan consider, at a minimum, the following offer a small dollar loan product if it portfolio outstanding in small dollar topics: receives an award; demonstrated track loans or similar type of loan product. record offering small dollar loan I. SDLP Application c. less than ‘‘x’’ dollar of small dollar products, or other products with similar The SDLP Application will solicit loans closed or similar type of loan risks; activity type (e.g., LLRs or TA); information that will enable the CDFI product closed. organizational capacity; length of time Fund to evaluate an Applicant’s 2. What questions should the CDFI given to expend award dollars and meet eligibility to participate in the SDLP and Fund ask Applicants with no track all performance goals (i.e., Period of ability to implement proposed activities record or limited track record with Performance); etc. for an SDLP award. It is anticipated that small dollar loans? 1. If your organization already offers the Application will obtain information 3. What questions should the CDFI small dollar loans (or other products on the Applicant’s financial health and Fund ask Applicants with a with similar risk), what percentage and capacity, track record (e.g., offering demonstrated track record with small dollar amount of the portfolio is small dollar loan products, or other dollar loans? reserved for LLRs for small dollar loans? products with similar risks, lending in 4. What questions should the CDFI 2. What other information or data low income/distressed communities, Fund ask Applicants with a should the CDFI Fund take into lending to low- and moderate- demonstrated track record with loans consideration when determining the individuals, etc.), organization and that have similar characteristics to small minimum and maximum award amount management capacity, business plan, dollar loans as defined by the SDLP, but for grants for LLRs and/or TA? projected outcomes, and other may not meet the definition of small 3. What should the CDFI Fund take information to be determined, including dollar loans for the SDLP? into consideration when determining appropriate supporting documentation. 5. The CDFI Fund would like to gain the minimum and maximum award The CDFI Fund requests comments in a better understanding of diversity of amount for a Recipient with: response to the following general experience with small dollar loan a. A demonstrated track record, if the questions about a forthcoming products. If you are a trade organization, reporting period is two years? Application for the SDLP: what percentage of your membership b. A limited track record (or plans to A. Consumer Need: The CDFI Fund currently offers a small dollar loan enter the small dollar loan line of anticipates it will ask questions to product? On average, how many years business shortly after receiving an assess consumer need and environment have your members offered this award) if the reporting period is three for small dollar loans in the Applicant’s product? years? market. C. Technical Assistance Strategy: The III. Small Dollar Loan Characteristics, 1. What market characteristics of CDFI Fund will provide TA grants and/ Policies, and Practices lenders and lending products should the or LLR grants to Recipients through the CDFI Fund prioritize in order to The SDLP statute defines small dollar SDLP awards. TA grants may be used maximize the impact of its SDLP loans as those that do not exceed for technology, staff support, and other awards, including both need and $2,500. The CDFI Fund is seeking costs associated with establishing a environment? additional input on small dollar loan 2. How should such characteristics be small dollar loan program. It is characteristics. Per the statute, measured? anticipated that the CDFI Fund will ask Recipients must report payments B. Track Record: It is anticipated that about an Applicant’s TA strategy if the regarding the loan to at least one of the the Application will include questions Applicant requests a TA grant through nationwide consumer reporting agencies related to the Applicant’s track record the SDLP. that compiles and maintains files on (offering small dollar loan products or 1. What types of TA services do consumers on a nationwide basis, and a other products with similar risks, organizations need when developing a purpose of the SDLP is to help give lending in low-income or distressed small dollar loan program? consumers access to mainstream communities, lending to low-and 2. What questions should the CDFI financial institutions. What moderate-income individuals, etc.). Fund ask Applicants to assess their TA characteristics of a Recipient’s small Further, the CDFI Fund understands strategy for implementing an SDLP dollar loan program could help achieve that currently there are varying levels of award? this objective? participation by financial institutions D. Other Application information: that offer a small dollar loan product, What data fields, questions or tables IV. Regulatory Requirements and which could be for a variety of reasons, should be included in the Application Restrictions including certain barriers to entry (e.g., to ensure collection of relevant The CDFI Fund is seeking input on high transaction costs). Participation information that supports the how regulatory requirements, such as may range from no experience to limited Applicant’s track record, business current expected credit losses (CECL), experience, to multiple years of offering strategy, or TA strategy? and restrictions may impact the SDLP.

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For example, there is an expectation when drafting the application 1. Please describe some of the that adopting an unsecured small dollar questions? (Yes/No). outcomes associated with offering a loan product may result in increased 2. If yes, please describe the topics small dollar loan product. (An outcome LLRs, in part due to the higher historical that are unique to the following measures the successes and loss rates associated with such organization types, based on the achievements associated with the portfolios. This may impact entities that information that could be provided in product.) are subject to the upcoming required the Applicant’s track record, business 2. Please describe some of the outputs CECL methodology. In addition, there plan, projected outcomes, and a financial institution and/or its may be other costs associated with management capacity: stakeholders experience as a result of adopting a new small dollar loan a. Certified CDFI banks/thrifts. offering a small dollar loan product. (An product, particularly if the CDFI does b. Certified CDFI credit unions. output identifies the end result that not have existing infrastructure or c. Certified CDFI cooperativas. occurred after the small dollar loan experience around similar loan d. Certified CDFI unregulated loan product was offered.) products. funds. 3. Many financial institutions have 1. Is there an expectation the e. Certified CDFI bank/thrift not previously offered a small dollar regulatory costs associated with partnership with a non-CDFI Federally loan product, or have a limited track implementing a small dollar loan Insured Depository Institution. record of doing so. Please describe some product will vary widely depending f. Certified CDFI credit union of the barriers to entry financial upon the type of CDFI, asset size, partnership with a non-CDFI Federally institutions may experience related to anticipated product volume, loan terms, Insured Depository Institution. small dollar loan products. and intended customers? If so, how g. Certified CDFI unregulated loan should this be addressed in the SDLP fund partnership with a non-CDFI VIII. Performance Goals, Compliance, NOFA and Application? Federally Insured Depository and Reporting 2. Will the cost burden for those Institution. The performance goals for SDLP CDFIs with a previous track record of h. Certified CDFI cooperativa award Recipients will: (1) Align with implementing a similar loan product partnership with a non-CDFI Federally the purpose of the SDLP and (ii) vary considerably when compared to Insured Depository Institution. establish accountability measures CDFIs developing a new small dollar associated with the anticipated VI. Community Partnerships loan product without prior experience? outcomes and outputs of an SDLP If so, how? Per the SDLP statute, a Certified CDFI award. SDLP award Recipients will be 3. Is there an anticipation that the cost may partner with a Federally Insured expected to maintain compliance and burden for implementing a new small Depository Institution (e.g., bank/thrift) reporting requirements that demonstrate dollar loan program will vary with a primary mission to serve targeted successful achievement of the significantly between CDFIs of varying Investment Areas to apply for an SDLP performance goals and will be set forth size and complexity? How should this award. in the Assistance Agreement. The CDFI be addressed in the SDLP NOFA and 1. Please describe or provide Fund would like to obtain input on Application? examples of partnerships that may wish certain aspects of the performance, 4. For those CDFIs that decide to to apply for an SDLP award. compliance, and reporting requirements implement a homogenous small dollar 2. What are the benefits to end users for the SDLP. loan product (e.g., standard rate, term, if the Recipient of the SDLP award is a A. Period of Performance: The amount, etc.), is there an expectation partnership? compliance and reporting period will be this approach will result in lower 3. What additional or specific criteria for a specified timeframe, or the Period regulatory and/or financial costs? If so, should the CDFI Fund use to evaluate of Performance (anticipated to be two to how? How should this be addressed in Applicants that apply as a partnership? three years): the SDLP NOFA and Application? 4. Which responsibilities should be 1. Should a SDLP Recipient with a conducted solely by the CDFI entity and limited track record (e.g., those with less V. Financial Institution Type not the partner organization during the than two years of experience) be Entities eligible to apply for an SDLP Period of Performance of the SDLP required to report on its use of the SDLP award may be either: (1) Certified CDFIs award? award for more than two years? or (2) partnerships between such 5. How can the CDFI Fund determine 2. Are there additional factors the Certified CDFIs and any other Federally if a non-CDFI partner has ‘‘a primary CDFI Fund should consider in Insured Depository Institution with a mission to serve targeted Investment determining the Period of Performance? primary mission to serve targeted Areas?’’ B. Performance Goals: Due to the Investment Areas. As a result, revolving and short-term nature of small VII. Evaluation Criteria for Measuring Applicants may represent a variety of dollar loans, it is anticipated that Success organization types or a combination of Recipients will be able to demonstrate organization types. It is anticipated that The CDFI Fund will evaluate the track an increase in loans offered through its the Application will consist of questions record and outcomes to evaluate small dollar loan portfolio during the related to the Applicant’s track record Applications and measure success (e.g., Period of Performance. (for example, offering small dollar loan outcomes and outputs) of SDLP 1. What is the minimum dollar products, or other products with similar Recipients. Small dollar loans offered by volume of small dollar loans that an risks, lending in low income/distressed CDFIs are intended to serve as an award recipient should be expected to communities, lending to low- and alternative to high cost small dollar loan make based on its award amount (for moderate-income individuals, etc.), products. Some financial institutions example, $10 of loan volume for every organization and management capacity, have a demonstrated track record of $1 of award)? Should this ratio vary business plan, and projected outcomes. providing a small dollar loan product based on the amount of award used for 1. Are there specific topics that are for multiple years and have self- LLR vs. TA, and if so, why and how? unique to various organization types evaluated the outputs and outcomes of 2. Are there other performance goal(s) that the CDFI Fund should consider offering such a product. the CDFI Fund should consider for

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SDLP Recipients who commit to using Information System (AMIS). The DEPARTMENT OF THE TREASURY their awards for: original Federal Register document a. Loan Loss Reserves? announcing the comment period was Community Development Financial b. Technical Assistance? published on May 7, 2020. With this Institutions Fund 3. What units of measurements should extension, the comment period ends on Agency Information Collection be used in establishing performance , 2020. goals for Recipients? For example, Activities; Proposed Collection: cumulative dollar amount of small DATES: The public comment period for Comment Request; Extension of dollar loans closed over the Period of the document published on May 7, 2020 Comment Period; Annual Certification Performance, growth in average size of (85 FR 27275), is being extended. and Data Collection Report Form small dollar loan portfolio outstanding Written comments must be received on (ACR) and the Certification over the Period of Performance, etc. or before November 5, 2020. Transaction Level Report (CTLR) 4. Should there be any differences in the reporting goals for award Recipients ADDRESSES: Submit your comments via ACTION: Notice; extension of comment with limited track records versus email to Tanya McInnis, Program period. Manager for the Office of Certification, established track records? If yes, please SUMMARY: The Community Development describe. Compliance Monitoring and Evaluation, CDFI Fund, at [email protected]. Financial Institutions Fund (CDFI C. Reporting Requirements for Fund), U.S. Department of the Treasury, Recipients: FOR FURTHER INFORMATION CONTACT: is extending the public comment period 1. Should SDLP recipients structure Tanya McInnis, Program Manager for concerning the Annual Certification and their loan systems to track usage of the the Office of Certification, Compliance Data Collection Report Form (ACR) and SDLP at a loan level? Would this be a the Certification Transaction Level burden, and if so, in what way? Monitoring and Evaluation, Community Report (CTLR). The original Federal 2. In addition to annual reporting, Development Financial Institutions Register document announcing the should the CDFI Fund require Fund, U.S. Department of the Treasury, comment period was published on May supplemental (e.g. quarterly, semi- 1500 Pennsylvania Ave. NW, 7, 2020. With this extension, the annually, etc.) reporting for limited Washington DC 20220 or by phone at comment period ends on November 5, experience award Recipients? (202) 653–0300. Other information regarding the CDFI Fund and its 2020. IX. General programs may be obtained through the DATES: The public comment period 1. Are there any clarifications the CDFI Fund’s website at http:// began on May 7, 2020 (85 FR 27274) and CDFI Fund should consider providing to www.cdfifund.gov. is being extended to November 5, 2020. the Proposed Definitions of Key Terms? Written comments must be received on 2. Please describe potential SUPPLEMENTARY INFORMATION: or before November 5, 2020. unintended impacts (positive or Title: Community Development ADDRESSES: Submit your comments via negative) of SDLP awards on overall Financial Institutions Program— email to Greg Bischak, Financial credit availability within underserved Certification Application. Strategies and Research (FS&R) Program communities. OMB Number: 1559–0028. Manager, CDFI Fund, at: CDFI- 3. Is there any other information the FinancialStrategiesandResearch@ CDFI Fund should consider in The Notice and Request for Public cdfi.treas.gov. establishing this program? Comment for the Community FOR FURTHER INFORMATION CONTACT: Development Financial Institutions Greg Authority: 12 U.S.C. 4719. Bischak, Financial Strategies and Program—Certification Application, was Research (FS&R) Program Manager, Jodie L. Harris, published in the Federal Register on CDFI Fund, U.S. Department of the Director, Community Development Financial May 7, 2020. The Notice provided a 90- Institutions Fund. Treasury, 1500 Pennsylvania Avenue day comment period that was set to NW, Washington, DC 20220 or by phone [FR Doc. 2020–16213 Filed 7–24–20; 8:45 am] close on August 5, 2020. In light of the BILLING CODE 4810–70–P at (202) 653–0300. Other information challenges posed by the COVID–19 regarding the CDFI Fund and its pandemic, and to ensure that programs may be obtained through the DEPARTMENT OF THE TREASURY stakeholders have the time they need to CDFI Fund’s website at http:// provide comments, the CDFI Fund www.cdfifund.gov. determined that an extension of the Community Development Financial SUPPLEMENTARY INFORMATION: Institutions Fund comment period to November 5, 2020 is Title: Annual Certification and Data appropriate. The comment period will Collection Report Form and the Notice of Information Collection and now close November 5, 2020. Request for Public Comment Certification Transaction Level Report. Authority: 12 U.S.C. 4703, 4703 note, 4704, OMB Number: 1559–0046. ACTION: Notice; extension of comment 4706, 4707, 4717; 12 CFR part 1805. The Notice and Request for Public period. Comment for the Annual Certification Jodie L. Harris, and Data Collection Report Form (ACR) SUMMARY: The Community Development Director, Community Development Financial and the Certification Transaction Level Financial Institutions Fund (CDFI Institutions Fund. Report (CTLR) was published in the Fund), U.S. Department of the Treasury, [FR Doc. 2020–16196 Filed 7–24–20; 8:45 am] Federal Register on May 7, 2020. The is extending the public comment period BILLING CODE 4810–70–P Notice provided a 90-day comment concerning the Community period that was set to close on August Development Financial Institutions 5, 2020. In light of the challenges posed Program—Certification Application, by the COVID–19 pandemic, and to which Applicants will submit through ensure that stakeholders have the time the CDFI Fund’s Awards Management they need to provide comments, the

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CDFI Fund determined that an The meeting is open to the public. Collective will provide a briefing on extension of the comment period to Members of the public can attend the utility infrastructure and Building 207. November 5, 2020 is appropriate. The meeting via teleconference (800) 767– The Board’s subcommittees on Outreach comment period will now close on 1750 access code 80385#. and Community Engagement with November 5, 2020. The Board was established by the Services and Outcomes, and Master (Authority: Pub. L. 104–13; 12 CFR 1805; 12 West Los Angeles Leasing Act of 2016 Plan with Services and Outcomes will CFR 1806; 12 CFR 1807; 12 CFR 1808) on September 29, 2016. The purpose of report on activities since the last the Board is to provide advice and make Jodie L. Harris, meeting, followed by an out brief to the recommendations to the Secretary of full Board on any draft Director, Community Development Financial Veterans Affairs on: identifying the Institutions Fund. recommendations considered for goals of the community and Veteran forwarding to the SECVA. [FR Doc. 2020–16195 Filed 7–24–20; 8:45 am] partnership; improving services and BILLING CODE 4810–70–P outcomes for Veterans, members of the Individuals wishing to share Armed Forces, and the families of such information with the Committee should Veterans and members; and on the contact Mr. Chihung Szeto (Alternate DEPARTMENT OF VETERANS implementation of the Draft Master Plan Designated Federal Official) at AFFAIRS approved by the Secretary on January [email protected] to submit a 1–2 page 28, 2016, and on the creation and summary of their comments for Veterans and Community Oversight implementation of any successor master inclusion in the official meeting record. and Engagement Board, Notice of plans. Meeting Any member of the public seeking On August 13, the agenda will additional information should contact The Department of Veterans Affairs include opening remarks from the Mr. Eugene W. Skinner Jr. at 202–631– (VA) gives notice under the Federal Committee Chair and the Chief Veterans 7645 or at [email protected]. Advisory Committee Act (FACA) that Experience Officer. There will be a the Veterans and Community Oversight general update from VAGLAHS on Dated: July 22, 2020. and Engagement Board (the Board) will COVID–19 response, Care, Treatment, Jeffrey M. Martin, meet virtually. The meeting session will and Rehabilitative Services (CTRS) Assistant Director, Office of Regulation Policy begin and end as follows: Program, Enhanced Use Leases on & Management, Office of the Secretary, campus, Purple Line negotiations, Department of Veterans Affairs. Date Time outreach efforts to engage Veterans [FR Doc. 2020–16224 Filed 7–24–20; 8:45 am] camped out along San Vicente and August 13, 2020 ...... 3:00 p.m. to 6:00 BILLING CODE 8320–01–P p.m. EST status of Wadsworth Chapel Request for Proposal (RFP). The West Los Angeles

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Reader Aids Federal Register Vol. 85, No. 144 Monday, July 27, 2020

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JULY

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 3 CFR 5001...... 42494 Proposed Rules: Executive orders and proclamations 741–6000 Proclamations: The United States Government Manual 741–6000 66...... 44791 10053...... 39821 930...... 44792 Other Services 10054...... 40085 Electronic and on-line services (voice) 741–6020 10055...... 40087 8 CFR Privacy Act Compilation 741–6050 10056...... 44449 Proposed Rules: 10057...... 44451 208...... 41201 Executive Orders: 1208...... 41201 ELECTRONIC RESEARCH 13555 (superseded by 9 CFR World Wide Web EO 13935)...... 42683 13889 (superseded in 161...... 41905 Full text of the daily Federal Register, CFR and other publications part by EO is located at: www.govinfo.gov. 13935) ...... 42683 10 CFR 13931...... 39455 9...... 44685 Federal Register information and research tools, including Public 13932...... 39457 35...... 44685 Inspection List and electronic text are located at: 13933...... 40081 72...... 43419, 44145 www.federalregister.gov. 13934...... 41165 Proposed Rules: E-mail 13935...... 42683 35...... 41442 13936...... 43413 50...... 44025 FEDREGTOC (Daily Federal Register Table of Contents Electronic Administrative Orders: 52...... 44025 Mailing List) is an open e-mail service that provides subscribers Memorandums: 430...... 43493 with a digital form of the Federal Register Table of Contents. The Memorandum of July 431 ...... 43748, 44026, 44484, digital form of the Federal Register Table of Contents includes 21, 2020 ...... 44679 44795 HTML and PDF links to the full text of each document. Notices: 1061...... 39495 To join or leave, go to https://public.govdelivery.com/accounts/ Notice of July 22, 12 CFR USGPOOFR/subscriber/new, enter your email address, then 2020 ...... 44683 follow the instructions to join, leave, or manage your Notice of July 23, 3...... 42630 subscription. 2020 ...... 45055 4...... 42630 11...... 42630 PENS (Public Law Electronic Notification Service) is an e-mail 5 CFR service that notifies subscribers of recently enacted laws. 16...... 42630 185...... 42299 19...... 42630 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 1605...... 40569 23...... 42630 and select Join or leave the list (or change settings); then follow 1650...... 40569 26...... 42630 the instructions. 1651...... 40569 32...... 42630 FEDREGTOC and PENS are mailing lists only. We cannot 2429...... 41169 34...... 43420 respond to specific inquiries. 7101...... 43681 45...... 39464, 39754 Reference questions. Send questions and comments about the Proposed Rules: 108...... 42630 Federal Register system to: [email protected] 531...... 41439 112...... 42630 841...... 39851 141...... 42630 The Federal Register staff cannot interpret specific documents or 843...... 39852 160...... 42630 regulations. 870...... 43743 161...... 42630 875...... 43743 163...... 42630 FEDERAL REGISTER PAGES AND DATE, JULY 890...... 43743 192...... 42630 894...... 43743 195...... 42630 39455–39828...... 1 10201...... 44789 215...... 43119 39829–40086...... 2 237...... 39464, 39754 40087–40568...... 6 7 CFR Ch. III ...... 44685 40569–40866...... 7 9...... 41321, 41328 331...... 44146 40867–41168...... 8 66...... 40867 349...... 39464, 39754 41169–41320...... 9 201...... 40571 624...... 39464, 39754 41321–41904...... 10 202...... 40571 Ch. X...... 41330 41905–42298...... 13 253...... 42300 1041...... 41905, 44382 42299–42686...... 14 900...... 41173 1221...... 39464, 39754 42687–43118...... 15 930...... 40867 1281...... 44159 43119–43412...... 16 956...... 41323 Proposed Rules: 43413–43680...... 17 985...... 41325 7 ...... 40794, 40827, 44223 43681–43986...... 20 1217...... 45057 22...... 40442 43987–44144...... 21 1260...... 39461 145...... 40794 44145–44450...... 22 1779...... 42494 155...... 40827 44451–44684...... 23 3575...... 42494 160...... 40794 44685–45056...... 24 4279...... 42494 208...... 40442 45057–45302...... 27 4287...... 42494 303...... 41442

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339...... 40442 342...... 39854 286...... 39856 372...... 42311 347...... 41442 600...... 40901 614...... 40442 19 CFR 33 CFR 721...... 45109 760...... 40442 Ch. I...... 44183, 44185 100...... 41368, 44190 1500...... 43304 1026 ...... 41448, 41716, 44228 122...... 44708 117...... 41186, 45092 1501...... 43304 181...... 39690 165 ...... 39852, 40899, 41188, 1502...... 43304 14 CFR 182...... 39690 41189, 41370, 42303, 43121, 1503...... 43304 25 ...... 41331, 41334, 43422, 208...... 41355 43122, 43437, 43685, 43687, 1504...... 43304 43423 351...... 41363 44190, 44734, 44736 1505...... 43304 39 ...... 39470, 39829, 40584, 334...... 43688 1506...... 43304 21 CFR 40586, 40873, 41175, 41177, Proposed Rules: 1507...... 43304 41180, 41906, 41910, 42687, 172...... 41916 100...... 40612, 40614 1508...... 43304 42689, 43682, 43987, 44453, 801...... 39477 110...... 40153, 44247 1515...... 43304 44456, 44459, 44462, 44464, 884...... 44186 117 ...... 41932, 43773, 44494 1516...... 43304 44686, 45059, 45062, 45066, 888...... 44186 162...... 41935 1517...... 43304 45069, 45073, 45075, 45079, 890...... 44186 165...... 41469 1518...... 43304 45081 1271...... 43989 167...... 40155 1700...... 43465 71 ...... 39472, 39473, 39475, 1301...... 44710 Proposed Rules: 40089, 40588, 41184, 41337, 1308...... 42296 34 CFR 52 ...... 39505, 40026, 40156, 41339, 41340, 41342, 41343, 1309...... 44710 76...... 39479 40158, 40160, 40165, 40618, 41344, 41345, 43425, 43427, Proposed Rules: Ch. II ...... 42305 40951, 41477, 41479, 42337, 43428, 43429, 43431, 43432, 300...... 44803 263...... 41372, 43442 42803, 43187, 43526, 43785, 43684, 44467, 44469, 44688, 1308...... 42290 Ch. III...... 39833, 41379 43788, 44027, 44255, 44258, 44689 Proposed Rules: 44496, 45140, 45146 91...... 45084 22 CFR Ch. III ...... 44247 62 ...... 41484, 42807, 45154 95...... 40092 126...... 44188 81 ...... 39505, 40026, 41479, 97 ...... 41912, 41914, 44470, 36 CFR 42337 86...... 39858 44472 24 CFR 251...... 41387 121...... 44692 Proposed Rules: 281...... 39517 Proposed Rules: 300 ...... 40958, 40959, 41486, Proposed Rules: 5...... 44811 51...... 43775 25...... 44244 401...... 43165 41487, 42341, 42343, 42809, 39 ...... 39503, 41219, 41221, 576...... 44811 37 CFR 42813, 43191, 43193, 43793, 42746, 42749, 43153, 43160, 44031, 44259, 45155, 45157 26 CFR Proposed Rules: 600...... 39858 43496, 43499, 43503, 43506, 210...... 43517 43749, 43752, 44798 1 ...... 40892, 43042, 44620 721...... 44032 71 ...... 40138, 40140, 40142, 300...... 43433 38 CFR 41 CFR 43508, 43510, 43511, 44801 602...... 40892 17...... 42724 300–3...... 39847 Proposed Rules: 15 CFR Proposed Rules: 300–70...... 39847 1 ...... 40610, 40927, 43512, 3...... 41471 300–80...... 39847 744...... 44159 44246, 44650 17...... 45135 300–90...... 39847 Proposed Rules: 54...... 42782 301–10...... 39847 922...... 40143 39 CFR 27 CFR 301–11...... 39847 501...... 41394 301–13...... 39847 16 CFR Proposed Rules: Proposed Rules: 301–52...... 39847 1112...... 40100 9...... 43754 3050...... 45139 301–70...... 39847 1224...... 40875 29 CFR 301–72...... 39847 1225...... 40876 40 CFR 301–73...... 39847 1228...... 40876 810...... 39782 35...... 43452, 43457 301–74...... 39847 1232...... 40877 1910...... 42582 52 ...... 39489, 41193, 41395, 301–75...... 39847 1239...... 40100 2509...... 40589 41397, 41399, 41400, 41405, Appendix A to Ch. Proposed Rules: 2510...... 40589 41920, 41922, 41924, 41925, 301 ...... 39847 323...... 43162 2560...... 39831 42726, 42728, 43461, 43463, Appendix B to Ch. 423...... 44485 4022...... 42706 43692, 43695, 44192, 44206, 301 ...... 39847 Proposed Rules: 17 CFR 44209, 44211, 44212, 44214, Appendix E to Ch. 825...... 43513 44738, 44741, 45094 301 ...... 39847 4...... 40877 2550...... 40834 63 ...... 39980, 40386, 40594, 302–1...... 39847 23...... 41346 2590...... 42782 40740, 41100, 41276, 41411, 302–4...... 39847 37...... 44693 30 CFR 41680, 42074, 44216, 44752, 302–5...... 39847 50...... 44170 44960 302–7...... 39847 230...... 45092 75...... 41364 81 ...... 41193, 41400, 41405, 302–8...... 39847 232...... 39476, 45092 Proposed Rules: 41925, 45094 304–2...... 39847 239...... 39476 943...... 43759 86...... 40901 304–6...... 39847 Proposed Rules: 948...... 43761 121...... 42210 60–1...... 39834 1...... 42755 141...... 43990 60–300...... 39834 31 CFR 23...... 41463 142...... 43990 60–741...... 39834 38...... 42755, 42761 582...... 43436 180 ...... 39491, 40018, 40022, 40...... 42755 40026, 40028, 41411, 43697, 42 CFR 170...... 42755 32 CFR 43700, 43702 2...... 42986 103...... 42707 260...... 40594 71...... 42732 18 CFR 319...... 40016 261...... 40594 Proposed Rules: 35...... 42692 320...... 40017 278...... 40594 100...... 43794 153...... 40113 322...... 40017 300 ...... 40906, 43706, 44002, 409...... 43805 157...... 40113 326...... 40018 44003, 45107 413...... 42132 Proposed Rules: Proposed Rules: 350...... 44770 414...... 43805 12...... 45032 56...... 43168 355...... 44770 424...... 43805

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484...... 43805 27...... 43124 5...... 40076 531...... 40901 51...... 40908 9...... 40064, 40076 533...... 40901 43 CFR 54...... 40908, 41930 13 ...... 40064, 40068, 42665 536...... 40901 Proposed Rules: 61...... 40908 14...... 40071 537...... 40901 2569...... 41495 69...... 40908 15...... 40068, 40071 Ch. X...... 41422 73 ...... 42742, 43142, 43478 16...... 40064, 40068 44 CFR 74...... 43478 18...... 40076 50 CFR 59...... 43946 76...... 42742, 44217 22...... 40064 17...... 44478 61...... 43946 90...... 41416, 43124 25...... 40064 218...... 41780 62...... 43946 Proposed Rules: 27...... 40076 600...... 40915 64...... 41195, 43708 1...... 39859, 40168 30...... 40076 622 ...... 43145, 44005, 44218, 2...... 40168, 44818 39...... 42665 44219 45 CFR 15 ...... 42345, 44038, 45158 52 ...... 40061, 40064, 40071, 635...... 43148 170...... 43711 25...... 44818 40075, 40076, 42665 648 ...... 43149, 44021, 44220 171...... 43711 73...... 43195 53...... 40061 660...... 40135, 43736 2509...... 44475 101...... 40168 679 ...... 40609, 41197, 41424, Proposed Rules: 49 CFR 41427, 41931, 43492, 44021 147...... 42782 48 CFR 172...... 44994 Proposed Rules: Ch. I...... 40060, 40077, 42664, 173...... 44994 17 ...... 43203, 44265, 44584, 47 CFR 42680 174...... 44994 44821 1 ...... 41929, 43124, 43711, 1...... 40061, 42665 179...... 44994 217...... 44835 45126 2 ...... 40061, 40064, 40068 180...... 44994 622...... 40181, 41513 2...... 43124, 44772 3...... 40064 191...... 44477 648...... 43528 20...... 43124 4 ...... 40061, 40068, 40076, 192...... 40132 665...... 41223 25...... 43711, 44772 42665 523...... 40901 679...... 42817

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