Vol. 84 Monday, No. 194 October 7, 2019

Pages 53303–53572

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 84, No. 194

Monday, October 7, 2019

Agriculture Department Commerce Department See Forest Service See Economic Development Administration NOTICES See Industry and Security Bureau Agency Information Collection Activities; Proposals, See International Trade Administration Submissions, and Approvals, 53398–53399 See National Oceanic and Atmospheric Administration Air Force Department Corporation for National and Community Service NOTICES Environmental Impact Statements; Availability, etc.: NOTICES United States Air Force F–35A Operational Beddown Air Agency Information Collection Activities; Proposals, National Guard, 53426 Submissions, and Approvals: Senior Corps Project Progress Report, 53425–53426 Alcohol and Tobacco Tax and Trade Bureau NOTICES Defense Department Agency Information Collection Activities; Proposals, See Air Force Department Submissions, and Approvals, 53569–53570 Drug Enforcement Administration Alcohol, Tobacco, Firearms, and Explosives Bureau NOTICES NOTICES Importer of Controlled Substances Application: Agency Information Collection Activities; Proposals, Cambridge Isotope Laboratories, Inc., 53472–53473 Submissions, and Approvals: Interstate Firearms Shipment Theft/Loss Report, 53471– 53472 Economic Development Administration National Response Team Customer Satisfaction Survey, NOTICES 53472 Trade Adjustment Assistance; Determinations, 53402

Centers for Disease Control and Prevention Energy Department NOTICES See Federal Energy Regulatory Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 53441–53444 Application to Export Electric Energy Castleton Commodities Merchant Trading, LP, 53426– Centers for Medicare & Medicaid Services 53427 NOTICES Medicare Program: Environmental Protection Agency Medicare Appeals; Adjustment to the Amount in RULES Controversy Threshold Amounts for Calendar Year Pesticide Tolerances: 2020, 53444–53445 Chlorantraniliprole, 53322–53326 Children and Families Administration Clothianidin; Emergency Exemptions, 53331–53336 NOTICES Cyromazine, 53316–53322 Agency Information Collection Activities; Proposals, Thiamethoxam; Emergency Exemptions, 53326–53331 NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, Trafficking Victim Assistance Program Data Collection, Submissions, and Approvals: 53446 National Emission Standards for Hazardous Air Civil Rights Commission Pollutants for Phosphoric Acid Manufacturing and NOTICES Phosphate Fertilizers Production, 53434 Meetings: RCRA Subtitle C Reporting Instructions and Forms, Pennsylvania Advisory Committee, 53401–53402 53437–53438 Updated CEQ-EPA Presidential Innovation Award for Coast Guard Environmental Educators and the President’s RULES Environmental Youth Awards Application, 53438– Special Local Regulations: 53439 Gulf of Mexico, Fort Myers Beach, FL, 53314–53316 Appointments: PROPOSED RULES Board of Directors for the National Environmental Drawbridge Operations: Education Foundation, 53436–53437 Hackensack River, Little Snake Hill, NJ, 53350–53352 Delegation of Authority: Waterway Suitability Assessment for Operations of Commonwealth of Virginia to Implement and Enforce Liquefied Hazardous Gas Terminal, Nederland, TX, Additional or Revised National Emission Standards 53352–53353 for Hazardous Air Pollutants Standards and New NOTICES Source Performance Standards, 53439–53440 Agency Information Collection Activities; Proposals, Product Cancellation Order for Certain Pesticide Submissions, and Approvals, 53451–53452 Registrations, 53434–53436

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Federal Aviation Administration Federal Reserve System PROPOSED RULES NOTICES Amendment of Class E Airspace: Revocation of Class E Formations of, Acquisitions by, and Mergers of Bank Airspace: Holding Companies, 53440–53441 Coudersport, PA; Galeton, PA, 53346–53347 NOTICES Intent to Rule on Disposal of Aeronautical Property: Fish and Wildlife Service Coastal Carolina Regional Airport, New Bern, NC, 53554 RULES Petition for Exemption; Summary: Endangered and Threatened Wildlife and Plants: Southern Utah University, 53556 Twelve Species Not Warranted for Listing as Endangered Request for Comments: or Threatened Species, 53336–53343 Change Land Use from Aeronautical to Non Aeronautical PROPOSED RULES for 25.88 Acres at Barnstable Municipal Airport, Endangered and Threatened Species: Hyannis, MA, 53555 Removal of Howellia aquatilis (Water Howellia) from the Change the Land Use from Aeronautical to Non List of Endangered and Threatened Plants, 53380– Aeronautical for 28.46 Acres at Waterville LaFleur 53397 Airport, Waterville, ME, 53555 NOTICES Swap 1.12 Acres of Airport Land and Receive 14.55 Endangered and Threatened Species: Acres of Land from CTDOT for Airport Use at Recovery Permit Applications, 53462–53467 Bradley International Airport, Windsor Lock, CT, Environmental Impact Statements; Availability, etc.: 53556 MidAmerican Energy Company’s Habitat Conservation Request to Release Airport Property: Plan for Midwestern Bat and Bird Species in Iowa, San Marcos Regional Airport, San Marcos, TX, 53555– 53461–53462 53556 Food and Drug Administration Federal Communications Commission RULES PROPOSED RULES New Animal Drugs; Approval of New Animal Drug Procedural Streamlining of Administrative Hearings, Applications; Change of Sponsor’s Name and Address, 53355–53375 53309–53313 PROPOSED RULES Federal Emergency Management Agency Guidance: NOTICES Hazard Analysis and Risk-Based Preventive Controls for Agency Information Collection Activities; Proposals, Human Food, 53347–53348 Submissions, and Approvals: NOTICES General Admissions Applications (Long and Short) and Agency Information Collection Activities; Proposals, Stipend Forms, 53452–53454 Submissions, and Approvals: Flood Hazard Determinations; Changes, 53455–53459 Investigational Device Exemptions Reports and Records, Flood Hazard Determinations; Proposals, 53454–53455 53448–53450 Fit for Use Pilot Program Invitation for the Clinical Data Federal Energy Regulatory Commission Interchange Standards Consortium for Standard for NOTICES Exchange of Nonclinical Data Implementation Guide: Combined Filings, 53430–53432 Version 3.1; Correction, 53448 Complaint: Meetings: Wolverine Power Supply Coop., Inc. v. Midcontinent Endocrinologic and Metabolic Drugs Advisory Independent System Operator, Inc., 53430 Committee, 53446–53448 Environmental Assessments; Availability, etc.: Sempra PALNG Holdings, LLC; Port Arthur LNG Forest Service Expansion Project, 53432–53434 Texas Eastern Transmission, LP; Marshall County Mine NOTICES Panel 19E Project, 53427–53429 Charter Renewal: Environmental Site Review: Pacific Northwest National Scenic Trail Advisory Rumford Falls Hydro, LLC, 53427 Council, 53399 Initial Market-Based Rate Filings Including Requests for Intent to Establish: Blanket Section 204 Authorizations: Secure Rural Schools Resource Advisory Committees, Tenaska Clear Creek Wind, LLC, 53430 53399–53400 Records Governing Off-the-Record Communications, 53429– Meetings: 53430 Wrangell-Petersburg Resource Advisory Committee, 53400–53401 Federal Mine Safety and Health Review Commission NOTICES Health and Human Services Department Meetings; Sunshine Act, 53440 See Centers for Disease Control and Prevention See Centers for Medicare & Medicaid Services Federal Railroad Administration See Children and Families Administration NOTICES See Food and Drug Administration Agency Information Collection Activities; Proposals, See Health Resources and Services Administration Submissions, and Approvals, 53556–53558 See National Institutes of Health

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Health Resources and Services Administration Labor Department NOTICES NOTICES Meetings: Request for Information: Advisory Committee on Interdisciplinary, Community Child Labor, Forced Labor, and Forced or Indentured Based Linkages, 53450 Child Labor in the Production of Goods in Foreign Countries and Efforts by Certain Foreign Countries to Eliminate the Worst Forms of Child Labor, 53474– Homeland Security Department 53475 See Coast Guard See Federal Emergency Management Agency Land Management Bureau NOTICES Housing and Urban Development Department Record of Decision: NOTICES Central Coast Field Office Approved Resource Appointments: Management Plan Amendment for Oil and Gas The Performance Review Board, 53459–53461 Leasing and Development, California, 53470–53471 Maritime Administration Industry and Security Bureau NOTICES NOTICES Agency Information Collection Activities; Proposals, Denial of Export Privileges: Submissions, and Approvals: Arash Sepehri, 53404–53405 Port Infrastructure Development Program, 53560 Barbara Jo Luque, 53407–53408 Requirements for Eligibility of U.S.-Flag Vessels of 100 Benjamin James Cance, 53402–53403 Feet or Greater in Registered Length to Obtain a Eldar Rezvanov, 53406–53407 Fishery Endorsement, 53559–53560 Kenneth S. Chait, 53403–53404 Voluntary Tanker Agreement, 53558–53559 Rasheed Al Jijakli, 53405–53406 National Archives and Records Administration Information Security Oversight Office See Information Security Oversight Office NOTICES Meetings: National Credit Union Administration National Industrial Security Program Policy Advisory RULES Committee, 53475 Supervisory Committee Audits and Verifications, 53303– 53308 NOTICES Interior Department Agency Information Collection Activities; Proposals, See Fish and Wildlife Service Submissions, and Approvals: See Land Management Bureau Monitoring Bank Secrecy Act Compliance, 53476 See Surface Mining Reclamation and Enforcement Office Production of Non-public Records and Testimony of NOTICES Employees in Legal Proceedings (Touhy Request), Deepwater Horizon Oil Spill 2019 Final Supplemental 53476–53477 Restoration Plan and Finding of No Significant Impact; Mississippi Trustee Implementation Group, 53469– National Institutes of Health 53470 NOTICES Deepwater Horizon Oil Spill Florida Trustee Meetings: Implementation Group Phase V.3 Florida Coastal Center for Scientific Review, 53451 Access Project: Office of Research Infrastructure Programs Special Final Restoration Plan and Supplemental Environmental Emphasis Panel, 53451 Assessment, 53467–53469 National Oceanic and Atmospheric Administration International Trade Administration RULES Fisheries of the Exclusive Economic Zone Off Alaska: NOTICES Exchange of Flatfish in the Bering Sea and Aleutian Antidumping or Countervailing Duty Investigations, Orders, Islands Management Area, 53344–53345 or Reviews: Pacific Cod by Catcher Vessels Less than 50 feet Length Certain Hot-Rolled Flat-Rolled Carbon-Quality Steel Overall using Hook-and-Line Gear in the Central Products from the Russian Federation, 53408–53411 Regulatory Area of the Gulf of Alaska, 53343–53344 Initiation of Administrative Reviews, 53411–53424 NOTICES Export Trade Certificate of Review, 53424–53425 Meetings: New England Fishery Management Council, 53425 Justice Department See Alcohol, Tobacco, Firearms, and Explosives Bureau National Science Foundation See Drug Enforcement Administration NOTICES NOTICES Antarctic Conservation Act Permits, 53477 Agency Information Collection Activities; Proposals, Submissions, and Approvals: National Transportation Safety Board Electronic Applications for the Attorney Student Loan NOTICES Repayment Program, 53473–53474 Meetings; Sunshine Act, 53477–53478

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Nuclear Regulatory Commission Meetings: NOTICES CAFTA-DR Environmental Affairs Council, 53553–53554 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Reporting of Defects and Noncompliance, 53478–53479 Surface Mining Reclamation and Enforcement Office Requests to Federally Recognized Indian Tribes for PROPOSED RULES Information, 53479–53480 Mississippi Abandoned Mine Land Reclamation Plan, 53349–53350 Postal Service PROPOSED RULES Surface Transportation Board Authorization to Manufacture and Distribute Postage Evidencing Systems, 53353–53355 PROPOSED RULES NOTICES Petition for Rulemaking: Product Change: Railroad Performance Data Reporting, 53375–53380 Priority Mail Express and Priority Mail Negotiated Service Agreement, 53480 Transportation Department Securities and Exchange Commission See Federal Aviation Administration NOTICES See Federal Railroad Administration Application: See Maritime Administration Calvert Fund, et al., 53507–53509 NOTICES Mutual of America Life Insurance Co., et al., 53482– Information Dissemination Quality Guidelines, 53560– 53487 53569 Self-Regulatory Organizations; Proposed Rule Changes: Cboe Exchange, Inc., 53509–53522, 53525–53534, 53548– Treasury Department 53550, 53480–53482, 53487–53489 See Alcohol and Tobacco Tax and Trade Bureau Nasdaq GEMX, LLC, 53497–53503 Nasdaq ISE, LLC, 53489–53496 Nasdaq MRX, LLC, 53534–53541 Veterans Affairs Department NYSE American, LLC, 53506 NOTICES NYSE Arca, Inc., 53506–53507, 53522–53525 Agency Information Collection Activities; Proposals, The Nasdaq Stock Market, LLC, 53504–53506, 53542– Submissions, and Approvals: 53547 Alternate Signer Certification, 53572 Expanded Access to Non-VA Care through the MISSION Small Business Administration Program: Veterans Community Care Program, 53570– NOTICES 53571 Disaster Declaration: Veterans Affairs Financial Services Center Vendor File Alaska, 53551 Request Form, 53571 Major Disaster Declaration: Mississippi, 53550–53551 South Dakota; Public Assistance Only, 53551 Reader Aids Social Security Administration Consult the Reader Aids section at the end of this issue for NOTICES phone numbers, online resources, finding aids, and notice Agency Information Collection Activities; Proposals, of recently enacted public laws. Submissions, and Approvals, 53551–53553 To subscribe to the Federal Register Table of Contents State Department electronic mailing list, go to https://public.govdelivery.com/ NOTICES accounts/USGPOOFR/subscriber/new, enter your e-mail Culturally Significant Objects Imported for Exhibition: address, then follow the instructions to join, leave, or Where the Truth Lies: The Art of Qiu Ying, 53554 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.

12 CFR 715...... 53303 14 CFR Proposed Rules: 71...... 53346 21 CFR 510...... 53309 520...... 53309 522...... 53309 526...... 53309 529...... 53309 556...... 53309 558...... 53309 Proposed Rules: 117...... 53347 30 CFR Proposed Rules: 924...... 53349 33 CFR 100...... 53314 Proposed Rules: 117...... 53350 127...... 53352 39 CFR Proposed Rules: 501...... 53353 40 CFR 180 (4 documents) ...... 53316, 53322, 53326, 53373 47 CFR Proposed Rules: 0...... 53355 1...... 53355 76...... 53355 49 CFR Proposed Rules: 1250...... 53375 50 CFR 17...... 53336 679 (2 documents) ...... 53343, 53344 Proposed Rules: 17...... 53380

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Rules and Regulations Federal Register Vol. 84, No. 194

Monday, October 7, 2019

This section of the FEDERAL REGISTER amend or repeal because they are applicable state law, may require credit contains regulatory documents having general outdated, ineffective, or excessively unions having less than $10 million in applicability and legal effect, most of which burdensome.2 assets to follow GAAP.6 are keyed to and codified in the Code of The Agenda addresses the NCUA’s Section 202(a)(6)(D) of the FCU Act Federal Regulations, which is published under regulations on Supervisory Committee imposes audit requirements for larger 50 titles pursuant to 44 U.S.C. 1510. Audits. As discussed more fully below, FICUs. Specifically, a FICU having The Code of Federal Regulations is sold by the Agenda recommends removing from assets of $500 million or more is the Superintendent of Documents. § 715.7 of the NCUA’s regulations the required to obtain an annual reference to the ‘‘NCUA’s Supervisory independent audit of its financial Committee Guide’’ and amending the statements performed in accordance NATIONAL CREDIT UNION requirement related to the timing for with generally accepted auditing ADMINISTRATION delivery of written audit reports issued standards, hereafter referred to as a by outside, compensated persons in ‘‘financial statement audit.’’ That audit 12 CFR Part 715 § 715.9 of the NCUA’s regulations. must be performed by an independent certified public accountant or public RIN 3133–AE91 B. Federal Credit Union Act Audit accountant licensed to do so by an Requirements Supervisory Committee Audits and appropriate state or jurisdiction.7 Verifications Sections 115 and 202(a)(6) of the Additionally, if an FCU having total Federal Credit Union Act (FCU Act) set assets of less than $500 million but AGENCY: National Credit Union forth provisions addressing auditing and more than $10 million elects to obtain Administration (NCUA). accounting requirements.3 Section 115 a financial statement audit, the audit ACTION: Final rule. of the FCU Act requires a federal credit must be performed consistent with the union’s (FCU’s) supervisory committee accountancy laws of the appropriate SUMMARY: The NCUA Board (Board) is to make an annual audit and submit a state or jurisdiction.8 amending its regulations governing the report of that audit to the FCU’s board responsibilities of a federally insured of directors and a summary of that C. The NCUA’s Supervisory Committee credit union (FICU) to obtain an annual report to the FCU’s members at the next Audit Regulations supervisory committee audit of the annual meeting.4 Further, the Currently, §§ 715.5 and 715.6 of the credit union. The final rule implements supervisory committee is required to NCUA’s regulations specify: (1) The recommendations outlined in the make supplemental reports as it deems minimum type of annual audit a FICU agency’s Regulatory Reform Task necessary. is required to obtain according to its Force’s Regulatory Reform Agenda Section 202(a)(6)(A) of the FCU Act is charter type and asset size; (2) the (Agenda) and will provide additional a general grant of authority to the Board licensing requirements of persons flexibility to FICUs. Specifically, the to prescribe audit standards that require performing certain audits; and (3) the Board is: Replacing the Supervisory an outside, independent audit by a auditing principles that apply to certain Committee Guide with a simplified certified public accountant for any fiscal audits.9 These provisions were last appendix to the part; eliminating two year for which a FICU has not updated in July 1999.10 The July 1999 audit types that FICUs seldom use; and conducted an annual supervisory rulemaking adopted § 715.7 of the eliminating a specific deadline for committee audit, has not received a NCUA’s regulations, which outlines the outside, compensated persons to deliver complete and satisfactory supervisory options for a FICU to comply with the written audit reports to FICUs. committee audit, or during which the annual audit requirement, if it has DATES: The final rule takes effect FICU has experienced persistent or elected not to voluntarily obtain a January 6, 2020. serious record keeping deficiencies. financial statement audit. The options FOR FURTHER INFORMATION CONTACT: Section 202(a)(6)(C) of the FCU Act currently permitted include a FICU Technical information: Alison Clark, generally requires FICUs having assets obtaining: (1) A Balance Sheet Audit; (2) Chief Accountant, Office of Examination of $10 million or more to use accounting a Report on Examination of Internal and Insurance, at the above address or principles consistent with generally Controls over Call Reporting; or (3) an telephone (703) 518–6611; or Legal accepted accounting principles (GAAP) Audit per the Supervisory Committee information: Marvin Shaw, Staff in all reports or statements required to Guide. The first two options are 5 Attorney, Office of General Counsel, at be filed with the Board. The Board, and analogous to options that the Federal the above address or telephone (703) state credit union supervisors under Financial Institutions Examination 518–6553. Council adopted in 1999 for other 2 This is consistent with the spirit of President federally insured financial institutions. SUPPLEMENTARY INFORMATION: Trump’s regulatory reform agenda and Executive Order 13777. Although the NCUA, as an Regarding the third option, the NCUA I. Background and Legal Authority independent agency, is not required to comply with amended the Supervisory Committee A. NCUA Regulatory Reform Task Force Executive Order 13777, the Board has chosen to Guide in 1999 to detail the minimum comply with it in spirit and has reviewed all of the scope and procedures for engaging In August 2017, the Board published NCUA’s regulations to that end. 3 12 U.S.C. 1761d; 12 U.S.C. 1782. and sought comment on the Regulatory 6 Id. 1 4 12 U.S.C. 1761d. Reform Agenda. The Agenda identifies 7 5 12 U.S.C. 1782(a)(6)(C). In lieu of GAAP, the 12 U.S.C. 1782(a)(6)(D)(i). those regulations the Board intends to NCUA Board ‘‘may prescribe an accounting 8 12 U.S.C. 1782(a)(6)(D)(ii). principle . . . that is no less stringent than 9 12 CFR part 715. 1 82 FR 39702 (Aug. 22, 2017). [GAAP].’’ 10 64 FR 41035 (July 29, 1999).

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outside, compensated professionals in and adopted procedures established by Supervisory Committee Audits and the audit process and to clearly the American Institute of Certified Verifications, by adopting the proposal distinguish a Supervisory Committee Public Accountants, and consulted with with a few minor modifications. The Guide audit from a financial statement accounting professionals. The goal of final rule updates outdated provisions audit. The Supervisory Committee the proposal was to make the and provides added flexibility to FICUs Guide is not included in the NCUA’s requirements more understandable to with assets less than $500 million while regulations and instead is available on FICUs, rather than change the areas of continuing to ensure appropriate the agency’s website. review the Board considers important. financial oversight. The final rule Nevertheless, the Board requested includes the following modifications to II. Proposed Amendments comment on whether other areas of part 715: (1) Eliminating the Report on In February 2019 (84 FR 5957), the review should be included in appendix Examination of Internal Controls Over Board issued a notice of proposed A, and listed the following examples: Call Reporting in § 715.7(b); (2) rulemaking (proposal) amending part Loans to insiders, pay and benefits to removing the Supervisory Committee 715 to: (1) Eliminate the Report on employees and board members, Guide Audit Alternative to a Financial Examination of Internal Controls over regulatory compliance, and compliance Statement Audit in § 715.7 and Call Reporting option in § 715.7(b); (2) with the Bank Secrecy Act. replacing it with an appendix; 12 (3) remove reference to the NCUA’s In the proposal, the Board noted its eliminating the Balance Sheet Audit Supervisory Committee Guide in plan to decommission the outdated option in § 715.7(a); and (4) removing § 715.7(c) and replace it with minimum Supervisory Committee Guide, stating the 120-day report delivery deadline in requirements set forth in a new that the NCUA would issue reference § 715.9(c)(6) from the required terms for appendix A to part 715; (3) eliminate materials on how to conduct procedures audit engagement letters with outside, the Balance Sheet Audit option in that would meet the minimum compensated persons. The Board is also § 715.7(a); and (4) amend § 715.9(c)(6) requirements of appendix A. This making conforming amendments to part applicable to engagement letters with reference material could be used by 715 to reflect the replacement of the outside auditors to eliminate a specific supervisory committees and the third Supervisory Committee Guide with the 120-day timing requirement. parties hired to develop agreed upon appendix. procedures. Alternatively, supervisory The proposal also sought comments A. Eliminate Report on Examination of on whether to include additional topics committees and hired third parties could elect to incorporate other agreed Internal Controls Over Call Reporting in in the new proposed appendix A. § 715.7(b) Specifically, under the proposed upon procedures, so long as the testing appendix A, the supervisory committee, meets the minimum requirements. The Board proposed eliminating the option for FICUs with assets less than internal auditor, or other qualified III. Comments person would be required to perform $500 million to obtain a Report on and document the following areas of The Board received 22 comments Examination of Internal Controls Over review: from credit unions, credit union trade Call Reporting as one of the alternatives • Test and confirm material asset and associations, credit union leagues, an to a financial statement audit. The liability accounts, including, at a association of state regulators, and proposal noted that less than one minimum, loans, cash, investments, accountants and accounting firms. percent of FICUs use this option to shares and borrowings; Commenters generally supported the fulfill their audit requirement. • test material equity, income and proposed rule and the Board’s Commenters generally agreed with the expense accounts; objectives. The consensus was that the proposal because of this option’s limited • review key internal controls, proposal would provide FICUs with use and lack of review of a FICU’s including, at a minimum, bank assets less than $500 million with income statement. One commenter reconciliation procedures, cash controls, additional flexibility, reduce favored retaining this option to maintain dormant account controls, wire and compliance burdens, and simplify the flexibility for smaller FICUs. As ACH transfer controls, loan approval Supervisory Committee Audit, while proposed, the Board is eliminating this and disbursement procedures, and still providing useful information about option because it advances the purpose controls over insider 11 accounts; the financial health and stability of of eliminating outdated and ineffective • test the mathematical accuracy of FICUs. Nevertheless, some commenters regulations. This audit option is seldom the allowance for loan and lease loss objected to specific provisions or used and provides limited insight into accounts and ensure the methodology is proposals, while others provided a FICU’s financial condition. properly applied; and additional suggestions that they B. Eliminate the Supervisory Committee • test loan delinquency and charge- believed would improve the proposal Guide Audit Alternative to a Financial offs. and avoid adversely affecting small Statement Audit in § 715.7 and Replace As reflected in the text of the FICUs. Specifically, a few commenters It With an Appendix proposed appendix A, the supervisory cautioned that some provisions might The Board proposed removing committee or other person conducting increase cost and burden for smaller reference to the NCUA’s Supervisory the audit would be expected to FICUs and thus run counter to the intent Committee Guide in § 715.7(c) and determine whether to supplement the of the proposal. Substantive comments replacing it with a new appendix minimum procedures in light of a supporting or opposing each specific covering minimum supervisory particular FICU’s circumstances. proposal and advocating alternatives or In the proposal, the Board noted that modifications are discussed below. As committee audit requirements. The in selecting these areas of review for discussed in detail below, the Board is Board described the 350-page inclusion in appendix A, NCUA staff adopting the proposal with a few minor Supervisory Committee Guide as borrowed substantially from the modifications. 12 Supervisory Committee Guide, reviewed In the final rule, the Board will no longer IV. Final Rule reference the ‘‘appendix’’ as ‘‘appendix A.’’ The reason for this modification is to avoid confusion 11 ‘‘Insider’’ refers to employees and officials of As detailed below, in this final rule, with appendix A of the Supervisory Committee the credit union. the Board is amending part 715, Guide.

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outdated. In lieu of this option, the and afford flexibility to FICUs. In The Board has determined that the Board proposed adding an appendix to recognition of the concerns that a few minimum areas of review set forth in part 715 to set forth minimum areas of commenters raised, the agency will the proposed appendix are appropriate. review in a clear, concise manner. monitor the implementation of the These areas of review are intended to Comments on this part of the proposal appendix and may issue informal reflect common industry practices for addressed two areas: (1) Replacing the guidance to address questions that arise. auditing accounts and controls over Supervisory Committee Guide with the In addition, as the Board stated in the financial institution financial appendix generally; and (2) the specific proposal, the agency will consult with statements. Incorporating extensive areas of review set forth in the representatives of the accounting additional detail into the appendix appendix. The Board discusses these profession and publish reference would run counter to the Board’s goal areas separately, below. materials on audit procedures to aid of clarifying and simplifying audit i. General Comments on Replacing the FICUs and others in conducting audits procedures for FICUs with assets less Supervisory Committee Guide under the appendix. The Board believes than $500 million. The Board further that these measures will effectively notes that NCUA is considering Although a few commenters address any initial questions or recommendations received on the audit supported retaining the Supervisory concerns that may arise during the procedures for incorporation into the Committee Guide, most supported transition from the Supervisory reference materials that the agency will replacing it with the appendix. The Committee Guide to the appendix. make available after this final rule goes commenters supporting the change Separately, despite supporting into effect, as the Board stated in the stated that it would clarify and simplify adoption of the appendix, a few proposal. audits for FICUs with assets less than commenters stated that it would be As noted above, the Board also $500 million, increase flexibility, save worthwhile to retain the Supervisory requested comments on whether the time and resources, and replace the Committee Guide as a guidance topics in the appendix are appropriate outdated Supervisory Committee Guide, document on the NCUA website for and whether there are any additional among other advantages. These smaller FICUs. These commenters topics that should be included. The commenters also stated that the suggested adding a disclaimer to the Board specifically requested comment appendix would increase flexibility and on including the following additional allow FICUs to focus on major risk document to note that its procedures would no longer satisfy part 715. topics in the appendix: loans to areas. insiders; pay and benefits to employees The Board has determined that it is The few commenters that opposed and board members; regulatory appropriate to retain the Supervisory adopting the appendix opined that it compliance; and compliance with the Committee Guide for historical would create additional costs and Bank Secrecy Act. unintended consequences, such as reference on the NCUA website, with Most commenters agreed with the list increased audit work and associated the appropriate disclaimers. However, of topics expressly set forth in the fees for FICUs that hire outside auditors. because the Supervisory Committee appendix, stating that the proposed These commenters stated that costs Guide is outdated, FICUs should not areas of review in the appendix would increase significantly, but they rely on the Guide as a means to comply sufficiently ensure that a proper audit did not attempt to quantify the claimed with part 715. would be conducted. However, several increase in costs. One commenter made ii. Comments Addressing the Appendix commenters recommended not several suggested edits to the appendix including the additional topics on to alleviate the negative economic The appendix sets forth specific areas which the Board sought comments. As impact that the commenter asserted the of review, as discussed above. The detailed below, the Board has decided appendix would cause. appendix also provides that parties to adopt the text of the appendix as After reviewing and analyzing the conducting audits may need to perform proposed, with the addition of comments, the Board has determined additional procedures based on the reviewing board minutes and testing for that it is appropriate to remove the circumstances of a particular FICU, and unrecorded liabilities. The Board has Supervisory Committee Guide that the supervisory committee must decided to not add any other topics. alternative to a financial statement audit apply its judgment in determining the Several commenters objected to in § 715.7 and replace it with an procedures necessary to meet audit including employee and board appendix. As stated in the proposal, the requirements. compensation as an audit topic in the Board finds the Supervisory Committee The Board requested comments on appendix. They stated generally that Guide outdated and that the minimum whether the proposed minimum this topic does not fit the intent of a areas of review should be incorporated procedures and topics in the appendix supervisory committee audit and into the regulation. The NCUA will are appropriate, and whether there are instead is within the purview of the replace the Supervisory Committee any additional topics that should be board of directors. Some commenters Guide with reference materials on audit included. To this end, the Board listed also objected because they perceived no procedures to aid in performing the several specific topics that it was clear safety and soundness basis to areas of review in the appendix. considering adding to the appendix. include this topic. The Board notes that Replacing the Supervisory Committee One commenter expressed concern while it is not an express provision in Guide with new reference materials on that the objectives of the supervisory the appendix, the supervisory audit procedures will provide an up-to- audit would not be met by the proposed committee audit must test employee and date resource and greater flexibility for appendix. This commenter suggested board compensation when it is a FICUs. The Board finds that the incorporating several procedures into significant component of a FICU’s appendix will provide specific areas of the appendix that the commenter expenses—as the regulation requires the review while covering an appropriate believed would result in assurance that audit to include a test of ‘‘material range of financial matters. Adding the balance sheet accounts are fairly equity, income, and expense accounts.’’ prescriptive provisions to the appendix stated, including reconciliations, However, the Board emphasizes that the would run counter to the Board’s verifications, and a review of board purpose of the supervisory committee intention to simplify the requirements minutes. audit is to reconcile the mathematical

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computations related to compensation, than $500 million. This audit does not deadline from the NCUA. One and whether they are consistent with cover a FICU’s income statement. commenter opposed the proposal, authorized compensation plans, but not Several commenters stated that this stating the 120-day requirement may to judge the appropriateness of the level option provides no benefit because the ensure uniformity throughout the of compensation. Confirming the balance sheet does not reflect the industry. current value of assets. Commenters also accuracy of these figures and flagging The Board has determined that it is any irregularities will serve the goal of noted that the other audit alternatives appropriate to adopt this change as ensuring safety and soundness. provide better indicators of a FICU’s Several commenters stated that the financial health. proposed. The Board believes that this appendix should not require testing for A few commenters favored retaining amendment will provide enhanced Bank Secrecy Act and Anti-Money this option, despite acknowledging its flexibility and potential cost savings, Laundering as part of the audit limitations. For example, some without any adverse impact to the engagement, noting that it would be commenters suggested that this option auditing process. Although audit due redundant of part 748, which requires may be effective in the limited dates may now vary across the industry, annual testing in this area.13 The Board circumstance when a credit union is the regulation will continue to require agrees with these commenters and has transitioning from a supervisory annual audits, which provides decided not to include this topic in the committee audit to a financial statement substantial uniformity. audit. Another commenter stated that appendix. E. Applicability of Part 715 Also, several commenters stated that this option provides reasonable the topics should not include assurance that the balance sheet A few commenters addressed how ‘‘regulatory compliance.’’ They noted complies with GAAP and is a viable, part 715 should apply to FICUs, both in that regulatory compliance issues are lower-cost option than a financial terms of asset size and chartering beyond the scope of a supervisory statement audit. authority. Because the Board did not committee audit, which focuses on The Board has determined that the propose any changes in these areas, it financial and accounting issues. The balance sheet audit does not provide declines to adopt the commenters’ Board agrees with commenters that it sufficient information to allow a FICU’s recommendations, as discussed below. would likely be duplicative of other board of directors to assess the FICU’s legal and regulatory requirements to financial health. Because a supervisory The Board received two comments incorporate regulatory compliance in committee audit provides greater insight suggesting a lower asset-size threshold the appendix. Accordingly, the Board at reasonable costs, the Board has for a financial statement audit. Because has decided not to add this topic to the decided to eliminate the Balance Sheet the FCU Act establishes this threshold, appendix. Audit as a means to comply with part as discussed above, and this matter is In addition, a few commenters 715. beyond the scope of the proposal, the recommended adding to the list of Board will not adopt this change. D. Assistance From Outside, topics. The suggested areas included Compensated Person—Timing One commenter stated that the NCUA testing for unrecorded and/or unstated Requirement should clarify part 715’s applicability to liabilities that would not otherwise be federally insured, state chartered credit subject to testing based on the The Board also proposed amending unions (FISCUs), observing that not all materiality definition described in the § 715.9(c)(6) to eliminate a prescriptive FISCUs have supervisory committees. proposal. Another commenter timing requirement for completion of The commenter suggested re-organizing recommended that the appendix audits by an outside, compensated part 715 or amending Part 741 to more include these topics: disaster recovery person. This section, among other clearly identify which requirements and business continuity plans, things, addresses engagement letters a apply to FISCUs generally, and in information security, and vendor FICU may use to hire a compensated particular to those without supervisory auditor. The current regulation requires management. committees. Because the Board that an engagement letter specify a The Board agrees that the areas of proposed no changes on this subject, it target date of delivery of written audit review should include testing for will not amend part 715 or 741 in this reports ‘‘not to exceed 120 days from the unrecorded liabilities. However, the manner in this final rule. However, the date of calendar or fiscal year-end under Board declines to add the other Board notes that the definition of audit (period covered).’’ 14 The Board recommended topics because they are ‘‘supervisory committee’’ in § 715.2(l) proposed to eliminate this requirement not customarily part of a supervisory expressly addresses this issue as and replace it with a flexible standard committee audit and would be covered follows: ‘‘Supervisory committee refers that would require only that the target by separate engagements. Specifically, to a supervisory committee as defined delivery date allows the FICU to meet the Board has determined not to add by section 111(b) of the Federal Credit disaster recovery and business its requirement to obtain an audit each Union Act, 12 U.S.C. 1761(b). For some continuity plans, information security, calendar year.15 FISCUs, the ‘audit committee’ and vendor management. Most commenters agreed with this In sum, the Board is adopting the proposed amendment because it designated by state statute or regulation provides FICUs with additional is the equivalent of a supervisory appendix as proposed, with the addition 16 of reviewing board minutes and testing flexibility. Further, these commenters committee.’’ If state law or regulation for unrecorded liabilities. believed the amendment enhances a does not require FISCUs chartered in FICU’s ability to better negotiate the the state to have a supervisory C. Eliminate the Balance Sheet Audit target date for delivery of written committee or an audit committee, then Option in § 715.7(a) reports. Commenters further stated that the credit union’s board of directors is The proposal sought comments on the proposal eliminates burden responsible for the requirements whether to eliminate the Balance Sheet associated with seeking waivers of the attributed to the supervisory committee Audit option for FICUs with assets less in this regulation. 14 12 CFR 715.9(c)(6). 13 12 CFR 748.2. 15 12 CFR 715.4(a). 16 12 CFR 715.2(l).

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F. Conforming Amendments state and local interests. NCUA, an List of Subjects in 12 CFR Part 715 As proposed, the Board is amending independent regulatory agency as Credit unions, Reporting and § 715.9(c)(3), (d), and (e) to replace defined in 44 U.S.C. 3502(5), voluntarily recordkeeping requirements. complies with the executive order to references to the Supervisory Committee By the National Credit Union Guide with references to the appendix. adhere to fundamental federalism principles. The final rule does not have Administration Board on September 19, 2019. V. Regulatory Procedures substantial direct effects on the states, Gerard Poliquin, A. Regulatory Flexibility Act on the relationship between the national government and the states, or on the Secretary of the Board. The Regulatory Flexibility Act distribution of power and For the reasons discussed above, the requires NCUA to prepare an analysis of responsibilities among the various National Credit Union Administration any significant economic impact a levels of government. NCUA has, Board amends 12 CFR part 715 as regulation may have on a substantial therefore, determined that this rule does follows: number of small entities (those with less 17 not constitute a policy that has than $100 million in assets). This rule federalism implications for purposes of PART 715—SUPERVISORY will provide relief to small credit unions the executive order. COMMITTEE AUDITS AND by clarifying and simplifying VERIFICATIONS requirements related to supervisory D. Assessment of Federal Regulations committee audits. Accordingly, NCUA and Policies on Families ■ 1. The authority citation for part 715 certifies the rule will not have a NCUA has determined that this rule continues to read as follows: significant economic impact on a will not affect family well-being within Authority: 12 U.S.C. 1761(b), 1761d, and substantial number of small credit the meaning of § 654 of the Treasury 1782(a)(6). unions. and General Government § 715.2 [Amended] B. Paperwork Reduction Act Appropriations Act, 1999, Public Law ■ 2. Amend § 715.2 by removing and The Paperwork Reduction Act of 1995 105–277, 112 Stat. 2681 (1998). reserving paragraph (a) and (j). (PRA) (44 U.S.C. 3501 et seq.) requires E. Small Business Regulatory ■ that the Office of Management and Enforcement Fairness Act 3. Amend § 715.4 by revising Budget (OMB) approve of all collections paragraph (b) and the table and footnote of information by a Federal agency from The Small Business Regulatory 1 following paragraph (c) to read as the public before they can be Enforcement Fairness Act of 1996 (Pub. follows: L. 104–121) (SBREFA) generally implemented. Respondents are not § 715.4 Audit responsibility of the required to respond to any collection of provides for congressional review of agency rules.19 A reporting requirement Supervisory Committee. information unless it displays a current, * * * * * valid OMB control number. is triggered in instances where the (b) Financial statement audit option. The information collection burden NCUA issues a final rule as defined by Any federally-insured credit union, previously associated with the internal Section 551 of the Administrative 20 whether Federal or State chartered and controls and balance sheet audit options Procedure Act. An agency rule, in regardless of asset size, may choose to are now collected as a single addition to being subject to fulfill its Supervisory Committee audit information collection associated with congressional oversight, may also be responsibility by obtaining an annual amended § 715.7. This change will be subject to a delayed effective date if the 21 audit of its financial statements reflected in an upcoming renewal. rule is a ‘‘major rule.’’ The NCUA The information collection does not believe this rule is a ‘‘major performed in accordance with GAAS by requirements under the current rule are rule’’ within the meaning of the relevant an independent person who is licensed covered under OMB #3133–0059. This sections of SBREFA. As required by to do so by the State or jurisdiction in final rule does not contain any SBREFA, the NCUA submitted this final which the credit union is principally additional information collection rule to OMB for it to determine if the located. (A ‘‘financial statement audit’’ requirements under the Paperwork final rule is a ‘‘major rule’’ for purposes is distinct from a ‘‘supervisory Reduction Act.18 of SBREFA. OMB determined that the committee audit,’’ although a financial final rule is not major. The NCUA also statement audit is included among the C. Executive Order 13132 will file appropriate reports with options for fulfilling the supervisory Executive Order 13132 encourages Congress and the Government committee audit requirement in this independent regulatory agencies to Accountability Office so this rule may section. Compare § 715.2(c).) consider the impact of their actions on be reviewed. * * * * *

TABLE 1 TO § 715.4

Type of charter Asset size Minimum audit required to fulfill supervisory committee audit Part 715 responsibility 1 section

Federal Charter ...... $500 Million or more ...... Financial statement audit per GAAS by independent, State-li- 715.5 censed person. Less than $500 Million but Either financial statement audit or other supervisory com- greater than $10 Million. mittee audit. $10 Million or less ...... Supervisory committee audit. State Charter ...... $500 Million or more ...... Financial statement audit per GAAS by independent, State li- 715.6 censed person.

17 5 U.S.C. 603(a). 19 5 U.S.C. 801–804. 21 5 U.S.C. 804(2). 18 44 U.S.C. 3501. 20 5 U.S.C. 551.

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TABLE 1 TO § 715.4—Continued

Type of charter Asset size Minimum audit required to fulfill supervisory committee audit Part 715 responsibility 1 section

Less than $500 Million ...... Supervisory committee audit unless audit prescribed by State law is more stringent. 1 The Supervisory Committee audit responsibility under this part can always be fulfilled by obtaining a financial statement audit. See paragraph (b) of this section.

■ 4. Revise § 715.7 to read as follows: not, by itself, fulfill the scope of a the time, it is of such a nature that its supervisory committee audit; and disclosure, or the method of treating it, § 715.7 Supervisory Committee audit (3) Caution that the supervisory would be likely to influence or to make a alternatives to a financial statement audit. committee will remain responsible for difference in the judgment and conduct of a A credit union which is not required fulfilling the scope of a supervisory reasonable person. Materiality should take to obtain a financial statement audit committee audit with respect to the into account ending balances as well as the volume of transactions in an account. may fulfill its supervisory committee excluded items. responsibility by obtaining an Other Typically, balances or transaction volume ■ 6. Add appendix A to part 715 to read greater than 5 percent of the credit union’s Supervisory Committee Audit. Such an as follows: net worth should be considered material for audit is one that is performed by the purposes of this appendix. Appendix A to Part 715—Supervisory supervisory committee, its internal • Review refers to the examination of auditor, or any other qualified person Committee Audit—Minimum Board minutes, policies and procedures, and (such as a certified public accountant, Procedures a review of a sample portion of activities, public accountant, league auditor, credit This appendix presents minimum rather than all of the activities. union auditor consultant, retired procedures which a supervisory committee, • Test refers to procedures applied to the financial institutions examiner, etc.) its internal auditor, or other qualified person individual items that compose an account that satisfies the minimum requirements must complete when a credit union chooses balance or class of transactions. The tests in appendix A of this part. Qualified the Other Supervisory Committee Audit involve confirmation, inspection, or persons who are not State-licensed option for completing its annual audit observation procedures to provide evidence cannot provide assurance services under requirements under § 715.7. about the recorded amount. The supervisory committee, internal this section. This option may not be adequate for all credit unions as it is designed for smaller, auditor, or other qualified person must ■ 5. Revise § 715.9(c)(3) and (6), (d), and less complex credit unions. The supervisory perform and document the following (e) to read as follows: committee, internal auditor, or other minimum procedures: qualified person may also need to perform • Review Board of Director minutes to § 715.9 Assistance from outside, additional procedures to supplement these determine whether there are any material compensated person. minimum procedures if the specific changes to the credit union’s activities or * * * * * circumstances of a particular credit union so condition that are relevant to the areas to (c) * * * dictate. The supervisory committee must be reviewed in the audit apply its judgment in determining the • (3) If an Other Supervisory Committee Test and confirm material asset and procedures necessary to meet audit liability accounts including, at a minimum: Audit, include an appendix setting forth requirements in this part. The supervisory Æ the procedures to be performed; Loans committee remains responsible to ensure that Æ Cash on deposit * * * * * a complete set of test procedures is Æ Investments (6) Specify a target date of delivery of performed. All test procedures will be done Æ Shares the written reports, so that such target using balances and samples for the Æ Borrowings date will enable the credit union to meet applicable audit period under review. • Test material equity, income, and expense Any time the test or confirmation its annual audit requirements in this accounts procedures include making a sample or • part; Test for unrecorded liabilities selection, the supervisory committee’s report, • Review key internal controls including, at * * * * * its internal auditor’s report, or other qualified a minimum: (d) Complete scope. If the engagement person’s report on minimum procedures Æ Bank reconciliation procedures is to perform an Other Supervisory should describe the method of selection and Æ Cash controls Committee Audit intended to fully meet the number of selected items. Æ Dormant account controls the requirements of § 715.7, the For purposes of this appendix, the Æ Wire and ACH transfer controls following definitions will apply: Æ Loan approval and disbursement engagement letter shall certify that the • Confirm or confirmation refers to a audit will address at least the minimum procedures written verification with a third-party Æ requirements in appendix A of this part. Controls over accounts of employees and (person or organization) pertaining to an officials (e) Exclusions from scope. If the account balance or condition. Examples of Æ Other real estate owned confirmation letters are bank/corporate credit engagement is to perform an Other Æ Foreclosed and repossessed assets union account confirmation, investment Supervisory Committee Audit which • Test the mathematical accuracy of the account confirmation, borrowing or line of will exclude any of the minimum allowance for loan and lease loss account credit confirmation, attorney letter requirements in appendix A of this part, and ensure the methodology is properly confirmation, and member share/loan the engagement letter shall: applied account confirmation. • Test loan delinquency and charge-offs (1) Identify the excluded items; • Materiality refers to a statement, fact or (2) State that, because of the item, which, giving full consideration to the [FR Doc. 2019–20822 Filed 10–4–19; 8:45 am] exclusion(s), the resulting audit will surrounding circumstances as they exist at BILLING CODE 7535–01–P

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DEPARTMENT OF HEALTH AND summaries of the basis of approval and for actions requiring review of safety or HUMAN SERVICES of environmental review documents, effectiveness data, summaries of the where applicable. The animal drug basis of approval (FOI Summaries) Food and Drug Administration regulations are also being amended to under the Freedom of Information Act make technical amendments to improve (FOIA). These public documents may be 21 CFR Parts 510, 520, 522, 526, 529, the accuracy of the regulations. seen in the office of the Dockets 556, and 558 DATES: This rule is effective October 7, Management Staff (HFA–305), Food and [Docket No. FDA–2019–N–0002] 2019. Drug Administration, 5630 Fishers FOR FURTHER INFORMATION CONTACT: Lane, Rm. 1061, Rockville, MD 20852, New Animal Drugs; Approval of New George K. Haibel, Center for Veterinary between 9 a.m. and 4 p.m., Monday Animal Drug Applications; Change of Medicine (CVM) (HFV–6), Food and through Friday. Persons with access to Sponsor’s Name and Address Drug Administration, 7500 Standish Pl., the internet may obtain these Rockville, MD 20855, 240–402–5689, AGENCY: Food and Drug Administration, documents at the CVM FOIA Electronic HHS. [email protected]. Reading Room: https://www.fda.gov/ ACTION: Final rule; technical SUPPLEMENTARY INFORMATION: AboutFDA/CentersOffices/ amendments. I. Approval Actions OfficeofFoods/CVM/ CVMFOIAElectronicReadingRoom/ SUMMARY: The Food and Drug FDA is amending the animal drug default.htm. Marketing exclusivity and regulations to reflect approval actions Administration (FDA or we) is patent information may be accessed in amending the animal drug regulations to for NADAs and ANADAs during April, FDA’s publication, Approved Animal reflect application-related actions for May, and June 2019, as listed in table 1. new animal drug applications (NADAs) In addition, FDA is informing the public Drug Products Online (Green Book) at: and abbreviated new animal drug of the availability, where applicable, of https://www.fda.gov/AnimalVeterinary/ applications (ANADAs) during April, documentation of environmental review Products/ May, and June 2019. FDA is informing required under the National ApprovedAnimalDrugProducts/ the public of the availability of Environmental Policy Act (NEPA) and, default.htm. TABLE 1—ORIGINAL AND SUPPLEMENTAL NADAS AND ANADAS APPROVED DURING APRIL, MAY, AND JUNE 2019

Public docu- Approval date File No. Sponsor Product name Species Effect of the action ments

April 11, 2019 .. 140–989 Syndel USA, 1441 W. PARASITE-S (for- Freshwater- Supplemental approval for the control of FOI Summary. Smith Rd., Fern- malin) Aqueous reared finfish. mortality in freshwater-reared finfish due to dale, WA 98248. Formaldehyde Solu- saprolegniasis associated with fungi in the tion. family Saprolegniaceae. May 6, 2019 ..... 141–288 Zoetis Inc., 333 Por- EXCENEL RTU EZ Cattle and Supplemental approval providing for an in- FOI Summary. tage St., Kala- (ceftiofur hydro- swine. crease in the maximum injection site vol- mazoo, MI 49007. chloride) Sterile ume in swine. Suspension. May 7, 2019 ..... 200–633 Pharmgate LLC, 1800 DERACIN (chlortetra- Swine ...... Original approval as a generic copy of NADA FOI Summary. Sir Tyler Dr., Wil- cycline) plus 141–011. mington, NC 28405. DENAGARD (tiamulin hydrogen fumarate) Type C medicated swine feeds. May 16, 2019 ... 200–598 Bimeda Animal Health ENROMED 100 Cattle and Original approval as a generic copy of NADA FOI Summary. Ltd., 1B The Her- (enrofloxacin) Anti- swine. 141–068. bert Building, The microbial Injectable Park, Carrickmines, Solution. Dublin, 18, Ireland. May 21, 2019 ... 141–512 Elanco US Inc. 2500 EXPERIOR Cattle ...... Original approval for beef steers and heifers FOI Summary. Innovation Way, (lubabegron), fed in confinement for slaughter during the Greenfield, IN RUMENSIN last 14 to 91 days on feed for reduction of 46140. (monensin), and ammonia gas emissions per pound of live TYLAN (tylosin weight and hot carcass weight; for reduc- phosphate) Type C tion of incidence of liver abscesses associ- medicated feeds. ated with Fusobacterium necrophorum and Arcanobacterium pyogenes; and for either improved feed efficiency or prevention and control of coccidiosis due to Eimeria bovis and E. zuernii. May 21, 2019 ... 141–514 Elanco US Inc. 2500 EXPERIOR Cattle ...... Original approval for beef steers and heifers FOI Summary. Innovation Way, (lubabegron) and fed in confinement for slaughter during the Greenfield, IN RUMENSIN last 14 to 91 days on feed for reduction of 46140. (monensin) Type C ammonia gas emissions per pound of live medicated feeds. weight and hot carcass weight; and for ei- ther improved feed efficiency or prevention and control of coccidiosis due to Eimeria bovis and E. zuernii. May 30, 2019 ... 200–573 Bimeda Animal Health OXYMED LA (oxytet- Cattle and Original approval as a generic copy of NADA FOI Summary. Ltd., 1B The Her- racycline injection). swine. 113–232. bert Building, The Park, Carrickmines, Dublin, 18, Ireland.

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II. Change of Sponsor’s Names and IV. Legal Authority 21 CFR Parts 520, 522, 526, and 529 Addresses This final rule is issued under section Animal drugs. Medicis Dermatologics, Inc., 8125 512(i) of the Federal Food, Drug, and North Hayden Rd., Scottsdale, AZ 85258 Cosmetic Act (the FD&C Act) (21 U.S.C. 21 CFR Part 556 has informed FDA that it has changed 360b(i)), which requires Federal its name and address to Bausch Health Register publication of ‘‘notice[s] . . . Animal drugs, Foods. US, LLC, 400 Somerset Corporate Blvd., effective as a regulation,’’ of the 21 CFR Part 558 Bridgewater, NJ 08807. Accordingly, we conditions of use of approved new are amending § 510.600(c) to reflect animal drugs. This rule sets forth Animal drugs, Animal feeds. these changes. technical amendments to the regulations Therefore, under the Federal Food, III. Technical Amendments to codify recent actions on approved Drug, and Cosmetic Act and under new animal drug applications and A section describing tolerances of authority delegated to the Commissioner corrections to improve the accuracy of of Food and Drugs, 21 CFR parts 510, hetacillin residues (21 CFR 556.316) has the regulations, and as such does not been added to subpart B of part 556. 520, 522, 526, 529, 556, and 558 are impose any burden on regulated amended as follows: This section cross-references the sole entities. hetacillin product approved for use in Although denominated a rule PART 510—NEW ANIMAL DRUGS food-producing animals, an pursuant to the FD&C Act, this intramammary infusion for use in document does not meet the definition ■ 1. The authority citation for part 510 lactating dairy cows (21 CFR 526.1130). of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because continues to read as follows: This new section codifies FDA’s finding it is a ‘‘rule of particular applicability.’’ at the time of product approval that, Therefore, it is not subject to the Authority: 21 U.S.C. 321, 331, 351, 352, because hetacillin is rapidly hydrolyzed congressional review requirements in 5 353, 360b, 371, 379e. to ampicillin, existing ampicillin U.S.C. 801–808. Likewise, this is not a tolerances provide appropriate rule subject to Executive Order 12866, ■ 2. In § 510.600, in the table in tolerances for hetacillin in edible tissues which defines a rule as ‘‘an agency paragraph (c)(1), remove the entry for of cattle (38 FR 31172, November 12, statement of general applicability and ‘‘Medicis Dermatologics, Inc.’’ and add 1973). This amendment is being made to future effect, which the agency intends an entry in alphabetic order for ‘‘Bausch make the regulations more to have the force and effect of law, that Health US, LLC’’; and in the table in comprehensive. is designed to implement, interpret, or paragraph (c)(2), revise the entry for FDA is also revising the regulations to prescribe law or policy or to describe ‘‘099207’’. reflect the approved conditions of use of sulfaquinoxaline soluble powder as a the procedure or practice requirements The addition and revision read as veterinary prescription product for oral of an agency.’’ follows: administration to cattle as a drench. List of Subjects § 510.600 Names, addresses, and drug Finally, we are also revising the 21 CFR Part 510 labeler codes of sponsors of approved regulations for use of monensin in applications. medicated goat feed to reflect the Administrative practice and * * * * * approved incorporation level. These procedure, Animal drugs, Labeling, actions are being taken to improve the Reporting and recordkeeping (c) * * * accuracy of the regulations. requirements. (1) * * *

Drug labeler Firm name and address code

******* Bausch Health US, LLC, 400 Somerset Corporate Blvd., Bridgewater, NJ 08807 ...... 099207

*******

(2) * * *

Drug labeler code Firm name and address

******* 099207 ...... Bausch Health US, LLC, 400 Somerset Corporate Blvd., Bridgewater, NJ 08807.

PART 520—ORAL DOSAGE FORM § 520.812 [Amended] § 520.2325b Sulfaquinoxaline drench. NEW ANIMAL DRUGS * * * * * ■ 4. In § 520.812, in paragraph (a)(1)(i), remove ‘‘2.7’’ and in its place add (d) * * * ■ 3. The authority citation for part 520 ‘‘22.7’’. (3) Limitations. Not for use in continues to read as follows: lactating dairy cattle. A withdrawal ■ 5. In § 520.2325b, revise paragraph Authority: 21 U.S.C. 360b. period has not been established for this (d)(3) to read as follows: product in preruminating calves. Do not use in calves to be processed for veal.

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Federal law restricts this drug to use by (2) Nos. 000859, 055529, and 061133 saprolegniasis associated with fungi in or on the order of a licensed for use of product described in the family Saprolegniaceae. veterinarian. paragraph (a)(2) as in paragraphs (e)(2) (2) * * * and (3) of this section. (iv) For the control of mortality in PART 522—IMPLANTATION OR * * * * * INJECTABLE DOSAGE FORM NEW freshwater-reared finfish due to ANIMAL DRUGS PART 526—INTRAMAMMARY DOSAGE saprolegniasis associated with fungi in FORM NEW ANIMAL DRUGS the family Saprolegniaceae: In tanks and ■ 6. The authority citation for part 522 raceways, administer 150 mL/L (ppm) continues to read as follows: ■ 9. The authority citation for part 526 for 60 minutes per day on alternate days Authority: 21 U.S.C. 360b. continues to read as follows: for three treatments. ■ 7. In § 522.313b, revise paragraphs Authority: 21 U.S.C. 360b. * * * * * (a)(2) and (e)(1)(iii) to read as follows: ■ 10. In § 526.1130, revise the section PART 556—TOLERANCES FOR § 522.313b Ceftiofur hydrochloride. heading, redesignate paragraph (c) as RESIDUES OF NEW ANIMAL DRUGS paragraph (d), and add new paragraph IN FOOD (a) * * * (c). (2) Ceftiofur hydrochloride equivalent The revision and addition read as ■ to 50 mg ceftiofur equivalents in the follows: 13. The authority citation for part 556 inactive vehicles polyoxyethylene continues to read as follows: sorbitan monooleate (polysorbate 80) in § 526.1130 Hetacillin. Authority: 21 U.S.C. 342, 360b, 371. a caprylic/capric triglyceride * * * * * suspension; or (c) Related tolerances. See § 556.316 ■ 14. Add § 556.316 to read as follows: * * * * * of this chapter. § 556.316 Hetacillin. (e) * * * * * * * * (1) * * * (a) [Reserved] (iii) Limitations. For products PART 529—CERTAIN OTHER DOSAGE (b) Tolerances. The tolerances for described in paragraphs (a)(1) and (3) of FORM NEW ANIMAL DRUGS ampicillin (marker residue for this section: Treated swine must not be hetacillin) are: slaughtered for 4 days following the last ■ 11. The authority citation for part 529 treatment. For products described in continues to read as follows: (1) Cattle. Edible tissues: 0.01 ppm. paragraph (a)(2) of this section: Treated Authority: 21 U.S.C. 360b. (2) [Reserved] swine must not be slaughtered for 6 ■ 12. In § 529.1030, revise paragraph (b) (c) Related conditions of use. See days following the last treatment when and add paragraphs (d)(1)(iv) and § 526.1130 of this chapter. injection site volumes are greater than 5 (d)(2)(iv) to read as follows: mL up to the maximum injection site PART 558—NEW ANIMAL DRUGS FOR volume of 15 mL. Treated swine must § 529.1030 Formalin. USE IN ANIMAL FEEDS not be slaughtered for 4 days when * * * * * injection site volumes are less than or (b) Sponsors. See sponsors in ■ 15. The authority citation for part 558 equal to 5 mL. § 510.600(c) of this chapter for uses as continues to read as follows: * * * * * in paragraph (d) of this section. Authority: 21 U.S.C. 354, 360b, 360ccc, ■ 8. In § 522.812, revise paragraphs (1) No. 050378 for use as in paragraph 360ccc–1, 371. (b)(1) and (2) to read as follows: (d) of this section. (2) Nos. 049968 and 067188 for use as ■ 16. In § 558.4, in paragraph (d), in the § 522.812 Enrofloxacin. in paragraphs (d)(1)(i), (ii), and (iii), ‘‘Category II’’ table, revise the row entry * * * * * (d)(2)(i), (ii), and (iii), and (d)(3) of this for ‘‘Tilmicosin’’ to read as follows: (b) * * * section. (1) Nos. 000859, 026637, and 055529 (d) * * * § 558.4 Requirement of a medicated feed mill license. for use of product described in (1) * * * paragraph (a)(1) as in paragraph (e)(1); (iv) Freshwater-reared finfish. For the * * * * * and control of mortality due to (d) * * *

CATEGORY II

Assay limits Drug percent 1 Type Type B maximum (100x) Assay limits percent 1 Type B/C 2 A

******* Tilmicosin ...... 90–110 37.9 g/lb (8.35%) ...... Swine Type B/C feed: 85–115 Cattle Type B feed: 85–115 Cattle Type C feed: 80–110

*******

* * * * * § 558.330 Lubabegron. (d) Conditions of use—(1) It is used in cattle feed as follows: ■ 17. In § 558.330, revise paragraph (d) * * * * * to read as follows:

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Lubabegron fu- marate in Combination in Indications for use Limitations Sponsor grams/ton grams/ton

(i) 1.25 to 4.54 ...... Beef steers and heifers fed in Feed continuously as the sole ration to provide 13 to 90 mg 058198 confinement for slaughter: lubabegron/head/day during the last 14 to 91 days on For reduction of ammonia feed. A decrease in dry matter intake may be noticed in gas emissions per pound of some animals receiving lubabegron. Not approved for use live weight and hot carcass in breeding animals because safety and effectiveness weight during the last 14 to have not been evaluated in these animals. Do not allow 91 days on feed. horses or other equines access to feed containing lubabegron. (ii) 1.25 to 4.54 Monensin, 5 to Beef steers and heifers fed in Feed continuously as the sole ration to provide 13 to 90 mg 058198 40. confinement for slaughter: lubabegron/head/day and 50 to 480 mg monensin/head/ For reduction of ammonia day during the last 14 to 91 days on feed. No additional gas emissions per pound of improvement in feed efficiency has been shown from live weight and hot carcass feeding monensin at levels greater than 30 g/ton (360 mg weight and for improved monensin/head/day. A decrease in dry matter intake may feed efficiency during the be noticed in some animals receiving lubabegron. last 14 to 91 days on feed. Lubabegron has not been approved for use in breeding animals because safety and effectiveness have not been evaluated in these animals. Do not allow horses or other equines access to feed containing lubabegron and monensin. Ingestion of monensin by horses has been fatal. Monensin medicated cattle and goat feeds are safe for use in cattle and goats only. Consumption by unap- proved species may result in toxic reactions. Feeding un- diluted or mixing errors resulting in high concentrations of monensin has been fatal to cattle and could be fatal to goats. Must be thoroughly mixed in feeds before use. Do not exceed the levels of monensin recommended in the feeding directions, as reduced average daily gains may result. If feed refusals containing monensin are fed to other groups of cattle, the concentration of monensin in the refusals and amount of refusals fed should be taken into consideration to prevent monensin overdosing. A withdrawal period has not been established for this prod- uct for preruminating calves. Do not use in calves to be processed for veal. (iii) 1.25 to Monensin, 10 Beef steers and heifers fed in Feed continuously as the sole ration to provide 13 to 90 mg 058198 4.54. to 40. confinement for slaughter: lubabegron/head/day and 0.14 to 0.42 mg monensin/lb For reduction of ammonia body weight per day, depending upon severity of coccidi- gas emissions per pound of osis challenge, during the last 14 to 91 days on feed. A live weight and hot carcass decrease in dry matter intake may be noticed in some weight; and for prevention animals receiving lubabegron. Lubabegron has not been and control of coccidiosis approved for use in breeding animals because safety and due to Eimeria bovis and E. effectiveness have not been evaluated in these animals. zuernii during the last 14 to Do not allow horses or other equines access to feed con- 91 days on feed. taining lubabegron and monensin. Ingestion of monensin by horses has been fatal. Monensin medicated cattle and goat feeds are safe for use in cattle and goats only. Con- sumption by unapproved species may result in toxic reac- tions. Feeding undiluted or mixing errors resulting in high concentrations of monensin has been fatal to cattle and could be fatal to goats. Must be thoroughly mixed in feeds before use. Do not exceed the levels of monensin recommended in the feeding directions, as reduced aver- age daily gains may result. If feed refusals containing monensin are fed to other groups of cattle, the concentra- tion of monensin in the refusals and amount of refusals fed should be taken into consideration to prevent monensin overdosing. A withdrawal period has not been established for this product for preruminating calves. Do not use in calves to be processed for veal.

(2) Lubabegron may also be used in paragraphs (f)(7)(iv) through (xi) as (7) * * * combination with: paragraphs (f)(7)(v) through (xii) and (iv) Lubabegron as in § 558.330. (i) Tylosin as in § 558.625. add new paragraph (f)(7)(iv). * * * * * (ii) [Reserved] The addition reads as follows: ■ 19. In § 558.625, redesignate ■ 18. In § 558.355, in paragraph (f)(6)(i), paragraphs (e)(2)(vii) through (xv) as § 558.355 Monensin. in the ‘‘Monensin in grams/ton’’ paragraphs (e)(2)(ix) through (xvii), and column, remove ‘‘5 to 40’’ and in its * * * * * add new paragraphs (e)(2)(vii) and (viii). place add ‘‘20’’; and redesignate (f) * * * The additions read as follows:

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§ 558.625 Tylosin. (e) * * * * * * * * (2) * * *

Tylosin grams/ Combination in ton grams/ton Indications for use Limitations Sponsor

******* (vii) 8 to 10 ..... Monensin, 5 to Beef steers and heifers fed in Feed continuously as sole ration to provide 13 to 90 mg 058198 40 plus confinement for slaughter: lubabegron/head/day, 50 to 480 mg monensin/head/day, lubabegron For reduction of ammonia and 60 to 90 mg tylosin/head/day during the last 14 to 91 fumarate, gas emissions per pound of days on feed. No additional improvement in feed effi- 1.25 to 4.54. live weight and hot carcass ciency has been shown from feeding monensin at levels weight; for reduction of inci- greater than 30 g/ton (360 mg monensin/head/day. A de- dence of liver abscesses crease in dry matter intake may be noticed in some ani- associated with mals receiving lubabegron. Lubabegron has not been ap- Fusobacterium proved for use in breeding animals because safety and necrophorum and effectiveness have not been evaluated in these animals. Arcanobacterium pyogenes, Do not allow horses or other equines access to feed con- and for improved feed effi- taining lubabegron and monensin. Ingestion of monensin ciency during the last 14 to by horses has been fatal. Monensin medicated cattle and 91 days on feed. goat feeds are safe for use in cattle and goats only. Con- sumption by unapproved species may result in toxic reac- tions. Feeding undiluted or mixing errors resulting in high concentrations of monensin has been fatal to cattle and could be fatal to goats. Must be thoroughly mixed in feeds before use. Do not exceed the levels of monensin recommended in the feeding directions, as reduced aver- age daily gains may result. If feed refusals containing monensin are fed to other groups of cattle, the concentra- tion of monensin in the refusals and amount of refusals fed should be taken into consideration to prevent monensin overdosing. A withdrawal period has not been established for this product for preruminating calves. Do not use in calves to be processed for veal. (viii) 8 to 10 .... Monensin, 10 Beef steers and heifers fed in Feed continuously as sole ration to provide 13 to 90 mg 058198 to 40 plus confinement for slaughter: lubabegron/head/day, 0.14 to 0.42 mg monensin/lb body lubabegron For reduction of ammonia weight per day, depending upon severity of coccidiosis fumarate, gas emissions per pound of challenge, up to 480 mg/head/day, and 60 to 90 mg 1.25 to 4.54. live weight and hot carcass tylosin/head/day during the last 14 to 91 days on feed. A weight, for reduction of inci- decrease in dry matter intake may be noticed in some dence of liver abscesses animals receiving lubabegron. Lubabegron has not been associated with approved for use in breeding animals because safety and Fusobacterium effectiveness have not been evaluated in these animals. necrophorum and Do not allow horses or other equines access to feed con- Arcanobacterium pyogenes, taining lubabegron and monensin. Ingestion of monensin and for prevention and con- by horses has been fatal. Monensin medicated cattle and trol of coccidiosis due to goat feeds are safe for use in cattle and goats only. Con- Eimeria bovis and E. sumption by unapproved species may result in toxic reac- zuernii during the last 14 to tions. Feeding undiluted or mixing errors resulting in high 91 days on feed. concentrations of monensin has been fatal to cattle and could be fatal to goats. Must be thoroughly mixed in feeds before use. Do not exceed the levels of monensin recommended in the feeding directions, as reduced aver- age daily gains may result. If feed refusals containing monensin are fed to other groups of cattle, the concentra- tion of monensin in the refusals and amount of refusals fed should be taken into consideration to prevent monensin overdosing. A withdrawal period has not been established for this product for preruminating calves. Do not use in calves to be processed for veal.

*******

Dated: September 27, 2019. Lowell J. Schiller, Principal Associate Commissioner for Policy. [FR Doc. 2019–21514 Filed 10–4–19; 8:45 am] BILLING CODE 4164–01–P

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DEPARTMENT OF HOMELAND notice and opportunity to comment Persons and vessels may request SECURITY pursuant to authority under section 4(a) authorization to enter, transit through, of the Administrative Procedure Act anchor in, or remain within the Coast Guard (APA) (5 U.S.C. 553(b)). This provision regulated area by contacting the COTP authorizes an agency to issue a rule St. Petersburg by telephone at (727) 33 CFR Part 100 without prior notice and opportunity to 824–7506, or a designated [Docket Number USCG–2019–0602] comment when the agency for good representative via VHF radio on channel cause finds that those procedures are 16. If authorization to enter, transit RIN 1625–AA08 ‘‘impracticable, unnecessary, or contrary through, anchor in, or remain within the to the public interest.’’ Under 5 U.S.C. regulated area is granted by the COTP Special Local Regulation; Gulf of 553(b)(B), the Coast Guard finds that St. Petersburg or a designated Mexico, Fort Myers Beach, FL good cause exists for not publishing a representative, all persons and vessels AGENCY: Coast Guard, DHS. notice of proposed rulemaking (NPRM) receiving such authorization must ACTION: Temporary final rule. with respect to this rule because it is comply with the instructions of the impracticable. There is insufficient time COTP St. Petersburg or a designated SUMMARY: The Coast Guard is to publish an NPRM and receive public representative. The Coast Guard will establishing a temporary special local comment as the Roar Offshore event provide notice of the special local regulation (SLR) for certain waters of the will occur before the rulemaking regulation by Local Notice to Mariners, Gulf of Mexico adjacent to Fort Myers process can be reasonably completed. Broadcast Notice to Mariners, and/or Beach, FL. This action is necessary to Because of the dangers associated with on-scene designated representatives. provide for the safety of race high speed boat races, this regulation is V. Regulatory Analyses participants, participant vessels, necessary to provide for the safety of spectators, and the general public on event participants, spectators, and We developed this rule after these navigable waters near Fort Myers vessels transiting the event area. For considering numerous statutes and Beach during the Roar Offshore boat those reasons, it would be impracticable Executive orders related to rulemaking. race. This SLR establishes an to publish an NPRM. Below we summarize our analyses enforcement area where all persons and based on a number of these statutes and Under 5 U.S.C. 553(d)(3), the Coast vessels, except those persons and executive orders, and we discuss First Guard finds that good cause exists for vessels participating in the high speed Amendment rights of protestors. making this rule effective less than 30 boat race, are prohibited from entering, days after publication in the Federal A. Regulatory Planning and Review transiting through, anchoring in, or Register. Delaying the effective date of remaining within the regulated area Executive Orders 12866 and 13563 this rule would be impracticable without obtaining permission from the direct agencies to assess the costs and because prompt action is needed to Captain of the Port St. Petersburg or a benefits of available regulatory designated representative. ensure the safety of safety of race alternatives and, if regulation is participants, participant vessels, DATES: necessary, to select regulatory This rule is effective daily from spectators, and the general public. 9:30 a.m. until 5:30 p.m., on October 10, approaches that maximize net benefits. 2019 through October 12, 2019. III. Legal Authority and Need for Rule Executive Order 13771 directs agencies to control regulatory costs through a ADDRESSES: To view documents The Coast Guard is issuing this rule budgeting process. This rule has not mentioned in this preamble as being under authority in 46 U.S.C. 70041 been designated a ‘‘significant available in the docket, go to http:// (previously 33 U.S.C. 1231). The regulatory action,’’ under Executive www.regulations.gov, type USCG–2019– purpose of the rule is to provide for the Order 12866. Accordingly, this rule has 0602 in the ‘‘SEARCH’’ box and click safety of life on navigable waters of the not been reviewed by the Office of ‘‘SEARCH.’’ Click on Open Docket United States during the Roar Offshore Management and Budget (OMB), and Folder on the line associated with this High Speed Boat Race. pursuant to OMB guidance it is exempt rule. from the requirements of Executive FOR FURTHER INFORMATION CONTACT: IV. Discussion of the Rule If Order 13771. you have questions on this rule, call or This rule establishes a special local This regulatory action determination email Marine Science Technician First regulation daily from 9:30 a.m. until is based on the following reasons: (1) Class Michael Shackleford, Sector St. 5:30 p.m., on October 10, 2019 through The special local regulation would be Petersburg Prevention Department, October 12, 2019. The special local enforced in a small designated area off Coast Guard; telephone (813) 228–2191, regulation would establish an of Fort Myers Beach for only eight hours email [email protected]. enforcement area where designated on three consecutive days; (2) although SUPPLEMENTARY INFORMATION: representatives may control vessel persons and vessels may not enter, I. Table of Abbreviations traffic as determined by the prevailing transit through, anchor in, or remain conditions. The enforcement area would within the regulated area without CFR Code of Federal Regulations cover all navigable waters in the Gulf of authorization from the COTP St. DHS Department of Homeland Security Mexico west of Fort Myers Beach inside Petersburg or a designated FR Federal Register a rectangle commencing at latitude representative, they may operate in the NPRM Notice of proposed rulemaking 26°26′27″ N, 081°55′55″ W, thence to surrounding area during the Pub. L. Public Law position 26°25′33″ N, 081°56′34″ W, enforcement period; (3) persons and § Section thence to position 26°26′38″ N, vessels may still enter, transit through, U.S.C. United States Code ° ′ ″ COTP Captain of the Port 081 58 40 W, thence to position anchor in, or remain within the 26°27′25″ N, 081°58′8″ W, thence to the regulated area or anchor in the spectator II. Background Information and original position at 26°26′27″ N, area, during the enforcement period if Regulatory History 081°55′55″ W. These coordinates are authorized by the COTP St. Petersburg The Coast Guard is establishing this based on North American Datum 83 or a designated representative; and, (4) special local regulation without prior (NAD 83). the Coast Guard will provide advance

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notification of the special local D. Federalism and Indian Tribal G. Protest Activities regulation to the local maritime Governments The Coast Guard respects the First community by Local Notice to Mariners A rule has implications for federalism Amendment rights of protesters. and/or Broadcast Notice to Mariners via under Executive Order 13132, Protesters are asked to contact the VHF radio on channel 16. Federalism, if it has a substantial direct person listed in the FOR FURTHER B. Impact on Small Entities effect on the States, on the relationship INFORMATION CONTACT section to between the national government and coordinate protest activities so that your The Regulatory Flexibility Act of the States, or on the distribution of message can be received without 1980, 5 U.S.C. 601–612, as amended, power and responsibilities among the jeopardizing the safety or security of requires federal agencies to consider the various levels of government. We have people, places, or vessels. analyzed this rule under that Order and potential impact of regulations on small List of Subjects in 33 CFR Part 100 entities during rulemaking. The term have determined that it is consistent ‘‘small entities’’ comprises small with the fundamental federalism Marine safety, Navigation (water), businesses, not-for-profit organizations principles and preemption requirements Reporting and recordkeeping that are independently owned and described in Executive Order 13132. requirements, Waterways. operated and are not dominant in their Also, this rule does not have tribal For the reasons discussed in the fields, and governmental jurisdictions implications under Executive Order preamble, the Coast Guard amends 33 with populations of less than 50,000. 13175, Consultation and Coordination CFR part 100 as follows: The Coast Guard certifies under 5 U.S.C. with Indian Tribal Governments, because it would not have a substantial PART 100—SAFETY OF LIFE ON 605(b) that this rule would not have a NAVIGABLE WATERS significant economic impact on a direct effect on one or more Indian tribes, on the relationship between the substantial number of small entities. ■ Federal Government and Indian tribes, 1. The authority citation for part 100 While some owners or operators of or on the distribution of power and continues to read as follows: vessels intending to transit the safety responsibilities between the Federal Authority: 46 U.S.C. 70041; 33 CFR 1.05– zone may be small entities, for the Government and Indian tribes. If you 1. reasons stated in section V.A above, this believe this rule has implications for ■ 2. Add § 100.T07–0602 to read as rule will not have a significant federalism or Indian tribes, please follows: economic impact on any vessel owner contact the person listed in the FOR or operator. FURTHER INFORMATION CONTACT section § 100.T07–0602 Gulf of Mexico, Fort Myers Beach, FL. Under section 213(a) of the Small above. (a) Regulated area. The regulations in Business Regulatory Enforcement E. Unfunded Mandates Reform Act Fairness Act of 1996 (Pub. L. 104–121), this section apply to the following area: All waters of the Gulf of Mexico west of we want to assist small entities in The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531–1538) requires Fort Myers Beach contained within the understanding this rule. If the rule federal agencies to assess the effects of following points: 26°26′27″ N, would affect your small business, their discretionary regulatory actions. In 081°55′55″ W, thence to position organization, or governmental particular, the Act addresses actions 26°25′33″ N, longitude 081°56′34″ W, jurisdiction and you have questions that may result in the expenditure by a thence to position 26°26′38″ N, concerning its provisions or options for State, local, or tribal government, in the 081°58′40″ W, thence to position compliance, please contact the person aggregate, or by the private sector of 26°27′25″ N, 081°58′8″ W, thence back listed in the FOR FURTHER INFORMATION $100,000,000 (adjusted for inflation) or to the original position 26°26′27″ N, CONTACT section. more in any one year. Though this rule 081°55′55″ W. All coordinates are North Small businesses may send comments would not result in such expenditure, American Datum 1983. on the actions of federal employees who we do discuss the effects of this rule (b) Definitions. As used in this enforce, or otherwise determine elsewhere in this preamble. section: (1) Captain of the Port (COTP) St. compliance with, federal regulations to F. Environment the Small Business and Agriculture Petersburg means the Commander, U.S. Regulatory Enforcement Ombudsman We have analyzed this rule under Coast Guard Sector St. Petersburg or any and the Regional Small Business Department of Homeland Security Coast Guard commissioned, warrant or Regulatory Fairness Boards. The Management Directive 023–01 and petty officer who has been authorized Ombudsman evaluates these actions Environmental Planning COMDTINST by the COTP to act on his behalf. annually and rates each agency’s 5090.1 (series), which guide the Coast (2) Designated Representative means responsiveness to small business. If you Guard in complying with the National Coast Guard Patrol Commanders, wish to comment on actions by Environmental Policy Act of 1969 (42 including Coast Guard coxswains, petty U.S.C. 4321–4370f), and have made a employees of the Coast Guard, call 1– officers, and other officers operating determination that this action is one of Coast Guard vessels, and Federal, state, 888–REG–FAIR (1–888–734–3247). The a category of actions that do not and local officers designated by or Coast Guard will not retaliate against individually or cumulatively have a assisting the COTP St. Petersburg in the small entities that question or complain significant effect on the human enforcement of the regulated areas. about this rule or any policy or action environment. This rule involves a (3) Particpant means all persons and of the Coast Guard. special local regulation issued in vessels registered with the event C. Collection of Information conjunction with a regatta or marine sponsor as a participant in the event. parade. It is categorically excluded from (c) Regulations. (1) All non- This rule will not call for a new further review under paragraph L61 in participant persons and vessels are collection of information under the Table 3–1 of U.S. Coast Guard prohibited from entering transiting Paperwork Reduction Act of 1995 (44 Environmental Planning Implementing through, anchoring in, or remaining U.S.C. 3501–3520). Procedures 5090.1. within the race area described in

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paragraph (a) of this section unless Regulatory Public Docket (OPP Docket) objections. You must file your objection authorized by the COTP St. Petersburg in the Environmental Protection Agency or request a hearing on this regulation or a designated representative. Docket Center (EPA/DC), West William in accordance with the instructions (2) Designated representatives may Jefferson Clinton Bldg., Rm. 3334, 1301 provided in 40 CFR part 178. To ensure control vessel traffic throughout the Constitution Ave. NW, Washington, DC proper receipt by EPA, you must enforcement area as determined by the 20460–0001. The Public Reading Room identify docket ID number EPA–HQ– prevailing conditions. is open from 8:30 a.m. to 4:30 p.m., OPP–2018–0286 in the subject line on (3) Persons and vessels may request Monday through Friday, excluding legal the first page of your submission. All authorization to enter, transit through, holidays. The telephone number for the objections and requests for a hearing anchor in, or remain within the Public Reading Room is (202) 566–1744, must be in writing and must be received regulated areas by contacting the COTP and the telephone number for the OPP by the Hearing Clerk on or before St. Petersburg by telephone at (727) Docket is (703) 305–5805. Please review December 6, 2019. Addresses for mail 824–7506, or a designated the visitor instructions and additional and hand delivery of objections and representative via VHF radio on channel information about the docket available hearing requests are provided in 40 CFR 16. If authorization is granted, all at http://www.epa.gov/dockets. 178.25(b). persons and vessels receiving such FOR FURTHER INFORMATION CONTACT: In addition to filing an objection or authorization must comply with the Michael Goodis, Registration Division hearing request with the Hearing Clerk instructions of the COTP St. Petersburg (7505P), Office of Pesticide Programs, as described in 40 CFR part 178, please or a designated representative. Environmental Protection Agency, 1200 submit a copy of the filing (excluding (4) The Coast Guard will provide Pennsylvania Ave. NW, Washington, DC any Confidential Business Information notice of the regulated area by Local 20460–0001; main telephone number: (CBI)) for inclusion in the public docket. Notice to Mariners and/or Broadcast (703) 305–7090; email address: Information not marked confidential Notice to Mariners. [email protected]. pursuant to 40 CFR part 2 may be (d) Enforcement period. This section disclosed publicly by EPA without prior will be enforced daily from 9:30 a.m. SUPPLEMENTARY INFORMATION: notice. Submit the non-CBI copy of your until 5:30 p.m., on October 10, 2019, I. General Information objection or hearing request, identified through October 12, 2019. by docket ID number EPA–HQ–OPP– A. Does this action apply to me? 2018–0286, by one of the following Dated: September 27, 2019. You may be potentially affected by methods: Matthew A. Thompson • this action if you are an agricultural Federal eRulemaking Portal: http:// Captain, U.S. Coast Guard, Captain of the www.regulations.gov. Follow the online Port Saint Petersburg. producer, food manufacturer, or pesticide manufacturer. The following instructions for submitting comments. [FR Doc. 2019–21527 Filed 10–4–19; 8:45 am] list of North American Industrial Do not submit electronically any BILLING CODE 9110–04–P Classification System (NAICS) codes is information you consider to be CBI or not intended to be exhaustive, but rather other information whose disclosure is provides a guide to help readers restricted by statute. • ENVIRONMENTAL PROTECTION determine whether this document Mail: OPP Docket, Environmental AGENCY applies to them. Potentially affected Protection Agency Docket Center (EPA/ entities may include: DC), (28221T), 1200 Pennsylvania Ave. 40 CFR Part 180 • NW, Washington, DC 20460–0001. Crop production (NAICS code 111). • [EPA–HQ–OPP–2018–0286; FRL–9999–57] • Animal production (NAICS code Hand Delivery: To make special 112). arrangements for hand delivery or Cyromazine; Pesticide Tolerances • Food manufacturing (NAICS code delivery of boxed information, please 311). follow the instructions at https:// AGENCY: Environmental Protection • Pesticide manufacturing (NAICS www.epa.gov/dockets/where-send- Agency (EPA). code 32532). comments-epa-dockets. Additional ACTION: Final rule. instructions on commenting or visiting B. How can I get electronic access to the docket, along with more information SUMMARY: This regulation establishes other related information? about dockets generally, is available at tolerances for residues of cyromazine in You may access a frequently updated http://www.epa.gov/dockets. or on multiple commodities which are electronic version of EPA’s tolerance identified and discussed later in this II. Summary of Petitioned-For regulations at 40 CFR part 180 through document. The Interregional Research Tolerance the Government Publishing Office’s e- Project Number 4 (IR–4) requested these CFR site at http://www.ecfr.gov/cgi-bin/ In the Federal Register of July 24, tolerances under the Federal Food, text-idx?&c=ecfr&tpl=/ecfrbrowse/ 2018 (83 FR 34968) (FRL–9980–31), Drug, and Cosmetic Act (FFDCA). Title40/40tab_02.tpl. To access the EPA issued a document pursuant to DATES: This regulation is effective OCSPP test guidelines referenced in this FFDCA section 408(d)(3), 21 U.S.C. October 7, 2019. Objections and document electronically, please go to 346a(d)(3), announcing the filing of a requests for hearings must be received https://www.epa.gov/aboutepa/about- pesticide petition (PP 8E8673) by The on or before December 6, 2019, and office-chemical-safety-and-pollution- Interregional Research Project Number 4 must be filed in accordance with the prevention-ocspp and select ‘‘Test (IR–4), Rutgers, The State University of instructions provided in 40 CFR part Methods and Guidelines.’’ New Jersey, 500 College Road East, 178 (see also Unit I.C. of the Suite 201 W, Princeton, NJ 08540. The SUPPLEMENTARY INFORMATION). C. How can I file an objection or hearing petition requested that 40 CFR 180.414 ADDRESSES: The docket for this action, request? be amended by establishing tolerances identified by docket identification (ID) Under FFDCA section 408(g), 21 for residues of the insecticide number EPA–HQ–OPP–2018–0286, is U.S.C. 346a, any person may file an cyromazine, N-cyclopropyl-1,3,5- available at http://www.regulations.gov objection to any aspect of this regulation triazine-2,4,6-triamine, in or on or at the Office of Pesticide Programs and may also request a hearing on those Brassica, leafy greens, subgroup 4–16B

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at 10.0 parts per million (ppm); Celtuce III. Aggregate Risk Assessment and 21-day dermal toxicity studies in at 7.0 ppm; Chickpea, edible podded at Determination of Safety rabbits. In a 28-day inhalation study in 0.4 ppm; Chickpea, succulent shelled at Section 408(b)(2)(A)(i) of FFDCA rats, cyromazine produced clinical signs 0.3 ppm; Dwarf pea, edible podded at allows EPA to establish a tolerance (the of toxicity (hunched posture, 0.4 ppm; Edible podded pea, edible legal limit for a pesticide chemical piloerection, and reduced spontaneous podded at 0.4 ppm; English pea, residue in or on a food) only if EPA activity) consistent with dyspnea at all succulent shelled at 0.3 ppm; Florence determines that the tolerance is ‘‘safe.’’ concentrations tested. An acute fennel at 7.0 ppm; Garden pea, Section 408(b)(2)(A)(ii) of FFDCA neurotoxicity study demonstrated reduced motor activity as the main succulent shelled at 0.3 ppm; Grass-pea, defines ‘‘safe’’ to mean that ‘‘there is a effect with no treatment-related effects edible podded at 0.4 ppm; Green pea, reasonable certainty that no harm will on mortality, brain weight, or gross and edible podded at 0.4 ppm; Green pea, result from aggregate exposure to the histologic pathology or neuropathology succulent shelled at 0.3 ppm; Kohlrabi pesticide chemical residue, including at 10.0 ppm; Leaf petiole subgroup 22B up to the limit dose tested. all anticipated dietary exposures and all There is no evidence of at 7.0 ppm; Leafy green subgroup 4–16A other exposures for which there is at 7.0 ppm; Lentil, edible podded at 0.4 developmental toxicity following in reliable information.’’ This includes utero exposures or that offspring are ppm; Lentil, succulent shelled at 0.3 exposure through drinking water and in ppm; Onion, bulb, subgroup 3–07A at more susceptible following postnatal residential settings but does not include exposure. In the 2-generation 0.2 ppm; Onion, green, subgroup 3–07B occupational exposure. Section at 3.0 ppm; Pepper/eggplant 8–10B at reproduction study in rats no 408(b)(2)(C) of FFDCA requires EPA to reproductive effects were observed. The 1.0 ppm; Pigeon pea, edible podded at give special consideration to exposure available oral perinatal, prenatal and 0.4 ppm; Pigeon pea, succulent shelled of infants and children to the pesticide postnatal data demonstrated no at 0.3 ppm; Snap pea, edible podded at chemical residue in establishing a indication of increased sensitivity of 0.4 ppm; Snow pea, edible podded at tolerance and to ‘‘ensure that there is a rats or rabbits to in utero exposure to 0.4 ppm; Sugar snap pea, edible podded reasonable certainty that no harm will cyromazine. No quantitative or at 0.4 ppm; Tomato subgroup 8–10A at result to infants and children from qualitative susceptibility was observed 1.0 ppm; Vegetable, brassica, head and aggregate exposure to the pesticide in any study. In the prenatal stem, group 5–16, except broccoli at chemical residue. . . .’’ developmental rat toxicity study, the 10.0 ppm; and Vegetable, tuberous and Consistent with FFDCA section NOAEL (300 mg/kg/day) for corm, subgroup 1C at 0.8 ppm. 408(b)(2)(D), and the factors specified in developmental effects (increased Upon establishing those tolerances, FFDCA section 408(b)(2)(D), EPA has incidence of minor skeletal variations) the petition also proposed to remove reviewed the available scientific data was higher than the maternal NOAEL existing tolerances for residues of and other relevant information in (100 mg/kg/day). In the developmental cyromazine (N-cyclopropyl-1,3,5- support of this action. EPA has toxicity study in rabbits, no evidence of triazine-2,4,6-triamine) in or on cabbage, sufficient data to assess the hazards of, developmental toxicity was noted since abyssinian at 10.0 ppm; cabbage, seakale and to make a determination on, the NOAEL was the highest dose tested at 10.0 ppm; garlic at 0.2 ppm; garlic, aggregate exposure for cyromazine (60 mg/kg/day). In the 2-generation great-headed, bulb at 0.2 ppm; Hanover including exposure resulting from the reproduction rat study, no reproductive salad, leaves at 10.0 ppm; leek at 3.0 tolerances established by this action. effects were observed up to the highest ppm; onion, bulb at 0.2 ppm; onion, EPA’s assessment of exposures and risks dose tested (150 mg/kg/day). green at 3.0 ppm; onion, potato at 3.0 associated with cyromazine follows. Cyromazine was not carcinogenic in ppm; onion, tree at 3.0 ppm; onion, A. Toxicological Profile mice or rats following long-term dietary welsh at 3.0 ppm; pepper at 1.0 ppm; administration and was classified EPA has evaluated the available potato at 0.8 ppm; rakkyo, bulb at 0.2 ‘‘Group E—Evidence of toxicity data and considered its validity, ppm; shallot, bulb at 0.2 ppm; shallot, Noncarcinogenicity for Humans.’’ The completeness, and reliability as well as fresh leaves at 3.0 ppm; tomato at 0.5 available mutagenicity data suggest that the relationship of the results of the ppm; turnip, greens at 10.0 ppm; cyromazine does not have genotoxic studies to human risk. EPA has also activity. Cyromazine is categorized as vegetable, brassica, leafy, group 5, considered available information except broccoli at 10.0; vegetable, leafy, Toxicity Category III for acute oral, concerning the variability of the dermal and inhalation toxicity. except brassica, group 4 at 7.0 ppm. sensitivities of major identifiable That document referenced a summary of Cyromazine is neither an eye irritant nor subgroups of consumers, including a dermal sensitizer; however, it is mild the petition prepared by Makhteshim infants and children. skin irritant. Agan of North American, Inc., No specific toxicity was associated Specific information on the studies (ADAMA) and Syngenta Crop with cyromazine, with lowest observed received and the nature of the adverse Protection, LLC, the registrants, which adverse effects levels (LOAELs) effects caused by cyromazine as well as is available in the docket, http:// occurring at relatively high doses. the no-observed-adverse-effect-level www.regulations.gov. Three comments Decreases in body weight and food (NOAEL) and the lowest-observed- were received on the notice of filing. consumption are the common features adverse-effect-level (LOAEL) from the EPA’s response to these comments is of cyromazine toxicity following toxicity studies can be found at http:// discussed in Unit IV.C. subchronic or chronic oral exposures as www.regulations.gov in document Based upon review of the data seen in dogs, rats, mice, and rabbits. ‘‘Cyromazine: Human health Risk supporting the petition, EPA has Other effects reported were organ Assessment for Proposed New Foliar corrected the terminology for several weight (relative) changes and changes to Uses on Edible Podded pea and commodities and is establishing some hematological parameters that Succulent Shelled Pea Commodities, tolerances at levels other than were biologically insignificant and non- Crop Group Conversion on Leafy green petitioned for on some of the adverse. No dermal or systemic toxicity subgroup 4–16A, Leaf petiole subgroup commodities. The reasons for these was seen at the highest dose tested 22B, Celtuce, and Florence fennel; changes are explained in Unit IV.D. (greater than 2,000 mg/kg/day) in two Vegetable, brassica, head and stem,

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group 5–16, except broccoli; Brassica, toxicological points of departure (POD) reference dose (RfD)—and a safe margin leafy greens, subgroup 4–16B; Kohlrabi; and levels of concern to use in of exposure (MOE). For non-threshold Hanover salad, leaves; Turnip, greens; evaluating the risk posed by human risks, the Agency assumes that any Cabbage, Abyssinian; and Cabbage, exposure to the pesticide. For hazards amount of exposure will lead to some seakale; Tomato subgroup 8–10A; that have a threshold below which there degree of risk. Thus, the Agency Pepper/eggplant subgroup 8–10B; and is no appreciable risk, the toxicological estimates risk in terms of the probability Expansion of Vegetable, tuberous ad POD is used as the basis for derivation of an occurrence of the adverse effect corm, subgroup 1C, Onion, bulb, of reference values for risk assessment. expected in a lifetime. For more subgroup 3–07A; and Onion, green, PODs are developed based on a careful information on the general principles analysis of the doses in each subgroup 3–07B’’ at page number 11 EPA uses in risk characterization and a toxicological study to determine the and ‘‘Cyromazine: Human Health Risk complete description of the risk dose at which no adverse effects are Assessment for Registration Review’’ at assessment process, see https:// pages 51–53 in docket ID number EPA– observed (the NOAEL) and the lowest www.epa.gov/pesticide-science-and- HQ–OPP–2018–0286. dose at which adverse effects of concern are identified (the LOAEL). Uncertainty/ assessing-pesticide-risks. B. Toxicological Points of Departure/ safety factors are used in conjunction A summary of the toxicological Levels of Concern with the POD to calculate a safe endpoints for cyromazine used for Once a pesticide’s toxicological exposure level—generally referred to as human risk assessment is shown in profile is determined, EPA identifies a population-adjusted dose (PAD) or a Table 1 of this unit. TABLE 1—SUMMARY OF TOXICOLOGICAL DOSES AND ENDPOINTS FOR CYROMAZINE FOR USE IN HUMAN HEALTH RISK ASSESSMENT

Point of departure and Exposure/scenario uncertainty/safety RfD, PAD, LOC for Study and toxicological effects factors risk assessment

Acute dietary (Females 13+ years of No developmental effects attributable to a single dose were seen following in utero exposures to rats and rabbits. age).

Acute dietary (All populations) ...... LOAEL = 250 mg/kg/ Acute RfD = 2.5 mg/kg/ Acute Neurotoxicity Study in rats. day. day. LOAEL = 250 mg/kg/day based on decreased motor activity (mean cu- UFA = 10x aPAD = 0.83 mg/kg/day mulative ambulatory LMA counts, 44%) in males at the time of peak UFH = 10x effect on Day 0, and decreased food consumption (17%) on Day 1. FQPA SF = 3x

Chronic dietary (All populations) ...... NOAEL = 50 mg/kg/day Chronic RfD = 0.5 mg/ Two-Generation Reproductive Study in rats. UFA = 10x kg/day. LOAEL = 150 mg/kg/day for decreased body weights (27%) that were UFH = 10x cPAD = 0.5 mg/kg/day associated with decreased food efficiency. FQPA SF = 1x Co-critical with: Chronic Carcinogenicity Study in the rat. LOAEL = 150 mg/kg/day based on decreased body weight (20% males, 29% females) associated with lower food consumption (10–15%) com- pared to controls.

Cancer (All routes) ...... Group E—No evidence for carcinogenicity in humans. Point of Departure (POD) = A data point or an estimated point that is derived from observed dose-response data and used to mark the beginning of extrapolation to determine risk associated with lower environmentally relevant human exposures. FQPA SF = Food Quality Protection Act Safety Factor. LOAEL = lowest-observed- adverse-effect-level. LOC = level of concern. mg/kg/day = milligram/kilogram/day. NOAEL = no-observed-adverse-effect-level. PAD = population adjusted dose (a = acute, c = chronic). RfD = reference dose. UF = uncertainty factor. UFA = extrapolation from animal to human (interspecies). UFH = potential variation in sensitivity among members of the human population (intraspecies).

C. Exposure Assessment (USDA’s) 2003–2008 National Health purpose of assessing cancer risk is and Nutrition Examination Survey, unnecessary. 1. Dietary exposure from food and What We Eat in America (NHANES/ iv. Anticipated residue and percent feed uses. In evaluating dietary WWEIA). As to residue levels in food, exposure to cyromazine, EPA crop treated (PCT) information. EPA did EPA used tolerance-level residues and not use anticipated residue and/or PCT considered exposure under the 100% crop treated assumptions. petitioned-for tolerances as well as all information in the dietary assessment existing cyromazine tolerances in 40 ii. Chronic exposure. In conducting for cyromazine. Tolerance level residues CFR 180.414. EPA assessed dietary the chronic dietary exposure assessment and 100% CT were assumed for all food exposures from cyromazine in food as EPA used the food consumption data commodities. follows: from the USDA 2003–2008 National 2. Dietary exposure from drinking i. Acute exposure. Quantitative acute Health and Nutrition Examination water. The Agency used screening-level dietary exposure and risk assessments Survey, What We Eat in America water exposure models in the dietary are performed for a food-use pesticide, (NHANES/WWEIA). As to residue levels exposure analysis and risk assessment if a toxicological study has indicated the in food, EPA used tolerance-level for cyromazine in drinking water. These possibility of an effect of concern residues and 100% crop treated simulation models take into account occurring as a result of a 1-day or single assumptions. data on the physical, chemical, and fate/ exposure. Such effects were identified iii. Cancer. Based on the data transport characteristics of cyromazine. for cyromazine. In estimating acute summarized in Unit III.A., EPA has Further information regarding EPA dietary exposure, EPA used food concluded that cyromazine does not drinking water models used in pesticide consumption information from the pose a cancer risk to humans. Therefore, exposure assessment can be found at United States Department of Agriculture a dietary exposure assessment for the https://www.epa.gov/pesticide-science-

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and-assessing-pesticide-risks/about- D. Safety Factor for Infants and doses tested and additional neurological water-exposure-models-used-pesticide. Children effects (decreased foot splay in males Based on the First Index Reservoir 1. In general. Section 408(b)(2)(C) of and increased rearing behavior in Screening Tool (FIRST) and Pesticide FFDCA provides that EPA shall apply females) were observed at the highest Root Zone Model Ground Water (PRZM an additional tenfold (10X) margin of dose tested. Because a NOAEL was not GW), the estimated drinking water safety for infants and children in the established for the acute neurotoxicity concentrations (EDWCs) of cyromazine case of threshold effects to account for effects, an FQPA SF will be retained for for acute exposures are estimated to be prenatal and postnatal toxicity and the the acute risk assessment. In this case, 47.1 parts per billion (ppb) for surface completeness of the database on toxicity the default FQPA SF of 10X can be reduced to 3X for the following reasons: water and 111 ppb for ground water. For and exposure unless EPA determines (1) the toxicity database is considered chronic exposures for non-cancer based on reliable data that a different assessments, EDWCs are estimated to be complete for cyromazine and no other margin of safety will be safe for infants studies via the oral route showed 15.8 ppb for surface water and 86 ppb and children. This additional margin of for ground water. Modeled estimates of clinical signs or histopathology safety is commonly referred to as the indicative of neurotoxicity; drinking water concentrations were FQPA Safety Factor (SF). In applying directly entered into the dietary (2) a 3X SF yields an acute PAD of this provision, EPA either retains the 0.83 mg/kg/day, which is similar to the exposure model. For acute dietary risk default value of 10X, or uses a different assessment, the water concentration chronic PAD of 0.5 mg/kg/day. The additional safety factor when reliable chronic POD is considered very value of 111 ppb was used to assess the data available to EPA support the choice contribution to drinking water. For conservative and is based on 27% of a different factor. decreased body weight seen at the chronic dietary risk assessment, the 2. Prenatal and postnatal sensitivity. water concentration value of 86 ppb was LOAEL of 150 mg/kg/day in absence of Based on the available data, there is no any other significant effects. The aPAD used to assess the contribution to quantitative and qualitative evidence of drinking water. is conservative because it is unlikely increased susceptibility observed that decreased motor activity would 3. From non-dietary exposure. The following in utero cyromazine exposure occur at doses similar to the chronic term ‘‘residential exposure’’ is used in to rats and rabbits or following prenatal/ endpoint. The effects used to derive the this document to refer to non- postnatal exposure in the 2-generation chronic POD (decrease in body weight) occupational, non-dietary exposure reproduction study. The database is were observed only after repeated (e.g., for lawn and garden pest control, considered adequate for selection of exposure (15 weeks) and there was no indoor pest control, termiticides, and study endpoints and determination of a indication of decreased activity or other flea and tick control on pets). dose/response to characterize the neurological clinical signs in the Cyromazine is not registered for any potential prenatal or postnatal toxicity chronic study; and specific use patterns that would result of cyromazine to infants and children. (3) motor activity seems to be a very in residential exposure. Further No increase in susceptibility was seen sensitive indicator of acute toxicity of information regarding EPA standard in developmental toxicity studies in rat cyromazine. While there are indications assumptions and generic inputs for and rabbit or reproductive toxicity of neurotoxicity in the ACN and residential exposures may be found at studies in the rat. Toxicity to offspring inhalation studies, the selected https://www.epa.gov/pesticide-science- was observed at dose levels the same or endpoints are protective of those effects, and-assessing-pesticide-risks/standard- greater than those causing maternal or therefore there is no concern for operating-procedures-residential- parental toxicity. Based on the results of developmental neurotoxicity resulting pesticide. developmental and reproductive from exposure to cyromazine. Based on 4. Cumulative effects from substances toxicity studies, there is not a concern the findings in the acute neurotoxicity with a common mechanism of toxicity. or increased qualitative and/or study and the total weight of evidence, Section 408(b)(2)(D)(v) of FFDCA quantitative susceptibility following in the requirement for the subchronic requires that, when considering whether utero exposure to cyromazine. neurotoxicity study was waived. to establish, modify, or revoke a 3. Conclusion. EPA has determined iii. There is no evidence that tolerance, the Agency consider that reliable data show the safety of cyromazine results in increased ‘‘available information’’ concerning the infants and children would be susceptibility in in utero rats or rabbits cumulative effects of a particular adequately protected if the FQPA SF in the prenatal developmental studies or pesticide’s residues and ‘‘other were reduced to 1X for the chronic in young rats in the 2-generation substances that have a common dietary exposure assessment and reproduction study. mechanism of toxicity.’’ EPA has retained at 3X for the acute dietary iv. There are no residual uncertainties determined that the available exposure assessment. That decision is identified in the exposure databases. toxicological data suggests cyromazine based on the following findings: The dietary food exposure assessments does not share a similar toxicological i. The toxicity database for were performed based on 100% CT and profile, and thus no common cyromazine is complete for assessing the tolerance-level residues. EPA made mechanism of toxicity, with other risks to infants and children. However, conservative (protective) assumptions in pesticides. No further cumulative the study providing the basis for the the ground and surface water modeling evaluation is necessary for cyromazine. acute dietary exposure POD lacks a used to assess exposure to cyromazine This analysis can be found at http:// NOAEL, so the Agency is retaining a 3X in drinking water. These assessments www.regulations.gov in document FQPA SF for extrapolating a NOAEL. will not underestimate the exposure and ‘‘Chitin Synthesis Inhibitors (Buprofezin ii. There is no evidence of risks posed by cyromazine. and Cyromazine): Screening Analysis of neurotoxicity in the cyromazine Toxicological Profiles to Consider repeated dose studies, which include E. Aggregate Risks and Determination of Whether a Candidate Common subchronic or chronic dosing in Safety Mechanism Group Can Be Established’’ multiple species. However, in the acute EPA determines whether acute and in docket ID number EPA–HQ–OPP– neurotoxicity study conducted in rats, chronic dietary pesticide exposures are 2018–0286. reduced motor activity was seen at all safe by comparing aggregate exposure

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estimates to the acute PAD (aPAD) and IV. Other Considerations subgroup 4–16B; and pepper/eggplant chronic PAD (cPAD). For linear cancer subgroup 8–10B because differences in A. Analytical Enforcement Methodology risks, EPA calculates the lifetime use patterns and residues in submitted probability of acquiring cancer given the Adequate enforcement methodology field trials support higher U.S. estimated aggregate exposure. Short-, is available to enforce the tolerance tolerances; harmonization would cause intermediate-, and chronic-term risks expression. Adequate methods are tolerance exceedances and violative are evaluated by comparing the available in Pesticide Analytical Manual residues, despite legal use of estimated aggregate food, water, and (PAM), Vol. II for enforcement of the cyromazine pursuant to U.S. labels. residential exposure to the appropriate established tolerances for cyromazine There are no Codex MRLs for the other PODs to ensure that an adequate MOE in/on plant commodities. The working commodities in this action. exists. method ‘‘Determination of Cyromazine 1. Acute risk. Using the exposure in Bean (snap)’’ Revision O, was derived C. Response to Comments assumptions discussed in this unit for from Ciba-Geigy Analytical Method No. EPA received three comments to the acute exposure, the acute dietary AG0621, ‘‘Analytical Method for the Notice of Filing. Two comments exposure from food and water to Determination of Cyromazine and its expressed concerns about wildfires, cyromazine will occupy 18% of the Metabolite Melamine residues in Crops health and habitats. These comments aPAD for children 1 to 2 years old, the by Gas Chromatography with a did not raise any issues related to the population group receiving the greatest Nitrogen/Phosphorous detector in the Agency’s safety determination of exposure. Nitrogen Specific Mode. (January 12, cyromazine tolerances. The receipt of 2. Chronic risk. Using the exposure 1995).’’ Minor modifications were made these comments is acknowledged assumptions described in this unit for to improve the performance of the however, these comments are not chronic exposure, EPA has concluded method. The limit of quantitation for relevant to this action. Another that chronic exposure to cyromazine cyromazine is 0.05 ppm in most plant commenter stated the following, ‘‘In from food and water will utilize 8.3% of commodities. Adequate methods are rule making, please use the following the cPAD for children 1 to 2 years old, available in PAM, Vol. II for standard: The amounts of residues the population group receiving the enforcement of the established found in food must be safe for greatest exposure. There are no tolerances for cyromazine in/on meat, consumers and must be as low as residential uses for cyromazine that milk, poultry, and eggs. Cyromazine, per possible.’’ When new or amended would result in chronic exposure. se, was recovered when analyzed tolerances are requested for residues of 3. Short-term and Intermediate-term through Protocol III (present Protocol a pesticide in food or feed, the Agency, risk. Short- and intermediate-term D). The Agency concluded that the data as is required by section 408 of the aggregate exposure takes into account were acceptable and no additional FFDCA, estimates the risk of the short- and intermediate-term residential cyromazine multiresidue method potential exposure to these residues. exposure plus chronic exposure to food (MRM) recovery data were required. The Agency has concluded after this and water (considered to be a assessment, that there is a reasonable B. International Residue Limits background exposure level). Short- and certainty that no harm will result from intermediate-term adverse effects were In making its tolerance decisions, EPA aggregate human exposure to identified; however, cyromazine is not seeks to harmonize U.S. tolerances with cyromazine and that, accordingly, the registered for any use patterns that international standards whenever cyromazine tolerances on these would result in short- or intermediate- possible, consistent with U.S. food commodities are safe. The commenter term residential exposure. Short- and safety standards and agricultural has provided no information suggesting intermediate-term risk is assessed based practices. EPA considers the that the levels approved are not safe. on short- and intermediate-term international maximum residue limits D. Revisions to Petitioned-For residential exposure plus chronic (MRLs) established by the Codex Tolerances dietary exposure. Because there is no Alimentarius Commission (Codex), as short- or intermediate-term residential required by FFDCA section 408(b)(4). EPA made two minor wording exposure and chronic dietary exposure The Codex Alimentarius is a joint changes to the existing tolerance has already been assessed under the United Nations Food and Agriculture expression by deleting the phrases ‘‘the appropriately protective cPAD (which is Organization/World Health insecticide’’ and ‘‘..., in or on the at least as protective as the POD used to Organization food standards program, commodity’’ at the end of the tolerance assess short- or intermediate-term risk), and it is recognized as an international expression for consistency with Agency no further assessment of short- or food safety standards-setting policy. For harmonization purposes, the intermediate-term risk is necessary, and organization in trade agreements to Agency is establishing different EPA relies on the chronic dietary risk which the United States is a party. EPA tolerances for the following assessment for evaluating short- and may establish a tolerance that is commodities than what was petitioned intermediate-term risk for cyromazine. different from a Codex MRL; however, for: Leafy green subgroup 4–l6A, 4. Aggregate cancer risk for U.S. FFDCA section 408(b)(4) requires that Brassica, leafy greens, subgroup 4–16B, population. Based on the lack of EPA explain the reasons for departing Celtuce, Fennel, Florence, fresh leaves evidence of carcinogenicity in two from the Codex level. and stalk, Kohlrabi, Leaf petiole adequate rodent carcinogenicity studies, There are Codex MRLs established for vegetable subgroup 22B, Onion, bulb, cyromazine is not expected to pose a residues of cyromazine in/on several subgroup 3–07A, Pepper/eggplant cancer risk to humans. commodities. The U.S. tolerances being subgroup 8–10B, and Vegetable, 5. Determination of safety. Based on established for Onion, green, subgroup brassica, head and stem, group 5–16, these risk assessments, EPA concludes 3–07B and Tomato subgroup 8–10A are except broccoli. Additionally, the that there is a reasonable certainty that harmonized with Codex. The U.S. is not Agency revised the commodity no harm will result to the general able to harmonize with Codex for terminology to use the following correct population, or to infants and children Onion, bulb, subgroup 3–07A; Leafy commodity definitions: Leafy greens from aggregate exposure to cyromazine green subgroup 4–16A; Leaf petiole subgroup 4–16A, Leaf petiole vegetable residues. subgroup 22B; Brassica, leafy greens, subgroup 22B, Fennel, Florence, fresh

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leaves and stalk, and Pepper/eggplant at 35 ppm; Celtuce at 10 ppm; Chickpea, FR 28355, May 22, 2001) or Executive subgroup 8–10B. Finally, EPA is edible podded at 0.4 ppm; Chickpea, Order 13045, entitled ‘‘Protection of establishing several tolerances that succulent shelled at 0.3 ppm; Dwarf Children from Environmental Health differ from the petitioned-for tolerance pea, edible podded at 0.4 ppm; Edible Risks and Safety Risks’’ (62 FR 19885, levels to conform to the Agency’s podded pea, edible podded at 0.4 ppm; April 23, 1997), nor is it considered a rounding classes. English pea, succulent shelled at 0.3 regulatory action under Executive Order ppm; Fennel, Florence, fresh leaves and 13771, entitled ‘‘Reducing Regulations E. International Trade Considerations stalk at 10 ppm; Garden pea, succulent and Controlling Regulatory Costs’’ (82 In this rule, EPA is establishing lower shelled at 0.3 ppm; Grass-pea, edible FR 9339, February 3, 2017). This action tolerances for cyromazine residues in or podded at 0.4 ppm; Green pea, edible does not contain any information on onion, potato than the current podded at 0.4 ppm; Green pea, collections subject to OMB approval tolerance. The current tolerance for succulent shelled at 0.3 ppm; Kohlrabi under the Paperwork Reduction Act onion, potato is 3.0 ppm, but onion, at 35 ppm; Leaf petiole vegetable (PRA) (44 U.S.C. 3501 et seq.), nor does potato is a commodity in the onion, subgroup 22B at 10 ppm; Leafy greens it require any special considerations bulb, subgroup 3–07A, for which EPA is subgroup 4–16A at 10 ppm; Lentil, under Executive Order 12898, entitled establishing a new tolerance in this edible podded at 0.4 ppm; Lentil, ‘‘Federal Actions to Address rulemaking at 0.3 ppm. As a result, EPA succulent shelled at 0.3 ppm; Onion, Environmental Justice in Minority intends for the allowable residues bulb, subgroup 3–07A at 0.3 ppm; Populations and Low-Income onion, potato to be reduced. As Onion, green, subgroup 3–07B at 3 ppm; Populations’’ (59 FR 7629, February 16, discussed in EPA’s crop grouping Pepper/eggplant subgroup 8–10B at 3 1994). rulemaking, EPA has determined that ppm; Pigeon pea, edible podded at 0.4 Since tolerances and exemptions that onion, potato is similar to other bulb ppm; Pigeon pea, succulent shelled at are established on the basis of a petition onions and appropriately categorized in 0.3 ppm; Snap pea, edible podded at 0.4 under FFDCA section 408(d), such as subgroup 3–07A. See 72 FR 69150 (Dec. ppm; Snow pea, edible podded at 0.4 the tolerances in this final rule, do not 7, 2007). Based on residue data ppm; Sugar snap pea, edible podded at require the issuance of a proposed rule, supporting the 0.3 ppm tolerance for 0.4 ppm; Tomato subgroup 8–10A at 1 the requirements of the Regulatory subgroup 3–07A and the similarity of ppm; Vegetable, brassica, head and Flexibility Act (RFA) (5 U.S.C. 601 et onion, potato to other bulb onions, EPA stem, group 5–16, except broccoli at 35 seq.), do not apply. concludes that it is appropriate to ppm; Vegetable, tuberous and corm, This action directly regulates growers, reduce the tolerance on onion, potato as subgroup 1C at 0.8 ppm. food processors, food handlers, and food well. In addition, EPA is removing the retailers, not States or tribes, nor does In accordance with the World Trade following tolerances because they are this action alter the relationships or Organization’s (WTO) Sanitary and superseded by the new tolerances being distribution of power and Phytosanitary Measures (SPS) established in this rulemaking: Cabbage, responsibilities established by Congress Agreement, EPA intends to notify the abyssinian at 10.0 ppm; cabbage, seakale in the preemption provisions of FFDCA WTO of the changes to these tolerances at 10.0 ppm, garlic at 0.2 ppm; garlic, section 408(n)(4). As such, the Agency in order to satisfy its obligations under great-headed, bulb at 0.2 ppm; Hanover has determined that this action will not the Agreement. In addition, the SPS salad, leaves at 10.0 ppm; leek at 3.0 have a substantial direct effect on States Agreement requires that Members ppm; onion, bulb at 0.2 ppm; onion, or tribal governments, on the provide a ‘‘reasonable interval’’ between green at 3.0 ppm; onion, tree at 3.0 ppm; relationship between the national the publication of a regulation subject to onion, welsh at 3.0 ppm; pepper at 1.0 government and the States or tribal the Agreement and its entry into force ppm; potato at 0.8 ppm; rakkyo, bulb at governments, or on the distribution of to allow time for producers in exporting 0.2 ppm; shallot, bulb at 0.2 ppm; power and responsibilities among the Member countries to adapt to the new shallot, fresh leaves at 3.0 ppm; tomato various levels of government or between requirement. Accordingly, EPA is at 0.5 ppm; turnip, greens at 10.0 ppm; the Federal Government and Indian establishing an expiration date for the vegetable, brassica, leafy, group 5, tribes. Thus, the Agency has determined existing tolerance to allow this tolerance except broccoli at 10.0; vegetable, leafy, that Executive Order 13132, entitled to remain in effect for a period of six except brassica, group 4 at 7.0 ppm. ‘‘Federalism’’ (64 FR 43255, August 10, months after the effective date of this Finally, EPA is setting a six-month 1999) and Executive Order 13175, final rule. After the six-month period expiration date for the current onion, entitled ‘‘Consultation and Coordination expires, this tolerance will be reduced potato tolerance at 3.0 ppm. with Indian Tribal Governments’’ (65 FR or revoked, as indicated in the VI. Statutory and Executive Order 67249, November 9, 2000) do not apply regulatory text, and allowable residues Reviews to this action. In addition, this action on onion, potato must conform to the does not impose any enforceable duty or tolerance for subgroup 3–07A. This action establishes tolerances contain any unfunded mandate as This reduction in tolerance level is under FFDCA section 408(d) in described under Title II of the Unfunded not discriminatory; the same food safety response to a petition submitted to the Mandates Reform Act (UMRA) (2 U.S.C. standard contained in the FFDCA Agency. The Office of Management and 1501 et seq.). applies equally to domestically Budget (OMB) has exempted these types This action does not involve any produced and imported foods. The new of actions from review under Executive technical standards that would require tolerance level is supported by available Order 12866, entitled ‘‘Regulatory Agency consideration of voluntary residue data. Planning and Review’’ (58 FR 51735, consensus standards pursuant to section October 4, 1993). Because this action 12(d) of the National Technology V. Conclusion has been exempted from review under Transfer and Advancement Act Therefore, tolerances are established Executive Order 12866, this action is (NTTAA) (15 U.S.C. 272 note). for residues of the insecticide not subject to Executive Order 13211, cyromazine, N-cyclopropyl-1,3,5- entitled ‘‘Actions Concerning VII. Congressional Review Act triazine-2,4,6-triamine, in or on Regulations That Significantly Affect Pursuant to the Congressional Review Brassica, leafy greens, subgroup 4–16B Energy Supply, Distribution, or Use’’ (66 Act (5 U.S.C. 801 et seq.), EPA will

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submit a report containing this rule and ■ n. Add alphabetically the entries Parts per other required information to the U.S. ‘‘Pepper/eggplant subgroup 8–10B’’; Commodity million Senate, the U.S. House of ‘‘Pigeon pea, edible podded’’; and Representatives, and the Comptroller ‘‘Pigeon pea, succulent shelled’’; Leafy greens subgroup 4–16A ... 10 General of the United States prior to ■ o. Remove the entries for ‘‘Potato’’; Lentil, edible podded ...... 0.4 Lentil, succulent shelled ...... 0.3 publication of the rule in the Federal ‘‘Rakkyo, bulb’’; ‘‘Shallot, bulb’’; and Register. This action is not a ‘‘major ‘‘Shallot, fresh leaves’’; ***** ■ rule’’ as defined by 5 U.S.C. 804(2). p. Add alphabetically the entries Onion, bulb, subgroup 3–07A .... 0.3 ‘‘Snap pea, edible podded’’; ‘‘Snow pea, List of Subjects in 40 CFR Part 180 Onion, green, subgroup 3–07B .. 3 edible podded’’; and ‘‘Sugar snap pea, Onion, potato 2 ...... 3.0 Environmental protection, edible podded’’; Pepper/eggplant subgroup 8– Administrative practice and procedure, ■ q. Remove the entry for ‘‘Tomato’’; 10B ...... 3 Agricultural commodities, Pesticides ■ r. Add alphabetically the entry Pigeon pea, edible podded ...... 0.4 and pests, Reporting and recordkeeping ‘‘Tomato subgroup 8–10A’’; Pigeon pea, succulent shelled ... 0.3 requirements. ■ s. Remove the entry for ‘‘Turnip, greens’’; ***** Dated: September 20, 2019. ■ t. Add alphabetically the entry Snap pea, edible podded ...... 0.4 Michael Goodis, ‘‘Vegetable, brassica, head and stem, Snow pea, edible podded ...... 0.4 Director, Registration Division, Office of group 5–16, except broccoli’’; Sugar snap pea, edible podded 0.4 Pesticide Programs. ■ u. Remove the entries for ‘‘Vegetable, Tomato subgroup 8–10A ...... 1 Vegetable, brassica, head and Therefore, 40 CFR chapter I is brassica, leafy, group 5, except stem, group 5–16, except amended as follows: broccoli’’; and ‘‘Vegetable, leafy, except broccoli ...... 35 brassica, group 4’’; and PART 180—[AMENDED] ■ v. Add alphabetically the entry ***** ‘‘Vegetable, tuberous and corm, Vegetable, tuberous and corm, ■ 1. The authority citation for part 180 subgroup 1C’’. subgroup 1C ...... 0.8 continues to read as follows: The revisions and additions read as *** Authority: 21 U.S.C. 321(q), 346a and 371. follows: 2 This tolerance expires on April 7, 2020. ■ 2. In § 180.414, revise paragraph (a)(1) § 180.414 Cyromazine; tolerances for * * * * * introductory text and amend the table in residues. [FR Doc. 2019–21542 Filed 10–4–19; 8:45 am] paragraph (a)(1) as follows: (a) General. (1) Tolerances are BILLING CODE 6560–50–P ■ a. Add alphabetically the entries established for residues of cyromazine, ‘‘Brassica, leafy greens, subgroup 4– including its metabolites and 16B’’; degradates, in or on the commodities in ■ ENVIRONMENTAL PROTECTION b. Remove the entries for ‘‘Cabbage, the table in this paragraph. Compliance AGENCY abyssinian’’; and ‘‘Cabbage, seakale’’; with the tolerance levels specified in ■ c. Add alphabetically the entries this paragraph is to be determined by 40 CFR Part 180 ‘‘Celtuce’’; ‘‘Chickpea, edible podded’’; measuring only cyromazine, N- [EPA–HQ–OPP–2018–0656; FRL–9999–54] ‘‘Chickpea, succulent shelled’’; ‘‘Dwarf cyclopropyl-1,3,5-triazine-2,4,6- pea, edible podded’’; ‘‘Edible podded triamine. pea, edible podded’’; ‘‘English pea, Chlorantraniliprole; Pesticide succulent shelled’’; ‘‘Fennel, Florence, Tolerances Commodity Parts per fresh leaves and stalk’’; ‘‘Garden pea, million AGENCY: Environmental Protection succulent shelled’’; Agency (EPA). ■ d. Remove the entries for ‘‘Garlic’’; ACTION: Final rule. and ‘‘Garlic, great-headed, bulb’’; ***** ■ Brassica, leafy greens, subgroup e. Add alphabetically the entries 4–16B ...... 35 SUMMARY: This regulation establishes ‘‘Grass-pea, edible podded’’; ‘‘Green tolerances for residues of pea, edible podded’’; and ‘‘Green pea, ***** chlorantraniliprole in or on palm, oil. succulent shelled’’; Celtuce ...... 10 FMC Corporation requested these ■ f. Remove the entry for ‘‘Hanover Chickpea, edible podded ...... 0.4 tolerances under the Federal Food, Chickpea, succulent shelled ...... 0.3 salad, leaves’’; Drug, and Cosmetic Act (FFDCA). ■ g. Add alphabetically the entries Dwarf pea, edible podded ...... 0.4 DATES: This regulation is effective ‘‘Kohlrabi’’; ‘‘Leaf petiole vegetable Edible podded pea, edible pod- ded ...... 0.4 October 7, 2019. Objections and subgroup 22B’’; and ‘‘Leafy greens requests for hearings must be received subgroup 4–16A’’; ***** ■ h. Remove the entry for ‘‘Leek’’; on or before December 6, 2019, and English pea, succulent shelled ... 0.3 must be filed in accordance with the ■ i. Add alphabetically the entries Fennel, Florence, fresh leaves ‘‘Lentil, edible podded’’; and ‘‘Lentil, and stalk ...... 10 instructions provided in 40 CFR part succulent shelled’’; Garden pea, succulent shelled ... 0.3 178 (see also Unit I.C. of the ■ j. Remove the entries for ‘‘Onion, SUPPLEMENTARY INFORMATION). bulb’’; and ‘‘Onion, green’’; ***** ADDRESSES: The docket for this action, ■ k. Add alphabetically the entries Grass-pea, edible podded ...... 0.4 identified by docket identification (ID) Green pea, edible podded ...... 0.4 number EPA–HQ–OPP–2018–0656, is ‘‘Onion, bulb, subgroup 3–07A’’; and Green pea, succulent shelled ..... 0.3 ‘‘Onion, green, subgroup 3–07B’’; available at http://www.regulations.gov ■ l. Revise the entry for ‘‘Onion, ***** or at the Office of Pesticide Programs potato’’; to add a footnote 2; Kohlrabi ...... 35 Regulatory Public Docket (OPP Docket) ■ m. Remove the entries for ‘‘Onion, Leaf petiole vegetable subgroup in the Environmental Protection Agency tree’’; ‘‘Onion, welsh’’; and ‘‘Pepper’’; 22B ...... 10 Docket Center (EPA/DC), West William

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Jefferson Clinton Bldg., Rm. 3334, 1301 must be in writing, and must be III. Aggregate Risk Assessment and Constitution Ave. NW, Washington, DC received by the Hearing Clerk on or Determination of Safety 20460–0001. The Public Reading Room before December 6, 2019. Addresses for is open from 8:30 a.m. to 4:30 p.m., mail and hand delivery of objections Section 408(b)(2)(A)(i) of FFDCA Monday through Friday, excluding legal and hearing requests are provided in 40 allows EPA to establish a tolerance (the holidays. The telephone number for the CFR 178.25(b). legal limit for a pesticide chemical residue in or on a food) only if EPA Public Reading Room is (202) 566–1744, In addition to filing an objection or and the telephone number for the OPP determines that the tolerance is ‘‘safe.’’ hearing request with the Hearing Clerk Section 408(b)(2)(A)(ii) of FFDCA Docket is (703) 305–5805. Please review as described in 40 CFR part 178, please the visitor instructions and additional defines ‘‘safe’’ to mean that ‘‘there is a submit a copy of the filing (excluding reasonable certainty that no harm will information about the docket available any Confidential Business Information at http://www.epa.gov/dockets. result from aggregate exposure to the (CBI)) for inclusion in the public docket. pesticide chemical residue, including FOR FURTHER INFORMATION CONTACT: Information not marked confidential all anticipated dietary exposures and all Michael Goodis, Registration Division pursuant to 40 CFR part 2 may be other exposures for which there is (7505P), Office of Pesticide Programs, disclosed publicly by EPA without prior reliable information.’’ This includes Environmental Protection Agency, 1200 notice. Submit the non-CBI copy of your exposure through drinking water and in Pennsylvania Ave. NW, Washington, DC objection or hearing request, identified residential settings, but does not include 20460–0001; main telephone number: by docket ID number EPA–HQ–OPP– occupational exposure. Section (703) 305–7090; email address: 2018–0656, by one of the following 408(b)(2)(C) of FFDCA requires EPA to [email protected]. methods: give special consideration to exposure SUPPLEMENTARY INFORMATION: • Federal eRulemaking Portal: http:// of infants and children to the pesticide www.regulations.gov. Follow the online I. General Information chemical residue in establishing a instructions for submitting comments. tolerance and to ‘‘ensure that there is a A. Does this action apply to me? Do not submit electronically any reasonable certainty that no harm will You may be potentially affected by information you consider to be CBI or result to infants and children from this action if you are an agricultural other information whose disclosure is aggregate exposure to the pesticide producer, food manufacturer, or restricted by statute. chemical residue. . . .’’ pesticide manufacturer. The following • Mail: OPP Docket, Environmental Consistent with FFDCA section list of North American Industrial Protection Agency Docket Center (EPA/ 408(b)(2)(D), and the factors specified in Classification System (NAICS) codes is DC), (28221T), 1200 Pennsylvania Ave. FFDCA section 408(b)(2)(D), EPA has not intended to be exhaustive, but rather NW, Washington, DC 20460–0001. reviewed the available scientific data provides a guide to help readers • Hand Delivery: To make special and other relevant information in determine whether this document arrangements for hand delivery or support of this action. EPA has applies to them. Potentially affected delivery of boxed information, please sufficient data to assess the hazards of entities may include: follow the instructions at http:// and to make a determination on • Crop production (NAICS code 111). www.epa.gov/dockets/contacts.html. aggregate exposure for • Animal production (NAICS code Additional instructions on chlorantraniliprole including exposure 112). commenting or visiting the docket, resulting from the tolerances established • Food manufacturing (NAICS code along with more information about by this action. EPA’s assessment of 311). exposures and risks associated with • dockets generally, is available at http:// Pesticide manufacturing (NAICS chlorantraniliprole follows. code 32532). www.epa.gov/dockets. A. Toxicological Profile B. How can I get electronic access to II. Summary of Petitioned-For other related information? Tolerance EPA has evaluated the available toxicity data and considered its validity, You may access a frequently updated In the Federal Register of December completeness, and reliability as well as electronic version of EPA’s tolerance 21, 2018 (83 FR 65660) (FRL–9985–67), the relationship of the results of the regulations at 40 CFR part 180 through EPA issued a document pursuant to studies to human risk. EPA has also the Government Publishing Office’s e- FFDCA section 408(d)(3), 21 U.S.C. considered available information CFR site at http://www.ecfr.gov/cgi-bin/ 346a(d)(3), announcing the filing of a concerning the variability of the text-idx?&c=ecfr&tpl=/ecfrbrowse/ pesticide petition (PP 8E8699) by FMC sensitivities of major identifiable Title40/40tab_02.tpl. Corporation, 2929 Walnut Street, Philadelphia, PA 19104. The petition subgroups of consumers, including C. How can I file an objection or hearing requested that 40 CFR 180.628 be infants and children. request? amended by establishing tolerances for Chlorantraniliprole does not exhibit Under FFDCA section 408(g), 21 residues of the insecticide immunotoxicity, neurotoxicity, U.S.C. 346a, any person may file an chlorantraniliprole, 3-bromo-N-[4- carcinogenicity, or developmental objection to any aspect of this regulation chloro-2-methyl-6-[(methylamino)- toxicity. Additionally, no mutagenicity and may also request a hearing on those carbonyl]phenyl]-1-(3-chloro-2- concerns were reported in the objections. You must file your objection pyridinyl)-1H-pyrazole-5-carboxamide, genotoxicity studies. or request a hearing on this regulation in or on palm, oil at 1.5 parts per In oral and dermal toxicity studies in in accordance with the instructions million (ppm). That document rats, minimally increased provided in 40 CFR part 178. To ensure referenced a summary of the petition microvesiculation of adrenal cortex was proper receipt by EPA, you must prepared by FMC Corporation, the observed mostly in males; however, identify docket ID number EPA–HQ– registrant, which is available in the supporting data demonstrated no effect OPP–2018–0656 in the subject line on docket, http://www.regulations.gov. on the capacity of the adrenal gland to the first page of your submission. All There were no comments received in produce corticosterone following objections and requests for a hearing response to the notice of filing. stimulation. Therefore, adrenal cortex

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effects observed in rat studies were not EPA uses in risk characterization and a Further information regarding EPA considered adverse. complete description of the risk drinking water models used in pesticide Chlorantraniliprole does not exhibit assessment process, see http:// exposure assessment can be found at prenatal or postnatal toxicity as there www2.epa.gov/pesticide-science-and- http://www.epa.gov/oppefed1/models/ were no maternal or fetal effects in assessing-pesticide-risks/assessing- water/index.htm. studies conducted in rats and rabbits. human-health-risk-pesticides. Based on the Pesticide Root Zone The relative absence of mammalian A summary of the toxicological Model/Exposure Analysis Modeling hazard may be due in part to endpoints for chlorantraniliprole used System (PRZM/EXAMS) and Pesticide chlorantranilprole’s selectivity for insect for human risk assessment is discussed Root Zone Model Ground Water (PRZM ryanodine receptor (RyR) over in Unit III.B. of the final rule published GW), the estimated drinking water mammalian counterparts. In short-term in the Federal Register of July 27, 2011 concentrations (EDWCs) of mammalian studies, the most consistent (76 FR 44815) (FRL–8875–5). chlorantraniliprole for chronic effects are increased liver weights and exposures for non-cancer assessments mild induction of liver enzymes. C. Exposure Assessment are estimated to be 39.9 ppb for surface Chlorantraniliprole is classified as not 1. Dietary exposure from food and water and 207 ppb for ground water. likely to be carcinogenic to humans, feed uses. In evaluating dietary Modeled estimates of drinking water based on the weight of evidence of the exposure to chlorantraniliprole, EPA concentrations were directly entered data. No treatment-related tumors were considered exposure under the into the dietary exposure model. For reported in the submitted chronic and petitioned-for tolerances as well as all chronic dietary risk assessment, the oncogenicity studies in rats and mice existing chlorantraniliprole tolerances water concentration value of 207 ppb (18-month carcinogenicity study) or in in 40 CFR 180.628. EPA assessed dietary was used to assess the contribution to the subchronic studies in mice, dogs, exposures from chlorantraniliprole in drinking water. and rats. food as follows: 3. From non-dietary exposure. The Specific information on the studies i. Acute exposure. Quantitative acute term ‘‘residential exposure’’ is used in received and the nature of the adverse dietary exposure and risk assessments this document to refer to non- effects caused by chlorantraniliprole as are performed for a food-use pesticide, occupational, non-dietary exposure well as the no-observed-adverse-effect- if a toxicological study has indicated the (e.g., for lawn and garden pest control, level (NOAEL) and the lowest-observed- possibility of an effect of concern indoor pest control, termiticides, and adverse-effect-level (LOAEL) from the occurring as a result of a 1-day or single flea and tick control on pets). toxicity studies can be found at http:// exposure. Chlorantraniliprole is currently www.regulations.gov in document No such effects were identified in the registered for the following uses that ‘‘Chlorantraniliprole: Human Health toxicological studies for could result in residential exposures: Risk Assessment for Proposed Uses on chlorantraniliprole; therefore, a Sod farms/turf, landscape ornamentals Palm Oil without U.S. Registration’’ at quantitative acute dietary exposure and interiorscapes, and as a termiticide. pp.4–5 in docket ID number EPA–HQ– assessment is unnecessary. Residential exposure is expected to OPP–2018–0656. ii. Chronic exposure. In conducting occur for short-term and intermediate- the chronic dietary exposure assessment term durations; however, due to the lack B. Toxicological Points of Departure/ EPA used the food consumption data of toxicity identified for short- and Levels of Concern from the United States Department of intermediate-term durations via relevant Once a pesticide’s toxicological Agriculture (USDA) 2003–2008 National routes of exposure, residential exposure profile is determined, EPA identifies Health and Nutrition Examination was not assessed. Further information toxicological points of departure (POD) Survey, What We Eat in America regarding EPA standard assumptions and levels of concern to use in (NHANES/WWEA). As to residue levels and generic inputs for residential evaluating the risk posed by human in food, EPA assumed 100 percent crop exposures may be found at http:// exposure to the pesticide. For hazards treated (PCT) and tolerance-level www.epa.gov/pesticides/trac/science/ that have a threshold below which there residues for all current crops. trac6a05.pdf. is no appreciable risk, the toxicological iii. Cancer. Based on the data 4. Cumulative effects from substances POD is used as the basis for derivation summarized in Unit III.A., EPA has with a common mechanism of toxicity. of reference values for risk assessment. concluded that chlorantraniliprole does Section 408(b)(2)(D)(v) of FFDCA PODs are developed based on a careful not pose a cancer risk to humans. requires that, when considering whether analysis of the doses in each Therefore, a dietary exposure to establish, modify, or revoke a toxicological study to determine the assessment for the purpose of assessing tolerance, the Agency consider dose at which no adverse effects are cancer risk is unnecessary. ‘‘available information’’ concerning the observed (the NOAEL) and the lowest iv. Anticipated residue and PCT cumulative effects of a particular dose at which adverse effects of concern information. EPA did not use pesticide’s residues and ‘‘other are identified (the LOAEL). Uncertainty/ anticipated residue and/or PCT substances that have a common safety factors are used in conjunction information in the dietary assessment mechanism of toxicity.’’ with the POD to calculate a safe for chlorantraniliprole. Tolerance level EPA has not found chlorantraniliprole exposure level—generally referred to as residues and/or 100% CT were assumed to share a common mechanism of a population-adjusted dose (PAD) or a for all food commodities. toxicity with any other substances, and reference dose (RfD)—and a safe margin 2. Dietary exposure from drinking chlorantraniliprole does not appear to of exposure (MOE). For non-threshold water. The Agency used screening level produce a toxic metabolite produced by risks, the Agency assumes that any water exposure models in the dietary other substances. For the purposes of amount of exposure will lead to some exposure analysis and risk assessment this tolerance action, therefore, EPA has degree of risk. Thus, the Agency for chlorantraniliprole in drinking assumed that chlorantraniliprole does estimates risk in terms of the probability water. These simulation models take not have a common mechanism of of an occurrence of the adverse effect into account data on the physical, toxicity with other substances. For expected in a lifetime. For more chemical, and fate/transport information regarding EPA’s efforts to information on the general principles characteristics of chlorantraniliprole. determine which chemicals have a

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common mechanism of toxicity and to Due to the lack of toxicity via the 6. Determination of safety. Based on evaluate the cumulative effects of such dermal route, as well as the lack of these risk assessments, EPA concludes chemicals, see EPA’s website at http:// toxicity over the acute-, short- and that there is a reasonable certainty that www.epa.gov/pesticides/cumulative. intermediate-term via the oral route, no no harm will result to the general risk is expected from post-application population, or to infants and children D. Safety Factor for Infants and from aggregate exposure to Children exposure of children as well as incidental oral exposure of toddlers. chlorantraniliprole residues. 1. In general. Section 408(b)(2)(C) of These assessments will not IV. Other Considerations FFDCA provides that EPA shall apply underestimate the exposure and risks an additional tenfold (10X) margin of posed by chlorantraniliprole. A. Analytical Enforcement Methodology safety for infants and children in the Adequate enforcement methodology case of threshold effects to account for E. Aggregate Risks and Determination of (liquid chromatography mass prenatal and postnatal toxicity and the Safety spectrometry (LC/MS/MS); Method completeness of the database on toxicity EPA determines whether acute and DuPont-11374) is available to enforce and exposure unless EPA determines chronic dietary pesticide exposures are the tolerance expression. The method based on reliable data that a different safe by comparing aggregate exposure may be requested from: Chief, margin of safety will be safe for infants estimates to the acute PAD (aPAD) and Analytical Chemistry Branch, and children. This additional margin of chronic PAD (cPAD). For linear cancer Environmental Science Center, 701 safety is commonly referred to as the risks, EPA calculates the lifetime Mapes Rd., Ft. Meade, MD 20755–5350; FQPA Safety Factor (SF). In applying probability of acquiring cancer given the telephone number: (410) 305–2905; this provision, EPA either retains the estimated aggregate exposure. Short-, email address: default value of 10X, or uses a different intermediate-, and chronic-term risks [email protected]. additional safety factor when reliable are evaluated by comparing the data available to EPA support the choice estimated aggregate food, water, and B. International Residue Limits of a different factor. residential exposure to the appropriate In making its tolerance decisions, EPA 2. Prenatal and postnatal sensitivity. PODs to ensure that an adequate MOE seeks to harmonize U.S. tolerances with There were no effects on prenatal fetal exists. international standards whenever growth or postnatal development up to 1. Acute risk. An acute aggregate risk possible, consistent with U.S. food the limit dose of 1,000 milligrams/ assessment takes into account acute safety standards and agricultural kilogram/day (mg/kg/day) in rats or exposure estimates from dietary practices. EPA considers the rabbits in the developmental or 2- consumption of food and drinking international maximum residue limits generation reproduction studies. water. No adverse effect resulting from (MRLs) established by the Codex Moreover, there were no treatment- a single oral exposure was identified Alimentarius Commission (Codex), as related effects on the numbers of litters, and no acute dietary endpoint was required by FFDCA section 408(b)(4). fetuses (live or dead), resorptions, sex selected. Therefore, chlorantraniliprole The Codex Alimentarius is a joint ratio, or post-implantation losses. There is not expected to pose an acute risk. United Nations Food and Agriculture were no effects on fetal body weights, 2. Chronic risk. Using the exposure Organization/World Health skeletal ossification, and external, assumptions described in this unit for Organization food standards program, visceral, or skeletal malformations or chronic exposure, EPA has concluded and it is recognized as an international variations. food safety standards-setting 3. Conclusion. EPA has determined that chronic exposure to chlorantraniliprole from food and water organization in trade agreements to that reliable data show the safety of which the United States is a party. EPA infants and children would be will utilize 8.1% of the cPAD for children 1 to 2 years old, the population may establish a tolerance that is adequately protected if the FQPA SF different from a Codex MRL; however, were reduced to 1X. That decision is group receiving the greatest exposure. Based on the explanation in Unit FFDCA section 408(b)(4) requires that based on the following findings: EPA explain the reasons for departing i. The toxicity database for III.C.3., regarding residential use patterns, chronic residential exposure to from the Codex level. chlorantraniliprole is complete. The Codex has not established a MRL residues of chlorantraniliprole is not ii. There is no indication that for chlorantraniliprole in or on palm oil. chlorantraniliprole is a neurotoxic expected. chemical and there is no need for a 3. Short-term and intermediate-term V. Conclusion developmental neurotoxicity study or risk. Short-term and intermediate-term Therefore, tolerances are established additional UFs to account for aggregate exposure takes into account for residues of chlorantraniliprole, 3- neurotoxicity. short-term and intermediate-term bromo-N-[4-chloro-2-methyl-6- iii. There is no evidence that residential exposure plus chronic [(methylamino)carbonyl]phenyl]-1-(3- chlorantraniliprole results in increased exposure to food and water (considered chloro-2-pyridinyl)-1 H-pyrozole-5- susceptibility in in utero rats or rabbits to be a background exposure level). carboxamide, in or on palm oil at 1.5 in the prenatal developmental studies or Because no short-term or intermediate- ppm. in young rats in the 2-generation term adverse effect was identified, the reproduction study. aggregate short-term or intermediate- VI. Statutory and Executive Order iv. There are no residual uncertainties term risk is the same as the dietary risk, Reviews identified in the exposure databases. which will not be greater than the This action establishes a tolerance The dietary food exposure assessments chronic aggregate risk. under FFDCA section 408(d) in were performed based on 100% CT and 4. Aggregate cancer risk for U.S. response to a petition submitted to the tolerance-level residues. EPA made population. Based on the lack of Agency. The Office of Management and conservative (protective) assumptions in evidence of carcinogenicity in two Budget (OMB) has exempted these types the ground and surface water modeling adequate rodent carcinogenicity studies, of actions from review under Executive used to assess exposure to chlorantraniliprole is not expected to Order 12866, entitled ‘‘Regulatory chlorantraniliprole in drinking water. pose a cancer risk to humans. Planning and Review’’ (58 FR 51735,

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October 4, 1993). Because this action Transfer and Advancement Act ENVIRONMENTAL PROTECTION has been exempted from review under (NTTAA) (15 U.S.C. 272 note). AGENCY Executive Order 12866, this action is not subject to Executive Order 13211, VII. Congressional Review Act 40 CFR Part 180 entitled ‘‘Actions Concerning Pursuant to the Congressional Review Regulations That Significantly Affect Act (5 U.S.C. 801 et seq.), EPA will [EPA–HQ–OPP–2018–0779; FRL–9996–14] Energy Supply, Distribution, or Use’’ (66 submit a report containing this rule and FR 28355, May 22, 2001) or Executive Thiamethoxam; Pesticide Tolerances other required information to the U.S. Order 13045, entitled ‘‘Protection of for Emergency Exemptions Children from Environmental Health Senate, the U.S. House of Risks and Safety Risks’’ (62 FR 19885, Representatives, and the Comptroller AGENCY: Environmental Protection April 23, 1997); or Executive Order General of the United States prior to Agency (EPA). 13771, entitled ‘‘reducing Regulations publication of the rule in the Federal ACTION: Final rule. and Controlling Regulatory Costs (82 FR Register. This action is not a ‘‘major 9339, February 3, 2017). This action rule’’ as defined by 5 U.S.C. 804(2). SUMMARY: This regulation establishes time-limited tolerances for residues of does not contain any information List of Subjects in 40 CFR Part 180 collections subject to OMB approval thiamethoxam in or on rice. This action under the Paperwork Reduction Act Environmental protection, is in response to EPA’s granting of an (PRA) (44 U.S.C. 3501 et seq.), nor does Administrative practice and procedure, emergency exemption under the Federal it require any special considerations Agricultural commodities, Pesticides Insecticide, Fungicide, and Rodenticide under Executive Order 12898, entitled and pests, Reporting and recordkeeping Act (FIFRA) authorizing use of the ‘‘Federal Actions to Address requirements. pesticide on rice. This regulation Environmental Justice in Minority establishes a maximum permissible Populations and Low-Income Dated: September 23, 2019. level for residues of thiamethoxam in or Populations’’ (59 FR 7629, February 16, Michael Goodis, on these commodities. The time-limited 1994). Director, Registration Division, Office of tolerances expire on December 31, 2024. Since tolerances and exemptions that Pesticide Programs. This action is also associated with the are established on the basis of a petition utilization of a crisis exemption under under FFDCA section 408(d), such as Therefore, 40 CFR chapter I is the FIFRA authorizing use of the the tolerance in this final rule, do not amended as follows: pesticide on rice. require the issuance of a proposed rule, DATES: This regulation is effective the requirements of the Regulatory PART 180—[AMENDED] October 7, 2019. Objections and Flexibility Act (RFA) (5 U.S.C. 601 et requests for hearings must be received seq.), do not apply. ■ 1. The authority citation for part 180 This action directly regulates growers, continues to read as follows: on or before December 6, 2019 and must be filed in accordance with the food processors, food handlers, and food Authority: 21 U.S.C. 321(q), 346a and 371. retailers, not States or tribes, nor does instructions provided in 40 CFR part 178 (see also Unit I.C. of the this action alter the relationships or ■ 2. In § 180.628, amend the table in SUPPLEMENTARY INFORMATION). distribution of power and paragraph (a) by adding alphabetically responsibilities established by Congress an entry for ‘‘Palm, oil’’ to read as ADDRESSES: The docket for this action, in the preemption provisions of FFDCA follows: identified by docket identification (ID) section 408(n)(4). As such, the Agency number EPA–HQ–OPP–2018–0779, is has determined that this action will not § 180.628 Chlorantraniliprole; tolerances available at http://www.regulations.gov have a substantial direct effect on States for residues. or at the Office of Pesticide Programs or tribal governments, on the Regulatory Public Docket (OPP Docket) (a) * * * relationship between the national in the Environmental Protection Agency government and the States or tribal Parts per Docket Center (EPA/DC), West William governments, or on the distribution of Commodity million Jefferson Clinton Bldg., Rm. 3334, 1301 power and responsibilities among the Constitution Ave. NW, Washington, DC various levels of government or between 20460–0001. The Public Reading Room the Federal Government and Indian ***** is open from 8:30 a.m. to 4:30 p.m., tribes. Thus, the Agency has determined Palm, oil 2 ...... 1.5 Monday through Friday, excluding legal that Executive Order 13132, entitled holidays. The telephone number for the ‘‘Federalism’’ (64 FR 43255, August 10, ***** Public Reading Room is (202) 566–1744, 1999) and Executive Order 13175, and the telephone number for the OPP 2 There are no U.S. registrations for use of entitled ‘‘Consultation and Coordination chlorantraniliprole on this commodity. Docket is (703) 305–5805. Please review with Indian Tribal Governments’’ (65 FR the visitor instructions and additional 67249, November 9, 2000) do not apply * * * * * information about the docket available to this action. In addition, this action at http://www.epa.gov/dockets. does not impose any enforceable duty or * * * * * FOR FURTHER INFORMATION CONTACT: contain any unfunded mandate as [FR Doc. 2019–21541 Filed 10–4–19; 8:45 am] Michael Goodis, Registration Division described under Title II of the Unfunded BILLING CODE 6560–50–P (7505P), Office of Pesticide Programs, Mandates Reform Act (UMRA) (2 U.S.C. Environmental Protection Agency, 1200 1501 et seq.). Pennsylvania Ave. NW, Washington, DC This action does not involve any 20460–0001; main telephone number: technical standards that would require (703) 305–7090; email address: Agency consideration of voluntary [email protected]. consensus standards pursuant to section 12(d) of the National Technology SUPPLEMENTARY INFORMATION:

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I. General Information notice. Submit the non-CBI copy of your defines ‘‘safe’’ to mean that ‘‘there is a objection or hearing request, identified reasonable certainty that no harm will A. Does this action apply to me? by docket ID number EPA–HQ–OPP– result from aggregate exposure to the You may be potentially affected by 2018–0779, by one of the following pesticide chemical residue, including this action if you are an agricultural methods: all anticipated dietary exposures and all producer, food manufacturer, or • Federal eRulemaking Portal: http:// other exposures for which there is pesticide manufacturer. The following www.regulations.gov. Follow the online reliable information.’’ This includes list of North American Industrial instructions for submitting comments. exposure through drinking water and in Classification System (NAICS) codes is Do not submit electronically any residential settings, but does not include not intended to be exhaustive, but rather information you consider to be CBI or occupational exposure. Section provides a guide to help readers other information whose disclosure is 408(b)(2)(C) of FFDCA requires EPA to determine whether this document restricted by statute. give special consideration to exposure • applies to them. Potentially affected Mail: OPP Docket, Environmental of infants and children to the pesticide entities may include: Protection Agency Docket Center (EPA/ chemical residue in establishing a • Crop production (NAICS code 111). DC), (28221T), 1200 Pennsylvania Ave. tolerance and to ‘‘ensure that there is a • Animal production (NAICS code NW, Washington, DC 20460–0001. reasonable certainty that no harm will 112). • Hand Delivery: To make special • result to infants and children from Food manufacturing (NAICS code arrangements for hand delivery or aggregate exposure to the pesticide 311). delivery of boxed information, please chemical residue. . . .’’ • Pesticide manufacturing (NAICS follow the instructions at https:// Section 18 of FIFRA authorizes EPA code 32532). www.epa.gov/dockets/where-send- to exempt any Federal or State agency comments-epa-dockets. B. How can I get electronic access to from any provision of FIFRA, if EPA Additional instructions on other related information? determines that ‘‘emergency conditions commenting or visiting the docket, exist which require such exemption.’’ You may access a frequently updated along with more information about EPA has established regulations electronic version of 40 CFR part 180 dockets generally, is available at http:// governing such emergency exemptions through the Government Printing www.epa.gov/dockets. Office’s e-CFR site at http:// in 40 CFR part 166. II. Background and Statutory Findings www.ecfr.gov/cgi-bin/text- III. Emergency Exemption for idx?&c=ecfr&tpl=/ecfrbrowse/Title40/ EPA, on its own initiative, in Thiamethoxam on Rice and FFDCA 40tab_02.tpl. To access the OCSPP test accordance with FFDCA sections 408(e) Tolerances guidelines referenced in this document and 408(l)(6) of, 21 U.S.C. 346a(e) and electronically, please go to https:// 346a(1)(6), is establishing time-limited During 2015, the first year the rice www.epa.gov/aboutepa/about-office- tolerances for residues of thiamethoxam, delphacid pest appeared in Texas, the chemical-safety-and-pollution- 3-[(2-chloro-5- Texas Department of Agriculture (TDA) prevention-ocspp and select ‘‘Test thiazolyl)methyl]tetrahydro-5-methyl-N- reported ratoon rice losses as high as Methods and Guidelines.’’ nitro-4H-1,3,5-oxadiazin-4-imine, in or 25%. TDA claims that they are on rice, grain at 6 parts per million experiencing high numbers of rice C. How can I file an objection or hearing (ppm) and rice, straw at 2 ppm. These delphacid in ratoon rice and recently, request? time-limited tolerances expire on pest populations over 8,000 nymphs Under section 408(g) of the Federal December 31, 2024. and adult rice delphacids per 10 sweeps Food, Drug, and Cosmetic Act (FFDCA), Section 408(l)(6) of FFDCA requires were observed in a rice field in 21 U.S.C. 346a, any person may file an EPA to establish a time-limited Galveston county. Approximately 60% objection to any aspect of this regulation tolerance or exemption from the of Texas’ rice crop is ratooned and in and may also request a hearing on those requirement for a tolerance for pesticide 2018, this represented more than objections. You must file your objection chemical residues in food that will 100,000 acres. There are no insecticides or request a hearing on this regulation result from the use of a pesticide under labeled specifically for rice delphacid, in accordance with the instructions an emergency exemption granted by and TDA says that products registered provided in 40 CFR part 178. To ensure EPA under FIFRA section 18. Such for leafhopper control in rice are not proper receipt by EPA, you must tolerances can be established without efficacious in controlling rice delphacid. identify docket ID number EPA–HQ– providing notice or period for public On October 31, 2018, the TDA issued a OPP–2018–0779 in the subject line on comment. EPA does not intend for its crisis exemption for use of the first page of your submission. All actions on FIFRA section 18 related thiamethoxam on rice. The crisis objections and requests for a hearing time-limited tolerances to set binding exemption expired on November 9, must be in writing and must be received precedents for the application of FFDCA 2018. Due to the short duration of the by the Hearing Clerk on or before section 408 and the safety standard to crisis exemption, the pest was not fully December 6, 2019. Addresses for mail other tolerances and exemptions. controlled and therefore, TDA and hand delivery of objections and Section 408(e) of FFDCA allows EPA to submitted a quarantine request for this hearing requests are provided in 40 CFR establish a tolerance or an exemption use pattern. 178.25(b). from the requirement of a tolerance on After having reviewed the In addition to filing an objection or its own initiative, i.e., without having submission, EPA determined that an hearing request with the Hearing Clerk received any petition from an outside emergency condition existed in this as described in 40 CFR part 178, please party. State, and that the criteria for approval submit a copy of the filing (excluding Section 408(b)(2)(A)(i) of FFDCA of an emergency exemption were met. any Confidential Business Information allows EPA to establish a tolerance (the On March 3, 2019, EPA authorized a (CBI)) for inclusion in the public docket. legal limit for a pesticide chemical quarantine exemption under FIFRA Information not marked confidential residue in or on a food) only if EPA section 18 for the use of thiamethoxam pursuant to 40 CFR part 2 may be determines that the tolerance is ‘‘safe.’’ on rice for control of rice delphacid in disclosed publicly by EPA without prior Section 408(b)(2)(A)(ii) of FFDCA Texas.

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As part of its evaluation of the and to make a determination on, from the United States Department of emergency exemption application, EPA aggregate exposure expected as a result Agriculture (USDA) 2003–2008 National assessed the potential risks presented by of this emergency exemption request Health and Nutrition Examination residues of thiamethoxam in or on rice. and the time-limited tolerances for Survey, What We Eat in America In doing so, EPA considered the safety residues of thiamethoxam on rice, grain (NHANES/WWEIA). As to residue levels standard in FFDCA section 408(b)(2), at 6 ppm rice, straw at 2 ppm. EPA’s in food, EPA assumed tolerance level and EPA decided that the necessary assessment of exposures and risks residues and 100 percent crop treated. tolerances under FFDCA section associated with establishing time- ii. Chronic exposure. In conducting 408(l)(6) would be consistent with the limited tolerances follows. the chronic dietary exposure assessment safety standard and with FIFRA section EPA used the food consumption data A. Toxicological Points of Departure/ 18. Consistent with the need to move from the USDA’s 2003–2008 NHANES/ Levels of Concern quickly on the emergency exemption in WWEIA). As to residue levels in food, order to address an urgent, non-routine Once a pesticide’s toxicological EPA assumed field-trial average situation and to ensure that the resulting profile is determined, EPA identifies residues and 100 percent crop treated food is safe and lawful, EPA is issuing toxicological points of departure (POD) (PCT). these tolerances without notice and and levels of concern to use in iii. Cancer. Based on the data opportunity for public comment as evaluating the risk posed by human summarized in Unit IV.A., EPA has provided in FFDCA section 408(l)(6). exposure to the pesticide. For hazards concluded that thiamethoxam does not Although these time-limited tolerances that have a threshold below which there pose a cancer risk to humans. Therefore, expire on December 31, 2024, under is no appreciable risk, the toxicological a dietary exposure assessment for the FFDCA section 408(l)(5), residues of the POD is used as the basis for derivation purpose of assessing cancer risk is pesticide not in excess of the amounts of reference values for risk assessment. unnecessary. specified in the tolerance remaining in PODs are developed based on a careful iv. Anticipated residue and percent or on rice after that date will not be analysis of the doses in each crop treated (PCT) information. EPA did unlawful, provided the pesticide was toxicological study to determine the not use anticipated residue and/or PCT applied in a manner that was lawful dose at which no adverse effects are information in the dietary assessment under FIFRA, and the residues do not observed (the NOAEL) and the lowest for thiamethoxam. Tolerance level exceed a level that was authorized by dose at which adverse effects of concern residues and 100 PCT were assumed for these time-limited tolerances at the time are identified (the LOAEL). Uncertainty/ all food commodities. of that application. EPA will take action safety factors are used in conjunction 2. Dietary exposure from drinking to revoke these time-limited tolerances with the POD to calculate a safe water. The Agency used screening level earlier if any experience with, scientific exposure level—generally referred to as water exposure models in the dietary data on, or other relevant information a population-adjusted dose (PAD) or a exposure analysis and risk assessment on this pesticide indicate that the reference dose (RfD)—and a safe margin for thiamethoxam in drinking water. residues are not safe. of exposure (MOE). For non-threshold These simulation models take into Because these time-limited tolerances risks, the Agency assumes that any account data on the physical, chemical, are being approved under emergency amount of exposure will lead to some and fate/transport characteristics of conditions, EPA has not made any degree of risk. Thus, the Agency thiamethoxam. Further information decisions about whether thiamethoxam estimates risk in terms of the probability regarding EPA drinking water models meets FIFRA’s registration requirements of an occurrence of the adverse effect used in pesticide exposure assessment for use on rice or whether permanent expected in a lifetime. For more can be found at https://www.epa.gov/ tolerances for this use would be information on the general principles pesticide-science-and-assessing- appropriate. Under these circumstances, EPA uses in risk characterization and a pesticide-risks/about-water-exposure- EPA does not believe that this time- complete description of the risk models-used-pesticide. limited tolerance decision serves as a assessment process, see https:// Based on the Pesticides in Flooded basis for registration of thiamethoxam www.epa.gov/pesticide-science-and- Applications Model (PFAM) or Tier 1 by a State for special local needs under assessing-pesticide-risks. Rice Model and Pesticide in Water FIFRA section 24(c), nor does this A summary of the toxicological Calculator (PWC)), the estimated tolerance by itself serve as the authority endpoints for thiamethoxam used for drinking water concentrations (EDWCs) for persons in any State other than human risk assessment is discussed in of thiamethoxam for acute exposures are Texas to use this pesticide on the Unit III.B. of the final rule published in estimated to be 20 ppb parts per billion applicable crops under FIFRA section the Federal Register of February 15, (ppb) for surface water and 63 ppb for 18, absent the issuance of an emergency 2017 (82 FR 10714) (FRL–9957–00). ground water. exemption applicable within that State. For chronic exposures for non-cancer For additional information regarding the B. Exposure Assessment assessments EDWCs are estimated to be emergency exemption for 1. Dietary exposure from food and 1.05 ppb for surface water and 58 ppb thiamethoxam, contact the Agency’s feed uses. In evaluating dietary for ground water. Registration Division at the address exposure to thiamethoxam, EPA Modeled estimates of drinking water provided under FOR FURTHER considered exposure under the time- concentrations were directly entered INFORMATION CONTACT. limited tolerances established by this into the dietary exposure model. For action as well as all existing acute dietary risk assessment, the water IV. Aggregate Risk Assessment and thiamethoxam tolerances in 40 CFR concentration value of 63 ppb was used Determination of Safety 180.565. EPA assessed dietary to assess the contribution to drinking Consistent with the factors specified exposures from thiamethoxam in food water. For chronic dietary risk in FFDCA section 408(b)(2)(D), EPA has as follows: assessment, the water concentration reviewed the available scientific data i. Acute exposure. Acute effects were value of 58 ppb was used to assess the and other relevant information in identified for thiamethoxam. In contribution to drinking water. support of this action. EPA has estimating acute dietary exposure, EPA 3. From non-dietary exposure. The sufficient data to assess the hazards of, used food consumption information term ‘‘residential exposure’’ is used in

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this document to refer to non- an additional tenfold (10X) margin of LOAELs and are, therefore, not occupational, non-dietary exposure safety for infants and children in the indicative of a quantitative (e.g., for lawn and garden pest control, case of threshold effects to account for susceptibility. Furthermore, the severity indoor pest control, termiticides, and prenatal and postnatal toxicity and the of effects in the parent and fetus/ flea and tick control on pets). completeness of the database on toxicity offspring generations in the three Thiamethoxam is currently registered and exposure unless EPA determines studies are comparable and therefore are for the following uses that could result based on reliable data that a different not indicative of qualitative sensitivity. in residential exposures: Turfgrass margin of safety will be safe for infants However, in the DNT and the 2004 2- (including golf courses, residential and children. This additional margin of generation reproduction toxicity studies lawns, and athletic fields), residential safety is commonly referred to as the in rats, developmental/offspring effects landscapes, structural/perimeter FQPA Safety Factor (SF). In applying were seen in the absence of maternal applications (indoors and outdoors in this provision, EPA either retains the toxicity; therefore, there is evidence of schools, apartments, etc.), and indoor default value of 10X, or uses a different quantitative susceptibility. In the 2004 control of bed bugs. EPA assessed additional SF when reliable data two-generation rat reproduction study, residential exposure using the following available to EPA support the choice of decreased total litter weights were assumptions: Short-term exposures, a different factor. observed in pups in the absence of lasting from 1 to 30 days, may occur 2. Prenatal and postnatal sensitivity. parental adverse effects. In the rat DNT from uses of thiamethoxam in In mammals, toxicological effects are study, decreased body weight and body residential settings. These exposures seen primarily in the liver, kidney, weight gain, as well as reduced brain may occur by dermal, inhalation, and testes, and blood cellular weight and size were observed in the incidental oral (children <6 years old) (hematopoietic) system. In addition, pups in the absence of adverse effects in routes. developmental neurological effects were dams. However, considering the overall Further information regarding EPA observed in rats. These developmental toxicity profile and the doses and standard assumptions and generic effects were used to assess risk endpoints selected for risk assessment, inputs for residential exposures may be associated with acute exposure to the degree of concern for the effects found at: https://www.epa.gov/ thiamethoxam, and the liver and observed in the studies is low because pesticide-science-and-assessing- testicular effects are the basis for (1) the developmental/offspring effects pesticide-risks/standard-operating- assessing longer-term exposures. The observed in the studies are well procedures-residential-pesticide. PODs used for risk assessment are characterized and (2) clear NOAELs/ 4. Cumulative effects from substances protective of all effects, including LOAELs have been identified in the with a common mechanism of toxicity. quantitative susceptibility observed in studies for the effects of concern. Section 408(b)(2)(D)(v) of FFDCA developmental and reproduction Additionally, the Agency is confident requires that, when considering whether studies, and the exposure assessments that the endpoints and PODs selected to establish, modify, or revoke a do not underestimate exposures. for risk assessment are protective of tolerance, the Agency consider 3. Conclusion. EPA has determined potential developmental/reproductive ‘‘available information’’ concerning the that reliable data show that the safety of effects. cumulative effects of a particular infants and children would be pesticide’s residues and ‘‘other adequately protected if the FQPA SF iv. There are no residual uncertainties substances that have a common were reduced to 1X. That decision is identified in the exposure databases. mechanism of toxicity.’’ based on the following findings: There are no residual uncertainties with EPA has not found thiamethoxam to i. The toxicity database for respect to dietary or residential share a common mechanism of toxicity thiamethoxam is complete. exposure. The dietary exposure with any other substances, and ii. Evidence of neurotoxicity was seen assessments are based on high-end thiamethoxam does not appear to in the acute and DNT studies in the rat. residue levels from crop field trials and produce a toxic metabolite produced by However, there is a low degree of empirical and default processing factors, other substances. Thiamethoxam and its concern for the potential neurotoxic both of which account for parent and clothianidin metabolite have different effects of thiamethoxam since: (1) Clear metabolites of concern, and the mechanisms of toxicity in mammals, NOAELs were identified for the assumption of 100 PCT for all and since clothianidin has a complete neurotoxic effects; (2) the neurotoxic agricultural commodities. Furthermore, database owing to its registration as a effects were not the most sensitive conservative, upper-bound assumptions pesticide active ingredient, it is endpoint in the toxicity database; and were used to determine exposure appropriate for EPA to evaluate its risks (3) the endpoints chosen for risk through drinking water, such that these separately. For the purposes of this assessment are protective of any exposures have not been tolerance action, therefore, EPA has potential neurotoxicity. underestimated. Therefore, the actual assumed that thiamethoxam does not iii. There is no evidence that risk from exposure to thiamethoxam have a common mechanism of toxicity thiamethoxam results in increased will likely be much lower than with other substances. For information susceptibility in in utero rats or rabbits calculated risk estimates. In addition, regarding EPA’s efforts to determine in the prenatal developmental studies or the residential exposure estimates are which chemicals have a common in young rats in the 2-generation conservative and do not underestimate mechanism of toxicity and to evaluate reproduction study. There was no exposure and risk. EPA made the cumulative effects of such evidence of increased quantitative conservative (protective) assumptions in chemicals, see EPA’s website at https:// susceptibility in the core guideline the ground and surface water modeling www.epa.gov/pesticide-science-and- toxicity studies. The maternal/parental used to assess exposure to assessing-pesticide-risks/cumulative- NOAELs/LOAELs in the 1998 two- thiamethoxam in drinking water. EPA assessment-risk-pesticides. generation reproduction toxicity study used similarly conservative assumptions and the core developmental toxicity to assess post-application exposure of C. Safety Factor for Infants and Children studies (rats and rabbits) occur at doses youth and children as well as incidental 1. In general. Section 408(b)(2)(C) of lower than or equal to the oral exposure of children 1 to 2 years FFDCA provides that EPA shall apply developmental/offspring NOAELs/ old (1 < 2). These assessments will not

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underestimate the exposure and risks 5. Aggregate cancer risk for U.S. on rice, grain at 6 ppm and rice, straw posed by thiamethoxam. population. Based on the lack of at 2 ppm. These tolerances expire on evidence of carcinogenicity in two December 31, 2024. D. Aggregate Risks and Determination of adequate rodent carcinogenicity studies, Safety VII. Statutory and Executive Order thiamethoxam is not expected to pose a Reviews EPA determines whether acute and cancer risk to humans. chronic dietary pesticide exposures are 6. Determination of safety. Based on This action establishes tolerances safe by comparing aggregate exposure these risk assessments, EPA concludes under FFDCA sections 408(e) and estimates to the acute PAD (aPAD) and that there is a reasonable certainty that 408(l)(6). The Office of Management and chronic PAD (cPAD). For linear cancer no harm will result to the general Budget (OMB) has exempted these types risks, EPA calculates the lifetime population, or to infants and children, of actions from review under Executive probability of acquiring cancer given the from aggregate exposure to Order 12866, entitled ‘‘Regulatory estimated aggregate exposure. Short-, thiamethoxam residues. Planning and Review’’ (58 FR 51735, intermediate-, and chronic-term risks October 4, 1993). Because this action are evaluated by comparing the V. Other Considerations has been exempted from review under estimated aggregate food, water, and A. Analytical Enforcement Methodology Executive Order 12866, this action is residential exposure to the appropriate not subject to Executive Order 13211, PODs to ensure that an adequate MOE An adequate method using liquid entitled ‘‘Actions Concerning exists. solvent extraction, solvent and solid- Regulations That Significantly Affect 1. Acute risk. Using the exposure phase extraction clean-up, and high- Energy Supply, Distribution, or Use’’ (66 assumptions discussed in this unit for performance liquid chromatography FR 28355, May 22, 2001) or Executive acute exposure, the acute dietary (HPLC) Method AG–675, is available to Order 13045, entitled ‘‘Protection of exposure from food and water to enforce the tolerance expression. Children from Environmental Health thiamethoxam will occupy 12% of the The method may be requested from: Risks and Safety Risks’’ (62 FR 19885, aPAD for children 1 to 2 years old, the Chief, Analytical Chemistry Branch, April 23, 1997). This action does not population group receiving the greatest Environmental Science Center, 701 contain any information collections exposure. Mapes Rd., Ft. Meade, MD 20755–5350; subject to OMB approval under the 2. Chronic risk. Using the exposure telephone number: (410) 305–2905; Paperwork Reduction Act (PRA), 44 assumptions described in this unit for email address: U.S.C. 3501 et seq., nor does it require chronic exposure, EPA has concluded [email protected]. any special considerations under that chronic exposure to thiamethoxam B. International Residue Limits Executive Order 12898, entitled from food and water will utilize 74% of ‘‘Federal Actions to Address the cPAD for (children 1 to 2 years old) In making its tolerance decisions, EPA Environmental Justice in Minority the population group receiving the seeks to harmonize U.S. tolerances with Populations and Low-Income greatest exposure. international standards whenever Populations’’ (59 FR 7629, February 16, 3. Short-term risk. Short-term possible, consistent with U.S. food 1994). aggregate exposure takes into account safety standards and agricultural Since tolerances and exemptions that short-term residential exposure plus practices. EPA considers the are established in accordance with chronic exposure to food and water international maximum residue limits FFDCA sections 408(e) and 408(l)(6), (considered to be a background (MRLs) established by the Codex such as the tolerances in this final rule, exposure level). Alimentarius Commission (Codex), as do not require the issuance of a Thiamethoxam is currently registered required by FFDCA section 408(b)(4). proposed rule, the requirements of the for uses that could result in short-term The Codex Alimentarius is a joint Regulatory Flexibility Act (RFA) (5 residential exposure, and the Agency United Nations Food and Agriculture U.S.C. 601 et seq.) do not apply. has determined that it is appropriate to Organization/World Health This action directly regulates growers, aggregate chronic exposure through food Organization food standards program, food processors, food handlers, and food and water with short-term residential and it is recognized as an international retailers, not States or tribes, nor does exposures to thiamethoxam. food safety standards-setting this action alter the relationships or Using the exposure assumptions organization in trade agreements to distribution of power and described in this unit for short-term which the United States is a party. EPA responsibilities established by Congress exposures, EPA has concluded the may establish a tolerance that is in the preemption provisions of FFDCA combined short-term food, water, and different from a Codex MRL; however, section 408(n)(4). As such, the Agency residential exposures result in aggregate FFDCA section 408(b)(4) requires that has determined that this action will not MOEs ranging from 130 for adults to 330 EPA explain the reasons for departing have a substantial direct effect on States for children less than 6 years old. from the Codex level. or tribal governments, on the Because EPA’s level of concern for Neither the Codex nor Canada has relationship between the national thiamethoxam is an MOE of 100 or established specific MRLs for government and the States or tribal below, these MOEs are not of concern. thiamethoxam residues in rice governments, or on the distribution of 4. Intermediate-term risk. commodities. Canada has established an power and responsibilities among the Intermediate-term aggregate exposure ‘‘All food crops’’ MRL at 0.02 ppm for various levels of government or between takes into account intermediate-term thiamethoxam that would apply to rice, the Federal Government and Indian non-dietary, non-occupational exposure but it is not specific to a use on rice. tribes. Thus, the Agency has determined plus chronic exposure to food and water that Executive Order 13132, entitled (considered to be a background VI. Conclusion ‘‘Federalism’’ (64 FR 43255, August 10, exposure level). Because no Therefore, time-limited tolerances are 1999) and Executive Order 13175, intermediate-term adverse effect was established for residues of entitled ‘‘Consultation and Coordination identified, thiamethoxam is not thiamethoxam, 3-[(2-chloro-5- with Indian Tribal Governments’’ (65 FR expected to pose an intermediate-term thiazolyl)methyl]tetrahydro-5-methyl-N- 67249, November 9, 2000) do not apply risk. nitro-4H-1,3,5-oxadiazin-4-imine, in or to this action. In addition, this action

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does not impose any enforceable duty or Parts per Jefferson Clinton Bldg., Rm. 3334, 1301 contain any unfunded mandate as Commodity million Expiration date Constitution Ave. NW, Washington, DC described under Title II of the Unfunded 20460–0001. The Public Reading Room Mandates Reform Act (UMRA) (2 U.S.C. Rice, grain ...... 6 12/31/2024 is open from 8:30 a.m. to 4:30 p.m., 1501 et seq.). Rice, straw ...... 2 12/31/2024 Monday through Friday, excluding legal This action does not involve any holidays. The telephone number for the * * * * * technical standards that would require Public Reading Room is (202) 566–1744, Agency consideration of voluntary [FR Doc. 2019–21539 Filed 10–4–19; 8:45 am] and the telephone number for the OPP consensus standards pursuant to section BILLING CODE 6560–50–P Docket is (703) 305–5805. Please review 12(d) of the National Technology the visitor instructions and additional Transfer and Advancement Act information about the docket available (NTTAA) (15 U.S.C. 272 note). ENVIRONMENTAL PROTECTION at http://www.epa.gov/dockets. AGENCY VIII. Congressional Review Act FOR FURTHER INFORMATION CONTACT: Michael Goodis, Registration Division Pursuant to the Congressional Review 40 CFR Part 180 (7505P), Office of Pesticide Programs, Act (5 U.S.C. 801 et seq.), EPA will [EPA–HQ–OPP–2019–0141; FRL–9996–15] Environmental Protection Agency, 1200 submit a report containing this rule and Pennsylvania Ave. NW, Washington, DC other required information to the U.S. Clothianidin; Pesticide Tolerance for 20460–0001; main telephone number: Senate, the U.S. House of Emergency Exemptions Representatives, and the Comptroller (703) 305–7090; email address: General of the United States prior to AGENCY: Environmental Protection [email protected]. publication of the rule in the Federal Agency (EPA). SUPPLEMENTARY INFORMATION: ACTION: Final rule. Register. This action is not a ‘‘major I. General Information rule’’ as defined by 5 U.S.C. 804(2). SUMMARY: This regulation establishes a A. Does this action apply to me? List of Subjects in 40 CFR Part 180 time-limited tolerance for residues of You may be potentially affected by Environmental protection, clothianidin in or on rice, grain. This this action if you are an agricultural Administrative practice and procedure, action is in response to EPA’s granting producer, food manufacturer, or Agricultural commodities, Pesticides of an emergency exemption under the pesticide manufacturer. The following and pests, Reporting and recordkeeping Federal Insecticide, Fungicide, and list of North American Industrial requirements. Rodenticide Act (FIFRA) authorizing use of thiamethoxam on rice. Emergency Classification System (NAICS) codes is Dated: September 19, 2019. use of thiamethoxam on rice results in not intended to be exhaustive, but rather Michael Goodis, potential clothianidin (a major provides a guide to help readers Director, Registration Division, Office of metabolite of thiamethoxam) residues determine whether this document Pesticide Programs. that when combined with the residues applies to them. Potentially affected Therefore, 40 CFR chapter I is from legal use of clothianidin on rice, entities may include: amended as follows: require an increase in the tolerance for • Crop production (NAICS code 111). • residues of clothianidin in rice. Animal production (NAICS code PART 180—[AMENDED] 112). Although there is an existing regulation • establishing a maximum permissible Food manufacturing (NAICS code ■ 1. The authority citation for part 180 level for residues of clothianidin in or 311). continues to read as follows: • on rice, grain at 0.01 ppm, this rule Pesticide manufacturing (NAICS Authority: 21 U.S.C. 321(q), 346a and 371. would establish a new, time-limited code 32532). ■ 2. In § 180.565, revise paragraph (b) to maximum permissible level at 0.5 ppm B. How can I get electronic access to read as follows: for clothianidin in or on rice, grain. The other related information? time-limited tolerance expires on § 180.565 Thiamethoxam; tolerances for You may access a frequently updated residues. December 31, 2024. This action is also electronic version of 40 CFR part 180 associated with the utilization of a crisis * * * * * through the Government Publishing exemption under the Federal (b) Section 18 emergency exemptions. Office’s e-CFR site at http:// Insecticide, Fungicide, and Rodenticide Time-limited tolerances specified in the www.ecfr.gov/cgi-bin/text- table are established for residues of the Act (FIFRA) authorizing use of idx?&c=ecfr&tpl=/ecfrbrowse/Title40/ insecticide thiamethoxam, including its thiamethoxam on rice. 40tab_02.tpl. To access the OCSPP test metabolites and degradates. Compliance DATES: This regulation is effective guidelines referenced in this document with the tolerance levels specified October 7, 2019. Objections and electronically, please go to https:// below is to be determined by measuring requests for hearings must be received www.epa.gov/aboutepa/about-office- only thiamethoxam 3-[(2-chloro-5- on or before December 6, 2019 and must chemical-safety-and-pollution- thiazolyl)methyl]tetrahydro-5-methyl-N- be filed in accordance with the prevention-ocspp. and select ‘‘Test nitro-4H–1,3,5-oxadiazin-4-imine and instructions provided in 40 CFR part Methods and Guidelines.’’ its metabolite CGA–322704 N-[(2- 178 (see also Unit I.C. of the chloro-thiazol-5-yl)methyl]-N′-methyl- SUPPLEMENTARY INFORMATION). C. How can I file an objection or hearing N″-nitro-guanidine, calculated as the ADDRESSES: The docket for this action, request? stoichiometric equivalent of identified by docket identification (ID) Under section 408(g) of the Federal thiamethoxam, in or on the specified number EPA–HQ–OPP–2019–0141, is Food, Drug, and Cosmetic Act (FFDCA), agricultural commodities, resulting from available at http://www.regulations.gov 21 U.S.C. 346a, any person may file an use of the pesticide pursuant to FFIFRA or at the Office of Pesticide Programs objection to any aspect of this regulation section 18 emergency exemptions. The Regulatory Public Docket (OPP Docket) and may also request a hearing on those tolerances expire on the date specified in the Environmental Protection Agency objections. You must file your objection in the table. Docket Center (EPA/DC), West William or request a hearing on this regulation

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in accordance with the instructions tolerances can be established without On October 31, 2018, the TDA issued a provided in 40 CFR part 178. To ensure providing notice or period for public crisis exemption for use of proper receipt by EPA, you must comment. EPA does not intend for its thiamethoxam on rice. The crisis identify docket ID number EPA–HQ– actions on FIFRA section 18 related exemption expired on November 9, OPP–2019–0141 in the subject line on time-limited tolerances to set binding 2018. Due to the short duration of the the first page of your submission. All precedents for the application of FFDCA crisis exemption, the pest was not fully objections and requests for a hearing section 408 and the safety standard to controlled and therefore, TDA must be in writing and must be received other tolerances and exemptions. submitted a quarantine request for this by the Hearing Clerk on or before Section 408(e) of FFDCA allows EPA to use pattern. December 6, 2019. Addresses for mail establish a tolerance or an exemption After having reviewed the and hand delivery of objections and from the requirement of a tolerance on submission, EPA determined that an hearing requests are provided in 40 CFR its own initiative, i.e., without having emergency condition existed in this 178.25(b). received any petition from an outside State, and that the criteria for approval In addition to filing an objection or party. of an emergency exemption were met. hearing request with the Hearing Clerk Section 408(b)(2)(A)(i) of FFDCA On March 3, 2019, EPA authorized a as described in 40 CFR part 178, please allows EPA to establish a tolerance (the quarantine exemption under FIFRA submit a copy of the filing (excluding legal limit for a pesticide chemical section 18 for the use of thiamethoxam any Confidential Business Information residue in or on a food) only if EPA on rice for control of rice delphacid in (CBI)) for inclusion in the public docket. determines that the tolerance is ‘‘safe.’’ Texas. EPA is establishing a time- Section 408(b)(2)(A)(ii) of FFDCA Information not marked confidential limited tolerance for thiamethoxam on defines ‘‘safe’’ to mean that ‘‘there is a pursuant to 40 CFR part 2 may be rice through a separate rulemaking. The reasonable certainty that no harm will disclosed publicly by EPA without prior emergency use of thiamethoxam in rice result from aggregate exposure to the notice. Submit the non-CBI copy of your can potentially result in residues of pesticide chemical residue, including objection or hearing request, identified clothianidin (a major metabolite of all anticipated dietary exposures and all by docket ID number EPA–HQ–OPP– thiamethoxam) which might exceed the other exposures for which there is 2019–0141, by one of the following existing tolerance level of 0.01 ppm reliable information.’’ This includes methods: clothianidin in rice. Therefore, a time- • Federal eRulemaking Portal: http:// exposure through drinking water and in limited tolerance for residues of www.regulations.gov. Follow the online residential settings but does not include clothianidin in rice, grain is being instructions for submitting comments. occupational exposure. Section established. As part of its evaluation of Do not submit electronically any 408(b)(2)(C) of FFDCA requires EPA to the emergency exemption application information you consider to be CBI or give special consideration to exposure for thiamethoxam, EPA assessed the other information whose disclosure is of infants and children to the pesticide potential risks presented by residues of restricted by statute. chemical residue in establishing a clothianidin in or on rice, since • Mail: OPP Docket, Environmental tolerance and to ‘‘ensure that there is a clothianidin is a major metabolite of Protection Agency Docket Center (EPA/ reasonable certainty that no harm will thiamethoxam. In doing so, EPA DC), (28221T), 1200 Pennsylvania Ave. result to infants and children from considered the safety standard in NW, Washington, DC 20460–0001. aggregate exposure to the pesticide • Hand Delivery: To make special chemical residue . . .’’ FFDCA section 408(b)(2), and EPA arrangements for hand delivery or Section 18 of FIFRA authorizes EPA decided that the necessary tolerances delivery of boxed information, please to exempt any Federal or State agency under FFDCA section 408(l)(6) would be follow the instructions at https:// from any provision of FIFRA, if EPA consistent with the safety standard and www.epa.gov/dockets/where-send- determines that ‘‘emergency conditions with FIFRA section 18. Consistent with comments-epa-dockets. exist which require such exemption.’’ the need to move quickly on the Additional instructions on EPA has established regulations emergency exemption in order to commenting or visiting the docket, governing such emergency exemptions address an urgent, non-routine situation along with more information about in 40 CFR part 166. and to ensure that the resulting food is safe and lawful, EPA is issuing these dockets generally, is available at http:// III. Emergency Exemption for www.epa.gov/dockets. tolerances without notice and Thiamethoxam on Rice and FFDCA opportunity for public comment as II. Background and Statutory Findings Tolerances for Clothianidin Residues provided in FFDCA section 408(l)(6). EPA, on its own initiative, in During 2015, the first year the rice Although this time-limited tolerance accordance with FFDCA sections 408(e) delphacid pest appeared in Texas, the expires on December 31, 2024, under and 408(l)(6) of, 21 U.S.C. 346a(e) and Texas Department of Agriculture (TDA) FFDCA section 408(l)(5), residues of the 346a(1)(6), is establishing a time-limited reported ratoon rice losses as high as pesticide not in excess of the amounts tolerance for residues of clothianidin, 25%. TDA claims that they are specified in the tolerance remaining in (E)-N-[(2-chloro-5-thiazolyl)methyl]-N ′ experiencing high numbers of rice or on rice after that date will not be -methyl-N ″ -nitroguanidine, in or on delphacid in ratoon rice and recently, unlawful, provided the pesticide was rice, grain at 0.5 parts per million pest populations over 8,000 nymphs applied in a manner that was lawful (ppm). This time-limited tolerance and adult rice delphacids per 10 sweeps under FIFRA, and the residues do not expires on December 31, 2024. were observed in a rice field in exceed a level that was authorized by Section 408(l)(6) of FFDCA requires Galveston county. Approximately 60% these time-limited tolerances at the time EPA to establish a time-limited of Texas’ rice crop is ratooned and in of that application. EPA will take action tolerance or exemption from the 2018, this represented more than to revoke these time-limited tolerances requirement for a tolerance for pesticide 100,000 acres. There are no insecticides earlier if any experience with, scientific chemical residues in food that will labeled specifically for rice delphacid, data on, or other relevant information result from the use of a pesticide under and TDA says that products registered on this pesticide indicate that the an emergency exemption granted by for leafhopper control in rice are not residues are not safe. This time-limited EPA under FIFRA section 18. Such efficacious in controlling rice delphacid. tolerance increase is being approved to

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address the potential increase in of exposure (MOE). For non-threshold for all food commodities with both clothianidin residues from the use of risks, the Agency assumes that any clothianidin and thiamethoxam. thiamethoxam under emergency amount of exposure will lead to some 2. Dietary exposure from drinking conditions. The clothianidin risk degree of risk. Thus, the Agency water. The Agency used screening level assessment appears in the February 6, estimates risk in terms of the probability water exposure models in the dietary 2019 memorandum titled of an occurrence of the adverse effect exposure analysis and risk assessment ‘‘Thiamethoxam. 19TX02 and 19TX03. expected in a lifetime. For more for clothianidin in drinking water. Human Health Risk Assessment for information on the general principles These simulation models take into Section 18 Emergency Exemption Use EPA uses in risk characterization and a account data on the physical, chemical, on Rice in Texas.’’ Under these complete description of the risk and fate/transport characteristics of circumstances, EPA does not believe assessment process, see https:// clothianidin. Further information that this time-limited tolerance decision www.epa.gov/pesticide-science-and- regarding EPA drinking water models serves as a basis for registration of assessing-pesticide-risks. used in pesticide exposure assessment clothianidin by a State for special local A summary of the toxicological can be found at https://www.epa.gov/ needs under FIFRA section 24(c), nor endpoints for clothianidin used for pesticide-science-and-assessing- does this tolerance by itself serve as the human risk assessment is discussed in pesticide-risks/about-water-exposure- authority for persons in any State other Unit III.B. of the final rule published in models-used-pesticide. than Texas to use clothianidin on the the Federal Register of August 29, 2012 Based on the Pesticides in Water applicable crops under FIFRA section (77 FR 52248) (FRL–9360–4). Calculator and Tier 1 Rice Model, the 18, absent the issuance of an emergency B. Exposure Assessment estimated drinking water concentrations exemption applicable within that State. (EDWCs) of clothianidin for acute 1. Dietary exposure from food and For additional information regarding the exposures are estimated to be 67 parts feed uses. In evaluating dietary emergency exemption for clothianidin, per billion (ppb) for surface water and exposure to clothianidin, EPA contact the Agency’s Registration 180 ppb for ground water. For chronic considered exposure from application of Division at the address provided under exposures for non-cancer assessments thiamethoxam under the time-limited FOR FURTHER INFORMATION CONTACT. are estimated to be 67 ppb for surface tolerances established by this action as water and 139 ppb for ground water. IV. Aggregate Risk Assessment and well as all existing clothianidin This is based on use of clothianidin as Determination of Safety tolerances in 40 CFR 180.586. EPA a pesticide active ingredient and does Consistent with the factors specified assessed dietary exposures from not include clothianidin as a in FFDCA section 408(b)(2)(D), EPA has clothianidin in food as follows: thiamethoxam metabolite, because reviewed the available scientific data i. Acute exposure. Acute effects were when thiamethoxam is applied to crops, and other relevant information in identified for clothianidin. In estimating the clothianidin metabolite is not a support of this action. EPA has acute dietary exposure, EPA used food sufficient data to assess the hazards of, consumption information from the major residue in drinking water. and to make a determination on, United States Department of Agriculture Modeled estimates of drinking water aggregate exposure expected as a result (USDA) 2003–2008 National Health and concentrations were directly entered of this emergency exemption request for Nutrition Examination Survey, What We into the dietary exposure model. For thiamethoxam, and the time-limited Eat in America (NHANES/WWEIA). As acute dietary risk assessment, the water tolerances for residues of clothianidin to residue levels in food, EPA assumed concentration value of 180 ppb was on rice, grain at 0.5 ppm. EPA’s tolerance-level residues and that 100% used to assess the contribution to assessment of exposures and risks of the commodities in the assessment drinking water. associated with establishing time- were treated (100 PCT) with both For chronic dietary risk assessment, limited tolerances follows. clothianidin and thiamethoxam. the water concentration value of 139 ii. Chronic exposure. In conducting ppb was used to assess the contribution A. Toxicological Points of Departure/ the chronic dietary exposure assessment to drinking water. Levels of Concern EPA used the food consumption data 3. From non-dietary exposure. The Once a pesticide’s toxicological from the USDA 2003–2008 National term ‘‘residential exposure’’ is used in profile is determined, EPA identifies Health and Nutrition Examination this document to refer to non- toxicological points of departure (POD) Survey, What We Eat in America occupational, non-dietary exposure and levels of concern to use in (NHANES/WWEIA). As to residue levels (e.g., for lawn and garden pest control, evaluating the risk posed by human in food, EPA assumed field-trial average indoor pest control, termiticides, and exposure to the pesticide. For hazards residues and that 100% of the flea and tick control on pets). that have a threshold below which there commodities in the assessment were Clothianidin is currently registered is no appreciable risk, the toxicological treated (100 PCT) with both clothianidin for the following uses that could result POD is used as the basis for derivation and thiamethoxam. in residential exposures: Turf, of reference values for risk assessment. iii. Cancer. Based on the data ornamental plants and indoor surfaces. PODs are developed based on a careful summarized in Unit IV.A., EPA has EPA assessed residential exposure using analysis of the doses in each concluded that clothianidin does not the following assumptions: Short-term toxicological study to determine the pose a cancer risk to humans. Therefore, handler (adults) and post-application dose at which no adverse effects are a dietary exposure assessment for the exposures (adults and children) may observed (the NOAEL) and the lowest purpose of assessing cancer risk is occur in accordance with existing uses. dose at which adverse effects of concern unnecessary. Further information regarding EPA are identified (the LOAEL). Uncertainty/ iv. Anticipated residue and percent standard assumptions and generic safety factors are used in conjunction crop treated (PCT) information. EPA did inputs for residential exposures may be with the POD to calculate a safe not use anticipated residue and/or PCT found at: https://www.epa.gov/ exposure level—generally referred to as information in the dietary assessment pesticide-science-and-assessing- a population-adjusted dose (PAD) or a for clothianidin. Tolerance level pesticide-risks/standard-operating- reference dose (RfD)—and a safe margin residues and 100% CT were assumed procedures-residential-pesticide.

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4. Cumulative effects from substances effects, indicating a concern for generation reproduction study in rats with a common mechanism of toxicity. qualitative susceptibility. However, a are protective of effects observed in Section 408(b)(2)(D)(v) of FFDCA guideline immunotoxicity study showed other species throughout the toxicology requires that, when considering whether no evidence of clothianidin-mediated database. to establish, modify, or revoke a immunotoxicity in adult rats, and a iv. There are no residual uncertainties tolerance, the Agency consider developmental immunotoxicity study for pre- and/or post-natal toxicity. ‘‘available information’’ concerning the demonstrated no susceptibility with v. The Agency is regulating the use of cumulative effects of a particular respect to offspring immunotoxicity. clothianidin based upon the most pesticide’s residues and ‘‘other Therefore, the residual concern for sensitive offspring effects observed in substances that have a common immunotoxicity in adults and offspring the reproduction toxicity study, and mechanism of toxicity.’’ is reduced. Since there is evidence of therefore the risk assessment is EPA has not found clothianidin to increased quantitative susceptibility of protective of these and other effects that share a common mechanism of toxicity the young following exposure to occurred at higher doses. with any other substances, and clothianidin in the rat reproduction vi. The exposure databases (dietary clothianidin does not appear to produce study and the rat developmental food, drinking water, and residential) a toxic metabolite produced by other neurotoxicity study (DNT), the Agency are complete. substances. For the purposes of this performed a degree of concern analysis vii. The risk assessment for each tolerance action, therefore, EPA has to: (1) Determine the level of concern for potential exposure scenario includes all assumed that clothianidin does not have the effects observed when considered in metabolites and/or degradates of a common mechanism of toxicity with the context of all available toxicity data; concern and does not underestimate other substances. For information and, (2) identify any residual potential exposure and risk for infants regarding EPA’s efforts to determine uncertainties after establishing toxicity or children. EPA made conservative which chemicals have a common endpoints and traditional uncertainty (protective) assumptions in the ground mechanism of toxicity and to evaluate factors to be used in the clothianidin and surface water modeling used to the cumulative effects of such risk assessment. If residual uncertainties assess exposure to clothianidin in chemicals, see EPA’s website at https:// are identified, the Agency examines drinking water. EPA used similarly www.epa.gov/pesticide-science-and- whether the residual uncertainties can conservative assumptions to assess post assessing-pesticide-risks/cumulative- be addressed by a FQPA safety factor, application exposure of children as well assessment-risk-pesticides. and if so, what factors should be as incidental oral exposure of toddlers. These assessments will not C. Safety Factor for Infants and Children retained. Considering the overall toxicity profile and the endpoints and underestimate the exposure and risks 1. In general. Section 408(b)(2)(C) of doses selected for the clothianidin risk posed by clothianidin. FFDCA provides that EPA shall apply assessment, the Agency characterized an additional tenfold (10X) margin of D. Aggregate Risks and Determination of the degree of concern for the effects Safety safety for infants and children in the observed in the clothianidin two- case of threshold effects to account for generation reproduction and DNT EPA determines whether acute and prenatal and postnatal toxicity and the studies as low because: (1) There are chronic dietary pesticide exposures are completeness of the database on toxicity clear NOAELs for the offspring effects safe by comparing aggregate exposure and exposure unless EPA determines and regulatory doses were selected to be estimates to the acute PAD (aPAD) and based on reliable data that a different protective against these effects; (2) no chronic PAD (cPAD). For linear cancer margin of safety will be safe for infants other residual uncertainties were risks, EPA calculates the lifetime and children. This additional margin of identified with respect to susceptibility probability of acquiring cancer given the safety is commonly referred to as the of infants and children; and (3) the estimated aggregate exposure. Short-, FQPA Safety Factor (SF). In applying endpoints and doses selected for intermediate-, and chronic-term risks this provision, EPA either retains the clothianidin are protective against are evaluated by comparing the default value of 10X, or uses a different adverse effects in both offspring and estimated aggregate food, water, and additional SF when reliable data adults. residential exposure to the appropriate available to EPA support the choice of 3. Conclusion. EPA has determined PODs to ensure that an adequate MOE a different factor. that reliable data show that the safety of exists. 2. Prenatal and postnatal sensitivity. infants and children would be 1. Acute risk. Using the exposure There is no residual concern for adequately protected if the FQPA SF assumptions discussed in this unit for increased qualitative or quantitative were reduced to 1X. That decision is acute exposure, the acute dietary susceptibility in the rat or rabbit based on the following findings: exposure from food and water to developmental toxicity studies; i. The toxicity database for clothianidin will occupy 19% of the however, there was increased clothianidin is complete, and includes aPAD for infants less than 1-year old, quantitative susceptibility in the two- developmental neurotoxicity, adult the population group receiving the generation reproduction and immunotoxicity and developmental greatest exposure. developmental neurotoxicity studies in immunotoxicity studies. 2. Chronic risk. Using the exposure the rat, as the offspring NOAELs were ii. The degree of concern for the assumptions described in this unit for below the parental NOAELs. Clear quantitative susceptibility observed in chronic exposure, EPA has concluded NOAELs were identified for the the clothianidin two-generation that chronic exposure to clothianidin offspring effects in these rat studies. reproduction and DNT studies is low from food and water will utilize 9% of There were indications of potential based on the clear NOAELs for the the cPAD for (infants less than 1-year immunotoxicity in the database. offspring effects and the selection of old), the population group receiving the Decreased absolute and relative thymus regulatory doses that are protective of greatest exposure. Based on the and spleen weights were observed in those effects. explanation in the unit regarding multiple studies. Juvenile rats in the iii. The rat is the most sensitive residential use patterns, chronic two-generation reproduction study species tested, and the NOAEL and residential exposure to residues of appeared to be more susceptible to these LOAEL selected from the two- clothianidin is not expected.

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3. Short-term risk. Short-term safety standards and agricultural Populations’’ (59 FR 7629, February 16, aggregate exposure takes into account practices. EPA considers the 1994). short-term residential exposure plus international maximum residue limits Since tolerances and exemptions that chronic exposure to food and water (MRLs) established by the Codex are established in accordance with Alimentarius Commission (Codex), as (considered to be a background FFDCA sections 408(e) and 408(l)(6), exposure level). required by FFDCA section 408(b)(4). such as the tolerances in this final rule, Clothianidin is currently registered The Codex Alimentarius is a joint do not require the issuance of a for uses that could result in short-term United Nations Food and Agriculture residential exposure, and the Agency Organization/World Health proposed rule, the requirements of the has determined that it is appropriate to Organization food standards program, Regulatory Flexibility Act (RFA) (5 aggregate chronic exposure through food and it is recognized as an international U.S.C. 601 et seq.) do not apply. and water with short-term residential food safety standards-setting This action directly regulates growers, exposures to clothianidin. organization in trade agreements to food processors, food handlers, and food Using the exposure assumptions which the United States is a party. EPA retailers, not States or tribes, nor does described in this unit for short-term may establish a tolerance that is this action alter the relationships or exposures, EPA has concluded the different from a Codex MRL; however, distribution of power and combined short-term food, water, and FFDCA section 408(b)(4) requires that responsibilities established by Congress residential exposures result in aggregate EPA explain the reasons for departing in the preemption provisions of FFDCA MOEs of 390 for adults and 150 for from the Codex level. section 408(n)(4). As such, the Agency The time-limited tolerance of 0.5 ppm children. Because EPA’s level of has determined that this action will not in or on rice, grain is consistent with the concern for clothianidin is an MOE of have a substantial direct effect on States 100 or below, these MOEs are not of existing Codex MRL of 0.5 ppm. EPA is recommending that the tolerance level or tribal governments, on the concern. relationship between the national 4. Intermediate-term risk. of 0.4 ppm suggested by the OECD government and the States or tribal Intermediate-term aggregate exposure Calculation Procedures be raised to 0.5 governments, or on the distribution of takes into account intermediate-term ppm to harmonize with the Codex MRL. non-dietary, non-occupational exposure The Agency notes that the compliance power and responsibilities among the plus chronic exposure to food and water residue definitions for the US, Canada, various levels of government or between (considered to be a background and Codex are harmonized; all specify the Federal Government and Indian exposure level). Because no only clothianidin. tribes. Thus, the Agency has determined intermediate-term adverse effect was VI. Conclusion that Executive Order 13132, entitled identified, clothianidin is not expected ‘‘Federalism’’ (64 FR 43255, August 10, Therefore, a time-limited tolerance is to pose an intermediate-term risk. 1999) and Executive Order 13175, established for residues of clothianidin, 5. Aggregate cancer risk for U.S. entitled ‘‘Consultation and Coordination (E)-N-[(2-chloro-5-thiazolyl)methyl]-N′ population. Based on the lack of with Indian Tribal Governments’’ (65 FR -methyl-N″ -nitroguanidine, in or on evidence of carcinogenicity in two 67249, November 9, 2000) do not apply rice, grain at 0.5 ppm. This tolerance adequate rodent carcinogenicity studies, to this action. In addition, this action expires on December 31, 2024. clothianidin is not expected to pose a does not impose any enforceable duty or cancer risk to humans. VII. Statutory and Executive Order contain any unfunded mandate as 6. Determination of safety. Based on Reviews described under Title II of the Unfunded these risk assessments, EPA concludes This action establishes tolerances Mandates Reform Act (UMRA) (2 U.S.C. that there is a reasonable certainty that under FFDCA sections 408(e) and 1501 et seq.). This action does not no harm will result to the general 408(l)(6). The Office of Management and involve any technical standards that population, or to infants and children, Budget (OMB) has exempted these types would require Agency consideration of from aggregate exposure to clothianidin of actions from review under Executive voluntary consensus standards pursuant residues. Order 12866, entitled ‘‘Regulatory to section 12(d) of the National V. Other Considerations Planning and Review’’ (58 FR 51735, Technology Transfer and Advancement October 4, 1993). Because this action Act (NTTAA) (15 U.S.C. 272 note). A. Analytical Enforcement Methodology has been exempted from review under VIII. Congressional Review Act An adequate method using liquid Executive Order 12866, this action is solvent extraction, solvent and solid- not subject to Executive Order 13211, Pursuant to the Congressional Review phase extraction clean-up, and high- entitled ‘‘Actions Concerning Act (5 U.S.C. 801 et seq.), EPA will performance liquid chromatography Regulations That Significantly Affect submit a report containing this rule and (HPLC) Method AG–675, is available to Energy Supply, Distribution, or Use’’ (66 other required information to the U.S. enforce the tolerances. FR 28355, May 22, 2001) or Executive Senate, the U.S. House of Order 13045, entitled ‘‘Protection of The method may be requested from: Representatives, and the Comptroller Children from Environmental Health Chief, Analytical Chemistry Branch, General of the United States prior to Risks and Safety Risks’’ (62 FR 19885, Environmental Science Center, 701 publication of the rule in the Federal April 23, 1997). This action does not Mapes Rd., Ft. Meade, MD 20755–5350; Register. This action is not a ‘‘major telephone number: (410) 305–2905; contain any information collections rule’’ as defined by 5 U.S.C. 804(2). email address: subject to OMB approval under the [email protected]. Paperwork Reduction Act (PRA), 44 List of Subjects in 40 CFR Part 180 U.S.C. 3501 et seq., nor does it require B. International Residue Limits any special considerations under Environmental protection, In making its tolerance decisions, EPA Executive Order 12898, entitled Administrative practice and procedure, seeks to harmonize U.S. tolerances with ‘‘Federal Actions to Address Agricultural commodities, Pesticides international standards whenever Environmental Justice in Minority and pests, Reporting and recordkeeping possible, consistent with U.S. food Populations and Low-Income requirements.

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Dated: September 19, 2019. PART 180—[AMENDED] ■ 2. In § 180.586, add alphabetically the Michael Goodis, entry ‘‘Rice, grain’’ to the table in Director, Registration Division, Office of ■ 1. The authority citation for part 180 paragraph (b) to read as follows: Pesticide Programs. continues to read as follows: § 180.586 Clothianidin; tolerances for residues. Therefore, 40 CFR chapter I is Authority: 21 U.S.C. 321(q), 346a and 371. amended as follows: * * * * *

Parts per Commodity million Expiration date

******* Rice, grain ...... 0.5 12/31/2024

* * * * * ACTION: Notice of findings. we ask the public to submit to us at any [FR Doc. 2019–21540 Filed 10–4–19; 8:45 am] time any new information relevant to SUMMARY: We, the U.S. Fish and BILLING CODE 6560–50–P the status of any of the species Wildlife Service (Service), announce mentioned above or their habitats. findings that 12 species are not warranted for listing as endangered or DATES: The findings in this document DEPARTMENT OF THE INTERIOR threatened species under the were made on October 7, 2019. Fish and Wildlife Service Endangered Species Act of 1973, as ADDRESSES: Detailed descriptions of the amended (Act). After a thorough review basis for each of these findings are of the best available scientific and 50 CFR Part 17 available on the internet at http:// commercial information, we find that it www.regulations.gov under the [4500090022] is not warranted at this time to list the following docket numbers: Berry Cave salamander, cobblestone Endangered and Threatened Wildlife tiger beetle, Florida clamshell orchid, and Plants; Twelve Species Not longhead darter, Ocala vetch, Panamint Warranted for Listing as Endangered or Threatened Species alligator lizard, Peaks of Otter salamander, redlips darter, Scott riffle AGENCY: Fish and Wildlife Service, beetle, southern hognose snake, yellow Interior. anise tree, and yellow-cedar. However,

Species Docket No.

Berry Cave salamander ...... FWS–R4–ES–2019–0048 Cobblestone tiger beetle ...... FWS–R5–ES–2019–0074 Florida clamshell orchid ...... FWS–R4–ES–2019–0075 Longhead darter ...... FWS–R5–ES–2019–0076 Ocala vetch ...... FWS–R4–ES–2019–0077 Panamint alligator lizard ...... FWS–R8–ES–2015–0105 Peaks of Otter salamander ...... FWS–R5–ES–2015–0106 Redlips darter ...... FWS–R4–ES–2019–0078 Scott riffle beetle ...... FWS–R6–ES–2015–0114 Southern hognose snake ...... FWS–R4–ES–2015–0063 Yellow anise tree ...... FWS–R4–ES–2019–0079 Yellow-cedar ...... FWS–R7–ES–2015–0025

Supporting information used to specified under FOR FURTHER under FOR FURTHER INFORMATION prepare these findings is available for INFORMATION CONTACT. Please submit any CONTACT. public inspection, by appointment, new information, materials, comments, during normal business hours, by or questions concerning these findings FOR FURTHER INFORMATION CONTACT: contacting the appropriate person, as to the appropriate person, as specified

Species Contact information

Berry Cave salamander ...... Lee Andrews, Field Supervisor, Tennessee and Kentucky Ecological Services Field Offices, 502–695– 0468, ext. 108. Cobblestone tiger beetle ...... Tom Chapman, Supervisor, New England Field Office, 603–223–2541. Florida clamshell orchid ...... Roxanna Hinzman, Field Supervisor, South Florida Field Office, 772–469–4310. Longhead darter ...... John Schmidt, Project Leader, West Virginia Field Office, 304–636–6586. Ocala vetch ...... Jay Herrington, Field Supervisor, North Florida Field Office, 904–731–3191. Panamint alligator lizard ...... Gjon Hazard, Biologist, Carlsbad Fish and Wildlife Office, 760–431–9440, ext. 287. Peaks of Otter salamander ...... Cindy Schulz, Supervisor, Virginia Field Office, 804–824–2426. Redlips darter ...... Lee Andrews, Field Supervisor, Tennessee and Kentucky Ecological Services Field Offices, 502–695– 0468, ext. 108. Scott riffle beetle ...... Gibran Suleiman, Biologist, Kansas Ecological Services Field Office, 785–539–3474, ext. 114.

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Species Contact information

Southern hognose snake ...... Tom McCoy, Field Supervisor, South Carolina Ecological Service Field Office, 843–727–4707, ext. 227. Yellow anise tree ...... Jay Herrington, Field Supervisor, North Florida Field Office, 904–731–3191. Yellow-cedar ...... Stewart Cogswell, Field Supervisor, Anchorage Field Office, 907–271–2787.

If you use a telecommunications species or a threatened species because ‘‘endangered species’’ or ‘‘threatened device for the deaf (TDD), please call the of any of the following five factors: species,’’ we considered and thoroughly Federal Relay Service at 800–877–8339. (A) The present or threatened evaluated the best scientific and SUPPLEMENTARY INFORMATION: destruction, modification, or commercial information available curtailment of its habitat or range; regarding the past, present, and future Background (B) Overutilization for commercial, stressors and threats. We reviewed the Under section 4(b)(3)(B) of the Act (16 recreational, scientific, or educational petitions, information available in our U.S.C. 1531 et seq.), we are required to purposes; files, and other available published and make a finding whether or not a (C) Disease or predation; unpublished information. These petitioned action is warranted within 12 (D) The inadequacy of existing evaluations may include information months after receiving any petition for regulatory mechanisms; or from recognized experts; Federal, State, which we have determined contained (E) Other natural or manmade factors and tribal governments; academic substantial scientific or commercial affecting its continued existence. institutions; foreign governments; In considering whether a species may information indicating that the private entities; and other members of meet the definition of an endangered petitioned action may be warranted the public. species or a threatened species because (‘‘12-month finding’’). We must make a The species assessments for the Berry of any of the five factors, we must look finding that the petitioned action is: (1) Cave salamander, cobblestone tiger beyond the mere exposure of the species Not warranted; (2) warranted; or (3) beetle, Florida clamshell orchid, to the stressor to determine whether the warranted but precluded. ‘‘Warranted longhead darter, Ocala vetch, Panamint species responds to the stressor in a way but precluded’’ means that (a) the alligator lizard, Peaks of Otter that causes actual impacts to the petitioned action is warranted, but the salamander, redlips darter, Scott riffle species. If there is exposure to a stressor, immediate proposal of a regulation beetle, southern hognose snake, yellow but no response, or only a positive implementing the petitioned action is anise tree, and yellow-cedar contain response, that stressor does not cause a precluded by other pending proposals to more detailed biological information, a determine whether species are species to meet the definition of an endangered species or a threatened thorough analysis of the listing factors, endangered or threatened species, and and an explanation of why we (b) expeditious progress is being made species. If there is exposure and the species responds negatively, we determined that these species do not to add qualified species to the Lists of meet the definition of an endangered Endangered and Threatened Wildlife determine whether that stressor drives or contributes to the risk of extinction species or a threatened species. This and Plants (Lists) and to remove from supporting information can be found on the Lists species for which the of the species such that the species warrants listing as an endangered or the internet at http:// protections of the Act are no longer www.regulations.gov under the necessary. Section 4(b)(3)(C) of the Act threatened species. The mere identification of stressors that could appropriate docket number (see requires that we treat a petition for ADDRESSES, above). The following are which the requested action is found to affect a species negatively is not sufficient to compel a finding that informational summaries for each of the be warranted but precluded as though findings in this document. resubmitted on the date of such finding, listing is or remains warranted. For a that is, requiring that a subsequent species to be listed or remain listed, we Berry Cave Salamander require evidence that these stressors are finding be made within 12 months of Previous Federal Actions that date. We must publish these 12- operative threats to the species and its month findings in the Federal Register. habitat, either singly or in combination, On January 22, 2003, we received a to the point that the species meets the petition from Dr. John Nolt requesting Summary of Information Pertaining to definition of an endangered or a that the Berry Cave salamander be listed the Five Factors threatened species under the Act. as an endangered species under the Act. Section 4 of the Act (16 U.S.C. 1533) In conducting our evaluation of the On March 18, 2010, we published a 90- and the implementing regulations at five factors provided in section 4(a)(1) of day finding in the Federal Register (75 part 424 of title 50 of the Code of the Act to determine whether the Berry FR 13068), concluding that the petition Federal Regulations (50 CFR part 424) Cave salamander (Gyrinophilus presented substantial information set forth procedures for adding species gulolineatus), cobblestone tiger beetle indicating that listing the Berry Cave to, removing species from, or (Cicindela marginipennis), Prosthechea salamander may be warranted. On reclassifying species on the Lists. The cochleata var. triandra (Florida March 22, 2011, we published a 12- Act defines ‘‘endangered species’’ as clamshell orchid), longhead darter month finding in the Federal Register any species that is in danger of (Percina macrocephala), Vicia ocalensis (76 FR 15919) in which we stated that extinction throughout all or a significant (Ocala vetch), Panamint alligator lizard listing the Berry Cave salamander as portion of its range (16 U.S.C. 1532(6)), (Elgaria panamintina), Peaks of Otter endangered or threatened was and ‘‘threatened species’’ as any species salamander (Plethodon hubrichti), warranted primarily due to habitat that is likely to become an endangered redlips darter (Etheostoma maydeni), modification. However, listing was species within the foreseeable future Scott riffle beetle (Optioservus phaeus), precluded at that time by higher priority throughout all or a significant portion of southern hognose snake (Heterodon actions, and the species was added to its range (16 U.S.C. 1532(20)). Under simus), Illicium parviflorum (yellow the candidate species list. From 2011 section 4(a)(1) of the Act, a species may anise tree), and Callitropsis nootkatensis through 2016, we addressed the status be determined to be an endangered (yellow-cedar) meet the definition of of the Berry Cave salamander annually

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in our candidate notice of review, with Therefore, we find that listing the addressing these stressors. The primary the determination that listing was Berry Cave salamander as an stressors affecting the species’ biological warranted, but precluded (see 76 FR endangered species or threatened status include those related to changes 66370, October 26, 2011; 77 FR 69994, species under the Act is not warranted. in the natural hydrological regime and November 21, 2012; 78 FR 70104, A detailed discussion of the basis for the effects of climate change, including November 22, 2013; 79 FR 72450, this finding can be found in the Berry increased temperatures, flooding, and December 5, 2014; 80 FR 80584, Cave salamander species assessment storms. Our review indicates that December 24, 2015; 81 FR 87246, and other supporting documents (see despite these stressors, the continued December 2, 2016). ADDRESSES, above). persistence of occupied areas across the species’ range provides sufficient Summary of Finding Cobblestone Tiger Beetle resiliency, redundancy, and The Berry Cave salamander is a Previous Federal Actions representation to sustain the species member of the Tennessee cave On April 20, 2010, we received a beyond the near term. Despite some salamander species complex. It is petition from the Center for Biological reduction in its range, there is currently differentiated from other species by a Diversity, Alabama Rivers Alliance, representation across the majority of the distinctive dark spot or stripe on the Clinch Coalition, Dogwood Alliance, species’ historical range. Where extant, anterior portion of the throat, a wider Gulf Restoration Network, Tennessee the species has sufficient resiliency and head, and flatter snout. The species is Forests Council, and West Virginia redundancy to withstand environmental endemic to eastern Tennessee, where it Highlands Conservancy to list 404 or demographic stochastic events as was known historically from ten caves. aquatic, riparian, and wetland species, well as catastrophic events. Therefore, The current range of the species is including the cobblestone tiger beetle, the risk of extinction is currently similar to its historical range, and recent as endangered or threatened species extremely low. In the future, the species surveys indicate the species currently under the Act. On September 27, 2011, is expected to retain its resiliency, occurs in nine caves. we published a 90-day finding in the redundancy, and representation to a Water quality and availability are Federal Register (76 FR 59836), sufficient degree such that the species fundamental to the survival of the Berry concluding that the petition presented will not be in danger of extinction in the Cave salamander. The underground substantial information indicating that foreseeable future. streams inhabited by Berry Cave listing the cobblestone tiger beetle may Therefore, we find that listing the salamanders are dynamic and vary in be warranted. This notice constitutes cobblestone tiger beetle as an depth and velocity depending on local our 12-month finding on the April 20, endangered species or threatened precipitation. The Berry Cave 2010, petition to list the cobblestone species under the Act is not warranted. salamander is typically found resting on tiger beetle under the Act. A detailed discussion of the basis for the bottom of pools and underneath this finding can be found in the cover, such as rocks, logs, and other Summary of Finding cobblestone tiger beetle species organic debris either in low-velocity Cobblestone tiger beetles are assessment and other supporting pools with mud substrate or in pools approximately 11 to 14 millimeters (0.4 documents (see ADDRESSES, above). with gravel or cobble substrate. to 0.6 inches) in length and have large Florida Clamshell Orchid We have carefully assessed the best mandibles used to capture prey. Their scientific and commercial information hardened forewings are dull olive with Previous Federal Actions available regarding the past, present, a cream-colored border. When the On April 20, 2010, we received a and future threats to the Berry Cave forewings are spread, their bright red- petition from the Center for Biological salamander, and we evaluated all orange abdomens are exposed. Diversity, Alabama Rivers Alliance, relevant factors under the five listing The species occurs in several States Clinch Coalition, Dogwood Alliance, factors, including any regulatory throughout the eastern United States Gulf Restoration Network, Tennessee mechanisms and conservation measures and into New Brunswick, Canada, and Forests Council, and West Virginia addressing these stressors. The primary lives in riverine or shoreline habitats Highlands Conservancy to list 404 stressors affecting the species’ biological with cobble substrates. While there is no aquatic, riparian, and wetland species, status include decreased substrate and overall population estimate of the including the Florida clamshell orchid, water quality. Since our previous 12- cobblestone tiger beetle, the species as endangered or threatened species month findings, additional surveys and likely functions within a under the Act. On September 27, 2011, analysis of those data have provided a metapopulation structure. Its cobble bar we published a 90-day finding in the better understanding of the Berry Cave habitat is found in hydrological regimes Federal Register (76 FR 59836), salamander. The surveys provided new that undergo periods of intense scouring concluding that the petition presented information regarding the species’ or flooding that create, maintain, and substantial information indicating that range, population dynamics and life occasionally destroy the habitat. listing the Florida clamshell orchid may history. We incorporated this new Vegetation is also an important be warranted. This notice constitutes information into our status review and component of the beetle’s habitat, our 12-month finding on the April 20, found that despite impacts from although plant species composition, 2010, petition to list the Florida stressors, the species continues to structure, and density parameters will clamshell orchid under the Act. persist across most of its historical range vary throughout the species’ range. and has been found in additional caves We have carefully assessed the best Summary of Finding outside its known historical range. scientific and commercial information The Florida clamshell orchid is a Although we predict some continued available regarding the past, present, showy, flowering plant endemic to impacts from these stressors in the and future threats to the cobblestone southern Florida. The species grows foreseeable future, we anticipate the tiger beetle, and we evaluated all with the presence of a symbiotic fungus species will remain viable with resilient relevant factors under the five listing attached to tree limbs or snags. The populations distributed within its factors, including any regulatory orchid is found high in the tree canopy representative physiographic province. mechanisms and conservation measures of a variety of south Florida habitat

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types: Pond apple slough, strand aquatic, riparian, and wetland species, species or threatened species under the swamp, dome swamp, rockland including the longhead darter, as Act is not warranted. A detailed hammock, coastal buttonwood endangered or threatened species under discussion of the basis for this finding hammock, and mesic (moderately wet) the Act. On September 27, 2011, we can be found in the longhead darter and hydric (wet) prairie hammock. published a 90-day finding in the species assessment and other supporting We have carefully assessed the best Federal Register (76 FR 59836), documents (see ADDRESSES, above). scientific and commercial information concluding that the petition presented available regarding the past, present, substantial information indicating that Ocala Vetch and future threats to the Florida listing the longhead darter may be Previous Federal Actions warranted. This notice constitutes our clamshell orchid, and we evaluated all On April 20, 2010, we received a 12-month finding on the April 20, 2010, relevant factors under the five listing petition from the Center for Biological petition to list the longhead darter factors, including any regulatory Diversity, Alabama Rivers Alliance, under the Act. mechanisms and conservation measures Clinch Coalition, Dogwood Alliance, addressing these stressors. The primary Summary of Finding Gulf Restoration Network, Tennessee stressors affecting the species’ biological Forests Council, and West Virginia status include habitat modification and The longhead darter is a small freshwater fish, approximately 10 Highlands Conservancy to list 404 destruction due to sea level rise, aquatic, riparian, and wetland species, saltwater intrusion, and increasing centimeters (4 inches) long, with a sharply pointed snout; brown, tan, including the Ocala vetch, as hurricane storm surge. endangered or threatened species under Despite these past and ongoing olive, or straw-colored back and upper the Act. On September 27, 2011, we stressors, the Florida clamshell orchid sides; a white or light yellow lower and published a 90-day finding in the remains extant in 15 of its 18 historical underside; and a black, blotchy lateral Federal Register (76 FR 59836), populations, which provides line. The longhead darter is found in six concluding that the petition presented redundancy for the species. In addition, states throughout the eastern United substantial information indicating that these populations are highly resilient States. Rivers within the longhead listing the Ocala vetch may be because they exist in favorable habitat darter’s range are ecologically diverse. warranted. This notice constitutes our conditions with host trees and adequate River gradients range from low to high, 12-month finding on the April 20, 2010, hydrology and moisture regimes. In with variable substrate (e.g., rocky, petition to list the Ocala vetch under the addition, all populations (together sandy with cobble, sandy with glacial Act. extending approximately 809,000 till) and variable alkalinity. Five of 10 hectares (2,000,000 acres)) are on public historical populations are extant; the Summary of Finding species is relatively common in some of lands managed for conservation. Among The Ocala vetch is an herbaceous, numerous conservation efforts, the these populations, and the distribution is expanding in others. Of the remaining relatively robust perennial vine found in species is protected by the State of open marshy, shoreline habitats in Florida under the Regulated Plant Index five historical populations, three are extirpated, and the statuses of two are Marion, Lake, and Volusia Counties in (which defines the categories of Florida. Four of the five areas where regulated plants in the state and lists the unknown. However, there are ongoing reintroduction efforts in central Ohio, Ocala vetch occur are along Alexander species in each category) and is the Springs, Juniper Creek, Salt Springs, subject of successful propagation and and fish have already been reintroduced in one extirpated population. and Silver Glen Springs within Ocala reintroduction programs on the Florida We have carefully assessed the best National Forest, and the fifth area is Panther National Wildlife Refuge. In the scientific and commercial information along Lake Dexter within Lake Woodruff foreseeable future, we anticipate sea available regarding the past, present, National Wildlife Refuge. The Ocala level rise will reduce the resiliency of and future threats to the longhead vetch has nearly hairless stems attaining some populations and overall species darter, and we evaluated all relevant lengths of 1.2 meters (3.9 feet) or more. redundancy; however, we predict factors under the five listing factors, The flowers are 10 to 12 millimeters (0.4 inland populations to remain protected including any regulatory mechanisms to 0.5 inches) long, with lavender blue and resilient such that the species will and conservation measures addressing to white petals and a faintly striped not become endangered within the these stressors. The primary stressors banner petal. As with most plants, the foreseeable future. affecting the species’ biological status Ocala vetch requires sunlight, carbon Therefore, we find that listing the include sedimentation, poor water dioxide, water, soil, and essential Florida clamshell orchid as an quality, habitat fragmentation, and, to a nutrients to survive and grow. It is a endangered species or threatened lesser extent, effects of invasive species dicot flowering plant that requires species under the Act is not warranted. and effects of climate change, including insect pollination for seed production. A detailed discussion of the basis for increases in temperature, extreme Adult plants produce flowers from this finding can be found in the Florida precipitation, and drought. Despite March to June. clamshell orchid species assessment these stressors and some level of decline We have carefully assessed the best and other supporting documents (see in abundance, including the loss of at scientific and commercial information ADDRESSES, above). least three of its historical populations, available regarding the past, present, Longhead Darter the species continues to maintain and future threats to the Ocala vetch, resilient populations over time. and we evaluated all relevant factors Previous Federal Actions Although we predict some continued under the five listing factors, including On April 20, 2010, we received a impacts from these stressors in the any regulatory mechanisms and petition from the Center for Biological foreseeable future, we anticipate this conservation measures addressing these Diversity, Alabama Rivers Alliance, species will continue to have resilient stressors. The primary stressor we Clinch Coalition, Dogwood Alliance, populations that are distributed widely identified in our analysis was sea level Gulf Restoration Network, Tennessee throughout its range. rise, which will likely have an impact Forests Council, and West Virginia Therefore, we find that listing the on the future condition of the species. Highlands Conservancy to list 404 longhead darter as an endangered Historically, the species was known

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from three locations, but two additional occurs in the more plentiful talus mountaintops and high-elevation areas populations were discovered in 2018, (sloping) areas. between Flat Top Mountain and White expanding its current number of We have carefully assessed the best Oak Ridge in Bedford and Botetourt populations to five. In the future, we scientific and commercial information Counties, Virginia. The species’ habitat anticipate sea level rise will result in available regarding the past, present, is almost entirely restricted to the inundation of one of the species’ five and future threats to the Panamint Glenwood Ranger District of the George populations. Despite this primary alligator lizard, and we evaluated all Washington and Jefferson National stressor, the remaining populations of relevant factors under the five listing Forests and primarily between mile 77 the Ocala vetch will continue to factors, including any regulatory and 84 of the National Park Service’s maintain adequate resiliency, and mechanisms and conservation measures Blue Ridge Parkway, with some limited provide redundancy and representation addressing these stressors. The primary occurrences on adjacent private lands. for the species to remain viable in the stressors affecting the species’ biological While there is no overall population foreseeable future. status include reduced surface water, estimate for the Peaks of Otter Therefore, we find that listing the degraded riparian vegetation, impacts to salamander, the best available Ocala vetch as an endangered species or refugia, crushing and other direct information indicates the species threatened species under the Act is not mortality, collecting, disease, predation, historically and currently functions as a warranted. A detailed discussion of the barriers to dispersal, small population single population; we subdivided this basis for this finding can be found in the effects, and the effects of climate population into 20 analytical units to Ocala vetch species assessment and change, including drought. While these assess the species’ current and future other supporting documents (see stressors are likely impacting condition. ADDRESSES, above). individuals, we do not have evidence of We have carefully assessed the best population-level impacts. In addition, scientific and commercial information Panamint Alligator Lizard while stressors caused by effects of available regarding the past, present, Previous Federal Actions climate change could occur over time, and future threats to the Peak of Otter we do not expect them to be severe salamander, and we evaluated all On July 11, 2012, we received a enough to impact the overall viability of relevant factors under the five listing petition from the Center for Biological the species. Lastly, ongoing Federal land factors, including any regulatory Diversity to list 53 species of reptiles management actions and existing mechanisms and conservation measures and amphibians, including the regulatory mechanisms, which protect addressing these stressors. The primary Panamint alligator lizard, as endangered lizards and their habitat in at least 98.7 stressors affecting the species’ biological or threatened species under the Act. On percent of the species’ range, will status include activities (primarily September 18, 2015, we published a 90- continue to ameliorate threats into the timber harvest) that disrupt or remove day finding in the Federal Register (80 foreseeable future. the forest canopy, understory FR 56423), concluding that the petition Therefore, we find that listing the vegetation, and cover objects; presented substantial information Panamint alligator lizard as an competition with red-backed indicating that listing the Panamint endangered species or threatened salamanders; and changing climate alligator lizard may be warranted. This species under the Act is not warranted. patterns of increasing temperatures and notice constitutes our 12-month finding A detailed discussion of the basis for changes in precipitation patterns. on the July 11, 2012, petition to list the this finding can be found in the Except for one of its 20 analytical units, Panamint alligator lizard under the Act. Panamint alligator lizard species the Peaks of Otter salamander continues assessment and other supporting Summary of Finding to occupy most of its known historical documents (see ADDRESSES, above). range. The species is well distributed The Panamint alligator lizard is a Peaks of Otter Salamander throughout its range, across a variety of secretive species known only from a elevations and habitat types, and it remote region in eastern California. Previous Federal Actions appears that there are some local Individuals can grow to be about 15 On July 11, 2012, we received a adaptations, which may be important to centimeters (6 inches) long from snout petition from the Center for Biological the species’ ability to adapt to future to vent, but have a tail that may extend Diversity to list 53 species of reptiles changes in environmental conditions. up to twice that length. Dorsally, they and amphibians, including the Peaks of The species currently has good range in color from beige to brown and Otter salamander, as endangered or representation, redundancy, and have seven to eight darker cross bands; threatened species under the Act. On resiliency. ventrally, they are whitish with gray September 18, 2015, we published a 90- In the foreseeable future, a number of splotches. The basic life cycle of the day finding in the Federal Register (80 potential threats could negatively affect Panamint alligator lizard is typical of FR 56423), concluding that the petition demographics or habitat, including most oviparous (egg-laying) lizards: Eggs presented substantial information habitat degradation or loss, competition, hatch to become nonbreeding juveniles, indicating that listing the Peaks of Otter hybridization, and disease, all of which which then grow and mature to become salamander may be warranted. This may be exacerbated by effects of breeding adults. Specifically, Panamint notice constitutes our 12-month finding changing climatic conditions. Our alligator lizards are known from six on the July 11, 2012, petition to list the future predictions of resiliency indicate desert mountain ranges in Mono and Peaks of Otter salamander under the that the Peaks of Otter salamander is not Inyo Counties, California (roughly north Act. likely to be significantly affected by the to south): White, Inyo, Nelson, Coso, modelled threats and its analytical units Argus, and Panamint. There is little Summary of Finding are not particularly vulnerable to information to suggest the species’ The Peaks of Otter salamander is a extirpation from stochastic events. historical range differs from its current narrow-ranging, endemic, terrestrial Because conservation measures that range. Panamint alligator lizards are salamander. It occurs in approximately protect the species and its habitat are typically associated with the region’s 116 square kilometers (45 square miles) currently being implemented and have few riparian areas, but the species also of mature forested habitats of the been shown to be effective, it is likely

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that the species will remain resilient reported age of individuals is 52 or broken concrete; an abundance of throughout its range in the future. months. aquatic macrophytes, algae, and Therefore, we find that listing the We have carefully assessed the best periphyton; and the availability of Peaks of Otter salamander as an scientific and commercial information adjacent terrestrial habitat. endangered species or threatened available regarding the past, present, We have carefully assessed the best species under the Act is not warranted. and future threats to the redlips darter, scientific and commercial information A detailed discussion of the basis for and we evaluated all relevant factors available regarding the past, present, this finding can be found in the Peaks under the five listing factors, including and future threats to the Scott riffle of Otter salamander species assessment any regulatory mechanisms and beetle, and we evaluated all relevant and other supporting documents (see conservation measures addressing these factors under the five listing factors, ADDRESSES, above). stressors. The primary stressors affecting including any regulatory mechanisms the species’ biological status include and conservation measures addressing Redlips Darter water quality degradation from siltation these stressors. The primary stressors Previous Federal Actions and contaminants, and impoundments. affecting the species’ biological status On April 20, 2010, we received a In spite of water quality threats that include decreased groundwater flow petition from the Center for Biological have acted on the species historically related to regional water usage (which is Diversity, Alabama Rivers Alliance, and impoundments that have and will also affected by drought due to climate Clinch Coalition, Dogwood Alliance, continue to limit connectivity between change), water contamination, terrestrial Gulf Restoration Network, Tennessee its populations, the redlips darter has invasive plant species, and loss of Forests Council, and West Virginia expanded its range in each of the four spring habitat. Our review found that, Highlands Conservancy to list 404 river or stream systems it inhabits. In currently, the Scott riffle beetle has aquatic, riparian, and wetland species, two of these systems, populations are sufficient resiliency to withstand including the ashy darter (Etheostoma composed of tens of thousands of stochastic events. Also, as far as we cinereum), as endangered or threatened individuals and have high resilience to know given past and recent survey species under the Act. On September environmental perturbations. Only one efforts, there has been no known 27, 2011, we published a 90-day finding population currently has low resilience, reduction in the species’ redundancy or in the Federal Register (76 FR 59836), although it is improving. Based on these representation from historical concluding that the petition presented population attributes, we found the conditions. The species and spring substantial information indicating that species is not in danger of extinction habitat itself are well protected from the listing the ashy darter may be currently or in the foreseeable future. effects of potential stochastic and warranted. Since publication of the 90- Therefore, we find that listing the catastrophic events because the spring day finding, the redlips darter was redlips darter as endangered or has unique characteristics including its taxonomically split from the ashy darter threatened is not warranted. A detailed topographic location, elevation, species complex based on discussion of the basis for this finding geographic location within the aquifer, morphological and genetic differences. can be found in the redlips darter and direction of groundwater flow, On April 4, 2019, we published a 12- species assessment form and other which provide a high level of resilience month finding in the Federal Register supporting documents (see ADDRESSES, to the biggest concern for the species: (84 FR 13237), concluding that listing above). Diminished spring discharge and flow. In addition, the park surrounding the the ashy darter was not warranted. Scott Riffle Beetle However, we found it appropriate to species and spring habitat are managed conduct a discretionary status review of Previous Federal Actions for their conservation by the State. the redlips darter to determine whether On September 20, 2013, we received Thus, the key habitat features the beetle it warrants listing. a petition from WildEarth Guardians, relies on are currently present and will requesting that the Scott riffle beetle be likely continue to be present in the Summary of Finding listed as an endangered or threatened foreseeable future. Therefore, we find that listing the The redlips darter is a small (about 11 species under the Act. On January 12, Scott riffle beetle as an endangered centimeters (4.5 inches) long), colorful 2016, we published a 90-day finding in species or threatened species under the freshwater fish. This species is endemic the Federal Register (81 FR 1368), Act is not warranted. A detailed to the Cumberland River drainage and concluding that the petition presented discussion of the basis for this finding occurs in four of its tributary systems in substantial information indicating that can be found in the Scott riffle beetle Kentucky and Tennessee: The Obey listing the Scott riffle beetle may be species assessment and other supporting River, South Fork Cumberland River, warranted. This notice constitutes our documents (see ADDRESSES, above). Buck Creek, and Rockcastle River. The 12-month finding on the September 20, redlips darter is found on or near the 2013, petition to list the Scott riffle Southern Hognose Snake stream bottom, in clear pools or eddies beetle under the Act. of medium to large upland streams, with Previous Federal Actions silt-free sand or gravel substrates Summary of Finding On July 11, 2012, we received a interspersed with large cobble, boulders, The Scott riffle beetle is a small, dark petition from the Center for Biological and, often, stands of water willow. brown to black, aquatic beetle, 2.62 to Diversity to list 53 species of reptiles Males and females become sexually 2.90 millimeters (0.10 to 0.11 inches) in and amphibians, including the southern mature between 1 and 2 years of age. length. The Scott riffle beetle occurs in hognose snake, as endangered or Spawning occurs annually, starting as only one known historical location at threatened species under the Act. On early as January and ending in early Historic Lake Scott State Park in Kansas. July 1, 2015, we published a 90-day April, with peak activity in mid-March. The beetle relies on the spring where it finding in the Federal Register (80 FR Aquatic macroinvertebrates, including lives for consistent groundwater 37568), concluding that the petition midge larvae, burrowing mayfly larvae, discharge; relatively shallow, presented substantial information and worms are the primary prey items unpolluted, oxygenated water; coarse indicating that listing the southern of the redlips darter. The maximum substrate, such as medium sized rocks hognose snake may be warranted. This

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notice constitutes our 12-month finding Yellow Anise Tree be minimal. Lastly, we anticipate the on the July 11, 2012, petition to list the species will continue to maintain Previous Federal Actions southern hognose snake under the Act. moderate to high resiliency populations On April 20, 2010, we received a that are distributed across the historical Summary of Finding petition from the Center for Biological range of the species. The southern hognose snake is the Diversity, Alabama Rivers Alliance, Therefore, we find that listing the smallest of the hognose snakes and is Clinch Coalition, Dogwood Alliance, yellow anise tree as an endangered associated with xeric (dry) longleaf pine Gulf Restoration Network, Tennessee species or threatened species under the savannah, flatwoods, and sandhills from Forests Council, and West Virginia Act is not warranted. A detailed southeastern North Carolina, South Highlands Conservancy to list 404 discussion of the basis for this finding Carolina, Georgia, and Florida. The aquatic, riparian, and wetland species, can be found in the yellow anise tree species occupies upland habitat with including the yellow anise tree, as species assessment and other supporting well-drained, sandy soils, characterized endangered or threatened species under documents (see ADDRESSES, above). by pine-dominated or pine-oak the Act. On September 27, 2011, we Yellow-Cedar woodland where the canopy is open published a 90-day finding in the with a grassy understory. Federal Register (76 FR 59836), Previous Federal Actions concluding that the petition presented We have carefully assessed the best On June 24, 2014, we received a scientific and commercial information substantial information indicating that listing the yellow anise tree may be petition from the Center for Biological available regarding the past, present, Diversity, The Boat Company, Greater and future threats to the southern warranted. This notice constitutes our 12-month finding on the April 20, 2010, Southeast Alaska Conservation hognose snake, and we evaluated all Community, and Greenpeace to list relevant factors under the five listing petition to list the yellow anise tree under the Act. yellow-cedar as an endangered or factors, including any regulatory threatened species under the Act. On mechanisms and conservation measures Summary of Finding April 10, 2015, we published a 90-day addressing these stressors. The primary The yellow anise tree is a large, finding in the Federal Register (80 FR stressor affecting the species’ biological aromatic, perennial, evergreen shrub or 19259), concluding that the petition status is habitat loss due to fire a small tree that can reach up to 6 presented substantial information suppression, timber harvesting, sea level meters (20 feet) in height. It is a indicating yellow-cedar may warrant rise, conversion of land to agriculture, facultative wetland species found in listing. This notice constitutes our 12- and urbanization. We found that the spring-fed wetlands, seepage slopes or month finding on the June 24, 2014, species’ resilience may be reduced into seepage streams, basin swamps, petition to list yellow-cedar under the the future, primarily due to loss of high baygalls, bottomland forests, and hydric Act. quality and quantity habitat. However, hammocks, from which they may Summary of Finding populations persist across much of the extend to mesic hammocks, xeric species’ historical range and 70 percent hammocks, and wet or bottom Yellow-cedar is a slow growing tree are likely to remain on the landscape, flatwoods. The species is endemic to that can live 500 to 700 years with demonstrating a fairly high level of eastern Florida and occurs in three individuals documented up to 1,600 resilience. In addition, the species has metapopulations. years old. Yellow-cedar has a sufficient redundancy and We have carefully assessed the best moderately broad geographic range, representation with more than two scientific and commercial information extending from southern Alaska to populations in six of its nine available regarding the past, present, northern California, and occupies a representative units. and future threats to the yellow anise wide variety of ecological niches. It In the future, while the species is tree, and we evaluated all relevant reaches its largest size on well-drained expected to decline and some factors under the five listing factors, soils but can employ a strategy of slow, populations are likely to become including any regulatory mechanisms shrub-like growth on the fringes of bogs extirpated, the species is expected to and conservation measures addressing and other poorly drained soils where retain viability with resilient these stressors. The primary stressors nutrient availability is low. Yellow- populations across much of its current affecting the species’ biological status cedar reproduces sexually through seed range. Despite loss of redundancy and include habitat destruction, water use, and asexually through vegetative representation across its current range, over-harvest, and the effects of climate layering (rooting of branches that grow representation will remain relatively change, including increased into independent clones), but high with seven of nine representative temperatures, changes in precipitation regeneration through layering is more units remaining occupied with multiple patterns, increased hurricanes and common. populations. Redundancy and storms, and sea level rise. Currently, We have carefully assessed the best representation will likely decline from there is little evidence that these scientific and commercial information current conditions; however, the stressors are limiting the growth and available regarding the past, present, southern hognose snake is expected to reproduction of the species, and and future threats to the yellow-cedar, remain viable into the foreseeable populations have maintained moderate and we evaluated all relevant factors future. to high resiliency. In addition, the life under the five listing factors, including Therefore, we find that listing the history and adaptive capacity of the any regulatory mechanisms and southern hognose snake as an species allows it to persist during times conservation measures addressing these endangered species or threatened of drought and wet conditions, as well stressors. The primary stressors affecting species under the Act is not warranted. as during hurricane and storm events. the species’ biological status include the A detailed discussion of the basis for Although we project that changes in effects of climate change (including this finding can be found in the climate patterns and habitat destruction changes in temperature and southern hognose snake species due to development will impact yellow precipitation patterns), timber harvest, assessment and other supporting anise tree populations over the next 50 fire, and herbivory. We found that documents (see ADDRESSES, above). years, we predict that these impacts will yellow-cedar is experiencing a decline

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primarily caused by a changing climate Dated: September 16, 2019. vessels less than 50 feet LOA using in the core of its range; therefore, it has Margaret E. Everson, hook-and-line gear in the Central somewhat reduced resiliency. However, Principal Deputy Director, U.S. Fish and Regulatory Area of the GOA is 831 the area affected represents less than 6 Wildlife Service, Exercising the Authority of metric tons (mt), as established by the percent of the species’ range, and there the Director, U.S. Fish and Wildlife Service. final 2019 and 2020 harvest are still high levels of representation [FR Doc. 2019–21605 Filed 10–4–19; 8:45 am] specifications for groundfish of the GOA and redundancy as demonstrated by its BILLING CODE 4333–15–P (84 FR 9416, March 14, 2019). high levels of genetic diversity and wide In accordance with § 679.20(d)(1)(i), distribution on the landscape, the Administrator, Alaska Region, respectively. Despite impacts from DEPARTMENT OF COMMERCE NMFS (Regional Administrator) has effects of climate change, timber determined that the 2019 Pacific cod harvest, fire, and other stressors, the National Oceanic and Atmospheric TAC apportioned to catcher vessels less species is expected to persist in Administration than 50 feet LOA using hook-and-line thousands of stands across its range, in gear in the Central Regulatory Area of a variety of ecological niches, with no 50 CFR Part 679 the GOA will soon be reached. predicted decrease in overall genetic Therefore, the Regional Administrator is diversity into the foreseeable future. [Docket No. 180831813–9170–02] establishing a directed fishing Therefore, we find that listing the RIN 0648–XY024 allowance of 821 mt and is setting aside yellow-cedar as an endangered species the remaining 10 mt as bycatch to or threatened species under the Act is Fisheries of the Exclusive Economic support other anticipated groundfish not warranted. A detailed discussion of Zone Off Alaska; Pacific Cod by fisheries. In accordance with the basis for this finding can be found Catcher Vessels Less Than 50 Feet § 679.20(d)(1)(iii), the Regional in the yellow-cedar species assessment Length Overall Using Hook-and-Line Administrator finds that this directed and other supporting documents (see Gear in the Central Regulatory Area of fishing allowance has been reached. ADDRESSES, above). the Gulf of Alaska Consequently, NMFS is prohibiting directed fishing for Pacific cod by New Information AGENCY : National Marine Fisheries catcher vessels less than 50 feet LOA Service (NMFS), National Oceanic and We request that you submit any new using hook-and-line gear in the Central Atmospheric Administration (NOAA), information concerning the taxonomy Regulatory Area of the GOA. While this Commerce. of, biology of, ecology of, status of, or closure is effective the maximum stressors to the Berry Cave salamander, ACTION: Temporary rule; closure. retainable amounts at § 679.20(e) and (f) cobblestone tiger beetle, Florida apply at any time during a trip. SUMMARY: NMFS is prohibiting directed clamshell orchid, longhead darter, Ocala fishing for Pacific cod by catcher vessels Classification vetch, Panamint alligator lizard, Peaks less than 50 feet length overall (LOA) of Otter salamander, redlips darter, This action responds to the best using hook-and-line gear in the Central Scott riffle beetle, southern hognose available information recently obtained Regulatory Area of the Gulf of Alaska snake, yellow anise tree, and yellow- from the fishery. The Assistant (GOA). This action is necessary to cedar to the appropriate person, as Administrator for Fisheries, NOAA prevent exceeding the 2019 Pacific cod specified under FOR FURTHER (AA), finds good cause to waive the total allowable catch apportioned to INFORMATION CONTACT, whenever it requirement to provide prior notice and catcher vessels less than 50 feet LOA becomes available. New information opportunity for public comment using hook-and-line gear in the Central will help us monitor these species and pursuant to the authority set forth at 5 Regulatory Area of the GOA. make appropriate decisions about their U.S.C. 553(b)(B) as such requirement is conservation and status. We encourage DATES: Effective 1200 hours, Alaska impracticable and contrary to the public local agencies and stakeholders to local time (A.l.t.), October 3, 2019, interest. This requirement is continue cooperative monitoring and through 2400 hours, A.l.t., December 31, impracticable and contrary to the public conservation efforts. 2019. interest as it would prevent NMFS from FOR FURTHER INFORMATION CONTACT: Josh responding to the most recent fisheries References Cited Keaton, 907–586–7228. data in a timely fashion and would Lists of the references cited in the SUPPLEMENTARY INFORMATION: NMFS delay the directed fishing closure of petition findings are available on the manages the groundfish fishery in the Pacific cod by catcher vessels less than internet at http://www.regulations.gov GOA exclusive economic zone 50 feet LOA using hook-and-line gear in in the dockets provided above in according to the Fishery Management the Central Regulatory Area of the GOA. ADDRESSES and upon request from the Plan for Groundfish of the Gulf of NMFS was unable to publish a notice appropriate person, as specified under Alaska (FMP) prepared by the North providing time for public comment FOR FURTHER INFORMATION CONTACT. Pacific Fishery Management Council because the most recent, relevant data under authority of the Magnuson- only became available as of October 1, Authors Stevens Fishery Conservation and 2019. The primary authors of this document Management Act. Regulations governing The AA also finds good cause to are the staff members of the Species fishing by U.S. vessels in accordance waive the 30-day delay in the effective Assessment Team, Ecological Services with the FMP appear at subpart H of 50 date of this action under 5 U.S.C. Program. CFR part 600 and 50 CFR part 679. 553(d)(3). This finding is based upon Regulations governing sideboard the reasons provided above for waiver of Authority protections for GOA groundfish prior notice and opportunity for public The authority for this action is section fisheries appear at subpart B of 50 CFR comment. 4 of the Endangered Species Act of part 680. This action is required by § 679.20 1973, as amended (16 U.S.C. 1531 et The 2019 Pacific cod total allowable and is exempt from review under seq.). catch (TAC) apportioned to catcher Executive Order 12866.

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Authority: 16 U.S.C. 1801 et seq. reserves in the Bering Sea and Aleutian BSAI (84 FR 9000, March 13, 2019) and Dated: October 2, 2019. Islands management area. This action is flatfish exchange (84 FR 49067, Jennifer M. Wallace, necessary to allow the 2019 total September 18, 2019). The 2019 flathead Acting Director, Office of Sustainable allowable catch of flathead sole and sole, rock sole, and yellowfin sole CDQ Fisheries, National Marine Fisheries Service. yellowfin sole in the Bering Sea and ABC reserves are 5,577 mt, 7,283 mt, [FR Doc. 2019–21782 Filed 10–2–19; 4:15 pm] Aleutian Islands management area to be and 12,084 mt as established by the harvested. BILLING CODE 3510–22–P final 2019 and 2020 harvest DATES: Effective October 7, 2019 specifications for groundfish in the through December 31, 2019. BSAI (84 FR 9000, March 13, 2019) and DEPARTMENT OF COMMERCE FOR FURTHER INFORMATION CONTACT: flatfish exchange (84 FR 49067, September 18, 2019). National Oceanic and Atmospheric Steve Whitney, 907–586–7228. Administration SUPPLEMENTARY INFORMATION: NMFS The Aleutian Pribilof Island manages the groundfish fishery in the Community Development Association 50 CFR Part 679 Bering Sea and Aleutian Islands has requested that NMFS exchange 400 management area (BSAI) according to mt of rock sole CDQ reserves for 50 mt [Docket No. 180713633–9174–02] the Fishery Management Plan for of flathead sole CDQ ABC reserves and RIN 0648–XY041 Groundfish of the Bering Sea and 350 mt of yellowfin sole CDQ ABC Aleutian Islands Management Area reserves under § 679.31(d). Therefore, in Fisheries of the Exclusive Economic (FMP) prepared by the North Pacific accordance with § 679.31(d), NMFS Zone Off Alaska; Exchange of Flatfish Fishery Management Council under exchanges 400 mt of rock sole CDQ in the Bering Sea and Aleutian Islands authority of the Magnuson-Stevens reserves for 50 mt of flathead sole CDQ Management Area Fishery Conservation and Management ABC reserves and 350 mt of yellowfin AGENCY: National Marine Fisheries Act. Regulations governing fishing by sole CDQ ABC reserves in the BSAI. Service (NMFS), National Oceanic and U.S. vessels in accordance with the FMP This action also decreases and increases Atmospheric Administration (NOAA), appear at subpart H of 50 CFR part 600 the TACs and CDQ ABC reserves by the Commerce. and 50 CFR part 679. corresponding amounts. Tables 11 and 13 of the final 2019 and 2020 harvest ACTION: Temporary rule; reallocation. The 2019 flathead sole, rock sole, and yellowfin sole CDQ reserves specified in specifications for groundfish in the SUMMARY: NMFS is exchanging unused the BSAI are 1,552 metric tons (mt), BSAI (84 FR 9000, March 13, 2019) and yellowfin sole Community Development 5,440 mt, and 16,078 mt as established revised in flatfish exchanges (84 FR Quota (CDQ) for rock sole CDQ by the final 2019 and 2020 harvest 49067, September 18, 2019), are further acceptable biological catch (ABC) specifications for groundfish in the revised as follows:

TABLE 11—FINAL 2019 COMMUNITY DEVELOPMENT QUOTA (CDQ) RESERVES, INCIDENTAL CATCH AMOUNTS (ICAS), AND AMENDMENT 80 ALLOCATIONS OF THE ALEUTIAN ISLANDS PACIFIC OCEAN PERCH, AND BSAI FLATHEAD SOLE, ROCK SOLE, AND YELLOWFIN SOLE TACS [Amounts are in metric tons]

Pacific ocean perch Flathead sole Rock sole Yellowfin sole Sector Eastern Central Western Aleutian Aleutian Aleutian BSAI BSAI BSAI District District District

TAC ...... 11,009 8,385 10,000 21,350 39,000 155,250 CDQ ...... 1,178 897 1,070 1,602 5,040 16,428 ICA ...... 100 60 10 3,000 6,000 4,000 BSAI trawl limited access ...... 973 743 178 ...... 18,351 Amendment 80 ...... 8,758 6,685 8,742 16,749 27,960 116,471 Note: Sector apportionments may not total precisely due to rounding.

TABLE 13—FINAL 2019 AND 2020 ABC SURPLUS, ABC RESERVES, COMMUNITY DEVELOPMENT QUOTA (CDQ) ABC RESERVES, AND AMENDMENT 80 ABC RESERVES IN THE BSAI FOR FLATHEAD SOLE, ROCK SOLE, AND YELLOWFIN SOLE [Amounts are in metric tons]

2019 2019 2019 2020 1 2020 1 2020 1 Sector Flathead sole Rock sole Yellowfin sole Flathead sole Rock sole Yellowfin sole

ABC ...... 66,625 118,900 263,200 68,448 143,700 257,800 TAC ...... 21,350 39,000 155,250 14,500 57,100 166,425 ABC surplus...... 45,275 79,900 107,950 53,948 86,600 91,375 ABC reserve...... 45,275 79,900 107,950 53,948 86,600 91,375 CDQ ABC reserve ...... 5,527 7,683 11,734 5,772 9,266 9,777 Amendment 80 ABC reserve ...... 39,748 72,217 96,216 48,176 77,334 81,598 1 The 2020 allocations for Amendment 80 species between Amendment 80 cooperatives and the Amendment 80 limited access sector will not be known until eligible participants apply for participation in the program by November 1, 2019.

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Classification Aleutian Pribilof Island Community date of this action under 5 U.S.C. Development Association in the BSAI. 553(d)(3). This finding is based upon This action responds to the best Since these fisheries are currently open, the reasons provided above for waiver of available information recently obtained it is important to immediately inform prior notice and opportunity for public from the fishery. The Assistant the industry as to the revised comment. Administrator for Fisheries, NOAA allocations. Immediate notification is This action is required by § 679.20 (AA), finds good cause to waive the necessary to allow for the orderly requirement to provide prior notice and conduct and efficient operation of this and is exempt from review under opportunity for public comment fishery, to allow the industry to plan for Executive Order 12866. pursuant to the authority set forth at 5 the fishing season, and to avoid Authority: 16 U.S.C. 1801 et seq. U.S.C. 553(b)(B) as such requirement is potential disruption to the fishing fleet Dated: September 30, 2019. impracticable and contrary to the public as well as processors. NMFS was unable interest. This requirement is to publish a notice providing time for Alan D. Risenhoover, impracticable and contrary to the public public comment because the most Director, Office of Sustainable Fisheries, interest as it would prevent NMFS from recent, relevant data only became National Marine Fisheries Service. responding to the most recent fisheries available as of September 24, 2019. [FR Doc. 2019–21570 Filed 10–4–19; 8:45 am] data in a timely fashion and would The AA also finds good cause to BILLING CODE 3510–22–P delay the flatfish exchange by the waive the 30-day delay in the effective

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Proposed Rules Federal Register Vol. 84, No. 194

Monday, October 7, 2019

This section of the FEDERAL REGISTER received, and any final disposition in these Charles Cole Memorial Hospital contains notices to the public of the proposed person in the Dockets Office between Heliport. issuance of rules and regulations. The 9:00 a.m. and 5:00 p.m., Monday Comments Invited purpose of these notices is to give interested through Friday, except federal holidays. persons an opportunity to participate in the FAA Order 7400.11D, Airspace Interested parties are invited to rule making prior to the adoption of the final participate in this proposed rulemaking rules. Designations and Reporting Points, and subsequent amendments can be viewed by submitting such written data, views, online at http://www.faa.gov/air_traffic/ or arguments, as they may desire. DEPARTMENT OF TRANSPORTATION publications/. For further information, Comments that provide the factual basis you can contact the Airspace Policy supporting the views and suggestions Federal Aviation Administration Group, Federal Aviation presented are particularly helpful in Administration, 800 Independence developing reasoned regulatory 14 CFR Part 71 Avenue SW, Washington, DC 20591; decisions on the proposal. Comments telephone: (202) 267–8783. The Order is are specifically invited on the overall [Docket No. FAA–2019–0757; Airspace regulatory, aeronautical, economic, also available for inspection at the Docket No. 19–AEA–13] environmental, and energy-related National Archives and Records RIN 2120–AA66 aspects of the proposal. Administration (NARA). For Communications should identify both information on the availability of FAA Proposed Amendment of the Class E docket numbers and be submitted in Order 7400.11D at NARA, email Airspace; Coudersport, PA; and triplicate to the address listed above. [email protected] or go to https:// Revocation of Class E Airspace; Commenters wishing the FAA to www.archives.gov/federal-register/cfr/ Galeton, PA acknowledge receipt of their comments ibr-locations.html. on this notice must submit with those AGENCY: Federal Aviation FAA Order 7400.11, Airspace Administration (FAA), DOT. comments a self-addressed, stamped Designations and Reporting Points, is postcard on which the following ACTION: Notice of proposed rulemaking published yearly and effective on statement is made: ‘‘Comments to (NPRM). September 15. Docket No. FAA–2019–0757/Airspace SUMMARY: This action proposes to FOR FURTHER INFORMATION CONTACT: Docket No. 19–AEA–13.’’ The postcard amend the Class E airspace extending Jeffrey Claypool, Federal Aviation will be date/time stamped and returned upward from 700 feet above the surface Administration, Operations Support to the commenter. at Charles Cole Memorial Hospital Group, Central Service Center, 10101 All communications received before Heliport, Coudersport, PA, and revoke Hillwood Parkway, Fort Worth, TX the specified closing date for comments the Class E airspace extending upward 76177; telephone (817) 222–5711. will be considered before taking action on the proposed rule. The proposal from 700 feet above the surface at SUPPLEMENTARY INFORMATION: Cherry Springs Airport, Galeton, PA. contained in this notice may be changed The FAA is proposing this action as the Authority for This Rulemaking in light of the comments received. A result of the closure of the Cherry report summarizing each substantive The FAA’s authority to issue rules public contact with FAA personnel Spring Airport. The geographic regarding aviation safety is found in coordinates of Charles Cole Memorial concerned with this rulemaking will be Title 49 of the United States Code. filed in the docket. Hospital Heliport would also be Subtitle I, Section 106 describes the updated to coincide with the FAA’s authority of the FAA Administrator. Availability of NPRMs aeronautical database. Airspace redesign Subtitle VII, Aviation Programs, An electronic copy of this document is necessary for the safety and describes in more detail the scope of the may be downloaded through the management of instrument flight rules agency’s authority. This rulemaking is internet at http://www.regulations.gov. (IFR) operations at Charles Cole promulgated under the authority Recently published rulemaking Memorial Hospital Heliport. described in Subtitle VII, Part A, documents can also be accessed through DATES: Comments must be received on Subpart I, Section 40103. Under that the FAA’s web page at http:// or before November 21, 2019. section, the FAA is charged with www.faa.gov/air_traffic/publications/ ADDRESSES: Send comments on this prescribing regulations to assign the use airspace_amendments/. proposal to the U.S. Department of of airspace necessary to ensure the You may review the public docket Transportation, Docket Operations, safety of aircraft and the efficient use of containing the proposal, any comments West Building Ground Floor, Room airspace. This regulation is within the received, and any final disposition in W12–140, 1200 New Jersey Avenue SE, scope of that authority as it would person in the Dockets Office (see the Washington, DC 20590; telephone (202) amend the Class E airspace extending ADDRESSES section for the address and 366–9826, or (800) 647–5527. You must upward from 700 feet above the surface phone number) between 9:00 a.m. and identify FAA Docket No. FAA–2019– at Charles Cole Memorial Hospital 5:00 p.m., Monday through Friday, 0757; Airspace Docket No. 19–AEA–13, Heliport, Coudersport, PA, and revoke except federal holidays. An informal at the beginning of your comments. You the Class E airspace extending upward docket may also be examined during may also submit comments through the from 700 feet above the surface at normal business hours at the Federal internet at http://www.regulations.gov. Cherry Springs Airport, Galeton, PA, Aviation Administration, Air Traffic You may review the public docket due to the closure of Cherry Springs Organization, Central Service Center, containing the proposal, any comments Airport and to support IFR operations at Operations Support Group, 10101

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Hillwood Parkway, Fort Worth, TX traffic procedures and air navigation, it DEPARTMENT OF HEALTH AND 76177. is certified that this rule, when HUMAN SERVICES promulgated, would not have a Availability and Summary of significant economic impact on a Food and Drug Administration Documents for Incorporation by substantial number of small entities Reference under the criteria of the Regulatory 21 CFR Part 117 This document proposes to amend Flexibility Act. [Docket No. FDA–2016–D–2343] FAA Order 7400.11D, Airspace Environmental Review Designations and Reporting Points, Hazard Analysis and Risk-Based dated August 8, 2019, and effective This proposal will be subject to an Preventive Controls for Human Food; September 15, 2019. FAA Order environmental analysis in accordance Draft Guidance for Industry; 7400.11D is publicly available as listed with FAA Order 1050.1F, Availability in the ADDRESSES section of this ‘‘Environmental Impacts: Policies and document. FAA Order 7400.11D lists AGENCY: Food and Drug Administration, Procedures’’ prior to any FAA final Class A, B, C, D, and E airspace areas, HHS. regulatory action. air traffic service routes, and reporting ACTION: Notice of availability. points. List of Subjects in 14 CFR Part 71 SUMMARY: The Food and Drug The Proposal Airspace, Incorporation by reference, Administration (FDA, we, or Agency) is The FAA is proposing an amendment Navigation (air). announcing the availability of another to Title 14 Code of Federal Regulations draft chapter of a multichapter guidance The Proposed Amendment (14 CFR) part 71 by: for industry entitled ‘‘Hazard Analysis and Risk-Based Preventive Controls for Amending the Class E airspace Accordingly, pursuant to the Human Food.’’ This multichapter draft extending upward from 700 feet above authority delegated to me, the Federal guidance is intended to explain our the surface to within a 6.3-mile radius Aviation Administration proposes to current thinking on how to comply with (increased from an 6-mile radius) of amend 14 CFR part 71 as follows: Charles Cole Memorial Hospital the requirements for hazard analysis Heliport, Coudersport, PA; removing the PART 71—DESIGNATION OF CLASS A, and risk-based preventive controls exclusionary language from the airspace B, C, D, AND E AIRSPACE AREAS; AIR under our rule entitled ‘‘Current Good legal description as it is no longer TRAFFIC SERVICE ROUTES; AND Manufacturing Practice, Hazard required; and updating the geographic REPORTING POINTS Analysis, and Risk-Based Preventive coordinates of Charles Cole Memorial Controls for Human Food.’’ The newly available draft chapter is entitled Hospital Heliport to coincide with the ■ 1. The authority citation for 14 CFR ‘‘Chapter 14—Recall Plan.’’ FAA’s aeronautical database; part 71 continues to read as follows: And removing the Class E airspace DATES: Submit either electronic or extending upward from 700 feet above Authority: 49 U.S.C. 106(f), 106(g); 40103, written comments on the draft guidance the surface at Cherry Springs Airport, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, by February 4, 2020 to ensure that the Galeton, PA, due to the closure of the 1959–1963 Comp., p. 389. Agency considers your comment on this airport. § 71.1 [Amended] draft guidance before it begins work on This action is the result of an airspace the final version of the guidance. ■ review caused by the closure of the 2. The incorporation by reference in ADDRESSES: You may submit comments Cherry Springs Airport, Galeton, PA. 14 CFR 71.1 of FAA Order 7400.11D, on any guidance at any time as follows: Class E airspace designations are Airspace Designations and Reporting published in paragraph 6005 of FAA Points, dated August 8, 2019, and Electronic Submissions Order 7400.11D, dated August 8, 2019, effective September 15, 2019, is Submit electronic comments in the and effective September 15, 2019, which amended as follows: following way: • Federal eRulemaking Portal: is incorporated by reference in 14 CFR Paragraph 6005 Class E Airspace Areas 71.1. The Class E airspace designations Extending Upward From 700 Feet or More https://www.regulations.gov. Follow the listed in this document will be Above the Surface of the Earth. instructions for submitting comments. Comments submitted electronically, published subsequently in the Order. * * * * * including attachments, to https:// Regulatory Notices and Analyses AEA PA E5 Coudersport, PA [Amended] www.regulations.gov will be posted to The FAA has determined that this Charles Cole Memorial Hospital Heliport, PA the docket unchanged. Because your regulation only involves an established (Lat. 41°46′18″ N, long. 77°58′47″ W) comment will be made public, you are body of technical regulations for which That airspace extending upward from 700 solely responsible for ensuring that your frequent and routine amendments are feet above the surface within a 6.3-mile comment does not include any necessary to keep them operationally radius of the Charles Cole Memorial Hospital confidential information that you or a current, is non-controversial and Heliport. third party may not wish to be posted, unlikely to result in adverse or negative * * * * * such as medical information, your or comments. It, therefore: (1) Is not a anyone else’s Social Security number, or ‘‘significant regulatory action’’ under AEA PA E5 Galeton, PA [Removed] confidential business information, such Executive Order 12866; (2) is not a as a manufacturing process. Please note Issued in Fort Worth, Texas, on September ‘‘significant rule’’ under DOT that if you include your name, contact 30, 2019. Regulatory Policies and Procedures (44 information, or other information that FR 11034; February 26, 1979); and (3) Steve Szukala, identifies you in the body of your does not warrant preparation of a Acting Manager, Operations Support Group, comments, that information will be regulatory evaluation as the anticipated ATO Central Service Center. posted on https://www.regulations.gov. impact is so minimal. Since this is a [FR Doc. 2019–21706 Filed 10–4–19; 8:45 am] • If you want to submit a comment routine matter that will only affect air BILLING CODE 4910–13–P with confidential information that you

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do not wish to be made available to the Docket: For access to the docket to January 25, 2018 (83 FR 3449), we public, submit the comment as a read background documents or the announced the availability of additional written/paper submission and in the electronic and written/paper comments chapters (Chapter 6 and Chapter 15, manner detailed (see ‘‘Written/Paper received, go to https:// respectively). We now are announcing Submissions’’ and ‘‘Instructions’’). www.regulations.gov and insert the the availability of an additional draft Written/Paper Submissions docket number, found in brackets in the chapter of this multichapter guidance heading of this document, into the for industry. Submit written/paper submissions as ‘‘Search’’ box and follow the prompts follows: II. Significance of Guidance • and/or go to the Dockets Management Mail/Hand delivery/Courier (for Staff, 5630 Fishers Lane, Rm. 1061, This level 1 draft guidance is being written/paper submissions): Dockets Rockville, MD 20852. Management Staff (HFA–305), Food and You may submit comments on any issued consistent with FDA’s good Drug Administration, 5630 Fishers guidance at any time (see 21 CFR guidance practices regulation (21 CFR Lane, Rm. 1061, Rockville, MD 20852. 10.115). The draft guidance, when • 10.115(g)(5)). For written/paper comments Submit written requests for single finalized, will represent the current submitted to the Dockets Management copies of the guidance to the Office of thinking of FDA on ‘‘Current Good Staff, FDA will post your comment, as Food Safety (HFS–300), Center for Food Manufacturing Practice, Hazard well as any attachments, except for Safety and Applied Nutrition, Food and Analysis, and Risk-Based Preventive information submitted, marked and Drug Administration, 5001 Campus Dr., Controls for Human Food.’’ It does not identified, as confidential, if submitted College Park, MD 20740. Send one self- establish any rights for any person and as detailed in ‘‘Instructions.’’ addressed adhesive label to assist that is not binding on FDA or the public. Instructions: All submissions received must include the Docket No. FDA– office in processing your requests. See You can use an alternative approach if 2016–D–2343 for ‘‘Hazard Analysis and the SUPPLEMENTARY INFORMATION section it satisfies the requirements of the Risk-Based Preventive Controls for for electronic access to the draft applicable statutes and regulations. This Human Food.’’ Received comments will guidance document. guidance is not subject to Executive be placed in the docket and, except for FOR FURTHER INFORMATION CONTACT: Order 12866. those submitted as ‘‘Confidential Jenny Scott, Center for Food Safety and The multichapter draft guidance for Submissions,’’ publicly viewable at Applied Nutrition (HFS–300), Food and industry is intended to explain our https://www.regulations.gov or at the Drug Administration, 5001 Campus Dr., current thinking on how to comply with Dockets Management Staff between 9 College Park, MD 20740, 240–402–2166. the requirements for hazard analysis a.m. and 4 p.m., Monday through SUPPLEMENTARY INFORMATION: and risk-based preventive controls Friday. under part 117, principally in subparts • Confidential Submissions—To I. Background C and G. The chapter that we are submit a comment with confidential The FDA Food Safety Modernization announcing in this document is entitled information that you do not wish to be Act (FSMA) (Pub. L. 111–353) enables made publicly available, submit your FDA to better protect public health by ‘‘Chapter 14—Recall Plan.’’ We intend comments only as a written/paper helping to ensure the safety and security to announce the availability for public submission. You should submit two of the food supply. FSMA enables FDA comment of additional chapters of the copies total. One copy will include the to focus more on preventing food safety draft guidance as we complete them. information you claim to be confidential problems rather than relying primarily III. Paperwork Reduction Act of 1995 with a heading or cover note that states on reacting to problems after they occur. ‘‘THIS DOCUMENT CONTAINS FSMA recognizes the important role This draft guidance refers to CONFIDENTIAL INFORMATION.’’ The industry plays in ensuring the safety of previously approved collections of Agency will review this copy, including the food supply, including the adoption information found in FDA regulations. the claimed confidential information, in of modern systems of preventive These collections of information are its consideration of comments. The controls in food production. subject to review by the Office of second copy, which will have the Section 103 of FSMA amended the Management and Budget (OMB) under claimed confidential information Federal Food, Drug, and Cosmetic Act the Paperwork Reduction Act of 1995 redacted/blacked out, will be available (FD&C Act), by adding section 418 (21 (44 U.S.C. 3501–3520). The collections for public viewing and posted on U.S.C. 350g) with requirements for of information in part 117 have been https://www.regulations.gov. Submit hazard analysis and risk-based approved under OMB control number both copies to the Dockets Management preventive controls for establishments 0910–0751. Staff. If you do not wish your name and that are required to register as food contact information to be made publicly facilities under our regulations in 21 IV. Electronic Access available, you can provide this CFR part 1, subpart H, in accordance information on the cover sheet and not with section 415 of the FD&C Act (21 Persons with access to the internet in the body of your comments and you U.S.C. 350d). We have established may obtain the draft guidance at either must identify this information as regulations to implement these https://www.fda.gov/FoodGuidances or ‘‘confidential.’’ Any information marked requirements within part 117 (21 CFR https://www.regulations.gov. Use the as ‘‘confidential’’ will not be disclosed part 117). FDA website listed in the previous except in accordance with 21 CFR 10.20 In the Federal Register of August 24, sentence to find the most current and other applicable disclosure law. For 2016 (81 FR 57816), we announced the version of the guidance. more information about FDA’s posting availability of several chapters (Chapters Dated: September 27, 2019. of comments to public dockets, see 80 1–5) of a multichapter draft guidance for Lowell J. Schiller, FR 56469, September 18, 2015, or access industry entitled ‘‘Hazard Analysis and the information at: https://www.gpo.gov/ Risk-Based Preventive Controls for Principal Associate Commissioner for Policy. fdsys/pkg/FR-2015-09-18/pdf/2015- Human Food.’’ In the Federal Register [FR Doc. 2019–21643 Filed 10–4–19; 8:45 am] 23389.pdf. of August 31, 2017 (82 FR 41364), and BILLING CODE 4164–01–P

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DEPARTMENT OF THE INTERIOR Instructions: All submissions received 27, 2007. You can find background must include the agency name and information on the Mississippi Plan, Office of Surface Mining Reclamation docket number for this rulemaking. For including the Secretary’s findings, the and Enforcement detailed instructions on submitting disposition of comments, and the comments and additional information conditions of approval of the 30 CFR Part 924 on the rulemaking process, see the Mississippi Plan in the September 27, [SATS No. MS–029–FOR; Docket ID: OSM– ‘‘Public Comment Procedures’’ heading 2007, Federal Register (72 FR 54832). 2019–0008; S1D1S SS08011000 SX064A000 of the SUPPLEMENTARY INFORMATION You can also find later actions 190S180110; S2D2S SS08011000 section of this document. concerning the Mississippi Plan and SX064A000 19XS501520] Docket: For access to the docket to amendments to the Plan at 30 CFR review copies of the Mississippi Plan, 924.20 and 924.25. Mississippi Abandoned Mine Land this amendment, a listing of any Reclamation Plan scheduled public hearings, and all II. Description of the Proposed written comments received in response Amendment AGENCY: Office of Surface Mining to this document, you must go to the By letter dated August 27, 2019 Reclamation and Enforcement, Interior. address listed below during normal (Administrative Record No. MS–0428– ACTION: Proposed rule; public comment business hours, Monday through Friday, 01), Mississippi sent us an amendment period and opportunity for public excluding holidays. You may receive to its Plan under SMCRA (30 U.S.C. hearing on proposed amendment. one free copy of the amendment by 1201 et seq.). Mississippi submitted the SUMMARY: We, the Office of Surface contacting OSMRE’s Birmingham Field proposed amendment in response to a Mining Reclamation and Enforcement Office, or the full text of the plan March 6, 2019, letter (Administrative (OSMRE), are announcing receipt of a amendment is available for you to Record No. MS–0428) OSMRE sent to proposed amendment to the Mississippi review at www.regulations.gov. Mississippi in accordance with 30 CFR Abandoned Mine Land Plan Richard O’Dell, Director, Birmingham 884.15. The full text of the plan (hereinafter, the Plan) under the Surface Field Office, Office of Surface Mining amendment is available for you to read Mining Control and Reclamation Act of Reclamation and Enforcement, 135 at the locations listed above under 1977 (SMCRA or the Act). Mississippi Gemini Circle, Suite 215, Homewood, ADDRESSES. Effective March 9, 2015, OSMRE proposes revisions to its Plan to allow Alabama 35209, Telephone: (205) 290– published a final rule allowing certified its AML program to receive limited 7282, Email: [email protected]. In addition, you may review a copy of AML programs to receive limited liability protection for certain non-coal the amendment during regular business liability protection for certain non-coal reclamation projects. Mississippi hours at the following location: reclamation projects (80 FR 6435). In the intends to revise its Plan in order to Mississippi Office of Geology, March 6, 2019, letter (Administrative meet the requirements of SMCRA and Department of Environmental Quality, Record No. MS–0428), we notified the implementing Federal regulations. 700 N. State Street, Jackson, Mississippi This document gives the times and Mississippi that the state must update 39202, Telephone: (601) 961–5519. locations where the Mississippi Plan its Plan in order to meet the and this proposed amendment to that FOR FURTHER INFORMATION CONTACT: requirements of SMCRA and the Plan are available for your inspection, Richard O’Dell, Director, Birmingham implementing Federal regulations. Mississippi proposes to amend its establishes the comment period during Field Office. Telephone: (205) 290– Plan to meet the requirements to receive which you may submit written 7282, Email: [email protected]. limited liability protection for certain comments on the amendment, and SUPPLEMENTARY INFORMATION: non-coal reclamation projects, and to describes the procedures that we will I. Background on the Mississippi Plan meet the requirements of SMCRA and follow for the public hearing, if one is II. Description of the Proposed Amendment III. Public Comment Procedures the implementing Federal regulations. requested. IV. Procedural Determinations DATES: We will accept written III. Public Comment Procedures I. Background on the Mississippi Plan comments on this amendment until 4:00 We are seeking your comments on p.m., CST, November 6, 2019. If The Abandoned Mine Land whether the amendment satisfies the requested, we will hold a public hearing Reclamation Program was established applicable plan approval criteria of 30 on the amendment on November 1, by Title IV of the Act (30 U.S.C. 1201 CFR 884.14 and 884.15. If we approve 2019. We will accept requests to speak et seq.), in response to concerns over the amendment, it will become part of at a hearing until 4:00 p.m., CST on extensive environmental damage caused the state Plan. October 22, 2019. by past coal mining activities. The Electronic or Written Comments ADDRESSES: You may submit comments, program is funded by a reclamation fee identified by SATS No. MS–029–FOR, collected on each ton of coal that is If you submit written comments, they by any of the following methods: produced. The money collected is used should be specific, confined to issues • Mail/Hand Delivery: Richard to finance the reclamation of abandoned pertinent to the proposed Plan, and O’Dell, Director, Birmingham Field coal mines and for other authorized explain the reason for any Office, Office of Surface Mining activities. Section 405 of the Act allows recommended change(s). We appreciate Reclamation and Enforcement, 135 States and Tribes to assume exclusive any and all comments, but those most Gemini Circle, Suite 215, Homewood, responsibility for reclamation activity useful and likely to influence decisions Alabama 35209. within the State or on Tribal lands if on the final plan will be those that • Fax: (205) 290–7280. they develop and submit to the either involve personal experience or • Federal eRulemaking Portal: The Secretary of the Interior for approval, a include citations to and analyses of amendment has been assigned Docket program (often referred to as a Plan) for SMCRA, its legislative history, its ID OSM–2019–0008. If you would like the reclamation of abandoned coal implementing regulations, case law, to submit comments go to http:// mines. On the basis of these criteria, the other pertinent State or Federal laws or www.regulations.gov. Follow the Secretary of the Interior approved the regulations, technical literature, or other instructions for submitting comments. Mississippi Plan, effective September relevant publications.

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We cannot ensure that comments IV. Procedural Determinations SUMMARY: The Coast Guard proposes to received after the close of the comment modify the operating schedule that Executive Order 12866—Regulatory period (see DATES) or sent to an address governs the Amtrak Portal Bridge across Planning and Review and Executive ADDRESSES the Hackensack River, mile 5.0, at Little other than those listed (see ) Order 13563—Improving Regulations Snake Hill, New Jersey. The bridge will be included in the docket for this and Regulatory Review rulemaking and considered. owner, National Railroad Passenger Executive Order 12866 provides that Corporation (Amtrak), submitted a Public Availability of Comments the Office of Information and Regulatory request to require a greater advance Affairs in the Office of Management and Before including your address, phone notice for bridge openings, to increase Budget (OMB) will review all significant number, email address, or other the time periods the bridge remains in rules. Pursuant to OMB guidance dated personal identifying information in your the closed position, and reduce bridge October 12, 1993, the approval of state openings during the morning and comment, you should be aware that plan amendments is exempted from evening commuter rush hours. It is your entire comment—including your OMB review under Executive Order expected that this change to the personal identifying information—may 12866. Executive Order 13563, which regulations will better serve the needs of be made publicly available at any time. reaffirms and supplements Executive the community while continuing to While you can ask us in your comment Order 12866, retains this exemption. meet the reasonable needs of navigation. to withhold your personal identifying DATES: Comments and related material information from public review, we Other Laws and Executive Orders must reach the Coast Guard on or before cannot guarantee that we will be able to Affecting Rulemaking December 6, 2019. do so. When a State submits a Plan ADDRESSES: You may submit comments Public Hearing amendment to OSMRE for review, our identified by docket number USCG– regulations at 30 CFR 884.14 and 2019–0086 using Federal e-Rulemaking If you wish to speak at the public 884.15, and agency policy require Portal at http://www.regulations.gov. hearing, contact the person listed under public notification and an opportunity See the ‘‘Public Participation and FOR FURTHER INFORMATION CONTACT by for public comment. We accomplish this Request for Comments’’ portion of the 4:00 p.m., CST on October 22, 2019. If by publishing a notice in the Federal SUPPLEMENTARY INFORMATION section you are disabled and need reasonable Register indicating receipt of the below for instructions on submitting accommodations to attend a public proposed amendment and its text or a comments. hearing, contact the person listed under summary of its terms. We conclude our review of the proposed amendment after FOR FURTHER INFORMATION CONTACT: If FOR FURTHER INFORMATION CONTACT. We you have questions on this proposed will arrange the location and time of the the close of the public comment period and determine whether the amendment rule, call or email Judy Leung-Yee, hearing with those persons requesting Project Officer, First Coast Guard the hearing. If no one requests an should be approved, approved in part, or not approved. At that time, we will District, telephone (212) 514–4336, opportunity to speak, we will not hold email [email protected]. a hearing. also make the determinations and certifications required by the various SUPPLEMENTARY INFORMATION: To assist the transcriber and ensure an laws and executive orders governing the I. Table of Abbreviations accurate record, we request, if possible, rulemaking process and include them in that each person who speaks at the the final rule. CFR Code of Federal Regulations public hearing provide us with a written DHS Department of Homeland Security copy of his or her comments. The public List of Subjects in 30 CFR Part 924 E.O. Executive order FR Federal Register hearing will continue on the specified Intergovernmental relations, Surface OMB Office of Management and Budget date until everyone scheduled to speak mining, Underground mining. NPRM Notice of proposed rulemaking has been given an opportunity to be Dated: September 6, 2019. Pub. L. Public Law heard. If you are in the audience and § Section Alfred L. Clayborne, have not been scheduled to speak and U.S.C. United States Code Regional Director, DOI Unified Regions 3, wish to do so, you will be allowed to 4 and 6. II. Background, Purpose and Legal speak after those who have been [FR Doc. 2019–21722 Filed 10–4–19; 8:45 am] Basis scheduled. We will end the hearing after everyone scheduled to speak and others BILLING CODE 4310–05–P The Amtrak Portal Bridge at mile 5.0, present in the audience who wish to across the Hackensack River, at Little speak, have been heard. Snake Hill, New Jersey, has a vertical DEPARTMENT OF HOMELAND clearance of 23 feet at mean high water Public Meeting SECURITY and 28 feet at mean low water. Horizontal clearance is approximately If only one person requests an Coast Guard 99 feet. The waterway users include opportunity to speak, we may hold a recreational and commercial vessels, public meeting rather than a public 33 CFR Part 117 including tugboat/barge combinations. hearing. If you wish to meet with us to The existing drawbridge operating discuss the amendment, please request [Docket No. USCG–2019–0086] regulations are listed at 33 CFR a meeting by contacting the person 117.723(e). listed under FOR FURTHER INFORMATION RIN 1625–AA09 In December of 2018, the owner of the CONTACT. All such meetings are open to bridge, National Railroad Passenger the public and, if possible, we will post Drawbridge Operation Regulation; Corporation, requested a change to the notices of meetings at the locations Hackensack River, Little Snake Hill, NJ drawbridge operation regulations listed under ADDRESSES. We will make AGENCY: Coast Guard, DHS. because the volume of train traffic a written summary of each meeting a across the bridge during the peak ACTION: Notice of proposed rulemaking. part of the administrative record. commuting hours makes bridge

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openings impractical under the current two-hour advance notice is given by have a significant economic impact on schedule. As a result, bridge openings calling the number posted at the bridge. a substantial number of small entities. that occur during peak commuter train At all other times the bridge shall open The bridge provides 23 feet of vertical hours cause significant delays to on signal if at least two-hour advance clearance at mean high water that commuter rail traffic. The owner notice is given. It is the Coast Guard’s should accommodate all the present proposed that the bridge opening opinion that this rule meets the vessel traffic except deep draft vessels. schedule be revised so the bridge need reasonable needs of marine and rail The bridge will continue to open on not open for the passage of vessel traffic, traffic. signal for any vessel provided at least 2- Monday through Friday, from 5 a.m. to hour advance notice is given. While 10 a.m. and from 3 p.m. to 8 p.m. At all IV. Regulatory Analyses some owners or operators of vessels other times the bridge shall open on We developed this proposed rule after intending to transit the bridge may be signal if at least 24 hour notice is given. considering numerous statutes and small entities, for the reasons stated in The Coast Guard reached out to the Executive Orders related to rulemaking. section IV.A above, this proposed rule maritime stakeholders with the Below we summarize our analyses would not have a significant economic requested change proposed by the based on these statutes and Executive impact on any vessel owner or operator. bridge owner. A stakeholder provided a Orders and we discuss First If you think that your business, general objection to the change in the Amendment rights of protestors. organization, or governmental original request in December 2018, prior jurisdiction qualifies as a small entity to the test deviation’s publication. A. Regulatory Planning and Review and that this rule would have a The Coast Guard published a test Executive Orders 12866 and 13563 significant economic impact on it, deviation with request for comment that direct agencies to assess the costs and please submit a comment (see changed the original request, benefits of available regulatory ADDRESSES) explaining why you think it Hackensack River, New Jersey, in the alternatives and, if regulation is qualifies and how and to what degree Federal Register (84 FR 9459), in effect necessary, to select regulatory this rule would economically affect it. from March 15, 2019 through September approaches that maximize net benefits. Under section 213(a) of the Small 9, 2019, to test the proposed changes to Executive Order 13771 directs agencies Business Regulatory Enforcement the drawbridge operation regulations. to control regulatory costs through a Fairness Act of 1996 (Pub. L. 104–121), The Coast Guard received five budgeting process. This NPRM has not we want to assist small entities in comments in the docket regarding this been designated a ‘‘significant understanding this proposed rule. If the proposed rulemaking. Of those five regulatory action,’’ under Executive rule would affect your small business, comments, three came from one Order 12866. Accordingly, the Office of organization, or governmental commenter and did not address this Management and Budget (OMB) has not jurisdiction and you have questions action. One comment supported the test reviewed the NPRM and pursuant to concerning its provisions or options for deviation recommending it be made OMB guidance, it is exempt from the compliance, please contact the person permanent. The fifth comment came requirements of Executive Order 13771. listed in the FOR FURTHER INFORMATION from the aforementioned stakeholder CONTACT, above. The Coast Guard will The Coast Guard believes this rule is who asked that their original negative not retaliate against small entities that not a significant regulatory action. The comment be uploaded to the docket for question or complain about this bridge will still open for all vessel traffic the test deviation. The general objection proposed rule or any policy or action of after a two hour advance notice is given, contended that Amtrak’s ‘‘inability to the Coast Guard. operate the Portal Bridge as required’’ is except during the morning and not the responsibility of the commenter, afternoon commuter rush hour periods, C. Collection of Information and that the proposed changes would where a one hour time period will allow This proposed rule would call for no fail to solve the maintenance issues with passage of commercial vessels. The new collection of information under the the bridge. The Coast Guard cannot vertical clearance under the bridge in Paperwork Reduction Act of 1995 (44 speak to the commenter’s assertion on the closed position is relatively high U.S.C. 3501–3520.). maintenance issues or operational enough to accommodate most vessel D. Federalism and Indian Tribal issues, as this proposed change would traffic during the time periods the draw Government be for traffic volume purposes. is closed during the morning and evening commuter rush hours. We A rule has implications for federalism III. Discussion of Proposed Rule believe that this proposed change to the under Executive Order 13132, As a result of comments received from drawbridge operation regulations at 33 Federalism, if it has a substantial direct the test deviation and the bridge logs CFR 117.723(e) will meet the reasonable effect on the States, on the relationship showing only three requests to open needs of navigation. between the national government and from March 14, 2019 through July 12, B. Impact on Small Entities the States, or on the distribution of 2019, the Coast Guard proposes to power and responsibilities among the permanently change the drawbridge The Regulatory Flexibility Act of 1980 various levels of government. We have operation regulations at 33 CFR (RFA), 5 U.S.C. 601–612, as amended, analyzed this proposed rule under that 117.723(e), that would allow Amtrak requires federal agencies to consider the Order and have determined that it is Portal Bridge at mile 5.0, across the potential impact of regulations on small consistent with the fundamental Hackensack River, at Little Snake Hill, entities during rulemaking. The term federalism principles and preemption New Jersey, to operate as follows: ‘‘small entities’’ comprises small requirements described in Executive The draw need not open for the businesses, not-for-profit organizations Order 13132. passage of vessel traffic from 5 a.m. to that are independently owned and Also, this proposed rule does not have 10 a.m. and from 3 p.m. to 8 p.m. operated and are not dominant in their tribal implications under Executive Additional bridge openings shall be fields, and governmental jurisdictions Order 13175, Consultation and provided for tide restricted commercial with populations of less than 50,000. Coordination with Indian Tribal vessels between 7 a.m. and 8 a.m. and The Coast Guard certifies under 5 U.S.C. Governments, because it would not have between 5 p.m. and 6 p.m., if at least a 605(b) that this proposed rule would not a substantial direct effect on one or

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more Indian tribes, on the relationship submit a comment, please include the Dated: September 19, 2019. between the Federal Government and docket number for this rulemaking, A.J. Tiongson, Indian tribes, or on the distribution of indicate the specific section of this Rear Admiral, U.S. Coast Guard, Commander, power and responsibilities between the document to which each comment First Coast Guard District. Federal Government and Indian tribes. applies, and provide a reason for each [FR Doc. 2019–21686 Filed 10–4–19; 8:45 am] If you believe this proposed rule has suggestion or recommendation. BILLING CODE 9110–04–P implications for federalism or Indian We encourage you to submit tribes, please contact the person listed comments through the Federal e- in the FOR FURTHER INFORMATION Rulemaking Portal at http:// DEPARTMENT OF HOMELAND CONTACT section above. www.regulations.gov. If your material SECURITY E. Unfunded Mandates Reform Act cannot be submitted using http:// www.regulations.gov, contact the person Coast Guard The Unfunded Mandates Reform Act in the FOR FURTHER INFORMATION of 1995 (2 U.S.C. 1531–1538) requires CONTACT section of this document for 33 CFR Part 127 Federal agencies to assess the effects of alternate instructions. [Docket Number USCG–2019–0615] their discretionary regulatory actions. In We accept anonymous comments. All particular, the Act addresses actions comments received will be posted Waterway Suitability Assessment for that may result in the expenditure by a without change to http:// Operations of Liquefied Hazardous State, local, or tribal government, in the www.regulations.gov and will include Gas Terminal; Nederland, TX aggregate, or by the private sector of any personal information you have $100,000,000 (adjusted for inflation) or AGENCY: Coast Guard, DHS. provided. For more about privacy and more in any one year. Though this ACTION: Notice of inquiry; request for the docket, visit http:// proposed rule will not result in such an comments. www.regulations.gov/privacynotice. expenditure, we do discuss the effects of this proposed rule elsewhere in this Documents mentioned in this NPRM SUMMARY: We are requesting your preamble. as being available in this docket and all comments on a Letter of Intent and public comments, will be in our online Preliminary Waterway Suitability F. Environment docket at http://www.regulations.gov Assessment we received from Sunoco We have analyzed this proposed rule and can be viewed by following that Partners Marketing & Terminals to under Department of Homeland website’s instructions. Additionally, if expand their existing liquefied Security Management Directive 023–01 you go to the online docket and sign up hazardous gas (LHG) operations by and Environmental Planning for email alerts, you will be notified increasing the number of liquefied COMDTINST 5090.1 (series), which when comments are posted or a final propane and butane ship visits from guide the Coast Guard in complying rule is published. approximately 120 per year to 432 ship visits per year. Additionally, they with the National Environmental Policy List of Subjects in 33 CFR Part 117 Act of 1969 (42 U.S.C. 4321–4370f), and intend to expand operations to include have made a preliminary determination Bridges. 120 liquefied ethane ship visits per year. The Coast Guard is notifying the public that this action is one of a category of For the reasons discussed in the of this proposed increase in LHG marine actions that do not individually or preamble, the Coast Guard proposes to traffic on the Sabine-Neches Waterway cumulatively have a significant effect on amend 33 CFR part 117 as follows: the human environment. This proposed and is soliciting comments relevant to rule promulgates the operating PART 117—DRAWBRIDGE the Coast Guard’s preparation of a Letter regulations or procedures for OPERATION REGULATIONS of Recommendation for issuance to the drawbridges. Normally, this action is federal, state, or local agency with categorically excluded from further ■ 1. The authority citation for part 117 jurisdiction over the proposed facility. review, under paragraph L49, of Chapter continues to read as follows: DATES: Your comments and related 3, Table 3–1 of the U.S. Coast Guard Authority: 33 U.S.C. 499; 33 CFR 1.05–1; material must reach the Coast Guard on Environmental Planning DHS Delegation No. 0170.1. or before November 6, 2019. Implementation Procedures. ■ 2. Revise § 117.723(e) to read as ADDRESSES: You may submit comments G. Protest Activities follows: identified by docket number USCG– 2019–0615 using the Federal portal at The Coast Guard respects the First § 117.723 Hackensack River. https://www.regulations.gov. See the Amendment rights of protesters. * * * * * ‘‘Public Participation and Request for Protesters are asked to contact the Comments’’ portion of the FOR FURTHER (e) The draw of the Amtrak Portal person listed in the SUPPLEMENTARY INFORMATION section for INFORMATION CONTACT section to Bridge, mile 5.0, at Little Snake Hill, New Jersey, need not open for the further instructions on submitting coordinate protest activities so that your comments. message can be received without passage of vessel traffic from 5 a.m. to jeopardizing the safety or security of 10 a.m. and from 3 p.m. to 8 p.m. FOR FURTHER INFORMATION CONTACT: If people, places or vessels. Additional bridge openings shall be you have questions about this notice of provided for tide restricted commercial inquiry, call or email Mr. Scott K. V. Public Participation and Request for vessels between 7 a.m. and 8 a.m. and Whalen, Vessel Traffic Service Director, Comments between 5 p.m. and 6 p.m., if at least a Marine Safety Unit Port Arthur, U.S. We view public participation as two-hour advance notice is given by Coast Guard; telephone 409–719–5086, essential to effective rulemaking, and calling the number posted at the bridge. email [email protected]. will consider all comments and material At all other times the bridge shall open SUPPLEMENTARY INFORMATION: received during the comment period. on signal if at least two-hour advance Your comment can help shape the notice is given. I. Table of Abbreviations outcome of this rulemaking. If you * * * * * CFR Code of Federal Regulations

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COTP Captain of the Port Marine Safety and WSA Addendum and the POSTAL SERVICE Unit Port Arthur development of the Coast Guard’s LOR. DHS Department of Homeland Security A brief summary of Sunoco’s proposal 39 CFR Part 501 LNG Liquefied natural gas is available in the docket where LOI Letter of Intent Authorization To Manufacture and indicated under ADDRESSES LOR Letter of Recommendation . Distribute Postage Evidencing NVIC Navigation and Vessel Inspection On January 24, 2011, the Coast Guard Systems Circular published Navigation and Vessel U.S.C. United States Code AGENCY: Postal ServiceTM. WSA Waterway Suitability Assessment Inspection Circular (NVIC) 01–2011, titled ‘‘Guidance Related to Waterfront ACTION: Proposed rule. II. Background and Purpose Liquefied Natural Gas (LNG) Facilities.’’ SUMMARY: The Postal Service proposes Under 33 CFR 127.007(a), an owner or NVIC 01–2011 provides guidance for to amend its Postage Evidencing operator planning to build a new facility owners and operators seeking approval Systems regulations. These changes handling liquefied hazardous gas (LHG), to build and operate LNG facilities. The would put the financial responsibility or an owner or operator planning new Coast Guard will refer to NVIC 01–2011 for returned checks and returned construction to expand or modify for process information and guidance in Automatic Clearinghouse (ACH) debit marine terminal operations in an evaluating Sunoco’s WSA Addendum. payments on the applicable resetting existing facility handling LHG, where NVIC 01–2011 is available in the docket company (RC) and PC Postage provider. the construction, expansion, or where indicated under ADDRESSES and These responsibilities would include modification would result in an increase also on the Coast Guard’s website at collecting a fee from the customer for in the size and/or frequency of LHG https://www.dco.uscg.mil/Portals/9/ each returned check and ACH debit marine traffic on the waterway payment of $30, as may be adjusted associated with the proposed facility or DCO%20Documents/5p/5ps/NVIC/ 2011/NVIC%2001–2011%20Final.pdf. from time to time, and remitting the modification to an existing facility, must amount of the returned check or ACH submit a Letter of Intent (LOI) to the IV. Public Participation and Request for debit payment, as applicable, plus the Captain of the Port of the zone in which Comments fee to the Postal Service within 10 the facility is or will be located. Under calendar days of the date of the invoice. 33 CFR 127.007(e), an owner or operator We encourage you to submit These changes would also update the planning such new construction or comments through the Federal portal at SSAE 18 requirements and add the expansion of an existing facility must https://www.regulations.gov. If your requirement for System and also file or update a Waterway material cannot be submitted using Organization Control (SOC) 2 reporting. Suitability Assessment (WSA) that https://www.regulations.gov, contact the DATES: Comments must be received on addresses the proposed increase in LHG person in the FOR FURTHER INFORMATION or before November 6, 2019. marine traffic in the associated CONTACT section of this document for ADDRESSES: Mail or deliver written waterway. alternate instructions. In your Under 33 CFR 127.009, after receiving comments to: Manager, Payment submission, please include the docket Technology, 475 L’Enfant Plaza SW, an LOI, the Captain of the Port issues a number for this notice of inquiry and Letter of Recommendation (LOR) as to Room 3500, Washington, DC 20260. provide a reason for each suggestion or the suitability of the waterway for LHG Email and faxed comments are not recommendation. marine traffic to the appropriate accepted. You may inspect and jurisdictional authorities. The LOR is We accept anonymous comments. All photocopy all written comments, by ® based on a series of factors listed in 33 comments received will be posted appointment only, at USPS CFR 127.009 that relate to the physical without change to https:// Headquarters Library, 475 L’Enfant nature of the affected waterway and www.regulations.gov and will include Plaza SW, 11th Floor North, issues of safety and security associated any personal information you have Washington, DC 20260. These records with LHG marine traffic on the affected provided. For more about privacy and are available for review on Monday waterway. the docket, visit https:// through Friday, 9 a.m.–4 p.m., by calling 202–268–2904. All submitted www.regulations.gov/privacyNotice. III. Information Requested comments and attachments are part of On March 11, 2013, Sunoco Partners Documents mentioned in this notice the public record and subject to Marketing and Terminals, located in of inquiry as being available in the disclosure. Do not enclose any material Nederland, TX, submitted an LOI and docket, and all public comments, will in your comments that you consider to Preliminary WSA indicating the be in our online docket at https:// be confidential or inappropriate for company’s proposed plans to expand www.regulations.gov and can be viewed public disclosure. operations of an existing dock to handle by following that website’s instructions. FOR FURTHER INFORMATION CONTACT: liquefied hazardous gas, specifically This document is issued under Elizabeth M. Schafer, Treasurer, propane and butane, with an estimated authority of 5 U.S.C. 552 (a). [email protected], 202– 132 vessels calling on the facility each 268–6135. Dated: September 30, 2019. year. On July 14, 2019, the COTP SUPPLEMENTARY INFORMATION: The Postal received a new LOI and an Addendum Jacqueline Twomey, Service proposes to amend 39 CFR part to the original WSA. The purpose of this Captain, U.S. Coast Guard, Captain of the 501 to make the Resetting Company notice is to solicit public comments on Port Marine Safety Unit Port Arthur. (RC) and the PC Postage provider, as the proposed increase in LNG marine [FR Doc. 2019–21625 Filed 10–4–19; 8:45 am] applicable, financially responsible for traffic on the Sabine-Neches Waterway. BILLING CODE 9110–04–P returned checks and returned ACH debit The Coast Guard believes that public payments, to update verbiage, and to input may be useful to the Captain of require System and Organization the Port Marine Safety Unit Port Arthur Control (SOC) 2 reporting. (COTP) with respect to validating the The amendment to Section 501.15(g) information provided in Sunoco’s LOI requires the Resetting Company (RC) to

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reimburse the Postal Service upon to charge the customer a fee of $30, as (i) Security and Revenue Protection. request for any returned checks or ACH may be adjusted from time to time, for To receive Postal Service approval to debits for postage payments and each returned check and ACH debit continue to operate systems in the clarifies that the RC must, upon first payment and remit the amount of the postage meters environment, the RC learning of a returned check or ACH returned check or ACH debit payment, must submit to a periodic examination debit, immediately lock a customer’s as applicable, plus the fee to the Postal and provide a SOC1 Type II Report of account to prevent a meter reset until Service within 10 calendar days of the its meter system and any other the RC receives confirmation of invoice. applications and technology payment of the returned items. The The amendment to Section 501.16(i) infrastructure that may have a material requirement encourages the RC to take updates Statements on Standards for impact on Postal Service revenues, as adequate measures to authenticate the Attestation Engagements (SSAE) from determined by the Postal Service. identity of the customer and ensure that SSAE 16 to SSAE 18. This requires the Additionally, RC must submit to a the account that is debited is provider to provide System and periodic examination and provide a authorized, and clarifies that the RC Organization Control (SOC) reports that SOC2 Type II Report of its meter system must prevent customers who have demonstrate effective internal controls. data security, accuracy, processing returned checks and/or returned ACH SOC2 reports are a new requirement to integrity and data integrity for any debits from continuing to charge postage support data security and privacy applications, reports, and technology until payment is confirmed. It further concerns. The American Institute of infrastructure that may have a material requires the RC to charge the customer Certified Public Accountants (AICPA) impact on the RC’s reports, which the a fee for each returned check and ACH created the SOC reporting framework as Postal Service relies upon. The debit of $30, as may be adjusted from part of the SSAE 18. The SOC examinations shall be performed by a time to time, and remit the amount of framework covers organizational qualified, independent audit firm and the returned check or ACH debit controls over services with the intent to: shall be conducted in accordance with payment, as applicable, plus the fee to (1) Address needs and reporting the Statements on Standards for the Postal Service within 10 calendar requirements by service organizations, Attestation Engagements (SSAEs) No. days of the invoice. and (2) Provide valuable information, 18, Service Organizations, developed by The amendment to Section 501.15(i) including third party risk assessment. the American Institute of Certified updates Statements on Standards for For the reasons stated in the Public Accountants (AICPA), as Attestation Engagements (SSAE) from preamble, the Postal Service proposes to SSAE 16 to SSAE 18. Section 501.15(i) amended or superseded. Expenses amend 39 CFR chapter 501 as follows: requires the RC to provide System and associated with such examination shall Organization Control (SOC) reports that List of Subjects in 39 CFR Part 501 be incurred by the RC. The examination demonstrate effective internal controls. shall include testing of the operating Administrative practice and SOC2 reports are a new requirement to effectiveness of relevant RC internal procedure, Postal Service support data security and privacy controls (SOC 1 Type II SSAE 18 & SOC2 Type II SSAE 18 Reports). If the concerns. The American Institute of PART 501—[AMENDED] Certified Public Accountants (AICPA) service organization uses another service organization (sub-service created the SOC reporting framework as ■ 1. The authority citation for part 501 provider), the RC should consider the part of the SSAE 18. The SOC continues to read as follows: framework covers organizational nature and materiality of the controls over services with the intent to: Authority: 5 U.S.C. 552(a); 39 U.S.C. 101, transactions and data processed by the 401, 403, 404, 410, 2601, 2605; Inspector (1) Address needs and reporting sub-service organization and the General Act of 1978, as amended (Pub. L. 95– contribution of the sub-service requirements by service organizations, 452, as amended); 5 U.S.C. App. 3. and (2) Provide valuable information, organization’s processes and controls in including third party risk assessment. ■ 2. Amend § 501.15 by revising the achievement of the Postal Service’s Section 501.15(j) is being changed to paragraphs (g), (i), and (j) to read as control objectives. Resetting companies replace the term ‘‘provider’’ with ‘‘RC’’ follows: are expected to submit any request for in the last sentence. changes to control objectives by § 501.15 Computerized Meter Resetting December 31 of each year, which will be The amendment to Section 501.16(d) System requires the PC Postage provider taken under consideration by the Postal (‘‘provider’’) to reimburse the Postal * * * * * Service for review and approval. The Service upon request for any returned (g) The RC is required to reimburse Postal Service will provide common check or ACH debits for postage the Postal Service upon request for any control objectives to be covered by the payments and clarifies that the provider returned checks or ACH debits for SOC 1 Type II SSAE 18 by February 28 must, upon first learning of a returned postage payments. The RC must, upon each year. As a result of the check or ACH debit, immediately lock a first becoming aware of a returned check examination, the service auditor shall customer’s account to prevent a meter or ACH debit, immediately lock the provide the RC and the Postal Service reset until the provider receives customer’s CMRS account to prevent a with an opinion on the design and confirmation of payment of the returned meter reset until the RC receives operating effectiveness of the RC’s items. The shift encourages the PC confirmation of payment for the internal controls related to the meter Postage provider to take adequate returned item. The RC is required to system and any other applications and measures to authenticate the identity of charge the customer a returned item fee technology infrastructure considered the customer and ensure that the for returned checks or ACH debits of material to the services provided to the account that is debited is authorized, $30, as may be adjusted from time to Postal Service by the RC. SOC1 and and clarifies that the provider must time, and remit the fee plus the amount SOC2 examinations are to be conducted prevent customers who have returned of the returned item to the Postal on no less than an annual basis, and are ACH debits from continuing to charge Service within ten (10) calendar days to be as of and for the 12 months ended postage until payment is confirmed. It after the receipt of the invoice. June 30 of each year (except for new further requires the PC Postage Provider * * * * * contracts for which the examination

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period will be no less than the period of the returned item to the Postal applications and technology from the contract date to the following Service within ten (10) calendar days infrastructure considered material to the June 30, unless otherwise agreed to by after the receipt of the invoice. services provided to the Postal Service the Postal Service). The SOC1 and SOC2 * * * * * by the RC. SOC1 and SOC2 examination reports are to be provided (f) Security and Revenue Protection. examinations are to be conducted on no to the Postal Service by August 15 of To receive Postal Service approval to less than an annual basis, and are to be each year. To the extent that internal continue to operate PC Postage systems, as of and for the 12 months ended June control weaknesses are identified in a the provider must submit to a periodic 30 of each year (except for new SOC report, the Postal Service requires examination and provide a SOC1 Type contracts for which the examination prompt communication and II Report of its PC Postage system and period will be no less than the period remediation of such weaknesses and any other applications and technology from the contract date to the following shall have the right to review working infrastructure that may have a material June 30, unless otherwise agreed to by papers and engage in discussions about impact on Postal Service revenues, as the Postal Service). The SOC1 and SOC2 the work performed with the service determined by the Postal Service. examination reports are to be provided auditor. The Postal Service requires that Additionally, provider must submit to to the Postal Service by August 15 of all remediation efforts (if applicable) are a periodic examination and provide a each year. To the extent that internal completed and reported by the RC prior SOC2 Type II Report of its meter system control weaknesses are identified in a to the Postal Service’s fiscal year end data security, accuracy, processing SOC 1 Type II SSAE 18 report, the (September 30). In addition, the RC will integrity and data integrity for any Postal Service requires prompt be responsible for performing an applications, reports, and technology communication and remediation of such examination of their internal control infrastructure that may have a material weaknesses and will review working environment related to the meter system impact on the provider’s reports, which papers and engage in discussions about and any other applications and the Postal Service relies upon. The the work performed with the service technology infrastructure considered examination shall be performed by a auditor. The Postal Service requires that material to the services provided to the qualified, independent audit firm and all remediation efforts (if applicable) are Postal Service by the RC, in particular, shall be conducted in accordance with completed and reported by the provider disclosing changes to internal controls the Statements on Standards for to the Postal Service’s fiscal year end for the period of July 1 to September 30. Attestation Engagements (SSAEs) No. (September 30). In addition, the This examination should be 18, Service Organizations, developed by provider will be responsible for documented and submitted to the Postal the American Institute of Certified performing an examination of their Service by October 14 of each year. The Public Accountants (AICPA), as internal control environment related to RC will be responsible for all costs amended or superseded. Expenses the meter system and any other related to the examinations conducted associated with such examination shall applications and technology by the service auditor and the RC. infrastructure considered material to the (j) Inspection of records and facilities. be incurred by the provider. The examination shall include testing of the services provided to the Postal Service The RC must make its facilities that by the provider, in particular, disclosing handle the operation of the operating effectiveness of relevant provider internal controls (SOC1 Type II changes to internal controls for the computerized resetting system and all period of July 1 to September 30. This records about the operation of the SSAE 18 Report). If the service organization uses another service examination should be documented and system available for inspection by submitted to the Postal Service by representatives of the Postal Service at organization (sub-service provider), the provider should consider the nature and October 14 each year. The provider will all reasonable times. At its discretion, be responsible for all costs related to the the Postal Service may continue to fund materiality of the transactions processed by the sub-service organization and the examinations conducted by the service inspections as it has in the past, auditor and the RC. provided the costs are not associated contribution of the sub-service with a particular security issue related organization’s processes and controls in * * * * * to the RC’s meter systems and the achievement of the Postal Service’s Brittany M. Johnson, control objectives. The control supporting infrastructure. Attorney, Federal Compliance. objectives to be covered by the SOC 1 * * * * * [FR Doc. 2019–21576 Filed 10–4–19; 8:45 am] ■ Type II SSAE 18 report are subject to 3. Amend § 501.16 by revising BILLING CODE P paragraph (d) and (f) to read as follows: Postal Service review and approval, and are to be provided to the Postal Service § 501.16 PC postage payment 30 days prior to the initiation of each methodology examination period. Resetting FEDERAL COMMUNICATIONS * * * * * companies are expected to submit any COMMISSION (d) The provider must reimburse the request for changes to control objectives 47 CFR Parts 0, 1, and 76 Postal Service upon request for any by December 31 of each year, which will returned checks or ACH debits for be taken under consideration by the [EB Docket No. 19–214; FCC 19–86] postage payments. The provider must, Postal Service for review and approval. upon first becoming aware of a returned The Postal Service will provide Procedural Streamlining of check or ACH debit, immediately lock common control objectives to be Administrative Hearings the customer account to prevent covered by the SOC 1 Type II SSAE 18 AGENCY: Federal Communications resetting the account until the provider by February 28 each year. As a result of Commission. receives confirmation of payment for the the examination, the service auditor ACTION: Proposed rule. returned item. The provider is required shall provide the provider and the to charge the customer a returned item Postal Service with an opinion on the SUMMARY: In this document, the fee for returned checks and ACH debits design and operating effectiveness of the Commission proposes procedural of $30, as may be adjusted from time to provider’s internal controls related to changes to administrative hearings time, and remit the fee plus the amount the meter system, and any other under the Communications Act of 1934,

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as amended. The proposals would People with Disabilities: Contact the testimony and cross-examination; (b) supplement the Commission’s current FCC to request reasonable enable Commission staff to act as a case administrative law judge referral accommodations (accessible format manager that would supervise process and promote more efficient documents, sign language interpreters, development of the written hearing resolution of hearings. The Commission CART, etc.) by email: [email protected] record when the Commission designates seeks comment on proposals to codify or phone: 202–418–0530 or TTY: 202– itself as the presiding officer at a and expand the use of written testimony 418–0432. hearing; and (c) dispense with the and documentary evidence in lieu of FOR FURTHER INFORMATION CONTACT: For preparation of an intermediate opinion live testimony and cross-examination. additional information on this whenever the record of a proceeding can The Commission also seeks comment on proceeding, contact Lisa Boehley of the be certified to the Commission for final proposals that would enable Market Disputes Resolution Division, decision. The proposed procedures Commission staff to act as a case Enforcement Bureau, at Lisa.Boehley@ would expedite the Commission’s manager that would supervise fcc.gov or (202) 418–7395. hearing processes consistent with the requirements of the Communications development of the written hearing SUPPLEMENTARY INFORMATION: This is a record when the Commission designates summary of the Commission’s Notice of Act and the Administrative Procedure itself as the presiding officer at a Proposed Rulemaking, FCC 19–86, EB Act (APA) while ensuring transparency hearing. Finally, the Commission seeks Docket No. 19–214, adopted on and procedural fairness. 3. Several provisions of the comment on a proposal to dispense with September 3, 2019 and released on Communications Act require or permit the preparation of an intermediate September 6, 2019. The full text of this the Commission to conduct an opinion whenever the record of a document is available for public adjudicatory hearing to resolve a matter. proceeding can be certified to the inspection during regular business These provisions generally do not Commission for final decision. hours in the FCC Reference Center, 445 identify particular procedures that the DATES: Comments are due on or before 12th Street SW, Room CY–A257, Commission must follow. For example, November 6, 2019 and reply comments Washington, DC 20554, or online at • are due on or before November 21, 2019. Section 309(e) requires the https://ecfsapi.fcc.gov/file/ Commission, when a substantial and ADDRESSES: You may submit comments, 090628688258/FCC-19-86A1.pdf. To material fact is presented or when it is identified by EB Docket No. 19–214, by request this document in accessible unable to make the public interest any of the following methods: formats for people with disabilities (e.g., • finding in section 309(a), to designate a Electronic Filers: Comments may be Braille, large print, electronic files, license application for a ‘‘full hearing’’; filed electronically using the internet by audio format, etc.) or to request • Section 309(k)(3) requires a section accessing the ECFS: http://apps.fcc.gov/ reasonable accommodations (e.g., 309(e) ‘‘full hearing’’ when the ecfs2/. accessible format documents, sign • Commission is unable to make the Paper Filers: Parties who choose to language interpreters, CART, etc.), send requisite findings to grant a broadcast file by paper must file an original and an email to [email protected] or call the station renewal request; one copy of each filing. If more than one FCC’s Consumer and Governmental • Section 312(c) requires the docket or rulemaking number appears in Affairs Bureau at (202) 418–0530 Commission to conduct a ‘‘hearing’’ the caption of this proceeding, filers (voice), (202) 418–0432 (TTY). before revoking a station license or must submit two additional copies for Synopsis construction permit pursuant to section each additional docket or rulemaking 312(a); number. 1. In the Notice of Proposed • Section 316(a) and (b) provide that Filings can be sent by hand or Rulemaking (NPRM), we seek comment a ‘‘hearing’’ may be conducted before messenger delivery, by commercial on procedural changes that, if adopted, the Commission modifies a station overnight courier, or by first-class or would streamline many administrative license or construction permit; overnight U.S. Postal Service mail. All hearings under the Communications Act • Section 9(c)(3) requires a ‘‘hearing’’ filings must be addressed to the of 1934, as amended (Communications before the Commission may revoke an Commission’s Secretary, Office of the Act or Act). Currently, these hearings instrument of authorization for failure to Secretary, Federal Communications typically are conducted like trials in pay a regulatory fee if ‘‘the licensee’s Commission. civil litigation and include, among other response [to a notice of intent to revoke] • All hand-delivered or messenger- things, live testimony before an presents a substantial and material delivered paper filings for the administrative law judge, cross- question of fact’’; Commission’s Secretary must be examination of witnesses, and an initial • Section 204(a) authorizes the delivered to FCC Headquarters at 445 decision by the administrative law judge Commission to conduct a ‘‘hearing’’ 12th St. SW, Room TW–A325, that is subject to review by the concerning the lawfulness of a tariff; Washington, DC 20554. The filing hours Commission. The Commission has • Sections 208 and 209 require the are 8:00 a.m. to 7:00 p.m. All hand observed that such trial-type hearings Commission to conduct a ‘‘hearing’’ to deliveries must be held together with are costly and impose significant resolve a complaint that a common rubber bands or fasteners. Any burdens and delays on both applicants carrier engaged in unlawful conduct, envelopes and boxes must be disposed and the agency that may not be and to award damages when of before entering the building. necessary. appropriate; • Commercial overnight mail (other 2. The procedures outlined here are • Section 214(b) grants a right ‘‘to be than U.S. Postal Service Express Mail designed to supplement the heard’’ to parties receiving Commission and Priority Mail) must be sent to 9050 Commission’s current administrative notice of a carrier request to construct, Junction Drive, Annapolis Junction, MD law judge referral process and promote extend, acquire, operate, or discontinue 20701. more efficient resolution of hearings. If service, and section 214(d) provides that • U.S. Postal Service first class, adopted, the proposals would (a) codify the Commission may ‘‘after a full Express, and Priority mail must be and expand the use of a process that opportunity for hearing’’ require a addressed to 445 12th Street SW, would rely on written testimony and carrier to provide itself with adequate Washington, DC 20554. documentary evidence in lieu of live facilities.

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4. The Commission has applied a all other parties in interest shall be submit evidence. We believe these variety of processes in these hearings. permitted to participate.’’ The procedures will expedite the resolution Traditionally, the Commission has Commission has on numerous occasions of hearing proceedings while designated most disputes concerning curtailed the use of oral testimony and safeguarding the rights of parties to a spectrum license applicants, permittees, cross examination in particular full and fair hearing. We seek comment or licensees under sections 309 and 312 proceedings in order to expedite the on these proposals. for resolution in hearings before an hearing process. In our experience, 9. We also propose to require parties administrative law judge using disputes in Commission proceedings to demonstrate why oral argument may procedures similar to the formal typically involve criticisms by one party be necessary in a case. In our adjudication provisions of the APA. By of the evidence proffered by another experience, oral argument does not rule, the administrative law judge may party or the legal significance of that materially aid in the resolution of the grant a motion for summary decision on evidence, not actual conflicts in vast majority of cases, and routinely a written record only if ‘‘there is no testimony between two witnesses accommodating requests for oral genuine issue as to any material fact’’ concerning outcome determinative facts. argument unnecessarily prolongs the and ‘‘a party is otherwise entitled to Section 208 formal complaint resolution of hearing proceedings. summary decision.’’ In contrast, the proceedings amply demonstrate this 10. Selection of a Presiding Officer. Commission has traditionally resolved point. We contemplate codifying and Each designation order will indicate section 204 hearings on the lawfulness expanding the use of a written hearing whether the Commission itself, one or of tariffs on a written record, and process that can be used in most more Commissioners, or an hearing rights for common carriers adjudicative proceedings, including administrative law judge will serve as under section 214 are comparatively those conducted by an administrative the presiding officer. We tentatively limited. The Commission has also law judge. In particular, we propose to conclude that the selection of a delegated authority to the Enforcement authorize the presiding officer to presiding officer should take into Bureau to conduct hearings on section conduct a written hearing whenever consideration who would ‘‘most fairly 208 complaints, in which all issues are factual disputes can be adequately and reasonably accommodate’’ ‘‘the resolved on a written record. resolved on a written record. proper dispatch of [the Commission’s] 5. Under certain circumstances, the 7. We propose that the Commission business and the ends of justice’’ in Commission has taken steps to may, in any order designating a matter each case. To that end, we seek streamline its hearing processes even for for hearing (designation order), require comment on if there are particular types spectrum licensing matters. In 1981, the the administrative law judge or other of proceedings where it is or is not Commission adopted a streamlined presiding officer to conduct a hearing on appropriate, on legal or policy grounds, approach for evaluating competing a written record. We also propose that, for the Commission itself to serve as initial cellular applications under in the absence of such a directive in a presiding officer. For example, if a case section 309(e) on a written record. More designation order, the presiding officer is likely to involve primarily recently, the Commission ruled that may conduct the hearing on a written interpretations of law or policy certain license renewal proceedings may record on her own initiative or on determinations, would the Commission be resolved in a written hearing motion of a party. The presiding officer itself be best suited to administer the proceeding administered by the should include the date for filing such hearing in such a case? Commission itself in lieu of an a motion in the scheduling order issued 11. The APA provisions governing administrative law judge when there are following release of the designation formal hearing proceedings generally no substantial issues of material fact or order. We seek comment on these identify only the agency, one or more credibility issues. The Commission has proposals and on whether any agency heads, or one or more likewise required parties to certain additional procedural safeguards are administrative law judges among those broadcast proceedings to submit all or a warranted in this regard. We note that who may preside at formal hearings, but portion of their affirmative direct cases our current hearing rules allow parties no such limitation applies to informal in writing where the presiding officer to take depositions, which enable adjudications under the APA. Similarly, determines that doing so will contribute parties to examine witnesses in a live although section 5(c)(1) of the significantly to the disposition of the setting and may render live testimony Communications Act limits delegations proceeding. The Commission also unnecessary at a hearing. of authority to conduct hearings to adopted expedited procedures under 8. We propose that parties in written individuals identified in 5 U.S.C. section 309(j)(5) permitting ‘‘employees hearing proceedings be required to file 556(b)(2) (members of the agency) and other than [administrative law judges] to pleadings that include all evidence and (b)(3) (administrative law judges), that preside at the taking of written arguments that support their respective limitation expressly applies only to evidence.’’ Relatedly, the Commission positions. Consistent with the hearings subject to APA formal hearing has delegated authority to particular Commission’s rules on summary requirements. Accordingly, although we operating Bureaus to act on certain decision and its formal complaint rules, are not proposing any rule changes in licensing and permitting applications such written submissions must be this regard, we seek comment on when the relevant Bureau determines supported by evidence in the form of whether there are other officials on the that the application raises no sworn statements based on personal Commission’s staff who may serve as ‘‘substantial and material questions of knowledge and supporting the presiding officer in suitable fact.’’ documentation. The Commission, in its circumstances. Would directing such 6. To further streamline the designation order, or the presiding individuals to administer hearing Commission’s hearing processes, we officer will adopt a schedule for proceedings expedite our hearings propose to codify and expand the sequential filing of written evidentiary process by making available additional Commission’s use of hearings on a submissions. Enforcement Bureau staff neutral qualified personnel to conduct written record. The Commission’s will continue to represent the public Commission hearings? We will address hearing rules provide that ‘‘[a]ny interest in these proceedings and will any proposed rule changes on this issue hearing upon an application shall be a have the opportunity, along with other in a Further Notice of Proposed full hearing in which the applicant and interested parties, to file pleadings and Rulemaking in this proceeding.

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12. We also propose to direct the We seek comment on the minimum advising or assisting the case manager Chief of the Wireline Competition training and qualifications, including ‘‘in that same case.’’ Thus, we propose Bureau to exercise certain authority adjudicatory and subject matter that staff who participated in identifying previously held by the Chief of the expertise, that individuals must possess the specific issues designated for Common Carrier Bureau, the former’s to successfully perform this role. The hearing; staff who take an active part in predecessor bureau, under section 214 Administrative Conference’s ‘‘best investigating, prosecuting, or advocating of the Act. In particular, the practice’’ pertaining to presiding officer in a case; and staff who are expected to Commission ‘‘delegate[d] to the Chief, qualifications recommends that agencies investigate and act upon petitions to Common Carrier Bureau, authority to ‘‘use adjudicators—rather than agency deny (including administrative issue orders revoking a common heads, boards, or panels—to conduct challenges thereto) may not serve as the carrier’s operating authority pursuant to hearings and provide initial case manager in that case. We seek [s]ection 214 of the Act, and to issue decisions[.]’’ Should this comment on these proposals. orders to cease and desist such recommendation apply to Commission 17. Unless otherwise designated, operations, in cases where the Chief staff whose eligibility to act as a case Commission hearings are ‘‘restricted’’ Administrative Law Judge, or the manager is under consideration? We proceedings and thus ex parte Presiding Officer designated, has issued note that various staff within the presentations to or from Commission a certification order to the Commission Enforcement Bureau and the decision-making personnel are pursuant to [s]ection 1.92(c) of our rules Commission’s Office of General Counsel prohibited. ‘‘Decision-making that the carrier has waived its have extensive adjudicatory experience, personnel’’ include ‘‘[a]ny member, opportunity for hearing under that and we therefore seek comment on officer, or employee of the Commission section.’’ We propose to direct the Chief whether we should direct particular . . . who is or may reasonably be of the Wireline Competition Bureau to staff within the Enforcement Bureau or expected to be involved in formulating issue such orders whenever the Office of General Counsel to act as a a decision, rule or order in a presiding officer assigned to a hearing case manager in hearing proceedings. proceeding.’’ Decision-making proceeding determines that a common We similarly seek comment on the personnel also include ‘‘[u]nseparated carrier has waived its opportunity for qualifications of staff within the Bureau or Office staff . . . with respect hearing. We seek comment on this Commission’s other bureaus to serve in to decisions, rules, and orders in which proposal. this role. their Bureau or Office participates in 13. Selection of a Case Manager. The 15. The case manager in a hearing enacting, preparing, or reviewing.’’ We Commission’s current hearing rules should be neutral. In formal tentatively conclude that any provide that ‘‘[h]earings will be adjudications, the APA formal hearing Commission staff serving as a case conducted by the Commission, by one provisions prohibit agency staff from manager in a case should be considered or more commissioners, or by a law performing both prosecutorial and ‘‘decision-making personnel’’ for judge designated pursuant to section 11 decisional activities. This ‘‘separation of purposes of our ex parte rules. Finally, of the [APA].’’ We seek comment on functions’’ principle shields agency we tentatively conclude that the existing directing designated Commission staff decisionmakers from off-record definition of ‘‘ex parte presentation’’ in to perform specific case management presentations by staff who have section 1.1202 of the Commission’s functions when the Commission itself presented evidence or argument on rules would continue to apply. We seek serves as the presiding officer in a behalf of or against a party to a comment on these tentative conclusions hearing proceeding. A case manager proceeding and prohibits such staff from and on whether other or additional could issue scheduling orders, rule on participating in the hearing decision. measures are needed to ensure the discovery motions and other The separation of functions requirement impartiality of staff serving as the case interlocutory matters, administer the in section 409(c)(1) of the manager. intake of evidence, hold conferences in Communications Act, which applies to 18. Dispensing with Initial Decision order to settle or simplify the issues, both formal and informal adjudications, When Appropriate. Section 409(a) of the and certify the record for decision by prevents a person who has participated Communications Act generally requires the Commission at the conclusion of a in the presentation of a case at a hearing that the presiding officer prepare an hearing. Under this proposal, a case or upon review from making any initial, tentative, or recommended manager’s responsibilities may include additional presentation respecting such decision. With limited exceptions, the one or more of the duties that are case to the presiding officer or to any Commission’s rules likewise state that typically performed by the presiding authority within the Commission ‘‘the presiding officer shall prepare an officer, but a case manager would not performing a review function, absent initial (or recommended) decision’’ at have authority to resolve any new or notice and opportunity for all parties to the close of a hearing. Upon agreement novel issues or to issue orders on the participate. The Administrative of the parties or where the Commission merits resolving any issue designated Conference recommends that agencies finds ‘‘that due and timely execution of for hearing in a case. We tentatively require internal separation of decisional its functions imperatively and conclude that this proposal would and adversarial personnel in unavoidably so requires,’’ however, ‘‘the significantly expedite our hearing adjudications that are not subject to Commission may direct that the record processes when the Commission formal APA hearing requirements. In in a pending proceeding be certified to designates itself as the presiding officer. this context, an ‘‘adversary’’ refers to a it for initial or final decision.’’ We seek comment on this tentative staff member who took an active part in 19. We seek comment on whether the conclusion and on the relevance to this investigating, prosecuting, or advocating Commission should forego initial proposal, if any, of the Appointments in the same case. decisions whenever it serves as the Clause to the U.S. Constitution and the 16. We propose to adopt the presiding officer at a hearing, including Supreme Court’s decision in Lucia v. Administrative Conference’s cases in which the Commission directs SEC. recommendation to ‘‘prohibit staff who that the record of the proceeding be 14. We recognize that designated staff took an active part in investigating, certified to it for decision. Initial must demonstrate sufficient training prosecuting, or advocating in a case’’ decisions have no apparent utility when and expertise to act as a case manager. from serving as a case manager and from the Commission is the presiding officer.

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Dispensing with initial decisions under Proposed Rulemaking in this similar terminology, the statute does not these circumstances would greatly proceeding. trigger the APA formal adjudication promote efficient resolution of disputes. 24. Legal Authority. The Commission procedures absent clear evidence of We seek comment on this proposal. has broad authority ‘‘[to] conduct its congressional intent to impose the full Although the APA’s formal hearing proceedings in such manner as will best panoply of trial type procedures of a requirements do not apply here, we note conduce to the proper dispatch of formal hearing. that they authorize agencies to require business and to the ends of justice.’’ 28. No express ‘‘on the record’’ an administrative law judge to certify Congress ‘‘left largely to [the language appears in the the record for decision by the agency Commission’s] judgment the Communications Act’s hearing without an initial decision. We seek determination of the manner of provisions that would trigger the APA comment on whether a case manager conducting its business which would formal adjudication requirements. In could likewise certify the hearing record most fairly and reasonably addition, nothing in the text of the Act for decision directly by the Commission. accommodate’’ the ends of justice. unambiguously requires trial-type 20. Evidentiary Rules. The 25. In PBGC v. LTV Corp., the hearings in all such proceedings. When Commission’s current hearing rules Supreme Court identified three Congress intended to require the provide that the Federal Rules of potential sources of procedural Commission to conduct formal Evidence (28 U.S.C. Rules 101–1103) requirements for agency hearings—the adjudication under the APA, it said so govern Commission hearings, but that APA, the agency’s governing statute, explicitly—section 503 of the these rules may be ‘‘relaxed if the ends and the Due Process Clause. ‘‘[C]ourts Communications Act authorizes the of justice will be better served by so are not free to impose upon agencies Commission to impose a forfeiture doing.’’ In practice, however, the specific procedural requirements that penalty on a person after ‘‘a hearing Federal Rules of Evidence are not have no basis in’’ those sources. before the Commission or an 26. The APA prescribes procedural necessarily applied and instead serve administrative law judge thereof in standards governing formal and merely as guidelines in determining the accordance with section 554 of’’ the informal adjudications before federal admissibility of evidence. This lack of APA. Consequently, we tentatively agencies. The APA provisions governing clarity as to the relevant evidentiary conclude that Commission hearings formal adjudications appear in sections standard has the potential to cause generally are subject only to the APA’s 554, 556, and 557 of title 5, 74 which confusion for parties and to lead to informal adjudication requirements. require a formal hearing process that 29. We also believe that the evidentiary disputes between those who includes elements of a judicial trial in streamlined procedures proposed in this expect the Federal Rules of Evidence to a civil action. Informal adjudication NPRM comport with any constitutional apply and those who seek to avoid their commonly refers to procedures for due process requirements that may application in a particular case. conducting cases when formal apply, as articulated by the Supreme 21. We propose to amend this rule adjudication is not required. The APA Court in Mathews v. Eldridge. The Fifth and adopt the more permissive prescribes minimum procedural Amendment to the United States evidentiary standard in the formal APA requirements for informal adjudications. Constitution provides that ‘‘No person hearing requirements, which states, in Section 555 of title 5 requires only that shall . . . be deprived of life, liberty, or relevant part, that ‘‘the agency as a an agency afford participants the right to property, without due process of law.’’ matter of policy shall provide for the appear with counsel, the right to The essential elements of due process exclusion of irrelevant, immaterial, or procure copies or transcripts of any are notice and an opportunity to be unduly repetitious evidence.’’ We seek evidence they have provided, and heard when a governmental decision comment on this proposal and on the prompt notice of, and grounds for, the places an individual’s ‘‘liberty’’ or conclusion of the Asimow Report that agency’s denial of an application or ‘‘property’’ interests in jeopardy. The the more lenient standard in 5 U.S.C. petition. Section 558(c) includes certain government must give a party an 556(d) will result in fewer time- additional procedures specific to opportunity to be heard at a meaningful consuming disputes over ‘‘esoteric rules proceedings involving licenses or other time and in a meaningful manner before of evidence, such as the many agency authorizations. That section depriving the party of a protected exceptions to the hearsay rule,’’ and will generally requires an agency, prior to interest. In Mathews v. Eldridge, the be simpler for self-represented parties to instituting proceedings to suspend or Supreme Court held that: navigate. revoke a license, to provide the licensee [I]dentification of the specific dictates of 22. Proposed Rule Changes. Several with written notice of the facts that may due process generally requires rule changes are proposed in this warrant the agency’s contemplated consideration of three distinct factors: proceeding. Specifically, we propose to action and an opportunity to [1] The private interest that will be add sections 1.370–1.377 to our Part 1 demonstrate compliance with all lawful affected by the official action; [2] the hearing rules to establish procedures for requirements. risk of an erroneous deprivation of such hearings to be resolved on a written 27. The APA, by itself, does not interest through the procedures used, record. We otherwise generally retain establish when agencies must follow the and the probable value, if any, of the current Part 0 and Part 1 hearing formal hearing procedures in Sections additional . . . procedural safeguards; related rules with the proposed 554, 556, and 557. Instead, agencies and [3] the Government’s interest, modifications. We seek comment on must apply the APA in conjunction including . . . the fiscal and these proposed rules and on any other with the relevant enabling statute and administrative burdens that the changes necessary to conform our rules use formal hearing procedures in ‘‘every additional . . . procedural requirement to these proposals. case of adjudication required by statute would entail. 23. Related Issues. Finally, we seek to be determined on the record after 30. Courts have applied the Mathews comment on any other proposed rule opportunity for an agency hearing.’’ v. Eldridge balancing test to determine changes that would streamline or Where an agency’s enabling statute does whether, in the absence of a statutory expedite the Commission’s hearing not expressly require an ‘‘on the record’’ requirement to conduct a formal ‘‘on the processes. We may address any such hearing and, instead, calls simply for a record’’ APA hearing, due process proposals in a Further Notice of ‘‘hearing,’’ a ‘‘full hearing,’’ or uses requires a trial-type hearing. In

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Chemical Waste Management, the D.C. administrative law judge’s credibility to supplement the Commission’s current Circuit held that the Environmental determinations when evidence in the formal hearing processes by allowing Protection Agency was not required to written record supports the the Commission to select the personnel conduct a trial-type hearing before Commission’s decision? We seek and procedures that are best suited to issuing a ‘‘corrective action order’’ comment on whether that benefit, if the issues raised in a particular case and because ‘‘formal procedures do not any, outweighs the government’s that will achieve the purposes of that promise a sufficient lowering of the risk legitimate interests in expediting hearing without undue cost or delay. of error to justify their significant resolution of proceedings and avoiding These procedures, if adopted, would expense to the Government.’’ In the expense of a trial-type hearing. establish an alternative path for California ex rel. Lockyer v. FERC, the 33. We emphasize that when we resolving hearing proceedings in Ninth Circuit upheld the Federal Energy designate a matter for hearing on a appropriate cases. Regulatory Commission’s approval of a written record, we intend to give parties 36. The Commission estimates that utility’s reorganization in an informal a ‘‘full’’ hearing, with ample notice of the rule changes proposed in this NPRM hearing ‘‘[i]n light of the private the issues under consideration, an would reduce the time and attendant interests affected, the small risk of opportunity to present all evidence and costs associated with hearing erroneous deprivation through the arguments that support the parties’ proceedings for the Commission and for procedures used, and the government’s respective positions, and an opportunity applicants, petitioners, and other strong interest in expedient decision to confront and rebut opposing evidence parties. In particular, the NPRM making.’’ And in Blumenthal v. FERC, and arguments. To that end, we seek proposes to (1) codify and expand the the D.C. Circuit upheld FERC’s approval comment on the Administrative use of a ‘‘written hearing’’ process that of a utility’s executive compensation Conference’s recommended ‘‘best would rely on written testimony and plan without a trial-type hearing, noting practices’’ for agency hearings that are documentary evidence in lieu of live that ‘‘[t]his Court has never held that an not subject to APA formal hearing testimony and cross-examination unless in-person evidentiary hearing is requirements (referred to herein as the designated presiding officer constitutionally required whenever informal hearings), and whether and determines that oral testimony is FERC makes decisions. Indeed, we have how to incorporate those needed to resolve any issues; (2) direct frequently suggested the opposite.’’ recommendations in our rules. designated Commission staff to act as a 31. In other recent opinions, courts 34. Initial Regulatory Flexibility Act case manager that would supervise the have found that agencies may resolve Certification. As required by the development of the written hearing factual disputes on a written record. In Regulatory Flexibility Act, see 5 U.S.C. record when the Commission designates a series of cases involving FERC, the 603, the Commission has prepared an itself as the presiding officer in a D.C. Circuit has consistently held that Initial Regulatory Flexibility hearing proceeding; and (3) dispense ‘‘[e]ven when there are disputed factual Certification reflecting its analysis that with the preparation of an intermediate issues, FERC does not need to conduct there will be no significant economic opinion whenever the record of a an evidentiary hearing if it can impact on small entities by the proceeding can be certified to the adequately resolve the issues on a implementation of the policies and rules Commission for final decision. The written record.’’ We therefore addressed in this NPRM. The Regulatory NPRM tentatively concludes that the tentatively conclude that the Flexibility Act of 1980, as amended proposed procedures will expedite the Commission need not conduct an oral (RFA), requires that an initial regulatory Commission’s hearing processes while hearing if it can adequately resolve flexibility analysis be prepared for ensuring appropriate standards of factual disputes on a written record. notice-and-comment rule making transparency and procedural fairness. It 32. Although the D.C. Circuit has proceedings, unless the agency certifies seeks comment on various aspect of upheld an agency’s resolution of an that ‘‘the rule will not, if promulgated, these proposals and on any alternative issue of intent on a written record, the have a significant economic impact on approaches. court has suggested in dicta in other a substantial number of small entities.’’ 37. The Commission believes that the cases that it may be inappropriate for an The RFA generally defines the term proposals on which it seeks comment in agency to resolve issues of intent or ‘‘small entity’’ as having the same this NPRM would reduce costs and motive on a written record in certain meaning as the terms ‘‘small business,’’ burdens currently shouldered by parties circumstances. We seek comment on ‘‘small organization,’’ and ‘‘small to hearing proceedings in certain cases, what those circumstances may be. For governmental jurisdiction.’’ In addition, including small entities. Because only a example, we seek comment on when the the term ‘‘small business’’ has the same small percentage of matters before the Commission cannot, consistent with the meaning as the term ‘‘small business Commission necessitate a hearing, we Mathews v. Eldridge balancing test, concern’’ under the Small Business Act. anticipate that the number of small decide a motive, intent, or credibility A ‘‘small business concern’’ is one entities impacted would not be issue on a written record, bearing in which: (1) Is independently owned and substantial for RFA purposes. In mind that the existence of such an issue operated; (2) is not dominant in its field addition, the proposed modifications to is but one factor to be considered in of operation; and (3) satisfies any the hearing rules in this NPRM do not applying the due process balancing test. additional criteria established by the propose substantive new We note that when an agency reviews Small Business Administration (SBA). responsibilities for regulated entities or an administrative law judge’s initial 35. In this NPRM, the Commission for potential parties to Commission decision, the agency is not bound by the seeks comment on proposals to expedite hearings. Therefore, we certify that the judge’s findings of fact, and may reject and streamline the Commission’s proposals in this NPRM, if adopted, will the judge’s credibility findings as long hearing processes. The proposed rule not have a significant economic impact as the agency’s decision is supported by changes stem from longstanding on a substantial number of small substantial evidence. What is the criticisms of the Commission’s current entities. additional benefit of a trial-type hearing trial-type hearings as costly, 38. The Commission will send a copy when the Commission ultimately burdensome, and, in many cases, of the NPRM, including a copy of this reviews initial decisions on a written unnecessary. The proposals upon which Initial Regulatory Flexibility record and can overrule an the NPRM seeks comment are designed Certification, to the Chief Counsel for

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Advocacy of the Small Business 41. Ordering Clauses. Accordingly, it The delegation of authority to a staff Administration. This initial certification is ordered that, pursuant to the authority officer, however, does not mean that the will also be published in the Federal found in sections 1, 4(i), 4(j), 5, 9, 214, staff officer will exercise that authority Register. 303, 309, 312, 316, and 409 of the in all matters subject to the delegation. 39. Paperwork Reduction Act. This Communications Act of 1934, as The staff is at liberty to refer any matter document does not contain any amended, 47 U.S.C. 151, 154(i), 154(j), at any stage to the Commission for proposed new information collection(s) 155, 159, 214, 303, 309, 312, 316, and action, upon concluding that it involves subject to the Paperwork Reduction Act 409, this Notice of Proposed matters warranting the Commission’s of 1995 (PRA), Public Law 104–13. In Rulemaking is adopted. consideration, and the Commission may addition, therefore, it does not contain 42. It is further ordered that the instruct the staff to do so. any new or modified information Commission’s Consumer and * * * * * collection burden for small business Governmental Affairs Bureau, Reference ■ 4. Amend § 0.91 by adding paragraph concerns with fewer than 25 employees, Information Center, shall send a copy of (q) to read as follows: pursuant to the Small Business this Notice of Proposed Rulemaking, Paperwork Relief Act of 2002, Public including the Initial Regulatory § 0.91 Functions of the Bureau. Law 107–198, see 44 U.S.C. 3506(c)(4). Flexibility Act Certification, to the Chief * * * * * 40. Ex Parte Rules. This proceeding Counsel for Advocacy of the Small (q) Issue orders revoking a common shall be treated as a ‘‘permit-but- Business Administration. carrier’s operating authority pursuant to disclose’’ proceeding in accordance List of Subjects in 47 CFR Parts 0, 1, section 214 of the Act, and issue orders with the Commission’s ex parte rules. and 76 to cease and desist such operations, in Persons making ex parte presentations cases where the presiding officer has Administrative practice and must file a copy of any written issued a certification order to the procedure. presentation or a memorandum Commission pursuant to § 1.92(c) of our summarizing any oral presentation Federal Communications Commission. rules that the carrier has waived its within two business days after the Marlene Dortch, opportunity for hearing under that presentation (unless a different deadline Secretary. section. applicable to the Sunshine period * * * * * Proposed Rules applies). Persons making oral ex parte ■ 5. Amend § 0.111 by revising presentations are reminded that For the reasons discussed in the paragraphs (a)(18) and (b) to read as memoranda summarizing the preamble, the Federal Communications follows: presentation must list all persons Commission proposes to amend 47 CFR attending or otherwise participating in parts 0, 1, and 76 as follows: § 0.111 Functions of the Bureau. the meeting at which the ex parte (a) * * * presentation was made, and summarize PART 0—COMMISSION (18) Issue or draft orders taking or all data presented and arguments made ORGANIZATION recommending appropriate action in response to complaints or during the presentation. If the ■ 1. The authority citation for part 0 is investigations, including, but not presentation consisted in whole or in revised to read as follows: part of the presentation of data or limited to, admonishments, damage arguments already reflected in the Authority: 47 U.S.C. 151, 154(i), 154(j), awards where authorized by law or presenter’s written comments, 155, 225, and 409, unless otherwise noted. other affirmative relief, notices of violation, notices of apparent liability memoranda or other filings in the Subpart A—[Amended] proceeding, the presenter may provide and related orders, notices of citations to such data or arguments in ■ 2. Amend Subpart A by revising the opportunity for hearing regarding a his or her prior comments, memoranda, authority citation to read as follows: potential forfeiture, hearing designation or other filings (specifying the relevant Authority: 47 U.S.C. 151, 154(i), 154(j), orders, orders designating licenses or page and/or paragraph numbers where 155, 225, and 409, unless otherwise noted. other authorizations for a revocation hearing and consent decrees. Issue or such data or arguments can be found) in ■ 3. Amend § 0.5 by revising paragraph draft appropriate orders after a hearing lieu of summarizing them in the (c) to read as follows: memorandum. Documents shown or proceeding has been terminated by the given to Commission staff during ex § 0.5 General description of Commission presiding officer on the basis of waiver. parte meetings are deemed to be written organization and operations. Issue or draft appropriate interlocutory ex parte presentations and must be filed * * * * * orders and take or recommend consistent with Section 1.1206(b) of the (c) Delegations of authority to the appropriate action in the exercise of its Commission’s rules. In proceedings staff. Pursuant to section 5(c) of the responsibilities. governed by Section 1.49(f) or for which Communications Act, the Commission * * * * * the Commission has made available a has delegated authority to its staff to act (b) Serve as trial staff in hearing method of electronic filing, written ex on matters which are minor or routine proceedings conducted pursuant to parte presentations and memoranda or settled in nature and those in which § 1.201(a) regarding applications, summarizing oral ex parte immediate action may be necessary. See revocation, forfeitures and other matters presentations, and all attachments subpart B of this part. Actions taken designated for hearing. thereto, must be filed through the under delegated authority are subject to * * * * * electronic comment filing system review by the Commission, on its own ■ 6. Revise § 0.151 to read as follows: available for that proceeding, and must motion or on an application for review be filed in their native format (e.g., .doc, filed by a person aggrieved by the § 0.151 Functions of the Office. .xml, .ppt, searchable.pdf). Participants action. Except for the possibility of The Office of Administrative Law in this proceeding should familiarize review, actions taken under delegated Judges consists of as many themselves with the Commission’s ex authority have the same force and effect Administrative Law Judges qualified parte rules. as actions taken by the Commission. and appointed pursuant to the

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requirements of 5 U.S.C. 3105 as the (e) The presiding officer may waive §§ 0.351 and 0.357 [Removed and Commission may find necessary. It is any rule governing the conduct of reserved] responsible for hearing and conducting Commission hearings upon motion or ■ 11. Remove and reserve §§ 0.351 and adjudicatory cases designated for upon the presiding officer’s own motion 0.357. hearing other than those designated to for good cause, subject to the provisions be heard by the Commission en banc, or of the Administrative Procedure Act and PART 1—PRACTICE AND by one or more commissioners. The the Communications Act of 1934, as PROCEDURE Office of Administrative Law Judges is amended. ■ 12. The authority citation for part 1 is also responsible for conducting such (f) The presiding officer may issue revised to read as follows: other hearing proceedings as the such orders and conduct such Commission may assign. proceedings as will best conduce to the Authority: 47 U.S.C. chs. 2, 5, 9, 13; 28 U.S.C. 2461 note, unless otherwise noted. proper dispatch of business and the Subpart B—[Amended] ends of justice. ■ 13. Amend § 1.21 by revising paragraph (d) to read as follows: ■ 7. Amend Subpart B by revising the (g)(1) For program carriage complaints authority citation to read as follows: filed pursuant to § 76.1302 of this § 1.21 Parties. chapter that the Chief, Media Bureau Authority: 47 U.S.C. 151, 154(i), 154(j), refers to a presiding officer for an initial * * * * * 155, 225, and 409. (d) Except as otherwise expressly decision, the presiding officer shall provided in this chapter, a duly ■ 8. Amend § 0.201 by revising release an initial decision in compliance authorized corporate officer or paragraph (a)(2) and removing the Note with one of the following deadlines: employee may act for the corporation in to paragraph (a)(2) as follows: (i) 240 calendar days after a party any matter which has not been informs the presiding officer that it § 0.201 General provisions. designated for hearing and, in the elects not to pursue alternative dispute (a) * * * discretion of the presiding officer, may resolution as set forth in § 76.7(g)(2) of (2) Delegations to rule on appear and be heard on behalf of the this chapter; or interlocutory matters in hearing corporation in a hearing proceeding. proceedings. Delegations in this (ii) If the parties have mutually elected to pursue alternative dispute * * * * * category are made to any person, other ■ 14. Amend § 1.49 by revising than the Commission, designated to resolution pursuant to § 76.7(g)(2) of this chapter, within 240 calendar days paragraphs (f)(1)(vii) and (viii), and serve as the presiding officer in a adding paragraph (f)(1)(ix) to read as hearing proceeding pursuant to § 1.241. after the parties inform the presiding officer that they have failed to resolve follows: * * * * * their dispute through alternative dispute ■ 9. Revise § 0.341 to read as follows: § 1.49 Specifications as to pleadings and resolution. documents. § 0.341 Authority of Administrative Law (2) The presiding officer may toll * * * * * Judges and other presiding officers these deadlines under the following (f)(1) * * * designated under § 1.241. circumstances: (vii) Domestic Section 214 (a) After a presiding officer (other (i) If the complainant and defendant discontinuance applications pursuant to than the Commission) has been jointly request that the presiding officer §§ 63.63 and/or 63.71 of this chapter; designated to conduct a hearing toll these deadlines in order to pursue (viii) Notices of network change and proceeding, and until he or she has settlement discussions or alternative associated certifications pursuant to issued an initial decision or certified the dispute resolution or for any other § 51.325 et seq. of this chapter; and record to the Commission for decision, reason that the complainant and (ix) Hearing proceedings under or the proceeding has been transferred defendant mutually agree justifies §§ 1.201 through 1.377. to another presiding officer, all motions, tolling; or * * * * * petitions and other matters that may (ii) If complying with the deadline ■ 15. Amend § 1.51 by revising arise during the proceeding shall be would violate the due process rights of paragraph (a) to read as follows: acted upon by such presiding officer, a party or would be inconsistent with except those which are to be acted upon fundamental fairness; or § 1.51 Number of copies of pleadings, by the Commission. See § 1.291(a)(1) of (iii) In extraordinary situations, due to briefs, and other papers. this chapter. a lack of adjudicatory resources (a) In hearing proceedings, all (b) Any question which would be available at the time. pleadings, letters, documents, or other acted upon by the presiding officer if it ■ 10. Revise § 0.347 to read as follows: written submissions, shall be filed using were raised by the parties to the the Commission’s Electronic Comment proceeding may be raised and acted § 0.347 Record of actions taken. Filing System, excluding confidential upon by the presiding officer on his or The record of actions taken by a material as set forth in § 1.314 of these her own motion. presiding officer, including initial and rules. An original and one copy of each (c) Any question which would be recommended decisions and actions written submission that includes acted upon by the presiding officer taken pursuant to § 0.341, is available confidential material shall be filed, (other than the Commission) may be through the Commission’s Electronic along with an additional copy for each certified to the Commission on the Comment Filing System (ECFS). ECFS additional presiding officer, if more presiding officer’s own motion. serves as the repository for records in than one. Additional courtesy copies of (d) Except for actions taken during the the Commission’s docketed proceedings electronically filed submissions shall be course of a hearing and upon the record from 1992 to the present. The public emailed as directed by the Commission. thereof, actions taken by a presiding may use ECFS to retrieve all such * * * * * officer pursuant to the provisions of this records, as well as selected pre-1992 ■ 16. Amend § 1.80 by revising the section shall be recorded in writing and documents. The Office of the Secretary introductory text of paragraph (g) and filed in the official record of the maintains copies of documents that paragraphs (g)(1) and (3) to read as proceeding. include nonpublic information. follows:

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§ 1.80 Forfeiture proceedings. effective until actually received by the ■ 19. Amend § 1.91 by revising * * * * * operator licensee, and from that time the paragraphs (b), (c), and (d) to read as (g) Notice of opportunity for hearing. operator licensee shall have 15 days in follows: The procedures set out in this paragraph which to mail the said application. In the event that physical conditions § 1.91 Revocation and/or cease and desist apply only when a formal hearing under proceedings; hearings. section 503(b)(3)(A) of the prevent mailing of the application Communications Act is being held to before the expiration of the 15-day * * * * * (b) An order to show cause why an determine whether to assess a forfeiture period, the application shall then be order of revocation and/or a cease and penalty. mailed as soon as possible thereafter, desist order should not be issued will (1) Before imposing a forfeiture accompanied by a satisfactory designate for hearing the matters with penalty, the Commission may, in its explanation of the delay. Upon receipt by the Commission of such application respect to which the Commission is discretion, issue a notice of opportunity inquiring and will call upon the person for hearing. The formal hearing for hearing, said order of suspension shall be designated for hearing and said to whom it is directed (the respondent) proceeding shall be conducted by an to file with the Commission a written administrative law judge under suspension shall be held in abeyance until the conclusion of the hearing appearance stating that the respondent procedures set out in subpart B of this will present evidence upon the matters part, including procedures for appeal proceeding. If the license is ordered suspended, the operator shall send his, specified in the order to show cause and review of initial decisions. A final and, if required, appear before a Commission order assessing a forfeiture her, or its operator license to the Mobility Division, Wireless presiding officer at a time and place to under the provisions of this paragraph be determined, but no earlier than thirty is subject to judicial review under Telecommunications Bureau, in Washington, DC, on or before the days after the receipt of such order. section 402(a) of the Communications However, if safety of life or property is Act. effective date of the order, or, if the effective date has passed at the time involved, the order to show cause may * * * * * notice is received, the license shall be specify a deadline of less than thirty (3) Where the possible assessment of sent to the Commission forthwith. days from the receipt of such order. a forfeiture is an issue in a hearing ■ 18. Amend § 1.87 by revising (c) To avail themselves of such proceeding to determine whether a paragraphs (e) and (f), and the opportunity for a hearing, respondents, pending application should be granted, introductory text of paragraph (g) to personally or by counsel, shall file with and the application is dismissed read as follows: the Commission, within twenty days of pursuant to a settlement agreement or the mailing of the order or such shorter otherwise, and the presiding judge has § 1.87 Modification of license or period as may be specified therein, a not made a determination on the construction permit on motion of the written appearance stating that they will forfeiture issue, the presiding judge Commission. present evidence on the matters shall forward the order of dismissal to * * * * * specified in the order and, if required, the attention of the full Commission. (e) In any case where a hearing appear before the presiding officer at a Within the time provided by § 1.117, the proceeding is conducted pursuant to the time and place to be determined. The Commission may, on its own motion, provisions of this section, both the presiding officer in his or her discretion proceed with a determination of burden of proceeding with the may accept a late-filed appearance. whether a forfeiture against the introduction of evidence and the burden However, a written appearance tendered applicant is warranted. If the of proof shall be upon the Commission after the specified time has expired will Commission so proceeds, it will provide except that, with respect to any issue not be accepted unless accompanied by the applicant with a reasonable that pertains to the question of whether a petition stating with particularity the opportunity to respond to the forfeiture the proposed action would modify the facts and reasons relied on to justify issue (see paragraph (f)(3) of this license or permit of a person filing a such late filing. Such petition for section) and make a determination protest pursuant to paragraph (c) of this acceptance of a late-filed appearance under the procedures outlined in section, such burdens shall be as will be granted only if the presiding paragraph (f) of this section. described by the Commission. officer determines that the facts and * * * * * (f) In order to utilize the right to a reasons stated therein constitute good ■ 17. Revise § 1.85 to read as follows: hearing and the opportunity to give cause for failure to file on time. evidence upon the issues specified in (d) Hearing proceedings on the § 1.85 Suspension of operator licenses. any order designating a matter for matters specified in such orders to show Whenever grounds exist for hearing, any licensee, or permittee, itself cause shall accord with the practice and suspension of an operator license, as or by counsel, shall, within the period procedure prescribed in this subpart provided in § 303(m) of the of time as may be specified in that and subpart B of this part, with the Communications Act, the Chief of the order, file with the Commission a following exceptions: (1) In all such Wireless Telecommunications Bureau, written appearance stating that it will revocation and/or cease and desist with respect to amateur and commercial present evidence on the matters hearings, the burden of proceeding with radio operator licenses, may issue an specified in the order and, if required, the introduction of evidence and the order suspending the operator license. appear before the presiding officer at a burden of proof shall be upon the No order of suspension of any operator’s date and time to be determined. Commission; and (2) the Commission license shall take effect until 15 days’ (g) The right to file a protest or the may specify in a show cause order, notice in writing of the cause for the right to a hearing proceeding shall, when the circumstances of the proposed suspension has been given to unless good cause is shown in a petition proceeding require expedition, a time the operator licensee, who may make to be filed not later than 5 days before less than that prescribed in §§ 1.276 and written application to the Commission the lapse of time specified in paragraph 1.277 within which the initial decision at any time within the said 15 days for (a) or (f) of this section, be deemed in the proceeding shall become a hearing upon such order. The notice waived: effective, exceptions to such initial to the operator licensee shall not be * * * * * decision must be filed, parties must file

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requests for oral argument, and parties issued by the officer designated to (e)(1) Applications for review of an must file notice of intention to preside at the hearing proceeding. order designating a matter for hearing participate in oral argument. * * * * * that was issued under delegated * * * * * ■ 22. Amend § 1.94 by revising authority shall be deferred until ■ 20. Amend § 1.92 by revising paragraphs (d) and (g) to read as follows: exceptions to the initial decision in the paragraphs (a) and (c) to read as follows: case are filed, unless the presiding § 1.94 Consent order procedures. officer certifies such an application for § 1.92 Revocation and/or cease and desist * * * * * review to the Commission. A matter proceedings; after waiver of hearing. (d) If agreement is reached, it shall be shall be certified to the Commission if (a) After the issuance of an order to submitted to the presiding officer, who the presiding officer determines that the show cause, pursuant to § 1.91, shall either sign the order, reject the matter involves a controlling question of designating a matter for hearing, the agreement, or suggest to the parties that law as to which there is substantial occurrence of any one of the following negotiations continue on such portion of ground for difference of opinion and events or circumstances will constitute the agreement as the presiding officer that immediate consideration of the a waiver of such hearing and the considers unsatisfactory or on matters question would materially expedite the proceeding thereafter will be conducted not reached in the agreement. If the ultimate resolution of the litigation. A in accordance with the provisions of presiding officer signs the consent request to certify a matter to the this section. order, the record shall be closed. If the Commission shall be filed with the (1) The respondent fails to file a presiding officer rejects the agreement, presiding officer within 5 days after the timely written appearance as prescribed the hearing proceeding shall continue. If designation order is released. A ruling in § 1.91(c) indicating that the the presiding officer suggests further refusing to certify a matter to the respondent will present evidence on the negotiations and the parties agree to Commission is not appealable. Any matters specified in the order and, if resume negotiating, the presiding officer application for review authorized by the required by the order, that the may, in his or her discretion, decide presiding officer shall be filed within 5 respondent will appear before the whether to hold the hearing proceeding days after the order certifying the matter presiding officer. in abeyance pending the negotiations. to the Commission is released or such (2) The respondent, having filed a * * * * * a ruling is made. Oppositions shall be timely written appearance as prescribed (g) Consent orders, pleadings relating filed within 5 days after the application in § 1.91(c), fails in fact to present thereto, and Commission orders with for review is filed. Replies to evidence on the matters specified in the respect thereto shall be served on oppositions shall be filed only if they order or appear before the presiding parties to the proceeding. Public notice are requested by the Commission. officer in person or by counsel at the will be given of orders issued by the Replies (if allowed) shall be filed within time and place duly scheduled. Commission or by the presiding officer. 5 days after they are requested. The (3) The respondent files with the Negotiating papers constitute work Commission may dismiss, without Commission, within the time specified product, are available to parties stating reasons, an application for for a written appearance in § 1.91(c), a participating in negotiations, but are not review that has been certified, and written statement expressly waiving his routinely available for public direct that the objections to the order or her rights to a hearing. inspection. designating the matter for hearing be * * * * * deferred and raised when exceptions in * * * * * the initial decision in the case are filed. (c) Whenever a hearing is waived by ■ 23. Amend § 1.104 by revising the occurrence of any of the events or paragraph (a) to read as follows: * * * * * circumstances listed in paragraph (a) of ■ 25. Amend § 1.201 by redesignating this section, the presiding officer shall, § 1.104 Preserving the right of review; the Note as Note 2 to § 1.201 and adding at the earliest practicable date, issue an deferred consideration of application for Note 1 to § 1.201 and revising the newly order reciting the events or review. redesignating Note 2 to § 1.201 to read circumstances constituting a waiver of (a) The provisions of this section as follows: hearing and terminating the hearing apply to all final actions taken pursuant § 1.201 Scope. proceeding. A presiding officer other to delegated authority, including final than the Commission also shall certify actions taken by members of the * * * * * the case to the Commission. Such order Commission’s staff on nonhearing Note 1 to § 1.201: For special provisions shall be served upon the respondent. matters. They do not apply to relating to hearing proceedings under this * * * * * interlocutory actions of a presiding subpart that the Commission determines shall be conducted and resolved on a written ■ officer in hearing proceedings, or to 21. Amend § 1.93 by revising record, see §§ 1.370–1.377. paragraph (a) to read as follows: orders designating a matter for hearing issued under delegated authority. See Note 2 to § 1.201: For special provisions § 1.93 Consent orders. §§ 1.106(a) and 1.115(e). relating to AM broadcast station applications (a) As used in this subpart, a ‘‘consent * * * * * involving other North American countries order’’ is a formal decree accepting an ■ 24. Amend § 1.115 by removing see § 73.23. agreement between a party to an paragraphs (e)(1) and (e)(2), ■ 26. Revise § 1.202 to read as follows: adjudicatory hearing proceeding held to redesignating paragraph (e)(3) as determine whether that party has paragraph (e)(1) and paragraph (e)(4) as § 1.202 Official reporter; transcript. violated statutes or Commission rules or paragraph (e)(2), and revising newly The Commission will designate an policies and the appropriate operating redesignated paragraph (e)(1) to read as official reporter for the recording and Bureau, with regard to such party’s follows: transcribing of hearing proceedings as future compliance with such statutes, necessary. Transcripts will be rules or policies, and disposing of all § 1.115 Application for review of action transmitted to the Secretary for issues on which the proceeding was taken pursuant to delegated authority. inclusion in the Commission’s designated for hearing. The order is * * * * * Electronic Comment Filing System.

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■ 27. Revise § 1.203 and the authority officer at a date and time to be present evidence at hearing will be citation to read as follows: determined. Where an applicant fails to deemed to have been waived. If the file such a written appearance within hearing is so waived, the presiding § 1.203 The record. the time specified, or has not filed prior officer shall expeditiously terminate the The evidence submitted by the to the expiration of that time a petition proceeding and certify to the parties, together with all papers and to dismiss without prejudice, or a Commission the complaint for requests filed in the proceeding and any petition to accept, for good cause resolution based on the existing record. transcripts, shall constitute the shown, such written appearance beyond When the Commission has designated exclusive record for decision. Where expiration of said 20 days, the itself as the presiding officer, it shall any decision rests on official notice of application will be dismissed with expeditiously terminate the proceeding a material fact not appearing in the prejudice for failure to prosecute. and resolve the complaint based on the record, any party shall on timely request (d) The Commission will on its own existing record. be afforded an opportunity to show the motion name as parties to the hearing (5 U.S.C. 554; 47 U.S.C. 154, 159, 208, 209, contrary. (5 U.S.C. 556; 47 U.S.C. 154, proceeding any person found to be a 214, 309, 312, 316, and 409) 159, 208, 209, 214, 309, 312, 316, and party in interest. ■ 32. Revise § 1.223 to read as follows: 409) (e) In order to avail themselves of the ■ 28. Revise § 1.209 to read as follows: opportunity to be heard, any persons § 1.223 Petitions to intervene. named as parties pursuant to paragraph (a) Where the order designating a § 1.209 Identification of responsible officer in caption to pleading. (d) of this section shall, within 20 days matter for hearing has failed to notify and name as a party to the hearing ■ of the mailing of the order designating 29. Each pleading filed in a hearing them as parties to a hearing proceeding, proceeding any person who qualifies as proceeding shall indicate in its caption file personally or by attorney a written a party in interest, such person may whether it is to be acted upon by the appearance that they will present acquire the status of a party by filing, Commission or, if the Commission is evidence on the matters specified in the under oath and not more than 30 days not the presiding officer, by the order and, if required by the order, after the publication in the Federal presiding officer. Unless it is to be acted appear before the presiding officer at a Register of the hearing issues or any upon by the Commission, the presiding date and time to be determined. Any substantial amendment thereto, a officer shall be identified by name. petition for intervention showing the ■ persons so named who fail to file this 30. Add § 1.210 to Subpart B to read written appearance within the time basis of its interest. Where the person’s as follows: specified, shall, unless good cause for status as a party in interest is Subpart B—Hearing Proceedings such failure is shown, forfeit their established, the petition to intervene hearing rights. will be granted. § 1.210 Electronic filing. (f)(1) For program carriage complaints (b) Any other person desiring to All pleadings filed in a hearing filed pursuant to § 76.1302 of this participate as a party in any hearing proceeding, as well as all letters, chapter that the Chief, Media Bureau proceeding may file a petition for leave documents, or other written refers to a presiding officer, each party, to intervene not later than 30 days after submissions, shall be filed using the in person or by attorney, shall file a the publication in the Federal Register Commission’s Electronic Comment written appearance within five calendar of the full text or a summary of the order Filing System, excluding confidential days after the party informs the designating the matter for hearing or any material as set forth in § 1.314 of these presiding officer that it elects not to substantial amendment thereto. The rules. A courtesy copy of all pursue alternative dispute resolution petition must set forth the interest of submissions shall be pursuant to § 76.7(g)(2) of this chapter petitioner in the proceedings, must contemporaneously provided to the or, if the parties have mutually elected show how such petitioner’s presiding officer via electronic mail. to pursue alternative dispute resolution participation will assist the Commission ■ 31. Amend § 1.221 by revising pursuant to § 76.7(g)(2) of this chapter, in the determination of the issues in paragraphs (b) through (e), removing within five calendar days after the question, must set forth any proposed paragraphs (f) and (g), revising and parties inform the presiding officer that issues in addition to those already redesignating paragraph (h) as they have failed to resolve their dispute designated for hearing, and must be paragraph (f), and revising the authority through alternative dispute resolution. accompanied by the affidavit of a person citation to read as follows: The written appearance shall state that with knowledge as to the facts set forth the party will appear for hearing and in the petition. The presiding officer, in § 1.221 Notice of hearing; appearances. present evidence on the issues specified his or her discretion, may grant or deny * * * * * in the hearing designation order. such petition or may permit (b) The order designating an (2) If the complainant fails to file a intervention by such persons limited to application for hearing shall be mailed written appearance by this deadline, or a particular stage of the proceeding. to the applicant and the order, or a fails to file prior to the deadline either (c) Any person desiring to file a summary thereof, shall be published in a petition to dismiss the proceeding petition for leave to intervene later than the Federal Register. Reasonable notice without prejudice or a petition to 30 days after the publication in the of hearing will be given to the parties in accept, for good cause shown, a written Federal Register of the full text or a all proceedings. appearance beyond such deadline, the summary of the order designating the (c) In order to avail themselves of the presiding officer shall dismiss the matter for hearing or any substantial opportunity to be heard, applicants or complaint with prejudice for failure to amendment thereto shall set forth the their attorney shall file, within 20 days prosecute. interest of petitioner in the proceeding, of the mailing of the order designating (3) If the defendant fails to file a show how such petitioner’s a matter for hearing, a written written appearance by this deadline, or participation will assist the Commission appearance stating that the applicant fails to file prior to this deadline a in the determination of the issues in will present evidence on the matters petition to accept, for good cause question, must set forth any proposed specified in the order and, if required by shown, a written appearance beyond issues in addition to those already the order, appear before the presiding such deadline, its opportunity to designated for hearing, and must set

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forth reasons why it was not possible to refers to a presiding officer, such § 1.242 Appointment of case manager file a petition within the time prescribed motions shall be filed within 15 when Commission is the presiding officer. by paragraphs (a) and (b) of this section. calendar days after the deadline for When the Commission designates If, in the opinion of the presiding submitting written appearances itself as the presiding officer in a officer, good cause is shown for the pursuant to § 1.221(h), except that hearing proceeding, it may delegate delay in filing, the presiding officer may persons not named as parties to the authority to a case manager to develop in his or her discretion grant such proceeding in the designation order may the record in a written hearing (see petition or may permit intervention file such motions with their petitions to §§ 1.370–1.377). The case manager must limited to particular issues or to a intervene up to 30 days after publication be a staff attorney who qualifies as a particular stage of the proceeding. of the full text or a summary of the neutral under 5 U.S.C. 571 and 573. The (Sec. 309, 48 Stat. 1085, as amended; 47 designation order in the Federal Commission shall not designate any of U.S.C. 309) Register. (See § 1.223). the following persons to serve as case ■ 33. Amend § 1.225 by revising (2) Any person desiring to file a manager in a case, and they may not paragraphs (b) and (c) to read as follows: motion to modify the issues after the advise or assist the case manager: Staff expiration of periods specified in who participated in identifying the § 1.225 Participation by non-parties; paragraphs (a) and (b)(1) of this section specific issues designated for hearing; consideration of communications. shall set forth the reason why it was not staff who have taken or will take an * * * * * possible to file the motion within the active part in investigating, prosecuting, (b) No persons shall be precluded prescribed period. Except as provided in or advocating in the case; or staff who from giving any relevant, material, and paragraph (c) of this section, the motion are expected to investigate and act upon competent testimony because they lack will be granted only if good cause is petitions to deny (including challenges a sufficient interest to justify their shown for the delay in filing. Motions thereto). A case manager shall have intervention as parties in the matter. for modifications of issues which are authority to perform any of the (c) No communication will be based on new facts or newly discovered functions generally performed by the considered in determining the merits of facts shall be filed within 15 days after presiding officer, except that a case any matter unless it has been received such facts are discovered by the moving manager shall have no authority to into evidence. The admissibility of any party. resolve any new or novel issues, to issue communication shall be governed by the * * * * * an order on the merits resolving any applicable rules of evidence in § 1.351, issue designated for hearing in a case, to (e) In any case in which the presiding and no communication shall be issue an order on the merits of any officer grants a motion to enlarge the admissible on the basis of a stipulation motion for summary decision filed issues to inquire into allegations that an unless Commission counsel as well as under § 1.251, or to perform any other applicant made misrepresentations to counsel for all of the parties shall join functions that the Commission reserves the Commission or engaged in other in such stipulation. to itself in the order appointing a case misconduct during the application ■ 34. Revise § 1.227 to read as follows: manager. process, the enlarged issues include ■ 38. Amend § 1.243 by revising the § 1.227 Consolidations. notice that, after hearings on the introductory text, paragraphs (g), (i) enlarged issue and upon a finding that The Commission, upon motion or through (l), the authority citation, and the alleged misconduct occurred and upon its own motion, may, where such adding paragraphs (m) and (n) to read as warrants such penalty, in addition to or action will best conduce to the proper follows: dispatch of business and to the ends of in lieu of denying the application, the justice, consolidate in a hearing applicant may be liable for a forfeiture § 1.243 Authority of presiding officer. proceeding any cases that involve the of up to the maximum statutory amount. From the time the presiding officer is same applicant or substantially the same See 47 U.S.C. 503(b)(2)(A). designated until issuance of the issues, or that present conflicting * * * * * presiding officer’s decision or the claims. ■ 36. Revise § 1.241 to read as follows: transfer of the proceeding to the ■ 35. Amend § 1.229 by removing Commission or to another presiding paragraphs (b)(1) and (e), redesignating § 1.241 Designation of presiding officer. officer, the presiding officer shall have paragraph (b)(2) as (b)(1), redesignating (a) Hearing proceedings will be such authority as granted by law and by paragraph (b)(3) as (b)(2), redesignating conducted by a presiding officer. The the provisions of this chapter, including paragraph (f) as paragraph (e), and designated presiding officer will be authority to: revising paragraph (a) and redesignated identified in the order designating a * * * * * paragraphs (b)(1), (2), and (e) to read as matter for hearing. Only the (g) Require the filing of memoranda of follows: Commission, one or more law and the presentation of oral § 1.229 Motions to enlarge, change, or commissioners, or an administrative law argument with respect to any question delete issues. judge designated pursuant to 5 U.S.C. of law upon which the presiding officer (a) A motion to enlarge, change or 3105 may be designated as a presiding or the Commission is required to rule delete the issues may be filed by any officer. Unless otherwise stated, the during the course of the hearing party to a hearing proceeding. Except as term presiding officer will include the proceeding; provided for in paragraph (b) of this Commission when the Commission * * * * * section, such motions must be filed designates itself to preside over a (i) Dispose of procedural requests and within 15 days after the full text or a hearing proceeding. ancillary matters, as appropriate; summary of the order designating the (b) If a presiding officer becomes (j) Take actions and make decisions in case for hearing has been published in unavailable during the course of a conformity with governing law; the Federal Register. hearing proceeding, another presiding (k) Act on motions to enlarge, modify (b)(1) For program carriage complaints officer will be designated. or delete the hearing issues; filed pursuant to § 76.1302 of this ■ 37. Add § 1.242 to Subpart B to read (l) Act on motions to proceed in forma chapter that the Chief, Media Bureau as follows: pauperis pursuant to § 1.224;

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(m) Decide a matter upon the existing their competitors. All such meetings presiding officer may issue rulings record or request additional information will be off-the-record, and the regarding matters relevant to the from the parties; and settlement officer may express an conduct of the hearing proceeding (n) Issue such orders and conduct opinion as to the relative merit of the including, inter alia, procedural matters, such proceedings as will best conduce parties’ positions and recommend discovery, and the submission of briefs to the proper dispatch of business and possible means to resolve the or evidentiary materials. the ends of justice. proceeding by settlement. The (b) The presiding officer shall (5 U.S.C. 556; 47 U.S.C. 154, 159, 208, 209, proceedings before the settlement officer schedule an initial status conference 214, 309, 312, 316, and 409) shall be subject to the confidentiality promptly after written appearances have provisions of 5 U.S.C. 574. Moreover, no been submitted under § 1.91 or § 1.221. * * * * * statements, offers of settlement, At or promptly after the initial status ■ 39. Revise § 1.244 to read as follows: representations or concessions of the conference, the presiding officer shall § 1.244 Designation of a settlement officer. parties or opinions expressed by the adopt a schedule to govern the hearing (a) Parties may request that the settlement officer will be admissible as proceeding. If the Commission presiding officer appoint a settlement evidence in any Commission designated a matter for hearing on a officer to facilitate the resolution of the proceeding. written record under §§ 1.370–1.376, the ■ case by settlement. 40. Amend § 1.245 by revising scheduling order shall include a (b) Where all parties in a case agree paragraphs (a), (b)(1) through (3), and deadline for filing a motion to request that such procedures may be beneficial, the authority citation to read as follows: an oral hearing in accordance with § 1.376. If the Commission did not such requests may be filed with the § 1.245 Disqualification of presiding presiding officer no later than 15 days officer. designate the matter for hearing on a written record, the scheduling order prior to the date scheduled for the (a) In the event that a presiding officer shall include a deadline for filing a commencement of hearings or, in (other than the Commission) deems motion to conduct the hearing on a hearing proceedings conducted himself or herself disqualified and written record. Except as circumstances pursuant to §§ 1.370–1.377, no later desires to withdraw from the case, the otherwise require, the presiding officer than 15 days before the date set as the presiding officer shall immediately so shall allow a reasonable period prior to deadline for filing the affirmative case. notify the Commission. The presiding officer shall suspend the (b) * * * commencement of the hearing for the procedural dates in the case pending (1) The person seeking orderly completion of all prehearing action upon such requests. disqualification shall file with the procedures, including discovery, and for (c) If, in the discretion of the presiding officer an affidavit setting the submission and disposition of all presiding officer, it appears that the forth in detail the facts alleged to motions. appointment of a settlement officer will constitute grounds for disqualification. (c) In status conferences, the facilitate the settlement of the case, the (2) The presiding officer may file a following matters, among others, may be presiding officer shall appoint a response to the affidavit; and if the considered: (1) Clarifying, amplifying, or ‘‘neutral’’ as defined in 5 U.S.C. 571 and presiding officer believes he or she is narrowing issues designated for hearing; 573 to act as the settlement officer. not disqualified, he or she shall so rule (2) Scheduling; (1) The parties may request the and continue with the hearing (3) Admission of facts and of the appointment of a settlement officer of proceeding. genuineness of documents (see § 1.246), (3) The person seeking their own choosing so long as that and the possibility of stipulating with disqualification may appeal a ruling person is a ‘‘neutral’’ as defined in 5 respect to facts; U.S.C. 571 and 573. denying the request for withdrawal of (4) Discovery; (2) The appointment of a settlement the presiding officer, and, in that event, (5) Motions; officer in a particular case is subject to shall do so within five days of release (6) Hearing procedure; the approval of all the parties in the of the presiding officer’s ruling. Unless (7) Settlement (see § 1.93); and proceeding. an appeal of the ruling is filed at this (8) Such other matters that may aid in (3) Neither the Commission, nor any time, the right to request withdrawal of resolution of the issues designated for sitting members of the Commission, nor the presiding officer shall be deemed hearing. the presiding officer shall serve as the waived. (d) Status conferences may be settlement officer in any case. * * * * * conducted in person or by telephone conference call or similar technology, at (4) Other members of the (5 U.S.C. 556; 47 U.S.C. 154, 159, 208, 209, Commission’s staff who qualify as 214, 309, 312, 316, and 409) the discretion of the presiding officer. An official transcript of all status neutrals may be appointed as settlement * * * * * officers. The presiding officer shall not ■ 41. Revise § 1.248 to read as follows: conferences shall be made unless the appoint a member of the Commission’s presiding officer and the parties agree to staff as a settlement officer in any case § 1.248 Status conferences. forego a transcript, in which case any if the staff member’s duties include, or (a) The presiding officer may direct rulings by the presiding officer during have included, drafting, reviewing, and/ the parties or their attorneys to appear the status conference shall be promptly or recommending actions on the merits at a specified time and place for a status memorialized in writing. of the issues designated for hearing in conference during the course of a (e) The failure of any attorney or that case. hearing proceeding, or to submit party, following reasonable notice, to (d) The settlement officer shall have suggestions in writing, for the purpose appear at a scheduled status conference the authority to require parties to submit of considering, among other things, the may be deemed a waiver by that party their written direct cases for review. The matters set forth in paragraph (c) of this of its rights to participate in the hearing settlement officer may also meet with section. Any party may request a status proceeding and shall not preclude the the parties and/or their counsel, conference at any time after release of presiding officer from conferring with individually and/or at joint conferences, the order designating a matter for parties or counsel present. to discuss their cases and the cases of hearing. During a status conference, the * * * * *

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■ 42. Revise § 1.249 to read as follows: (3) Motions for summary decision summary decision has been presented should be addressed to the Commission in bad faith or solely for the purpose of § 1.249 Presiding officer statement. in any hearing proceeding in which the delay, or that such a motion is patently The presiding officer shall enter upon Commission is the presiding officer and frivolous, the presiding officer will enter the record a statement reciting all it has appointed a case manager a determination to that effect upon the actions taken at a status conference pursuant to § 1.242. The Commission, in record. convened under § 1.248 and its discretion, may defer ruling on any (2) If, on making such determination, incorporating into the record all of the such motion until after the case manager the presiding officer concludes that the stipulations and agreements of the has certified the record for decision by facts warrant disciplinary action against parties which were approved by the the Commission pursuant to § 1.377. an attorney, the matter, together with presiding officer, and any special rules * * * * * any findings and recommendations, will which the presiding officer may deem (d) The presiding officer may, in his be referred to the Commission for necessary to govern the course of the or her discretion, set the matter for consideration under § 1.24. proceeding. (3) If, on making such determination, ■ argument and may call for the 43. Revise § 1.250 to read as follows: submission of proposed findings, the presiding officer concludes that the § 1.250 Discovery and preservation of conclusions, briefs or memoranda of facts warrant a finding of bad faith on evidence; cross-reference. law. The presiding officer, giving the part of a party to the proceeding, the presiding officer will certify the matter For provisions relating to prehearing appropriate weight to the nature of the to the Commission, with findings and discovery and preservation of proceeding, the issue or issues, the recommendations, for a determination admissible evidence in hearing proof, and the need for cross- as to whether the facts warrant the proceedings under this Subpart B, see examination, if any, may grant a motion addition of an issue to the hearing §§ 1.311 through 1.325. for summary decision to the extent that proceeding as to the character ■ 44. Amend § 1.251 by revising the pleadings, affidavits, materials qualifications of that party. paragraphs (a)(1) and (2), adding obtained by discovery or otherwise, paragraph (a)(3), and revising admissions, or matters officially * * * * * paragraphs (d), (e), and (f)(1) through (3) noticed, show that there is no genuine ■ 45. Revise § 1.253 to read as follows: to read as follows: issue as to any material fact and that a party is otherwise entitled to summary § 1.253 Time and place of hearing. § 1.251 Summary decision. decision. If it appears from the affidavits The presiding officer shall specify the (a)(1) Any party to an adjudicatory of a party opposing the motion that the time and place of oral hearings. All oral proceeding may move for summary party cannot, for good cause shown, hearings will take place at Commission decision of all or any of the issues present by affidavit or otherwise facts Headquarters unless the presiding designated for hearing. The motion shall essential to justify the party’s officer designates another location. be filed at least 20 days prior to the date opposition, the presiding officer may ■ 46. Revise § 1.254 to read as follows: set for commencement of the hearing or, deny the motion, may order a § 1.254 Nature of the hearing proceeding; in hearing proceedings conducted continuance to permit affidavits to be burden of proof. pursuant to §§ 1.370–1.377, at least 20 obtained or discovery to be had, or make Any hearing upon an application days before the date that the presiding such other order as is just. shall be a full hearing proceeding in officer sets as the deadline for filing the (e) If all of the issues (or a dispositive which the applicant and all other affirmative case. See § 1.372. The party issue) are determined on a motion for parties in interest shall be permitted to filing the motion may not rest upon summary decision, the hearing participate but in which both the mere allegations or denials but must proceeding shall be terminated. When a burden of proceeding with the show, by affidavit or by other materials presiding officer (other than the introduction of evidence upon any issue subject to consideration by the presiding Commission) issues a Summary specified by the Commission, as well as officer, that there is no genuine issue of Decision, it is subject to appeal or the burden of proof upon all such material fact for determination in the review in the same manner as an Initial issues, shall be upon the applicant hearing proceeding. Decision. See §§ 1.271 through 1.282. If except as otherwise provided in the (2) A party may file a motion for some of the issues only (including no order of designation. summary decision after the deadlines in dispositive issue) are decided on a paragraph (a)(1) of this section only motion for summary decision, or if the (Sec. 309, 48 Stat. 1085, as amended; 47 with the presiding officer’s permission, motion is denied, the presiding officer U.S.C. 309) or upon the presiding officer’s will issue a memorandum opinion and § 1.258 [Removed and reserved] invitation. No appeal from an order order, interlocutory in character, and ■ 47. Remove and reserve § 1.258. granting or denying a request for the hearing proceeding will continue on permission to file a motion for summary the remaining issues. Appeal from § 1.260 [Removed and reserved] decision shall be allowed. If the interlocutory rulings is governed by ■ 48. Remove and reserve § 1.260. presiding officer authorizes a motion for § 1.301. ■ 49. Revise § 1.261 to read as follows: summary decision after the deadlines in (f) The presiding officer may take any paragraph (a)(1) of this section, action deemed necessary to assure that § 1.261 Corrections to transcript. proposed findings of fact and summary decision procedures are not At any time during the course of the conclusions of law on those issues abused. The presiding officer may rule proceeding, or as directed by the which the moving party believes can be in advance of a motion that the presiding officer, but not later than 10 resolved shall be attached to the motion, proceeding is not appropriate for days after the transmission to the parties and any other party may file findings of summary decision, and may take such of the transcript of any oral conference fact and conclusions of law as an other measures as are necessary to or hearing, any party to the proceeding attachment to pleadings filed by the prevent any unwarranted delay. may file with the presiding officer a party pursuant to paragraph (b) of this (1) Should it appear to the satisfaction motion requesting corrections to the section. of the presiding officer that a motion for transcript, which motion shall be

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accompanied by proof of service thereof Secretary will make the decision public accordance with § 1.241 for the limited upon all other parties to the proceeding. immediately and file it in the docket of purpose of certifying the record to the Within 5 days after the filing of such a the case. Commission. motion, other parties may file a pleading * * * * * (c) In all other circumstances when in support of or in opposition to such (c) When the Commission is not the the Commission is not the presiding motion. Thereafter, the presiding officer presiding officer, the authority of the officer, the presiding officer shall shall, by order, specify the corrections presiding officer over the proceedings prepare and file an initial or to be made in the transcript, and a copy shall cease when the presiding officer recommended decision, which will be of the order shall be served upon all has filed an Initial or Recommended released in accordance with § 1.267. parties and made a part of the record. Decision, or if it is a case in which the (d) When a presiding officer becomes The presiding officer may sua sponte presiding officer is to file no decision, unavailable to the Commission after the specify corrections to be made in the when they have certified the case for taking of evidence has commenced but transcript on 5 days’ notice. decision: Provided, however, That the before it has been concluded, the ■ 50. Amend § 1.263 by revising presiding officer shall retain limited Commission shall designate another paragraph (a) and the authority citation jurisdiction over the proceeding for the presiding officer in accordance with to read as follows: purpose of effecting certification of the § 1.241 to continue the hearing record and corrections to the transcript, proceeding. Oral testimony already § 1.263 Proposed findings and introduced shall not be reheard unless conclusions. as provided in §§ 1.265 and 1.261, respectively, and for the purpose of observation of the demeanor of the (a) The presiding officer may direct witness is essential to the resolution of ruling initially on applications for any party to file proposed findings of the case. fact and conclusions, briefs, or awards of fees and expenses under the Equal Access to Justice Act. * * * * * memoranda of law. If the presiding ■ 55. Revise § 1.279 to read as follows: officer does not so order, any party to * * * * * the proceeding may seek leave to file ■ 53. Revise § 1.273 to read as follows: § 1.279 Limitation of matters to be proposed findings of fact and reviewed. § 1.273 Waiver of initial or recommended conclusions, briefs, or memoranda of decision. (a) Upon review of any initial law. Such proposed findings of fact, decision, the Commission may, in its conclusions, briefs, and memoranda of When the Commission serves as the discretion, limit the issues to be law shall be filed within the time presiding officer, it will not issue an reviewed to those findings and prescribed by the presiding officer. initial or recommended decision. When conclusions to which exceptions have the Commission is not the presiding * * * * * been filed, or to those findings and officer, at any time before the record is conclusions specified in the (5 U.S.C. 557; 47 U.S.C. 154, 159, 208, 209, closed all parties to the proceeding may 214, 309, 312, 316, and 409) Commission’s order of review issued agree to waive an initial or pursuant to § 1.276(b). ■ 51. Add § 1.265 to Subpart B to read recommended decision, and may (b) No party may file an exception to as follows: request that the Commission issue a the presiding officer’s ruling that all or final decision or order in the case. If the § 1.265 Closing the record. part of the hearing be conducted and Commission has directed that its review resolved on a written record, unless that At the conclusion of hearing function in the case be performed by a party previously filed an interlocutory proceedings, the presiding officer shall commissioner or a panel of motion to request an oral hearing in promptly close the record after the commissioners, the request shall be accordance with § 1.376. parties have submitted their evidence, directed to the appropriate review ■ 56. Revise § 1.291 to read as follows: filed any proposed findings and authority. The Commission or such conclusions under § 1.263, and review authority may in its discretion § 1.291 General provisions. submitted any other information grant the request, in whole or in part, if (a)(1) The Commission acts on required by the presiding officer. After such action will best conduce to the petitions to amend, modify, enlarge or the record is closed, it shall be certified proper dispatch of business and to the delete the issues in hearing proceedings by the presiding officer and filed in the ends of justice. which involve rule making matters Office of the Secretary. Notice of such ■ 54. Revise § 1.274 to read as follows: exclusively. certification shall be served on all (2) All other interlocutory matters in parties to the proceedings. § 1.274 Certification of the record to the hearing proceedings are acted on by the ■ 52. Amend § 1.267 by revising Commission for decision when the presiding officer. paragraphs (a) and (c) to read as follows: Commission is not the presiding officer; (3) Each interlocutory pleading shall presiding officer unavailability. identify the presiding officer in its § 1.267 Initial and recommended (a) When the Commission is not the caption. Unless the pleading is to be decisions. presiding officer, and where the acted upon by the Commission, the (a) Except as provided in §§ 1.94, Commission finds upon the record that presiding officer shall be identified by 1.251 and 1.274, when the proceeding is due and timely execution of its name. terminated on motion, or when the functions imperatively and unavoidably (b) All interlocutory pleadings shall presiding officer is the Commission, the so requires, the Commission may direct be submitted in accordance with the presiding officer shall prepare an initial that the record in a pending proceeding provisions of §§ 1.4, 1.44, 1.47, 1.48, (or recommended) decision, which shall be certified to it for decision. 1.49, 1.50, 1.51, and 1.52. be transmitted to the Secretary of the (b) When a presiding officer becomes (c)(1) Procedural rules governing Commission. In the case of rate making unavailable to the Commission after the interlocutory pleadings are set forth in proceedings conducted under sections taking of evidence has been concluded, §§ 1.294–1.298. 201–205 of the Communications Act, the Commission shall direct that the (2) Rules governing appeal from, and the presumption shall be that the record be certified to it for decision. In reconsideration of, interlocutory rulings presiding officer shall prepare an initial that event, the Commission shall made by the presiding officer are set or recommended decision. The designate a new presiding officer in forth in § 1.301.

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(3) Petitions requesting (2) If a ruling requires testimony or for decision by the Commission or on reconsideration of an interlocutory the production of documents, over review of the initial decision. ruling will not be entertained. objection based on a claim of privilege, (3) If the presiding officer modifies (d) No initial decision shall become the ruling on the claim of privilege is their initial ruling, any party adversely effective under § 1.276(e) until all appealable as a matter of right. affected by the modified ruling may file interlocutory matters pending before the (3) If a ruling denies a motion to a request for permission to file appeal, Commission in the proceeding at the disqualify the presiding officer or case pursuant to the provisions of this time the initial decision is issued have manager, the ruling is appealable as a paragraph. been disposed of and the time allowed matter of right. (c) * * * for appeal from interlocutory rulings of (4) A ruling removing counsel from (1) Unless the presiding officer orders the presiding officer has expired. the hearing is appealable as a matter of otherwise, rulings made shall be effective when the order is released or (Secs. 4(i), 303(r) and 5(c)(1) of the right, by counsel on his own behalf or Communications Act of 1934, as amended; by his client. (In the event of such (if no written order) when the ruling is 47 CFR 0.61 and 0.283) ruling, the presiding officer will adjourn made. The Commission may stay the effect of any ruling that comes before it ■ 57. Revise § 1.294 to read as follows: the hearing proceeding for such period as is reasonably necessary for the client for consideration on appeal. § 1.294 Oppositions and replies. to secure new counsel and for counsel * * * * * (a) Any party to a hearing proceeding to become familiar with the case). ■ 60. Amend § 1.302 by revising the may file an opposition to an (b) Other interlocutory rulings. Except section heading to read as follows: interlocutory request filed in that as provided in paragraph (a) of this § 1.302 Appeal from final ruling by proceeding. section, appeals from interlocutory presiding officer other than the (b) Except as provided in paragraph rulings shall be filed only if allowed by Commission; effective date of ruling. (c) of this section or as otherwise the presiding officer. Any party desiring * * * * * ordered by the presiding officer, to file an appeal shall first file a request ■ 61. Amend § 1.311 by revising the oppositions to interlocutory requests for permission to file appeal. The introductory text and paragraph (a), shall be filed within 4 days after the request shall be filed within 5 days after removing the introductory text to original pleading is filed, and replies to the order is released or (if no written paragraph (c) and paragraph (c)(1), oppositions will not be entertained. order) after the ruling is made. redesignating paragraphs (c)(2) and (3) (c) Additional pleadings may be filed Pleadings responsive to the request shall only if specifically requested or as paragraphs (c)(1) and (2), revising the be filed only if they are requested by the text of redesignated paragraph (c)(1), authorized by the person(s) who is to presiding officer. If the presiding officer make the ruling. removing paragraph (d), redesignating made the ruling, the request shall paragraph (e) as paragraph (d), and * * * * * contain a showing that the appeal ■ revising newly redesignated paragraph 58. Amend § 1.298 by revising presents a new or novel question of law (d) to read as follows: paragraph (b) to read as follows: or policy and that the ruling is such that error would be likely to require remand § 1.311 General. § 1.298 Rulings; time for action. should the appeal be deferred and Sections 1.311 through 1.325 provide * * * * * raised as an exception. If a case manager for taking the deposition of any person (b) In the discretion of the presiding made the ruling, the request shall (including a party), for interrogatories to officer, rulings on interlocutory matters contain a showing that the appeal parties, and for orders to parties relating may be made orally to the parties. The presents a question of law or policy that to the production of documents and presiding officer may, in his or her the case manager lacks authority to things and for entry upon real property. discretion, state reasons therefor on the resolve. The presiding officer shall These procedures may be used for the record if the ruling is being transcribed, determine whether the showing is such discovery of relevant facts, for the or may promptly issue a written as to justify an interlocutory appeal and, production and preservation of evidence statement of the reasons for the ruling, in accordance with his determination, for use in a hearing proceeding, or for either separately or as part of an initial will either allow or disallow the appeal both purposes. decision. or modify the ruling. Such ruling is (a) Applicability. For purposes of * * * * * final: Provided, however, That the discovery, these procedures may be ■ 59. Amend § 1.301 by revising the Commission may, on its own motion, used in any case of adjudication (as section heading and paragraphs (a), (b), dismiss an appeal allowed under this defined in the Administrative Procedure and (c)(1) to read as follows: section on the ground that objection to Act) which has been designated for § 1.301 Appeal from interlocutory rulings the ruling should be deferred and raised hearing. For the preservation of by a presiding officer, other than the after the record is certified for decision evidence, they may be used in any case Commission, or a case manager; effective by the Commission or as an exception which has been designated for hearing date of ruling. to an initial decision. and is conducted under the provisions (a) Interlocutory rulings which are (1) If an appeal is not allowed, or is of this subpart (see § 1.201). appealable as a matter of right. Rulings dismissed by the Commission, or if * * * * * listed in this paragraph are appealable permission to file an appeal is not (c)(1) Except as provided by special as a matter of right. An appeal from requested, objection to the ruling may order of the presiding officer, discovery such a ruling may not be deferred and be raised after the record is certified for may be initiated after the initial raised as an exception to the initial decision by the Commission or on conference provided for in § 1.248(b) of decision. review of the initial decision. this part. (1) If a ruling denies or terminates the (2) If an appeal is allowed and is (2) In all proceedings, the presiding right of any person to participate as a considered on its merits, the disposition officer may at any time order the parties party to a hearing proceeding, such on appeal is final. Objection to the or their attorneys to appear at a person, as a matter of right, may file an ruling or to the action on appeal may conference to consider the proper use of appeal from that ruling. not be raised after the record is certified these procedures, the time to be allowed

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for such use, and/or to hear argument unredacted version of the materials applications for review, the parties shall and render a ruling on disputes that containing confidential information that ensure that all originals and arise under these rules. clearly displays on each page of the reproductions of any confidential (d) Stipulations regarding the taking unredacted version a header stating materials, along with the log recording of depositions. If all of the parties so ‘‘Confidential Version.’’ The unredacted persons who received copies of such stipulate in writing and if there is no version must be filed on the same day materials, shall be provided to the interference to the conduct of the as the Public Version. producing party. In addition, upon final proceeding, depositions may be taken (4) Serve one hard copy of the Public termination of the proceeding, any notes before any person, at any time (subject Version and one hard copy of the or other work product derived in whole to the limitation below) or place, upon Confidential Version on the attorney of or in part from the confidential any notice and in any manner, and record for each party to the proceeding, materials of an opposing or third party when so taken may be used like other or, where a party is not represented by shall be destroyed. depositions. A copy of the stipulation an attorney, each party to the ■ 63. Amend § 1.315 by revising shall be filed using the Commission’s proceeding either by hand delivery, paragraph (a) and deleting paragraph (e) Electronic Comment Filing System, and overnight delivery, or email, together to read as follows: a copy of the stipulation shall be served with a proof of such service in on the presiding officer or case manager accordance with the requirements of § 1.315 Depositions upon oral at least 3 days before the scheduled § 1.47(g). A hard copy of the Public examination—notice and preliminary procedure. taking of the deposition. Version and Confidential Version shall * * * * * also be served on the presiding officer (a) Notice. A party to a hearing ■ 62. Add § 1.314 to Subpart B to read as identified in the caption. proceeding desiring to take the as follows: (b) An attorney of record for any party deposition of any person upon oral or any party that receives unredacted examination shall give a minimum of 21 § 1.314 Confidentiality of information materials marked as confidential may days’ notice to every other party, to the produced or exchanged. disclose such materials solely to the person to be examined, and to the (a) Any information produced in the following persons, only for use in presiding officer or case manager. A course of a hearing proceeding may be prosecuting or defending a party to the copy of the notice shall be filed with the designated as confidential by any hearing proceeding, and only to the Secretary of the Commission for parties to the proceeding, or third extent necessary to assist in the inclusion in the Commission’s parties, pursuant to §§ 0.457, 0.459, or prosecution or defense of the case: Electronic Comment Filing System. 0.461 of these rules. Any parties or (1) Employees of counsel of record Related pleadings shall be served and third-parties asserting confidentiality for representing the parties in the hearing filed in the same manner. The notice such materials must: proceeding; shall contain the following information: (1) Clearly mark each page, or portion (2) Officers or employees of the * * * * * thereof, for which a confidential receiving party who are directly designation is claimed. The parties or involved in the prosecution or defense § 1.316 [Removed and reserved] third parties claiming confidentiality of the case; ■ 64. Remove and reserve § 1.316. should restrict their designations to (3) Consultants or expert witnesses ■ 65. Amend § 1.319 by revising the first encompass only the specific information retained by the parties; and sentence of paragraphs (c)(2) and (3) to that they assert is confidential. If a (4) Court reporters and stenographers read as follows: confidential designation is challenged, in accordance with the terms and the party or third party claiming conditions of this section. § 1.319 Objections to the taking of confidentiality shall have the burden of (c) The individuals identified above depositions. demonstrating, by a preponderance of in paragraph (b) shall not disclose * * * * * the evidence, that the materials information designated as confidential (c) * * * designated as confidential fall under the to any person who is not authorized (2) If counsel cannot agree on the standards for nondisclosure enunciated under this section to receive such proper limits of the examination the in the FOIA and that the designation is information, and shall not use the taking of depositions shall continue on narrowly tailored to encompass only information in any activity or function matters not objected to and counsel confidential information. other than the prosecution or defense in shall, within 24 hours, either jointly or (2) File with the Commission, using the hearing proceeding. Each such individually, provide * * * the Commission’s Electronic Comment individual who is provided access to the (3) The presiding officer shall Filing System, a public version of the information shall sign a declaration or promptly rule upon the question materials that redacts any confidential affidavit stating that the individual has presented or take such other action as information and clearly marks each page personally reviewed the Commission’s may be appropriate under § 1.313, and of the redacted public version with a rules and understands the limitations shall give notice of his ruling, header stating ‘‘Public Version.’’ The they impose on the signing party. expeditiously * * * Public Version shall be machine- (d) Parties may make copies of * * * * * readable whenever technically possible. materials marked confidential solely for ■ 66. Amend § 1.321 by revising the Where the document to be filed use by the Commission or persons heading and revising paragraphs (b) and electronically contains metadata that is designated in paragraph (b) of this (d)(3) to read as follows: confidential or protected from section. Each party shall maintain a log disclosure by a legal privilege recording the number of copies made of § 1.321 Use of depositions in hearing (including, for example, the attorney- all confidential material and the persons proceedings. client privilege), the filer may remove to whom the copies have been provided. * * * * * such metadata from the Public Version (e) The presiding officer may adopt a (b) Except as provided in this before filing it electronically. protective order as appropriate. paragraph and in § 1.319, objection may (3) File with the Secretary’s Office an (f) Upon final termination of a hearing be made to receiving in evidence any unredacted hard copy, meaning an proceeding, including all appeals and deposition or part thereof for any reason

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which would require the exclusion of ■ 72. Revise § 1.362 to read as follows: hearing rules must be submitted in the evidence if the witness were then conformity with the requirements of present and testifying. § 1.362 Production of statements. §§ 1.4, 1.44, 1.47, 1.48, 1.49, 1.50, After a witness is called and has given * * * * * 1.51(a), and 1.52. (d) * * * direct testimony in an oral hearing, and (b) Pleadings must be clear, concise, (3) The deposition of any witness, before he or she is excused, any party and direct. All matters should be whether or not a party, may be used by may move for the production of any pleaded fully and with specificity. any party for any lawful purpose. statement of such witness, or part (c) Pleadings shall consist of thereof, pertaining to his or her direct * * * * * numbered paragraphs and must be ■ 67. Amend § 1.323 by revising testimony, in possession of the party supported by relevant evidence. paragraph (a) to read as follows: calling the witness, if such statement Assertions based on information and has been reduced to writing and signed belief are prohibited unless made in § 1.323 Interrogatories to parties. or otherwise approved or adopted by the good faith and accompanied by a (a) Interrogatories. Any party may witness. Such motion shall be directed declaration or affidavit explaining the serve upon any other party written to the presiding officer. If the party basis for the party’s belief and why the interrogatories to be answered in writing declines to furnish the statement, the party could not reasonably ascertain the by the party served or, if the party testimony of the witness pertaining to facts from any other source. served is a public or private corporation, the requested statement shall be (d) Legal arguments must be partnership, association, or similar stricken. supported by appropriate statutory, entity, by any officer or agent, who shall ■ 73. Amend Subpart B by adding a new judicial, or administrative authority. furnish such information as is available heading and §§ 1.370 through 1.377 to (e) Opposing authorities must be to the party. Copies of the read as follows: distinguished. interrogatories, answers, and all related (f) Copies must be provided of all pleadings shall be filed with the PART 1—PRACTICE AND non-Commission authorities relied upon Commission and served on the PROCEDURE which are not routinely available in presiding officer and all other parties to national reporting systems, such as Subpart B—Hearing Proceedings the hearing proceeding. unpublished decisions or slip opinions * * * * * Hearings on a Written Record of courts or administrative agencies. In ■ addition, copies of state authorities 68. Amend § 1.325 by revising Sec. paragraph (a)(1) to read as follows: 1.370 Purpose. relied upon shall be provided. (g) Parties are responsible for the § 1.325 Discovery and production of 1.371 General pleading requirements. 1.372 The affirmative case. continuing accuracy and completeness documents and things for inspection, of all information and supporting copying, or photographing. 1.373 The responsive case. 1.374 The reply case. authority furnished in a pending (a) * * * 1.375 Other written submissions. proceeding. Information submitted, as (1) Copies of the request shall be filed 1.376 Oral hearing or argument. well as relevant legal authorities, must with the Commission and served on the Authority: 47 U.S.C. 151, 154(i), 154(j), be current and updated as necessary and presiding officer and all other parties to 155, 157, 225, 227, 303(r), 309, 1403, 1404, in a timely manner before a decision is the hearing proceeding. 1451, and 1452. rendered on the merits. * * * * * Hearings on a Written Record (h) Pleadings shall identify the name, ■ 69. Revise § 1.331 to read as follows: address, telephone number, and email § 1.331 Who may sign and issue. § 1.370 Purpose. address for either the filing party’s Subpenas requiring the attendance Hearings under this Subpart B that the attorney or, where a party is not and testimony of witnesses, and Commission or one of its Bureaus, represented by an attorney, the filing subpenas requiring the production of acting on delegated authority, party. Pleadings may be signed by a any books, papers, schedules of charges, determines shall be conducted and party’s attorney. (i) Attachments to any pleading shall contracts, agreements, and documents resolved on a written record are subject relating to any matter under to §§ 1.371–1.377. If an order be Bates-stamped or otherwise investigation or hearing, may be signed designating a matter for hearing does identifiable by party and numbered and issued by the presiding officer. not specify whether those rules apply to sequentially. Parties shall cite to Bates- ■ 70. Amend § 1.338 by revising a hearing proceeding, and if the stamped or otherwise identifiable page paragraph (a) to read as follows: proceeding is not subject to 5 U.S.C. numbers in their pleadings. 554, the presiding officer may, in their (j) Unless a schedule is specified in § 1.338 Subpena forms. discretion, conduct and resolve all or the order designating a matter for (a) Subpena forms are available on the part of the hearing proceeding on a hearing, at the initial status conference Commission’s internet site, written record in accordance with under § 1.248(b), the presiding officer www.fcc.gov, as FCC Form 766. These §§ 1.371–1.377. shall adopt a schedule for the sequential forms are to be completed and filing of pleadings required or permitted submitted with any request for issuance § 1.371 General pleading requirements. under these rules. of a subpena. Written hearings shall be resolved on (k) Pleadings shall be served on all * * * * * a written record consisting of parties to the proceeding in accordance ■ 71. Revise § 1.351 to read as follows: affirmative case, responsive case, and with § 1.211 and shall include a reply case submissions, along with all certificate of service. All pleadings shall § 1.351 Rules of evidence. associated evidence in the record, be served on the presiding officer or In hearings subject to this Subpart B, including stipulations and agreements case manager, as identified in the any oral or documentary evidence may of the parties and official notice of a caption. be adduced, but the presiding officer material fact. (l) Each pleading must contain a shall exclude irrelevant, immaterial, or (a) All pleadings filed in any written verification that the signatory unduly repetitious evidence. proceeding subject to these written has read the submission and, to the best

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of their knowledge, information, and accompanied by a declaration or § 1.375 Other written submissions. belief formed after reasonable inquiry, it affidavit explaining the basis for the (a) The presiding officer may require is well grounded in fact and is party’s belief and why the party could or permit the parties to file other written warranted by existing law or a good not reasonably ascertain the facts. When submissions such as briefs, proposed faith argument for the extension, a party intends in good faith to deny findings of fact and conclusions of law, modification or reversal of existing law; only part of a designated question in the or other supplementary documents or and that it is not interposed for any affirmative case, that party shall specify pleadings. The presiding officer may improper purpose, such as to harass, so much of it as is true and shall deny limit the scope of any such pleadings to cause unnecessary delay, or needlessly only the remainder. certain subjects or issues. increase the cost of the proceeding. If (c) Failure to address in an affirmative (b) The presiding officer may require any pleading or other submission is case submission all factual and legal the parties to submit any additional signed in violation of this provision, the questions designated for hearing may information deemed appropriate for a Commission may upon motion or upon result in inferences adverse to the filing full, fair, and expeditious resolution of its own initiative impose appropriate party. the proceeding. sanctions. (m) Any party to the proceeding may § 1.373 The responsive case. § 1.376 Oral hearing or argument. file a motion seeking waiver of any of (a) Any other party may file a (a) Notwithstanding any requirement the rules governing pleadings in written responsive case submission in the in the designation order that the hearing hearings. Such waiver may be granted manner prescribed under this section be conducted and resolved on a written for good cause shown. within 30 calendar days of the filing of record, a party may file a motion to (n) Any pleading that does not the affirmative case submission, unless request an oral hearing pursuant to conform with the requirements of the otherwise directed by the presiding § 1.291. Any such motion shall be filed applicable rules may be deemed officer. The responsive case submission after the submission of all the pleadings defective. In such case, the presiding shall include: but no later than the date established in officer may strike the pleading or (1) A statement of relevant material the scheduling order. See §§ 1.372– request that specified defects be facts, supported by sworn statements 1.374, 1.248. The motion shall contain corrected and that proper pleadings be based on personal knowledge, a list of genuine disputes as to outcome- filed with the Commission and served documentation, or by other materials determinative facts that the movant on the presiding officer or case manager subject to consideration by the presiding contends cannot adequately be resolved and all parties within a prescribed time officer, and a full legal analysis of any on a written record and a list of as a condition to being made a part of issues designated for hearing. witnesses whose live testimony would the record in the proceeding. (2) Citation to relevant sections of the be required to resolve such disputes. (o) Any party that fails to respond to Communications Act or Commission The motion also shall contain official correspondence, a request for regulations or orders; and supporting legal analysis, including additional information, or an order or (3) Any relief sought. citations to relevant authorities and directive from the presiding officer or (b) The responsive case submission parts of the record. If the presiding case manager may be subject to shall respond specifically to all material officer finds that there is a genuine appropriate sanctions. allegations made in the affirmative case dispute as to an outcome-determinative submission. Every effort shall be made fact that cannot adequately be resolved § 1.372 The affirmative case. to narrow the issues for resolution by on a written record, the presiding officer (a) Within 30 days after the the presiding officer. shall conduct an oral hearing limited to completion of the discovery period as (c) Statements of fact or law in an testimony and cross-examination determined by the presiding officer, affirmative case filed pursuant to § 1.372 necessary to resolve that dispute. unless otherwise directed by the are deemed admitted when not rebutted (b) The presiding officer may, on his presiding officer, any party to the in a responsive case submission. or her own motion following the receipt proceeding with the burden of proof of all written submissions, conduct an § 1.374 The reply case. shall file a pleading entitled oral hearing to resolve a genuine dispute ‘‘affirmative case’’ that fully addresses (a) Any party who filed an affirmative as to an outcome-determinative fact that each of the issues designated for case may file and serve a reply case the presiding officer finds cannot hearing. The affirmative case submission within 15 days of the filing adequately be resolved on a written submission shall include: of any responsive case submission, record. Any such oral hearing shall be (1) A statement of relevant material unless otherwise directed by the limited to testimony and cross- facts, supported by sworn statements presiding officer. examination necessary to resolve that based on personal knowledge, (b) The reply case submission shall dispute. documentation, or by other materials contain statements of relevant material (c) Oral argument shall be permitted subject to consideration by the presiding facts, supported by sworn statements only if the presiding officer determines officer, and a full legal analysis of each based on personal knowledge, that oral argument is necessary to of the issues designated for hearing; documentation, or by other materials resolution of the hearing. (2) Citation to relevant sections of the subject to consideration by the presiding Communications Act or Commission officer, and a full legal analysis that § 1.377 Certification of the written hearing regulations or orders; and responds only to the factual allegations record to the Commission for decision. (3) The relief sought. and legal arguments made in any When the Commission is the (b) The affirmative case submission responsive case. Other allegations or presiding officer and it has appointed a shall address all factual and legal arguments will not be considered by the case manager under § 1.242, the case questions designated for hearing, and presiding officer. manager shall certify the record for state in detail the basis for the response (c) Failure to submit a reply case decision to the Commission promptly to each such question. Responses based submission shall not be deemed an after the hearing record is closed. Notice on information and belief are prohibited admission of any allegations contained of such certification shall be served on unless made in good faith and in any responsive case. all parties to the proceeding.

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■ 74. Amend § 1.1202 by revising determine eligibility. Any individual, the presiding officer finds that the paragraphs (c) and (e) to read as follows: corporation or other entity that directly information should not be withheld or indirectly controls or owns a majority from disclosure, it shall be placed in the § 1.1202 Definitions. of the voting shares or other interest of public record of the proceeding. * * * * * the applicant, or any corporation or Otherwise, any request to inspect or (c) Decision-making personnel. Any other entity of which the applicant copy the exhibit shall be disposed of in member, officer, or employee of the directly or indirectly owns or controls a accordance with the Commission’s Commission, or, in the case of a Joint majority of the voting shares or other established procedures under the Board, its members or their staffs, who interest, will be considered an affiliate Freedom of Information Act, §§ 0.441 is or may reasonably be expected to be for purposes of this part, unless the through 0.466 of this chapter. involved in formulating a decision, rule, presiding officer, as defined in 47 CFR ■ 79. Amend § 1.1513 by revising the or order in a proceeding. Any person 1.241, determines that such treatment last sentence to read as follows: who has been made a party to a would be unjust and contrary to the proceeding or who otherwise has been purposes of the EAJA in light of the § 1.1513 Documentation of fees and excluded from the decisional process actual relationship between the expenses. shall not be treated as a decision-maker affiliated entities. In addition, the * * * The presiding officer may with respect to that proceeding. Thus, presiding officer may determine that require the applicant to provide any person designated as part of a financial relationships of the applicant vouchers, receipts, or other separate trial staff shall not be other than those described in this substantiation for any expenses claimed. considered a decision-making person in paragraph constitute special * * * * * the designated proceeding. Unseparated circumstances that would make an ■ 80. Amend § 1.1514 by revising Bureau or Office staff shall be award unjust. paragraph (c)(1) to read as follows: considered decision-making personnel * * * * * § 1.1514 When an application may be filed. with respect to decisions, rules, and ■ 77. Amend § 1.1506 by revising the orders in which their Bureau or Office introductory text in paragraph (c) to * * * * * participates in enacting, preparing, or read as follows: (c) * * * reviewing. Commission staff serving as (1) The date on which an initial the case manager in a hearing § 1.1506 Allowable fees and expenses. decision or other recommended proceeding in which the Commission is * * * * * disposition of the merits of the the presiding officer shall be considered (c) In determining the reasonableness proceeding by a presiding officer (other decision-making personnel with respect of the fee sought for an attorney, agent than the Commission) becomes to that hearing proceeding. or expert witness, the presiding officer administratively final; * * * * * shall consider the following: * * * * * (e) Matter designated for hearing. Any * * * * * ■ 81. Amend § 1.1522 by revising the matter that has been designated for ■ 78. Amend § 1.1512 by revising the second sentence of paragraph (b) to read hearing before a presiding officer. last sentence of paragraph (a) and by as follows: revising paragraph (b) to read as follows: * * * * * § 1.1522 Answer to application. ■ 75. Amend § 1.1319 by revising the § 1.1512 Net worth exhibit. * * * * * introductory text to paragraph (a) and (a) * * * The presiding officer may (b) * * * The filing of this statement paragraphs (a)(1) and (2) to read as require an applicant to file additional shall extend the time for filing an follows: information to determine its eligibility answer for an additional 30 days, and § 1.1319 Consideration of the for an award. further extensions may be granted by environmental impact statements. (b) Ordinarily, the net worth exhibit the presiding officer upon request by (a) If the action is designated for will be included in the public record of Bureau counsel and the applicant. hearing: the proceeding. However, an applicant * * * * * (1) In rendering an initial decision, that objects to public disclosure of ■ 82. Amend § 1.1524 by revising the the presiding officer (other than the information in any portion of the exhibit second sentence to read as follows: Commission) shall utilize the FEIS in and believes there are legal grounds for considering the environmental issues, withholding it from disclosure may § 1.1524 Comments by other parties. together with all other non- submit that portion of the exhibit * * * A commenting party may not environmental issues. directly to the presiding officer in a participate further in proceedings on the (2) When the Commission serves as sealed envelope labeled ‘‘Confidential application unless the presiding officer the presiding officer or upon its review Financial Information’’, accompanied by determines that the public interest of an initial decision, the Commission a motion to withhold the information requires such participation in order to will consider and assess all aspects of from public disclosure. The motion permit full exploration of matters raised the FEIS and will render its decision, shall describe the information sought to in the comments. giving due consideration to the be withheld and explain, in detail, why * * * * * environmental and nonenvironmental it falls within one or more of the ■ 83. Amend § 1.1525 by revising the issues. specific exemptions from mandatory last sentence to read as follows: * * * * * disclosure under the Freedom of § 1.1525 Settlement. ■ 76. Amend § 1.1504 by revising Information Act, 5 U.S.C. 552(b)(1)–(9), paragraph (f) to read as follows: why public disclosure of the * * * If a presiding officer (other than information would adversely affect the the Commission) approves the proposed § 1.1504 Eligibility of applicants. applicant, and why disclosure is not settlement, it shall be forwarded to the * * * * * required in the public interest. The Commission for final determination. If (f) The net worth and number of material in question shall be served on the Commission is the presiding officer, employees of the applicant and all of its Bureau counsel, but need not be served it shall approve or deny the proposed affiliates shall be aggregated to on any other party to the proceeding. If settlement.

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■ 84. Amend § 1.1526 by revising the for hearing. Hearing proceedings shall No. 5), 395 E Street SW, Washington, second sentence of paragraph (a) and be conducted by a presiding officer. See DC 20423–0001. Comments and replies revising paragraph (b) to read as follows: § 1.241. will be posted to the Board’s website at www.stb.gov. § 1.1526 Further proceedings. * * * * * FOR FURTHER INFORMATION CONTACT: (a) * * * However, on request of PART 76—MULTICHANNEL VIDEO Amy Ziehm at (202) 245–0391. either the applicant or Bureau counsel, AND CABLE TELEVISION SERVICE Assistance for the hearing impaired is or on her own initiative, the presiding available through the Federal Relay ■ 88. The authority citation for part 76 officer may order further proceedings, Service at (800) 877–8339. such as an informal conference, oral continues to read as follows: SUPPLEMENTARY INFORMATION: The argument, additional written Authority: 47 U.S.C. 151, 152, 153, 154, Board’s railroad performance data submissions or, as to issues other than 301, 302, 302a, 303, 303a, 307, 308, 309, 312, reporting regulations at 49 CFR part excessive demand or substantial 315, 317, 325, 338, 339, 340, 341, 503, 521, 522, 531, 532, 534, 535, 536, 537, 543, 544, 1250, which became effective on March justification, an evidentiary hearing. 21, 2017, require all Class I carriers and *** 544a, 545, 548, 549, 552, 554, 556, 558, 560, 561, 571, 572, 573. the Chicago Transportation (b) A request that the presiding officer Coordination Office (CTCO), through its ■ order further proceedings under this 89. Amend § 76.7 by revising Class I members, to report certain section shall specifically identify the paragraph (g)(2) to read as follows: service performance metrics on a information sought or the disputed weekly, semiannual, and occasional issues and shall explain why the § 76.7 General special relief, waiver, enforcement, complaint, show cause, basis. additional proceedings are necessary to forfeiture, and declaratory ruling On December 6, 2018, ACC filed a resolve the issues. procedures. petition for rulemaking 1 to amend those * * * * * * * * * * data reporting regulations to: (1) Include ■ 85. Amend § 1.1527 by revising the (g) * * * chemical and plastics (Standard section heading and the first sentence, (2) Before designation for hearing, the Transportation Commodity Code (STCC) and adding a new last sentence to read staff shall notify, either orally or in 28, except fertilizer) 2 traffic as a distinct as follows: writing, the parties to the proceeding of reporting category for the ‘‘cars-held’’ metric at 49 CFR 1250.2(a)(6); (2) amend § 1.1527 Initial decision. its intent to so designate, and the parties shall be given a period of ten (10) days 49 CFR 1250.3(a) to clarify that yard A presiding officer (other than the to elect to resolve the dispute through dwell must be reported for each yard Commission) shall issue an initial alternative dispute resolution subject to average daily car volume decision on the application as soon as 3 procedures, or to proceed with an reporting; and (3) extend the same possible after completion of proceedings adjudicatory hearing. Such election types of terminal reporting requirements on the application. * * * When the shall be submitted in writing to the that are applicable to the Chicago Commission is the presiding officer, the Commission. gateway (as clarified by comments filed Commission may, but is not required to, by ACC on May 6, 2019) to the New [FR Doc. 2019–20568 Filed 10–4–19; 8:45 am] issue an initial or recommended Orleans, East St. Louis, and Memphis decision. BILLING CODE 6712–01–P gateways (together, the Mississippi ■ 86. Amend § 1.1528 by revising the Gateways). (Pet. 1, 5; ACC Comments 1, last sentence to read as follows: 12–13.) SURFACE TRANSPORTATION BOARD § 1.1528 Commission review. On January 28, 2019, the Association of American Railroads (AAR) filed a 49 CFR Part 1250 * * * If review is taken, the reply in opposition to ACC’s petition. Commission will issue a final decision [Docket No. EP 724 (Sub-No. 5)] By decision served on April 5, 2019 on the application or remand the (April Decision), the Board opened a application to the presiding officer Petition for Rulemaking; Railroad rulemaking proceeding and directed (other than the Commission) for further Performance Data Reporting ACC and AAR to provide additional proceedings. AGENCY: Surface Transportation Board. information regarding ACC’s proposed * * * * * amendments to the regulations. ACTION: Notice of proposed rulemaking. ■ 87. Amend § 1.1604 by revising Pursuant to that decision, ACC and AAR paragraphs (b) and (c) to read as follows: SUMMARY: The Surface Transportation each filed comments on May 6, 2019, § 1.1604 Post-selection hearings. Board (STB or Board) grants in part a and AAR filed reply comments on May petition filed by the American 20, 2019. * * * * * After considering the petition for (b) If, after such hearing proceeding as Chemistry Council (ACC) to amend the Board’s railroad performance data rulemaking and the comments received, may be necessary, the Commission the Board will grant ACC’s petition in determines that the ‘‘tentative selectee’’ reporting regulations. Specifically, the has met the requirements of § 73.3591(a) Board proposes to modify its regulations to include chemical and plastics traffic 1 On December 12, 2018, ACC filed an errata to it will make the appropriate grant. If the its petition. Commission is unable to make such a as a distinct reporting category for the 2 ACC excludes the fertilizer reporting category of determination, it shall order that ‘‘cars-held’’ metric. STCC 28 from its request because fertilizer is another random selection be conducted DATES: Comments are due by December already included in the Board’s data reporting 6, 2019. Reply comments are due by regulations under 49 CFR 1250.2(a)(6). (See Pet. 6.) from among the remaining mutually 3 ACC initially sought to extend the weekly exclusive applicants, in accordance January 6, 2020. average terminal dwell time reporting requirement with the provisions of this subpart. ADDRESSES: Comments and replies may at 49 CFR 1250.2(a)(2) to include all Class I, (c) If, on the basis of the papers before be filed with the Surface Transportation terminal, and switching carriers at the Chicago gateway. However, as described below, in its it, the Commission determines that a Board either via e-filing or in writing comments filed on May 6, 2019, ACC withdraws substantial and material question of fact addressed to: Surface Transportation this part of its initial request and instead seeks the exists, it shall designate that question Board, Attn: Docket No. EP 724 (Sub- amendment described here.

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part and propose to include chemical traffic is especially vulnerable to rail reporting, AAR states that, because the and plastics (STCC 28, except service problems because it cannot Mississippi Gateways do not have the fertilizer) 4 traffic as a distinct reporting readily shift to alternative rail carriers or equivalent of the CTCO,7 any joint category for the cars-held metric at 49 to other modes. (Id. at 7.) service report would need to be built CFR 1250.2(a)(6). The Board will deny ACC maintains that requiring accurate from the ground up from data from ACC’s petition with regard to its other and consistent reporting of STCC 28 individual carriers. AAR states that this requested amendments. service metrics across rail carriers would be burdensome to undertake, and would enable early identification of Background that the burden is not justified. (Id. at 5– service issues and a better opportunity 6.) In 2014, the Board initiated a to mitigate them. (Id.) ACC also states In the April Decision, 84 FR 14907 rulemaking proceeding to establish new that STCC 28 traffic is an important (April 12, 2019), EP 724 (Sub-No. 5), regulations requiring all Class I railroads bellwether of service issues, because it slip op. at 2, the Board opened a and the CTCO, through its Class I moves long distances and is a leader in rulemaking proceeding and directed members, to report certain service traffic volume, second only to coal in ACC and AAR to provide additional performance metrics on a weekly basis. total carloads, which means that service information. Specifically, the Board See U.S. Rail Serv. Issues—Performance issues have a deeper impact on STCC 28 directed ACC to elaborate on shippers’ Data Reporting (2014 NPRM), 80 FR 473 commodities than most other experiences using performance data (Jan. 6, 2015), EP 724 (Sub-No. 4) (STB commodity groups. (Id. at 9.) Further, 5 reported under the existing rules to served Dec. 30, 2014). The primary ACC states that STCC 28 traffic is more inform their business and supply chain purpose of that rulemaking proceeding likely to signal congestion at terminals decision-making. Id. The Board directed was to develop a set of performance data than many other existing categories for ACC to explain how the additional data that would allow the agency to monitor the cars-held metric, because it moves requested would materially enhance current service conditions in the almost exclusively in manifest service that decision-making with reference to industry and improve the Board’s ability that must be switched individually or in specific scenarios or real-world to identify and help resolve future small blocks at terminals (whereas the circumstances, and, if possible, that regional or national service disruptions existing categories mostly represent unit ACC quantify the value of additional more quickly, should they occur. Id. at train traffic, which requires little or no reporting. Id. The Board also directed 3. The Board adopted its final rule on switching at terminals). (Id. at 10.) ACC to provide additional data November 30, 2016, U.S. Rail Service Additionally, ACC states that supporting its selection of the Issues—Performance Data Reporting extending the same types of Chicago Mississippi Gateways relative to other (Final Rule), 81 FR 87472 (Dec. 5, 2016), reporting requirements, including dwell terminal locations, both in terms of their EP 724 (Sub-No. 4) (STB served Nov. 30, time, to the Mississippi Gateways is 2016), and the rule became effective on important because the problems of one significance to the overall rail network March 21, 2017 (82 FR 9529 (Feb. 7, carrier at these points can have a and specifically to chemical traffic 2017)).6 cascading effect on other carriers in the shipments. Id. Additionally, the Board In its petition, ACC argues that its national network. (Id. at 11.) ACC states directed ACC to explain in greater detail requested changes ‘‘are desirable to give that information about service at the why the existing performance data the Board and shippers consistent Mississippi Gateways is especially reported pursuant to § 1250.2(a)(2) are service metrics across railroads that important for STCC 28 traffic because a insufficient indicators as to rail provide adequate visibility into critical high proportion of this traffic originates performance across the network, aspects of the national rail system.’’ in the west and interchanges at the including at the Mississippi Gateways. (Pet. 1.) ACC states that STCC 28 traffic Mississippi Gateways to reach April Decision, EP 724 (Sub-No. 5), slip accounts for the highest number of destinations in the east. (Id. at 12.) op. at 2. manifest carloads, compared to all other In its reply to ACC’s petition, AAR The Board directed AAR to explain in two-digit STCC groups, and plays a key argues that the Board should not adopt greater detail the ‘‘programming role in the national economy. (Id.) ACC additional commodity-specific changes’’ railroads would need to make also states that STCC 28 traffic is vital reporting, (AAR Reply 2–4, Jan. 28, to comply with the proposed reporting to many essential goods and services for 2019), and that joint Mississippi requirements; the ‘‘other costs’’ that consumers and a variety of industries, Gateways information is unnecessary would be associated with complying such as chlorine and other treatment and would be unduly burdensome (id. with the proposed reporting chemicals for the purification of public at 5–6). AAR argues that a narrow focus requirements; and the specific process water supplies, plastics and polymers on subsets of rail traffic can remove individual carriers would need to for use in the manufacturing of important context from the full picture undertake to build ‘‘from the ground up automobiles, and various plastics and of a globalized supply chain, that data’’ to compile a joint service report chemicals for use in the manufacturing commodity-specific reporting is at each proposed Mississippi Gateway of pharmaceuticals and medical devices. particularly susceptible to such location. Id. The Board also directed (Id. at 6–7.) According to ACC, STCC 28 distortion, and that granular reports are AAR to provide data that further therefore of limited benefit. (Id. at 2–4.) describes or quantifies the ‘‘ongoing 4 STCC 28 is designated for ‘‘chemicals or allied AAR further argues that continuous costs’’ and ‘‘burden’’ of the proposed products’’ and referred to generally by ACC as changes to the Board’s reporting rules changes. Id. ‘‘chemical and plastics’’. would impose ongoing costs to railroads In response to the April Decision, 5 For a background of the service problems that that would need to make programming led to the Board initiating the 2014 proceeding, see ACC and AAR each filed subsequent 2014 NPRM, EP 724 (Sub-No. 4), slip op. at 2–3. changes to their systems to comply, and 6 By decision served on March 13, 2017, the that ACC had the opportunity to 7 AAR states that the CTCO currently reports Board issued a technical correction to the final rule advocate for chemical-specific reporting weekly average terminal dwell in hours for 11 to include an additional fertilizer STCC in addition during the initial formulation of the individual Chicago yards and an average of the to the 14 fertilizer STCCs initially included. U.S. group. (AAR Reply 4, Jan. 28, 2019.) AAR further Rail Serv. Issues—Performance Data Reporting, 82 reporting rules but did not make such a states that the CTCO reports encompass the six FR 13401 (March 13, 2017), EP 724 (Sub-No. 4) proposal. (Id. at 3.) Additionally, with Class I railroads and both terminal and switching (STB served Mar. 13, 2017). respect to the Mississippi Gateways railroads that operate in Chicago. (Id.)

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comments, and AAR filed a reply.8 ACC misconceptions regarding the utility of 28 traffic as a distinct reporting category argues that existing performance data railroad performance metrics. (Id. at 4.) for the cars-held metric at 49 CFR reporting has played a crucial role in AAR also argues that the utility of 1250.2(a)(6) would be reasonable, helping ACC’s membership address rail railroad service data is limited to warranted, and consistent with the rail service issues. (ACC Comments 2.) ACC identifying changes and trends on a transportation policy (RTP) of 49 U.S.C. provides several specific examples of particular railroad, and that the data 10101. As explained in the Final Rule in how the existing data reporting has cannot reliably be used to understand EP 724 (Sub-No. 4), service adequacy is helped its members. Among those causality, compare rail performance a key part of the Board’s mandate under examples, ACC explains how one across different commodities or time the Interstate Commerce Act. Final Rule, member used a carrier’s specific data to periods, or compare railroads. (Id. at 4– EP 724 (Sub-No. 4), slip op. at 5. elevate the member’s concerns and 5.) Pursuant to the RTP, in regulating the establish regular communication with railroad industry, it is the policy of the Discussion of ACC’s Requests the carrier to address service issues, as United States Government to minimize well as an example of how a member ACC Request #1: Include chemical the need for regulatory control, 49 used such data to make operational and and plastics (STCC 28) traffic as a U.S.C. 10101(2), promote a safe and business planning decisions. (Id. at 2– distinct reporting category for the cars- efficient rail transportation system, 49 5.) ACC states that, with the additional held metric at 49 CFR 1250.2(a)(6). U.S.C. 10101(3), ensure the reporting metrics it proposes, chemical According to ACC, separately reporting development of a sound rail shippers would be better prepared to cars-held data for STCC 28 traffic would transportation system to meet the needs identify rail service issues, address them enable shippers to identify regional of the public, 49 U.S.C. 10101(4), and with railroads, make internal issues affecting that traffic. (ACC encourage efficient management of operational adjustments, and manage Comments 6.) ACC argues that the cars- railroads, 49 U.S.C. 10101(9). ACC’s their railcar fleet. (Id. 5–6.) According to held metric is an important indicator of requested amendment to 49 CFR ACC, railroads are generally reluctant to rail system fluidity, and that for STCC 1250.2(a)(6) would advance these RTP collaborate on service issues unless the 28 traffic, a fluid rail system is goals.9 The additional data reporting on shipper is able to provide data especially important in the Gulf Coast, chemical and plastics traffic would identifying the issue and possible where a substantial portion of this promote the RTP by allowing the solutions. (Id. at 9.) ACC asserts that the traffic is concentrated. (Id.) ACC asserts agency, as well as shippers and other additional reporting would enable that the current data reporting masks the stakeholders, to more quickly identify shippers to engage with railroads to severity of service events having a and respond to service issues related to identify alternative routings involving disproportionate impact on STCC 28 these important commodities. ACC has the Mississippi Gateways or address traffic, and ACC provides charts that it demonstrated both the critical network issues impacting STCC 28 asserts show an example of this importance of this particular traffic as traffic. (Id.) ACC states that the dynamic. (Id. at 6–7.) ACC reiterates well as the benefits to specifically additional reporting would also enhance that additional reporting will enhance identifying this traffic in the cars-held shippers’ ability to internally manage shippers’ ability to internally manage metric.10 Reporting of chemicals and service issues and may lead to service issues and may lead to plastics as a stand-alone category of cars substantial cost savings. (Id.) ACC substantial cost savings. (Id. at 9). holding for 48 hours or longer would, in provides specific examples of how its AAR responds that additional addition to allowing the Board and members would benefit from the reporting of STCC 28 traffic as a line shippers to monitor the fluidity of these additional data reporting. (Id. at 9–11.) item in the ‘‘cars-held for more than 48 commodities vital to essential goods and In its May 6 comments, as described hours’’ report would necessitate each services, have the potential to help further below, AAR provides Class I carrier to alter the coding shippers address such issues privately information on the formation and necessary to pull the data prescribed by with railroads, make operational development of the CTCO and the Board. (AAR Comments 9–10.) adjustments, and improve their business programs, efforts, and systems to collect According to AAR, the cost associated planning, including though the and report performance data on the with this request would total management of their rail car fleets. Chicago terminal. (AAR Comments 2–6, approximately $34,000 for all seven These private solutions, without further May 6, 2019.) AAR also provides Class I railroads, as it would require involvement by the Board, could reduce quantitative estimates of the costs three to four employees totaling roughly the need for litigation and could lower associated with each of ACC’s requested 80 hours to update existing computer overall costs of the provision of these reporting requirement changes. (Id. at 7– coding, write new code to modify the commodities. In light of these 10.) In its reply, AAR argues that ACC search parameters, test new code against significant public benefits, AAR has not has failed to demonstrate that the existing systems to make sure it does shown in its comments to date that the additional reporting would have public not cause problems, and have the new modest one-time coding cost it describes benefits tied to the Board’s regulatory code approved. (Id. at 10.) AAR again authority that would justify the expense objects to ‘‘continuous changes to the 9 Further, as discussed in the Final Rule, the and burden that reporting would place Board’s reporting rules,’’ as such Board has the responsibility for monitoring the changes ‘‘impose ongoing costs to adequacy of service under specific statutory on carriers. (AAR Reply 2, May 20, provisions, including service emergencies under 49 2019.) Additionally, according to AAR, railroads that would need to make U.S.C. 11123. Moreover, service issues can also be ACC’s filings illustrate continued programming changes to their systems relevant when the Board considers whether railroad to enable compliance.’’ (Id. at 9 (quoting service practices are reasonable, 49 U.S.C. 10702, whether to force a line sale in the event of 8 As noted earlier, in its comments ACC AAR Reply 3, Jan. 28, 2019).) AAR again inadequate service, 49 U.S.C. 10907, and whether withdraws its second request to extend the notes that ACC had the opportunity to railroads are fulfilling their common carrier reporting at 49 CFR 1250.2(a)(2) to the Chicago make this request in the past and failed obligations, 49 U.S.C. 11101, or providing safe and gateway, and instead seeks revisions to the Chicago to do so. (AAR Comments 9.) adequate car service 49 U.S.C. 11121. Final Rule, EP terminal reporting requirements to clarify that yard After considering ACC’s petition and 724 (Sub-No. 4), slip op. at 5. dwell must be reported for each yard subject to 10 AAR concedes that ‘‘granular reports’’ provide average daily car volume reporting. See supra note the responsive comments filed, the at least a certain ‘‘limited benefit.’’ (AAR Reply 4, 3. Board concludes that including STCC Jan. 28, 2019.)

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would be unduly burdensome to the regarding the scope of required metrics from the Mississippi Gateways. reporting railroads. reporting for Chicago. Therefore, the (AAR Reply 3, May 20, 2019.) As noted ACC Request #2: Amend 49 CFR Board will deny ACC’s request to amend above, in its May 6, 2019 comments, 1250.3(a) to clarify that yard dwell must 49 CFR 1250.3(a). AAR describes the circumstances that be reported for each yard subject to ACC Request #3: Extend the terminal gave rise to the formation of the CTCO average daily car volume reporting. In reporting requirements applicable to the and the development of programs, lieu of its initial request, ACC instead Chicago gateway to the Mississippi efforts, and systems to address the seeks amendments to the Chicago Gateways. ACC states that it requests complexity of Chicago operations, as terminal reporting requirements that additional data reporting for the well as the significant estimated costs of ACC states would clarify that yard dwell Mississippi Gateways because a replicating them in the Mississippi must be reported for each yard subject substantial amount of its members’ Gateways. (AAR Comments 2–9.) AAR to average daily car volume reporting. traffic move through these gateways. estimates that the cost to the Class I (ACC Comments 1.) ACC claims that, According to ACC, ‘‘multiple large ACC carriers of reproducing the joint yard while reviewing the Chicago reporting, members indicated that approximately inventory, yard dwell, and trains held ACC discovered a disconnect between 25% of their traffic moves through the reports for the Mississippi Gateways the current reporting practice and the Mississippi Gateways.’’ (ACC Comments would total approximately $1.6 million Chicago terminal reporting rule. (Id. at 11.) However, ACC states that it is in initial development, and 12.) ACC states that AAR has been unable to provide additional data approximately $330,000 in annual reporting the seven-day average yard regarding the Mississippi Gateways maintenance expenses. (Id. at 6–7.) AAR dwell for the Chicago terminal yards because the Public Use Waybill Sample argues that the Mississippi Gateways do that are subject to average daily car does not identify specific interchange not approach the complexity associated volume reporting under 49 CFR locations. (Id.) ACC states that, for with Chicago operations, nor are any of 1250.3(a). (Id.) According to ACC, the additional data regarding the volume of the Mississippi Gateways as central to Board appears to have required this STCC 28 traffic moving through the the national rail network. (AAR Reply 3, reporting in its decision that issued the Mississippi Gateways, the Board could May 20, 2019.) AAR also states that, Chicago terminal reporting review the Confidential Carload Waybill while ACC’s members report that requirements, but the Board did not Sample (CCWS), which would enable approximately 25% of their individual include the requirement in the rule’s the Board to calculate the volume of traffic moves through the Mississippi text. (Id., citing Final Rule, EP 724 (Sub- STCC 28 traffic moving through the Gateways, ACC does not attempt to No. 4), slip op. at 22–23.) ACC requests Mississippi Gateways as well as other prove that this sampling is that the Board make clarifying edits to gateway locations. (Id.) ACC states that representative of chemical traffic 49 CFR 1250.3(a) to capture the full it would support the inclusion of generally. (Id.) In response to ACC’s scope of required reporting. (Id. at 12– additional gateways that the Board suggestion that the Board review the 13.) determines are significant to the overall CCWS, AAR cautions that the CCWS AAR asserts that the ‘‘disconnect’’ rail network. (Id.) contains information on commercial noted by ACC is merely the text of the According to ACC, the Mississippi interchanges, not necessarily the Board’s decision that accepted AAR’s Gateways are complex terminals with operational interchanges reflecting offer to voluntarily report the metrics many interchange yards and multiple where traffic actually moved, so the that were already being shared with carriers, and congestion may impact CCWS can give the Board only a rough Chicago stakeholders. (AAR Reply 5–6, some, but not all, of the yards and understanding of the volume of May 20, 2019.) AAR argues that the carriers serving a gateway. (Id. at 7–8.) interchange traffic at each Mississippi Board should not codify that voluntary Therefore, ACC requests that the report; instead, the Board should allow proposed Mississippi Gateway reporting Gateway. (Id. at 3–4.) the railroads and Chicago stakeholders provide the terminal- and yard-level The Board finds that ACC’s petition the flexibility to change reports as data necessary for chemical shippers to and comments do not provide adequate business and technology changes pinpoint service issues in these justification to extend the terminal warrant, without having to come back to gateways. (Id. at 8.) ACC indicates that reporting requirements applicable to the Board and petition it to begin a this information could be used to Chicago to the Mississippi Gateways at rulemaking proceeding. (Id. at 6.) anticipate bunching and other delays. this time. The Board has focused on The Board does not agree with ACC’s (Id.) ACC states that this information reporting at Chicago due to Chicago’s claim of a disconnect between the would allow members to know whether unique importance to the overall Board’s decision and the rule as a Mississippi Gateway issue is fluidity of the national rail network. codified, which is the sole basis for attributable to a carrier or a specific See, e.g., 2014 NPRM, EP 724 (Sub-No. ACC’s request to amend 49 CFR gateway yard and to plan accordingly. 4), slip op. at 6 (reiterating ‘‘the 1250.3(a). The Board explicitly stated in (Id. at 10.) longstanding importance of Chicago as a the Final Rule that it would ‘‘accept the ACC also argues that the additional hub in national rail operations and the AAR’s voluntary offer to include the data reporting would enable shippers to impact that recent extreme congestion data it is reporting to [the Chicago more accurately predict their transit in Chicago has had on rail service in the Metropolitan Agency for Planning] in times and, thus, more efficiently manage Upper Midwest and nationwide’’). ACC CTCO’s report to the Board.’’ Final Rule, their own private railcar fleets. (Id.) For has not demonstrated, nor does analysis EP 724 (Sub-No. 4), slip op. at 23 example, according to ACC, the data of the waybill support,11 that the (emphasis added). The Board further would enable a member to identify the Mississippi Gateways have a similar stated that, ‘‘[t]he final rule, as source of gateway dwells and reduce its level of importance across commodities augmented by the data that AAR has fleet accordingly, and potentially help and the rail network. Furthermore, ACC offered to submit voluntarily, will an ACC member advocate for shifting continue to maintain a robust view of traffic from one gateway to another. (Id. 11 The Office of Economics reviewed the confidential Waybill Sample data for 2017 and operating conditions in the Chicago at 10–11.) determined that 831,606 cars were interchanged in gateway.’’ Id. (emphasis added). AAR maintains that ACC has not Chicago, while only 410,320 cars were interchanged Accordingly, there is no confusion justified its request for joint reporting of in the Mississippi Gateways combined.

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has not sufficiently explained why the entities. For the purpose of RFA change.13 In addition to the burden of data already collected from each Class I analysis for rail carriers subject to the the one-time programming change, the carrier’s 10 largest terminals is Board’s jurisdiction, the Board defines a Board estimates that the annual hour inadequate to identify problems with ‘‘small business’’ as only including burden of this collection has decreased fluidity of STCC 28 traffic across the those rail carriers classified as Class III over the last two-plus years to national network, especially if the rail carriers under 49 CFR 1201.1–1. See approximately half of its original existing data reporting requirements for Small Entity Size Standards Under the estimate, due to efficiencies of routine the largest terminals are enhanced by Regulatory Flexibility Act, 81 FR 42566 and improvements in technology. The the Board’s proposal to require separate (June 30, 2016), EP 719 (STB served Board welcomes comment on the reporting of cars held for chemical and June 30, 2016) (with Board Member estimates of actual time and costs of plastics traffic. Given the costs asserted Begeman dissenting).12 The change collection of the United States Rail by AAR of providing such information, proposed here is limited to Class I Service Issues-Performance Data ACC has not provided sufficient data to carriers. Therefore, the Board certifies Reporting, as detailed below in demonstrate the benefits of a separate under 5 U.S.C. 605(b) that the proposed Appendix. The proposed rules will be reporting mechanism at the Mississippi rule, if promulgated, would not have a submitted to OMB for review as Gateways. Based on the foregoing, the significant economic impact on a required under 44 U.S.C. 3507(d) and 5 Board concludes that the requested substantial number of small entities CFR 1320.11. Comments received by the reporting is not warranted at this time within the meaning of the RFA. This Board regarding the information and therefore will deny this request. decision will be served upon the Chief collection will also be forwarded to Counsel for Advocacy, Office of Proposed Rule OMB for its review when the final rule Advocacy, U.S. Small Business is published. For the reasons discussed above, and Administration, Washington, DC 20416. as set forth below, the Board proposes List of Subjects in 49 CFR Part 1250 Paperwork Reduction Act to include chemical and plastics (STCC Administrative practice and 28, except fertilizer) traffic as a distinct Pursuant to the Paperwork Reduction procedure, Railroads, Reporting and reporting category for the ‘‘cars-held’’ Act, 44 U.S.C. 3501–3521, Office of recordkeeping requirements. metric at 49 CFR 1250.2(a)(6). Interested Management and Budget (OMB) persons may comment on the proposed regulations at 5 CFR 1320.8(d)(3), and It is ordered: rule by December 6, 2019; replies are appendix, the Board seeks comments 1. ACC’s petition for rulemaking is due by January 6, 2020. about the impact of the amendments in granted in part and denied in part, as the proposed rules to the currently discussed above. Regulatory Flexibility Act approved collection of the United States 2. The Board proposes to amend its The Regulatory Flexibility Act of 1980 Rail Service Issues-Performance Data rules as set forth in this decision. Notice (RFA), 5 U.S.C. 601–612, generally Reporting (OMB Control No. 2140– of the proposed rules will be published requires a description and analysis of 0033) regarding: (1) Whether the in the Federal Register. new rules that would have a significant collection of information, as modified in 3. Comments regarding the proposed economic impact on a substantial the proposed rule and further described rule are due by December 6, 2019. number of small entities. In drafting a below, is necessary for the proper Replies are due by January 6, 2020. rule, an agency is required to: (1) Assess performance of the functions of the 4. A copy of this decision will be the effect that its regulation will have on Board, including whether the collection served upon the Chief Counsel for small entities; (2) analyze effective has practical utility; (2) the accuracy of Advocacy, Office of Advocacy, U.S. alternatives that may minimize a the Board’s burden estimates; (3) ways Small Business Administration, regulation’s impact; and (3) make the to enhance the quality, utility, and Washington, DC 20416. analysis available for public comment. clarity of the information collected; and 5. This decision is effective on the day Sections 601–604. In its notice of (4) ways to minimize the burden of the of service. proposed rulemaking, the agency must collection of information on the Decided: September 30, 2019. either include an initial regulatory respondents, including the use of By the Board, Board Members Begeman, flexibility analysis, Section 603(a), or automated collection techniques or Fuchs, and Oberman. certify that the proposed rule would not other forms of information technology, Kenyatta Clay, have a ‘‘significant impact on a when appropriate. The Board estimates Clearance Clerk. substantial number of small entities,’’ that the new requirement to include Section 605(b). Because the goal of the chemical and plastics (STCC 28) traffic For the reasons set forth in the RFA is to reduce the cost to small as a distinct reporting category would preamble, the Surface Transportation entities of complying with federal add a one-time hour burden of 15 hours Board proposes to amend part 1250 of regulations, the RFA requires an agency (or 45 hours amortized over three years) title 49, chapter X, of the Code of to perform a regulatory flexibility per railroad because the railroads will Federal Regulations as follows: analysis of small entity impacts only need to update their existing reporting PART 1250—RAILROAD when a rule directly regulates those software programs to implement this entities. In other words, the impact must PERFORMANCE DATA REPORTING be a direct impact on small entities 12 Class III carriers have annual operating ■ 1. The authority citation for part 1250 ‘‘whose conduct is circumscribed or revenues of $20 million or less in 1991 dollars or continues to read as follows: mandated’’ by the proposed rule. White $39,194,876 or less when adjusted for inflation using 2018 data. Class II carriers have annual Authority: 49 U.S.C. 1321 and 11145. Eagle Coop v. Conner, 553 F.3d 467, 480 operating revenues of less than $250 million or (7th Cir. 2009). $489,935,956 when adjusted for inflation using ■ 2. Amend § 1250.2 by revising The Board’s proposed change to its 2018 data. The Board calculates the revenue paragraph (a)(6) to read as follows: regulations here is intended to improve deflator factor annually and publishes the railroad revenue thresholds in decisions and on its website. the quality of the service data reported 49 CFR 1201.1–1; Indexing the Annual Operating 13 In making this estimate, the Board has taken by Class I carriers and does not mandate Revenues of R.Rs., 84 FR 27829 (June 14, 2019), EP into account the information provided by AAR. (See or circumscribe the conduct of small 748 (STB served June 14, 2019). AAR Comments 10.)

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§ 1250.2 Railroad performance data Transportation Board (Board) gives notice Frequency: The frequencies of the three elements. that it is requesting from the Office of related collections sought under the (a) * * * Management and Budget (OMB) approval for proposed rules are set forth in the table (6) The weekly average of loaded and the revision of the currently approved below. information collection, United States Rail empty cars, operating in normal Service Issues-Performance Data Reporting, ABLE REQUENCY OF ESPONSES movement and billed to an origin or OMB Control No. 2140–0033. The requested T —F R destination, which have not moved in revision to the currently approved collection 48 hours or more, sorted by service type is necessitated by this notice of proposed Frequency of rulemaking (NPRM), which would require Type of responses responses (intermodal, grain, coal, crude oil, (year) automotive, ethanol, fertilizer (the respondents to include chemical and plastics (STCC 28) traffic as a distinct reporting following Standard Transportation Weekly ...... 52 category for cars-held metric at 49 CFR Commodity Codes (STCCs): 2812534, Quarterly ...... 4 2818142, 2818146, 2818170, 2818426, 1250.2(a)(6). All other information collected by the Board in the currently approved On occasion ...... 2 2819173, 2819454, 2819815, 2871235, collection is without change from its 2871236, 2871238, 2871244, 2871313, approval (currently expiring on June 30, Total Burden Hours (annually including all 2871315, and 2871451), chemicals or 2020). respondents): The recurring burden hours are allied products (all remaining STCC 28), Respondents: Class I railroads (on behalf of estimated to be no more than 591 hours per and all other). themselves and the Chicago Transportation year, as derived in the table below. In * * * * * Coordination Office (‘‘CTCO’’)). addition, there are some one-time, start-up Number of Respondents: Seven. costs of approximately 45 hours for each Note: The following appendix will not Estimated Time per Response: The respondent that must be added as a one-time appear in the Code of Federal Regulations. proposed rules seek three related responses, burden due to the programming changes to as indicated in the table below. Appendix add the additional reporting category. To avoid inflating the estimated total annual TABLE—ESTIMATED TIME PER Information Collection hourly burden, the 45-hour start-up burden ESPONSE Title: United States Rail Service Issues— R has been divided by three and spread over Performance Data Reporting. the three-year approval period. Thus, the Estimated OMB Control Number: 2140–0033. total annual burden hours for each of the Form Number: None. time per Type of responses response three years are estimated at no more than 696 Type of Review: Revision of a currently (hours) hours per year. approved collection. Summary: As part of its continuing effort Weekly ...... 1.5 to reduce paperwork burdens, and as Quarterly ...... 1.5 required by the Paperwork Reduction Act of On occasion ...... 1.5 1995, 44 U.S.C. 3501–3521, the Surface

TABLE—TOTAL BURDEN HOURS [per year]

Frequency Type of Number of Estimated time of responses Total yearly responses respondents per response (year) burden hours

Weekly ...... 7 1.5 hours...... 52 546 Quarterly ...... 7 1.5 hours...... 4 42 On occasion ...... 1 1.5 hours ...... 2 3 One-Time ...... 7 15 hours (45 hours/3 years) ...... 1 105

Total ...... 696

Total ‘‘Non-hour Burden’’ Cost: There are Board to monitor the fluidity of these DEPARTMENT OF THE INTERIOR no other costs identified because filings are commodities and give chemical and plastics submitted electronically to the Board. shippers the ability to identify and mitigate Fish and Wildlife Service Needs and Uses: The information service issues more readily. The collection by collection allows the Board to better the Board of this information, and the 50 CFR Part 17 understand current service issues and agency’s use of this information, enables the potentially to identify and resolve possible Board to meet its statutory duties. [Docket No. FWS–R6–ES–2018–0045; future regional and national service FXES11130600000C6–178–FF06E11000] disruptions more quickly. Transparency [FR Doc. 2019–21627 Filed 10–4–19; 8:45 am] would also benefit rail shippers and BILLING CODE 4915–01–P RIN 1018–BC03 stakeholders, by allowing them to better plan operations and make informed business Endangered and Threatened Wildlife decisions based on publicly available data, and Plants; Removal of Howellia and their own analysis of performance trends aquatilis (Water Howellia) From the over time. As described in more detail above List of Endangered and Threatened in the NPRM, the Board is amending the Plants rules that apply to this collection to add chemical and plastics (STCC 28, except AGENCY: Fish and Wildlife Service, fertilizer) traffic as a distinct reporting Interior. category. The reporting of this traffic as a ACTION: Proposed rule. stand-along category of cars will allow the

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SUMMARY: We, the U.S. Fish and MS: BPHC, 5275 Leesburg Pike, Falls ‘‘delist’’ this species) because we have Wildlife Service (Service), propose to Church, VA 22041–3803. determined that it is not likely to remove the plant Howellia aquatilis We request that you submit written become an endangered species now or (water howellia) from the Federal List of comments only by the methods within the foreseeable future. Delisting Endangered and Threatened Plants. The described above. We will post all a species can only be completed by best available scientific and commercial comments on http:// issuing a rule. data indicate that threats to water www.regulations.gov. This generally The basis for our action. Under the howellia identified at the time of listing means that we will post any personal Act, we can determine that a species is in 1994 are not as significant as information you provide us (see Public an endangered or threatened species originally anticipated and are being Comments, below, for more details). based on any one or more of the adequately managed. Therefore, the Document availability: This proposed following five factors or the cumulative species no longer meets the definition of rule and supporting documents, effects thereof: (A) The present or an endangered or threatened species including a copy of the draft post- threatened destruction, modification, or under the Endangered Species Act of delisting monitoring plan referenced curtailment of its habitat or range; (B) 1973, as amended (Act). This throughout this document, are available overutilization for commercial, determination is based on a thorough on http://www.regulations.gov at Docket recreational, scientific, or educational review of all available information, No. FWS–R6–ES–2018–0045. In purposes; (C) disease or predation; (D) which indicates that this species’ addition, the supporting file for this the inadequacy of existing regulatory population and distribution are much proposed rule will be available for mechanisms; or (E) other natural or greater than was known at the time of public inspection, by appointment, manmade factors affecting its continued listing in 1994 and that threats to this during normal business hours at the existence. Based on an assessment of the species have been sufficiently Montana Ecological Services Field best available information regarding the minimized. We are seeking information Office, 585 Shepard Way, Suite 1, status of and threats to water howellia, and comments from the public Helena, MT 59601; telephone: 406–449– we have determined that the species no regarding this proposed rule and the 5225. Persons who use a longer meets the definition of an draft post-delisting monitoring (PDM) telecommunications device for the deaf endangered or threatened species under plan for water howellia. (TDD) may call the Federal Relay the Act. DATES: Service at 800–877–8339. We will accept comments We will seek peer review. We will seek FOR FURTHER INFORMATION CONTACT: Jodi received or postmarked on or before comments from independent specialists Bush, Office Supervisor, telephone: December 6, 2019. Comments submitted to ensure that our determination is 406–449–5225. Direct all questions or electronically using the Federal based on scientifically sound data, ADDRESSES requests for additional information to: eRulemaking Portal (see , assumptions, and analyses. We will WATER HOWELLIA QUESTIONS, U.S. below), must be received by 11:59 p.m. invite these peer reviewers to comment Fish and Wildlife Service, Montana Eastern Time on the closing date. We on this delisting proposal. Because we Ecological Services Field Office, 585 must receive requests for public will consider all comments and Shepard Way, Suite 1, Helena, MT hearings, in writing, at the address information we receive during the FOR FURTHER INFORMATION 59601. Individuals who are hearing- shown in comment period, our final CONTACT impaired or speech-impaired may call by November 21, 2019. determination may differ from this the Federal Relay Service at 800–877– ADDRESSES: Written comments: You may proposal. submit written comments by one of the 8337 for TTY assistance. following methods: SUPPLEMENTARY INFORMATION: Information Requested • Electronically: Go to the Federal Public Comments eRulemaking Portal: http:// Executive Summary www.regulations.gov. In the Search box, Why we need to publish a rule. Under We intend that any final action enter Docket No. FWS–R6–ES–2018– the Act, if a species is determined to no resulting from this proposed rule will be 0045, which is the docket number for longer be an endangered or threatened based on the best scientific and this rulemaking. Then, click on the species, we may reclassify the species or commercial data available and be as Search button. On the resulting page, in remove it from the Federal Lists of accurate and as effective as possible. the Search panel on the left side of the Endangered and Threatened Wildlife Therefore, we request comments or screen, under the Document Type and Plants due to recovery. A species is information from other concerned heading, click on the Proposed Rules an ‘‘endangered species’’ for purposes of governmental agencies, Native link to locate this document. You may the Act if it is in danger of extinction American tribes, the scientific submit a comment by clicking on the throughout all or a significant portion of community, industry, or any other blue ‘‘Comment Now!’’ box. If your its range and is a ‘‘threatened species’’ interested parties concerning this comments will fit in the provided if it is likely to become an endangered proposed rule. Comments should be as comment box, please use this feature of species within the foreseeable future specific as possible. We particularly http://www.regulations.gov, as it is most throughout all or a significant portion of seek comments concerning: compatible with our comment review its range. The Act does not define the (1) Reasons why we should or should procedures. If you attach your term ‘‘foreseeable future.’’ However, we not remove water howellia from the List comments as a separate document, our consider ‘‘foreseeable future’’ as that of Endangered and Threatened Plants; preferred file format is Microsoft Word. period of time within which a reliable If you attach multiple comments (such prediction can be reasonably relied (2) New biological or other relevant as form letters), our preferred formation upon in making a determination about data concerning any threat (or lack is a spreadsheet in Microsoft Excel. the future conservation status of a thereof) to this species (for example, • By hard copy: Submit by U.S. mail species. Water howellia is listed as those associated with climate change); or hand-delivery to: Public Comments threatened. We are proposing to remove (3) New information on any efforts by Processing, Attn: FWS–R6–ES–2018– this species from the Federal List of the State or other entities to protect or 0045, U.S. Fish and Wildlife Service, Endangered and Threatened Plants (i.e., otherwise conserve the species;

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(4) New information concerning the guarantee that we will be able to do so. howellia was included on this list as a range, distribution, and population size To ensure that the electronic docket for Category 2 species. Category 2 species or trends of this species; this rulemaking is complete and all were taxa for which information in (5) New information on the current or comments we receive are publicly possession of the Service at that time planned activities in the habitat or range available, we will post all hardcopy indicated the probable appropriateness that may negatively affect or benefit the submissions on http:// of listing as endangered or threatened species; and www.regulations.gov. but for which sufficient information was (6) Information pertaining to the Comments and materials we receive, not available to biologically support a requirements for post-delisting as well as supporting documentation we proposed rule. monitoring of water howellia. used in preparing this proposed rule On February 21, 1990, we published Please include sufficient information and the draft post-delisting monitoring a notice of review in the Federal with your submission (such as scientific (PDM) plan, will be available for public Register (55 FR 6184) reclassifying journal articles or other publications) to inspection on http:// water howellia from a Category 2 allow us to verify any scientific or www.regulations.gov, or by species to a Category 1 species. Category commercial information you include. appointment, during normal business 1 species were taxa for which the Please note that submissions merely hours at the U.S. Fish and Wildlife Service currently had on file enough stating support for or opposition to the Service, Montana Ecological Services substantial information on biological action under consideration without Field Office (see FOR FURTHER vulnerability and threat(s) to support providing supporting information, INFORMATION CONTACT). proposed rules to list them as although noted, may not meet the Public Hearings endangered or threatened species. standard of information required by Because water howellia is the only section 4(b)(1)(A) of the Act (16 U.S.C. Section 4(b)(5) of the Act provides for species within the genera Howellia, we 1531 et seq.), which directs that a public hearing on this proposal, if assigned a Category 1 listing priority to determinations as to whether any requested. We must receive requests for this plant. species is an endangered or threatened public hearings, in writing, by the date On October 30, 1991, the Service was species must be made ‘‘solely on the specified above in DATES. You must petitioned to list water howellia as an basis of the best scientific and send your request to the address shown endangered species. On April 16, 1993, commercial data available.’’ in FOR FURTHER INFORMATION CONTACT. we published in the Federal Register a Prior to issuing a final determination We will schedule at least one public proposed rule (58 FR 19795) to list on this proposed action, we will take hearing on this proposal if any are water howellia as threatened. This into consideration all comments and requested, and announce the dates, proposed rule also served the Service’s any additional information we receive. times, and places of those hearings, as finding for the October 30, 1991, Such information may lead to a final well as how to obtain reasonable petition. rule that differs from this proposal. All accommodation, in the Federal Register On July 14, 1994, we published in the comments and information we collect, and local newspapers at least 15 days Federal Register a final rule (59 FR including commenters’ names and before the hearing. 35860) listing water howellia as a addresses, if provided to us, will Peer Review threatened species. The final rule become part of the supporting record. included a determination that the You may submit your comments and In accordance with our joint policy on designation of critical habitat for water materials concerning the proposed rule peer review published in the Federal howellia was not prudent. by one of the methods listed in Register on July 1, 1994, (59 FR 34270) In 1996, we drafted a recovery plan ADDRESSES. If you submit your and our August 22, 2016, memorandum for the species (USFWS 1996, entire). To comments electronically, you must updating and clarifying the role of peer date, this plan has not been finalized. submit your comments on http:// review under the Act, we will seek the On April 18, 2007, we published a www.regulations.gov before 11:59 p.m. expert opinion of at least three notice in the Federal Register (72 FR (Eastern Time) on the date specified in appropriate and independent specialists 19549) announcing the initiation of a 5- DATES. We will not consider hand- regarding the scientific data and year review for water howellia. The delivered comments that we do not interpretations contained in this resulting recommendation from this 5- receive, or mailed comments that are proposed rule. These reviews will be year review (USFWS 2013, entire) was not postmarked, by the date specified in completed during the public comment to take the necessary steps to remove DATES. period; we will send copies of this water howellia from the List of If you submit information via http:// proposed rule to the peer reviewers Endangered and Threatened Plants (i.e., www.regulations.gov, your entire immediately following publication in to ‘‘delist’’ the species). submission—including any personal the Federal Register. Peer reviewer identifying information—will be posted comments will be available, along with Background on the website. Please note that other public comments, in the docket Species Information comments posted on this website are for this proposed rule. The purpose of not immediately viewable. When you such review is to ensure that our It is our intent to discuss only those submit a comment, the system receives decisions are based on scientifically topics directly related to delisting water it immediately. However, the comment sound data, assumptions, and analysis. howellia in this proposed rule. For more will not be publicly viewable until we Accordingly, our final decision may information on the description, biology, post it, which might not occur until differ from this proposal. ecology, and habitat of water howellia, several days after submission. please refer to the final listing rule If you mail or hand-deliver hardcopy Previous Federal Actions published in the Federal Register on comments that include personal On December 15, 1980, we published July 14, 1994 (59 FR 35860); the most identifying information, you may a notice of review in the Federal recent 5-year review for water howellia request at the top of your document that Register (45 FR 82480) issuing a list of completed in August of 2013 (USFWS we withhold this information from plant taxa being considered for listing as 2013, entire); and the draft recovery public review. However, we cannot endangered or threatened. Water plan for water howellia, completed in

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September 1996 (USFWS 1996, entire). and observations from Montana (U.S. percent of sites with prior disturbance These documents will be available as Forest Service (USFS) 2002, pp. 6–7; (roads, fire, grazing, and vegetation supporting materials on http:// USFWS 1996, pp. 17–18) and treatments) of vegetation surrounding www.regulations.gov under Docket No. Washington (Gilbert 2008, pers. comm.) the ponds (Pipp 2017, p. 6), indicating FWS–R6–ES–2018–0045. indicate the presence of water howellia some plasticity to disturbance and occurrences after 2 consecutive years varying light levels. Species Description and Habitat with no plant observations, suggesting a Information Range, Distribution, Abundance, and significant number of seeds may remain Trends of Water Howellia Water howellia was first collected in viable for at least 3 years. This life- 1879, along the Columbia River in history strategy likely provides a buffer Water howellia is endemic to the Multnomah County, Oregon (Gray 1880, against unfavorable growing conditions Pacific Northwest with historical entire), and is native to the in consecutive years. occurrences identified in California, northwestern United States. The Water howellia plants typically Oregon, Washington, Idaho, and taxonomy of water howellia as a full inhabit small, vernal freshwater Montana (Shelly and Moseley 1988, pp. species in a monotypic genus is widely wetlands and ponds with an annual 6, 9). Currently, the species still occurs accepted as valid by the scientific cycle of filling with water in spring and in all five States representing six community (The Plant List 2013, drying up in summer or autumn distinct geographic areas. The species’ unpaginated; ITIS 2017). (USFWS 1996, p. 14). These habitats can historical distribution—before European Water howellia is an annual, aquatic be glacial potholes or depressions settlement and modern development in herb in the bellflower family (Shapley and Lesica 1997, p. 8; U.S. the Pacific Northwest—is unknown. (Campanulaceae). The entire plant is Department of Defense (USDOD) 2017a, However, the geographic area smooth, possessing no hairs or p. 1) or river oxbows (Lesica 1997, p. historically occupied by the species was projections. The stems are fragile, 366) in Montana and western likely small, due to the species’ submerged and floating, reaching up to Washington, riverine meander scars requirement of ephemeral wetlands 39 inches (in.) (100 centimeters (cm)) in (Idaho NHP 2017, p. 1; Wiechmann with specific filling and drying regimes. length. Stems branch several inches 2014a, p. 3) in Idaho, glacial-flood Since listing in 1994, new occurrences from the base, and each branch extends remnant wetlands (Robison 2007, p. 8) of water howellia have been to the water surface. The numerous in eastern Washington, or landslide documented in all five States, generally leaves are narrow and range from 1–2 depressions (Johnson 2013, pers. in areas known historically to support in. (25–50 millimeters (mm)) long. comm.) in California, but are all the species. Thus, locations of extant Water howellia produce two types of ephemeral (transitory) to some degree. occurrences are generally representative flowers: Cleistogamous (closed) and Depending on annual patterns of of the areas where the species was chasmogamous (showy, open for temperature and precipitation, the thought to historically occur. pollination). Small cleistogamous drying of the ponds may be complete or At the time of Federal listing (1994), flowers are produced along the stem partial by autumn; these sites are 107 water howellia occurrences (defined below the water surface and are self- usually shallow and less than 3 feet (ft) as known populations) were known fertilizing. Chasmogamous flowers are (1 meter (m)) in depth. Some ponds across the species’ range (59 FR 35860; produced on the water surface and supporting water howellia are July 14, 1994). In 2017, a minimum of commonly self-pollinate (Lesica et al. dependent on complex ground and 307 occurrences were documented. The 1988, p. 276; Shelly and Moseley 1988, surface water interactions. Snow melt majority of extant occurrences (91 pp. 5–6). runoff is important in maintaining percent) are within three Seed germination occurs in the fall, suitable conditions in the spring, while metapopulations occupying distinct, only when ponds dry and seeds are localized groundwater flow mitigates geographic areas in Montana’s Swan exposed to air (Lesica 1990). Water water loss from evaporation and plant Valley (Lake and Missoula Counties); howellia seedlings overwinter in soil transpiration later in the summer Department of Defense property at and resume growth in spring in (Reeves and Woessner 2004, pp. 7–9). Lewis-McChord, Pierce County in northern climates (Mincemoyer 2005, p. Water howellia occupies habitats western Washington; and Turnbull 3) or begin growing after fall across its range that vary in the extent National Wildlife Refuge (Turnbull germination in southern climates (e.g., of canopy cover, suggesting some Refuge), Spokane County in California) (Johnson 2013, pers. comm.). flexibility in light tolerance. Many water northeastern Washington (Figure 1). Spring growth in California and low- howellia occurrences are surrounded or Regional occurrences of plants elevation occurrences in western nearly surrounded, by forested demonstrate metapopulation structure Washington typically commences in vegetation (Mincemoyer 2005, p. 7), when regional persistence is governed early April, and in eastern Washington, with numerous observations reporting by the processes of patch colonization, Idaho, and Montana by early May. water howellia occupying shaded extirpation (local extinction), and Range wide, emergent (chasmogamous) portions of ponds and wetlands (Isle recolonization (Freckleton and flowers bloom soon after the stems 1997, p. 32; McCarten et al. 1998, p. 4). Watkinson 2002, p. 419). These reach the water surface and are typically Conversely, on the Joint Base Lewis- metapopulations are important to the present from May through July. Seed McChord (Lewis-McChord) military viability of the species as long-term dispersal starts in June from submerged base in Washington, occupied ponds persistence is expected of (cleistogamous) flowers and extends were historically surrounded by prairie metapopulations compared to small, until late summer from emergent vegetation and, as a result of years of isolated occurrences that generally flowers (Shelly and Moseley 1988, p. 5). fire suppression, are now surrounded by experience short persistence (Lesica Long-term viability of water howellia forest (Gilbert 2017, pers. comm.). 1992, p. 420). Consequently, seeds is uncertain. Decreased Currently, water howellia is occurring identification of these metapopulations germination rates have been in portions of ponds that receive the is important for directing conservation documented for seeds residing in the most light and least shade (Gilbert 2017, efforts toward the regional availability soil longer than 8 months (Lesica 1992, pers. comm.). In Montana’s Swan of suitable habitat (Freckleton and pp. 415–416). However, monitoring data Valley, water howellia was present in 78 Watkinson 2002, p. 432). Currently, 258

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of the 307 (84 percent) reported water occurrences of water howellia on monitoring of these occurrences has howellia occurrences are on lands private property; however, little is taken place over the years. administered by the Federal known about them, as limited BILLING CODE 4333–15–P Government. There are 37 reported

Legend

Figure 1. Historical and extant occurrences of water howellia across the species' known range.

BILLING CODE 4333–15–C However, this may not necessarily trends. Additionally, an occurrence is Trends for water howellia are difficult indicate a positive population trend. broadly defined as ‘‘a known to determine. Substantial numbers of Rather, this could indicate increased population.’’ Abundance of individual new occurrences have been discovered efficiency at finding new occurrences. water howellia plants within since listing in 1994, and, most recently, Consistent, standardized monitoring has occurrences fluctuates widely. This is several occurrences have been not occurred across the range of the due, in part, to environmental documented in Oregon, where the species, making it difficult to document conditions of the preceding autumn, species was thought to be extirpated.

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which affect seed germination rates. would be necessary to support or refute howellia being transferred from private Nevertheless, based on the discovery of this hypothesis. ownership to State or Federal many new occurrences and few recent ownership, which provides greater Conservation Efforts extirpations of existing occurrences, protections. Lastly, research specific to population trends for the species appear Here, we provide a summary of water howellia has increased our to be stable. progress made on the draft recovery understanding of the biology and Genetic variation among water criteria for water howellia. More ecology of the species. howellia occurrences is low. detailed information related to Below are the recovery criteria as Occurrences in California and Montana conservation efforts can be found below described in the draft recovery plan and are genetically similar; however, under Summary of Factors Affecting the the progress made to date in occurrences in Idaho and Washington Species. A recovery plan for water implementing each. are more distantly related (Schierenbeck howellia was drafted in 1996; to date, 1. Recovery criterion: Management and Phipps 2010, p. 5). These data the plan has not been finalized (USFWS practices, in accordance with habitat suggest that gene flow is occurring 1996, entire). The draft plan includes management plans, have reduced and/or between occurrences separated by large objective, measureable criteria for controlled anthropogenic threats, geographic distances, albeit at a delisting; however, the plan is dated thereby maintaining the species and its relatively low rate. A correlation and may no longer reflect the best habitat integrity throughout the between migratory waterfowl routes scientific information available for currently known range on public lands with either genetic similarity or distance water howellia. Since 1994, monitoring in five geographic areas for 10 years indicates that waterfowl may be has resulted in additional occurrences after the effective date of the final transporting seed or plant material being documented in all five States, recovery plan (when finalized). between water howellia population including Oregon, where the species Monitoring will demonstrate the areas (Schierenbeck and Phipps 2010, was thought to be extirpated. effectiveness of management plans. pp. 6–7). A more robust sampling and Additionally, significant exchanges of Management plans will be in place for, genetic analysis of water howellia land have occurred in Montana, at a minimum, the occurrences listed in occurrences across the species’ range resulting in ponds occupied by water the following table:

TABLE OF FORMALIZED MANAGEMENT PLANS PER GEOGRAPHIC AREA

Minimum number Current number of occurrences of occurrences Years Geographic area identified in covered by management draft recovery management plans in place plan plans

Montana ...... 67 191 20 Spokane County, Washington ...... 33 37 10 Pierce County, Washington ...... 5 19 14 Clark County, Washington ...... 4 4 7 Mendocino County, California ...... 5 7 22

Progress: Despite the recovery plan on lands not addressed by agency developed, but to date that has not yet not being finalized, management plans management plans. Specifically, this been completed (Trujillo 2017, pers. are in place on public lands for the recovery criterion recommends long- comm.). The Service is unaware of any minimum number of occurrences term conservation measures for the information regarding additional efforts identified in the table above. occurrence in Latah County, Idaho. to protect water howellia occurrences Monitoring indicates management Progress: Long-term conservation on private land in other parts of the plans have been effective at maintaining measures for water howellia have been species’ range. the minimum number of occurrences by established through land transfers, 3. Recovery criterion: A post-delisting reducing or eliminating anthropogenic conservation easements, and strategy for monitoring the species’ threats associated with land management plans on some private population dynamics is in place. management activities (e.g., timber lands. In Montana’s Swan Valley, large- Progress: We have developed a draft harvest, road construction, and scale land transfers (67,000 acres (ac) post-delisting monitoring plan in maintenance) and other threats (e.g., (27,000 hectares (ha)) for the benefit of cooperation with the States and Federal invasive species). Prior to formalized many species have occurred, and land land management partners. The draft management plans, some conservation supporting known water howellia post-delisting monitoring plan is efforts were occurring on Federal, State, occurrences have been transferred from available for public review on http:// and some private land. In addition, private to Federal ownership. These www.regulations.gov under Docket No. survey efforts have documented occurrences are now protected under FWS–R6–ES–2018–0045. substantially more occurrences of water Federal agency management plans and Additionally, the 5-year review howellia range wide than were known conservation strategies. Additionally, recommended development of a at the time of listing (Mincemoyer 2005, one occurrence located on private land memorandum of understanding (MOU) pp. 4–5; Frymire 2017, pers. comm.; in Latah County, Idaho, is protected with the USFS and USDOD to ensure Gilbert 2017, pers. comm.; Johnson under a conservation agreement, held in the continuation of existing 2017, pers. comm.; Lichthardt and Pekas perpetuity by the Palouse Land Trust. In conservation measures currently 2017, p. 1; ORBIC 2017, unpaginated; the 5-year review (USFWS 2013, p. 6), benefitting water howellia. Although a Rule 2017, pers. comm.). it was noted that, in addition to the formal MOU has not been developed, 2. Recovery criterion: Foster or conservation agreement, a management both agencies have specific conservation promote the conservation of occurrences plan for this occurrence was being strategies in place (for specific

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conservation strategies, see discussion can be made for the species. This time threatened species under the Act. The of land management effects under A. period includes multiple generations of following analysis examines the five The Present or Threatened Destruction, water howellia. Additionally, various factors currently affecting water Modification, or Curtailment of Its global climate models and emission howellia, or that are likely to affect it Habitat or Range, below). scenarios provide consistent predictions within the foreseeable future. within that timeframe (IPCC 2014, p. Summary of Factors Affecting the A. The Present or Threatened 11). We consider 30 years a relatively Species Destruction, Modification, or conservative timeframe in view of the Curtailment of Its Habitat or Range Section 4 of the Act and its long-term protections in place for 84 implementing regulations (50 CFR part percent of the species’ occupied habitat Factor A requires the Service to 424) set forth the procedures for listing occurring on Federal land. consider present or threatened species, reclassifying species, or A recovered species has had threats destruction, modification, or removing species from listed status. removed or reduced to the point that it curtailment of water howellia habitat or ‘‘Species’’ is defined by the Act as no longer meets the Act’s definition of range. The following potential threats including any species or subspecies of endangered or threatened. A species is were identified for this species at the fish or wildlife or plants, and any ‘‘endangered’’ for purposes of the Act if time of listing: (1) Invasive species, (2) distinct vertebrate population segment it is in danger of extinction throughout land management (primarily timber of fish or wildlife that interbreeds when all or a significant portion of its range harvest and road building), (3) mature (16 U.S.C. 1532(16)). A species and is ‘‘threatened’’ if it is likely to trampling by domestic livestock, (4) may be determined to be an endangered become endangered within the direct habitat loss from urbanization or or threatened species due to one or more foreseeable future throughout all or a dam construction, and (5) the narrow of the five factors described in section significant portion of its range. For the ecological requirements of the species 4(a)(1) of the Act: (A) The present or purposes of this analysis, we will (59 FR 35860; July 14, 1994). In the threatened destruction, modification, or evaluate whether or not the currently analysis that follows, we also curtailment of its habitat or range; (B) listed species, water howellia, should considered climate change in the overutilization for commercial, continue to be listed as threatened, context of narrow ecological recreational, scientific, or educational based on the best scientific and requirements. An assessment of threats purposes; (C) disease or predation; (D) commercial information available. (1) through (4) follows; the narrow the inadequacy of existing regulatory In considering what factors might ecological requirements of the species mechanisms; or (E) other natural or constitute threats, we must look beyond and climate change are discussed under manmade factors affecting its continued the exposure of the species to a Factor E, below. existence. We must consider these same particular factor to evaluate whether the Invasive Species five factors in delisting a species. For species may respond to the factor in a species that are already listed as way that causes actual impacts to the In the 1994 final listing rule (59 FR endangered or threatened species, this species. If there is exposure to a factor 35860, July 14, 1994), invasive plant analysis of threats is an evaluation of and the species responds negatively, the species were identified as a threat to both the threats currently facing the factor may be a threat, and during the water howellia in habitats where they species and the threats that are five-factor threats analysis, we will overlap. Invasive species, such as reed reasonably likely to affect the species in attempt to determine the significance of canarygrass (Phalaris arundinacea) and the foreseeable future following the the threat. The threat is significant if it sweet flag (Acorus calamus), were removal of the Act’s protections. We drives or contributes to the risk of identified to have the capacity to may delist a species according to 50 extinction of the species such that the outcompete water howellia, presumably CFR 424.11(d) if the best available species warrants listing as endangered for nutrients and space, effectively scientific and commercial data indicate or threatened as those terms are defined excluding water howellia from that the species is neither endangered by the Act. However, the identification historically occupied water bodies nor threatened for the following reasons: of factors that could affect a species (Lesica 1997, p. 367). P. arundinacea (1) The species is extinct; (2) the species negatively may not be sufficient to was specifically identified as having the has recovered and is no longer justify a finding that the species potential to extirpate water howellia endangered or threatened; and/or (3) the warrants listing or should remain listed. occurrences (59 FR 35860; July 14, original scientific data used at the time The information must include evidence 1994), and as a result, we focus our the species was classified were in error. sufficient to suggest that the potential analysis on this species. We are not Water howellia is currently listed as threat is likely to materialize and that it aware of any information indicating threatened. Section 3(20) of the Act has the capacity (sufficient magnitude potentially significant negative impacts defines a ‘‘threatened species’’ as ‘‘any and extent) to affect the species’ status to water howellia from any other species which is likely to become an such that it meets the definition of invasive species. endangered species within the endangered or threatened under the Act. P. arundinacea is present in water foreseeable future throughout all or a This determination does not necessarily howellia habitat in all States, except significant portion of its range’’ (16 require empirical proof of a threat. The California (Johnson 2017, per. comm.), U.S.C. 1532(20)). We consider combination of exposure and some but the extent of invasion varies by site ‘‘foreseeable future’’ to be that period of corroborating evidence of how the (Gilbert 2017, pers. comm.; Rule 2017, time within which a reliable prediction species is likely impacted could suffice. pers. comm.; Shelly 2017, pers. comm.; can be reasonably relied upon in making The mere identification of factors that Lesica 1997, pp. 367–368). Abundance a determination about the future could impact a species negatively is not of P. arundinacea in ponds occupied by conservation status of a species, as sufficient to compel a finding that a water howellia on Lewis-McChord and described on January 16, 2009, listing action is appropriate; we require the Turnbull Refuge has fluctuated Solicitor’s opinion, and number M– evidence that these factors are operative through time, with no definitive long- 37021 (DOI 2009, entire). We consider threats that act on the species to the term trend, based on personal 30 years to be a reasonable period of point that the species meets the observation and long-term monitoring time within which reliable predictions definition of an endangered species or (Gilbert 2017, pers. comm.; Rule 2017,

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pers. comm.). In Montana, P. arundinacea appeared to vary more and Woessner 2004, pp. 10, 15). arundinacea exhibited a slight upward with fluctuating environmental However, more recent evidence trend in presence and abundance from conditions than with the presence of indicates that effects from land long-term monitoring in 1998–2007 suppression effort (Lichthardt and Gray management activities are no longer a (USFS 2010, pp. 1–2), but increased 2010, p. 9). No suppression efforts to threat to the species. distribution has not been detected control or eradicate P. arundinacea on Most land management activities that recently (Shelly 2017, pers. comm.). In the Turnbull Refuge in Washington are could disturb vegetation surrounding Idaho, monitoring efforts have not currently underway; the species is water howellia occurrences on State and detected any decreases in pond size, present, but trends indicate variability Federal land are now prohibited. For which may act as a surrogate for P. in abundance with fluctuating example, land management activities arundinacea colonization; however, environmental conditions (Rule 2009, that could disturb vegetation within 300 detailed monitoring of P. arundinacea 2013a, 2017, pers. comm.). No ft (91 m) of water howellia occurrences has not been conducted (Lichthardt and suppression efforts of P. arundinacea on USFS lands in Montana and Pekas 2017, p. 6). Little is known about have been attempted in Montana. California are typically not allowed the extent of P. arundinacea invasion A. calamus was identified by the State because of standards and guidelines to with regard to the extent of occurrences of Idaho as an invasive species that may protect the plant included in USFS in Oregon. be displacing water howellia at one Forest Plans (USFS 1995, p. IV–32; The mechanisms driving invasive location (Idaho Department of Fish and USFS 1997, p. 17; Johnson 2013, pers. potential of P. arundinacea within Game (IDFG) 2016, p. 3). Monitoring at comm.). Limited activities (including water howellia habitats are unclear. The this location has been ongoing since prescribed fire) may be allowed within invasive potential may be due to some 1999, and water howellia has not been the 300-ft (91-m) buffer, but only if sites being occupied by a native observed since 2001 (Lichthardt and needed to maintain the integrity of the genotype of P. arundinacea and other Pekas 2017, p. 2). However, we are buffer (USFS 1997, p. 17; Johnson 2013, sites being occupied by a highly unaware of any other water howellia pers. comm.). As a result of these invasive variety (Lichthardt and Pekas occurrences being affected by A. actions, abundance and distribution of 2017, p. 8; Wiechmann 2014a, p. 31). calamus. As a result, A. calamus is water howellia have remained stable in Density of P. arundinacea is a better unlikely to become a threat to water Montana’s Swan Valley from 1978 to determinant of impact to water howellia howellia. 2014 (Pipp 2017, p. 14). The Flathead occurrences than presence alone Invasive plants can be aggressive and National Forest (FNF) in Montana (Wiechmann 2014a, pp. 31, 34, 38). quickly displace natives in some developed a conservation strategy for Additionally, P. arundinacea was found situations. While there are some small water howellia on USFS lands in 1994, to be dominant at shallower water sites that may have been completely or and a second edition was finalized in depths and water howellia dominant at partially overtaken by invasive plants, 1997 (USFS 1997, entire). Additionally, deeper depths, suggesting that water water howellia metapopulations appear the FNF amended their Land and howellia is occupying a niche that P. to be holding their own in the face of Resource Management Plan (LRMP) in arundinacea may be unable to occupy invasive species. This conclusion is 1996, to provide measures specific to (Wiechmann 2014a, p. 32). reinforced by P. arundinacea coexisting the conservation and recovery of water Mechanical and chemical treatment with extant water howellia occurrences; howellia (USFS 1996, entire). On State efforts to decrease the abundance and large-scale displacement of water land in Montana, clear-cutting of timber distribution of P. arundinacea have howellia by P. arundinaceae is not and burning are prohibited within largely been successful across the range occurring in any of the metapopulations defined buffers surrounding of water howellia (TNC 2006, p. 65; (Swan Valley, MT; Turnbull Refuge and waterbodies (Montana Code Annotated, Gilbert 2008, 2013, pers. comm.; Lewis-McChord, Washington), even in p. 1). In Washington, wetlands Lichthardt and Gray 2010, pp. 9, 14; the absence of suppression efforts. containing water howellia on the Johnson 2011, pers. comm.). In Given the absence of displacement of Turnbull Refuge are buffered by the California, mechanical treatment has water howellia by P. arundinacea distance from mechanical thinning and limited the spread of P. arundinacea in within the three metapopulations of prescribed fire used in treating conifer ponds and wetlands adjacent to water water howellia, and the success of encroachment (Rule 2009, pers. comm.). howellia occurrences, and chemical existing suppression efforts where they Timber harvest and prescribed fire were treatment is further reducing the size of have been applied, we do not consider not identified as potential threats to P. arundinacea patches (Johnson 2011, P. arundinacea to be a significant threat other water howellia occurrences in 2017, pers. comm.). Similarly, to water howellia. We are also unaware Washington (USDOD 2006, entire; consistent suppression of P. of any information indicating that any USDOD 2012, entire; USDOD 2017a, arundinacea at Lewis-McChord in other invasive species likely pose a entire; Anderson 2013, pers. comm.; Washington has reduced patch sizes of threat to water howellia. Gilbert 2013, 2017, pers. comm.), or P. arundinacea in the past (TNC 2006, occurrences in Oregon or Idaho (Currin Land Management Activities p. 65; Engler 2008, pers. comm.; Gilbert 2013, pers. comm.; USFWS 2009, entire; 2008, pers. comm.). Currently, no Land management activities that IDFG 2016, entire). suppression efforts are underway at cause disturbance to vegetation Some disturbance of vegetation Lewis-McChord, due to little change in surrounding water howellia occurrences surrounding water howellia occurrences P. arundinacea distribution and the risk were identified as a threat to the species from land management activities of harming water howellia plants in the in the 1994 final listing rule (59 FR occurred historically, prior to existing process (Gilbert 2017, pers. comm.). In 35860; July 14, 1994). Previous guidelines and standards in Federal Idaho, the success of suppression efforts modeling efforts suggested that these land management plans. For example, to limit abundance and distribution of activities, singularly or in combination, in Montana’s Swan Valley, historical P. arundinacea were mixed (Lichthardt could result in a loss of vegetation at the disturbances caused from land and Gray 2010, p. 9). However, once pond fringe, disrupting the hydrological management activities (e.g., timber suppression efforts were stopped, cycle and negatively impacting the harvest, thinning, prescribed fire, road distribution and abundance of P. phenology of water howellia (Reeves building, and grazing) have occurred in

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vegetated buffers surrounding many of entire; USDOD 2012, entire; USDOD years have concluded that despite some the existing water howellia occurrences 2017a, entire; USFWS 2007, entire; grazing in occupied habitat, the (Pipp 2017, p. 6). However, 79 percent USFWS 2010; entire; Anderson 2013, presence of water howellia has not been of existing water howellia occurrences pers. comm.; Currin 2013, pers. comm.). affected (Pipp 2017, p. 17). in the Swan Valley have experienced at Land management activities (e.g., Although no causal link was made least one historical disturbance event in timber harvest, thinning, road building, between grazing levels and the the surrounding vegetation and are still grazing, and prescribed fire) that disturb probability of water howellia presence present, suggesting some tolerance of vegetation surrounding water howellia in the Pipp (2017) analysis, it appears water howellia to buffer disturbance. In occurrences were once considered a that management actions implemented addition, abundance or distribution of threat to the species. However, most concurrently with grazing have water howellia in the Swan Valley has land management activities that have provided protections to water howellia remained stable, despite these historical the potential to disturb surrounding habitat and allowed the species to be disturbances from land management vegetation are prohibited by land conserved in Montana’s Swan Valley activities (Pipp 2017, p. 14). Further, management plans or other Federal or (Pipp 2017, p. 17). In California, specific despite experiencing a stand-replacing State policy. Some of these prohibitions grazing regimes near five occupied fire in 2003, water howellia occurrences were put in place a result of the species ponds within an active grazing occurring in the Crazy Horse area of the being listed, but will remain in effect for allotment on National Forest land Swan Valley continue to persist; buffer the duration of the land management appear to be effective; monitoring vegetation appears to have recovered, plan or other policy, even if the species indicates no effects to water howellia and hydrology is adequately functioning is delisted. Where disturbance of occurrences from livestock trampling (Pipp 2017, pp. 14–15). vegetation from land management (Johnson 2013, pers. comm.). Two other activities has occurred, water howellia water howellia occurrences in California The effects of historic road building has shown some tolerance for are within inactive grazing allotments, within vegetated buffers surrounding disturbance and no downward trend in where livestock are not currently water howellia occurrences have largely abundance or distribution. Given that present and not expected to be present been mitigated on Federal and State all three metapopulations currently in the future (Johnson 2013, 2017, pers. lands. Guidance established in the FNF have conservation measures in place to comm.). Trampling is not reported as a LRMP and FNF conservation strategy for avoid vegetative buffer disturbance from threat in Washington, Idaho, or Oregon water howellia have resulted in the land management activities and that (USDOD 2006, entire; USDOD 2017a, stabilization of roads to reduce water howellia has shown some entire; USFWS 2007, entire; USFWS sedimentation where they exist within tolerance to disturbance when it occurs, 2010, entire; Currin 2013, pers. comm.; 300 ft (91 m) of water howellia ponds we do not consider land management IDFG 2016, entire). It is unknown where in Montana (USFS 2001, p. II–46; USFS activities to be a significant threat to grazing may occur on the 37 1997, p. 18). No effects of historic roads water howellia. occurrences on private property. occurring within vegetated buffers on Therefore, the extent of trampling and Trampling by Domestic Livestock water howellia in the Swan Valley were other livestock-related alterations to found in a recent analysis (Pipp 2017, Trampling of water howellia by water howellia habitat on these private p. 16). Similarly, in California, small domestic livestock was cited as a threat lands is unknown. However, potential spur roads are being closed and in the 1994 final listing rule for the trampling effects from livestock on hydrologically stabilized in areas species (59 FR 35860; July 14, 1994). Federal and State land have been largely occupied by water howellia on the Direct effects of plant crushing, seed mitigated. Mendocino National Forest (MNF) to bank disturbance, and alterations to Trampling of water howellia by minimize anthropogenic contribution to substrate are likely to occur when domestic livestock is not a threat to the landscape instability per direction in livestock enter and exit ponds and species on Federal or State land at the MNF LRMP (USFS 1995, p. III–26; wetlands. In addition, increased current grazing levels because of Johnson 2008, pers. comm.). These nutrient loading may be an indirect mitigation measures being conservation measures appear to be effect of livestock occupancy in and implemented, including riparian working in California, as all seven near water howellia habitat. Many water fencing, cattle guards, and timely known occurrences of water howellia howellia occurrences are within habitats removal or relocation of livestock from are still extant. In Idaho, the Idaho actively used by livestock. However, the the sensitive pond and wetland habitats. Transportation Department (ITD) is to level of livestock-caused disturbance We have no information indicating avoid adverse effects to wetlands during that water howellia can withstand is not levels of livestock use (and thus project implementation, and a Best known and likely varies with site- potential trampling) will increase Management Practices Manual identifies specific conditions, as well as timing, beyond current levels in the future. The measures to minimize any potential severity, and duration of cattle use of severity and frequency of trampling of effects during project implementation occupied water howellia habitat. water howellia occurrences on private (ITD 2014, entire; ITD 2017, p. 1). The The effects of trampling on water land are unknown, but as significantly State of Idaho identified two water howellia occurrences on Federal and fewer water howellia occurrences are howellia occurrences within 98 ft (30 m) State land have largely been mitigated known from private lands, these of an established highway and with fencing, cattle barricades, impacts are likely not significant at the expressed concern about indirect effects elimination of grazing in some areas species level. We conclude, based on of road work resulting in sedimentation occupied by water howellia, or the available information, that trampling and, of less concern, potential removal limitations on the duration of time by domestic livestock is not a significant of shade (IDFG 2016, p. 4). However, we livestock have access to sensitive pond threat to water howellia. have no information of any potential and wetland habitats (USFS 2002, p. 6; effects that road work may pose to this Mincemoyer 2005, p. 11; Johnson 2008, Habitat Loss From Urbanization and population. Roads were not cited as a 2013, pers. comm.; Frymire 2017, Dam Construction threat to water howellia occurrences in pers.comm.). In Montana, analyses of Habitat loss from urbanization and Washington or Oregon (USDOD 2006, monitoring data spanning nearly 30 dam construction occurred historically,

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particularly in Oregon, and was In sum, habitat loss from urbanization that have conservation strategies in considered a threat to water howellia at and dam construction occurred place. Therefore, neither urbanization the time of listing in 1994. However, historically, particularly in Oregon, but nor dam construction is a threat to water additional habitat loss from is no longer considered a significant howellia. urbanization and dam construction is no threat. In Oregon, recent new • Limited information is available longer a threat to the species because discoveries of water howellia suggest regarding the 37 occurrences (12 percent conservation strategies implemented that the species has been able to remain of known occurrences) that occur on following listing and increased Federal extant on the landscape where it was private property. Due to the low number ownership now provide additional once considered extirpated. In areas of occurrences on private land relative protections (see Conservation Efforts, surrounding the extant, larger to Federal and State land, impacts are above). metapopulations, habitat loss from likely, not significant at the species Direct habitat loss from urbanization urbanization and dam construction is level. and dam construction occurred along not considered a threat to the species Therefore, based on the available the Columbia River in Oregon, and because of conservation strategies and information, we do not consider there to water howellia was thought to be land transfers implemented in Montana be any significant threats related to the extirpated from that area prior to 2015 (USFS) and Washington (USDOD and present or threatened destruction, (USFWS 2017, entire; Norman 2010, USFWS). Further, known habitat in modification, or curtailment of habitat pers. comm.). However, since then, two California is largely within USFS lands, or range of water howellia. occurrences of water howellia have been including designated wilderness; thus, B. Overutilization for Commercial, located in the Portland, Oregon, metro there is no significant threat of habitat Recreational, Scientific, or Educational area (ORBIC 2017, unpaginated). loss from urbanization or dam Purposes Most of the water howellia construction in California. occurrences on corporate or private Overutilization, for any purpose, was lands in Montana were previously Summary of Factor A not considered a threat in the final rule owned by Plum Creek Timber. In 2007, The following stressors warranted to list water howellia (59 FR 35860; July approximately 67,000 ac (27,000 ha) of consideration as possible current or 14, 1994). We are not aware of any Plum Creek land in the Swan Valley future threats to water howellia under current utilization of water howellia for were sold to The Nature Conservancy Factor A: Invasive species, land commercial, recreational, scientific, or (TNC) and Trust for Public Land; management activities, trampling by educational purposes. Regarding future ownership was then transferred to either domestic livestock, and direct habitat utilization, interest has been expressed the USFS or the State of Montana (Swan loss from urbanization or dam by the Valencia Wetland Mitigation Valley Connections 2017, entire). The construction (59 FR 35860; July 14, Bank in Priest River, Idaho, to collect 47 water howellia occurrences and 1994). However, these stressors have not seed via soil plugs from vigorous water potential habitat that were formerly on occurred to the extent anticipated at the howellia occurrences for use in Plum Creek land are now protected from time of listing in 1994, or the stressors establishing new occurrences where urbanization through either the FNF are being adequately managed, or the appropriate habitat exists (Wiechmann LRMP (USFS 1997, entire) or State species is tolerant of the stressor as 2014b, entire). Initially, a harvest of 5 to agency direction for managing described below. 7 soil plugs from other Idaho timberlands (DNRC 1996, p. 1). The FNF • Suppression efforts directed at P. occurrences has been proposed. It is LRMP mandates avoidance of arundinacea have resulted in some unclear how ‘‘vigorous’’ populations disturbance, including urbanization, in success. Furthermore, water howellia have been defined in this context, forested buffers of a minimum of 300 ft occupies a habitat niche that P. although any proposed collection of soil (91 m) from water howellia occurrences. arundinacea appears unable to tolerate. plugs would have to be permitted by the The State of Montana manages its Consequently, water howellia Service, assuming a Federal nexus. The timberlands for long-term revenue and occurrences are not currently being proposed project would be beneficial if biodiversity (DNRC 1996, p. 2) and not displaced by P. arundinacea and we it created another occurrence of water for short-term revenue from selling have no data to suggest that they are howellia in northern Idaho or had timbered State lands and the potential being displaced by other invasive educational value. We are not aware of urbanization that may follow. species. any other current or future plans for It is unknown if historical habitat loss • Land management plans and utilization of the species. Therefore, occurred in California; however, most conservation management strategies based on the available information, we known occurrences of water howellia have been adopted by Federal and State find that there are no significant threats are within USFS lands, including some agencies to mitigate the effects of land to water howellia related to within designated wilderness areas management activities on water overutilization for commercial, (Johnson 2013, pers. comm.). Therefore, howellia and are in place for all three recreational, scientific, or educational no current or future threat of habitat loss metapopulations. These plans vary in purposes. from urbanization is expected because duration, but are mandated by Federal C. Disease or Predation any disturbance of vegetated buffers and State law and are expected to surrounding water howellia ponds is continue to provide protections to water Predation (herbivory) on water prohibited under the LRMP unless it is howellia habitat into the future, even if howellia by domestic livestock was necessary to promote natural ecological the species is delisted. considered a threat in the final rule to and hydrological function (USFS 1995, • The installation of riparian fencing list the species (59 FR 35860; July 14, pp. IV–19, 35). It is unknown how and cattle barricades and the 1994). As described in more detail urbanization has affected the 37 water implementation of specific grazing above under the Factor A discussion, howellia occurrences on private land, routines have effectively mitigated the grazing is limited within the species’ but because there are significantly fewer effects of trampling on water howellia. habitat, and the persistence of water occurrences known from private lands, • The extant metapopulations, as well howellia in ponds accessible to these impacts are likely not significant as most occurrences in California, are livestock in the Swan Valley at the species level. largely managed by Federal agencies metapopulation has not been affected

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(Pipp 2017, p. 17). As a result, we 1994, we did mention the very limited Although there are no data directly conclude that predation does not affect number of protections that existed for linking the Food Security Act and water the species throughout its range at the the species (59 FR 35860, July 14, 1994, howellia, historically, it has been population or species level. We have no see p. 59 FR 35862). Specifically, we demonstrated that the Food Security Act information suggesting levels of discussed the designation of water has had positive impacts on wetland livestock grazing will increase in the howellia as a sensitive species by the function (Gleason et al. 2011, p. S65). future. We are not aware of any issues USFS and referred to wetland protection Although the future of the Food or potential stressors regarding disease measures provided under section 404 of Security Act in its current form is or insect predation. Therefore, based on the Federal Clean Water Act (33 U.S.C. uncertain, any protections afforded to the available information, we do not 1251 et seq.), Food Security Act (16 wetlands would infer benefit to water consider there to be any significant U.S.C. 3801 et seq.), and some State howellia should the species be present. threats to water howellia from disease or laws. National Environmental Policy Act predation. I. Federal Environmental review of potential D. The Inadequacy of Existing Clean Water Act effects of Federal actions is mandated Regulatory Mechanisms under the National Environmental Under this factor, we examine The Clean Water Act (CWA) was Policy Act (NEPA; 42 U.S.C. 4321 et whether existing regulatory mechanisms designed, in part, to protect surface seq.). When NEPA analysis reveals are inadequate to address the threats to waters of the United States from significant environmental effects, the water howellia discussed under other unregulated pollution from point Federal agencies must disclose those factors. Section 4(b)(1)(A) of the Act sources. The CWA provides some effects to the public and consider requires the Service to take into account benefit to water howellia through the mitigation that could offset the effects. ‘‘those efforts, if any, being made by any regulation of discharge into surface These mitigations usually provide some State or foreign nation, or any political waters through a permitting process; protections for listed species. However, subdivision of a State or foreign nation, however, the historical threats to water the NEPA does not require that adverse to protect such species.’’ In relation to howellia habitat have not typically been impacts be mitigated, only disclosed. Factor D under the Act, we interpret this associated with point sources of Therefore, it is unclear what level of language to require us to consider pollution, and current information does protection would be conveyed to water relevant Federal, State, and Tribal laws, not point to these as threats for howellia through NEPA, in the absence regulations, and other such mechanisms occurrences today. of protections under the Act. that may minimize any of the threats we Under section 404 of the CWA, the National Forest Management Act describe in the threats analyses under U.S. Army Corps of Engineers (USACE) the other four factors or otherwise regulates the discharge of fill material Federal activities on USFS lands are enhance conservation of the species. We into waters of the United States, subject to the National Forest give the strongest weight to statutes and including wetlands. In general, the term Management Act of 1976 (NFMA; 16 their implementing regulations and to ‘‘wetland’’ refers to areas meeting the U.S.C. 1600 et seq.). The NFMA requires management direction that stems from USACE’s criteria of hydric soils, the development and implementation of those laws and regulations; an example hydrology (either sufficient annual resource management plans that guide would be State governmental actions flooding or water on the soil surface), the maintenance of ecological enforced under a State statute or and hydrophytic vegetation (plants conditions that support natural constitution or Federal action under the specifically adapted for growing in distributions and abundance of species statute. wetlands). Some habitat occupied by and not contribute to their extirpation. For currently listed species, we water howellia is considered isolated Water howellia is given consideration consider the adequacy of existing waters under the CWA. As a result of as a federally listed species by Federal regulatory mechanisms to address various Supreme Court decisions, the agencies, and, if delisted, it would likely threats to the species absent the CWA jurisdiction over isolated waters continue to be included on the sensitive protections of the Act. Therefore, we has been uncertain and generally species list for the USFS, as it was at the examine whether other regulatory determined case-by-case. Further, time of listing (59 FR 35860; July 14, mechanisms would remain in place if federal agencies are currently 1994). Under the 2012 National Forest the species were delisted, and the extent considering removing isolated waters System land planning rule (77 FR to which those mechanisms will from CWA jurisdiction (82 FR 34899; 21162; April 9, 2012), the status given continue to help ensure that future July 27, 2017). Thus, the extent of water is ‘‘species of conservation concern,’’ threats will be reduced or eliminated. howellia receiving the protections of the and direction is given to provide In our discussion under Factors A, B, CWA now and in the future is ecological conditions necessary to C, and E, we evaluate the significance of uncertain. However, the protections of maintain viable populations of species threats as mitigated by any conservation the CWA to water howellia habitat that of conservation concern (Hayward et al. efforts and existing regulatory is under CWA jurisdiction are expected 2016, p. 8). Currently, the FNF in mechanisms. Where threats exist, we to remain, without the provisions of the Montana is in the process of revising analyze the extent to which Act. their LRMP, and the MNF in California conservation measures and existing anticipates revising their plan in the Food Security Act regulatory mechanisms address the near future. The USFS anticipates that specific threats to the species. The Food Security Act was designed, water howellia will be given the status Regulatory mechanisms, if they exist, in part, to protect wetlands by removing of ‘‘species of conservation concern’’ in may reduce or eliminate the impacts incentives for farmers to convert both plans, even if the species is from one or more identified threats. wetlands into crop fields. The Food delisted (Shelley 2016, pers. comm.; Although inadequacy of existing Security Act likely provides some Johnson 2017, pers. comm.). Special regulatory mechanisms was not indirect protection of potential water status species policies (USFS manual, specifically identified as a threat to howellia habitats on private land, but section 2670, p. 4) detail the need to water howellia at the time of listing in not those on Federal or State land. conserve these species and the

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ecosystems on which they depend on Act (16 U.S.C. 670a et seq.). Protections wildlife, and plant resources and their using all methods and procedures for water howellia habitat in the INRMP habitats. necessary to improve the condition of include restrictions on motorized II. State these species and their habitats to a equipment and military training point where their special status activities in wetlands occupied by water Montana Streamside Management Zone recognition is no longer warranted. The howellia. In concert with the INRMP, Act FNF adopted a plan specific to guiding Lewis-McChord has developed an The Montana Streamside Management conservation of the known water Endangered Species Management Plan Zone Act (SMZ), in part, designates howellia occurrences on Federal land in for water howellia that establishes vegetated buffer strips around surface Montana, and guidance provided in the conservation goals, management waters, including wetlands adjacent to MNF LRMP has resulted in the use of prescriptions, and monitoring efforts streams (and thus potential water buffer strips to protect riparian species (USDOD 2012, entire). These howellia habitat), within the boundaries and function surrounding occupied protections would be expected to of timber harvest units in Montana. The ponds in California. Both the FNF plan continue in the absence of protections SMZ law covers Federal, State, and and MNF policy are expected to under the Act because the Sikes Act private commercial timber practices continue to be implemented if we delist mandates USDOD to conserve and (Montana Code Annotated 2009, p. 1). water howellia, based on discussions rehabilitate wildlife, fish, and game on The SMZ law specifically prohibits with the USFS (see Conservation Efforts military reservations. slash fill of wetlands, off-road vehicle and A. The Present or Threatened use, and clear cutting within 50 ft (15 Destruction, Modification, or National Wildlife Refuge System m) of water bodies (Administrative Curtailment of Its Habitat or Range, Improvement Act Rules of Montana 2007, p. 7). There are above). As directed by the National Wildlife no buffer strips designated for isolated Federal Land Policy and Management Refuge System Improvement Act (Pub. wetlands (those not adjacent to a Act L. 105–57, 16 U.S.C. 668dd), Refuge stream/river) under the SMZ and only managers have the authority and Similar to NFMA, the Federal Land voluntary restrictions on equipment responsibility to protect native travel through isolated wetlands. Policy and Management Act (43 U.S.C. ecosystems, fulfill the purposes for 1701 et seq.) applies to the Bureau of Although unclear, some water howellia which an individual refuge was occurrences in Montana’s Swan Valley Land Management (BLM) with regard to founded, and implement strategies to the conservation and use of public lands may occur in isolated wetlands. Thus, achieve the goals and objectives stated under their management. Water the direct loss of habitat or plants for a in management plans. For example, howellia is given consideration as a small number of occurrences from Turnbull Refuge (Spokane County, federally listed species by Federal timber harvest activities is a possibility Washington) includes extensive habitat agencies, and if delisted, would likely if water howellia plants occupy isolated for water howellia, including 35 known be included on the sensitive species list wetlands within a timber harvest unit. occupied sites. The National Wildlife for the BLM as it was at the time of However, audits of timber sale practices Refuge’s comprehensive conservation listing (59 FR 35860; July 14, 1994). conducted by interdisciplinary review plan (CCP) is a land management plan Special status species policies (BLM teams have consistently documented with a 15-year term that directs manual, section 6840, p. 37) detail the few violations of the SMZ law and need to conserve these species and the protection of these habitats and generally high compliance (>90%) with ecosystems on which they depend using identifies specific objectives relative to voluntary regulations in the recent past all methods and procedures which are research and monitoring, invasive (Montana DNRC 2016, entire). Thus, necessary to improve the condition of species management, and education while there is potential for water special status species and their habitat regarding water howellia (USFWS 2007, howellia habitat to be lost for to a point where their special status p. 2–22). Given the 15-year timeframe of occurrences in isolated wetlands, the recognition is no longer warranted. The CCPs, these protections would remain magnitude of the stressor appears small. one occurrence of water howellia in in place until 2022 regardless of water As State law, the protections of the SMZ Washington on BLM land makes the howellia Federal listing status. are expected to continue if we delist existence of the plant vulnerable to Ridgefield National Wildlife Refuge in water howellia. localized actions. However, application western Washington finalized a CCP in 2010, which included several Montana State Comprehensive Fish and of best management practices (BMPs) Wildlife Strategy consistent with resource management conservation strategies for water plan (RMP) direction appears to have howellia. These strategies included This conservation strategy identifies maintained this occurrence since 1993 allowing natural flood-up and various focus areas, community types, species, (Frymire 2017, pers. comm.). The methods (e.g., mechanical, biological, and inventory needs along with their implementation of BMPs is expected to chemical) for invasive species control conservation concerns and strategies in continue in the absence of protections (USFWS 2010, pp. 2–37, 2–54). Given Montana (Montana FWP 2005, p. 170). under the Act because the current RMP the 15-year timeframe of CCPs, The emphasis of the strategy is (which requires BMPs) will still be the protections outlined in the Ridgefield conserving a broad range of species and guiding land management document National Wildlife Refuge CCP for water habitats, not just game species and their into the future. howellia are expected to remain in place habitats. The Swan Valley (site of the until 2025 regardless of water howellia Montana water howellia Sikes Act Federal listing status. metapopulation) is designated a Water howellia occurrences and In addition to specific protections for ‘‘Terrestrial Conservation Focus Area in habitats on Federal military installations water howellia provided under CCPs, Greatest Need.’’ Multiple conservation (Lewis-McChord in Pierce County, the species is permanently protected by strategies include riparian area Washington) are managed under an the mission of all National Wildlife conservation, conservation easement INRMP (USDOD 2006, pp. 4–6; USDOD Refuges to manage their lands and planning, sustainable land management 2017, p. X–X) authorized by the Sikes waters for the conservation of fish, practices, and weed control

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partnerships. However, implementation regional government) to protect the only Scientific measurements spanning of these conservation actions is known occurrences of water howellia in several decades demonstrate that dependent on State wildlife grants— Oregon (Currin 2013, pers. comm.). changes in climate are occurring. In funds that have an uncertain future. For particular, warming of the climate III. Summary of Factor D this reason, it is unlikely these system is unequivocal, and many of the conservation strategies could be relied As discussed above and under the observed changes in the last 60 years are upon to protect the 14 ponds occupied other factors, conservation measures unprecedented over decades to by water howellia on State land in and existing regulatory mechanisms millennia (IPCC 2014, p. 2). The current Montana if we delist water howellia. (such as Federal and State land rate of climate change may be as fast as any extended warming period over the Washington Natural Heritage Plan management plans and conservation strategies) have minimized, and are past 65 million years and is projected to Washington State’s Natural Heritage continuing to minimize, the previously accelerate in the next 30 to 80 years Plan identifies priorities for preserving identified threats of invasive species, (National Research Council 2013, p. 5). natural diversity, including wetlands, in land management activities (primarily Thus, rapid climate change is adding to Washington State (Washington timber harvest and road building), other sources of extinction pressures, Department of Natural Resources (DNR) trampling by domestic livestock, and such as land use and invasive species, 2007, 2011, entire). The progressive direct habitat loss from urbanization or which will likely place extinction rates plan aids Washington DNR in dam construction to all three water in this era among just a handful of the conserving key habitats that are howellia metapopulations. As indicated severe biodiversity crises observed in currently imperiled or expected to be in above, we anticipate that the majority of Earth’s geological record (AAAS 2014, the future. The prioritization of these mechanisms will remain in place p. 7). conservation efforts provided by this regardless of the species’ Federal listing Examples of various other observed plan is expected to remain in place if we status. Consequently, we find that and projected changes in climate and delist water howellia; however, the conservation measures, along with associated effects and risks, and the effects of plan implementation on water existing regulatory mechanisms, are basis for them, are provided for global howellia would depend upon whether adequate to address these specific and regional scales in recent reports habitat for water howellia was part of a stressors. issued by the IPCC (2013c, 2014), and conservation effort. similar types of information for the E. Other Natural or Manmade Factors Washington Forest Practices Act United States and regions within it can Affecting Its Continued Existence be found in the National Climate Washington State’s Forest Practices Assessment (Melillo et al. 2014, entire). Act, and associated regulations and Factor E requires the Service to Results of scientific analyses rules, (Washington Annotated Code consider any other factors that may be presented by the IPCC show that most 2008, p. 30–3) provides protection of affecting water howellia. Under this of the observed increase in global wetlands from the fill and cutting that factor, we discuss: (1) The narrow average temperature since the mid-20th could result from commercial timber ecological requirements of the species in century cannot be explained by natural harvest operations. Minimum buffers of the context of climate change, (2) small variability in climate alone and is ‘‘very 25 ft (8 m) are designated around ponds population size/low genetic diversity, likely’’ (defined by the IPCC as 95 and wetlands inside timber sale and (3) the potential for cumulative percent or higher probability) due to the boundaries, effectively prohibiting most effects of stressors. observed increase in greenhouse gas harvest and all heavy equipment used in Narrow Ecological Requirements/ (GHG) concentrations in the atmosphere these areas. These buffers protect water Climate Change as a result of human activities, howellia habitat from disturbance and particularly carbon dioxide emissions minimize impacts to water quality. As Here we consider the narrow from fossil fuel use (IPCC 2014, pp. 47– State law, these protections are expected ecological requirements of water 48; see also Walsh et al. 2014, pp. 20– to remain in place if we delist water howellia in the context of observed or 24). Further confirmation of the role of howellia. projected changes in climate. The 1994 GHGs comes from analyses by Huber listing rule (59 FR 35860; July 14, 1994) and Knutti (2012, p. 31), who concluded Oregon Senate Bill (SB) 533/Oregon did not discuss the potential impacts of GHGs contributed 1.5 degrees Revised Statute (ORS) 564 climate change on water howellia. The Fahrenheit (0.85 degrees Celsius) of Oregon SB 533/ORS 564 requires non- terms ‘‘climate’’ and ‘‘climate change’’ warming since the mid-20th century Federal public agencies to protect State- are defined by the Intergovernmental and that it was extremely unlikely that listed plant species found on their lands Panel on Climate Change (IPCC). The internal variability contributed. (Oregon Revised Statute 2009, entire). term ‘‘climate’’ refers to the mean and Scientists use a variety of climate Any land action on Oregon non-Federal variability of relevant quantities (i.e., models, which include consideration of public lands which results, or might temperature, precipitation, wind) over natural processes and variability, as result, in the taking of an endangered or time, with 30 years being a typical well as various scenarios of potential threatened species requires consultation period for such measurements, although levels and timing of GHG emissions, to with the Oregon Department of shorter or longer periods also may be evaluate the causes of changes already Agriculture (ODA) staff. Removal of used (IPCC 2014, pp. 119–120). The observed and to project future changes Federal protections for water howellia term ‘‘climate change’’ thus refers to a in temperature and other climate would remove State protection of the change in the mean or variability of one conditions. Model results yield very species under this statute since water or more measures of climate (e.g., similar projections of average global howellia was never formally listed by temperature or precipitation) that warming until about 2030. Thereafter, ODA. However, protections are persists for an extended period, the magnitude and rate of warming vary expected to remain in place due to other typically decades or longer, whether the through the end of the century rare, sensitive plant species in the area change is due to internal processes or depending on the assumptions about inhabited by water howellia and the anthropogenic changes (IPCC 2014, p. population levels, emissions of GHGs, commitment of the Metro (Portland-area 120). and other factors that influence climate

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change. Thus, absent extremely rapid uncertainty, in our consideration of water howellia habitats. Specifically, stabilization of GHGs at a global level, various aspects of climate change. these habitats may fill earlier (with there is strong scientific support for As is the case with all stressors that heavier spring rainfall) and dry later in projections that warming will continue we assess, even if we conclude that a the season than they did historically, through the 21st century, and that the species is currently affected or is likely thereby reducing the timing window for magnitude and rate of change will be to be affected in a negative way by one air exposure needed for seed influenced substantially by human or more climate-related impacts, it does germination of water howellia in late actions regarding GHG emissions (IPCC not necessarily follow that the species summer and autumn. 2013b, 2014; entire). meets the definition of an ‘‘endangered Alternatively, a potential decrease in Global climate projections are species’’ or a ‘‘threatened species’’ precipitation as a result of climate informative, and in some cases, the only under the Act. If a species is listed as change also may affect water howellia in or the best scientific information endangered or threatened, knowledge several ways. Decreases in precipitation available for us to use. However, regarding the vulnerability of the may result in water levels that are too projected changes in climate and related species to, and known or anticipated low to support the submergent flower impacts can vary substantially across impacts from, climate-associated production. Additionally, earlier and within different regions of the changes in environmental conditions drawdowns and the faster receding of world (e.g., IPCC 2013c, 2014; entire) can be used to help devise appropriate water in these wetlands as a result of and within the United States (Melillo et strategies for its recovery. decreased precipitation may ultimately al. 2014, entire). Therefore, we use Climate change trends predicted for limit the continued persistence of ‘‘downscaled’’ projections when they the Pacific Northwest (Oregon, ephemeral ponds. This could provide an are available and have been developed Washington, Idaho, and Montana) opportunity for expansion of P. broadly consist of an increase in annual through appropriate scientific arundinacea and other invasive species. average temperature; an increase in procedures, because such projections On the other hand, amplified drying extreme precipitation events; and, with provide higher resolution information may allow for increased germination less certainty, variability in annual that is more relevant to spatial scales and expansion of water howellia. precipitation (Dalton et al. 2013, pp. 31– used for analyses of a given species (see Another scenario of decreased 38, Figure 1.1; Snover et al. 2013, pp. 5– Glick et al. 2011, pp. 58–61, for a precipitation is that the hydrological 1–5–4). Lee et al. (2015) describe discussion of downscaling). cycles could be altered in a way that potential hydrological changes in would favor water howellia. Ponds that Various changes in climate may have response to predicted climate change on were previously perennial could direct or indirect effects on species. montane wetlands in the Pacific potentially become ephemeral in nature, These may be positive, neutral, or Northwest. These observations appear to providing the wetting and drying cycle negative, and they may change over vary with local conditions and include necessary for water howellia time, depending on the species and earlier drawdown, more rapid drying reproduction and, consequently, other relevant considerations, such as out in the summer, and reduced additional habitat for the species to interactions of climate with other minimum water levels. We do not have occupy. Again, the site-specific variables like habitat fragmentation a clear understanding of how water conditions for each habitat would be an (IPCC 2014, p. 67; for additional howellia responds to a diversity of important factor. examples, see Franco et al. 2006; temperature and precipitation changes, Changes in precipitation from snow to Forister et al. 2010; Galbraith et al. although the species has persisted in rain may also affect water howellia, 2014; Chen et al. 2011; Bertelsmeier et spite of rising temperatures and particularly in the southernmost al. 2013, entire). Identifying likely increasing variability in precipitation occurrences (e.g., California) (California effects often involves aspects of climate across its range over the past several DWR 2013, p. 22). More precipitation change vulnerability analysis. decades (Shelly et al. 2016, entire). falling as rain rather than snow would Vulnerability to climate change has A potential increase in precipitation likely alter the hydrologic cycle within three principle components: Sensitivity, as a result of climate change may affect these habitats. These alterations could exposure, and adaptive capacity (Glick the species in several ways. First, include faster drying of wetlands than et al. 2011; Dawson et al. 2011). increases in precipitation may increase was observed historically, due to a lack Sensitivity is the degree to which a the surface area of existing ponds and of spring run-off from snow fields and system is affected, either adversely or wetlands, or create new ones. These increased annual air temperature. More beneficially, by climate-related stimuli new habitats would be available for frequent extreme precipitation events (U.S. CCSP 2008b as cited by Glick et colonization by water howellia and are predicted for California (California al. 2011). Exposure is the nature and could increase the range and resiliency DWR 2013, p. 23). The effect of more degree to which a system is exposed to of the species. However, new habitats extreme precipitation events on water significant climate variations (IPCC would also be available to invasive howellia habitat in California is unclear, 2001b as cited by Glick et al. 2011). species such as P. arundinacea and may especially given the potential for Adaptive capacity is the ability of a also promote their expansion on the interactions among precipitation and system to adjust to climate change landscape. An important factor in other environmental variables predicted (including climate variability and increased habitat would likely be the to change (e.g., reduced snowpack, extremes) to moderate potential site-specific conditions within each increased annual air temperature). damages, to take advantage of habitat; new habitat with deeper water The ability of water howellia to self- opportunities, or to cope with the and longer periods of inundation would fertilize and produce seeds at both the consequences (IPCC 2001b as cited by likely preclude the establishment of P. early season submergent and later Glick et al. 2011). There is no single arundinacea and be beneficial to water season emergent forms may be an method for conducting such analyses howellia. Conversely, the creation of advantage to surviving lengthened, that applies to all situations (Glick et al. shallower habitat may favor P. shortened, or generally more 2011, p. 3). We use our expert judgment arundinacea. Another possible effect of inconsistent growing seasons than and appropriate analytical approaches increased precipitation may be the occurred historically. Seed production to weigh relevant information, including alteration of the hydrologic cycle of from both flower forms in one growing

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season may increase the opportunity for metapopulations due to predicted The relatively low genetic diversity of surviving subsequent inclement years. It increases in precipitation across the water howellia across its current range is uncertain how increases in water northern range of the species (IPCC may limit the species’ ability to respond temperature and increased evaporation 2014, p. 61). The intact nature and to environmental changes. However, due to increased ambient temperatures current spatial arrangement gene flow is occurring among would affect growth and reproduction of (geographically diverse and at varying occurrences, and the redundancy of water howellia; however, climate elevations) of the three large smaller occurrences across the species’ conditions that restrict the dual seed metapopulations will likely provide range may mitigate for reduced genetic production and seed banking could more resilience to climate change than plasticity within individual occurrences reduce the ability of water howellia to the smaller, isolated occurrences. Effects (i.e., the lower genetic representation persist over time. of potential composition shifts in may be mitigated by higher geographic Associated wetland vegetation that vegetation surrounding water howellia representation). The current spatial positively contributes to suitable occurrences as a result of climate arrangement of small occurrences is microclimates for water howellia could change are unknown. favorable to the species’ long-term be altered by predicted variance in In summary, climate change is persistence because these occurrences temperatures and precipitation. An affecting and will continue to affect are at different elevations and within increase in daily temperatures paired temperature and precipitation events. varying climatic regimes (see discussion with a decrease in precipitation could The extent, duration, and impact of under ‘‘Narrow Ecological potentially result in stressed and dying those changes are unknown, but could Requirements/Climate Change,’’ above). vegetation, which could result in an potentially increase or decrease Thus, we do not consider small increased risk of wildfire, insect precipitation in some areas. Water population size or low genetic diversity pathogens such as pine bark beetles, an howellia may experience climate to be a significant threat to water increase in noxious or invasive weeds, change-related effects in the future, howellia. and an increase in atmospheric carbon most likely at the individual or local dioxide levels that could accelerate population level. Regional occurrences Cumulative Effects of All Stressors natural ecological succession. The loss may experience some shifts. However, it Many of the stressors faced by water of vegetation around ponds from is anticipated that the metapopulations howellia are interrelated and could wildfire or other events could accelerate important to the viability of the species work in concert with each other, sedimentation, resulting in the loss of would continue to persist because of resulting in a cumulative adverse effect water howellia occurrences. Montana resiliency due to geographic and on the species. For example, stressors and eastern Washington occurrences of elevational diversity. Available discussed under Factor A that water howellia could be more resilient information indicates the species is individually do not rise to the level of to these processes than other adaptable to variable conditions. a threat could together result in habitat occurrences because of their Therefore, based upon available loss. Similarly, small population size in distribution over a larger landscape with information, we conclude that climate combination with stressors discussed many separate occurrences. Increasing change is not a significant threat to under Factor A could present a potential temperatures combined with increased water howellia. concern. demand for ground and surface water Climate change is occurring across the Small Population Size/Low Genetic for human development may compound range of the species, coinciding with all Diversity negative impacts to water howellia in other identified stressors. As described eastern Washington and northern Idaho. The final rule to list water howellia previously, variations in climatic Climate-induced effects on water (59 FR 35860; July 14, 1994) cited small conditions may favor or preclude howellia may appear first in California, population size and lack of genetic invasive species, depending on site- as these occurrences are at the southern variation within and among occurrences specific habitat factors. Also described edge of the known range. However, as a contributor to its vulnerability. previously, climate change may alter these effects may be buffered by the Small occurrences with low genetic hydrological cycles. However, despite higher elevation (approximately 3,800 diversity could limit a species’ or changing climate conditions, water ft/1,158 m) at which the California population’s ability to respond to novel howellia has persisted across its range. occurrences are found compared to changes in its environment, Analysis of nearly 30 years of data on elsewhere in the range (western necessitating redundancy of occurrences water howellia occurrences in the Swan Washington: Approximately 15 ft/5m). across larger areas to increase the Valley indicates the species has Predicted environmental changes probability of survival. At the time of persisted even with climate change resulting from climate change may have listing in 1994, the only genetic interacting with other potential stressors both positive and negative effects on investigation of the species showed very (Pipp 2017, entire). This suggests that water howellia, depending on the extent low genetic diversity within and among the cumulative effects of climate change and type of impact and depending on occurrences in Washington and and other stressors are not meaningful at site-specific conditions within each Montana (Lesica et al. 1988, p. 278). the metapopulation level, nor at the habitat type. The primary predicted More current genetic results indicate species level. Nevertheless, we negative effect is the alteration of greater genetic diversity within and recognize that there are uncertainties hydrologic regimes potentially resulting among occurrences than previously associated with climate change in inconsistent growing seasons. This thought; however, diversity is still predictions; ongoing management and effect will likely be buffered by the relatively low (Brunsfeld and Baldwin monitoring of water howellia (via the ability of water howellia to produce 1998, p. 2; Schierenbeck and Phipps PDM plan) is designed to detect seeds during both early and late 2010, p. 5). Additionally, one genetic potential future changes in the species’ seasons. Predicted environmental effects investigation documented that all distribution and abundance. that may be positive for water howellia occurrences are distantly related and There may be locations of water include increased habitat, seed that gene flow is likely occurring howellia occurrences where invasive dispersal, and species distribution in between the States (Schierenbeck and species are present, and cattle have some areas, including within the three Phipps 2010, p. 6). access to occupied ponds. Grazing may

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limit the expansion of invasive species A), direct habitat loss from urbanization status more accurately reflects the in these instances. Otherwise, we are or dam construction (Factor A), narrow species’ degree of imperilment and not aware of particular locations within ecological requirements of the species in better promotes the purposes of the Act. water howellia occurrences where the context of climate change (Factor E), Under this reading, we should first multiple stressors occur. Also, we do predation (herbivory) by domestic consider whether the species warrants not anticipate stressors to increase on livestock (Factor C), small population listing ‘‘throughout all’’ of its range and federally managed lands, which afford size/low genetic variation (Factor E), proceed to conduct a ‘‘significant protection to the species in the most and cumulative effects of stressors portion of its range’’ analysis if, and occupied habitat. Furthermore, the (Factor E). Based on the best available only if, a species does not qualify for documented increases in the abundance information, and as described in our listing as either an endangered or a and distribution of the species since it five-factor analysis, above, the identified threatened species according to the was listed in 1994 do not support a stressors fall into one or more of the ‘‘throughout all’’ language. conclusion that cumulative effects pose following categories: Having determined that the water a threat to the species. Therefore, we • Stressors that have not occurred to howellia is not in danger of extinction conclude, based on the available the extent anticipated at the time of or likely to become so in the foreseeable information, that cumulative effects are listing and existing information future throughout all of its range, we not a significant threat to water indicates that this will not change in the now consider whether it may be in howellia. future (trampling by domestic livestock, danger of extinction or likely to become predation (herbivory), direct habitat loss so in the foreseeable future in an SPR. Summary of Factor E from urbanization). The range of a species can theoretically Given the lack of threats within water • Stressors that are adequately be divided into portions in an infinite howellia occurrences and increases in managed and existing information number of ways, so we first screen the abundance and distribution since listing indicates that this will not change in the potential portions of the species’ range in 1994, we conclude that climate future (invasive species, land to determine if there are any portions change, small population size and low management activities). that warrant further consideration. To genetic diversity, and cumulative effects • Stressors for which the species is do the ‘‘screening’’ analysis, we ask are not significant threats to water tolerant and existing information whether there are portions of the howellia. indicates that this will not change in the species’ range for which there is future (narrow ecological requirements, Proposed Determination of Species substantial information indicating that: small population size/low genetic Status (1) The portion may be significant; and, variation, climate change, cumulative (2) the species may be, in that portion, Section 4 of the Act (16 U.S.C. 1533) effects). either in danger of extinction or likely and its implementing regulations (50 Thus, our analysis of this information to become so in the foreseeable future. CFR part 424) set forth the procedures indicates that these stressors are not of For a particular portion, if we cannot for determining whether a species meets sufficient imminence, intensity, or answer both questions in the the definition of ‘‘endangered species’’ magnitude to indicate that water affirmative, then that portion does not or ‘‘threatened species.’’ The Act defines howellia is in danger of extinction or warrant further consideration and the an ‘‘endangered species’’ as a species likely to become so within the species does not warrant listing because that is ‘‘in danger of extinction foreseeable future throughout all of its of its status in that portion of its range. throughout all or a significant portion of range. Therefore, after assessing the best We emphasize that answering these its range,’’ and a ‘‘threatened species’’ as available information, we conclude that questions in the affirmative is not a a species that is ‘‘likely to become an water howellia is not in danger of determination that the species is in endangered species within the extinction throughout all of its range nor danger of extinction or likely to become foreseeable future throughout all or a is it likely to become so in the so in the foreseeable future throughout significant portion of its range.’’ The Act foreseeable future. a significant portion of its range—rather, requires that we determine whether a Because we determined that water it is it is a step in determining whether species meets the definition of howellia is not in danger of extinction a more detailed analysis of the issue is ‘‘endangered species’’ or ‘‘threatened or likely to become so in the foreseeable required. species’’ because of any of the following future throughout all of its range, we If we answer these questions in the factors: (A) The present or threatened will consider whether there are any affirmative, we then conduct a more destruction, modification, or significant portions of its range in which thorough analysis to determine whether curtailment of its habitat or range; (B) water howellia is in danger of extinction the portion does indeed meet both of the Overutilization for commercial, or likely to become so in the foreseeable SPR prongs: (1) The portion is recreational, scientific, or educational future. significant and (2) the species is, in that purposes; (C) Disease or predation; (D) portion, either in danger of extinction or Determination of Status Throughout a The inadequacy of existing regulatory likely to become so in the foreseeable Significant Portion of Water Howellia’s mechanisms; or (E) Other natural or future. Confirmation that a portion does Range manmade factors affecting its continued indeed meet one of these prongs does existence. Under the Act and our implementing not create a presumption, prejudgment, regulations, a species may warrant or other determination as to whether the Determination of Status Throughout All listing if it is in danger of extinction or species is an endangered species or of Water Howellia’s Range likely to become so in the foreseeable threatened species. Rather, we must We have carefully assessed the best future throughout all or a significant then undertake a more detailed analysis scientific and commercial information portion of its range (SPR). Where the of the other prong to make that available regarding the past, present, best available information allows the determination. Only if the portion does and future threats to water howellia Services to determine a status for the indeed meet both SPR prongs would the including invasive species (Factor A), species rangewide, that determination species warrant listing because of its land management activites (Factor A), should be given conclusive weight status in a significant portion of its trampling by domestic livestock (Factor because a rangewide determination of range.

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At both stages in this process—the Department of the Interior, No. 16–cv– Post-Delisting Monitoring stage of screening potential portions to 01165–JCS, 2018 WL 4053447 (N.D. Cal. Section 4(g)(1) of the Act requires us, identify any portions that warrant Aug. 24, 2018). in cooperation with the States, to further consideration and the stage of Our review of the best available implement a monitoring program for not undertaking the more detailed analysis scientific and commercial information less than 5 years for all species that have of any portions that do warrant further indicates that the water howellia is not been delisted due to recovery. The consideration—it might be more in danger of extinction nor likely to purpose of this requirement is to efficient for us to address the become an endangered species within develop a program that detects the ‘‘significance’’ question or the ‘‘status’’ the foreseeable future throughout all or failure of any delisted species to sustain question first. Our selection of which itself without the protective measures question to address first for a particular a significant portion of its range. Therefore, we find that the water provided by the Act. If at any time portion depends on the biology of the during the monitoring period, data species, its range, and the threats it howellia does not meet the definition of an endangered species or a threatened indicate that protective status under the faces. Regardless of which question we Act should be reinstated, we can initiate address first, if we reach a negative species, and we propose to remove the listing procedures, including, if answer with respect to the first question species from the List. appropriate, emergency listing. that we address, we do not need to Determination of Status We are proposing to delist water evaluate the second question for that howellia based on new information we portion of the species’ range. We have carefully assessed the best have received as well as conservation For water howellia, we chose to scientific and commercial information actions taken. Since delisting would be, evaluate the status question (i.e., available regarding the past, present, in part, due to conservation taken by identifying portions where the water and future threats to water howellia. stakeholders, we have prepared a draft howellia may be in danger of extinction After review and analysis of the post-delisting monitoring (PDM) plan or likely to become so in the foreseeable information regarding stressors as for water howellia. The draft PDM plan future) first. To conduct this screening, related to the five statutory factors, we we considered whether the threats are discusses the current status of the taxon find that the ongoing stressors are not of and describes the methods proposed for geographically concentrated in any sufficient imminence, intensity, or portion of the species’ range at a monitoring if we delist the taxon. The magnitude to indicate that this species draft PDM plan: (1) Summarizes the biologically meaningful scale. If a is presently in danger of extinction species is not in danger of extinction or status of water howellia at the time of throughout all or a significant portion of likely to become so in the foreseeable proposed delisting; (2) describes its range. Additionally, no threats exist future throughout all of its range and the frequency and duration of monitoring; currently, nor are any potential stressors threats to the species are essentially (3) discusses monitoring methods and uniform throughout its range, then the expected to rise to the level, that would potential sampling regimes; (4) defines species would not have a greater level likely cause the species to become in what potential triggers will be evaluated of imperilment in any portion of its danger of extinction in the foreseeable to address the need for additional range than it does throughout all of its future throughout all or a significant monitoring; (5) outlines reporting range and therefore no portions would portion of the species’ range. Because requirements and procedures; (6) qualify as an SPR. the species is neither in danger of proposes a schedule for implementing We examined the following threats: extinction now nor likely to become so the PDM plan; and (7) defines Invasive species, land management in the foreseeable future throughout all responsibilities. It is our intent to work activities, trampling by domestic or any significant portion of its range, with our partners towards maintaining livestock, direct habitat loss from the species does not meet the definition the recovered status of water howellia. urbanization or dam construction, of an endangered species or threatened We will seek public and peer reviewer narrow ecological requirements of the species under the Act. As a consequence comments on the draft PDM plan, species in the context of climate change, of this determination, we find that water including its objectives and procedures predation (herbivory) by domestic howellia no longer requires the (see Document availability and livestock, small population size/low protection of the Act, and we propose to Information Requested, above), with the genetic variation, and the cumulative remove the species from the Federal List publication of this proposed rule. effects of these threats. We found no of Endangered and Threatened Plants. Required Determinations concentration of threats in any portion of the water howellia’s range at a Effects of the Rule Clarity of the Rule biologically meaningful scale. Since we This proposal, if made final, would We are required by Executive Orders found no portions of the species’ range revise 50 CFR 17.12(h) to remove water 12866 and 12988 and by the where threats are significantly howellia from the Federal List of Presidential Memorandum of June 1, concentrated or substantially greater Endangered and Threatened Plants. 1998, to write all rules in plain than in other portions of its range, we Because no critical habitat was ever language. This means that each rule we did not identify any portions where the designated for this species, this rule will publish must: species may be in danger of extinction not affect 50 CFR 17.96. (1) Be logically organized; or likely to become so in the foreseeable (2) Use the active voice to address future. Therefore, no portions warrant The prohibitions and conservation readers directly; further consideration through a more measures provided by the Act, (3) Use clear language rather than detailed analysis, and the species is not particularly through sections 7 and 9, jargon; in danger of extinction or likely to would no longer apply to this species. (4) Be divided into short sections and become so in the foreseeable future in Federal agencies would no longer be sentences; and any significant portion of its range. Our required to consult with the Service (5) Use lists and tables wherever approach to analyzing SPR in this under section 7 of the Act in the event possible. determination is consistent with the that activities they authorize, fund, or If you feel that we have not met these court’s holding in Desert Survivors v. carry out may affect water howellia. requirements, send us comments by one

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of the methods listed in ADDRESSES. To recognized Federal Tribes on a List of Subjects in 50 CFR Part 17 better help us revise the rule, your government-to-government basis. In Endangered and threatened species, comments should be as specific as accordance with Secretarial Order 3206 Exports, Imports, Reporting and possible. For example, you should tell of June 5, 1997 (American Indian Tribal recordkeeping requirements, us the numbers of the sections or Rights, Federal-Tribal Trust Transportation. paragraphs that are unclearly written, Responsibilities, and the Endangered which sections or sentences are too Species Act), we readily acknowledge Proposed Regulation Promulgation long, the sections where you feel lists or our responsibilities to work directly tables would be useful, etc. with Tribes in developing programs for Accordingly, we propose to amend healthy ecosystems, to acknowledge that part 17, subchapter B of chapter I, title National Environmental Policy Act tribal lands are not subject to the same 50 of the Code of Federal Regulations, We have determined that controls as Federal public lands, to as set forth below: environmental assessments and remain sensitive to Indian culture, and PART 17—ENDANGERED AND environmental impact statements, as to make information available to Tribes. THREATENED WILDLIFE AND PLANTS defined under the authority of the We are aware of two water howellia National Environmental Policy Act of occurrences that occur on tribal lands; ■ 1. The authority citation for part 17 1969 (42 U.S.C. 4321 et seq.), need not we have notified the Tribes that may be continues to read as follows: be prepared in connection with affected by this proposed rule and regulations pursuant to section 4(a) of offered government-to-government Authority: 16 U.S.C. 1361–1407; 1531– the Act. We published a notice outlining consultation. 1544; and 4201–4245, unless otherwise our reasons for this determination in the noted. References Cited Federal Register on October 25, 1983 § 17.12 [Amended] (48 FR 49244). A complete list of all references cited ■ 2. Amend § 17.12(h) by removing the in this proposed rule is available at Government-to-Government entry for ‘‘Howellia aquatilis’’ under http://www.regulations.gov at Docket Relationship With Tribes FLOWERING PLANTS from the List of No. FWS–R6–ES–2018–0045, or upon Endangered and Threatened Plants. In accordance with the President’s request from the Montana Ecological memorandum of April 29, 1994, Services Field Office (see ADDRESSES). Dated: August 9, 2019. Government-to-Government Relations Margaret E. Everson, Authors with Native American Tribal Principal Deputy Director, U.S. Fish and Governments (59 FR 22951), E.O. 13175, The authors of this proposed rule are Wildlife Service, Exercising the Authority of and the Department of the Interior’s staff members of the Montana Ecological the Director, for the U.S. Fish and Wildlife manual at 512 DM 2, we readily Services Field Office and field and Service. acknowledge our responsibility to regional offices in California, Colorado, [FR Doc. 2019–21645 Filed 10–4–19; 8:45 am] communicate meaningfully with Idaho, Oregon, and Washington. BILLING CODE 4333–15–P

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Notices Federal Register Vol. 84, No. 194

Monday, October 7, 2019

This section of the FEDERAL REGISTER number and the agency informs DEPARTMENT OF AGRICULTURE contains documents other than rules or potential persons who are to respond to proposed rules that are applicable to the the collection of information that such Submission for OMB Review; public. Notices of hearings and investigations, persons are not required to respond to Comment Request committee meetings, agency decisions and rulings, delegations of authority, filing of the collection of information unless it October 2, 2019. displays a currently valid OMB control petitions and applications and agency The Department of Agriculture will statements of organization and functions are number. examples of documents appearing in this submit the following information section. Food Safety and Inspection Service collection requirement(s) to OMB for review and clearance under the Title: Industry Response to Paperwork Reduction Act of 1995, DEPARTMENT OF AGRICULTURE Noncompliance Records. Public Law 104–13 on or after the date OMB Control Number: 0583–0146. of publication of this notice. Comments Submission for OMB Review; are requested regarding: Whether the Summary of Collection: The Food Comment Request collection of information is necessary Safety and Inspection Service (FSIS) has for the proper performance of the October 2, 2019. been delegated the authority to exercise functions of the agency, including The Department of Agriculture has the functions of the Secretary as whether the information will have submitted the following information provided in the Federal Meat Inspection practical utility; the accuracy of the collection requirement(s) to OMB for Act (FMIA) (21 U.S.C. 601 et. seq.), the agency’s estimate of burden including review and clearance under the Poultry Products Inspection Act (PPIA) the validity of the methodology and Paperwork Reduction Act of 1995, (21 U.S.C. 451, et. seq.), and the Egg assumptions used; ways to enhance the Public Law 104–13. Comments are Products Inspection Act (EPIA) (21 quality, utility and clarity of the requested regarding whether the U.S.C. 1031). These statues mandate information to be collected; and ways to collection of information is necessary that FSIS protect the public by verifying minimize the burden of the collection of for the proper performance of the that meat and, poultry products are safe, information on those who are to functions of the agency, including wholesome, not adulterated, and respond, including through the use of whether the information will have properly labeled and packaged. If FSIS appropriate automated, electronic, practical utility; the accuracy of the in-plant personnel discover mechanical, or other technological agency’s estimate of burden including collection techniques or other forms of the validity of the methodology and noncompliance with regulatory information technology should be assumptions used; ways to enhance the requirements they issue Noncompliance addressed to: Desk Officer for quality, utility and clarity of the Records (NRs). The Noncompliance Agriculture, Office of Information and information to be collected; and ways to Record, FSIS Form 5400–4 and FSIS Regulatory Affairs, Office of minimize the burden of the collection of 5400–4 FISH, serves as FSIS’ official Management and Budget (OMB), New information on those who are to record of noncompliance with one or respond, including through the use of more regulatory requirements. Executive Office Building, Washington, appropriate automated, electronic, DC; New Executive Office Building, 725 Need and Use of the Information: 17th Street NW, Washington, DC 20503. mechanical, or other technological FSIS will use the form 5400–4 and collection techniques or other forms of Commenters are encouraged to submit 5400–4 FISH to document their findings their comments to OMB via email to: information technology. and provided written notification of the _ Comments regarding this information OIRA [email protected] or fax establishment’s failure to comply with collection received by November 6, (202) 395–5806 and to Departmental regulatory requirement(s). The 2019 will be considered. Written Clearance Office, USDA, OCIO, Mail establishment management receives a comments should be addressed to: Desk Stop 7602, Washington, DC 20250– Officer for Agriculture, Office of copy of the form and has the 7602. Information and Regulatory Affairs, opportunity to respond in writing using Comments regarding these Office of Management and Budget the Noncompliance Record form. information collections are best assured (OMB), New Executive Office Building, Description of Respondents: Business of having their full effect if received by 725 17th Street NW, Washington, DC or other for-profit. November 6, 2019. Copies of the submission(s) may be obtained by 20502. Commenters are encouraged to Number of Respondents: 7,057. submit their comments to OMB via calling (202) 720–8681. email to: OIRA_Submission@ Frequency of Responses: Reporting: An agency may not conduct or OMB.EOP.GOV or fax (202) 395–5806 On occasion. sponsor a collection of information and to Departmental Clearance Office, Total Burden Hours: 119,969. unless the collection of information USDA, OCIO, Mail Stop 7602, displays a currently valid OMB control Washington, DC 20250–7602. Copies of Ruth Brown, number and the agency informs the submission(s) may be obtained by Departmental Information Collection potential persons who are to respond to calling (202) 720–8958. Clearance Officer. the collection of information that such An agency may not conduct or [FR Doc. 2019–21806 Filed 10–4–19; 8:45 am] persons are not required to respond to sponsor a collection of information BILLING CODE 3410–DM–P the collection of information unless it unless the collection of information displays a currently valid OMB control displays a currently valid OMB control number.

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National Agricultural Statistics Service (FACA), the Council is being renewed to behalf of the Council, subject to Title: Fruits, Nut, and Specialty provide advice and recommendations to approval by the DFO. The Council shall Crops. the Secretary of Agriculture (Secretary) include representation from experts in OMB Control Number: 0535–0039. during the development of the the following interest areas: Summary of Collection: The primary Comprehensive Management Plan for (1) The head of each Federal function of the National Agricultural the Pacific Northwest National Scenic department or independent agency Statistics Service (NASS) is to prepare Trail (Trail) including the nature and administering lands through which the and issue current official state and purposes of the Trail, objectives and trail route passes, or his designee; national estimates of crop and livestock practices for the Trail, standards for the (2) a member appointed to represent production. Estimates of fruit, tree nuts, erection and maintenance of markers each State through which the trail and specialty crops are an integral part along the Trail, and other matters passes, and such appointments shall be of this program. These estimates support related to the administration of the made from recommendations of the the NASS strategic plan to cover all Trail. Additional information Governors of such States; agricultural cash receipts. The authority concerning the Council can be found by (3) one or more members appointed to to collect these data activities is granted visiting the Council’s website at: https:// represent private organizations, under U.S. Code title 7, Section 2204(a). www.fs.usda.gov/main/pnt/working- including corporate and individual Information is collected on a voluntary together/advisory-committees. landowners and land users, which in basis from growers, processors, and FOR FURTHER INFORMATION CONTACT: the opinion of the Secretary, have an handlers through surveys. Becky Blanchard, Pacific Northwest established and recognized interest in Need and Use of the Information: National Scenic Trail Administrator, the trail. These members may represent Data reported on fruit, nut, specialty Pacific Northwest Region—USDA Forest social, environmental, or economic crops and Hawaii tropical crops are Service, by phone at 503–808–2449 or organizations; and used by NASS to estimate acreage, by email at [email protected]. (4) one or more members appointed to yield, production, price, utilization, and Individuals who use telecommunication represent tribal interests. value of citrus and non-citrus fruits and devices for the deaf (TDD) may call the Of these members, one will become nuts and other specialty crops in States Federal Information Relay Service the Chairperson who is recognized for with significant commercial production. (FIRS) at 1–800–877–8339 between 8 their ability to lead a group in a fair and These estimates are essential to farmers, a.m. and 5 p.m., Eastern Standard Time, focused manner and who has been processors, and handlers in making Monday through Friday. briefed on the mission of this Council. production and marketing decisions. SUPPLEMENTARY INFORMATION: The Council will meet on an annual Estimates from these inquiries are used basis or as needed. This will be by market order administrators in their Background determined by the Council. Meetings are determination of expected supplies of Pursuant with the provisions of open to the public and may include a crop under federal and state market FACA, the Secretary intends to renew ‘‘public forum’’ that may offer 5–10 orders as well as competitive fruits and the Council to continue providing minutes for participants to present nuts. advice and recommendations on matters comments to the Council. A meeting Description of Respondents: Farms; related to the Pacific Northwest notice will be published in the Federal Business or other for-profit. National Scenic Trail (Trail). The Register 15 to 45 days before a Number of Respondents: 70,805. Council consists of approximately 25 Frequency of Responses: Reporting: scheduled meeting date. Vacancies will members (not more than 35) to represent On occasion; Annually; Quarterly; filled in the manner in which the interests as required by the National Semi-annually; Monthly. original appointment was made. To Trails System Act. The purpose of the Total Burden Hours: 26,070. ensure that the recommendations of the Council is to provide advice on the Council have taken into account the Kimble Brown, nature and purposes of the Trail, needs of diverse groups served by Departmental Information Collection objectives and practices for the Trail, USDA, membership shall, to the extent Clearance Officer. standards for the erection and practicable, include individuals with [FR Doc. 2019–21771 Filed 10–4–19; 8:45 am] maintenance of markers along the Trail, demonstrated ability to represent all BILLING CODE 3410–20–P and other matters related to the racial and ethnic groups, women and administration of the Trail. men, and persons with disabilities. Advisory Committee Organization DEPARTMENT OF AGRICULTURE Dated: September 25, 2019. The Council shall be comprised of 25 Cikena Reid, Forest Service members, not more than 35 members USDA Committee Management Officer. and approved by the Secretary of [FR Doc. 2019–21819 Filed 10–4–19; 8:45 am] Pacific Northwest National Scenic Trail Agriculture where each will serve a 2- BILLING CODE 3411–15–P Advisory Council year term, although appointments shall AGENCY: Forest Service, USDA. have staggered terms. The Council DEPARTMENT OF AGRICULTURE ACTION: Renewal of the Pacific membership will be fairly balanced in terms of the points of view represented Northwest National Scenic Trail Forest Service Advisory Council. and functions to be performed. A designated Federal employee, in Secure Rural Schools Resource SUMMARY: The United States Department accordance with Sections 10(e) and (f) Advisory Committees of Agriculture (USDA) intends to renew of the FACA regulations, will serve as the Pacific Northwest National Scenic the Designated Federal Officer (DFO). AGENCY: Forest Service. Trail Advisory Council (Council). In Non-Federal members of the Council ACTION: Notice of Intent to Establish accordance with provisions of the shall serve without pay, but will be Secure Rural Schools Resource National Trails System Act of 1968, and reimbursed for reasonable costs Advisory Committees. the Federal Advisory Committee Act incurred while performing duties on

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SUMMARY: The United States Department recommendations to the Forest Service fill the vacancy in the manner in which of Agriculture (USDA) intends to for any appropriate changes or the original appointments were made. In establish the following: The Rocky adjustments to the projects being accordance with the SRS Act, members Mountain Resource Advisory monitored by the SRS RACs. of the SRS RAC shall serve without Committee (RAC) in Rocky Mountain compensation. SRS RAC members may SRS RACs Membership Region (R2) by consolidating Bighorn, be allowed travel and per diem Medicine-Bow Routt, Shoshone, Grand The SRS RACs will be comprised of expenses for attendance at committee Mesa Uncompahgre Gunnison and Pike- no more than 15 members, no fewer meetings, subject to approval of the DFO San Isabel RACs; the Northern Utah than 9 members in accordance with the responsible for administrative support RAC in the Intermountain Region (R4) Agriculture Improvement Act of 2018; to the SRS RAC. by consolidating the Ashley RAC and hereafter, 2018 Farm Bill. Members will Equal opportunity practices in the Uinta Wasatch Cache RAC; the be approved by the Secretary of accordance with USDA policies shall be Mendo-Lake County RAC in the Pacific Agriculture except in Arizona and followed in all appointments to the SRS Southwest Region (R5) by consolidating Montana where they will be approved RACs. To ensure that the the Mendocino RAC and Lake County by the Regional Forester and each will recommendations of the SRS RACs have RAC; the Gifford Pinchot RAC in the serve a 4-year term. SRS RACs taken into account the needs of the Pacific Northwest Region (R6) by membership will be balanced in terms diverse groups served by USDA, consolidating the North Gifford Pinchot of the points of view represented and membership will, to the extent RAC and the South Gifford Pinchot functions to be performed. The SRS practicable, include individuals with RAC; and the Northern Wisconsin RAC RACs shall include representation from demonstrated ability to represent all in the Eastern Region (R9) by the following interest areas: racial and ethnic groups, women and consolidating the Chequamegon RAC (1) Five persons who represent: men, and persons with disabilities. (a) Organized Labor or Non-Timber and Nicolet RAC. Secure Rural Schools Dated: September 24, 2019. (SRS) RACs pursuant to the Secure Forest Product Harvester Groups, Cikena Reid, Rural Schools and Community Self- (b) Developed Outdoor Recreation, Off Determination Act (the Act), as Highway Vehicle Users, or Commercial USDA Committee Management Officer. amended, most recently by the Recreation Activities, [FR Doc. 2019–21818 Filed 10–4–19; 8:45 am] Agricultural Improvement Act of 2018 (c) Energy and Mineral Development, BILLING CODE 3411–15–P (Pub. L. 115–334). The SRS RACs will or Commercial or Recreational Fishing operate in compliance with the Federal Interests, DEPARTMENT OF AGRICULTURE Advisory Committee Act (FACA). The (d) Commercial Timber Industry, or (e) Federal Grazing or Other Land Use purpose of the SRS RACs is to improve Forest Service collaborative relationships among Permits, or Represent NonIndustrial Private Forest Land Owners, within the people who use and care for National Wrangell-Petersburg Resource area for which the committee is Forests. The Secretary has determined Advisory Committee; Meeting that the work of the SRS RACs are in the organized. public’s interest and relevant to the (2) Five persons who represent: AGENCY: Forest Service, USDA. (a) Nationally Recognized duties of the Department of Agriculture. ACTION: Notice of meeting. The SRS RACs are statutory committees. Environmental Organizations, (b) Regionally or Locally Recognized Additional information concerning the SUMMARY: The Wrangell-Petersburg Environmental Organizations, SRS RACs can be found by visiting the Resource Advisory Committee (RAC) (c) Dispersed Recreational Activities, SRS RACs website at: http:// will meet in Petersburg, Alaska and (d) Archaeological and Historical www.fs.usda.gov/pts/. Wrangell, Alaska. The committee is Interests, or FOR FURTHER INFORMATION CONTACT: authorized under the Secure Rural (e) Nationally or Regionally Schools and Community Self- Jonathan Word, National Partnership Recognized Wild Horse and Burro Coordinator, Forest Service Secure Determination Act (the Act) and Interest Groups, Wildlife or Hunting operates in compliance with the Federal Rural Schools Program, by telephone at Organizations, or Watershed (928) 699–5016 or by email at Advisory Committee Act. The purpose Associations. of the committee is to improve [email protected]. Individuals (3) Five persons who represent: who use telecommunication devices for collaborative relationships and to (a) State Elected Office (or a designee), provide advice and recommendations to the deaf (TDD) may call the Federal (b) County or Local Elected Office, Information Relay Service (FIRS) at 1– the Forest Service concerning projects (c) American Indian Tribes within or and funding consistent with Title II of 800–877–8339 between 8 a.m. and 5 adjacent to the area for which the p.m., Eastern Standard Time, Monday the Act. RAC information can be found committee is organized, at the following website: https:// through Friday. (d) Area School Officials or Teachers, cloudapps-usda-gov.secure.force.com/ SUPPLEMENTARY INFORMATION: or FSSRS/RAC_ (e) Affected Public at Large. Page?id=001t0000002JcwHAAS. Background Of these members, one will become In accordance with the provisions of the Chairperson who is recognized for DATES: The meeting will be held on FACA, the Secretary of Agriculture their ability to lead a group in a fair and Wednesday, November 6, 2019, from intends to establish SRS RACs to focused manner and who has been 6:30 p.m. to 9:00 p.m., or until business provide advice and recommendations to briefed on the mission of the RAC. A is concluded. the Forest Service concerning projects chairperson is selected by a majority of All RAC meetings are subject to and funding consistent with SRS Title II RAC members. The Committee will cancellation. For updated status of the of the Act. The duties of SRS RACs meet on an annual basis or as needed meeting prior to attendance, please include monitoring projects, advising and determined by the Agency. contact Linda Slaght, RAC Coordinator, the Secretary on the progress and results In the event that a vacancy arises, the by phone at 907–772–5948 or via email of monitoring efforts, and making Designated Federal Officer (DFO) may at [email protected].

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ADDRESSES: The meeting will be held at in advance for sign language wireless lines, and the Commission will the Wrangell Ranger District Office, 525 interpreting, assistive listening devices, not refund any incurred charges. Callers Bennett Street, Wrangell, Alaska 99929 or other reasonable accommodation. For will incur no charge for calls they and at the Petersburg Ranger District access to the facility or proceedings, initiate over land-line connections to office, 12 North Nordic Drive, please contact Linda Slaght, RAC the toll-free conference call-in number. Petersburg, Alaska 99833. The two Coordinator, by phone at 907–772–5948 Persons with hearing impairments locations will be connected via video or via email at [email protected]. All may also follow the discussion by first teleconference. reasonable accommodation requests are calling the Federal Relay Service at 1– Interested persons may attend in managed on a case by case basis. 800–877–8339 and providing the person at either location, or by Dated: September 25, 2019. operator with the toll-free conference teleconference. For anyone who would Cikena Reid, call-in number: 800–353–6461 and like to attend by teleconference, please conference call ID number: 6813288. contact Linda Slaght, RAC Coordinator, USDA Committee Management Officer. by phone at 907–772–5948 or via email [FR Doc. 2019–21817 Filed 10–4–19; 8:45 am] Members of the public are invited to at [email protected]. BILLING CODE 3411–15–P make statements during the Public Written comments may be submitted Comment section of the meeting or to as described under SUPPLEMENTARY submit written comments. The INFORMATION. All comments, including COMMISSION ON CIVIL RIGHTS statements must be received in the names and addresses when provided, regional office approximately 30 days are placed in the record and are Notice of Public Meeting of the after the scheduled meeting. Written available for public inspection and Pennsylvania Advisory Committee comments may be mailed to the Eastern Regional Office, U.S. Commission on copying. The public may inspect AGENCY: Commission on Civil Rights. Civil Rights, 1331 Pennsylvania comments received at the Petersburg ACTION: Announcement of meeting. Ranger District Office or the Wrangell Avenue, Suite 1150, Washington, DC Ranger District Office, Monday through SUMMARY: Notice is hereby given, 20425, or emailed to Corrine Sanders at Friday at 8:00 a.m. to 4:30 p.m. Please pursuant to the provisions of the rules [email protected]. Persons who desire call ahead to facilitate entry into the and regulations of the U.S. Commission additional information may phone the building. on Civil Rights (Commission), and the Eastern Regional Office at (202) 376– 7533. FOR FURTHER INFORMATION CONTACT: Federal Advisory Committee Act Linda Slaght, RAC Coordinator, by (FACA) that a meeting of the Records and documents discussed phone at 907–772–5948 or via email at Pennsylvania Advisory Committee to during the meeting will be available for [email protected]. the Commission will convene by public viewing as they become available Individuals who use conference call at 11:30 a.m. (EST) on at: https://www.facadatabase.gov/ telecommunication devices for the deaf Tuesday, October 15, 2019. The purpose FACA/FACAPublicViewCommittee (TDD) may call the Federal Information of the meeting is to discuss the two Details?id=a10t0000001gzjZAAQ; click Relay Service (FIRS) at 1–800–877–8339 briefing meetings on the Committee’s the ‘‘Meeting Details’’ and ‘‘Documents’’ between 8:00 a.m. and 8:00 p.m., project titled, School Discipline and links. Records generated from this Eastern Standard Time, Monday School-to-Prison Pipeline in PA. The meeting may also be inspected and through Friday. first briefing will be on Tuesday, reproduced at the Eastern Regional November 19, 2019 and conducted via Office, as they become available, both SUPPLEMENTARY INFORMATION: The conference call; the second daylong, in- before and after the meeting. Persons purpose of the meeting is to: person briefing will be on Thursday, interested in the work of this advisory 1. Review progress of previously November 21, 2019. Details for both committee are advised to go to the funded projects; Commission’s website, www.usccr.gov, 2. Review new project proposals; and briefings will be provided in subsequent 3. Conclude any business that may be Federal Register notices. or to contact the Eastern Regional Office remaining concerning recommendations DATES: Tuesday, October 15, 2019, 2019, at the above phone number, email or for allocation of Title II funding to at 11:30 a.m. (EDT). street address. projects. FOR FURTHER INFORMATION CONTACT: Ivy Agenda: Tuesday, October 15, 2019 The meeting is open to the public. Davis at [email protected] or by phone at The agenda will include time for people 202–376–7533. I. Rollcall to make oral statements of three minutes SUPPLEMENTARY INFORMATION: II. Welcome or less. Individuals wishing to make an Public Call-In Information: III. Project Planning oral statement should request in writing Conference call-in number: 800–353– by Friday, November 1, 2019, to be 6461 and conference call ID number: —Discuss Details of the two planned scheduled on the agenda. Anyone who 6813288. Briefings on the Committee’s Civil would like to bring related matters to Interested members of the public may Rights Project the attention of the committee may file listen to the discussion by calling the IV. Other Business written statements with the committee following toll-free conference call-in V. Next Meetings number: 800–353–6461 and conference staff before or after the meeting. Written VI. Public Comments comments and requests time for oral call ID number: 6813288. Please be comments may be sent to Linda Slaght, advised that before placing them into VII. Adjourn RAC Coordinator, Post Office Box 1328, the conference call, the conference call Exceptional Circumstance: Pursuant Petersburg, Alaska 99833; by email to operator will ask callers to provide their to 41 CFR 102–3.150, the notice for this [email protected] or via facsimile to 907– names, their organizational affiliations meeting is given less than 15 calendar 772–5995. (if any), and email addresses (so that days prior to the meeting because of the Meeting Accommodations: If you are callers may be notified of future exceptional circumstances of preparing a person requiring reasonable meetings). Callers can expect to incur for the committee’s November 21, 2019, accommodation, please make requests charges for calls they initiate over hearing.

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Dated: October 2, 2019. DEPARTMENT OF COMMERCE petitions for certification of eligibility to David Mussatt, apply for Trade Adjustment Assistance Supervisory Chief, Regional Programs Unit. Economic Development Administration from the firms listed below. Accordingly, EDA has initiated [FR Doc. 2019–21799 Filed 10–4–19; 8:45 am] Notice of Petitions by Firms for investigations to determine whether BILLING CODE P Determination of Eligibility To Apply for Trade Adjustment Assistance increased imports into the United States of articles like or directly competitive AGENCY: Economic Development with those produced by each of the Administration, U.S. Department of firms contributed importantly to the Commerce. total or partial separation of the firms’ ACTION: Notice and opportunity for workers, or threat thereof, and to a public comment. decrease in sales or production of each petitioning firm. SUMMARY: The Economic Development Administration (EDA) has received SUPPLEMENTARY INFORMATION:

LIST OF PETITIONS RECEIVED BY EDA FOR CERTIFICATION OF ELIGIBILITY TO APPLY FOR TRADE ADJUSTMENT ASSISTANCE [8/23/2019 through 9/30/2019]

Date accepted Firm name Firm address for investigation Product(s)

Utilikilts Co., LLC ...... 620 1st Avenue, Seattle, 9/18/2019 The firm manufactures kilts. WA 98104. A.R.E. Manufacturing, Inc...... 518 South Springbrook 9/24/2019 The firm manufactures Road, Newberg, OR metal parts. 97132. Holte Manufacturing, Co., d/b/a Holte Drilling Manufac- 25310 Jeans Road, Veneta, 9/30/2019 The firm manufactures drill- turing. OR 97487. ing equipment and related tools and parts.

Any party having a substantial On January 15, 2016 in the U.S. Section 766.25 of the Regulations interest in these proceedings may District Court for the Western District of provides, in pertinent part, that the request a public hearing on the matter. Michigan, Benjamin James Cance ‘‘Director of [BIS’s] Office of Exporter A written request for a hearing must be (‘‘Cance’’) was convicted of violating Services, in consultation with the submitted to the Trade Adjustment Section 38 of the Arms Export Control Director of [BIS’s] Office of Export Assistance Division, Room 71030, Act (22 U.S.C. 2778 (2012)) (‘‘AECA’’). Enforcement, may deny the export Economic Development Administration, Cance was convicted of violating privileges of any person who has been U.S. Department of Commerce, Section 38 of the AECA by knowingly convicted of a violation of . . . section Washington, DC 20230, no later than ten and willfully exporting without the 38 of the Arms Export Control Act (22 (10) calendar days following publication required U.S. Department of State U.S.C. 2778).’’ 15 CFR 766.25(a). The of this notice. These petitions are licenses gun components designated as denial of export privileges under this received pursuant to section 251 of the defense articles on the United States provision may be for a period of up to Trade Act of 1974, as amended. Munitions List. Cance was sentenced to 10 years from the date of the conviction. Please follow the requirements set forty-eight (48) months in prison, two 15 CFR 766.25(d).2 In addition, forth in EDA’s regulations at 13 CFR years of supervised release, a fine of pursuant to Section 750.8 of the 315.9 for procedures to request a public $3,000 and an assessment of $200. Regulations, BIS’s Office of Exporter hearing. The Catalog of Federal Cance was also placed on the U.S. Services may revoke any BIS-issued Domestic Assistance official number Department of State’s Debarred List. licenses in which the person had an and title for the program under which The Export Administration interest at the time of his/her these petitions are submitted is 11.313, Regulations (‘‘EAR’’ or ‘‘Regulations’’) conviction.3 Trade Adjustment Assistance for Firms. are administered and enforced by the Irette Patterson U.S. Department of Commerce’s Bureau which includes the Export Control Reform Act of 1 Program Analyst. of Industry and Security (‘‘BIS’’). 2018, 50 U.S.C. 4801–4852 (‘‘ECRA’’). While Section 1766 of ECRA repeals the provisions of the [FR Doc. 2019–21741 Filed 10–4–19; 8:45 am] 1 The Regulations are currently codified in the EAA (except for three sections which are BILLING CODE 3510–WH–P Code of Federal Regulations at 15 CFR Parts 730– inapplicable here), Section 1768 of ECRA provides, 774 (2019). The Regulations originally issued under in pertinent part, that all rules and regulations that the Export Administration Act of 1979, as amended, were made or issued under the EAA, including as DEPARTMENT OF COMMERCE 50 U.S.C. 4601–4623 (Supp. III 2015) (‘‘EAA’’), continued in effect pursuant to IEEPA, and were in which lapsed on August 21, 2001. The President, effect as of ECRA’s date of enactment (August 13, 2018), shall continue in effect according to their Bureau of Industry and Security through Executive Order 13,222 of August 17, 2001 (3 CFR, 2001 Comp. 783 (2002)), which was terms until modified, superseded, set aside, or extended by successive Presidential Notices, revoked through action undertaken pursuant to the Order Denying Export Privileges continued the Regulations in full force and effect authority provided under ECRA. under the International Emergency Economic 2 See also Section 11(h) of the EAA, 50 U.S.C. In the Matter of: Benjamin James Cance, Powers Act, 50 U.S.C. 1701, et seq. (2012) 4610(h) (Supp. III 2015); Sections 1760(e) and 1768 215 E. Plainwell Street, Plainwell, MI 49080 (‘‘IEEPA’’). On August 13, 2018, the President of ECRA, 50 U.S.C. 4819 and 4826; and note 1, and 6911 Childsdale Avenue NE, Rockford, signed into law the John S. McCain National supra. MI 49341, Defense Authorization Act for Fiscal Year 2019, 3 See notes 1 and 2, supra.

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BIS has received notice of Cance’s States, including financing or other DEPARTMENT OF COMMERCE conviction for violating Section 38 of support activities related to a the AECA, and pursuant to Section transaction whereby the Denied Person Bureau of Industry and Security 766.25 of the Regulations has provided acquires or attempts to acquire such Order Denying Export Privileges notice and an opportunity for Cance to ownership, possession or control; make a written submission to BIS. BIS C. Take any action to acquire from or In the Matter of: Kenneth S. Chait, Inmate has not received a submission from to facilitate the acquisition or attempted Number: 04970–104, RRM Miami, Cance. Residential Reentry Office, 401 N. Miami Based upon my review and acquisition from the Denied Person of Avenue, Miami, FL 33128 consultations with BIS’s Office of any item subject to the Regulations that has been exported from the United On November 13, 2018, in the U.S. Export Enforcement, including its District Court for the Middle District of States; Director, and the facts available to BIS, Georgia, Kenneth S. Chait (‘‘Chait’’) was I have decided to deny Cance’s export D. Obtain from the Denied Person in convicted of violating the International privileges under the Regulations for a the United States any item subject to the Emergency Economic Powers Act (50 period of 10 years from the date of Regulations with knowledge or reason U.S.C 1701, et seq. (2012)) (‘‘IEEPA’’). Cance’s conviction. I have also decided to know that the item will be, or is Specifically, Chait was convicted of to revoke any BIS-issued license in intended to be, exported from the violating IEEPA by knowingly and which Cance had an interest at the time United States; or willfully agreeing to attempt to export of his conviction. E. Engage in any transaction to service without the required Department of Accordingly, it is hereby ordered: Commerce license ceramic metal any item subject to the Regulations that First, from the date of this Order until triggered spark gaps, also known as has been or will be exported from the January 15, 2026, Benjamin James nuclear triggered spark gaps and listed Cance, with last known addresses of 215 United States and which is owned, on the Commerce Control List. Chait E. Plainwell Street, Plainwell, MI 49080 possessed or controlled by the Denied was sentenced to 12 months and one and 6911 Childsdale Avenue NE, Person, or service any item, of whatever day in prison, supervised release for a Rockford, MI 49341, and when acting origin, that is owned, possessed or term of two years, and a $100 for or on his behalf, his successors, controlled by the Denied Person if such assessment. assigns, employees, agents or service involves the use of any item The Export Administration representatives (‘‘the Denied Person’’), subject to the Regulations that has been Regulations (‘‘EAR’’ or ‘‘Regulations’’) may not, directly or indirectly, or will be exported from the United are administered and enforced by the participate in any way in any States. For purposes of this paragraph, U.S. Department of Commerce’s Bureau transaction involving any commodity, servicing means installation, of Industry and Security (‘‘BIS’’).1 software or technology (hereinafter maintenance, repair, modification or Section 766.25 of the Regulations collectively referred to as ‘‘item’’) testing. provides, in pertinent part, that the exported or to be exported from the ‘‘Director of [BIS’s] Office of Exporter Third, after notice and opportunity for United States that is subject to the Services, in consultation with the Regulations, including, but not limited comment as provided in Section 766.23 Director of [BIS’s] Office of Export to: of the Regulations, any other person, Enforcement, may deny the export A. Applying for, obtaining, or using firm, corporation, or business privileges of any person who has been any license, license exception, or export organization related to Cance by convicted of a violation of . . . the control document; ownership, control, position of International Emergency Economic B. Carrying on negotiations responsibility, affiliation, or other Powers Act (50 U.S.C § 1701–1706).’’ 15 concerning, or ordering, buying, connection in the conduct of trade or CFR 766.25(a). The denial of export receiving, using, selling, delivering, business may also be made subject to privileges under this provision may be storing, disposing of, forwarding, the provisions of this Order in order to transporting, financing, or otherwise prevent evasion of this Order. 1 The Regulations are currently codified in the servicing in any way, any transaction Code of Federal Regulations at 15 CFR parts 730– involving any item exported or to be Fourth, in accordance with Part 756 of 774 (2019). The Regulations originally issued under exported from the United States that is the Regulations, Cance may file an the Export Administration Act of 1979, as amended, appeal of this Order with the Under 50 U.S.C. 4601–4623 (Supp. III 2015) (‘‘EAA’’), subject to the Regulations, or engaging which lapsed on August 21, 2001. The President, in any other activity subject to the Secretary of Commerce for Industry and through Executive Order 13,222 of August 17, 2001 Regulations; or Security. The appeal must be filed (3 CFR, 2001 Comp. 783 (2002)), which was C. Benefitting in any way from any within 45 days from the date of this extended by successive Presidential Notices, Order and must comply with the including the Notice of August 8, 2018 (83 FR transaction involving any item exported 39,871 (Aug. 13, 2018)), continued the Regulations or to be exported from the United States provisions of Part 756 of the in full force and effect under the International that is subject to the Regulations, or Regulations. Emergency Economic Powers Act, 50 U.S.C. 1701, from any other activity subject to the et seq. (2012) (‘‘IEEPA’’). On August 13, 2018, the Fifth, a copy of this Order shall be President signed into law the John S. McCain Regulations. delivered to Cance and shall be National Defense Authorization Act for Fiscal Year Second, no person may, directly or published in the Federal Register. 2019, which includes the Export Control Reform indirectly, do any of the following: Act of 2018, 50 U.S.C. 4801–4852 (‘‘ECRA’’). While A. Export or reexport to or on behalf Sixth, this Order is effective Section 1766 of ECRA repeals the provisions of the of the Denied Person any item subject to immediately and shall remain in effect EAA (except for three sections which are until January 15, 2026. inapplicable here), Section 1768 of ECRA provides, the Regulations; in pertinent part, that all rules and regulations that B. Take any action that facilitates the Issued this 30th day of September, 2019. were made or issued under the EAA, including as acquisition or attempted acquisition by continued in effect pursuant to IEEPA, and were in the Denied Person of the ownership, Karen H. Nies-Vogel, effect as of ECRA’s date of enactment (August 13, Director, Office of Exporter Services. 2018), shall continue in effect according to their possession, or control of any item terms until modified, superseded, set aside, or [FR Doc. 2019–21747 Filed 10–4–19; 8:45 am] subject to the Regulations that has been revoked through action undertaken pursuant to the or will be exported from the United BILLING CODE P authority provided under ECRA.

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for a period of up to 10 years from the or to be exported from the United States Fifth, a copy of this Order shall be date of the conviction. 15 CFR that is subject to the Regulations, or delivered to Chait and shall be 766.25(d).2 In addition, pursuant to from any other activity subject to the published in the Federal Register. Section 750.8 of the Regulations, BIS’s Regulations. Sixth, this Order is effective Office of Exporter Services may revoke Second, no person may, directly or immediately and shall remain in effect any BIS-issued licenses in which the indirectly, do any of the following: until November 13, 2023. person had an interest at the time of his/ A. Export or reexport to or on behalf Issued this 30th day of September, 2019. 3 her conviction. of the Denied Person any item subject to Karen H. Nies-Vogel, BIS received notice of Chait’s the Regulations; conviction for violating IEEPA and, Director, Office of Exporter Services. pursuant to Section 766.25 of the B. Take any action that facilitates the [FR Doc. 2019–21749 Filed 10–4–19; 8:45 am] Regulations, provided notice and an acquisition or attempted acquisition by BILLING CODE P opportunity for Chait to make a written the Denied Person of the ownership, submission to BIS. Chait requested possession, or control of any item additional time to make a written subject to the Regulations that has been DEPARTMENT OF COMMERCE or will be exported from the United submission. BIS granted Chait an Bureau of Industry and Security extension until July 20, 2019. To date, States, including financing or other support activities related to a however, BIS has not received a written Order Denying Export Privileges submission from Chait. transaction whereby the Denied Person Based upon my review and acquires or attempts to acquire such In the Matter of: Arash Sepehri, a/k/a consultations with BIS’s Office of ownership, possession or control; William Anderson, a/k/a Aresh Sepheri Export Enforcement, including its C. Take any action to acquire from or Eshtajran, Unit 7, Yazdanpanah Street, Director, and the facts available to BIS, to facilitate the acquisition or attempted Tehran, Iran. I have decided to deny Chait’s export acquisition from the Denied Person of On February 26, 2019, in the U.S. privileges under the Regulations for a any item subject to the Regulations that District Court for the District of period of five years from the date of has been exported from the United Columbia, Arash Sepehri, a/k/a William Chait’s conviction. I have also decided States; Anderson, a/k/a Aresh Sepheri to revoke any BIS-issued licenses in D. Obtain from the Denied Person in Eshtajran (‘‘Sepehri’’), was convicted of which Chait had an interest at the time the United States any item subject to the violating 18 U.S.C. 371. Specifically, of his conviction. Regulations with knowledge or reason Sepehri was convicted of knowingly Accordingly, it is hereby ordered: to know that the item will be, or is and willfully conspiring to export U.S.- First, from the date of this Order until intended to be, exported from the origin items, including high-resolution November 13, 2023, Kenneth S. Chait, United States; or sonar equipment, data input boards, Inmate Number: 04970–104, RRM E. Engage in any transaction to service acoustic transducers and rugged Miami, Residential Reentry Office, 401 any item subject to the Regulations that laptops, from the United States to Iran N. Miami Avenue, Miami, FL 33128, has been or will be exported from the without the required licenses from the and when acting for or on his behalf, his United States and which is owned, U.S. Government. Sepehri was successors, assigns, employees, agents sentenced to twenty-five (25) months in or representatives (‘‘the Denied possessed or controlled by the Denied Person, or service any item, of whatever prison, with credit for time served, and Person’’), may not, directly or indirectly, a $100 special assessment. participate in any way in any origin, that is owned, possessed or controlled by the Denied Person if such Pursuant to Section 1760(e) of the transaction involving any commodity, Export Control Reform Act (‘‘ECRA’’),2 software or technology (hereinafter service involves the use of any item subject to the Regulations that has been the export privileges of any person who collectively referred to as ‘‘item’’) has been convicted of certain offenses, exported or to be exported from the or will be exported from the United States. For purposes of this paragraph, including, but not limited to, 18 U.S.C. United States that is subject to the 371, may be denied for a period of up Regulations, including, but not limited servicing means installation, maintenance, repair, modification or to ten (10) years from the date of his/her to: conviction. 50 U.S.C. 4819(e) (Prior A. Applying for, obtaining, or using testing. Convictions). In addition, any BIS any license, license exception, or export Third, after notice and opportunity for licenses or other authorizations issued control document; comment as provided in Section 766.23 B. Carrying on negotiations of the Regulations, any other person, under ECRA in which the person had an concerning, or ordering, buying, firm, corporation, or business interest at the time of the conviction receiving, using, selling, delivering, organization related to Chait by may be revoked. Id. storing, disposing of, forwarding, ownership, control, position of BIS has received notice of Sepehri’s transporting, financing, or otherwise responsibility, affiliation, or other conviction for violating 18 U.S.C. 371, servicing in any way, any transaction connection in the conduct of trade or and has provided notice and an involving any item exported or to be business may also be made subject to opportunity for Sepehri to make a exported from the United States that is the provisions of this Order in order to written submission to BIS, as provided subject to the Regulations, or engaging prevent evasion of this Order. in Section 766.25 of the Export in any other activity subject to the Administration Regulations (‘‘EAR’’ or Fourth, in accordance with Part 756 of the ‘‘Regulations’’). 15 CFR 766.25.3 BIS Regulations; or the Regulations, Chait may file an C. Benefitting in any way from any appeal of this Order with the Under 2 ECRA was enacted as part of the John S. McCain transaction involving any item exported Secretary of Commerce for Industry and National Defense Authorization Act for Fiscal Year Security. The appeal must be filed 2019, and as amended is codified at 50 U.S.C. 2 See also Section 11(h) of the EAA, 50 U.S.C. within 45 days from the date of this 4801–4852. Sepehri’s conviction post-dates Section 4610(h) (Supp. III 2015); Sections 1760(e) and 1768 1760(e)’s enactment on August 13, 2018. of ECRA, 50 U.S.C. 4819 and 4826; and note 1, Order and must comply with the 3 The Regulations are currently codified in the supra. provisions of Part 756 of the Code of Federal Regulations at 15 CFR Parts 730– 3 See notes 1 and 2, supra. Regulations. 774 (2019). The Regulations originally issued under

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has not received a submission from Second, no person may, directly or Issued this 30th day of September, 2019. Sepehri. indirectly, do any of the following: Karen H. Nies-Vogel, Based upon my review and A. Export or reexport to or on behalf Director, Office of Exporter Services. consultations with BIS’s Office of of the Denied Person any item subject to [FR Doc. 2019–21748 Filed 10–4–19; 8:45 am] Export Enforcement, including its the Regulations; BILLING CODE P Director, and the facts available to BIS, B. Take any action that facilitates the I have decided to deny Sepehri’s export acquisition or attempted acquisition by privileges pursuant to ECRA for a period the Denied Person of the ownership, DEPARTMENT OF COMMERCE of seven years from the date of Sepehri’s possession, or control of any item conviction. I have also decided to subject to the Regulations that has been Bureau of Industry and Security revoke any BIS license issued under or will be exported from the United ECRA in which Sepehri had an interest States, including financing or other Order Denying Export Privileges support activities related to a at the time of his conviction. In the Matter of: Rasheed Al Jijakli Accordingly, it is hereby ordered: transaction whereby the Denied Person Inmate Number: 75222–112, First, from the date of this Order until acquires or attempts to acquire such FCI Lompoc, February 26, 2026, Arash Sepehri, ownership, possession or control; Federal Correctional Institution, a/k/a William Anderson, a/k/a Aresh C. Take any action to acquire from or 3600 Guard Road, Sepheri Eshtajran, with a last known to facilitate the acquisition or attempted Lompoc, CA 93436. address of Unit 7, Yazdanpanah Street, acquisition from the Denied Person of On December 20, 2018, in the U.S. Tehran, Iran, and when acting for or on any item subject to the Regulations that District Court for the Middle District of his behalf, his successors, assigns, has been exported from the United Georgia, Rasheed Al Jijakli (‘‘Jijakli’’) employees, agents or representatives States; was convicted of violating the (‘‘the Denied Person’’), may not directly D. Obtain from the Denied Person in International Emergency Economic or indirectly participate in any way in the United States any item subject to the Powers Act (50 U.S.C. 1701, et seq. any transaction involving any Regulations with knowledge or reason (2012)) (‘‘IEEPA’’). Specifically, Jijakli commodity, software or technology to know that the item will be, or is was convicted of conspiring with others (hereinafter collectively referred to as intended to be, exported from the to export tactical gear from the United ‘‘item’’) exported or to be exported from United States; or States to Syria without having obtained E. Engage in any transaction to service the United States that is subject to the the required license from the any item subject to the Regulations that Regulations, including, but not limited Department of Commerce’s Bureau of has been or will be exported from the to: Industry and Security (‘‘BIS’’). The United States and which is owned, A. Applying for, obtaining, or using tactical gear included U.S.-origin laser possessed or controlled by the Denied any license, license exception, or export boresighters and day- and night-vision Person, or service any item, of whatever control document; rifle scopes. Jijakli was sentenced to origin, that is owned, possessed or B. Carrying on negotiations forty-six (46) months in prison, a fine of controlled by the Denied Person if such concerning, or ordering, buying, $5,000, an assessment of $100, and two service involves the use of any item receiving, using, selling, delivering, years of supervised release. subject to the Regulations that has been storing, disposing of, forwarding, The Export Administration or will be exported from the United transporting, financing, or otherwise Regulations (‘‘EAR’’ or ‘‘Regulations’’) States. For purposes of this paragraph, servicing in any way, any transaction are administered and enforced by BIS.1 servicing means installation, involving any item exported or to be Section 766.25 of the Regulations maintenance, repair, modification or exported from the United States that is provides, in pertinent part, that the testing. subject to the Regulations, or engaging ‘‘Director of [BIS’s] Office of Exporter Third, pursuant to Setion 1760(e) of Services, in consultation with the in any other activity subject to the ECRA and Sections 766.23 and 766.25 Regulations; or of the Regulations, any other person, 1 The Regulations are currently codified in the C. Benefitting in any way from any firm, corporation, or business transaction involving any item exported Code of Federal Regulations at 15 CFR parts 730– organization related to Sepehri by 774 (2019). The Regulations originally issued under or to be exported from the United States ownership, control, position of the Export Administration Act of 1979, as amended, that is subject to the Regulations, or 50 U.S.C. 4601–4623 (Supp. III 2015) (‘‘EAA’’), responsibility, affiliation, or other which lapsed on August 21, 2001. The President, from any other activity subject to the connection in the conduct of trade or Regulations. through Executive Order 13,222 of August 17, 2001 business may also be made subject to (3 CFR, 2001 Comp. 783 (2002)), which has been the provisions of this Order in order to extended by successive Presidential Notices, the the Export Administration Act of 1979, as amended, most recent being that of August 14, 2019 (84 FR 50 U.S.C. 4601–4623 (Supp. III 2015) (‘‘EAA’’), prevent evasion of this Order. 41881 (Aug. 15, 2019)), continued the Regulations which lapsed on August 21, 2001. The President, Fourth, in accordance with Part 756 of in full force and effect under the International through Executive Order 13,222 of August 17, 2001 the Regulations, Sepehri may file an Emergency Economic Powers Act, 50 U.S.C. 1701, (3 CFR, 2001 Comp. 783 (2002)), which was appeal of this Order with the Under et seq. (2012) (‘‘IEEPA’’). On August 13, 2018, the extended by successive Presidential Notices, Secretary of Commerce for Industry and President signed into law the John S. McCain including the Notice of August 8, 2018 (83 FR National Defense Authorization Act for Fiscal Year 39,871 (Aug. 13, 2018)), continued the Regulations Security. The appeal must be filed 2019, which includes the Export Control Reform in full force and effect under the International within 45 days from the date of this Act of 2018, 50 U.S.C. 4801–4852 (‘‘ECRA’’). While Emergency Economic Powers Act, 50 U.S.C. 1701, Order and must comply with the Section 1766 of ECRA repeals the provisions of the et seq. (2012) (‘‘IEEPA’’). Section 1768 of ECRA, 50 provisions of Part 756 of the EAA (except for three sections which are U.S.C. 4826, provides in pertinent part that all rules inapplicable here), Section 1768 of ECRA provides, and regulations that were made or issued under the Regulations. in pertinent part, that all rules and regulations that EAA, including as continued in effect pursuant to Fifth, a copy of this Order shall be were made or issued under the EAA, including as IEEPA, and were in effect as of ECRA’s date of delivered to Sepehri and shall be continued in effect pursuant to IEEPA, and were in enactment (August 13, 2018), shall continue in published in the Federal Register. effect as of ECRA’s date of enactment (August 13, effect according to their terms until modified, Sixth, this Order is effective 2018), shall continue in effect according to their superseded, set aside, or revoked through action terms until modified, superseded, set aside, or undertaken pursuant to the authority provided immediately and shall remain in effect revoked through action undertaken pursuant to the under ECRA. See note 1, supra. until February 26, 2026. authority provided under ECRA.

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Director of [BIS’s] Office of Export subject to the Regulations, or engaging Order and must comply with the Enforcement, may deny the export in any other activity subject to the provisions of Part 756 of the privileges of any person who has been Regulations; or Regulations. convicted of a violation of . . . the C. Benefitting in any way from any Fifth, a copy of this Order shall be International Emergency Economic transaction involving any item exported delivered to Jijakli and shall be Powers Act (50 U.S.C. 1701–1706).’’ 15 or to be exported from the United States published in the Federal Register. CFR 766.25(a). The denial of export that is subject to the Regulations, or Sixth, this Order is effective privileges under this provision may be from any other activity subject to the immediately and shall remain in effect for a period of up to 10 years from the Regulations. until December 20, 2028. Second, no person may, directly or date of the conviction. 15 CFR Issued this 30th day of September 2019. 2 indirectly, do any of the following: 766.25(d). In addition, pursuant to Karen H. Nies-Vogel, Section 750.8 of the Regulations, BIS’s A. Export or reexport to or on behalf Director, Office of Exporter Services. Office of Exporter Services may revoke of the Denied Person any item subject to any BIS-issued licenses in which the the Regulations; [FR Doc. 2019–21745 Filed 10–4–19; 8:45 am] person had an interest at the time of his/ B. Take any action that facilitates the BILLING CODE P her conviction.3 acquisition or attempted acquisition by the Denied Person of the ownership, BIS received notice of Jijakli’s DEPARTMENT OF COMMERCE conviction for violating IEEPA and possession, or control of any item subject to the Regulations that has been pursuant to Section 766.25 of the Bureau of Industry and Security Regulations has provided notice and an or will be exported from the United opportunity for Jijakli to make a written States, including financing or other Order Denying Export Privileges submission to BIS. BIS has not received support activities related to a a written submission from Jijakli. transaction whereby the Denied Person In the Matter of: Eldar Rezvanov, Inmate Based upon my review and acquires or attempts to acquire such Number: 35027–016, Moshannon Valley Correctional Institution, 555 Geo Drive, consultations with BIS’s Office of ownership, possession or control; C. Take any action to acquire from or Philipsburg, PA 16866. Export Enforcement, including its to facilitate the acquisition or attempted Director, and the facts available to BIS, On July 24, 2018, in the U.S. District acquisition from the Denied Person of I have decided to deny Jijakli’s export Court for the Eastern District of Virginia, any item subject to the Regulations that privileges under the Regulations for a Eldar Rezvanov (‘‘Rezvanov’’) was has been exported from the United period of 10 years from the date of convicted of violating Section 38 of the States; Arms Export Control Act (22 U.S.C. Jijakli’s conviction. I have also decided D. Obtain from the Denied Person in to revoke any BIS-issued licenses in 2778 (2012)) (‘‘AECA’’). Rezvanov was the United States any item subject to the convicted of violating Section 38 of the which Jijakli had an interest at the time Regulations with knowledge or reason of his conviction. AECA by knowingly and willfully to know that the item will be, or is exporting, causing the export of, and Accordingly, it is hereby ordered: intended to be, exported from the First, from the date of this Order until attempting to export items designated as United States; or defense articles on the United States December 20, 2028, Rasheed Al Jijakli, E. Engage in any transaction to service Inmate Number: 75222–112, FCI Munitions List from the United States to any item subject to the Regulations that Russia without the required U.S. Lompoc, Federal Correctional has been or will be exported from the Institution, 3600 Guard Road, Lompoc, Department of State licenses. The items United States and which is owned, included, seven assembled firearms, ten CA 93436, and when acting for or on his possessed or controlled by the Denied behalf, his successors, assigns, firearm stocks, 130 fully assembled Person, or service any item, of whatever lower recievers, 133 firearm frames, 158 employees, agents or representatives origin, that is owned, possessed or (‘‘the Denied Person’’), may not, directly firearm barrels, 266 firearm slides, 453 controlled by the Denied Person if such functional firearm parts (including or indirectly, participate in any way in service involves the use of any item any transaction involving any springs and firing pins), and 966 firearm subject to the Regulations that has been magazines. Rezvanov was sentenced to commodity, software or technology or will be exported from the United (hereinafter collectively referred to as forty-six (46) months in prison, three States. For purposes of this paragraph, years of supervised release, and an ‘‘item’’) exported or to be exported from servicing means installation, the United States that is subject to the assessment of $100. Rezvanov also was maintenance, repair, modification or placed on the U.S. Department of State Regulations, including, but not limited testing. to: Debarred List. Third, after notice and opportunity for The Export Administration A. Applying for, obtaining, or using comment as provided in Section 766.23 any license, license exception, or export Regulations (‘‘EAR’’ or ‘‘Regulations’’) of the Regulations, any other person, are administered and enforced by the control document; firm, corporation, or business B. Carrying on negotiations U.S. Department of Commerce’s Bureau organization related to Jijakli by of Industry and Security (‘‘BIS’’).1 concerning, or ordering, buying, ownership, control, position of receiving, using, selling, delivering, responsibility, affiliation, or other 1 The Regulations are currently codified in the storing, disposing of, forwarding, connection in the conduct of trade or Code of Federal Regulations at 15 CFR parts 730– transporting, financing, or otherwise business may also be made subject to 774 (2019). The Regulations originally issued under servicing in any way, any transaction the provisions of this Order in order to the Export Administration Act of 1979, as amended, involving any item exported or to be 50 U.S.C. 4601–4623 (Supp. III 2015) (‘‘EAA’’), prevent evasion of this Order. which lapsed on August 21, 2001. The President, exported from the United States that is Fourth, in accordance with Part 756 of through Executive Order 13,222 of August 17, 2001 the Regulations, Jijakli may file an (3 CFR, 2001 Comp. 783 (2002)), which was 2 See also Section 11(h) of the EAA, 50 U.S.C. appeal of this Order with the Under extended by successive Presidential Notices, 4610(h) (Supp. III 2015); Sections 1760(e) and 1768 Secretary of Commerce for Industry and continued the Regulations in full force and effect of ECRA, 50 U.S.C. 4819 and 4826; and note 1, under the International Emergency Economic supra. Security. The appeal must be filed Powers Act, 50 U.S.C. 1701, et seq. (2012) 3 See notes 1 and 2, supra. within 45 days from the date of this (‘‘IEEPA’’). On August 13, 2018, the President

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Section 766.25 of the Regulations ‘‘item’’) exported or to be exported from of the Regulations, any other person, provides, in pertinent part, that the the United States that is subject to the firm, corporation, or business ‘‘Director of [BIS’s] Office of Exporter Regulations, including, but not limited organization related to Rezvanov by Services, in consultation with the to: ownership, control, position of Director of [BIS’s] Office of Export A. Applying for, obtaining, or using responsibility, affiliation, or other Enforcement, may deny the export any license, license exception, or export connection in the conduct of trade or privileges of any person who has been control document; business may also be made subject to convicted of a violation of . . . section B. Carrying on negotiations the provisions of this Order in order to 38 of the Arms Export Control Act (22 concerning, or ordering, buying, prevent evasion of this Order. U.S.C. 2778).’’ 15 CFR 766.25(a). The receiving, using, selling, delivering, Fourth, in accordance with Part 756 of denial of export privileges under this storing, disposing of, forwarding, the Regulations, Rezvanov may file an provision may be for a period of up to transporting, financing, or otherwise appeal of this Order with the Under 10 years from the date of the conviction. servicing in any way, any transaction Secretary of Commerce for Industry and 15 CFR 766.25(d).2 In addition, involving any item exported or to be Security. The appeal must be filed pursuant to § 750.8 of the Regulations, exported from the United States that is within 45 days from the date of this BIS’s Office of Exporter Services may subject to the Regulations, or engaging Order and must comply with the revoke any BIS-issued licenses in which in any other activity subject to the provisions of Part 756 of the the person had an interest at the time of Regulations; or Regulations. his/her conviction.3 C. Benefitting in any way from any Fifth, a copy of this Order shall be BIS has received notice of Rezvanov’s transaction involving any item exported delivered to Rezvanov and shall be conviction for violating Section 38 of or to be exported from the United States published in the Federal Register. the AECA, and pursuant to § 766.25 of that is subject to the Regulations, or Sixth, this Order is effective the Regulations has provided notice and from any other activity subject to the immediately and shall remain in effect an opportunity for Rezvanov to make a Regulations. until July 24, 2028. written submission to BIS. BIS has not Second, no person may, directly or Issued this 30th day of September, 2019. received a submission from Rezvanov. indirectly, do any of the following: Karen H. Nies-Vogel, Based upon my review and A. Export or reexport to or on behalf Director, Office of Exporter Services. consultations with BIS’s Office of of the Denied Person any item subject to the Regulations; [FR Doc. 2019–21746 Filed 10–4–19; 8:45 am] Export Enforcement, including its BILLING CODE 3510–33–P Director, and the facts available to BIS, B. Take any action that facilitates the I have decided to deny Rezvanov’s acquisition or attempted acquisition by export privileges under the Regulations the Denied Person of the ownership, DEPARTMENT OF COMMERCE for a period of 10 years from the date of possession, or control of any item Rezvanov’s conviction. I have also subject to the Regulations that has been Bureau of Industry and Security decided to revoke any BIS-issued or will be exported from the United license in which Rezvanov had an States, including financing or other In the Matter of: Barbara Jo Luque, interest at the time of his conviction. support activities related to a 7582 South Ocean Port Drive, Tucson, Accordingly, it is hereby Ordered: transaction whereby the Denied Person AZ 85757, Order Denying Export First, from the date of this Order until acquires or attempts to acquire such Privileges July 24, 2028, Eldar Rezvanov, with a ownership, possession or control; C. Take any action to acquire from or On April 25, 2018, in the U.S. District last known address at: Inmate Number: Court for the District of Arizona, Barbara 35027–016, Moshannon Valley to facilitate the acquisition or attempted acquisition from the Denied Person of Jo Luque (‘‘Luque’’) was convicted of Correctional Institution, 555 Geo Drive, violating Section 38 of the Arms Export Philipsburg, PA 16866, when acting for any item subject to the Regulations that has been exported from the United Control Act (22 U.S.C. 2778 (2012)) or on his behalf, his successors, assigns, (‘‘AECA’’). Luque was convicted of employees, agents or representatives States; D. Obtain from the Denied Person in violating Section 38 of the AECA by (‘‘the Denied Person’’), may not, directly the United States any item subject to the intentionally attempting to willfully and or indirectly, participate in any way in Regulations with knowledge or reason knowingly export and cause to be any transaction involving any to know that the item will be, or is exported from the United States to commodity, software or technology intended to be, exported from the Mexico items designated as defense (hereinafter collectively referred to as United States; or articles on the United States Munitions E. Engage in any transaction to service List, namely, 5,000 rounds of FMJ signed into law the John S. McCain National any item subject to the Regulations that Russian 7.62x39 mm ammunition and Defense Authorization Act for Fiscal Year 2019, 125 AK–47 KCI thirty-round magazines, which includes the Export Control Reform Act of has been or will be exported from the 2018, 50 U.S.C. 4801–4852 (‘‘ECRA’’). While United States and which is owned, without the required U.S. Department of Section 1766 of ECRA repeals the provisions of the possessed or controlled by the Denied State licenses. Luque was sentenced to EAA (except for three sections which are six months in prison, with credit for inapplicable here), Section 1768 of ECRA provides, Person, or service any item, of whatever origin, that is owned, possessed or time served, two years of supervised in pertinent part, that all rules and regulations that release, and a special assessment of were made or issued under the EAA, including as controlled by the Denied Person if such continued in effect pursuant to IEEPA, and were in service involves the use of any item $100. effect as of ECRA’s date of enactment (August 13, The Export Administration subject to the Regulations that has been 2018), shall continue in effect according to their Regulations (‘‘EAR’’ or ‘‘Regulations’’) or will be exported from the United terms until modified, superseded, set aside, or are administered and enforced by the revoked through action undertaken pursuant to the States. For purposes of this paragraph, authority provided under ECRA. U.S. Department of Commerce’s Bureau servicing means installation, 1 2 of Industry and Security (‘‘BIS’’). See also Section 11(h) of the EAA, 50 U.S.C. maintenance, repair, modification or 4610(h) (Supp. III 2015); Sections 1760(e) and 1768 of ECRA, 50 U.S.C. 4819 and 4826; and note 1, testing. 1 The Regulations are currently codified in the supra. Third, after notice and opportunity for Code of Federal Regulations at 15 CFR parts 730– 3 See notes 1 and 2, supra. comment as provided in Section 766.23 Continued

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Section 766.25 of the Regulations a last known address of 7582 South controlled by the Denied Person if such provides, in pertinent part, that the Ocean Port Drive, Tucson, AZ 85757, service involves the use of any item ‘‘Director of [BIS’s] Office of Exporter and when acting for or on her behalf, subject to the Regulations that has been Services, in consultation with the her successors, assigns, employees, or will be exported from the United Director of [BIS’s] Office of Export agents or representatives (‘‘the Denied States. For purposes of this paragraph, Enforcement, may deny the export Person’’), may not directly or indirectly servicing means installation, privileges of any person who has been participate in any way in any maintenance, repair, modification or convicted of a violation of . . . section transaction involving any commodity, testing. 38 of the Arms Export Control Act (22 software or technology (hereinafter Third, after notice and opportunity for U.S.C. 2778).’’ 15 CFR 766.25(a). The collectively referred to as ‘‘item’’) comment as provided in Section 766.23 denial of export privileges under this exported or to be exported from the of the Regulations, any other person, provision may be for a period of up to United States that is subject to the firm, corporation, or business 10 years from the date of the conviction. Regulations, including, but not limited organization related to Luque by 15 CFR 766.25(d).2 In addition, to: ownership, control, position of pursuant to Section 750.8 of the A. Applying for, obtaining, or using responsibility, affiliation, or other Regulations, BIS’s Office of Exporter any license, license exception, or export connection in the conduct of trade or Services may revoke any BIS-issued control document; business may also be made subject to licenses in which the person had an B. Carrying on negotiations the provisions of this Order in order to interest at the time of his/her concerning, or ordering, buying, prevent evasion of this Order. conviction.3 receiving, using, selling, delivering, Fourth, in accordance with Part 756 of BIS has received notice of Luque’s storing, disposing of, forwarding, the Regulations, Luque may file an conviction for violating Section 38 of transporting, financing, or otherwise appeal of this Order with the Under the AECA and pursuant to Section servicing in any way, any transaction Secretary of Commerce for Industry and 766.25 of the Regulations has provided involving any item exported or to be Security. The appeal must be filed notice and an opportunity for Luque to exported from the United States that is within 45 days from the date of this make a written submission to BIS. BIS subject to the Regulations, or engaging Order and must comply with the has not received a submission from in any other activity subject to the provisions of Part 756 of the Luque. Regulations; or Regulations. Based upon my review and C. Benefitting in any way from any Fifth, a copy of this Order shall be consultations with BIS’s Office of transaction involving any item exported delivered to Luque and shall be Export Enforcement, including its or to be exported from the United States published in the Federal Register. Director, and the facts available to BIS, that is subject to the Regulations, or Sixth, this Order is effective I have decided to deny Luque’s export from any other activity subject to the immediately and shall remain in effect privileges under the Regulations for a Regulations. until April 25, 2025. period of seven years from the date of Second, no person may, directly or Luque’s conviction. I have also decided indirectly, do any of the following: Issued this 30th day of September 2019. to revoke any BIS-issued license in A. Export or reexport to or on behalf Karen H. Nies-Vogel, which Luque had an interest at the time of the Denied Person any item subject to Director, Office of Exporter Services. of her conviction. the Regulations; [FR Doc. 2019–21740 Filed 10–4–19; 8:45 am] Accordingly, it is hereby ordered: B. Take any action that facilitates the BILLING CODE P First, from the date of this Order until acquisition or attempted acquisition by April 25, 2025, Barbara Jo Luque, with the Denied Person of the ownership, possession, or control of any item DEPARTMENT OF COMMERCE 774 (2019). The Regulations originally issued under subject to the Regulations that has been the Export Administration Act of 1979, as amended, International Trade Administration 50 U.S.C. 4601–4623 (Supp. III 2015) (‘‘EAA’’), or will be exported from the United which lapsed on August 21, 2001. The President, States, including financing or other [A–821–809] through Executive Order 13,222 of August 17, 2001 support activities related to a (3 CFR, 2001 Comp. 783 (2002)), which has been transaction whereby the Denied Person Certain Hot-Rolled Flat-Rolled Carbon- extended by successive Presidential Notices, the most recent being that of August 14, 2019 (84 FR acquires or attempts to acquire such Quality Steel Products From the 41,881 (Aug. 15, 2019)), continued the Regulations ownership, possession or control; Russian Federation: Preliminary No in full force and effect under the International C. Take any action to acquire from or Shipments Determination of Emergency Economic Powers Act, 50 U.S.C. 1701, to facilitate the acquisition or attempted Antidumping Duty Administrative et seq. (2012) (‘‘IEEPA’’). On August 13, 2018, the acquisition from the Denied Person of President signed into law the John S. McCain Review; 2017–2018 National Defense Authorization Act for Fiscal Year any item subject to the Regulations that AGENCY 2019, which includes the Export Control Reform has been exported from the United : Enforcement and Compliance, Act of 2018, 50 U.S.C. 4801–4852 (‘‘ECRA’’). While States; International Trade Administration, Section 1766 of ECRA repeals the provisions of the D. Obtain from the Denied Person in Department of Commerce. EAA (except for three sections which are SUMMARY: The Department of Commerce inapplicable here), Section 1768 of ECRA provides, the United States any item subject to the in pertinent part, that all rules and regulations that Regulations with knowledge or reason (Commerce) is conducting an were made or issued under the EAA, including as to know that the item will be, or is administrative review of the continued in effect pursuant to IEEPA, and were in intended to be, exported from the antidumping duty order on certain hot- effect as of ECRA’s date of enactment (August 13, rolled flat-rolled carbon-quality steel 2018), shall continue in effect according to their United States; or terms until modified, superseded, set aside, or E. Engage in any transaction to service products (hot-rolled steel) from the revoked through action undertaken pursuant to the any item subject to the Regulations that Russian Federation. The period of authority provided under ECRA. has been or will be exported from the review (POR) is December 1, 2017 2 See also Section 11(h) of the EAA, 50 U.S.C. United States and which is owned, through November 30, 2018. Interested 4610(h) (Supp. III 2015); Sections 1760(e) and 1768 parties are invited to comment on these of ECRA, 50 U.S.C. 4819 and 4826; and note 1, possessed or controlled by the Denied supra. Person, or service any item, of whatever preliminary results. 3 See notes 1 and 2, supra. origin, that is owned, possessed or DATES: Applicable October 7, 2019.

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FOR FURTHER INFORMATION CONTACT: exports, sales, or entries of subject recognized as low carbon steels with Preston Cox, AD/CVD Operations, merchandise into the United States micro-alloying levels of elements such Office VI, Enforcement and Compliance, during the POR.6 Similarly, on April 25, as titanium and/or niobium added to International Trade Administration, 2019, Commerce received a letter from stabilize carbon and nitrogen elements. U.S. Department of Commerce, 1401 Severstal Export GmbH reporting it had HSLA steels are recognized as steels Constitution Avenue NW, Washington, no exports, sales, or entries of subject with micro-alloying levels of elements DC 20230; telephone: (202) 482–5041. merchandise into the United States such as chromium, copper, niobium, SUPPLEMENTARY INFORMATION: during the POR.7 On June 28, 2019, we titanium, vanadium, and molybdenum. transmitted a ‘‘No-Shipment Inquiry’’ to The substrate for motor lamination Background U.S. Customs and Border Protection steels contains micro-alloying levels of In response to Commerce’s notice of (CBP) regarding NLMK, Severstal PAO, elements such as silicon and aluminum. opportunity to request an administrative and Severstal Export GmbH, to which Steel products to be included in the review on hot-rolled steel from the CBP responded that it found no scope of this order, regardless of Russian Federation,1 Nucor shipments of hot-rolled steel from Harmonized Tariff Schedule of the Corporation, AK Steel Corporation, NLMK, Severstal PAO, and Severstal United States (HTSUS) definitions, are ArcelorMittal USA LLC, United States Export GmbH during the POR.8 products in which: (1) Uiron Steel Corporation, California Steel Scope of the Order predominates, by weight, over each of Industries, Steel Dynamics, Inc., and the other contained elements; (2) the For the purposes of this order, ‘‘hot- SSAB Enterprises LLC (domestic carbon content is 2 percent or less, by rolled steel’’ means certain hot-rolled interested parties) timely requested an weight; and (3) none of the elements flat-rolled carbon-quality steel products administrative review with respect to listed below exceeds the quantity, by of a rectangular shape, of a width of 0.5 Novolipetsk Steel (NLMK), Severstal weight, respectively indicated: 1.80 2 inch or greater, neither clad, plated, nor PAO, and Severstal Export GmbH. On percent of manganese, or 1.50 percent of coated with metal and whether or not January 28, 2019, Commerce exercised silicon, or 1.00 percent of copper, or painted, varnished, or coated with its discretion to toll all deadlines for 0.50 percent of aluminum, or 1.25 plastics or other non-metallic reviews of antidumping duty orders percent of chromium, or 0.30 percent of substances, in coils (whether or not in with December anniversary dates which cobalt, or 0.40 percent of lead, or 1.25 successively superimposed layers) were affected by the partial government percent of nickel, or 0.30 percent of 3 regardless of thickness, and in straight shutdown by 31 days. tungsten, or 0.012 percent of boron, or On March 14, 2019, Commerce lengths, of a thickness less than 4.75 0.10 percent of molybdenum, or 0.10 published in the Federal Register a mm and of a width measuring at least percent of niobium, or 0.41 percent of notice of initiation of an administrative 10 times the thickness. titanium, or 0.15 percent of vanadium, review of the antidumping duty order Universal mill plate (i.e., flat-rolled or 0.15 percent of zirconium. on hot-rolled steel from the Russian products rolled on four faces or in a Federation covering three companies: closed box pass, of a width exceeding All products that meet the physical NLMK, Severstal PAO, and Severstal 150 mm but not exceeding 1250 mm and chemical description provided Export GmbH.4 Subsequently, on April and of a thickness of not less than 4 above are within the scope of this 9, 2019, Commerce received a letter mm, not in coils and without patterns agreement unless otherwise excluded. from NLMK reporting that it had no in relief) of a thickness not less than 4.0 The following products, by way of exports, sales, or entries of subject mm is not included within the scope of example, are outside and/or specifically merchandise into the United States this order. excluded from the scope of this during the POR.5 On April 18, 2019, Specifically included in this scope are agreement: Commerce received a letter from vacuum degassed, fully stabilized — Alloy hot-rolled steel products in Severstal PAO reporting it had no (commonly referred to as interstitial-free which at least one of the chemical (IF)) steels, high strength low alloy elements exceeds those listed above 1 See Antidumping or Countervailing Duty Order, (HSLA) steels, and the substrate for (including e.g., ASTM specifications Finding, or Suspended Investigation; Opportunity motor lamination steels. IF steels are A543, A387, A514, A517, and A506). To Request Administrative Review, 83 FR 62293 (December 3, 2018). — SAE/AISI grades of series 2300 and 6 2 See Domestic Interested Parties’ Letter, ‘‘Certain See Severstal PAO’s Letter, ‘‘Administrative higher. Review of the Antidumping Order on Certain Hot- Hot-Rolled Carbon Steel Flat Products from Russia: — Ball bearing steels, as defined in the Request for Administrative Review,’’ dated Rolled December 31, 2018. Carbon-Quality Steel Products from the Russian HTSUS. 3 See Memorandum to the Record from Steven Federation: Certification of No Shipments for PAO — Tool steels, as defined in the HTSUS. Presing, ‘‘December Order Deadlines Affected by Severstal,’’ dated April 18, 2019. — Silica-manganese (as defined in the the Partial Shutdown of the Federal Government,’’ 7 See Severstal Export GmbH’s Letter, dated August 7, 2019. ‘‘Administrative Review of the Antidumping Order HTSUS) or silicon electrical steel with 4 See Initiation of Antidumping and on Certain Hot-Rolled Carbon-Quality Steel a silicon level exceeding 1.50 percent. Countervailing Duty Administrative Reviews, 84 FR Products from the Russian Federation: Certification — ASTM specifications A710 and A736. 9297 (March 14, 2019). of No Shipments for JSC Severstal,’’ dated April 25, 5 See NLMK’s Letter, ‘‘Certification of No 2019. — USS Abrasion-resistant steels (USS Shipments for Novolipetsk Steel: Administrative 8 See Memorandum, ‘‘Hot-rolled flat-rolled AR 400, USS AR 500). Review of the Antidumping Duty Order on Certain carbon-quality steel products from the Russia — Hot-rolled steel coil which meets the Hot-Rolled-Carbon-Quality Steel Products from the Federation (Commerce A–821–809; Customs A– following chemical, physical and Russian Federation 12/1/2017 to 11/30/2018,’’ 462–809),’’ dated July 1, 2019 (Customs Liaison dated April 9, 2019. Unit Memorandum). mechanical specifications:

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C Mn P S Si Cr Cu Ni

0.10–0.14% 0.90% Max 0.025% Max 0.005% Max 0.30 ¥ 0.50% 0.50 ¥ 0.70% 0.20 ¥ 0.40% 0.20% Max Width = 44.80 inches maximum; Thickness = 0.063 ¥ 0.198 inches; Yield Strength = 50,000 ksi minimum; Tensile Strength = 70,000 ¥ 88,000 psi.

—Hot-rolled steel coil which meets the following chemical, physical and mechanical specifications:

C Mn P S Si Cr Cu Ni

0.10 ¥ 0.16% 0.70% ¥ 0.025% Max 0.006% Max 0.30 ¥ 0.50% 0.50 ¥ 0.70% 0.25% Max 0.20% Max 0.90% Mo ...... 0.21% Max ...... Width = 44.80 inches maximum; Thickness = 0.350 inches maximum; Yield Strength = 80,000 ksi minimum; Tensile Strength = 105,000 psi Aim.

—Hot-rolled steel coil which meets the following chemical, physical and mechanical specifications:

C Mn P S Si Cr Cu Ni

0.10 ¥ 0.14% 1.30 ¥ 1.80% 0.025% Max 0.005% Max 0.30 ¥ 0.50% 0.50 ¥ 0.70% 0.20 ¥ 0.70% 0.20% Max V(wt.) Cb ...... 0.10% Max 0.08% Max ...... Width = 44.80 inches maximum; Thickness = 0.350 inches maximum; Yield Strength = 80,000 ksi minimum; Tensile Strength = 105,000 psi Aim.

—Hot-rolled steel coil which meets the following chemical, physical and mechanical specifications:

C Mn P S Si Cr Cu Ni

0.15% Max 1.40% Max 0.025% Max 0.010% Max 0.50% Max 1.00% Max 0.50% Max .20% Max Nb Ca Al ...... 0.005% Max Treated 0.01 ¥ 0.07% ...... Width = 39.37 inches; Thickness = 0.181 inches maximum; Yield Strength = 70,000 psi minimum for thicknesses ≤ 0.148 inches and 65,000 psi minimum for thicknesses > 0.148 inches; Tensile Strength = 80,000 psi minimum.

Hot-rolled dual phase steel, phase- residuals including 0.15 percent 7210.70.30.00, 7210.90.90.00, hardened, primarily with a ferritic- maximum chromium. 7211.14.00.30, 7211.14.00.90, martensitic microstructure, contains Grade ASTM A570–50 hot-rolled steel 7211.19.15.00, 7211.19.20.00, 0.9 percent up to and including 1.5 sheet in coils or cut lengths, width of 7211.19.30.00, 7211.19.45.00, percent silicon by weight, further 74 inches (nominal, within ASTM 7211.19.60.00, 7211.19.75.30, characterized by either (i) tensile tolerances), thickness of 11 gauge 7211.19.75.60, 7211.19.75.90, strength between 540 N/mm2 and 640 (0.119 inches nominal), mill edge and 7212.40.10.00, 7212.40.50.00, N/mm2 and an elongation percentage skin passed, with a minimum copper 7212.50.00.00. Certain hot-rolled flat- ≥ 26 percent for thicknesses of 2 mm content of 0.20 percent. rolled carbon-quality steel covered and above, or (ii) a tensile strength The covered merchandise is classified include: Vacuum degassed, fully between 590 N/mm2 and 690 N/mm2 in the HTSUS at subheadings: stabilized; high strength low alloy; and and an elongation percentage ≥ 25 7208.10.15.00, 7208.10.30.00, the substrate for motor lamination steel percent for thicknesses of 2mm and 7208.10.60.00, 7208.25.30.00, may also enter under the following tariff 7208.25.60.00, 7208.26.00.30, numbers: 7225.11.00.00, 7225.19.00.00, above. 7208.26.00.60, 7208.27.00.30, 7225.30.30.50, 7225.30.70.00, Hot-rolled bearing quality steel, SAE 7208.27.00.60, 7208.36.00.30, 7225.40.70.00, 7225.99.00.90, grade 1050, in coils, with an inclusion 7208.36.00.60, 7208.37.00.30, 7226.11.10.00, 7226.11.90.30, rating of 1.0 maximum per ASTM E 7208.37.00.60, 7208.38.00.15, 7226.11.90.60, 7226.19.10.00, 45, Method A, with excellent surface 7208.38.00.30, 7208.38.00.90, 7226.19.90.00, 7226.91.50.00, quality and chemistry restrictions as 7208.39.00.15, 7208.39.00.30, 7226.91.70.00, 7226.91.80.00, and follows: 0.012 percent maximum 7208.39.00.90, 7208.40.60.30, 7226.99.01.80. Although the HTSUS phosphorus, 0.015 percent maximum 7208.40.60.60, 7208.53.00.00, subheadings are provided for sulfur, and 0.20 percent maximum 7208.54.00.00, 7208.90.00.00, convenience and Customs purposes, the

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written description of the covered raised in the respective case and antidumping duties prior to liquidation merchandise is dispositive. rebuttal briefs. If a request for a hearing of the relevant entries during this is made, Commerce intends to hold the review period. Failure to comply with Preliminary Determination of No hearing at the U.S. Department of this requirement could result in Shipments Commerce, 1401 Constitution Avenue Commerce’s presumption that Based on record evidence, we NW, Washington, DC 20230, at a time reimbursement of antidumping duties preliminarily determine that NLMK, and date to be determined. Parties occurred and the subsequent assessment Severstal PAO, and Severstal Export should confirm by telephone the date, of double antidumping duties. GmbH had no shipments of subject time, and location of the hearing two merchandise during the POR. days before the scheduled date. Notification to Interested Parties Specifically, CBP indicated that it found All submissions must be filed We are issuing and publishing these no shipments by NLMK, Severstal PAO, electronically using ACCESS and served results in accordance with sections and Severstal Export GmbH during the on interested parties.15 An 751(a)(1) and 777(i) of the Act. 9 POR. Consistent with Commerce’s electronically-filed document must be Dated: September 30, 2019. practice, we find that it is not received successfully in its entirety by Jeffrey I. Kessler, appropriate to rescind the review with ACCESS by 5:00 p.m. Eastern Standard respect to NLMK, Severstal PAO, and Time on the date that the document is Assistant Secretary for Enforcement and Compliance. Severstal Export GmbH but, rather, to due. complete the review and issue Unless the deadline is extended, [FR Doc. 2019–21823 Filed 10–4–19; 8:45 am] appropriate instructions to CBP based Commerce intends to issue the final BILLING CODE 3510–DS–P on the final results of this review.10 results of this administrative review, including the results of its analysis of Public Comment the issues raised in any written briefs, DEPARTMENT OF COMMERCE Interested parties may submit case not later than 120 days after the date of International Trade Administration briefs no later than 30 days after the publication of this notice, pursuant to 11 date of publication of this notice. section 751(a)(3)(A) of the Tariff Act of Initiation of Antidumping and Rebuttal briefs, limited to issues raised 1930, as amended (the Act). Countervailing Duty Administrative in the case briefs, may be filed not later Reviews than five days after the date for filing Assessment Rates case briefs.12 Parties who submit case or In accordance with Commerce’s AGENCY: Enforcement and Compliance, rebuttal briefs in this proceeding are practice, we find it appropriate to International Trade Administration, encouraged to submit with each complete the review and issue Department of Commerce. argument: (1) A statement of the issue; liquidation instructions to CBP SUMMARY: The Department of Commerce (2) a brief summary of the argument; concerning entries for NLMK, Severstal (Commerce) has received requests to and (3) a table of authorities.13 PAO, and Severstal Export GmbH conduct administrative reviews of Pursuant to 19 CFR 351.310(c), following issuance of the final results of various antidumping and countervailing interested parties who wish to request a review. If we continue to find that duty orders and findings with August hearing, or to participate if one is NLMK, Severstal PAO, and Severstal anniversary dates. In accordance with requested, must submit a written Export GmbH had no shipments of Commerce’s regulations, we are request to the Assistant Secretary for subject merchandise in the final results, initiating those administrative reviews. Enforcement and Compliance, U.S. we will instruct CBP to liquidate any DATES: Applicable October 7, 2019. Department of Commerce using existing entries of merchandise FOR FURTHER INFORMATION CONTACT: Enforcement and Compliance’s ACCESS produced by NLMK, Severstal PAO, and Brenda E. Brown, Office of AD/CVD system within 30 days after the date of Severstal Export GmbH, but exported by Operations, Customs Liaison Unit, 14 publication of this notice. Requests other parties, at the rate for the Enforcement and Compliance, should contain: (1) The party’s name, intermediate reseller, if available, or at International Trade Administration, address, and telephone number; (2) the the all-others rate.16 U.S. Department of Commerce, 1401 number of participants; and (3) a list of We intend to issue instructions to Constitution Avenue NW, Washington, issues to be discussed. Issues raised in CBP 15 days after the publication date DC 20230, telephone: (202) 482–4735. the hearing will be limited to those of the final results of this review. SUPPLEMENTARY INFORMATION: Cash Deposit Requirements 9 See Customs Liaison Unit Memorandum. Background 10 See, e.g., Certain Frozen Warmwater Shrimp If the final results of review continue Commerce has received timely From Thailand; Preliminary Results of to find that NLMK, Severstal PAO, and Antidumping Duty Administrative Review, Partial requests, in accordance with 19 CFR Severstal Export GmbH had no Rescission of Review, Preliminary Determination of 351.213(b), for administrative reviews of shipments during the POR, there will be No Shipments; 2012–2013, 79 FR 15951, 15952 various antidumping and countervailing (March 24, 2014), unchanged in Certain Frozen no change to the existing cash deposit duty orders and findings with August Warmwater Shrimp From Thailand: Final Results of requirements. Antidumping Duty Administrative Review, Final anniversary dates. Determination of No Shipments, and Partial Notification to Importers All deadlines for the submission of Rescission of Review; 2012–2013, 79 FR 51306 various types of information, (August 28, 2014); Magnesium Metal From the This notice also serves as a Russian Federation: Preliminary Results of preliminary reminder to importers of certifications, or comments or actions by Antidumping Duty Administrative Review, 75 FR their responsibility under 19 CFR Commerce discussed below refer to the 26922, 26923 (May 13, 2010), unchanged in 351.402(f)(2) to file a certificate number of calendar days from the Magnesium Metal From the Russian Federation: applicable starting time. Final Results of Antidumping Duty Administrative regarding the reimbursement of Review, 75 FR 56989 (September 17, 2010). Notice of No Sales 11 See 19 CFR 351.309(c)(1)(ii). 15 See 19 CFR 351.303(f). 12 See 19 CFR 351.309(d). 16 See Antidumping and Countervailing Duty If a producer or exporter named in 13 See 19 CFR 351.309(c)(2) and (d)(2). Proceedings: Assessment of Antidumping Duties, 68 this notice of initiation had no exports, 14 See 19 CFR 351.310(c). FR 23954 (May 6, 2003). sales, or entries during the period of

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review (POR), it must notify Commerce administrative review, new shipper will respond to such a submission within 30 days of publication of this review or changed circumstances consistent with 19 CFR 351.301(c)(2)(v). notice in the Federal Register. All review). For any company subject to this If Commerce finds that a PMS exists submissions must be filed electronically review, if Commerce determined, or under section 773(e) of the Act, then it at http://access.trade.gov in accordance continued to treat, that company as will modify its dumping calculations with 19 CFR 351.303.1 Such collapsed with others, Commerce will appropriately. submissions are subject to verification assume that such companies continue to Neither section 773(e) of the Act nor in accordance with section 782(i) of the operate in the same manner and will 19 CFR 351.301(c)(2)(v) set a deadline Tariff Act of 1930, as amended (the Act). collapse them for respondent selection for the submission of PMS allegations Further, in accordance with 19 CFR purposes. Otherwise, Commerce will and supporting factual information. 351.303(f)(1)(i), a copy must be served not collapse companies for purposes of However, in order to administer section on every party on Commerce’s service respondent selection. Parties are 773(e) of the Act, Commerce must list. requested to (a) identify which receive PMS allegations and supporting companies subject to review previously factual information with enough time to Respondent Selection were collapsed, and (b) provide a consider the submission. Thus, should In the event Commerce limits the citation to the proceeding in which they an interested party wish to submit a number of respondents for individual were collapsed. Further, if companies PMS allegation and supporting new examination for administrative reviews are requested to complete the Quantity factual information pursuant to section initiated pursuant to requests made for and Value (Q&V) Questionnaire for 773(e) of the Act, it must do so no later the orders identified below, Commerce purposes of respondent selection, in than 20 days after submission of initial intends to select respondents based on general each company must report responses to section D of the U.S. Customs and Border Protection volume and value data separately for questionnaire. (CBP) data for U.S. imports during the itself. Parties should not include data Separate Rates POR. We intend to place the CBP data for any other party, even if they believe on the record within five days of they should be treated as a single entity In proceedings involving non-market publication of the initiation notice and with that other party. If a company was economy (NME) countries, Commerce to make our decision regarding collapsed with another company or begins with a rebuttable presumption respondent selection within 30 days of companies in the most recently that all companies within the country publication of the initiation Federal completed segment of this proceeding are subject to government control and, Register notice. Comments regarding the where Commerce considered collapsing thus, should be assigned a single CBP data and respondent selection that entity, complete Q&V data for that antidumping duty deposit rate. It is should be submitted within seven days collapsed entity must be submitted. Commerce’s policy to assign all exporters of merchandise subject to an after the placement of the CBP data on Deadline for Withdrawal of Request for administrative review in an NME the record of this review. Parties Administrative Review country this single rate unless an wishing to submit rebuttal comments exporter can demonstrate that it is should submit those comments within Pursuant to 19 CFR 351.213(d)(1), a sufficiently independent so as to be five days after the deadline for the party that has requested a review may entitled to a separate rate. initial comments. withdraw that request within 90 days of the date of publication of the notice of To establish whether a firm is In the event Commerce decides it is sufficiently independent from necessary to limit individual initiation of the requested review. The regulation provides that Commerce may government control of its export examination of respondents and activities to be entitled to a separate conduct respondent selection under extend this time if it is reasonable to do so. Determinations by Commerce to rate, Commerce analyzes each entity section 777A(c)(2) of the Act, the exporting the subject merchandise. In following guidelines regarding extend the 90-day deadline will be made on a case-by-case basis. accordance with the separate rates collapsing of companies for purposes of criteria, Commerce assigns separate respondent selection will apply. In Deadline for Particular Market rates to companies in NME cases only general, Commerce has found that Situation Allegation if respondents can demonstrate the determinations concerning whether Section 504 of the Trade Preferences absence of both de jure and de facto particular companies should be Extension Act of 2015 amended the Act government control over export ‘‘collapsed’’ (e.g., treated as a single by adding the concept of particular activities. entity for purposes of calculating market situation (PMS) for purposes of All firms listed below that wish to antidumping duty rates) require a constructed value under section 773(e) qualify for separate rate status in the substantial amount of detailed of the Act.2 administrative reviews involving NME information and analysis, which often Section 773(e) of the Act states that ‘‘if a particular market countries must complete, as require follow-up questions and appropriate, either a separate rate analysis. Accordingly, Commerce will situation exists such that the cost of materials and fabrication or other application or certification, as described not conduct collapsing analyses at the below. For these administrative reviews, respondent selection phase of this processing of any kind does not accurately reflect the cost of production in order to demonstrate separate rate review and will not collapse companies eligibility, Commerce requires entities at the respondent selection phase unless in the ordinary course of trade, the administering authority may use for whom a review was requested, that there has been a determination to were assigned a separate rate in the collapse certain companies in a another calculation methodology under this subtitle or any other calculation most recent segment of this proceeding previous segment of this antidumping in which they participated, to certify proceeding (e.g., investigation, methodology.’’ When an interested party submits a PMS allegation pursuant that they continue to meet the criteria for obtaining a separate rate. The 1 See Antidumping and Countervailing Duty to section 773(e) of the Act, Commerce Proceedings: Electronic Filing Procedures; Separate Rate Certification form will be Administrative Protective Order Procedures, 76 FR 2 See Trade Preferences Extension Act of 2015, available on Commerce’s website at 39263 (July 6, 2011). Public Law 114–27, 129 Stat. 362 (2015). http://enforcement.trade.gov/nme/nme-

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sep-rate.html on the date of publication proceeding that have subsequently to NME-owned firms, wholly foreign- of this Federal Register notice. In made changes, including, but not owned firms, and foreign sellers that responding to the certification, please limited to, changes to corporate purchase and export subject follow the ‘‘Instructions for Filing the structure, acquisitions of new merchandise to the United States. Certification’’ in the Separate Rate companies or facilities, or changes to 4 For exporters and producers who Certification. Separate Rate their official company name, should submit a separate-rate status application Certifications are due to Commerce no timely file a Separate Rate Application or certification and subsequently are later than 30 calendar days after to demonstrate eligibility for a separate selected as mandatory respondents, publication of this Federal Register rate in this proceeding. The Separate these exporters and producers will no notice. The deadline and requirement Rate Status Application will be longer be eligible for separate rate status for submitting a Certification applies available on Commerce’s website at unless they respond to all parts of the equally to NME-owned firms, wholly http://enforcement.trade.gov/nme/nme- questionnaire as mandatory foreign-owned firms, and foreign sellers sep-rate.html on the date of publication who purchase and export subject of this Federal Register notice. In respondents. merchandise to the United States. responding to the Separate Rate Status Initiation of Reviews Entities that currently do not have a Application, refer to the instructions separate rate from a completed segment contained in the application. Separate In accordance with 19 CFR of the proceeding 3 should timely file a Rate Status Applications are due to 351.221(c)(1)(i), we are initiating Separate Rate Application to Commerce no later than 30 calendar administrative reviews of the following demonstrate eligibility for a separate days of publication of this Federal antidumping and countervailing duty rate in this proceeding. In addition, Register notice. The deadline and orders and findings. We intend to issue companies that received a separate rate requirement for submitting a Separate the final results of these reviews not in a completed segment of the Rate Status Application applies equally later than August 31, 2020.

Period to be reviewed

Antidumping Duty Proceedings INDIA: Finished Carbon Steel Flanges, A–533–871 ...... 8/1/18–7/31/19 Adinath International Allena Group Alloyed Steel Bansidhar Chiranjilal Bebitz Flanges Works Private Limited Bebitz U.S.A., Inc. C.D. Industries CHW Forge CHW Forge Pvt. Ltd. Citizen Metal Depot Corum Flange DN Forge Industries Echjay Forgings Limited Falcon Valves and Flanges Private Limited Heubach International Hindon Forge Pvt. Ltd. Jai Auto Pvt. Ltd. Kinnari Steel Corporation M F Rings and Bearing Races Ltd. Mascot Metal Manufacturers Norma (India) Limited Norma (India) Ltd. OM Exports Punjab Steel Works (PSW) R.D. Forge R.N. Gupta & Co. Ltd. Raaj Sagar Steels Ravi Ratan Metal Industries Rolex Fittings India Pvt. Ltd. Rollwell Forge Pvt. Ltd. SHM (ShinHeung Machinery) Siddhagiri Metal & Tubes Silbo Industries, Inc. Sizer India Steel Shape India Sudhir Forgings Pvt. Ltd. Tirupati Forge Uma Shanker Khandelwal & Co. Umashanker Khandelwal and Co. Umashanker Khandelwal Forging Limited

3 Such entities include entities that have not shipper review, etc.) and entities that lost their 4 Only changes to the official company name, participated in the proceeding, entities that were separate rate in the most recently completed rather than trade names, need to be addressed via preliminarily granted a separate rate in any segment of the proceeding in which they a Separate Rate Application. Information regarding currently incomplete segment of the proceeding participated. new trade names may be submitted via a Separate (e.g., an ongoing administrative review, new Rate Certification.

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Period to be reviewed

USK Export Private Limited INDIA: Polyethylene Terephthalate (PET) Film, 5 A–533–824 ...... 7/1/18–6/30/19 ITALY: Finished Carbon Steel Flanges, A–475–835 ...... 8/1/18–7/31/19 ASFO S.p.A. ASFO S.p.A.—FOMAS Group Assotherm srl Bifrangi S.p,A. CAT Carpenteria Metallica srl Costruzione Ricambi Machine Industriali Filmag Italia S.r,l. FOC Ciscato S,p.A. FOMAS Forgia Di Bollate S.p.A. Forgiatura A. Vienna diAntonio Vienna Forgital Italy S.p.A. Franchini Acciai S.p.A. Galperti Forged Products Inox Laghi S.r,l. KIASMA SRL lml lndustria Meccanica Ligure Martin Valmore srl M.E.G.A. S.p.A. Metalfar Prodotti lndustriali, S.p.A. Officine Ambrogio Melesi& C. S.R.L Officine di Cortabbio s.r.l. OFFICINE MECCANICHE CIOCCA S.P.A. Officine SANTAFEDE Siderforgerossi Group S.P.A. UNIGEN Steel Engineering VALVITALIA S.p.A. JAPAN: Tin Mill Products, A–588–854 ...... 8/1/18–7/31/19 Hanwa Co., Ltd. Hitachi Metals, Ltd. JFE Steel Corporation JFE Shoji Trade Corporation Kobe Steel Ltd. Mitsui and Co., Ltd. Nippon Steel Group Nippon Steel Corporation Sumikin Bussan Nippon Steel Trading Corporation Okaya and Co., Ltd. Oneda Electric Corporation Sumitomo Corporation Sumitomo Corporation Global Metals Tomiyasu & Co., Ltd. Toyo Kohan Co., Ltd. MALAYSIA: Polyethylene Retail Carrier Bags, A–557–813 ...... 8/1/18–7/31/19 Euro SME Sdn Bhd MEXICO: Light-Walled Rectangular Pipe and Tube, A–201–836 ...... 8/1/18–7/31/19 Aceros Cuatro Caminos S.A. de C.V. Arco Metal S.A. de C.V. Fabricaciones y Servicios de Mexico Galvak, S.A. de C.V. Grupo Estructuras y Perfiles Hylsa S.A. de C.V. Industrias Monterrey S.A. de C.V Internacional de Aceros, S.A. de C.V. Maquilacero S.A. de C.V. Nacional de Acero S.A. de C.V. PEASA-Productos Especializados de Acero Perfiles LM, S.A. de C.V. Productos Laminados de Monterrey S.A. de C.V. Regiomontana de Perfiles y Tubos S. de R.L. de C.V. Regiomontana de Perfiles y Tubos S.A. de C.V. Talleres Acero Rey S.A. de C.V. Ternium Mexico S.A. de C.V. Tuberia Laguna, S.A. de C.V. Tuberias Aspe S.A de C.V. Tuberias y Derivados S.A. de C.V. REPUBLIC OF KOREA: Dioctyl Terephthalate, A–580–889 ...... 8/1/18–7/31/19 Aekyung Petrochemical Co., Ltd. Hanwha Chemical Corporation LG Chem, Ltd. REPUBLIC OF KOREA: Large Power Transformers, A–580–867 ...... 8/1/18–7/31/19

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Period to be reviewed

Iljin Electric Co., Ltd. Hyundai Electric & Energy Systems Co., Ltd. Hyosung Heavy Industries Corporation ILJIN LSIS Co., Ltd. REPUBLIC OF KOREA: Low Melt Polyester Staple Fiber, A–580–895 ...... 2/1/18–7/31/19 Toray Advanced Materials Korea, Inc. ROMANIA: Carbon and Alloy Seamless Standard, Line and Pressure Pipe, A–485–805 (under 41⁄2 Inches) ...... 8/1/18–7/31/19 ArcelorMittal Tubular Products Roman S.A. SC TMK-Artrom S.A.6 SC Tubinox S.A. Silcotub S.A. SOCIALIST REPUBLIC OF VIETMAN: Certain Frozen Fish Fillets, A–552–801 ...... 8/1/18–7/31/19 An Giang Agriculture and Food Import-Export Joint Stock Company (also known as Afiex, An Giang Agriculture and Foods Import-Export Joint Stock Company, An Giang Agriculture and Food Import-Export Company, An Giang Agriculture and Foods Import and Export Company, or An Giang Agriculture and Foods Import-Export Company) An Giang Fisheries Import and Export Joint Stock Company (also known as Agifish, AnGiang Fisheries Import and Export, or An Giang Fisheries Import & Export Joint Stock Company) An My Fish Joint Stock Company (also known as Anmyfish or Anmyfishco) An Phat Import-Export Seafood Co., Ltd. (also known as An Phat Seafood Co. Ltd. or An Phat Seafood Co., Ltd.) An Phu Seafood Corporation (also known as ASEAFOOD or An Phu Seafood Corp.) Anvifish Joint Stock Company (also known as Anvifish, Anvifish JSC, or Anvifish Co., Ltd.) Asia Commerce Fisheries Joint Stock Company (also known as Acomfish JSC or Acomfish) Asia Pangasius Company Limited (also known as ASIA) Basa Joint Stock Company (BASACO) Ben Tre Aquaproduct Import and Export Joint Stock Company (also known as Bentre Aquaproduct, Bentre Aquaproduct Import & Export Joint Stock Company, or Aquatex Bentre) Bentre Forestry and Aquaproduct Import Export Joint Stock Company (also known as Bentre Forestry and Aquaproduct Import and Export Joint Stock Company, Ben Tre Forestry and Aquaproduct Import-Export Joint Stock Company, Ben Tre Forestry and Aquaproduct Import-Export Company, Ben Tre Forestry Aquaproduct Import-Export Company, Ben Tre Frozen Aquaproduct Export Company, or Faquimex) Bien Dong Hau Giang Seafood Joint Stock Company (also known as Bien Dong HG or Bien Dong Hau Giang Seafood Joint Stock Co.) Bien Dong Seafood Company Ltd. (also known as Bien Dong, Bien Dong Seafood, Bien Dong Seafood Co., Ltd., Biendong Seafood Co., Ltd., or Biendong Seafood Limited Liabilty Company) Binh An Seafood Joint Stock Company (also known as Binh An or Binh An Seafood Joint Stock Co.) Binh Dinh Import Export Company (also known as Binh Dinh) Cadovimex II Seafood Import-Export and Processing Joint Stock Company (also known as Cadovimex II, Cadovimex II Seafood Import-Export, Cadovimex II Seafood Import Export and Processing Joint Stock Com- pany, or Cadovimex II Seafood Import-Export & Processing Joint Stock Company) Cafatex Corporation (also known as Cafatex) Can Tho Animal Fishery Products Processing Export Enterprise (also known as Cafatex) Cantho Import-Export Seafood Joint Stock Company (also known as CASEAMEX, Cantho Import Export Seafood Joint Stock Company, Cantho Import-Export Joint Stock Company, Can Tho Import Export Seafood Joint Stock Company, Can Tho Import-Export Seafood Joint Stock Company, or Can Tho Import-Export Joint Stock Com- pany) C.P. Vietnam Corporation Cuu Long Fish Import-Export Corporation (also known as CL Panga Fish) Cuu Long Fish Joint Stock Company (also known as CL–Fish, CL–FISH CORP, or Cuu Long Fish Joint Stock Company) Da Nang Seaproducts Import-Export Corporation (also known as Da Nang or Da Nang Seaproducts Import/Ex- port Corp.) Dai Thanh Seafoods Company Limited (also known as DATHACO, Dai Thanh Seafoods, or Dai Thanh Seafoods Co., Ltd.) East Sea Seafoods LLC (also known as ESS LLC, ESS, ESS JVC, East Sea Seafoods Limited Liability Com- pany, East Sea Seafoods Joint Venture Co., Ltd.) Europe Joint Stock Company (also known as Europe JSC or EJS CO.) Fatifish Company Limited (also known as FATIFISH or FATIFISHCO) Go Dang An Hiep One Member Limited Company Go Dang Ben Tre One Member Limited Liability Company GODACO Seafood Joint Stock Company (also known as GODACO, GODACO Seafood J.S.C., GODACO Sea- food, or GODOCO_SEAFOOD) Golden Quality Seafood Corporation (also known Golden Quality, GoldenQuality, GoldenQuality Seafood Cor- poration, or GOLDENQUALITY) Green Farms Seafood Joint Stock Company (also known as Green Farms, GreenFarm SeaFoods Joint Stock Company, Green Farms Seafoods Joint Stock Company, or Green Farms Seafood JSC) Hai Huong Seafood Joint Stock Company (also known as HHFish, HH Fish, or Hai Houng Seafood) Hiep Thanh Seafood Joint Stock Company (also known as Hiep Thanh or Hiep Thanh Seafood Joint Stock Co.) Hoa Phat Seafood Import-Export and Processing J.S.C. (also known as HOPAFISH, Hoa Phat Seafood Import- Export and Processing Joint Stock Company, or Hoa Phat Seafood Import-Export and Processing JSC) Hoang Long Seafood Processing Company Limited (also known as HLS, Hoang Long Seafood, Hoang Long Seafood Processing Co., Ltd., Hoang Long, or Hoang Long Seafood)

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Period to be reviewed

Hung Vuong Ben Tre Seafood Processing Company Limited (also known as Ben Tre, HVBT, or HVBT Seafood Processing) Hung Vuong—Mien Tay Aquaculture Corporation (also known as HVMT or Hung Vuong Mien Tay Aquaculture Joint Stock Company) Hung Vuong—Sa Dec Co., Ltd. (also known as Hung Vuong Sa Dec Company Limited) Hung Vuong—Vinh Long Co., Ltd. (also known as Hung Vuong Vinh Long Company Limited) Hung Vuong Corporation (as known as HVC or HV Corp.) Hung Vuong Joint Stock Company Hung Vuong Mascato Company Limited Hung Vuong Seafood Joint Stock Company International Development & Investment Corporation (also known as IDI or International Development and Invest- ment Corporation) Lian Heng Investment Co., Ltd. (also known as Lian Heng Investment or Lian Heng) Lian Heng Trading Co., Ltd. (also known as Lian Heng or Lian Heng Trading) Nam Phuong Seafood Co., Ltd. (also known as Nam Phuong, NAFISHCO, Nam Phuong Seafood, or Nam PhuongSeafood Company Ltd.) Nam Viet Corporation (also known as NAVICO) Ngoc Ha Co. Ltd. Food Processing and Trading (also known as Ngoc Ha or Ngoc Ha Co., Ltd. Foods Processing and Trading) Nha Trang Seafoods, Inc. (also known as Nha Trang Seafoods-F89, Nha Trang Seafoods, or Nha Trang Seaproduct Company) NTACO Corporation (also known as NTACO or NTACO Corp.) NTSF Seafoods Joint Stock Company (also known as NTSF or NTSF Seafoods) Quang Minh Seafood Company Limited (also known as Quang Minh, Quang Minh Seafood Co., Ltd., or Quang Minh Seafood Co.) QVD Dong Thap Food Co., Ltd. (also known as Dong Thap or QVD DT) QVD Food Company, Ltd. (also known as QVD, QVD Food Co., Ltd., or QVD Aquaculture) Saigon-Mekong Fishery Co., Ltd. (also known as SAMEFICO or Saigon Mekong Fishery Co., Ltd.) Seafood Joint Stock Company No. 4 Branch Dongtam Fisheries Processing Company (also known as DOTASEAFOODCO or Seafood Joint Stock Company No. 4-Branch Dong Tam Fisheries Processing Com- pany) Seavina Joint Stock Company (also known as Seavina) Southern Fishery Industries Company, Ltd. (also known as South Vina, South Vina Co., Ltd., Southern Fisheries Industries Company, Ltd., Southern Fishery Industries Co., Ltd., or Southern Fisheries Industries Company Limited) Sunrise Corporation TG Fishery Holdings Corporation (also known as TG) Thanh Binh Dong Thap One Member Company Limited (also known as Thanh Binh Dong Thap or Thanh Binh Dong Thap Ltd.) Thanh Hung Co., Ltd. (also known as Thanh Hung Frozen Seafood Processing Import Export Co., Ltd. or Thanh Hung) Thien Ma Seafood Co., Ltd. (also known as THIMACO, Thien Ma, Thien Ma Seafood Company, Ltd., or Thien Ma Seafoods Co., Ltd.) Thuan An Production Trading and Service Co., Ltd. (also known as TAFISHCO, Thuan An Production Trading and Services Co., Ltd., Thuan An Production & Trading Service Co., Ltd., or Thuan An Production & Trading Services Co., Ltd.) Thuan Hung Co., Ltd. (also known as THUFICO) To Chau Joint Stock Company (also known as TOCHAU, TOCHAU JSC, or TOCHAU Joint Stock Company) Van Duc Food Export Joint Stock Company (also known as Van Duc) Van Duc Tien Giang Food Export Company (also known as VDTG) Viet Hai Seafood Company Limited (also known as Viet Hai, Vietnam Fish-One Co., Ltd. Viet Hai Seafood Co., Viet Hai Seafood Co., Ltd., Vietnam Fish One Co., Ltd., or Fish One) Viet Phu Foods and Fish Corporation (also known as Vietphu, Viet Phu, Viet Phu Food and Fish Corporation, or Viet Phu Food & Fish Corporation) Viet Phu Foods & Fish Co., Ltd. Vinh Hoan Corporation (also known as Vinh Hoan, Vinh Hoan Co., or Vinh Hoan Corp.) Vinh Long Import-Export Company (also known as Vinh Long, Imex Cuu Long or Vinh Long Import/Export Com- pany) Vinh Quang Fisheries Corporation (also known as Vinh Quang, Vinh Quang Fisheries Joint Stock Company, Vinh Quang Fisheries Co.,Ltd., or Vinh Quang Fisheries Corp.) . SPAIN: Ripe Olives, A–469–817 1/26/18–7/31/19 Agro Sevilla Aceitunas S.COOP (And.) Angel Camacho Alimentacion S.L. Alimentary Group Dcoop S.Coop. And. THAILAND: Citric Acid and Certain Citrate Salts,7 A–549–833 ...... 1/8/18–6/30/19 THE PEOPLE’S REPUBLIC OF CHINA: Cast Iron Soil Pipe Fittings, A–570–062 2/20/18–7/31/19 Wor-Biz Trading Co., Ltd. (Anhui) Shijiazhuang Asia Casting Co., Ltd Shanxi Zhongrui Tianyue Trading Co., Ltd Dalian Lino F.T.Z. Co., Ltd Dinggin Hardware (Dalian) Co., Ltd Dalian Metal I/E Co., Ltd Qinshui Shunshida Casting Co., Ltd

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Period to be reviewed

Richang Qiaoshan Trade Co., Ltd Hebei Metals & Engineering Products Trading Co., Ltd. Golden Orange International Ltd. Yangcheng County Huawang Universal . THE PEOPLE’S REPUBLIC OF CHINA: Certain Passenger Vehicle and Light Truck Tires, A–570–016 8/1/18–7/31/19 Cooper (Kunshan) Tire Co., Ltd. Hankook Tire China Co., Ltd. Haohua Orient International Trade Ltd. Jiangsu Hankook Tire Co., Ltd. Pirelli Tyre Co., Ltd. Qingdao Fullrun Tech Tyre Corp., Ltd. Qingdao Fullrun Tyre Corp., Ltd. Qingdao Keter International Co., Limited Qingdao Lakesea Tyre Co., Ltd. Qingdao Odyking Tyre Co., Ltd. Qingdao Powerich Tyre Co., Ltd. Qingdao Sentury Tire Co., Ltd. Riversun Industry Limited Safe & Well (HK) International Trading Limited Shandong Anchi Tyres Co., Ltd. Shandong Duratti Rubber Corporation Co., Ltd. Shandong Guofeng Rubber Plastics Co., Ltd. Shandong Hengyu Science & Technology Co., Ltd. Shandong Linglong Tyre Co., Ltd. Shandong Longyue Rubber Co., Ltd., DBA ZODO Tire Co., Ltd. Shandong New Continent Tire Co., Ltd. Shandong Province Sanli Tire Manufactured Co., Ltd. Shandong Wanda Boto Tyre Co., Ltd. Shandong Yongsheng Rubber Group Co., Ltd. Shouguang Firemax Tyre Co., Ltd. Triangle Tyre Co., Ltd. Windforce Tyre Co., Limited Zhaoqing Junhong Co., Ltd. THE PEOPLE’S REPUBLIC OF CHINA: Certain Steel Nails, A–570–909 ...... 8/1/18–7/31/19 Accurate Metal Machining Co., Ltd. Air It On Inc. Alsons Manufactuiring India Llp Anhui Amigo Imp. & Exp. Co. Ltd. Anhui Tea Imp. & Exp. Co. Ltd. Artree (Xiamen) Group Ltd Asiahan Industrial Trading Ltd. Astrotech Steels Pvt. Ltd. Baoding Jieboshun Trading Co., Ltd. Beijing Camzone Industrial & Trading Co., Ltd. Beijing Catic Industry Ltd. Beijing Jinheung Co., Ltd. Beijing Qin-Li Jeff Trading Co., Ltd. Beijing Qin-Li Metal Industries Co., Ltd Bodi Corporation Bonuts Hardware Logistics Cana (Rizhao) Hardware Co., Ltd. Cangzhou Nandagang Guotai Hardware Products Co., Ltd. Cangzhou Xinqiao International Trade Co., Ltd Certified Products Taiwan Inc. Changzhou Kya Trading Co., Ltd. Chanse Mechatronics Scientech Development (Jiangsu) Inc. Cheng Ch International Co., Ltd. Chia Pao Metal Co., Ltd. China Dinghao Co., Ltd. China Linyi Global Trade Center Co., Ltd. China Staple Enterprise (Tianjin) Co., Ltd. Chinapack Ningbo Imp. & Exp. Co., Ltd. Chite Enterprises Co., Ltd. Chonyi International Co., Ltd. Come Best (Thailand) Co., Ltd. Continent Link Int’l Limited Crelux International Co., Ltd. Daejin Steel Co., Ltd. De Fasteners Inc. De Hui Screw Industry Co., Ltd. Dezhou Hualude Hardware Products Co. Ltd. Dezhou Xinjiayuan Hardware Products Co., Ltd. Dingzhou Baota Metal Products Co., Ltd.

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Period to be reviewed

Dong E Fuqiang Metal Products Co., Ltd. Dongguan Dongri Electrical Electric Equipment Co., Ltd. Dongguan Further Wood Products Co., Ltd. Eco-Friendly Floor Ltd. Ejen Brothers Limited Empac International Ltd. Everglow Inc. Faithful Engineering Products Co., Ltd. Fastenal Asia Pacific Limited Fastening Care Fastgrow International Co., Inc. Finepack Industrial Limited Foshan Hosontool Development Hardware Co., Ltd. Foxsemicon Integrated Technology Fujian Win Win Import and Export Trading Co., Ltd. GD.CP International Co., Ltd. Gdcp Richmax International Ltd. Geekay Wires Limited Glori-Industry Hong Kong Inc. Grace China International Co., Ltd. Guangdong Meite Mechanical Co. Ltd. Guangdong TC Meite Intelligent Tools Co., Ltd. Guangzhou Aivy Nails Technology Co. Guangzhou Noval Medical Co., Ltd. Guangzhou Xinfeng International Freight Co., Ltd. Hai Sheng Xin Group Co., Ltd. Hangzhou G-wire Technology Co., Ltd. Hangzhou Orient Industry Co., Ltd. Happy Worth Limited Hebei Cangzhou New Century Foreign Trade Co., Ltd. Hebei Jinsidun Trade Co., Ltd. Hebei Minghao Imp. & Exp. Co., Ltd. Hebei Minmetals Co., Ltd. Hengtuo Metal Products Co., Ltd. Home Value Co., Ltd. Hong Kong Mu Hong Electronic Business Limited Hongkong Milley Limited Hongkong Shengshi Metal Products Co., Ltd. Hongyi (HK) Hardware Products Co., Ltd. Huaiyang County Yinfeng Plastic Factory Huanghua Haixin Hardware Products Co., Ltd. Huanghua Yingjin Hardware Products Inmax Industries Sdn. Bhd. Inmax Sdn. Bhd. Inno International J&b Trading Company Jade Shuttle Enterprise Co., Ltd. Jau Yeou Industry Co., Ltd. Jiang Men City Yu Xing Furniture Limited Company Jiangmen Jianghai District Hengke Plastic Film Packing Factory Jiangsu General Science Technology Co., Ltd. Jiangsu Hexon Imp & Exp Co., Ltd. Jiangsu Holly Corporation Jiangsu Huaiyin Guex Tools Jiangsu Inter-China Group Corp. Jiangsu Soho Honry Imp. and Exp. Co., Ltd. Jiangsu Vivaturf Co., Limited Jiashan Lianchuang Plastic & Hardware Jiaxing TSR Hardware Inc. Jinhai Hardware Co., Ltd. Jinheung Steel Corporation Jinhua Ausen Crafts Co., Ltd Jinsco International Corp. Kaierda Display Furniture Limited Koram Inc. Koram Steel Co., Ltd. Korea Wire Co., Ltd. Ko’s Nail Incorporation Liang Chyuan Ind. Co., Lmt. Liang Chyuan Industrial Co., Limited. Liang’s Industrial Corp. Liaocheng Minghui Hardware Products Linyi FlyingArrow Imp. & Exp. Co. Ltd. Linyi Royal Trading Co., Ltd

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Period to be reviewed

M&M Industries Co., Ltd. Maanshan Lilai International Trade Co., Ltd. Max Co., Ltd. Maxwealth Development Intl Ltd. Mayer(Hk)limited Milkyway Chemical Supply Chain Service Co., Ltd. Ming Cheng Hardware Company Limited Mingguang Abundant Hardware Products Co., Ltd. Mingguang Ruifeng Hardware Products Co., Ltd. Modern Factory For Metal Products MPROVE Co., Limited Nailtech Co., Ltd. Nanjing Caiqing Hardware Co., Ltd. Nanjing Duraturf Co., Ltd. Nanjing Nuochun Hardware Co., Ltd. Nanjing Tianxingtong Electronic Technology Co., Ltd. Nanjing Tianyu International Co., Ltd. Nanjing Toua Hardware & Tools Co., Ltd. Nanjing Yuechang Hardware Co., Ltd. Nanjing Zeejoe International Trade Nantong Intlevel Trade Co., Ltd. Natuzzi China Limited Nielsen Bainbridge LLC Ningbo Adv. Tools Co., Ltd. Ningbo Angelstar Trading Co., Ltd. Ningbo Bright Max Co., Ltd. Ningbo Fine Hardware Production Co., Ltd. Ningbo Freewill Imp. & Exp. Co., Ltd. Ningbo Home-dollar Imp.& Exp. Corp. Ningbo Langyi Metal Products Co., Ltd. Ningbo Nd Import & Export Co., Ltd. Ningbo Otic Import and Export Co. Ningbo Weifeng Fastener Co., Ltd. Ningbo Wellpack Packaging Co., Ltd, Ningbo WePartner Imp. & Exp. Co., Ltd. Ningbo Yinzhou Angelstar International Trading Ningbo Zenith Passion Imp. & Exp. Co, Ltd. Ninghai Rayguang Horsemanship Produducts Co., Ltd. Niran Vietnam Company Limited Overseas Distribution Services Inc. Overseas International Steel Industry Paslode Co., Ltd. Paslode Fasteners Co., Ltd. Patek Tool Co., Ltd. Perfect Seller Co., Ltd. Potentech (Guangdong) Limited President Industrial Inc. Primesource Building Products Promising Way (Hong Kong) Ltd. Pro-Team Coil Nail Enterprise Inc. Qingdao Ant Hardware Manufacturing Co., Ltd. Qingdao Concord Trading Co., Ltd. Qingdao D&L Group Ltd. Qingdao D&L Hardware Co., Ltd. Qingdao Gold Dragon Co., Ltd. Qingdao Hongyuan Nail Industry Co., Ltd. Qingdao JCD Machinery Co., Ltd. Qingdao Jisco Co., Ltd. Qingdao Meijialucky Industry and Co. Qingdao MST Industry and Commerce Co., Ltd. Qingdao Powerful Machinery Co., Ltd. Qingdao Sunrise Metal Products Co., Ltd. Qingdao TianHeng Xiang metal Products Co., Ltd Qingdao Tiger Hardware Co., Ltd. Qingdao Top Metal Industrial Co., Ltd. Qingdao Top Steel Industrial Co., Ltd. Qingdao Uni-Trend International Ltd. Qingdao YuanYuan Metal Products LLC Quanzhou Quanxing Hardware Crafts C Quick Advance Inc. Quzhou Monsoon Hardware Co., Ltd. Region Industries Co., Ltd. Region System Sdn. Bhd. Rise Time Industrial Ltd.

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Period to be reviewed

Ri-Time Group Inc. Ruifeng Hardware Products Co., Ltd. SDC International Australia Pty. Ltd Shaanxi Newland Industrial Co. Shandong Dinglong Imp. & Exp. Co., Ltd. Shandong Liaocheng Minghua Metal Pvt. Ltd. Shandong Oriental Cherry Hardware Group Co., Ltd. Shandong Qingyun Hongyi Hardware Co., Ltd. Shanghai Cedargreen Imp. & Exp. Co., Ltd. Shanghai Centro Mechanical & Electrical Shanghai Curvet Hardware Products Co., Ltd Shanghai Haoray International Trade Co., Ltd. Shanghai Jade Shuttle Hardware Tools Co., Ltd. Shanghai March Import & Export Co., Ltd. Shanghai Seti Enterprise Int’l Co., Ltd. Shanghai Shenda Imp. & Exp. Co., Ltd Shanghai Sutek Industries Co., Ltd. Shanghai Television and Electronics Import and Export Co., Ltd. Shanghai Yiren Machinery Co., Ltd. Shanghai Yueda Fasteners Co., Ltd. Shanghai Yueda Nails Industry Co., Ltd., a.k.a. Shanghai Yueda Nails Co., Ltd. Shanghai Zoonlion Industrial Co., Limited Shanghai Zoonlion Industrial Co., Ltd. Shanxi Easyfix Trade Co., Ltd. Shanxi Fastener & Hardware Products Shanxi Hairui Trade Co., Ltd. Shanxi Pioneer Hardware Industrial Co., Ltd. Shanxi Tianli Industries Co., Ltd. Shanxi Xinjintai Hardware Co., Ltd. Shaoxing Bohui Import and Export Co., Ltd Shaoxing Chengye Metal Producing Co., Ltd. Shenzhen Chuangyuan Jiayi Trading Co., Ltd Shenzhen Fake Trading Co., Ltd. Shenzhen Jingmai Trade Co., Limited Shenzhen Xinjintai Hardware Co., Ltd. Shenzhen Yuantaifan Frame Craft S-Mart (Tianjin) Technology Development Co., Ltd. Sourcing Metrics Ltd. Sueyi International Ltd. Sumec Machinery and Electric Co., Ltd. Suntec Industries Co., Ltd. Suzhou Xingya Nail Co., Ltd. Tag Fasteners Sdn Bhd Taizhou Dajiang Ind. Co., Ltd. Team Builder Enterprise Ltd. Test-Rite International Co., Ltd. The Stanley Works (Langfang) Fastening Systems Co., Ltd. and Stanley Black & Decker Inc. Theps International Tian Heng Xiang Metal Products Co., Ltd. Tianjin Baisheng Metal Products Co., Ltd. Tianjin Bluekin Industries Ltd. Tianjin Coways Metal Products Co., Ltd. Tianjin Dagang Jingang Nail Factory Tianjin Evangel Imp. & Exp. Co., Ltd. Tianjin Fulida Supply Co., Ltd. Tianjin High Wing International Tianjin Hongli Qiangsheng Imp. & Exp. Tianjin Huixinshangmao Co., Ltd. Tianjin Hweschun Fasteners Manufacturing Co., Ltd. Tianjin Jin Xin Sheng Long Metal Products Co., Ltd. Tianjin Jinchi Metal Products Co., Ltd. Tianjin Jinghai County Hongli Industry & Business Co., Ltd. Tianjin Jinghai County Hongli Industry and Business Co., Ltd. Tianjin Jinghai Yicheng Metal Pvt Tianjin Jinjin Pharmaceutical Factory Tianjin Jinmao Imp. & Exp. Corp., Ltd. Tianjin Jinyifeng Hardware Co., Ltd. Tianjin Jinzhuang Hardware Factory Tianjin Lianda Group Co., Ltd. Tianjin Liweitian Metal Technology Tianjin Tialai Import & Export Company Ltd. Tianjin Tianhua Environmental Plastics Co., Ltd. Tianjin Universal Machinery Imp. & Exp. Corp.

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Period to be reviewed

Tianjin Yong Sheng Towel Mill Tianjin Yongye Furniture Co., Ltd. Tianjin Zhengjun Trade Company Limited Tianjin Zhonglian Metals Ware Co., Ltd. Tianjin Zhonglian Times Technology Tianjin Zhongsheng Garment Co., Ltd. Topworks Ltd. Total Glory Logistics Co., Ltd. (Qingdao) Trinity Steel Private Limited Tsugaru Enterprise Co., Ltd. Ujl Industries Co., Ltd. Unicorn Fasteners Co., Ltd. Verko Incorporated Walkbase Rubber Products Co., Ltd. Walsoon Trading Co., Ltd. Weifang Wenhe Pneumatic Tools Co., Ltd. Wenzhou Yodsn Fluid Equipment Co., Ltd. Win Fasteners Manufactory (Thailand) Co., Ltd. Wire Products Manufacturing Co., Ltd. Wuhu Diamond Metal Products Co., ltd Wulian Zhanpeng Metals Co., Ltd. Wuxi Holtrent International Co., Ltd. Wuxi Yushea Furniture Co., Ltd. Xi’An Metals and Minerals Imp. & Exp. Co., Ltd. Xiamen Hongju Printing Industry &trade Co., Ltd. Xuzhou Cip International Group Co, Ltd. Yiwu Competency Trading Co., Ltd. Yiwu Kingland Import & Export Co. Yiwu Taisheng Decoration Materials Limited Yiwu Yipeng Import & Export Co., Ltd. Yongchang Metal Product Co., Ltd. Youngwoo Fasteners Co., Ltd. Yuyao Dingfeng Engineering Co. Ltd. Zhanghaiding Hardware Co., Ltd. Zhangjiagang Lianfeng Metals Products Co., Ltd. Zhangjiagang Longxiang Industries Co., Ltd. Zhaoqing Harvest Nails Co., Ltd. Zhejiang Best Nail Industry Co., Ltd. Zhejiang Jihengkang (JHK) Door Ind. Co., Ltd. Zhejiang Rongpeng Imp. & Exp. Co., Ltd Zhejiang Saiteng New Building Materials Co., Ltd. Zhejiang Yiwu Yongzhou Imp. & Exp. Co., Ltd. Zhong Shan Daheng Metal Products Co., Ltd. Zhong Shan Shen Neng Metal Products Co., Ltd. Zhucheng Jinming Metal Products Co., Ltd. Zhucheng Runfang Paper Co., Ltd. Zhuhai Trillion Trading Co., Ltd Zon Mon Co., Ltd. THE PEOPLE’S REPUBLIC OF CHINA: Laminated Woven Sacks, A–570–916 ...... 8/1/18–7/31/19 Cangnan Color Make The Bag Changle Baodu Plastic Co., Ltd. First Way (H.K.) Limited Han Shing Chemical Co., Ltd. Jiangsu Hotson Plastics Co., Ltd. Ningbo Yong Feng Packaging Co., Ltd. Polywell Industrial Co. Polywell Plastic Product Factory Shandong Longxing Plastic Products Company Ltd. Shandong Qikai Plastics Product Co., Ltd. Shandong Qilu Plastic Fabric Group, Ltd. Shandong Shouguang Jianyuan Chun Co., Ltd. Shandong Youlian Co., Ltd. Wenzhou Hotson Plastics Co., Ltd. Zibo Aifudi Plastic Packaging Co., Ltd. Zibo Linzi Luitong Plastic Fabric Co., Ltd. Zibo Linzi Qitianli Plastic Fabric Co., Ltd. Zibo Linzi Shuaiqiang Plastics Co., Ltd. Zibo Linzi Worun Packing Product Co., Ltd. Zibo Qigao Plastic Cement Co., Ltd. THE PEOPLE’S REPUBLIC OF CHINA: Polyethylene Retail Carrier Bags, A–570–886 ...... 8/1/18–7/31/19 Crown Polyethylene Products (International) Ltd. Dongguan Nozawa Plastics Products Co., Ltd. and United Power Packaging, Ltd. (collectively Nozawa) Countervailing Duty Proceedings INDIA: Finished Carbon Steel Flanges, C–533–872 ...... 1/1/18–12/31/18

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Period to be reviewed

Adinath International Allena Group Alloyed Steel Bansidhar Chiranjilal Bebitz Flanges Works Private Limited Bebitz U.S.A., Inc. C.D. Industries CHW Forge CHW Forge Pvt. Ltd. Citizen Metal Depot Corum Flange DN Forge Industries Echjay Forgings Limited Falcon Valves and Flanges Private Limited Heubach International Hindon Forge Pvt. Ltd. Jai Auto Pvt. Ltd. Kinnari Steel Corporation M F Rings and Bearing Races Ltd. Mascot Metal Manufacturers Norma (India) Limited OM Exports Punjab Steel Works (PSW) R.D. Forge R.N. Gupta & Company, Ltd. Raaj Sagar Steels Ravi Ratan Metal Industries Rolex Fittings India Pvt. Ltd. Rollwell Forge Pvt. Ltd. SHM (ShinHeung Machinery) Siddhagiri Metal & Tubes Silbo Industries, Inc. Sizer India Steel Shape India Sudhir Forgings Pvt. Ltd. Tirupati Forge Uma Shanker Khandelwal & Co. Umashanker Khandelwal Forging Limited USK Export Private Limited SPAIN: Ripe Olives, C–469–818 ...... 11/28/17–12/31/18 Agro Sevilla Aceitunas S.COOP (And.) Alimentary Group DCoop S.Coop. And. Angel Camacho Alimentacion, S.L. THE PEOPLE’S REPUBLIC OF CHINA: Cast Iron Soil Pipe Fittings, C–570–063 ...... 12/19/17–12/31/18 Dalian Lino F.T.Z. Co., Ltd. Dalian Metal I/E Co., Ltd. Dinggin Hardware (Dalian) Co., Ltd. Golden Orange International Ltd. Hebei Metals & Engineering Products Trading Co., Ltd. Qinshui Shunshida Casting Co., Ltd. Richang Qiaoshan Trade Co., Ltd. Shanxi Zhongrui Tianyue Trading Co., Ltd Shijiazhuang Asia Casting Co., Ltd. Wor-Biz Trading Co., Ltd. (Anhui) Yangcheng County Huawang Universal THE PEOPLE’S REPUBLIC OF CHINA: Certain Passenger Vehicle and Light Truck Tires, C–570–017 ...... 1/1/18–12/31/18 Cooper (Kunshan) Tire Co., Ltd. Hankook Tire China Co., Ltd. Haohua Orient International Trade Ltd. Jiangsu Hankook Tire Co., Ltd. Qingdao Fullrun Tech Tyre Corp., Ltd. Qingdao Fullrun Tyre Corp., Ltd. Qingdao Keter International Co., Limited Qingdao Lakesea Tyre Co., Ltd. Qingdao Odyking Tyre Co., Ltd. Qingdao Powerich Tyre Co., Ltd. Qingdao Sentury Tire Co., Ltd. Riversun Industry Limited Safe & Well (HK) International Trading Limited Shandong Anchi Tyres Co., Ltd. Shandong Duratti Rubber Corporation Co., Ltd. Shandong Guofeng Rubber Plastics Co., Ltd. Shandong Hengyu Science & Technology Co., Ltd. Shandong Linglong Tyre Co., Ltd.

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Period to be reviewed

Shandong Longyue Rubber Co., Ltd., DBA ZODO Tire Co., Ltd. Shandong New Continent Tire Co., Ltd. Shandong Province Sanli Tire Manufactured Co., Ltd. Shandong Wanda Boto Tyre Co., Ltd. Shandong Yongsheng Rubber Group Co., Ltd. Shouguang Firemax Tyre Co., Ltd. Triangle Tyre Co., Ltd. Windforce Tyre Co., Limited Zhaoqing Junhong Co., Ltd. THE PEOPLE’S REPUBLIC OF CHINA: Laminated Woven Sacks, C–570–917 ...... 1/1/18–12/31/18 Cangnan Color Make The Bag Changle Baodu Plastic Co., Ltd. First Way (H.K.) Limited Han Shing Chemical Co., Ltd. Jiangsu Hotson Plastics Co., Ltd. Ningbo Yong Feng Packaging Co., Ltd. Polywell Industrial Co. Polywell Plastic Product Factory Shandong Longxing Plastic Products Company Ltd. Shandong Qikai Plastics Product Co., Ltd. Shandong Qilu Plastic Fabric Group, Ltd. Shandong Shouguang Jianyuan Chun Co., Ltd. Shandong Youlian Co., Ltd. Wenzhou Hotson Plastics Co., Ltd. Zibo Aifudi Plastic Packaging Co., Ltd. Zibo Linzi Luitong Plastic Fabric Co., Ltd. Zibo Linzi Qitianli Plastic Fabric Co., Ltd. Zibo Linzi Shuaiqiang Plastics Co., Ltd. Zibo Linzi Worun Packing Product Co., Ltd. Zibo Qigao Plastic Cement Co., Ltd.

Suspension Agreements Gap Period Liquidation CFR 351.408(c) or to measure the adequacy of remuneration under 19 CFR None For the first administrative review of any order, there will be no assessment 351.511(a)(2); (iv) evidence placed on Duty Absorption Reviews of antidumping or countervailing duties the record by Commerce; and (v) evidence other than factual information During any administrative review on entries of subject merchandise entered, or withdrawn from warehouse, described in (i)–(iv). These regulations covering all or part of a period falling require any party, when submitting between the first and second or third for consumption during the relevant provisional-measures ‘‘gap’’ period, of factual information, to specify under and fourth anniversary of the which subsection of 19 CFR publication of an antidumping duty the order, if such a gap period is applicable to the POR. 351.102(b)(21) the information is being order under 19 CFR 351.211 or a submitted and, if the information is determination under 19 CFR Administrative Protective Orders and submitted to rebut, clarify, or correct 351.218(f)(4) to continue an order or Letters of Appearance factual information already on the suspended investigation (after sunset Interested parties must submit record, to provide an explanation review), the Secretary, if requested by a applications for disclosure under identifying the information already on domestic interested party within 30 administrative protective orders in the record that the factual information days of the date of publication of the accordance with the procedures seeks to rebut, clarify, or correct. The notice of initiation of the review, will outlined in Commerce’s regulations at regulations, at 19 CFR 351.301, also determine whether antidumping duties 19 CFR 351.305. Those procedures provide specific time limits for such have been absorbed by an exporter or apply to administrative reviews factual submissions based on the type of producer subject to the review if the included in this notice of initiation. factual information being submitted. subject merchandise is sold in the Parties wishing to participate in any of Please review the final rule, available at United States through an importer that these administrative reviews should http://enforcement.trade.gov/frn/2013/ is affiliated with such exporter or ensure that they meet the requirements 1304frn/2013-08227.txt, prior to producer. The request must include the of these procedures (e.g., the filing of submitting factual information in this name(s) of the exporter or producer for separate letters of appearance as segment. which the inquiry is requested. discussed at 19 CFR 351.103(d)). Any party submitting factual information in an antidumping duty or 5 In the initiation notice that published on Factual Information Requirements countervailing duty proceeding must September 9, 2019 (84 FR 47242) the POR for the above referenced case was incorrect. The period Commerce’s regulations identify five certify to the accuracy and completeness listed above is the correct POR for this case. categories of factual information in 19 of that information.8 Parties are hereby 6 The review request listed this company as SC CFR 351.102(b)(21), which are reminded that revised certification TMK-Artom S.A. However, the correct spelling of summarized as follows: (i) Evidence requirements are in effect for company/ the company name is SC TMK-Artrom S.A. submitted in response to questionnaires; government officials as well as their 7 In the initiation notice that published on September 9, 2019 (84 FR 47242) the POR for the (ii) evidence submitted in support of representatives. All segments of any above referenced case was incorrect. The period allegations; (iii) publicly available listed above is the correct POR for this case. information to value factors under 19 8 See section 782(b) of the Act.

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antidumping duty or countervailing These initiations and this notice are whether an amended Certificate should duty proceedings initiated on or after in accordance with section 751(a) of the be issued. If the comments include any August 16, 2013, should use the formats Act (19 U.S.C. 1675(a)) and 19 CFR privileged or confidential business for the revised certifications provided at 351.221(c)(1)(i). information, it must be clearly marked 9 the end of the Final Rule. Commerce Dated: October 1, 2019. and a nonconfidential version of the intends to reject factual submissions in comments (identified as such) should be James Maeder, any proceeding segments if the included. Any comments not marked as submitting party does not comply with Deputy Assistant Secretary for Antidumping privileged or confidential business and Countervailing Duty Operations. applicable revised certification information will be deemed to be requirements. [FR Doc. 2019–21822 Filed 10–4–19; 8:45 am] nonconfidential. BILLING CODE 3510–DS–P An original and five (5) copies, plus Extension of Time Limits Regulation two (2) copies of the nonconfidential Parties may request an extension of version, should be submitted no later DEPARTMENT OF COMMERCE time limits before a time limit than 20 days after the date of this notice established under Part 351 expires, or as International Trade Administration to: Office of Trade and Economic otherwise specified by the Secretary. Analysis, International Trade See 19 CFR 351.302. In general, an [Application No. 18–1A002] Administration, U.S. Department of extension request will be considered Commerce, Room 21028, Washington, untimely if it is filed after the time limit Export Trade Certificate of Review DC 20230. established under Part 351 expires. For Information submitted by any person ACTION: Notice of Application for an submissions which are due from is exempt from disclosure under the amended Export Trade Certificate of multiple parties simultaneously, an Freedom of Information Act (5 U.S.C. Review for Alaska Groundfish extension request will be considered 552). However, nonconfidential versions Commission (‘‘AGC’’), Application untimely if it is filed after 10:00 a.m. on of the comments will be made available Number 18–1A002. the due date. Examples include, but are to the applicant if necessary for not limited to: (1) Case and rebuttal SUMMARY: The Office of Trade and determining whether or not to issue the briefs, filed pursuant to 19 CFR 351.309; Economic Analysis (‘‘OTEA’’) of the Certificate. Comments should refer to (2) factual information to value factors International Trade Administration, this application as ‘‘Export Trade under 19 CFR 351.408(c), or to measure Department of Commerce, received an Certificate of Review, application the adequacy of remuneration under 19 application for an amended Export number 18–1A002.’’ CFR 351.511(a)(2), filed pursuant to 19 Trade Certificate of Review Summary of the Application CFR 351.301(c)(3) and rebuttal, (‘‘Certificate’’). This notice summarizes clarification and correction filed the proposed application and requests Applicant: Alaska Groundfish pursuant to 19 CFR 351.301(c)(3)(iv); (3) comments relevant to whether the Commission. comments concerning the selection of a Certificate should be issued. Contact: Duncan R. McIntosh, Mundt surrogate country and surrogate values MacGregor L.L.P, (206) 319–1105. and rebuttal; (4) comments concerning FOR FURTHER INFORMATION CONTACT: Application No.: 18–1A002. CBP data; and (5) Q&V questionnaires. Joseph Flynn, Director, Office of Trade Date Deemed Submitted: September Under certain circumstances, Commerce and Economic Analysis, International 24, 2019. may elect to specify a different time Trade Administration, (202) 482–5131 Proposed Amendment: AGC seeks to limit by which extension requests will (this is not a toll-free number) or email amend its Certificate as follows: • be considered untimely for submissions at [email protected]. Add following as Members of the which are due from multiple parties SUPPLEMENTARY INFORMATION: Title III of Certificate within the meaning of simultaneously. In such a case, the Export Trading Company Act of section 325.2(1) of the Regulations (15 Commerce will inform parties in the 1982 (15 U.S.C. Sections 4001–21) (‘‘the CFR 325.2(1)). letter or memorandum setting forth the Act’’) authorizes the Secretary of Æ America’s Finest Fishing, LLC, deadline (including a specified time) by Commerce to issue Export Trade Kirkland, WA which extension requests must be filed Certificates of Review. A Certificate Æ Arica Vessel, LLC, Seattle, WA protects the holder and the members Æ Cape Horn Vessel, LLC, Seattle, WA to be considered timely. This Æ modification also requires that an identified in the Certificate from State Fisherman’s Finest International, Inc., extension request must be made in a and Federal government antitrust Kirkland, WA Æ Fishermen’s Finest, Inc., Kirkland, separate, stand-alone submission, and actions and from private treble damage WA clarifies the circumstances under which antitrust actions for the export conduct Æ Fishermen’s Finest Holdings, LLC, Commerce will grant untimely-filed specified in the Certificate and carried out in compliance with its terms and Kirkland, WA requests for the extension of time limits. Æ Glacier Fish Company LLC, Seattle, conditions. The regulations These modifications are effective for all WA segments initiated on or after October implementing Title III are found at 15 Æ Golden-Tech International, LLC, 21, 2013. Please review the final rule, CFR part 325. OTEA is issuing this Bellevue, WA available at http://www.gpo.gov/fdsys/ notice pursuant to 15 CFR 325.6(a), Æ Iquique Disc, Inc., Seattle, WA pkg/FR-2013-09-20/html/2013- which requires the Secretary of Æ North Pacific Fishing, LLC, Kirkland, 22853.htm, prior to submitting factual Commerce to publish a summary of the WA information in these segments. application in the Federal Register, Æ North Star Fishing Company LLC, identifying the applicant and each Seattle, WA 9 See Certification of Factual Information To member and summarizing proposed Æ North Star Vessel, LLC, Seattle, WA Import Administration During Antidumping and export conduct. Æ Rebecca Irene Vessel, LLC, Seattle, Countervailing Duty Proceedings, 78 FR 42678 (July WA 17, 2013) (Final Rule); see also the frequently asked Request for Public Comments Æ Unimak Vessel, LLC, Seattle, WA questions regarding the Final Rule, available at Æ http://enforcement.trade.gov/tlei/notices/factual_ Interested parties may submit written United States Seafoods, LLC, Seattle, info_final_rule_FAQ_07172013.pdf. comments relevant to the determination WA

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Æ US Fishing, LLC, Kirkland, WA exclusive economic zone (EEZ). CORPORATION FOR NATIONAL AND Æ USS International, Inc., Seattle, WA Recommendations from this group will COMMUNITY SERVICE The proposed amendment would be brought to the full Council for formal result in the following 24 Members: consideration and action, if appropriate. Agency Information Collection Activities; Submission to the Office of 1. AK Victory, Inc., Seattle, WA DATES: This meeting will be held on Management and Budget for Review 2. Alaska Warrior, Inc., Seattle, WA Tuesday October 22, 2019 at 9 a.m. and Approval; Comment Request; 3. America’s Finest Fishing, LLC, ADDRESSES: The meeting will be held at Senior Corps Project Progress Report; Kirkland, WA the New Bedford Harbor Hotel, 222 Proposed Information Collection; 4. Arica Vessel, LLC, Seattle, WA Union Street, New Bedford, MA 02740; Comment Request 5. Cape Horn Vessel, LLC, Seattle, WA phone: (508) 999–1292. 6. Fisherman’s Finest International, Inc., Council address: New England AGENCY: Corporation for National and Kirkland, WA Fishery Management Council, 50 Water Community Service. 7. Fishermen’s Finest, Inc., Kirkland, Street, Mill 2, Newburyport, MA 01950. ACTION: Notice. WA 8. Fishermen’s Finest Holdings, LLC, FOR FURTHER INFORMATION CONTACT: SUMMARY: The Corporation for National Kirkland, WA Thomas A. Nies, Executive Director, and Community Service (CNCS) has 9. Glacier Fish Company LLC, Seattle, New England Fishery Management submitted a public information WA Council; telephone: (978) 465–0492. collection request (ICR) entitled Senior 10. Golden-Tech International, LLC, SUPPLEMENTARY INFORMATION: Corps Project Progress Report for review Bellevue, WA and approval in accordance with the Agenda 11. Iquique Disc, Inc., Seattle, WA Paperwork Reduction Act. 12. M/V Savage, Inc., Seattle, WA The Skate Advisory Panel will discuss DATES: Comments may be submitted, 13. North Pacific Fishing, LLC, Amendment 5/Limited Access to the identified by the title of the information Kirkland, WA skate fishery and review Plan collection activity, by November 6, 14. North Star Fishing Company LLC, Development Team (PDT) analyses to 2019. Seattle, WA date; continued discussion on the ADDRESSES: Direct written comments 15. North Star Vessel, LLC, Seattle, WA structure of a limited access program for and/or suggestions regarding the items 16. O’Hara Corporation, Rockland, ME the skate bait and wing fisheries contained in this Notice to the 17. O’Hara DISC, Inc., Rockland, ME including draft alternatives. The Attention: CNCS Desk Officer, Office of 18. Ocean Peace, Inc., Seattle, WA Advisory Panel will make Information and Regulatory Affairs, 19. Rebecca Irene Vessel, LLC, Seattle, recommendations to the Skate Office of Management and Budget, 725 WA Committee. Other business may be 17th Street NW, Washington, DC 20503 20. The Fishing Company of Alaska, discussed as necessary. or by fax to (202) 395–5806. Provide Inc., Seattle, WA Although non-emergency issues not 21. Unimak Vessel, LLC, Seattle, WA written comments within 30 days of contained in this agenda may come Notice publication. 22. United States Seafoods, LLC, Seattle, before this group for discussion, those WA issues may not be the subject of formal FOR FURTHER INFORMATION CONTACT: 23. US Fishing, LLC, Kirkland, WA action during these meetings. Action Copies of this ICR, with applicable 24. USS International, Inc., Seattle, WA will be restricted to those issues supporting documentation, may be obtained by calling the Corporation for Dated: October 2, 2019. specifically listed in this notice and any National and Community Service, Anne Joseph Flynn, issues arising after publication of this notice that require emergency action Otih, at 202–606–7570 or by email to Director, Office of Trade and Economic [email protected]. Analysis, International Trade Administration, under section 305(c) of the Magnuson- U.S. Department of Commerce. Stevens Act, provided the public has SUPPLEMENTARY INFORMATION: The OMB is particularly interested in comments [FR Doc. 2019–21813 Filed 10–4–19; 8:45 am] been notified of the Council’s intent to take final action to address the which: BILLING CODE 3510–DR–P • emergency. Evaluate whether the proposed collection of information is necessary Special Accommodations DEPARTMENT OF COMMERCE for the proper performance of the This meeting is physically accessible functions of CNCS, including whether National Oceanic and Atmospheric to people with disabilities. Requests for the information will have practical Administration sign language interpretation or other utility; • Evaluate the accuracy of the RIN 0648–XV098 auxiliary aids should be directed to Thomas A. Nies, Executive Director, at agency’s estimate of the burden of the New England Fishery Management (978) 465–0492, at least 5 days prior to proposed collection of information, Council; Public Meeting the meeting date. This meeting will be including the validity of the recorded. Consistent with 16 U.S.C. methodology and assumptions; • AGENCY: National Marine Fisheries 1852, a copy of the recording is Propose ways to enhance the Service (NMFS), National Oceanic and available upon request. quality, utility, and clarity of the Atmospheric Administration (NOAA), information to be collected; and Commerce. Authority: 16 U.S.C. 1801 et seq. • Propose ways to minimize the ACTION: Notice; public meeting. burden of the collection of information Dated: October 2, 2019. on those who are to respond, including SUMMARY: The New England Fishery Tracey L. Thompson, through the use of appropriate Management Council (Council) is Acting Deputy Director, Office of Sustainable automated, electronic, mechanical, or scheduling a public meeting of its Skate Fisheries, National Marine Fisheries Service. other technological collection Advisory Panel to consider actions [FR Doc. 2019–21812 Filed 10–4–19; 8:45 am] techniques or other forms of information affecting New England fisheries in the BILLING CODE 3510–22–P technology.

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Comments ACTION: Notification of extension of Department of Energy Organization Act A 60-day Notice requesting public public comment period. (42 U.S.C. 7151(b) and 7172(f)). Such exports require authorization under comment was published in the Federal SUMMARY: The U.S. Air Force is issuing Register on July 18, 2019 at Vol. 84, No. section 202(e) of the Federal Power Act this notice to advise the public of an (16 U.S.C. 824a(e)). 138. This comment period ended extension to the public comment period. On October 2, 2014, DOE issued September 16, 2019. No public The initial Notice of Availability was Order No. EA–359–B, which authorized comments were received from this published in the Federal Register on CCMT to transmit electric energy from Notice. August 9, 2019 (Vol. 84, No. 154/ the United States to Canada as a power Title of Collection: Senior Corps Notices/39296), and established a public marketer for a five-year term using Project Progress Report (PPR). comment period from August 9, 2019 existing international transmission OMB Control Number: 3045–0033. through September 27, 2019. The Air facilities. That authorization expires on Type of Review: Renewal. Force has extended the deadline for October 5, 2019. On September 27, Respondents/Affected Public: submitting public comments to 2019, CCMT filed an application with Sponsors of Senior Corps Grants. November 1, 2019. All substantive DOE for renewal of the export Total Estimated Number of Annual comments received by November 1, authorization contained in Order No. Responses: 1,100. 2019 will be addressed in the Public EA–359–B for an additional five-year Total Estimated Number of Annual Comment Section of the Final EIS. term. Burden Hours: 17,600 (Work Plans and FOR FURTHER INFORMATION CONTACT: Mr. In its application, the Applicant states narratives, semi-annual: Four hours per Ramon Ortiz, NGB/A4AM, 3501 Fetchet that it ‘‘does not currently own or response. Progress Report Avenue, Joint Base Andrews, MD control electric generation or Supplemental, annual: eight hours per 20762–5157, ph: (240) 612–7042. transmission facilities, and does not response.). have a power supply of its own in the Abstract: The Progress Report (PPR) Adriane Paris, United States on which its exports of was designed to ensure that Senior Acting Air Force Federal Register Liaison power could have a reliability, fuel use Corps’ programs (RSVP, Foster Officer. or system stability impact.’’ Affiliates of Grandparent, and Senior Companion [FR Doc. 2019–21860 Filed 10–4–19; 8:45 am] the Applicant do own generating Programs) address and fulfill legislated BILLING CODE 5001–10–P facilities, but ‘‘neither Applicant nor program purposes; meet agency program any of its affiliates owns or controls any management and grant requirements; electric power . . . transmission track and measure progress to benefit DEPARTMENT OF ENERGY facilities and none of them has a the local project and its contributions to franchised electric power service area.’’ senior volunteers and the community; [OE Docket No. EA–359–C] The electric energy that the Applicant and report progress toward work plan proposes to export to Canada would be Application To Export Electric Energy; objectives agreed upon in the granting of surplus energy purchased from third Castleton Commodities Merchant the award. The resulting data is used by parties, such as wholesale generators, Trading L.P. grantees and CNCS to track performance electric utilities and Federal power and inform continued grant funding AGENCY: Office of Electricity, marketing agencies, pursuant to support, as well as to identify trends Department of Energy. voluntary agreements. The existing and to support management and ACTION: Notice of application. international transmission facilities to analysis. CNCS seeks to renew and be utilized by the Applicant have revise current OMB approved PPR to SUMMARY: Castleton Commodities previously been authorized by align with recent national performance Merchant Trading L.P. (Applicant or Presidential permits issued pursuant to measures changes and to remove CCMT) has applied to renew its Executive Order 10485, as amended, administrative burdens. CNCS also authorization to transmit electric energy and are appropriate for open access seeks to continue using the current tool from the United States to Canada transmission by third parties. until the revised application is pursuant to the Federal Power Act. Procedural Matters: Any person desiring to be heard in this proceeding approved by OMB. The current tool is DATES: Comments, protests, or motions should file a comment or protest to the due to expire on December 31, 2019. to intervene must be submitted on or application at the address provided Dated: October 1, 2019. before November 6, 2019. above. Protests should be filed in Deborah Cox-Roush, ADDRESSES: Comments, protests, accordance with Rule 211 of the Federal Director, Senior Corps. motions to intervene, or requests for Energy Regulatory Commission’s (FERC) [FR Doc. 2019–21711 Filed 10–4–19; 8:45 am] more information should be addressed Rules of Practice and Procedure (18 CFR BILLING CODE 6050–28–P to: Office of Electricity, Mail Code: OE– 385.211). Any person desiring to 20, U.S. Department of Energy, 1000 become a party to this proceeding Independence Avenue SW, Washington, should file a motion to intervene at the DC 20585–0350. Because of delays in above address in accordance with FERC DEPARTMENT OF DEFENSE handling conventional mail, it is Rule 214 (18 CFR 385.214). Five (5) recommended that documents be copies of such comments, protests, or Office of the Department of the Air transmitted by overnight mail, by motions to intervene should be sent to Force electronic mail to Electricity.Exports@ the address provided above on or before hq.doe.gov, or by facsimile to (202)586– the date listed above. Notice To Extend Public Comment 8008. Period for the Draft Environmental Comments and other filings Impact Statement for the United States SUPPLEMENTARY INFORMATION: The concerning CCMT’s application to Air Force F–35A Operational Beddown Department of Energy (DOE) regulates export electric energy to Canada should Air National Guard exports of electricity from the United be clearly marked with OE Docket No. States to a foreign country, pursuant to EA–359–C. An additional copy is to be AGENCY: Department of the Air Force. sections 301(b) and 402(f) of the provided directly to both Daniel E.

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Frank, Eversheds Sutherland (US) LLP, limited by winter weather during environmental assessment (EA) that will 700 Sixth Street NW, Suite 700, December of 2019 when scoping for this discuss the environmental impacts of Washington, DC 20001–3980 and project is currently anticipated. For this the Marshall County Mine Panel 19E Compliance Department, Castleton reason, the Commission will conduct Project involving construction and Commodities International LLC, 811 the environmental site review in operation of facilities by Texas Eastern Main Street, Suite 3500, Houston, TX October before the onset of winter; Transmission, LP (Texas Eastern) in 77002. additional site reviews will not be Marshall County, West Virginia. The A final decision will be made on this conducted in conjunction with NEPA Commission will use this EA in its application after the environmental scoping meetings for the project in decision-making process to determine impacts have been evaluated pursuant December of 2019. Therefore, we are whether the project is in the public to DOE’s National Environmental Policy waiving 5.8(b)(viii) of the Commission’s convenience and necessity. Act Implementing Procedures (10 CFR regulations requiring an environmental This notice announces the opening of part 1021) and after DOE determines site review within 30 days of issuance the scoping process the Commission that the proposed action will not have of a notice of commencement of will use to gather input from the public an adverse impact on the sufficiency of proceeding to facilitate the early and interested agencies about issues supply or reliability of the U.S. electric environmental site review. The regarding the project. The National power supply system. Commission encourages all interested Environmental Policy Act (NEPA) Copies of this application will be parties to participate in the October requires the Commission to take into made available, upon request, for public environmental site review to facilitate account the environmental impacts that inspection and copying at the address productive scoping meetings later this could result from its action whenever it provided above, by accessing the year. Details of the project specific considers the issuance of a Certificate of program website at http://energy.gov/ environmental site review follow. Public Convenience and Necessity/ node/11845, or by emailing Angela Troy Date and Time: October 24, 2019 at authorization. NEPA also requires the at [email protected]. 9:00 a.m. Commission to discover concerns the Signed in Washington, DC, on October 1, Location: Rumford Falls Hydroelectric public may have about proposals. This 2019. Project, 299 Prospect Avenue (Route 2), process is referred to as ‘‘scoping.’’ The Christopher Lawrence, Rumford, Maine 04276. main goal of the scoping process is to focus the analysis in the EA on the Management and Program Analyst, Directions and Logistics Transmission Permitting and Technical important environmental issues. By this Assistance Office of Electricity. Please notify Mr. Randy Dorman of notice, the Commission requests public [FR Doc. 2019–21815 Filed 10–4–19; 8:45 am] Great Lakes Hydro America at (207) 755- comments on the scope of issues to address in the EA. To ensure that your BILLING CODE 6450–01–P 5605 or at randy.dorman@ brookfieldrenewable.com on or before comments are timely and properly October 21, 2019, if you plan to attend recorded, please submit your comments DEPARTMENT OF ENERGY the environmental site review. so that the Commission receives them in If you need further logistical Washington, DC on or before 5:00 p.m. Federal Energy Regulatory information or directions, please contact Eastern Time on October 31, 2019. Commission the Mr. Randy Dorman with the You can make a difference by submitting your specific comments or [Project No. 2333–091–Maine] information above. All other questions regarding the environmental site review concerns about the project. Your Rumford Falls Hydro, LLC; Notice of or the Commission’s Integrated comments should focus on the potential Environmental Site Review Licensing Process may be directed to environmental effects, reasonable alternatives, and measures to avoid or Ryan Hansen of the Commission’s staff On September 27, 2019, Rumford lessen environmental impacts. Your at (202) 502–8074 or via email at: Falls Hydro, LLC filed a Notice of Intent input will help the Commission staff [email protected]. (NOI) and Pre-Application Document to determine what issues they need to re-license its 44.5-megawatt Rumford Dated: October 1, 2019. evaluate in the EA. Commission staff Falls Hydroelectric Project No. 2333. Kimberly D. Bose, will consider all filed comments during The Federal Energy Regulatory Secretary. the preparation of the EA. Commission (Commission) will conduct [FR Doc. 2019–21791 Filed 10–4–19; 8:45 am] If you sent comments on this project an environmental site review for the BILLING CODE 6717–01–P to the Commission before the opening of project on October 24, 2019. The project this docket on September 4, 2019, you is located on the Androscoggin River, in will need to file those comments in Oxford County, Maine. DEPARTMENT OF ENERGY Docket No. CP19–509–000 to ensure The environmental site review is they are considered as part of this being held to provide all stakeholders, Federal Energy Regulatory proceeding. interested in the project’s future Commission This notice is being sent to the relicensing proceedings, an opportunity Commission’s current environmental [Docket No. CP19–509–000] to view the project’s facilities and mailing list for this project. State and surrounding areas. Notice of Intent To Prepare an local government representatives should Under the Commission’s Integrated Environmental Assessment for the notify their constituents of this Licensing Process, the Commission Texas Eastern Transmission, LP proposed project and encourage them to conducts its National Environmental Proposed Marshall County Mine Panel comment on their areas of concern. Policy Act (NEPA) scoping meeting 19E Project and Request for If you are a landowner receiving this within 90 days of the filing of the Comments on Environmental Issues notice, a pipeline company licensee’s NOI. An environmental site representative may contact you about review is typically held in conjunction The staff of the Federal Energy the acquisition of an easement to with that scoping meeting. However, Regulatory Commission (FERC or construct, operate, and maintain the access to some project facilities may be Commission) will prepare an proposed facilities. The company would

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seek to negotiate a mutually acceptable type of filing you are making; a The EA Process easement agreement. You are not comment on a particular project is The EA will discuss impacts that required to enter into an agreement. considered a Comment on a Filing; or could occur as a result of the However, if the Commission approves (3) You can file a paper copy of your construction and operation of the the project, that approval conveys with comments by mailing them to the proposed project under these general it the right of eminent domain. following address. Be sure to reference headings: Therefore, if you and the company do the project docket number (CP19–509– • Geology and soils; not reach an easement agreement, the 000) with your submission: Kimberly D. • pipeline company could initiate water resources and wetlands; Bose, Secretary, Federal Energy • vegetation and wildlife; condemnation proceedings in court. In Regulatory Commission, 888 First Street • threatened and endangered species; such instances, compensation would be NE, Room 1A, Washington, DC 20426 • cultural resources; determined by a judge in accordance • Summary of the Proposed Project land use; with state law. • air quality and noise; Texas Eastern provided landowners Texas Eastern proposes to excavate • public safety; and with a fact sheet prepared by the FERC and elevate pipeline segments of its • cumulative impacts entitled ‘‘An Interstate Natural Gas Lines 10, 15, 25, and 30, and these Commission staff will also evaluate Facility On My Land? What Do I Need pipelines range from 30-inch to 36-inch- To Know?’’ This fact sheet addresses a reasonable alternatives to the proposed diameter. Concurrent with pipeline project or portions of the project, and number of typically asked questions, elevation, portions of Lines 10 and 15 including the use of eminent domain make recommendations on how to will be replaced with new pipe to and how to participate in the lessen or avoid impacts on the various accommodate a minimum Class 2 Commission’s proceedings. It is also resource areas. design.1 Texas Eastern would also available for viewing on the FERC The EA will present Commission perform maintenance activities on website (www.ferc.gov) at https:// staffs’ independent analysis of the segments of Lines 25 and 30. The four www.ferc.gov/resources/guides/gas/ issues. The EA will be available in mainline segments will remain in- gas.pdf. electronic format in the public record service and be elevated using sandbags through eLibrary 3 and the Public Participation and skids for about 18 months until the Commission’s website (https:// The Commission offers a free service longwall mining activities have www.ferc.gov/industries/gas/enviro/ called eSubscription which makes it completed and any potential ground eis.asp). If eSubscribed, you will receive easy to stay informed of all issuances subsidence has settled. Once any instant email notification when the EA and submittals regarding the dockets/ longwall mining-induced subsidence is issued. The EA may be issued for an projects to which you subscribe. These and the 2020–2021 heating season have allotted public comment period. instant email notifications are the fastest both ended, the four elevated pipeline Commission staff will consider all way to receive notification and provide segments will be re-installed comments on the EA before making a link to the document files which can belowground, hydrostatically tested, recommendations to the Commission. reduce the amount of time you spend and placed back into service. Texas To ensure Commission staff have the researching proceedings. To sign up go Eastern estimates such activities will be opportunity to address your comments, to www.ferc.gov/docs-filing/ completed in approximately October please carefully follow the instructions esubscription.asp. 2021. in the Public Participation section, For your convenience, there are three The general location of the project beginning on page 2. methods you can use to submit your facilities is shown in appendix 1.2 With this notice, the Commission is comments to the Commission. The asking agencies with jurisdiction by law Land Requirements for Construction Commission encourages electronic filing and/or special expertise with respect to of comments and has staff available to Construction workspace would the environmental issues of this project assist you at (866) 208–3676 or disturb about 34.2 acres of land for the to formally cooperate in the preparation [email protected]. Please pipeline excavation, elevation, and/or of the EA.4 Agencies that would like to carefully follow these instructions so replacement. Following construction, request cooperating agency status that your comments are properly Texas Eastern would maintain about should follow the instructions for filing recorded. 12.0 acres of existing right-of-way for comments provided under the Public (1) You can file your comments permanent operation of the project’s Participation section of this notice. electronically using the eComment facilities; the remaining acreage would Consultation Under Section 106 of the feature, which is located on the be restored and revert to former uses. National Historic Preservation Act Commission’s website (www.ferc.gov) under the link to Documents and 1 Lines 10 and 15 were installed prior to the In accordance with the Advisory Filings. Using eComment is an easy Natural Gas Pipeline Safety Act, and are Council on Historic Preservation’s method for submitting brief, text-only grandfathered to operate at greater than 72% of implementing regulations for section comments on a project; Specified Minimum Yield Strength. The portions of 106 of the National Historic these pipelines included in this Project will be (2) You can file your comments replaced with pipe that meets or exceeds the Preservation Act, the Commission is electronically by using the eFiling current Pipeline and Hazardous Materials Safety using this notice to initiate consultation feature, which is located on the Administration regulations. See 49 CFR 192.611(a) with the applicable State Historic Commission’s website (www.ferc.gov) (2019). Preservation Office(s), and to solicit 2 The appendices referenced in this notice will their views and those of other under the link to Documents and not appear in the Federal Register. Copies of Filings. With eFiling, you can provide appendices were sent to all those receiving this comments in a variety of formats by notice in the mail and are available at www.ferc.gov 3 For instructions on connecting to eLibrary, refer attaching them as a file with your using the link called ‘‘eLibrary’’ or from the to the last page of this notice. Commission’s Public Reference Room, 888 First 4 The Council on Environmental Quality submission. New eFiling users must Street NE, Washington, DC 20426, or call (202) 502– regulations addressing cooperating agency first create an account by clicking on 8371. For instructions on connecting to eLibrary, responsibilities are at Title 40, Code of Federal eRegister. You will be asked to select the refer to the last page of this notice. Regulations, Part 1501.6.

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government agencies, interested Indian eLibrary link. Click on the eLibrary link, associated with, but not a part of, the tribes, and the public on the project’s click on General Search and enter the decisional record of the proceeding. potential effects on historic properties.5 docket number in the Docket Number Unless the Commission determines that The EA for this project will document field, excluding the last three digits (i.e., the prohibited communication and any findings on the impacts on historic CP09–509). Be sure you have selected responses thereto should become a part properties and summarize the status of an appropriate date range. For of the decisional record, the prohibited consultations under section 106. assistance, please contact FERC Online off-the-record communication will not Support at [email protected] Environmental Mailing List be considered by the Commission in or (866) 208–3676, or for TTY, contact reaching its decision. Parties to a The environmental mailing list (202) 502–8659. The eLibrary link also proceeding may seek the opportunity to includes federal, state, and local provides access to the texts of all formal respond to any facts or contentions government representatives and documents issued by the Commission, made in a prohibited off-the-record agencies; elected officials; such as orders, notices, and communication, and may request that environmental and public interest rulemakings. the Commission place the prohibited groups; Native American Tribes; other Public sessions or site visits will be communication and responses thereto interested parties; and local libraries posted on the Commission’s calendar in the decisional record. The and newspapers. This list also includes located at www.ferc.gov/EventCalendar/ all affected landowners (as defined in EventsList.aspx along with other related Commission will grant such a request the Commission’s regulations) who are information. only when it determines that fairness so potential right-of-way grantors, whose requires. Any person identified below as Dated: October 1, 2019. having made a prohibited off-the-record property may be used temporarily for Kimberly D. Bose, project purposes, or who own homes communication shall serve the Secretary. within certain distances of aboveground document on all parties listed on the facilities, and anyone who submits [FR Doc. 2019–21789 Filed 10–4–19; 8:45 am] official service list for the applicable comments on the project. Commission BILLING CODE 6717–01–P proceeding in accordance with Rule staff will update the environmental 2010, 18 CFR 385.2010. mailing list as the analysis proceeds to DEPARTMENT OF ENERGY Exempt off-the-record ensure that Commission notices related communications are included in the to this environmental review are sent to Federal Energy Regulatory decisional record of the proceeding, all individuals, organizations, and Commission unless the communication was with a government entities interested in and/or cooperating agency as described by 40 [Docket No. RM98–1–000] potentially affected by the proposed CFR 1501.6, made under 18 CFR project. Records Governing Off-the-Record 385.2201(e) (1) (v). If the Commission issues the EA for Communications; Public Notice an allotted public comment period, a The following is a list of off-the- Notice of Availability of the EA will be This constitutes notice, in accordance record communications recently sent to the environmental mailing list with 18 CFR 385.2201(b), of the receipt received by the Secretary of the and will provide instructions to access of prohibited and exempt off-the-record Commission. The communications the electronic document on the FERC’s communications. listed are grouped by docket numbers in website (www.ferc.gov). If you need to Order No. 607 (64 FR 51222, ascending order. These filings are make changes to your name/address, or September 22, 1999) requires available for electronic review at the if you would like to remove your name Commission decisional employees, who Commission in the Public Reference from the mailing list, please return the make or receive a prohibited or exempt Room or may be viewed on the attached ‘‘Mailing List Update Form’’ off-the-record communication relevant Commission’s website at http:// (appendix 2). to the merits of a contested proceeding, www.ferc.gov using the eLibrary link. to deliver to the Secretary of the Enter the docket number, excluding the Additional Information Commission, a copy of the last three digits, in the docket number Additional information about the communication, if written, or a field to access the document. For project is available from the summary of the substance of any oral assistance, please contact FERC Online Commission’s Office of External Affairs, communication. Support at FERCOnlineSupport@ at (866) 208–FERC, or on the FERC Prohibited communications are ferc.gov or toll free at (866) 208–3676, or website at www.ferc.gov using the included in a public, non-decisional file for TTY, contact (202)502–8659.

Docket No. File date Presenter or requestor

Prohibited: None. Exempt: CP17–40–000 ...... 9–23–2019 U.S. Congressman Rodney Davis. CP17–40–001

5 The Advisory Council on Historic Preservation’s historic properties as any prehistoric or historic in or eligible for inclusion in the National Register regulations are at Title 36, Code of Federal district, site, building, structure, or object included of Historic Places. Regulations, Part 800. Those regulations define

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Dated: October 1, 2019. This filing is accessible on-line at listed as a contact for an intervenor Kimberly D. Bose, http://www.ferc.gov, using the eLibrary must create and validate an Secretary. link and is available for electronic eRegistration account using the [FR Doc. 2019–21786 Filed 10–4–19; 8:45 am] review in the Commission’s Public eRegistration link. Select the eFiling BILLING CODE 6717–01–P Reference Room in Washington, DC. link to log on and submit the There is an eSubscription link on the intervention or protests. website that enables subscribers to Persons unable to file electronically DEPARTMENT OF ENERGY receive email notification when a should submit an original and 5 copies document is added to a subscribed of the intervention or protest to the Federal Energy Regulatory docket(s). For assistance with any FERC Federal Energy Regulatory Commission, Commission Online service, please email 888 First Street NE, Washington, DC [Docket No. EL19–102–000] [email protected], or call 20426. (866) 208–3676 (toll free). For TTY, call The filings in the above-referenced Wolverine Power Supply Cooperative, (202) 502–8659. proceeding are accessible in the Inc. v. Midcontinent Independent Comment Date: 5:00 p.m. Eastern Commission’s eLibrary system by System Operator, Inc.; Notice of Time on October 17, 2019. clicking on the appropriate link in the above list. They are also available for Complaint Dated: October 1, 2019. electronic review in the Commission’s Take notice that on September 27, Kimberly D. Bose, Public Reference Room in Washington, 2019, pursuant to sections 206 and 306 Secretary. DC. There is an eSubscription link on of the Federal Power Act, 16 U.S.C. 824e [FR Doc. 2019–21788 Filed 10–4–19; 8:45 am] the website that enables subscribers to and 825e and Rule 206 of the Federal BILLING CODE 6717–01–P receive email notification when a Energy Regulatory Commission’s document is added to a subscribed (Commission) Rules of Practice and docket(s). For assistance with any FERC Procedure, 18 CFR 385.206, Wolverine DEPARTMENT OF ENERGY Online service, please email Power Supply Cooperative, Inc. [email protected]. or call (Complainant) filed a formal complaint Federal Energy Regulatory Commission (866) 208–3676 (toll free). For TTY, call against Midcontinent Independent (202) 502–8659. System Operator, Inc., (Respondent or [Docket No. ER19–2908–000] MISO) alleging that, Respondent’s rules Dated: October 1, 2019. governing the Planning Resource Tenaska Clear Creek Wind, LLC; Kimberly D. Bose, Auction (PRA) is unjust and Supplemental Notice That Initial Secretary. unreasonable because the PRA fails to Market-Based Rate Filing Includes [FR Doc. 2019–21792 Filed 10–4–19; 8:45 am] establish an appropriate forward price Request for Blanket Section 204 BILLING CODE 6717–01–P signal and identify the real cost of Authorization maintaining reliability, all as more fully explained in the complaint. This is a supplemental notice in the DEPARTMENT OF ENERGY The Complainant certifies that copies above-referenced proceeding of Tenaska of the complaint were served on the Clear Creek Wind, LLC’s application for Federal Energy Regulatory contacts listed for Respondent in the market-based rate authority, with an Commission Commission’s list of Corporate Officials. accompanying rate tariff, noting that Any person desiring to intervene or to such application includes a request for Combined Notice of Filings #1 protest this filing must file in blanket authorization, under 18 CFR Take notice that the Commission accordance with Rules 211 and 214 of part 34, of future issuances of securities received the following exempt the Commission’s Rules of Practice and and assumptions of liability. wholesale generator filings: Any person desiring to intervene or to Procedure (18 CFR 385.211, 385.214). Docket Numbers: EG19–191–000. Protests will be considered by the protest should file with the Federal Applicants: Tenaska Clear Creek Commission in determining the Energy Regulatory Commission, 888 Wind, LLC. appropriate action to be taken, but will First Street NE, Washington, DC 20426, Description: Notice of Self- not serve to make protestants parties to in accordance with Rules 211 and 214 Certification of Exempt Wholesale the proceeding. Any person wishing to of the Commission’s Rules of Practice Generator Status. become a party must file a notice of and Procedure (18 CFR 385.211 and Filed Date: 9/30/19. intervention or motion to intervene, as 385.214). Anyone filing a motion to Accession Number: 20190930–5171. appropriate. The Respondent’s answer intervene or protest must serve a copy Comments Due: 5 p.m. ET 10/21/19. and all interventions, or protests must of that document on the Applicant. Take notice that the Commission be filed on or before the comment date. Notice is hereby given that the received the following electric rate The Respondent’s answer, motions to deadline for filing protests with regard filings: intervene, and protests must be served to the applicant’s request for blanket Docket Numbers: ER12–162–024; on the Complainants. authorization, under 18 CFR part 34, of ER13–1266–025; ER11–2044–029; The Commission encourages future issuances of securities and ER15–2211–022. electronic submission of protests and assumptions of liability, is October 21, Applicants: Bishop Hill Energy II interventions in lieu of paper using the 2019. LLC, CalEnergy, LLC, MidAmerican eFiling link at http://www.ferc.gov. The Commission encourages Energy Company, MidAmerican Energy Persons unable to file electronically electronic submission of protests and Services, LLC. should submit an original and 5 copies interventions in lieu of paper, using the Description: Notice of Non-Material of the protest or intervention to the FERC Online links at http:// Change in Status of the Berkshire Federal Energy Regulatory Commission, www.ferc.gov. To facilitate electronic Hathaway Central Parties, et al. 888 First Street NE, Washington, DC service, persons with internet access Filed Date: 9/30/19. 20426. who will eFile a document and/or be Accession Number: 20190930–5209.

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Comments Due: 5 p.m. ET 10/21/19. Docket Numbers: ER19–2916–000. Accession Number: 20191001–5017. Docket Numbers: ER19–2909–000. Applicants: Calpine Mid-Merit II, Comments Due: 5 p.m. ET 10/22/19. Applicants: Basin Electric Power LLC. Docket Numbers: ER20–6–000. Cooperative. Description: § 205(d) Rate Filing: Applicants: Alcoa Power Generating Description: Baseline eTariff Filing: Reactive Power Rate Schedule to be Inc. Basin Electric Submission of Rate effective 11/1/2019. Description: § 205(d) Rate Filing: Schedule A to be effective 12/31/9998. Filed Date: 9/30/19. Reactive Power Rate Schedule to be Filed Date: 9/30/19. Accession Number: 20190930–5197. effective 12/1/2019. Accession Number: 20190930–5179. Comments Due: 5 p.m. ET 10/21/19. Filed Date: 10/1/19. Comments Due: 5 p.m. ET 10/21/19. Docket Numbers: ER19–2917–000. Accession Number: 20191001–5020. Docket Numbers: ER19–2910–000. Applicants: Basin Electric Power Comments Due: 5 p.m. ET 10/22/19. Applicants: Basin Electric Power Cooperative, Inc. Docket Numbers: ER20–7–000. Cooperative. Description: Request for Waivers and Applicants: Southwest Power Pool, Description: Baseline eTariff Filing: Extensions of Filing Deadlines of Basin Inc. Basin Electric Submission of Electric Power Cooperative. Description: § 205(d) Rate Filing: Transmission-Related Agreements to be Filed Date: 9/30/19. 2900R12 KMEA NITSA NOA to be effective 12/31/9998. Accession Number: 20190930–5205. effective 9/1/2019. Filed Date: 9/30/19. Comments Due: 5 p.m. ET 10/21/19. Filed Date: 10/1/19. Accession Number: 20190930–5187. Docket Numbers: ER20–1–000. Accession Number: 20191001–5075. Comments Due: 5 p.m. ET 10/21/19. Applicants: Basin Electric Power Comments Due: 5 p.m. ET 10/22/19. Docket Numbers: ER19–2911–000. Cooperative. Docket Numbers: ER20–8–000. Applicants: Basin Electric Power Description: Baseline eTariff Filing: Applicants: Southwest Power Pool, Cooperative. Basin Electric Application for MBR Inc. Description: Baseline eTariff Filing: Authority and Request for Expedited Description: § 205(d) Rate Filing: Basin Electric Submission of Open Action to be effective 12/31/9998. 1313R12 Oklahoma Gas and Electric Access Transmission Tariff and ATRR Filed Date: 10/1/19. Company NITSA and NOA to be to be effective 12/31/9998. Accession Number: 20191001–5002. effective 9/1/2019. Filed Date: 9/30/19. Comments Due: 5 p.m. ET 10/22/19. Filed Date: 10/1/19. Accession Number: 20190930–5188. Docket Numbers: ER20–2–000. Accession Number: 20191001–5109. Comments Due: 5 p.m. ET 10/21/19. Applicants: Basin Electric Power Comments Due: 5 p.m. ET 10/22/19. Docket Numbers: ER19–2912–000. Cooperative. Docket Numbers: ER20–9–000. Applicants: Arizona Public Service Description: Initial rate filing: Basin Applicants: New York Independent Company. Electric Submission of Wholesale Power System Operator, Inc., Niagara Mohawk Description: § 205(d) Rate Filing: Rate Contract FERC Rate Schedules 1–19 to Power Corporation. Schedule Nos. 295, 296 & 297 to be be effective 12/31/9998. Description: § 205(d) Rate Filing: Joint effective 12/1/2019. Filed Date: 10/1/19. LGIA filing among NYISO, NMPC and Filed Date: 9/30/19. Accession Number: 20191001–5003. Cassadaga Wind SA 2475 to be effective Accession Number: 20190930–5189. Comments Due: 5 p.m. ET 10/22/19. 9/17/2019. Comments Due: 5 p.m. ET 10/21/19. Docket Numbers: ER20–3–000. Filed Date: 10/1/19. Docket Numbers: ER19–2913–000. Applicants: Midcontinent Accession Number: 20191001–5113. Applicants: Midcontinent Independent System Operator, Inc., Comments Due: 5 p.m. ET 10/22/19. Independent System Operator, Inc. Michigan Electric Transmission Docket Numbers: ER20–10–000. Description: § 205(d) Rate Filing: Company. Applicants: Arizona Public Service 2019–09–30_Default Technology Description: § 205(d) Rate Filing: Company. Specific Avoidable Costs Filing to be 2019–10–1_Depreciation Rate Filing Description: § 205(d) Rate Filing: effective 11/30/2019. METC to be effective 12/1/2019. OATT Attachment Q—Unaccounted for Filed Date: 9/30/19. Filed Date: 10/1/19. Energy to be effective 12/1/2019. Accession Number: 20190930–5190. Accession Number: 20191001–5011. Filed Date: 10/1/19. Comments Due: 5 p.m. ET 10/21/19. Comments Due: 5 p.m. ET 10/22/19. Accession Number: 20191001–5120. Docket Numbers: ER19–2914–000. Docket Numbers: ER20–4–000. Comments Due: 5 p.m. ET 10/22/19. Applicants: Puget Sound Energy, Inc. Applicants: Midcontinent Docket Numbers: ER20–11–000. Description: § 205(d) Rate Filing: Independent System Operator, Inc., Applicants: Midcontinent NITSA, NOA, IA Between Air Products International Transmission Company. Independent System Operator, Inc. & PSE to be effective 9/1/2019. Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: Filed Date: 9/30/19. 2019–10–1_Depreciation Rate Filing 2019–10–01_True-up Filing for Order Accession Number: 20190930–5195. ITCT to be effective 12/1/2019. 831 Energy Offer Cap to be effective 12/ Comments Due: 5 p.m. ET 10/21/19. Filed Date: 10/1/19. 1/2019. Docket Numbers: ER19–2915–000. Accession Number: 20191001–5016. Filed Date: 10/1/19. Applicants: PJM Interconnection, Comments Due: 5 p.m. ET 10/22/19. Accession Number: 20191001–5152. L.L.C. Docket Numbers: ER20–5–000. Comments Due: 5 p.m. ET 10/22/19. Description: § 205(d) Rate Filing: Applicants: Midcontinent Docket Numbers: ER20–12–000. Revisions to Operating Agreement, Independent System Operator, Inc., ITC Applicants: Southwest Power Pool, Schedule 6, sec 1.5 re: Cost Midwest LLC. Inc. Commitment to be effective 1/1/2020. Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: Filed Date: 9/30/19. 2019–10–1_Depreciation Rate Filing 3125R7 Basin Electric Power Accession Number: 20190930–5196. ITCM to be effective 12/1/2019. Cooperative NITSA and NOA to be Comments Due: 5 p.m. ET 10/21/19. Filed Date: 10/1/19. effective 9/1/2019.

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Filed Date: 10/1/19. eFiling is encouraged. More detailed You can make a difference by Accession Number: 20191001–5158. information relating to filing submitting your specific comments or Comments Due: 5 p.m. ET 10/22/19. requirements, interventions, protests, concerns about the project. Your Docket Numbers: ER20–13–000. service, and qualifying facilities filings comments should focus on the potential Applicants: Midcontinent can be found at: http://www.ferc.gov/ environmental effects, reasonable Independent System Operator, Inc. docs-filing/efiling/filing-req.pdf. For alternatives, and measures to avoid or Description: § 205(d) Rate Filing: other information, call (866) 208–3676 lessen environmental impacts. Your 2019–10–01_TO Attachment O’s and (toll free). For TTY, call (202) 502–8659. input will help the Commission staff ADIT Proration Filing to be effective 1/ Dated: October 1, 2019. determine what issues they need to 1/2019. Kimberly D. Bose, evaluate in the EA. Commission staff Filed Date: 10/1/19. will consider all filed comments during Secretary. Accession Number: 20191001–5173. the preparation of the EA. Comments Due: 5 p.m. ET 10/22/19. [FR Doc. 2019–21795 Filed 10–4–19; 8:45 am] If you sent comments on this project Docket Numbers: ER20–14–000. BILLING CODE 6717–01–P to the Commission before the opening of Applicants: Alabama Power this docket on June 14, 2019, you will Company. DEPARTMENT OF ENERGY need to file those comments in Docket Description: § 205(d) Rate Filing: No. PF19–5–000 to ensure they are Sunflower Solar (Lucedale Solar Project) Federal Energy Regulatory considered as part of this proceeding. LGIA Filing to be effective 9/17/2019. Commission This notice is being sent to the Filed Date: 10/1/19. Commission’s current environmental Accession Number: 20191001–5233. mailing list for this project. State and [Docket No. PF19–5–000] Comments Due: 5 p.m. ET 10/22/19. local government representatives should Docket Numbers: ER20–15–000. Notice of Intent To Prepare an notify their constituents of this planned Applicants: PJM Interconnection, Environmental Assessment Statement project and encourage them to comment L.L.C. for the Sempra PALNG Holdings, LLC on their areas of concern. Description: § 205(d) Rate Filing: Planned Port Arthur LNG Expansion A fact sheet prepared by the FERC Amended ISA SA No. 5227; Queue No. Project, and Request for Comments on entitled An Interstate Natural Gas AB2–158 to be effective 10/8/2018. Environmental Issues Facility On My Land? What Do I Need Filed Date: 10/1/19. To Know? is available for viewing on Accession Number: 20191001–5263. The staff of the Federal Energy the FERC website (www.ferc.gov) at Comments Due: 5 p.m. ET 10/22/19. Regulatory Commission (FERC or https://www.ferc.gov/resources/guides/ Take notice that the Commission Commission) will prepare an gas/gas.pdf. This fact sheet addresses a received the following electric securities environmental assessment (EA) that will number of typically asked questions, filings: discuss the environmental impacts of including the use of eminent domain Docket Numbers: ES19–70–000. the Port Arthur LNG Expansion Project and how to participate in the Applicants: West Penn Power (Project) involving construction and Commission’s proceedings. Company. operation of facilities by Sempra Public Participation Description: Application under PALNG Holdings, LLC (Sempra) in Section 204 of the Federal Power Act for Jefferson County, Texas. The The Commission offers a free service Authorization to Issue Securities of Commission will use this EA in its called eSubscription which makes it West Penn Power Company. decision-making process to determine easy to stay informed of all issuances Filed Date: 9/27/19. whether the project is in the public and submittals regarding the dockets/ Accession Number: 20190927–5194. interest. projects to which you subscribe. These Comments Due: 5 p.m. ET 10/18/19. This notice announces the opening of instant email notifications are the fastest Docket Numbers: ES19–71–000. the scoping process the Commission way to receive notification and provide Applicants: Basin Electric Power will use to gather input from the public a link to the document files which can Cooperative, Inc. and interested agencies about issues reduce the amount of time you spend Description: Application under regarding the project. The National researching proceedings. To sign up go Section 204 of the Federal Power Act for Environmental Policy Act (NEPA) to www.ferc.gov/docs-filing/ Authorization to Issue Securities, et al. requires the Commission to take into esubscription.asp. of Basin Electric Power Cooperative. account the environmental impacts that For your convenience, there are three Filed Date: 9/30/19. could result from its action whenever it methods you can use to submit your Accession Number: 20190930–5200. considers the issuance of an comments to the Commission. The Comments Due: 5 p.m. ET 10/21/19. authorization. NEPA also requires the Commission encourages electronic filing The filings are accessible in the Commission to discover concerns the of comments and has staff available to Commission’s eLibrary system by public may have about proposals. This assist you at (866) 208–3676 or clicking on the links or querying the process is referred to as ‘‘scoping.’’ The [email protected]. Please docket number. main goal of the scoping process is to carefully follow these instructions so Any person desiring to intervene or focus the analysis in the EA on the that your comments are properly protest in any of the above proceedings important environmental issues. By this recorded. must file in accordance with Rules 211 notice, the Commission requests public (1) You can file your comments and 214 of the Commission’s comments on the scope of issues to electronically using the eComment Regulations (18 CFR 385.211 and address in the EA. To ensure that your feature, which is on the Commission’s 385.214) on or before 5:00 p.m. Eastern comments are timely and properly website (www.ferc.gov) under the link to time on the specified comment date. recorded, please submit your comments Documents and Filings. Using Protests may be considered, but so that the Commission receives them in eComment is an easy method for intervention is necessary to become a Washington, DC on or before 5:00 p.m. submitting brief, text-only comments on party to the proceeding. Eastern Time on November 12, 2019. a project;

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(2) You can file your comments • public safety; and Preservation Office, and to solicit their electronically by using the eFiling • cumulative impacts views and those of other government feature, which is also on the Commission staff will also evaluate agencies, interested Indian tribes, and Commission’s website (www.ferc.gov) possible alternatives to the planned the public on the project’s potential under the link to Documents and project or portions of the project, and effects on historic properties.4 The EA Filings. With eFiling, you can provide make recommendations on how to for this project will document our comments in a variety of formats by lessen or avoid impacts on the various findings on the impacts on historic attaching them as a file with your resource areas. properties and summarize the status of submission. New eFiling users must Although no formal application has consultations under section 106. been filed, Commission staff have first create an account by clicking on Environmental Mailing List eRegister. You will be asked to select the already initiated a NEPA review under type of filing you are making; a the Commission’s pre-filing process. The environmental mailing list comment on a particular project is The purpose of the pre-filing process is includes: Federal, state, and local considered a Comment on a Filing; or to encourage early involvement of government representatives and (3) You can file a paper copy of your interested stakeholders and to identify agencies; elected officials; and other comments by mailing them to the and resolve issues before the interested parties. This list also includes following address. Be sure to reference Commission receives an application. As all affected landowners (as defined in the project docket number (PF19–5–000) part of the pre-filing review, the Commission’s regulations) who own with your submission: Kimberly D. Commission staff will contact federal homes within certain distances of Bose, Secretary, Federal Energy and state agencies to discuss their aboveground facilities as well as anyone Regulatory Commission, 888 First Street involvement in the scoping process and who submits comments on the project. NE, Room 1A, Washington, DC 20426 the preparation of the EA. Commission staff will update the The EA will present Commission environmental mailing list as the Summary of the Planned Project staffs’ independent analysis of the analysis proceeds to ensure that Sempra plans to construct and operate issues. The EA will be available in Commission notices related to this additional liquefaction capacity at the electronic format in the public record environmental review are sent to all site of the recently approved Port Arthur through eLibrary 2 and the individuals, organizations, and Liquefaction Project near Port Arthur, Commission’s website (https:// government entities interested in and/or Texas. The planned expansion would www.ferc.gov/industries/gas/enviro/ potentially affected by the planned add two liquefaction trains, increasing eis.asp). If eSubscribed, you will receive project. liquefied natural gas production instant email notification when the EA If the Commission issues the EA for capacity from 13.5 million metric tons is issued. The EA may be issued for an an allotted public comment period, a per annum (MTPA) to approximately allotted public comment period. Notice of Availability of the EA will be 27.0 MTPA. Commission staff will consider all sent to the environmental mailing list The general location of the project comments on the EA before making and will provide instructions to access facilities is shown in appendix 1.1 recommendations to the Commission. the electronic document on the FERC’s To ensure Commission staff have the website (www.ferc.gov). If you need to Land Requirements for Construction opportunity to consider and address make changes to your name/address, or Construction and operation of the your comments, please carefully follow if you would like to remove your name planned project would be wholly within the instructions in the Public from the mailing list, please return the property already certificated for the Port Participation section, beginning on page attached ‘‘Mailing List Update Form’’ Arthur Liquefaction Project. No 2. (appendix 2). With this notice, the Commission is additional land would be required. The Becoming an Intervenor Project facilities, once constructed, asking agencies with jurisdiction by law would occupy approximately 60 acres. and/or special expertise with respect to Once Sempra files its application with the environmental issues related to this the Commission, you may want to The EA Process project to formally cooperate in the become an intervenor which is an 3 The EA will discuss impacts that preparation of the EA. Agencies that official party to the Commission’s could occur as a result of the would like to request cooperating proceeding. Only intervenors have the construction and operation of the agency status should follow the right to seek rehearing of the planned project under these general instructions for filing comments Commission’s decision and be heard by headings: provided under the Public Participation the courts if they choose to appeal the section of this notice. Commission’s final ruling. An • Geology and soils; intervenor formally participates in the • water resources and wetlands; Consultation Under Section 106 of the proceeding by filing a request to • vegetation and wildlife; National Historic Preservation Act intervene pursuant to Rule 214 of the • threatened and endangered species; In accordance with the Advisory Commission’s Rules of Practice and • cultural resources; Council on Historic Preservation’s Procedures (18 CFR 385.214). Motions • socioeconomics; implementing regulations for section to intervene are more fully described at • land use; 106 of the National Historic http://www.ferc.gov/resources/guides/ • air quality and noise; Preservation Act, the Commission is how-to/intervene.asp. Please note that using this notice to initiate consultation the Commission will not accept requests 1 The appendices referenced in this notice will with the applicable State Historic not appear in the Federal Register. Copies of the appendices were sent to all those receiving this 4 The Advisory Council on Historic Preservation notice in the mail and are available at www.ferc.gov 2 For instructions on connecting to eLibrary, refer regulations are at Title 36, Code of Federal using the link called eLibrary or from the to the last page of this notice. Regulations, Part 800. Those regulations define Commission’s Public Reference Room, 888 First 3 The Council on Environmental Quality historic properties as any prehistoric or historic Street NE, Washington, DC 20426, or call (202) 502– regulations addressing cooperating agency district, site, building, structure, or object included 8371. For instructions on connecting to eLibrary, responsibilities are at Title 40, Code of Federal in or eligible for inclusion in the National Register refer to the last page of this notice. Regulations, Part 1501.6. of Historic Places.

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for intervenor status at this time. You Public comments were previously June 10, 1999, and amended on: June must wait until the Commission requested, via the Federal Register, on 12, 2002; April 20, 2006, August 19, receives a formal application for the May 6, 2019, during a 60-day comment 2015, and September 28, 2017. Owners project, after which the Commission period. This notice allows for an and operators of affected facilities are will issue a public notice that additional 30 days for public comments. required to comply with reporting and establishes an intervention deadline. A fuller description of the ICR is given record-keeping requirements for the below, including its estimated burden General Provisions (40 CFR part 63, Additional Information and cost to the public. An agency may subpart A), as well as for the specific Additional information about the neither conduct nor sponsor, and a requirements at 40 CFR part 63 subparts project is available from the person is not required to respond to, a AA and BB. This includes submitting Commission’s Office of External Affairs, collection of information unless it initial notifications, performance tests at (866) 208–FERC, or on the FERC displays a currently valid OMB control and periodic reports and results, and website (www.ferc.gov) using the number. maintaining records of the occurrence eLibrary link. Click on the eLibrary link, DATES: Additional comments may be and duration of any startup, shutdown, click on General Search and enter the submitted on or before November 6, or malfunction in the operation of an docket number in the Docket Number 2019. affected facility, or any period during field, excluding the last three digits (i.e., ADDRESSES: Submit your comments, which the monitoring system is PF19–5). Be sure you have selected an referencing Docket ID Number EPA– inoperative. These reports are used by appropriate date range. For assistance, HQ–OECA–2012–0676, to: (1) EPA EPA to determine compliance with please contact FERC Online Support at online using www.regulations.gov (our these standards. [email protected] or toll free preferred method), or by email to Form Numbers: None. at (866) 208–3676, or for TTY, contact [email protected], or by mail to: EPA Respondents/affected entities: (202) 502–8659. The eLibrary link also Docket Center, Environmental Phosphoric acid and phosphate provides access to the texts of all formal Protection Agency, Mail Code 28221T, fertilizer production facilities. documents issued by the Commission, 1200 Pennsylvania Ave. NW, Respondent’s obligation to respond: such as orders, notices, and Washington, DC 20460; and (2) OMB via Mandatory (40 CFR part 63). rulemakings. email to [email protected]. Estimated number of respondents: 13 Public sessions or site visits will be Address comments to OMB Desk Officer (total). posted on the Commission’s calendar for EPA. Frequency of response: Quarterly and located at www.ferc.gov/EventCalendar/ EPA’s policy is that all comments semiannually. EventsList.aspx along with other related received will be included in the public Total estimated burden: 2,200 hours information. docket without change, including any (per year). Burden is defined at 5 CFR Dated: October 1, 2019. personal information provided, unless 1320.3(b). Kimberly D. Bose, the comment includes profanity, threats, Total estimated cost: $441,000 (per year), which includes $186,000 in Secretary. information claimed to be Confidential annualized capital/startup and/or [FR Doc. 2019–21793 Filed 10–4–19; 8:45 am] Business Information (CBI), or other information whose disclosure is operation & maintenance costs. BILLING CODE 6717–01–P restricted by statute. Changes in the Estimates: There is no FOR FURTHER INFORMATION CONTACT: change in the labor hours in this ICR Patrick Yellin, Monitoring, Assistance, compared to the previous ICR. This is ENVIRONMENTAL PROTECTION due to a zero-growth rate for the AGENCY and Media Programs Division, Office of Compliance, Mail Code 2227A, industry. [EPA–HQ–OECA–2012–0676; FRL–10000– Environmental Protection Agency, 1200 Courtney Kerwin, 55–OMS] Pennsylvania Ave. NW, Washington, DC Director, Regulatory Support Division. 20460; telephone number: (202) 564– [FR Doc. 2019–21809 Filed 10–4–19; 8:45 am] Information Collection Request 2970; fax number: (202) 564–0050; BILLING CODE 6560–50–P Submitted to OMB for Review and email address: [email protected]. Approval; Comment Request; NESHAP SUPPLEMENTARY INFORMATION: for Phosphoric Acid Manufacturing and Phosphate Fertilizers Production Supporting documents, which explain ENVIRONMENTAL PROTECTION (Renewal) in detail the information that the EPA AGENCY will be collecting, are available in the [EPA–HQ–OPP–2018–0651; FRL–9999–71] AGENCY: Environmental Protection public docket for this ICR. The docket Agency (EPA). can be viewed online at Product Cancellation Order for Certain ACTION: Notice. www.regulations.gov, or in person at the Pesticide Registrations EPA Docket Center, WJC West, Room SUMMARY: The Environmental Protection 3334, 1301 Constitution Ave. NW, AGENCY: Environmental Protection Agency (EPA) has submitted an Washington, DC. The telephone number Agency (EPA). information collection request (ICR), for the Docket Center is 202–566–1744. ACTION: Notice. NESHAP for Phosphoric Acid For additional information about EPA’s Manufacturing and Phosphate public docket, visit: http:// SUMMARY: This notice announces EPA’s Fertilizers Production (EPA ICR Number www.epa.gov/dockets. order for the cancellations, voluntarily 1790.09, OMB Control Number 2060– Abstract: The National Emission requested by the registrants and 0361), to the Office of Management and Standards for Hazardous Air Pollutants accepted by the Agency, of the products Budget (OMB) for review and approval (NESHAP) for Phosphoric Acid listed in Table 1 and Table 1A of Unit in accordance with the Paperwork Manufacturing and Phosphate II., pursuant to the Federal Insecticide, Reduction Act. This is a proposed Fertilizers Production (40 CFR part 63, Fungicide, and Rodenticide Act extension of the ICR, which is currently subparts AA and BB) were proposed on (FIFRA). This cancellation order follows approved through January 31, 2020. December 27, 1996, promulgated on a March 5, 2019 Federal Register Notice

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of Receipt of Requests from the registrant may continue to sell and B. How can I get copies of this document registrants listed in Table 2 of Unit II. distribute existing stocks of these and other related information? to voluntarily cancel these product products until October 7, 2020. The docket for this action, identified registrations. In the March 5, 2019 FOR FURTHER INFORMATION CONTACT: by docket identification (ID) number notice, EPA indicated that it would EPA–HQ–OPP–2018–0651, is available issue an order implementing the Christopher Green, Information Technology and Resources Management at http://www.regulations.gov or at the cancellations, unless the Agency Office of Pesticide Programs Regulatory received substantive comments within Division (7502P), Office of Pesticide Programs, Environmental Protection Public Docket (OPP Docket) in the the 180-day comment period that would Environmental Protection Agency merit its further review of these Agency, 1200 Pennsylvania Ave. NW, Washington, DC 20460–0001; telephone Docket Center (EPA/DC), West William requests, or unless the registrants Jefferson Clinton Bldg., Rm. 3334, 1301 number: (703) 347–0367; email address: withdrew their requests. The Agency Constitution Ave. NW, Washington, DC [email protected]. did not receive any comments on the 20460–0001. The Public Reading Room notice. Further, the registrants did not SUPPLEMENTARY INFORMATION: is open from 8:30 a.m. to 4:30 p.m., withdraw their requests. Accordingly, Monday through Friday, excluding legal EPA hereby issues in this notice a I. General Information holidays. The telephone number for the cancellation order granting the A. Does this action apply to me? Public Reading Room is (202) 566–1744, requested cancellations. Any and the telephone number for the OPP distribution, sale, or use of the products This action is directed to the public Docket is (703) 305–5805. Please review subject to this cancellation order is in general, and may be of interest to a the visitor instructions and additional permitted only in accordance with the wide range of stakeholders including information about the docket available terms of this order, including any environmental, human health, and at http://www.epa.gov/dockets. existing stocks provisions. agricultural advocates; the chemical II. What action is the Agency taking? DATES: The effective date of the industry; pesticide users; and members cancellation listed in Table 1 of Unit II. of the public interested in the sale, This notice announces the is December 31, 2018, and the registrant distribution, or use of pesticides. Since cancellation, as requested by registrants, may continue to sell and distribute others also may be interested, the of products registered under FIFRA existing stocks of this product until Agency has not attempted to describe all section 3 (7 U.S.C. 136a). These December 31, 2019. The effective date of the specific entities that may be affected registrations are listed in sequence by the cancellations listed in Table 1A of registration number in Table 1 and by this action. Unit II. is October 7, 2019, and the Table 1A of this unit.

TABLE 1—PRODUCT CANCELLATIONS

Registration No. Company No. Product name Active ingredients

432–1477 ...... 432 Prostar 70 WDG Fungicide ...... Flutolanil.

The registrant of the request in Table 1, requests to cancel the registration on December 31, 2018.

TABLE 1A—PRODUCT CANCELLATIONS

Registration No. Company No. Product name Active ingredients

87290–16 ...... 87290 Willowood Fomesafen 2 SL ...... Sodium salt of fomesafen. ME050001 ...... 62719 Stinger ...... Clopyralid, monoethanolamine salt.

Table 2 of this unit includes the and Table 1A of this unit, in sequence registration numbers of the products names and addresses of record for all by EPA company number. This number listed in Table 1 and Table 1A of this registrants of the products in Table 1 corresponds to the first part of the EPA unit.

TABLE 2—REGISTRANTS OF CANCELLED PRODUCTS

EPA Company No. Company name and address

432 ...... Bayer Environmental Science, A Division of Bayer CropScience, LP, 5000 CentreGreen Way, Suite 400, Cary, NC 27513. 62719 ...... Dow AgroSciences, LLC, 9330 Zionsville Rd., 308/2E, Indianapolis, IN 46268–1054. 87290 ...... Willowood, LLC, Wagner Regulatory Associates, Inc., P.O. Box 640, Hockessin, DE 19707–0640.

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III. Summary of Public Comments which is 1 year after the effective date Per NEEA, the EPA Administrator Received and Agency Response to of the cancellation. Thereafter, the appoints and reappoints eligible Comments registrant is prohibited from selling or individuals to serve on NEEF’s Board of During the public comment period distributing the product listed in Table Directors. The Administrator announces provided, EPA received no comments in 1, except for export in accordance with the following four-year appointments to response to the March 5, 2019 Federal FIFRA section 17 (7 U.S.C. 136o), or NEEF’s Board of Directors, effective 90 Register notice announcing the proper disposal. days after publication of this notice: • Agency’s receipt of the requests for For all other voluntary cancellations Jeniffer Harper-Taylor—Siemens voluntary cancellations of the products listed in Table 1A, the registrants may Foundation (Re-appointment) • listed in Table 1 and Table 1A of Unit continue to sell and distribute existing Jennifer Love—Royal Caribbean II. stocks of products listed in Table 1A of International Unit II. until 1 year after the publication • Lori A. McFarling—Discovery IV. Cancellation Order of the Cancellation Order in the Federal Education Pursuant to FIFRA section 6(f) (7 Register, the date is specified in the • Steve Sikra—Proctor & Gamble U.S.C. 136d(f)), EPA hereby approves DATES section. Thereafter, the registrants Additional considerations: As an the requested cancellations of the are prohibited from selling or independent foundation, NEEF is registrations identified in Table 1 and distributing products listed in Table 1A, different from the Agency’s several Table 1A of Unit II. except for export in accordance with federal advisory committees and Accordingly, the Agency hereby FIFRA section 17 (7 U.S.C. 136o), or scientific boards, which have their own orders that the product registrations proper disposal. appointment processes. Because NEEA identified in Table 1 and Table 1A of Persons other than the registrants may gives complete discretion to the Unit II. are canceled. The effective date sell, distribute, or use existing stocks of Administrator in appointing members to of these cancellations is specified in the the products listed in Table 1 and Table NEEF’s Board of Directors, EPA is taking DATES section. Any distribution, sale, or 1A of Unit II. until existing stocks are additional steps to ensure all use of existing stocks of the products exhausted, provided that such sale, prospective members are qualified to identified in Table 1 and Table 1A of distribution, or use is consistent with serve on the Board and represent Unit II. in a manner inconsistent with the terms of the previously approved diverse points of view. In early 2019, any of the provisions for disposition of labeling on, or that accompanied, the EPA’s Office of the Administrator existing stocks set forth in Unit VI. will canceled products. formed an internal review panel be a violation of FIFRA. comprised of senior EPA career officials Authority: 7 U.S.C. 136 et seq. tasked with verifying the qualifications V. What is the Agency’s authority for Dated: September 16, 2019. taking this action? of all future members of the NEEF Board Delores Barber, of Directors selected by the Section 6(f)(1) of FIFRA (7 U.S.C. Director, Information Technology and Administrator. All new Board 136d(f)(1)) provides that a registrant of Resources Management Division, Office of appointees underwent review by the a pesticide product may at any time Pesticide Programs. panel prior to publication of this notice. request that any of its pesticide [FR Doc. 2019–21713 Filed 10–4–19; 8:45 am] These appointees will join the current registrations be canceled or amended to BILLING CODE 6560–50–P Board members. Information on the terminate one or more uses. FIFRA Board members is available on NEEF’s further provides that, before acting on public website: https:// the request, EPA must publish a notice ENVIRONMENTAL PROTECTION www.neefusa.org/about-neef/board. of receipt of any such request in the AGENCY In December 2018, NEEF signed a Federal Register. Thereafter, following first-time Memorandum of the public comment period, the EPA [FRL–10000–74–OA] Understanding with the (EPA) Acting Administrator may approve such a Administrator Andrew R. Wheeler to request. The notice of receipt for this Announcement of the Board of establish increased coordination action was published for comment in Directors for the National between EPA and NEEF on key EPA the Federal Register of March 5, 2019 Environmental Education Foundation initiatives including but not limited to (84 FR 7899) (FRL–9988–75). The EPA’s Recycling Initiative, Trash Free comment period closed on September 3, AGENCY: U.S. Environmental Protection Agency (EPA). Waters Program, Winning on Reducing 2019. Food Waste initiative, and the Healthy ACTION: Notice of Appointment. VI. Provisions for Disposition of Schools Initiative. Existing Stocks SUMMARY: The National Environmental FOR FURTHER INFORMATION CONTACT: For Existing stocks are those stocks of Education and Training Foundation information regarding this Notice of registered pesticide products which are (doing business as The National Appointment, please contact Lee currently in the United States and Environmental Education Foundation or Tanner, (202)–564–4988) Acting which were packaged, labeled, and ‘‘NEEF’’) was created by Section 10 of Supervisor for Office of Environmental released for shipment prior to the Public Law 101–619, the National Education, U.S. EPA 1200 Pennsylvania effective date of the cancellation action. Environmental Education Act of 1990 Avenue NW, Washington, DC 20460. The existing stocks provisions for the (NEEA) as a private 501(c)(3) non-profit General information concerning NEEF products subject to this order are as organization. It was established by may be found here: https:// follows: Congress as a common ground upon www.neefusa.org/. The registrant of 432–1477, listed in which leaders from business and SUPPLEMENTARY INFORMATION: Section Table 1, requested the cancellation to be industry, all levels of government, 10(a) of the National Environmental effective on December 31, 2018, public interest groups, and others can Education Act of 1990 (NEEA) therefore, the registrant may continue to work cooperatively to raise a greater establishes the National Environmental sell and distribute existing stocks of national awareness of environmental Education Foundation and its these products until December 31, 2019, issues beyond traditional classrooms. underlying terms. The statute in its

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entirety is available on EPA’s website education and training programs and ‘‘RCRA Subtitle C Reporting and may be accessed here: https:// studies. Instructions and Forms’’ (EPA ICR No. www.epa.gov/education/national- (b) Board of Directors- 0976.19, OMB Control No. 2050–0024) environmental-education-act#s10. (1) ESTABLISHMENT AND to the Office of Management and Budget Section 10 of the NEEA provides the MEMBERSHIP—(A) The Foundation (OMB) for review and approval in following, in pertinent part: shall have a governing Board of accordance with the Paperwork (a) Establishment and Purposes— Directors (hereafter referred to in this Reduction Act (PRA). Before doing so, (1) ESTABLISHMENT—(A) There is section as ‘the Board’), which shall the EPA is soliciting public comments hereby established the National consist of 13 directors, each of whom on specific aspects of the proposed Environmental Education Foundation. shall be knowledgeable or experienced information collection as described The Foundation is established in order in the environment, education and/or below. This is a proposed extension of to extend the contribution of training. The Board shall oversee the the ICR, which is currently approved environmental education and training to activities of the Foundation and shall through May 30, 2020. An Agency may meeting critical environmental assure that the activities of the not conduct or sponsor and a person is protection needs, both in this country Foundation are consistent with the not required to respond to a collection and internationally; to facilitate the environmental and education goals and of information unless it displays a cooperation, coordination, and policies of the EPA and with the intents currently valid OMB control number. contribution of public and private and purposes of this Act. The DATES: Comments must be submitted on resources to create an environmentally membership of the Board, to the extent or before December 6, 2019. advanced educational system; and to practicable, shall represent diverse ADDRESSES: Submit your comments, foster an open and effective partnership points of view relating to environmental referencing by Docket ID No. EPA–HQ– among Federal, State, and local education and training. OLEM–2019–0558, online using government, business, industry, (2) APPOINTMENT AND TERMS— www.regulations.gov (our preferred academic institutions, community based (A) Members of the Board shall be method), by email to rcra-docket@ environmental groups, and international appointed by the EPA Administrator. epa.gov, or by mail to: EPA Docket (B) Within 90 days of the date of the organizations. Center, Environmental Protection enactment of this Act, and as (B) The Foundation is a charitable and Agency, Mail Code 28221T, 1200 appropriate thereafter, the nonprofit corporation whose income is Pennsylvania Ave. NW, Washington, DC Administrator shall publish in the exempt from tax, and donations to 20460. which are tax deductible to the same Federal Register an announcement of EPA’s policy is that all comments extent as those organizations listed appointments of Directors of the Board. received will be included in the public pursuant to section 501(c) of the Such appointments become final and docket without change including any Internal Revenue Code of 1986. The effective 90 days after publication of the personal information provided, unless Foundation is not an agency or notice of appointment. the comment includes profanity, threats, (C) The directors shall be appointed establishment of the United States. information claimed to be Confidential for terms of 4 years. The Administrator (2) PURPOSES—The purposes of the Business Information (CBI) or other shall appoint an individual to serve as Foundation are— information whose disclosure is a director in the event of a vacancy on (A) subject to the limitation contained restricted by statute. the Board within 60 days of said in the final sentence of subsection (d) FOR FURTHER INFORMATION CONTACT: vacancy in the manner in which the herein, to encourage, accept, leverage, original appointment was made. No Peggy Vyas, Environmental Protection and administer private gifts for the individual may serve more than 2 Agency, 1200 Pennsylvania Ave. NW, benefit of, or in connection with, the consecutive terms as a director. Washington, DC 20460; telephone environmental education and training number: 703–308–5477; fax number: activities and services of the United Dated: September 17, 2019. 703–308–8433; email address: States Environmental Protection Elizabeth (Tate) Bennett, Associate [email protected]. Administrator, Agency; SUPPLEMENTARY INFORMATION: (B) to conduct such other Office of Public Engagement and Supporting documents which explain in environmental education activities as Environmental Education. detail the information that the EPA will will further the development of an [FR Doc. 2019–21832 Filed 10–4–19; 8:45 am] be collecting are available in the public environmentally conscious and BILLING CODE 6560–50–P docket for this ICR. The docket can be responsible public, a well-trained and viewed online at www.regulations.gov environmentally literate workforce, and or in person at the EPA Docket Center, ENVIRONMENTAL PROTECTION an environmentally advanced WJC West, Room 3334, 1301 AGENCY educational system; and Constitution Ave. NW, Washington, DC. (C) to participate with foreign entities [EPA–HQ–OLEM–2019–0558, FRL–10000– The telephone number for the Docket and individuals in the conduct and 63–OLEM] Center is 202–566–1744. For additional coordination of activities that will information about EPA’s public docket, further opportunities for environmental Agency Information Collection visit http://www.epa.gov/dockets. education and training to address Activities; Proposed Collection; Pursuant to section 3506(c)(2)(A) of environmental issues and problems Comment Request; RCRA Subtitle C the PRA, the EPA is soliciting comments involving the United States and Canada Reporting Instructions and Forms and information to enable it to: (i) or Mexico. AGENCY: Environmental Protection Evaluate whether the proposed (3) PROGRAMS—The Foundation Agency (EPA). collection of information is necessary will develop, support, and/or operate ACTION: Notice. for the proper performance of the programs and projects to educate and functions of the Agency, including train educational and environmental SUMMARY: The Environmental Protection whether the information will have professionals, and to assist them in the Agency (EPA) is planning to submit the practical utility; (ii) evaluate the development of environmental information collection request (ICR), accuracy of the Agency’s estimate of the

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burden of the proposed collection of Respondent’s obligation to respond: method), by email to oei.docket@ information, including the validity of Mandatory (RCRA Sections 3002, 3304, epa.gov, or by mail to: EPA Docket the methodology and assumptions used; 3005, 3010). Center, Environmental Protection (iii) enhance the quality, utility, and Estimated number of respondents: Agency, Mail Code 28221T, 1200 clarity of the information to be 64,005. Pennsylvania Ave. NW, Washington, DC collected; and (iv) minimize the burden Frequency of response: Biennially and 20460. of the collection of information on those on occasion. EPA’s policy is that all comments who are to respond, including through Total estimated burden: 647,425 received will be included in the public the use of appropriate automated hours per year. Burden is defined at 5 docket without change including any electronic, mechanical, or other CFR 1320.03(b). personal information provided, unless technological collection techniques or Total estimated cost: $28,488,775 (per the comment includes profanity, threats, other forms of information technology, year), includes $28,164,958 and information claimed to be Confidential e.g., permitting electronic submission of $323,817 annualized capital or Business Information (CBI) or other responses. The EPA will consider the operation & maintenance costs. information whose disclosure is comments received and amend the ICR Changes in Estimates: The burden restricted by statute. as appropriate. The final ICR package hours are likely to stay substantially the FOR FURTHER INFORMATION CONTACT: will then be submitted to OMB for same. Javier Araujo, Office of the review and approval. At that time, the Dated: September 20, 2019. Administrator, Office of Environmental EPA will issue another Federal Register Barnes Johnson, Education, MC–1704A, Environmental notice to announce the submission of Director, Office of Resource Conservation and Protection Agency, 1200 Pennsylvania the ICR to OMB and the opportunity to Recovery. Ave. NW, Washington, DC 20460; submit additional comments to OMB. [FR Doc. 2019–21831 Filed 10–4–19; 8:45 am] telephone number: 202–564–2642; fax Section 3002 of RCRA requires BILLING CODE 6560–50–P number: 202–564–2753; email address: hazardous waste generators to report, at [email protected]. least every 2 years, the quantity and SUPPLEMENTARY INFORMATION: nature of hazardous waste generated ENVIRONMENTAL PROTECTION Supporting documents which explain in and managed during that reporting AGENCY detail the information that the EPA will cycle. Section 3004 requires treatment, be collecting are available in the public storage, and disposal facilities (TSDFs) [EPA–HQ–OA–2015–0553; FRL–10000–83– OA] docket for this ICR. The docket can be to report any waste received. This is viewed online at www.regulations.gov mandatory reporting. The information is Information Collection Request or in person at the EPA Docket Center, collected via the Hazardous Waste Submitted to OMB for Review and WJC West, Room 3334, 1301 Report (EPA Form 8700–13 A/B). This Approval; Comment Request; Updated Constitution Ave., NW, Washington, form is also known as the ‘‘Biennial CEQ–EPA Presidential Innovation DC. The telephone number for the Report’’ form. Award for Environmental Educators Docket Center is 202–566–1744. For Section 3010 of RCRA requires any and the President’s Environmental additional information about EPA’s person who generates or transports Youth Awards Application (Revision) public docket, visit http://www.epa.gov/ regulated waste or who owns or dockets. operates a facility for the treatment, AGENCY: Environmental Protection Pursuant to section 3506(c)(2)(A) of storage, or disposal of regulated waste to Agency (EPA). the PRA, EPA is soliciting comments notify the EPA of their activities, ACTION: Notice. and information to enable it to: (i) including the location and general Evaluate whether the proposed description of activities and the SUMMARY: The Environmental Protection collection of information is necessary regulated wastes handled. The entity is Agency is planning to submit an for the proper performance of the then issued an EPA Identification information collection request (ICR), functions of the Agency, including number. Entities use the Notification ‘‘Updated CEQ–EPA Presidential whether the information will have Form (EPA Form 8700–12) to notify Innovation Award for Environmental practical utility; (ii) evaluate the EPA of their hazardous waste activities. Educators and the President’s accuracy of the Agency’s estimate of the This form is also known as the Environmental Youth Awards burden of the proposed collection of ‘‘Notification’’ form. Application (Revision)’’ (EPA ICR No. information, including the validity of Section 3005 of RCRA requires TSDFs 2524.03, OMB Control No. 2090–0031) the methodology and assumptions used; to obtain a permit. To obtain the permit, to the Office of Management and Budget (iii) enhance the quality, utility, and the TSDF must submit an application (OMB) for review and approval in clarity of the information to be describing the facility’s operation. The accordance with the Paperwork collected; and (iv) minimize the burden RCRA Hazardous Waste Part A Permit Reduction Act. This is a proposed of the collection of information on those Application form (EPA Form 8700–23) revision of the ICR, which is currently who are to respond, including through defines the processes to be used for approved through April 30, 2022. An the use of appropriate automated treatment, storage, and disposal of Agency may not conduct, or sponsor electronic, mechanical, or other hazardous wastes; the design capacity of and a person is not required to respond technological collection techniques or such processes; and the specific to a collection of information unless it other forms of information technology, hazardous wastes to be handled at the displays a currently valid OMB control e.g., permitting electronic submission of facility. This form is also known as the number. responses. EPA will consider the ‘‘Part A’’ form. DATES: Comments must be submitted on comments received and amend the ICR Form Numbers: EPA form numbers or before December 6, 2019. as appropriate. The final ICR package 8700–12, 8700–13A/B, and 8700–23. ADDRESSES: Submit your comments, will then be submitted to OMB for Respondents/affected entities: referencing Docket ID Number EPA– review and approval. At that time, EPA Business or other for-profit as well as HQ–OA–2015–0553, online using will issue another Federal Register State, Local, or Tribal governments. www.regulations.gov (our preferred notice to announce the submission of

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the ICR to OMB and the opportunity to ENVIRONMENTAL PROTECTION applications, reports, and other submit additional comments to OMB. AGENCY correspondence required pursuant to Abstract: The purpose of this the delegated NESHAPs must be [FRL–10000–95–Region 3] information collection request is to submitted to both EPA, Region III and collect information from applicants to Delegation of Authority to the to the Virginia Department of select recipients for the Presidential Commonwealth of Virginia To Environmental Quality, unless the Innovation Award for Environmental Implement and Enforce Additional or delegated standard specifically provides Educators (PIAEE) program and the Revised National Emission Standards that such submittals may be sent to EPA President’s Environmental Youth for Hazardous Air Pollutants Standards or a delegated State. In such cases, the Awards (PEYA) program. The U.S. and New Source Performance submittals should be sent only to the Environmental Protection Agency (EPA Standards Virginia Department of Environmental or the Agency), in conjunction with the Quality. A copy of EPA’s letter to White House Council on Environmental AGENCY: Environmental Protection Virginia follows: Quality (CEQ), established the PIAEE Agency (EPA). ‘‘Michael G. Dowd, Director Air Division program to meet the requirements of ACTION: Notice of delegation of Virginia Department of Environmental Section 8(e) of the National authority. Quality Environmental Education Act (20 U.S.C. P.O. Box 1105 5507(e)). The Agency established the SUMMARY: On September 12, 2019, the Richmond, Virginia 23218 PEYA program to meet the requirements Environmental Protection Agency (EPA) Dear Mr. Dowd: of Section 8(d) of the National sent the Commonwealth of Virginia The United States Environmental Environmental Education Act (20 U.S.C. (Virginia) a letter acknowledging that Protection Agency (EPA) has previously 5507(d)). Virginia’s delegation of authority to delegated to the Commonwealth of Virginia Form Numbers: None. implement and enforce the National (Virginia) the authority to implement and Respondents/affected entities: K–12 Emissions Standards for Hazardous Air enforce various federal New Source teachers who teach on a full-time basis Pollutants (NESHAPs) and New Source Performance Standards (NSPS), National Emission Standards for Hazardous Air in a public school that is operated by a Performance Standards (NSPS) had been updated, as provided for under Pollutants (NESHAP), and National Emission local education agency, including Standards for Hazardous Air Pollutants for schools funded by the Bureau of Indian previously approved delegation Source Categories (MACT standards) which Affairs. For this program, a local mechanisms. To inform regulated are found at 40 CFR parts 60, 61 and 63, education agency is one as defined by facilities and the public, EPA is making respectively. In those actions, EPA also section 198 of the Elementary and available a copy of EPA’s letter to delegated to Virginia the authority to Secondary Education Act of 1965 (now Virginia through this notice. implement and enforce any future federal codified at 20 U.S.C. 7801(26)). DATES: On September 12, 2019, EPA NSPS, NESHAP or MACT Standards on the Respondent’s obligation to respond: sent Virginia a letter acknowledging that condition that Virginia legally adopt the future standards, make only allowed wording Required to obtain information from the Virginia’s delegation of authority to changes, and provide specified notice to applicants for PIAEE and PEYA program implement and enforce Federal EPA. and assess certain aspects of programs NESHAPs had been updated. In a letter dated February 21, 2019, as established under Section 8(e) of the ADDRESSES: Copies of documents Virginia submitted to EPA revised versions of National Environmental Education Act pertaining to this action are available for Virginia’s regulations which incorporate by (20 U.S.C. 5507(e)) and Section 8(d) of public inspection during normal reference specified federal NSPS, NESHAP the National Environmental Education business hours at the Air and Radiation and MACT standards, as those federal Act (20 U.S.C. 5507(d)) respectively. standards had been published in final form Division, U.S. Environmental Protection in the Code of Federal Regulations dated July Estimated number of respondents: 75 Agency, Region III, 1650 Arch Street, 1, 2018. Virginia committed to enforcing the (total) for the PIAEE program and 200 Philadelphia, Pennsylvania 19103– federal standards in conformance with the (total) for the PEYAEE program. 2029. Copies of Virginia’s submittal are terms of EPA’s previous delegations of Frequency of response: Annually. also available at the Virginia authority and made only allowed wording Total estimated burden: 1,870 hours Department of Environmental Quality, changes. (per year). Burden is defined at 5 CFR 1111 East Main Street, Richmond, Virginia stated that it had submitted the 1320.03(b). Virginia 23219. revisions ‘‘to retain its authority to enforce the NSPSs and NESHAPs under the Total estimated cost: For the PIAEE FOR FURTHER INFORMATION CONTACT: program, $32,960 (per year) for 75 delegation of authority granted by EPA on Riley Burger, (215) 814–2217, or by August 27, 1981 (46 FR 43300) and to enforce applicants. For the PEYA program, email at [email protected]. the MACT standards under the delegation of $49,220 (per year) for 200 applicants. SUPPLEMENTARY INFORMATION: authority granted by EPA on January 26, 1999 There are no capital or operation & On February 21, 2019, Virginia notified (64 FR 3938) and January 8, 2002 (67 FR maintenance costs. 825).’’ Changes in the Estimates: There has EPA that Virginia had updated its Virginia provided copies of its revised been a change in the number of incorporation by reference of Federal regulations which specify the NSPS, respondents due to the addition of NESHAPs to include many such NESHAP and MACT Standards which it had activities related to PEYA application. standards, as they were published in adopted by reference. Virginia’s revised The individual cost per respondent has final form in the Code of Federal regulations are entitled 9 VAC 5–50 ‘‘New Regulations (CFR) dated July 1, 2018. and Modified Stationary Sources,’’ and 9 risen, due to increases in labor rate VAC 5–60 ‘‘Hazardous Air Pollutant estimates. On September 12, 2019, EPA sent Virginia a letter acknowledging that Sources.’’ These revised regulations have an Dated: August 28, 2019. Virginia now has the authority to effective date of February 20, 2019. Elizabeth (Tate) Bennett, Based on Virginia’s submittal, EPA implement and enforce the NESHAPs as acknowledges that EPA’s delegations to Associate Administrator, Office of Public specified by Virginia in its notice to Virginia of the authority implement and Engagement and Environmental Education. EPA, as provided for under previously enforce EPA’s NSPS, NESHAP, and MACT [FR Doc. 2019–21833 Filed 10–4–19; 8:45 am] approved automatic delegation Standards have been updated, as provided BILLING CODE 6560–50–P mechanisms. All notifications, for under the terms of EPA’s previous

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delegation of authority actions, to allow the Judge erred in concluding that a Dated: October 3, 2019. Virginia to implement and enforce the federal violation of the mine’s emergency Sarah L. Stewart, NSPS, NESHAP and MACT standards which response plan was ‘‘significant and Deputy General Counsel. Virginia has adopted by reference as substantial.’’) specified in Virginia’s revised regulations 9 [FR Doc. 2019–21992 Filed 10–3–19; 4:15 pm] VAC 5–50 and 9 VAC 5–60, both effective on Any person attending this oral BILLING CODE 6735–01–P February 20, 2019. argument who requires special Please note that on December 19, 2008, in accessibility features and/or auxiliary Sierra Club v. EPA,1 the United States Court aids, such as sign language interpreters, FEDERAL MINE SAFETY AND HEALTH of Appeals for the District of Columbia must inform the Commission in advance REVIEW COMMISSION Circuit vacated certain provisions of the of those needs. Subject to 29 CFR General Provisions of 40 CFR part 63 relating Sunshine Act Notice to exemptions for startup, shutdown, and 2706.150(a)(3) and § 2706.160(d). malfunction (SSM). On October 16, 2009, the CONTACT PERSON FOR MORE INFO: TIME AND DATE: 10:00 a.m., Friday, Court issued a mandate vacating these SSM Emogene Johnson (202) 434–9935/(202) November 22, 2019. exemption provisions, which are found at 40 PLACE: CFR 63.6(f)(1) and (h)(1). 708–9300 for TDD Relay/1–800–877– The Richard V. Backley Hearing Accordingly, EPA no longer allows sources 8339 for toll free. Room, Room 511N, 1331 Pennsylvania Avenue NW, Washington, DC 20004 the SSM exemption as provided for in the PHONE NUMBER FOR LISTENING TO vacated provisions at 40 CFR 63.6(f)(1) and (enter from F Street entrance). MEETING: 1–(866) 867–4769, Passcode: (h)(1), even though EPA has not yet formally STATUS: Open. removed these SSM exemption provisions 678–100. MATTERS TO BE CONSIDERED: The from the General Provisions of 40 CFR part Authority: 5 U.S.C. 552b. 63. Because Virginia incorporated 40 CFR Commission will consider and act upon part 63 by reference, Virginia should also no Dated: October 3, 2019. the following in open session: Secretary longer allow sources to use the former SSM Sarah L. Stewart, of Labor v. Peabody Midwest Mining, exemption from the General Provisions of 40 Deputy General Counsel. LLC, Docket No. LAKE 2017–450. CFR part 63 due to the Court’s ruling in (Issues include whether the Judge erred [FR Doc. 2019–22005 Filed 10–3–19; 4:15 pm] Sierra Club vs. EPA. in concluding that a violation of the EPA appreciates Virginia’s continuing BILLING CODE 6735–01–P mine’s emergency response plan was NSPS, NESHAP and MACT standards ‘‘significant and substantial.’’) enforcement efforts, and also Virginia’s Any person attending this meeting decision to take automatic delegation of FEDERAL MINE SAFETY AND HEALTH who requires special accessibility additional or updated NSPS, NESHAP and REVIEW COMMISSION MACT standards by adopting them by features and/or auxiliary aids, such as reference. Sunshine Act Notice sign language interpreters, must inform Sincerely, the Commission in advance of those needs. Subject to 29 CFR 2706.150(a)(3) Cristina Fernandez, Director, TIME AND DATE: 10:00 a.m., Thursday, and § 2706.160(d). Air and Radiation Division.’’ November 21, 2019. This notice acknowledges the update CONTACT PERSON FOR MORE INFO: PLACE: The Richard V. Backley Hearing of Virginia’s delegation of authority to Emogene Johnson (202) 434–9935/(202) Room, Room 511N, 1331 Pennsylvania implement and enforce NESHAP, NSPS, 708–9300 for TDD Relay/1–800–877– Avenue NW, Washington, DC 20004 and MACT. 8339 for toll free. (enter from F Street entrance). PHONE NUMBER FOR LISTENING TO Dated: September 25, 2019. MEETING: 1–(866) 867–4769, Passcode: Cristina Fernandez, STATUS: Open. 678–100. Director, Air and Radiation Division, Region MATTERS TO BE CONSIDERED: The III. Commission will hear oral argument in Authority: 5 U.S.C. 552b. [FR Doc. 2019–21830 Filed 10–4–19; 8:45 am] the matter Secretary of Labor v. Peabody Dated: October 3, 2019. BILLING CODE 6560–50–P Midwest Mining, LLC, Docket No. LAKE Sarah L. Stewart, 2017–450. (Issues include whether the Deputy General Counsel. Judge erred in concluding that a [FR Doc. 2019–21995 Filed 10–3–19; 4:15 pm] FEDERAL MINE SAFETY AND HEALTH violation of the mine’s emergency BILLING CODE 6735–01–P REVIEW COMMISSION response plan was ‘‘significant and substantial.’’) Sunshine Act Notice Any person attending this oral FEDERAL RESERVE SYSTEM TIME AND DATE: 10:00 a.m., Thursday, argument who requires special Formations of, Acquisitions by, and November 21, 2019. accessibility features and/or auxiliary Mergers of Bank Holding Companies PLACE: The Richard V. Backley Hearing aids, such as sign language interpreters, Room, Room 511N, 1331 Pennsylvania must inform the Commission in advance The companies listed in this notice Avenue NW, Washington, DC 20004 of those needs. Subject to 29 CFR have applied to the Board for approval, (enter from F Street entrance). 2706.150(a)(3) and § 2706.160(d). pursuant to the Bank Holding Company STATUS: Open. CONTACT PERSON FOR MORE INFO: Act of 1956 (12 U.S.C. 1841 et seq.) MATTERS TO BE CONSIDERED: The Emogene Johnson (202) 434–9935/(202) (BHC Act), Regulation Y (12 CFR part Commission will hear oral argument in 708–9300 for TDD Relay/1–800–877– 225), and all other applicable statutes the matter Secretary of Labor v. Peabody 8339 for toll free. and regulations to become a bank holding company and/or to acquire the Midwest Mining, LLC, Docket No. LAKE PHONE NUMBER FOR LISTENING TO 2017–450. (Issues include whether the assets or the ownership of, control of, or MEETING: 1–(866) 867–4769, Passcode: the power to vote shares of a bank or 678–100. 1 Sierra Club v. EPA, 551 F.3rd 1019 (D.C. Cir. bank holding company and all of the 2008). Authority: 5 U.S.C. 552b. banks and nonbanking companies

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owned by the bank holding company, Disease Control and Prevention (CDC) Background and Brief Description including the companies listed below. has submitted the information The Division of Healthcare Quality The applications listed below, as well collection request titled National Promotion (DHQP), National Center for as other related filings required by the Healthcare Safety Network (NHSN) to Emerging and Zoonotic Infectious Board, if any, are available for the Office of Management and Budget Diseases (NCEZID), Centers for Disease immediate inspection at the Federal (OMB) for review and approval. CDC Control and Prevention (CDC) collects Reserve Bank indicated. The previously published a ‘‘Proposed Data data from healthcare facilities in the applications will also be available for Collection Submitted for Public National Healthcare Safety Network inspection at the offices of the Board of Comment and Recommendations’’ (NHSN) under OMB Control Number Governors. Interested persons may notice on June 5, 2019 to obtain 0920–0666. During the early stages of its express their views in writing on the comments from the public and affected development, NHSN began as a standards enumerated in the BHC Act agencies. CDC received two comments voluntary surveillance system in 2005 (12 U.S.C. 1842(c)). related to the previous notice. This managed by DHQP. NHSN provides Comments regarding each of these notice serves to allow an additional 30 facilities, states, regions, and the nation applications must be received at the days for public and affected agency with data necessary to identify problem Reserve Bank indicated or the offices of comments. areas, measure the progress of the Board of Governors, Ann E. CDC will accept all comments for this prevention efforts, and ultimately Misback, Secretary of the Board, 20th proposed information collection project. eliminate healthcare-associated and Constitution Avenue NW, The Office of Management and Budget infections (HAIs) nationwide. NHSN Washington, DC 20551–0001, not later is particularly interested in comments allows healthcare facilities to track than November 7, 2019. that: blood safety errors and various A. Federal Reserve Bank of Atlanta healthcare-associated infection (Kathryn Haney, Assistant Vice (a) Evaluate whether the proposed collection of information is necessary prevention practice methods such as President) 1000 Peachtree Street NE, healthcare personnel influenza vaccine Atlanta, Georgia 30309. Comments can for the proper performance of the functions of the agency, including status and corresponding infection also be sent electronically to control adherence rates. [email protected]: whether the information will have practical utility; NHSN currently has six components: 1. IFB Bancorp, Inc., Miami, Florida; Patient Safety (PS), Healthcare to become a bank holding company by (b) Evaluate the accuracy of the Personnel Safety (HPS), Biovigilance acquiring International Finance Bank, agencies estimate of the burden of the (BV), Long-Term Care Facility (LTCF), also of Miami, Florida. proposed collection of information, Outpatient Procedure (OPC), and the B. Federal Reserve Bank of including the validity of the Dialysis Component. NHSN’s new Philadelphia (William Spaniel, Senior methodology and assumptions used; Neonatal Component is expected to Vice President) 100 North 6th Street, (c) Enhance the quality, utility, and launch during the summer of 2020. This Philadelphia, Pennsylvania 19105– clarity of the information to be component will focus on premature 1521. Comments can also be sent collected; neonates and the healthcare-associated electronically to (d) Minimize the burden of the events that occur as a result of their [email protected]: prematurity. This component will be 1. OceanFirst Financial Corp., Toms collection of information on those who are to respond, including, through the released with one module, which River, New Jersey; to acquire Two River includes Late Onset-Sepsis and Bancorp and thereby indirectly acquire use of appropriate automated, electronic, mechanical, or other Meningitis. Late-onset sepsis (LOS) and Two River Community Bank, both of Meningitis are common complications Tinton Falls, New Jersey. technological collection techniques or other forms of information technology, of extreme prematurity. Studies have 2. OceanFirst Financial Corp., Toms indicated that 36% of extremely low River, New Jersey; to acquire Country e.g., permitting electronic submission of responses; and gestational age (22–28 weeks) infants Bank Holding Company and thereby develop LOS and that 21% of very low (e) Assess information collection indirectly acquire Country Bank, both of birth weight infants surviving beyond costs. New York, New York. three days of life will develop LOS. Board of Governors of the Federal Reserve To request additional information on Meningitis occurs in 23% of bacteremic System, October 2, 2019. the proposed project or to obtain a copy infants, but 38% of infants with a Yao-Chin Chao, of the information collection plan and pathogen isolated from the Assistant Secretary of the Board. instruments, call (404) 639–7570 or cerebrospinal fluid may not have an [FR Doc. 2019–21787 Filed 10–4–19; 8:45 am] send an email to [email protected]. Direct organism isolated from blood. These written comments and/or suggestions BILLING CODE P infections are usually serious, causing a regarding the items contained in this prolongation of hospital stay, increased notice to the Attention: CDC Desk cost, and risk of morbidity and Officer, Office of Management and DEPARTMENT OF HEALTH AND mortality. Budget, 725 17th Street NW, HUMAN SERVICES Some cases of LOS can be prevented Washington, DC 20503 or by fax to (202) through proper central line insertion Centers for Disease Control and 395–5806. Provide written comments and maintenance practices. These are Prevention within 30 days of notice publication. addressed in the CDC’s Healthcare Proposed Project Infection Control Practices Advisory [30Day–19–0666] Committee (CDC/HICPAC) Guidelines Agency Forms Undergoing Paperwork National Healthcare Safety Network for the Prevention of Intravascular Reduction Act Review (NHSN)—Revision—National Center for Catheter-Related Infections, 2011. Emerging and Zoonotic Infection However, almost one-third of LOS In accordance with the Paperwork Diseases (NCEZID), Centers for Disease events in a quality-improvement study Reduction Act of 1995, the Centers for Control and Prevention (CDC). were not related to central-lines.

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Prevention strategies for the non-central NHSN. The Dialysis Component offers a guiding national, state, and local line-related infection events have yet to simplified user interface for dialysis prevention priorities. be fully defined, but include adherence users to streamline their data entry and CMS collects some HAI data and to hand-hygiene, parent and visitor analyses processes as well as provide healthcare personnel influenza education, and optimum nursery design options for expanding in the future to vaccination summary data, which is features. Other areas that likely include dialysis surveillance in settings done on a voluntary basis as part of its influence the development of LOS other than outpatient facilities. The Fee-for-Service Medicare quality include early enteral nutritional support Outpatient Procedure Component (OPC) reporting programs, while others may and skin care practices. The data for this gathers data on the impact of infections report data required by a federal module will be electronically submitted, and outcomes related to operative mandate. Facilities that fail to report and manual data entry will not be procedures performed in Ambulatory quality measure data are subject to available. This will allow more hospital Surgery Centers (ASCs). The OPC is partial payment reduction in the personnel to be available to care for used to monitor two event types: Same applicable Medicare Fee-for-Service patients and will reduce annual burden Day Outcome Measures and Surgical payment system. CMS links their across healthcare facilities. Site Infections (SSIs). quality reporting to payment for Additionally, LOS data will be utilized NHSN has increasingly served as the Medicare-eligible acute care hospitals, for prevention initiatives. operating system for HAI reporting inpatient rehabilitation facilities, long- Data reported under the Patient Safety compliance through legislation term acute care facilities, oncology Component are used to determine the established by the states. As of March hospitals, inpatient psychiatric magnitude of the healthcare-associated 2019, 36 states, the District of Columbia facilities, dialysis facilities, and adverse events and trends in the rates of and the City of Philadelphia, ambulatory surgery centers. Facilities the events, in the distribution of Pennsylvania have opted to use NHSN report HAI data and healthcare pathogens, and in the adherence to as their primary system for mandated personnel influenza vaccination prevention practices. Data will help reporting. Reporting compliance is summary data to CMS via NHSN as part detect changes in the epidemiology of completed by healthcare facilities in of CMS’s quality reporting programs to adverse events resulting from new their respective jurisdictions, with receive full payment. Still, many medical therapies and changing patient emphasis on those states and healthcare facilities, even in states risks. Additionally, reported data is municipalities acquiring varying without HAI reporting legislation, being used to describe the epidemiology consequences for failure to use NHSN. submit limited HAI data to NHSN of antimicrobial use and resistance and Additionally, healthcare facilities in five voluntarily. to better understand the relationship of U.S. territories (Puerto Rico, American NHSN’s data collection updates antimicrobial therapy to this rising Samoa, the U.S. Virgin Islands, Guam, continue to support the incentive problem. Under the Healthcare and the Northern Mariana Islands) are programs managed by CMS. For Personnel Safety Component, protocols voluntarily reporting to NHSN. example, survey questions support and data on events—both positive and Additional territories are projected to requirements for CMS’ quality reporting adverse—are used to determine (1) the follow with similar use of NHSN for programs. Additionally, CDC has magnitude of adverse events in reporting purposes. collaborated with CMS on a voluntary healthcare personnel, and (2) NHSN’s data is used to aid in the National Nursing Home Quality compliance with immunization and tracking of HAIs and guide infection Collaborative, which focuses on sharps injuries safety guidelines. Under prevention activities/practices that recruiting nursing homes to report HAI the Biovigilance Component, data on protect patients. The Centers for data to NHSN and to retain their adverse reactions and incidents Medicare and Medicaid Services (CMS) continued participation. This project associated with blood transfusions are and other payers use these data to has resulted in a significant increase in reported and analyzed to provide determine incentives for performance at long-term care facilities reporting to national estimates of adverse reactions healthcare facilities across the US and NHSN. The collection of information is and incidents. Under the Long-Term surrounding territories, and members of authorized by the Public Health Service Care Facility Component, data is the public may use some protected data Act (42 U.S.C. 242b, 242k, and 242m captured from skilled nursing facilities. to inform their selection among (d)). Reporting methods under the LTCF available providers. Each of these The proposed changes in this new ICR component have been created by using parties is dependent on the include revisions made to 40 NHSN forms from the PS Component as a completeness and accuracy of the data. data collection tools for a total of 76 model with modifications to specifically CDC and CMS work closely and are data collection tools included in this address the specific characteristics of fully committed to ensuring complete ICR. The reporting burden decreased by LTCF residents and the unique data and accurate reporting, which are 2,363,508 hours for a total estimated needs of these facilities reporting into critical for protecting patients and burden of 3,033,930 hours.

ESTIMATED ANNUALIZED BURDEN HOURS

Number of Average Number of responses burden per Respondent type Form No. & name respondents per response respondent (hours)

Healthcare Practitioner ...... 57.100 NHSN Registration Form ...... 2,000 1 5/60 57.101 Facility Contact Information ...... 2,000 1 10/60 57.103 Patient Safety Component—Annual Hospital Sur- 5,175 1 75/60 vey. 57.105 Group Contact Information ...... 1,000 1 5/60 57.106 Patient Safety Monthly Reporting Plan ...... 6,000 12 15/60 57.108 Primary Bloodstream Infection (BSI) ...... 5,775 5 38/60

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ESTIMATED ANNUALIZED BURDEN HOURS—Continued

Number of Average Number of responses burden per Respondent type Form No. & name respondents per response respondent (hours)

57.111 Pneumonia (PNEU) ...... 1,800 30 30/60 57.112 Ventilator-Associated Event ...... 5,500 5 28/60 57.113 Pediatric Ventilator-Associated Event (PedVAE) .... 334 120 30/60 57.114 Urinary Tract Infection (UTI) ...... 5,500 5 20/60 57.115 Custom Event ...... 600 91 35/60 57.116 Denominators for Neonatal Intensive Care Unit 220 12 249/60 (NICU). 57.117 Denominators for Specialty Care Area (SCA)/On- 165 12 302/60 cology (ONC). 57.118 Denominators for Intensive Care Unit (ICU)/Other 5,500 60 302/60 locations (not NICU or SCA). 57.120 Surgical Site Infection (SSI) ...... 4,500 11 35/60 57.121 Denominator for Procedure ...... 4,500 680 10/60 57.122 HAI Progress Report State Health Department Sur- 55 1 45/60 vey. 57.123 Antimicrobial Use and Resistance (AUR)-Microbi- 1,500 12 5/60 ology Data Electronic Upload Specification Tables. 57.124 Antimicrobial Use and Resistance (AUR)-Phar- 2,000 12 5/60 macy Data Electronic Upload Specification Tables. 57.125 Central Line Insertion Practices Adherence Moni- 500 213 25/60 toring. 57.126 MDRO or CDI Infection Form ...... 720 12 30/60 57.127 MDRO and CDI Prevention Process and Outcome 5,500 29 15/60 Measures Monthly Monitoring. 57.128 Laboratory-identified MDRO or CDI Event ...... 4,800 87 20/60 57.129 Adult Sepsis ...... 50 250 25/60 57.137 Long-Term Care Facility Component—Annual Fa- 2,220 1 120/60 cility Survey. 57.138 Laboratory-identified MDRO or CDI Event for LTCF 2,150 24 15/60 57.139 MDRO and CDI Prevention Process Measures 2,200 12 20/60 Monthly Monitoring for LTCF. 57.140 Urinary Tract Infection (UTI) for LTCF ...... 400 12 30/60 57.141 Monthly Reporting Plan for LTCF ...... 2,220 12 5/60 57.142 Denominators for LTCF Locations ...... 2,220 12 250/60 57.143 Prevention Process Measures Monthly Monitoring 375 12 5/60 for LTCF. 57.150 LTAC Annual Survey ...... 500 1 70/60 57.151 Rehab Annual Survey ...... 1,200 1 70/60 57.200 Healthcare Personnel Safety Component Annual 50 1 480/60 Facility Survey. 57.203 Healthcare Personnel Safety Monthly Reporting ...... 1 5/60 Plan. 57.204 Healthcare Worker Demographic Data ...... 50 200 20/60 57.205 Exposure to Blood/Body Fluids ...... 50 50 60/60 57.206 Healthcare Worker Prophylaxis/Treatment ...... 50 30 15/60 57.207 Follow-Up Laboratory Testing ...... 50 50 15/60 57.210 Healthcare Worker Prophylaxis/Treatment-Influ- 50 50 10/60 enza. 57.300 Hemovigilance Module Annual Survey ...... 500 1 85/60 57.301 Hemovigilance Module Monthly Reporting Plan ..... 500 12 1/60 57.303 Hemovigilance Module Monthly Reporting Denomi- 500 12 70/60 nators. 57.305 Hemovigilance Incident ...... 500 10 10/60 57.306 Hemovigilance Module Annual Survey—Non-acute 500 1 35/60 care facility. 57.307 Hemovigilance Adverse Reaction—Acute Hemo- 500 4 20/60 lytic Transfusion Reaction. 57.308 Hemovigilance Adverse Reaction—Allergic Trans- 500 4 20/60 fusion Reaction. 57.30 Hemovigilance Adverse Reaction—Delayed Hemo- 500 1 20/60 lytic Transfusion Reaction. 57.310 Hemovigilance Adverse Reaction—Delayed Sero- 500 2 20/60 logic Transfusion Reaction. 57.311 Hemovigilance Adverse Reaction—Febrile Non-he- 500 4 20/60 molytic Transfusion Reaction. 57.312 Hemovigilance Adverse Reaction—Hypotensive 500 1 20/60 Transfusion Reaction. 57.313 Hemovigilance Adverse Reaction—Infection ...... 500 1 20/60

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ESTIMATED ANNUALIZED BURDEN HOURS—Continued

Number of Average Number of responses burden per Respondent type Form No. & name respondents per response respondent (hours)

57.314 Hemovigilance Adverse Reaction—Post Trans- 500 1 20/60 fusion Purpura. 57.315 Hemovigilance Adverse Reaction—Transfusion As- 500 1 20/60 sociated Dyspnea. 57.316 Hemovigilance Adverse Reaction—Transfusion As- 500 1 20/60 sociated Graft vs. Host Disease. 57.317 Hemovigilance Adverse Reaction—Transfusion Re- 500 1 20/60 lated Acute Lung Injury. 57.318 Hemovigilance Adverse Reaction—Transfusion As- 500 2 20/60 sociated Circulatory Overload. 57.319 Hemovigilance Adverse Reaction—Unknown 500 1 20/60 Transfusion Reaction. 57.320 Hemovigilance Adverse Reaction—Other Trans- 500 1 20/60 fusion Reaction. 57.400 Outpatient Procedure Component—Annual Facility 700 1 10/60 Survey. 57.401 Outpatient Procedure Component—Monthly Re- 700 12 15/60 porting Plan. 57.402 Outpatient Procedure Component Same Day Out- 200 1 40/60 come Measures. 57.403 Outpatient Procedure Component—Monthly De- 200 400 40/60 nominators for Same Day Outcome Measures. 57.404 Outpatient Procedure Component—SSI Denomi- 700 100 40/60 nator. 57.405 Outpatient Procedure Component—Surgical Site 700 5 40/60 (SSI) Event. 57.500 Outpatient Dialysis Center Practices Survey ...... 7,100 1 127/60 57.501 Dialysis Monthly Reporting Plan ...... 7,100 12 5/60 57.502 Dialysis Event ...... 7,100 30 25/60 57.503 Denominator for Outpatient Dialysis ...... 7,100 12 10/60 57.504 Prevention Process Measures Monthly Monitoring 1,760 12 75/60 for Dialysis. 57.505 Dialysis Patient Influenza Vaccination ...... 860 60 10/60 57.506 Dialysis Patient Influenza Vaccination Denominator 860 1 5/60 57.507 Home Dialysis Center Practices Survey ...... 430 1 30/60

Jeffrey M. Zirger, Medicare appeals process. The Improvement, and Modernization Act of Lead, Information Collection Review Office, adjustment to the AIC threshold 2003 (MMA), amended section Office of Scientific Integrity, Office of Science, amounts will be effective for requests 1869(b)(1)(E) of the Act to require the Centers for Disease Control and Prevention. for ALJ hearings and judicial review AIC threshold amounts for ALJ hearings [FR Doc. 2019–21753 Filed 10–4–19; 8:45 am] filed on or after January 1, 2020. The and judicial review to be adjusted BILLING CODE 4163–18–P calendar year 2020 AIC threshold annually. Beginning in January 2005, amounts are $170 for ALJ hearings and the AIC threshold amounts are to be $1,670 for judicial review. adjusted by the percentage increase in DEPARTMENT OF HEALTH AND DATES: This annual adjustment takes the medical care component of the HUMAN SERVICES effect on January 1, 2020. consumer price index (CPI) for all urban Centers for Medicare & Medicaid FOR FURTHER INFORMATION CONTACT: Liz consumers (U.S. city average) for July Services Hosna ([email protected]), 2003 to July of the year preceding the (410) 786–4993. year involved and rounded to the [CMS–4186–N] SUPPLEMENTARY INFORMATION: nearest multiple of $10. Section Medicare Program; Medicare Appeals; I. Background 940(b)(2) of the MMA provided conforming amendments to apply the Adjustment to the Amount in Section 1869(b)(1)(E) of the Social AIC adjustment requirement to Controversy Threshold Amounts for Security Act (the Act), as amended by Medicare Part C/Medicare Advantage Calendar Year 2020 section 521 of the Medicare, Medicaid, (MA) appeals and certain health AGENCY: Centers for Medicare & and SCHIP Benefits Improvement and Protection Act of 2000 (BIPA), maintenance organization and Medicaid Services (CMS), HHS. competitive health plan appeals. Health ACTION: Notice. established the amount in controversy (AIC) threshold amounts for care prepayment plans are also subject SUMMARY: This notice announces the Administrative Law Judge (ALJ) to MA appeals rules, including the AIC annual adjustment in the amount in hearings and judicial review at $100 and adjustment requirement. Section 101 of controversy (AIC) threshold amounts for $1,000, respectively, for Medicare Part the MMA provides for the application of Administrative Law Judge (ALJ) A and Part B appeals. Section 940 of the the AIC adjustment requirement to hearings and judicial review under the Medicare Prescription Drug, Medicare Part D appeals.

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A. Medicare Part A and Part B Appeals dollar amounts set forth in section amount established annually by the The statutory formula for the annual 1869(b)(1)(E)(iii) of the Act applies to Secretary. adjustment to the AIC threshold certain beneficiary appeals within the context of health maintenance II. Provisions of the Notice—Annual amounts for ALJ hearings and judicial AIC Adjustments review of Medicare Part A and Part B organizations and competitive medical appeals, set forth at section plans. The applicable implementing A. AIC Adjustment Formula and AIC 1869(b)(1)(E) of the Act, is included in regulations for Medicare Part C appeals Adjustments the applicable implementing are set forth in 42 CFR 422, subpart M regulations, 42 CFR 405.1006(b) and (c). and apply to these appeals in As previously noted, section 940 of The regulations require the Secretary of accordance with 42 CFR 417.600(b). The the MMA requires that the AIC Health and Human Services (the Medicare Part C appeals rules also apply threshold amounts be adjusted Secretary) to publish changes to the AIC to health care prepayment plan appeals annually, beginning in January 2005, by threshold amounts in the Federal in accordance with 42 CFR 417.840. the percentage increase in the medical Register (§ 405.1006(b)(2)). In order to care component of the CPI for all urban D. Medicare Part D (Prescription Drug be entitled to a hearing before an ALJ, consumers (U.S. city average) for July Plan) Appeals a party to a proceeding must meet the 2003 to July of the year preceding the AIC requirements at § 405.1006(b). The annually adjusted AIC threshold year involved and rounded to the Similarly, a party must meet the AIC amounts for ALJ hearings and judicial nearest multiple of $10. requirements at § 405.1006(c) at the time review that apply to Medicare Parts A, B. Calendar Year 2020 judicial review is requested for the court B, and C appeals also apply to Medicare to have jurisdiction over the appeal Part D appeals. Section 101 of the MMA The AIC threshold amount for ALJ (§ 405.1136(a)). added section 1860D–4(h)(1) of the Act hearings will rise to $170 and the AIC B. Medicare Part C/MA Appeals regarding Part D appeals. This statutory threshold amount for judicial review Section 940(b)(2) of the MMA applies provision requires a prescription drug will rise to $1,670 for CY 2020. These the AIC adjustment requirement to plan sponsor to meet the requirements amounts are based on the 67.234 Medicare Part C appeals by amending set forth in sections 1852(g)(4) and (g)(5) percent increase in the medical care section 1852(g)(5) of the Act. The of the Act, in a similar manner as MA component of the CPI, which was at implementing regulations for Medicare organizations. As noted previously, the 297.600 in July 2003 and rose to 497.687 Part C appeals are found at 42 CFR 422, annually adjusted AIC threshold in July 2019. The AIC threshold amount subpart M. Specifically, sections requirement was added to section for ALJ hearings changes to $167.23 422.600 and 422.612 discuss the AIC 1852(g)(5) of the Act by section based on the 67.234 percent increase threshold amounts for ALJ hearings and 940(b)(2)(A) of the MMA. The over the initial threshold amount of judicial review. Section 422.600 grants implementing regulations for Medicare $100 established in 2003. In accordance any party to the reconsideration (except Part D appeals can be found at 42 CFR with section 1869(b)(1)(E)(iii) of the Act, the MA organization) who is dissatisfied 423, subparts M and U. More the adjusted threshold amounts are specifically, § 423.2006 of the Part D with the reconsideration determination rounded to the nearest multiple of $10. appeals rules discusses the AIC a right to an ALJ hearing as long as the Therefore, the CY 2020 AIC threshold threshold amounts for ALJ hearings and amount remaining in controversy after amount for ALJ hearings is $170.00. The judicial review. Sections 423.2002 and reconsideration meets the threshold AIC threshold amount for judicial 423.2006 grant a Part D enrollee, who is requirement established annually by the review changes to $1,672.34 based on dissatisfied with the independent Secretary. Section 422.612 states, in the 67.234 percent increase over the part, that any party, including the MA review entity (IRE) reconsideration determination, a right to an ALJ hearing initial threshold amount of $1,000. This organization, may request judicial amount was rounded to the nearest review if the AIC meets the threshold if, in part, the amount remaining in controversy after the IRE multiple of $10, resulting in the CY requirement established annually by the 2020 AIC threshold amount of $1,670.00 Secretary. reconsideration meets the threshold amount established annually by the for judicial review. C. Health Maintenance Organizations, Secretary. Sections 423.2006 and C. Summary Table of Adjustments in Competitive Medical Plans, and Health 423.2136 allow a Part D enrollee to the AIC Threshold Amounts Care Prepayment Plans request judicial review of an ALJ or Section 1876(c)(5)(B) of the Act states Medicare Appeals Council decision if, In the following table we list the CYs that the annual adjustment to the AIC in part, the AIC meets the threshold 2016 through 2020 threshold amounts.

CY 2016 CY 2017 CY 2018 CY 2019 CY 2020

ALJ Hearing ...... $150 $160 $160 $160 $170 Judicial Review...... 1,500 1,560 1,600 1,630 1,670

III. Collection of Information Budget under the authority of the Dated: September 24, 2019. Requirements Paperwork Reduction Act of 1995 (44 Seema Verma, U.S.C. 3501 et seq.). Administrator, Centers for Medicare & This document does not impose Medicaid Services. information collection requirements, [FR Doc. 2019–21751 Filed 10–4–19; 8:45 am] that is, reporting, recordkeeping or third-party disclosure requirements. BILLING CODE 4120–01–P Consequently, there is no need for review by the Office of Management and

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DEPARTMENT OF HEALTH AND ADDRESSES: Written comments and Grantees provide services to qualified HUMAN SERVICES recommendations for the proposed persons through a national network of information collection should be sent subrecipient organizations. Administration for Children and directly to the following: Office of OTIP proposes to collect information Families Management and Budget, Paperwork to measure grant project performance, Reduction Project, Email: OIRA_ provide technical assistance to grantees, Submission for OMB Review; [email protected], Attn: assess program outcomes, improve Trafficking Victim Assistance Program Desk Officer for the Administration for program evaluation, respond to Data Collection (OMB #0970–0467) Children and Families. congressional inquiries and mandated AGENCY: Office on Trafficking in Copies of the proposed collection may reports, and inform policy and program Persons; Administration for Children be obtained by emailing infocollection@ development that is responsive to the and Families; HHS. acf.hhs.gov. Alternatively, copies can needs of victims. ACTION: Request for public comment. also be obtained by writing to the The information collection captures Administration for Children and information on participant SUMMARY: The Office on Trafficking in Families, Office of Planning, Research, demographics (e.g., age, sex, and Persons (OTIP), Administration for and Evaluation, 330 C Street SW, country of origin), types of trafficking Children and Families (ACF), U.S. Washington, DC 20201, Attn: OPRE experienced (sex, labor, or both), types Department of Health and Human Reports Clearance Officer. All requests, of client enrollment, types of services Services (HHS), is requesting to emailed or written, should be identified and benefits provided along with reinstate a previously approved by the title of the information collection. aggregate information on the amount of information collection with revisions to SUPPLEMENTARY INFORMATION: money spent on each type of service information collected on clients Description: OTIP awards cooperative provided, the types of entities providing enrolled in the Trafficking Victim agreements for grantees to provide case medical services, the amount of money Assistance Grant Program. management services to foreign national provided to those entities, the amount of DATES: Comments due within 30 days of victims of a severe form of trafficking in money expended on each type of client publication. OMB is required to make a persons who have received or are enrollment, types of partnerships decision concerning the collection of actively pursuing HHS Certification or developed through the grant with information between 30 and 60 days Eligibility and their qualified family subrecipients, and the types of training after publication of this document in the members (e.g., minor dependent and technical assistance provided to Federal Register. Therefore, a comment children of victims or family members subrecipient organizations or other is best assured of having its full effect with derivative T visas), as authorized partners. if OMB receives it within 30 days of in the Trafficking Victims Protection Respondents: Trafficking Victim publication. Act of 2000 (22 U.S.C. 7105(b)(1)(B)). Assistance Program Grantees.

ANNUAL BURDEN ESTIMATES

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

Client Characteristics and Enrollment Form ...... 3,300 1,100 1 1 1,100 Client Service Use and Delivery Form ...... 3,300 1,100 1 .25 275 Client Case Closure Form ...... 3,300 1,100 1 .167 183.7 Barriers to Service Delivery and Monitoring Form ...... 261 261 15 .167 217.935 TVAP Spending Form ...... 261 261 3 .75 195.75 Partnership Development Enrollment Form ...... 1 1 261 .25 21.75 Partnership Development Exit form ...... 1 1 261 .083 7.221 Training Form ...... 1 1 12 .5 2 Technical Assistance Form ...... 1 1 12 .5 2

Estimated Total Annual Burden DEPARTMENT OF HEALTH AND meeting of the Endocrinologic and Hours: 2,005. HUMAN SERVICES Metabolic Drugs Advisory Committee. The general function of the committee is Authority: 22 U.S.C. 7105. Food and Drug Administration to provide advice and recommendations Mary B. Jones, [Docket No. FDA–2019–N–4284] to FDA on regulatory issues. The ACF/OPRE Certifying Officer. meeting will be open to the public. FDA [FR Doc. 2019–21759 Filed 10–4–19; 8:45 am] Endocrinologic and Metabolic Drugs is establishing a docket for public Advisory Committee; Notice of comment on this document. BILLING CODE 4184–47–P Meeting; Establishment of a Public DATES: The meeting will be held on Docket; Request for Comments November 13, 2019, from 8 a.m. to 5 p.m. AGENCY: Food and Drug Administration, HHS. ADDRESSES: FDA White Oak Campus, ACTION: Notice; establishment of a 10903 New Hampshire Ave., Bldg. 31 public docket; request for comments. Conference Center, the Great Room (Rm. 1503), Silver Spring, MD 20993–0002. SUMMARY: The Food and Drug Answers to commonly asked questions Administration (FDA) announces a including information regarding special forthcoming public advisory committee accommodations due to a disability,

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visitor parking, and transportation may manner detailed (see ‘‘Written/Paper Docket: For access to the docket to be accessed at: https://www.fda.gov/ Submissions’’ and ‘‘Instructions’’). read background documents or the AdvisoryCommittees/ electronic and written/paper comments Written/Paper Submissions AboutAdvisoryCommittees/ received, go to https:// ucm408555.htm. Submit written/paper submissions as www.regulations.gov and insert the follows: docket number, found in brackets in the FDA is establishing a docket for • public comment on this meeting. The Mail/Hand delivery/Courier (for heading of this document, into the docket number is FDA–2019–N–4284. written/paper submissions): Dockets ‘‘Search’’ box and follow the prompts The docket will close on November 12, Management Staff (HFA–305), Food and and/or go to the Dockets Management 2019. Submit either electronic or Drug Administration, 5630 Fishers Staff, 5630 Fishers Lane, Rm. 1061, written comments on this public Lane, Rm. 1061, Rockville, MD 20852. Rockville, MD 20852. • For written/paper comments meeting by November 12, 2019. Please submitted to the Dockets Management FOR FURTHER INFORMATION CONTACT: note that late, untimely filed comments Staff, FDA will post your comment, as LaToya Bonner, Center for Drug will not be considered. Electronic well as any attachments, except for Evaluation and Research, Food and comments must be submitted on or information submitted, marked and Drug Administration, 10903 New before November 12, 2019. The https:// identified, as confidential, if submitted Hampshire Ave., Bldg. 31, Rm. 2417, www.regulations.gov electronic filing as detailed in ‘‘Instructions.’’ Silver Spring, MD 20993–0002, 301– system will accept comments until Instructions: All submissions received 796–9001, Fax: 301–847–8533, email: 11:59 p.m. Eastern Time at the end of must include the Docket No. FDA– [email protected], or FDA Advisory November 12, 2019. Comments received 2019–N–4284 for ‘‘Endocrinologic and Committee Information Line, 1–800– by mail/hand delivery/courier (for Metabolic Drugs Advisory Committee; 741–8138 (301–443–0572 in the written/paper submissions) will be Notice of Meeting; Establishment of a Washington, DC area). A notice in the considered timely if they are Public Docket; Request for Comments.’’ Federal Register about last minute postmarked or the delivery service Received comments, those filed in a modifications that impact a previously acceptance receipt is on or before that timely manner (see ADDRESSES), will be announced advisory committee meeting date. placed in the docket and, except for cannot always be published quickly Comments received on or before those submitted as ‘‘Confidential enough to provide timely notice. October 29, 2019, will be provided to Submissions,’’ publicly viewable at Therefore, you should always check the the committee. Comments received after https://www.regulations.gov or at the FDA’s website at https://www.fda.gov/ that date will be taken into Dockets Management Staff between 9 AdvisoryCommittees/default.htm and consideration by FDA. In the event that a.m. and 4 p.m., Monday through scroll down to the appropriate advisory the meeting is cancelled, FDA will Friday. committee meeting link, or call the continue to evaluate any relevant • Confidential Submissions—To advisory committee information line to applications or information, and submit a comment with confidential learn about possible modifications consider any comments submitted to the information that you do not wish to be before coming to the meeting. docket, as appropriate. made publicly available, submit your SUPPLEMENTARY INFORMATION: You may submit comments as comments only as a written/paper Agenda: The committee will discuss follows: submission. You should submit two supplemental new drug application Electronic Submissions copies total. One copy will include the (sNDA) 204629/S–020 for empagliflozin information you claim to be confidential oral tablet, sponsored by Boehringer Submit electronic comments in the with a heading or cover note that states Ingelheim Pharmaceuticals, Inc., for the following way: ‘‘THIS DOCUMENT CONTAINS following proposed indication: As an • Federal eRulemaking Portal: CONFIDENTIAL INFORMATION.’’ FDA adjunct to insulin therapy to improve https://www.regulations.gov. Follow the will review this copy, including the glycemic control in adults with type 1 instructions for submitting comments. claimed confidential information, in its diabetes mellitus. Comments submitted electronically, consideration of comments. The second FDA intends to make background including attachments, to https:// copy, which will have the claimed material available to the public no later www.regulations.gov will be posted to confidential information redacted/ than 2 business days before the meeting. the docket unchanged. Because your blacked out, will be available for public If FDA is unable to post the background comment will be made public, you are viewing and posted on https:// material on its website prior to the solely responsible for ensuring that your www.regulations.gov. Submit both meeting, the background material will comment does not include any copies to the Dockets Management Staff. be made publicly available at the confidential information that you or a If you do not wish your name and location of the advisory committee third party may not wish to be posted, contact information be made publicly meeting, and the background material such as medical information, your or available, you can provide this will be posted on FDA’s website after anyone else’s Social Security number, or information on the cover sheet and not the meeting. Background material is confidential business information, such in the body of your comments and you available at https://www.fda.gov/ as a manufacturing process. Please note must identify the information as AdvisoryCommittees/Calendar/ that if you include your name, contact ‘‘confidential.’’ Any information marked default.htm. Scroll down to the information, or other information that as ‘‘confidential’’ will not be disclosed appropriate advisory committee meeting identifies you in the body of your except in accordance with 21 CFR 10.20 link. comments, that information will be and other applicable disclosure law. For Procedure: Interested persons may posted on https://www.regulations.gov. more information about FDA’s posting present data, information, or views, • If you want to submit a comment of comments to public dockets, see 80 orally or in writing, on issues pending with confidential information that you FR 56469, September 18, 2015, or access before the committee. All electronic and do not wish to be made available to the the information at: https://www.gpo.gov/ written submissions submitted to the public, submit the comment as a fdsys/pkg/FR-2015-09-18/pdf/2015- Docket (see ADDRESSES) on or before written/paper submission and in the 23389.pdf. October 29, 2019, will be provided to

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the committee. Oral presentations from DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND the public will be scheduled between HUMAN SERVICES HUMAN SERVICES approximately 1 p.m. and 2 p.m. Those individuals interested in making formal Food and Drug Administration Food and Drug Administration oral presentations should notify the [Docket No. FDA–2012–N–0477] contact person and submit a brief [Docket No. FDA–2019–N–3500] statement of the general nature of the Agency Information Collection evidence or arguments they wish to Fit for Use Pilot Program Invitation for Activities; Submission for Office of present, the names and addresses of the Clinical Data Interchange Management and Budget Review; Standards Consortium for Standard for proposed participants, and an Comment Request; Investigational Exchange of Nonclinical Data indication of the approximate time Device Exemptions Reports and Implementation Guide: Version 3.1; requested to make their presentation on Records Correction or before October 21, 2019. Time AGENCY: Food and Drug Administration, allotted for each presentation may be AGENCY: Food and Drug Administration, HHS. limited. If the number of registrants HHS. ACTION: Notice. requesting to speak is greater than can be reasonably accommodated during the ACTION: Correction. SUMMARY: The Food and Drug scheduled open public hearing session, Administration (FDA) is announcing SUMMARY: FDA may conduct a lottery to determine The Food and Drug that a proposed collection of Administration (FDA) is correcting a the speakers for the scheduled open information has been submitted to the notice that appeared in the Federal public hearing session. The contact Office of Management and Budget Register of Tuesday, August 20, 2019. person will notify interested persons (OMB) for review and clearance under The document announced a ‘‘Fit for Use the Paperwork Reduction Act of 1995. regarding their request to speak by Pilot Program Invitation for the Clinical DATES: Fax written comments on the October 22, 2019. Data Interchange Standards Consortium collection of information by November Persons attending FDA’s advisory for Standard for Exchange of 6, 2019. committee meetings are advised that Nonclinical Data Implementation Guide: FDA is not responsible for providing Version 3.1.’’ The document was ADDRESSES: To ensure that comments on access to electrical outlets. published with the incorrect contact the information collection are received, OMB recommends that written For press inquiries, please contact the name, phone number, and email address FOR FURTHER INFORMATION comments be faxed to the Office of Office of Media Affairs at fdaoma@ in the CONTACT section. This document Information and Regulatory Affairs, fda.hhs.gov or 301–796–4540. corrects those errors. OMB, Attn: FDA Desk Officer, Fax: 202– FDA welcomes the attendance of the 395–7285, or emailed to oira_ public at its advisory committee FOR FURTHER INFORMATION CONTACT: [email protected]. All meetings and will make every effort to Jesse Anderson, Office of Computational comments should be identified with the Science, Center for Drug Evaluation and accommodate persons with disabilities. OMB control number 0910–0078. Also Research, Food and Drug If you require accommodations due to a include the FDA docket number found Administration, 10903 New Hampshire disability, please contact LaToya Bonner in brackets in the heading of this Ave., Silver Spring, MD 20993, 301– document. (see FOR FURTHER INFORMATION CONTACT) 348–1816, [email protected]. at least 7 days in advance of the FOR FURTHER INFORMATION CONTACT: meeting. SUPPLEMENTARY INFORMATION: In FR Doc. Amber Sanford, Office of Operations, 2019–17877, appearing on page 43139, FDA is committed to the orderly Food and Drug Administration, Three in the Federal Register of Tuesday, conduct of its advisory committee White Flint North, 10a.m.–12p.m., August 20, 2019 (84 FR 43139), the 11601 Landsdown St., North Bethesda, meetings. Please visit our website at following correction is made: https://www.fda.gov/ MD 20852, 301–796–8867, PRAStaff@ fda.hhs.gov. AdvisoryCommittees/ On page 43140, in the first column, in FOR FURTHER INFORMATION CONTACT AboutAdvisoryCommittees/ the SUPPLEMENTARY INFORMATION: In section of the document, ‘‘Isaac Chang, ucm111462.htm for procedures on compliance with 44 U.S.C. 3507, FDA Office of Computational Science, Center public conduct during advisory has submitted the following proposed for Drug Evaluation and Research, Food committee meetings. collection of information to OMB for and Drug Administration, 10903 New review and clearance. Notice of this meeting is given under Hampshire Ave., Silver Spring, MD the Federal Advisory Committee Act (5 20993, 240–4027501, PRAStaff@ Investigational Device Exemptions U.S.C. app. 2). fda.hhs.gov.’’ is corrected to read ‘‘Jesse Reports and Records Dated: October 2, 2019. Anderson, Office of Computational OMB Control Number 0910–0078— Science, Center for Drug Evaluation and Lowell J. Schiller, Extension Research, Food and Drug Principal Associate Commissioner for Policy. Administration, 10903 New Hampshire Section 520(g) of the Federal Food, [FR Doc. 2019–21834 Filed 10–4–19; 8:45 am] Ave., Silver Spring, MD 20993, 301– Drug, and Cosmetic Act (FD&C Act) (21 BILLING CODE 4164–01–P 348–1816, Jesse.Anderson@ U.S.C. 360j(g)) establishes the statutory fda.hhs.gov.’’ authority to collect information regarding investigational devices and Dated: September 30, 2019. establishes rules under which new Lowell J. Schiller, medical devices may be tested using Principal Associate Commissioner for Policy. human subjects in a clinical setting. The [FR Doc. 2019–21784 Filed 10–4–19; 8:45 am] Food and Drug Administration BILLING CODE 4164–01–P Modernization Act of 1997 (Pub. L. 105–

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115) added section 520(g)(6) to the 812.10 permits the sponsor of the IDE to Section 812.140 lists the FD&C Act and permitted changes to be request a waiver of any of the recordkeeping requirements for made to either the investigational device requirements of part 812. Sections investigators and sponsors. FDA or to the clinical protocol without FDA 812.20, 812.25, and 812.27 describe the requires this information for tracking approval of an investigational device information necessary to file an IDE and oversight purposes. Investigators exemption (IDE) supplement. An IDE application with FDA. The submission are required to maintain records, allows a device, which would otherwise of an IDE application to FDA is required including correspondence and reports be subject to provisions of the FD&C only for significant risk device concerning the study, records of receipt, Act, such as premarket notification or investigations. Section 812.20 lists the use or disposition of devices, records of premarket approval, to be used in data requirements for the original IDE each subject’s case history and exposure investigations involving human subjects application, § 812.25 lists the contents to the device, informed consent in which the safety and effectiveness of of the investigational plan, and § 812.27 documentation, study protocol, and the device is being studied. The purpose lists the data relating to previous documentation of any deviation from of part 812 (21 CFR part 812) is to investigations or testing. The the protocol. Sponsors are required to encourage, to the extent consistent with information in the original IDE maintain records including the protection of public health and application is evaluated by the Center correspondence and reports concerning safety and with ethical standards, the for Devices and Radiological Health to the study, records of shipment and discovery and development of useful determine whether the proposed disposition, signed investigator devices intended for human use. The investigation will reasonably protect the agreements, adverse device effects IDE regulation is designed to encourage public health and safety. information, and, for a nonsignificant the development of useful medical risk device study, an explanation of the Upon approval of an IDE application devices and allow investigators the nonsignificant risk determination, by FDA, a sponsor must submit certain maximum freedom possible, without records of device name and intended requests and reports. Under § 812.35, a jeopardizing the health and safety of the use, study objectives, investigator sponsor who wishes to make a change public or violating ethical standards. To information, investigational review in the investigation that affects the do this, the regulation provides for board information, and statement on the scientific soundness of the study or the different levels of regulatory control, extent that good manufacturing rights, safety, or welfare of the subjects, depending on the level of potential risk practices will be followed. is required to submit a request for the the investigational device presents to For a nonsignificant risk device human subjects. change to FDA. Section 812.150 requires investigation, the investigators’ and Investigations of significant risk a sponsor to submit reports to FDA. sponsors’ recordkeeping and reporting devices, ones that present a potential for These requests and reports are serious harm to the rights, safety, or submitted to FDA as supplemental burden is reduced. Pertinent records on welfare of human subjects, are subject to applications. This information is needed the study must be maintained by both the full requirements of the IDE for FDA to assure protection of human parties, and reports are made to regulation. Nonsignificant risk device subjects and to allow review of the sponsors and institutional review investigations, i.e., devices that do not study’s progress. Section 812.36(c) boards (IRBs). Reports are made to FDA present a potential for serious harm, are identifies the information necessary to only in certain circumstances, e.g., subject to the reduced burden of the file a treatment IDE application. FDA recall of the device, the occurrence of abbreviated requirements. The uses this information to determine if unanticipated adverse effects, and as a regulation also includes provisions for wider distribution of the device is in the consequence of certain IRB actions. treatment IDEs. The purpose of these interest of the public health. Section In the Federal Register of June 11, provisions is to facilitate the 812.36(f) identifies the reports required 2019 (84 FR 27139), FDA published a availability, as early in the device to allow FDA to monitor the size and 60-day notice requesting public development process as possible, of scope of the treatment IDE, to assess the comment on the proposed collection of promising new devices to patients with sponsor’s due diligence in obtaining information. No comments were life-threatening or serious conditions for marketing clearance of the device, and received. which no comparable or satisfactory to ensure the integrity of the controlled FDA estimates the burden of this alternative therapy is available. Section clinical trials. collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

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

Waivers—812.10 ...... 1 1 1 1 1 IDE Application—812.20, 812.25, and 812.27 ...... 229 1 229 80 18,320 Supplements—812.35 and 812.150 ...... 654 5 3,270 6 19,620 Treatment IDE Applications—812.36(c) ...... 1 1 1 120 120 Treatment IDE Reporting—812.36(f) ...... 1 1 1 20 20

Total ...... 38,081 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

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TABLE 2—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1

Number of Average Activity/21 CFR section Number of records per Total annual burden per Total hours recordkeepers recordkeeper records recordkeeping

Original—812.140 ...... 229 1 229 10 2,290 Supplemental—812.140 ...... 654 5 3,270 1 3,270 Nonsignificant—812.140 ...... 356 1 356 6 2,136

Total ...... 7,696 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

TABLE 3—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1

Number of Number of disclosures Total annual Average Activity/21 CFR section respondents per respond- disclosures burden per Total hours ent disclosure

Reports for Nonsignificant Risk Studies—812.150 ...... 1 1 1 6 6 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Our estimated burden for the ADDRESSES: The meeting scheduled ACICBL website at least 14 calendar information collection reflects an from February 20–21, 2020, will be held days before each meeting. overall decrease of 528 hours. We in-person at 5600 Fishers Lane, Room Members of the public will have the attribute this adjustment to a decrease in 5E29, Rockville, Maryland 20857 and opportunity to provide comments. the number of submissions we received can be accessed via teleconference and Public participants may submit written over the last few years. Adobe Connect webinar. The meetings statements in advance of the scheduled scheduled on May 1, 2020, and October Dated: September 26, 2019. meetings. Oral comments will be Lowell J. Schiller, 20, 2020, will both be held via teleconference and Adobe Connect honored in the order they are requested Principal Associate Commissioner for Policy. webinar. Instructions for joining the and may be limited as time allows. [FR Doc. 2019–21785 Filed 10–4–19; 8:45 am] meetings either in-person or remotely Requests to submit a written statement BILLING CODE 4164–01–P will be posted on the ACICBL website or make oral comments to the ACICBL 30 business days before the date of the should be sent to Joan Weiss using the meeting. For meeting information contact information above at least 5 DEPARTMENT OF HEALTH AND business days before the scheduled HUMAN SERVICES updates, go to the ACICBL website meeting page at https://www.hrsa.gov/ meeting date. Health Resources and Services advisory-committees/interdisciplinary- Individuals who need special Administration community-linkages/meetings/ assistance or another reasonable index.html. accommodation should notify Joan Meeting of the Advisory Committee on FOR FURTHER INFORMATION CONTACT: Joan Weiss using the contact information Interdisciplinary, Community Based Weiss, Ph.D., RN, CRNP, FAAN, Senior listed above at least 10 business days Linkages Advisor and Designated Federal before the meeting they wish to attend. AGENCY: Health Resources and Services Official, Division of Medicine and Since the in-person meeting occurs in a Administration (HRSA), Department of Dentistry, HRSA, 5600 Fishers Lane, federal government building, attendees Health and Human Services (HHS). Rockville, Maryland 20857; 301–443– must go through a security check to ACTION: Notice. 0430; or [email protected]. enter the building. Non-U.S. Citizen SUPPLEMENTARY INFORMATION: ACICBL attendees must notify HRSA of their SUMMARY: In accordance with the provides advice and recommendations planned attendance at least 20 business Federal Advisory Committee Act, this to the Secretary of HHS on policy, days prior to the meeting in order to notice announces that the Advisory program development, and other facilitate their entry into the building. Committee on Interdisciplinary, matters of significance concerning All attendees are required to present Community Based Linkages (ACICBL) activities under sections 750–760, Title government-issued identification prior will hold public meetings for the 2020 VII, Part D of the Public Health Service to entry. calendar year (CY). Information about Act. Agenda items are subject to change ACICBL, agendas, and materials for as priorities dictate. ACICBL meetings Maria G. Button, these meetings can be found on the and agenda items for CY 2020 may Director, Executive Secretariat. ACICBL website at https:// include, but are not limited to, [FR Doc. 2019–21797 Filed 10–4–19; 8:45 am] www.hrsa.gov/advisory-committees/ discussion and development of topics BILLING CODE 4165–15–P interdisciplinary-community-linkages/ for the 18th report. Refer to the ACICBL index.html. website listed above for all current and DATES: February 20–21, 2020, 8:30 a.m.– updated information concerning each of 5:00 p.m. Eastern Time (ET) and 8:30 the CY 2020 ACICBL meetings, a.m.–2:00 p.m. ET; May 1, 2020, 10:00 including draft agendas and meeting a.m.–4:00 p.m. ET; October 20, 2020, materials that will be posted before each 10:00 a.m.–4:00 p.m. ET. meeting. Agendas will be posted on the

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DEPARTMENT OF HEALTH AND Review, 6701 Rockledge Drive, Room 5211, Contact Person: Kenneth Ryan, Ph.D., HUMAN SERVICES Bethesda, MD 20892, 301–760–8207, Scientific Review Officer, Center for [email protected]. Scientific Review, National Institutes of National Institutes of Health Name of Committee: Center for Scientific Health, 6701 Rockledge Drive, Room 3218, Review Special Emphasis Panel Member MSC 7717, Bethesda, MD 20892, (301) 435– Center for Scientific Review; Notice of Conflict: Biobehavioral Applications in 0229, [email protected]. Closed Meetings Motivation, Substance Abuse, and Ethology. (Catalogue of Federal Domestic Assistance Date: November 1, 2019. Program Nos. 93.14, Intramural Research Pursuant to section 10(d) of the Time: 1:30 p.m. to 4:30 p.m. Training Award; 93.22, Clinical Research Federal Advisory Committee Act, as Agenda: To review and evaluate grant Loan Repayment Program for Individuals amended, notice is hereby given of the applications. from Disadvantaged Backgrounds; 93.232, following meetings. Place: National Institutes of Health, Loan Repayment Program for Research The meetings will be closed to the Rockledge II, 6701 Rockledge Drive, Generally; 93.39, Academic Research Bethesda, MD 20892, (Telephone Conference Enhancement Award; 93.936, NIH Acquired public in accordance with the Call). Immunodeficiency Syndrome Research Loan provisions set forth in sections Contact Person: Serena Chu, Ph.D., Repayment Program; 93.187, Undergraduate 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Scientific Review Officer, Center for Scholarship Program for Individuals from as amended. The grant applications and Scientific Review, National Institutes of Disadvantaged Backgrounds, National the discussions could disclose Health, 6701 Rockledge Drive, Room 3178, Institutes of Health, HHS) confidential trade secrets or commercial MSC 7848, Bethesda, MD 20892, 301–500– Dated: October 1, 2019. 5829, [email protected]. property such as patentable material, Miguelina Perez, and personal information concerning (Catalogue of Federal Domestic Assistance Program Nos. 93.306, Comparative Medicine; Program Analyst, Office of Federal Advisory individuals associated with the grant Committee Policy. applications, the disclosure of which 93.333, Clinical Research, 93.306, 93.333, 93.337, 93.393–93.396, 93.837–93.844, [FR Doc. 2019–21723 Filed 10–4–19; 8:45 am] would constitute a clearly unwarranted 93.846–93.878, 93.892, 93.893, National BILLING CODE 4140–01–P invasion of personal privacy. Institutes of Health, HHS) Name of Committee: Center for Scientific Dated: October 1, 2019. Review Special Emphasis Panel Fellowships: Tyeshia M. Roberson, DEPARTMENT OF HOMELAND Epidemiology and Population Sciences. SECURITY Date: October 31, 2019. Program Analyst, Office of Federal Advisory Committee Policy. Time: 8:00 a.m. to 6:00 p.m. Coast Guard Agenda: To review and evaluate grant [FR Doc. 2019–21739 Filed 10–4–19; 8:45 am] applications. BILLING CODE 4140–01–P [Docket No. USCG–2019–0753] Place: The Westin Riverwalk, San Antonio, 420 W Market St, San Antonio, TX 78205. Information Collection Request to Contact Person: Gianina Ramona DEPARTMENT OF HEALTH AND Office of Management and Budget; Dumitrescu, MPH, Ph.D., Scientific Review HUMAN SERVICES OMB Control Number: 1625–NEW Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge National Institutes of Health AGENCY: Coast Guard, DHS. Drive, Room 4193–C, Bethesda, MD 28092, ACTION: Sixty-day notice requesting 301–827–0696, [email protected]. Office of the Director, National comments. Name of Committee: Center for Scientific Institutes of Health; Notice of Closed Review Special Emphasis Panel Member Meeting SUMMARY: In compliance with the Conflict: Bioengineering, Surgery, Paperwork Reduction Act of 1995, the Anesthesiology and Trauma. Pursuant to section 10(d) of the U.S. Coast Guard intends to submit an Date: November 1, 2019. Federal Advisory Committee Act, as Information Collection Request (ICR) to Time: 10:00 a.m. to 6:30 p.m. amended, notice is hereby given of the the Office of Management and Budget Agenda: To review and evaluate grant following meeting. (OMB), Office of Information and applications. The meeting will be closed to the Place: National Institutes of Health, Regulatory Affairs (OIRA), requesting Rockledge II, 6701 Rockledge Drive, public in accordance with the approval for the following collection of Bethesda, MD 20892 (Virtual Meeting). provisions set forth in sections information; 1625–NEW, Merchant Contact Person: Guo Feng Xu, Ph.D., 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Mariner Credentialing—Job Task Scientific Review Officer, Center for as amended. The grant applications and Analysis. Our ICR describes the Scientific Review, National Institutes of the discussions could disclose information we seek to collect from the Health, 6701 Rockledge Drive, Room 5122, confidential trade secrets or commercial public. Before submitting this ICR to MSC 7854, Bethesda, MD 20892, 301–237– property such as patentable material, OIRA, the Coast Guard is inviting 9870, [email protected]. and personal information concerning comments as described below. Name of Committee: Center for Scientific individuals associated with the grant DATES: Comments must reach the Coast Review Special Emphasis Panel Member applications, the disclosure of which Guard on or before December 6, 2019. Conflict: Neural Basis of Neurodegenerative would constitute a clearly unwarranted Disorders and Neuroprosthetics ADDRESSES: You may submit comments Development. invasion of personal privacy. identified by Coast Guard docket Date: November 1, 2019. Name of Committee: Office of Research number [USCG–2019–0753] to the Coast Time: 10:00 a.m. to 5:00 p.m. Infrastructure Programs Special Emphasis Guard using the Federal eRulemaking Agenda: To review and evaluate grant Panel: Applications for Scientific Portal at https://www.regulations.gov. applications. Conferences. See the ‘‘Public participation and Place: National Institutes of Health, Date: November 8, 2019. Rockledge II, 6701 Rockledge Drive, Time: 11:00 a.m. to 3:00 p.m. request for comments’’ portion of the Bethesda, MD 20892 (Telephone Conference Agenda: To review and evaluate grant SUPPLEMENTARY INFORMATION section for Call). applications. further instructions on submitting Contact Person: Paula Elyse Schauwecker, Place: National Institutes of Health, 6701 comments. Ph.D., Scientific Review Officer, National Rockledge Drive, Bethesda, MD 20892 A copy of the ICR is available through Institutes of Health, Center for Scientific (Telephone Conference Call). the docket on the internet at https://

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www.regulations.gov. Additionally, Submitting Comments Authority: The Paperwork Reduction copies are available from: Commandant We encourage you to submit Act of 1995; 44 U.S.C. chapter 35, as (CG–612), Attn: Paperwork Reduction comments through the Federal amended. Act Manager, U.S. Coast Guard, 2703 eRulemaking Portal at https:// Dated: October 1, 2019. Martin Luther King Jr. Ave. SE, Stop www.regulations.gov. If your material James D. Roppel, 7710, Washington, DC 20593–7710. cannot be submitted using https:// U.S. Coast Guard, Chief, Office of Information FOR FURTHER INFORMATION CONTACT: Mr. www.regulations.gov, contact the person Management. Anthony Smith, Office of Information in the FOR FURTHER INFORMATION [FR Doc. 2019–21775 Filed 10–4–19; 8:45 am] CONTACT Management, telephone 202–475–3532, section of this document for BILLING CODE 9110–04–P or fax 202–372–8405, for questions on alternate instructions. Documents these documents. mentioned in this notice, and all public comments, are in our online docket at SUPPLEMENTARY INFORMATION: DEPARTMENT OF HOMELAND https://www.regulations.gov and can be SECURITY Public Participation and Request for viewed by following that website’s Comments instructions. Additionally, if you go to Federal Emergency Management the online docket and sign up for email Agency This notice relies on the authority of alerts, you will be notified when the Paperwork Reduction Act of 1995; [Docket ID: FEMA–2019–0019; OMB No. comments are posted. 1660–0100] 44 U.S.C. chapter 35, as amended. An We accept anonymous comments. All ICR is an application to OIRA seeking comments received will be posted Agency Information Collection the approval, extension, or renewal of a without change to https:// Coast Guard collection of information Activities: Proposed Collection; www.regulations.gov and will include Comment Request; General (Collection). The ICR contains any personal information you have information describing the Collection’s Admissions Applications (Long and provided. For more about privacy and Short) and Stipend Forms purpose, the Collection’s likely burden the docket, you may review a Privacy on the affected public, an explanation of Act notice regarding the Federal Docket AGENCY: Federal Emergency the necessity of the Collection, and Management System in the March 24, Management Agency, DHS. other important information describing 2005, issue of the Federal Register (70 ACTION: Notice and request for the Collection. There is one ICR for each FR 15086). comments. Collection. Information Collection Request The Coast Guard invites comments on SUMMARY: The Federal Emergency whether this ICR should be granted Title: Merchant Mariner Management Agency, as part of its based on the Collection being necessary Credentialing—Job Task Analysis. continuing effort to reduce paperwork for the proper performance of OMB Control Number: 1625–NEW. and respondent burden, invites the Departmental functions. In particular, Summary: The Coast Guard’s general public to take this opportunity the Coast Guard would appreciate Merchant Mariner Credentialing to comment on a revision of a currently comments addressing: (1) The practical Program establishes the requirements approved information collection. In utility of the Collection; (2) the accuracy for the issuance of a Merchant Mariner accordance with the Paperwork of the estimated burden of the Credential (MMC) with the officer or Reduction Act of 1995, this notice seeks Collection; (3) ways to enhance the rating endorsements necessary for comments concerning the admission quality, utility, and clarity of employment on U.S. flagged vessels. To applications and student stipend information subject to the Collection; improve the credentialing process, agreements for FEMA courses and and (4) ways to minimize the burden of inform future decisions, and ensure the programs that are delivered on-campus the Collection on respondents, Coast Guard maintains standards and throughout the Nation, in including the use of automated reflecting changes in technology, the coordination with State and local collection techniques or other forms of Coast Guard is conducting a Job Task training officials and local colleges and information technology. Consistent with Analysis (JTA) for each officer and universities. rating endorsement issued on an MMC. the requirements of Executive Order DATES: Comments must be submitted on 13771, Reducing Regulation and Information shall be collected through or before December 6, 2019. Controlling Regulatory Costs, and focus group discussions and the administration of surveys. Participation ADDRESSES: To avoid duplicate Executive Order 13777, Enforcing the submissions to the docket, please use Regulatory Reform Agenda, the Coast is voluntary. Need: The Coast Guard issues only one of the following means to Guard is also requesting comments on submit comments: the extent to which this request for credentials to merchant mariners in accordance with 46 CFR Subchapter B. (1) Online. Submit comments at information could be modified to reduce www.regulations.gov under Docket ID the burden on respondents. Screening and assessing applicants for competency ensure they do not present FEMA–2019–0019. Follow the In response to your comments, we a safety or security risk, they are instructions for submitting comments. may revise the this ICR or decide not to medically qualified to serve, and that (2) Mail. Submit written comments to seek approval for the Collection. We they have the training and experience to Docket Manager, Office of Chief will consider all comments and material serve in the position for which they are Counsel, DHS/FEMA, 500 C Street SW received during the comment period. applying. The JTA shall inform the 8NE, Washington, DC 20472–3100. We encourage you to respond to this training and assessment processes. All submissions received must request by submitting comments and Forms: None. include the agency name and Docket ID. related materials. Comments must Respondents: Merchant mariners and Regardless of the method used for contain the OMB Control Number of the shoreside personnel. submitting comments or material, all ICR and the docket number of this Frequency: On occasion. submissions will be posted, without request, [USCG–2019–0753], and must Hour Burden Estimate: The estimated change, to the Federal eRulemaking be received by December 6, 2019. burden is 3,060 hours annually. Portal at http://www.regulations.gov,

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and will include any personal 3. Title XIV of the National Defense Type of Information Collection: information you provide. Therefore, Authorization Act of 1997, Public Law Revision of a currently approved submitting this information makes it 104–201, 110 Stat. 2432; Title I of the information collection. public. You may wish to read the Departments of Commerce, Justice, and OMB Number: 1660–0100. Privacy Act notice that is available via State, the Judiciary, and Related the link in the footer of Agencies Appropriations Act of 1998, FEMA Forms: FEMA Form 119–25–0– www.regulations.gov. Public Law 105–119, 111 Stat. 2440; 1, replaces 119–25–1, General Admissions Application; FEMA Form FOR FURTHER INFORMATION CONTACT: Sections 403 and 430 of the Homeland Security Act of 2002, Public Law 107– 119–25–0–6, Training Registration Smiley White, Supervisory Program Form; FEMA Form 119–25–3, Student Specialist, United States Fire 296, 116 Stat. 2135; and Section 611 of Stipend Agreement; FEMA Form 119– Administration, 301–447–1055. You the Post-Katrina Emergency 25–4, Student Stipend Agreement may contact the Information Management Reform Act of 2006, Public (Amendment); and FEMA Form 119– Management Division for copies of the Law 109–295, 120 Stat. 1355, all 25–5, National Fire Academy Executive proposed collection of information at authorize CDP to serve as a training Fire Officer Program Application email address: FEMA-Information- facility for all relevant federally Admission. [email protected]. supported training efforts that target SUPPLEMENTARY INFORMATION: FEMA State and local law enforcement, Abstract: FEMA provides training to offers courses and programs that are firefighters, emergency medical advance the professional development delivered at National Emergency personnel, and other key agencies such of personnel engaged in fire prevention Training Center (NETC) in Emmitsburg, as public works and State and local and control and emergency management Maryland, the Center for Domestic emergency management. The focus of activities through CDP, Emergency Preparedness (CDP) in Anniston, the training is to prepare relevant State Management Institute, NFA, National Alabama, and throughout the Nation in and local officials to deal with chemical, Training and Education Division, coordination with State and local biological, or nuclear terrorist acts and National Domestic Preparedness training officials and local colleges and handle incidents dealing with Consortium, and Rural Domestic universities to carry out the authorities hazardous materials. Preparedness Consortium. listed below. To facilitate meeting these 4. Public Law 110–53, 121 Stat. 386, Affected Public: Business or other for- requirements, FEMA collects 6 U.S.C. 1102 established a National profit, not-for-profit institutions, Federal information necessary to be accepted for Domestic Preparedness Consortium Government, and State, local or Tribal courses and for the student stipend or within the Department of Homeland Government. travel reimbursement program for these Security. According to the enacting Number of Respondents: 214,300. courses. There are several organizations legislation, the members of the within FEMA that deliver training and Consortium consist of CDP; the National Number of Responses: 214,300. education in support of the FEMA Energetic Materials Research and Estimated Total Annual Burden mission. Testing Center, New Mexico Institute of Hours: 24,400. 1. Section 7 of Public Law 93–498, Mining and Technology; the National Estimated Total Annual Respondent Federal Fire Prevention and Control Center for Biomedical Research and Cost: $929,163. Act, as amended, established the Training, Louisiana State University; the National Fire Academy (NFA) to National Emergency Response and Estimated Respondents’ Operation advance the professional development Rescue Training Center, Texas A&M and Maintenance Costs: None. of fire service personnel and of other University; the National Exercise, Test, Estimated Respondents’ Capital and persons engaged in fire prevention and and Training Center, Nevada Test Site; Start-Up Costs: None. control activities. the Transportation Technology Center, 2. Section 611.f. of Subchapter VI of Incorporated, in Pueblo, Colorado; and Estimated Total Annual Cost to the the Robert T. Stafford Disaster Relief the National Disaster Preparedness Federal Government: $2,570,012. and Emergency Assistance Act (Stafford Training Center, University of Hawaii. Comments Act) as amended, 42 U.S.C. 5121–5207, Other organizations have been added to authorizes the Director to conduct or the Consortium membership since the Comments may be submitted as arrange, by contract or otherwise, for passage of the enacting legislation. The indicated in the ADDRESSES caption training programs for the instruction of Consortium shall identify, test, and above. Comments are solicited to (a) emergency preparedness officials and deliver training to State, local, and tribal evaluate whether the proposed data other persons in the organization, emergency response providers, provide collection is necessary for the proper operation, and techniques of emergency on-site and mobile training at the performance of the agency, including preparedness; conduct or operate performance, management, and whether the information shall have schools or classes, including the planning levels, and facilitate the practical utility; (b) evaluate the payment of travel expenses, in delivery of training by the training accuracy of the agency’s estimate of the accordance with subchapter I of chapter partners of the Department. burden of the proposed collection of 57 of title 5, United States Code, and the 5. Under the authorities of Executive information, including the validity of Standardized Government Travel Orders 12127 and 12148, the the methodology and assumptions used; Regulations, and per diem allowances, Administrator, Federal Emergency (c) enhance the quality, utility, and in lieu of subsistence for trainees in Management Agency, is responsible for clarity of the information to be attendance or the furnishing of carrying out the mandates of the public collected; and (d) minimize the burden subsistence and quarters for trainees laws mentioned above. of the collection of information on those and instructors on terms prescribed by who are to respond, including through Collection of Information the Director; and provide instructors the use of appropriate automated, and training aids as deemed necessary. Title: General Admissions electronic, mechanical, or other This training is conducted through the Applications (Long and Short) and technological collection techniques or Emergency Management Institute (EMI). Stipend Forms. other forms of information technology,

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e.g., permitting electronic submission of DATES: Comments are to be submitted rates for new buildings built after the responses. on or before January 6, 2020. FIRM and FIS report become effective. ADDRESSES: William H. Holzerland, The Preliminary FIRM, and The communities affected by the where applicable, the FIS report for flood hazard determinations are Sr. Director for Information Management, Mission Support,Federal Emergency each community are available for provided in the tables below. Any Management Agency, Department of inspection at both the online location request for reconsideration of the Homeland Security. https://www.fema.gov/ revised flood hazard information shown [FR Doc. 2019–21757 Filed 10–4–19; 8:45 am] preliminaryfloodhazarddata and the on the Preliminary FIRM and FIS report respective Community Map Repository BILLING CODE 9111–72–P that satisfies the data requirements address listed in the tables below. outlined in 44 CFR 67.6(b) is considered Additionally, the current effective FIRM an appeal. Comments unrelated to the DEPARTMENT OF HOMELAND and FIS report for each community are flood hazard determinations also will be SECURITY accessible online through the FEMA considered before the FIRM and FIS Map Service Center at https:// report become effective. Federal Emergency Management msc.fema.gov for comparison. Use of a Scientific Resolution Panel Agency You may submit comments, identified (SRP) is available to communities in by Docket No. FEMA–B–1962, to Rick support of the appeal resolution Sacbibit, Chief, Engineering Services [Docket ID FEMA–2019–0002; Internal process. SRPs are independent panels of Agency Docket No. FEMA–B–1962] Branch, Federal Insurance and experts in hydrology, hydraulics, and Mitigation Administration, FEMA, 400 other pertinent sciences established to Proposed Flood Hazard C Street SW, Washington, DC 20472, review conflicting scientific and Determinations (202) 646–7659, or (email) technical data and provide [email protected]. recommendations for resolution. Use of AGENCY: Federal Emergency FOR FURTHER INFORMATION CONTACT: Rick the SRP only may be exercised after Management Agency, DHS. Sacbibit, Chief, Engineering Services FEMA and local communities have been ACTION: Notice. Branch, Federal Insurance and engaged in a collaborative consultation Mitigation Administration, FEMA, 400 process for at least 60 days without a SUMMARY: Comments are requested on C Street SW, Washington, DC 20472, mutually acceptable resolution of an proposed flood hazard determinations, (202) 646–7659, or (email) appeal. Additional information which may include additions or [email protected]; or visit regarding the SRP process can be found modifications of any Base Flood the FEMA Map Information eXchange online at https://www.floodsrp.org/pdfs/ Elevation (BFE), base flood depth, (FMIX) online at https:// srp_overview.pdf. Special Flood Hazard Area (SFHA) www.floodmaps.fema.gov/fhm/fmx_ The watersheds and/or communities boundary or zone designation, or main.html. affected are listed in the tables below. regulatory floodway on the Flood SUPPLEMENTARY INFORMATION: FEMA The Preliminary FIRM, and where Insurance Rate Maps (FIRMs), and proposes to make flood hazard applicable, FIS report for each where applicable, in the supporting determinations for each community community are available for inspection Flood Insurance Study (FIS) reports for listed below, in accordance with section at both the online location https:// the communities listed in the table 110 of the Flood Disaster Protection Act www.fema.gov/ below. The purpose of this notice is to of 1973, 42 U.S.C. 4104, and 44 CFR preliminaryfloodhazarddata and the seek general information and comment 67.4(a). respective Community Map Repository regarding the preliminary FIRM, and These proposed flood hazard address listed in the tables. For where applicable, the FIS report that the determinations, together with the communities with multiple ongoing Federal Emergency Management Agency floodplain management criteria required Preliminary studies, the studies can be (FEMA) has provided to the affected by 44 CFR 60.3, are the minimum that identified by the unique project number communities. The FIRM and FIS report are required. They should not be and Preliminary FIRM date listed in the are the basis of the floodplain construed to mean that the community tables. Additionally, the current management measures that the must change any existing ordinances effective FIRM and FIS report for each community is required either to adopt that are more stringent in their community are accessible online or to show evidence of having in effect floodplain management requirements. through the FEMA Map Service Center in order to qualify or remain qualified The community may at any time enact at https://msc.fema.gov for comparison. for participation in the National Flood stricter requirements of its own or Insurance Program (NFIP). In addition, pursuant to policies established by other (Catalog of Federal Domestic Assistance No. the FIRM and FIS report, once effective, Federal, State, or regional entities. 97.022, ‘‘Flood Insurance.’’) will be used by insurance agents and These flood hazard determinations are Michael M. Grimm, others to calculate appropriate flood used to meet the floodplain Assistant Administrator for Risk insurance premium rates for new management requirements of the NFIP Management, Department of Homeland buildings and the contents of those and are used to calculate the Security, Federal Emergency Management buildings. appropriate flood insurance premium Agency.

Community Community map repository address

Town of Amherst, Massachusetts Project: 17–01–0941S Preliminary Date: June 18, 2019

Town of Amherst ...... Town Hall, 4 Boltwood Avenue, Amherst, MA 01002.

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Community Community map repository address

Seminole County, Oklahoma and Incorporated Areas Project: 17–06–1816S Preliminary Date: May 23, 2019

City of Konawa ...... City Hall, 122 North Broadway, Konawa, OK 74849. City of Maud ...... City Hall, 208 West Main Street, Maud, OK 74854. City of Seminole ...... Municipal Court, 401 North Main Street, Seminole, OK 74868. City of Wewoka ...... City Hall, 123 South Mekusukey Avenue, Wewoka, OK 74884. Town of Bowlegs ...... Seminole County Courthouse, 110 South Wewoka Avenue, Wewoka, OK 74884. Town of Cromwell ...... Town Hall, 100 Jenkins Street, Cromwell, OK 74837. Town of Lima ...... Seminole County Courthouse, 110 South Wewoka Avenue, Wewoka, OK 74884. Town of Sasakwa ...... Seminole County Courthouse, 110 South Wewoka Avenue, Wewoka, OK 74884. Unincorporated Areas of Seminole County ...... Seminole County Courthouse, 110 South Wewoka Avenue, Wewoka, OK 74884.

[FR Doc. 2019–21754 Filed 10–4–19; 8:45 am] revise the FIRM panels and FIS report of the community as listed in the table BILLING CODE 9110–12–P in effect prior to this determination for below. the listed communities. The modifications are made pursuant From the date of the second to section 201 of the Flood Disaster DEPARTMENT OF HOMELAND publication of notification of these Protection Act of 1973, 42 U.S.C. 4105, SECURITY changes in a newspaper of local and are in accordance with the National circulation, any person has 90 days in Federal Emergency Management Flood Insurance Act of 1968, 42 U.S.C. which to request through the 4001 et seq., and with 44 CFR part 65. Agency community that the Deputy Associate Administrator for Insurance and The FIRM and FIS report are the basis [Docket ID FEMA–2019–0002; Internal of the floodplain management measures Agency Docket No. FEMA–B–1964] Mitigation reconsider the changes. The flood hazard determination information that the community is required either to Changes in Flood Hazard may be changed during the 90-day adopt or to show evidence of having in Determinations period. effect in order to qualify or remain qualified for participation in the AGENCY: Federal Emergency ADDRESSES: The affected communities National Flood Insurance Program Management Agency, DHS. are listed in the table below. Revised (NFIP). flood hazard information for each ACTION: Notice. These flood hazard determinations, community is available for inspection at together with the floodplain SUMMARY: This notice lists communities both the online location and the where the addition or modification of respective community map repository management criteria required by 44 CFR Base Flood Elevations (BFEs), base flood address listed in the table below. 60.3, are the minimum that are required. depths, Special Flood Hazard Area Additionally, the current effective FIRM They should not be construed to mean (SFHA) boundaries or zone and FIS report for each community are that the community must change any designations, or the regulatory floodway accessible online through the FEMA existing ordinances that are more (hereinafter referred to as flood hazard Map Service Center at https:// stringent in their floodplain determinations), as shown on the Flood msc.fema.gov for comparison. management requirements. The Insurance Rate Maps (FIRMs), and Submit comments and/or appeals to community may at any time enact where applicable, in the supporting the Chief Executive Officer of the stricter requirements of its own or Flood Insurance Study (FIS) reports, community as listed in the table below. pursuant to policies established by other Federal, State, or regional entities. The prepared by the Federal Emergency FOR FURTHER INFORMATION CONTACT: Rick flood hazard determinations are in Management Agency (FEMA) for each Sacbibit, Chief, Engineering Services accordance with 44 CFR 65.4. community, is appropriate because of Branch, Federal Insurance and new scientific or technical data. The Mitigation Administration, FEMA, 400 The affected communities are listed in FIRM, and where applicable, portions of C Street SW, Washington, DC 20472, the following table. Flood hazard the FIS report, have been revised to (202) 646–7659, or (email) determination information for each reflect these flood hazard [email protected]; or visit community is available for inspection at determinations through issuance of a the FEMA Map Information eXchange both the online location and the Letter of Map Revision (LOMR), in (FMIX) online at https:// respective community map repository accordance with Federal Regulations. www.floodmaps.fema.gov/fhm/fmx_ address listed in the table below. The LOMR will be used by insurance main.html. Additionally, the current effective FIRM and FIS report for each community are agents and others to calculate SUPPLEMENTARY INFORMATION: The accessible online through the FEMA appropriate flood insurance premium specific flood hazard determinations are rates for new buildings and the contents Map Service Center at https:// not described for each community in msc.fema.gov for comparison. of those buildings. For rating purposes, this notice. However, the online the currently effective community location and local community map (Catalog of Federal Domestic Assistance No. number is shown in the table below and repository address where the flood 97.022, ‘‘Flood Insurance.’’) must be used for all new policies and hazard determination information is Michael M. Grimm, renewals. available for inspection is provided. Assistant Administrator for Risk DATES: These flood hazard Any request for reconsideration of Management, Department of Homeland determinations will be finalized on the flood hazard determinations must be Security, Federal Emergency Management dates listed in the table below and submitted to the Chief Executive Officer Agency.

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Location and Chief executive officer of Community map Online location of letter of map Date of Community State and county case No. community repository revision modification No.

Arizona: Maricopa ...... City of Glendale The Honorable Jerry City Hall, 5850 West https://msc.fema.gov/portal/ Jan. 3, 2020 ...... 040045 (19–09–1678P). Weiers, Mayor, City of Glendale Avenue, Glen- advanceSearch. Glendale, 5850 West dale, AZ 85301. Glendale Avenue, Glen- dale, AZ 85301. Maricopa ...... City of Goodyear The Honorable Georgia Engineering and Develop- https://msc.fema.gov/portal/ Jan. 3, 2020 ...... 040046 (19–09–1678P). Lord, Mayor, City of ment Services, 14455 advanceSearch. Goodyear, 190 North West Van Buren Street, Litchfield Road, Good- Suite D101, Goodyear, year, AZ 85338. AZ 85338. Maricopa ...... Unincorporated The Honorable Bill Gates, Flood Control District of https://msc.fema.gov/portal/ Jan. 3, 2020 ...... 040037 Areas of Mari- Chairman, Board of Su- Maricopa County, 2801 advanceSearch. copa County pervisors, Maricopa West Durango Street, (19–09–1678P). County, 301 West Jef- Phoenix, AZ 85009. ferson Street, 10th Floor, Phoenix, AZ 85003. California: Riverside ...... City of Cathedral The Honorable Mark Engineering Department, https://msc.fema.gov/portal/ Jan. 3, 2020 ...... 060704 City (19–09– Carnevale, Mayor, City 68–700 Avenida Lalo advanceSearch. 0367P). of Cathedral City, Guerrero, Cathedral 68700 Avenida Lalo City, CA 92234. Guerrero, Cathedral City, CA 92234. Riverside ...... City of Palm The Honorable Robert Public Works and Engi- https://msc.fema.gov/portal/ Jan. 3, 2020 ...... 060257 Springs (19– Moon, Mayor, City of neering Department, advanceSearch. 09–0367P). Palm Springs, 3200 3200 East Tahquitz East Tahquitz Canyon Canyon Way, Palm Way, Palm Springs, CA Springs, CA 92262. 92262. Florida: Duval ...... City of Jackson- The Honorable Lenny Edward Ball Building De- https://msc.fema.gov/portal/ Dec. 27, 2019 .... 120077 ville (19–04– Curry, Mayor, City of velopment Services, advanceSearch. 2699P). Jacksonville, 117 West Room 2100, 214 North Duval Street, Suite 400, Hogan Street, Jackson- Jacksonville, FL 32202. ville, FL 32202. Hawaii: Hawaii ...... Hawaii County The Honorable Harry Kim, Hawaii County Depart- https://msc.fema.gov/portal/ Jan. 10, 2020 ..... 155166 (19–09–0188P). Mayor, Hawaii County, ment of Public Works, advanceSearch. 25 Aupuni Street, Suite Engineering Division, 2603, Hilo, HI 96720. 101 Pauahi Street, Suite 7, Hilo, HI 96720. Maui ...... Maui County The Honorable Michael P. County of Maui Planning https://msc.fema.gov/portal/ Jan. 8, 2020 ...... 150003 (19–09–0247P). Victorino, Mayor, Coun- Department, 2200 Main advanceSearch. ty of Maui, 200 South Street, Suite 315, High Street, Kalana O Wailuku, HI 96793. Maui Building 9th Floor, Wailuku, HI 96793. Kansas: Johnson ...... City of Lenexa The Honorable Michael City Hall, 12350 West https://msc.fema.gov/portal/ Jan. 15, 2020 ..... 200168 (19–07–0874P). Boehm, Mayor, City of 87th Street Parkway, advanceSearch. Lenexa, 17101 West Lenexa, KS 66215. 87th Street Parkway, Lenexa, KS 66219. Johnson ...... City of Overland The Honorable Carl Ger- City Hall, 8500 Santa Fe https://msc.fema.gov/portal/ Jan. 8, 2020 ...... 200174 Park (19–07– lach, Mayor, City of Drive, Overland Park, advanceSearch. 0057P). Overland Park, 8500 KS 66212. Santa Fe Drive, Over- land Park, KS 66212. Johnson ...... City of Prairie Vil- The Honorable Erik City Hall, 7700 Mission https://msc.fema.gov/portal/ Jan. 8, 2020 ...... 200175 lage (19–07– Mikkelson, Mayor, City Road, Prairie Village, advanceSearch. 0057P). of Prairie Village, 7700 KS 66208. Mission Road, Prairie Village, KS 66208. Missouri: Jackson City of Lee’s The Honorable Bill Baird, Department of Public https://msc.fema.gov/portal/ Jan. 2, 2020 ...... 290174 Summit (19– Mayor, City of Lee’s Works, 220 Southeast advanceSearch. 07–1150P). Summit, 220 Southeast Green Street, Lee’s Green Street, Lee’s Summit, MO 64063. Summit, MO 64063. New York: Essex .. Town of Mr. Shaun Gillilland, Town Town Hall, 5 Farrell Road, https://msc.fema.gov/portal/ Feb. 5, 2020 ...... 360267 Willsboro (19– Supervisor, Town of Willsboro, NY 12996. advanceSearch. 02–0483P). Willsboro, 5 Farrell Road, Willsboro, NY 12996. Ohio: Butler ...... City of Monroe The Honorable Robert E. Village Hall, 233 South https://msc.fema.gov/portal/ Jan. 2, 2020 ...... 390042 (18–05–4114P). Routson, Mayor, City of Main Street, Monroe, advanceSearch. Monroe, P.O. Box 330, OH 45050. Monroe, OH 45050.

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Location and Chief executive officer of Community map Online location of letter of map Date of Community State and county case No. community repository revision modification No.

Oregon: Lane ...... Unincorporated Mr. Jay Bozievich, Com- Lane County Planning https://msc.fema.gov/portal/ Jan. 10, 2020 ..... 415591 Areas of Lane missioner, Lane Coun- Department, Public advanceSearch. County (19– ty, Lane County Public Service Building, 125 10–0523P). Service Building, 125 East 8th Street, Eu- East 8th Street, Eu- gene, OR 97401. gene, OR 97401. Washington: Unincorporated Mr. Kevin Shutty, County Mason County Public https://msc.fema.gov/portal/ Jan. 10, 2020 ..... 530115 Mason. Areas of Commissioner, Mason Works, 100 West Public advanceSearch. Mason County County, 411 North 5th Works Drive, Shelton, (19–10–1106P). Street, Shelton, WA WA 98584. 98584.

[FR Doc. 2019–21758 Filed 10–4–19; 8:45 am] listed in the table below and online adopt or to show evidence of being BILLING CODE P through the FEMA Map Service Center already in effect in order to remain at https://msc.fema.gov. qualified for participation in the FOR FURTHER INFORMATION CONTACT: Rick National Flood Insurance Program DEPARTMENT OF HOMELAND Sacbibit, Chief, Engineering Services (NFIP). SECURITY Branch, Federal Insurance and This new or modified flood hazard Mitigation Administration, FEMA, 400 Federal Emergency Management information, together with the C Street SW, Washington, DC 20472, Agency floodplain management criteria required (202) 646–7659, or (email) by 44 CFR 60.3, are the minimum that [Docket ID FEMA–2019–0002] [email protected]; or visit are required. They should not be the FEMA Map Information eXchange construed to mean that the community Changes in Flood Hazard (FMIX) online at https:// must change any existing ordinances Determinations www.floodmaps.fema.gov/fhm/fmx_ that are more stringent in their AGENCY: Federal Emergency main.html. floodplain management requirements. Management Agency, DHS. SUPPLEMENTARY INFORMATION: The The community may at any time enact ACTION: Notice. Federal Emergency Management Agency stricter requirements of its own or (FEMA) makes the final flood hazard pursuant to policies established by other SUMMARY: New or modified Base (1- determinations as shown in the LOMRs Federal, State, or regional entities. percent annual chance) Flood for each community listed in the table This new or modified flood hazard Elevations (BFEs), base flood depths, below. Notice of these modified flood determinations are used to meet the Special Flood Hazard Area (SFHA) hazard determinations has been floodplain management requirements of boundaries or zone designations, and/or published in newspapers of local the NFIP and are used to calculate the regulatory floodways (hereinafter circulation and 90 days have elapsed appropriate flood insurance premium referred to as flood hazard since that publication. The Deputy rates for new buildings, and for the determinations) as shown on the Associate Administrator for Insurance contents in those buildings. The indicated Letter of Map Revision and Mitigation has resolved any appeals changes in flood hazard determinations (LOMR) for each of the communities resulting from this notification. are in accordance with 44 CFR 65.4. listed in the table below are finalized. The modified flood hazard Interested lessees and owners of real Each LOMR revises the Flood Insurance determinations are made pursuant to Rate Maps (FIRMs), and in some cases property are encouraged to review the section 206 of the Flood Disaster final flood hazard information available the Flood Insurance Study (FIS) reports, Protection Act of 1973, 42 U.S.C. 4105, currently in effect for the listed at the address cited below for each and are in accordance with the National community or online through the FEMA communities. The flood hazard Flood Insurance Act of 1968, 42 U.S.C. determinations modified by each LOMR Map Service Center at https:// 4001 et seq., and with 44 CFR part 65. msc.fema.gov. will be used to calculate flood insurance For rating purposes, the currently premium rates for new buildings and effective community number is shown (Catalog of Federal Domestic Assistance No. their contents. and must be used for all new policies 97.022, ‘‘Flood Insurance.’’) DATES: Each LOMR was finalized as in and renewals. Michael M. Grimm, the table below. The new or modified flood hazard Assistant Administrator for Risk ADDRESSES: Each LOMR is available for information is the basis for the Management, Department of Homeland inspection at both the respective floodplain management measures that Security, Federal Emergency Management Community Map Repository address the community is required either to Agency.

Location and Date of Community State and county case No. Chief executive officer of community Community map repository modification No.

Colorado: Arapahoe City of Cherry Hills The Honorable Russell Stewart, Mayor, Community Development De- Aug. 16, 2019 ...... 080013 (FEMA Dock- Village (19–08– City of Cherry Hills Village, 2450 East partment, 2450 East Quincy et No.: B– 0093P). Quincy Avenue, Cherry Hills Village, Avenue, Cherry Hills Village, 1935). CO 80113. CO 80113. El Paso (FEMA Town of Palmer The Honorable John Cressman, Mayor, Building Department, 2880 Sep. 11, 2019 ...... 080065 Docket No.: Lake (18–08– Town of Palmer Lake, P.O. Box 208, International Circle, Colorado B–1948). 1108P). Palmer Lake, CO 80910. Springs, CO 80910.

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Location and Date of Community State and county case No. Chief executive officer of community Community map repository modification No.

El Paso (FEMA Unincorporated The Honorable Mark Waller, Chairman, El El Paso County Building De- Sep. 11, 2019 ...... 080059 Docket No.: areas of El Paso Paso County Board of Commissioners, partment, 2880 International B–1948). County (18–08– 200 South Cascade Avenue, Suite 100, Circle, Colorado Springs, CO 1108P). Colorado Springs, CO 80903. 80910. Florida: Alachua (FEMA Unincorporated The Honorable Charles ‘‘Chuck’’ Chest- Alachua County Public Works Aug. 21, 2019 ...... 120001 Docket No.: areas of Alachua nut, IV, Chairman, Alachua County Department, 5620 Northwest B–1931). County (19–04– Board of Commissioners, 12 Southeast 120th Lane, Gainesville, FL 0622P). 1st Street, Gainesville, FL 32601. 32653. Monroe (FEMA City of Marathon The Honorable John Bartus, Mayor, City Planning Department, 9805 Aug. 22, 2019 ...... 120681 Docket No.: (19–04–2110P). of Marathon, 9805 Overseas Highway, Overseas Highway, Mara- B–1935). Marathon, FL 33050. thon, FL 33050. Monroe (FEMA Village of Islamorada The Honorable Deb Gillis, Mayor, Village Building Department, 86800 Aug. 15, 2019 ...... 120424 Docket No.: (19–04–1674P). of Islamorada, 86800 Overseas High- Overseas Highway, B–1931). way, Islamorada, FL 33036. Islamorada, FL 33036. Orange (FEMA City of Orlando (18– The Honorable Buddy W. Dyer, Mayor, Public Works Department, En- Aug. 27, 2019 ...... 120186 Docket No.: 04–5643P). City of Orlando, P.O. Box 4990, Or- gineering Division, 400 South B–1935). lando, FL 32802. Orange Avenue, 8th Floor, Orlando, FL 32801. Osceola (FEMA City of St. Cloud The Honorable Nathan Blackwell, Mayor, Building Department, 1300 9th Aug. 22, 2019 ...... 120191 Docket No.: (19–04–0673P). City of St. Cloud, 1300 9th Street, St. Street, St. Cloud, FL 34769. B–1939). Cloud, FL 34769. Osceola (FEMA Unincorporated The Honorable Cheryl Grieb, Chair, Osceola County Development Aug. 22, 2019 ...... 120189 Docket No.: areas of Osceola Osceola County Board of Commis- Review Department, 1 Court- B–1939). County (19–04– sioners, 1 Courthouse Square, Suite house Square, Suite 1400, 0673P). 4700, Kissimmee, FL 34741. Kissimmee, FL 34741. Montana: Fergus (FEMA City of Lewistown Ms. Holly Phelps, Manager, City of Planning/Community Develop- Aug. 26, 2019 ...... 300022 Docket No.: (18–08–1160P). Lewistown, 305 West Watson Street, ment Department, 305 West B–1935). Suite 3, Lewistown, MT 59457. Watson Street, Suite 3, Lewistown, MT 59457. Fergus (FEMA Unincorporated The Honorable Ross Butcher, Presiding Fergus County Planning De- Aug. 26, 2019 ...... 300019 Docket No.: areas of Fergus Officer/Commissioner, Fergus County partment, 712 West Main B–1935). County (18–08– Board of Commissioners, 712 West Street, Suite 101, Lewistown, 1160P). Main Street, Suite 210, Lewistown, MT MT 59457. 59457. Madison (FEMA Town of Ennis (18– The Honorable Blake Leavitt, Mayor, Town Hall, 328 West Main Aug. 16, 2019 ...... 300044 Docket No.: 08–1265P). Town of Ennis, P.O. Box 147, Ennis, Street, Ennis, MT 59729. B–1931). MT 59729. New Mexico: Taos (FEMA Town of Taos (18– The Honorable Daniel R. Barrone, Mayor, Department of Public Works, Sep. 6, 2019 ...... 350080 Docket No.: 06–3973P). Town of Taos, 400 Camino De La 400 Camino De La Placita, B–1948). Placita, Taos, NM 87571. Taos, NM 87571. Taos (FEMA Town of Taos (18– The Honorable Daniel R. Barrone, Mayor, Department of Public Works, Sep. 13, 2019 ...... 350080 Docket No.: 06–4061P). Town of Taos, 400 Camino De La 400 Camino De La Placita, B–1948). Placita, Taos, NM 87571. Taos, NM 87571. Taos (FEMA Unincorporated Mr. Brent Jaramillo, Manager, Taos Taos County Planning Depart- Aug. 30, 2019 ...... 350078 Docket No.: areas of Taos County, 105 Albright Street, Suite G, ment, 105 Albright Street, B–1939). County (19–06– Taos, NM 87571. Taos, NM 87571. 0621P). North Dakota: McHenry (FEMA City of Velva (18– The Honorable Jennifer Soli, Mayor, City City Hall, 101 1st Street West, Aug. 16, 2019 ...... 380051 Docket No.: 08–0850P). of Velva, P.O. Box 219, Velva, ND Velva, ND 58790. B–1935). 58790. McHenry (FEMA Township of Velva The Honorable James Hystad, Chairman, Township Hall, 4725 19th Ave- Aug. 16, 2019 ...... 380310 Docket No.: (18–08–0850P). Township of Velva, 1920 47th Street nue North, Velva, ND 58790. B–1935). North, Velva, ND 58790. Oklahoma: Muskogee Town of Porum (19– The Honorable Carl Warren, Chairman, City Hall, 105 South Arkansas Sep. 13, 2019 ...... 400127 (FEMA Dock- 06–1205P). Town of Porum Council, P.O. Box 180, Street, Porum, OK 74455. et No.: B– Porum, OK 74455. 1939). Muskogee Unincorporated The Honorable Ken Doke, Commissioner, Muskogee County Emergency Sep. 13, 2019 ...... 400491 (FEMA Dock- areas of District 1 Muskogee County, 3000 Management, Department, et No.: B– Muskogee County North Street, Muskogee, OK 74403. 3000 North Street, 1939). (19–06–1205P). Muskogee, OK 74403. South Carolina: City of Isle of Palms The Honorable Jimmy Carroll, Mayor, City Building and Planning Depart- Aug. 21, 2019 ...... 455416 Charleston (FEMA (19–04–1752P). of Isle of Palms, 1207 Palm Boulevard, ment, 1207 Palm Boulevard, Docket No.: B– Isle of Palms, SC 29451. Isle of Palms, SC 29451. 1931). Tennessee: Sumner City of Gallatin (18– The Honorable Paige Brown, Mayor, City Planning Department, 132 Sep. 6, 2019 ...... 470185 (FEMA Docket 04–7343P). of Gallatin, 132 West Main Street, Gal- West Main Street, Gallatin, No.: B–1939). latin, TN 37066. TN 37066. Texas: Bexar (FEMA City of San Antonio The Honorable Ron Nirenberg, Mayor, Transportation and Capitol Im- Sep. 3, 2019 ...... 480045 Docket No.: (18–06–2819P). City of San Antonio, P.O. Box 839966, provements Department, B–1948). San Antonio, TX 78283. Stormwater Division, 1901 South Alamo Street, 2nd Floor, San Antonio, TX 78204.

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Location and Date of Community State and county case No. Chief executive officer of community Community map repository modification No.

Bexar (FEMA City of San Antonio The Honorable Ron Nirenberg, Mayor, Transportation and Capitol Im- Sep. 9, 2019 ...... 480045 Docket No.: (18–06–2885P). City of San Antonio, P.O. Box 839966, provements Department, B–1948). San Antonio, TX 78283. Stormwater Division, 1901 South Alamo Street, 2nd Floor, San Antonio, TX 78204. Bexar (FEMA Unincorporated The Honorable Nelson W. Wolff, Bexar Bexar County Public Works Sep. 3, 2019 ...... 480035 Docket No.: areas of Bexar County Judge, 101 West Nueva Street, Department, 233 North B–1948). County (18–06– 10th Floor, San Antonio, TX 78205. Pecos-La Trinidad Street, 2819P). Suite 420, San Antonio, TX 78207. Collin (FEMA City of McKinney The Honorable George Fuller, Mayor, City Engineering Department, 221 Sep. 9, 2019 ...... 480135 Docket No.: (18–06–2399P). of McKinney, P.O. Box 517, McKinney, North Tennessee Street, B–1939). TX 75070. McKinney, TX 75069. Collin (FEMA City of Plano (18– The Honorable Harry LaRosiliere, Mayor, Engineering Department, 1520 Aug. 23, 2019 ...... 480140 Docket No.: 06–3629P). City of Plano 1520 K Avenue, Suite K Avenue, Suite 250, Plano, B–1935). 300, Plano, TX 75074. TX 75074. Collin (FEMA City of Plano (18– The Honorable Harry LaRosiliere, Mayor, Engineering Department, 1520 Aug. 30, 2019 ...... 480140 Docket No.: 06–3759P). City of Plano 1520 K Avenue, Suite K Avenue, Suite 250, Plano, B–1935). 300, Plano, TX 75074. TX 75074. Dallas (FEMA City of Rowlett (18– Mr. Brian Funderburk, Manager, City of Community Development De- Sep. 13, 2019 ...... 480185 Docket No.: 06–3684P). Rowlett, 4000 Main Street, Rowlett, TX partment, 3901 Main Street, B–1939). 75088. Rowlett, TX 75088. Denton (FEMA City of Fort Worth The Honorable Betsy Price, Mayor, City Transportation and Public Aug. 22, 2019 ...... 480596 Docket No.: (18–06–3549P). of Fort Worth, 200 Texas Street, Fort Works Department, 200 B–1931). Worth, TX 76102. Texas Street, Fort Worth, TX 76102. Denton (FEMA City of Roanoke The Honorable Carl ‘‘Scooter’’ Gierisch, City Hall, 500 South Oak Aug. 22, 2019 ...... 480785 Docket No.: (18–06–3549P). Jr., Mayor, City of Roanoke, 108 South Street, Roanoke, TX 76262. B–1931). Oak Street, Roanoke, TX 76262. Denton (FEMA Town of Northlake The Honorable Peter Dewing, Mayor, Public Works Department, Aug. 22, 2019 ...... 480782 Docket No.: (18–06–3549P). Town of Northlake, 1500 Commons Cir- 1400 FM 407, Northlake, TX B–1931). cle, Suite 300, Northlake, TX 76226. 76247. Denton (FEMA Town of Prosper The Honorable Ray Smith, Mayor, Town Engineering Services Depart- Aug. 22, 2019 ...... 480141 Docket No.: (19–06–0890X). of Prosper, P.O. Box 307, Prosper, TX ment, 409 East 1st Street, B–1931). 75078. Prosper, TX 75078. Kaufman (FEMA City of Forney (18– Mr. Tony Carson, Manager, City of Engineering Department, 101 Aug. 30, 2019 ...... 480410 Docket No.: 06–3890P). Forney, 101 East Main Street, Forney, East Main Street, Forney, TX B–1935). TX 75126. 75126. Smith (FEMA City of Tyler (19–06– The Honorable Martin Heines, Mayor, Development Center, 423 West Sep. 3, 2019 ...... 480571 Docket No.: 0647P). City of Tyler, P.O. Box 2039, Tyler, TX Ferguson Street, Tyler, TX B–1935). 75710. 75710. Tarrant (FEMA City of Fort Worth The Honorable Betsy Price, Mayor, City Transportation and Public Sep. 6, 2019 ...... 480596 Docket No.: (18–06–3936P). of Fort Worth, 200 Texas Street, Fort Works Department, 200 B–1948). Worth, TX 76102. Texas Street, Fort Worth, TX 76102. Tarrant (FEMA City of Grand Prairie The Honorable Ron Jensen, Mayor, City Development Center, 206 West Sep. 3, 2019 ...... 485472 Docket No.: (19–06–0321P). of Grand Prairie, P.O. Box 534045, Church Street, Grand Prairie, B–1935). Grand Prairie, TX 75053. TX 75050. Utah: Carbon (FEMA City of Price (18–08– The Honorable Michael Kourianos, Public Works Department, 432 Aug. 15, 2019 ...... 490036 Docket No.: 1056P). Mayor, City of Price, 185 East Main West 600 South, Price, UT B–1931). Street, Price, UT 84501. 84501.

[FR Doc. 2019–21755 Filed 10–4–19; 8:45 am] SUMMARY: The Department of Housing about the PRB and its members may BILLING CODE 9110–12–P and Urban Development announces the contact Heather R. Dieguez, Acting establishment of the Departmental Director, Office of Executive Resources, Performance Review Board (PRB) to Department of Housing and Urban DEPARTMENT OF HOUSING AND make recommendations to the Development, Washington, DC 20410. URBAN DEVELOPMENT appointing authority on the Telephone (202) 402–3380. (This is not performance and compensation of its a toll-free number). [Docket No. FR–6184–N–01] Senior Executive Service (SES), Senior SUPPLEMENTARY INFORMATION: The The Performance Review Board Level (SL) and Senior Technical (ST) professionals. following persons may be named to AGENCY: Office of the Secretary, HUD. serve on the PRB from 2019 to 2021. FOR FURTHER INFORMATION CONTACT: They are listed by type of appointment, ACTION: Notice of appointments. Persons desiring any further information name, and official title.

NAME OFFICIAL TITLE

CAREER SES AMMON, MATTHEW E ...... DIRECTOR, OFFICE OF HEALTHY HOMES AND LEAD HAZARD CONTROL. BALLARD, DANIEL L ...... DEPUTY ASSISTANT CFO FOR BUDGET. BASTARACHE, DANIELLE L ...... DAS, FOR PUBLIC HOUSING AND VOUCHER PROG. BENISON, JOHN P ...... DIRECTOR, OFFICE OF DEPARTMENTAL EEO. BETTS, SUSAN A ...... DEPUTY A/S FOR FINANCE AND BUDGET.

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NAME OFFICIAL TITLE

BLOM, DOMINIQUE G ...... GENERAL DEPUTY A/S FOR PIH. BOHLING, GAYLE E ...... DEPUTY GENERAL COUNSEL OPERATIONS. BOYD, JANICE L ...... DAS, FOR BUSINESS MGMT & ADMIN/CMO. BREGON, NELSON R ...... CHIEF ADMINISTRATIVE OFFICER. BROWN, AMY L ...... ASSOCIATE GENERAL CONSEL FOR INSURED HSG. BROWN, JEREON M ...... GENERAL DEPUTY ASSISTANT SECRETARY FOR PUBLIC AFFAIRS. BRYON, JEMINE A ...... DAS FOR SPECIAL NEEDS PROGRAMS. BURKE, PATRICIA M ...... DIR, OFFICE OF MULTIFAMILY PRODUCTION. CLEMMENSEN, CRAIG T ...... DIRECTOR, DEPARTMENTAL ENFORCEMENT CTR. COOKE JR, KEVIN R ...... PRINCIPAL DEPUTY, CIO. COOPER-JONES, BARBARA M .... SR VP, OFC OF ENTERPRISE DATA TECH SOLUTIONS. CORSIGLIA, NANCY E ...... DEPUTY CIO FOR BUSINESS & IT RESOURCES. CUMMINGS, ANTHONY W ...... ASSOCIATE GENERAL COUNSEL FOR ETHICS AND PERSONNEL LAW. DAUGHERTY, JOHN T ...... SENIOR VICE PRESIDENT, OFFICE OF SECURITIES OPERATIONS. DAVIS, THOMAS R ...... DIR, OFFICE OF RECAPITALIZATION. DRAYNE, MICHAEL R ...... SENIOR VICE PRESIDENT STRATEGIC PLANNING. ENZEL, DAVID H ...... DAS FOR ENFORCEMENT AND PROGRAMS. FERRY, SHYLON C ...... DIRECTOR FOR BUDGET AND FINANCIAL MGMT. FLEMING SCOTT, JIMMY ...... DEPUTY CHIEF PROCUREMENT OFFICER. FLOM, RONALD C ...... CHIEF PROCUREMENT OFFICER. FORERO, JAIME E ...... DAS FOR OPERATIONS AND MANAGEMENT. FORRESTER, ALTHEA M ...... ASSOCIATE GEN COUNSEL FOR ASST HSG & COMMUNITY DEV. FRECHETTE, HEIDI J ...... D/A SECRETARY FOR NATIVE AMERICAN PROGRAMS. GAITHER, FELICIA R ...... DAS, FOR FIELD OPERATIONS. GERECKE, SARAH L ...... DAS, FOR OFFICE OF HOUSING COUNSELING. GETCHIS, JOHN F ...... SR. V-PRESIDENT OFC OF CAPITAL MARKETS. GOLRICK, JANET A ...... SENIOR ADVISOR. GREENE, BRYAN ...... ASSOCIATE DEPUTY ASSISTANT SECRETARY FHEO. HADLEY, JOY L ...... DIR, OFFICE OF LENDER ACTIVITIES & PROGRAM COMPLIANCE. HALLIDAY, TOBIAS ...... DIR, OFC OF ASSET MGMT & PORTFOLIO OVERSIGHT. HIMES, IVERY W ...... DIR, OFC OF SINGLE-FAMILY ASSET MGT. HUNGATE, JOSEPH I ...... ASSISTANT CFO FOR SYSTEMS. JOHNSON, CALVIN C ...... DAS, FOR THE OFFICE OF RESEARCH, EVALUATION & MONITORING. KEITH, GREGORY A ...... SENIOR VICE PRESIDENT AND CHIEF RISK OFFICER. KORNEGAY, EMILY M ...... ASST CFO FOR BUDGET. KUBACKI, MELAJO K ...... ASSISTANT CHIEF FINANCIAL OFFICER FOR FINANCIAL MANAGEMENT. LITTLE, JEFFREY D ...... ASSOCIATE DAS, FOR MULTIFAMLY HSNG PROGRAMS. LOFINMAKIN, ADETOKUNBO ...... SENIOR VICE PRESIDENT & CHIEF FINANCIAL. LUKOFF, ROGER M ...... DAS, FOR HEALTHCARE PROGRAMS. MATTHEWS, MONICA M P ...... CHIEF HUMAN CAPITAL OFFICER. MICHALSKI, LORI A ...... DEPUTY ASSISTANT SECRETARY FOR OPERATIONS. MILLS, KRISTA ...... DAS, OFC OF POLICY, LEGISLATIVE INITIATIVES. MORRIS, VANCE T ...... ASSOCIATE GENERAL DAS, FOR HOUSING. MULDERIG, ROBERT E ...... ASSOCIATE DAS, FOR SINGLE-FAMILY HOUSING. NARODE, DANA M ...... ASSOCIATE GEN COUNSEL FOR PROGRAM ENFORCEMENT. NIGAM, NITA ...... ASSISTANT CFO FOR ACCOUNTING. PAO, JEAN LIN ...... DIRECTOR, OFFICE OF SMALL AND DISADVANTAGED BUSINESS UTILIZATION. POTTS, MILLICENT B ...... DEPUTY GENERAL COUNSEL FOR HOUSING. PRESTON, TAWANNA ...... SR VP OF ADMIN & SR. ADV TO OFC OF THE PRESIDENT. PURIFOY, FELICIA A ...... DIRECTOR, OFFICE OF HUMAN CAPITAL SERVICES. RICHARDSON, TODD M ...... GDAS FOR POLICY DEVELOPMENT & RESEARCH. SARDONE, VIRGINIA M ...... DIRECTOR OFFICE OF AFFORDABLE HOUSING. SARGEANT, JUAN C ...... DEPUTY CIO FOR INFRASTRUCTURE & OPERAT. SAUNDERS, ELISSA O ...... DIR, OFC OF SINGLE-FAMILY PROGRAMS DEV. SCOTT, PAUL A ...... BUSINESS CHANGE & INTEGRATION OFFICER. SIMPSON, KEVIN M ...... ASSOCIATE GEN COUNSEL FOR FINANCE AND ADMINISTRATIVE LAW. SMYTH, TIMOTHY M ...... ASSOCIATE ASST DEPUTY SECRETARY FOR FPM. TOMCHICK, GEORGE J ...... DEPUTY CHIEF FINANCIAL OFFICER. USOWSKI, KURT G ...... DEP A/S FOR ECONOMIC AFFAIRS. VARGAS, DAVID A ...... ASSOCIATE DEP ASST SEC FOR REAL ESTATE ASSMT CTR. WORDEN, JEANINE M ...... ASSOCIATE GEN COUNSEL FOR FAIR HOUSING. WRIGHT, SHEILA D ...... CHIEF LEARNING OFFICER. NON-CAREER SES BAKER JR, JOHN C ...... DEPUTY CHIEF OF STAFF. BECKER, KEITH N ...... DAS, FOR RISK MANAGEMENT AND REGULATORY AFFAIRS. BOBBITT, JOHN N ...... DEPUTY ASSISTANT SECRETARY FOR OPERATIONS. BOWES, ROBERT B ...... SENIOR ADVISOR. BRAVACOS, JOHN G ...... GDAS FOR COMMUNITY PLANNING & DEVELOPMENT. BROWN, CHRISTINA M ...... DIRECTOR OF REGULATORY REFORM. BUNTYN, JAMES A ...... SENIOR ADVISOR (CYBER SECURITY AND RISK MANAGEMENT). CHOW, DAVID C ...... CHIEF INFORMATION OFFICER. CLEVELAND LEGGETT, DENISE REGIONAL ADMINISTRATOR (ATLANTA). COWAN JR, CHARLES D ...... PRINCIPAL DAS FOR ADMINISTRATION.

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NAME OFFICIAL TITLE

DEFELICE, JOSEPH J ...... REGIONAL ADMINISTRATOR (PHILADELPHIA). DEMARZO, BENJAMIN E ...... ASST DEPUTY SECRETARY FOR FPM. GORMLEY, JOSEPH M ...... CHIEF OF STAFF TO THE DEPUTY SECRETARY. GRASSI III, JOSEPH J ...... PRINCIPAL DEPUTY GENERAL COUNSEL. HUFF, DANIEL ...... GDAS FOR FHEO. HUGHES, ANDREW D ...... CHIEF OF STAFF. KASPER, MAREN M ...... EXECUTIVE VICE PRESIDENT (POLICY). KELLEY, MICHAEL J ...... GDAS FOR CONG & INTERGOVERNMENTAL RELATIONS. PATTON, LYNNE M ...... REGIONAL ADMINISTRATOR (NEW YORK). PETTY, TIMOTHY J ...... DEPUTY GENERAL COUNSEL FOR ENFORCEMENT. ROGET, GISELE G ...... DAS FOR SINGLE-FAMILY. SEATS, CHRISTOPHER L ...... DAS FOR MULTIFAMILY HOUSING. TURNER, ERIC S ...... SENIOR ADVISOR. WOLL JR, DAVID C ...... PRINCIPAL DAS, FOR CPD. SES LIMITED ALLEN, MICHAEL T ...... SENIOR ADVISOR FOR TRANSFORMATION. GARVIN, JOHN L ...... SR ADVISOR FOR ORGANIZATION, TRANSFORMATION AND MODERNIZATION. OPPENHEIMER, DROR ...... SR ADVISOR FOR RESOURCE MANAGEMENT.

Dated: October 1, 2019. than 30 days after the publication of this the Environmental Protection Agency Benjamin S. Carson, Sr., notice of availability in the Federal (EPA) is publishing a notice announcing Secretary. Register. the EIS, as required under the Clean Air [FR Doc. 2019–21838 Filed 10–4–19; 8:45 am] ADDRESSES: Electronic copies of the Act, section 309 (42 U.S.C. 7609; see BILLING CODE 4210–67–P documents this notice announces will EPA’s Role in the EIS Process below). be available online in Docket No. FWS– Proposed Action R3–ES–2018–0037 at http:// DEPARTMENT OF THE INTERIOR www.regulations.gov. Our proposed action is to issue an ITP Paper copies will be available at 22 to the applicant under section Fish and Wildlife Service county libraries in Iowa. Additional 10(a)(1)(B) of the ESA, (16 U.S.C. [Docket No. FWS–R3–ES–2018–0037; electronic copies of the documents as 1539(a)(1)(B)), that authorizes incidental FXES11130300000–189–FF03E00000] well as the list of libraries with paper take of the federally endangered Indiana copies will be available at https:// bat, federally threatened northern long- Final Environmental Impact Statement www.fws.gov/midwest/rockisland/te/ eared bat, and federally protected bald on MidAmerican Energy Company’s MidAmericanHCP.html. eagle, as well as the little brown bat and Habitat Conservation Plan for FOR FURTHER INFORMATION CONTACT: tricolored bat, from the applicant’s Midwestern Bat and Bird Species in maintenance and operation of its wind Iowa Amber Schorg, Fish and Wildlife Biologist, or Kraig McPeek, Illinois-Iowa power generation facilities in Iowa. Little brown bat and tricolored bat are AGENCY: Fish and Wildlife Service, Ecological Services Office Project Interior. Leader, Illinois-Iowa Field Office, by not federally protected, but they are currently being evaluated for protection. ACTION: Notice of availability; request U.S. mail at 1511 47th Ave., Moline, IL 61265, or by phone at 309–757–5800. Additionally, 50 CFR 22.11 provides for for comments. the permitting of eagles under ESA SUPPLEMENTARY INFORMATION: We, the permits. The applicant has chosen to SUMMARY: In accordance with the U.S. Fish and Wildlife Service (Service), include these as covered species and Endangered Species Act, as amended, announce the availability of several treated them as if they were ESA listed. and the National Environmental Policy documents related to an incidental take Act, we, the U.S. Fish and Wildlife permit application under the MidAmerican Energy Company is one Service, announce the availability of the Endangered Species Act of 1973, as of the largest electric utilities in Iowa, final environmental impact statement amended (ESA; 16 U.S.C. 1531 et seq.). and operates over 22 projects with more and draft record of decision analyzing The final environmental impact than 4,040 MW of installed energy the impacts of issuance of an incidental statement (EIS) and draft record of generation capacity. MidAmerican take permit (ITP) for implementation of decision (ROD) were developed in Energy Company’s ability to serve its the MidAmerican Energy Company’s compliance with the agency decision- customers depends on the predictable Final Habitat Conservation Plan making requirements of the National operation and maintenance of its wind MidAmerican Energy Company Iowa Environmental Policy Act (NEPA; 42 power facilities. The plan area for the Wind Energy Project Portfolio (HCP). U.S.C. 4321 et seq.), and are based on HCP includes areas where authorized Our decision is to issue a 30-year ITP for the habitat conservation plan as incidental take would occur and implementation of the HCP, which submitted by MidAmerican Energy conservation measures would take authorizes incidental take of the Company (applicant). We described, place, covering all of Iowa. The federally endangered Indiana bat, fully evaluated, and analyzed all seven applicant requested a term of 30 years federally threatened northern long-eared alternatives in detail in our 2019 final from the date of ITP issuance to include bat, federally protected bald eagle, the EIS. The draft ROD documents the the operational life of the covered little brown bat, and tricolored bat rationale for our decision. The final projects. The applicant will implement under the Endangered Species Act. ROD will be available on the Service minimization and mitigation measures DATES: We will finalize the record of website no sooner than 31 days after to offset impacts to the covered species decision and issue a permit no sooner this notice. In addition to this notice, according to the HCP.

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The applicant has agreed to include Section 9 of the ESA and its ITP would be based on the commitment the following minimization measures: implementing regulations prohibit the by MidAmerican Energy Company to • Feathering turbine blades at all ‘‘take’’ of animal species listed as fully implement the HCP, including projects below manufacturer’s cut-in endangered or threatened. (16 U.S.C. minimization and mitigation measures, speeds at night for the entire active 1538) Take is defined under the ESA as monitoring and adaptive management, season for bats. Feathering below cut-in to ‘‘harass, harm, pursue, hunt, shoot, and to fully comply with all terms and speeds is a way of minimizing the wound, kill, trap, capture, or collect conditions in the ITP. rotational speed of turbine blades when listed animal species, or to attempt to A final ITP decision will be made no not producing energy. engage in such conduct’’(16 U.S.C. sooner than 30 days after the • Minimizing the rotational speed of 1532(19)). Under section 10(a)(1)(B) of publication of this notice of availability turbine blades until wind speeds reach the ESA, the Service may issue permits and completion of the record of 5.0 meters per second when to authorize incidental take of listed decision. temperatures are above 50 degrees species. Incidental take is defined by EPA’s Role in the EIS Process Fahrenheit from mid-July through the ESA as take that is incidental to, and September at four facilities with the not the purpose of, carrying out an In addition to this notice, EPA is highest risk to covered bat species. otherwise lawful activity. publishing a notice in the Federal • Removing carrion and increasing Section 10(a)(1)(B) of the ESA Register announcing final EIS for landowner education efforts to reduce contains provisions for issuing MidAmerican Energy Company’s Iowa attractants to bald eagles. incidental take permits to non-Federal Wind Energy Project Portfolio Habitat • Carrying out a fatality monitoring entities for the incidental take of Conservation Plan, as required under and adaptive management program to endangered and threatened species, the Clean Air Act, section 309. The EPA adjust conservation measures if needed provided the following criteria are met: is charged with reviewing all Federal to ensure compliance with the ITP and (a) The taking will be incidental; (b) the agencies’ EISs and commenting on the HCP. applicant will minimize and mitigate, to adequacy and acceptability of the The mitigation measures include the the maximum extent practicable, the environmental impacts of proposed following commitments: impact of such taking; (c) the applicant actions in EISs. • Protecting and restoring a minimum will develop an HCP and ensure that The EPA also serves as the repository of 1,309 acres of bat habitat and 42 adequate funding for the plan will be (EIS database) for EISs that Federal artificial structures for bat use. provided; (d) the taking will not agencies prepare. All EISs must be filed • Protecting and restoring additional appreciably reduce the likelihood of the with EPA, which publishes a notice of bat habitat up to a total of 3,200 acres, survival and recovery of the species in availability on Fridays in the Federal and 50 artificial structures, if needed, to the wild; and (e) the applicant will carry Register. For more information, see compensate for projected future take out any other measures that the https://www.epa.gov/nepa. You may based on the monitoring program Secretary of the Interior may require as search for EPA comments on EISs, along results. being necessary or appropriate for the with EISs themselves, at https:// • Providing funding to manage and purposes of the HCP. An applicant may cdxnodengn.epa.gov/cdx-enepa-public/ monitor all mitigation lands. choose to cover non-listed species in the action/eis/search. • Providing funding for conservation HCP, and these species will be treated activities to immediately benefit bald as ESA-listed species. Authority eagles to mitigate for take of bald eagles. On August 31, 2018, we published a We provide this notice under section • Providing mitigation funding in Federal Register notice announcing the 10(c) of the ESA (16 U.S.C.1539(c)) and advance of take so that mitigation availability for public review of a draft its implementing regulations (50 CFR implementation stays ahead of impacts EIS and requested public comment on 17.22) and the NEPA (42 U.S.C. 4321 et to covered species. our evaluation of the potential impacts seq.) and its implementing regulations Background associated with issuance of an ITP for (40 CFR 1506.6; 43 CFR part 46). implementation of the HCP and to The applicant has applied for an ITP evaluate alternatives (83 FR 44652). In Lori Nordstrom, under the ESA that would authorize September and October 2018, we held Acting Regional Director. incidental take of four bat species and two public hearings on the draft [FR Doc. 2019–21547 Filed 10–3–19; 11:15 am] bald eagles and would be in effect for a document, one in Ankeny, Iowa, and BILLING CODE 4333–15–P period of 30 years. The proposed one via online web conference. The incidental take of bats and eagles would public comment period closed on occur from lawful, non-Federal October 15, 2018. We received 93 DEPARTMENT OF THE INTERIOR activities from the applicant’s operation comments in total: 87 through Fish and Wildlife Service of existing wind energy generation regulations.gov, 5 comments via email, facilities within the permit area. The 2 comments during the in-person public [FWS–R8–ES–2019–N136; HCP permit area includes lands used for hearing, and 1 through the U.S. mail. FXES11130800000–178–FF08E00000] operations of 22 projects in Iowa where The final EIS provides responses to Endangered and Threatened Species; the applicant has existing wind power those comments in Appendix E. facilities. The plan area includes the Receipt of Recovery Permit permit area, and also the rest of Iowa, Decision Applications to include all areas that may be We intend to issue a final ROD with AGENCY: Fish and Wildlife Service, influenced by the HCP, including respect to whether we issue an ITP Interior. mitigation activities. The final EIS allowing the applicants to implement ACTION: Notice of receipt of permit considers the direct, indirect, and the Iowa Wind Energy Project Portfolio applications; request for comments. cumulative effects of implementing the Habitat Conservation Plan. Our decision HCP, including measures to minimize will be based on a thorough review of SUMMARY: We, the U.S. Fish and and mitigate such impacts to the the alternatives and their environmental Wildlife Service, have received maximum extent practicable. consequences. A decision to issue an applications for permits to conduct

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activities intended to enhance the 9440, via email at [email protected], propagation or survival of the species. propagation or survival of endangered or via the Federal Relay Service at 1– These activities often include such or threatened species under the 800–877–8339 for TTY assistance. prohibited actions as capture and Endangered Species Act. We invite the SUPPLEMENTARY INFORMATION: We, the collection. Our regulations public and local, State, Tribal, and U.S. Fish and Wildlife Service, invite implementing section 10(a)(1)(A) for Federal agencies to comment on these the public to comment on applications these permits are found in the Code of applications. Before issuing any of the for permits under section 10(a)(1)(A) of Federal Regulations at 50 CFR 17.22 for requested permits, we will take into the Endangered Species Act, as endangered wildlife species, 50 CFR consideration any information that we amended (ESA; 16 U.S.C. 1531 et seq.). 17.32 for threatened wildlife species, 50 receive during the public comment The requested permits would allow the CFR 17.62 for endangered plant species, period. applicants to conduct activities and 50 CFR 17.72 for threatened plant DATES: We must receive your written intended to promote recovery of species species. comments on or before November 6, that are listed as endangered or 2019. threatened under the ESA. Permit Applications Available for Review and Comment ADDRESSES: Document availability and Background comment submission: Submit requests Proposed activities in the following With some exceptions, the ESA for copies of the applications and permit requests are for the recovery and prohibits activities that constitute take related documents and submit any enhancement of propagation or survival of listed species unless a Federal permit comments by one of the following of the species in the wild. The ESA methods. All requests and comments is issued that allows such activity. The requires that we invite public comment should specify the applicant name(s) ESA’s definition of ‘‘take’’ includes such before issuing these permits. and application number(s) (e.g., activities as pursuing, harassing, TEXXXXXX). trapping, capturing, or collecting in Accordingly, we invite local, State, • Email: [email protected]. addition to hunting, shooting, harming, Tribal, and Federal agencies and the • U.S. Mail: Daniel Marquez, wounding, or killing. public to submit written data, views, or Endangered Species Program Manager, A recovery permit issued by us under arguments with respect to these U.S. Fish and Wildlife Service, 2800 section 10(a)(1)(A) of the ESA applications. The comments and Cottage Way, Room W–2606, authorizes the permittee to conduct recommendations that will be most Sacramento, CA 95825. activities with endangered or threatened useful and likely to influence agency FOR FURTHER INFORMATION CONTACT: species for scientific purposes that decisions are those supported by Daniel Marquez, via phone at 760–431– promote recovery or for enhancement of quantitative information or studies.

Application No. Applicant, city, state Species Location Activity Type of take Permit action

TE–062907 .... Andrew Forde, Camarillo, • Southwestern willow CA ...... Nest moni- Nest moni- Amend. California. flycatcher (Empidonax toring. toring. traillii extimus). TE–55035D .... Adam Crawford, Sharon, • California tiger sala- CA ...... Survey ...... Survey, cap- New. Massachusetts. mander (Santa Barbara ture, han- County and Sonoma dle, and re- County Distinct Population lease. Segments (DPSs)) (Ambystoma californiense). TE–813545 .... Brock Ortega, Poway, Cali- • Southwestern willow CA ...... Survey ...... Survey, cap- Renew and fornia. flycatcher (Empidonax ture, han- amend. traillii extimus). dle, release, • Quino checkerspot but- and collect terfly (Euphydryas editha vouchers. quino). • Casey’s June Beetle (Dinacoma caseyi). • Conservancy fairy shrimp (Branchinecta conservatio). • Longhorn fairy shrimp (Branchinecta longiantenna). • San Diego fairy shrimp (Branchinecta sandiegonensis). • Riverside fairy shrimp (Streptocephalus woottoni). • Vernal pool tadpole shrimp (Lepidurus packardi). TE–55068D .... Allie Sennett, Sacramento, • California tiger sala- CA ...... Survey ...... Survey, cap- New. California. mander (Santa Barbara ture, han- County and Sonoma dle, and re- County Distinct Population lease. Segments (DPSs)) (Ambystoma californiense).

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Application No. Applicant, city, state Species Location Activity Type of take Permit action

TE–25164A .... Catherine Little, Davis, Cali- • California tiger sala- CA ...... Survey ...... Survey, cap- Renew and fornia. mander (Santa Barbara ture, han- amend. County and Sonoma dle, release, County Distinct Population and collect Segments (DPSs)) vouchers. (Ambystoma californiense). • Conservancy fairy shrimp (Branchinecta conservatio). • Longhorn fairy shrimp (Branchinecta longiantenna). • San Diego fairy shrimp (Branchinecta sandiegonensis). • Riverside fairy shrimp (Streptocephalus woottoni). • Vernal pool tadpole shrimp (Lepidurus packardi). TE–038701 .... Bonnie Peterson, Lakeside, • Southwestern willow CA ...... Survey and Survey, pur- Renew. California. flycatcher (Empidonax band. sue, cap- traillii extimus). ture, han- • Quino checkerspot but- dle, band, terfly (Euphydryas editha and release. quino). • Light-footed clapper rail (light-footed Ridgway’s r.) (Rallus longirostris levipes) (R. obsoletus l.). TE–55135D .... Adam Lockyer, Fallbrook, • Southwestern willow CA, NV, AZ ... Survey ...... Survey ...... New. California. flycatcher (Empidonax traillii extimus). TE–049461 .... Jaymee Marty, Sacramento, • California tiger sala- CA ...... Survey ...... Survey, cap- Renew. California. mander (Santa Barbara ture, han- County and Sonoma dle, release, County Distinct Population and collect Segments (DPSs)) vouchers. (Ambystoma californiense). • Conservancy fairy shrimp (Branchinecta conservatio). • Longhorn fairy shrimp (Branchinecta longiantenna). • San Diego fairy shrimp (Branchinecta sandiegonensis). • Riverside fairy shrimp (Streptocephalus woottoni). • Vernal pool tadpole shrimp (Lepidurus packardi). TE–94998A .... Leonard Liu, Oakland, Cali- • Salt marsh harvest mouse CA ...... Survey ...... Survey, cap- Amend. fornia. (Reithrodontomys ture, han- raviventris). dle, and re- lease. TE–92462A .... Ryan Quilley, San Diego, • Quino checkerspot but- CA ...... Survey ...... Pursue ...... Renew and California. terfly (Euphydryas editha amend. quino). TE–55171D .... Matthew Schliebe, San • Conservancy fairy shrimp CA ...... Survey ...... Survey, cap- New. Diego, California. (Branchinecta conservatio). ture, han- • Longhorn fairy shrimp dle, release, (Branchinecta and collect longiantenna). vouchers. • San Diego fairy shrimp (Branchinecta sandiegonensis). • Riverside fairy shrimp (Streptocephalus woottoni). • Vernal pool tadpole shrimp (Lepidurus packardi).

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Public Availability of Comments activities intended to enhance the and our regulations in the Code of Written comments we receive become propagation or survival of endangered Federal Regulations (CFR) at 50 CFR part of the administrative record species under the Endangered Species part 17. With some exceptions, the ESA associated with this action. Before Act of 1973, as amended. We invite the prohibits activities that constitute take including your address, phone number, public and local, State, Tribal, and of listed species unless a Federal permit email address, or other personal Federal agencies to comment on these is issued that allows such activities. The identifying information in your applications. Before issuing any of the ESA’s definition of ‘‘take’’ includes comment, you should be aware that requested permits, we will take into hunting, shooting, harming, wounding, your entire comment—including your consideration any information that we or killing, and also such activities as personal identifying information—may receive during the public comment pursuing, harassing, trapping, capturing, be made publicly available at any time. period. or collecting. While you can request in your comment DATES: We must receive written data or A recovery permit issued by us under that we withhold your personal comments on the applications by section 10(a)(1)(A) of the ESA identifying information from public November 6, 2019. authorizes the permittee to conduct activities with endangered or threatened review, we cannot guarantee that we ADDRESSES: Reviewing Documents: species for scientific purposes that will be able to do so. All submissions Documents and other information from organizations or businesses, and promote recovery or for enhancement of submitted with the applications are propagation or survival of the species. from individuals identifying themselves available for review, subject to the as representatives or officials of These activities often include such requirements of the Privacy Act and prohibited actions as capture and organizations or businesses, will be Freedom of Information Act. Submit a made available for public disclosure in collection. Our regulations request for a copy of such documents to implementing section 10(a)(1)(A) for their entirety. FOR FURTHER Karen Marlowe (see these permits are found at 50 CFR 17.22 Next Steps INFORMATION CONTACT). for endangered wildlife species, 50 CFR Submitting Comments: If you wish to 17.32 for threatened wildlife species, 50 If we decide to issue permits to any comment, you may submit comments by of the applicants listed in this notice, CFR 17.62 for endangered plant species, one of the following methods: and 50 CFR 17.72 for threatened plant we will publish a notice in the Federal • U.S. mail or hand-delivery: U.S. species. Register. Fish and Wildlife Service Regional Authority Office, Ecological Services, 1875 Permit Applications Available for Century Boulevard, Atlanta, GA 30345 Review and Comment We publish this notice under section (Attn: Karen Marlowe, Permit 10(c) of the Endangered Species Act of Proposed activities in the following Coordinator). 1973, as amended (16 U.S.C. 1531 et permit requests are for the recovery and • Email: [email protected]. seq.). enhancement of propagation or survival Please include your name and return of the species in the wild. The ESA Peter Erickson, address in your email message. If you do requires that we invite public comment Acting Chief of Ecological Services, Pacific not receive a confirmation from the U.S. before issuing these permits. Southwest Region, Sacramento, California. Fish and Wildlife Service that we have Accordingly, we invite local, State, [FR Doc. 2019–21816 Filed 10–4–19; 8:45 am] received your email message, contact us Tribal, and Federal agencies and the BILLING CODE 4333–15–P directly at the telephone number listed public to submit written data, views, or in FOR FURTHER INFORMATION CONTACT. arguments with respect to these FOR FURTHER INFORMATION CONTACT: applications. The comments and DEPARTMENT OF THE INTERIOR Karen Marlowe, Permit Coordinator, recommendations that will be most 404–679–7097 (telephone), karen_ Fish and Wildlife Service useful and likely to influence agency [email protected] (email), or 404–679– decisions are those supported by [FWS–R4–ES–2019–N139; 7081 (fax). Individuals who are hearing quantitative information or studies. FXES11140400000–190–FF04E00000] or speech impaired may call the Federal Before including your address, phone Relay Service at 1–800–877–8339 for number, email address, or other Endangered Species; Recovery Permit TTY assistance. personal identifying information in your Applications SUPPLEMENTARY INFORMATION: We invite comment, you should be aware that AGENCY: Fish and Wildlife Service, review and comment from local, State, your entire comment—including your Interior. and Federal agencies and the public on personal identifying information—may ACTION: Notice of receipt of permit applications we have received for be made publicly available at any time. applications; request for comments. permits to conduct certain activities While you can ask us in your comment with endangered and threatened species to withhold your personal identifying SUMMARY: We, the U.S. Fish and under section 10(a)(1)(A) of the information from public review, we Wildlife Service, have received Endangered Species Act of 1973, as cannot guarantee that we will be able to applications for permits to conduct amended (ESA; 16 U.S.C. 1531 et seq.), do so.

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Permit applica- Permit tion No. Applicant Species/numbers Location Activity Type of take action

TE98596B–1 ...... Sarah Veselka, Fair- Dwarf wedgemussel Alabama, Arkansas, Presence/absence sur- Capture, handle, iden- Amendment. mont, WV. (Alasmidonta heterodon), Connecticut, Dela- veys. tify, tag, and release. Purple cat’s paw ware, Illinois, Indi- (Epioblasma obliquata ana, Iowa, Kansas, obliquata), white cat’s Kentucky, Louisiana, paw (Epioblasma Massachusetts, obliquata perobliqua), Maryland, Michigan, cracking pearlymussel Minnesota, Mis- (Hemistena lata), ring sissippi, Missouri, pink (Obovaria retusa), New York, North James spinymussel Carolina, New (Pleurobema collina), Hampshire, New Jer- orangefoot pimpleback sey, Ohio, Okla- (Plethobasus homa, Pennsylvania, cooperianus), and rough Tennessee, pigtoe (Pleurobema ple- Vermont, Virginia, num). West Virginia, and Wisconsin. TE 50089D–0 .... Eneilis Mulero Puerto Rican boa Puerto Rico and U.S. Spatial analysis of Capture, handle, swab, New. Oliveras, (Epicrates inornatus), Vir- Virgin Islands. Snake fungal dis- PIT-tag, scale-clip, Canovanas, PR. gin Islands tree boa ease. and release. (Epicrates monensis granti), and Mona boa (Epicrates monensis monensis). TE064856–4 ...... Trent Farris, Gulf Alabama beach mouse Alabama and Florida .. Presence/absence sur- Trap, mark, examine, Renewal. Shores, AL. (Peromyscus polionotus veys. and release. ammobates), Perdido Key beach mouse (Peromyscus polionotus trissyllepsis), Choctawatchee beach mouse (Peromyscus polionotus allophrys), and St. Andrew beach mouse (Peromyscus polionotus peninsularis). TE34882A–2 ...... Mark Bailey, Anda- Red-cockaded woodpecker Alabama, Florida, Presence/absence sur- Red-cockaded wood- Renewal lusia, AL. (Picoides borealis), black Georgia, Mississippi, veys and population pecker (construct and pine snake (Pituophis North Carolina, and monitoring. and monitor artificial Amend- melanoleucus lodingi), South Carolina. roost cavities and ment. eastern indigo snake restrictors); gopher (Drymarchon corais tortoise (scope bur- couperi), flattened musk rows, trap, handle, turtle (Sternotherus mark, collect blood); depressus), gopher tor- black pine snake toise (Gopherus (capture, handle, polyphemus), frosted mark, PIT-tag, radio- flatwoods salamander tag, and release); all (Ambystoma cingulatum), others (capture, han- Red Hills salamander dle, identify, and re- (Phaeognathus hubrichti), lease). Black Warrior waterdog (Necturus alabamensis), and dusky gopher frog (Rana sevosa). TE35313B–4 ...... Emma Willcox, Univer- Gray bat (Myotis Alabama, Arkansas, Research on ecology Enter hibernacula or Renewal. sity of Tennessee, grisescens), northern Georgia, Illinois, Indi- and behavior, habitat maternity roost Knoxville, TN. long-eared bat (Myotis ana, Kansas, Ken- management, and caves, capture with septentrionalis), and Indi- tucky, Louisiana, response to white- mist nets or harp ana bat (Myotis sodalis). Mississippi, Missouri, nose syndrome. nets, handle, iden- North Carolina, Okla- tify, collect hair and homa, South Caro- blood samples, lina, Tennessee, Vir- band, radio tag, PIT- ginia, and West Vir- tag, light-tag, swab, ginia. fungal lift-tape, wing- punch, and release.

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Permit applica- Permit tion No. Applicant Species/numbers Location Activity Type of take action

TE52113D–0 ...... Devin Bingham, Irmo, Gray bat (Myotis Alabama, Arkansas, Presence/absence sur- Capture with mist nets New. SC. grisescens), northern Connecticut, Dela- veys. or harp nets, band, long-eared bat (Myotis ware, District of Co- radio-tag, and re- septentrionalis), and Indi- lumbia, Florida, lease. ana bat (Myotis sodalis). Georgia, Illinois, Indi- ana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, New Hampshire, New Jersey, New York, North Carolina, North Dakota, Ohio, Oklahoma, Pennsyl- vania, Rhode Island, South Carolina, South Dakota, Ten- nessee, Vermont, Virginia, West Vir- ginia, Wisconsin, and Wyoming. TE78650B–1 ...... Cassie Schmidt, Fay- American burying beetle Arkansas, Kansas, Presence/absence sur- Live-trap and release .. Renewal. etteville, AR. (Nicrophorus americanus). Missouri, and Okla- veys. homa. TE18986C–2 ...... North Carolina Zoolog- Virgin Islands tree boa Puerto Rico ...... Captive propagation Remove from the wild, Amendment. ical Park, Asheboro, (Epicrates monensis and reintroduction, handle, PIT-tag, col- NC. granti). maintenance of a lect blood and tissue satellite population in samples, radio-tag, captivity, genetic and salvage. analyses and dis- ease screenings, and habitat use stud- ies. TE834070–3 ...... Point Defiance Zoo, Red wolf (Canis rufus) ...... Tacoma, WA ...... Irritable bowel syn- Anesthetize, collect Amendment. Tacoma, WA. drome study. blood, and collect stomach and duode- num samples via en- doscopy. TE011542–1 ...... Conservation Fish- Roanoke logperch (Percina North Carolina and Captive propagation Collect up to 24 brood Amendment. eries, Inc., Knoxville, rex). Tennessee. and reintroduction. stock each year for 3 TN. years to produce progeny for reintro- duction in the Dan River, North Carolina. TE016270–10 .... U.S. Army, Fort Red-cockaded woodpecker Alabama, Florida, Population manage- Capture, band, con- Renewal. Benning, GA. (Picoides borealis). Georgia, and Mis- ment and monitoring. struct and monitor sissippi. artificial nest cavities and restrictors, and translocate. TE53898D–0 ...... U.S. Department of Harrisia portoricensis (higo Cabo Rojo National Germplasm conserva- Collect seeds, seed- New. Agriculture, Animal chumbo) and Wildlife Refuge tion and collection of lings, flowers, and and Plant Health In- Leptocereus grantianus (NWR), Culebra Is- voucher specimens. plant parts. spection Service, (no common name). land NWR, San Juan, PR. Desecheo Island NWR, and Vieques Island NWR, Puerto Rico..

Authority DEPARTMENT OF THE INTERIOR National Environmental Policy Act of 1969 (NEPA), the Deepwater Horizon We publish this notice under section [FWS–R4–ES–2019–N127; FVHC98220410150–XXX–FF04H00000] Oil Spill Final Programmatic Damage 10(c) of the Endangered Species Act of Assessment and Restoration Plan and 1973, as amended (16 U.S.C. 1531 et Deepwater Horizon Oil Spill Florida Final Programmatic Environmental seq.). Trustee Implementation Group Phase Impact Statement (Final PDARP/PEIS), Franklin Arnold, V.3 Florida Coastal Access Project: and the resulting Consent Decree, the Final Restoration Plan and Deputy Assistant Regional Director, Federal and State natural resource Ecological Services, Southeast Region. Supplemental Environmental trustee agencies for the Florida Trustee Assessment [FR Doc. 2019–21783 Filed 10–4–19; 8:45 am] Implementation Group (Florida TIG) have approved the Final Phase V.3 BILLING CODE 4333–15–P AGENCY: Department of the Interior. Restoration Plan and Supplemental ACTION: Notice of availability. Environmental Assessment (Final Phase SUMMARY: In accordance with the Oil V.3 RP/SEA) and Finding of No Pollution Act of 1990 (OPA), the Significant Impact (FONSI). The Final

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Phase V.3 RP/SEA supplements two restoration funds as specified in the injured natural resources under their previous documents, the 2016 Final early restoration plans and in trusteeship, including the loss of use Phase V Early Restoration Plan and accordance with the Consent Decree. and services from those resources from Environmental Assessment (Final Phase The Trustees have determined that the time of injury until the time of V ERP/EA) and the 2018 Final Phase V.2 decisions concerning any unexpended restoration to baseline (the resource Restoration Plan and Supplemental early restoration funds are to be made quality and conditions that would exist Environmental Assessment (Final Phase by the appropriate TIG, in this case the if the spill had not occurred) is V.2 RP/SEA). In the Final Phase V.3 RP/ Florida TIG. complete. SEA, the FL TIG selects for funding the A notice of availability of the Draft The Deepwater Horizon Trustees are: third phase of the Florida Coastal Phase V.3 Restoration Plan and • U.S. Department of the Interior Access Project, which is intended to Supplemental Environmental (DOI), as represented by the National continue the process of restoring natural Assessment was published in the Park Service, U.S. Fish and Wildlife resources and services injured or lost as Federal Register on June 21, 2019 (84 Service, and Bureau of Land a result of the Deepwater Horizon oil FR 29231). The public was provided Management; spill. The purpose of this notice is to with a period to review and comment • National Oceanic and Atmospheric inform the public of the availability of on the Draft Restoration Plan, from June Administration (NOAA), on behalf of the Final Phase V.3 RP/SEA and FONSI. 21, 2019, through July 22, 2019, and a the U.S. Department of Commerce; • ADDRESSES: Obtaining Documents: You public meeting was held on July 18, U.S. Department of Agriculture 2019, in Navarre, Florida. The Florida (USDA); may download the Final Phase V.3 RP/ • SEA at any of the following sites: TIG considered the public comments U.S. Environmental Protection • received, which informed the TIG’s Agency (EPA); http://www.doi.gov/deepwaterhorizon analyses and selection of the preferred • State of Louisiana Coastal • http://www.gulfspillrestoration restoration alternative, the Navarre Protection and Restoration Authority, .noaa.gov Beach Marine Park Addition project, in Oil Spill Coordinator’s Office, • http://dep.state.fl.us/ the Final Phase V.3 RP/SEA. A Department of Environmental Quality, deepwaterhorizon/default.htm Department of Wildlife and Fisheries, Alternatively, you may request a CD summary of the public comments received, and the Florida TIG’s and Department of Natural Resources; of the Final Phase V.3 RP/SEA (see FOR responses to those comments, are • State of Mississippi Department of FURTHER INFORMATION CONTACT). addressed in Chapter 5 of the Final Environmental Quality; FOR FURTHER INFORMATION CONTACT: • State of Alabama Department of _ Phase V.3 RP/SEA. The FONSI is Nanciann Regalado, at nanciann included as Appendix C of the Final Conservation and Natural Resources and [email protected]. Phase V.3 RP/SEA. Geological Survey of Alabama; SUPPLEMENTARY INFORMATION: • State of Florida Department of Background Introduction Environmental Protection and Fish and On April 20, 2010, the mobile Wildlife Conservation Commission; and The Florida Coastal Access Project offshore drilling unit Deepwater • State of Texas: Texas Parks and was selected for funding and Horizon, which was being used to drill Wildlife Department, Texas General implementation in Phase V of a well for BP, in the Macondo prospect Land Office, and Texas Commission on Deepwater Horizon early restoration. In (Mississippi Canyon 252–MC252), Environmental Quality. the 2011 Framework Agreement for experienced a significant explosion, fire, On April 4, 2016, the Trustees Early Restoration Addressing Injuries and subsequent sinking in the Gulf of reached and finalized a settlement of Resulting from the Deepwater Horizon Mexico, resulting in an unprecedented their natural resource damage claims Oil Spill (Framework Agreement), BP volume of oil and other discharges from with BP in a Consent Decree approved agreed to provide to the Trustees up to the rig and from the wellhead on the by the United States District Court for $1 billion toward early restoration seabed. The Deepwater Horizon oil spill the Eastern District of Louisiana. projects in the Gulf of Mexico to address is the largest off shore oil spill in U.S. Pursuant to that Consent Decree, injuries to natural resources caused by history, discharging millions of barrels restoration projects in the Florida the Deepwater Horizon oil spill. The of oil over a period of 87 days. In Restoration Area are now chosen and Framework Agreement represented a addition, well over 1 million gallons of managed by the Florida TIG. The preliminary step toward the restoration dispersants were applied to the waters Florida TIG is composed of the of injured natural resources and was of the spill area in an attempt to following six Trustees: State of Florida intended to expedite the start of disperse the spilled oil. An Department of Environmental Protection restoration in the Gulf in advance of the undetermined amount of natural gas and Fish and Wildlife Conservation completion of the injury assessment was also released into the environment Commission; DOI; NOAA; EPA; and process. In the five phases of the early as a result of the spill. USDA. restoration process, the Trustees The Trustees conducted the natural selected, and BP Exploration and resource damage assessment (NRDA) for Overview of the Final Phase V.3 RP/ Production, Inc. (BP) agreed to fund, a the Deepwater Horizon oil spill under SEA total of 65 early restoration projects OPA. Pursuant to OPA (OPA; 33 U.S.C. The Final Phase V.3 RP/SEA/FONSI expected to cost a total of approximately 2701 et seq.), Federal and State agencies is being released in accordance with $877 million. The Trustees selected act as trustees on behalf of the public to OPA, NRDA regulations found in the these projects after public notice, public assess natural resource injuries and Code of Federal Regulations (CFR) at 15 meetings, and consideration of public losses and to determine the actions CFR part 990, NEPA, the Consent comments. required to compensate the public for Decree, the Final PDARP/PEIS, and the The Consent Decree, as discussed in those injuries and losses. OPA further Final Phase V ERP/EA. the ‘‘Background’’ section below, instructs the designated trustees to The Florida TIG has selected to fund terminated and replaced the Framework develop and implement a plan for the the third phase of the Florida Coastal Agreement and provided that the restoration, rehabilitation, replacement, Access Project in the Final Phase V.3 Trustees shall use remaining early or acquisition of the equivalent of the RP/SEA to address lost recreational

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opportunities caused by the Deepwater trustee agencies for the Mississippi explosion, fire, and subsequent sinking Horizon oil spill in the Florida Trustee Implementation Group in the Gulf of Mexico, resulting in an Restoration Area. In the Final Phase V.3 (Mississippi TIG) have prepared a unprecedented volume of oil and other RP/SEA, the Florida TIG selected one Mississippi Trustee Implementation discharges from the rig and from the alternative for funding, the Navarre Group 2019 Final Supplemental wellhead on the seabed. The Deepwater Beach Marine Park Addition, which Restoration Plan: Grand Bay Land Horizon oil spill is the largest offshore involves the acquisition of an Acquisition and Habitat Management oil spill in U.S. history, discharging approximately 4.75-acre coastal (SRP) and Finding of No Significant millions of barrels of oil over a period inholding parcel in Santa Rosa County Impact (FONSI). The SRP approves an of 87 days. In addition, well over 1 within the existing Navarre Beach additional $10,000,000 in funds for million gallons of dispersants were Marine Park property. The Florida additional land acquisition and habitat applied to the waters of the spill area in Coastal Access Project was allocated management within the Grand Bay Land an attempt to disperse the spilled oil. approximately $45.4 million in early Acquisition and Habitat Management An undetermined amount of natural gas restoration funds, and the cost of the project (Grand Bay Project) area. The was also released into the environment Navarre Beach Marine Park Addition is Mississippi TIG originally evaluated as a result of the spill. approximately $2 million from and selected the Grand Bay Project as The Trustees conducted the natural remaining funds not utilized in the first part of the Mississippi Trustee resource damage assessment (NRDA) for and second phases of the project. Details Implementation Group 2016–2017 the Deepwater Horizon oil spill under on the third phase of the project are Restoration Plan/Environmental the Oil Pollution Act 1990 (OPA; 33 provided in the Final Phase V.3 RP/ Assessment (2016–2017 RP/EA). U.S.C. 2701 et seq.). Pursuant to OPA, SEA. Additional restoration planning Additional land acquisition and habitat Federal and State agencies act as for the Florida Restoration Area will management for the Grand Bay Project trustees on behalf of the public to assess continue. will continue the process of conserving natural resource injuries and losses and Administrative Record and restoring wetlands, coastal, and to determine the actions required to nearshore habitats injured as a result of compensate the public for those injuries The documents comprising the the Deepwater Horizon oil spill. The and losses. The OPA further instructs Administrative Record for the Final purpose of this notice is to inform the the designated trustees to develop and Phase V.3 RP/SEA can be viewed public of the availability of the final implement a plan for the restoration, electronically at http://www.doi.gov/ SRP and FONSI. rehabilitation, replacement, or deepwaterhorizon/administrativerecord. ADDRESSES: Obtaining Documents: You acquisition of the equivalent of the Authority may download the SRP and FONSI from injured natural resources under their trusteeship, including the loss of use The authority for this action is the Oil either of the following websites: and services from those resources from Pollution Act of 1990 (33 U.S.C. 2701 et • http:// the time of injury until the time of seq.) and its implementing Natural www.gulfspillrestoration.noaa.gov restoration to baseline (the resource Resource Damage Assessment • https://www.doi.gov/ quality and conditions that would exist regulations found at 15 CFR part 990 deepwaterhorizon/adminrecord if the spill had not occurred) is and the National Environmental Policy Alternatively, you may request a CD complete. Act of 1969 (42 U.S.C. 4321 et seq.). of the SRP and FONSI (see FOR FURTHER The Deepwater Horizon Trustees are: INFORMATION CONTACT). Mary Josie Blanchard, • U.S. Department of the Interior FOR FURTHER INFORMATION CONTACT: (DOI), as represented by the National Director of Gulf of Mexico Restoration, Nanciann Regalado, via email at Department of Interior. _ Park Service, U.S. Fish and Wildlife nanciann [email protected], via Service, and Bureau of Land [FR Doc. 2019–21804 Filed 10–4–19; 8:45 am] telephone at 678–296–6805, or via the BILLING CODE 4333–15–P Management; Federal Relay Service at 800–877–8339. • National Oceanic and Atmospheric SUPPLEMENTARY INFORMATION: Administration (NOAA), on behalf of DEPARTMENT OF THE INTERIOR Introduction the U.S. Department of Commerce; • U.S. Department of Agriculture [FWS–R4–ES–2019–N126]; Notice of availability of the draft SRP (USDA); [FVHC98220410150–XXX–FF04H00000] was published in the Federal Register • U.S. Environmental Protection on July 2, 2019 (84 FR 31618). The MS Deepwater Horizon Oil Spill 2019 Final Agency (EPA); TIG provided the public 30 days to • Supplemental Restoration Plan and State of Louisiana Coastal review and comment on the draft SRP. Finding of No Significant Impact; Protection and Restoration Authority, Comments submitted during that time Mississippi Trustee Implementation Oil Spill Coordinator’s Office, were reviewed and addressed by the MS Group Department of Environmental Quality, TIG before finalizing the SRP. Details Department of Wildlife and Fisheries, AGENCY: Department of the Interior. are provided in the final SRP. and Department of Natural Resources; ACTION: Notice of availability. Additional restoration planning for the • State of Mississippi Department of Mississippi Restoration Area will Environmental Quality (MDEQ); SUMMARY: In accordance with the Oil continue. • State of Alabama Department of Pollution Act of 1990 (OPA), the Conservation and Natural Resources and Background National Environmental Policy Act Geological Survey of Alabama; (NEPA), the Deepwater Horizon Oil On April 20, 2010, the mobile • State of Florida Department of Spill Final Programmatic Damage offshore drilling unit Deepwater Environmental Protection and Fish and Assessment and Restoration Plan and Horizon, which was being used to drill Wildlife Conservation Commission; and Final Programmatic Environmental a well for BP Exploration and • State of Texas: Texas Parks and Impact Statement (Final PDARP/PEIS), Production, Inc. (BP), in the Macondo Wildlife Department, Texas General Record of Decision, and Consent Decree, prospect (Mississippi Canyon 252– Land Office, and Texas Commission on the Federal and State natural resource MC252), experienced a significant Environmental Quality.

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On April 4, 2016, the United States and the National Environmental Policy State Office, 2800 Cottage Way, Suite District Court for the Eastern District of Act of 1969 (42 U.S.C. 4321 et seq.). W1623, Sacramento, CA 95825. Louisiana entered a Consent Decree FOR FURTHER INFORMATION CONTACT: Sky resolving civil claims by the DWH oil Mary Josie Blanchard, Murphy, BLM Planning and spill trustees against BP Exploration and Director of Gulf of Mexico Restoration, Environmental Coordinator, telephone: Production Inc. (BP) arising from the Department of Interior. (831) 582–2200; address: Bureau of DWH oil spill: United States v. BPXP et [FR Doc. 2019–21802 Filed 10–4–19; 8:45 am] Land Management Central Coast Field al., Civ. No. 10–4536, centralized in BILLING CODE 4333–15–P Office, 940 2nd Ave., Marina, CA 93933; MDL 2179, In re: Oil Spill by the Oil Rig _ _ ‘‘Deepwater Horizon’’ in the Gulf of or email: blm ca [email protected]. Mexico, on April 20, 2010 (E.D. La.) DEPARTMENT OF THE INTERIOR Persons who use a telecommunications device for the deaf (TDD) may call the (http://www.justice.gov/enrd/deepwater- Bureau of Land Management horizon). Pursuant to that Consent Federal Relay Service (FRS) at (800) Decree, restoration projects in [LLCAC09000 L16100000.DR000 19XL; MO 877–8339 to contact Sky Murphy during Mississippi are now selected and #4500136521] normal business hours. FRS is available implemented by the Mississippi TIG. 24 hours a day, 7 days a week, to leave Notice of Availability for the Record of The Mississippi TIG is composed of one a message or question. You will receive Decision for the Central Coast Field State and four Federal Trustees: MDEQ, a reply during normal business hours. Office Approved Resource DOI, NOAA, USDA, and EPA. SUPPLEMENTARY INFORMATION: The Management Plan Amendment for Oil BLM’s decision makes approximately Overview of the Mississippi TIG SRP and Gas Leasing and Development, 680,000 acres of Federal mineral estate California In the final SRP and FONSI, the MS available for leasing with controlled TIG selected an additional $10 million AGENCY: Bureau of Land Management, surface use stipulations and another in funding to support further acquisition Interior. roughly 42,000 acres available for and/or habitat management and project ACTION: Notice of availability. leasing with no surface occupancy success monitoring within the project requirements. An additional 67,500 area of the Grand Bay Project originally SUMMARY: In accordance with the acres of Federal mineral estate are selected in the 2016–2017 RP/EA. In National Environmental Policy Act of closed to leasing and development in that document, the MS TIG evaluated 1969, as amended, and the Federal Land designated wilderness areas, wilderness and selected several restoration projects Policy and Management Act of 1976, as study areas, and national monuments. from a reasonable range of alternatives. amended, the Bureau of Land The BLM plan also supports recovery of Projects selected for implementation Management (BLM) announces the threatened and endangered plants and included the Grand Bay Project. As availability of the Record of Decision animals in the Ciervo Panoche Natural described in Section 3.4 of the 2016– (ROD) for the Central Coast Field Office Area by protecting core populations 2017 RP/EA, the Mississippi TIG Approved Resource Management Plan from surface disturbance. This decision allocated $6 million to initiate the (RMP) Amendment. This plan does not authorize any actual drilling acquisition and to commence amendment identifies the Federal for exploration or development of oil management in nearshore coastal and mineral estate, located primarily in and gas resources. The BLM predicts a wetland habitats within the Grand Bay Fresno, Monterey and San Benito range from zero to 37 new oil and gas Project area, which includes the counties, California, that is available for wells could be developed on Federal acquisition boundaries of the Grand Bay oil and gas leasing and development. It mineral estate during the next 20 years National Wildlife Refuge (Refuge), the also identifies leasing stipulations to as a result of this plan amendment. Any Grand Bay National Estuarine Research protect resources. future proposals for leasing or Reserve (NERR), and the Grand Bay DATES: The BLM California Acting State development would go through Savanna Coastal Preserve (Preserve). Director signed the ROD on October 4, additional environmental reviews based The final 2016–2017 RP/EA can be 2019, which constitutes the final on site-specific project information and found at https:// decision of the agency and makes the other requirements for consultation, www.gulfspillrestoration.noaa.gov/ approved RMP amendment effective coordination and public involvement. 2017/07/mississippi-trustee- immediately. Signing of the ROD also The ROD also authorizes issuance of implementation-group-releases-first- authorizes the issuance, with controlled implementation-level decisions for 14 restoration-plan. surface use stipulations, of previously litigated oil and gas leases. In accordance with NEPA, as part of implementation-level decisions the final SRP, the Trustees issued a The Notice of Availability for the regarding 14 previously litigated oil and proposed RMP amendment and Final FONSI. The FONSI is available in gas leases in Monterey and San Benito Appendix A of the final SRP. EIS was published on May 10, 2019, counties. Signing of the ROD initiates a initiating a 30-day public protest period Administrative Record 30-day appeal period for these leasing (84 FR 20657). The Final EIS analyzed The documents comprising the decisions to the Interior Board of Land the environmental impacts of six Administrative Record for the SRP can Appeals. alternative amendments to the RMP be viewed electronically at https:// ADDRESSES: Copies of the ROD and including the No Action Alternative. www.doi.gov/deepwaterhorizon/ approved RMP amendment are available The BLM received 436 protests, 24 of adminrecord. upon request from the Bureau of Land which were from parties with standing. Management Central Coast Field Office, Of the 24 protests with standing, seven Authority 940 2nd Ave., Marina, CA 93933 or via were denied as the issues are already The authority for this action is the Oil the internet at https://go.usa.gov/xyFh5. addressed in the document and 17 were Pollution Act of 1990 (33 U.S.C. 2701 et Copies of the ROD and approved RMP dismissed as they did not raise seq.) and its implementing Natural amendment are available for public protestable issues. The remaining 412 Resource Damage Assessment inspection at the BLM Central Coast protests were dismissed due to lack of regulations found at 15 CFR part 990 Field Office, and at the BLM California standing.

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In accordance with the regulations at (Authority: 40 CFR 1506.6) —Evaluate whether the proposed 43 CFR 1610.3–2(e), the BLM submitted Danielle Chi, collection of information is necessary for the proper performance of the the proposed RMP amendment and Deputy State Director, Fire and Resources. Final EIS for a 60-day Governor’s functions of the agency, including [FR Doc. 2019–21654 Filed 10–4–19; 8:45 am] Consistency Review on May 10, 2019. whether the information will have BILLING CODE 4310–40–P On July 9, 2019, the Governor of practical utility; California submitted a letter to the BLM —Evaluate the accuracy of the agency’s California Acting State Director estimate of the burden of the DEPARTMENT OF JUSTICE proposed collection of information, asserting inconsistencies between the including the validity of the proposed RMP amendment and State Bureau of Alcohol, Tobacco, Firearms methodology and assumptions used; land use plans, programs, and policies and Explosives —Evaluate whether and if so how the related to the impacts of climate change. quality, utility, and clarity of the [OMB Number 1140–0004] The BLM Acting California State information to be collected can be Director issued a response to the Agency Information Collection enhanced; and Governor that addressed the Activities; Proposed eCollection —Minimize the burden of the collection recommendation of the Governor on eComments Requested; Interstate of information on those who are to August 1, 2019. Pursuant to 43 CFR Firearms Shipment Theft/Loss respond, including through the use of 1610.3–2(e), the BLM provided a 30-day Report—ATF F 3310.6 appropriate automated, electronic, period for the Governor to appeal this mechanical, or other technological response to the BLM Director. That AGENCY: Bureau of Alcohol, Tobacco, collection techniques or other forms appeal period closed on August 30, Firearms and Explosives, Department of of information technology, e.g., 2019, and no appeal was received. Justice. permitting electronic submission of Therefore, this decision approves ACTION: 30-Day notice. responses. Alternative F, the BLM’s preferred Overview of This Information SUMMARY: alternative in the Final EIS, with no The Department of Justice Collection modifications. (DOJ), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), will (1) Type of Information Collection: Administrative remedies are available submit the following information Revision of a currently approved to those who are a party to the case and collection request to the Office of collection. are adversely affected by the leasing Management and Budget (OMB) for (2) The Title of the Form/Collection: decisions included in this ROD. An review and approval in accordance with Interstate Firearms Shipment Theft/Loss administrative appeal may be made to the Paperwork Reduction Act of 1995. Report. (3) The agency form number, if any, the Office of Hearings and Appeals, DATES: The proposed information Office of the Secretary, U.S. Department and the applicable component of the collection was previously published in Department sponsoring the collection: of Interior, Board of Land Appeals the Federal Register, on August 1, 2019, Form number: ATF F 3310.6. (Board) in strict compliance with the allowing for a 60-day comment period. Component: Bureau of Alcohol, regulations in 43 CFR part 4. Notices of Comments are encouraged and will be Tobacco, Firearms and Explosives, U.S. appeal must be filed with the BLM accepted for an additional 30 days until Department of Justice. officer who made the decision within 30 November 6, 2019. (4) Affected public who will be asked days after publication of this decision. FOR FURTHER INFORMATION CONTACT: If or required to respond, as well as a brief If a notice of appeal does not include a you have additional comments, abstract: statement of reasons, such statement particularly with respect to the Primary: Business or other for-profit. must be filed with the BLM California estimated public burden or associated Other: Federal Government. State Office, 2800 Cottage Way, W1623, response time, have suggestions, need a Abstract: 27 CFR part 478 requires Sacramento, CA 95825 and the Board copy of the proposed information Federal Firearms Licensees’ (FFLs) who discover that a firearm(s) it shipped was within 30 days after the notice of appeal collection instrument with instructions, stolen or lost in transit, must report the is filed. The notice of appeal and any or desire any other additional theft or loss to ATF and the appropriate statement of reasons, written arguments, information, please contact: Neil Troppman, ATF National Tracing local authorities within 48 hours of or briefs must also be served upon the discovery. Reports can be filed using the Center either by mail at 244 Needy Regional Solicitor: U.S. Department of Interstate Firearms Shipment Theft/Loss Road, Martinsburg, WV 25405, by email the Interior, Office of the Solicitor, Report—ATF Form 3310.6. Pacific Southwest Region, 2800 Cottage at [email protected], or by (5) An estimate of the total number of Way, Room E–1712, Sacramento, CA telephone at 304–260–3643. Written respondents and the amount of time 95825–1890. comments and/or suggestions can also estimated for an average respondent to be directed to the Office of Management respond: An estimated 950 respondents Before including your phone number, and Budget, Office of Information and email address, or other personal will utilize the form, and it will take Regulatory Affairs, Attention each respondent approximately 20 identifying information in your appeal, Department of Justice Desk Officer, you should be aware that your entire _ minutes to complete their responses. Washington, DC 20503 or sent to OIRA (6) An estimate of the total public appeal—including your personal [email protected]. burden (in hours) associated with the identifying information—may be made SUPPLEMENTARY INFORMATION: Written collection: The estimated annual public publicly available at any time. While comments and suggestions from the burden associated with this collection is you can ask us in your appeal to public and affected agencies concerning 317 hours, which is equal to 950 (# of withhold your personal identifying the proposed collection of information respondents) *1 (# of responses per information from public review, we are encouraged. Your comments should respondents) * .3333 (20 minutes). cannot guarantee that we will be able to address one or more of the following (7) An Explanation of the Change in do so. four points: Estimates: The adjustment associated

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with this collection include an increase 7614. Written comments and/or estimated for an average respondent to in both the respondents and total suggestions can also be directed to the respond: An estimated 32 respondents burden hours for this IC by 400 and 135 Office of Management and Budget, will utilize the survey, and it will take respectively, since the last renewal in Office of Information and Regulatory each respondent approximately 15 2016. Affairs, Attention Department of Justice minutes to complete their responses. If additional information is required Desk Officer, Washington, DC 20503 or (6) An estimate of the total public contact: Melody Braswell, Department sent to OIRA_submissions@ burden (in hours) associated with the Clearance Officer, United States omb.eop.gov. collection: The estimated annual public Department of Justice, Justice burden associated with this collection is SUPPLEMENTARY INFORMATION: Written Management Division, Policy and comments and suggestions from the eight (8) hours, which is equal to 32 (# Planning Staff, Two Constitution public and affected agencies concerning of respondents) * 1 (# of responses per Square, 145 N Street NE, 3E.405A, the proposed collection of information respondent) * .25 (15 minutes). (7) An Explanation of the Change in Washington, DC 20530. are encouraged. Your comments should Estimates: The adjustment to the public Dated: October 2, 2019. address one or more of the following burden includes an increase the number Melody Braswell, four points: of respondents from 20 in 2016, to 32. Department Clearance Officer for PRA, U.S. —Evaluate whether the proposed Consequently, the total burden hours Department of Justice. collection of information is necessary has also increased slightly from 5 hours [FR Doc. 2019–21781 Filed 10–4–19; 8:45 am] for the proper performance of the in 2016, to 8 hours. BILLING CODE 4410–14–P functions of the agency, including If additional information is required whether the information will have contact: Melody Braswell, Department practical utility; Clearance Officer, United States DEPARTMENT OF JUSTICE —Evaluate the accuracy of the agency’s Department of Justice, Justice estimate of the burden of the Management Division, Policy and Bureau of Alcohol, Tobacco, Firearms proposed collection of information, and Explosives Planning Staff, Two Constitution including the validity of the Square, 145 N Street NE, 3E.405A, [OMB Number 1140–0091] methodology and assumptions used; Washington, DC 20530. —Evaluate whether and if so how the Agency Information Collection quality, utility, and clarity of the Dated: October 2, 2019. Activities; Proposed eCollection information to be collected can be Melody Braswell, eComments Requested; National enhanced; and Department Clearance Officer for PRA, U.S. Response Team Customer Satisfaction —Minimize the burden of the collection Department of Justice. Survey of information on those who are to [FR Doc. 2019–21780 Filed 10–4–19; 8:45 am] respond, including through the use of BILLING CODE 4410–14–P AGENCY: Bureau of Alcohol, Tobacco, appropriate automated, electronic, Firearms and Explosives, Department of mechanical, or other technological Justice. collection techniques or other forms DEPARTMENT OF JUSTICE ACTION: 30-Day notice. of information technology, e.g., Drug Enforcement Administration SUMMARY: The Department of Justice permitting electronic submission of (DOJ), Bureau of Alcohol, Tobacco, responses. [Docket No. DEA–392] Firearms and Explosives (ATF), will Overview of This Information Importer of Controlled Substances submit the following information Collection Application: Cambridge Isotope collection request to the Office of (1) Type of Information Collection: Laboratories, Inc. Management and Budget (OMB) for Revision of a currently approved review and approval in accordance with collection. ACTION: Notice of application. the Paperwork Reduction Act of 1995. (2) The Title of the Form/Collection: DATES: The proposed information National Response Team Customer DATES: Registered bulk manufacturers of collection was previously published in Satisfaction Survey. the affected basic classes, and the Federal Register, on August 1, 2019, (3) The agency form number, if any, applicants therefore, may file written allowing for a 60-day comment period. and the applicable component of the comments on or objections to the Comments are encouraged and will be Department sponsoring the collection: issuance of the proposed registration on accepted for an additional 30 days until Form number: None. or before November 6, 2019. Such November 6, 2019. Component: Bureau of Alcohol, persons may also file a written request FOR FURTHER INFORMATION CONTACT: If Tobacco, Firearms and Explosives, U.S. for a hearing on the application on or you have additional comments, Department of Justice. before November 6, 2019. particularly with respect to the (4) Affected public who will be asked ADDRESSES: Written comments should estimated public burden or associated or required to respond, as well as a brief be sent to: Drug Enforcement response time, have suggestions, need a abstract: Administration, Attention: DEA Federal copy of the proposed information Primary: State, Local or Tribal Register Representative/DPW, 8701 collection instrument with instructions, Government. Morrissette Drive, Springfield, Virginia or desire any other additional Other: None 22152. All requests for a hearing must information, please contact: Jennifer Abstract: The National Response be sent to: Drug Enforcement George, Fire Investigations & Arson Team Customer Satisfaction Survey is Administration, Attn: Administrator, Enforcement Division, either by mail at used to obtain feedback regarding 8701 Morrissette Drive, Springfield, ATF NCETR, Corporal Road, Building services provided by the ATF National Virginia 22152. All requests for a 3750, Redstone Arsenal, Huntsville, AL Response Team. hearing should also be sent to: (1) Drug 35898, by email at Jennifer.George@ (5) An estimate of the total number of Enforcement Administration, Attn: atf.gov, or by telephone at 256–261– respondents and the amount of time Hearing Clerk/OALJ, 8701 Morrissette

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Drive, Springfield, Virginia 22152; and instrument with instructions or DOJ attorney and incoming hires for (2) Drug Enforcement Administration, additional information, please contact attorney positions within the Attn: DEA Federal Register Deana Willis, Assistant Director, Office Department may request consideration Representative/DPW, 8701 Morrissette of Attorney Recruitment and for the ASLRP. The Department selects Drive, Springfield, Virginia 22152. Management, 450 5th Street NW, Suite new participants during an annual open SUPPLEMENTARY INFORMATION: In 10200, Washington, DC 20530; season each spring and renews current accordance with 21 CFR 1301.34(a), this [email protected]; (202) 514– beneficiaries (DOJ employees) who is notice that on July 9, 2019, Cambridge 8902. remain qualified for these benefits, subject to availability of funds. There Isotope Laboratories, 50 Frontage Road, SUPPLEMENTARY INFORMATION: Written are two application forms—one for new Andover, Massachusetts 01810 applied comments and/or suggestions from the requests, and the other for renewal to be registered as an importer of the public and affected agencies concerning requests. A justification form following basic classes of controlled the proposed collection of information (applicable to new requests only) and a substances: are encouraged. Your comments should loan continuation form complete the address one or more of the following collection. The ‘‘new request’’ form is Controlled Drug Schedule four points: substance code submitted voluntarily, by current DOJ (1) Evaluate whether the proposed employees as well as by incoming DOJ collection of information is necessary Gamma Hydroxybutyric 2010 I attorney hires who, if selected, do not Acid. for the proper performance of the receive benefits until they are a DOJ Tetrahydrocannabinols 7370 I functions of the Office of Attorney Morphine ...... 9300 II employee. Renewal requests are Recruitment and Management, submitted by only by current DOJ including whether the information will employees—no non-employees would The company plans to import the have practical utility; listed controlled substances for qualify. (2) Evaluate the accuracy of the 5. An estimate of the total number of analytical research, testing and clinical agencies estimate of the burden of the trials. respondents and the amount of time proposed collection of information, estimated for an average respondent to Dated: September 27, 2019. including the validity of the respond/reply: The Department Thomas W. Prevoznik, methodology and assumptions used; anticipates about 275 respondents Acting Assistant Administrator, Deputy (3) Evaluate whether, and if so, how, annually will complete the new request Assistant Administrator. the quality, utility, and clarity of the form and justification form and apply [FR Doc. 2019–21829 Filed 10–4–19; 8:45 am] information to be collected can be for participation in the ASLRP. Of those, BILLING CODE 4410–09–P enhanced; and an average of 10 or less are incoming (4) Minimize the burden of the attorney hires who have not yet entered collection of information on those who on duty with the DOJ. In addition, each DEPARTMENT OF JUSTICE are to respond, including through the year the Department expects to receive use of appropriate automated, [OMB Number 1105–0086] approximately 110 applications from electronic, mechanical, or other current employees (DOJ attorneys) Agency Information Collection technological collection techniques or requesting renewal of the benefits they Activities; Proposed eCollection other forms of information technology, received in the preceding year. It is eComments Requested; Revision of e.g., permitting electronic submission of estimated that each new request and Renewal of Previously Approved responses. (including justification) will take two (2) Collection; Comments Requested: Overview of This Information hours to complete, and each renewal Electronic Applications for the Collection request approximately 20 minutes to Attorney Student Loan Repayment complete. Program 1. Type of information collection: 6. An estimate of the total public Renewal of a Currently Approved burden (in hours) associated with the AGENCY: Office of Attorney Recruitment Collection. collection: and Management, Justice Management 2. The title of the form/collection: a. The estimated burden associated Division Department of Justice. Electronic Applications for the Attorney with this collection is 586 hours, 40 ACTION: 60-Day notice. Student Loan Repayment Program. minutes. It is estimated that new 3. The agency form number, if any, applicants will take 2 hours to complete SUMMARY: The Department of Justice and the applicable component of the the request form and justification and (DOJ), Justice Management Division, department sponsoring the collection: that previously selected recipients Office of Attorney Recruitment and There is no agency form number for this requesting continued funding will take Management (OARM), will be collection. The applicable component 20 minutes to complete a renewal form. submitting the following information within the Department of Justice is the The burden hours for collecting collection request to the Office of Office of Attorney Recruitment and respondent data, 586 hours, 40 minutes, Management and Budget (OMB) for Management, Justice Management are calculated as follows: 275 new review and approval in accordance with Division, U.S. Department of Justice. respondents × 2 hours = 550 hours, plus the Paperwork Reduction Act of 1995. 4. Affected public who will be asked 110 renewing respondents × 20 minutes DATES: The Department of Justice or required to respond, as well as a brief = 36 hours, 40 minutes. encourages public comment and will abstract: Primary: Individuals or b. An estimate of the public burden accept input until December 6, 2019. households. Other: None. The focusing only incoming hires and FOR FURTHER INFORMATION CONTACT: If Department of Justice Attorney Student excluding current DOJ employees is 20 you have additional comments, Loan Repayment Program (ASLRP) is an hours, calculated as follows: 10 new especially on the estimated public agency recruitment and retention respondents (incoming hires) × 2 hours burden or associated response time, incentive program based on 5 U.S.C. = 20 hours. suggestions, or need a copy of the 5379, as amended, and 5 CFR part 537. If additional information is required, proposed information collection Individuals currently employed as a please contact: Melody Braswell,

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Department Clearance Officer, U.S. DOL, in consultation and cooperation The TDA Conference Report clarifies Department of Justice, Justice with the Departments of State (DOS) this mandate, indicating that the Management Division, Policy and and Homeland Security (DHS), has a President consider the following when Planning Staff, Two Constitution reasonable basis to believe might have considering whether a country is Square, 145 N Street NE, Room 3E.405B, been mined, produced, or manufactured complying with its obligations to Washington, DC 20530. with forced or indentured child labor. eliminate the worst forms of child labor: Dated: October 1, 2019. Relevant information submitted by the ‘‘(1) whether the country has adequate laws and regulations proscribing the Melody Braswell, public will be used by DOL in preparing the next edition of the TDA Report, to worst forms of child labor; (2) whether Department Clearance Officer for PRA, U.S. the country has adequate laws and Department of Justice. be published in 2020; the next edition of the TVPRA List, to be published in regulations for the implementation and [FR Doc. 2019–21693 Filed 10–4–19; 8:45 am] 2020; and possible updates to the E.O. enforcement of such measures; (3) BILLING CODE 4410–24–P 13126 List as needed. whether the country has established DATES: Submitters of information are formal institutional mechanisms to requested to provide their submission to investigate and address complaints DEPARTMENT OF LABOR DOL’s Office of Child Labor, Forced relating to allegations of the worst forms [Agency Docket Number DOL–2019–0005] Labor, and Human Trafficking (OCFT) at of child labor; (4) whether social the email or physical address below by programs exist in the country to prevent Child Labor, Forced Labor, and Forced 5 p.m. on January 13, 2020. the engagement of children in the worst forms of child labor, and to assist with or Indentured Child Labor in the ADDRESSES: Information submitted to the removal of children engaged in the Production of Goods in Foreign the Department of Labor should be worst forms of child labor; (5) whether Countries and Efforts by Certain submitted directly to OCFT, Bureau of the country has a comprehensive policy Foreign Countries To Eliminate the International Labor Affairs, U.S. for the elimination of the worst forms of Worst Forms of Child Labor Department of Labor. Comments, child labor; and (6) whether the country identified as ‘‘Docket No. DOL–2019– AGENCY: The Bureau of International is making continual progress toward 0005,’’ may be submitted by any of the Labor Affairs, United States Department eliminating the worst forms of child following methods: of Labor. labor.’’ (H. Conf. Rept. 106–606, May 4, 1. Federal eRulemaking Portal: You ACTION: Notice; request for information 2000, p. 124). and invitation to comment. may submit electronic comments to: DOL fulfills this reporting mandate http://www.regulations.gov. The portal through annual publication of the U.S. SUMMARY: This notice is a request for includes instructions for submitting Department of Labor’s Findings on the information and/or comment on three comments. Parties submitting responses Worst Forms of Child Labor report with reports issued by the Bureau of electronically are encouraged not to respect to countries eligible for GSP. To International Labor Affairs (ILAB) submit paper copies. access the 2018 TDA Report, please visit 2. Facsimile (fax): OCFT, at 202–693– regarding child labor and forced labor in https://www.dol.gov/agencies/ilab/ certain foreign countries. Relevant 4830. resources/reports/child-labor/findings/. information submitted by the public 3. Mail, Express Delivery, Hand II. Section 105(b) of the Trafficking will be used by the Department of Labor Delivery, and Messenger Service (1 Victims Protection Reauthorization Act (DOL) in preparing its ongoing reporting copy): Austin Pedersen and Chanda of 2005 (‘‘TVPRA of 2005’’), Public Law as required under Congressional Uluca, U.S. Department of Labor, OCFT, 109–164 (2006), 22 U.S.C 7112(b), as mandates and a Presidential directive. Bureau of International Labor Affairs, amended by Section 133 of the The 2018 Findings on the Worst Forms 200 Constitution Avenue NW, Room S– Frederick Douglass Trafficking Victims of Child Labor report (TDA Report), 5315, Washington, DC 20210. Prevention and Protection published on September 27, 2019, Email: Email submissions should be Reauthorization Act of 2018, Public Law discusses efforts of 131 countries and addressed to both Austin Pedersen 115–425, directs the Secretary of Labor, territories to eliminate the worst forms ([email protected]) and acting through ILAB, to ‘‘develop and of child labor over the course of 2018 Chanda Uluca ([email protected]). make available to the public a list of and assesses whether countries made FOR FURTHER INFORMATION CONTACT: goods from countries that ILAB has significant, moderate, minimal, or no Austin Pedersen, 202–693–4867 and reason to believe are produced by forced advancement during that year to address Chanda Uluca, 202–693–4905. Please labor or child labor in violation of the worst forms of child labor. It also see email contact information above. international standards, including, to suggests actions foreign countries can SUPPLEMENTARY INFORMATION: the extent practicable, goods that are take to eliminate the worst forms of I. The Trade and Development Act of produced with inputs that are produced child labor through legislation, 2000 (TDA), Public Law 106–200 (2000), with forced labor or child labor.’’ enforcement, coordination, policies, and established eligibility criteria for receipt (TVPRA List). social programs. The 2018 edition of the of trade benefits under the Generalized Pursuant to its mandate under the List of Goods Produced by Child Labor System of Preferences (GSP). The TDA TVPRA of 2005, on December 27, 2007, or Forced Labor (TVPRA List), amended the GSP reporting DOL published in the Federal Register published on September 20, 2018, requirements of Section 504 of the a set of procedural guidelines that ILAB makes available to the public a list of Trade Act of 1974, 19 U.S.C. 2464, to follows in developing the TVPRA List goods from countries that ILAB has require that the President’s annual (72 FR 73374). The guidelines set forth reason to believe are produced by child report on the status of internationally the criteria by which information is labor or forced labor in violation of recognized worker rights include evaluated; established procedures for international standards. Finally, the List ‘‘findings by the Secretary of Labor with public submission of information to be of Products Produced by Forced or respect to the beneficiary country’s considered by ILAB; and identified the Indentured Child Labor (E.O. 13126 implementation of its international process ILAB follows in maintaining List), provides a list of products, commitments to eliminate the worst and updating the TVPRA List after its identified by country of origin, that forms of child labor.’’ initial publication.

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ILAB published its first TVPRA List information can be accessed on the NATIONAL ARCHIVES AND RECORDS on September 30, 2009, and issued internet at https://www.dol.gov/ ADMINISTRATION updates annually from 2010 through agencies/ilab/reports/child-labor/list-of- 2013. In 2014, ILAB began publishing products. Information Security Oversight Office the TVPRA List every other year, Information Requested and Invitation pursuant to changes in the law (see 22 to Comment: Interested parties are [NARA–2020–003] U.S.C. 7112(b)). ILAB can also publish invited to comment and provide more frequent updates, at its discretion. information regarding these reports. National Industrial Security Program For a copy of previous editions of the DOL requests comments on or Policy Advisory Committee (NISPPAC); TVPRA List and other related materials, information relevant to updating the Meeting see ILAB’s TVPRA web page at https:// findings and suggested government www.dol.gov/agencies/ilab/reports/ actions for countries reviewed in the AGENCY: Information Security Oversight child-labor/list-of-goods. TDA Report, assessing each country’s Office (ISOO), National Archives and III. Executive Order No. 13126 (E.O. Records Administration (NARA). 13126) declared that it was ‘‘the policy individual advancement toward of the United States Government . . . eliminating the worst forms of child ACTION: Notice of Federal Advisory that the executive agencies shall take labor during the current reporting Committee meeting. appropriate actions to enforce the laws period compared to previous years, and maintaining and updating the TVPRA prohibiting the manufacture or SUMMARY: We are announcing an and E.O. Lists, including information on importation of goods, wares, articles, upcoming meeting of the National goods produced with inputs that are and merchandise mined, produced, or Industrial Security Program Policy produced with forced labor or child manufactured wholly or in part by Advisory Committee (NISPPAC). forced or indentured child labor.’’ The labor. For more information on the types E.O. 13126 List is intended to ensure of issues covered in the TDA Report, DATES: The meeting will be on that U.S. federal agencies do not procure please see ‘‘TDA Guidance Questions’’ November 20, 2019, from 10:00 a.m. to goods made by forced or indentured in the appendix of the report. Materials 12:30 p.m. child labor. Under procurement submitted should be confined to the ADDRESSES: National Archives and regulations, federal contractors who specific topics of the TDA Report, the Records Administration; 700 supply products on the E.O. 13126 List TVPRA List, and the E.O. 13126 List. must certify that they have made a good DOL will generally consider sources Pennsylvania Avenue NW; McGowan faith effort to determine whether forced with dates up to five years old (i.e., data Theater; Washington, DC 20408. or indentured child labor was used to not older than January 1, 2015). DOL FOR FURTHER INFORMATION CONTACT: produce the items supplied. Pursuant to appreciates the extent to which Robert Tringali, Program Analyst, ISOO, E.O. 13126, and following public notice submissions clearly indicate the time by mail at National Archives and and comment, DOL published in the period to which they apply. In the Records Administration; 700 January 18, 2001, Federal Register, a interest of transparency in our reporting, Pennsylvania Avenue NW; Washington, final list of products (‘‘E.O. 13126 List’’), classified information will not be DC 20408, by telephone at identified by country of origin, that the accepted. Where applicable, information 202.357.5335, or by email at Department, in consultation and submitted should indicate its source or [email protected]. Contact ISOO cooperation with the Departments of sources, and copies of the source at [email protected] and the NISPPAC at State (DOS) and Treasury [relevant material should be provided. If primary [email protected]. responsibilities are now within the sources are utilized, such as research Department of Homeland Security studies, interviews, direct observations, SUPPLEMENTARY INFORMATION: The (DHS)], had a reasonable basis to believe or other sources of quantitative or purpose of this meeting is to discuss might have been mined, produced or qualitative data, details on the research National Industrial Security Program manufactured with forced or indentured or data-gathering methodology should policy matters. child labor (66 FR 5353). In addition to be provided. Please see the TDA Report, This meeting will be open to the the E.O. 13126 List, the Department also TVPRA List, and the E.O. 13126 List for public, in accordance with the Federal published on January 18, 2001, a complete explanation of relevant ‘‘Procedural Guidelines for Maintenance terms, definitions, and reporting Advisory Committee Act (5 U.S.C. app of the List of Products Requiring Federal guidelines employed by DOL. Per our 2) and implementing regulations. Contractor Certification as to Forced or standard procedures, submissions will However, due to space limitations and Indentured Child Labor,’’ which provide be published on the ILAB web page at access procedures, you must submit the for maintaining, reviewing, and, as https://www.dol.gov/agencies/ilab/ name and telephone number of appropriate, revising the E.O. 13126 List public-submissions-child-labor-forced- individuals planning to attend to the (66 FR 5351). labor-reporting. Information Security Oversight Office Pursuant to Sections D through G of (ISOO) no later than Friday, November the Procedural Guidelines, the E.O. This notice is a general solicitation of comments from the public. 15, 2019. ISOO will provide additional 13126 List may be updated through instructions for accessing the meeting’s consideration of submissions by Authority: 22 U.S.C. 7112(b)(2)(C) and 19 location. Note: Please enter through the individuals or through ILAB’s own U.S.C. 2464. Constitution Ave. special events initiative. Signed at Washington, DC, this 30th day of entrance. DOL has officially revised the E.O. September, 2019. 13126 List seven times, most recently on Miranda J. Andreacchio, Martha E. Newton, March 25, 2019, each time after public Committee Management Officer. Deputy Undersecretary for International notice and comment as well as [FR Doc. 2019–21705 Filed 10–4–19; 8:45 am] consultation with DOS and DHS. Affairs. The current E.O. 13126 List, [FR Doc. 2019–21610 Filed 10–4–19; 8:45 am] BILLING CODE 7515–01–P Procedural Guidelines, and related BILLING CODE 4510–28–P

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NATIONAL CREDIT UNION examiners review the program to continuing effort to reduce paperwork ADMINISTRATION determine whether the credit union’s and respondent burden, invites the procedures comply with all BSA general public and other Federal Agency Information Collection requirements. agencies to comment on the following Activities: Proposed Collection; Affected Public: Private Sector: Not- extension of a currently approved Comment Request; Monitoring Bank for-profit institutions. collection, as required by the Paperwork Secrecy Act Compliance Estimated No. of Respondents: 5,308. Reduction Act of 1995. Estimated No. of Responses per DATES: Written comments should be AGENCY: National Credit Union Respondent: 1. Administration (NCUA). received on or before November 6, 2019 Estimated Total Annual Responses: to be assured of consideration. ACTION: Notice and request for comment. 5,308. Estimated Burden Hours per ADDRESSES: Send comments regarding SUMMARY: The National Credit Union Response: 16. the burden estimate, or any other aspect Administration (NCUA), as part of a Estimated Total Annual Burden of this information collection, including continuing effort to reduce paperwork Hours: 84,928. suggestions for reducing the burden, to and respondent burden, invites the Reason for change: Adjustment are (1) Office of Information and Regulatory general public and other Federal being made to the number of Affairs, Office of Management and agencies to comment on the following respondents to accurately reflect the Budget, Attention: Desk Officer for extension of a currently approved current number of federally insured NCUA, New Executive Office Building, collection, as required by the Paperwork credit unions (FICUs). Room 10235, Washington, DC 20503, or Reduction Act of 1995. Request for Comments: Comments email at OIRA_Submission@ DATES: Written comments should be submitted in response to this notice will OMB.EOP.gov and (2) NCUA PRA received on or before December 6, 2019 be summarized and included in the Clearance Officer, 1775 Duke Street, to be assured consideration. request for Office of Management and Suite 5080, Alexandria, VA 22314, or ADDRESSES: Interested persons are Budget approval. All comments will email at [email protected]. invited to submit written comments on become a matter of public record. The FOR FURTHER INFORMATION CONTACT: the information collection to Mackie public is invited to submit comments Copies of the submission may be Malaka, National Credit Union concerning: (a) whether the collection of obtained by contacting Mackie Malaka Administration, 1775 Duke Street, Suite information is necessary for the proper at (703) 548–2704, emailing 6018, Alexandria, Virginia 22314; Fax execution of the function of the agency, [email protected], or viewing No. 703–519–8579; or email at including whether the information will the entire information collection request [email protected]. have practical utility; (b) the accuracy of at www.reginfo.gov. FOR FURTHER INFORMATION CONTACT: the agency’s estimate of the burden of SUPPLEMENTARY INFORMATION: Address requests for additional the collection of information, including OMB Number: 3133–0146. information to Mackie Malaka at the the validity of the methodology and Title: Production of Non-public address above or telephone 703–548– assumptions used; (c) ways to enhance Records and Testimony of Employees in 2704. the quality, utility, and clarity of the Legal Proceedings (Touhy Request). information to be collected; and (d) SUPPLEMENTARY INFORMATION: Type of Review: Extension of a ways to minimize the burden of the currently approved collection. OMB Number: 3133–0108. collection of the information on the Abstract: 12 CFR part 792, subpart C Title: Monitoring Bank Secrecy, 12 respondents, including the use of requires anyone requesting NCUA non- CFR Part § 748.2. automated collection techniques or public records for use in legal Type of Review: Extension of a other forms of information technology. previously approved collection. proceedings, or similarly the testimony Abstract: Section 748.2 of NCUA’s By Gerard Poliquin, Secretary of the Board, of NCUA personnel, to provide NCUA regulations, directs credit unions to the National Credit Union Administration, on with information regarding the October 2, 2019. establish a Bank Secrecy Act (BSA) requester’s grounds for the request. This compliance program that maintains Dated: October 2, 2019. process is also known as a ‘‘Touhy procedures designed to assure and Mackie I. Malaka, Request’’. The information collected monitor compliance with the NCUA PRA Clearance Officer. will help NCUA decide whether to requirement of 31 U.S.C., Chap. 53, [FR Doc. 2019–21801 Filed 10–4–19; 8:45 am] release non-public records or permit Subchapter II (sec. 5301–5329), the BILLING CODE 7535–01–P employees to testify in legal Bank Secrecy Act (31 U.S.C. 5318(g)), proceedings. NCUA regulations also and 31 CFR Chapter X (parts 1000– require an entity or person in possession 1099), Financial Crimes Enforcement NATIONAL CREDIT UNION of NCUA records to notify the NCUA Network, Department of the Treasury. ADMINISTRATION upon receipt of a subpoena for those Each federally insured credit union records. The NCUA requires this notice (FICU) must develop and provide for the Agency Information Collection to protect its records and, when continued administration of a BSA Activities: Proposed Collection; necessary, intervene in litigation or file compliance program to assure and Comment Request; Production of Non- an objection to the disclosure of its monitor compliance with the Public Records and Testimony of confidential information in the recordkeeping and recording Employees in Legal Proceedings appropriate court or tribunal. requirements prescribed by the BSA. At (Touhy Request) Affected Public: Private Sector: a minimum, a compliance program shall AGENCY: National Credit Union Businesses or other for-profits. provide for a system of internal controls, Administration (NCUA). Estimated Total Annual Burden Hours: 80. independent testing for compliance, ACTION: Notice and request for comment. designation of an individual responsible By Gerard Poliquin, Secretary of the Board, for coordinating and monitoring day-to- SUMMARY: The National Credit Union the National Credit Union Administration, on day compliance; and training. NCUA Administration (NCUA), as part of a October 2, 2019.

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Dated: October 2, 2019. Antarctic Peninsula. There is the SUPPLEMENTARY INFORMATION: The Mackie I. Malaka, potential for slight disturbance of the National Science Foundation (NSF), as NCUA PRA Clearance Officer. birds during surveying and censusing. directed by the Antarctic Conservation [FR Doc. 2019–21800 Filed 10–4–19; 8:45 am] This permit addresses the potential for Act of 1978 (Pub. L. 95–541, 45 CFR BILLING CODE 7535–01–P infrequent, minimal take or harmful part 671), as amended by the Antarctic interference of the several penguin and Science, Tourism and Conservation Act other seabird species. While conducting of 1996, has developed regulations for NATIONAL SCIENCE FOUNDATION visitor site surveys and censuses, the the establishment of a permit system for permit holder and agents may enter a various activities in Antarctica and Notice of Permit Modification Received number of ASPAs in the Antarctic designation of certain animals and Under the Antarctic Conservation Act Peninsula region. Now the permit certain geographic areas a requiring of 1978 holder proposes a modification to his special protection. permit to collect samples from adult 1. NSF issued a permit (ACA 2015– AGENCY: National Science Foundation. gentoo penguins (Pygoselis papua) for 010) to Lockheed Martin Corporation on ACTION: Notice of permit modification genetic analysis in order to study range on October 31, 2014. The issued permit request. expansion, colonization of new areas, allows the permit holder to, as the and gene flow. A research team member contractor providing operational SUMMARY: The National Science with significant bird handling support for the United States Antarctic Foundation (NSF) is required to publish experience would conduct and oversee Program (USAP), be responsible for a notice of requests to modify permits activities that include capturing the waste management activities for the issued to conduct activities regulated penguins by hand or handheld net, USAP. A recent modification to this under the Antarctic Conservation Act of temporary restraint, plucking of five permit, dated November 7, 2016, 1978. This is the required notice of a feathers, and sampling blood from the allowed a change in permit holder from requested permit modification. foot or flipper. Penguins will only be Lockheed Martin Corporation to Leidos DATES: Interested parties are invited to captured as they return from foraging Innovations Group (Leidos), 7400 South submit written data, comments, or trips at sea to ensure that an adult Tucson Way, Centennial, CO 80112. views with respect to this permit penguin remains on or near the nest. Now the applicant proposes a permit application by November 6, 2019. The permit holder also proposes to modification to extend the expiration Permit applications may be inspected by opportunistically salvage muscle tissue date of the permit from September 30, interested parties at the Permit Office, samples from penguin chicks found 2019 to October 31, 2019. The address below. dead. Feather, blood, and tissue samples Environmental Officer has reviewed the ADDRESSES: Comments should be would be transported to laboratories in modification request and has addressed to Permit Office, Office of the UK and USA for analysis. determined that the amendment is not Polar Programs, National Science Location: Antarctic Penisula region a material change to the permit, and it Foundation, 2415 Eisenhower Avenue, Dates of Permitted Activities: will have a less than a minor or Alexandria, Virginia 22314. December 1, 2019–August 31, 2023. transitory impact. Date of Permitted Activities: October FOR FURTHER INFORMATION CONTACT: Erika N. Davis, 31, 2014–October 31, 2019. Nature McGinn, ACA Permit Officer, at Program Specialist, Office of Polar Programs. The permit modification was issued the above address, 703–292–8030, or [FR Doc. 2019–21772 Filed 10–4–19; 8:45 am] on September 30, 2019. [email protected]. BILLING CODE 7555–01–P SUPPLEMENTARY INFORMATION: The Erika N. Davis, National Science Foundation, as Program Specialist, Office of Polar Programs. directed by the Antarctic Conservation NATIONAL SCIENCE FOUNDATION [FR Doc. 2019–21773 Filed 10–4–19; 8:45 am] Act of 1978 (Pub. L. 95–541), as BILLING CODE 7555–01–P amended by the Antarctic Science, Notice of Permit Modification Received Tourism and Conservation Act of 1996, Under the Antarctic Conservation Act of 1978 has developed regulations for the NATIONAL TRANSPORTATION establishment of a permit system for AGENCY: National Science Foundation. SAFETY BOARD various activities in Antarctica and ACTION: Notice of permit modification designation of certain animals and request received and permit issued. Sunshine Act Meeting certain geographic areas a requiring TIME AND DATE: special protection. The regulations SUMMARY: The National Science 9:30 a.m., Tuesday, establish such a permit system to Foundation (NSF) is required to publish October 22, 2019. designate Antarctic Specially Protected a notice of requests to modify permits PLACE: NTSB Conference Center, 429 Areas. issued to conduct activities regulated L’Enfant Plaza SW, Washington, DC Description of Permit Modification and permits issued under the Antarctic 20594. Requested: The Foundation issued a Conservation Act of 1978. NSF has STATUS: The one item is open to the permit (ACA 2019–001) to Ron Naveen, published regulations under the public. Oceanites Inc., on August 7, 2018. The Antarctic Conservation Act in the Code MATTERS TO BE CONSIDERED: 59567 issued permit allows the permit holder of Federal Regulations. This is the Highway Accident Report—Pedestrian and agents to engage in take and required notice of a requested permit Bridge Collapse Over SW 8th Street, harmful interference, as well as to enter modification and permit issued. Miami, Florida, March 15, 2018. Antarctic Specially Protected Areas FOR FURTHER INFORMATION CONTACT: CONTACT PERSON FOR MORE INFORMATION: (ASPAs), to continue data collections Nature McGinn, ACA Permit Officer, Candi Bing at (202) 314–6403 or by activities conducted to support the Office of Polar Programs, National email at [email protected]. Antarctic Site Inventory. Visitor site Science Foundation, 2415 Eisenhower Media Information Contact: Chris surveys may include censusing penguin Avenue, Alexandria, VA 22314; 703– O’Neil by email at [email protected] and seabird colonies throughout the 292–8224; email: [email protected]. or at (202) 314–6100

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The press and public may enter the SUPPLEMENTARY INFORMATION: submission to the OMB, then you NTSB Conference Center one hour prior should inform those persons not to I. Obtaining Information and to the meeting for set up and seating. include identifying or contact Submitting Comments Individuals requesting specific information that they do not want to be accommodations should contact A. Obtaining Information publicly disclosed in their comment Rochelle McCallister at (202) 314–6305 Please refer to Docket ID NRC–2019– submission. Your request should state or by email at Rochelle.McCallister@ 0067 when contacting the NRC about that comment submissions are not ntsb.gov by Wednesday, October 16, the availability of information for this routinely edited to remove such 2019. action. You may obtain publicly- information before making the comment The public may view the meeting via available information related to this submissions available to the public or a live or archived webcast by accessing action by any of the following methods: entering the comment into ADAMS. a link under ‘‘News & Events’’ on the • Federal Rulemaking Website: Go to II. Background NTSB home page at www.ntsb.gov. https://www.regulations.gov and search Schedule updates, including weather- for Docket ID NRC–2019–0067. A copy Under the provisions of the related cancellations, are also available of the collection of information and Paperwork Reduction Act of 1995 (44 at www.ntsb.gov. related instructions may be obtained U.S.C. Chapter 35), the NRC recently The National Transportation Safety without charge by accessing Docket ID submitted a request for renewal of an Board is holding this meeting under the NRC–2019–0067 on this website. existing collection of information to Government in the Sunshine Act, 5 • NRC’s Agencywide Documents OMB for review entitled, ‘‘10 CFR part U.S.C. 552(b). Access and Management System 21, Reporting of Defects and Noncompliance.’’ The NRC hereby Dated: Friday October 3, 2019. (ADAMS): You may obtain publicly- available documents online in the informs potential respondents that an LaSean R. McCray, ADAMS Public Documents collection at agency may not conduct or sponsor, and Alternate Federal Register Liaison Officer. https://www.nrc.gov/reading-rm/ that a person is not required to respond [FR Doc. 2019–21918 Filed 10–3–19; 4:15 pm] adams.html. To begin the search, select to, a collection of information unless it BILLING CODE 7533–01–P ‘‘Begin Web-based ADAMS Search.’’ For displays a currently valid OMB control problems with ADAMS, please contact number. the NRC’s Public Document Room (PDR) The NRC published a Federal NUCLEAR REGULATORY reference staff at 1–800–397–4209, 301– Register notice with a 60-day comment COMMISSION 415–4737, or by email to pdr.resource@ period on this information collection on July 1, 2019, 84 FR 21259. [NRC–2019–0067] nrc.gov. The supporting statement and burden tables are available in ADAMS 1. The title of the information Information Collection: Reporting of under ML19206A088 and collection: Reporting of Defects and Defects and Noncompliance ML19123A213. Noncompliance. • NRC’s PDR: You may examine and 2. OMB approval number: 3150–0035. AGENCY: Nuclear Regulatory purchase copies of public documents at 3. Type of submission: Extension. Commission. the NRC’s PDR, Room O1–F21, One 4. The form number if applicable: Not ACTION: Renewal of existing information White Flint North, 11555 Rockville applicable. collection; request for comment. Pike, Rockville, Maryland 20852. 5. How often the collection is required • NRC’s Clearance Officer: A copy of or requested: On occasion. Defects and SUMMARY: The U.S. Nuclear Regulatory the collection of information and related noncompliances are reportable as they Commission (NRC) has recently instructions may be obtained without occur. submitted a request for renewal of an charge by contacting the NRC’s 6. Who will be required or asked to existing collection of information to the Clearance Officer, David Cullison, respond: Individual directors and Office of Management and Budget Office of the Chief Information Officer, responsible officers of firms (OMB) for review. The information U.S. Nuclear Regulatory Commission, constructing, owning, operating, or collection is entitled, ‘‘Reporting of Washington, DC 20555–0001; telephone: supplying the basic components of any Defects and Noncompliance.’’ 301–415–2084; email: facility or activity licensed under the DATES: Submit comments by November [email protected]. Atomic Energy Act of 1954, as amended, or the Energy Reorganization Act of 6, 2019. Comments received after this B. Submitting Comments date will be considered if it is practical 1974, as amended, to report to do so, but the Commission is able to Please include Docket ID NRC–2019– immediately to the NRC the discovery of ensure consideration only for comments 0067 in the subject line of your defects in basic components or failures received on or before this date. comment submission, in order to ensure to comply that could create a substantial that the NRC is able to make your safety hazard. ADDRESSES: Submit comments directly comment submission available to the 7. The estimated number of annual to the OMB reviewer at: OMB Office of public in this docket. responses: 800 (88 reporting responses + Information and Regulatory Affairs The NRC cautions you not to include 357 third-party disclosure responses + (3150–0090), Attn: Desk Officer for the identifying or contact information in 355 recordkeepers). Nuclear Regulatory Commission, 725 comment submissions that you do not 8. The estimated number of annual 17th Street NW, Washington, DC 20503; want to be publicly disclosed in your respondents: 355. _ email: oira [email protected]. comment submission. All comment 9. An estimate of the total number of FOR FURTHER INFORMATION CONTACT: submissions are posted at https:// hours needed annually to comply with David Cullison, Office of the Chief www.regulations.gov and entered into the information collection requirement Information Officer, U.S. Nuclear ADAMS. Comment submissions are not or request: 32,083 (6,500 reporting hours Regulatory Commission, Washington, routinely edited to remove identifying + 25,215 hours recordkeeping + 368 DC 20555–0001; telephone: 301–415– or contact information. hours third party disclosure). 2084; email: Infocollects.Resource@ If you are requesting or aggregating 10. Abstract: Part 21 of title 10 of the nrc.gov. comments from other persons for Code of Federal Regulations (10 CFR),

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requires each individual, corporation, Regulations.gov to Jennifer Borges; Regulatory Commission, Washington, partnership, commercial grade telephone: 301–287–9127; email: DC 20555–0001; telephone: 301–415– dedicating entity, or other entity subject [email protected]. For technical 2084; email: Infocollects.Resource@ to the regulations in this part to adopt questions, contact the individual listed nrc.gov. in the FOR FURTHER INFORMATION appropriate procedures to evaluate B. Submitting Comments deviations and failures to comply to CONTACT section of this document determine whether a defect exists that • Mail comments to: David Cullison, Please include Docket ID NRC–2019– could result in a substantial safety Office of the Chief Information Officer, 0136 in the subject line of your hazard. Depending upon the outcome of Mail Stop: T6–A10M, U.S. Nuclear comment submission, in order to ensure the evaluation, a report of the defect Regulatory Commission, Washington, that the NRC is able to make your must be submitted to the NRC. Reports DC 20555–0001. comment submission available to the submitted under 10 CFR part 21 are For additional direction on obtaining public in this docket. reviewed by the NRC staff to determine information and submitting comments, The NRC cautions you not to include whether the reported defects or failures see ‘‘Obtaining Information and identifying or contact information in to comply in basic components at the Submitting Comments’’ in the comment submissions that you do not NRC licensed facilities or activities are SUPPLEMENTARY INFORMATION section of want to be publicly disclosed in your potentially generic safety problems. this document. comment submission. The NRC will These reports have been the basis for the FOR FURTHER INFORMATION CONTACT: post all comment submissions at https:// issuance of numerous NRC Generic David Cullison, Office of the Chief www.regulations.gov as well as enter the Communications that have contributed Information Officer, U.S. Nuclear comment submissions into ADAMS, to the improved safety of the nuclear Regulatory Commission, Washington, and the NRC does not routinely edit comment submissions to remove industry. The records required to be DC 20555–0001; telephone: 301–415– identifying or contact information. maintained in accordance with 10 CFR 2084; email: Infocollects.Resource@ If you are requesting or aggregating nrc.gov. part 21 are subject to inspection by the comments from other persons for NRC to determine compliance with the SUPPLEMENTARY INFORMATION: submission to the NRC, then you should subject regulation. I. Obtaining Information and inform those persons not to include Dated at Rockville, Maryland, this 1st day Submitting Comments identifying or contact information that of October, 2019. they do not want to be publicly For the Nuclear Regulatory Commission. A. Obtaining Information disclosed in their comment submission. Kristen E. Benney, Please refer to Docket ID NRC–2019– Your request should state that the NRC Acting NRC Clearance Officer, Office of the 0136 when contacting the NRC about does not routinely edit comment Chief Information Officer. the availability of information for this submissions to remove such information [FR Doc. 2019–21743 Filed 10–4–19; 8:45 am] action. You may obtain publicly- before making the comment BILLING CODE 7590–01–P available information related to this submissions available to the public or action by any of the following methods: entering the comment into ADAMS. • Federal Rulemaking website: Go to II. Background NUCLEAR REGULATORY https://www.regulations.gov and search COMMISSION for Docket ID NRC–2019–0136. A copy In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. [NRC–2019–0136] of the collection of information and related instructions may be obtained Chapter 35), the NRC is requesting Information Collection: Requests to without charge by accessing Docket ID public comment on its intention to Federally Recognized Indian Tribes for NRC–2019–0136 on this website. request the OMB’s approval for the Information • NRC’s Agencywide Documents information collection summarized Access and Management System below. AGENCY: Nuclear Regulatory (ADAMS): You may obtain publicly- 1. The title of the information Commission. available documents online in the collection: Requests to Federally ACTION: Proposed information ADAMS Public Documents collection at Recognized Indian Tribes for collection; request for comment. https://www.nrc.gov/reading-rm/ Information. 2. OMB approval number: An OMB adams.html. To begin the search, select SUMMARY: The U.S. Nuclear Regulatory control number has not yet been ‘‘Begin Web-based ADAMS Search.’’ For Commission (NRC) invites public assigned to this proposed information problems with ADAMS, please contact comment on this proposed collection of collection. the NRC’s Public Document Room (PDR) information. The information collection 3. Type of submission: New. reference staff at 1–800–397–4209, 301– is entitled, ‘‘Requests to Federally 4. The form number, if applicable: 415–4737, or by email to pdr.resource@ Recognized Indian Tribes for Not applicable. nrc.gov. The supporting statement is Information.’’ 5. How often the collection is required available in ADAMS under Accession or requested: On occasion. DATES: Submit comments by December No. ML19113A097. 6. Who will be required or asked to • 6, 2019. Comments received after this NRC’s PDR: You may examine and respond: Federally recognized Indian date will be considered if it is practical purchase copies of public documents at Tribes. to do so, but the Commission is able to the NRC’s PDR, Room O1–F21, One 7. The estimated number of annual ensure consideration only for comments White Flint North, 11555 Rockville responses: 600. received on or before this date. Pike, Rockville, Maryland 20852. 8. The estimated number of annual ADDRESSES: You may submit comments • NRC’s Clearance Officer: A copy of respondents: 40. by any of the following methods: the collection of information and related 9. The estimated number of hours • Federal Rulemaking website: Go to instructions may be obtained without needed annually to comply with the https://www.regulations.gov and search charge by contacting NRC’s Clearance information collection requirement or for Docket ID NRC–2019–0136. Address Officer, David Cullison, Office of the request: 4,800 (14,400 over the course of questions about NRC docket IDs in Chief Information Officer, U.S. Nuclear the three year clearance period).

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10. Abstract: NRC actions and NRC- Regulatory Commission to add a I. Self-Regulatory Organization’s regulated activities may affect Indian domestic shipping services contract to Statement of the Terms of Substance of Tribes and their current or ancestral the list of Negotiated Service the Proposed Rule Change Tribal lands. On January 9, 2017, the Agreements in the Mail Classification Cboe Exchange, Inc. (the ‘‘Exchange’’ NRC published a Tribal Policy Schedule’s Competitive Products List. or ‘‘Cboe Options’’) proposes to move Statement (82 FR 2402). In its Tribal DATES: Date of required notice: October the Rules in Chapter XIII of the Policy Statement, the NRC indicted that 7, 2019. currently effective Rulebook (‘‘current it recognizes the Federal Trust FOR FURTHER INFORMATION CONTACT: Rulebook’’), which governs net capital Relationship with Indian Tribes and Sean Robinson, 202–268–8405. requirements, to proposed Chapter 11 of will uphold its Trust Responsibility to the shell structure for the Exchange’s Indian Tribes. In its policy statement, SUPPLEMENTARY INFORMATION: The United States Postal Service® hereby Rulebook that will become effective the NRC indicated that it recognizes and upon the migration of the Exchange’s is committed to a government-to- gives notice that, pursuant to 39 U.S.C. 3642 and 3632(b)(3), on October 2, 2019, trading platform to the same system government relationship with Indian used by the Cboe Affiliated Exchanges Tribes. The NRC also indicated that it it filed with the Postal Regulatory Commission a USPS Request to Add (as defined below) (‘‘shell Rulebook’’). will engage in timely consultations with The text of the proposed rule change is Indian Tribes. The NRC is requesting Priority Mail Express & Priority Mail Contract 100 to Competitive Product provided in Exhibit 5. OMB approval of a plan for a generic The text of the proposed rule change List. Documents are available at collection of information. The need and is also available on the Exchange’s www.prc.gov, Docket Nos. MC2020–1, practicality of the collection can be website (http://www.cboe.com/ CP2020–1. evaluated, but the details of the specific AboutCBOE/ individual collections will not be Sean Robinson, CBOELegalRegulatoryHome.aspx), at known until a later time. The Attorney, Corporate and Postal Business Law. the Exchange’s Office of the Secretary, information collected will include [FR Doc. 2019–21798 Filed 10–4–19; 8:45 am] and at the Commission’s Public voluntary requests for information that BILLING CODE 7710–12–P Reference Room. would allow the NRC to more effectively involve Indian Tribes in the II. Self-Regulatory Organization’s NRC’s regulatory activities and to enable Statement of the Purpose of, and the NRC to plan the NRC’s Tribal SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule outreach and consultation activities. COMMISSION Change In its filing with the Commission, the III. Specific Requests for Comments [Release No. 34–87188; File No. SR–CBOE– Exchange included statements The NRC is seeking comments that 2019–066] concerning the purpose of and basis for address the following questions: the proposed rule change and discussed 1. Is the proposed collection of Self-Regulatory Organizations; Cboe any comments it received on the information necessary for the NRC to Exchange, Inc.; Notice of Filing and proposed rule change. The text of these properly perform its functions? Does the Immediate Effectiveness of a Proposed statements may be examined at the information have practical utility? Rule Change To Move the Rules in places specified in Item IV below. The 2. Is the estimate of the burden of the Chapter XIII of the Currently Effective Exchange has prepared summaries, set information collection accurate? Rulebook, Which Governs Net Capital forth in sections A, B, and C below, of 3. Is there a way to enhance the Requirements, to Proposed Chapter 11 the most significant aspects of such quality, utility, and clarity of the of the Shell Structure for the statements. information to be collected? Exchange’s Rulebook 4. How can the burden of the A. Self-Regulatory Organization’s information collection on respondents October 1, 2019 Statement of the Purpose of, and be minimized, including the use of Pursuant to Section 19(b)(1) of the Statutory Basis for, the Proposed Rule automated collection techniques or Securities Exchange Act of 1934 (the Change ‘‘Act’’),1 and Rule 19b–4 thereunder,2 other forms of information technology? 1. Purpose notice is hereby given that on Dated at Rockville, Maryland, this 1st day In 2016, the Exchange’s parent of October, 2019. September 25, 2019, Cboe Exchange, company, Cboe Global Markets, Inc. For the Nuclear Regulatory Commission. Inc. (the ‘‘Exchange’’ or ‘‘Cboe Options’’) filed with the Securities and (formerly named CBOE Holdings, Inc.) Kristen E. Benney, Exchange Commission (the (‘‘Cboe Global’’), which is also the Acting NRC Clearance Officer, Office of the ‘‘Commission’’) the proposed rule parent company of Cboe C2 Exchange, Chief Information Officer. change as described in Items I, and II Inc. (‘‘C2’’), acquired Cboe EDGA [FR Doc. 2019–21744 Filed 10–4–19; 8:45 am] below, which Items have been prepared Exchange, Inc. (‘‘EDGA’’), Cboe EDGX BILLING CODE 7590–01–P by the Exchange. The Exchange filed the Exchange, Inc. (‘‘EDGX’’ or ‘‘EDGX proposal as a ‘‘non-controversial’’ Options’’), Cboe BZX Exchange, Inc. proposed rule change pursuant to (‘‘BZX’’ or ‘‘BZX Options’’), and Cboe POSTAL SERVICE Section 19(b)(3)(A)(iii) of the Act 3 and BYX Exchange, Inc. (‘‘BYX’’ and, Rule 19b–4(f)(6) thereunder.4 The together with Cboe Options, C2, EDGX, Product Change—Priority Mail Express Commission is publishing this notice to EDGA, and BZX, the ‘‘Cboe Affiliated and Priority Mail Negotiated Service solicit comments on the proposed rule Exchanges’’). The Cboe Affiliated Agreement change from interested persons. Exchanges are working to align certain AGENCY: Postal ServiceTM. system functionality, retaining only ACTION: Notice. 1 15 U.S.C. 78s(b)(1). intended differences, between the Cboe 2 17 CFR 240.19b–4. Affiliated Exchanges, in the context of a SUMMARY: The Postal Service gives 3 15 U.S.C. 78s(b)(3)(A)(iii). technology migration. Cboe Options notice of filing a request with the Postal 4 17 CFR 240.19b–4(f)(6). intends to migrate its trading platform to

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the same system used by the Cboe Rulebook will contain the Rules that Exchange notes that in addition to Affiliated Exchanges, which the will be in place upon completion of the relocating the net capital requirement Exchange expects to complete on Cboe Options technology migration. rules to proposed Chapter 11 in the October 7, 2019. In connection with this The Exchange proposes to relocate shell Rulebook, the proposed rule technology migration, the Exchange has current Chapter XIII, which governs net change deletes the rules from the a shell Rulebook that resides alongside capital requirements, to proposed current Rulebook. The proposed rule its current Rulebook, which shell Chapter 11 in the shell Rulebook. The change relocates the rules as follows:

Current rule Proposed rule

Rule 13.1 (Minimum Requirements) ...... Rule 11.1 (Minimum Requirements). Rule 13.2 (‘‘Early Warning’’ Notification Requirements) ...... Rule 11.2 (‘‘Early Warning’’ Notification Requirements). Rule 13.3 (Power of President to Impose Restrictions) ...... Rule 11.3 (Power of President to Impose Restrictions). Rule 13.4 (Joint Back Office Participants) ...... Rule 11.4 (Joint Back Office Participants). Rule 13.5 (Customer Portfolio Margin Accounts) ...... Rule 11.5 (Customer Portfolio Margin Accounts).

The proposed changes are of a non- migration on October 7, 2019. As such, interest; (ii) impose any significant substantive nature and will not amend the proposed rule change is designed to burden on competition; and (iii) become the relocated rules other than to update promote just and equitable principles of operative for 30 days from the date on their rule numbers, conform paragraph trade, to remove impediments to and which it was filed, or such shorter time structure and number/lettering format to perfect the mechanism of a free and as the Commission may designate, it has that of the shell Rulebook, and make open market and a national market become effective pursuant to Section cross-reference changes to shell rules. system, and, in general to protect 19(b)(3)(A) of the Act 8 and Rule 19b– investors and the public interest, by 4(f)(6) thereunder.9 2. Statutory Basis improving the way the Exchange’s A proposed rule change filed The Exchange believes the proposed Rulebook is organized, making it easier pursuant to Rule 19b–4(f)(6) under the rule change is consistent with the to read, and, particularly, helping Act 10 normally does not become Securities Exchange Act of 1934 (the market participants better understand operative for 30 days after the date of its ‘‘Act’’) and the rules and regulations the rules of the Exchange, which will filing. However, Rule 19b–4(f)(6)(iii) 11 thereunder applicable to the Exchange also result in less burdensome and more permits the Commission to designate a and, in particular, the requirements of efficient regulatory compliance. shorter time if such action is consistent 5 Section 6(b) of the Act. Specifically, with the protection of investors and the the Exchange believes the proposed rule B. Self-Regulatory Organization’s Statement on Burden on Competition public interest. The Exchange has asked change is consistent with the Section the Commission to waive the 30-day 6 6(b)(5) requirements that the rules of The Exchange does not believe that operative delay. The Exchange believes an exchange be designed to prevent the proposed rule change will impose that waiver of the operative delay is fraudulent and manipulative acts and any burden on competition not appropriate because, as the Exchange practices, to promote just and equitable necessary or appropriate in furtherance discussed above, its proposal does not principles of trade, to foster cooperation of the purposes of the Act. The make any substantive changes to the and coordination with persons engaged proposed rule change is not intended as Exchange Rules, but merely relocates in regulating, clearing, settling, a competitive change, but rather, seeks net capital rules to the shell Rulebook processing information with respect to, to make non-substantive rule changes in that the Exchange wishes to maintain and facilitating transactions in relocating the rules and updating cross- post migration. Accordingly, its securities, to remove impediments to references to shell rules in anticipation proposal is designed to preserve its net and perfect the mechanism of a free and of the October 7, 2019 technology capital rules after October 7, 2019. The open market and a national market migration. The Exchange also does not Commission believes that waiver of the system, and, in general, to protect believe that the proposed rule change 30-day operative delay is consistent investors and the public interest. will impose any undue burden on with the protection of investors and the Additionally, the Exchange believes the competition because the relocated rule public interest because the proposal proposed rule change is consistent with text is exactly the same as the does not raise any new or novel issues 7 the Section 6(b)(5) requirement that Exchange’s current rules, all of which and makes only non-substantive the rules of an exchange not be designed have all been previously filed with the changes to the rules. Therefore, the to permit unfair discrimination between Commission. Commission hereby waives the customers, issuers, brokers, or dealers. C. Self-Regulatory Organization’s As stated, the proposed rule change Statement on Comments on the 8 15 U.S.C. 78s(b)(3)(A). makes no substantive changes to the Proposed Rule Change Received From 9 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– rules. The proposed rule change is Members, Participants, or Others 4(f)(6)(iii) requires a self-regulatory organization to merely intended to relocate the give the Commission written notice of its intent to Exchange’s rules to the shell Rulebook The Exchange neither solicited nor file the proposed rule change, along with a brief received comments on the proposed description and text of the proposed rule change, and update their numbers, paragraph at least five business days prior to the date of filing structure, including number and rule change. of the proposed rule change, or such shorter time lettering format, and cross-references to III. Date of Effectiveness of the as designated by the Commission. Because this conform to the shell Rulebook as a proposal does not make any substantive changes to Proposed Rule Change and Timing for the rules but only moves them into the shell whole in anticipation of the technology Commission Action Rulebook, the Commission designates a shorter time under Rule 19b–4(f)(6)(iii) by waiving the five 5 15 U.S.C. 78f(b). Because the foregoing proposed rule business prefiling period for this proposal. 6 15 U.S.C. 78f(b)(5). change does not: (i) Significantly affect 10 17 CFR 240.19b–4(f)(6). 7 Id. the protection of investors or the public 11 17 CFR 240.19b–4(f)(6)(iii).

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operative delay and designates the business days between the hours of SUMMARY OF APPLICATION The Section 26 proposal as operative upon filing.12 10:00 a.m. and 3:00 p.m. Copies of the Applicants seek an order pursuant to At any time within 60 days of the filing also will be available for section 26(c) of the Act, approving the filing of the proposed rule change, the inspection and copying at the principal substitution of shares issued by certain Commission summarily may office of the Exchange. All comments investment portfolios (the ‘‘Existing temporarily suspend such rule change if received will be posted without change. Portfolios’’) of Mutual of America it appears to the Commission that such Persons submitting comments are Investment Corporation (‘‘Investment action is necessary or appropriate in the cautioned that we do not redact or edit Corporation I’’) for shares of certain public interest, for the protection of personal identifying information from investment portfolios of the Investment investors, or otherwise in furtherance of comment submissions. You should Corporation II (the ‘‘Replacement the purposes of the Act. If the submit only information that you wish Portfolios’’), held by the Separate Commission takes such action, the to make available publicly. All Accounts to support certain variable Commission shall institute proceedings submissions should refer to File annuity insurance contracts (‘‘Non- to determine whether the proposed rule Number SR–CBOE–2019–066 and Qualified Annuity Contracts’’) and change should be approved or should be submitted on or before variable life insurance contracts (the disapproved. October 28, 2019. ‘‘Life Insurance Contracts’’).1 The IV. Solicitation of Comments For the Commission, by the Division of Section 17 Applicants seek an order pursuant to section 17(b) of the Act Interested persons are invited to Trading and Markets, pursuant to delegated authority.13 exempting them from section 17(a) of submit written data, views and the Act to the extent necessary to permit arguments concerning the foregoing, Jill M. Peterson, Assistant Secretary. them to engage in certain in-kind including whether the proposed rule transactions. change is consistent with the Act. [FR Doc. 2019–21729 Filed 10–4–19; 8:45 am] FILING DATES: Comments may be submitted by any of BILLING CODE 8011–01–P The application was filed the following methods: on May 15, 2019 and amended on August 20, 2019 and September 27, Electronic Comments SECURITIES AND EXCHANGE 2019. • Use the Commission’s internet COMMISSION HEARING OR NOTIFICATION OF HEARING: An comment form (http://www.sec.gov/ order granting the requested relief will rules/sro.shtml); or be issued unless the Commission orders • [Investment Company Act Release No. Send an email to rule-comments@ 33654; File No. 812–15033] a hearing. Interested persons may sec.gov. Please include File Number SR– request a hearing by writing to the CBOE–2019–066 on the subject line. Mutual of America Life Insurance Secretary of the Commission and Company, et al. Paper Comments serving the Applicants with a copy of the request, personally or by mail. • October 2, 2019. Send paper comments in triplicate Hearing requests should be received by AGENCY: to Secretary, Securities and Exchange Securities and Exchange the Commission by 5:30 p.m. on Commission, 100 F Street NE, Commission (‘‘Commission’’). October 28, 2019 and should be Washington, DC 20549–1090. ACTION: Notice. accompanied by proof of service on the All submissions should refer to File Applicants in the form of an affidavit or, Notice of application for an order Number SR–CBOE–2019–066. This file for lawyers, a certificate of service. approving the substitution of certain number should be included on the Pursuant to rule 0–5 under the Act, securities pursuant to section 26(c) of subject line if email is used. To help the hearing requests should state the nature the Investment Company Act of 1940, as Commission process and review your of the writer’s interest, any facts bearing amended (the ‘‘Act’’) and an order of comments more efficiently, please use upon the desirability of a hearing on the exemption pursuant to section 17(b) of only one method. The Commission will matter, the reason for the request, and the Act from section 17(a) of the Act. post all comments on the Commission’s the issues contested. Persons who wish internet website (http://www.sec.gov/ APPLICANTS: Mutual of America Life to be notified of a hearing may request rules/sro.shtml). Copies of the Insurance Company (‘‘Mutual of notification by writing to the submission, all subsequent America’’), Wilton Reassurance Life Commission’s Secretary. amendments, all written statements Company of New York (‘‘Wilton,’’ and ADDRESSES: Secretary, Securities and with respect to the proposed rule together with Mutual of America, the Exchange Commission, 100 F Street NE, change that are filed with the ‘‘Companies’’), Mutual of America Washington, DC 20549–1090. Commission, and all written Separate Account No. 2, Mutual of Applicants: Mutual of America Life communications relating to the America Separate Account No. 3, Insurance Company, 320 Park Avenue, proposed rule change between the American Separate Account No. 2, and New York, New York 10022. Commission and any person, other than American Separate Account No. 3 (the those that may be withheld from the ‘‘Separate Accounts,’’ and together with FOR FURTHER INFORMATION CONTACT: Hae- public in accordance with the the Companies, the ‘‘Section 26 Sung Lee, Senior Counsel, at (202) 551– provisions of 5 U.S.C. 552, will be Applicants’’); and Mutual of America 7345, or Trace W. Rakestraw, Branch available for website viewing and Variable Insurance Portfolios, Inc. Chief at (202) 551–6825 (Division of printing in the Commission’s Public (‘‘Investment Corporation II’’) and Reference Room, 100 F Street NE, Mutual of America Capital Management 1 The variable annuity contracts that are issued in connection with retirement plans or individual Washington, DC 20549, on official LLC (the ‘‘Adviser,’’ and collectively retirement annuities under the Code (other than the with Investment Corporation II and the individual retirement annuities issued by American 12 For purposes only of waiving the 30-day Section 26 Applicants, the ‘‘Section 17 Separate Account No. 2) are referred to herein as operative delay, the Commission also has Applicants’’). the ‘‘Qualified Annuity Contracts.’’ The Non- considered the proposed rule’s impact on Qualified Annuity Contracts, the Life Insurance efficiency, competition, and capital formation. See Contracts, and the Qualified Annuity Contracts are 15 U.S.C. 78c(f). 13 17 CFR 200.30–3(a)(12). collectively referred to herein as the ‘‘Contracts.’’

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Investment Management, Chief authority and responsibility to take all Securities Act of 1933, as amended (the Counsel’s Office). actions in regard to American Separate ‘‘1933 Act’’) on Form N–4 or Form N– SUPPLEMENTARY INFORMATION: The Account No. 2 and American Separate 6 (or, in the case of the variable life following is a summary of the Account No. 3, under an agreement with insurance contract supported by application. The complete application the holding company, and assumptively American Separate Account No. 3, on may be obtained via the Commission’s reinsured the variable contracts offered Form S–6). Each Contract has particular website by searching for the file through those accounts. fees, charges, and investment options, as number, or for an Applicant using the 3. Each Separate Account meets the described in the Contracts’ respective Company name box, at http:// definition of ‘‘separate account,’’ as prospectuses. www.sec.gov.search/search.htm, or by defined in section 2(a)(37) of the Act 5. As set forth under each Contract, as calling (202) 551–8090. and rule 0–1(e) thereunder. The well as in the prospectus for each Separate Accounts are registered with Contract, the Companies reserve the Applicants’ Representations the Commission under the Act as unit right to substitute shares of the 1. Mutual of America is a mutual life investment trusts. The assets of the underlying fund for shares of another insurance company organized under the Separate Accounts support the underlying fund. The substitutions will laws of the state of New York and is Contracts and interests in the Separate be performed only for the Non-Qualified authorized to transact its business in 50 Accounts offered through such Annuity Contracts and the Life states and the District of Columbia. Contracts. The Companies are the legal Insurance Contracts. The substitutions 2. Wilton is a life insurance company owners of the assets in their respective will not affect the Qualified Annuity organized under New York law and is Separate Accounts. The Separate Contracts. authorized to transact the business of Accounts are segmented into 6. The Companies, on their own life insurance, including annuities, in subaccounts, and each subaccount behalf and on behalf of their Separate all 50 states, the Virgin Islands, and the invests in an underlying registered Accounts, propose to exercise their District of Columbia. Wilton was a open-end management investment contractual rights to substitute wholly-owned subsidiary of a holding company or series thereof. underlying funds currently available company that was, in turn, 100% owned 4. The Contracts are individual and under the Contracts for different by Mutual of America. Mutual of group flexible premium variable annuity underlying funds (‘‘Substitutions’’ or America sold the holding company that and variable life insurance contracts. each, a ‘‘Substitution’’), as shown in the owned Wilton but retained full Each Contract is registered under the table below:

Substitution No. Existing portfolio Replacement portfolio

1 ...... Equity Index Fund ...... Equity Index Portfolio. 2 ...... All America Fund ...... All America Portfolio. 3 ...... Small Cap Value Fund ...... Small Cap Value Portfolio. 4 ...... Small Cap Growth Fund ...... Small Cap Growth Portfolio. 5 ...... Small Cap Equity Index Fund ...... Small Cap Equity Index Portfolio. 6 ...... Mid Cap Value Fund ...... Mid Cap Value Portfolio. 7 ...... Mid-Cap Equity Index Fund ...... Mid-Cap Equity Index Portfolio. 8 ...... Composite Fund ...... Moderate Allocation Portfolio. 9 ...... International Fund ...... International Portfolio. 10 ...... Money Market Fund ...... Money Market Portfolio. 11 ...... Mid-Term Bond Fund ...... Mid-Term Bond Portfolio. 12 ...... Bond Fund ...... Bond Portfolio. 13 ...... Retirement Income Fund ...... Retirement Income Portfolio. 14 ...... 2010 Retirement Fund ...... 2010 Retirement Portfolio. 15 ...... 2015 Retirement Fund ...... 2015 Retirement Portfolio. 16 ...... 2020 Retirement Fund ...... 2020 Retirement Portfolio. 17 ...... 2025 Retirement Fund ...... 2025 Retirement Portfolio. 18 ...... 2030 Retirement Fund ...... 2030 Retirement Portfolio. 19 ...... 2035 Retirement Fund ...... 2035 Retirement Portfolio. 20 ...... 2040 Retirement Fund ...... 2040 Retirement Portfolio. 21 ...... 2045 Retirement Fund ...... 2045 Retirement Portfolio. 22 ...... 2050 Retirement Fund ...... 2050 Retirement Portfolio. 23 ...... 2055 Retirement Fund ...... 2055 Retirement Portfolio. 24 ...... 2060 Retirement Fund ...... 2060 Retirement Portfolio. 25 ...... Conservative Allocation Fund ...... Conservative Allocation Portfolio. 26 ...... Moderate Allocation Fund ...... Moderate Allocation Portfolio. 27 ...... Aggressive Allocation Fund ...... Aggressive Allocation Portfolio.

7. The Existing Portfolios are series of which represents a separate portfolio of Maryland corporation. On June 13, Investment Corporation I, a Maryland investments. There are currently 27 2019, Investment Corporation II filed a corporation registered as an open-end series of Investment Corporation I; they new registration statement on Form N– management investment company are the Existing Portfolios. Investment 1A to register as an open-end under the Act (File No. 811–05084) and Corporation I intends to begin offering management investment company whose shares are registered under the shares of its series directly to the general under the Act (File No. 811–23449) and 1933 Act (File No. 033–06486). public through the retail market. to register shares of the Replacement Investment Corporation I issues separate 8. The Replacement Portfolios are Portfolios under the 1933 Act (File No. classes (or series) of shares, each of series of Investment Corporation II, a 333–232095). There will be 26 series of

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Investment Corporation II; they are the Replacement Portfolios will be offered 22(c) of the Act and rule 22c–1 Replacement Portfolios. Investment only under variable annuity and life thereunder without the imposition of Corporation II was formed for the insurance contracts. The Replacement any transfer or similar charges by the purpose of performing the Substitutions. Portfolios will not be sold directly to the Section 26 Applicants. The However, new series of Investment general public through the retail market. Substitutions will be effected without Corporation II may be established in the 12. Mutual of America will cause the change in the amount or value of any future, and the series of Investment Adviser to enter into a written contract Non-Qualified Annuity and Life Corporation II may be made available as with Investment Corporation II Insurance Contracts.2 investment allocation options under whereby, for a period of two years 15. Non-Qualified Annuity and Life variable insurance contracts of the following the date of substitution for Insurance Contract Owners will not Companies other than the Non- each Substitution (the ‘‘Substitution incur any fees or charges as a result of Qualified Annuity Contracts and the Date’’), the Adviser will, at least as the Substitutions. The obligations of the Life Insurance Contracts. frequently as the last business day of Section 26 Applicants, and the rights of 9. The Adviser serves as the each fiscal quarter, reimburse the the Non-Qualified Annuity and Life investment adviser for the Existing expenses of the Replacement Portfolio Insurance Contract Owners, under the Portfolios and the Replacement to the extent that the net annual Contracts will not be altered in any way. Portfolios. The Adviser is a Delaware operating expenses of the Replacement The Companies and/or their affiliates limited liability company that is Portfolio (after taking into account any (other than Investment Corporation II) registered as an investment adviser other fee waivers or expense will pay all expenses and transaction under the Investment Advisers Act of reimbursements) for such period costs of the Substitutions, including 1940. A sub-adviser has not been exceed, on an annualized basis, the net legal and accounting expenses, any engaged to manage any of the Portfolios. annual operating expenses of the applicable brokerage expenses, and 10. Applicants state that the primary Existing Portfolio for the most recent other fees and expenses. No fees or purpose of the Substitutions is to fiscal year preceding the date of the charges will be paid by the Non- preserve the favorable tax treatment of application (the ‘‘Expense Caps’’). Any Qualified Annuity and Life Insurance the Non-Qualified Annuity Contracts amounts waived or reimbursed by the Contract Owners to effect the and the Life Insurance Contracts that are Adviser will not be subject to Substitutions. The Substitutions will currently supported by the Existing recoupment rights. Any Expense Cap not cause the Contract fees and charges Portfolios. With exception of that applies to a Replacement Portfolio currently being paid by Non-Qualified Substitution No. 8, each Existing as a condition of this application is Annuity and Life Insurance Contract Portfolio and its corresponding separate and apart from any other Owners to be greater after any Replacement Portfolio have identical contractual expense reimbursement Substitution than before the investment objectives, strategies, and agreement between Investment Substitution. In addition, the risks and substantially identical fee Corporation II and the Adviser. To the Substitutions will in no way alter the structures (with different expense ratios extent that an Expense Cap caps a tax treatment of affected Contract due to differences in net assets). With Replacement Portfolio’s net annual owners in connection with their respect to Substitution No. 8, the operating expenses at a lower Contracts, and no tax liability will arise Existing Portfolio and its corresponding percentage of net assets than any other for Contract owners as a result of the Replacement Portfolio have contractual expense reimbursement Substitutions. substantially similar objectives, agreement between Investment 16. From the date of the Pre- strategies, and risks, and the Corporation II and the Adviser, such Substitution Notice (defined below) Replacement Portfolio has a lower other contractual expense through 30 days following the expense ratio. The Portfolios are advised reimbursement agreement will have no Substitution Date, Non-Qualified by the same Adviser and share a practical impact on the Replacement Annuity and Life Insurance Contract common board of directors. As such, the Portfolio’s net annual operating Owners may make at least one transfer Substitutions will permit owners of the expenses due to the operation of the of Contract value from the subaccount Non-Qualified Annuity Contracts Expense Cap. In addition, for each investing in an Existing Portfolio (before (‘‘Non-Qualified Annuity Contract Substitution, the Section 26 Applicants the Substitution) or the Replacement Owners’’) and owners of the Life will not increase the Contract fees and Portfolio (after the Substitution) to any Insurance Contracts (‘‘Life Insurance charges that would otherwise be other available subaccount under the Contract Owners’’) to maintain the assessed under the terms of the Contract without charge and without favorable tax treatment of their Non- Contracts for the Non-Qualified Annuity imposing any transfer limitations. Qualified Annuity and Life Insurance and Life Insurance Contract Owners for Further, on a Substitution Date, values Contracts and continue their a period of at least two years following investments in substantially identical the Substitution Date. 2 The Section 26 Applicants note that, because underlying funds (or a substantially 13. Applicants represent that as of the the Substitutions will occur at relative net asset similar underlying fund with respect to Substitution Date, the Separate value, and the fees and charges under the Non- Substitution No. 8). Accounts will redeem shares of the Qualified Annuity and Life Insurance Contracts will not change as a result of the Substitutions, the 11. In order to preserve that favorable applicable Existing Portfolios for cash benefits offered by the guarantees under the tax treatment, Section 26 Applicants and/or in-kind. Redemption requests Contracts will be the same immediately before and propose to reallocate contract values and purchase orders will be placed after the Substitutions. What effect the attributable to the Non-Qualified simultaneously so that the Non- Substitutions may have on the value of the benefits offered by the Contract guarantees would depend, Annuity and Life Insurance Contracts Qualified Annuity and Life Insurance among other things, on the relative future from the Existing Portfolios to the Contract values will remain fully performance of each Existing Portfolio and Replacement Portfolios. Applicants invested at all times. Replacement Portfolio, which the Section 26 represent that the Substitutions will 14. Each Substitution will be effected Applicants cannot predict. Nevertheless, the Section 26 Applicants note that at the time of the preserve the favorable tax treatment of at the relative net asset values of the Substitutions, the Contracts will offer a comparable the Non-Qualified Annuity and Life respective shares of the Replacement variety of investment options with as broad a range Insurance Contracts because the Portfolios in conformity with section of risk/return characteristics.

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under Non-Qualified Annuity and Life pursuant to section 26(c) of the Act the investment options available under Insurance Contracts attributable to approving the Substitutions. Section the Contracts. Accordingly, after the investments in the applicable Existing 26(c) prohibits any depositor or trustee Substitutions, each Non-Qualified Portfolio will be transferred to the of a unit investment trust that invests Annuity and Life Insurance Contract corresponding Replacement Portfolio exclusively in the securities of a single Owner may exercise his or her own without charge and without being issuer from substituting the securities of judgment as to the most appropriate subject to any transfer limitations. another issuer without the approval of investment alternative available under Moreover, for each Substitution, except the Commission. Section 26(c) provides the Contract. Moreover, for each with respect to frequent trading that such approval shall be granted by Substitution, the Section 26 Applicants restrictions described in the Contracts’ order from the Commission if the will offer Non-Qualified Annuity and prospectuses, the Companies will not evidence establishes that the Life Insurance Contract Owners the exercise any rights reserved under their substitution is consistent with the opportunity to transfer amounts out of policies to impose restrictions on protection of investors and the purposes the affected subaccounts which, as with transfers between the subaccounts for a of the Act. all transfers under the Contracts, will be period beginning at least 30 days before 2. The Section 26 Applicants submit without any cost or other penalty (other the Substitution Date through at least 30 that the Substitutions meet the than those necessary to implement days following the Substitution Date. standards set forth in section 26(c) and policies and procedures designed to 17. For each Substitution, at least 30 that, if implemented, the Substitutions detect and deter disruptive transfers) for days prior to the Substitution Date, Non- would not raise any of the concerns that a period beginning on the date of the Qualified Annuity and Life Insurance Congress intended to address when the Pre-Substitution Notice (which Contract Owners will be notified via Act was amended to include this supplement will be delivered to the prospectus supplements (i) that the provision. Applicants state that they are Non-Qualified Annuity and Life Section 26 Applicants received or seeking the Substitutions to preserve the Insurance Contract Owners at least 30 expect to receive Commission approval favorable tax treatment of the Non- days before the Substitution Date) and of the Substitution and (ii) of the Qualified Annuity Contracts and the ending no earlier than 30 days after the anticipated Substitution Date (the ‘‘Pre- Life Insurance Contracts. A key feature Substitution Date. The Substitutions, Substitution Notice’’). Pre-Substitution of annuity and life insurance contracts therefore, will not result in the type of Notices sent to Non-Qualified Annuity is the deferral of federal income taxes on forced redemption that section 26(c) and Life Insurance Contract Owners the accumulated earnings within such was designed to prevent. (including a subset of contract owners contracts if fund shares supporting such 5. The Substitutions are also unlike that own inactive contracts (‘‘Inactive contracts are not offered directly to the the type of substitution that section Contract Owners’’)) will be filed with general public. The Existing Portfolios 26(c) was designed to prevent in that the the Commission pursuant to rule 497(e) are presently sold in a manner that Substitutions have no impact on other under the 1933 Act. The Pre- facilitates the deferral of federal income aspects of the Contracts. Specifically, Substitution Notice will also advise taxes on the accumulated earnings the Substitutions will not affect the type Non-Qualified Annuity and Life under the Non-Qualified Annuity and of benefits offered by the Companies Insurance Contract Owners of their pre- Life Insurance Contracts. However, in under the Contracts, or numerous other and post-Substitution rights. For each an effort to expand the markets to which rights and privileges associated with the Substitution, the Section 26 Applicants the Existing Portfolios are offered, Contracts. will also deliver to affected Non- Investment Corporation I intends to 6. The Section 17 Applicants request Qualified Annuity and Life Insurance begin offering shares of the Existing an order under section 17(b) exempting Contract Owners (including Inactive Portfolios directly to the general public them from the provisions of section Contract Owners), at least 30 days through the retail market. While this 17(a) to the extent necessary to permit before the Substitution Date, a initiative will generally benefit the the Section 17 Applicants to carry out prospectus for the Replacement Existing Portfolios, and will not affect some or all of the Substitutions. The Portfolio. the tax treatment of the Qualified Section 17 Applicants state that because 18. In addition, within five business Annuity Contracts, it would result in the Substitutions may be effected, in days after the Substitution Date, Non- the Non-Qualified Annuity and Life whole or in part, by means of in-kind Qualified Annuity and Life Insurance Insurance Contracts no longer receiving redemptions and purchases, the Contract Owners (including Inactive tax deferral unless the Substitutions are Substitutions may be deemed to involve Contract Owners) whose assets were performed. one or more purchases or sales of allocated to the Replacement Portfolio 3. Companies have reserved the right securities or property between affiliated as part of the Substitution will be sent under the Contracts to substitute shares persons. a written notice (a ‘‘Confirmation’’) of another underlying fund for one of 7. Section 17(a)(1) of the Act, in informing them that the Substitution the current funds offered as an relevant part, prohibits any affiliated was carried out as previously notified. investment option under the Contracts. person of a registered investment The Confirmation will also restate the The Contracts and the Contracts’ company, or any affiliated person of information set forth in the Pre- prospectuses disclose this right. such person, acting as principal, from Substitution Notice. The Confirmation 4. The Section 26 Applicants submit knowingly selling any security or other will also reflect the values of the Non- that the Substitutions are not of the type property to that company. Section Qualified Annuity or Life Insurance that section 26 was designed to prevent 17(a)(2) of the Act generally prohibits Contract Owner’s positions in the because they will not result in costly the persons described above, acting as Existing Portfolio before the forced redemptions, nor will they affect principals, from knowingly purchasing Substitution and the Replacement any other aspects of the Contracts. In the any security or other property from the Portfolio after the Substitution. current situation, Contract owners are registered investment company. contractually provided investment 8. The Section 17 Applicants state Legal Analysis discretion during the accumulation that the proposed transactions may 1. The Section 26 Applicants request phase of the Contracts to allocate and involve a transfer of portfolio securities that the Commission issue an order reallocate their Contract values among by the Existing Portfolios to the Separate

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Accounts. Immediately thereafter, the with an investment company by its Qualified Annuity and Life Insurance Separate Accounts would purchase affiliated persons. Contract Owners, under the Non- shares of the Replacement Portfolios 11. The Section 17 Applicants also Qualified Annuity and Life Insurance with the portfolio securities received submit that the proposed in-kind Contracts will not be altered in any way. from the Existing Portfolios. purchases by the Separate Accounts are 6. For each Substitution, Non- Accordingly, the Section 17 Applicants consistent with the investment policies Qualified Annuity and Life Insurance provide that to the extent that the and restrictions of the Section 17 Contract Owners will be permitted to Companies, the Separate Accounts, the Applicants and the Replacement transfer Contract value from the Adviser, Investment Corporation II, or Portfolio. Finally, the Section 17 subaccount investing in the Existing the Replacement Portfolios are deemed Applicants submit that the Substitutions Portfolio (before the Substitution Date) to be affiliated persons of one another are consistent with the general purposes or the Replacement Portfolio (after the under section 2(a)(3) or section 2(a)(9) of of the Act. Substitution Date) to any other available subaccount without charge for a period the Act, it is conceivable that this aspect Applicants’ Conditions of the Substitutions could be viewed as beginning at least 30 days before the being prohibited by section 17(a). Applicants agree that any order Substitution Date through at least 30 Accordingly, the Section 17 Applicants granting the requested relief will be days following the Substitution Date. have determined to seek relief from subject to the following conditions: Except with respect to any frequent section 17(a). 1. The Substitutions will not be trading restrictions described in the 9. The Section 17 Applicants submit effected unless the Companies relevant prospectus, the Applicants will that the terms of the proposed in-kind determine that: (i) The Contracts allow not exercise any rights reserved under purchases of shares of the Replacement the substitution of shares of registered the Contracts to impose restrictions on Portfolios by the Separate Accounts, open-end investment companies in the transfers between the subaccounts, including the consideration to be paid manner contemplated by the including limitations on the future and received, as described in the application; (ii) the Substitutions can be number of transfers, for a period application, are reasonable and fair and consummated as described in the beginning at least 30 days before the do not involve overreaching on the part application under applicable insurance Substitution Date through at least 30 of any person concerned. The Section laws; and (iii) any regulatory days following the Substitution Date. 17 Applicants also submit that the terms requirements in each jurisdiction where 7. For each Substitution, all Non- of the proposed in-kind transactions, the Contracts are qualified for sale have Qualified Annuity and Life Insurance including the consideration to be paid been complied with to the extent Contract Owners will be notified via the by each Existing Portfolio and received necessary to complete the Substitutions. Pre-Substitution Notice, at least 30 days by each Replacement Portfolio involved, 2. The Companies or an affiliate before the Substitution Date, about: (i) are reasonable, fair, and do not involve thereof (other than Investment The intended Substitution of the overreaching principally because the Corporation II) will pay all expenses Existing Portfolio with the Replacement transactions will conform with all but and transaction costs of the Portfolio; (ii) the intended Substitution one of the conditions enumerated in Substitutions, including legal and Date; and (iii) information with respect rule 17a–7 under the Act. accounting expenses, any applicable to transfers as set forth in Condition 6 10. The proposed transactions will brokerage expenses and other fees and above. In addition, for each take place at relative net asset value in expenses. No fees or charges will be Substitution, the Section 26 Applicants conformity with the requirements of paid by Non-Qualified Annuity and Life will also deliver to Non-Qualified section 22(c) of the Act and rule 22c–1 Insurance Contract Owners to effect the Annuity and Life Insurance Contract thereunder without the imposition of Substitutions. The Substitutions will Owners, at least 30 days before the any transfer or similar charges by the not cause the Contract fees and charges Substitution Date, a prospectus for the Section 26 Applicants. The currently being paid by Non-Qualified applicable Replacement Portfolio. Substitutions will be effected without Annuity and Life Insurance Contract 8. For each Substitution, the Section change in the amount or value of any Owners to be greater after the 26 Applicants will deliver to each Non- Non-Qualified Annuity Contract or any Substitution than before the Qualified Annuity and Life Insurance Life Insurance Contract. The Substitution. Contract Owner within five business Substitutions will in no way alter the 3. The Substitutions will be effected days after the Substitution Date, a tax treatment of Non-Qualified Annuity at the relative net asset values of the written confirmation which will and Life Insurance Contract Owners in respective shares of the Replacement include: (i) A confirmation that the connection with their Contracts, and no Portfolios in conformity with section Substitution was carried out as tax liability will arise for Non-Qualified 22(c) of the Act and rule 22c–1 previously notified; (ii) a restatement of Annuity and Life Insurance Contract thereunder without the imposition of the information set forth in the Pre- Owners as a result of the Substitutions. any transfer or similar charges by the Substitution Notice; and (iii) values of The fees and charges under the Non- Applicants. The Substitutions will be the Non-Qualified Annuity and Life Qualified Annuity and Life Insurance effected without change in the amount Insurance Contract Owner’s positions in Contracts will not increase because of or value of any Non-Qualified Annuity the Existing Portfolio before the the Substitutions. Even though the Contract or Life Insurance Contract. Substitution and the Replacement Company, the Separate Accounts, the 4. The Substitutions will in no way Portfolio after the Substitution. Adviser, Investment Corporation II, and alter the tax treatment of Non-Qualified 9. Mutual of America will cause the the Replacement Portfolios may not rely Annuity and Life Insurance Contract Adviser, as the investment adviser of on rule 17a–7, the Section 17 Owners in connection with their the Replacement Portfolios, to enter into Applicants believe that the rule’s Contracts, and no tax liability will arise a written contract with Investment conditions outline the type of for Non-Qualified Annuity and Life Corporation II whereby, for a period of safeguards that result in transactions Insurance Contract Owners as a result of two years following the Substitution that are fair and reasonable to registered the Substitutions. Date for each Substitution, the Adviser investment company participants and 5. The obligations of the Section 26 will, at least as frequently as the last preclude overreaching in connection Applicants, and the rights of the Non- business day of each fiscal quarter,

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reimburse the expenses of the Options’’) filed with the Securities and Exchange has prepared summaries, set Replacement Portfolio to the extent that Exchange Commission (the forth in sections A, B, and C below, of the net annual operating expenses of the ‘‘Commission’’) the proposed rule the most significant aspects of such Replacement Portfolio (i.e., after taking change as described in Items I, and II statements. into account any other fee waivers or below, which Items have been prepared A. Self-Regulatory Organization’s expense reimbursements) for such by the Exchange. The Exchange filed the Statement of the Purpose of, and period exceed, on an annualized basis, proposal as a ‘‘non-controversial’’ Statutory Basis for, the Proposed Rule the net annual operating expenses of the proposed rule change pursuant to Change Existing Portfolio for the most recent Section 19(b)(3)(A)(iii) of the Act 3 and fiscal year preceding the date of the Rule 19b–4(f)(6) thereunder.4 The 1. Purpose application. Any amounts waived or Commission is publishing this notice to reimbursed by the Adviser will not be solicit comments on the proposed rule In 2016, the Exchange’s parent subject to recoupment rights. In change from interested persons. company, Cboe Global Markets, Inc. addition, for each Substitution, the (formerly named CBOE Holdings, Inc.) Section 26 Applicants will not increase I. Self-Regulatory Organization’s (‘‘Cboe Global’’), which is also the the Contract fees and charges that would Statement of the Terms of Substance of parent company of Cboe C2 Exchange, otherwise be assessed under the terms the Proposed Rule Change Inc. (‘‘C2’’), acquired Cboe EDGA of the Contracts for the Non-Qualified Cboe Exchange, Inc. (the ‘‘Exchange’’ Exchange, Inc. (‘‘EDGA’’), Cboe EDGX Annuity and Life Insurance Contract or ‘‘Cboe Options’’) proposes to make Exchange, Inc. (‘‘EDGX’’ or ‘‘EDGX Owners for a period of at least two years minor updates to and relocate Chapter Options’’), Cboe BZX Exchange, Inc. following the Substitution Date. XIX, which governs the hearings and (‘‘BZX’’ or ‘‘BZX Options’’), and Cboe review process for persons aggrieved by BYX Exchange, Inc. (‘‘BYX’’ and, For the Commission, by the Division of together with Cboe Options, C2, EDGX, Investment Management, under delegated Exchange action, of the currently authority. effective Rulebook (‘‘current Rulebook’’) EDGA, and BZX, the ‘‘Cboe Affiliated Exchanges’’). The Cboe Affiliated Jill M. Peterson, to proposed Chapter 15 of the shell structure for the Exchange’s Rulebook Exchanges are working to align certain Assistant Secretary. system functionality, retaining only [FR Doc. 2019–21811 Filed 10–4–19; 8:45 am] that will become effective upon the migration of the Exchange’s trading intended differences, between the Cboe BILLING CODE 8011–01–P platform to the same system used by the Affiliated Exchanges, in the context of a Cboe Affiliated Exchanges (as defined technology migration. Cboe Options intends to migrate its trading platform to SECURITIES AND EXCHANGE below) (‘‘shell Rulebook’’). The text of the same system used by the Cboe COMMISSION the proposed rule change is provided in Exhibit 5. Affiliated Exchanges, which the [Release No. 34–87187; File No. SR–CBOE– The text of the proposed rule change Exchange expects to complete on 2019–072] is also available on the Exchange’s October 7, 2019. In connection with this website (http://www.cboe.com/ technology migration, the Exchange has Self-Regulatory Organizations; Cboe a shell Rulebook that resides alongside Exchange, Inc.; Notice of Filing and AboutCBOE/ CBOELegalRegulatoryHome.aspx), at its current Rulebook, which shell Immediate Effectiveness of a Proposed Rulebook will contain the Rules that Rule Change To Make Minor Updates the Exchange’s Office of the Secretary, and at the Commission’s Public will be in place upon completion of the to and Relocate Chapter XIX, Which Cboe Options technology migration. Governs the Hearings and Review Reference Room. Process for Persons Aggrieved by The Exchange proposes to relocate II. Self-Regulatory Organization’s and reorganize current Chapter XIX, Exchange Action, of the Currently Statement of the Purpose of, and Effective Rulebook, to Proposed which governs the hearings and review Statutory Basis for, the Proposed Rule process for persons aggrieved by Chapter 15 of the Shell Structure for Change the Exchange’s Rulebook Exchange action, into proposed Chapter In its filing with the Commission, the 15 in the shell Rulebook. The Exchange October 1, 2019. Exchange included statements notes that in addition to relocating and Pursuant to Section 19(b)(1) of the concerning the purpose of and basis for reorganizing the current rules, the Securities Exchange Act of 1934 (the the proposed rule change and discussed proposed rule change deletes these rules ‘‘Act’’),1 and Rule 19b–4 thereunder,2 any comments it received on the from the current Rulebook. The notice is hereby given that on proposed rule change. The text of these proposed rule change relocates and, September 27, 2019, Cboe Exchange, statements may be examined at the where applicable, reorganizes the rules Inc. (the ‘‘Exchange’’ or ‘‘Cboe places specified in Item IV below. The as follows:

Shell rule Current rule

15.1 Scope ...... 19.1 Scope, which incorporates 19.1.01 into body of rule. 15.2 Submission of Application to Exchange ...... 19.2 Submission of Application to Exchange. 15.3 Procedure Following Applications for Hearing ...... 19.3 Procedure Following Applications for Hearing. 15.4 Hearing ...... 19.4 Hearing, which incorporates 19.4.01 into body of shell 15.4(a). 15.5 Review ...... 19.5 Review. 15.6 Miscellaneous Provisions ...... 19.6 Miscellaneous Provisions. 15.7 Requests for Verification of Fees and Charges: 15.7(a) ...... 19.50 Scope of Part B. 15.7(b) ...... 19.51 Definitions.

1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78s(b)(3)(A)(iii). 2 17 CFR 240.19b–4. 4 17 CFR 240.19b–4(f)(6).

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Shell rule Current rule

15.7(c)–(f) ...... 19.52 Requests for Verification.

The proposed rule changes make only to permit unfair discrimination between C. Self-Regulatory Organization’s non-substantive changes to the rules in customers, issuers, brokers, or dealers. Statement on Comments on the order to update and/or headings that The proposed rule change does not Proposed Rule Change Received From better flow with the relocated and make any substantive changes to the Members, Participants, or Others reorganized rules, update cross- rules and is merely intended to The Exchange neither solicited nor references to other rules and chapters consolidate and reorganize the received comments on the proposed that will be implemented upon Exchange’s Rules in anticipation of the rule change. migration, update certain technical text technology migration on October 7, formatting that will be used in the Rules III. Date of Effectiveness of the 2019. The Exchange believes that the upon migration (e.g., using words for Proposed Rule Change and Timing for non-substantive proposed changes, numbers below 10 in the rule text and Commission Action numerals for numbers above 10 in the which update technical text and Because the foregoing proposed rule rule text), incorporate defined terms, formatting (e.g., paragraph headings and change does not: (i) Significantly affect and reformat the paragraph lettering and number-related references), update rule the protection of investors or the public numbering. cross-references, and consolidate and interest; (ii) impose any significant reorganize rules and rule paragraphs burden on competition; and (iii) become Additionally, the proposed rule and/or Interpretations and Policies, will change deletes ‘‘Part B’’ from the current operative for 30 days from the date on foster cooperation and coordination which it was filed, or such shorter time rule, as there is no Part A, and combines with those facilitating transactions in as the Commission may designate, it has all rule provisions in current Part B into securities and remove impediments to become effective pursuant to Section a single rule, as they all relate to a and perfect the mechanism of a free and 19(b)(3)(A) of the Act 8 and Rule 19b– procedure that may be used instead of open market and national market system 4(f)(6) thereunder.9 the procedure set forth in current Rules A proposed rule change filed 19.1 through 19.6 (proposed Rules 15.1 by simplifying the Exchange Rules and Rulebook as a whole, and making its pursuant to Rule 19b–4(f)(6) under the through 15.6) if permitted by the Rules. Act 10 normally does not become The Exchange believes this Rules easier to follow and understand, which will also result in less operative for 30 days after the date of its reorganization simplifies these Rules filing. However, Rule 19b–4(f)(6)(iii) 11 and eliminates potential confusion burdensome and more efficient regulatory compliance. permits the Commission to designate a given the lack of a Part A in this shorter time if such action is consistent Chapter. B. Self-Regulatory Organization’s with the protection of investors and the 2. Statutory Basis Statement on Burden on Competition public interest. The Exchange has asked the Commission to waive the 30-day The Exchange believes the proposed The Exchange does not believe that operative delay. The Exchange believes rule change is consistent with the the proposed rule change will impose that waiver of the operative delay is Securities Exchange Act of 1934 (the any burden on competition that is not appropriate because, as the Exchange ‘‘Act’’) and the rules and regulations necessary or appropriate in furtherance discussed above, its proposal does not thereunder applicable to the Exchange of the purposes of the Act. The make any substantive changes to the and, in particular, the requirements of Exchange reiterates that the proposed Exchange Rules, and only consolidates Section 6(b) of the Act.5 Specifically, rule change is being proposed in the and reorganizes the rules in Chapter the Exchange believes the proposed rule context of a technology migration of the XIX, which governs the hearings and change is consistent with the Section Cboe Affiliated Exchanges, and not as a review process for persons aggrieved by 6(b)(5) 6 requirements that the rules of competitive filing. The Exchange does Exchange action, and moves them to the an exchange be designed to prevent not believe that the proposed rule shell Rulebook that the Exchange fraudulent and manipulative acts and change will impose any burden on wishes to maintain post migration. practices, to promote just and equitable intramarket competition because it does Accordingly, its proposal is designed to principles of trade, to foster cooperation not make any substantive changes to the preserve its hearings and review process and coordination with persons engaged current Exchange Rules. The proposed rules after October 7, 2019. The in regulating, clearing, settling, rule change merely intends to provide Commission believes that waiver of the processing information with respect to, consolidated rules upon migration and 30-day operative delay is consistent and facilitating transactions in is consistent with the technical text and with the protection of investors and the public interest because the proposal securities, to remove impediments to formatting in the shell Rulebook that does not raise any new or novel issues and perfect the mechanism of a free and will be in place come October 7, 2019. open market and a national market The Exchange does not believe that the system, and, in general, to protect 8 15 U.S.C. 78s(b)(3)(A). proposed rule change will impose any 9 investors and the public interest. 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– burden on intermarket competition 4(f)(6)(iii) requires a self-regulatory organization to Additionally, the Exchange believes the because the proposed rules are the same give the Commission written notice of its intent to proposed rule change is consistent with as the Exchange’s current rules, all of file the proposed rule change, along with a brief the Section 6(b)(5) 7 requirement that description and text of the proposed rule change, the rules of an exchange not be designed which have all been previously filed at least five business days prior to the date of filing with the Commission. of the proposed rule change, or such shorter time as designated by the Commission. The Exchange 5 15 U.S.C. 78f(b). has satisfied that requirement. 6 15 U.S.C. 78f(b)(5). 10 17 CFR 240.19b–4(f)(6). 7 Id. 11 17 CFR 240.19b–4(f)(6)(iii).

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and makes only non-substantive printing in the Commission’s Public and Section 22 titled ‘‘Limitations on changes to the rules. Therefore, the Reference Room, 100 F Street NE, Orders.’’ The Exchange proposes to Commission hereby waives the Washington, DC 20549, on official amend Options 3, Section 15, ‘‘Simple operative delay and designates the business days between the hours of Order Risk Protections’’ and proposal as operative upon filing.12 10:00 a.m. and 3:00 p.m. Copies of the Supplementary Material of Options 5, At any time within 60 days of the filing also will be available for Section 2, ‘‘Order Protection filing of the proposed rule change, the inspection and copying at the principal The text of the proposed rule change Commission summarily may office of the Exchange. All comments is available on the Exchange’s website at temporarily suspend such rule change if received will be posted without change. http://ise.cchwallstreet.com/, at the it appears to the Commission that such Persons submitting comments are principal office of the Exchange, and at action is necessary or appropriate in the cautioned that we do not redact or edit the Commission’s Public Reference public interest, for the protection of personal identifying information from Room. investors, or otherwise in furtherance of comment submissions. You should the purposes of the Act. If the submit only information that you wish II. Self-Regulatory Organization’s Commission takes such action, the to make available publicly. All Statement of the Purpose of, and Commission shall institute proceedings submissions should refer to File Statutory Basis for, the Proposed Rule to determine whether the proposed rule Number SR–CBOE–2019–072 and Change change should be approved or should be submitted on or before In its filing with the Commission, the disapproved. October 28, 2019. Exchange included statements IV. Solicitation of Comments For the Commission, by the Division of concerning the purpose of, and basis for, Trading and Markets, pursuant to delegated the proposed rule change and discussed Interested persons are invited to authority.13 any comments it received on the submit written data, views and Jill M. Peterson, proposed rule change. The text of these arguments concerning the foregoing, Assistant Secretary. statements may be examined at the including whether the proposed rule places specified in Item IV below. The change is consistent with the Act. [FR Doc. 2019–21730 Filed 10–4–19; 8:45 am] BILLING CODE 8011–01–P Exchange has prepared summaries, set Comments may be submitted by any of forth in sections A, B, and C below, of the following methods: the most significant aspects of such Electronic Comments SECURITIES AND EXCHANGE statements. • Use the Commission’s internet COMMISSION A. Self-Regulatory Organization’s comment form (http://www.sec.gov/ [Release No. 34–87181; File No. SR–ISE– Statement of the Purpose of, and rules/sro.shtml); or 2019–23] Statutory Basis for, the Proposed Rule • Send an email to rule-comments@ Change sec.gov. Please include File Number SR– Self-Regulatory Organizations; Nasdaq CBOE–2019–072 on the subject line. ISE, LLC; Notice of Filing and 1. Purpose Immediate Effectiveness of Proposed Paper Comments The Exchange proposes to amend Rule Change Relating to the • Options 3 at Section 4, ‘‘Acceptance of Send paper comments in triplicate Submission of Quotes and Orders Quotes and Orders,’’ adopt a new to Secretary, Securities and Exchange Section 5, ‘‘Entry and Display of Single- October 1, 2019. Commission, 100 F Street NE, Leg Orders,’’ Section 7, ‘‘Types of Pursuant to Section 19(b)(1) 1 of the Washington, DC 20549–1090. Order,’’ at Supplementary Material .03 Securities Exchange Act of 1934 (the All submissions should refer to File and Section 22 titled ‘‘Limitations on ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Number SR–CBOE–2019–072. This file Orders.’’ The Exchange proposes to notice is hereby given that, on number should be included on the amend Options 3, Section 15, ‘‘Simple September 17, 2019, Nasdaq ISE, LLC subject line if email is used. To help the Order Risk Protections’’ and (‘‘ISE’’ or ‘‘Exchange’’) filed with the Commission process and review your Supplementary Material of Options 5, Securities and Exchange Commission comments more efficiently, please use Section 2, ‘‘Order Protection.’’ Each rule (the ‘‘Commission’’) the proposed rule only one method. The Commission will change will be discussed in greater change as described in Items I and II post all comments on the Commission’s detail below. internet website (http://www.sec.gov/ below, which Items have been prepared rules/sro.shtml). Copies of the by the Exchange. The Commission is Options 3, Section 4, Acceptance of submission, all subsequent publishing this notice to solicit Orders and Quotes amendments, all written statements comments on the proposed rule change Currently, Options 3, Section 4 is with respect to the proposed rule from interested persons. titled ‘‘Acceptance of Quotes or change that are filed with the I. Self-Regulatory Organization’s Orders.’’ The Exchange proposes to Commission, and all written Statement of the Terms of Substance of retitle Options 3, Section 4 as ‘‘Entry communications relating to the the Proposed Rule Change and Display of Quotes.’’ The Exchange proposed rule change between the The Exchange proposes to amend proposes to add a new section (b) to Commission and any person, other than Options 3 at Section 4, ‘‘Acceptance of Options 3, Section 4 to describe the those that may be withheld from the Quotes and Orders,’’ adopt a new current requirements and conditions for public in accordance with the Section 5, ‘‘Entry and Display of Single- submitting quotes. These requirements provisions of 5 U.S.C. 552, will be Leg Orders,’’ Section 7, ‘‘Types of reflect the current System operation available for website viewing and Order,’’ at Supplementary Material .03 today. The Exchange proposes to memorialize the various requirements 12 For purposes only of waiving the 30-day 13 for the submission of quotes into the operative delay, the Commission also has 17 CFR 200.30–3(a)(12). considered the proposed rule’s impact on 1 15 U.S.C.78s(b)(1). System for greater transparency. The efficiency, competition, and capital formation. See 2 15 U.S.C. 78a. Exchange proposes to provide at new 15 U.S.C. 78c(f). 3 17 CFR 240.19b–4. Options 3, Section 4(b), ‘‘Quotes are

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subject to the following requirements electronic inquiry to, and verification from, Locked/Crossed Market Plan which is and conditions:’’. The Exchange another market that its quotes are not firm. also described within Options 5. Also, proposes to add at Options 3, Section The Exchange shall maintain a record of each quotations may not lock or cross an 4(b)(1) that ‘‘Market Makers may instance in which another exchange’s quotes are excluded from the Exchange’s calculation away market. By stating this limitation generate and submit option quotations.’’ of NBBO, and shall notify such other in the rule, Market Makers will have Current Options 2, Section 5 makes exchange that its quotes have been so greater clarity as to this limitation. clear that Market Makers may submit excluded. Where quotes in options on Further, the Exchange is making clear quotes.4 The Exchange proposes to another market or markets previously subject that a quote that would cause a locked create a list of rules related to quote to relief from the firm quote requirement set or crossed market violation or would submission within this rule for ease of forth in the Quote Rule are no longer subject cause a trade-through violation will be reference. The Exchange proposes to to such relief, such quotations will be re-priced. The Exchange would display included in the calculation of NBBO for such provide at proposed new Options 3, options. Such determination may be made by the quote at one minimum price Section 4(b)(2) that ‘‘The System shall way of notification from another market that variation (‘‘MPV’’) above (for offers) or time-stamp a quote which shall its quotes are firm; administrative message below (for bids) the national best price determine the time ranking of the quote from OPRA; and/or telephonic or electronic or the quote would be immediately for purposes of processing the quote.’’ inquiry to, and verification from, another cancelled if requested by the Member. The Exchange notes that all quotes market that its quotes are firm. Repricing quotes is consistent with the today are time-stamped for purposes of ISE’s Options 2, Section 5(d) Act because the Exchange is not processing quotes. Proposed Options 3, describes Firm Quote for purposes of permitted to lock or cross an away Section 4(b)(3) states that ‘‘Market Market Maker quote submission. The market’s quote or order. The Exchange Makers may enter bids and/or offers in Exchange proposes to memorialize reprices the quotes one MPV inferior to the form of a two-sided quote. Only one within its Rules the requirement for the cause the displayed price to reflect the quote may be submitted at a time for an dissemination of quotations pursuant to available market on the Exchange. option series.’’ The Exchange believes Reg NMS.6 The Exchange is proposing Finally, the Exchange proposes at that this information will provide to add the above rule text to provide Options 3, Section 4(b)(7) to provide, Market Makers with information on context as to this restriction for ‘‘Quotes submitted to the System are submitting a quote. The Exchange notes submitting quotes. The Exchange subject to the following: Minimum that bid or offer may be a ‘‘0,’’ however proposes to make clear the manner in increments provided for in Options 3, a price is required to be entered for both which quote relief will occur. Section 3 and risk protections provided the bid and offer to be entered into the Specifically, this proposed rule text for in Options 3, Section 15.’’ If the System. Further, the Exchange proposes indicates the manner in which a Market Maker does not submit a at Options 3, Section 4(b)(4) to provide determination for quote relief is made. quotation compliant with Options 3, clarity for entering quotes and proposes Further, the rule notes the Exchange Section 3, the quote will not be accepted to specify, ‘‘The System accepts quotes shall maintain a record of each instance by the System. The Exchange is noting for the Opening Process as specified in in which another exchange’s quotes are herein the manner in which a quote may Options 3, Section 8.’’ 5 The Exchange excluded from the Exchange’s be rejected by the System to provide believes that this information will bring calculation of NBBO, and shall notify market participants with expectations as greater transparency to the Rulebook such other exchange that its quotes have to the interplay among the various with respect to limitations for been so excluded. Also, when relief is Exchange Rules. Specifically, if the submitting quotations into the System. no longer available, such quotations will Market Maker does not submit a The Exchange proposes a provision be included in the calculation of NBBO quotation compliant with Options 3, regarding firm quote within proposed for such options. The Exchange notes Section 3, the quote will not be accepted Options 3, Section 4(b)(5): how the determination is made that by the System because market Firm Quote. Where quotes in options on relief is no longer available. The participants are required to abide by another market or markets are subject to proposed rule text adds greater context Options 3, Section 3 which describes relief from the firm quote requirement set to the manner in which Firm Quote the increments with which options forth in the Rule 602 of Regulation NMS relief is applied. This rule text series are to be quoted. Options 3, under the Exchange Act orders and quotes represents the current practice. Section 15 provides a list of all will receive an automatic execution at or Similarly, the Exchange proposes to protections applicable to quotes that better than the NBBO based on the best bid or offer in markets whose quotes are not provide the following at proposed new may be rejected. The Exchange believes subject to such relief. Such determination Options 3, Section 4(b)(6): that this rule will provide Members may be made by way of notification from Trade-Through Compliance and Locked or with requirements and conditions for another market that its quotes are not firm or Crossed Markets. A quote will not be submitting quotations and provide are unreliable; administrative message from executed at a price that trades through transparency as to limitations that cause the Option Price Reporting Authority another market or displayed at a price that a quote to be rejected. (‘‘OPRA’’); quotes received from another would lock or cross another market. If, at the The Exchange proposes to provide at market designated as ‘‘not firm’’ using the time of entry, a quote would cause a locked Options 3, Section 4(c), ‘‘Quotes will be appropriate indicator; and/or telephonic or or crossed market violation or would cause a trade-through violation, it will either re- displayed in the System as described in 4 Options 2, Section 5(a) provides, ‘‘Options priced and displayed at one minimum price Options 3, Section 23.’’ Options 3, Classes. A quotation only may be entered by a variance above (for offers) or below (for bids) Section 23, titled ‘‘Data Fees and Trade Market Maker, and only in the options classes to the national best price or immediately Information’’ provides for the available which the market maker is appointed under cancelled, as configured by the Member. feeds that Members may access on the Options 2, Section 3.’’ Options 2, Section 5(d) provides for Firm Quotes. Today, quotations may not be Exchange. This list represents the 5 Options 3, Section 8(c) provides, ‘‘Market Maker executed against at prices that trade- available data feeds and the content of Valid Width Quotes and Opening Sweeps received through an away market as provided for those data feeds which are offered today starting at 9:25 a.m. Eastern Time are included in by the Exchange. the Opening Process. Orders entered at any time in the Options Order Protection and before an option series opens are included in the As discussed in more detail below, Opening Process.’’ 6 17 CFR 242.602. the Exchange proposes to relocate

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current Options 3, Section 4(b) 7 to new lock or cross an away market. The within the System. This is also the case Options 3, Section 5(a)(5) as described repricing of quotations is consistent today and the Exchange is adding this below in greater detail. with the Act because repricing prevents detail to its rules to describe the time- The amendment to Options 3, Section the Exchange from disseminating a price stamp. 4 to create a list of all the requirements which locks or crosses another market. The Exchange proposes to add at new and conditions for submitting quotes on The Exchange is required avoiding Options 3, Section 5(a)(4), ‘‘Orders the Exchange within one rule is displaying a quotation that would lock submitted to the System are subject to consistent with the Act because it will or cross a quotation of another market the following: Minimum increments provide greater transparency to market center at the time it is displayed. provided for in Options 3, Section 3, participants of the applicable Preventing inferior prices from risk protections provided for in Options requirements. Further, this proposal displaying perfects the mechanism of a 3, Section 15, and the restrictions of any will make the current rule clear and free and open market and a national order type as provided for in Options 3, understandable for market participants market system, and, in general to protect Section 7. Orders may execute at thereby protecting investors and the investors and the public interest. multiple prices.’’ All orders must adhere general public. The Exchange notes that to other rule requirements such as while some of these requirements Options 3, Section 5, Entry and Display of Single-Leg Orders minimum increments, risk protection appear in other rules, for ease of rules and order types. Similar to the rule reference the requirements are located Similar to Options 3, Section 4, which text for quotes, order are currently within a single rule with this proposal. describes requirements for quotes, the subject the minimum increment The proposal reflects the Exchange’s Exchange proposes to adopt a new requirements in Options 3, Section 3 current practice with respect to quoting Options 3, Section 5, ‘‘Entry and and also the risk protections for orders requirements. This proposal will Display of Single-Leg Orders’’ and which are listed within current Options conform this Rule to other Nasdaq describe the current requirements and 8 3, Section 15. This rule provides a list affiliated markets filing similar rules. conditions for entering orders. The of other requirements which may The Exchange’s proposal is intended to Exchange notes that the requirements impact the execution of an order. provide greater information with respect provided for within this rule represent Finally, orders may execute at multiple to Firm Quote within new Options 3, the current practice. The purpose of prices. Section 4(b)(5) and regarding trade- Options 3, Section 5 is to memorialize The Exchange proposes to add to new through and locked and crossed markets this information within a single rule. Options 3, Section 5(a)(5) the following, Options 3, Section 4(b)(6). The addition The Exchange proposes to state rule text is consistent with the Act ‘‘Nullification by Mutual Agreement. within new Options 3, Section 5(a), Trades may be nullified if all parties because the Exchange is adding detail ‘‘Members can enter orders into the regarding the method in which orders participating in the trade agree to the System, subject to the following nullification. In such case, one party which are firm or locked and crossed requirements and conditions:’’. The will be handled in the System. The must notify the Exchange and the Exchange proposes within new Options Exchange promptly will disseminate the notifications for Firm Quote are made 3, Section 5(a)(1), ‘‘Members shall be clear with the proposed rule text. The nullification to OPRA. It is considered permitted to transmit to the System conduct inconsistent with just and Exchange believes that it is consistent multiple orders at a single as well as with the Act to specify when quotes are equitable principles of trade for a party multiple price levels.’’ The Exchange’s to use the mutual adjustment process to firm and the handling of such quotes by new rule text at Options 3, Section 5(a) the System for the protection of circumvent any applicable Exchange proposes to make clear that multiple rule, the Act or any of the rules and investors and the general public. The orders may be transmitted to the System clarity is designed to promote just and regulations thereunder.’’ The rule text of as single or multiple price levels. This new Options 3, Section 5(a)(5) is equitable principles of trade by is the case today. The Exchange notifying all participants engaged in relocated from Options 3, Section 4(b) proposes to memorialize the manner in because it related to orders. The market making of potential outcomes. which orders may be submitted to the Today, quotations may not be executed Exchange proposes to caption proposed System to add more detail to its rules. Options 3, Section 5(a)(5) as against at prices that trade-through an The Exchange proposes at new Options away market. Also, quotations may not ‘‘Nullification by Mutual Agreement’’ 3, Section 5(a)(2), ‘‘The System accepts and add the following sentence to this orders beginning at a time specified by 7 Current Options 3, Section 4(b) provides, ‘‘A provision, ‘‘It is considered conduct trade may be nullified if all parties participating in the Exchange and communicated on the inconsistent with just and equitable the trade agree to the nullification. In such case, one Exchange’s website.’’ The System principles of trade for a party to use the party must notify the Exchange and the Exchange accepts orders beginning at a time mutual adjustment process to promptly will disseminate the nullification to specified by the Exchange and circumvent any applicable Exchange OPRA.’’ communicated on the Exchange’s 8 rule, the Act or any of the rules and See Phlx Rule 1019. Nasdaq BX, Inc. and 9 Nasdaq Stock Market LLC intend to file similar website. regulations thereunder.’’ The Exchange rules. Phlx Rule 1019 is similar to ISE Options 3, The Exchange proposes at new believes that it is consistent with the Section 4 except that Phlx displays and reprices Options 3, Section 5(a)(3), ‘‘The System Act to permit parties to agree to a quotes differently than ISE for purposes of trade- shall time-stamp an order which shall through. Phlx re-prices to the current national best nullification provided the nullification offer (for bids) or the current national best bid (for determine the time ranking of the order does not violate other exchange rules. offers) but displays at one minimum price variance for purposes of processing the order.’’ The Exchange notes that parties may not above (for offers) or below (for bids) the national Further, all orders are time-stamped to agree to a mutual agreement for best price. ISE re-prices and displays quotes at one determine the time ranking of the order minimum price variance above (for offers) or below purposes that would cause another rule (for bids) the national best price, or, in the for purposes of processing the order to be violated. The Exchange believes alternative if elected by the Member, the quote is that it is consistent with the Act and otherwise immediately cancelled if it would cause 9 The Exchange’s website makes the timeframes a locked or crossed market. Further, while Phlx has in which orders may be submitted to the System: protection of investors and general a Quote Exhaust feature as described in Phlx Rule https://business.nasdaq.com/media/ public to make clear the expected 1082, ISE has no similar feature. ISESystemSettings_tcm5044-44183.pdf. behavior with respect to nullifications.

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The rule text at proposed Options 3, Finally, the Exchange proposes to add Options 3, Section 15 Simple Order Risk Section 5(b) is relocated from Options 3, rule text at new Options 3, Section 5(e), Protections Section 15(a). The Exchange notes that similar to Options 3, Section 4(c) which this NBBO Protection applies to orders states, ‘‘Orders will be displayed in the The Exchange proposes to delete the and therefore is being discussed within System as described in Options 3, first sentence introductory sentence of proposed Options 3, Section 5, which Section 23.’’ Options 3, Section 15 which provides, ‘‘Incoming orders that are executable applies to all market participants. In The Exchange’s proposal to adopt a against orders and quotes in the System contrast, Options 3, Section 4, which new Options 3, Section 5, ‘‘Entry and will be executed automatically by the applies to quotes entered by Market Display of Orders’’ and describe the System subject to the following:’’ and Makers, describes the Firm Quote current requirements and conditions for relocate the rule text to Options 3, protections and the interplay of NBBO entering orders, similar to proposed Section 5 as described herein as well as with respect to quotes. Trade-Through is changes to Options 3, Section 4 for Section 15(a)(1) and (a)(2), into described in both Options 3, Sections 4 quotes is consistent with the Act proposed new Options 3, Section 5(b) and 5. The Exchange proposes to change because it will provide transparency as and renumber Options 3, Section 15(b) the word ‘‘rejected’’ to ‘‘cancelled’’ to manner in which orders may be as new ‘‘a.’’ The Exchange proposes to within new Options 3, Section 5(b) submitted to the System. The because an order may be accepted by Exchange’s new rule reflects the current relocate current Options 3, Section the System and then immediately requirements for submitting orders into 15(b)(1)(C) to Options 3, Section cancelled. New Options 3, Section 5(c) the System. Similar to proposed Options 15(b)(2)(B). Current Options 3, Section seeks to define the Exchange’s best bid 3, Section 4, the Exchange proposes to 15(b)(1)(D) will be re-lettered as ‘‘C’’. and offer as the ‘‘BBO.’’ The Exchange memorialize requirements and Options 3, Section 15(b)(1) provides for provides, ‘‘The System automatically limitations within one rule for ease of single-leg order risk protections. The executes eligible orders using the reference.10 Exchange proposes to relocate the Size Exchange’s displayed best bid and offer Limitation protection to Options 3, (‘‘BBO’’).’’ Options 3, Section 7, Types of Orders Section 15(b)(2) because this section Similar to Options 3, Section 4(b)(6), applies to order and quote risk The Exchange proposes to amend the Exchange proposes to note at new protections. Size Limitation protection Supplementary Material .03(c) to Options 3, Section 5(d), applies to both orders and quotes and is Options 3, Section 7 to add the therefore properly placed within this Trade-Through Compliance and Locked or following sentence to Specialized Quote section. The Exchange proposes to add Crossed Markets. An order will not be Feed (‘‘SQF’’), ‘‘Market Makers may the words ‘‘or quote’’ to the description executed at a price that trades through only enter interest into SQF in their another market or displayed at a price that to make clear that this protection assigned options series.’’ The Exchange would lock or cross another market. An order applies to both orders and quotes. that is designated by the Member as routable notes that today Market Makers may will be routed in compliance with applicable utilize SQF to quote only in their The Exchange believes that relocating Trade-Through and Locked and Crossed assigned options series as provided for this rule and adding ‘‘or quotes’’ is Markets restrictions. Orders that are not in Options 2, Section 3, Appointment of consistent with the Act because the automatically executed will be handled as Market Makers. Adding this information Exchange will make clear that the Size provided in Supplementary Material .02 to to the SQF protocol is consistent with Limitation risk protection would apply Options 5, Section 2; provided that Members the Act because the Exchange desires to to all interest on the Exchange. may specify that a Non-Customer order make clear the manner in which Market should instead be cancelled automatically by Options 3, Section 22, Limitation on Makers may submit quotes through the the System at the time of receipt. Orders protocol. Market Makers are obligated to Today, orders may not be executed at provide liquidity on ISE in the options The Exchange proposes to amend a price that trades through an away series to which they are assigned, which Options 3, Section 22 to retitle the market. Also, orders may not lock or liquidity benefits all market Section from ‘‘Limitations on Orders’’ to cross an away market. Routable orders participants. This amendment is similar ‘‘Limitations on Order Entry.’’ The must comply with Trade-Through and to language currently within Phlx Rule Exchange believes that this title is more Locked and Crossed Markets 1080(a)(i)(B). appropriate for these rules. restrictions. Finally, the Exchange The Exchange proposes to amend proposes to cross-reference 10 Phlx Rule 1096 is similar to ISE Options 3, Supplementary Material .02 to Options Section 5. With respect to NBBO Protection, unlike Options 3, Section 22(b) to amend the 5, Section 2 to describe the manner in Phlx, ISE Orders that are not automatically title of the section from ‘‘Principal which orders that are not automatically executed will be handled as provided in Transactions’’ to ‘‘Limitations on Supplementary Material .02 to Options 5, Section Principal Transactions.’’ This rule executed are handled. Today, Members 2; provided that Members may specify that a Non- may specify that a Non-Customer order Customer order should instead be accepted and provides for the exposure of orders should instead be cancelled immediately cancelled automatically by the System entered on the Exchange. Specifically, automatically by the System at the time at the time of receipt. Phlx does not have a similar with respect to orders entered when a of receipt. By including this information exposure mechanism. Also, with respect to trade- Member is acting as agent and principal through, Phlx re-prices an order that would cause on an order, the order must be exposed within this rule, the Exchange proposes a locked or crossed market violation or would cause to provide Members with information a trade-through violation to the current national for one second prior to execution to related to trade-through in one location best offer (for bids) or the current national best bid allow an opportunity for price with cross-references to provide (for offers) and displayed at one minimum price improvement. The Exchange has filed variance above (for offers) or below (for bids) the for certain functionalities which are transparency. This rule text is similar to national best price. While ISE will not execute an rule text within BX Chapter VI, Section order at a price that trades through another market exceptions to the general standard of 7(b)(3)(C). Noting these limitations or display an order at a price that would lock or one second exposure. These within the rule is consistent with the cross another market, ISE does not re-price orders. functionalities have provisions which ISE Members may specify that a Non-Customer describe the manner in which orders Act because Members will have greater order should instead be cancelled automatically by clarity as to limitations. the System at the time of receipt. can be entered into the Facilitation

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Mechanism,11 Price Improvement Options 3, Section 22(d) which Exchange’s proposal to amend Options Mechanism,12 Qualified Contingent provides, ‘‘Prior to or after submitting 3, Section 22 will conform this Rule to Cross Orders,13 Customer Cross an order to ISE, a Member cannot other Nasdaq affiliated markets filing Orders 14 and Complex Order inform another Member or any other similar rules.18 The Exchange’s proposal Exposure.15 The Exchange proposes to third party of any of the terms of the to add rule text to describe potential separately note that with respect to the order for purposes of violating this violations of this Rule will bring greater Solicitation Mechanism,16 that an Rule.’’ Similar rule text is contained in clarity to current limitations that exist Options Member may electronically The Nasdaq Options Market LLC when entering orders. The amendments submit for execution an order it (‘‘NOM’’) Rules.17 The Exchange to Options 3, Section 22 are consistent represents as agent against solicited believes that adding this language will with the Act because the Rule provides order(s). Options 3, Section 11(d) and better information participants that a list of limitations when entering order (e) provide that an Agency Order must Options 3, Section 22 prohibits such on the Exchange. The Exchange believes be for at least the minimum size behavior. The Exchange desires to the proposed rule will promote just and designated by the Exchange, which may conform the language in this rule to that equitable principles of trade and remove not be less than 500 standard option of affiliated Nasdaq markets. The impediments to and perfect the contracts, and the order be entered into Exchange notes that similar language is mechanism of a free and open market the Solicited Order Mechanism shall be currently contained within and a national market system because it designated as all-or-none. Because a Supplementary Material .02 to Options will continue to make clear the Member may not execute as principal 3, Section 22 which provides, requirement to expose orders as well as present more specific limitations on on the order, there must be an Agency It will be a violation of Options 3, Section Order which executes against the 22(e) for an Electronic Access Member to order entry which would violate solicited order; therefore, the cause the execution of an order it represents Exchange Rules. Providing Members Solicitation Mechanism is explicitly as agent on the Exchange by orders it with more information as to the type of carved out from proposed Options 3, solicited from Members and non-Member behavior that is violative with respect to Section 22(b), whereas the other broker-dealers to transact with such orders, order exposure will prevent inadvertent auctions noted are exceptions to the whether such solicited orders are entered violations of Exchange rules and ensure general one second rule. The Exchange into the System directly by the Electronic that orders are subject to appropriate Access Member or by the solicited party price discovery. believes it is consistent with the Act and (either directly or through another Member), the protection of investors and the if the Member fails to expose orders on the Options 5, Section 2 Order Protection general public to describe the Exchange as required by Options 3, Section The Exchange proposes to amend functionalities available on the 22(e). Supplementary Material .02(f) within Exchange into which a Member may This rule text is repetitive of the Options 5, Section 2. This rule currently enter principal orders they represent as provisions within current Options 3, states, ‘‘A pattern or practice of agent. Options 3, Section 22 is intended Section 22(c). The Exchange is clearly submitting unrelated orders that cause to encourage price discovery and price providing within Options 3, Section an exposure period to conclude early improvement of all orders entered on 22(c) that a Member must expose an will be deemed conduct inconsistent the Exchange. order for one second. Further, the with just and equitable principles of The Exchange proposes to relocate Member cannot inform another Member trade and a violation of Options 9, Supplementary Material .01 to Options or third party of the terms of the order, Section 1 and other Exchange Rules.’’ 3, Section 22 to new Section 22(b)(i) and which would be a violation of the rule The Exchange proposes to cross- state ‘‘This Rule’’ instead of ‘‘Options 3, pursuant to proposed Options 3, Section reference Options 3, Section 22 to Section 22(d).’’ The Exchange notes that 22(c). The Exchange does not believe provide further clarity on the manner in the references to ‘‘d’’ should refer to ‘‘b’’ that the rule text within Supplementary which Members may be found to have and those cross-references are being Material .02 to Options 3, Section 22 violated Supplementary Material .02 to updated. provides additional information, but Options 5, Section 2. Specifically, the The Exchange proposes to amend the rather is repetitive of the prohibitions Exchange proposes to remove the word title of Options 3, Section 22(c), from within the rule, as proposed. ‘‘unrelated’’ and more specifically ‘‘Solicitation Orders’’ to ‘‘Limitation on The Exchange proposes to update the indicate all submitting orders that cause Solicitation Orders.’’ The Exchange rule citations in Supplementary an exposure period to conclude early for proposes to add exceptions for Qualified Material .01 to Options 3, Section 22 to the purposes of violating Options 3, Contingent Cross Orders pursuant to refer to paragraph ‘‘b’’ instead of ‘‘d’’. Section 22 will also be deemed conduct Options 3, Section 12(c) and (d), The Exchange proposes to update the inconsistent with just and equitable Customer Cross Order pursuant to rule numbers for the remainder of the principles of trade and a violation of Options 3, Sections 12(a) or (b) and a Rule and also update the cross-reference Options 9, Section 1 and other Exchange Complex Order Exposure pursuant to in Supplementary Material .04 to Rules. The Exchange believes that this Supplementary Material .01 to Options Options 3, Section 22. additional language referencing Options 3, Section 14 similar to proposed The Exchange proposes to make clear 3, Section 22 will provide context for Options 3, Section 22(b). with this Rule that Members may not the violation as Options 3, Section 22 The Exchange proposes to re-letter gain by failing to expose orders describes the exposure requirements for current ‘‘d’’ as ‘‘e’’ as the Exchange submitted on an agency basis. The orders. Further, the Exchange believes proposes new rule text at proposed Exchange is promoting transparency of all orders, not just ‘‘unrelated’’ orders may cause a rule violation. The 11 See Options 3, Section 11(b) and (c). orders to prevent Members from seeking 12 See Options 3, Section 13. price discovery and potentially Exchange believes that it is consistent 13 See Options 3, Section 12(c) and (d). preventing price improvement, which with the Act to make clear the manner 14 See Options 3, Section 12(a) and (b). may result from exposing an order. The in which a Member may violate Options 15 See Supplementary Material .01 to Options 3, Section 14. 17 See NOM Rules at Chapter VII, Section 12 at 18 Nasdaq BX, Inc. and Nasdaq Stock Market LLC 16 See Options 3, Section 11(d) and (e). Commentary .04. are also adopting similar rules to Phlx Rule 1097.

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3, Section 2 which respect to order The Exchange’s proposal to add a believes that this rule will provide exposure. provision regarding Firm Quote within Market Makers with requirements and new Options 3, Section 4(b)(5) will conditions for submitting quotations 2. Statutory Basis bring greater transparency to the and provide transparency as to The Exchange believes that its limitations that Market Makers have limitations that cause a quote to be proposal is consistent with Section 6(b) today with respect to firm quote. ISE’s rejected. of the Act,19 in general, and furthers the Options 2, Section 5(d) describes firm The Exchange’s proposal to make objectives of Section 6(b)(5) of the Act,20 quote for purposes of Market Maker clear that quotes will be displayed in in particular, in that it is designed to quote submission. The Exchange is the System as described in Options 3, promote just and equitable principles of proposing to add rule text to provide Section 23 is intended to bring greater trade, to remove impediments to and context as to this restriction for transparency as to the data available on perfect the mechanism of a free and submitting quotes. The proposed rule the Exchange. Options 3, Section 23, open market and a national market text makes clear the manner in which titled ‘‘Data Fees and Trade system, and, in general to protect Firm Quote relief is applied. The Information’’ provides for the available investors and the public interest. Exchange believes it is consistent with feeds that Members may access on the Exchange. Options 3, Section 4, Acceptance of the Act to provide greater detail as to Quote and Orders the current obligations for Market Options 3, Section 5, Entry and Display Makers with respect to firm quote. The of Single-Leg Orders The Exchange’s proposal to add a new addition rule text is consistent with the section (b) to Options 3, Section 4 to Act because the Exchange is adding The Exchange proposes to retitle describe the current requirements and detail regarding the method in which Options 3, Section 5 as ‘‘Entry and Display of Single-Leg Orders’’ to conditions for submitting quotes are orders which are firm or locked and describe the current requirements and consistent with the Act. The Exchange crossed will be handled in the System. is memorializing its current practice by conditions for entering orders, similar to The notifications for Firm Quote are proposed changes to Options 3, Section reflecting the various requirements and made clear with the proposed rule text. limitations for quote entry in one rule 5 for quotes is consistent with the Act The Exchange believes that it is because it will provide transparency as for ease of reference and clarity. The consistent with the Act to specify when Exchange is also proposing to conform to manner in which orders may be quotes are firm and the handling of such submitted to the System. The this rule to similar rules across other quotes by the System for the protection Nasdaq affiliated exchanges. Making Exchange’s new rule text memorializes of investors and the general public. The the current requirements for submitting clear the manner in which Market clarity is designed to promote just and Makers may generate and submit option orders into the System. Similar to equitable principles of trade by proposed Options 3, Section 4, the quotations will provide these market notifying all participants engaged in participants with clear guidance within Exchange proposes to memorialize market making of potential outcomes. requirements and limitations within one the rules. The Exchange notes that other Further, the Exchange’s proposal to add rules already limit the use of quotations rule for ease of reference. more detail at proposed new Options 3, The Exchange’s new rule text at on the Exchange. Options 2, Section 5 Section 4(b)(6) regarding trade-through Options 3, Section 5(a) proposes to makes clear that Market Makers may and locked and crossed markets is make clear that multiple orders may be submit quotes.21 Supplementary consistent with the Act. Today, transmitted to the System as single or Material .03(c) to Options 3, Section 7 quotations may not be executed against multiple price levels to add greater describes the SQF interface.22 Options at prices that trade-through an away transparency to the Exchange’s rules. 2, Section 4(b)(4) provides the allowable market. Also, quotations may not lock or The Exchange proposes to memorialize spread for entering bids and offers on cross an away market. Also, quotations the manner in which orders may be the Exchange. Further, the Exchange is may not lock or cross an away market. submitted to the System to add more making clear that only one quote may be By stating this limitation in the rule, detail to its rules. For example, the time submitted at a time for a series. The Members will have greater clarity as to the System begins accepting orders, Exchange believes that memorializing this limitation. The repricing of information concerning the time-stamp, these restrictions will bring greater quotations is consistent with the Act which determines the time ranking of clarity to the Exchange’s rules. Also, the because repricing prevents the Exchange the order, as well as restrictions to order Exchange believes that making clear that from disseminating a price which locks entry. Orders submitted to the System quotes may be entered as specified by or crosses another market. The are subject to minimum increments the Exchange makes clear that all Exchange’s proposal to note that quotes specified in Options 3, Section 3 risk Market Makers are subject to uniform are subject to minimum increments protections provided for in Options 3, requirements for quoting. provided for in Options 3, Section 3 and Section 15, and the restrictions of any risk protections provided for in Options order type as provided for in Options 3, 19 15 U.S.C. 78f(b). 3, Section 15 is consistent with the Act Section 7. The Exchange believes that 20 15 U.S.C. 78f(b)(5). because this rule brings greater listing the requirements and limitations 21 Options 2, Section 5(a) provides, ‘‘Options Classes. A quotation only may be entered by a transparency to these requirements is consistent with the Act because it will market maker, and only in the options classes to which are already noted in the provide Members with the information which the market maker is appointed under aforementioned rules. Options 2, necessary to process orders on ISE. In Options 2, Section 3.’’ Options 2, Section 5(d) Section 5(b)(1) similarly requires a addition, noting that parties may not provides for Firm Quote. agree to a mutual agreement for 22 Supplementary Material .03(c) to Options 3, Market Maker to quote in the minimum Section 7 provides ‘‘Specialized Quote Feed’’ or increments specified in Options 3, purposes that would cause another rule ‘‘SQF’’ is an interface that allows market makers to Section 3. Options 3, Section 15, titled to be violated is consistent with the Act connect, send, and receive messages related to ‘‘Simple Order Risk Protections’’ because it provides transparency to quotes, Immediate-or-Cancel Orders, and auction Members that certain behavior would responses to the Exchange. Market Makers on ISE provides a list of all protections can only submit quotes and orders through SQF in applicable to quotes that may cause an cause a rule violation. The Exchange their assigned options series. order to be rejected. The Exchange believes that this provision protects

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investors and the public interest proposed new Options 3, Section 5(b) is Options 5, Section 2, Order Protection because it specifically prohibits market consistent with the Act because this rule manipulation within propose new rule. text relates to orders, which topic is The Exchange’s proposal to amend The Exchange’s proposal to define both described within new Options 3, Supplementary Material .02(f) within the Exchange’s best bid and offer as the Section 5. The proposal to relocate Size Rule Options 5, Section 2 to make clear ‘‘BBO’’ is consistent with the Act Limitation to make clear that this risk behavior that would violate this rule is because it provides context to the usage protection impacts orders and quotes consistent with the Act because the of these terms in the Rulebook. The will bring greater transparency to this Exchange seeks to provide Members Exchange notes, within Options 3, risk protection. with specific information as to the type Section 7, the orders are displayed and of behavior the rule seeks to limit. This non-displayed. Options 3, Section 22, Limitation on rule currently states, ‘‘A pattern or Further, the Exchange’s proposal to Orders practice of submitting unrelated orders add more detail at proposed new that cause an exposure period to Options 3, Section 5(d) regarding trade- The Exchange’s proposal to amend conclude early will be deemed conduct through and locked and crossed markets Options 3, Section 22 to list all the inconsistent with just and equitable is consistent with the Act. Today, orders exceptions to the exposure requirement principles of trade and a violation of may not be executed against at prices is consistent with the Act because this Options 9, Section 1 and other Exchange that trade-through an away market. rule change will bring greater clarity to Rules.’’ The Exchange proposes to cross- Also, orders may not lock or cross an the Rulebook. The Exchange is adding reference Options 3, Section 22 to away market. Routable orders must rule text currently contained in a NOM provide further clarity on the manner in comply with Trade-Through and Locked rule to describe the required period that which Members may be found to have 24 and Crossed Markets restrictions. By orders are to be exposed. The violated Options 5, Section 2. stating this limitation in the rule, Exchange believes the additional Specifically, the Exchange proposes to Members will have greater clarity as to language provided context and further remove the word ‘‘unrelated’’ and more this limitation. The rule also seeks to explains the exceptions. The Exchange specifically indicate all submitting aggregate information relating to believes that this rule is consistent with orders that cause an exposure period to trading-through so as to provide the Act because with the addition of this conclude early for the purposes of Members with clear guidelines for language the rule more specifically violating Options 3, Section 22 will also submitting orders. describes the limitations to behavior on be deemed conduct inconsistent with The Exchange’s proposal to make the Exchange with respect to order just and equitable principles of trade clear that orders will be displayed in the exposure and the necessity to conduct and a violation of Options 9, Section 1 System as described in Options 3, price discovery. The rule also describes and other Exchange Rules. The Section 23 is intended to bring greater behavior that would violate Options 3, Exchange believes that this additional transparency as to the data available on Section 22 depending on the language referencing Options 3, Section the Exchange. Options 3, Section 23 relationship of the parties and exchange 22 will provide context for the violation titled ‘‘Data Fees and Trade of information. Listing all of the relevant as Options 3, Section 22 describes the Information’’ provides for the available mechanisms available on the Exchange exposure requirements for orders. feeds that Members may access on the will make clear the manner in which a Exchange. Member may execute as principal orders B. Self-Regulatory Organization’s Options 3, Section 7, Types of Orders they represent as agent. Further, Statement on Burden on Competition explicitly excluding the Solicitation The Exchange’s proposal to amend Mechanism will make clear that the The Exchange does not believe that Supplementary Material .03(c) to particular auction is not an exception to the proposed rule change will impose Options 3, Section 7 to make clear that the one second rule. The Exchange’s any burden on competition that is not Market Makers may only enter interest proposal to relocate rule text to create necessary or appropriate in furtherance into SQF in their assigned options series of the purposes of the Act. topic headings and discuss each topic is consistent with the Act. Options 2, discretely will bring greater clarity to Section 3, Appointment of Market Options 3, Section 4, Acceptance of this rule text. The Exchange’s proposal Makers, describes the manner in which Quote and Orders to add a new Options 3, Section 22(c) Market Makers are appointed in options The Exchange’s proposal to add a new series. This sentence simply provides will make clear that a Member cannot inform another Member or any other section (b) to Options 3, Section 4 to that SQF may only be utilized for describe the current requirements and quoting in assigned options series. third party of any of the terms of the order in violation of this rule. Options conditions for submitting quotes does Options 3, Section 15, Simple Order 9, Section 9, titled ‘‘Prevention of the not impose an undue burden on Risk Protections Misuse of Material Nonpublic competition because the Exchange is The Exchange’s proposal to relocate Information,’’ prohibits such activity memorializing its current practice by Options 3, Section 15(a) 23 into today. This rule text is contained in reflecting the various requirements and NOM Rules.25 The Exchange desires to limitations in one rule for ease of 23 Options 5, Section 15(a) provides, ‘‘NBBO Price conform the language in this rule to that reference and clarity and all Market Protection. Orders, other than Intermarket Sweep of affiliated Nasdaq markets. Finally, Makers are subject to the these Orders (as defined in Options 5, Section 1(h)), will updating the cross-references will make requirements today. The Exchange is not be automatically executed by the System at memorializing its current practice by prices inferior to the NBBO (as defined in Options clear the manner in which a Member 5, Section 1(j)). (1) Orders that are not automatically may enter orders on the Exchange. reflecting the various requirements and executed will be handled as provided in limitations for quote entry in one rule Supplementary Material .02 to Options 5, Section for ease of reference and clarity. The to any other market whose quotations are Non-Firm 3; provided that Members may specify that a Non- Exchange is also proposing to conform Customer order should instead be rejected (as defined in Options 5, Section 1(k)).’’ automatically by the System at the time of receipt. 24 See Chapter VII, Section 12. this rule to similar rules across other (2) There is no NBBO price protection with respect 25 See Chapter VII, Section 12 at Commentary .04. Nasdaq affiliated exchanges.

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Options 3, Section 5, Entry and Display Options 5, Section 2, Order Protection • Send an email to rule-comments@ of Orders The Exchange’s proposal to amend sec.gov. Please include File Number SR– ISE–2019–23 on the subject line. The Exchange’s proposed new Supplementary Material .02(f) within Rule Options 5, Section 2 to make clear Options 3, Section 5 describes the Paper Comments behavior that would violate this rule requirements and conditions pursuant does not impose an undue burden on • to which Members can enter orders into Send paper comments in triplicate competition because it seeks to provide the System. The Exchange’s proposal to Secretary, Securities and Exchange Members with specific information as to does not impose an undue burden on Commission, 100 F Street NE, the type of behavior the rule seeks to Washington, DC 20549–1090. competition because it applies limit. This rule would apply uniformly uniformly to all Members. This rule to all Members. All submissions should refer to File memorializes the manner in which Number SR–ISE–2019–23. This file orders may be submitted to the System C. Self-Regulatory Organization’s number should be included on the Statement on Comments on the and provides transparency as to manner subject line if email is used. To help the Proposed Rule Change Received From in which orders may be submitted to the Commission process and review your Members, Participants, or Others System. The Exchange is also proposing comments more efficiently, please use to conform this rule to similar rules No written comments were either only one method. The Commission will across other Nasdaq affiliated solicited or received. post all comments on the Commission’s exchanges. III. Date of Effectiveness of the internet website (http://www.sec.gov/ Options 3, Section 7, Types of Order Proposed Rule Change and Timing for rules/sro.shtml). Copies of the Commission Action submission, all subsequent The Exchange’s proposal to amend Because the foregoing proposed rule amendments, all written statements Supplementary Material .03(c) to change does not: (i) Significantly affect with respect to the proposed rule Options 3, Section 7 to make clear that the protection of investors or the public change that are filed with the Market Makers may only enter interest interest; (ii) impose any significant Commission, and all written into SQF in their assigned options series burden on competition; and (iii) become communications relating to the does not impose an undue burden on operative for 30 days from the date on proposed rule change between the competition, rather it makes clear that which it was filed, or such shorter time Commission and any person, other than SQF may only be utilized for quoting in as the Commission may designate, it has those that may be withheld from the assigned options series. This rule is become effective pursuant to Section public in accordance with the applicable to all Market Makers. 19(b)(3)(A)(iii) of the Act 26 and provisions of 5 U.S.C. 552, will be Options 3, Section 15, Simple Order subparagraph (f)(6) of Rule 19b–4 available for website viewing and Risk Protections thereunder.27 printing in the Commission’s Public At any time within 60 days of the Reference Room, 100 F Street NE, The Exchange’s proposal to relocate filing of the proposed rule change, the Washington, DC 20549 on official Commission summarily may Options 3, Section 15(a) into proposed business days between the hours of temporarily suspend such rule change if new Options 3, Section 5(b) does not 10:00 a.m. and 3:00 p.m. Copies of such impose an undue burden on it appears to the Commission that such filing also will be available for competition because this rule text action is necessary or appropriate in the inspection and copying at the principal relates to orders, which topic is public interest, for the protection of office of the Exchange. All comments described within new Options 3, investors, or otherwise in furtherance of Section 5. Relocating the Size the purposes of the Act. If the received will be posted without change. Limitation protection to another section Commission takes such action, the Persons submitting comments are of the rule to make clear it applies to Commission shall institute proceedings cautioned that we do not redact or edit quotes and orders will bring greater to determine whether the proposed rule personal identifying information from transparency to this rule. should be approved or disapproved. comment submissions. You should submit only information that you wish IV. Solicitation of Comments Options 3, Section 22, Limitation on to make available publicly. All Orders Interested persons are invited to submissions should refer to File submit written data, views, and Number SR–ISE–2019–23, and should The Exchange’s proposal to amend arguments concerning the foregoing, Options 3, Section 22 to list all the be submitted on or before October 28, including whether the proposed rule 2019. exceptions to the exposure requirement change is consistent with the Act. does not impose an undue burden on Comments may be submitted by any of For the Commission, by the Division of competition because this rule change the following methods: Trading and Markets, pursuant to delegated will bring greater clarity to the authority.28 Electronic Comments Rulebook. The Exchange’s proposal to Jill M. Peterson, • relocate rule text to create topic Use the Commission’s internet Assistant Secretary. comment form (http://www.sec.gov/ headings and discuss each topic [FR Doc. 2019–21736 Filed 10–4–19; 8:45 am] discretely will bring greater clarity to rules/sro.shtml); or BILLING CODE 8011–01–P this rule text. The Exchange’s proposal to add a new Options 3, Section (c) will 26 15 U.S.C. 78s(b)(3)(A)(iii). 27 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– make clear the type of behavior that 4(f)(6) requires a self-regulatory organization to give would cause a Member to violate the Commission written notice of its intent to file Options 3, Section 22 when disclosing the proposed rule change at least five business days information to another Member or any prior to the date of filing of the proposed rule change, or such shorter time as designated by the other third party with respect to the Commission. The Exchange has satisfied this terms of the order. requirement. 28 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s that bid or offer may be a ‘‘0,’’ however COMMISSION Statement of the Purpose of, and a price is required to be entered for both Statutory Basis for, the Proposed Rule the bid and offer to be entered into the [Release No. 34–87180; File No. SR–GEMX– Change System. Further, the Exchange proposes at Options 3, Section 4(b)(4) to provide 2019–13] 1. Purpose clarity for entering quotes and proposes Self-Regulatory Organizations; Nasdaq The Exchange proposes to amend to specify, ‘‘The System accepts quotes GEMX, LLC; Notice of Filing and Options 3 at Section 4, ‘‘Acceptance of for the Opening Process as specified in Immediate Effectiveness of Proposed Quotes and Orders,’’ adopt a new Options 3, Section 8.’’ 5 The Exchange Rule Change Relating to the Section 5, ‘‘Entry and Display of believes that this information will bring Submission of Quotes and Orders Orders,’’ Section 7, ‘‘Types of Order,’’ at greater transparency to the Rulebook Supplementary Material .03 and Section with respect to limitations for October 1, 2019. 22 titled ‘‘Limitations on Orders.’’ The submitting quotations into the System. Pursuant to Section 19(b)(1) 1 of the Exchange proposes to amend Options 3, The Exchange proposes a provision Securities Exchange Act of 1934 (the Section 15, ‘‘Simple Order Risk regarding firm quote within proposed ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Protections.’’ Each rule change will be Options 3, Section 4(b)(5): discussed in greater detail below. notice is hereby given that, on Firm Quote. Where quotes in options on September 17, 2019, Nasdaq GEMX, Options 3, Section 4, Acceptance of another market or markets are subject to LLC (‘‘GEMX’’ or ‘‘Exchange’’) filed Orders and Quotes relief from the firm quote requirement set with the Securities and Exchange forth in the Rule 602 of Regulation NMS Currently, Options 3, Section 4 is Commission (the ‘‘Commission’’) the under the Exchange Act orders and quotes titled ‘‘Acceptance of Quotes or proposed rule change as described in will receive an automatic execution at or Orders.’’ The Exchange proposes to better than the NBBO based on the best bid Items I and II below, which Items have retitle Options 3, Section 4 as ‘‘Entry or offer in markets whose quotes are not been prepared by the Exchange. The and Display of Quotes.’’ The Exchange subject to such relief. Such determination Commission is publishing this notice to proposes to add a new section (b) to may be made by way of notification from solicit comments on the proposed rule another market that its quotes are not firm or Options 3, Section 4 to describe the change from interested persons. are unreliable; administrative message from current requirements and conditions for the Option Price Reporting Authority I. Self-Regulatory Organization’s submitting quotes. These requirements (‘‘OPRA’’); quotes received from another Statement of the Terms of Substance of reflect the current System operation market designated as ‘‘not firm’’ using the the Proposed Rule Change today. The Exchange proposes to appropriate indicator; and/or telephonic or memorialize the various requirements electronic inquiry to, and verification from, The Exchange proposes to amend for the submission of quotes into the another market that its quotes are not firm. Options 3 at Section 4, ‘‘Acceptance of System for greater transparency. The The Exchange shall maintain a record of each Quotes and Orders,’’ adopt a new instance in which another exchange’s quotes Exchange proposes to provide at new are excluded from the Exchange’s calculation Section 5, ‘‘Entry and Display of Options 3, Section 4(b), ‘‘Quotes are Orders,’’ Section 7, ‘‘Types of Order,’’ at of NBBO, and shall notify such other subject to the following requirements exchange that its quotes have been so Supplementary Material .03 and Section and conditions:’’. The Exchange excluded. Where quotes in options on 22 titled ‘‘Limitations on Orders.’’ The proposes to add at Options 3, Section another market or markets previously subject Exchange proposes to amend Options 3, 4(b)(1) that ‘‘Market Makers may to relief from the firm quote requirement set Section 15, ‘‘Simple Order Risk generate and submit option quotations.’’ forth in the Quote Rule are no longer subject Protections.’’ Current Options 2, Section 5 makes to such relief, such quotations will be included in the calculation of NBBO for such The text of the proposed rule change clear that Market Makers may submit options. Such determination may be made by 4 is available on the Exchange’s website at quotes. The Exchange proposes to way of notification from another market that http://nasdaqgemx.cchwallstreet.com/, create a list of rules related to quote its quotes are firm; administrative message at the principal office of the Exchange, submission within this rule for ease of from OPRA; and/or telephonic or electronic and at the Commission’s Public reference. The Exchange proposes to inquiry to, and verification from, another Reference Room. provide at proposed new Options 3, market that its quotes are firm. Section 4(b)(2) that ‘‘The System shall II. Self-Regulatory Organization’s GEMX’s Options 2, Section 5(d) time-stamp a quote which shall Statement of the Purpose of, and describes Firm Quote for purposes of determine the time ranking of the quote Statutory Basis for, the Proposed Rule Market Maker quote submission. The for purposes of processing the quote.’’ Change Exchange proposes to memorialize The Exchange notes that all quotes within its Rules the requirement for the In its filing with the Commission, the today are time-stamped for purposes of dissemination of quotations pursuant to Exchange included statements processing quotes. Proposed Options 3, Reg NMS.6 The Exchange is proposing concerning the purpose of, and basis for, Section 4(b)(3) states that ‘‘Market to add the above rule text to provide the proposed rule change and discussed Makers may enter bids and/or offers in context as to this restriction for any comments it received on the the form of a two-sided quote. Only one submitting quotes. The Exchange proposed rule change. The text of these quote may be submitted at a time for an proposes to make clear the manner in statements may be examined at the option series.’’ The Exchange believes which quote relief will occur. places specified in Item IV below. The that this information will provide Specifically, this proposed rule text Exchange has prepared summaries, set Market Makers with information on indicates the manner in which a forth in sections A, B, and C below, of submitting a quote. The Exchange notes the most significant aspects of such 5 Options 3, Section 8(c) provides, ‘‘Market Maker statements. 4 Options 2, Section 5(a) provides, ‘‘Options Valid Width Quotes and Opening Sweeps received Classes. A quotation only may be entered by a starting at 9:25 a.m. Eastern Time are included in Market Maker, and only in the options classes to the Opening Process. Orders entered at any time 1 15 U.S.C. 78s(b)(1). which the market maker is appointed under before an option series opens are included in the 2 15 U.S.C. 78a. Options 2, Section 3.’’ Options 2, Section 5(d) Opening Process.’’ 3 17 CFR 240.19b–4. provides for Firm Quotes. 6 17 CFR 242.602.

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determination for quote relief is made. by the System. The Exchange is noting The Exchange’s proposal is intended to Further, the rule notes the Exchange herein the manner in which a quote may provide greater information with respect shall maintain a record of each instance be rejected by the System to provide to Firm Quote within new Options 3, in which another exchange’s quotes are market participants with expectations as Section 4(b)(5) and regarding trade- excluded from the Exchange’s to the interplay among the various through and locked and crossed markets calculation of NBBO, and shall notify Exchange Rules. Specifically, if the Options 3, Section 4(b)(6). The addition such other exchange that its quotes have Market Maker does not submit a rule text is consistent with the Act been so excluded. Also, when relief is quotation compliant with Options 3, because the Exchange is adding detail no longer available, such quotations will Section 3, the quote will not be accepted regarding the method in which orders be included in the calculation of NBBO by the System because market which are firm or locked and crossed for such options. The Exchange notes participants are required to abide by will be handled in the System. The how the determination is made that Options 3, Section 3 which describes notifications for Firm Quote are made relief is no longer available. The the increments with which options clear with the proposed rule text. The proposed rule text adds greater context series are to be quoted. Options 3, Exchange believes that it is consistent to the manner in which Firm Quote Section 15 provides a list of all with the Act to specify when quotes are relief is applied. This rule text protections applicable to quotes that firm and the handling of such quotes by represents the current practice. may be rejected. The Exchange believes the System for the protection of Similarly, the Exchange proposes to that this rule will provide Members investors and the general public. The provide the following at proposed new with requirements and conditions for clarity is designed to promote just and Options 3, Section 4(b)(6): submitting quotations and provide equitable principles of trade by Trade-Through Compliance and Locked or transparency as to limitations that cause notifying all participants engaged in Crossed Markets. A quote will not be a quote to be rejected. market making of potential outcomes. executed at a price that trades through The Exchange proposes to provide at Today, quotations may not be executed another market or displayed at a price that Options 3, Section 4(c), ‘‘Quotes will be against at prices that trade-through an would lock or cross another market. If, at the displayed in the System as described in away market. Also, quotations may not time of entry, a quote would cause a locked Options 3, Section 23.’’ Options 3, lock or cross an away market. The or crossed market violation or would cause repricing of quotations is consistent a trade-through violation, it will either re- Section 23, titled ‘‘Data Fees and Trade priced and displayed at one minimum price Information’’ provides for the available with the Act because repricing prevents variance above (for offers) or below (for bids) feeds that Members may access on the the Exchange from disseminating a price the national best price or immediately Exchange. This list represents the which locks or crosses another market. cancelled, as configured by the Member. available data feeds and the content of The Exchange is required avoiding Today, quotations may not be those data feeds which are offered today displaying a quotation that would lock executed against at prices that trade- by the Exchange. or cross a quotation of another market through an away market as provided for As discussed in more detail below, center at the time it is displayed. in the Options Order Protection and the Exchange proposes to relocate Preventing inferior prices from Locked/Crossed Market Plan which is current Options 3, Section 4(b) 7 to new displaying perfects the mechanism of a described within Options 5. Also, Options 3, Section 5(a)(5) as described free and open market and a national quotations may not lock or cross an below in greater detail. market system, and, in general to protect away market. By stating this limitation The amendment to Options 3, Section investors and the public interest. in the rule, Market Makers will have 4 to create a list of all the requirements Options 3, Section 5, Entry and Display greater clarity as to this limitation. and conditions for submitting quotes on of Orders the Exchange within one rule is Further, the Exchange is making clear Similar to Options 3, Section 4, which that a quote that would cause a locked consistent with the Act because it will provide greater transparency to market describes requirements for quotes, the or crossed market violation or would Exchange proposes to adopt a new cause a trade-through violation will be participants of the applicable requirements. Further, this proposal Options 3, Section 5, ‘‘Entry and re-priced. The Exchange would display Display of Orders’’ and describe the the quote at one minimum price will make the current rule clear and understandable for market participants current requirements and conditions for variation (‘‘MPV’’) above (for offers) or entering orders. The Exchange notes below (for bids) the national best price thereby protecting investors and the general public. The Exchange notes that that the requirements provided for or the quote would be immediately within this rule represent the current cancelled if requested by the Member. while some of these requirements appear in other rules, for ease of practice. The purpose of Options 3, Repricing quotes is consistent with the Section 5 is to memorialize this Act because the Exchange is not reference the requirements are located within a single rule with this proposal. information within a single rule. permitted to lock or cross an away The Exchange proposes to state market’s quote or order. The Exchange The proposal reflects the Exchange’s current practice with respect to quoting within new Options 3, Section 5(a), reprices the quotes one MPV inferior to ‘‘Members can enter orders into the cause the displayed price to reflect the requirements. This proposal will available market on the Exchange. conform this Rule to other Nasdaq 8 quotes differently than GEMX for purposes of trade- Finally, the Exchange proposes at affiliated markets filing similar rules. through. Phlx re-prices to the current national best Options 3, Section 4(b)(7) to provide, offer (for bids) or the current national best bid (for ‘‘Quotes submitted to the System are 7 Current Options 3, Section 4(b) provides, ‘‘A offers) but displays at one minimum price variance trade may be nullified if all parties participating in above (for offers) or below (for bids) the national subject to the following: minimum the trade agree to the nullification. In such case, one best price. GEMX re-prices and displays quotes at increments provided for in Options 3, party must notify the Exchange and the Exchange one minimum price variance above (for offers) or Section 3 and risk protections provided promptly will disseminate the nullification to below (for bids) the national best price, or, in the for in Options 3, Section 15.’’ If the OPRA.’’ alternative if elected by the Member, the quote is 8 See Phlx Rule 1019. Nasdaq BX, Inc. and otherwise immediately cancelled if it would cause Market Maker does not submit a Nasdaq Stock Market LLC intend to file similar a locked or crossed market. Further, while Phlx has quotation compliant with Options 3, rules. Phlx Rule 1019 is similar to GEMX Options a Quote Exhaust feature as described in Phlx Rule Section 3, the quote will not be accepted 3, Section 4 except that Phlx displays and reprices 1082, GEMX has no similar feature.

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System, subject to the following nullification. In such case, one party that is designated by the Member as routable requirements and conditions:’’. The must notify the Exchange and the will be routed in compliance with applicable Exchange proposes within new Options Exchange promptly will disseminate the Trade-Through and Locked and Crossed 3, Section 5(a)(1), ‘‘Members shall be nullification to OPRA. It is considered Markets restrictions. Orders that are not conduct inconsistent with just and automatically executed will be handled as permitted to transmit to the System provided in Supplementary Material .02 to multiple orders at a single as well as equitable principles of trade for a party Options 5, Section 2; provided that Members multiple price levels.’’ The Exchange’s to use the mutual adjustment process to may specify that a Non-Customer order new rule text at Options 3, Section 5(a) circumvent any applicable Exchange should instead be cancelled automatically by proposes to make clear that multiple rule, the Act or any of the rules and the System at the time of receipt. regulations thereunder.’’ The rule text of orders may be transmitted to the System Today, orders may not be executed at new Options 3, Section 5(a)(5) is as single or multiple price levels. This a price that trades through an away relocated from Options 3, Section 4(b) is the case today. The Exchange market. Also, orders may not lock or because it related to orders. The proposes to memorialize the manner in cross an away market. Routable orders Exchange proposes to caption proposed which orders may be submitted to the must comply with Trade-Through and Options 3, Section 5(a)(5) as System to add more detail to its rules. Locked and Crossed Markets ‘‘Nullification by Mutual Agreement’’ The Exchange proposes at new Options restrictions. Finally, the Exchange and add the following sentence to this 3, Section 5(a)(2), ‘‘The System accepts proposes to cross-reference provision, ‘‘It is considered conduct orders beginning at a time specified by Supplementary Material .02 to Options inconsistent with just and equitable the Exchange and communicated on the 5, Section 2 to describe the manner in Exchange’s website.’’ The System principles of trade for a party to use the mutual adjustment process to which orders that are not automatically accepts orders beginning at a time executed are handled. Today, Members specified by the Exchange and circumvent any applicable Exchange rule, the Act or any of the rules and may specify that a Non-Customer order communicated on the Exchange’s should instead be cancelled 9 regulations thereunder.’’ The Exchange website. automatically by the System at the time The Exchange proposes at new believes that it is consistent with the Act to permit parties to agree to a of receipt. By including this information Options 3, Section 5(a)(3), ‘‘The System within this rule, the Exchange proposes shall time-stamp an order which shall nullification provided the nullification does not violate other exchange rules. to provide Members with information determine the time ranking of the order related to trade-through in one location for purposes of processing the order.’’ The Exchange notes that parties may not agree to a mutual agreement for with cross-references to provide Further, all orders are time-stamped to transparency. This rule text is similar to determine the time ranking of the order purposes that would cause another rule to be violated. The Exchange believes rule text within BX Chapter VI, Section for purposes of processing the order 7(b)(3)(C). Noting these limitations within the System. This is also the case that it is consistent with the Act and protection of investors and general within the rule is consistent with the today and the Exchange is adding this Act because Members will have greater detail to its rules to describe the time- public to make clear the expected behavior with respect to nullifications. clarity as to limitations. stamp. Finally, the Exchange proposes to add The Exchange proposes to add at new The rule text at proposed Options 3, Section 5(b) is relocated from Options 3, rule text at new Options 3, Section 5(e), Options 3, Section 5(a)(4), ‘‘Orders similar to Options 3, Section 4(c) which submitted to the System are subject to Section 15(a). The Exchange notes that this NBBO Protection applies to orders states, ‘‘Orders will be displayed in the the following: Minimum increments System as described in Options 3, provided for in Options 3, Section 3, and therefore is being discussed within proposed Options 3, Section 5, which Section 23.’’ risk protections provided for in Options The Exchange’s proposal to adopt a 3, Section 15, and the restrictions of any applies to all market participants. In contrast, Options 3, Section 4, which new Options 3, Section 5, ‘‘Entry and order type as provided for in Options 3, Display of Orders’’ and describe the Section 7. Orders may execute at applies to quotes entered by Market Makers, describes the Firm Quote current requirements and conditions for multiple prices.’’ All orders must adhere entering orders, similar to proposed to other rule requirements such as protections and the interplay of NBBO with respect to quotes. Trade-Through is changes to Options 3, Section 4 for minimum increments, risk protection quotes is consistent with the Act rules and order types. Similar to the rule described in both Options 3, Sections 4 and 5. The Exchange proposes to change because it will provide transparency as text for quotes, order are currently to manner in which orders may be subject the minimum increment the word ‘‘rejected’’ to ‘‘cancelled’’ within new Options 3, Section 5(b) submitted to the System. The requirements in Options 3, Section 3 Exchange’s new rule reflects the current and also the risk protections for orders because an order may be accepted by the System and then immediately requirements for submitting orders into which are listed within current Options the System. Similar to proposed Options 3, Section 15. This rule provides a list cancelled. New Options 3, Section 5(c) seeks to define the Exchange’s best bid 3, Section 4, the Exchange proposes to of other requirements which may memorialize requirements and impact the execution of an order. and offer as the ‘‘BBO.’’ The Exchange provides, ‘‘The System automatically limitations within one rule for ease of Finally, orders may execute at multiple reference.10 prices. executes eligible orders using the Exchange’s displayed best bid and offer The Exchange proposes to add to new 10 Phlx Rule 1096 is similar to GEMX Options 3, Options 3, Section 5(a)(5) the following, (‘‘BBO’’).’’ Similar to Options 3, Section 4(b)(6), Section 5. With respect to NBBO Protection, unlike ‘‘Nullification by Mutual Agreement. Phlx, GEMX Orders that are not automatically the Exchange proposes to note at new Trades may be nullified if all parties executed will be handled as provided in Options 3, Section 5(d), Supplementary Material .02 to Options 5, Section participating in the trade agree to the 2; provided that Members may specify that a Non- Trade-Through Compliance and Locked or Customer order should instead be accepted and 9 The Exchange’s website makes the timeframes Crossed Markets. An order will not be immediately cancelled automatically by the System in which orders may be submitted to the System: executed at a price that trades through at the time of receipt. Phlx does not have a similar https://business.nasdaq.com/media/ another market or displayed at a price that exposure mechanism. Also, with respect to trade- GEMXSystemSetting_tcm5044-41351.pdf. would lock or cross another market. An order Continued

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Options 3, Section 7, Types of Orders relocating this rule and adding ‘‘or functionalities available on the The Exchange proposes to amend quotes’’ is consistent with the Act Exchange into which a Member may Supplementary Material .03(c) to because the Exchange will make clear enter principal orders they represent as Options 3, Section 7 to add the that the Size Limitation risk protection agent. Options 3, Section 22 is intended following sentence to Specialized Quote would apply to all interest on the to encourage price discovery and price Feed (‘‘SQF’’), ‘‘Market Makers may Exchange. improvement of all orders entered on only enter interest into SQF in their Options 3, Section 22, Limitation on the Exchange. assigned options series.’’ The Exchange Orders The Exchange proposes to relocate notes that today Market Makers may Supplementary Material .01 to Options The Exchange proposes to amend utilize SQF to quote only in their 3, Section 22 to new Section 22(b)(i) and Options 3, Section 22 to retitle the assigned options series as provided for state ‘‘This Rule’’ instead of ‘‘Options 3, Section from ‘‘Limitations on Orders’’ to in Options 2, Section 3, Appointment of Section 22(d).’’ The Exchange notes that ‘‘Limitations on Order Entry.’’ The Market Makers. Adding this information the references to ‘‘d’’ should refer to ‘‘b’’ Exchange believes that this title is more to the SQF protocol is consistent with and those cross-references are being appropriate for these rules. the Act because the Exchange desires to updated. The Exchange proposes to amend make clear the manner in which Market The Exchange proposes to amend the Options 3, Section 22(b) to amend the Makers may submit quotes through the title of Options 3, Section 22(c), from title of the section from ‘‘Principal protocol. Market Makers are obligated to ‘‘Solicitation Orders’’ to ‘‘Limitation on Transactions’’ to ‘‘Limitations on provide liquidity on GEMX in the Solicitation Orders.’’ The Exchange Principal Transactions.’’ This rule options series to which they are proposes to add exceptions for Qualified provides for the exposure of orders assigned, which liquidity benefits all Contingent Cross Orders pursuant to entered on the Exchange. Specifically, market participants. This amendment is Options 3, Section 12(c) and (d) and with respect to orders entered when a similar to language currently within Customer Cross Order pursuant to Member is acting as agent and principal Phlx Rule 1080(a)(i)(B). Options 3, Sections 12(a) or (b) similar on an order, the order must be exposed to proposed Options 3, Section 22(b). Options 3, Section 15 Simple Order Risk for one second prior to execution to The Exchange proposes to re-letter Protections allow an opportunity for price current ‘‘d’’ as ‘‘e’’ as the Exchange The Exchange proposes to delete the improvement. The Exchange has filed proposes new rule text at proposed first sentence introductory sentence of for certain functionalities which are Options 3, Section 22(d) which Options 3, Section 15 which provides, exceptions to the general standard of provides, ‘‘Prior to or after submitting ‘‘Incoming orders that are executable one second exposure. These an order to GEMX, a Member cannot against orders and quotes in the System functionalities have provisions which inform another Member or any other will be executed automatically by the describe the manner in which orders third party of any of the terms of the System subject to the following:’’ and can be entered into the Facilitation order for purposes of violating this 11 relocate the rule text to Options 3, Mechanism, Price Improvement Rule.’’ Similar rule text is contained in 12 Section 5 as described herein as well as Mechanism, Qualified Contingent The Nasdaq Options Market LLC 13 Section 15(a)(1) and (a)(2), into Cross Orders, and Customer Cross (‘‘NOM’’) Rules.16 The Exchange 14 proposed new Options 3, Section 5(b) Orders. The Exchange proposes to believes that adding this language will and renumber Options 3, Section 15(b) separately note that with respect to the better information participants that 15 as new ‘‘a.’’ The Exchange proposes to Solicitation Mechanism, that an Options 3, Section 22 prohibits such relocate current Options 3, Section Options Member may electronically behavior. The Exchange desires to 15(b)(1)(C) to Options 3, Section submit for execution an order it conform the language in this rule to that 15(b)(2)(B). Current Options 3, Section represents as agent against solicited of affiliated Nasdaq markets. The 15(b)(1)(D) will be re-lettered as ‘‘C’’. order(s). Options 3, Section 11(d) and Exchange notes that similar language is Options 3, Section 15(b)(1) provides for (e) provide that an Agency Order must currently contained within order risk protections. The Exchange be for at least the minimum size Supplementary Material .02 to Options proposes to relocate the Size Limitation designated by the Exchange, which may 3, Section 22 which provides, protection to Options 3, Section 15(b)(2) not be less than 500 standard option because this section applies to order and contracts, and the order be entered into It will be a violation of Options 3, Section quote risk protections. Size Limitation the Solicited Order Mechanism shall be 22(e) for an Electronic Access Member to cause the execution of an order it represents protection applies to both orders and designated as all-or-none. Because a as agent on the Exchange by orders it quotes and is therefore properly placed Member may not execute as principal solicited from Members and non-Member within this section. The Exchange on the order, there must be an Agency broker-dealers to transact with such orders, proposes to add the words ‘‘or quote’’ to Order which executes against the whether such solicited orders are entered the description to make clear that this solicited order; therefore, the into the System directly by the Electronic protection applies to both orders and Solicitation Mechanism is explicitly Access Member or by the solicited party quotes. The Exchange believes that carved out from proposed Options 3, (either directly or through another Member), Section 22(b), whereas the other if the Member fails to expose orders on the Exchange as required by Options 3, Section through, Phlx re-prices an order that would cause auctions noted are exceptions to the 22(e). a locked or crossed market violation or would cause general one second rule. The Exchange a trade-through violation to the current national This rule text is repetitive of the best offer (for bids) or the current national best bid believes it is consistent with the Act and (for offers) and displayed at one minimum price the protection of investors and the provisions within current Options 3, variance above (for offers) or below (for bids) the general public to describe the Section 22(c). The Exchange is clearly national best price. While GEMX will not execute providing within Options 3, Section an order at a price that trades through another 11 See Options 3, Section 11(b) and (c). 22(c) that a Member must expose an market or display an order at a price that would 12 lock or cross another market, GEMX does not re- See Options 3, Section 13. order for one second. Further, the price orders. GEMX Members may specify that a 13 See Options 3, Section 12(c) and (d). Non-Customer order should instead be cancelled 14 See Options 3, Section 12(a) and (b). 16 See NOM Rules at Chapter VII, Section 12 at automatically by the System at the time of receipt. 15 See Options 3, Section 11(d) and (e). Commentary .04.

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Member cannot inform another Member trade, to remove impediments to and rule text makes clear the manner in or third party of the terms of the order, perfect the mechanism of a free and which Firm Quote relief is applied. The which would be a violation of the rule open market and a national market Exchange believes it is consistent with pursuant to proposed Options 3, Section system, and, in general to protect the Act to provide greater detail as to 22(c). The Exchange does not believe investors and the public interest. the current obligations for Market that the rule text within Supplementary Makers with respect to firm quote. The Options 3, Section 4, Acceptance of Material .02 to Options 3, Section 22 addition rule text is consistent with the Quote and Orders provides additional information, but Act because the Exchange is adding rather is repetitive of the prohibitions The Exchange’s proposal to add a new detail regarding the method in which within the rule, as proposed. section (b) to Options 3, Section 4 to orders which are firm or locked and The Exchange proposes to update the describe the current requirements and crossed will be handled in the System. rule citations in Supplementary conditions for submitting quotes are The notifications for Firm Quote are Material .01 to Options 3, Section 22 to consistent with the Act. The Exchange made clear with the proposed rule text. refer to paragraph ‘‘b’’ instead of ‘‘d’’. is memorializing its current practice by The Exchange believes that it is The Exchange proposes to update the reflecting the various requirements and consistent with the Act to specify when rule numbers for the remainder of the limitations for quote entry in one rule quotes are firm and the handling of such Rule and also update the cross-reference for ease of reference and clarity. The quotes by the System for the protection in Supplementary Material .04 to Exchange is also proposing to conform of investors and the general public. The Options 3, Section 22. this rule to similar rules across other clarity is designed to promote just and The Exchange proposes to make clear Nasdaq affiliated exchanges. Making equitable principles of trade by with this Rule that Members may not clear the manner in which Market notifying all participants engaged in gain by failing to expose orders Makers may generate and submit option market making of potential outcomes. submitted on an agency basis. The quotations will provide these market Further, the Exchange’s proposal to add Exchange is promoting transparency of participants with clear guidance within more detail at proposed new Options 3, orders to prevent Members from seeking the rules. The Exchange notes that other Section 4(b)(6) regarding trade-through price discovery and potentially rules already limit the use of quotations and locked and crossed markets is preventing price improvement, which on the Exchange. Options 2, Section 5 consistent with the Act. Today, may result from exposing an order. The makes clear that Market Makers may quotations may not be executed against Exchange’s proposal to amend Options submit quotes.20 Supplementary at prices that trade-through an away 3, Section 22 will conform this Rule to Material .03(c) to Options 3, Section 7 market. Also, quotations may not lock or other Nasdaq affiliated markets filing describes the SQF interface.21 Options cross an away market. Also, quotations similar rules.17 The Exchange’s proposal 2, Section 4(b)(4) provides the allowable may not lock or cross an away market. to add rule text to describe potential spread for entering bids and offers on By stating this limitation in the rule, violations of this Rule will bring greater the Exchange. Further, the Exchange is Members will have greater clarity as to clarity to current limitations that exist making clear that only one quote may be this limitation. The repricing of when entering orders. The amendments submitted at a time for a series. The quotations is consistent with the Act to Options 3, Section 22 are consistent Exchange believes that memorializing because repricing prevents the Exchange with the Act because the Rule provides these restrictions will bring greater from disseminating a price which locks a list of limitations when entering order clarity to the Exchange’s rules. Also, the or crosses another market. The on the Exchange. The Exchange believes Exchange believes that making clear that Exchange’s proposal to note that quotes the proposed rule will promote just and quotes may be entered as specified by are subject to minimum increments equitable principles of trade and remove the Exchange makes clear that all provided for in Options 3, Section 3 and impediments to and perfect the Market Makers are subject to uniform risk protections provided for in Options mechanism of a free and open market requirements for quoting. 3, Section 15 is consistent with the Act and a national market system because it The Exchange’s proposal to add a because this rule brings greater will continue to make clear the provision regarding Firm Quote within transparency to these requirements requirement to expose orders as well as new Options 3, Section 4(b)(5) will which are already noted in the present more specific limitations on bring greater transparency to the aforementioned rules. Options 2, order entry which would violate limitations that Market Makers have Section 5(b)(1) similarly requires a Exchange Rules. Providing Members today with respect to firm quote. Market Maker to quote in the minimum with more information as to the type of GEMX’s Options 2, Section 5(d) increments specified in Options 3, behavior that is violative with respect to describes firm quote for purposes of Section 3. Options 3, Section 15, titled order exposure will prevent inadvertent Market Maker quote submission. The ‘‘Simple Order Risk Protections’’ violations of Exchange rules and ensure Exchange is proposing to add rule text provides a list of all protections that orders are subject to appropriate to provide context as to this restriction applicable to quotes that may cause an price discovery. for submitting quotes. The proposed order to be rejected. The Exchange 2. Statutory Basis believes that this rule will provide 20 Options 2, Section 5(a) provides, ‘‘Options Market Makers with requirements and Classes. A quotation only may be entered by a The Exchange believes that its conditions for submitting quotations proposal is consistent with Section 6(b) market maker, and only in the options classes to which the market maker is appointed under and provide transparency as to 18 of the Act, in general, and furthers the Options 2, Section 3.’’ Options 2, Section 5(d) limitations that cause a quote to be 19 objectives of Section 6(b)(5) of the Act, provides for Firm Quote. rejected. in particular, in that it is designed to 21 Supplementary Material .03(c) to Options 3, The Exchange’s proposal to make promote just and equitable principles of Section 7 provides ‘‘Specialized Quote Feed’’ or ‘‘SQF’’ is an interface that allows market makers to clear that quotes will be displayed in connect, send, and receive messages related to the System as described in Options 3, 17 Nasdaq BX, Inc. and Nasdaq Stock Market LLC quotes, Immediate-or-Cancel Orders, and auction are also adopting similar rules to Phlx Rule 1097. responses to the Exchange. Market Makers on Section 23 is intended to bring greater 18 15 U.S.C. 78f(b). GEMX can only submit quotes and orders through transparency as to the data available on 19 15 U.S.C. 78f(b)(5). SQF in their assigned options series. the Exchange. Options 3, Section 23,

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titled ‘‘Data Fees and Trade Further, the Exchange’s proposal to Options 3, Section 22, Limitation on Information’’ provides for the available add more detail at proposed new Orders feeds that Members may access on the Options 3, Section 5(d) regarding trade- The Exchange’s proposal to amend Exchange. through and locked and crossed markets Options 3, Section 22 to list all the is consistent with the Act. Today, orders Options 3, Section 5, Entry and Display exceptions to the exposure requirement may not be executed against at prices of Orders is consistent with the Act because this that trade-through an away market. rule change will bring greater clarity to The Exchange proposes to retitle Also, orders may not lock or cross an the Rulebook. The Exchange is adding Options 3, Section 5 as ‘‘Entry and away market. Routable orders must rule text currently contained in a NOM Display of Orders’’ to describe the comply with Trade-Through and Locked rule to describe the required period that current requirements and conditions for and Crossed Markets restrictions. By orders are to be exposed.23 The entering orders, similar to proposed stating this limitation in the rule, Exchange believes the additional changes to Options 3, Section 5 for Members will have greater clarity as to language provided context and further quotes is consistent with the Act this limitation. The rule also seeks to explains the exceptions. The Exchange because it will provide transparency as aggregate information relating to believes that this rule is consistent with to manner in which orders may be trading-through so as to provide the Act because with the addition of this submitted to the System. The Members with clear guidelines for language the rule more specifically Exchange’s new rule text memorializes submitting orders. describes the limitations to behavior on the current requirements for submitting The Exchange’s proposal to make the Exchange with respect to order orders into the System. Similar to clear that orders will be displayed in the exposure and the necessity to conduct proposed Options 3, Section 4, the System as described in Options 3, price discovery. The rule also describes Exchange proposes to memorialize Section 23 is intended to bring greater behavior that would violate Options 3, requirements and limitations within one transparency as to the data available on Section 22 depending on the rule for ease of reference. the Exchange. Options 3, Section 23 relationship of the parties and exchange The Exchange’s new rule text at titled ‘‘Data Fees and Trade of information. Listing all of the relevant Options 3, Section 5(a) proposes to Information’’ provides for the available mechanisms available on the Exchange make clear that multiple orders may be feeds that Members may access on the will make clear the manner in which a transmitted to the System as single or Exchange. Member may execute as principal orders multiple price levels to add greater Options 3, Section 7, Types of Orders they represent as agent. Further, transparency to the Exchange’s rules. explicitly excluding the Solicitation The Exchange proposes to memorialize The Exchange’s proposal to amend Mechanism will make clear that the the manner in which orders may be Supplementary Material .03(c) to particular auction is not an exception to submitted to the System to add more Options 3, Section 7 to make clear that the one second rule. The Exchange’s detail to its rules. For example, the time Market Makers may only enter interest proposal to relocate rule text to create the System begins accepting orders, into SQF in their assigned options series topic headings and discuss each topic information concerning the time-stamp, is consistent with the Act. Options 2, discretely will bring greater clarity to which determines the time ranking of Section 3, Appointment of Market this rule text. The Exchange’s proposal the order, as well as restrictions to order Makers, describes the manner in which to add a new Options 3, Section 22(c) entry. Orders submitted to the System Market Makers are appointed in options will make clear that a Member cannot are subject to minimum increments series. This sentence simply provides inform another Member or any other specified in Options 3, Section 3 risk that SQF may only be utilized for third party of any of the terms of the protections provided for in Options 3, quoting in assigned options series. order in violation of this rule. Options 9, Section 9, titled ‘‘Prevention of the Section 15, and the restrictions of any Options 3, Section 15, Simple Order Misuse of Material Nonpublic order type as provided for in Options 3, Risk Protections Section 7. The Exchange believes that Information,’’ prohibits such activity listing the requirements and limitations The Exchange’s proposal to relocate today. This rule text is contained in 22 24 is consistent with the Act because it will Options 3, Section 15(a) into NOM Rules. The Exchange desires to provide Members with the information proposed new Options 3, Section 5(b) is conform the language in this rule to that necessary to process orders on GEMX. consistent with the Act because this rule of affiliated Nasdaq markets. Finally, In addition, noting that parties may not text relates to orders, which topic is updating the cross-references will make agree to a mutual agreement for described within new Options 3, clear the manner in which a Member purposes that would cause another rule Section 5. The proposal to relocate Size may enter orders on the Exchange. Limitation to make clear that this risk to be violated is consistent with the Act B. Self-Regulatory Organization’s protection impacts orders and quotes because it provides transparency to Statement on Burden on Competition Members that certain behavior would will bring greater transparency to this risk protection. The Exchange does not believe that cause a rule violation. The Exchange the proposed rule change will impose believes that this provision protects 22 any burden on competition that is not investors and the public interest Options 5, Section 15(a) provides, ‘‘NBBO Price Protection. Orders, other than Intermarket Sweep necessary or appropriate in furtherance because it specifically prohibits market Orders (as defined in Options 5, Section 1(h)), will of the purposes of the Act. manipulation within propose new rule. not be automatically executed by the System at The Exchange’s proposal to define both prices inferior to the NBBO (as defined in Options Options 3, Section 4, Acceptance of 5, Section 1(j)). (1) Orders that are not automatically Quote and Orders the Exchange’s best bid and offer as the executed will be handled as provided in ‘‘BBO’’ is consistent with the Act Supplementary Material .02 to Options 5, Section The Exchange’s proposal to add a new because it provides context to the usage 3; provided that Members may specify that a Non- section (b) to Options 3, Section 4 to of these terms in the Rulebook. The Customer order should instead be rejected describe the current requirements and automatically by the System at the time of receipt. Exchange notes, within Options 3, (2) There is no NBBO price protection with respect Section 7, the orders are displayed and to any other market whose quotations are Non-Firm 23 See Chapter VII, Section 12. non-displayed. (as defined in Options 5, Section 1(k)).’’ 24 See Chapter VII, Section 12 at Commentary .04.

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conditions for submitting quotes does competition because this rule change Electronic Comments not impose an undue burden on will bring greater clarity to the • competition because the Exchange is Rulebook. The Exchange’s proposal to Use the Commission’s internet memorializing its current practice by relocate rule text to create topic comment form (http://www.sec.gov/ reflecting the various requirements and headings and discuss each topic rules/sro.shtml); or limitations in one rule for ease of discretely will bring greater clarity to • Send an email to rule-comments@ reference and clarity and all Market this rule text. The Exchange’s proposal sec.gov. Please include File Number SR– Makers are subject to the these to add a new Options 3, Section (c) will GEMX–2019–13 on the subject line. requirements today. The Exchange is make clear the type of behavior that memorializing its current practice by would cause a Member to violate Paper Comments reflecting the various requirements and Options 3, Section 22 when disclosing • Send paper comments in triplicate limitations for quote entry in one rule information to another Member or any to Secretary, Securities and Exchange for ease of reference and clarity. The other third party with respect to the Exchange is also proposing to conform terms of the order. Commission, 100 F Street NE, this rule to similar rules across other Washington, DC 20549–1090. C. Self-Regulatory Organization’s Nasdaq affiliated exchanges. Statement on Comments on the All submissions should refer to File Options 3, Section 5, Entry and Display Proposed Rule Change Received From Number SR–GEMX–2019–13. This file of Orders Members, Participants, or Others number should be included on the subject line if email is used. To help the The Exchange’s proposed new No written comments were either Commission process and review your Options 3, Section 5 describes the solicited or received. comments more efficiently, please use requirements and conditions pursuant to which Members can enter orders into III. Date of Effectiveness of the only one method. The Commission will the System. The Exchange’s proposal Proposed Rule Change and Timing for post all comments on the Commission’s does not impose an undue burden on Commission Action internet website (http://www.sec.gov/ competition because it applies rules/sro.shtml). Copies of the Because the foregoing proposed rule uniformly to all Members. This rule submission, all subsequent change does not: (i) Significantly affect memorializes the manner in which amendments, all written statements the protection of investors or the public orders may be submitted to the System with respect to the proposed rule interest; (ii) impose any significant and provides transparency as to manner change that are filed with the burden on competition; and (iii) become in which orders may be submitted to the Commission, and all written operative for 30 days from the date on System. The Exchange is also proposing communications relating to the which it was filed, or such shorter time to conform this rule to similar rules proposed rule change between the as the Commission may designate, it has across other Nasdaq affiliated become effective pursuant to Section Commission and any person, other than exchanges. 19(b)(3)(A)(iii) of the Act 25 and those that may be withheld from the Options 3, Section 7, Types of Order subparagraph (f)(6) of Rule 19b–4 public in accordance with the thereunder.26 provisions of 5 U.S.C. 552, will be The Exchange’s proposal to amend available for website viewing and At any time within 60 days of the Supplementary Material .03(c) to printing in the Commission’s Public Options 3, Section 7 to make clear that filing of the proposed rule change, the Reference Room, 100 F Street NE, Market Makers may only enter interest Commission summarily may Washington, DC 20549 on official into SQF in their assigned options series temporarily suspend such rule change if does not impose an undue burden on it appears to the Commission that such business days between the hours of competition, rather it makes clear that action is necessary or appropriate in the 10:00 a.m. and 3:00 p.m. Copies of such SQF may only be utilized for quoting in public interest, for the protection of filing also will be available for assigned options series. This rule is investors, or otherwise in furtherance of inspection and copying at the principal applicable to all Market Makers. the purposes of the Act. If the office of the Exchange. All comments Commission takes such action, the received will be posted without change. Options 3, Section 15, Simple Order Commission shall institute proceedings Persons submitting comments are Risk Protections to determine whether the proposed rule cautioned that we do not redact or edit The Exchange’s proposal to relocate should be approved or disapproved. personal identifying information from Options 3, Section 15(a) into proposed comment submissions. You should IV. Solicitation of Comments new Options 3, Section 5(b) does not submit only information that you wish impose an undue burden on Interested persons are invited to to make available publicly. All competition because this rule text submit written data, views, and submissions should refer to File relates to orders, which topic is arguments concerning the foregoing, Number SR–GEMX–2019–13, and described within new Options 3, including whether the proposed rule should be submitted on or before Section 5. Relocating the Size change is consistent with the Act. October 28, 2019. Limitation protection to another section Comments may be submitted by any of For the Commission, by the Division of of the rule to make clear it applies to the following methods: quotes and orders will bring greater Trading and Markets, pursuant to delegated authority.27 transparency to this rule. 25 15 U.S.C. 78s(b)(3)(A)(iii). Jill M. Peterson, Options 3, Section 22, Limitation on 26 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Orders 4(f)(6) requires a self-regulatory organization to give Assistant Secretary. the Commission written notice of its intent to file [FR Doc. 2019–21737 Filed 10–4–19; 8:45 am] The Exchange’s proposal to amend the proposed rule change at least five business days prior to the date of filing of the proposed rule BILLING CODE 8011–01–P Options 3, Section 22 to list all the change, or such shorter time as designated by the exceptions to the exposure requirement Commission. The Exchange has satisfied this does not impose an undue burden on requirement. 27 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s remain unexecuted after routing, the COMMISSION Statement of the Purpose of, and Order returns to Nasdaq and will check Statutory Basis for, the Proposed Rule the System for available shares, with [Release No. 34–87186; File No. SR– Change remaining shares posted on the Nasdaq Book 11 as a Non-Displayed Order with NASDAQ–2019–080] 1. Purpose a Midpoint Pegging Order Attribute The Exchange is proposing 3 to adopt (unless an IOC).12 Self-Regulatory Organizations; The 4 Nasdaq Stock Market LLC; Notice of fees for the MIDP order routing option. The Exchange is proposing to adopt MIDP is an order routing 5 option under Filing and Immediate Effectiveness of fees under Equity 7, Section 118(a) for Rule 4758(a)(1)(A), which will allow use of the MIDP order routing option. Proposed Rule Change To Adopt Fees members to seek midpoint liquidity on First, the Exchange is proposing to for the MIDP Routing Option Nasdaq and other markets on the adopt a fee of $0.0030 per share 6 October 1, 2019. System routing table. Specifically, the executed in securities of all three MIDP order routing option may be Tapes,13 charged to a member entering Pursuant to Section 19(b)(1) of the assigned only to a Non-Displayed Order an MIDP Order that routes and executes Securities Exchange Act of 1934 Type 7 with a Midpoint Pegging Order at venues with a protected quotation (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Attribute.8 An Order with MIDP to buy under Regulation NMS other than BX, notice is hereby given that, on (sell) will check the System for available or Nasdaq. Rule 600(b)(62) of Regulation September 18, 2019, The Nasdaq Stock shares and then the remaining shares NMS defines a protected quotation as a Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) are routed to destinations on the System protected bid or a protected offer, which filed with the Securities and Exchange routing table 9 that support midpoint are defined as a quotation in an NMS Commission (‘‘Commission’’) the eligible orders with a limit price that is stock that: (i) Is displayed by an proposed rule change as described in at the lesser (greater) of: (1) The current automated trading center; 14 (ii) is Items I, II, and III below, which Items NBO (NBB); or (2) the Order’s entered disseminated pursuant to an effective have been prepared by the Exchange. limit price (if applicable).10 If shares national market system plan; and (iii) is The Commission is publishing this notice to solicit comments on the 3 The Exchange initially filed the proposed Midpoint price, the Order will not be routed but pricing changes on August 27, 2019 (SR–NASDAQ– will instead be posted on the Nasdaq Book as a proposed rule change from interested 2019–068). On September 9, 2019, the Exchange Midpoint Peg Order (if not an IOC). Once on the persons. withdrew that filing and submitted a replacement Nasdaq Book, if the NBBO moves and the Order’s filing (SR–NASDAQ–2019–076). On September 18, limit price is equal to the midpoint of the NBBO, I. Self-Regulatory Organization’s 2019, the exchange withdrew that filing and the Order would not subsequently route. If the Statement of the Terms of Substance of submitted this filing. NBBO updates so that a resting Order with MIDP 4 should be updated to a new midpoint price, it will the Proposed Rule Change See http://www.nasdaqtrader.com/ TraderNews.aspx?id=ETA2019-60; see also be routed again and if shares remain unexecuted Securities Exchange Act Release No. 86087 (June after routing, the Order will check the System for The Exchange proposes to adopt fees 11, 2019), 84 FR 28117 (June 17, 2019) (SR– available shares with remaining shares reposted to for the MIDP order routing option. NASDAQ–2019–050). the Nasdaq Book. 11 5 Routing is an Order Attribute that allows a See Rule 4701(a). The text of the proposed rule change 12 Participant to designate an Order to employ one of An Order with the MIDP routing option will is available on the Exchange’s website at several Routing Strategies (also called ‘‘routing only be accepted with a Time-in-Force of Market http://nasdaq.cchwallstreet.com/, at the options’’) offered by Nasdaq, as described in Rule Hours DAY or IOC and may not be flagged to principal office of the Exchange, and at 4758; such an Order may be referred to as a participate in any of the Nasdaq Crosses. ‘‘Routable Order.’’ Upon receipt of an Order with Unexecuted shares of an order with the MIDP the Commission’s Public Reference the Routing Order Attribute, the System will routing option will check the System for available Room. process the Order in accordance with the applicable shares with remaining shares posted on the Nasdaq Routing Strategy. In the case of a limited number Book (unless an IOC Order) as a Non-Displayed II. Self-Regulatory Organization’s of Routing Strategies, the Order will be sent directly Order with a Midpoint Pegging Order Attribute. Statement of the Purpose of, and to other market centers for potential execution. For 13 Securities listed on Nasdaq are Tape C securities, securities listed on NYSE are Tape A Statutory Basis for, the Proposed Rule most other Routing Strategies, including MIDP, the Order will attempt to access liquidity available on securities, and securities listed on exchanges other Change Nasdaq in the manner specified for the underlying than Nasdaq and NYSE are Tape B securities Order Type and will then be routed in accordance (collectively, the ‘‘Tapes’’). In its filing with the Commission, the with the applicable Routing Strategy. Shares of the 14 Trading center is defined as a national Exchange included statements Order that cannot be executed are then returned to securities exchange or national securities Nasdaq, where they will (i) again attempt to access association that operates an SRO trading facility, an concerning the purpose of and basis for liquidity available on Nasdaq and (ii) post to the alternative trading system, an exchange market the proposed rule change and discussed Nasdaq Book or be cancelled, depending on the maker, an OTC market maker, or any other broker any comments it received on the Time-in-Force of the Order. See Rule 4703(f). or dealer that executes orders internally by trading as principal or crossing orders as agent. See Rule proposed rule change. The text of these 6 The term ‘‘System routing table’’ refers to the proprietary process for determining the specific 600(b)(82) of Regulation NMS. An automated statements may be examined at the trading venues to which the System routes orders trading center is a trading center that: (i) Has places specified in Item IV below. The and the order in which it routes them. Nasdaq implemented such systems, procedures, and rules Exchange has prepared summaries, set reserves the right to maintain a different System as are necessary to render it capable of displaying routing table for different routing options and to quotations that meet the requirements for an forth in sections A, B, and C below, of modify the System routing table at any time without automated quotation set forth in Rule 600(b)(4) of Regulation NMS; (ii) identifies all quotations other the most significant aspects of such notice. See Rule 4758(a)(1)(A). 7 than automated quotations as manual quotations; statements. See Rule 4702(b)(3). (iii) immediately identifies its quotations as manual 8 Midpoint Pegging means Pegging with reference quotations whenever it has reason to believe that it to the midpoint between the Inside Bid and the is not capable of displaying automated quotations; Inside Offer (the ‘‘Midpoint’’). See Rule 4703(d). and (iv) has adopted reasonable standards limiting 9 The Order is routed sequentially to the various when its quotations change from automated venues on the System routing table in the full quotations to manual quotations, and vice versa, to amount. An Order with MIDP and a Minimum specifically defined circumstances that promote fair Quantity Order Attribute will similarly route to the and efficient access to its automated quotations and venues sequentially. are consistent with the maintenance of fair and 1 15 U.S.C. 78s(b)(1). 10 If the entered limit price of a buy (sell) Order orderly markets. See Rule 600(b)(5) of Regulation 2 17 CFR 240.19b–4. entered with MIDP is less (greater) than the current NMS.

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an automated quotation that is the best equitable and not unfairly charge for MIDP Orders in any Tape bid or best offer of a national securities discriminatory to assess a $0.0030 per securities priced below $1 per share exchange, the best bid or best offer of share executed fee for securities in all because it is consistent with what it The Nasdaq Stock Market, Inc., or the three Tapes priced at $1 or more per currently charges for all orders in best bid or best offer of a national share to a member that enters an MIDP securities priced at less than $1 per securities association other than the best Order that routes and executes at venues share that execute on Nasdaq or at an bid or best offer of The Nasdaq Stock with a protected quotation under away venue.23 Last, the Exchange Market, Inc.15 The Exchange is Regulation NMS other than BX, or believes that the proposed pricing proposing to adopt a $0.0012 per share Nasdaq because, as an example, PHLX changes are equitable and not unfairly executed fee in securities of all three assesses a standard transaction charge of discriminatory because they will apply Tapes, charged to a member entering an $0.0030 per share executed to a member uniformly to all members. MIDP Order that routes and executes at organization that enters an order in a B. Self-Regulatory Organization’s venues ineligible for a protected security that it trades priced at $1 or Statement on Burden on Competition quotation under Regulation NMS. The more per share that executes in Nasdaq Exchange is proposing to not charge PSX.20 Similarly, CBOE BZX assesses a The Exchange does not believe that members for entering an MIDP Order standard fee of $0.0030 per share the proposed rule change will impose that routes and executes at BX. executed for orders that remove any burden on competition not The Exchange is also proposing to liquidity.21 necessary or appropriate in furtherance assess the applicable charges and credits The Exchange believes that it is of the purposes of the Act. In terms of under Equity 7, Sections 114 16 and reasonable, equitable and not unfairly inter-market competition, the Exchange 118(a) to a member entering an MIDP discriminatory to assess a fee of $0.0012 notes that it operates in a highly Order that routes and executes at per share executed for securities in all competitive market in which market Nasdaq. Thus, a liquidity-removing three Tapes priced at $1 or more per participants can readily favor competing MIDP Order on Nasdaq would be share to a member that enters an MIDP venues if they deem fee levels at a charged a fee based on the tier that the Order that routes and executes at venues particular venue to be excessive, or member qualifies for under the fee ineligible for a protected quotation rebate opportunities available at other schedule of each of the Tapes for under Regulation NMS because the venues to be more favorable. In such an removing liquidity, and a liquidity- Exchange is assessed various fees for the environment, the Exchange must adding MIDP Order on Nasdaq would be execution of such orders at away venues continually adjust its fees to remain provided a credit, depending on the tier and the proposed fee is reflective of the competitive with other exchanges and that the member qualifies for under the value provided by the Exchange in with alternative trading systems that fee schedule of each of the Tapes for providing this functionality and the have been exempted from compliance providing liquidity. Last, the Exchange overall fees assessed by such venues. with the statutory standards applicable is proposing to assess the existing fee of The Exchange believes that assessing to exchanges. Because competitors are 0.3% of the total transaction cost to a no charge for an MIDP Order that routes free to modify their own fees in member with a MIDP Order in a security and executes at BX is reasonable, response, and because market priced at less than $1 that receives an equitable and not unfairly participants may readily adjust their execution.17 discriminatory because it is reflective of order routing practices, the Exchange the fee assessed the Exchange for the believes that the degree to which fee 2. Statutory Basis changes in this market may impose any execution of such orders at BX, which burden on competition is extremely The Exchange believes that its currently assesses no fee for an Order limited. proposal is consistent with Section 6(b) with Midpoint pegging that removes 18 of the Act, in general, and furthers the 22 In this instance, the proposed pricing liquidity. Similarly, the Exchange for MIDP Orders are intended to recoup objectives of Sections 6(b)(4) and 6(b)(5) believes that it is reasonable, equitable 19 the Exchange’s costs associated with of the Act, in particular, in that it and not unfairly discriminatory to apply provides for the equitable allocation of providing routing services, which are the applicable charges as provided in wholly optional. As discussed above, reasonable dues, fees and other charges Equity 7, Sections 114 and 118(a) to a among members and issuers and other the Exchange believes that its proposed member that enters an MIDP Order that pricing remains competitive with other persons using any facility, and is not routes and removes liquidity from designed to permit unfair equity exchanges, as they are reflective Nasdaq because such fees are reflective of the costs incurred by the Exchange in discrimination between customers, of the fees that other similarly situated issuers, brokers, or dealers. receiving executions of routed midpoint members would receive for execution of orders to the various venues. In The Exchange believes that its Orders on Nasdaq. For the same reason, proposal is reasonable, equitable and addition, because the Exchange’s the Exchange believes that it is routing services are the subject of not unfairly discriminatory because the reasonable, equitable and not unfairly pricing proposed above for MIDP Orders competition, including price discriminatory to apply the applicable competition, from other exchanges and is generally set at levels that the credits as provided in Equity 7, Sections Exchange is assessed for the execution broker-dealers that offer routing 114 and 118(a) to a member that enters services, as well as the ability of of such orders at away venues. The an MIDP Order that routes and provides Exchange believes that it is reasonable, members to use their own routing liquidity to Nasdaq. capabilities, it is likely that the The Exchange believes that it is 15 Exchange will lose market share as a See Rule 600(b)(61) of Regulation NMS. reasonable, equitable and not unfairly 16 Equity 7, Section 114 provides the Exchange’s result of the proposed fees if they are market quality incentive programs, which provide discriminatory to assess the proposed unattractive to market participants. In beneficial pricing in lieu of, or in addition to, the this regard, the Exchange notes that the fees and credits provided under Equity 7, Section 20 See PHLX Equity 7, Section 3. proposed fees are similar to the RMPT 118(a). 21 See Cboe BZX U.S. Equities Exchange Fee 17 See Equity 7, Section 118(b). Schedule, available at https://markets.cboe.com/us/ and RMPL routing strategies of BYX and 18 15 U.S.C. 78f(b). equities/membership/fee_schedule/bzx/. 19 15 U.S.C. 78f(b)(4) and (5). 22 See BX Equity 7, Section 118(a). 23 See Equity 7, Section 118(b).

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EDGA,24 respectively, which may be All submissions should refer to File 19(b)(1) of the Securities Exchange Act used with a Mid-Point Peg Order to Number SR–NASDAQ–2019–080. This of 1934 (‘‘Act’’),1 and Rule 19b–4 check the exchanges’ respective Systems file number should be included on the thereunder,2 a proposed rule change to for available shares and any remaining subject line if email is used. To help the amend the Exchange’s fee schedule to shares are then sent to destinations on Commission process and review your revise the Options Regulatory Fee their routing tables that support comments more efficiently, please use charged for August 30, 2019. The midpoint eligible orders. Accordingly, only one method. The Commission will proposed rule change was immediately the Exchange does not believe that the post all comments on the Commission’s effective upon filing with the proposed changes will impair the ability internet website (http://www.sec.gov/ Commission pursuant to Section of members or competing order rules/sro.shtml). Copies of the 19(b)(3)(A) of the Act.3 The proposed execution venues to maintain their submission, all subsequent rule change was published for comment competitive standing in the financial amendments, all written statements in the Federal Register on September markets. with respect to the proposed rule 19, 2019.4 The Commission received C. Self-Regulatory Organization’s change that are filed with the one comment letter on the proposal Statement on Comments on the Commission, and all written from the Exchange noting that it Proposed Rule Change Received From communications relating to the planned to withdraw File No. SR– 5 Members, Participants, or Others proposed rule change between the NYSEAMER–2019–35. On September Commission and any person, other than 18, 2019, the Exchange withdrew the No written comments were either those that may be withheld from the proposed rule change (SR–NYSEAMER– solicited or received. public in accordance with the 2019–35). III. Date of Effectiveness of the provisions of 5 U.S.C. 552, will be For the Commission, by the Division of Proposed Rule Change and Timing for available for website viewing and Trading and Markets, pursuant to delegated Commission Action printing in the Commission’s Public authority.6 The foregoing rule change has become Reference Room, 100 F Street NE, Jill M. Peterson, effective pursuant to Section Washington, DC 20549 on official Assistant Secretary. 19(b)(3)(A)(ii) of the Act.25 business days between the hours of [FR Doc. 2019–21733 Filed 10–4–19; 8:45 am] At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of such BILLING CODE 8011–01–P filing of the proposed rule change, the filing also will be available for Commission summarily may inspection and copying at the principal temporarily suspend such rule change if office of the Exchange. All comments SECURITIES AND EXCHANGE it appears to the Commission that such received will be posted without change. COMMISSION action is: (i) Necessary or appropriate in Persons submitting comments are cautioned that we do not redact or edit [Release No. 34–87185; File No. SR– the public interest; (ii) for the protection NYSEArca–2019–64] of investors; or (iii) otherwise in personal identifying information from furtherance of the purposes of the Act. comment submissions. You should Self-Regulatory Organizations; NYSE If the Commission takes such action, the submit only information that you wish Arca Inc.; Notice of Withdrawal of Commission shall institute proceedings to make available publicly. All Proposed Rule Change To Amend the to determine whether the proposed rule submissions should refer to File NYSE Arca Options Fee Schedule To should be approved or disapproved. Number SR–NASDAQ–2019–080, and Revise the Options Regulatory Fee should be submitted on or before IV. Solicitation of Comments October 28, 2019. October 1, 2019. On August 30, 2019, NYSE Arca, Inc. Interested persons are invited to For the Commission, by the Division of submit written data, views, and Trading and Markets, pursuant to delegated (‘‘Exchange’’) filed with the Securities arguments concerning the foregoing, authority.26 and Exchange Commission including whether the proposed rule Jill M. Peterson, (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act change is consistent with the Act. Assistant Secretary. Comments may be submitted by any of of 1934 (‘‘Act’’),1 and Rule 19b–4 [FR Doc. 2019–21732 Filed 10–4–19; 8:45 am] the following methods: thereunder,2 a proposed rule change to BILLING CODE 8011–01–P amend the Exchange’s fee schedule to Electronic Comments revise the Options Regulatory Fee • Use the Commission’s internet charged for August 30, 2019. The comment form (http://www.sec.gov/ SECURITIES AND EXCHANGE COMMISSION proposed rule change was immediately rules/sro.shtml); or effective upon filing with the • Send an email to rule-comments@ [Release No. 34–87184; File No. SR– Commission pursuant to Section sec.gov. Please include File Number SR– NYSEAMER–2019–35] 19(b)(3)(A) of the Act.3 The proposed NASDAQ–2019–080 on the subject line. rule change was published for comment Self-Regulatory Organizations; NYSE Paper Comments American LLC; Notice of Withdrawal of 1 • 15 U.S.C. 78s(b)(1). Send paper comments in triplicate Proposed Rule Change To Amend the 2 17 CFR 240.19b–4. to Secretary, Securities and Exchange NYSE American Options Fee Schedule 3 15 U.S.C. 78s(b)(3)(A). Commission, 100 F Street NE, To Revise the Options Regulatory Fee 4 See Securities Exchange Act Release No. 86960 Washington, DC 20549–1090. (September 13, 2019), 84 FR 49359. October 1, 2019. 5 See Letter to Vanessa Countryman, Secretary, 24 See Cboe BYX U.S. Equities Exchange Fee On August 30, 2019, NYSE American Commission, from Martha Redding, Associate Schedule (available at https://markets.cboe.com/us/ LLC (‘‘Exchange’’) filed with the General Counsel and Assistant Secretary, Exchange, equities/membership/fee_schedule/byx/) and Cboe dated September 17, 2019. Securities and Exchange Commission 6 EDGA U.S. Equities Exchange Fee Schedule 17 CFR 200.30–3(a)(12). (available at https://markets.cboe.com/us/equities/ (‘‘Commission’’), pursuant to Section 1 15 U.S.C. 78s(b)(1). membership/fee_schedule/edga/). 2 17 CFR 240.19b-4. 25 15 U.S.C. 78s(b)(3)(A)(ii). 26 17 CFR 200.30–3(a)(12). 3 15 U.S.C. 78s(b)(3)(A).

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in the Federal Register on September a hearing. Interested persons may established under the laws of the 19, 2019.4 The Commission received request a hearing by writing to the Commonwealth of Massachusetts. one comment letter on the proposal Commission’s Secretary and serving 2. Although each of the Calvert Funds from the Exchange noting that it applicants with a copy of the request, has distinct investment objectives and planned to withdraw File No. SR– personally or by mail. Hearing requests policies, a guiding philosophy of each NYSEArca–2019–64.5 On September 18, should be received by the Commission Calvert Fund is an interest in fostering 2019, the Exchange withdrew the by 5:30 p.m. on October 28, 2019, and environmental, social, and governance proposed rule change (SR–NYSEArca– should be accompanied by proof of (‘‘ESG’’) initiatives by investing a small 2019–64). service on the applicants, in the form of percentage of its net assets pursuant to For the Commission, by the Division of an affidavit, or, for lawyers, a certificate special non-principal investment Trading and Markets, pursuant to delegated of service. Pursuant to rule 0–5 under strategies, including high social impact authority.6 the Act, hearing requests should state (‘‘HSI’’) investment opportunities such Jill M. Peterson, the nature of the writer’s interest, any as the CIN Program (as defined below). Assistant Secretary. facts bearing upon the desirability of a HSI investments may be made by the hearing on the matter, the reason for the [FR Doc. 2019–21731 Filed 10–4–19; 8:45 am] Calvert Funds in a variety of ways, request, and the issues contested. BILLING CODE 8011–01–P including through the purchase of debt Persons who wish to be notified of a securities. The registration statement of hearing may request notification by any Fund relying on the Requested SECURITIES AND EXCHANGE writing to the Commission’s Secretary. Order will include disclosure designed COMMISSION ADDRESSES: Secretary, U.S. Securities to inform investors about the risks that and Exchange Commission, 100 F Street may be associated with HSI investing, [Investment Company Act Release No. NE, Washington, DC 20549–1090. 33653; 812–14993] including the fact that such investments Applicants: the Calvert Funds, 1825 may offer a rate of return below the Calvert Fund, et al. Connecticut Ave. NW, Suite 400, market rate prevailing at the time of the Washington, DC 20009 and Katy D. investment. Burke, Calvert Research and October 2, 2019. 3. Calvert Impact Capital, Inc. Management, Two International Place, AGENCY: Securities and Exchange (‘‘CIC’’) 2 is a non-profit corporation that Boston, MA 02110. Commission (the ‘‘Commission’’). was organized for the purpose of, among ACTION: Notice. FOR FURTHER INFORMATION CONTACT: Jill other things, making loans to (and other Ehrlich, Senior Counsel, at (202) 551– Notice of application for an order investments in) organizations aligned 6819, or David J. Marcinkus, Branch with CIC’s mission and increasing under sections 6(c) and 17(b) of the Chief, at (202) 551–6821 (Division of Investment Company Act of 1940 public awareness and knowledge of the Investment Management, Chief concept of socially responsible (‘‘Act’’) for exemptions from section Counsel’s Office). 17(a) of the Act, and under section 17(d) investing. CIC focuses its work on SUPPLEMENTARY INFORMATION: The offering investors the ability to support of the Act and rule 17d–1 thereunder to following is a summary of the permit certain joint transactions. organizations that strengthen application. The complete application communities and sustain the planet. SUMMARY OF APPLICATION: Applicants may be obtained via the Commission’s Applicants state that CIC is exempt from request an order (‘‘Requested Order’’) to website by searching for the file registration as an investment company permit certain registered investment number, or an applicant using the under section 3(c)(10)(A) of the Act. companies to invest a portion of their Company name box, at http:// assets in certain fixed rate notes issued 4. The Community Investment Notes www.sec.gov/search/search.htm or by Program (the ‘‘CIN Program’’) sponsored in connection with a community calling (202) 551–8090. investment program sponsored by an by CIC is designed to provide financing affiliated non-profit corporation. Applicants’ Representations solutions to organizations seeking to address an array of social and APPLICANTS: Calvert Fund, Calvert 1. Each Calvert Fund is registered environmental problems. In connection Impact Fund, Inc., Calvert Management under the Act as an open-end with the CIN Program, CIC issues notes 3 Series, Calvert Responsible Index Series, management investment company that Inc., Calvert Social Investment Fund, offers one or more series of shares. Calvert Fund, Calvert Management management companies or series thereof Calvert Variable Series, Inc., Calvert (collectively with the Calvert Funds, the ‘‘Funds’’ World Values Fund, Inc. (collectively, Series, and Calvert Social Investment and each a ‘‘Fund’’) that are, or may in the future the ‘‘Calvert Funds’’), and Calvert Fund are each organized as a business be, advised by CRM or any entity controlling, Research and Management (‘‘CRM’’ and, trust under the laws of the controlled by, or under common control (within the Commonwealth of Massachusetts. meaning of section 2(a)(9) of the Act) with CRM, or collectively with the Calvert Funds, the any successor in interest to any such entity (each ‘‘Applicants’’). Calvert World Values Fund, Inc., Calvert and collectively, the ‘‘Adviser’’). For purposes of FILING DATES: The application was filed Responsible Index Series, Inc., Calvert the Requested Order, ‘‘successor’’ is limited to any on December 27, 2018 and amended on Variable Series, Inc., and Calvert Impact entity that results from a reorganization into Fund, Inc. are each organized as another jurisdiction or a change in the type of May 29, 2019. business organization. The Adviser of each Fund HEARING OR NOTIFICATION OF HEARING: An corporations under the laws of the state will be an investment adviser registered under the order granting the requested relief will of Maryland. All of the Calvert Funds Advisers Act. All entities that currently intend to be issued unless the Commission orders are advised by CRM, an investment rely on the Requested Order have been named as adviser registered under the Investment Applicants, and any other entity that relies on the Requested Order in the future will comply with the 4 See Securities Exchange Act Release No. 86961 Advisers Act of 1940 (the ‘‘Advisers terms and conditions of the application. 1 (September 13, 2019), 84 FR 49356. Act’’). CRM is a business trust 2 Effective October 31, 2017, Calvert Social 5 See Letter to Vanessa Countryman, Secretary, Investment Foundation, Inc. changed its legal name Commission, from Martha Redding, Associate 1 Applicants request that the order apply not only to Calvert Impact Capital, Inc. General Counsel and Assistant Secretary, Exchange, to the Applicants, but that it also extend to any 3 Applicants state that such notes are exempt dated September 17, 2019. other existing or future series of the Calvert Funds from registration under section 3(a)(4) of the 6 17 CFR 200.30–3(a)(12). and to any existing or future registered investment Securities Act of 1933.

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with fixed rates of interest to domestic Program would be made by the Adviser Applicants’ Conditions individuals and institutional investors in a manner consistent with the Applicants agree that the Requested (‘‘Noteholders’’). CIC currently offers the investment objectives and policies Order will be subject to the following notes to investors with various set terms adopted by the Funds’ Board, disclosure conditions: and interest rates. A potential investor provided to the Funds’ shareholders, the 1. The Funds’ Board will be can select the particular note in which fiduciary duties of the Adviser, and responsible for reviewing the CIN it would like to invest from the current subject to the oversight of the Funds’ Program not less frequently than offerings based on the term of the note Board. The Adviser would not receive annually. The Funds may continue to and corresponding fixed interest rate any compensation for the Funds’ participate in the CIN Program through (currently ranging from zero to four investments in the Notes (aside from the investment in the Notes only if, at the percent). The operating expenses potential impact on a Fund’s asset-based time of such review, the Funds’ Board associated with the administration of advisory fee). Information about the concludes that (i) continued CIC’s CIN Program are treated by CIC as Calvert Funds’ investments in the CIN participation in the CIN Program by the part of its general operating expenses, Program is presented to the Funds’ Funds remains consistent with the and there is no fee assessed upon Board on a quarterly basis, thereby investment objectives and policies of Noteholders for their investment in the mitigating potential conflicts that CRM each of the Funds; and (ii) such notes. may have with the CIN Program. 5. From 1998 to 2016, the Calvert 8. Responsibility for the business, participation is not on a basis that is less Funds’ HSI investments included the property, and affairs of CIC is vested in advantageous than that of other acquisition of notes (the ‘‘Existing its Board of Directors (the ‘‘CIC Board’’). Noteholders of the same class. 2. The Funds will invest in the Notes Notes’’) issued through the CIN Program The CIC Board and the Funds’ Board in accordance with an exemptive order share certain common trustees/ only in accordance with the investment issued by the Commission in 1998 (the directors, as described in the objectives, policies and restrictions of ‘‘1998 Order’’).4 The 1998 Order application. Currently, there is one the applicable Fund as disclosed in its permitted certain Calvert Funds to common trustee/director between the registration statement, and the Funds invest a portion of their assets in the CIC Board (comprised of thirteen will not be permitted to acquire the Existing Notes.5 The Calvert Funds’ directors) and the Funds’ Board Notes to an extent greater than that former investment adviser, Calvert (comprised of eight directors/trustees). which is permitted under the terms of Investment Management, Inc. (‘‘CIM’’) Further, CRM supports CIC in a number their prospectus at the time of such was the adviser to the registrants relying of ways. CRM has licensed use of the investment and any limits approved by on the 1998 Order. The Calvert Funds Calvert name to CIC and has committed those members of the Funds’ Board who stopped relying on the 1998 Order to to make an annual $250,000 donation to are not ‘‘interested persons’’ of the make additional investments in notes CIC in each of five consecutive years Funds as defined by section 2(a)(19) of issued through the CIN Program beginning in 2018. Additionally, in the Act. following the purchase, on December response to requests from intermediaries 3. The Adviser will not invest in CIC 30, 2016, by CRM of substantially all of for information about impact investing by directly purchasing Notes for its own the business assets of CIM. Following or CIC, representatives of a limited account. Neither the Adviser nor any this transaction, CRM became the purpose broker-dealer affiliated with entity controlling, controlled by, or Calvert Funds’ investment adviser on CRM may direct such intermediaries to under common control with (within the December 31, 2016. CIC.6 meaning of section 2(a)(9) of the Act) 6. From 1998 to 2016, the Boards of the Adviser will receive any Directors/Trustees (collectively, the Applicants’ Legal Analysis compensation for the Funds’ investment ‘‘Funds’ Board’’) of the Calvert Funds In light of the overlapping Board in the Notes or for services provided to that invested in the Existing Notes and members, the Calvert Funds’ ownership CIC in connection with the Funds’ other HSI investments gained in the Notes, and the other potential investment in the Notes, provided that: experience with respect to the oversight means of affiliation described in the (i) The market value of the Notes in of HSI investing. CRM and the Funds’ application, CIC may be deemed to be which the Funds may, from time to Board have determined that the ability an affiliated person of each of the time, invest will be included in the to continue to invest through the CIN Calvert Funds for purposes of section calculation of any investment advisory Program would be appropriate for the 17(a) and 17(d) of the Act. Additionally, fee payable by a Fund to its Adviser Calvert Funds, including making because the Calvert Funds are affiliated pursuant to the terms of an investment additional investments in notes issued persons of one another through their advisory contract that satisfies the by CIC through the CIN Program (such common investment adviser, each of the requirements of section 15(a) of the Act notes together with the Existing Notes, Funds might be deemed to be and subject to section 36 of the Act, the ‘‘Notes’’). participating in a joint transaction with where such fee is calculated based on a 7. The Funds’ Board has authorized each other Fund through investments in percentage of the average daily net each Calvert Fund to invest up to 3% of the Notes within the scope of section assets of any such Fund; and (ii) in its net assets in HSI investments. The 17(d). Applicants submit that the response to requests from intermediaries decision to participate in the CIN Requested Order would be consistent for information about impact investing with the standards of sections 6(c), or CIC, representatives of an entity 4 Investment Company Act Release Nos. 23306 17(b), and 17(d) of the Act and rule affiliated with the Adviser may direct (July 8, 1998) (notice) and 23376 (Aug. 4, 1998) such intermediaries to CIC, provided (order). 17d–1 under the Act. 5 As of December 31, 2018, the Existing Notes that such activities would not affect the held by the Calvert Funds represented $54.12 6 Neither CRM nor the affiliated broker-dealer value of, or interest paid under the million of the approximately $410.10 million in would receive any compensation in connection terms of, any Note purchased by a Fund notes issued pursuant to the CIN Program. This with the foregoing activity, and neither CRM nor in reliance on the Requested Order. amount represents approximately 13% of the notes the affiliated broker-dealer anticipates involvement issued pursuant to the CIN Program and in suitability determinations or in selling the Notes 4. All Noteholders will participate in approximately 37% of the $145.81 million of notes directly to individuals or organizations on an the income (losses) generated by the maturing in 2019. agency basis. assets underlying the Notes in

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proportion to their respective structure for the Exchange’s Rulebook Rulebook that resides alongside its investments. that will become effective upon the current Rulebook, which shell Rulebook For the Commission, by the Division of migration of the Exchange’s trading will contain the Rules that will be in Investment Management, pursuant to platform to the same system used by the place upon completion of the Cboe delegated authority. Cboe Affiliated Exchanges (as defined Options technology migration. The Jill M. Peterson, below) (‘‘shell Rulebook’’). The text of Exchange proposes to add the Assistant Secretary. the proposed rule change is provided in provisions of its Rules regarding C–SAM [FR Doc. 2019–21810 Filed 10–4–19; 8:45 am] Exhibit 5. Auctions, as proposed to be modified in BILLING CODE 8011–01–P The text of the proposed rule change this rule filing, to Rule 5.40 in the shell is also available on the Exchange’s Rulebook. website (http://www.cboe.com/ The proposed rule change moves the SECURITIES AND EXCHANGE AboutCBOE/ provisions regarding SAM Auctions for COMMISSION CBOELegalRegulatoryHome.aspx), at complex orders from current the Exchange’s Office of the Secretary, Interpretation and Policy .01 5 to [Release No. 34–87194; File No. SR–CBOE– and at the Commission’s Public 2019–064] proposed Rule 5.40, and provides Reference Room. additional detail to the Rules, as well as Self-Regulatory Organizations; Cboe II. Self-Regulatory Organization’s makes certain additional changes. Exchange, Inc.; Notice of Filing and Statement of the Purpose of, and Current Interpretation and Policy .01 Immediate Effectiveness of a Proposed Statutory Basis for, the Proposed Rule states complex orders may be executed Rule Change To Amend Its Rule Change through a SAM Auction at a net debit Regarding How Complex Orders Are or net credit price provided the Processed Through the Solicitation In its filing with the Commission, the eligibility requirements in current Rule Auction Mechanism (‘‘C–SAM’’ or ‘‘C– Exchange included statements 6.74B(a) are satisfied and the Agency SAM Auction’’), and Move That Rule concerning the purpose of and basis for Order is eligible for a SAM Auction From the Currently Effective Rulebook the proposed rule change and discussed considering its complex order type, to the Shell Structure for the any comments it received on the order origin code (i.e., non-broker-dealer Exchange’s Rulebook That Will proposed rule change. The text of these public customer, broker-dealers that are Become Effective Upon the Migration statements may be examined at the not Market-Makers or specialists on an of the Exchange’s Trading Platform to places specified in Item IV below. The options exchange, and/or Market- the Same System Used by the Cboe Exchange has prepared summaries, set Makers or specialists on an options Affiliated Exchanges forth in sections A, B, and C below, of exchange), class, and marketability as the most significant aspects of such determined by the Exchange. Order October 1, 2019. statements. allocation is the same as in current Rule Pursuant to Section 19(b)(1) of the 6.74B(b)(2), provided that complex Securities Exchange Act of 1934 (the A. Self-Regulatory Organization’s 1 2 Statement of the Purpose of, and order priority rules applicable to bids ‘‘Act’’), and Rule 19b–4 thereunder, and offers in the individual series legs notice is hereby given that on Statutory Basis for, the Proposed Rule Change of a complex order contained in current September 23, 2019, Cboe Exchange, Rule 6.53C(d) or Interpretation and Inc. (the ‘‘Exchange’’ or ‘‘Cboe 1. Purpose Policy .06, as applicable, will continue Options’’) filed with the Securities and In 2016, the Exchange’s parent to apply. Exchange Commission (the company, Cboe Global Markets, Inc. ‘‘Commission’’) the proposed rule The Exchange believes it will provide (formerly named CBOE Holdings, Inc.) change as described in Items I and II more clarity to the Rules to have a (‘‘Cboe Global’’), which is also the below, which Items have been prepared separate rule regarding how SAM parent company of Cboe C2 Exchange, by the Exchange. The Exchange filed the Auctions apply to complex orders (‘‘C– Inc. (‘‘C2’’), acquired Cboe EDGA proposal as a ‘‘non-controversial’’ SAM Auctions’’), and thus proposes to Exchange, Inc. (‘‘EDGA’’), Cboe EDGX proposed rule change pursuant to add Rule 5.40 to the shell Rulebook. As Exchange, Inc. (‘‘EDGX’’ or ‘‘EDGX Section 19(b)(3)(A)(iii) of the Act 3 and they are today, complex orders will Options’’), Cboe BZX Exchange, Inc. Rule 19b–4(f)(6) thereunder.4 The continue to be processed and executed (‘‘BZX’’ or ‘‘BZX Options’’), and Cboe Commission is publishing this notice to in a C–SAM Auction in a substantially BYX Exchange, Inc. (‘‘BYX’’ and, solicit comments on the proposed rule similar manner as simple orders are together with Cboe Options, C2, EDGX, change from interested persons. processed and executed in an SAM EDGA, and BZX, the ‘‘Cboe Affiliated Auction pursuant to Rule 5.39,6 and I. Self-Regulatory Organization’s Exchanges’’). The Cboe Affiliated Statement of the Terms of the Substance Exchanges are working to align certain 5 The Exchange proposed to delete Rule 6.74B, of the Proposed Rule Change system functionality, retaining only Interpretation and Policy .01 from current Rulebook Cboe Exchange, Inc. (the ‘‘Exchange’’ intended differences between the Cboe in SR–CBOE–2019–063 (filed September 23, 2019). Affiliated Exchanges, in the context of a 6 See current Rule 6.74B, Interpretation and or ‘‘Cboe Options’’) proposes to amend Policy .01 (‘‘complex orders may be executed its Rule regarding how complex orders technology migration. Cboe Options through the [SAM] Auction at a net debit or net are processed through the Solicitation intends to migrate its trading platform to credit price’’ with certain exceptions); see also Auction Mechanism (‘‘C–SAM’’ or ‘‘C– the same system used by the Cboe Securities Exchange Act Release No. 57610 (April Affiliated Exchanges, which the 3, 2008), 73 FR 19535, 19536 (April 10, 2008) (SR– SAM Auction’’), and move that Rule CBOE–2008–14) (which approved current Rule from the currently effective Rulebook Exchange expects to complete on 6.74B, Interpretation and Policy .01 and stated that (‘‘current Rulebook’’) to the shell October 7, 2019. Cboe Options believes the Exchange had ‘‘developed an enhanced auction offering similar functionality to the mechanism for larger-sized simple and complex Agency Orders that are to be executed against 1 extent practicable will reduce potential 15 U.S.C. 78s(b)(1). solicited orders’’, which auction mechanism would 2 17 CFR 240.19b–4. confusion for market participants. not permit responds to be entered for the account 3 15 U.S.C. 78s(b)(3)(A)(iii). In connection with this technology of an options market-maker from another options 4 17 CFR 240.19b–4(f)(6). migration, the Exchange has a shell exchange).

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therefore proposed Rule 5.40 is The proposed rule change deletes the information, and requires TPHs to have substantially similar to Rule 5.39 in the restriction that a solicited order cannot policies and procedures designed to shell Rulebook.7 be for the account of any Market-Maker prevent the misuse of material The proposed rule change adds to the appointed in the class. Current Rule nonpublic information. When a market proposed introductory paragraph 8 that 6.74B, Interpretation and Policy .03, participant is solicited to be the contra- the Solicited Order may consist of one which applies to SAM Auctions of side in a crossing auction, the or more solicited orders.9 This complex orders), imposes this knowledge of that auction is not yet accommodates multiple contra-parties restriction.11 With respect to the simple public. If an appointed Market-Maker and increases the opportunities for markets, appointed Market-Makers have was solicited for a C–SAM Auction and customer orders to be submitted into a a variety of obligations related to modified its quotes in the Simple Book C–SAM Auction with the potential for providing liquidity and making in the applicable series in response to price improvement, since the Solicited competitive markets in their appointed that auction, the Exchange may Order must stop the full size of the classes. Therefore, prohibiting Market- determine that to be a violation of Rule Agency Order. This has no impact on Makers from being solicited in a simple 4.18 (which the Exchange intends to the execution of the Agency Order, SAM Auction may encourage those move to Rule 8.17 of the shell Rulebook which may already trade against Market-Makers to provide liquidity in with no substantive changes). Such an multiple contra-parties depending on that auction to provide liquidity through action would only impact C–SAM the final auction price, as set forth in responses, as well as quotes on the Book Auction execution prices if those quotes proposed paragraph (e) (and current that may have the opportunity to were at the BBO in the applicable series. Rule 6.74B(b)(2) and Interpretation and execute against the Agency Order. This is true for any TPH solicited for a Policy .01). The Exchange notes that Because Market-Makers have no C–SAM Auction that modified the with regard to order entry, the first order obligations to provide liquidity to prices of any orders it has resting in the submitted into the system is marked as complex markets (and there is no applicable legs in the Simple Book or in the initiating/agency side and the quoting functionality available in the the applicable complex strategy resting second order is marked as the contra- complex order book (‘‘COB’’)), in the COB, as C–SAM permissible side. Additionally, the Solicited Order appointed Market-Makers are on equal execution prices are based on all will always be entered as a single order, footing with all other market interest resting in the Simple Book. even if that order consists of multiple participants with respect to C–SAM The proposed introductory paragraph contra-parties who are allocated their Auctions. Permitting Market-Makers to for Rule 5.40 is the same as the portion of the trade in a post-trade be solicited provides all market corresponding paragraph for C–AIM allocation.10 participants with the opportunity to Auctions (Rule 5.38 in the shell provide liquidity to execute against Rulebook), which is the Exchange’s 7 The Exchange recently proposed certain Agency Orders in C–SAM Auctions in price improvement crossing auction for amendments to the simple SAM Auction, many of the same manner (both through Agency Orders of all sizes and which the Exchange similarly proposes to apply to substantially similar to the Exchange’s C–SAM Auctions. See SR–CBOE–2019–063 (filed solicitation, responses, and interest 12 September 23, 2019). The Exchange notes it resting on the COB). Rule 5.38 in the C–SAM Auctions, except C–AIM proposed to delete all of current Rule 6.74B in that shell Rulebook similarly does not Auctions permit facilitations and rule filing, and thus the proposed rule change restrict appointed Market-Makers from customer-to-customer immediate merely adds all provisions that are applicable to C– crosses, while C–SAM Auctions only SAM Auctions (as proposed to be amended) to the being solicited to participate on the shell Rulebook. contra-side of C–AIM Auctions. permit solicitations and do not permit 8 The proposed rule change also adds to the The Exchange does not believe customer-to-customer immediate proposed introductory paragraph that for purposes permitting an appointed Market-Maker crosses, as set forth above.13 of proposed Rule 5.40, the term ‘‘SBBO’’ means the to be solicited for a C–SAM Auction Proposed Rule 5.40(a) sets forth synthetic best bid or offer on the Exchange at the particular point in time applicable to the reference. provides the Market-Maker with any eligibility requirements for a C–SAM This is merely an addition of terminology used advantages with respect to its potential Auction. Proposed Rule 5.40(a)(5) states throughout the Rule, but has no impact on quotes in the applicable series in the the Trading Permit Holder that functionality. Simple Book. Rule 4.18 prohibits any electronically submits an order into a C– 9 The Solicited Order cannot have a Capacity F TPH from misusing material nonpublic SAM Auction (the ‘‘Initiating TPH’’) for the same executing firm ID (‘‘EFID’’) as the Agency Order. See current Rule 6.74B, may not designate an Agency Order or Interpretation and Policy .03. Because the Solicited an Solicited Order that must be for a minimum Solicited Order as Post Only. A Post Order cannot be facilitated by the Initiating TPH, number of contracts, may consist of multiple Only complex order is a complex order the Exchange currently enforces this restriction contra-side orders. See also Rule 5.38, introductory paragraph of the shell Rulebook (which permits the the System ranks and executes pursuant through surveillance. The Exchange proposes to 14 add these systematic blocks, but will continue to contra-side order for automated improvement to Rule 5.33 in the shell Rulebook, conduct surveillance for compliance with the rule mechanism auctions of complex orders (‘‘C–AIM that prevents the Solicited Order from being a Auctions’’) to consist of multiple solicited orders). 13 The proposed introductory paragraph is also facilitation. The Agency Order and Solicited Order However, Nasdaq ISE, LLC (‘‘ISE’’) Regulatory substantially the same as the introductory cannot both be for the accounts of a customer. Information Circular 2014–013 states that the paragraph in Rule 5.39 in the shell Rulebook, which Current Rule 6.74B does not contain a similar contra-side order submitted into a crossing is the rule describing the Exchange’s simple SAM prohibition. However, the Exchange believes it is mechanism (including the ISE solicited order Auction. appropriate for such customer-to-customer crosses mechanism) may consist of one or more parties. 14 The Exchange does not currently offer Post to be submitted to a C–AIM Auction pursuant to 11 This restriction exists for simple SAM Only functionality, but will following the Rule 5.38 in the shell Rulebook, as that rule Auctions. See Rule 5.39, introductory paragraph in technology migration. See Rule 5.6(c) in the shell contains a provision for Customer-to-Customer the shell Rulebook. Rulebook (which describes Post Only functionality Immediate C–AIM Crosses. 12 See Rule 5.38 of the shell Rulebook (which for simple orders). The Exchange intends to adopt 10 The Exchange notes that while other exchange permits appointed market-makers to be solicited for a similar definition of Post Only for complex orders, rules do not specify whether the contra-side order C–AIM Auctions); see also EDGX Options Rule which will be virtually identical to the definition in a solicitation auction mechanism may consist of 21.20; and NYSE American, LLC (‘‘American’’) Rule of Post Only complex orders in the rules of Cboe multiple orders, the contra-side order for Qualified 971.2NY(a)(1) (which permits all users except Affiliated Exchanges. See C2 Rule 6.13(b)(5) and Contingent Cross Orders (see Rule 6.53 of the customers from being solicited as the contra-party). EDGX Options Rule 21.20(b) (which define a Post current Rulebook and Rule 5.6(c) of the shell As further discussed below, the Exchange will no Only complex order as a complex order the System Rulebook), which similarly have a minimum longer restrict Users that may submit responses to ranks and executes pursuant to C2 Rule 6.12 or quantity requirement and are fully crossed against C–SAM Auctions. EDGX Options Rule 21.20, respectively, or cancels

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subjects to the Price Adjust process to amend the minimum size SBB (SBO). This ensures the execution pursuant to Rule 5.32 in the shell requirements. Additionally, the price of the Agency Order will improve Rulebook, or cancels or rejects requirement that the Solicited Order be the SBBO if there is a Priority Customer (including if it is not subject to the Price for the same size as the Agency Order order in any of the legs on the Simple Adjust process and locks or crosses a moves from current subparagraphs (a)(2) Book. The proposed rule change Protected Quotation of another and (a)(3) to proposed subparagraph protects Priority Customers in any of the exchange), as applicable (in accordance (a)(3).17 component legs of the Agency Order in with User instructions), except the order • The provision regarding the the Simple Book. By permitting a or quote may not remove liquidity from minimum increment for the Agency Priority Customer Agency Order to trade the Book or route away to another Order and Solicited Order price moves at the SBBO if there is a resting non- Exchange. The Exchange does not from current subparagraph (a)(3) to Priority Customer order in the Book, the currently offer Post Only order proposed subparagraph (a)(4). proposed rule change also protects functionality, but will as of the The proposed rule change also Priority Customer orders submitted into technology migration.15 The Exchange explicitly states that all of the eligibility a C–SAM Auction. The Exchange believes it is appropriate to not permit requirements in proposed paragraph (a) believes the proposed rule change is the Agency or Solicited Order to be must be met for a C–SAM Auction to be consistent with general customer designated as Post Only, as the purpose initiated, and that the System rejects or priority principles.19 of a Post Only order is to not execute cancels both an Agency Order and • If the Agency Order is to buy (sell) upon entry and instead rest in the COB, Solicited Order submitted to a C–SAM and a buy (sell) complex order rests on while the purpose of a C–SAM Auction Auction that do not meet the conditions the COB, the stop price must be at least is to receive an execution following the in proposed paragraph (a). This is one minimum increment better than the Auction but prior to entering the COB. consistent with current functionality, bid (offer) of the resting complex order, Proposed Rule 5.40(a)(6) states the and the proposed rule change is merely unless the Agency Order is a Priority Initiating TPH may only submit an adding this detail to the Rule. Customer order and the resting order is Agency Order to a C–SAM Auction after Proposed Rule 5.40(a) is the same as not a Priority Customer, in which case the COB opens. This is consistent with the corresponding paragraph for C–AIM the stop price must be at or better than current functionality, as executions Auctions in Rule 5.38(a) of the shell the bid (offer) of the resting complex cannot occur prior to the opening of Rulebook, other than the minimum size order. This ensures the execution price trading. The proposed rule change requirement applicable to C–SAM of the Agency Order will improve the clarifies this in the Rule. Auctions.18 price of any resting Priority Customer The proposed rule change moves the Proposed Rule 5.40(b) sets forth the complex orders on the COB, and that various other C–SAM Auction eligibility requirements for the stop price of the the execution price of a Priority requirements to proposed paragraph (a) Agency Order. It states the Solicited Customer Agency Order will not be and makes nonsubstantive changes: Order must stop the entire Agency inferior to the price of any resting non- • The requirement that an Agency Order at a price that satisfies the Priority Customer complex orders on Order be in a class of options the following: the COB. The proposed rule change Exchange designates as eligible for C– • If the Agency Order is to buy (sell) protects Priority Customers on the same SAM Auctions moves from current and (a) the applicable side of the BBO side of the COB as the current rule does. Interpretation and Policy .01 to on any component of the complex By permitting a Priority Customer proposed subparagraph (a)(1).16 Agency Order to trade at the same price • strategy represents a Priority Customer The requirement that the Initiating order on the Simple Book, the stop price as a resting non-Priority Customer order, TPH mark an Agency Order for C–SAM must be at least one minimum the proposed rule change also protects processing moves from current increment better than the SBB (SBO); or Priority Customer orders submitted into subparagraph (b)(1)(A) to proposed (b) the applicable side of the BBO on a C–SAM Auction. Application of this subparagraph (a)(2). each component of the complex strategy check at the initiation of a C–SAM • The provision regarding the represents a non-Priority Customer Auction may result in the Agency Order minimum size for Agency Orders moves order or quote on the Simple Book, the executing at a better price, since the from current Interpretation and Policy stop price must be at or better than the stop price must improve any same-side .03 to proposed subparagraph (a)(3) (the complex orders (with the exception of a proposed rule change does not propose 17 The proposed rule change deletes the Priority Customer Agency Order and a requirement that the Initiating TPH must designate resting non-Priority Customer order or rejects, as applicable (in accordance with the the orders submitted into a C–SAM Auction as all- described above). The proposed rule User’s instructions), except the order may not or-none (‘‘AON’’), as the C–SAM functionality will remove liquidity from the COB or the Simple Book. change is consistent with general automatically handle any orders submitted to the 20 The System cancels or rejects a Post Only market Exchange on a C–SAM message as AON. Therefore, customer priority principles. complex order unless it is subject to each the proposed rule change indicates in proposed • If the Agency Order is to buy (sell) exchange’s drill-through protection. subparagraph (a)(3) that the System will handle and (a) the BBO of any component of 15 See Cboe Options Rule 5.6(c) in the shell each order submitted into a C–SAM Auction as the complex strategy represents a Rulebook; see also Securities Exchange Act Release AON. Priority Customer order on the Simple No. 86173 (June 20, 2019), 84 FR 30267 (June 26, 18 Proposed paragraph (a) is also substantially the 2019) (SR–CBOE–2019–027) (which filing added same as the corresponding eligibility requirements Book, the stop price must be at least one the Post Only order instruction to the shell for simple SAM Auctions in Rule 5.39(a) of the minimum increment better than the Rulebook). shell Rulebook, except the proposed rule change SBO (SBB), or (b) the BBO of each 16 The proposed rule change deletes the does not provide that an Initiating TPH may not component of the complex strategy provisions that the Agency Order be an order type, submit an Agency Order if the NBBO is crossed have a Capacity (currently referred to as origin (unless the Agency Order is a SAM Sweep order). code), or meet marketability criteria determined by As noted above, there is no NBBO for complex 19 See also Rule 5.38(b)(1) of the shell Rulebook. the Exchange, as the current and proposed rule orders, and the legs of complex orders are not General principles of customer priority ensure the explicitly state any applicable eligibility subject to the restriction on NBBO trade-throughs. execution price of complex orders will not be parameters. The Exchange will announce all Additionally, the proposed rule change references executed at prices inferior to the SBBO or at a price determinations it may make with respect to a C– the opening of the COB rather than the market equal to the SBBO when there is a Priority SAM Auction pursuant to Rule 1.5 in the shell open, as the opening of the COB is when complex Customer at the BBO for any component. Rulebook. orders may begin trading. 20 See also Rule 5.38(b)(2) of the shell Rulebook.

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represents a non-Priority Customer priority) and then processes C–SAM time, they will be processed in the order order on the Simple Book, the stop price Auctions (in price-time priority). At the in which they are terminated (similar to must be at or better than the SBO (SBB). time each C–SAM Auction concludes, how the System will process auctions as This ensures the execution price of the the System allocates the Agency Order proposed above). In other words, Agency Order will improve the price of pursuant to proposed paragraph (e) and suppose today there is a SAM Auction any Priority Customer orders resting in takes into account all C–SAM Auction in a series and a COA in a complex the Simple Book at the opposite side of responses and unrelated orders in place strategy for which one of the the SBBO, and not be through the at the exact time of conclusion.23 components is the same series both opposite side of the SBBO.21 The Exchange believes it is occurring, which began and will • If the Agency Order is to buy (sell) appropriate to permit concurrent C– terminate in that order, and each of and the best-priced sell (buy) complex SAM Auctions in the same complex which lasts 100 milliseconds. While it order on the COB represents (a) a strategy for the same reasons it will is possible for both auctions to Priority Customer complex order, the permit concurrent C–AIM Auctions for terminate nearly simultaneously, the stop price must be at least one larger-sized Agency Orders, and for the System will still process them in the minimum increment better than the same reason it will permit concurrent order in which they terminate. When SBO (SBB); or (b) a complex order that simple SAM Auctions to occur. the SAM Auction terminates, the is not a Priority Customer, the stop price Different complex strategies are System will process it in accordance must be at or better than the price of the essentially different products, as orders with current Rule 6.74B (Rule 5.39 in resting complex order. This ensures the in those strategies cannot interact, just the shell Rulebook), and the auctioned execution price of the Agency Order as orders in different series or classes order may trade against any resting will improve the price of any Priority cannot interact. Similarly, while it is interest (and responses submitted to that Customer complex orders resting in the possible for a complex order to leg into SAM Auction, which may only trade COB at the same price as the stop price, the Simple Book, a complex order may against the order auctioned in that SAM and not be through the price of any only execute against simple orders if current Rule 6.74B, or the contra-side other complex order resting in the there is interest in each component in order submitted to the SAM Auction COB.22 the appropriate ratio for the complex (Rule 5.39 in the shell Rulebook)). The These proposed price checks are strategy. A simple order in one System will then process the COA consistent with the permissible component of a complex strategy cannot Auction when it terminates, and the execution prices as set forth in proposed on its own interact with a complex auctioned order may trade against any paragraph (e), as described below. order in that complex strategy. resting interest, including any simple Proposed paragraph (c) describes the Therefore, the Exchange believes it is interest that did not execute against the C–SAM Auction process. Pursuant to appropriate to permit concurrent SAM SAM order (in addition to the contra- proposed subparagraph (c)(1), one or and C–SAM Auctions that share a side order and responses submitted to more C–SAM Auctions in the same component. As proposed, C–SAM that COA Auction, which may only complex strategy may occur at the same Auctions will ensure that Agency trade against the order auctioned in that time. C–SAM Auctions in different Orders execute at prices that protect COA), pursuant to current Rule 6.53C. complex strategies may be ongoing at Priority Customer orders in the Simple The proposed rule change moves and any given time, even if the complex Book and that are not inferior to the makes nonsubstantive changes to other strategies have overlapping components. SBBO at the conclusion of the C–SAM provisions regarding the C–SAM A C–SAM Auction may be ongoing at Auction, even when there are Auction process to proposed paragraph the same time as a SAM Auction in any concurrent simple and complex (c): component of the complex strategy. auctions occurring. The proposed rule • The proposed rule change moves To the extent there is more than one change sets forth how any SAM the provision regarding the C–SAM C–SAM Auction in a complex strategy auctions with overlapping components Auction notification message (currently underway at a time, the C–SAM will conclude if terminated due to the called a request for responses (‘‘RFR’’)) Auctions conclude sequentially based same event. from current subparagraph (b)(1)(B) to on the exact time each C–SAM Auction The Exchange notes it is currently proposed subparagraph (c)(2). The commenced, unless terminated early possible for auctions in a component leg proposed provision specifies that the pursuant to proposed Rule 5.40(d). In and a complex strategy containing that message will detail the side, size, price, the event there are multiple C–SAM component (such as a simple SAM Capacity, Auction ID, and complex Auctions underway that are each Auction in the component and a strategy of the Agency Order to all Users terminated early pursuant to proposed complex order auction (‘‘COA’’) in the that elect to receive C–SAM Auction paragraph (d), the System processes the complex strategy that contains that notification messages. This is consistent C–SAM Auctions sequentially based on component) to occur concurrently, and with the current RFR that is the exact time each C–SAM Auction at the end of each auction, it is possible disseminated. The current rule states commenced. If the System receives a for interest resting in the Simple Book that the RFR states the price, side, and simple order that causes both a SAM to trade against the complex order size of the Agency Order; the proposed Auction and C–SAM Auction (or subject to the COA. While these rule change adds details regarding other multiple SAM and/or C–SAM Auctions) auctions may be occurring at the same information that is included in the to conclude pursuant to proposed Rules notification messages. The proposed 5.39(d) and 5.40(d), the System first 23 See also Rule 5.38(c)(1) in the shell Rulebook rule change also adds that C–SAM processes SAM Auctions (in price-time (which also permits concurrent C–AIM Auctions for Auction notification messages are not series with more than 50 contracts to occur in the same manner); and Rule 5.39(c)(1) (which permits included in OPRA, which is also 21 See also Rule 5.38(b)(3) of the shell Rulebook. concurrent SAM Auctions to occur in the same consistent with current functionality. 22 There is no corresponding provision in Rule manner, except the proposed change adds how the • The proposed rule change moves 5.38(b), because orders submitted into C–AIM System will handle ongoing auctions that include the provision regarding the length of the auctions do not have AON contingencies, and an overlapping component (whether that Agency Orders submitted into those auctions may component is the subject of an ongoing simple SAM C–SAM Auction period from current trade against both the contra-side order and other Auction or part of a complex strategy for which a subparagraph (b)(1)(C) to proposed contra-side interest. different C–SAM Auction is ongoing). subparagraph (c)(3). The proposed rule

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change makes no changes to the current • Proposed subparagraph (c)(5)(B) individual response. The Exchange range of permitted lengths of C–SAM states that C–SAM buy (sell) responses believes this is reasonable to prevent a Auction periods. are capped at the following prices that User from submitting an order or • The proposed rule change clarifies exist at the conclusion of the C–SAM response with an extremely large size in in proposed Rule 5.40(c)(4) that the Auction: (i) The better of the SBO (SBB) order to obtain a larger pro-rata share of Initiating TPH may not modify or cancel or the offer (bid) of a resting complex the Agency Order. an Agency Order or Solicited Order after order at the top of the COB; or (ii) one • Proposed subparagraph (c)(5)(E) submission to a C–SAM Auction. This minimum increment lower (higher) than states C–SAM responses must be on the is consistent with current functionality, the better of the SBO (SBB) or the offer opposite side of the market as the and the proposed rule change merely (bid) of a resting complex order at the Agency Order, and the System rejects a adds this detail to the Rules. top of the COB if the BBO of any C–SAM response on the same side of The proposed rule change also moves component of the complex strategy or the market as the Agency Order. This is all provisions regarding C–SAM the resting complex order, respectively, consistent with current functionality, Auction responses into proposed is a Priority Customer order. The System and the proposed rule change merely subparagraph (c)(5), as well as makes executes these C–SAM responses, if adds this detail to the rules. certain changes described below, as well possible, at the most aggressive Additionally, the Exchange believes this as nonsubstantive changes: permissible price not outside the SBBO is reasonable given that the purpose of • The proposed rule change moves at the conclusion of the C–SAM Auction a C–SAM response is to trade against the provision regarding which market or price of the resting complex order. the Agency Order in the C–SAM participants may respond to C–SAM This will ensure the execution price is Auction into which the C–SAM Auctions, as well as what must be at or better than the SBBO (or better response was submitted. specified in the responses (including than the SBBO if any component is • The provision that states C–SAM price, size, side, and Auction ID) from represented by a Priority Customer responses are not visible to C–SAM current subparagraphs (b)(1)(B) and (C) order) or prices of resting complex Auction participants or disseminated to to proposed subparagraph (c)(5). orders (or better than the best-priced OPRA moves from current subparagraph Currently, all TPHs may submit resting complex order if represented by (b)(1)(D) to proposed subparagraph responses to an RFR, except response a Priority Customer complex order) at (c)(5)(F). may not be entered for the account of an the end of the C–SAM Auction as set • The provision that states C–SAM options market-maker from another forth in proposed Rule 5.40(e). responses may be cancelled moves from options exchange. The Exchange Therefore, as proposed, the price at current subparagraph (b)(1)(G) to proposes to permit all Users, except for which any response may be entered proposed subparagraph (c)(5)(G). The the Initiating TPH (the response cannot (and thus be executed) will ultimately proposed rule change also clarifies that have the same EFID as the Agency not be through the SBBO or the best- C–SAM responses may be modified Order),24 to respond to C–SAM priced resting orders on the COB at the (which is consistent with current Auctions. By permitting additional conclusion of the C–SAM Auction. functionality and merely clarified in the participants to submit responses to C– • Proposed subparagraph (c)(5)(C) rules). SAM Auctions, the Exchange believes states a User may submit multiple C– Proposed Rule 5.40(c) is substantially this may provide the opportunity for SAM responses at the same or multiple similar to the corresponding provision additional liquidity in these auctions, prices to a C–SAM Auction. This is applicable to C–AIM Auctions in Rule which could lead to additional price consistent with current functionality. 5.38(c) of the shell Rulebook. improvement opportunities. The Current Rule 6.74B contains no Pursuant to proposed Rule 5.40(d), a proposed rule change adds that a C– restriction on how many responses a C–SAM Auction concludes at the SAM response may only participate in User may submit; the proposed rule earliest to occur of the following times: the C–SAM Auction with the Auction change merely makes this explicit in the • The end of the C–SAM Auction ID specified in the response. This is Rules. The proposed rule change also period; • consistent with current functionality. states for purposes of a C–SAM Auction, upon receipt by the System of an The Exchange proposes to include this the System aggregates all of a User’s unrelated non-Priority Customer language given the above proposal that complex orders on the COB and C–SAM complex order on the same side as the permits concurrent C–SAM Auctions in responses for the same EFID at the same Agency Order that would post to the price. This (combined with the COB at a price better than the stop price; the same complex strategies. • • The proposed rule change moves proposed size cap) will prevent a User upon receipt by the System of an the provision regarding the permissible from submitting multiple orders or unrelated Priority Customer complex minimum increment for C–SAM responses at the same price to obtain a order on the same side as the Agency responses from current subparagraph larger pro-rata share of the Agency Order that would post to the COB at a (b)(1)(E) to proposed subparagraph Order. price equal to or better than the stop • Proposed subparagraph (c)(5)(D) price; (c)(5)(A), but makes no substantive • changes. states the System caps the size of a C– upon receipt by the System of an SAM response, or the aggregate size of unrelated non-Priority Customer order 24 The Exchange currently does not permit the a User’s complex orders on the COB and or quote that would post to the Simple Initiating TPH to respond to a C-SAM Auction, as C–SAM responses for the same EFID at Book and cause the SBBO on the same that is the inconsistent with the purpose of the the same price, at the size of the Agency side as the Agency Order to be better auction, which is to cross solicited interest, rather Order (i.e., the System ignores size in than the stop price; than facilitated interest. Similar to the restriction • upon receipt by the System of a that the Solicited Order cannot be for the Initiating excess of the size of the Agency Order TPH, the Exchange currently enforces this when processing the C–SAM Auction). Priority Customer order in any restriction through surveillance. The Exchange This is consistent with current component of the complex strategy that proposes to add a systemic block, but will continue subparagraph (b)(1)(F), except the would post to the Simple Book and to conduct surveillance for oompliance with the cause the SBBO on the same side as the rule that prevents the response from being for the proposed rule change caps the aggregate Initiating TPH (so that a response cannot be used size of a User’s interest at the same Agency Order to be equal to or better in place of a facilitation order). price, rather than the size of an than the stop price;

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• upon receipt by the System of a price not permissible under that plan or consistent with executions following a simple non-Priority Customer order that regulation. This is consistent with C–SAM Auction today, which must be would cause the SBBO on the opposite current C–SAM functionality to ensure consistent with complex order priority side of the Agency Order to be better that stock legs do not trade at prices not rules.30 Executions following a C–SAM than the stop price, or a Priority permissible under the Limit Up-Limit Auction for a complex Agency Order are Customer order that would cause the Down Plan or Regulation SHO, and the subject to the complex order price SBBO on the opposite side of the proposed rule change codifies this in restrictions and priority in Rule Agency Order to be equal to or better the Rules. 5.33(f)(2) of the shell Rulebook.31 The than the stop price; Proposed Rule 5.40(d)(2) states if the • System cancels or rejects any upon receipt by the System of an System receives an unrelated market or unexecuted C–SAM response (or order that would case the SBBO to be marketable limit complex order (against unexecuted portions) at the conclusion a price not permissible under the Limit the SBBO or the best price of a complex of the C–SAM Auction, which is Up-Limit Down Plan or Regulation order resting in the COB), including a SHO, provided, however, that in such Post Only complex order, on the consistent with current functionality instance, the C–SAM Auction concludes opposite side of the market during a C– and the provision above, which without execution; SAM Auction, the C–SAM Auction does provides that responses may only • the market close; and not end early, and the System executes execute in the C–SAM Auction into • any time the Exchange halts trading the order against interest outside the C– which they are submitted. in the complex strategy or any SAM Auction or posts the complex The Agency Order will execute component of the complex strategy, order to the COB. If contracts remain against the Solicited Order if there are provided, however, that in such from the unrelated complex order at the no Priority Customer complex orders instance, the C–SAM Auction concludes time the C–SAM Auction ends, they resting on the COB on the opposite side without execution. may be allocated for execution against of the Agency Order at or better than the The proposed events that would cause the Agency Order pursuant to proposed stop price and the aggregate size of a C–SAM Auction to conclude early are Rule 5.40(e). Because these orders may contra-side interest at an improved the same as those that would cause a C– have the opportunity to trade against the price(s) is insufficient to satisfy the AIM Auction to conclude early (as is Agency Order following the conclusion Agency Order.32 The System will currently the case).25 of the C–SAM Auction, which execution The Exchange proposes to conclude execute the Agency Order against must still be at or better than the SBBO contra-side interest (and will cancel the the C–SAM Auction in response to the and the best-priced complex orders on Solicited Order) if (a) there is a Priority incoming orders described above, as the COB, the Exchange does not believe Customer complex order resting on the they would cause the SBBO or the best- it is necessary to cause a C–SAM priced complex order on the same side Auction to conclude early in the event COB on the opposite side of the Agency of the market as the Agency Order to be the Exchange receives such orders. This Order at or better than the stop price better priced than the stop price, or will provide more time for potential and the aggregate size of that order and cause the stop price to be the same price price improvement, and the unrelated other contra-side interest is sufficient to as the SBBO with a Priority Customer complex order will have the satisfy the Agency Order or (b) the order on the BBO for a component or a opportunity to trade against the Agency aggregate size of contra-side interest at Priority Customer complex order on the Order in the same manner as all other an improve price(s) is sufficient to COB. Similarly, the incoming orders contra-side interest.27 satisfy the Agency Order.33 described above would cause the At the conclusion of a C–SAM opposite side SBBO to be at or better Auction, the System will execute the 30 See current Rule 6.74B(2)(A)(I) (which refers to than the stop price. These events would Agency Order against the Solicited the NBBO, but is applied as SBBO with respect to create circumstances under which a C– Order or contra-side complex interest in complex orders) and Interpretation and Policy .01; SAM Auction would not have been see also current Rule 6.53C(d) and Interpretation a substantially similar manner as it does and Policy .06. 28 initiated, and therefore, the Exchange today. The System will execute the 31 See proposed Rule 5.40(e)(4) and current Rule believes it is appropriate to conclude a Agency Order against the Solicited 6.74B, Interpretation and Policy .01. Pursuant to C–SAM Auction when they exist. Order or contra-side complex interest Rule 5.33(f)(2) in the shell Rulebook, the System Additionally, the proposed rule (which includes complex orders on the will not execute a complex order at a net price (i) change would conclude a C–SAM that would cause any component of the complex COB and C–SAM responses) at the best strategy to be executed at a price of zero; (ii) worse Auction in response to an incoming price(s). Any execution price(s) must be than the SBBO or equal to the SBBO when there order that would cause the SBBO to be at or between the SBBO and the best is a Priority Customer Order at the SBBO, except at a price not permissible under the prices of any complex orders resting on AON complex orders may only execute at prices Limit Up-Limit Down Plan or better than the SBBO; (iii) that would cause any each side of the COB at the conclusion component of the complex strategy to be executed 26 Regulation SHO, and would conclude of the C–SAM Auction.29 This is at a price worse than the individual component the C–SAM Auction without execution. prices on the Simple Book; (iv) worse than the price This will ensure that the stock leg of a 27 This is the same as the corresponding that would be available if the complex order Legged stock-option order submitted into a C– provision for C–AIM Auctions (see Rule 5.38(d)(2) into the Simple Book; or (v) that would cause any component of the complex strategy to be executed SAM Auction does not execute at a in the shell Rulebook), and similar to the corresponding provision for simple SAM Auctions at a price ahead of a Priority Customer Order on the (see Rule 5.39(d)(2) in the shell Rulebook). Simple Book without improving the BBO of at least 25 See Rule 5.38(d) in the shell Rulebook and Rule 28 See Rule 5.38(e). one component of the complex strategy. The 6.74B(b)(2) of the current Rulebook. The proposed 29 Additionally, if there is a Priority Customer proposed execution provisions for C–SAM Auctions events that will cause a C-SAM Auction to conclude order representing any leg of the SBBO in the are consistent with this priority. early are also substantially as those that will cause Simple Book, the execution price must be better 32 See proposed Rule 5.40(e)(1) and current Rule a simple SAM Auction to conclude early, except than the SBBO, in accordance with complex order 6.74B(b)(2)(A). they are based on the entry of simple or complex priority. See Rule 5.33(f)(2) in the shell Rulebook. 33 See proposed Rule 5.40(e)(2) and current Rule orders that impact the SBBO or the best available Additionally, any execution price must be better 6.74B(b)(2)(A)(II) and (III). The Agency Order will prices on the same side of the COB rather than the than the price of any resting Priority Order complex execute against contra-side interest at each price BBO. order on the COB. As further discussed below, as level first against Priority Customer complex orders 26 See current Rule 6.53C, Interpretation and proposed, an execution may only occur at such a on the COB (in time priority) and then against Policy .06(f). price. remaining contra-side interest in a pro-rata manner.

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The System will cancel an Agency auction for complex orders. The current Priority Customers with priority over Order and Solicited Order with no priority following a C–SAM Auction the Solicited Order (and other contra- execution if: provides that the System will first side interest) but also provide for the • Execution of the Agency Order execute the complex order against all Solicited Order to execute against the against the Solicited Order would not be interest in the Simple Book, and then Agency Order if there is no price (1) at or between the SBBO at the against interest in the COB.36 If the improvement and no Priority Customer conclusion of the SAM Auction; (2) Exchange were to permit legging into interest present. The Exchange believes better than the SBBO if there is a the Simple Book following a C–SAM providing this functionality will Priority Customer order in any leg Auction in accordance with the encourage TPHs to submit large component in the Simple Book; (3) at or complex order allocation that will be in complex orders into C–SAM Auctions better than the best-priced complex place following the technology and provide customer orders with resting on the COB; or (4) better than the migration, the System would first look opportunities for price improvement. It best-priced complex order resting on the to determine whether there are Priority will also ensure orders (including COB if it is a Priority Customer complex Customer orders resting in the Simple Priority Customer orders) on the Simple order; Book at the final auction price(s) (and in Book are protected in accordance with • there is a Priority Customer the applicable ratio), and whether there standard complex order priority complex order resting on the COB on was sufficient interest at improved principles, as an Agency Order will only the opposite side of the Agency Order prices to satisfy the Agency Order. The be permitted to execute at prices that do at or better than the stop price, and the System would then look back at C–SAM not trade at the SBBO existing at the aggregate size of the Priority Customer responses and complex orders resting in conclusion of the C–SAM Auction if it complex order and any other contra-side the COB to determine whether there is includes a Priority Customer order on interest is insufficient to satisfy the interest at that price level that could any leg, and that do not trade through Agency Order; or execute against the Agency Order. the SBBO existing at the conclusion of • there is a non-Priority Customer Finally, the System would then look the C–SAM Auction. complex order resting on the COB on back at the Simple Book to determine As noted above, the stop price of the the opposite side of the Agency Order whether any non-Priority Customer Agency Order must be better than the at a price better than the stop price, and orders in the legs are able to trade same and opposite side of the SBBO if the aggregate size of the resting complex against the Agency Order. The System there is a Priority Customer order at the order and any other contra-side interest would need to do this at each price BBO in any component of the complex is insufficient to satisfy the Agency level, and then determine whether there strategy. Additionally, the stop price Order.34 were any Priority Customer orders must be better than the price of any Unlike today, the Agency Order will resting on the Simple Book that are part Priority Customer order resting at the only execute against the Solicited Order of the SBBO or COB at the stop price, top of the COB on either side of the or C–SAM responses and complex and determine whether there was Agency Order. Further, a C–SAM orders resting in the COB, and will not sufficient size at improved prices, or Auction concludes upon receipt of an leg into the Simple Book, at the sufficient size with any Priority unrelated Priority Customer order in conclusion of a C–SAM Auction. As Customer orders at the stop price, to any component of the complex strategy proposed, the execution prices for an satisfy the Agency Order. that would post to the Simple Book and Agency Order will always be better than The amount of aggregate interest cause the SBBO on either side of the the SBBO existing at the conclusion of available to execute against the Agency Agency Order to be equal to or better the C–SAM Auction if it includes a Order is relevant in a C–SAM Auction than the stop price, or upon the receipt Priority Customer order on any leg, as with respect to the allocation of of an unrelated Priority Customer well as better than the best-priced contracts against the Agency Order and complex order on either side of the complex order resting on the COB if it other interest because of the all-or-none Agency Order that post to the COB with is a Priority Customer complex order, nature of the Agency Order. Because the a price equal to or better than the stop and thus is consistent with general System will not be able to determine the price. Additionally, any execution customer priority principles with aggregate size of contra-side interest prices at the conclusion of the C–SAM respect to complex orders, pursuant to (including simple and complex) at Auction are subject to the standard which complex orders may only trade improved prices, it would not be able to complex order priority, which will against complex interest at prices that determine whether the Agency Order ensure an Agency Order must execute at improve the BBO of any component that would execute against the Solicited a price that improves the SBBO if there is represented by a Priority Customer Order or other contra-side interest. is a Priority Customer order at the BBO order.35 The Exchange notes there would be in any leg.37 Therefore, the proposed The Simple Book and the COB are significant technical complexities rule change protects Priority Customer separate, and orders on each do not associated with reprogramming priority orders in the Simple Book even though interact unless a complex order legs into within the System to permit Agency Agency Orders may not leg into the the Simple Book. As a result, the System Orders to leg into the Simple Book Simple Book. is not able to calculate the aggregate size following a C–SAM Auction and Proposed Rule 5.40, Interpretations of complex auction responses and allocate the Agency Order in a manner and Policies .01 and .02 are the same as complex orders on the COB and the size consistent with standard priority current Rule 6.74B, Interpretations and of simple orders in the legs that principles and crossing auctions, while Policies .02 and .03, which currently comprise the complex strategy at each making the most crossing functionality potential execution price (as executions available to TPHs. The proposed rule 37 If there was a Priority Customer order resting may occur at multiple prices) prior to change will ensure the Agency Order at the BBO in any leg of a complex strategy in the execution of an order following an executes in accordance with the C–SAM Simple Book, and a complex order was submitted to the Exchange (outside of a C–SAM Auction) with allocation principles, which provide a price one minimum increment better than the 34 See proposed Rule 5.40(e)(3) and current Rule SBBO, that complex order would not be able to 6.74B(b)(2)(A)(I) and (II). 36 See current Rule 6.74B, Interpretation and execute against interest in the leg markets 35 See proposed Rule 5.40(e)(5). Policy .01; see also current Rule 6.53C(d). (including the Priority Customer order).

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apply to C–SAM Auctions for complex Agency Order or Solicited Order as Post cancelled back at the conclusion of the orders.38 Only is appropriate, as the purpose of a Auction. Thus, C–SAM responses will Post Only order is to not execute upon be specifically considered only in the 2. Statutory Basis entry and instead rest in the Book, while specified Auction. The Exchange believes the proposed the purpose of a C–SAM Auction is to The proposed rule change to allow rule change is consistent with the receive an execution following the multiple auctions to overlap is Securities Exchange Act of 1934 (the Auction but prior to entering the COB. consistent with functionality already in ‘‘Act’’) and the rules and regulations The proposed rule change to require place on other exchanges.42 Different thereunder applicable to the Exchange the stop price to be at least one complex strategies are essentially and, in particular, the requirements of minimum increment better than the different products—orders in different Section 6(b) of the Act.39 Specifically, best-priced complex order in the COB, strategies cannot interact, just as orders the Exchange believes the proposed rule unless the Agency Order is a Priority in different classes or series cannot change is consistent with the Section Customer order and the resting order is interact. Therefore, the Exchange 6(b)(5) 40 requirements that the rules of not a Priority Customer, in which case believes concurrent C–SAM Auctions in an exchange be designed to prevent the stop price must be at or better than different complex strategies is fraudulent and manipulative acts and the price of the complex order will appropriate. Additionally, while it is practices, to promote just and equitable protect investors. It will protect Priority possible for a complex order to leg into principles of trade, to foster cooperation Customer orders on the same side of the the Simple Book, a complex order may and coordination with persons engaged COB. By permitting a Priority Customer only execute against simple orders if in regulating, clearing, settling, Agency Order to trade at the same price there is interest in each component in processing information with respect to, as a resting non-Priority Customer order, the ratio of the complex strategy. A and facilitating transactions in the proposed rule change also protects simple order in one component of a securities, to remove impediments to Priority Customer orders submitted into complex strategy cannot on its own and perfect the mechanism of a free and a C–SAM Auction. Additionally, interact with a complex order in that open market and a national market application of this check at the complex strategy. Therefore, the system, and, in general, to protect initiation of a C–SAM Auction may Exchange believes it is appropriate to investors and the public interest. result in the Agency Order executing at permit concurrent C–SAM Auctions in Additionally, the Exchange believes the a better price, since the stop price must the same component. As proposed, C– proposed rule change is consistent with improve any same-side orders (with the SAM Auctions will ensure that Agency 41 the Section 6(b)(5) requirement that exception of a Priority Customer Agency Orders execute at prices that protect the rules of an exchange not be designed Order and a resting non-Priority Priority Customer orders in the Simple to permit unfair discrimination between Customer order described above). The Book and that are not inferior to the customers, issuers, brokers, or dealers. proposed rule change is consistent with SBBO, even when there are concurrent The Exchange’s C–SAM will function general customer priority principles. Auctions occurring. The proposed rule in a substantially similar manner As noted above, the proposed rule change sets forth how any Auctions following the technology migration as it change will allow C–SAM Auctions to with in overlapping complex strategies does today. The proposed rule change occur concurrently with other C–SAM overlapping components will conclude clarifies in the Rules that the Solicited Auctions. Although C–SAM Auctions if terminated due to the same event. The Order may be comprised of multiple will be allowed to overlap, the Exchange Rules do not currently prevent a COA in contra-party orders will benefit does not believe that this raises any a complex strategy from occurring at the investors. Permitting the Solicited Order issues that are not addressed by the same time as an SAM in one of the to be comprised of multiple contra-party proposed rule change. For example, components of the complex strategy. orders may increase the opportunity for although overlapping, each C–SAM Therefore, the Exchange believes it is customers to have orders participate in Auction will be started in a sequence similarly reasonable to permit multiple a C–SAM Auction. As a result, this may and with a time that will determine its C–SAM in a complex strategy to occur increase opportunities for price processing. Thus, even if there are two at the same time as a SAM in one of the improvement, because this will increase C–SAM Auctions that commence and components of the complex strategy. the liquidity available for the Solicited conclude, at nearly the same time, each The Exchange believes this new Order, which is consistent with the C–SAM Auction will have a distinct functionality may lead to an increase in purpose of C–SAM Auctions. The conclusion at which time the Auction Exchange believes that this is beneficial will be allocated. In turn, when the first Exchange volume and should allow the to participants because allowing C–SAM Auction concludes, unrelated Exchange to better compete against multiple contra-parties should foster orders that then exist will be considered other markets that permit overlapping competition for filling the Solicited for participation in the Auction. If price improvement auctions, while Order and thereby result in potentially unrelated orders are fully executed in providing an opportunity for price better prices, as opposed to only such C–SAM Auction, then there will be improvement for Agency Orders and allowing one contra-party and, thereby no unrelated orders for consideration assuring that Priority Customers on the requiring that contra-party to do a larger when the subsequent Auction is simple Book and COB are protected. size order which could result in a worse processed (unless new unrelated order The proposed events that will price for the trade. interest has arrived). If instead there is conclude a C–SAM Auction are The proposed rule change to prohibit remaining unrelated order interest after reasonable and promote a fair and Initiating TPHs from designating an the first C–SAM Auction has been 42 See, e.g., EDGX Options Rule 21.21(c)(1); see allocated, then such unrelated order also, e.g., ISE Rule Options 3, Section 11(g); and 38 These provisions are also virtually identical to interest will be considered for allocation Boston Options Exchange LLC (‘‘BOX’’) Rule 7270 the ones applicable to simple SAM Auctions. See when the subsequent Auction is and BOX IM–7150–3. The Exchange will also have Rule 5.39, Interpretations and Policies .01 and .02 processed. As another example, each C– rules that other auctions to occur concurrently in the shell Rulebook. following the technology migration. See, e.g., Rules 39 15 U.S.C. 78f(b). SAM response is required to specifically 5.37(c)(1), 5.38(c)(1), and 5.39(c)(1) of the shell 40 15 U.S.C. 78f(b)(5). identify the Auction for which it is Rulebook (which will permit concurrent AIM, C– 41 Id. targeted and if not fully executed will be AIM, and SAM Auctions, respectively).

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orderly market and national market Auction. The System must determine the C–SAM Auction if there is a Priority system, because they will ensure that the aggregate amount of interest Customer order at the BBO on any leg, executions at the conclusion of an available at each execution price level and at prices equal to or better than the Auction occur at permissible prices before executing any portion of the SBBO existing at the conclusion of the (such as not outside the SBBO (and not Agency Order to determine the final C–SAM Auction if there is no Priority at the SBBO if there is a Priority auction price and how to allocate the Customer order at the BBO on any leg. Customer order in any component on Agency Order against contra-side The proposed allocation will also the Simple Book) and not at the same interest at the conclusion of a C–SAM ensure the Agency Order does not trade price as a Priority Customer order on the Auction. This is necessary because the at the same price as a Priority Customer COB). The proposed rule change will System must determine at each price complex order resting on the COB or also benefit investors by providing level the aggregate non-Priority through the best-priced complex orders clarity regarding what will cause a C– Customer interest to determine whether on the COB, and will protect investors SAM Auction to conclude. These events there is sufficient size of contra-side by providing Priority Customer complex would create circumstances under interest at improved prices and thus orders with priority at each price level. which a C–SAM Auction would not whether the Agency Order will execute Given the infrequency with which have been permitted to start, or that against the Solicited Order or contra- complex orders currently leg into the would cause the auction price no longer side interest. Simple Book, the Exchange believes it is be consistent with the permissible As noted above, there would be in the best interest of investors to not prices at which executions at the significant technical complexities implement additional technical conclusion of an Auction may occur. associated with reprogramming priority complexities given the expected Thus the Exchange believes it is within the System to permit Agency minimal impact, if any, that not appropriate to conclude a C–SAM Orders to leg into the Simple Book permitting Agency Orders to leg into the Auction if those circumstances occur. following a C–SAM Auction 43 and Simple Book following a C–SAM The Exchange will no longer conclude allocate the Agency Order in a manner Auction would have on execution a C–SAM Auction early due to the consistent with standard priority opportunities for orders in the Simple 45 receipt of an opposite side complex principles and crossing auctions, while Book. order other than one proposed instance. making the most crossing functionality The proposed rule change to permit The Exchange believes this promotes available to TPHs. Pursuant to the all Users to respond to C–SAM Auctions just and equitable principles of trade, complex order priority principles in will benefit investors, because it may because these orders may have the Rule 5.33(f)(2) in the shell Rulebook, if result in more Users having the opportunity to trade against the Agency an order is able to leg into the Simple opportunity to participate in executions Order following the conclusion of the Book, the System first executes an order at C–SAM Auctions, which may lead to more opportunities to price Auction, which execution must still be against Priority Customer orders in the improvement. The Exchange believes at or better than the SBBO, as well as Simple Book, then against any complex the proposed rule change will remove prices of complex orders in the COB. order interest in the COB (or auction impediments to and perfect the The Exchange believes this will protect responses), and last against any other mechanism of a free and open market investors, because it will provide more simple interest in the Simple Book (with and a national market system, because time for price improvement, and the executions against the Simple Book other exchanges permit all market unrelated order will have the occurring in the applicable ratio). This occurs at each price at which the participants to respond to similar price opportunity to trade against the Agency complex order may execute. Requiring improvement auctions.46 Order in the same manner as all other the System to make these The Exchange believes the proposed contra-side complex interest. determinations by going ‘‘back and rule changes that add detail to the Executions following the conclusion forth’’ between the Simple Book and the Rules, which are consistent with current of a C–SAM Auction will occur in a COB at multiple price levels is more functionality, will remove impediments substantially similar manner as they do complicated after a C–SAM Auction. to and perfect the mechanism of a free today, except the Agency Order may not The System must determine the and open market and protect investors, leg into the simple market to trade aggregate amount of interest available at as these changes provide transparency against simple orders in the legs. each execution price level before in the Rules regarding C–SAM Auctions. Pursuant Rule 5.33 in the shell determining whether the Agency Order Additionally, the proposed rule change Rulebook (which will govern the will execute against the Solicited Order aligns rule language with corresponding electronic trading of complex orders or contra-side complex interest. provisions in the Exchange’s other following the migration), if an order is As discussed above, the Exchange complex order price improvement able to leg into the Simple Book, the believes the proposed rule change crossing mechanism in Rule 5.38 of the System would first execute an order protects Priority Customer orders on the shell Rulebook. against Priority Customer orders in the Simple Book, because executions The proposed rule change is also Simple Book, then against any complex following a C–SAM Auction will be consistent with Section 11(a)(1) of the order interest in the COB (or auction subject to the general complex order Act 47 and the rules promulgated responses), and last against any other priority 44 that will apply to all simple interest in the Simple Book (with executions of all complex orders on the 45 The Exchange notes the complex order crossing executions against the Simple Book Exchange. It ensures an Agency Order auction of at least one other options exchange does not leg agency orders into the simple book at the occurring in the applicable ratio). This will only execute at prices better than conclusion of the auction as long as there is price would occur at each price at which the the SBBO existing at the conclusion of improvement over the equivalent of the SBBO for complex order may execute. Requiring that exchange. See, e.g., American Rule the System to make these 43 The Exchange notes AON complex orders will 971.2NY(c)(4). determinations by going ‘‘back and not be able to leg into the Simple Book due to the 46 See, e.g., EDGX Options Rule 21.21(c)(5). same technical complexities. See Rule 5.33 in the 47 15 U.S.C. 78k(a). Section 11(a)(1) prohibits a forth’’ between the Simple Book and the shell Rulebook. member of a national securities exchange from COB at multiple price levels would be 44 See proposed Rule 5.40(e)(4) and current Rule effecting transactions on that exchange for its own more complicated after a C–SAM 6.74B, Interpretation and Policy .01. Continued

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thereunder. Generally, Section 11(a)(1) Exchange’s C–SAM Auction receives, respectively. No TPH, including the of the Act restricts any member of a and will continue to receive, orders Initiating TPH, will see a C–SAM national securities exchange from from TPHs electronically through response submitted into C–SAM, and effecting any transaction on such remote terminals or computer-to- therefore and will not be able to exchange for (i) the member’s own computer interfaces, the Exchange influence or guide the execution of their account, (ii) the account of a person believes that orders (as well as Agency Orders, Solicited Orders, or C– associated with the member, or (iii) an responses) submitted to the C–SAM SAM responses, as applicable. account over which the member or a Auction from off the Exchange’s trading Rule 11a2–2(T)’s third condition person associated with the member floor will satisfy the off-floor requires that the order be executed by exercises investment discretion transmission requirement.53 an exchange member who is unaffiliated (collectively, referred to as ‘‘covered The second condition of Rule 11a2– with the member initiating the order. accounts’’), unless a specific exemption 2(T) requires that neither a member nor The Commission has stated that the is available. Examples of common an associated person of such member requirement is satisfied when exemptions include the exemption for participate in the execution of its order automated exchange facilities, such as transactions by broker dealers acting in once [sic]. The Exchange represents the C–SAM Auction are used, as long as the capacity of a market maker under that, upon submission to the C–SAM the design of these systems ensures that Section 11(a)(1)(A),48 the ‘‘G’’ Auction, an order or C–SAM response members do not possess any special or exemption for yielding priority to non- will be executed automatically pursuant unique trading advantages in handling members under Section 11(a)(1)(G) of to the rules set forth for C–SAM their orders after transmitting them to the Act and Rule 11a1–1(T) Auctions. In particular, execution of an the exchange.55 The Exchange thereunder,49 and ‘‘Effect vs. Execute’’ order (including the Agency and represents that the C–SAM Auction is exemption under Rule 11a2–2(T) under Solicited Order) or a C–SAM response designed so that no TPH has any special the Act.50 sent to the mechanism depends not on or unique trading advantage in the The ‘‘Effect vs. Execute’’ exemption the TPH entering the order or response, handling of its orders or responses after permits an exchange member, subject to but rather on what other orders and transmitting its orders to the certain conditions, to effect transactions responses are present and the priority of mechanism. for covered accounts by arranging for an those orders and responses. Thus, at no A TPH (not acting in a market-maker unaffiliated member to execute time following the submission of an capacity) could submit an order for a transactions on the exchange. To order or response is a TPH or associated covered account from off of the comply with Rule 11a2–2(T)’s person of such TPH able to acquire Exchange’s trading floor to an conditions, a member: (i) Must transmit control or influence over the result or unaffiliated Floor Broker for submission the order from off the exchange floor; timing of order or response execution.54 for execution in the C–SAM Auction (ii) may not participate in the execution Once the Agency Order and Solicited from the Exchange’s trading floor and of the transaction once it has been Order, or the response, as applicable, satisfy the effect-versus-execute transmitted to the member performing have been transmitted, the Initiating exemption (assuming the other the execution; 51 (iii) may not be TPH that transmitted the orders, or the conditions are satisfied).56 However, a affiliated with the executing member; User that submitted the response, TPH could not submit an order for a and (iv) with respect to an account over respectively, will not participate in the covered account to its ‘‘house’’ Floor which the member has investment execution of the Agency Order or Broker on the trading floor for execution discretion, neither the member nor its Solicited Order, or the response, and rely on this exemption. Because a associated person may retain any TPH may not rely on the ‘‘G’’ exemption compensation in connection with BSE); 57478 (March 12, 2008), 73 FR 14521 (March when submitting an order to a C–SAM effecting the transaction except as 18, 2008) (SR–NASDAQ–2007–004 and SR– Auction,57 it would need to ensure NASDAQ–2007–080) (approving NOM options another exception applies in this provided in the Rule. For the reasons set trading); 53128 (January 13, 2006), 71 FR 3550 forth below, the Exchange believes that (January 23, 2006) (File No. 10–131) (approving The situation. TPHs entering orders into a C–SAM Nasdaq Stock Market LLC); 44983 (October 25, Rule 11a2–2(T)’s fourth condition would satisfy the requirements of Rule 2001), 66 FR 55225 (November 1, 2001) (SR–PCX– requires that, in the case of a transaction 00–25) (approving Archipelago Exchange); 29237 effected for an account with respect to 11a2–2(T). (May 24, 1991), 56 FR 24853 (May 31, 1991) (SR– In the context of automated trading NYSE–90–52 and SR–NYSE–90–53) (approving which the initiating member or an systems, the Commission has found that NYSE’s Off-Hours Trading Facility); and 15533 the off-floor transmission requirement is (January 29, 1979), 44 FR 6084 (January 31, 1979) 55 In considering the operation of automated met if a covered account order is (‘‘1979 Release’’). execution systems operated by an exchange, the 53 A TPH may not enter an order for a covered Commission noted that, while there is not an transmitted from a remote location account from on the trading floor and rely on the independent executing exchange member, the directly to an exchange’s floor by Effect v. Execute, and therefore another exception execution of an order is automatic once it has been electronic means.52 Because the must apply. A TPH may not send an order for a transmitted into the system. Because the design of covered account for an affiliated TPH on the floor these systems ensures that members do not possess and rely on the Effect v. Execute, and therefore any special or unique trading advantages in account, the account of an associated person, or an another exception must apply. handling their orders after transmitting them to the account over which it or its associated person 54 exchange, the Commission has stated that exercises discretion unless an exception applies. An Initiating TPH may not cancel or modify an Agency Order or Solicited Order after it has been executions obtained through these systems satisfy 48 15 U.S.C. 78k(a)(1)(A). submitted into C–SAM, but Users may modify or the independent execution requirement of Rule 49 15 U.S.C. 78k(a)(1)(G) and 17 CFR 240.11a1– cancel their responses after being submitted into a 11a2–2(T). See 1979 Release. 1(T). C–SAM. See proposed Rule 5.40(c)(4) and (c)(5)(G). 56 Orders for covered accounts that rely on the 50 17 CFR 240.11a2–2(T). The Exchange notes that the Commission has stated ‘‘effect versus execute’’ exemption in this scenario 51 The member may, however, participate in that the non-participation requirement does not must be transmitted from a remote location directly clearing and settling the transaction. preclude members from cancelling or modifying to the Floor Broker on the trading floor by 52 See, e.g., Securities Exchange Act Release Nos. orders, or from modifying instructions for executing electronic means. 61419 (January 26, 2010), 75 FR 5157 (February 1, orders, after they have been transmitted so long as 57 See proposed Rule 5.40(e) (which describes the 2010) (SR–BATS–2009–031) (approving BATS such modifications or cancellations are also allocation of the Agency Order at the conclusion of options trading); 59154 (December 23, 2008), 73 FR transmitted from off the floor. See Securities the C–SAM Auction, which does not prioritize non- 80468 (December 31, 2008) (SR–BSE–2008–48) Exchange Act Release No. 14563 (March 14, 1978), TPH broker-dealers, as would be required by the (approving equity securities listing and trading on 43 FR 11542, 11547 (the ‘‘1978 Release’’). ‘‘G’’ exemption).

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associated person thereof exercises rule change to permit all Users to upcoming technology migration.60 investment discretion, neither the respond to C–SAM Auctions will Other exchanges have similar complex initiating member nor any associated impose any burden on intramarket order solicitation auction person thereof may retain any competition that is not necessary or mechanisms.61 compensation in connection with appropriate in furtherance of the C. Self-Regulatory Organization’s effecting the transaction, unless the purposes of the Act, because it will Statement on Comments on the person authorized to transact business permit more types of market Proposed Rule Change Received From for the account has expressly provided participants (i.e., all Users) to submit Members, Participants, or Others otherwise by written contract referring responses to C–SAM Auctions. This to Section 11(a) of the Act and Rule may result in more Users having the The Exchange neither solicited nor 11a2–2(T) thereunder.58 The Exchange opportunity to participate in executions received comments on the proposed recognizes that TPHs relying on Rule at the conclusion of C–SAM Auctions. rule change. 11a2–2(T) for transactions effected The Exchange does not believe the III. Date of Effectiveness of the through the C–SAM Auction must proposed rule change will impose any Proposed Rule Change and Timing for comply with this condition of the Rule burden on intermarket competition that Commission Action and the Exchange will enforce this is not necessary or appropriate in requirement pursuant to its obligations furtherance of the purposes of the Act, Because the foregoing proposed rule under Section 6(b)(1) of the Act to because it may increase liquidity in C– change does not: (i) Significantly affect enforce compliance with federal SAM Auctions, which may lead to more the protection of investors or the public securities laws. opportunities to price improvement. interest; (ii) impose any significant The Exchange believes that the instant Additionally, other exchanges permit all burden on competition; and (iii) become proposal is consistent with Rule 11a2– market participants to respond to operative for 30 days from the date on 2(T), and that therefore the exception similar price improvement auctions.59 which it was filed, or such shorter time should apply in this case. Therefore, the as the Commission may designate, it has Exchange believes the proposed rule The Exchange does not believe the become effective pursuant to Section proposed rule change to amend the C– change is consistent with Section 11(a) 19(b)(3)(A) of the Act 62 and Rule 19b– SAM Auction will impose any burden of the Act and the Rules thereunder. 4(f)(6) thereunder.63 The proposed rule change is generally on intramarket competition that is not A proposed rule change filed intended to align certain system necessary or appropriate in furtherance pursuant to Rule 19b–4(f)(6) under the functionality currently offered by Cboe of the purposes of the Act, as the Act 64 normally does not become Options to the Exchange’s System in proposed changes to the C–SAM operative for 30 days after the date of its order to provide a consistent technology Auction will apply to all orders filing. However, Rule 19b–4(f)(6)(iii) 65 offering for the Cboe Affiliated submitted to an Auction in the same permits the Commission to designate a Exchanges. A consistent technology manner. C–SAM Auctions will continue shorter time if such action is consistent offering, in turn, will simplify the to be voluntary for TPHs to use, and are with the protection of investors and the technology implementation, changes available to all TPHs. The Exchange public interest. The Exchange has asked and maintenance by Users of the does not believe the proposed rule the Commission to waive the 30-day Exchange that are also participants on change will impose any burden on operative delay so that the Exchange Cboe Affiliated Exchanges. This will intermarket competition that is not may implement the proposed rule provide Users with greater necessary or appropriate in furtherance change at the time of its anticipated harmonization of price improvement of the purposes of the Act, because the October 7, 2019 system migration. The auction mechanisms available among proposed changes are substantially the Exchange notes that the proposed rule the Cboe Affiliated Exchanges. same as another options exchange’s change is substantially similar to the rules. The general framework and Exchange’s C–AIM Auction and SAM B. Self-Regulatory Organization’s primary features of the Exchange’s Statement on Burden on Competition Auction (for simple orders) and similar current C–SAM Auction is not to functionality on other options The Exchange does not believe that changing, and will continue to protect exchanges,66 and that the C–SAM the proposed rule change will impose orders, including Priority Customer Auction will function in a substantially any burden on competition that is not orders, resting in the Book and the COB. similar manner following the necessary or appropriate in furtherance The proposed rule change will technology migration as it does today. of the purposes of the Act. The provide continued consistency across The Exchange believes waiver of the Exchange does not believe the proposed the Exchange’s (and the Cboe Affiliated operative delay would permit the Exchanges’, as applicable) price Exchange to continue to provide the 58 See 17 CFR 240.11a2–2(T)(a)(2)(iv). In addition, improvement mechanisms. The general Rule 11a2–2(T)(d) requires a member or associated C–SAM functionality to market person authorized by written contract to retain framework and primary features of the compensation, in connection with effecting proposed C–SAM Auction process (such 60 See Rules 5.37 through 5.39 in the shell transactions for covered accounts over which such as the eligibility requirements, auction Rulebook. member or associated persons thereof exercises response period, same-side stop price 61 See, e.g., ISE Rule Options 3, Section 11(e). investment discretion, to furnish at least annually 62 15 U.S.C. 78s(b)(3)(A). to the person authorized to transact business for the requirements, response requirements, 63 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– account a statement setting forth the total amount and auction notification process), are 4(f)(6)(iii) requires a self-regulatory organization to of compensation retained by the member in substantively the same as the framework connection with effecting transactions for the give the Commission written notice of its intent to account during the period covered by the statement for the Exchange’s AIM, C–AIM, and file the proposed rule change, along with a brief which amount must be exclusive of all amounts SAM price improvement auctions, as description and text of the proposed rule change, paid to others during that period for services at least five business days prior to the date of filing recently proposed to be amended in of the proposed rule change, or such shorter time rendered to effect such transactions. See also 1978 connection with the Exchange’s Release, at 11548 (stating ‘‘[t]he contractual and as designated by the Commission. The Exchange disclosure requirements are designed to assure that has satisfied this requirement. accounts electing to permit transaction-related 59 See, e.g., EDGX Options Rules 21.19(c)(5) and 64 17 CFR 240.19b–4(f)(6). compensation do so only after deciding that such 21.21(c)(5); see also Rules 5.37(c)(5) and 5.38(c)(5) 65 17 CFR 240.19b–4(f)(6)(iii). arrangements are suitable to their interests’’). in the shell Rulebook. 66 See supra notes 60 and 61.

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participants on a continuous, those that may be withheld from the Rule 19b–4(f)(6) thereunder.4 The uninterrupted basis. For these reasons, public in accordance with the Commission is publishing this notice to the Commission believes that waiver of provisions of 5 U.S.C. 552, will be solicit comments on the proposed rule the 30-day operative delay is consistent available for website viewing and change from interested persons. with the protection of investors and the printing in the Commission’s Public I. Self-Regulatory Organization’s public interest. Therefore, the Reference Room, 100 F Street NE, Statement of the Terms of Substance of Commission hereby waives the Washington, DC 20549 on official the Proposed Rule Change operative delay and designates the business days between the hours of proposal as operative upon filing.67 10:00 a.m. and 3:00 p.m. Copies of such Cboe Exchange, Inc. (the ‘‘Exchange’’ At any time within 60 days of the filing also will be available for or ‘‘Cboe Options’’) proposes to move filing of the proposed rule change, the inspection and copying at the principal the Rules in Chapter XII, which governs Commission summarily may office of the Exchange. All comments margin requirements, of the currently temporarily suspend such rule change if received will be posted without change. effective Rulebook (‘‘current Rulebook’’) it appears to the Commission that such Persons submitting comments are to proposed Chapter 10 of the shell action is necessary or appropriate in the cautioned that we do not redact or edit structure for the Exchange’s Rulebook public interest, for the protection of personal identifying information from that will become effective upon the investors, or otherwise in furtherance of comment submissions. You should migration of the Exchange’s trading the purposes of the Act. If the submit only information that you wish platform to the same system used by the Commission takes such action, the to make available publicly. All Cboe Affiliated Exchanges (as defined Commission shall institute proceedings submissions should refer to File below) (‘‘shell Rulebook’’). The text of to determine whether the proposed rule Number SR–CBOE–2019–064, and the proposed rule change is provided in change should be approved or should be submitted on or before Exhibit 5. The text of the proposed rule change disapproved. October 28, 2019. is also available on the Exchange’s IV. Solicitation of Comments For the Commission, by the Division of website (http://www.cboe.com/ Interested persons are invited to Trading and Markets, pursuant to delegated AboutCBOE/ 68 submit written data, views, and authority. CBOELegalRegulatoryHome.aspx), at arguments concerning the foregoing, Jill M. Peterson, the Exchange’s Office of the Secretary, including whether the proposed rule Assistant Secretary. and at the Commission’s Public change is consistent with the Act. [FR Doc. 2019–21724 Filed 10–4–19; 8:45 am] Reference Room. Comments may be submitted by any of BILLING CODE 8011–01–P II. Self-Regulatory Organization’s the following methods: Statement of the Purpose of, and Electronic Comments SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule • Use the Commission’s internet COMMISSION Change comment form (http://www.sec.gov/ In its filing with the Commission, the rules/sro.shtml); or [Release No. 34–87189; File No. SR–CBOE– Exchange included statements • Send an email to rule-comments@ 2019–069] concerning the purpose of and basis for sec.gov. Please include File Number SR– Self-Regulatory Organizations; Cboe the proposed rule change and discussed CBOE–2019–064 on the subject line. any comments it received on the Exchange, Inc.; Notice of Filing and proposed rule change. The text of these Paper Comments Immediate Effectiveness of a Proposed statements may be examined at the • Rule Change To Move the Rules in Send paper comments in triplicate places specified in Item IV below. The Chapter XII, Which Governs Margin to Secretary, Securities and Exchange Exchange has prepared summaries, set Requirements, of the Currently Commission, 100 F Street NE, forth in sections A, B, and C below, of Effective Rulebook to Proposed Washington, DC 20549–1090. the most significant aspects of such Chapter 10 of the Shell Structure for All submissions should refer to File statements. Number SR–CBOE–2019–064. This file the Exchange’s Rulebook A. Self-Regulatory Organization’s number should be included on the October 1, 2019. subject line if email is used. To help the Statement of the Purpose of, and Pursuant to Section 19(b)(1) of the Statutory Basis for, the Proposed Rule Commission process and review your Securities Exchange Act of 1934 (the Change comments more efficiently, please use ‘‘Act’’),1 and Rule 19b–4 thereunder,2 only one method. The Commission will notice is hereby given that on 1. Purpose post all comments on the Commission’s September 30, 2019, Cboe Exchange, In 2016, the Exchange’s parent internet website (http://www.sec.gov/ Inc. (the ‘‘Exchange’’ or ‘‘Cboe company, Cboe Global Markets, Inc. rules/sro.shtml). Copies of the Options’’) filed with the Securities and (formerly named CBOE Holdings, Inc.) submission, all subsequent Exchange Commission (the (‘‘Cboe Global’’), which is also the amendments, all written statements ‘‘Commission’’) the proposed rule parent company of Cboe C2 Exchange, with respect to the proposed rule change as described in Items I, and II Inc. (‘‘C2’’), acquired Cboe EDGA change that are filed with the below, which Items have been prepared Exchange, Inc. (‘‘EDGA’’), Cboe EDGX Commission, and all written by the Exchange. The Exchange filed the Exchange, Inc. (‘‘EDGX’’ or ‘‘EDGX communications relating to the proposal as a ‘‘non-controversial’’ Options’’), Cboe BZX Exchange, Inc. proposed rule change between the proposed rule change pursuant to (‘‘BZX’’ or ‘‘BZX Options’’), and Cboe Commission and any person, other than Section 19(b)(3)(A)(iii) of the Act 3 and BYX Exchange, Inc. (‘‘BYX’’ and, together with Cboe Options, C2, EDGX, 67 For purposes only of waiving the 30-day 68 EDGA, and BZX, the ‘‘Cboe Affiliated operative delay, the Commission also has 17 CFR 200.30–3(a)(12). considered the proposed rule’s impact on 1 15 U.S.C. 78s(b)(1). Exchanges’’). The Cboe Affiliated efficiency, competition, and capital formation. See 2 17 CFR 240.19b–4. 15 U.S.C. 78c(f). 3 15 U.S.C. 78s(b)(3)(A)(iii). 4 17 CFR 240.19b–4(f)(6).

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Exchanges are working to align certain technology migration, the Exchange has requirements specifically for system functionality, retaining only a shell Rulebook that resides alongside Government security options, to intended differences, between the Cboe its current Rulebook, which shell proposed Chapter 10 in the shell Affiliated Exchanges, in the context of a Rulebook will contain the Rules that Rulebook. The Exchange notes that in technology migration. Cboe Options will be in place upon completion of the addition to relocating the margin intends to migrate its trading platform to Cboe Options technology migration. requirement rules to proposed shell the same system used by the Cboe The Exchange proposes to relocate Chapter 10, the proposed rule change Affiliated Exchanges, which the current Chapter XII which governs deletes the rules from the current Exchange expects to complete on margin requirements, as well as current Rulebook. The proposed rule change October 7, 2019. In connection with this Rule 21.25 which governs margin relocates the rules as follows:

Shell rule Current rule

10.1 Margin ...... 12.1 General Rule. 10.2 Time Margin Must be Obtained ...... 12.2 Time Margin Must be Obtained. 10.3 Margin Requirements ...... 12.3 Margin Requirements. 10.4 Portfolio Margin ...... 12.4 Portfolio Margin. 10.5 Determination of Value for Margin Purposes ...... 12.5 Determination of Value for Margin Purposes.5 10.6 ‘‘When Issued’’ and ‘‘When Distributed’’ Securities ...... 12.7 ‘‘When Issued’’ and ‘‘When Distributed’’ Securities. 10.7 Guaranteed Accounts ...... 12.8 Guaranteed Accounts. 10.8 Meeting Margin Calls by Liquidation Prohibited ...... 12.9 Meeting Margin Calls by Liquidation Prohibited. 10.9 Margin Required is Minimum ...... 12.10 Margin Required is Minimum. 10.10 Compliance with Margin Requirements of NYSE ...... 12.11 Compliance with Margin Requirements of NYSE. 10.11 Daily Margin Records ...... 12.12 Daily Margin Records. 10.12 Government Security Options Margin Requirements ...... 21.25 Margin Requirements.

The proposed changes are of a non- Additionally, the Exchange believes the any burden on competition not substantive nature and will not amend proposed rule change is consistent with necessary or appropriate in furtherance the relocated rules other than to update the Section 6(b)(5) 8 requirement that of the purposes of the Act. The their numbers, conform paragraph the rules of an exchange not be designed proposed rule change is not intended as structure and number/lettering format to to permit unfair discrimination between a competitive change, but rather, seeks that of the shell Rulebook, and make customers, issuers, brokers, or dealers. to make non-substantive rule changes in cross-reference changes to shell rules. As stated, the proposed rule change relocating the rules and updating cross- The Exchange changes only the heading makes no substantive changes to the references to shell rules in anticipation of shell Rule 10.12, as it believes that rules. The proposed rule change is of the October 7, 2019 technology without such change, shell Chapter 10 merely intended to relocate the migration, as well as updating one rule would be exceedingly confusing to Exchange’s rules to the shell Rulebook heading as to prevent investor confusion investors because shell Rule 10.2 could and update their numbers, paragraph that would result from having rules with be easily conflated with shell Rule 10.3. structure, including number and the same headings under a single lettering format, and cross-references to chapter. The Exchange also does not 2. Statutory Basis conform to the shell Rulebook as a believe that the proposed rule change The Exchange believes the proposed whole in anticipation of the technology will impose any undue burden on rule change is consistent with the migration on October 7, 2019. It also competition because the relocated rule Securities Exchange Act of 1934 (the changes one rule heading so as to text is exactly the same as the ‘‘Act’’) and the rules and regulations prevent investor confusion that would Exchange’s current rules, all of which thereunder applicable to the Exchange result from having the same rule have all been previously filed with the and, in particular, the requirements of headings for multiple rules under a Commission. Section 6(b) of the Act.6 Specifically, single chapter. As such, the proposed the Exchange believes the proposed rule rule change is designed to promote just C. Self-Regulatory Organization’s change is consistent with the Section and equitable principles of trade, to Statement on Comments on the 6(b)(5) 7 requirements that the rules of remove impediments to and perfect the Proposed Rule Change Received From an exchange be designed to prevent mechanism of a free and open market Members, Participants, or Others fraudulent and manipulative acts and and a national market system, and, in The Exchange neither solicited nor practices, to promote just and equitable general to protect investors and the received comments on the proposed principles of trade, to foster cooperation public interest, by improving the way rule change. and coordination with persons engaged the Exchange’s Rulebook is organized, in regulating, clearing, settling, making it easier to read, and, III. Date of Effectiveness of the processing information with respect to, particularly, helping market participants Proposed Rule Change and Timing for and facilitating transactions in better understand the rules of the Commission Action Exchange, which will also result in less securities, to remove impediments to Because the foregoing proposed rule burdensome and more efficient and perfect the mechanism of a free and change does not: (i) Significantly affect regulatory compliance. open market and a national market the protection of investors or the public system, and, in general, to protect B. Self-Regulatory Organization’s interest; (ii) impose any significant investors and the public interest. Statement on Burden on Competition burden on competition; and (iii) become operative for 30 days from the date on 5 The Exchange notes that Rule 12.6 was deleted The Exchange does not believe that January 15, 1975. the proposed rule change will impose which it was filed, or such shorter time 6 15 U.S.C. 78f(b). as the Commission may designate, it has 7 15 U.S.C. 78f(b)(5). 8 Id. become effective pursuant to Section

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19(b)(3)(A) of the Act 9 and Rule 19b– IV. Solicitation of Comments For the Commission, by the Division of 4(f)(6) thereunder.10 Trading and Markets, pursuant to delegated Interested persons are invited to authority.14 A proposed rule change filed submit written data, views and Jill M. Peterson, pursuant to Rule 19b–4(f)(6) under the arguments concerning the foregoing, Act 11 normally does not become Assistant Secretary. including whether the proposed rule operative for 30 days after the date of its [FR Doc. 2019–21728 Filed 10–4–19; 8:45 am] change is consistent with the Act. filing. However, Rule 19b–4(f)(6)(iii) 12 BILLING CODE 8011–01–P Comments may be submitted by any of permits the Commission to designate a shorter time if such action is consistent the following methods: SECURITIES AND EXCHANGE with the protection of investors and the Electronic Comments COMMISSION public interest. The Exchange has asked the Commission to waive the 30-day • Use the Commission’s internet [Release No. 34–87190; File No. SR– operative delay. The Exchange believes comment form (http://www.sec.gov/ NYSEArca–2019–57] that waiver of the operative delay is rules/sro.shtml); or Self-Regulatory Organizations; NYSE appropriate because, as the Exchange • Send an email to rule-comments@ discussed above, its proposal does not Arca, Inc.; Order Granting Approval of sec.gov. Please include File Number SR– Proposed Rule Change To List and make any substantive changes to the CBOE–2019–069 on the subject line. Exchange Rules, but merely relocates Trade Shares of the Franklin Liberty Chapter XII, which governs margin Paper Comments Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust requirements, to the shell Rulebook that • the Exchange wishes to maintain post Send paper comments in triplicate Under NYSE Arca Rule 8.600–E to Secretary, Securities and Exchange migration. Accordingly, its proposal is October 1, 2019. designed to preserve its hearings and Commission, 100 F Street NE, review process rules after October 7, Washington, DC 20549–1090. I. Introduction 2019. The Commission believes that All submissions should refer to File On August 8, 2019, NYSE Arca, Inc. waiver of the 30-day operative delay is Number SR–CBOE–2019–069.This file (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed consistent with the protection of number should be included on the with the Securities and Exchange investors and the public interest subject line if email is used. To help the Commission (‘‘Commission’’), pursuant because the proposal does not raise any 1 Commission process and review your to Section 19(b)(1) of the Securities new or novel issues and makes only 2 comments more efficiently, please use Exchange Act of 1934 (‘‘Act’’) and Rule non-substantive changes to the rules. 3 only one method. The Commission will 19b–4 thereunder, a proposed rule Therefore, the Commission hereby post all comments on the Commission’s change to list shares (‘‘Shares’’) of the waives the operative delay and Franklin Liberty Systematic Style internet website (http://www.sec.gov/ designates the proposal as operative Premia ETF (‘‘Fund’’) under NYSE Arca rules/sro.shtml). Copies of the upon filing.13 Rule 8.600–E. The proposed rule change submission, all subsequent was published for comment in the At any time within 60 days of the amendments, all written statements filing of the proposed rule change, the Federal Register on August 20, 2019.4 with respect to the proposed rule Commission summarily may The Commission has received no change that are filed with the temporarily suspend such rule change if comments on the proposed rule change. Commission, and all written it appears to the Commission that such This order approves the proposed rule action is necessary or appropriate in the communications relating to the change. proposed rule change between the public interest, for the protection of II. Summary of the Exchange’s investors, or otherwise in furtherance of Commission and any person, other than those that may be withheld from the Description of the Proposed Rule the purposes of the Act. If the Change 5 Commission takes such action, the public in accordance with the Commission shall institute proceedings provisions of 5 U.S.C. 552, will be The Exchange proposes to list and to determine whether the proposed rule available for website viewing and trade the Shares under NYSE Arca Rule change should be approved or printing in the Commission’s Public 8.600–E, which governs the listing and disapproved. Reference Room, 100 F Street NE, trading of Managed Funds Shares on the Washington, DC 20549, on official Exchange. The Fund is a series of the 9 15 U.S.C. 78s(b)(3)(A). business days between the hours of Franklin Templeton ETF Trust 6 10 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 10:00 a.m. and 3:00 p.m. Copies of the (‘‘Trust’’). Franklin Advisers, Inc. 4(f)(6)(iii) requires a self-regulatory organization to filing also will be available for (‘‘Adviser’’) will be the investment give the Commission written notice of its intent to adviser to the Fund.7 Franklin file the proposed rule change, along with a brief inspection and copying at the principal description and text of the proposed rule change, office of the Exchange. All comments 14 17 CFR 200.30–3(a)(12). at least five business days prior to the date of filing received will be posted without change. 1 of the proposed rule change, or such shorter time 15 U.S.C.78s(b)(1). as designated by the Commission. Because this Persons submitting comments are 2 15 U.S.C. 78a. proposal does not make any substantive changes to cautioned that we do not redact or edit 3 17 CFR 240.19b–4. the rules but only moves them into the shell personal identifying information from 4 See Securities Exchange Act Release No. 86659 Rulebook, the Commission designates a shorter time comment submissions. You should (Aug. 8, 2019), 84 FR 43196 (‘‘Notice’’). under Rule 19b–4(f)(6)(iii) by waiving the five 5 For more information regarding the Fund and business prefiling period for this proposal. submit only information that you wish the Shares, see Notice, supra note 4. 11 17 CFR 240.19b–4(f)(6). to make available publicly. All 6 The Trust is registered under the Investment 12 17 CFR 240.19b–4(f)(6)(iii). submissions should refer to File Company Act of 1940 (‘‘1940 Act’’). On July 31, 13 For purposes only of waiving the 30-day Number SR–CBOE–2019–069 and 2019, the Trust filed a registration statement on operative delay, the Commission also has Form N–1A relating to the Fund (File Nos. 333– considered the proposed rule’s impact on should be submitted on or before 208873 and 811–23124). efficiency, competition, and capital formation. See October 28, 2019. 7 The Exchange states that the Adviser is not 15 U.S.C. 78c(f). registered as a broker-dealer but is affiliated with

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Templeton Distributors, Inc. will be the The Fund may hold cash and cash The Fund may invest in the following distributor of the Shares. State Street equivalents.9 debt securities with variable interest Bank and Trust Company will be the The Fund may hold U.S. and foreign rates: Floating rate, adjustable rate and custodian and transfer agent for the bonds (including convertible bonds), inverse floating rate debt securities. Fund. According to the Exchange, the debentures and non-cash equivalent The Fund and the Subsidiary will not Fund will seek to provide absolute U.S. government securities (other than invest in securities or other financial return. debt securities with variable interest instruments that have not been rates, as referenced below). According to the Exchange, the described in this proposed rule change. The Fund may hold U.S. and foreign Fund’s portfolio will not meet the exchange-traded common stock, C. Investment Restrictions generic listing requirements of preferred stock (including convertible The Fund’s investments, including Commentary .01(e) to NYSE Arca Rule preferred stock), rights and warrants of derivatives, will be consistent with the 8.600–E, which requires that, on both an U.S. and foreign companies. Fund’s investment objective and will initial and a continuing basis, no more The Fund may engage in short sales not be used to enhance leverage than 20% of the assets in the Fund’s in securities and financial instruments (although certain derivatives and other portfolio may be invested in OTC in which the Fund may invest, investments may result in leverage). derivatives (calculated as the aggregate including short sales ‘‘against the That is, while the Fund will be gross notional value of the OTC box.’’ 10 permitted to borrow as permitted under derivatives). The Exchange states that the 1940 Act, the Fund’s investments B. Other Investments the aggregate gross notional value of the will not be used to seek performance Fund’s investments in OTC derivatives While the Fund, under normal market that is the multiple or inverse multiple is expected to exceed this limit. The conditions, will invest at least 80% of (e.g., 2Xs and 3Xs) of the Fund’s Exchange states that, other than its assets in the securities and financial primary broad-based securities Commentary .01(e) to Rule 8.600–E, the instruments described above, the Fund benchmark index (as defined in Form Shares will meet all other requirements may invest its remaining assets in other N–1A).13 of Rule 8.600–E. assets and financial instruments, as described below. D. Failure To Satisfy Commentary .01(e) A. Principal Investments The Fund may invest in ETFs.11 to NYSE Arca Rule 8.600–E According to the Exchange, under The Fund may invest in U.S. and Commentary .01(e) to Rule 8.600–E normal market conditions,8 at least 80% foreign corporate debt. requires that an actively managed fund of the Fund’s assets will be invested in The Fund may invest in foreign whose shares are generically listed must the securities and financial instruments governmental and supranational debt not invest more than 20% of its assets described below. securities. (calculated as the aggregate gross The Fund may invest in U.S. and notional value of the OTC derivatives) The Fund may invest in the following foreign exchange-listed and non- in OTC derivatives on both an initial derivatives: (1) Futures contracts on exchange-traded ‘‘Depositary and a continuing basis. U.S. and foreign equity, interest rate/ Receipts’’.12 The Exchange states that, based on the bond and commodity indices; (2) U.S. Fund’s investment strategies, the Fund’s and foreign equity and commodity- 9 The term ‘‘cash equivalents’’ is defined in exposure to foreign currency forward Commentary .01(c) to NYSE Arca Rule 8.600–E. linked total return swaps; and (3) transactions and U.S. and foreign equity currency forward contracts. The Fund 10 According to the Exchange, short sales ‘‘against the box’’ are transactions in which the Fund sells and commodity-linked total return may hold its commodity-linked a security short but it also owns an equal amount swaps (which swaps will be traded derivative instruments indirectly of the securities sold short or owns securities that OTC) is expected to exceed 20% of the through a wholly-owned subsidiary are convertible or exchangeable, without payment Fund’s assets.14 According to the established in the Cayman Islands of further consideration, into an equal amount of such security. Exchange, this will provide the Fund (‘‘Subsidiary’’). The Subsidiary will 11 The Exchange states that, for purposes of this with additional flexibility to manage only invest in commodity-linked total filing, ‘‘ETFs’’ are Investment Company Units (as risk associated with its investments. The return swaps and futures on commodity described in NYSE Arca Rule 5.2–E(j)(3)); Portfolio Exchange states that, depending on indices and will also hold any necessary Depositary Receipts (as described in NYSE Arca Rule 8.100–E); and Managed Fund Shares (as market conditions, it may be critical that cash or cash equivalents as collateral. described in NYSE Arca Rule 8.600–E). All ETFs the Fund utilize available OTC swaps No more than 25% of the Fund’s total will be listed and traded in the U.S. on a national and currency forwards to efficiently assets may be invested in the securities exchange. While the Fund may invest in gain exposure to equities, currencies Subsidiary. inverse ETFs, the Fund will not invest in leveraged (e.g., 2X, –2X, 3X or –3X) ETFs. and commodities, in furtherance of the 12 According to the Exchange, many securities of Fund’s investment objective. The a broker-dealer and has implemented and will foreign issuers are represented by American Exchange states that because foreign maintain a fire wall with respect to such broker- Depositary Receipts (ADRs), Global Depositary currency forward transactions and total dealer affiliate regarding access to information Receipts (GDRs), and European Depositary Receipts concerning the composition and/or changes to the (EDRs) (collectively, ‘‘Depositary Receipts’’). portfolio. In the event (a) the Adviser becomes Generally, Depositary Receipts in registered form denominated in the same currency as the registered as a broker-dealer or newly affiliated with are designed for use in the U.S. securities market underlying securities into which they may be one or more broker-dealers, or (b) any new adviser and Depositary Receipts in bearer form are designed converted. No more than 10% of the equity weight or sub-adviser is a registered broker-dealer or for use in securities markets outside the U.S. ADRs of the Fund’s portfolio will be invested in non- becomes affiliated with a broker-dealer, it will evidence ownership of, and represent the right to exchange-traded ADRs. implement and maintain a fire wall with respect to receive, securities of foreign issuers deposited in a 13 The Fund’s broad-based securities benchmark its relevant personnel or its broker-dealer affiliate domestic bank or trust company or a foreign index will be identified in a future amendment to regarding access to information concerning the correspondent bank. Prices of ADRs are quoted in the Registration Statement following the Fund’s composition and/or changes to the portfolio, and U.S. dollars, and ADRs are traded in the U.S. on first full calendar year of performance. will be subject to procedures designed to prevent exchanges or over-the-counter. EDRs and GDRs are 14 According to the Fund, the Adviser and its the use and dissemination of material non-public typically issued by foreign banks or trust companies affiliates actively monitor counterparty credit risk information regarding such portfolio. and evidence ownership of underlying securities exposure (including for OTC derivatives) and 8 The term ‘‘normal market conditions’’ is defined issued by either a foreign or a U.S. corporation. evaluate counterparty credit quality on a in NYSE Arca Rule 8.600–E(c)(5). EDRs and GDRs may not necessarily be continuous basis.

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return swaps will be traded OTC, it is disclose on its website information public interest and appropriate for the not possible to implement these regarding the Disclosed Portfolio protection of investors and the strategies efficiently using listed required under NYSE Arca Rule 8.600– maintenance of fair and orderly markets derivatives. According to the Exchange, E(c)(2) to the extent applicable. The to assure the availability to brokers, swaps on equity securities may be an Exchange represents that the Fund’s dealers, and investors of information important means to reduce risk in the disclosure of its derivative positions in with respect to quotations for, and Fund’s equity investments, or, the Disclosed Portfolio will include transactions in, securities. Quotation depending on market conditions, to information that market participants can and last-sale information for the Shares enhance returns of such investments. use to value the derivative positions will be available via the CTA high-speed The Exchange states that, if the Fund intraday.19 The website information will line. The Portfolio Indicative Value were limited to investing up to 20% of be publicly available at no charge.20 (‘‘PIV’’) for the Fund, as defined in assets in OTC derivatives, the Fund The Commission also believes that the NYSE Arca Rule 8.600–E(c)(3), will be would have to exclude or underweight proposal is reasonably designed to widely disseminated by one or more these strategies and would be less promote fair disclosure of information major market data vendors at least every diversified, concentrating risk in its that may be necessary to price the 15 seconds during the Exchange’s Core other strategies. Shares appropriately and to prevent Trading Session.23 Information The Exchange states the proposed trading when a reasonable degree of regarding market price and trading exception to Commentary .01(e) to Rule transparency cannot be assured. The volume for the Shares will be 8.600–E would be consistent with other Exchange will obtain a representation continually available on a real-time funds that the Commission has from the issuer of the Shares that the basis throughout the day on brokers’ approved for listing and trading on an NAV per Share will be calculated daily computer screens and other electronic exchange.15 and that the NAV and the Disclosed services. Information regarding the III. Discussion and Commission Portfolio will be made available to all previous day’s closing price and trading Findings market participants at the same time. volume information for the Shares will Trading in the Shares will be halted if be published daily in the financial After careful review, the Commission the circuit-breaker parameters in NYSE section of newspapers. finds that the proposed rule change is Arca Rule 7.12–E have been reached. Quotation and last-sale information consistent with the Act and rules and Trading also may be halted because of for portfolio holdings of the Fund that regulations thereunder applicable to a market conditions or for reasons that, in are U.S. exchange-listed, including 16 national securities exchange. In the view of the Exchange, make trading common stocks, preferred stocks, particular, the Commission finds that in the Shares inadvisable. Moreover, warrants, rights, ETFs, and U.S. the proposed rule change is consistent trading in the Shares will be subject to exchange-traded Depositary Receipts 17 with Section 6(b)(5) of the Act, which NYSE Arca Rule 8.600–E(d)(2)(D), will be available via the CTA high speed requires, among other things, that the which sets forth circumstances under line. Quotation and last sale information Exchange’s rules be designed to prevent which Shares may be halted. for such U.S. exchange-listed securities, fraudulent and manipulative acts and The Exchange states that the Adviser as well as U.S. and foreign exchange- practices, to promote just and equitable is not registered as a broker-dealer but traded futures will be available from the principles of trade, to remove is affiliated with a broker-dealer and has exchanges on which they are listed and impediments to and perfect the implemented and will maintain a fire from major market data vendors. mechanism of a free and open market wall with respect to that broker-dealer Quotation information for cash and a national market system, and, in affiliate regarding access to information equivalents, bonds, debentures, swaps, general, to protect investors and the concerning the composition of and/or foreign governmental and supranational public interest. changes to the Fund’s portfolio. Further, debt securities, U.S. Government As noted above, the Exchange the Commission notes that the securities, debt securities with variable proposes that the aggregate gross Reporting Authority that provides the interest rates and U.S. and foreign notional value of the Fund’s Disclosed Portfolio must implement and corporate debt may be obtained from investments in OTC derivatives may maintain, or be subject to, procedures brokers and dealers who make markets exceed the 20% limit in Commentary designed to prevent the use and in such securities or through nationally .01(e) to NYSE Arca Rule 8.600–E. The dissemination of material, non-public recognized pricing services through Exchange believes that this exception is information regarding the actual subscription agreements. The U.S. generally consistent with previous components of the portfolio.21 The dollar value of foreign securities, filings for the listing of ETFs approved Exchange states that it has a general instruments and currencies can be 18 by the Commission. The Fund will policy prohibiting the distribution of derived by using foreign currency material, non-public information by its exchange rate quotations obtained from 15 See, e.g., Securities Exchange Act Release Nos. employees. nationally recognized pricing services. 82492 (January 12, 2018), 83 FR 2850 (January 19, Price information for non-exchange- 2018) (SR–NYSEArca–2017–87) (approving a The Commission also finds that the proposed rule change to list and trade shares of the proposal is consistent with Section traded Depositary Receipts is available JPMorgan Long/Short ETF under NYSE Arca Rule 11A(a)(1)(C)(iii) of the Act,22 which sets from major market data vendors. 8.600–E, which provides that the aggregate gross forth Congress’s finding that it is in the The Exchange deems the Shares to be notional value of the Fund’s investments in OTC equity securities, thus rendering trading derivatives may exceed 20%); 79683 (December 23, in the Shares subject to the Exchange’s 2016), 81 FR 96539 (December 30, 2016) (SR– 55449 (November 21, 2017) (approving a proposed NYSEArca–2016–82); 77904 (May 25, 2016), 81 FR rule change to list and trade shares of the JPMorgan existing rules governing the trading of 35101 (June 1, 2016) (SR–NYSEArca–2016–17) Managed Futures ETF under NYSE Arca Rule equity securities. In support of this 16 In approving this proposed rule change, the 8.600–E, which provides that the aggregate gross proposal, the Exchange represents that: Commission notes that it has considered the notional value of the investments in OTC derivatives may exceed 20% of the fund’s assets). proposed rule’s impact on efficiency, competition, 23 Currently, it is the Exchange’s understanding 19 See Notice, supra note 4, 84 FR at 43199. and capital formation. See 15 U.S.C. 78c(f). that several major market data vendors display and/ 20 17 15 U.S.C. 78f(b)(5). See id. or make widely available PIVs taken from the CTA 18 See supra note 15. See also Securities Exchange 21 See NYSE Arca Rule 8.600–E(d)(2)(B)(ii). or other data feeds. See Notice, supra note 4, 84 FR Act Release No. 82080 (November 15, 2017), 82 FR 22 15 U.S.C. 78k–1(a)(1)(C)(iii). at 43201, n.20.

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(1) Other than Commentary .01(e) to publicly disseminated; (d) how 11A(a)(1)(C)(iii) of the Act 28 and the Rule 8.600–E, the Shares will meet all information regarding the PIV and the rules and regulations thereunder other requirements of Rule 8.600–E. Disclosed Portfolio is disseminated; (e) applicable to a national securities (2) A minimum of 100,000 Shares will the requirement that Equity Trading exchange. be outstanding at the commencement of Permit Holders deliver a prospectus to IV. Conclusion trading on the Exchange. investors purchasing newly issued (3) Trading in the Shares will be Shares prior to or concurrently with the It is therefore ordered, pursuant to subject to the existing trading confirmation of a transaction; and (f) Section 19(b)(2) of the Act,29 that the surveillances administered by the trading information. proposed rule change (SR–NYSEArca– Exchange, as well as cross-market (6) The Exchange has appropriate 2019–57), be, and it hereby is, approved. surveillances administered by the rules to facilitate transactions in the For the Commission, by the Division of Financial Industry Regulatory Authority Shares during all trading sessions. Trading and Markets, pursuant to delegated (‘‘FINRA’’) on behalf of the Exchange, (7) For initial and continued listing, authority.30 and these procedures are adequate to the Fund will be in compliance with Jill M. Peterson, properly monitor Exchange trading of 25 Rule 10A–3 under the Act. Assistant Secretary. the Shares in all trading sessions and to (8) The Fund’s investments, including deter and detect violations of Exchange [FR Doc. 2019–21727 Filed 10–4–19; 8:45 am] derivatives, will be consistent with the BILLING CODE 8011–01–P rules and applicable federal securities Fund’s investment objective and will 24 laws. not be used to enhance leverage. That is, (4) The Exchange or FINRA, on behalf while the Fund will be permitted to of the Exchange, or both, will SECURITIES AND EXCHANGE borrow as permitted under the 1940 Act, COMMISSION communicate as needed regarding the Fund’s investments will not be used trading in the Shares, certain exchange- to seek performance that is the multiple [Release No. 34–87192; File No. SR–CBOE– 2019–063] listed equity securities, certain futures, or inverse multiple (e.g., 2Xs and 3Xs) and certain exchange-traded options of the Fund’s primary broad-based with other markets and other entities Self-Regulatory Organizations; Cboe securities benchmark index (as defined that are members of the Intermarket Exchange, Inc.; Notice of Filing and in Form N–1A). Surveillance Group (‘‘ISG’’), and the Immediate Effectiveness of a Proposed The Exchange represents that all Exchange or FINRA, on behalf of the Rule Change Relating to the statements and representations made in Exchange, or both, may obtain trading Solicitation Auction Mechanism the filing regarding: (1) The description information regarding trading such (‘‘SAM’’ or ‘‘SAM Auction’’) of the portfolio holdings or reference securities and financial instruments assets; (2) limitations on portfolio October 1, 2019. from such markets and other entities. In holdings or reference assets; or (3) the Pursuant to Section 19(b)(1) of the addition, the Exchange may obtain applicability of Exchange listing rules Securities Exchange Act of 1934 (the information regarding trading in such ‘‘Act’’),1 2 securities and financial instruments specified in the rule filing constitute and Rule 19b–4 thereunder, from markets and other entities that are continued listing requirements for notice is hereby given that on members of ISG or with which the listing the Shares on the Exchange. In September 24, 2019, Cboe Exchange, Exchange has in place a comprehensive addition, the Exchange represents that Inc. (the ‘‘Exchange’’ or ‘‘Cboe surveillance sharing agreement. FINRA, the issuer must notify the Exchange of Options’’) filed with the Securities and on behalf of the Exchange, is able to any failure by the Fund to comply with Exchange Commission (the access, as needed, trade information for the continued listing requirements and, ‘‘Commission’’) the proposed rule certain fixed income securities held by pursuant to its obligations under change as described in Items I and II the Fund reported to FINRA’s Trade Section 19(g)(1) of the Act, the Exchange below, which Items have been prepared 26 Reporting and Compliance Engine. will monitor for compliance with the by the Exchange. The Exchange filed the (5) Prior to the commencement of continued listing requirements. If the proposal as a ‘‘non-controversial’’ trading, the Exchange will inform its Fund is not in compliance with the proposed rule change pursuant to Equity Trading Permit Holders in an applicable listing requirements, the Section 19(b)(3)(A)(iii) of the Act 3 and Information Bulletin of the special Exchange will commence delisting Rule 19b–4(f)(6) thereunder.4 The characteristics and risks associated with procedures under NYSE Arca Rule 5.5– Commission is publishing this notice to trading the Shares. Specifically, the E(m). solicit comments on the proposed rule Information Bulletin will discuss: (a) For the foregoing reasons, the change from interested persons. Commission finds that the proposed The procedures for purchases and I. Self-Regulatory Organization’s rule change is consistent with Section redemptions of Shares in creation units Statement of the Terms of the Substance 6(b)(5) of the Act 27 and Section (and that Shares are not individually of the Proposed Rule Change redeemable); (b) NYSE Arca Rule 9.2– E(a), which imposes a duty of due 25 See 17 CFR 240.10A–3. Cboe Exchange, Inc. (the ‘‘Exchange’’ diligence on its Equity Trading Permit 26 The Commission notes that certain proposals or ‘‘Cboe Options’’) proposes to amend Holders to learn the essential facts for the listing and trading of exchange traded the Solicitation Auction Mechanism products include a representation that the exchange (‘‘SAM’’ or ‘‘SAM Auction’’). The text of relating to every customer prior to will ‘‘surveil’’ for compliance with the continued trading the Shares; (c) the risks involved listing requirements. See, e.g., Securities Exchange the proposed rule change is provided in in trading the Shares during the Early Act Release No. 77499 (April 1, 2016), 81 FR 20428, Exhibit 5. and Late Trading Sessions when an 20432 (April 7, 2016) (SR–BATS–2016–04). In the context of this representation, it is the 28 15 U.S.C. 78k–1(a)(1)(C)(iii). updated PIV will not be calculated or Commission’s view that ‘‘monitor’’ and ‘‘surveil’’ 29 15 U.S.C. 78s(b)(1). both mean ongoing oversight of compliance with 30 17 CFR 200.30–3(a)(12). 24 the continued listing requirements. Therefore, the FINRA conducts cross-market surveillances on 1 behalf of the Exchange pursuant to a regulatory Commission does not view ‘‘monitor’’ as a more or 15 U.S.C. 78s(b)(1). services agreement. The Exchange is responsible for less stringent obligation than ‘‘surveil’’ with respect 2 17 CFR 240.19b–4. FINRA’s performance under this regulatory services to the continued listing requirements. 3 15 U.S.C. 78s(b)(3)(A)(iii). agreement. 27 15 U.S.C. 78f(b)(5). 4 17 CFR 240.19b–4(f)(6).

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The text of the proposed rule change simple orders, as proposed to be Proposed Rule 5.39(a) lists the SAM is also available on the Exchange’s modified in this rule filing, to Rule 5.39 Auction eligibility requirements: 9 website (http://www.cboe.com/ in the shell Rulebook.5 • The proposed rule change moves AboutCBOE/ The proposed rule change moves the the requirement that the Agency Order CBOELegalRegulatoryHome.aspx), at introductory paragraph of current Rule must be in any class of options the the Exchange’s Office of the Secretary, 6.74B to the introductory paragraph of Exchange designates as eligible for SAM and at the Commission’s Public proposed Rule 5.39 in the shell Auctions from current Rule 6.74B(a)(1) Reference Room. Rulebook and adds to the introductory to proposed Rule 5.39(a)(1). paragraph 6 of Rule 5.39 that the • II. Self-Regulatory Organization’s The proposed rule change moves Solicited Order may consist of one or the requirement that the Initiating TPH Statement of the Purpose of, and 7 more solicited orders. This mark an Agency Order for SAM Auction Statutory Basis for, the Proposed Rule accommodates multiple contra-parties Change processing from current Rule and increases the opportunities for 6.74B(b)(1)(A) to proposed Rule In its filing with the Commission, the customer orders to be submitted into a 5.39(a)(2). Exchange included statements SAM Auction with the potential for • The proposed rule change moves concerning the purpose of and basis for price improvement, since the Solicited the requirement that the Agency Order Order must stop the full size of the the proposed rule change and discussed must be for at least the minimum size Agency Order. This has no impact on any comments it received on the designated by the Exchange (which may the execution of the Agency Order, proposed rule change. The text of these not be less than 500 standard option which may already trade against statements may be examined at the contracts or 5,000 mini-option multiple contra-parties depending on places specified in Item IV below. The contracts) from current Rule 6.74B(a)(1) the final auction price, as set forth in Exchange has prepared summaries, set to proposed Rule 5.39(a)(3). Proposed proposed paragraph (e). The Exchange forth in sections A, B, and C below, of Rule 5.39(a)(3) also states the Solicited notes that with regard to order entry, the the most significant aspects of such Order must be for (or must total, if the first order submitted into the system is statements. Solicited Order is comprised of multiple marked as the initiating/agency side and A. Self-Regulatory Organization’s the second order is marked as the solicited orders) the same size as the Statement of the Purpose of, and contra-side. Additionally, the Solicited Agency Order. While not explicitly Statutory Basis for, the Proposed Rule Order will always be entered as a single stated in current Rule 6.74B, this Change order, even if that order consists of proposed provision clarifies current functionality and is consistent with the 1. Purpose multiple contra-parties who are 10 allocated their portion of the trade in a current Rules. In 2016, the Exchange’s parent post-trade allocation.8 The proposed rule change deletes the company, Cboe Global Markets, Inc. requirement that the Initiating TPH (formerly named CBOE Holdings, Inc.) 5 Current Rule 6.74B, Interpretation and Policy must designate each of the Agency (‘‘Cboe Global’’), which is also the .01 permits complex orders to be executed through Order and Solicited Order as AON from parent company of Cboe C2 Exchange, a SAM Auction. The Exchange intends to adopt a current Rule 6.74B(a)(2). The Inc. (‘‘C2’’), acquired Cboe EDGA separate rule regarding the execution of complex Exchange’s new system has been orders in SAM Auctions in a separate rule filing. Exchange, Inc. (‘‘EDGA’’), Cboe EDGX 6 The proposed rule change also adds to the designed to automatically handle any Exchange, Inc. (‘‘EDGX’’ or ‘‘EDGX proposed introductory paragraph that for purposes orders submitted into a SAM Auction Options’’), Cboe BZX Exchange, Inc. of proposed Rule 5.39, the term ‘‘NBBO’’ means the (using the appropriate messaging) as all- (‘‘BZX’’ or ‘‘BZX Options’’), and Cboe national best bid or offer at the particular point in or-none, so the Initiating TPH will no time applicable to the reference, and the term BYX Exchange, Inc. (‘‘BYX’’ and, ‘‘Initial NBBO’’ means the national best bid or longer be required to add any specific together with Cboe Options, C2, EDGX, national best offer at the time a SAM Auction is AON designations to the Agency Order EDGA, and BZX, the ‘‘Cboe Affiliated initiated. This is merely an addition of terminology or Solicited Order. Exchanges’’). The Cboe Affiliated used throughout the Rule, but has no impact on functionality. Exchanges are working to align certain 7 The Solicited Order cannot have a Capacity F an Solicited Order that must be for a minimum system functionality, retaining only for the same executing firm ID (‘‘EFID’’) as the number of contracts, may consist of multiple intended differences between the Cboe Agency Order or for the account of any Market- contra-side orders. However, Nasdaq ISE, LLC Affiliated Exchanges, in the context of a Maker with an appointment in the applicable class (‘‘ISE’’) Regulatory Information Circular 2014–013 on the Exchange. See current Rule 6.74B, states that the contra-side order submitted into a technology migration. Cboe Options Interpretation and Policy .03. Cboe Options Rule crossing mechanism (including the ISE solicited intends to migrate its trading platform to 6.74B does not contain a similar provision, but order mechanism) may consist of one or more the same system used by the Cboe enforces the requirement that the contra-side order parties. Affiliated Exchanges, which the be a solicitation rather than a facilitation through 9 With respect to the existing SAM Auction surveillance. The proposed rule change adds this eligibility requirements that the proposed rule Exchange expects to complete on functionality, which will help with the enforcement change retains but moves from Rule 6.74B in the October 7, 2019. Cboe Options believes of this requirement, in addition to surveillance. The current Rulebook to Rule 5.39 in the shell offering similar functionality to the Agency Order and Solicited Order cannot both be Rulebook, the proposed rule change makes extent practicable will reduce potential for the accounts of a customer. Current Rule 6.74B nonsubstantive changes, including to make the rule does not contain a similar prohibition. However, provision more plain English, to simplify the confusion for market participants. the Exchange believes it is appropriate for such provisions, to delete any redundant language, and In connection with this technology customer-to-customer crosses to be submitted to an to conform language to corresponding rules of migration, the Exchange has a shell AIM Auction pursuant to Rule 5.37 in the shell applicable Cboe Affiliated Exchanges. Unless Rulebook that resides alongside its Rulebook, as that rule contains a provision for otherwise specified in this rule filing, the proposed Customer-to-Customer Immediate AIM Crosses. rule change makes no substantive changes to these current Rulebook, which shell Rulebook 8 The Exchange notes that while other exchange provisions. will contain the Rules that will be in rules do not specify whether the contra-side order 10 See current Rule 6.74B(a)(2) (which requires place upon completion of the Cboe in a solicitation auction mechanism may consist of the Agency Order to be stopped with a solicited Options technology migration. The multiple orders, the contra-side order for Qualified order, and that those orders be all-or-none Contingent Cross Orders (see Rule 6.53 of the (‘‘AON’’)); and (b)(2)(A) (which provides the Exchange proposes to delete Rule 6.74B current Rulebook and Rule 5.6(c) of the shell Agency Order will be executed against the solicited in the current Rulebook and add the Rulebook), which similarly have a minimum order (in full per the introductory paragraph of provisions regarding SAM Auctions for quantity requirement and are fully crossed against (b)(2)).

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• The proposed rule change moves initiated, and that the System rejects or The proposed rule change is consistent the requirement that the price of the cancels both an Agency Order and with general customer priority Agency Order and the Solicited Order Solicited Order submitted to a SAM principles. must be in an increment the Exchange Auction that do not meet the conditions • If the Agency Order is to buy (sell) determines on a class basis, which may in proposed paragraph (a). This is and the Exchange best offer (bid) be no smaller than $0.01 from current consistent with current functionality represents (a) a Priority Customer order Rule 6.74B(a)(3) to proposed Rule and the concept of eligibility on the Book, the stop price must be at 5.39(a)(4). The proposed rule change requirements, and merely adds this least one minimum increment better makes no changes to the permissible detail the Rules. than the Exchange best offer (bid); or (b) minimum increments in SAM Auctions. Proposed Rule 5.39(b) lists the a quote or order that is not a Priority • Proposed Rule 5.39(a)(5) states the requirements related to the price at Customer order on the Book, the stop Initiating TPH may not designate an which the Solicited Order must stop the price must be at or better than the Agency Order or Solicited Order as Post Agency Order: 12 Exchange best offer (bid). Current Rule • Only. A Post Only order is an order the The proposed rule change moves 6.74B is silent regarding whether the System ranks and executes pursuant to the requirement that the stop price for stop price must be at or better than the proposed Rule 5.32, subjects to the Price a buy (sell) Agency Order must be at or opposite-side Exchange best bid or offer; Adjust process pursuant to Rule 5.32, or better than the then-current national however, the execution price may not be cancels or rejects (including if it is not best offer (‘‘NBO’’) (national best bid at the same price as priority customer subject to the Price Adjust process and (‘‘NBB’’)) from current Rule 6.74B(a)(2) orders resting on the book on the locks or crosses a Protected Quotation of and (b)(1)(A) to proposed Rule opposite side of the Agency Order another exchange), as applicable (in 5.39(b)(1). The current rule also requires (unless the priority customer orders accordance with User instructions), the stop price to be at or better than the execute against the Agency Order), and except the order or quote may not same side NBBO. While the proposed the proposed stop price requirement is remove liquidity from the Book or route rule change does not impose that consistent with the provision, which away to another Exchange. The restriction, it requires the execution merely applies this protection at the Exchange does not currently offer Post price to be at or better than the Initial initiation of the SAM Auction. The Only order functionality, but will as of NBBO, and thus it has the same ultimate Exchange believes this condition the technology migration.11 The effect. • protects orders on the opposite side of Exchange believes it is appropriate to Proposed rule 5.39(b)(2) states if the the Agency Order resting on the Book, not permit the Agency or Solicited Agency Order is to buy (sell), the stop including Priority Customer orders. Order to be designated as Post Only, as price must be at least one minimum • Proposed Rule 5.39(b)(4) states if the purpose of a Post Only order is to increment better than the Exchange best the Initiating TPH submits a SAM not execute upon entry and instead rest bid (offer) (‘‘BBO’’), unless the Agency sweep order to a SAM Auction, the stop in the Book, while the purpose of a Order is a Priority Customer order and price, SAM responses, and executions SAM Auction is to receive an execution the resting order is a non-Priority are permitted at a price inferior to the following the Auction but prior to Customer order, in which case the stop Initial NBBO. A ‘‘SAM sweep order’’ or entering the Book. price must be at or better than the • ‘‘SAM ISO’’ is the submission of two Proposed Rule 5.39(a)(6) states an Exchange best bid (offer). Current Rule orders for crossing in a SAM Auction Initiating TPH may only submit an 6.74B is silent regarding whether the without regard for better-priced Agency Order to a SAM Auction after stop price must be at or better than the Protected Quotes (as defined in Rule the market open. This is consistent with same-side Exchange best bid or offer; 5.65) because the submitting TPH current functionality, as executions however, the execution price must be at routed an intermarket sweep order cannot occur prior to the opening of or better than the Exchange best bid or (‘‘ISO’’) simultaneously with the routing trading. The proposed rule change offer, and the proposed stop price of the SAM ISO to execute against the clarifies this in the Rule. requirement is consistent with the full displayed size of any Protected • Proposed Rule 5.39(a)(7) states an provision, which merely applies this Quote that is better than the stop price Initiating TPH may not submit an protection at the initiation of the SAM and has swept all interest in the Book Agency Order if the NBBO is crossed Auction. The Exchange believes this with a price better than the stop price. (unless the Agency Order is a SAM condition protects orders on the same Any execution(s) resulting from these Intermarket Sweep Order (‘‘SAM ISO’’) side as the Agency Order resting on the sweeps accrue to the SAM Agency (see discussion below)). This is Book, including Priority Customer Order. Current Rule 6.74B is silent on consistent with current functionality orders. By permitting a Priority whether ISOs are permitted with respect and ISO orders, as well as linkage rules, Customer Agency Order to be entered at to SAM Auctions. However, the and the proposed rule change clarifies the same price as a resting non-Priority proposed definition of a SAM ISO is this in the Rule. The Exchange believes Customer order, the proposed rule consistent with linkage rules. it is appropriate to not permit a SAM change also protects Priority Customer The proposed rule change also Auction to be initiated if the NBBO is orders submitted into a SAM Auction. explicitly states that the System rejects crossed, as a crossed NBBO may or cancels both an Agency Order and indicate price uncertainty within the 12 With respect to the existing SAM Auction Solicited Order submitted to a SAM market. The Exchange believes this may eligibility requirements that the proposed rule Auction that do not meet these prevent executions at potentially change retains but moves from Rule 6.74B in the current Rulebook to Rule 5.39 in the shell conditions. This is consistent with erroneous prices. Rulebook, the proposed rule change makes current functionality and the concept of The proposed rule change also nonsubstantive changes, including to make the rule price conditions, and merely adds this explicitly states that all of the eligibility provision more plain English, to simplify the detail the Rules. requirements in proposed paragraph (a) provisions, to delete any redundant language, and to conform language to corresponding rules of Proposed Rule 5.39(c) describes the must be met for a SAM Auction to be applicable Cboe Affiliated Exchanges. Unless SAM Auction process, which otherwise specified in this rule filing, the proposed commences upon receipt of an Agency 11 See Cboe Options Rule 5.6(c) in the shell rule change makes no substantive changes to these Rulebook. provisions. Order that meets the conditions in

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proposed paragraphs (a) and (b), as accordance with Rule 6.74A in the and the proposed rule change merely described above: 13 current Rulebook (Rule 5.37 in the shell adds this detail to the Rules. • Proposed Rule 5.39(c)(1) states that Rulebook), and the auctioned order may Proposed Rule 5.39(c)(5) describes the one or more SAM Auctions in the same trade against any resting interest (in provisions related to SAM responses: 15 series may occur at the same time. To addition to the contra-side order and • The proposed rule change moves the extent there is more than one SAM responses submitted to that AIM the provision that states a SAM Auction in a series underway at a time, Auction, which may only trade against response must specify size and side the SAM Auctions conclude the order auctioned in that AIM from current Rule 6.74B(b)(1)(C) to sequentially based on the exact time pursuant to Rule 6.74A (Rule 5.37 in the proposed Rule 5.39(c)(5). The proposed each SAM Auction commenced, unless shell Rulebook). The System will then rule change deletes the requirement that terminated early pursuant to proposed process the SAM Auction when it a SAM response include a price, and paragraph (d). At the time each SAM terminates, and the auctioned order may instead permits a SAM response to Auction concludes, the System allocates trade against any resting interest that specify a limit price or be treated as the Agency Order pursuant to proposed did not execute against the AIM order market. This provides Users with more paragraph (e) and takes into account all (in addition to the contra-side order and flexibility regarding the price at which SAM Auction responses and unrelated responses submitted to that SAM it is willing to trade against an Agency orders in place at the exact time of Auction, which may only trade against Order. The proposed rule change adds conclusion. In the event there are the order auctioned in that SAM that a SAM response must also specify multiple SAM Auctions underway that pursuant to current Rule 6.74B an Auction ID, and that a SAM response are each terminated early pursuant to (proposed Rule 5.39)). Finally, the may only participate in the AIM proposed paragraph (d), the System System will then process the COA Auction with the Auction ID specified processes the SAM Auctions Auction when it terminates, and the in the response. While not specified in sequentially based on the exact time COA order may leg into the Book and current Rule 6.74B, this is consistent each SAM Auction commenced.14 The trade against any resting interest that with current functionality, and the Exchange believes the proposed new did not execute against the AIM order proposed rule change adds this detail to functionality may lead to an increase in or SAM order (in addition to any the Rules. The Exchange proposes to SAM Auctions, which may provide interest resting on the complex order include this language given the above additional opportunities for price book and COA responses pursuant to improvement for Agency Orders. current Rule 6.53C in the current proposal that permits concurrent SAM The Exchange notes it is also possible Rulebook (which the Exchange intends Auctions in the same series. for various types of auctions (such as an to move to Rule 5.33 in the shell Current Rule 6.74B(b)(1)(C) permits AIM Auction or a complex order Rulebook)). all Trading Permit Holders may submit auction (‘‘COA’’)) today to occur • The proposed rule change moves responses to a SAM request for concurrently in the same series, and at the provision regarding the SAM responses (‘‘RFR’’), except that the end of each auction, it is possible for Auction notification message (currently responses may not be entered for the interest resting in the Book to trade referred to as a request for responses account of an options market-maker against any of the auctioned orders in message) from current Rule from another options exchange. The the series. While these auctions may be 6.74B(b)(1)(B) to proposed Rule proposed rule change permits all Users occurring at the same time, they will be 5.39(c)(2). The proposed provision (including Market-Makers from another processed in the order in which they are specifies that the message will detail the options exchange) 16 to submit terminated (similar to how the System Capacity of the Agency Order, an responses to a SAM Auction. By processes SAM Auctions as discussed Auction ID, and the option series, in permitting additional participants to above). In other words, suppose there is addition to the price, side, and size, of submit responses to SAM Auctions, the an AIM Auction, a SAM Auction, and the Agency Order, which message is Exchange believes this may provide the a COA all occurring in the same series, sent to all TPHs that elect to receive opportunity for additional liquidity in which began and will terminate in that SAM Auction notification messages. these auctions, which could lead to order, and each of which last 100 This is consistent with the current additional price improvement milliseconds. While it is possible for all auction message that is disseminated; opportunities. Rules of other exchanges three auctions to terminate nearly the proposed rule change adds these do not contain restrictions on who may simultaneously, the System will still details to the rule. The proposed rule process them in the order in which they change also adds that SAM Auction 15 With respect to the provisions regarding SAM terminate. When the AIM Auction notification messages are not included responses that the proposed rule change retains but in the disseminated BBO or OPRA, moves from Rule 6.74B in the current Rulebook to terminates, the System will process it in Rule 5.39 in the shell Rulebook, the proposed rule which is also consistent with current change makes nonsubstantive changes, including to 13 With respect to the provisions regarding the functionality. make the rule provision more plain English, to SAM Auction process that the proposed rule change • The proposed rule change moves simplify the provisions, to delete any redundant retains but moves from Rule 6.74B in the current the provision regarding the length of the language, and to conform language to corresponding Rulebook to Rule 5.39 in the shell Rulebook, the SAM Auction period from current Rule rules of applicable Cboe Affiliated Exchanges. proposed rule change makes nonsubstantive Unless otherwise specified in this rule filing, the changes, including to make the rule provision more 6.74B(b)(1)(C) to proposed Rule proposed rule change makes no substantive changes plain English, to simplify the provisions, to delete 5.39(c)(3). The proposed rule change to these provisions. any redundant language, and to conform language makes no changes to the current range 16 The proposed rule change also prohibits the to corresponding rules of applicable Cboe Affiliated of permitted lengths of SAM Auction Initiating TPH from submitting a response to a SAM Exchanges. Unless otherwise specified in this rule periods. Auction (and notes the system helps enforce this filing, the proposed rule change makes no • prohibition by not permitting a response to have the substantive changes to these provisions. The proposed rule change clarifies same EFID as the Agency Order). This will prevent 14 See proposed Rule 5.39(c)(1). This provision in proposed Rule 5.39(c)(4) that the the submitter of a Solicited Order from submitting regarding concurrent SAM Auctions is the same as Initiating TPH may not modify or cancel a response to attempt to participate in the execution the Automated Improvement Mechanism (‘‘AIM’’) of an Agency Order in the event the Solicited Order provision that permits concurrent AIM Auctions for an Agency Order or Solicited Order after does not execute against the Agency Order, which Agency Orders of 50 contracts or more. See Rule submission to a SAM Auction. This is is consistent with the requirement that the Solicited 5.37(c)(1) of the shell Rulebook. consistent with current functionality, Order cannot be a facilitation.

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respond to similar solicitation auction and SAM responses for the same EFID that would cause the stop price to be mechanisms.17 at the same price, at the size of the outside of the BBO; • The proposed rule change moves Agency Order (i.e., the System ignores • the market close (consistent with the provision that states the minimum size in excess of the size of the Agency current functionality and merely added price increment for SAM response is the Order when processing the AIM to the Rules); and same as the one the Exchange Auction). This is consistent with current • any time the Exchange halts trading determines for a class (pursuant to subparagraph (b)(1)(F), except the in the affected series, provided, proposed Rule 5.39(a)(4)), and the proposed rule change caps the aggregate however, that in such instance the SAM System rejects a SAM response that is size of a User’s interest at the same Auction concludes without execution not in the applicable minimum price, rather than the size of an (consistent with current Rule increment from current Rule individual response. The Exchange 6.74A(b)(2)(F), and the proposed rule 6.74B(b)(1)(E) to proposed Rule believes this is reasonable to prevent a change adds detail that a SAM Auction 5.39(c)(5)(A). User from submitting an order, quote, or in such a case will conclude without • Proposed Rule 5.39(c)(5)(B) states response with an extremely large size in execution, which is consistent with SAM buy (sell) responses are capped at order to obtain a larger pro-rata share of current functionality, as no executions the Exchange best offer (bid), or one the Agency Order. may occur while a series is halted for minimum increment better than the • Proposed Rule 5.39(c)(5)(E) states trading). Exchange best offer (bid) if it is SAM responses must be on the opposite The proposed rule change deletes the represented by a Priority Customer on side of the market as the Agency Order, following events that currently cause a the Book (unless the Agency Order is a and the System rejects a SAM response SAM Auction to conclude early: SAM ISO) that exists at the conclusion on the same side of the market as the • Upon receipt by the System of an of the SAM Auction. The System will Agency Order. This is consistent with unrelated order (in the same series as execute SAM responses, if possible, at current functionality, and the proposed the Agency Order) that is marketable the most aggressive permissible price rule change merely adds this detail to against either the BBO (when such not outside the BBO at the conclusion the rules. Additionally, the Exchange quote is the NBBO) or the RFR of the SAM Auction or the Initial NBBO. believes this is reasonable given that the responses; The proposed rule change ensures the purpose of a SAM response is to trade • upon receipt by the System of an execution price of a response will not against the Agency Order in the SAM unrelated limit order (in the same series cross the Initial NBBO in accordance Auction into which the SAM response as the Agency Order and on the 18 with linkage rules. Additionally, was submitted. opposite side of the market as the • proposed subparagraph (e) requires the The proposed rule change moves Agency Order) that improves any RFR execution price to be at or between the the provision that says SAM responses responses; and BBO at the conclusion of the SAM are not visible to SAM Auction • any time there is a quote lock on the Auction. Therefore, as proposed, the participants or disseminated to OPRA Exchange pursuant to Rule 6.45(c) in the price at which any response may be from current Rule 6.74B(b)(1)(D) to current Rulebook. entered (and thus be executed) will proposed Rule 5.39(c)(5)(F). • As discussed below, unrelated orders ultimately not be through the Initial The proposed rule change moves on the opposite side of the Agency NBBO or the BBO at the conclusion of the provision that says a User may Order received during the SAM Auction the SAM Auction. modify or cancel its SAM responses may execute against interest outside of • Proposed Rule 5.39(c)(5)(C) states a during a SAM Auction from current the SAM Auction, and therefore, the User may submit multiple SAM Rule 6.74B(b)(1)(G) to proposed Rule Exchange will no longer terminate a responses at the same or multiple prices 5.39(c)(5)(G). SAM Auction due to the receipt of an to a SAM Auction. This is consistent Current Rule 6.74B(b)(2) states a SAM order on the opposite side of the Agency with current functionality. Current Rule Auction at the sooner of Rule Order. The proposed rule change to 6.74B contains no restriction on how 6.74A(b)(2)(A) through (F), which are conclude a SAM Auction early upon many responses a User may submit; the the provisions that describe when an receipt of certain orders on the same proposed rule change merely makes this AIM Auction concludes. The Exchange side as the Agency Order ensure that the explicit in the Rules. The proposed rule recently amended the events that may execution price does not occur at the change also states for purposes of a cause an AIM Auction to conclude, so same price as a Priority Customer order SAM Auction, the System aggregates all the proposed rule change similarly on the Book or at a price worse on than of a User’s orders and quotes on the amends the events that may cause a Book and SAM responses for the same a non-Priority Customer order on the SAM Auction to conclude to be the Book. This is consistent with the EFID at the same price. This (combined same as the events that may cause an with the proposed size cap described requirements for the stop price AIM Auction to conclude (and adds described above. Additionally, the below) will prevent a User from them to proposed Rule 5.39). Therefore, submitting multiple orders, quotes, or Exchange will not have quote lock proposed Rule 5.39(d) states a SAM functionality following the technology responses at the same price to obtain a Auction concludes at the earliest to larger pro-rata share of the Agency migration, and therefore proposes to occur of the following times: delete that as an event that may cause Order. • The end of the SAM Auction a SAM Auction to terminate early.19 • Proposed Rule 5.39(c)(5)(D) states period; the System caps the size of a SAM • upon receipt by the System of a An unrelated market or marketable response, or the aggregate size of a Priority Customer order on the same limit order (against the BBO), including User’s orders and quotes on the Book side of the market with a price the same a Post Only Order, on the opposite side as or better than the stop price that of the Agency Order received during the 17 See, e.g., Miami International Securities would post to the Book; AIM Auction does not cause the SAM Exchange, LLC (‘‘MIAX’’) Rule 515A(b). • upon receipt by the System of an 18 See Rule 6.81(b)(8) in the current Rulebook 19 See Securities Exchange Act Release No. 86374 (Rule 5.66(b)(8) in the shell Rulebook) (requires an unrelated order or quote that is not a (July 15, 2019), 84 FR 34963 (July 19, 2019) (SR– order to be stopped at a price no worse than the Priority Customer order on the same CBOE–2019–033) (proposed rule change in which price at the time of receipt of the order). side of the market as the Agency Order the Exchange deletes quote lock functionality).

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Auction to end early and executes potentially execute against the Agency eligibility requirements, the auction against interest outside of the SAM Order and the proposed provision that response period, the same-side stop Auction. If contracts remain from such responses may only execute in the SAM price requirements, response unrelated order at the time the SAM Auction into which they are submitted. requirements, and auction notification Auction ends, they may be allocated for The proposed rule change also makes process) will continue to be execution against the Agency Order nonsubstantive changes to the allocation substantively the same as the framework pursuant to proposed paragraph (e). provisions, including to make the rule for the AIM price improvement auction Because these orders may have the provision more plain English, to the Exchange’s current price opportunity to trade against the Agency simplify the provisions, to delete any improvement auction, as the Exchange Order following the conclusion of the redundant language, and to conform recently amended.24 The Exchange SAM Auction, which execution must language to corresponding rules of continued similarity of its SAM Auction still be at or better than the Initial NBBO applicable Cboe Affiliated Exchanges. to its AIM Auction will allow the and BBO at the conclusion of the SAM Unless otherwise specified in this rule Exchange’s proposed price Auction, the Exchange does not believe filing, the proposed rule change makes improvement functionality to fit it is necessary to cause a SAM Auction no substantive changes to these seamlessly into the options market and to conclude early in the event the provisions. benefit market participants with Exchange receives such orders. This The proposed rule change moves consistency across similar functionality. will provide more time for potential current Rule 6.74B, Interpretations and The Exchange also believes this will price improvement, and the unrelated Policies .02 and .03 to proposed Rule encourage Users to compete vigorously order will have the opportunity to trade 5.39, Interpretations and Policies .01 to provide the opportunity for price against the Agency Order in the same and .02, respectively, making only improvement for customer orders in a manner as all other contra-side interest. nonsubstantive changes. competitive auction process. The proposed rule change moves the The Exchange believes the proposed 2. Statutory Basis provisions regarding the allocation of rule change to permit the Solicited the Agency Order at the conclusion of The Exchange believes the proposed Order to be comprised of multiple the SAM Auction against the Solicited rule change is consistent with the orders that total the size of the Agency Order or contra-side interest (which Securities Exchange Act of 1934 (the Order may increase liquidity and includes orders and quotes resting in ‘‘Act’’) and the rules and regulations opportunity for Agency Orders to the Book and SAM responses) from thereunder applicable to the Exchange participate in SAM Auctions, and current Rule 6.74B(b)(2) to proposed and, in particular, the requirements of therefore provide Agency Orders with Rule 5.39(e). Executions at the Section 6(b) of the Act.21 Specifically, additional opportunities for price conclusion of the SAM Auction will the Exchange believes the proposed rule improvement, which is consistent with occur in the same manner as they do change is consistent with the Section the principles behind the SAM Auction. today, except the proposed rule change 6(b)(5) 22 requirements that the rules of The Exchange believes that this will be prioritizes Priority Customer AON an exchange be designed to prevent beneficial to participants because orders over all non-Priority Customer fraudulent and manipulative acts and allowing multiple contra-parties should contra-side interest (displayed Priority practices, to promote just and equitable foster competition for filling the contra- Customer orders will have priority over principles of trade, to foster cooperation side order and thereby result in Priority Customer AON orders) in and coordination with persons engaged potentially better prices, as opposed to executions following SAM Auctions.20 in regulating, clearing, settling, only allowing one contra-party and, The Exchange believes this encourages processing information with respect to, thereby requiring that contra-party to do market participants, including Priority and facilitating transactions in a larger size order which could result in Customers, to display their best bids securities, to remove impediments to a worse price for the trade. Another and offers, which may lead to enhanced and perfect the mechanism of a free and exchange permits the contra-side in a liquidity and tighter markets. open market and a national market solicited auction mechanism to be The proposed rule change adds detail system, and, in general, to protect comprised of multiple contra-parties.25 regarding the priority of contra-side investors and the public interest. The Exchange notes the contra-side of a interest that executes against the Agency Additionally, the Exchange believes the Qualified Contingent Cross order may Order, which is consistent with the proposed rule change is consistent with be comprised of multiple orders.26 general priority rules in current Rule the Section 6(b)(5) 23 requirement that The proposed rule that an Initiating 6.45 in the current Rulebook (Rule 5.32 the rules of an exchange not be designed TPH may not designate an Agency in the shell Rulebook), except for the to permit unfair discrimination between Order or Solicited Order as Post Only AON provision noted above. The customers, issuers, brokers, or dealers. protects investors, because it provides proposed rule change also explicitly The Exchange’s SAM Auction as transparency regarding functionality states that the System cancels or rejects proposed will function in a that will not be available for SAM. The any unexecuted SAM responses (or substantially similar manner following Exchange believes this is appropriate, as unexecuted portions) at the conclusion the technology migration as it does the purpose of a Post Only order is to of a SAM Auction. While the current today. The proposed rule change will not execute upon entry and instead rest rule does not state this, it is consistent benefit investors by providing in the Book, while the purpose of with current functionality. Additionally, continued consistency across the submitting orders to a SAM Auction is it is consistent with the provision (as Exchange’s (and the Cboe Affiliated to receive an execution following the described above) that Users submit Exchanges’, as applicable) price responses to a specific auction to improvement mechanisms. The general 24 See SR–CBOE–2019–045 (filed August 28, framework of the SAM Auction process 2019). 20 Providing displayed interest with priority over as proposed to be amended (such as the 25 See ISE Options 3, Section 11(d); and ISE nondisplayed interest is consistent with the Regulatory Information Circular 2014–013. Exchange’s general allocation rules. See Rule 26 Unlike orders submitted to a SAM Auction, 5.32(a)(3)(A) in the shell Rulebook (which provides 21 15 U.S.C. 78f(b). Qualified Contingent Cross orders may immediately that displayed orders have priority over 22 15 U.S.C. 78f(b)(5). execute and are not exposed to the market for nondisplayed orders). 23 Id. possible price improvement.

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auction and not enter the Book. cancelled back at the conclusion of the and size of the Agency Order, will Pursuant to current Rule 6.74B and Auction. Thus, SAM responses will be protect investors by preventing a User proposed Rule 5.39, an Agency Order specifically considered only in the from submitting multiple orders, quotes, will fully execute against contra-side specified SAM Auction. The Exchange or responses at the same price to obtain interest (possibly against the Solicited does not believe that allowing multiple a larger pro-rata share of the Agency Order, which must be for the same size auctions to overlap for Agency Orders Order. The proposed response as the Agency Order), or will be presents any unique issues that differ provisions also ensure responses will be cancelled in the event there is no from functionality already in place on available for execution at prices at or execution following a SAM Auction, the Exchange or other exchanges. better than the BBO at the conclusion of and thus there cannot be remaining Pursuant to Rule 5.37(c)(1) in the shell the SAM Auction, and the Initial NBBO, contracts in an Agency Order or Rulebook, multiple AIM Auctions for in accordance with linkage rules, as Solicited Order to enter the Book. Agency Orders for 50 or more contracts discussed above. The proposed stop price requirements may overlap. Additionally, other Unlike current Rule 6.74B, the will benefit investors, as they will options exchanges permit other auctions Exchange will not conclude a SAM protect Priority Customer orders in the to overlap.27 Auction early due to the receipt of an Book (as well as Agency Orders for The proposed rule change will also opposite side order. The Exchange Priority Customers). The current rule perfect the mechanism of a free and believes this promotes just and essentially enforces these price open market and a national market equitable principles of trade, because requirements at the conclusion of a system, as it is consistent with linkage these orders may have the opportunity SAM Auction; the proposed rule change rules. Proposed Rule 5.39 does not to trade against the Agency Order merely applies this check at the permit Agency Orders to be submitted following the conclusion of the SAM initiation of a SAM Auction. The when the NBBO is crossed and requires Auction, which execution must still be Exchange believes application of this Agency Order execution prices at the at or better than the Initial NBBO and price check at the initiation of a SAM end of SAM Auctions to be at or BBO existing at the conclusion of the Auction may result in the Agency Order between the Initial NBBO and the BBO SAM Auction. The Exchange believes executing at a better price, since the at the conclusion of the SAM Auction. this will protect investors, because it stop price must improve any same-side The proposed stop price requirements will provide more time for price orders (with the exception of a Priority and the events to terminate a SAM improvement, and the unrelated order Customer Agency Order and a resting Auction early further ensure execution will have the opportunity to trade non-priority customer order described prices at or better than the Initial NBBO against the Agency Order in the same above). The proposed rule change is and BBO. Additionally, the proposed manner as all other contra-side interest. consistent with general customer SAM ISO order type (which is similar With respect to trading halts, as priority principles. to current AIM ISO functionality) will described herein, in the case of a trading As discussed above, the Exchange has provide TPHs with an efficient method halt on the Exchange in the affected proposed to allow SAM Auctions to to initiate a SAM Auction while series, the Auction will be cancelled occur concurrently with other SAM preventing trade-throughs. Auctions. Although SAM Auctions for without execution. Cancelling Auctions The proposed rule change to permit without execution in this circumstance Agency Orders will be allowed to all Users (other than the Initiating TPH) overlap, the Exchange does not believe is consistent with Exchange handling of to respond to SAM Auctions will benefit trading halts in the context of this raises any issues that are not investors. Permitting all Users to submit addressed through the proposed rule continuous trading on the Exchange and responses to SAM Auctions may result promotes just and equitable principles change described above. For example, in more Users having the opportunity to although overlapping, each SAM of trade and, in general, protects participate in executions at the investors and the public interest.29 Auction will be started in a sequence conclusion of SAM Auctions. Agency Orders will execute against and with a time that will determine its Additionally, it may increase liquidity contra-side interest at the conclusion of processing. Thus, even if there are two in SAM Auctions, which may lead to a SAM Auction in the same manner as SAM Auctions that commence and more opportunities to price it does today, except that the proposed conclude, at nearly the same time, each improvement. The Exchange believes rule change will also provide priority to SAM Auction will have a distinct the proposed rule change will remove Priority Customer AON orders over all conclusion at which time the SAM impediments to and perfect the non-Priority Customer contra-side Auction will be allocated. In turn, when mechanism of a free and open market interest. Displayed Priority Customer the first Auction concludes, unrelated and a national market system, because orders will have priority over Priority orders that then exist will be considered other exchanges permit all market Customer AON orders, SAM Auctions, for participation in the SAM Auction. If participants to respond to similar price which the Exchange believes encourages unrelated orders are fully executed in improvement auctions.28 market participants, including Priority such SAM Auction, then there will be The proposed SAM Auction response Customers, to display their best bids no unrelated orders for consideration requirements are reasonable and and offers, which may lead to enhanced when the subsequent SAM Auction is promote a fair and orderly market and liquidity and tighter markets. processed (unless new unrelated order national market system, as they provide Prioritizing displayed interest over interest has arrived). If instead there is clarity regarding how they may respond nondisplayed interest is consistent with remaining unrelated order interest after to a SAM Auction. The proposed the Exchange’s current allocation and the first SAM Auction has been provisions regarding the aggregation of priority rules, which have been allocated, then such unrelated order responses with other contra-side interest interest will be considered for allocation of the same User, and capping the size when the subsequent SAM Auction is and price of that interest at the price 29 The Exchange notes that trading on the processed. As another example, each Exchange in any option contract will be halted whenever trading in the underlying security has SAM response is required to specifically 27 See, e.g., ISE Options 3, Section 11(d); and been paused or halted by the primary listing market identify the Auction for which it is Boston Options Exchange (‘‘BOX’’) Rule 7270. and other circumstances. See Rule 6.3 in the current targeted and if not fully executed will be 28 See, e.g., MIAX Rule 515A(b)(2)(i)(C). Rulebook.

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previously filed with the Commission.30 While Priority Customer AON orders thereunder,37 and ‘‘Effect vs. Execute’’ The Exchange believes this will ensure generally execute after all other exemption under Rule 11a2–2(T) under a fair and orderly market by maintaining interest,32 the Exchange believes it is the Act.38 priority of orders and quotes and appropriate to provide this priority to The ‘‘Effect vs. Execute’’ exemption protecting Priority Customer orders, Priority Customer AON orders in the permits an exchange member, subject to while still affording the opportunity for context of a SAM Auction and give certain conditions, to effect transactions price improvement during each SAM these orders an increased change to for covered accounts by arranging for an Auction commenced on the Exchange. execute 33 against the Agency Order unaffiliated member to execute The proposed allocation will continue (assuming there is sufficient size to transactions on the exchange. To to ensure that the Agency Order will be satisfy the Agency Order and the AON comply with Rule 11a2–2(T)’s filled if there is a Priority Customer contingency can be satisfied) given that conditions, a member: (i) Must transmit order on the Book at the stop price and such orders may prevent an Agency the order from off the exchange floor; sufficient other contra-side interest to Order from executing against a Solicited (ii) may not participate in the execution satisfy the Agency Order. Order. As a result, the proposed rule of the transaction once it has been While other exchange rules do not change ensures a Priority Customer transmitted to the member performing 39 discuss how AON orders are prioritizes AON resting on the Book at the stop the execution; (iii) may not be at the conclusion of similar solicitation price at the conclusion of a SAM affiliated with the executing member; auction mechanisms, the Commission Auction will not be disadvantaged. and (iv) with respect to an account over has previously considered this issue. which the member has investment The Commission has stated that not The Exchange believes the proposed discretion, neither the member nor its protecting AON public customer order rule changes that add detail to the associated person may retain any on the book while permitting the agency Rules, which are consistent with current compensation in connection with order and solicited order to execute functionality, will remove impediments effecting the transaction except as would disadvantage the public customer to and perfect the mechanism of a free provided in the Rule. For the reasons set order.31 The proposed rule change to and open market and protect investors, forth below, the Exchange believes that prioritize Priority Customer AON orders as these changes provide transparency TPHs entering orders into SAM would over non-Priority Customer contra-side in the Rules regarding SAM Auctions. satisfy the requirements of Rule 11a2– interest ensures that the Agency order Additionally, the proposed rule change 2(T). and Solicited Order will not cross when is substantially the same as the rule of In the context of automated trading a Priority Customer AON order at the another exchange.34 systems, the Commission has found that stop price is resting on the Exchange’s The proposed rule change is also the off-floor transmission requirement is Book, and thus is consistent with the consistent with Section 11(a)(1) of the met if a covered account order is Act, as it promotes just and equitable Act 35 and the rules promulgated transmitted from off the floor directly to 40 principles of trade, removes thereunder. Generally, Section 11(a)(1) the Exchange by electronic means. impediments to and perfects the of the Act restricts any member of a Because the Exchange’s SAM Auction mechanism of a free and open market national securities exchange from receives, and will continue to receive, and a national market system, and, in effecting any transaction on such orders from TPHs electronically through general, protects investors and the exchange for (i) the member’s own remote terminals or computer-to- public interest. As noted above, the account, (ii) the account of a person computer interfaces, the Exchange Commission has also previously associated with the member, or (iii) an believes that orders submitted to a SAM considered the issue of prioritizing account with respect to which the Auction from off the Exchange’s trading displayed interest over nondisplayed member or a person associated with the floor will satisfy the off-floor transmission requirement.41 interest, as that concept exists in the member exercises investment discretion Exchange’s Rules (and was therefore (collectively referred to as ‘‘covered previously filed with the Commission). 37 15 U.S.C. 78k(a)(1)(G) and 17 CFR 240.11a1– accounts’’), unless a specific exemption 1(T). is available. Examples of common 38 30 17 CFR 240.11a2–2(T). See Rule 5.32(a)(3)(A) in the shell Rulebook. 39 31 exemptions include the exemption for The member may, however, participate in The Commission previously stated that clearing and settling the transaction. permitting ‘‘the Agency Order and Solicited Order transactions by broker dealers acting in 40 See, e.g., Securities Exchange Act Release Nos. to cross when an all-or-none customer order at the the capacity of a market maker under 36 61419 (January 26, 2010), 75 FR 5157 (February 1, stop price exists on Phlx’s order book would result Section 11(a)(1)(A), the ‘‘G’’ 2010) (SR–BATS–2009–031) (approving BATS in an outcome that is not consistent with the Act. exemption for yielding priority to non- options trading); 59154 (December 23, 2008), 73 FR Specifically, rather than protecting the all-or-none members under Section 11(a)(1)(G) of 80468 (December 31, 2008) (SR–BSE–2008–48) public customer order at the stop price, Phlx’s (approving equity securities listing and trading on proposal to allow the Solicited Order to execute the Act and Rule 11a1–1(T) BSE); 57478 (March 12, 2008), 73 FR 14521 (March against the Agency Order and leave the all-or-none 18, 2008) (SR–NASDAQ–2007–004 and SR– public customer order on the order book would 32 See Rule 5.32(a)(3)(C) in the shell Rulebook. NASDAQ–2007–080) (approving NOM options disadvantage the public customer order. While such 33 If the Priority Customer AON order received trading); 53128 (January 13, 2006), 71 FR 3550 a result may be expedient for the firm that entered (January 23, 2006) (File No. 10–131) (approving The the Agency Order and Solicited Order into the last priority (except for non-Priority Customer AON orders, as is normally the case (see Rule Nasdaq Stock Market LLC); 44983 (October 25, Solicitation Auction and for the solicited party, it 2001), 66 FR 55225 (November 1, 2001) (SR–PCX– 5.32(a)(3)(C) in the shell Rulebook), the Priority would raise concerns under Section 6(b)(5) of the 00–25) (approving Archipelago Exchange); 29237 Customer AON order would have a reduced change Act, which, among other things, requires that the (May 24, 1991), 56 FR 24853 (May 31, 1991) (SR– to execute against the Agency Order. rules of a national securities exchange be designed NYSE–90–52 and SR–NYSE–90–53) (approving 34 ‘to promote just and equitable principles of trade, See EDGX Options Rule 21.21; see also NYSE’s Off-Hours Trading Facility); and 15533 to remove impediments to and perfect the Securities Exchange Act Release No. 87060 (January 29, 1979), 44 FR 6084 (January 31, 1979) mechanism of a free and open market and a (September 23, 2019) (SR–CboeEDGX–2019–047). (‘‘1979 Release’’). national market system and, in general, to protect 35 15 U.S.C. 78k(a). Section 11(a)(1) prohibits a 41 A TPH may not enter an order for a covered investors and the public interest . . .’ ’’ See member of a national securities exchange from account from on the trading floor and rely on the Securities Exchange Act Release No. 75300 (June effecting transactions on that exchange for its own Effect v. Execute, and therefore another exception 25, 2015), 80 FR 37672, 37683 (July 1, 2015) (SR– account, the account of an associated person, or an must apply. A TPH may not send an order for a Phlx–2014–66) (order disapproving a proposed rule account over which it or its associated person covered account for an affiliated TPH on the floor change to adopt an electronic solicitation exercises discretion unless an exception applies. and rely on the Effect v. Execute, and therefore mechanism). 36 15 U.S.C. 78k(a)(1)(A). another exception must apply.

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The second condition of Rule 11a2– represents that the SAM Auction is 11a2–2(T) for transactions effected 2(T) requires that neither a member nor designed so that no TPH has any special through the SAM Auction must comply an associated person of such member or unique trading advantage in the with this condition of the Rule, and the participate in the execution of its order. handling of its orders or responses after Exchange will enforce this requirement The Exchange represents that, upon transmitting them to the mechanism. pursuant to its obligations under submission to the SAM Auction, an A TPH (not acting in a market-maker Section 6(b)(1) of the Act to enforce order or SAM response will be executed capacity) could submit an order for a compliance with federal securities laws. automatically pursuant to the rules set covered account from off of the Therefore, the Exchange believes that forth for SAM Auctions. In particular, Exchange’s trading floor to an the instant proposal is consistent with execution of an order (including the unaffiliated Floor Broker for submission Rule 11a2–2(T), and that therefore the Agency and the Solicited Order) or a for execution in the SAM Auction from exception should apply in this case. SAM response sent to the mechanism the Exchange’s trading floor and satisfy Therefore, the Exchange believes the depends not on the TPH entering the the effect-versus-execute exemption proposed rule change is consistent with order or response, but rather on what (assuming the other conditions are Section 11(a) of the Act and the Rules other orders and responses are present satisfied).44 However, a TPH could not thereunder. and the priority of those orders and submit an order for a covered account The proposed rule change is generally responses. Thus, at no time following to its ‘‘house’’ Floor Broker on the intended to amend certain system the submission of an order or response trading floor for execution and rely on functionality currently offered by Cboe is a TPH or associated person of such this exemption. Because a TPH may not Options in order to provide a consistent TPH able to acquire control or influence rely on the ‘‘G’’ exemption when technology offering for the Cboe over the result or timing of order or submitting an order to a SAM Affiliated Exchanges. A consistent response execution.42 Once the Agency Auction,45 it would need to ensure technology offering, in turn, will Order and Solicited Order, or the another exception applies in this simplify the technology response, as applicable, have been situation. implementation, changes and transmitted, the Initiating TPH that Rule 11a2–2(T)’s fourth condition maintenance by Users of the Exchange transmitted the orders, or the User that requires that, in the case of a transaction that are also participants on Cboe submitted the response, respectively, effected for an account with respect to Affiliated Exchanges. This will provide will not participate in its execution of which the initiating member or an Users with greater harmonization of the Agency Order or Solicited Order, or associated person thereof exercises price improvement auction mechanisms the response, respectively. No TPH, investment discretion, neither the available among the Cboe Affiliated including the Initiating TPH, will see a initiating member nor any associated Exchanges. person thereof may retain any SAM response submitted into SAM, and B. Self-Regulatory Organization’s compensation in connection with therefore and will not be able to Statement on Burden on Competition influence or guide the execution of their effecting the transaction, unless the Agency Orders, Solicited Orders, or person authorized to transact business The Exchange does not believe that SAM responses, as applicable. for the account has expressly provided the proposed rule change will impose Rule 11a2–2(T)’s third condition otherwise by written contract referring any burden on competition that is not requires that the order be executed by to Section 11(a) of the Act and Rule necessary or appropriate in furtherance an exchange member who is unaffiliated 11a2–2(T) thereunder.46 The Exchange of the purposes of the Act. The with the member initiating the order. recognizes that TPHs relying on Rule Exchange does not believe the proposed The Commission has stated that the rule change will impose any burden on requirement is satisfied when exchange, the Commission has stated that intramarket competition, as the automated exchange facilities, such as executions obtained through these systems satisfy proposed changes to the Exchange’s the independent execution requirement of Rule the SAM Auction, are used, as long as SAM Auction will apply to all orders 11a2–2(T). See 1979 Release. submitted to a SAM Auction in the the design of these systems ensures that 44 Orders for covered accounts that rely on the members do not possess any special or ‘‘effect versus execute’’ exemption in this scenario same manner. SAM Auctions will unique trading advantages in handling must be transmitted from a remote location directly continue to be voluntary for TPHs to to the Floor Broker on the trading floor by use, and are available to all TPHs. their orders after transmitting them to electronic means. 43 Additionally, the ability to respond to the exchange. The Exchange 45 See proposed Rule 5.39(e) (which describes the SAM Auctions will not be available to allocation of the Agency Order at the conclusion of 42 n Initiating TPH may not cancel or modify an the SAM Auction, which does not prioritize non- all Users (except the Initiating TPH, Agency Order or Solicited Order after it has been TPH broker-dealers, as would be required by the which is consistent with the submitted into SAM, but Users may modify or ‘‘G’’ exemption). requirement that the contra-side order cancel their responses after being submitted into a 46 See 17 CFR 240.11a2–2(T)(a)(2)(iv). In addition, be a solicitation rather than a SAM. See proposed Rule 5.39(c)(4) and (c)(5)(G). Rule 11a2–2(T)(d) requires a member or associated The Exchange notes that the Commission has stated person authorized by written contract to retain facilitation). The proposed rule change that the non-participation requirement does not compensation, in connection with effecting to provide Priority Customer AON preclude members from cancelling or modifying transactions for covered accounts over which such orders with priority over all non-Priority orders, or from modifying instructions for executing member or associated persons thereof exercises Customer contra-side interest protects orders, after they have been transmitted so long as investment discretion, to furnish at least annually such modifications or cancellations are also to the person authorized to transact business for the additional Priority Customer orders and transmitted from off the floor. See Securities account a statement setting forth the total amount will ensure that a Priority Customer Exchange Act Release No. 14563 (March 14, 1978), of compensation retained by the member in AON order resting on the Book at the 43 FR 11542, 11547 (the ‘‘1978 Release’’). connection with effecting transactions for the stop price is not disadvantaged. 43 In considering the operation of automated account during the period covered by the statement execution systems operated by an exchange, the which amount must be exclusive of all amounts The Exchange does not believe the Commission noted that, while there is not an paid to others during that period for services proposed rule change will impose any independent executing exchange member, the rendered to effect such transactions. See also 1978 burden on intermarket competition, execution of an order is automatic once it has been Release, at 11548 (stating ‘‘[t]he contractual and because the general framework and transmitted into the system. Because the design of disclosure requirements are designed to assure that these systems ensures that members do not possess accounts electing to permit transaction-related primary features of the Exchange’s any special or unique trading advantages in compensation do so only after deciding that such current SAM Auction are not changing, handling their orders after transmitting them to the arrangements are suitable to their interests’’). and will continue to protect orders,

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including Priority Customer orders, operative delay so that the Exchange comments more efficiently, please use resting in the Book, as applicable. The may implement the proposed rule only one method. The Commission will proposed rule change will provide change at the time of its anticipated post all comments on the Commission’s continued consistency across the October 7, 2019 system migration. The internet website (http://www.sec.gov/ Exchange’s (and the Cboe Affiliated Exchange notes that the proposed rule rules/sro.shtml). Copies of the Exchanges’, as applicable) price change is substantially identical to submission, all subsequent improvement mechanisms. The general EDGX Options Rule 21.21 and similar to amendments, all written statements framework and primary features of the functionality on other options with respect to the proposed rule proposed SAM Auction process (such as exchanges, and believes waiver of the change that are filed with the the eligibility requirements, auction operative delay would permit the Commission, and all written response period, same-side stop price Exchange to continue to provide the communications relating to the requirements, response requirements, SAM functionality to market proposed rule change between the and auction notification process), are participants on a continuous, Commission and any person, other than substantively the same as the framework uninterrupted basis.53 For these reasons, those that may be withheld from the for the AIM price improvement auction the Commission believes that waiver of public in accordance with the the Exchange’s current price the 30-day operative delay is consistent provisions of 5 U.S.C. 552, will be improvement auction, as recently with the protection of investors and the available for website viewing and proposed to be amended in connection public interest. Therefore, the printing in the Commission’s Public with the Exchange’s upcoming Commission hereby waives the Reference Room, 100 F Street NE, technology migration.47 Additionally, operative delay and designates the Washington, DC 20549 on official other options exchanges also offer proposal as operative upon filing.54 business days between the hours of similar auction mechanisms.48 At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of such filing of the proposed rule change, the filing also will be available for C. Self-Regulatory Organization’s Commission summarily may inspection and copying at the principal Statement on Comments on the temporarily suspend such rule change if office of the Exchange. All comments Proposed Rule Change Received From it appears to the Commission that such received will be posted without change. Members, Participants, or Others action is necessary or appropriate in the Persons submitting comments are The Exchange neither solicited nor public interest, for the protection of cautioned that we do not redact or edit received comments on the proposed investors, or otherwise in furtherance of personal identifying information from rule change. the purposes of the Act. If the comment submissions. You should Commission takes such action, the submit only information that you wish III. Date of Effectiveness of the Commission shall institute proceedings to make available publicly. All Proposed Rule Change and Timing for to determine whether the proposed rule submissions should refer to File Commission Action change should be approved or Number SR–CBOE–2019–063, and Because the foregoing proposed rule disapproved. should be submitted on or before change does not: (i) Significantly affect October 28, 2019. IV. Solicitation of Comments the protection of investors or the public For the Commission, by the Division of interest; (ii) impose any significant Interested persons are invited to Trading and Markets, pursuant to delegated burden on competition; and (iii) become submit written data, views, and authority.55 operative for 30 days from the date on arguments concerning the foregoing, Jill M. Peterson, which it was filed, or such shorter time including whether the proposed rule Assistant Secretary. change is consistent with the Act. as the Commission may designate, it has [FR Doc. 2019–21725 Filed 10–4–19; 8:45 am] become effective pursuant to Section Comments may be submitted by any of BILLING CODE 8011–01–P 19(b)(3)(A) of the Act 49 and Rule 19b– the following methods: 50 4(f)(6) thereunder. Electronic Comments A proposed rule change filed SECURITIES AND EXCHANGE • Use the Commission’s internet pursuant to Rule 19b–4(f)(6) under the COMMISSION Act 51 normally does not become comment form (http://www.sec.gov/ operative for 30 days after the date of its rules/sro.shtml); or [Release No. 34–87182; File No. SR–MRX– • filing. However, Rule 19b–4(f)(6)(iii) 52 Send an email to rule-comments@ 2019–20] permits the Commission to designate a sec.gov. Please include File Number SR– CBOE–2019–063 on the subject line. Self-Regulatory Organizations; Nasdaq shorter time if such action is consistent MRX, LLC; Notice of Filing and with the protection of investors and the Paper Comments Immediate Effectiveness of Proposed public interest. The Exchange has asked • Send paper comments in triplicate Rule Change To Amend Several the Commission to waive the 30-day to Secretary, Securities and Exchange Sections of Options 3 Commission, 100 F Street NE, 47 See supra note 24. October 1, 2019. Washington, DC 20549–1090. 48 See, e.g., Nasdaq ISE, LLC (‘‘ISE’’) Options 3, Pursuant to Section 19(b)(1) 1 of the Section 11(d); and MIAX Rule 515A(b). All submissions should refer to File Securities Exchange Act of 1934 (the 49 15 U.S.C. 78s(b)(3)(A). Number SR–CBOE–2019–063. This file ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 50 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– number should be included on the notice is hereby given that, on 4(f)(6)(iii) requires a self-regulatory organization to subject line if email is used. To help the give the Commission written notice of its intent to September 17, 2019, Nasdaq MRX, LLC file the proposed rule change, along with a brief Commission process and review your (‘‘MRX’’ or ‘‘Exchange’’) filed with the description and text of the proposed rule change, Securities and Exchange Commission at least five business days prior to the date of filing 53 See supra notes 34 and 48. of the proposed rule change, or such shorter time 54 For purposes only of waiving the 30-day 55 as designated by the Commission. The Exchange operative delay, the Commission also has 7 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). 51 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See 2 15 U.S.C. 78a. 52 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 3 17 CFR 240.19b–4.

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(the ‘‘Commission’’) the proposed rule and Display of Quotes.’’ The Exchange set forth in the Rule 602 of Regulation change as described in Items I and II proposes to add a new section (b) to NMS under the Exchange Act orders below, which Items have been prepared Options 3, Section 4 to describe the and quotes will receive an automatic by the Exchange. The Commission is current requirements and conditions for execution at or better than the NBBO publishing this notice to solicit submitting quotes. These requirements based on the best bid or offer in markets comments on the proposed rule change reflect the current System operation whose quotes are not subject to such from interested persons. today. The Exchange proposes to relief. Such determination may be made memorialize the various requirements I. Self-Regulatory Organization’s by way of notification from another for the submission of quotes into the Statement of the Terms of Substance of market that its quotes are not firm or are System for greater transparency. The the Proposed Rule Change unreliable; administrative message from Exchange proposes to provide at new the Option Price Reporting Authority The Exchange proposes to amend Options 3, Section 4(b), ‘‘Quotes are (‘‘OPRA’’); quotes received from another Options 3 at Section 4, ‘‘Acceptance of subject to the following requirements market designated as ‘‘not firm’’ using Quotes and Orders,’’ adopt a new and conditions:’’. The Exchange the appropriate indicator; and/or Section 5, ‘‘Entry and Display of Single- proposes to add at Options 3, Section telephonic or electronic inquiry to, and Leg Orders,’’ Section 7, ‘‘Types of 4(b)(1) that ‘‘Market Makers may verification from, another market that its Order,’’ at Supplementary Material .03 generate and submit option quotations.’’ quotes are not firm. The Exchange shall and Section 22 titled ‘‘Limitations on Current Options 2, Section 5 makes maintain a record of each instance in Orders.’’ The Exchange proposes to clear that Market Makers may submit which another exchange’s quotes are amend Options 3, Section 15, ‘‘Simple quotes.4 The Exchange proposes to Order Risk Protections.’’ excluded from the Exchange’s create a list of rules related to quote calculation of NBBO, and shall notify The text of the proposed rule change submission within this rule for ease of is available on the Exchange’s website at such other exchange that its quotes have reference. The Exchange proposes to been so excluded. Where quotes in http://nasdaqmrx.cchwallstreet.com/, at provide at proposed new Options 3, options on another market or markets the principal office of the Exchange, and Section 4(b)(2) that ‘‘The System shall previously subject to relief from the firm at the Commission’s Public Reference time-stamp a quote which shall quote requirement set forth in the Quote Room. determine the time ranking of the quote Rule are no longer subject to such relief, for purposes of processing the quote.’’ II. Self-Regulatory Organization’s such quotations will be included in the Statement of the Purpose of, and The Exchange notes that all quotes today are time-stamped for purposes of calculation of NBBO for such options. Statutory Basis for, the Proposed Rule Such determination may be made by Change processing quotes. Proposed Options 3, Section 4(b)(3) states that ‘‘Market way of notification from another market In its filing with the Commission, the Makers may enter bids and/or offers in that its quotes are firm; administrative Exchange included statements the form of a two-sided quote. Only one message from OPRA; and/or telephonic concerning the purpose of, and basis for, quote may be submitted at a time for an or electronic inquiry to, and verification the proposed rule change and discussed option series.’’ The Exchange believes from, another market that its quotes are any comments it received on the that this information will provide firm. proposed rule change. The text of these Market Makers with information on MRX’s Options 2, Section 5(d) describes statements may be examined at the submitting a quote. The Exchange notes places specified in Item IV below. The Firm Quote for purposes of Market that bid or offer may be a ‘‘0,’’ however Maker quote submission. The Exchange Exchange has prepared summaries, set a price is required to be entered for both forth in sections A, B, and C below, of proposes to memorialize within its the bid and offer to be entered into the Rules the requirement for the the most significant aspects of such System. Further, the Exchange proposes statements. dissemination of quotations pursuant to at Options 3, Section 4(b)(4) to provide Reg NMS.6 The Exchange is proposing A. Self-Regulatory Organization’s clarity for entering quotes and proposes to add the above rule text to provide Statement of the Purpose of, and to specify, ‘‘The System accepts quotes context as to this restriction for Statutory Basis for, the Proposed Rule for the Opening Process as specified in 5 submitting quotes. The Exchange Change Options 3, Section 8.’’ The Exchange proposes to make clear the manner in believes that this information will bring which quote relief will occur. 1. Purpose greater transparency to the Rulebook Specifically, this proposed rule text The Exchange proposes to amend with respect to limitations for indicates the manner in which a Options 3 at Section 4, ‘‘Acceptance of submitting quotations into the System. Quotes and Orders,’’ adopt a new The Exchange proposes a provision determination for quote relief is made. Section 5, ‘‘Entry and Display of Single- regarding firm quote within proposed Further, the rule notes the Exchange Leg Orders,’’ Section 7, ‘‘Types of Options 3, Section 4(b)(5): shall maintain a record of each instance in which another exchange’s quotes are Order,’’ at Supplementary Material .03 Firm Quote. Where quotes in options excluded from the Exchange’s and Section 22 titled ‘‘Limitations on on another market or markets are subject Orders.’’ The Exchange proposes to to relief from the firm quote requirement calculation of NBBO, and shall notify amend Options 3, Section 15, ‘‘Simple such other exchange that its quotes have Order Risk Protections.’’ Each rule 4 Options 2, Section 5(a) provides, ‘‘Options been so excluded. Also, when relief is change will be discussed in greater Classes. A quotation only may be entered by a no longer available, such quotations will detail below. Market Maker, and only in the options classes to be included in the calculation of NBBO which the market maker is appointed under for such options. The Exchange notes Options 3, Section 4, Acceptance of Options 2, Section 3.’’ Options 2, Section 5(d) provides for Firm Quotes. how the determination is made that Orders and Quotes 5 Options 3, Section 8(c) provides, ‘‘Market Maker relief is no longer available. The Currently, Options 3, Section 4 is Valid Width Quotes and Opening Sweeps received proposed rule text adds greater context titled ‘‘Acceptance of Quotes or starting at 9:25 a.m. Eastern Time are included in to the manner in which Firm Quote the Opening Process. Orders entered at any time Orders.’’ The Exchange proposes to before an option series opens are included in the retitle Options 3, Section 4 as ‘‘Entry Opening Process.’’ 6 17 CFR 242.602.

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relief is applied. This rule text the increments with which options to Firm Quote within new Options 3, represents the current practice. series are to be quoted. Options 3, Section 4(b)(5) and regarding trade- Similarly, the Exchange proposes to Section 15 provides a list of all through and locked and crossed markets provide the following at proposed new protections applicable to quotes that Options 3, Section 4(b)(6). The addition Options 3, Section 4(b)(6): may be rejected. The Exchange believes rule text is consistent with the Act Trade-Through Compliance and that this rule will provide Members because the Exchange is adding detail Locked or Crossed Markets. A quote will with requirements and conditions for regarding the method in which orders not be executed at a price that trades submitting quotations and provide which are firm or locked and crossed through another market or displayed at transparency as to limitations that cause will be handled in the System. The a price that would lock or cross another a quote to be rejected. notifications for Firm Quote are made market. If, at the time of entry, a quote The Exchange proposes to provide at clear with the proposed rule text. The would cause a locked or crossed market Options 3, Section 4(c), ‘‘Quotes will be Exchange believes that it is consistent violation or would cause a trade- displayed in the System as described in with the Act to specify when quotes are through violation, it will either re- Options 3, Section 23.’’ Options 3, firm and the handling of such quotes by priced and displayed at one minimum Section 23, titled ‘‘Data Fees and Trade the System for the protection of price variance above (for offers) or Information’’ provides for the available investors and the general public. The below (for bids) the national best price feeds that Members may access on the clarity is designed to promote just and or immediately cancelled, as configured Exchange. This list represents the equitable principles of trade by by the Member. available data feeds and the content of notifying all participants engaged in those data feeds which are offered today Today, quotations may not be market making of potential outcomes. by the Exchange. executed against at prices that trade- Today, quotations may not be executed As discussed in more detail below, against at prices that trade-through an through an away market as provided for the Exchange proposes to relocate away market. Also, quotations may not in the Options Order Protection and current Options 3, Section 4(b) 7 to new lock or cross an away market. The Locked/Crossed Market Plan which is Options 3, Section 5(a)(5) as described repricing of quotations is consistent described within Options 5. Also, below in greater detail. with the Act because repricing prevents quotations may not lock or cross an The amendment to Options 3, Section the Exchange from disseminating a price away market. By stating this limitation 4 to create a list of all the requirements which locks or crosses another market. in the rule, Market Makers will have and conditions for submitting quotes on The Exchange is required avoiding greater clarity as to this limitation. the Exchange within one rule is displaying a quotation that would lock Further, the Exchange is making clear consistent with the Act because it will or cross a quotation of another market that a quote that would cause a locked provide greater transparency to market center at the time it is displayed. or crossed market violation or would participants of the applicable Preventing inferior prices from cause a trade-through violation will be requirements. Further, this proposal displaying perfects the mechanism of a re-priced. The Exchange would display will make the current rule clear and free and open market and a national the quote at one minimum price understandable for market participants market system, and, in general to protect variation (‘‘MPV’’) above (for offers) or thereby protecting investors and the investors and the public interest. below (for bids) the national best price general public. The Exchange notes that or the quote would be immediately while some of these requirements Options 3, Section 5, Entry and Display cancelled if requested by the Member. appear in other rules, for ease of of Single-Leg Orders Repricing quotes is consistent with the reference the requirements are located Similar to Options 3, Section 4, which Act because the Exchange is not within a single rule with this proposal. describes requirements for quotes, the permitted to lock or cross an away The proposal reflects the Exchange’s Exchange proposes to adopt a new market’s quote or order. The Exchange current practice with respect to quoting Options 3, Section 5, ‘‘Entry and reprices the quotes one MPV inferior to requirements. This proposal will Display of Single-Leg Orders’’ and cause the displayed price to reflect the conform this Rule to other Nasdaq describe the current requirements and available market on the Exchange. affiliated markets filing similar rules.8 conditions for entering orders. The Finally, the Exchange proposes at The Exchange’s proposal is intended to Exchange notes that the requirements Options 3, Section 4(b)(7) to provide, provide greater information with respect provided for within this rule represent ‘‘Quotes submitted to the System are the current practice. The purpose of subject to the following: Minimum 7 Current Options 3, Section 4(b) provides, ‘‘A Options 3, Section 5 is to memorialize increments provided for in Options 3, trade may be nullified if all parties participating in this information within a single rule. Section 3 and risk protections provided the trade agree to the nullification. In such case, one The Exchange proposes to state for in Options 3, Section 15.’’ If the party must notify the Exchange and the Exchange within new Options 3, Section 5(a), promptly will disseminate the nullification to Market Maker does not submit a OPRA.’’ ‘‘Members can enter orders into the quotation compliant with Options 3, 8 See Phlx Rule 1019. Nasdaq BX, Inc. and System, subject to the following Section 3, the quote will not be accepted Nasdaq Stock Market LLC intend to file similar requirements and conditions:’’. The by the System. The Exchange is noting rules. Phlx Rule 1019 is similar to MRX Options 3, Exchange proposes within new Options Section 4 except that Phlx displays and reprices herein the manner in which a quote may quotes differently than MRX for purposes of trade- 3, Section 5(a)(1), ‘‘Members shall be be rejected by the System to provide through. Phlx re-prices to the current national best permitted to transmit to the System market participants with expectations as offer (for bids) or the current national best bid (for multiple orders at a single as well as to the interplay among the various offers) but displays at one minimum price variance multiple price levels.’’ The Exchange’s above (for offers) or below (for bids) the national Exchange Rules. Specifically, if the best price. MRX re-prices and displays quotes at new rule text at Options 3, Section 5(a) Market Maker does not submit a one minimum price variance above (for offers) or proposes to make clear that multiple quotation compliant with Options 3, below (for bids) the national best price, or, in the orders may be transmitted to the System Section 3, the quote will not be accepted alternative if elected by the Member, the quote is as single or multiple price levels. This otherwise immediately cancelled if it would cause by the System because market a locked or crossed market. Further, while Phlx has is the case today. The Exchange participants are required to abide by a Quote Exhaust feature as described in Phlx Rule proposes to memorialize the manner in Options 3, Section 3 which describes 1082, MRX has no similar feature. which orders may be submitted to the

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System to add more detail to its rules. Options 3, Section 5(a)(5) as Today, orders may not be executed at a The Exchange proposes at new Options ‘‘Nullification by Mutual Agreement’’ price that trades through an away 3, Section 5(a)(2), ‘‘The System accepts and add the following sentence to this market. Also, orders may not lock or orders beginning at a time specified by provision, ‘‘It is considered conduct cross an away market. Routable orders the Exchange and communicated on the inconsistent with just and equitable must comply with Trade-Through and Exchange’s website.’’ The System principles of trade for a party to use the Locked and Crossed Markets accepts orders beginning at a time mutual adjustment process to restrictions. Finally, the Exchange specified by the Exchange and circumvent any applicable Exchange proposes to cross-reference communicated on the Exchange’s rule, the Act or any of the rules and Supplementary Material .02 to Options website.9 regulations thereunder.’’ The Exchange 5, Section 2 to describe the manner in The Exchange proposes at new believes that it is consistent with the which orders that are not automatically Options 3, Section 5(a)(3), ‘‘The System Act to permit parties to agree to a executed are handled. Today, Members shall time-stamp an order which shall nullification provided the nullification may specify that a Non-Customer order determine the time ranking of the order does not violate other exchange rules. should instead be cancelled for purposes of processing the order.’’ The Exchange notes that parties may not automatically by the System at the time Further, all orders are time-stamped to agree to a mutual agreement for of receipt. By including this information determine the time ranking of the order purposes that would cause another rule within this rule, the Exchange proposes for purposes of processing the order to be violated. The Exchange believes to provide Members with information within the System. This is also the case that it is consistent with the Act and related to trade-through in one location today and the Exchange is adding this protection of investors and general with cross-references to provide detail to its rules to describe the time- public to make clear the expected transparency. This rule text is similar to stamp. behavior with respect to nullifications. rule text within BX Chapter VI, Section The Exchange proposes to add at new The rule text at proposed Options 3, 7(b)(3)(C). Noting these limitations Options 3, Section 5(a)(4), ‘‘Orders Section 5(b) is relocated from Options 3, within the rule is consistent with the submitted to the System are subject to Section 15(a). The Exchange notes that Act because Members will have greater the following: minimum increments this NBBO Protection applies to orders clarity as to limitations. provided for in Options 3, Section 3, and therefore is being discussed within Finally, the Exchange proposes to add risk protections provided for in Options proposed Options 3, Section 5, which rule text at new Options 3, Section 5(e), 3, Section 15, and the restrictions of any applies to all market participants. In similar to Options 3, Section 4(c) which order type as provided for in Options 3, contrast, Options 3, Section 4, which states, ‘‘Orders will be displayed in the Section 7. Orders may execute at applies to quotes entered by Market System as described in Options 3, multiple prices.’’ All orders must adhere Makers, describes the Firm Quote Section 23.’’ to other rule requirements such as protections and the interplay of NBBO The Exchange’s proposal to adopt a minimum increments, risk protection with respect to quotes. Trade-Through is new Options 3, Section 5, ‘‘Entry and rules and order types. Similar to the rule described in both Options 3, Sections 4 Display of Orders’’ and describe the text for quotes, orders are currently and 5. The Exchange proposes to change current requirements and conditions for subject the minimum increment the word ‘‘rejected’’ to ‘‘cancelled’’ entering orders, similar to proposed requirements in Options 3, Section 3 within new Options 3, Section 5(b) changes to Options 3, Section 4 for and also the risk protections for orders because an order may be accepted by quotes is consistent with the Act which are listed within current Options the System and then immediately because it will provide transparency as 3, Section 15. This rule provides a list cancelled. New Options 3, Section 5(c) to manner in which orders may be of other requirements which may seeks to define the Exchange’s best bid submitted to the System. The impact the execution of an order. and offer as the ‘‘BBO.’’ The Exchange Exchange’s new rule reflects the current Finally, orders may execute at multiple provides, ‘‘The System automatically requirements for submitting orders into prices. executes eligible orders using the the System. Similar to proposed Options The Exchange proposes to add to new Exchange’s displayed best bid and offer 3, Section 4, the Exchange proposes to Options 3, Section 5(a)(5) the following, (‘‘BBO’’).’’ memorialize requirements and ‘‘Nullification by Mutual Agreement. Similar to Options 3, Section 4(b)(6), limitations within one rule for ease of 10 Trades may be nullified if all parties the Exchange proposes to note at new reference. participating in the trade agree to the Options 3, Section 5(d), nullification. In such case, one party 10 Phlx Rule 1096 is similar to MRX Options 3, Trade-Through Compliance and Section 5. With respect to NBBO Protection, unlike must notify the Exchange and the Locked or Crossed Markets. An order Phlx, MRX Orders that are not automatically Exchange promptly will disseminate the will not be executed at a price that executed will be handled as provided in nullification to OPRA. It is considered trades through another market or Supplementary Material .02 to Options 5, Section conduct inconsistent with just and 2; provided that Members may specify that a Non- displayed at a price that would lock or Customer order should instead be accepted and equitable principles of trade for a party cross another market. An order that is immediately cancelled automatically by the System to use the mutual adjustment process to designated by the Member as routable at the time of receipt. Phlx does not have a similar circumvent any applicable Exchange will be routed in compliance with exposure mechanism. Also, with respect to trade- rule, the Act or any of the rules and through, Phlx re-prices an order that would cause applicable Trade-Through and Locked a locked or crossed market violation or would cause regulations thereunder.’’ The rule text of and Crossed Markets restrictions. Orders a trade-through violation to the current national new Options 3, Section 5(a)(5) is that are not automatically executed will best offer (for bids) or the current national best bid relocated from Options 3, Section 4(b) be handled as provided in (for offers) and displayed at one minimum price because it related to orders. The variance above (for offers) or below (for bids) the Supplementary Material .02 to Options national best price. While MRX will not execute an Exchange proposes to caption proposed 5, Section 2; provided that Members order at a price that trades through another market may specify that a Non-Customer order or display an order at a price that would lock or 9 The Exchange’s website makes the timeframes should instead be cancelled cross another market, MRX does not re-price orders. in which orders may be submitted to the System: MRX Members may specify that a Non-Customer https://business.nasdaq.com/media/ automatically by the System at the time order should instead be cancelled automatically by MRXSystemSetting_tcm5044-41351.pdf. of receipt. the System at the time of receipt.

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Options 3, Section 7, Types of Orders Section from ‘‘Limitations on Orders’’ to The Exchange proposes to relocate The Exchange proposes to amend ‘‘Limitations on Order Entry.’’ The Supplementary Material .01 to Options Supplementary Material .03(c) to Exchange believes that this title is more 3, Section 22 to new Section 22(b)(i) and Options 3, Section 7 to add the appropriate for these rules. state ‘‘This Rule’’ instead of ‘‘Options 3, following sentence to Specialized Quote The Exchange proposes to amend Section 22(d).’’ The Exchange notes that the references to ‘‘d’’ should refer to ‘‘b’’ Feed (‘‘SQF’’), ‘‘Market Makers may Options 3, Section 22(b) to amend the and those cross-references are being only enter interest into SQF in their title of the section from ‘‘Principal Transactions’’ to ‘‘Limitations on updated. assigned options series.’’ The Exchange The Exchange proposes to amend the Principal Transactions.’’ This rule notes that today Market Makers may title of Options 3, Section 22(c), from utilize SQF to quote only in their provides for the exposure of orders ‘‘Solicitation Orders’’ to ‘‘Limitation on assigned options series as provided for entered on the Exchange. Specifically, Solicitation Orders.’’ The Exchange in Options 2, Section 3, Appointment of with respect to orders entered when a proposes to add exceptions for Qualified Market Makers. Adding this information Member is acting as agent and principal Contingent Cross Orders pursuant to to the SQF protocol is consistent with on an order, the order must be exposed Options 3, Section 12(c) and (d), the Act because the Exchange desires to for one second prior to execution to Customer Cross Order pursuant to make clear the manner in which Market allow an opportunity for price Options 3, Sections 12(a) or (b) and a Makers may submit quotes through the improvement. The Exchange has filed Complex Order Exposure pursuant to protocol. Market Makers are obligated to for certain functionalities which are Supplementary Material .01 to Options provide liquidity on MRX in the options exceptions to the general standard of 3, Section 14 similar to proposed series to which they are assigned, which one second exposure. These Options 3, Section 22(b). liquidity benefits all market functionalities have provisions which The Exchange proposes to re-letter participants. This amendment is similar describe the manner in which orders current ‘‘d’’ as ‘‘e’’ as the Exchange to language currently within Phlx Rule can be entered into the Facilitation proposes new rule text at proposed 1080(a)(i)(B). Mechanism,11 Price Improvement Options 3, Section 22(d) which 12 Options 3, Section 15 Simple Order Risk Mechanism, Qualified Contingent provides, ‘‘Prior to or after submitting 13 Protections Cross Orders, Customer Cross an order to MRX, a Member cannot Orders 14 and Complex Order inform another Member or any other The Exchange proposes to delete the Exposure.15 The Exchange proposes to third party of any of the terms of the first sentence introductory sentence of separately note that with respect to the order for purposes of violating this Options 3, Section 15 which provides, Solicitation Mechanism,16 that an Rule.’’ Similar rule text is contained in ‘‘Incoming orders that are executable Options Member may electronically The Nasdaq Options Market LLC against orders and quotes in the System submit for execution an order it (‘‘NOM’’) Rules.17 The Exchange will be executed automatically by the represents as agent against solicited believes that adding this language will System subject to the following:’’ and order(s). Options 3, Section 11(d) and better inform participants that Options relocate the rule text to Options 3, (e) provide that an Agency Order must 3, Section 22 prohibits such behavior. Section 5 as described herein as well as be for at least the minimum size The Exchange desires to conform the Section 15(a)(1) and (a)(2), into designated by the Exchange, which may language in this rule to that of affiliated proposed new Options 3, Section 5(b) not be less than 500 standard option Nasdaq markets. The Exchange notes and renumber Options 3, Section 15(b) contracts, and the order be entered into that similar language is currently as new ‘‘a.’’ The Exchange proposes to the Solicited Order Mechanism shall be contained within Supplementary relocate current Options 3, Section designated as all-or-none. Because a Material .02 to Options 3, Section 22 15(b)(1)(C) to Options 3, Section Member may not execute as principal which provides, 15(b)(2)(B). Current Options 3, Section on the order, there must be an Agency It will be a violation of Options 3, 15(b)(1)(D) will be re-lettered as ‘‘C’’. Order which executes against the Section 22(e) for an Electronic Access Options 3, Section 15(b)(1) provides for solicited order; therefore, the Member to cause the execution of an single-leg order risk protections. The Solicitation Mechanism is explicitly order it represents as agent on the Exchange proposes to relocate the Size carved out from proposed Options 3, Exchange by orders it solicited from Limitation protection to Options 3, Section 22(b), whereas the other Members and non-Member broker- Section 15(b)(2) because this section auctions noted are exceptions to the dealers to transact with such orders, applies to order and quote risk general one second rule. The Exchange whether such solicited orders are protections. Size Limitation protection believes it is consistent with the Act and entered into the System directly by the applies to both orders and quotes and is the protection of investors and the Electronic Access Member or by the therefore properly placed within this general public to describe the solicited party (either directly or section. The Exchange proposes to add functionalities available on the through another Member), if the the words ‘‘or quote’’ to the description Exchange into which a Member may Member fails to expose orders on the to make clear that this protection enter principal orders they represent as Exchange as required by Options 3, applies to both orders and quotes. The agent. Options 3, Section 22 is intended Section 22(e). Exchange believes that relocating this to encourage price discovery and price This rule text is repetitive of the rule and adding ‘‘or quotes’’ is improvement of all orders entered on provisions within current Options 3, consistent with the Act because the the Exchange. Section 22(c). The Exchange is clearly Exchange will make clear that the Size providing within Options 3, Section Limitation risk protection would apply 11 22(c) that a Member must expose an to all interest on the Exchange. See Options 3, Section 11(b) and (c). 12 See Options 3, Section 13. order for one second. Further, the Options 3, Section 22, Limitation on 13 See Options 3, Section 12(c) and (d). Member cannot inform another Member Orders 14 See Options 3, Section 12(a) and (b). or third party of the terms of the order, 15 See Supplementary Material .01 to Options 3, The Exchange proposes to amend Section 14. 17 See NOM Rules at Chapter VII, Section 12 at Options 3, Section 22 to retitle the 16 See Options 3, Section 11(d) and (e). Commentary .04.

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which would be a violation of the rule open market and a national market Exchange believes it is consistent with pursuant to proposed Options 3, Section system, and, in general to protect the Act to provide greater detail as to 22(c). The Exchange does not believe investors and the public interest. the current obligations for Market that the rule text within Supplementary Makers with respect to firm quote. The Options 3, Section 4, Acceptance of Material .02 to Options 3, Section 22 addition rule text is consistent with the Quote and Orders provides additional information, but Act because the Exchange is adding rather is repetitive of the prohibitions The Exchange’s proposal to add a new detail regarding the method in which within the rule, as proposed. section (b) to Options 3, Section 4 to orders which are firm or locked and The Exchange proposes to update the describe the current requirements and crossed will be handled in the System. rule citations in Supplementary conditions for submitting quotes are The notifications for Firm Quote are Material .01 to Options 3, Section 22 to consistent with the Act. The Exchange made clear with the proposed rule text. refer to paragraph ‘‘b’’ instead of ‘‘d’’. is memorializing its current practice by The Exchange believes that it is The Exchange proposes to update the reflecting the various requirements and consistent with the Act to specify when rule numbers for the remainder of the limitations for quote entry in one rule quotes are firm and the handling of such Rule and also update the cross-reference for ease of reference and clarity. The quotes by the System for the protection in Supplementary Material .04 to Exchange is also proposing to conform of investors and the general public. The Options 3, Section 22. this rule to similar rules across other clarity is designed to promote just and The Exchange proposes to make clear Nasdaq affiliated exchanges. Making equitable principles of trade by with this Rule that Members may not clear the manner in which Market notifying all participants engaged in gain by failing to expose orders Makers may generate and submit option market making of potential outcomes. submitted on an agency basis. The quotations will provide these market Further, the Exchange’s proposal to add Exchange is promoting transparency of participants with clear guidance within more detail at proposed new Options 3, orders to prevent Members from seeking the rules. The Exchange notes that other Section 4(b)(6) regarding trade-through price discovery and potentially rules already limit the use of quotations and locked and crossed markets is preventing price improvement, which on the Exchange. Options 2, Section 5 consistent with the Act. Today, may result from exposing an order. The makes clear that Market Makers may quotations may not be executed against Exchange’s proposal to amend Options submit quotes.21 Supplementary at prices that trade-through an away 3, Section 22 will conform this Rule to Material .03(c) to Options 3, Section 7 market. Also, quotations may not lock or other Nasdaq affiliated markets filing describes the SQF interface.22 Options cross an away market. By stating this similar rules.18 The Exchange’s proposal 2, Section 4(b)(4) provides the allowable limitation in the rule, Members will to add rule text to describe potential spread for entering bids and offers on have greater clarity as to this limitation. violations of this Rule will bring greater the Exchange. Further, the Exchange is The repricing of quotations is consistent clarity to current limitations that exist making clear that only one quote may be with the Act because repricing prevents when entering orders. The amendments submitted at a time for a series. The the Exchange from disseminating a price to Options 3, Section 22 are consistent Exchange believes that memorializing which locks or crosses another market. with the Act because the Rule provides these restrictions will bring greater The Exchange’s proposal to note that a list of limitations when entering order clarity to the Exchange’s rules. Also, the quotes are subject to minimum on the Exchange. The Exchange believes Exchange believes that making clear that increments provided for in Options 3, the proposed rule will promote just and quotes may be entered as specified by Section 3 and risk protections provided equitable principles of trade and remove the Exchange makes clear that all for in Options 3, Section 15 is consistent impediments to and perfect the Market Makers are subject to uniform with the Act because this rule brings mechanism of a free and open market requirements for quoting. greater transparency to these and a national market system because it The Exchange’s proposal to add a requirements which are already noted in will continue to make clear the provision regarding Firm Quote within the aforementioned rules. Options 2, requirement to expose orders as well as new Options 3, Section 4(b)(5) will Section 5(b)(1) similarly requires a present more specific limitations on bring greater transparency to the Market Maker to quote in the minimum order entry which would violate limitations that Market Makers have increments specified in Options 3, Exchange Rules. Providing Members today with respect to firm quote. MRX’s Section 3. Options 3, Section 15, titled with more information as to the type of Options 2, Section 5(d) describes firm ‘‘Simple Order Risk Protections’’ behavior that is violative with respect to quote for purposes of Market Maker provides a list of all protections order exposure will prevent inadvertent quote submission. The Exchange is applicable to quotes that may cause an violations of Exchange rules and ensure proposing to add rule text to provide order to be rejected. The Exchange that orders are subject to appropriate context as to this restriction for believes that this rule will provide price discovery. submitting quotes. The proposed rule Market Makers with requirements and text makes clear the manner in which 2. Statutory Basis conditions for submitting quotations Firm Quote relief is applied. The and provide transparency as to The Exchange believes that its limitations that cause a quote to be proposal is consistent with Section 6(b) 21 Options 2, Section 5(a) provides, ‘‘Options rejected. of the Act,19 in general, and furthers the Classes. A quotation only may be entered by a The Exchange’s proposal to make objectives of Section 6(b)(5) of the Act,20 market maker, and only in the options classes to which the market maker is appointed under clear that quotes will be displayed in in particular, in that it is designed to Options 2, Section 3.’’ Options 2, Section 5(d) the System as described in Options 3, promote just and equitable principles of provides for Firm Quote. Section 23 is intended to bring greater trade, to remove impediments to and 22 Supplementary Material .03(c) to Options 3, transparency as to the data available on perfect the mechanism of a free and Section 7 provides ‘‘Specialized Quote Feed’’ or ‘‘SQF’’ is an interface that allows market makers to the Exchange. Options 3, Section 23, connect, send, and receive messages related to titled ‘‘Data Fees and Trade 18 Nasdaq BX, Inc. and Nasdaq Stock Market LLC quotes, Immediate-or-Cancel Orders, and auction are also adopting similar rules to Phlx Rule 1097. responses to the Exchange. Market Makers on MRX Information’’ provides for the available 19 15 U.S.C. 78f(b). can only submit quotes and orders through SQF in feeds that Members may access on the 20 15 U.S.C. 78f(b)(5). their assigned options series. Exchange.

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Options 3, Section 5, Entry and Display may not be executed against at prices rule change will bring greater clarity to of Single-Leg Orders that trade-through an away market. the Rulebook. The Exchange is adding The Exchange proposes to retitle Also, orders may not lock or cross an rule text currently contained in a NOM Options 3, Section 5 as ‘‘Entry and away market. Routable orders must rule to describe the required period that 24 Display of Single-Leg Orders’’ to comply with Trade-Through and Locked orders are to be exposed. The describe the current requirements and and Crossed Markets restrictions. By Exchange believes the additional conditions for entering orders, similar to stating this limitation in the rule, language provided context and further proposed changes to Options 3, Section Members will have greater clarity as to explains the exceptions. The Exchange 5 for quotes is consistent with the Act this limitation. The rule also seeks to believes that this rule is consistent with because it will provide transparency as aggregate information relating to trading the Act because with the addition of this to manner in which orders may be –through so as to provide Members with language the rule more specifically submitted to the System. The clear guidelines for submitting orders. describes the limitations to behavior on The Exchange’s proposal to make Exchange’s new rule text memorializes the Exchange with respect to order clear that orders will be displayed in the exposure and the necessity to conduct the current requirements for submitting System as described in Options 3, price discovery. The rule also describes orders into the System. Similar to Section 23 is intended to bring greater behavior that would violate Options 3, proposed Options 3, Section 4, the transparency as to the data available on Section 22 depending on the Exchange proposes to memorialize the Exchange. Options 3, Section 23 relationship of the parties and exchange requirements and limitations within one titled ‘‘Data Fees and Trade of information. Listing all of the rule for ease of reference. Information’’ provides for the available The Exchange’s new rule text at mechanism available on the Exchange feeds that Members may access on the will make clear the manner in which a Options 3, Section 5(a) proposes to Exchange. Member may execute as principal orders make clear that multiple orders may be they represent as agent. Further, transmitted to the System as single or Options 3, Section 7, Types of Orders explicitly excluding the Solicitation multiple price levels to add greater The Exchange’s proposal to amend Mechanism will make clear that the transparency to the Exchange’s rules. Supplementary Material .03(c) to particular auction is not an exception to The Exchange proposes to memorialize Options 3, Section 7 to make clear that the one second rule. The Exchange’s the manner in which orders may be Market Makers may only enter interest proposal to relocate rule text to create submitted to the System to add more into SQF in their assigned options series topic headings and discuss each topic detail to its rules. For example, the time is consistent with the Act. Options 2, discretely will bring greater clarity to the System begins accepting orders, Section 3, Appointment of Market this rule text. The Exchange’s proposal information concerning the time-stamp, Makers, describes the manner in which to add a new Options 3, Section 22(c) which determines the time ranking of Market Makers are appointed in options will make clear that a Member cannot the order, as well as restrictions to order series. This sentence simply provides inform another Member or any other entry. Orders submitted to the System that SQF may only be utilized for third party of any of the terms of the are subject to minimum increments quoting in assigned options series. order in violation of this rule. Options specified in Options 3, Section 3 risk 9, Section 9, titled ‘‘Prevention of the protections provided for in Options 3, Options 3, Section 15, Simple Order Misuse of Material Nonpublic Section 15, and the restrictions of any Risk Protections Information,’’ prohibits such activity order type as provided for in Options 3, The Exchange’s proposal to relocate today. This rule text is contained in Section 7. The Exchange believes that Options 3, Section 15(a) 23 into NOM Rules.25 The Exchange desires to listing the requirements and limitations proposed new Options 3, Section 5(b) is conform the language in this rule to that is consistent with the Act because it will consistent with the Act because this rule of affiliated Nasdaq markets. Finally, provide Members with the information text relates to orders, which topic is updating the cross-references will make necessary to process orders on MRX. In described within new Options 3, clear the manner in which a Member addition, noting that parties may not Section 5. The proposal to relocate Size may enter orders on the Exchange. agree to a mutual agreement for Limitation to make clear that this risk purposes that would cause another rule protection impacts orders and quotes B. Self-Regulatory Organization’s to be violated is consistent with the Act will bring greater transparency to this Statement on Burden on Competition because it provides transparency to risk protection. The Exchange does not believe that Members that certain behavior would Options 3, Section 22, Limitation on the proposed rule change will impose cause a rule violation. The Exchange Orders any burden on competition that is not believes that this provision protects The Exchange’s proposal to amend necessary or appropriate in furtherance investors and the public interest of the purposes of the Act. because it specifically prohibits market Options 3, Section 22 to list all the manipulation within propose new rule. exceptions to the exposure requirement Options 3, Section 4, Acceptance of The Exchange’s proposal to define both is consistent with the Act because this Quote and Orders the Exchange’s best bid and offer as the The Exchange’s proposal to add a new 23 Options 5, Section 15(a) provides, ‘‘NBBO Price ‘‘BBO’’ is consistent with the Act Protection. Orders, other than Intermarket Sweep section (b) to Options 3, Section 4 to because it provides context to the usage Orders (as defined in Options 5, Section 1(h)), will describe the current requirements and of these terms in the Rulebook. The not be automatically executed by the System at conditions for submitting quotes does Exchange notes, within Options 3, prices inferior to the NBBO (as defined in Options not impose an undue burden on 5, Section 1(j)). (1) Orders that are not automatically Section 7, the orders are displayed and executed will be handled as provided in competition because the Exchange is non-displayed. Supplementary Material .02 to Options 5, Section memorializing its current practice by Further, the Exchange’s proposal to 3; provided that Members may specify that a Non- reflecting the various requirements and add more detail at proposed new Customer order should instead be rejected limitations in one rule for ease of automatically by the System at the time of receipt. Options 3, Section 5(d) regarding trade- (2) There is no NBBO price protection with respect through and locked and crossed markets to any other market whose quotations are Non-Firm 24 See Chapter VII, Section 12. is consistent with the Act. Today, orders (as defined in Options 5, Section 1(k)).’’ 25 See Chapter VII, Section 12 at Commentary .04.

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reference and clarity and all Market this rule text. The Exchange’s proposal Paper Comments Makers are subject to the these to add a new Options 3, Section (c) will • requirements today. The Exchange is make clear the type of behavior that Send paper comments in triplicate memorializing its current practice by would cause a Member to violate to Secretary, Securities and Exchange reflecting the various requirements and Options 3, Section 22 when disclosing Commission, 100 F Street NE, limitations for quote entry in one rule information to another Member or any Washington, DC 20549–1090. for ease of reference and clarity. The other third party with respect to the All submissions should refer to File terms of the order. Exchange is also proposing to conform Number SR–MRX–2019–20. This file this rule to similar rules across other C. Self-Regulatory Organization’s number should be included on the Nasdaq affiliated exchanges. Statement on Comments on the subject line if email is used. To help the Options 3, Section 5, Entry and Display Proposed Rule Change Received From Commission process and review your of Orders Members, Participants, or Others comments more efficiently, please use The Exchange’s proposed new No written comments were either only one method. The Commission will Options 3, Section 5 describes the solicited or received. post all comments on the Commission’s internet website (http://www.sec.gov/ requirements and conditions pursuant III. Date of Effectiveness of the to which Members can enter orders into Proposed Rule Change and Timing for rules/sro.shtml). Copies of the the System. The Exchange’s proposal Commission Action submission, all subsequent does not impose an undue burden on amendments, all written statements competition because it applies Because the foregoing proposed rule with respect to the proposed rule uniformly to all Members. This rule change does not: (i) Significantly affect change that are filed with the the protection of investors or the public memorializes the manner in which Commission, and all written interest; (ii) impose any significant orders may be submitted to the System communications relating to the and provides transparency as to manner burden on competition; and (iii) become operative for 30 days from the date on proposed rule change between the in which orders may be submitted to the Commission and any person, other than System. The Exchange is also proposing which it was filed, or such shorter time as the Commission may designate, it has those that may be withheld from the to conform this rule to similar rules public in accordance with the across other Nasdaq affiliated become effective pursuant to Section 26 provisions of 5 U.S.C. 552, will be exchanges. 19(b)(3)(A)(iii) of the Act and subparagraph (f)(6) of Rule 19b–4 available for website viewing and Options 3, Section 7, Types of Order thereunder.27 printing in the Commission’s Public The Exchange’s proposal to amend At any time within 60 days of the Reference Room, 100 F Street NE, Supplementary Material .03(c) to filing of the proposed rule change, the Washington, DC 20549 on official Options 3, Section 7 to make clear that Commission summarily may business days between the hours of Market Makers may only enter interest temporarily suspend such rule change if 10:00 a.m. and 3:00 p.m. Copies of such into SQF in their assigned options series it appears to the Commission that such filing also will be available for does not impose an undue burden on action is necessary or appropriate in the inspection and copying at the principal competition, rather it makes clear that public interest, for the protection of office of the Exchange. All comments SQF may only be utilized for quoting in investors, or otherwise in furtherance of received will be posted without change. assigned options series. This rule is the purposes of the Act. If the Persons submitting comments are applicable to all Market Makers. Commission takes such action, the cautioned that we do not redact or edit Commission shall institute proceedings personal identifying information from Options 3, Section 15, Simple Order to determine whether the proposed rule comment submissions. You should Risk Protections should be approved or disapproved. submit only information that you wish The Exchange’s proposal to relocate IV. Solicitation of Comments to make available publicly. All Options 3, Section 15(a) into proposed submissions should refer to File new Options 3, Section 5(b) does not Interested persons are invited to Number SR–MRX–2019–20, and should impose an undue burden on submit written data, views, and be submitted on or before October 28, competition because this rule text arguments concerning the foregoing, relates to orders, which topic is including whether the proposed rule 2019. described within new Options 3, change is consistent with the Act. For the Commission, by the Division of Section 5. Relocating the Size Comments may be submitted by any of Trading and Markets, pursuant to delegated Limitation protection to another section the following methods: authority.28 of the rule to make clear it applies to Electronic Comments Jill M. Peterson, quotes and orders will bring greater • Use the Commission’s internet Assistant Secretary. transparency to this rule. comment form (http://www.sec.gov/ [FR Doc. 2019–21735 Filed 10–4–19; 8:45 am] Options 3, Section 22, Limitation on rules/sro.shtml); or BILLING CODE 8011–01–P Orders • Send an email to rule-comments@ The Exchange’s proposal to amend sec.gov. Please include File Number SR– Options 3, Section 22 to list all the MRX–2019–20 on the subject line. exceptions to the exposure requirement 26 15 U.S.C. 78s(b)(3)(A)(iii). does not impose an undue burden on 27 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– competition because this rule change 4(f)(6) requires a self-regulatory organization to give will bring greater clarity to the the Commission written notice of its intent to file Rulebook. The Exchange’s proposal to the proposed rule change at least five business days prior to the date of filing of the proposed rule relocate rule text to create topic change, or such shorter time as designated by the headings and discuss each topic Commission. The Exchange has satisfied this discretely will bring greater clarity to requirement. 28 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s (1) Proposed Changes Pertaining to the COMMISSION Statement of the Purpose of, and Investment Requirement, Short-Term/ Statutory Basis for, the Proposed Rule Cash Investments and Non-Mortgage [Release No. 34–87191; File No. SR– NASDAQ–2019–079] Change Government Entity Securities 1. Purpose The Prior Notice stated that under Self-Regulatory Organizations; The normal market conditions, the Fund The Commission has approved the Nasdaq Stock Market LLC; Notice of would seek to achieve its investment listing and trading of Shares under Filing and Immediate Effectiveness of objectives by investing at least 80% of Nasdaq Rule 5735, which governs the Proposed Rule Change Relating to the its net assets (including investment listing and trading of Managed Fund First Trust Low Duration Opportunities borrowings) in the mortgage-related debt Shares on the Exchange.3 The Exchange ETF securities and other mortgage-related believes the proposed rule change instruments described therein reflects no significant issues not October 1, 2019. (collectively referred to as ‘‘Mortgage- previously addressed in the Prior Pursuant to Section 19(b)(1) of the Related Investments’’) (the ‘‘Investment Release. Securities Exchange Act of 1934 Requirement’’). Further, as indicated in (‘‘Act’’),1 and Rule 19b–4 thereunder,2 The Fund is an actively-managed exchange-traded fund (‘‘ETF’’). The the Prior Notice, the Mortgage-Related notice is hereby given that on Investments in which the Fund is September 17, 2019, The Nasdaq Stock Shares are offered by the Trust, which was established as a Massachusetts permitted to invest may be, but are not Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) required to be, issued and/or guaranteed filed with the Securities and Exchange business trust on September 15, 2010. 5 The Trust, which is registered with the by Government Entities. The Exchange Commission (‘‘Commission’’) the is proposing that, going forward, (a) the proposed rule change as described in Commission as an investment company under the Investment Company Act of Investment Requirement would be Items I and II below, which Items have modified to require that the Fund invest been prepared by the Exchange. The 1940 (the ‘‘1940 Act’’), has filed a registration statement on Form N–1A at least 60% (rather than at least 80%) Commission is publishing this notice to of its net assets in Mortgage-Related solicit comments on the proposed rule (‘‘Registration Statement’’) relating to 4 Investments, and (b) the Fund would be change from interested persons. the Fund with the Commission. The Fund is a series of the Trust. The permitted to invest up to 40% of its net I. Self-Regulatory Organization’s Adviser is the investment adviser to the assets (in the aggregate) in Short-Term/ Statement of the Terms of Substance of Fund. First Trust Portfolios L.P. is the Cash Investments (as defined below) the Proposed Rule Change and Non-Mortgage Government Entity principal underwriter and distributor of 6 the Fund’s Shares. The Bank of New Securities (as defined below) (the The Exchange proposes a rule change ‘‘40% Limit’’). The Adviser believes that relating to the First Trust Low Duration York Mellon (‘‘BNY’’) acts as the administrator, custodian, and fund these modifications, by permitting the Opportunities ETF (formerly known as Fund to invest more conservatively, the First Trust Low Duration Mortgage accounting and transfer agent to the Fund. would enhance the Fund’s overall credit Opportunities ETF) (the ‘‘Fund’’) of and liquidity profile, permit it to be First Trust Exchange-Traded Fund IV The purpose of this proposed rule change is to modify certain provisions more defensive in nature in times of (the ‘‘Trust’’), the shares of which have heightened market volatility, and been approved by the Commission for set forth in the Prior Notice that (1) under normal market conditions, (a) facilitate its ability to manage its listing and trading under Nasdaq Rule intended low duration mandate.7 5735 (‘‘Managed Fund Shares’’). The require the Fund to invest at least 80% of its net assets in ‘‘Mortgage-Related Under the heading ‘‘Other shares of the Fund are collectively Investments’’, the Prior Notice stated, referred to herein as the ‘‘Shares.’’ Investments’’ and (b) limit the Fund’s investments in certain debt securities, among other things, that the Fund may The text of the proposed rule change invest up to 20% of its net assets in is available on the Exchange’s website at money market funds and other cash equivalents, and cash (in the aggregate) short-term debt securities, money http://nasdaq.cchwallstreet.com, at the market funds and other cash principal office of the Exchange, and at to 20% of its net assets; (2) pertain to the Fund’s ability to invest in equivalents, or it may hold cash (the the Commission’s Public Reference ‘‘Short-Term/Cash Provision’’). In this Room. securitized products; and (3) pertain to the Fund’s ability to invest in derivative II. Self-Regulatory Organization’s 5 As stated in the Prior Notice, the U.S. instruments. government, its agencies and instrumentalities, and Statement of the Purpose of, and U.S. government-sponsored entities are referred to Statutory Basis for, the Proposed Rule 3 The Commission approved Nasdaq Rule 5735 in collectively as ‘‘Government Entities’’. Change Securities Exchange Act Release No. 57962 (June 6 As a related matter, with respect to footnote 16 13, 2008), 73 FR 35175 (June 20, 2008) (SR– of the Prior Notice and the accompanying sentence In its filing with the Commission, the NASDAQ–2008–039). The Commission previously regarding the Fund’s intention to invest primarily Exchange included statements approved the listing and trading of the Shares of the in investment grade securities, all Short-Term/Cash concerning the purpose of and basis for Fund. See Securities Exchange Act Release Nos. Investments and Non-Mortgage Government Entity 72281 (May 30, 2014), 79 FR 32586 (June 5, 2014) Securities would be considered investment grade the proposed rule change and discussed (the ‘‘Prior Notice’’) and 72607 (July 15, 2014), 79 securities and no Short-Term/Cash Investments or any comments it received on the FR 42386 (July 21, 2014) (the ‘‘Prior Order’’ and, Non-Mortgage Government Entity Securities would proposed rule change. The text of these together with the Prior Notice, the ‘‘Prior Release’’) count toward the 20% limit that applies to statements may be examined at the (SR–NASDAQ–2014–057). securities that are below investment grade and places specified in Item IV below. The 4 See Post-Effective Amendment No. 163 to securities that are unrated and have not been judged Registration Statement on Form N–1A for the Trust, by the Adviser to be of comparable quality to rated Exchange has prepared summaries, set dated February 27, 2019 (File Nos. 333–174332 and investment grade securities, as described in such forth in sections A, B, and C below, of 811–22559). The descriptions of the Fund and the sentence. the most significant aspects of such Shares contained herein are based, in part, on 7 In this regard, the Adviser notes that generally, statements. information in the Registration Statement, as in a rising interest rate environment, mortgage rates amended. First Trust Advisors L.P. (the ‘‘Adviser’’) also increase, which may lead to a decrease in represents that the Adviser will not implement the refinancing activity, causing certain Mortgage- 1 15 U.S.C. 78s(b)(1). changes described herein until the instant proposed Related Investments to extend in duration and 2 17 CFR 240.19b–4. rule change is operative. average life.

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regard, the Prior Notice stated that avoidance of doubt, to the extent a Transactions’’ 16) and, to the extent short-term debt securities (a) are security or other instrument in which required under applicable federal securities from issuers having a long- the Fund invests meets both the securities laws, rules, and term debt rating of at least A by definition of ‘‘Short-Term/Cash interpretations thereof, the Fund will Standard & Poor’s Ratings Services, a Investment’’ and the definition of ‘‘set aside’’ liquid assets or engage in division of The McGraw-Hill ‘‘Mortgage-Related Investment’’,11 such other measures to ‘‘cover’’ open Companies, Inc. (currently known as security or other instrument (a) would positions held in connection with such S&P Global Ratings) (‘‘S&P Ratings’’), be taken into account for purposes of transactions. Further, as described in Moody’s Investors Service, Inc. the Investment Requirement and (b) the Prior Notice under the heading (‘‘Moody’s’’) or Fitch Ratings (‘‘Fitch’’) would not be taken into account for ‘‘Other Investments’’, the Fund may and having a maturity of one year or less purposes of the 40% Limit. invest in exchange-listed U.S. Treasury 17 and (b) are defined to include, without In addition to the Short-Term/Cash futures contracts. The Fund may limitation, the following: (1) Fixed rate Provision, under the heading ‘‘Other invest in such contracts for various and floating rate U.S. government Investments’’, the Prior Notice also purposes, such as to obtain net long or securities, including bills, notes and stated that the Fund may, in addition to short exposures to selected interest rates bonds differing as to maturity and rates its investments in Mortgage-Related or durations or to hedge risks associated of interest, which are either issued or Investments issued or guaranteed by with other Fund investments. In guaranteed by the U.S. Treasury or by Government Entities and in Short-Term conjunction with, and in furtherance of, U.S. government agencies or Government Securities, invest up to the proposed changes described above, instrumentalities (collectively, ‘‘Short- 20% of its net assets in other direct the Exchange is proposing that going Term Government Securities’’); (2) obligations of the U.S. government and forward, to the extent the Fund ‘‘sets certificates of deposit issued against in other securities issued or guaranteed aside’’, earmarks, holds or otherwise funds deposited in a bank or savings by Government Entities.12 In lieu of the takes measures utilizing Short-Term/ and loan association; (3) bankers’ foregoing 20% limit, the Exchange Cash Investments for purposes of acceptances, which are short-term credit proposes that, going forward, the Fund collateralizing or covering long instruments used to finance commercial would be permitted, in accordance with positions held in connection with transactions; (4) repurchase mortgage dollar rolls and/or TBA agreements,8 which involve purchases the 40% Limit, to invest up to 40% of its net assets in Non-Mortgage Transactions and/or other forward- of debt securities; (5) bank time 13 settling Mortgage-Related Investments deposits, which are monies kept on Government Entity Securities. For the avoidance of doubt, any Mortgage- transactions (i.e., purchase transactions deposit with banks or savings and loan involving Mortgage-Related Investments associations for a stated period of time Related Investments issued and/or guaranteed by Government Entities 14 (a) that settle on a date that is later than the at a fixed rate of interest; and (6) trade date/purchase date) and/or commercial paper,9 which is short-term would be taken into account for purposes of the Investment Requirement exchange-listed U.S. Treasury futures unsecured promissory notes (the short- contracts, such Short-Term/Cash term debt securities in which the Fund and (b) would not be taken into account for purposes of the 40% Limit. Investments would be counted toward may currently invest that are listed in the Investment Requirement rather than the preceding clauses (1) through (6) are As described in the Prior Notice the 40% Limit. As such, the Fund referred to collectively as ‘‘Current under the heading ‘‘Principal would be able to maximize its ability to Short-Term Debt Securities’’). The Investments’’, the Fund may invest in 15 use Short-Term/Cash Investments Exchange proposes that going forward, mortgage dollar rolls and to-be- included within the 40% Limit for other in lieu of the Short-Term/Cash announced transactions (‘‘TBA purposes (e.g., providing income and Provision, the Fund would be liquidity, and preserving capital for permitted, in accordance with the 40% avoid inconsistency, the sentence in the Prior temporary or defensive purposes). Limit, to invest up to 40% of its net Notice under the heading ‘‘Other Investments’’ stating that the ‘‘use of temporary investments will The Exchange does not believe that assets (in the aggregate) in ‘‘Short-Term/ the proposed changes relating to the Cash Investments’’, which would not be a part of a principal investment strategy of the Fund’’ would be deleted. Investment Requirement, the Short- include only the following: (a) Current 11 Mortgage-Related Investments are not required Term/Cash Provision and the Fund’s Short-Term Debt Securities and money to have maturities that are greater than or less than ability to invest in Non-Mortgage market funds; (b) to the extent not any specific term. Government Entity Securities raise included in (a), any cash equivalents 12 As noted in the Prior Notice (see footnote 20 concerns. Rather, the Exchange believes that are included in Nasdaq Rule thereof and the accompanying text), such investments may include, without limitation, U.S. that such proposed changes, by 5735(b)(1)(C) (‘‘Generic Cash government inflation-indexed securities. expanding the Fund’s ability to invest in Equivalents’’); and (c) cash.10 For the 13 For purposes of this filing, direct obligations of the U.S. government and other securities issued Short-Term/Cash Investments and Non- Mortgage Government Entity Securities 8 The Prior Notice stated that the Fund intends to and/or guaranteed by Government Entities that, in enter into repurchase agreements only with each case, are neither Mortgage-Related Investments financial institutions and dealers believed by the nor Short-Term/Cash Investments are collectively 16 As described in the Prior Notice, a TBA Adviser to present minimal credit risks in referred to as ‘‘Non-Mortgage Government Entity Transaction is a method of trading mortgage-backed accordance with criteria approved by the Board of Securities’’. securities. TBA Transactions generally are Trustees of the Trust. 14 These would include, without limitation, conducted in accordance with widely-accepted 9 The Prior Notice stated that the Fund may only Ginnie Mae securities and Fannie Mae and Freddie guidelines, which establish commonly observed invest in commercial paper rated A–1 or higher by Mac pass-through mortgage certificates, as terms and conditions for execution, settlement and S&P Ratings, Prime-1 or higher by Moody’s, or F1 referenced in footnote 10 and the accompanying delivery. In a TBA Transaction, the buyer and the or higher by Fitch. text of the Prior Notice. seller agree on general trade parameters such as 10 To conform, the provision in the Prior Notice 15 As described in the Prior Notice, in a mortgage agency, settlement date, par amount and price. The under the heading ‘‘Other Investments’’ permitting dollar roll, the Fund will sell (or buy) mortgage- actual pools delivered generally are determined two the Fund to invest ‘‘up to 20% of its net assets in backed securities for delivery on a specified date days prior to the settlement date. See footnote 14 the securities of other investment companies, and simultaneously contract to repurchase (or sell) of the Prior Notice and accompanying text. including money market funds . . . and other substantially similar (same type, coupon and 17 See infra with respect to proposed changes that ETFs’’ would be revised to exclude money market maturity) securities on a future date. See footnote would expand the Fund’s ability to hold derivative funds from such 20% limitation. In addition, to 13 of the Prior Notice and accompanying text. instruments.

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(and therefore, its ability to invest more Prior Notice, the Fund is required to value of its net assets in exchange-listed conservatively), would enhance the limit its investments in Mortgage- options on U.S. Treasury securities, Fund’s overall credit and liquidity Related Investments that are not exchange-listed options on U.S. profile, permit it to be more defensive Government Securities to 20% of its net Treasury futures contracts and in nature in times of heightened market assets (the ‘‘20% Non-Government exchange-listed U.S. Treasury futures volatility, and facilitate its ability to Limit’’). Going forward, the Exchange is contracts (the ‘‘Derivatives manage its intended low duration proposing that the 20% Non- Provision’’).23 Going forward, the mandate. In this regard, the Exchange Government Limit would be modified to Exchange is proposing that to provide notes that Short-Term/Cash Investments provide that the Fund may invest up to the Fund with additional flexibility, the are generally short-term, liquid and of 20% of its net assets, in the aggregate, Derivatives Provision would be deleted high credit quality,18 and that Non- in (a) Mortgage-Related Investments that and instead, the Fund would be Mortgage Government Entity Securities are not Government Securities and (b) are generally liquid and of high credit ABS; however, the Fund’s investments permitted to hold listed and over-the- quality,19 making them less susceptible in ABS would not exceed 5% of the counter (‘‘OTC’’) derivatives to the than other asset classes both to price Fund’s net assets.20 extent permitted by the generic listing manipulation and volatility. The Exchange does not believe that provisions of Nasdaq Rules the proposed changes raise concerns (2) Proposed Changes to Provisions given that they would not increase the Pertaining to Investments in Securitized percentage of the Fund’s net assets Products restricted by the 20% Non-Government To provide the Fund with additional Limit. Rather, a small portion of the flexibility in seeking exposure to the Fund’s assets could be allocated to ABS securitized product marketplace, the in order to give the Fund more Exchange is proposing that, going diversified exposure to the securitized forward, the Fund would be permitted product marketplace, thereby to invest up to 5% of its net assets in potentially mitigating risk and asset-backed securities (other than permitting the Fund to benefit from Mortgage-Related Investments) that are relative value opportunities within the not Government Securities (such asset- securitized product marketplace.21 backed securities are referred to as Further, the Exchange notes that the ‘‘ABS’’). Currently, as described in the Fund would comply with Nasdaq Rule 5735(b)(1)(B)(v), which permits an 18 In addition, under Nasdaq Rule actively-managed ETF to invest in non- 5735(b)(1)(C)(i), there is no limitation on the agency, non-government-sponsored percentage of a portfolio invested in cash and Generic Cash Equivalents. Investments in Short- entity (‘‘non-GSE’’) and privately-issued Term/Cash Investments that are not Generic Cash mortgage-related and other asset-backed Equivalents may not comply with the fixed income securities (collectively, ‘‘Private ABS/ generic listing provisions of Nasdaq Rule 5735(b)(1)(B) (collectively, the ‘‘Fixed Income MBS’’), provided that such components GLS’’). However, the Exchange notes that the do not account, in the aggregate, for Commission has previously approved proposed rule more than 20% of the weight of the changes to permit investments in high-quality portfolio.22 short-term fixed income securities with maturities of up to 397 days that would not necessarily (3) Proposed Changes to Provisions comply with the applicable requirements of the Pertaining to Investments in Derivative generic listing provisions for fixed income instruments of NYSE Arca, Inc. and Cboe BZX Instruments Exchange, Inc. See, e.g., Securities Exchange Act Under the heading ‘‘Other Release Nos. 86698 (August 16, 2019), 84 FR 43823 (August 22, 2019) (SR–NYSEArca–2018–83) Investments’’, the Prior Notice provided (iShares Bloomberg Roll Select Commodity Strategy that under normal market conditions, ETF); and 83014 (April 9, 2018), 83 FR 16150 (April the Fund may invest up to 20% of the 13, 2018) (SR–CboeBZX–2017–023) (iShares Gold Strategy ETF). 20 As a related matter, as a conforming change, the 19 In addition, the Exchange notes that under the Prior Order, the Fund may invest without limitation sentence set forth in footnote 11 of the Prior Notice in securities issued and/or guaranteed by would be modified to provide that (a) investments Government Entities (referred to herein as in Mortgage-Related Investments that are not ‘‘Government Securities’’) if they are also Mortgage- Government Securities would be included for Related Investments. In conjunction with the purposes of the Investment Requirement and (b) proposed changes to the Investment Requirement ABS are not Mortgage-Related Investments and, described above, the proposed changes relating to therefore, would not be included for purposes of the Non-Mortgage Government Entity Securities would Investment Requirement. merely permit the Fund to invest to a greater extent 21 For the avoidance of doubt, however, the Fund in Government Securities that are not mortgage- could continue to invest up to 20% of its net assets related. In addition, the Exchange notes that Nasdaq in Mortgage-Related Investments that are not 23 The Derivatives Provision also included Rule 5735(b)(1)(B)(ii), which generally requires that Government Securities so long as such investments, footnote 18 of the Prior Notice which stated, among no component fixed income security represent more when aggregated with investments in ABS, do not other things, that the Fund would limit its direct than 30% of the fixed income weight of a portfolio exceed the 20% Non-Government Limit. Except as investments in futures and options on futures to the permitted by the 20% Non-Government Limit, the and that the five most heavily weighted component extent necessary for the Adviser to claim the fixed income securities in a portfolio not in the Fund’s investments in Mortgage-Related exclusion from regulation as a ‘‘commodity pool aggregate account for more than 65% of the fixed Investments would consist of investments in income weight of the portfolio, includes exclusions Mortgage-Related Investments that are Government operator’’ with respect to the Fund under Rule 4.5 for ‘‘Treasury Securities’’ and ‘‘GSE Securities’’ as Securities. promulgated by the Commodity Futures Trading defined in Nasdaq Rule 5735(b)(1)(B), which 22 See Securities Exchange Act Release No. 86399 Commission (‘‘CFTC’’), as such rule may be indicates that significant investments in such (July 17, 2019), 84 FR 35446 (July 23, 2019) (SR– amended from time to time, and described certain securities do not raise manipulation concerns. NASDAQ–2019–054). related tests.

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5735(b)(1)(D),24 (E) 25 and (F) 26 Fund could currently mitigate and limit which can be accessed by Authorized (collectively, the ‘‘Derivatives GLS’’). exposure to the U.S. Treasury curve Participants (as defined in the Prior The Adviser believes that expanding the through investing in permitted Notice) and other investors. Registered listed derivatives in which the Fund derivatives, it could not utilize open-end management investment may invest and permitting it to invest in derivatives to target, manage and companies (other than ETFs) would OTC derivatives will help the Fund mitigate various other risks. The continue to be generally priced once more effectively target, manage and Exchange does not believe that the each business day and such prices mitigate risk.27 For example, while the proposed changes to the Derivatives would continue to be available through Provision should raise concerns since the applicable fund’s website or major 24 Under Nasdaq Rule 5735(b)(1)(D), a portfolio expanding the Fund’s ability to utilize market data vendors. may hold listed derivatives, including futures, derivatives is expected to enhance the options and swaps on commodities, currencies and Surveillance financial instruments (e.g., stocks, fixed income, Fund’s ability to target, manage and interest rates, and volatility) or a basket or index of mitigate risk and would be consistent The Exchange represents that trading any of the foregoing. There shall be no limitation with the parameters of the Derivatives in the Shares would be subject to the to the percentage of the portfolio invested in such GLS. Further, as stated in the Prior existing trading surveillances, holdings, subject to the following requirements: (i) administered by both Nasdaq and also In the aggregate, at least 90% of the weight of such Notice, the Fund’s investments in holdings invested in futures, exchange-traded derivative instruments would be FINRA, on behalf of the Exchange, options, and listed swaps shall, on both an initial consistent with the Fund’s investment which are designed to detect violations and continuing basis, consist of futures, options, objectives and the 1940 Act and would of Exchange rules and applicable federal and swaps for which the Exchange may obtain securities laws.28 The Exchange information via the Intermarket Surveillance Group not be used to seek to achieve a multiple (‘‘ISG’’), from other members or affiliates of ISG, or or inverse multiple of an index. represents that these procedures are for which the principal market is a market with adequate to properly monitor Exchange which the Exchange has a comprehensive Availability of Information trading of the Shares in all trading surveillance sharing agreement. (For purposes of On each business day, before sessions and to deter and detect calculating this limitation (referred to herein as the ‘‘90% Requirement’’), a portfolio’s investment in commencement of trading of Shares in violations of Exchange rules and listed derivatives will be calculated as the aggregate the Regular Market Session on the applicable federal securities laws. gross notional value of the listed derivatives.); and Exchange, the Fund would continue to The surveillances referred to above (ii) the aggregate gross notional value of listed disclose on its website the Disclosed generally focus on detecting securities derivatives based on any five or fewer underlying reference assets shall not exceed 65% of the weight Portfolio (as defined in Nasdaq Rule trading outside their normal patterns, of the portfolio (including gross notional 5735(c)(2)) held by the Fund that will which could be indicative of exposures), and the aggregate gross notional value form the basis for the Fund’s calculation manipulative or other violative activity. of listed derivatives based on any single underlying of net asset value (‘‘NAV’’) at the end of When such situations are detected, reference asset shall not exceed 30% of the weight of the portfolio (including gross notional the business day in compliance with surveillance analysis follows and exposures). In light of the 90% Requirement, the Nasdaq Rule 5735(c)(2). The Fund’s investigations are opened, where provision set forth in footnote 17 of the Prior Notice disclosure of derivative positions in the appropriate, to review the behavior of and repeated under the heading ‘‘Surveillance’’ in Disclosed Portfolio would continue to all relevant parties for all relevant the Prior Notice (requiring that at least 90% of the Fund’s net assets that are invested in exchange- include information that market trading violations. traded equity securities and exchange-traded participants can use to value these FINRA, on behalf of the Exchange, or derivatives (in the aggregate) will be invested in positions intraday. the Exchange, or both, would investments that trade in markets that are members Intraday executable price information communicate as needed, and may of ISG or are parties to a comprehensive obtain trading information, regarding surveillance sharing agreement with the Exchange) for the Short-Term/Cash Investments, would be deleted. The Exchange notes that the only Non-Mortgage Government Entity trading in the Shares and the exchange- exchange-traded equity securities in which the Securities, ABS, other fixed income listed instruments held by the Fund Fund is permitted to invest are ETFs that are listed securities, exchange-traded equity with other markets and other entities and traded in the U.S. on registered exchanges. See that are members of ISG.29 The footnote 21 of the Prior Notice and accompanying securities, and exchange-traded and text. OTC derivatives held by the Fund Exchange may also obtain information 25 Nasdaq Rule 5735(b)(1)(E) provides that a would be available from major broker- regarding trading in the Shares and the portfolio may hold OTC derivatives, including dealer firms and/or major market data exchange-listed instruments held by the forwards, options, and swaps on commodities, vendors. Additionally, the Trade Fund from markets and other entities currencies and financial instruments (e.g., stocks, fixed income, interest rates, and volatility) or a Reporting and Compliance Engine with which the Exchange has in place basket or index of any of the foregoing; however, (‘‘TRACE’’) of the Financial Industry a comprehensive surveillance sharing on both an initial and continuing basis, no more Regulatory Authority (‘‘FINRA’’) would agreement. Moreover, FINRA, on behalf than 20% of the assets in the portfolio may be continue to be a source of price of the Exchange, would be able to invested in OTC derivatives. For purposes of access, as needed, trade information for calculating this limitation, a portfolio’s investment information for the Mortgage-Related in OTC derivatives will be calculated as the Investments held by the Fund. For certain fixed income securities held by aggregate gross notional value of the OTC exchange-traded assets, including listed the Fund reported to FINRA’s TRACE. derivatives. derivatives, intraday price information In addition, the Exchange also has a 26 Nasdaq Rule 5735(b)(1)(F) provides that to the would continue to be available directly general policy prohibiting the extent that listed or OTC derivatives are used to distribution of material, non-public gain exposure to individual equities and/or fixed from the applicable listing venues. income securities, or to indexes of equities and/or Intraday price information for the fixed information by its employees. indexes of fixed income securities, the aggregate income securities held by the Fund gross notional value of such exposure shall meet the would also continue to be generally 28 FINRA surveils trading on the Exchange criteria set forth in Nasdaq Rules 5735(b)(1)(A) and pursuant to a regulatory services agreement. The 5735(b)(1)(B), respectively. available through subscription services Exchange is responsible for FINRA’s performance 27 The Prior Notice indicated that the Fund’s use under this regulatory services agreement. of derivative transactions may allow it to obtain net foregoing purposes. In this regard, among other 29 For a list of the current members of ISG, see long or short exposures to selected interest rates or things, the Fund may use listed and OTC www.isgportal.org. The Exchange notes that not all durations, and that derivatives may also be used to derivatives to gain exposure to individual equities components of the Disclosed Portfolio may trade on hedge risks associated with the Fund’s other and/or fixed income securities, or to indexes of markets that are members of ISG or with which the portfolio investments. For the avoidance of doubt, equities and/or indexes of fixed income securities Exchange has in place a comprehensive the Fund’s use of derivatives is not limited to the in accordance with Nasdaq Rule 5735(b)(1)(F). surveillance sharing agreement.

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Continued Listing Representations Requirement, Short-Term/Cash Fund’s overall credit and liquidity All statements and representations Investments and Non-Mortgage profile, permit it to be more defensive made in this filing regarding (a) the Government Entity Securities; (2) the in nature in times of heightened market description of the portfolio or reference Fund’s ability to invest in securitized volatility, and facilitate its ability to assets, (b) limitations on portfolio products; and (3) the Fund’s ability to manage its intended low duration holdings or reference assets, (c) invest in derivative instruments. Except mandate. In this regard, the Exchange dissemination and availability of the as provided herein, the Prior Notice notes that Short-Term/Cash Investments Continued Listing Representations are generally short-term, liquid and of reference asset or intraday indicative 31 values, or (d) the applicability of would remain unchanged. Except for high credit quality, and that Non- Exchange listing rules shall constitute the Fixed Income GLS, the Fund and the Mortgage Government Entity Securities Shares would comply with the are generally liquid and of high credit continued listing requirements for 32 listing the Shares on the Exchange. In requirements applicable to Managed quality, making them less susceptible addition, the issuer has represented to Fund Shares under Nasdaq Rule 5735. than other asset classes both to price The Exchange believes that the the Exchange that it will advise the manipulation and volatility. proposed rule change is designed to With respect to the proposed changes Exchange of any failure by the Fund to prevent fraudulent and manipulative to permit the Fund to invest up to 5% comply with the continued listing acts and practices in that the Shares of its net assets in ABS, the Exchange requirements, and, pursuant to its would continue to be listed and traded does not believe that such changes raise obligations under Section 19(g)(1) of the on the Exchange pursuant to Nasdaq concerns given that they would not Act, the Exchange will monitor for Rule 5735. The Exchange represents that increase the percentage of the Fund’s compliance with the continued listing trading in the Shares would continue to net assets restricted by the 20% Non- requirements. If the Fund is not in be subject to the existing trading Government Limit. Rather, a small compliance with the applicable listing surveillances, administered by both portion of the Fund’s assets could be requirements, the Exchange will Nasdaq and also FINRA, on behalf of the allocated to ABS in order to give the commence delisting procedures under Exchange, which are designed to detect Fund more diversified exposure to the the Nasdaq 5800 Series. violations of Exchange rules and securitized product marketplace, The Adviser represents that there applicable federal securities laws. thereby potentially mitigating risk and would be no change to the Fund’s FINRA, on behalf of the Exchange, or permitting the Fund to benefit from investment objectives. Except as the Exchange, or both, would relative value opportunities within the provided herein, all representations communicate as needed, and may securitized product marketplace. made in the Prior Notice regarding (a) obtain trading information, regarding Further, taking into account the the description of the portfolio or trading in the Shares and the exchange- proposed changes, the 20% Non- reference assets, (b) limitations on listed instruments held by the Fund Government Limit would be consistent portfolio holdings or reference assets, (c) with other markets and other entities with the fixed income generic listing dissemination and availability of the that are members of ISG. The Exchange provisions of Nasdaq Rule reference asset or intraday indicative may also obtain information regarding 5735(b)(1)(B)(v), as recently modified.33 values, or (d) the applicability of trading in the Shares and the exchange- With respect to the proposed changes Exchange listing rules (collectively, listed instruments held by the Fund relating to the Derivatives Provision, the ‘‘Prior Notice Continued Listing from markets and other entities with Exchange does not believe that such Representations’’) would remain which the Exchange has in place a changes raise concerns since expanding unchanged. Except for the Fixed Income comprehensive surveillance sharing the Fund’s ability to utilize derivatives GLS, the Fund and the Shares would agreement. Moreover, FINRA, on behalf is expected to enhance the Fund’s comply with the requirements of the Exchange, would be able to ability to target, manage and mitigate applicable to Managed Fund Shares access, as needed, trade information for risk and would be consistent with the under Nasdaq Rule 5735.30 certain fixed income securities held by parameters of the Derivatives GLS. 2. Statutory Basis the Fund reported to FINRA’s TRACE. Further, as stated in the Prior Notice, The proposed rule change is designed the Fund’s investments in derivative Nasdaq believes that the proposal is to promote just and equitable principles instruments would be consistent with consistent with Section 6(b) of the Act of trade and to protect investors and the the Fund’s investment objectives and in general and Section 6(b)(5) of the Act, public interest in that the Adviser the 1940 Act and would not be used to in particular, in that it is designed to represents that the primary purpose of seek to achieve a multiple or inverse prevent fraudulent and manipulative the proposed changes is to provide it multiple of an index. acts and practices, to promote just and with greater flexibility in meeting the Based on the foregoing, the Exchange equitable principles of trade, to foster Fund’s investment objectives by does not believe that the proposed cooperation and coordination with modifying certain provisions in the changes would adversely affect persons engaged in facilitating Prior Notice. investors or Exchange trading. transactions in securities, and to remove With respect to the proposed changes In addition, a large amount of impediments to and perfect the relating to the Investment Requirement, information would continue to be mechanism of a free and open market the Short-Term/Cash Provision and publicly available regarding the Fund and, in general, to protect investors and Non-Mortgage Government Entity the public interest. The purpose of the Securities, the Exchange does not 31 As stated above, the Current Short-Term Debt proposed rule change is to modify believe that such changes raise Securities are securities from issuers having a long- certain provisions included in the Prior term debt rating of at least A by S&P Ratings, concerns. Rather, the Exchange believes Moody’s or Fitch and having a maturity of one year Notice pertaining to (1) the Investment that the proposed changes, by or less. The other Short-Term/Cash Investments expanding the Fund’s ability to invest in would consist of money market funds, cash, and, 30 Although the Fund may not comply with the Short-Term/Cash Investments and Non- to the extent not previously referenced in this fixed income generic listing provisions of Nasdaq footnote, Generic Cash Equivalents. See also Rule 5735(b)(1)(B)(i)–(iv), it will comply with the Mortgage Government Entity Securities footnote 18, supra. fixed income generic listing provisions of Nasdaq (and therefore, its ability to invest more 32 See supra footnote 19. Rule 5735(b)(1)(B)(v). conservatively), would enhance the 33 See supra footnote 22.

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and the Shares, thereby promoting consistent with the requirements of Comments may be submitted by any of market transparency. For example, the Section 6(b)(5) of the Act. the following methods: Intraday Indicative Value (as defined in B. Self-Regulatory Organization’s Nasdaq Rule 5735(c)(3)), available on Electronic Comments Statement on Burden on Competition the Nasdaq Information LLC proprietary • Use the Commission’s internet The Exchange does not believe that index data service, would continue to be comment form (http://www.sec.gov/ the proposed rule change will impose widely disseminated and broadly rules/sro.shtml); or any burden on competition that is not displayed at least every 15 seconds • during the Regular Market Session. On necessary or appropriate in furtherance Send an email to rule-comments@ each business day, before of the purposes of the Act. The sec.gov. Please include File Number SR– commencement of trading in Shares in Exchange believes that the proposed NASDAQ–2019–079 on the subject line. the Regular Market Session on the rule change would provide the Adviser Paper Comments Exchange, the Fund would continue to with additional flexibility, thereby disclose on its website the Disclosed helping the Fund to achieve its • Send paper comments in triplicate Portfolio that will form the basis for the investment objectives. As such, it is to Secretary, Securities and Exchange Fund’s calculation of NAV at the end of expected that the Fund may become a Commission, 100 F Street NE, the business day. Intraday executable more attractive investment product in Washington, DC 20549–1090. price information for the Short-Term/ the marketplace and, therefore, that the All submissions should refer to File Cash Investments, Non-Mortgage proposed rule change would not impose Number SR–NASDAQ–2019–079. This Government Entity Securities, ABS, any burden on competition that is not other fixed income securities, exchange- necessary or appropriate in furtherance file number should be included on the traded equity securities, and exchange- of the purposes of the Act. subject line if email is used. To help the traded and OTC derivatives held by the Commission process and review your C. Self-Regulatory Organization’s comments more efficiently, please use Fund would be available from major Statement on Comments on the broker-dealer firms and/or major market only one method. The Commission will Proposed Rule Change Received From post all comments on the Commission’s data vendors. Additionally, FINRA’s Members, Participants, or Others TRACE would continue to be a source internet website (http://www.sec.gov/ of price information for the Mortgage- No written comments were either rules/sro.shtml). Copies of the Related Investments held by the Fund. solicited or received. submission, all subsequent amendments, all written statements For exchange-traded assets, including III. Date of Effectiveness of the with respect to the proposed rule listed derivatives, intraday price Proposed Rule Change and Timing for change that are filed with the information would continue to be Commission Action available directly from the applicable Commission, and all written Because the foregoing proposed rule listing venues. Intraday price communications relating to the change does not: (i) Significantly affect information for fixed income securities proposed rule change between the the protection of investors or the public held by the Fund would also continue Commission and any person, other than interest; (ii) impose any significant to be generally available through those that may be withheld from the burden on competition; and (iii) become subscription services which can be public in accordance with the operative for 30 days from the date on accessed by Authorized Participants and provisions of 5 U.S.C. 552, will be which it was filed, or such shorter time other investors. Registered open-end available for website viewing and as the Commission may designate, it has management investment companies printing in the Commission’s Public become effective pursuant to Section (other than ETFs) would continue to be Reference Room, 100 F Street NE, 19(b)(3)(A)(iii) of the Act 34 and generally priced once each business day Washington, DC 20549 on official subparagraph (f)(6) of Rule 19b–4 and such prices would continue to be business days between the hours of thereunder.35 available through the applicable fund’s 10:00 a.m. and 3:00 p.m. Copies of the At any time within 60 days of the filing also will be available for website or major market data vendors. filing of the proposed rule change, the The proposed rule change is designed inspection and copying at the principal Commission summarily may to perfect the mechanism of a free and office of the Exchange. All comments temporarily suspend such rule change if open market and, in general, to protect received will be posted without change. it appears to the Commission that such investors and the public interest in that Persons submitting comments are action is necessary or appropriate in the the additional flexibility to be afforded cautioned that we do not redact or edit public interest, for the protection of to the Adviser under the proposed rule personal identifying information from investors, or otherwise in furtherance of change is intended to enhance its ability comment submissions. You should the purposes of the Act. to meet the Fund’s investment submit only information that you wish objectives, to the benefit of investors. In IV. Solicitation of Comments to make available publicly. All addition, consistent with the Prior Interested persons are invited to submissions should refer to File Notice, NAV per Share would continue submit written data, views, and Number SR–NASDAQ–2019–079 and to be calculated daily, and NAV and the arguments concerning the foregoing, should be submitted on or before Disclosed Portfolio would continue to including whether the proposed rule October 28, 2019. be made available to all market change is consistent with the Act. For the Commission, by the Division of participants at the same time. Further, Trading and Markets, pursuant to delegated investors would continue to have ready 34 15 U.S.C. 78s(b)(3)(A)(iii). authority.36 access to information regarding the 35 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Jill M. Peterson, Fund’s holdings, the Intraday Indicative 4(f)(6) requires a self-regulatory organization to give Assistant Secretary. Value, the Disclosed Portfolio, and the Commission written notice of its intent to file quotation and last sale information for the proposed rule change at least five business days [FR Doc. 2019–21726 Filed 10–4–19; 8:45 am] prior to the date of filing of the proposed rule BILLING CODE 8011–01–P the Shares. change, or such shorter time as designated by the For the above reasons, Nasdaq Commission. The Exchange has satisfied this believes the proposed rule change is requirement. 36 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE currently effective Rulebook (‘‘current (formerly named CBOE Holdings, Inc.) COMMISSION Rulebook’’) to proposed Chapter 14 of (‘‘Cboe Global’’), which is also the the shell structure for the Exchange’s parent company of Cboe C2 Exchange, [Release No. 34–87183; File No. SR–CBOE– Rulebook that will become effective 2019–065] Inc. (‘‘C2’’), acquired Cboe EDGA upon the migration of the Exchange’s Exchange, Inc. (‘‘EDGA’’), Cboe EDGX Self-Regulatory Organizations; Cboe trading platform to the same system Exchange, Inc. (‘‘EDGX’’ or ‘‘EDGX Exchange, Inc.; Notice of Filing and used by the Cboe Affiliated Exchanges Options’’), Cboe BZX Exchange, Inc. Immediate Effectiveness of a Proposed (as defined below) (‘‘shell Rulebook’’). (‘‘BZX’’ or ‘‘BZX Options’’), and Cboe Rule Change to Move the Rules in The text of the proposed rule change is BYX Exchange, Inc. (‘‘BYX’’ and, provided in Exhibit 5. Chapter XVIII, Which Governs together with Cboe Options, C2, EDGX, The text of the proposed rule change Exchange Arbitrations, of the Currently EDGA, and BZX, the ‘‘Cboe Affiliated Effective Rulebook to Proposed is also available on the Exchange’s website (http://www.cboe.com/ Exchanges’’). The Cboe Affiliated Chapter 14 of the Shell Structure for Exchanges are working to align certain the Exchange’s Rulebook AboutCBOE/ CBOELegalRegulatoryHome.aspx), at system functionality, retaining only October 1, 2019. the Exchange’s Office of the Secretary, intended differences, between the Cboe Pursuant to Section 19(b)(1) of the and at the Commission’s Public Affiliated Exchanges, in the context of a Securities Exchange Act of 1934 (the Reference Room. technology migration. Cboe Options 1 2 intends to migrate its trading platform to ‘‘Act’’), and Rule 19b–4 thereunder, II. Self-Regulatory Organization’s the same system used by the Cboe notice is hereby given that on Statement of the Purpose of, and Affiliated Exchanges, which the September 25, 2019, Cboe Exchange, Statutory Basis for, the Proposed Rule Inc. (the ‘‘Exchange’’ or ‘‘Cboe Change Exchange expects to complete on Options’’) filed with the Securities and October 7, 2019. In connection with this Exchange Commission (the In its filing with the Commission, the technology migration, the Exchange has ‘‘Commission’’) the proposed rule Exchange included statements a shell Rulebook that resides alongside concerning the purpose of and basis for change as described in Items I, and II, its current Rulebook, which shell the proposed rule change and discussed below, which Items have been prepared Rulebook will contain the Rules that by the Exchange. The Exchange filed the any comments it received on the proposed rule change. The text of these will be in place upon completion of the proposal as a ‘‘non-controversial’’ Cboe Options technology migration. proposed rule change pursuant to statements may be examined at the The Exchange proposes to relocate Section 19(b)(3)(A)(iii) of the Act 3 and places specified in Item IV below. The Rule 19b–4(f)(6) thereunder.4 The Exchange has prepared summaries, set current Chapter XVIII which governs Commission is publishing this notice to forth in sections A, B, and C below, of arbitrations, to proposed Chapter 14 in solicit comments on the proposed rule the most significant aspects of such the shell Rulebook. The Exchange notes change from interested persons. statements. that in addition to relocating the A. Self-Regulatory Organization’s arbitration rules to proposed shell I. Self-Regulatory Organization’s Statement of the Purpose of, and Chapter 14, the proposed rule change Statement of the Terms of Substance of Statutory Basis for, the Proposed Rule deletes the rules from the current the Proposed Rule Change Change Rulebook. The proposed rule change Cboe Exchange, Inc. (the ‘‘Exchange’’ relocates the rules as follows: or ‘‘Cboe Options’’) proposes to move 1. Purpose the Rules in Chapter XVIII, which In 2016, the Exchange’s parent governs Exchange arbitrations, of the company, Cboe Global Markets, Inc.

Shell rule Current rule Chapter 14. Arbitration Chapter XVIII. Arbitration

14.1 Matters Subject to Arbitration ...... 18.1 Matters Subject to Arbitration. 14.2 FINRA Jurisdiction over Arbitrations Against TPHs ...... 18.1A FINRA Jurisdiction over Arbitrations Against TPHs. 14.3 Procedures in TPH Controversies ...... 18.2 Procedures in TPH Controversies. 14.4 Arbitration ...... 18.3 Arbitration. 14.5 Class Action Claims ...... 18.3A Class Action Claims. 14.6 Simplified Arbitration ...... 18.4 Simplified Arbitration. 14.7 Waiver of Hearing ...... 18.5 Waiver of Hearing. 14.8 Time Limitation upon Submission ...... 18.6 Time Limitation upon Submission. 14.9 Dismissal or Termination of Proceedings ...... 18.7 Dismissal or Termination of Proceedings. 14.10 Settlements ...... 18.8 Settlements. 14.11 Tolling of Time Limitation(s) for the Institution of Legal Pro- 18.9 Tolling of Time Limitation(s) for the Institution of Legal Pro- ceedings and Extension of Time Limitation(s) for Submission to Arbi- ceedings and Extension of Time Limitation(s) for Submission to Arbi- tration. tration. 14.12 Designation of Number of Arbitrators ...... 18.10 Designation of Number of Arbitrators. 14.13 Notice of Selection of Arbitrators ...... 18.11 Notice of Selection of Arbitrators. 14.14 Challenges ...... 18.12 Challenges. 14.15 Disclosures Required of Arbitrators ...... 18.13 Disclosures Required of Arbitrators. 14.16 Disqualification or Other Disability of Arbitrators ...... 18.14 Disqualification or Other Disability of Arbitrators. 14.17 Initiation of Proceedings ...... 18.15 Initiation of Proceedings. 14.18 Designation of Time and Place of Hearings ...... 18.16 Designation of Time and Place of Hearings.

1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78s(b)(3)(A)(iii). 2 17 CFR 240.19b–4. 4 17 CFR 240.19b–4(f)(6).

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Shell rule Current rule Chapter 14. Arbitration Chapter XVIII. Arbitration

14.19 Representation by Counsel ...... 18.17 Representation by Counsel. 14.20 Attendance at Hearings ...... 18.18 Attendance at Hearings. 14.21 Failure to Appear ...... 18.19 Failure to Appear. 14.22 Adjournments ...... 18.20 Adjournments. 14.23 Acknowledgement of Pleadings ...... 18.21 Acknowledgement of Pleadings. 14.24 General Provisions Governing Pre-Hearing Proceeding ...... 18.22 General Provisions Governing Pre-Hearing Proceeding. 14.25 Evidence ...... 18.24 Evidence. 14.26 Interpretation of Code and Enforcement of Arbitrator Rulings ...... 18.25 Interpretation of Code and Enforcement of Arbitrator Rulings. 14.27 Determinations of Arbitrators ...... 18.26 Determinations of Arbitrators. 14.28 Record of Proceedings ...... 18.27 Record of Proceedings. 14.29 Oaths of the Arbitrators and Witnesses ...... 18.28 Oaths of the Arbitrators and Witnesses. 14.30 Amendments ...... 18.29 Amendments. 14.31 Reopening of Hearings ...... 18.30 Reopening of Hearings. 14.32 Awards ...... 18.31 Awards. 14.33 Miscellaneous ...... 18.32 Miscellaneous. 14.34 Schedule of Fees ...... 18.33 Schedule of Fees. 14.35 Requirements when Using Pre-Dispute Arbitration Agreements 18.35 Requirements when Using Pre-Dispute Arbitration Agreements with Customers. with Customers. 14.36 Failure to Honor Award ...... 18.37 Failure to Honor Award.

The proposed changes are of a non- Exchange’s rules to the shell Rulebook C. Self-Regulatory Organization’s substantive nature and will not amend and update their numbers, paragraph Statement on Comments on the the relocated rules other than to update structure, including number and Proposed Rule Change Received From their numbers, conform paragraph lettering format, and cross-references to Members, Participants, or Others structure and number/lettering format to conform to the shell Rulebook as a The Exchange neither solicited nor that of the shell Rulebook, and make whole in anticipation of the technology received comments on the proposed cross-reference changes to shell rules. migration on October 7, 2019. As such, rule change. the proposed rule change is designed to 2. Statutory Basis III. Date of Effectiveness of the The Exchange believes the proposed promote just and equitable principles of Proposed Rule Change and Timing for rule change is consistent with the trade, to remove impediments to and Commission Action perfect the mechanism of a free and Securities Exchange Act of 1934 (the Because the foregoing proposed rule ‘‘Act’’) and the rules and regulations open market and a national market system, and, in general to protect change does not: (i) Significantly affect thereunder applicable to the Exchange the protection of investors or the public investors and the public interest, by and, in particular, the requirements of interest; (ii) impose any significant 5 improving the way the Exchange’s Section 6(b) of the Act. Specifically, burden on competition; and (iii) become the Exchange believes the proposed rule Rulebook is organized, making it easier operative for 30 days from the date on change is consistent with the Section to read, and, particularly, helping which it was filed, or such shorter time 6 6(b)(5) requirements that the rules of market participants better understand as the Commission may designate, it has an exchange be designed to prevent the rules of the Exchange, which will become effective pursuant to Section fraudulent and manipulative acts and also result in less burdensome and more 19(b)(3)(A) of the Act 8 and Rule 19b- practices, to promote just and equitable efficient regulatory compliance. 4(f)(6) thereunder.9 principles of trade, to foster cooperation A proposed rule change filed B. Self-Regulatory Organization’s and coordination with persons engaged pursuant to Rule 19b–4(f)(6) under the Statement on Burden on Competition in regulating, clearing, settling, Act 10 normally does not become processing information with respect to, The Exchange does not believe that operative for 30 days after the date of its and facilitating transactions in filing. However, Rule 19b–4(f)(6)(iii) 11 securities, to remove impediments to the proposed rule change will impose any burden on competition not permits the Commission to designate a and perfect the mechanism of a free and shorter time if such action is consistent open market and a national market necessary or appropriate in furtherance of the purposes of the Act. The with the protection of investors and the system, and, in general, to protect public interest. The Exchange has asked investors and the public interest. proposed rule change is not intended as a competitive change, but rather, seeks Additionally, the Exchange believes the 8 15 U.S.C. 78s(b)(3)(A). proposed rule change is consistent with to make non-substantive rule changes in 9 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– the Section 6(b)(5) 7 requirement that relocating the rules and updating cross- 4(f)(6)(iii) requires a self-regulatory organization to the rules of an exchange not be designed references to shell rules in anticipation give the Commission written notice of its intent to to permit unfair discrimination between of the October 7, 2019 technology file the proposed rule change, along with a brief description and text of the proposed rule change, customers, issuers, brokers, or dealers. migration. The Exchange also does not at least five business days prior to the date of filing As stated, the proposed rule change believe that the proposed rule change of the proposed rule change, or such shorter time makes no substantive changes to the will impose any undue burden on as designated by the Commission. Because this rules. The proposed rule change is proposal does not make any substantive changes to competition because the relocated rule the rules but only moves them into the shell merely intended to relocate the text is exactly the same as the Rulebook, the Commission designates a shorter time Exchange’s current rules, all of which under Rule 19b–4(f)(6)(iii) by waiving the five 5 15 U.S.C. 78f(b). have all been previously filed with the business prefiling period for this proposal. 6 15 U.S.C. 78f(b)(5). 10 17 CFR 240.19b–4(f)(6). 7 Id. Commission. 11 17 CFR 240.19b–4(f)(6)(iii).

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the Commission to waive the 30-day only one method. The Commission will Economic Injury (EIDL) Loan operative delay. The Exchange believes post all comments on the Commission’s Application Deadline Date: 06/22/2020. that waiver of the operative delay is internet website (http://www.sec.gov/ ADDRESSES: Submit completed loan appropriate because, as the Exchange rules/sro.shtml). Copies of the applications to: U.S. Small Business discussed above, its proposal does not submission, all subsequent Administration, Processing and make any substantive changes to the amendments, all written statements Disbursement Center, 14925 Kingsport Exchange Rules, but merely relocates with respect to the proposed rule Road, Fort Worth, TX 76155. arbitration rules to the shell Rulebook change that are filed with the that the Exchange wishes to maintain Commission, and all written FOR FURTHER INFORMATION CONTACT: A. post migration. Accordingly, its communications relating to the Escobar, Office of Disaster Assistance, proposal is designed to preserve its proposed rule change between the U.S. Small Business Administration, arbitration rules after October 7, 2019. Commission and any person, other than 409 3rd Street SW, Suite 6050, The Commission believes that waiver of those that may be withheld from the Washington, DC 20416, (202) 205–6734. the 30-day operative delay is consistent public in accordance with the SUPPLEMENTARY INFORMATION: with the protection of investors and the provisions of 5 U.S.C. 552, will be Notice is public interest because the proposal available for website viewing and hereby given that as a result of the does not raise any new or novel issues printing in the Commission’s Public President’s major disaster declaration on and does not make any substantive Reference Room, 100 F Street NE, 09/20/2019, applications for disaster changes to the rules. Therefore, the Washington, DC 20549, on official loans may be filed at the address listed Commission hereby waives the business days between the hours of above or other locally announced operative delay and designates the 10:00 a.m. and 3:00 p.m. Copies of the locations. The following areas have been proposal as operative upon filing.12 filing also will be available for determined to be adversely affected by At any time within 60 days of the inspection and copying at the principal the disaster: filing of the proposed rule change, the office of the Exchange. All comments Primary Counties (Physical Damage and Commission summarily may received will be posted without change. Economic Injury Loans): Clay, temporarily suspend such rule change if Persons submitting comments are Humphreys, Issaquena, Lowndes, it appears to the Commission that such cautioned that we do not redact or edit Monroe, Sharkey, Warren, Yazoo. action is necessary or appropriate in the personal identifying information from Contiguous Counties (Economic Injury public interest, for the protection of comment submissions. You should Loans Only): investors, or otherwise in furtherance of submit only information that you wish the purposes of the Act. If the to make available publicly. All Mississippi: Attala, Chickasaw, Commission takes such action, the submissions should refer to File Claiborne, Hinds, Holmes, Commission shall institute proceedings Number SR–CBOE–2019–065 and Itawamba, Lee, Leflore, Madison, to determine whether the proposed rule should be submitted on or before Noxubee, Oktibbeha, Sunflower, change should be approved or October 28, 2019. Washington, Webster. disapproved. For the Commission, by the Division of Alabama: Lamar, Marion, Pickens. IV. Solicitation of Comments Trading and Markets, pursuant to delegated Arkansas: Chicot. authority.13 Louisiana: East Carroll, Madison, Interested persons are invited to Jill M. Peterson, Tensas. submit written data, views and Assistant Secretary. arguments concerning the foregoing, [FR Doc. 2019–21734 Filed 10–4–19; 8:45 am] The interest rates are: including whether the proposed rule change is consistent with the Act. BILLING CODE 8011–01–P Comments may be submitted by any of the following methods: SMALL BUSINESS ADMINISTRATION For Physical Damage: Electronic Comments: Homeowners with Credit Avail- • Use the Commission’s internet [Disaster Declaration #16135 and #16136; able Elsewhere ...... 4.125 comment form (http://www.sec.gov/ Mississippi Disaster Number MS–00110] Homeowners without Credit rules/sro.shtml); or Available Elsewhere ...... 2.063 • Send an email to rule-comments@ Presidential Declaration of a Major Businesses with Credit Avail- sec.gov. Please include File Number SR– Disaster for the State of Mississippi able Elsewhere ...... 8.000 CBOE–2019–065 on the subject line. Businesses without Credit AGENCY: U.S. Small Business Available Elsewhere ...... 4.000 Paper Comments: Administration. • Send paper comments in triplicate Non-Profit Organizations with ACTION: to Secretary, Securities and Exchange Notice. Credit Available Elsewhere ... 2.750 Non-Profit Organizations with- Commission, 100 F Street NE, SUMMARY: This is a Notice of the Washington, DC 20549–1090. out Credit Available Else- Presidential declaration of a major where ...... 2.750 All submissions should refer to File disaster for the State of Mississippi For Economic Injury: Number SR–CBOE–2019–065. This file (FEMA–4429–DR), dated 09/20/2019. Businesses & Small Agricultural number should be included on the Incident: Severe Storms, Straight-line Cooperatives without Credit subject line if email is used. To help the Winds, Tornadoes, and Flooding. Available Elsewhere ...... 4.000 Commission process and review your Incident Period: 02/22/2019 through Non-Profit Organizations with- comments more efficiently, please use 03/29/2019. out Credit Available Else- where ...... 2.750 DATES: Issued on 09/20/2019. 12 For purposes only of waiving the 30-day Physical Loan Application Deadline operative delay, the Commission also has The number assigned to this disaster considered the proposed rule’s impact on Date: 11/19/2019. efficiency, competition, and capital formation. See for physical damage is 16135B and for 15 U.S.C. 78c(f). 13 17 CFR 200.30–3(a)(12). economic injury is 161360.

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(Catalog of Federal Domestic Assistance 09/23/2019, Private Non-Profit Number 59008) organizations that provide essential Businesses without Credit James Rivera, services of a governmental nature may Available Elsewhere ...... 4.000 file disaster loan applications at the Associate Administrator for Disaster Non-Profit Organizations with Assistance. address listed above or other locally Credit Available Elsewhere 2.750 announced locations. [FR Doc. 2019–21777 Filed 10–4–19; 8:45 am] Non-Profit Organizations with- The following areas have been BILLING CODE 8026–03–P out Credit Available Else- where ...... 2.750 determined to be adversely affected by For Economic Injury: the disaster: SMALL BUSINESS ADMINISTRATION Businesses & Small Agricul- Primary Areas: Aurora, Bennett, Brule, tural Cooperatives without Butte, Campbell, Custer, Deuel, Fall [Disaster Declaration #16143 and #16144; Credit Available Elsewhere 4.000 River, Gregory, Haakon, Hamlin, ALASKA Disaster Number AK–00043] Non-Profit Organizations with- Hanson, Jackson, Jones, Lyman, out Credit Available Else- Administrative Declaration of a where ...... 2.750 Meade, Mellette, Pennington, Disaster for the State of Alaska Sanborn, Todd, Tripp, Turner, The number assigned to this disaster Union, Walworth, and Ziebach AGENCY: U.S. Small Business for physical damage is 16143 5 and for Counties and the Cheyenne River Administration. economic injury is 16144 0. Sioux Reservation and the Rosebud ACTION: Notice. The State which received an EIDL Reservation. The Interest Rates are: SUMMARY: This is a notice of an Declaration # is Alaska. (Catalog of Federal Domestic Assistance Administrative declaration of a disaster Percent for the State of Alaska, dated 10/01/ Number 59008) 2019. Christopher Pilkerton, For Physical Damage: Incident: McKinley Wildland Fire. Acting Administrator. Non-Profit Organizations with Incident Period: 08/17/2019 through Credit Available Elsewhere ... 2.750 08/26/2019. [FR Doc. 2019–21778 Filed 10–4–19; 8:45 am] Non-Profit Organizations with- DATES: Issued on 10/01/2019. BILLING CODE 8026–03–P out Credit Available Else- Physical Loan Application Deadline where ...... 2.750 Date:12/02/2019. For Economic Injury: SMALL BUSINESS ADMINISTRATION Non-Profit Organizations with- Economic Injury (EIDL) Loan out Credit Available Else- Application Deadline Date: 07/01/2020. [Disaster Declaration #16139 and #16140; where ...... 2.750 ADDRESSES: Submit completed loan SOUTH DAKOTA Disaster Number SD– 00095] applications to: U.S. Small Business The number assigned to this disaster Administration, Processing and Presidential Declaration of a Major for physical damage is 161396 and for Disbursement Center, 14925 Kingsport Disaster for Public Assistance Only for economic injury is 161400. Road, Fort Worth, TX 76155. the State of South Dakota (Catalog of Federal Domestic Assistance FOR FURTHER INFORMATION CONTACT: A. Number 59008) Escobar, Office of Disaster Assistance, AGENCY: U.S. Small Business U.S. Small Business Administration, Administration. James Rivera, 409 3rd Street SW, Suite 6050, ACTION: Notice. Associate Administrator for Disaster Washington, DC 20416, (202) 205–6734. Assistance. SUMMARY: This is a Notice of the SUPPLEMENTARY INFORMATION: Notice is [FR Doc. 2019–21776 Filed 10–4–19; 8:45 am] Presidential declaration of a major hereby given that as a result of the BILLING CODE 8026–03–P disaster for Public Assistance Only for Administrator’s disaster declaration, the State of South Dakota (FEMA–4463– applications for disaster loans may be DR), dated 09/23/2019. filed at the address listed above or other SOCIAL SECURITY ADMINISTRATION Incident: Severe Storms and Flooding. locally announced locations. The Incident Period: 05/26/2019 through [Docket No: SSA–2019–0042] following areas have been determined to 06/07/2019. be adversely affected by the disaster: DATES: Issued on 09/23/2019. Agency Information Collection Primary Area: Matanuska-Susitna Physical Loan Application Deadline Activities: Proposed Request and Borough Date: 11/22/2019. Comment Request Contiguous Areas: Economic Injury (EIDL) Loan The Social Security Administration Alaska: Chugach REAA, Copper River Application Deadline Date: 06/23/2020. REAA, Delta/Greely REAA, Denali (SSA) publishes a list of information Borough, Iditarod Area REAA, ADDRESSES: Submit completed loan collection packages requiring clearance Kenai Peninsula Borough, applications to: U.S. Small Business by the Office of Management and Municipality of Anchorage. Administration, Processing and Budget (OMB) in compliance with Disbursement Center, 14925 Kingsport Public Law 104–13, the Paperwork Road, Fort Worth, TX 76155. Reduction Act of 1995, effective October FOR FURTHER INFORMATION CONTACT: A. 1, 1995. This notice includes revisions The Interest Rates are: Escobar, Office of Disaster Assistance, of OMB-approved information For Physical Damage: U.S. Small Business Administration, collections. Homeowners with Credit Avail- 409 3rd Street SW, Suite 6050, able Elsewhere ...... 3.500 SSA is soliciting comments on the Homeowners without Credit Washington, DC 20416, (202) 205–6734. accuracy of the agency’s burden Available Elsewhere ...... 1.750 SUPPLEMENTARY INFORMATION: Notice is estimate; the need for the information; Businesses with Credit Avail- hereby given that as a result of the its practical utility; ways to enhance its able Elsewhere ...... 8.000 President’s major disaster declaration on quality, utility, and clarity; and ways to

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minimize burden on respondents, Or you may submit your comments and separately to SSA for retirement including the use of automated online through www.regulations.gov, and disability coverage purposes. collection techniques or other forms of referencing Docket ID Number [SSA– Employers should report the same information technology. Mail, email, or 2019–0042]. figures to SSA and the IRS; however, fax your comments and I. The information collections below each year some of the employer wage recommendations on the information are pending at SSA. SSA will submit reports SSA receives show wage collection(s) to the OMB Desk Officer them to OMB within 60 days from the amounts lower than those employers and SSA Reports Clearance Officer at date of this notice. To be sure we report to the IRS. SSA uses Forms SSA– the following addresses or fax numbers. consider your comments, we must L93–SM, SSA–L94–SM, SSA–95–SM, (OMB), Office of Management and receive them no later than December 6, and SSA–97–SM to ensure employees 2019. Individuals can obtain copies of Budget, Attn: Desk Officer for SSA, receive full credit for their wages. the collection instruments by writing to Fax: 202–395–6974, Email address: Respondents are employers who [email protected]. the above email address. (SSA), Social Security Administration, 1. Missing and Discrepant Wage reported lower wage amounts to SSA OLCA, Attn: Reports Clearance Reports Letter and Questionnaire—26 than they reported to the IRS. Director, 3100 West High Rise, 6401 CFR 31.6051–2—0960–0432. Each year Type of Request: Revision of an OMB- Security Blvd., Baltimore, MD 21235, employers report the wage amounts they approved information collection. Fax: 410–966–2830, Email address: paid their employees to the Internal [email protected]. Revenue Service (IRS) for tax purposes,

Average Estimated Average Total annual Number of Frequency of burden per total theoretical opportunity Modality of completion hourly respondents response response annual burden cost amount cost (minutes) (hours) (dollars)* (dollars) **

SSA–95–SM and SSA–97–SM (and ac- companying cover letters SSA–L93, L94) ...... 360,000 1 30 180,000 *$22.50 **$4,050,000 * We based this figure on average U.S. citizen’s hourly salary, as reported by Bureau of Labor Statistics data. ** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rath- er, these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to respondents to complete the application.

2. Request for Proof(s) from Custodian need help obtaining evidence of death, entities, coroners, funeral directors, of Records—20 CFR 404.703, 404.704, marriage, or divorce in connection with attending physicians, and State 404.720, 404.721, 404.723, 404.725, & claims for benefits. SSA uses the agencies. 404.728—0960–0766. SSA sends Form information from the SSA–L707 to Type of Request: Revision of an OMB- SSA–L707, Request for Proof(s) from determine eligibility for benefits. The approved information collection. Custodian of Records, to records respondents are records custodians custodians on behalf of individuals who including statistics and religious

Average Average Estimated theoretical Total annual Modality of completion Number of Frequency of burden per total hourly opportunity respondents response response annual burden cost amount cost (minutes) (hours) (dollars) * (dollars) **

State or Local Government ...... 94 1 10 16 * $18.00 ** $288.00 Private Sector ...... 24 1 10 4 * 37.60 ** 150.00

Totals ...... 118 ...... 20 ...... ** 438.00 * We based this figure on average U.S. citizen’s hourly salary, as reported by Bureau of Labor Statistics data. ** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rath- er, these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to respondents to complete the application.

II. SSA submitted the information Work Incentives Planning and and community work incentives collection below to OMB for clearance. Assistance Program—0960–0629. As coordinators (CWIC). SSA uses this Your comments regarding this part of SSA’s strategy to assist Social information to ensure proper information collection would be most Security Disability Insurance (SSDI) management of the project, with useful if OMB and SSA receive them 30 beneficiaries and Supplemental Security particular emphasis on administration, days from the date of this publication. Income (SSI) recipients who wish to budgeting, and training. In addition, To be sure we consider your comments, return to work and achieve self- project sites and CWIC’s collect data we must receive them no later than sufficiency, SSA established the Work from SSDI beneficiaries and SSI November 6, 2019. Individuals can Incentives Planning and Assistance recipients on background employment, obtain copies of the OMB clearance (WIPA) program. This community training, benefits, and work incentives. package by writing to based, work incentive, planning and SSA is interested in identifying SSDI assistance project collects identifying beneficiary and SSI recipient outcomes [email protected]. claimant information via project sites under the WIPA program, to determine

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the extent to which beneficiaries with data in its analysis and future planning community project sites, and disabilities and SSI recipients achieve for SSDI and SSI programs. Respondents employment advisors. their employment, financial, and are SSDI beneficiaries, SSI recipients, Type of Request: Revision of an OMB- healthcare goals. SSA will also use the approved information collection.

Average Average Estimated theoretical Total annual Modality of completion Number of Frequency of burden per total hourly opportunity respondents response response annual burden cost amount cost (minutes) (hours) (dollars) * (dollars) **

Small Site (Under 150 beneficiaries served) (SSA–4565; SSA–4566; SSA– 4567) ...... 4,800 1 20 1,600 *$20.65 **$33,040 Medium Site (150–599 beneficiaries served) (SSA–4565; SSA–4566; SSA– 4567) ...... 7,500 1 20 2,500 20.65 **51,625 Large Site (600 or more beneficiaries served) (SSA–4565; SSA–4566; SSA– 4567) ...... 17,700 1 20 5,900 *20.65 **121,835 Total Sites ...... 30,000 ...... 10,000 ...... ** 206,500 SSDI & SSI Beneficiaries ...... 30,000 1 25 12,500 * 10.22 ** 127,750 Help Line ...... 30,000 1 5 2,500 * 10.22 ** 25,550

Totals ...... 90,000 ...... 25,000 ...... ** 359,800 * We based this figure on average DI payments, as reported in SSA’s disability insurance payment data. ** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rath- er, these are theoretical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to respondents to complete the application.

Dated: October 2, 2019. in writing no later than October 18, the CAFTA–DR Secretariat for Naomi Sipple, 2019. Environmental Matters on the status of Reports Clearance Officer, Social Security ADDRESSES: Written comments or the public submissions process. Administration. suggestions should be submitted to On November 14, the Council invites [FR Doc. 2019–21767 Filed 10–4–19; 8:45 am] both: (1) Sarah Flores, U.S. Department all interested persons to attend a public BILLING CODE 4191–02–P of State, Bureau of Oceans and session on Chapter 17 implementation, International Environmental and beginning at 10:00 a.m. in Miami, Scientific Affairs, Office of Florida. At the session, the Council will welcome questions, input, and DEPARTMENT OF STATE Environmental Quality and Transboundary Issues by email to information about challenges and achievements in implementation of the [Public Notice: 10918] [email protected] with the subject line ‘‘CAFTA–DR EAC Meeting’’; and Chapter obligations and the related Notification of the Thirteenth CAFTA– (2) Katy Sater, Director for Environmental Cooperation Agreement DR Environmental Affairs Council Environment and Natural Resources, (ECA). If you would like to attend the Meeting Office of the United States Trade public session, please notify Sarah Representative by email to Flores and Katy Sater at the email AGENCY: Department of State [email protected] with the addresses listed under the heading ACTION: Notice of the thirteenth subject line ‘‘CAFTA–DR EAC ADDRESSES. Please include your full CAFTA–DR Environmental Affairs Meeting’’. name and identify any organization or Council meeting and request for If you have access to the internet you group you represent. comments. can view and comment on this notice by The Department of State and Office of going to: http://www.regulations.gov/ the United States Trade Representative SUMMARY: The Department of State and #!home and searching for docket also invite written comments or the Office of the United States Trade number DOS- DOS–2019–0032. suggestions regarding topics to be Representative are providing notice that FOR FURTHER INFORMATION CONTACT: discussed at the Council meeting to be the parties to the Dominican Republic- Sarah Flores, (202) 647–0156, or Katy submitted no later than October 18, Central America-United States Free Sater, (202) 395–9522 2019. When preparing comments, we Trade Agreement (CAFTA–DR) intend SUPPLEMENTARY INFORMATION: On encourage submitters to refer to Chapter to hold the thirteenth meeting of the November 13, the Council will meet in 17 (Environment) of the CAFTA–DR and Environmental Affairs Council (the a closed government-to-government the CAFTA–DR Environmental Council) established under Chapter 17 session to (1) review implementation of Cooperation Agreement (documents (Environment) of that agreement in the environment chapter and discuss available at http://www.state.gov/e/oes/ Miami, Florida, United States on how parties are meeting their eqt/trade/caftadr/index.htm and https:// November 13 and 14, 2019. environment chapter obligations; (2) ustr.gov/issue-areas/environment/ DATES: The public session of the highlight environmental enforcement bilateral-and-regional-trade- Council will be held on November 14, and achievements in the past year and agreements). Instructions on how to 2019, from 10:00 a.m. to 1:00 p.m. share related lessons learned and best submit comments are under the heading Please contact Sarah Flores and Katy practices; (3) review ongoing work ADDRESSES. Sater for the location of this meeting. under the environmental cooperation Article 17.5 of the CAFTA–DR We request comments and suggestions program; and (4) receive a report from establishes an Environmental Affairs

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Council (the Council) and provides that, [email protected]). The mailing SUPPLEMENTARY INFORMATION: The FAA unless the CAFTA–DR parties otherwise address is U.S. Department of State, L/ proposes to rule and invites public agree, the Council will meet annually to PD, SA–5, Suite 5H03, Washington, DC comment on the request to release oversee the implementation of, and 20522–0505. property for disposal at Coastal Carolina review progress under, Chapter 17, and SUPPLEMENTARY INFORMATION: The Regional Airport, 200 Terminal Dr, New to consider the status of cooperation foregoing determinations were made Bern, NC 28562, under the provisions of activities developed under the ECA. pursuant to the authority vested in me 49 U.S.C. 47107(h)(2). The FAA Article 17.5 further requires that, unless by the Act of October 19, 1965 (79 Stat. determined that the request to release the parties otherwise agree, each 985; 22 U.S.C. 2459), Executive Order property at Coastal Carolina Regional meeting of the Council include a session 12047 of March 27, 1978, the Foreign Airport (EWN) submitted by the in which members of the Council have Affairs Reform and Restructuring Act of Sponsor meets the procedural an opportunity to meet with the public 1998 (112 Stat. 2681, et seq.; 22 U.S.C. requirements of the Federal Aviation to discuss matters relating to the 6501 note, et seq.), Delegation of Administration and the release of these implementation of Chapter 17. Authority No. 234 of October 1, 1999, properties does not and will not impact In preparing comments, we encourage and Delegation of Authority No. 236–3 future aviation needs at the airport. The submitters to refer to: of August 28, 2000. FAA may approve the request, in whole • Chapter 17 of the CAFTA–DR and or in part, no sooner than thirty days • Matthew R. Lussenhop, The ECA after the publication of this notice. These documents are available at: Principal Deputy Assistant Secretary, Bureau http://www.state.gov/e/oes/eqt/trade/ of Educational and Cultural Affairs, The request consists of the following: caftadr/index.htm and https://ustr.gov/ Department of State. The Coastal Carolina Regional Airport issue-areas/environment/bilateral-and- [FR Doc. 2019–21805 Filed 10–4–19; 8:45 am] and North Carolina Department of regional-trade-agreements. Visit the BILLING CODE 4710–05–P Transportation are proposing the release State website at http://www.state.gov of airport property totaling 7.071 acres. and the USTR website at www.ustr.gov The land requested for release is the for more information. DEPARTMENT OF TRANSPORTATION right of way of Terminal Drive and Airline Drive, two access roads link the Robert D. Wing, Federal Aviation Administration airport to Williams Road and Airport Acting Director, Office of Environmental Road. Terminal Drive provides the only Quality and Transboundary Issues, Notice of Intent To Rule on Disposal of route to access the commercial terminal Department of State. Aeronautical Property at Coastal at Coastal Carolina Regional Airport. It [FR Doc. 2019–21836 Filed 10–4–19; 8:45 am] Carolina Regional Airport, New Bern, is a circular/loop road that currently BILLING CODE 4710–09–P North Carolina operates in a one-way, counter AGENCY: Federal Aviation clockwise direction. It is anticipated Administration (FAA), DOT. that the upcoming Highway 70 DEPARTMENT OF STATE improvement project will significantly ACTION: Notice. [Public Notice: 10919] increase ‘‘cut-through’’ traffic on SUMMARY: The Federal Aviation Terminal Drive. For safety and Notice of Determinations: Culturally Administration is requesting public efficiency reasons, it is critical to alter Significant Objects Imported for comment on a request by Coastal the traffic flow, allowing this non- Exhibition—Determinations: ‘‘Where Carolina Regional Airport, to release of airport traffic to proceed without having the Truth Lies: The Art of Qiu Ying’’ land (7.071 acres) from federal to pass directly through the airport. Exhibition obligations. Therefore, the North Carolina Department of Transportation (NCDOT) SUMMARY: Notice is hereby given of the DATES: Comments must be received on following determinations: I hereby or before November 6, 2019. has designed a traffic circle that will allow the eastern portion of Terminal determine that certain objects to be ADDRESSES: Comments on this notice Drive to be converted to a two-way included in the exhibition ‘‘Where the may be mailed or delivered in triplicate thoroughfare. This request will release Truth Lies: The Art of Qiu Ying,’’ to the FAA at the following address: this property from federal obligations. imported from abroad for temporary Memphis Airports District Office, This action is taken under the exhibition within the United States, are Attn: Phillip J. Braden, Manager, 2600 provisions of 49 U.S.C. 47107(h)(2). of cultural significance. The objects are Thousand Oaks Boulevard, Suite 2250, imported pursuant to loan agreements Memphis, TN 38118. Any person may inspect the request with the foreign owners or custodians. In addition, one copy of any in person at the FAA office listed above I also determine that the exhibition or comments submitted to the FAA must under FOR FURTHER INFORMATION display of the exhibit objects at the Los be mailed or delivered to Mr. Andrew CONTACT. Angeles County Museum of Art, Los Shorter, Airport Director, Coastal In addition, any person may, upon Angeles, California, from on or about Carolina Regional Airport at the request, inspect the request, notice and February 9, 2020, until on or about May following address: 200 Terminal Drive, other documents germane to the request 17, 2020, and at possible additional New Bern, NC 28562. in person at the Coastal Carolina exhibitions or venues yet to be FOR FURTHER INFORMATION CONTACT: Regional Airport. determined, is in the national interest. Phillip J. Braden, Manager, Federal Issued in Memphis, Tennessee on I have ordered that Public Notice of Aviation Administration, Memphis September 25, 2019. these determinations be published in Airports District Office, 2600, Thousand the Federal Register. Oaks Boulevard, Suite 2250, Memphis, Phillip J. Braden, FOR FURTHER INFORMATION CONTACT: TN 38118–2482; telephone: (901) 322– Manager, Memphis Airports District Office, Elliot Chiu, Attorney-Adviser, Office of 8181. The application may be reviewed Southern Region. the Legal Adviser, U.S. Department of in person at this same location, by [FR Doc. 2019–21857 Filed 10–4–19; 8:45 am] State (telephone: 202–632–6471; email: appointment. BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION DEPARTMENT OF TRANSPORTATION DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration Federal Aviation Administration Federal Aviation Administration

Notice of Opportunity for Public Notice of Opportunity for Public Notice of Intent To Rule on Request To Comment To Change Land Use From Comment To Change the Land Use Release Airport Property at the San Aeronautical to Non Aeronautical for From Aeronautical to Non Aeronautical Marcos Regional Airport, San Marcos, 25.88 Acres at Barnstable Municipal for 28.46 Acres at Waterville LaFleur Texas Airport, Hyannis, MA Airport, Waterville, ME AGENCY: Federal Aviation Administration (FAA), DOT. AGENCY: Federal Aviation AGENCY: Federal Aviation ACTION: Notice of request to release Administration (FAA), DOT. Administration (FAA), DOT. airport property. ACTION: Request for public comments. ACTION: Request for public comments. SUMMARY: The FAA proposes to rule and invite public comment on the release of SUMMARY: Notice is being given that the SUMMARY: Notice is being given that the land at the San Marcos Regional Airport FAA is considering a request from the FAA is considering a request from the under the provisions of Section 125 of Town of Barnstable, MA to change the City of Waterville, ME to change the the Wendell H. Ford Aviation land use from Aeronautical to Non land use from Aeronautical to Non Aeronautical for 25.88 Acres at Investment Reform Act for the 21st Aeronautical for 28.46 acres. The land Century (AIR 21). Barnstable Municipal Airport. The land use change will allow the development DATES: Comments must be received on use change will allow the of a solar farm on land that is not or before November 6, 2019. redevelopment of a retail center on land needed for aeronautical purposes. The that is not needed for aviation purposes. revenue generated by the lease of airport ADDRESSES: Comments on this The revenue generated by the lease of land for the solar farm will be placed application may be mailed or delivered airport land for the retail center will be into the airport’s operation and to the FAA at the following address: Mr. placed into the airport’s operation and Ben Guttery, Manager, Federal Aviation maintenance fund. maintenance fund. Administration, Southwest Region, DATES: Comments must be received on Airports Division, Texas Airports DATES: Comments must be received on or before November 6, 2019. District Office, ASW–650, 10101 or before November 6, 2019. Hillwood Parkway, Fort Worth, Texas ADDRESSES: You may send comments ADDRESSES: You may send comments 76177. using any of the following methods: using any of the following methods: In addition, one copy of any • Federal eRulemaking Portal: Go to • Federal eRulemaking Portal: Go to comments submitted to the FAA must http://www.regulations.gov, and follow http://www.regulations.gov, and follow be mailed or delivered to Mr. Steve the instructions on providing the instructions on providing Parker, Assistant City Manager, at the comments. comments. following address: 630 E. Hopkins, San • Marcos, Texas 78666. • Fax: 202–493–2251. Fax: 202–493–2251. FOR FURTHER INFORMATION CONTACT: Mr. • Mail: U.S. Department of • Mail: U.S. Department of Todd Hebert, Program Manager, Federal Transportation, Docket Operations, M– Transportation, Docket Operations, M– Aviation Administration, Texas Airports 30, West Building Ground Floor, Room 30, West Building Ground Floor, Room District Office, ASW–650, 10101 W 12–140, 1200 New Jersey Avenue SE, W 12–140, 1200 New Jersey Avenue SE, Hillwood Parkway, Fort Worth, TX Washington, DC 20590. Washington, DC 20590. 76177, Telephone: (817) 222–5614, • • Hand Delivery: Deliver to mail Hand Delivery: Deliver to mail email: [email protected]. address above between 9 a.m. and 5 address above between 9 a.m. and 5 The request to release property may p.m., Monday through Friday, except p.m., Monday through Friday, except be reviewed in person at this same Federal holidays. Federal holidays. location. Interested persons may inspect the Interested persons may inspect the SUPPLEMENTARY INFORMATION: The FAA request and supporting documents by request and supporting documents by invites public comment on the request contacting the FAA at the address listed contacting the FAA at the address listed to release property at the San Marcos under FOR FURTHER INFORMATION under FOR FURTHER INFORMATION Regional Airport under the provisions of CONTACT. CONTACT. the AIR 21. The following is a brief overview of FOR FURTHER INFORMATION CONTACT: Mr. FOR FURTHER INFORMATION CONTACT: Mr. the request: Jorge E. Panteli, Compliance and Land Jorge E. Panteli, Compliance and Land City of San Marcos requests the Use Specialist, Federal Aviation Use Specialist, Federal Aviation release of 19.16 acres of non- Administration New England Region Administration New England Region aeronautical airport property. The Airports Division, 1200 District Avenue, Airports Division, 1200 District Avenue, property is located on the west side of Burlington, Massachusetts, 01803. Burlington, Massachusetts, 01803. the airport, along the future Telephone: 781–238–7618. Telephone: 781–238–7618. development of FM 110. The property to Issued in Burlington, Massachusetts on Issued in Burlington, Massachusetts on be released will used as roadway ROW September 24, 2019. September 27, 2019. for the construction of FM 110. FM 110 will provide improved access to the Gail B. Lattrell, Gail B. Lattrell, airport from IH 35 and will include a Director, ANE–600. Director, ANE–600. new entrance to the airport. The value [FR Doc. 2019–21855 Filed 10–4–19; 8:45 am] [FR Doc. 2019–21854 Filed 10–4–19; 8:45 am] of the improvements will offset the BILLING CODE 4910–13–P BILLING CODE 4910–13–P appraised value of the land. Any person

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may inspect the request in person at the Use Specialist, Federal Aviation public to better inform its rulemaking FAA office listed above under FOR Administration New England Region process. DOT posts these comments, FURTHER INFORMATION CONTACT. Airports Division, 1200 District Avenue, without edit, including any personal In addition, any person may, upon Burlington, Massachusetts 01803. information the commenter provides, to request, inspect the application, notice Telephone: 781–238–7618. http://www.regulations.gov, as and other documents relevant to the Issued in Burlington, Massachusetts on described in the system of records application in person at the San Marcos September 27, 2019. notice (DOT/ALL–14 FDMS), which can Regional Airport, telephone number Gail B. Lattrell, be reviewed at http://www.dot.gov/ (512) 216–6042. Director, ANE–600. privacy. Docket: Background documents or Issued in Fort Worth, Texas on September [FR Doc. 2019–21856 Filed 10–4–19; 8:45 am] 13, 2019. comments received may be read at BILLING CODE P Ignacio Flores, http://www.regulations.gov at any time. Director, Airports Division. Follow the online instructions for [FR Doc. 2019–21779 Filed 10–4–19; 8:45 am] DEPARTMENT OF TRANSPORTATION accessing the docket or go to the Docket BILLING CODE P Operations in Room W12–140 of the Federal Aviation Administration West Building Ground Floor at 1200 New Jersey Avenue SE, Washington, DC [Summary Notice No. FAA–2019–61] DEPARTMENT OF TRANSPORTATION 20590–0001, between 9 a.m. and 5 p.m., Petition for Exemption; Summary of Monday through Friday, except Federal Federal Aviation Administration Petition Received; Southern Utah holidays. FOR FURTHER INFORMATION CONTACT: Notice of Opportunity for Public University Brent Hart (202) 267–4034, Office of Comment To Swap 1.12 Acres of AGENCY: Federal Aviation Rulemaking, Federal Aviation Airport Land and Receive 14.55 Acres Administration (FAA), Department of Administration, 800 Independence of Land From CTDOT for Airport Use Transportation (DOT). Avenue SW, Washington, DC 20591. at Bradley International Airport, ACTION: Notice. This notice is published pursuant to Windsor Lock, CT 14 CFR 11.85. SUMMARY: This notice contains a AGENCY: Federal Aviation summary of a petition seeking relief Issued in Washington, DC, on September Administration (FAA), DOT. 30, 2019. from specified requirements of Federal ACTION: Request for public comments. Aviation Regulations. The purpose of Brandon Roberts, Acting Executive Director, Office of SUMMARY: Notice is being given that the this notice is to improve the public’s Rulemaking. FAA is considering a request from the awareness of, and participation in, the Connecticut Airport Authority (CAA) to FAA’s exemption process. Neither Petition for Exemption publication of this notice nor the swap 1.12 acres of airport land, which Docket No.: FAA–2019–0744. inclusion or omission of information in is part of the entrance road to the Petitioner: Southern Utah University. the summary is intended to affect the airport, and receive 14.55 acres of land Section(s) of 14 CFR Affected: legal status of the petition or its final from CTDOT. This project will realign § 141.38. disposition. the entrance roadway to allow CAA to Description of Relief Sought: To allow move forward with the planned Ground DATES: Comments on this petition must Southern Utah University (SUU) to Transportation Center. The entrance identify the petition docket number and operate SUU’s aviation program under roadway will be owned and operated by must be received on or before October 14 CFR part 141 training at Cedar City the CTDOT. 28, 2019. Regional Airport (KCDC) during a DATES: Comments must be received on ADDRESSES: Send comments identified construction project if performance or before November 6, 2019. by docket number FAA–2019–0744 requirements are met under current ADDRESSES: You may send comments using any of the following methods: aircraft weight, temperature, and wind using any of the following methods: • Federal eRulemaking Portal: Go to conditions for the time of the operation. • Federal eRulemaking Portal: Go to http://www.regulations.gov and follow [FR Doc. 2019–21709 Filed 10–4–19; 8:45 am] http://www.regulations.gov, and follow the online instructions for sending your BILLING CODE 4910–13–P the instructions on providing comments electronically. comments. • Mail: Send comments to Docket • Fax: 202–493–2251. Operations, M–30; U.S. Department of • DEPARTMENT OF TRANSPORTATION Mail: U.S. Department of Transportation, 1200 New Jersey Transportation, Docket Operations, M– Avenue SE, Room W12–140, West Federal Railroad Administration 30, West Building Ground Floor, Room Building Ground Floor, Washington, DC [Docket No. FRA–2019–0004–N–16] W 12–140, 1200 New Jersey Avenue SE, 20590–0001. Washington, DC 20590. • Hand Delivery or Courier: Take • Proposed Agency Information Hand Delivery: Deliver to mail comments to Docket Operations in address above between 9 a.m. and 5 Collection Activities; Comment Room W12–140 of the West Building Request p.m., Monday through Friday, except Ground Floor at 1200 New Jersey Federal holidays. Avenue SE, Washington, DC 20590– AGENCY: Federal Railroad Interested persons may inspect the 0001, between 9 a.m. and 5 p.m., Administration (FRA), U.S. Department request and supporting documents by Monday through Friday, except Federal of Transportation (DOT). contacting the FAA at the address listed holidays. ACTION: Notice of information collection; under FOR FURTHER INFORMATION • Fax: Fax comments to Docket request for comment. CONTACT. Operations at (202) 493–2251. FOR FURTHER INFORMATION CONTACT: Mr. Privacy: In accordance with 5 U.S.C. SUMMARY: Under the Paperwork Jorge E. Panteli, Compliance and Land 553(c), DOT solicits comments from the Reduction Act of 1995 (PRA) and its

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implementing regulations, FRA seeks Clearance Officer, Office of Railroad received will advance three objectives: approval of the Information Collection Safety, Regulatory Analysis Division, (1) Reduce reporting burdens; (2) Requests (ICRs) abstracted below. Before Federal Railroad Administration, 1200 organize information collection submitting these ICRs to the Office of New Jersey Avenue SE, Washington, DC requirements in a ‘‘user-friendly’’ format Management and Budget (OMB) for 20590 (telephone: (202) 493–0440) or to improve the use of such information; approval, FRA is soliciting public Ms. Kim Toone, Information Collection and (3) accurately assess the resources comment on specific aspects of the Clearance Officer, Office of Information expended to retrieve and produce activities identified below. Technology, Federal Railroad information requested. See 44 U.S.C. DATES: Interested persons are invited to Administration, 1200 New Jersey 3501. submit comments on or before Avenue SE, Washington, DC 20590 The summaries below describe the December 6, 2019. (telephone: (202) 493–6132). ICRs that FRA will submit for OMB SUPPLEMENTARY INFORMATION: ADDRESSES: Submit written comments The PRA, clearance as the PRA requires: on the ICRs activities by mail to either: 44 U.S.C. 3501–3520, and its Title: Remotely Controlled Switch Ms. Hodan Wells, Information implementing regulations, 5 CFR part Operations. Collection Clearance Officer, Office of 1320, require Federal agencies to OMB Control Number: 2130–0516. Railroad Safety, Regulatory Analysis provide 60-days’ notice to the public to Abstract: Sections 49 CFR 218.30 and Division, Federal Railroad allow comment on information 218.77 require remotely controlled Administration, 1200 New Jersey collection activities before seeking OMB switches be properly lined to protect Avenue SE, Washington, DC 20590; or approval of the activities. See 44 U.S.C. workers who are vulnerable to being 3506, 3507; 5 CFR 1320.8 through Ms. Kim Toone, Information Collection struck by moving cars as they inspect or 1320.12. Specifically, FRA invites Clearance Officer, Office of Information service rolling equipment on track or interested parties to comment on the Technology, Federal Railroad occupy camp cars. Creating required following ICRs regarding: (1) Whether Administration, 1200 New Jersey notifications promotes safety by the information collection activities are Avenue SE, Washington, DC 20590. minimizing the mental lapses of necessary for FRA to properly execute Commenters requesting FRA to workers who are simultaneously its functions, including whether the acknowledge receipt of their respective handling several tasks. These sections activities will have practical utility; (2) comments must include a self-addressed require the operator of remotely the accuracy of FRA’s estimates of the stamped postcard stating, ‘‘Comments controlled switches to maintain a record burden of the information collection of each blue signal protection request on OMB Control Number 2130–XXXX,’’ activities, including the validity of the (the relevant OMB control number for for 15 days. Operators of remotely methodology and assumptions used to controlled switches use the information each ICR is listed below) and should determine the estimates; (3) ways for also include the title of the ICR. as a record documenting blue signal FRA to enhance the quality, utility, and protection of workers or camp cars. Alternatively, comments may be faxed clarity of the information being This record also serves as a valuable to 202–493–6216 or 202–493–6497, or collected; and (4) ways for FRA to resource for railroad supervisors and emailed to Ms. Wells at hodan.wells@ minimize the burden of information FRA and State inspectors monitoring dot.gov, or Ms. Toone at kim.toone@ collection activities on the public, regulatory compliance. dot.gov. Please refer to the assigned including the use of automated OMB control number in any collection techniques or other forms of Type of Request: Extension with correspondence submitted. FRA will information technology. See 44 U.S.C. change (revised estimates) of a currently summarize comments received in 3506(c)(2)(A); 5 CFR 1320.8(d)(1). approved collection. response to this notice in a subsequent FRA believes that soliciting public Affected Public: Businesses. notice and include them in its comment may reduce the administrative Form(s): N/A. information collection submission to and paperwork burdens associated with Respondent Universe: 53 railroads. OMB for approval. the collection of information that Frequency of Submission: On FOR FURTHER INFORMATION CONTACT: Ms. Federal regulations mandate. In occasion. Hodan Wells, Information Collection summary, FRA reasons that comments Reporting Burden:

Average time CFR Section Respondent universe Total annual per responses Total annual Total cost 1 responses (minutes) burden hours equivalent

218.30(c)—Remotely controlled switches- 53 railroads ...... 1,934,500 notifica- 45 seconds 24,181 $1,378,317 notification recordkeeping requirement tions. (Blue Signal Protection of Workers). 218.77(c)—Remotely controlled switches- 1 railroad ...... 150 notifications ...... 45 seconds 2 $114 notification recordkeeping requirement (Protection of Occupied Camp Cars).

Total ...... 53 railroads ...... 1,934,650 responses N/A 24,183 $1,378,431 1 Throughout the tables in this document, the dollar equivalent cost is derived from the Surface Transportation Board’s Full Year Wage A&B data series using the appropriate employee group hourly wage rate that includes 75-percent overhead charges.

Total Estimated Annual Responses: Title: Bad Order, Home Shop Card, action when defects are identified. A 1,934,650. and Stenciling Reporting Mark. railroad freight car with a part 215 Total Estimated Annual Burden: OMB Control Number: 2130–0519. defect may be moved to another location 24,183 hours. Abstract: Under 49 CFR part 215, for repair only after the railroad has Total Estimated Annual Burden Hour railroads are required to inspect freight complied with the process under 49 Dollar Cost Equivalent: $1,378,431. cars placed in service and take remedial CFR 215.9. Section 215.9 requires

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railroads to affix a ‘‘bad order’’ tag FRA and State inspectors review all service and is excluded from the describing each defect to each side of pertinent records to determine railroads’ requirements of part 215. Railroads use the freight car. It is imperative that a compliance with the movement the required information to provide defective freight car be tagged ‘‘bad restrictions of 49 CFR 215.9. identification and control so that order’’ so it can be readily identified Additionally, section 215.301 requires dedicated cars remain in the prescribed and moved to another location for repair railroads and private car owners to service. purposes only, and so that the stencil or otherwise display Type of Request: Extension with maximum speed and other restrictions identification marks on freight cars. change (revised estimates) of a currently FRA uses the identification marks to necessary for safely conducting the approved collection. determine the railroads affected, the movement are known. At the repair Affected Public: Businesses number and type of cars involved, the (railroads). location, the ‘‘bad order’’ tag serves as commodities being carried, and the a notification of the defective condition territorial and speed limits within Form(s): N/A. of the freight car. Railroads must retain which the cars will be operated. FRA Respondent Universe: 752 railroads. each tag for 90 days to verify that proper reviews this information to determine if Frequency of Submission: On repairs were made at the designated the freight car is safe to operate and if occasion. location. When inspecting a freight car, the operation qualifies for dedicated Reporting Burden:

Average time CFR Section Respondent universe Total annual per responses Total annual Total cost responses (minutes) burden hours equivalent

215.9(a)—Movement of Defective Cars for 752 railroads ...... 150,000 tags ...... 5 12,500 $715,000 Repair—Tagging. 215.9(b)—Notifications of Removal of De- 752 railroads ...... 75,000 notifications ... 2 2,500 143,000 fective Car Tags. 215.11(c)—Designated Inspectors—Records 752 railroads ...... 45,000 records ...... 1 750 42,900 215.301—Stenciling—General ...... 752 railroads ...... 30,000 repainted/ 45 22,500 1,287,000 stenciled.

Total ...... 752 railroads ...... 300,000 responses ... N/A 38,2500 2,187,900

Total Estimated Annual Responses: safety net systems. Safety nets and net to enforce Federal regulations. The 300,000. installations must be drop-tested at the information maintained at the job site Total Estimated Annual Burden: job site after initial installation and promotes safe bridge worker practices. 38,250 hours. before being used as a fall-protection Type of Request: Extension with Total Estimated Annual Burden Hour system, after major repairs, and at 6- change (revised estimates) of a currently Dollar Cost Equivalent: $2,187,900. month intervals if left at one site. If a approved collection. Title: Bridge Worker Safety Rules. OMB Control Number: 2130–0535. drop-test is not feasible and is not Affected Public: Businesses Abstract: Subpart B of 49 CFR part performed, then the railroad or railroad (railroads). 214 establishes minimum workplace contractor, or a designated certified Form(s): N/A. safety standards for railroad employees person, must provide written Respondent Universe: 746 railroads. as they apply to railroad bridges. certification the net complies with the Frequency of Submission: On Specifically, 49 CFR 214.105(c) safety standards of 49 CFR 214.105. FRA occasion. establishes standards and practices for and State inspectors use the information Reporting Burden:

Average time CFR Section Respondent universe Total annual per responses Total annual Total cost responses (minutes) burden hours equivalent

214.105(c)(4)— Fall protection systems 746 railroads ...... 3 written certification 5 .25 (15 $19 standards and practices- Safety net sys- records. minutes) tems certification records.

Total Estimated Annual Responses: 3. Authority: 44 U.S.C. 3501–3520. DEPARTMENT OF TRANSPORTATION Total Estimated Annual Burden: 15 Brett A. Jortland, Maritime Administration minutes. Acting Chief Counsel. Total Estimated Annual Burden Hour [FR Doc. 2019–21814 Filed 10–4–19; 8:45 am] [Docket No. MARAD–2019–0157] Dollar Cost Equivalent: $19. BILLING CODE 4910–06–P Under 44 U.S.C. 3507(a) and 5 CFR Request for Comments on the 1320.5(b) and 1320.8(b)(3)(vi), FRA Approval of a Previously Approved informs all interested parties that it may Information Collection: Voluntary not conduct or sponsor, and a Tanker Agreement respondent is not required to respond AGENCY: Maritime Administration, DOT. to, a collection of information unless it ACTION: Notice and request for displays a currently valid OMB control comments. number.

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SUMMARY: The Maritime Administration application. The collection of approval to renew an information (MARAD) invites public comments on information is necessary to evaluate collection. The information collection is our intention to request the Office of tanker capability and make plans for use necessary for MARAD to determine that Management and Budget (OMB) of this capability to meet national a particular vessel is owned and approval to renew an information emergency requirements. This controlled by United States citizens and collection. This collection of information will be used by both is eligible to receive a fishery information is used to gather MARAD and Department of Defense to endorsement to its documentation. We information on tanker operators who establish contingency plans. are required to publish this notice in the agree to contribute, either by direct Respondents: Coastwise qualified Federal Register by the Paperwork charter to the Department of Defense or vessel owners, operators, charterers, Reduction Act of 1995. to other participants tanker capacity as brokers and vessel representatives. DATES: Comments must be submitted on requested by the Maritime Affected Public: Business or other for or before December 6, 2019. Administrator at such times and such profit. ADDRESSES: You may submit comments amounts as determined to be necessary Estimated Number of Respondents: identified by Docket No. MARAD– to meet the essential needs of DOD for 15. 2019–0156 through one of the following the transportation of petroleum and Estimated Number of Responses: 15 (1 methods: petroleum products in bulk by sea. The per respondent). • Federal eRulemaking Portal: http:// Voluntary Tanker Agreement is a Estimated Hours per Response: 1 hr. www.regulations.gov. Search using the voluntary emergency preparedness Annual Estimated Total Annual above DOT docket number and follow agreement. We are required to publish Burden Hours: 15. the online instructions for submitting Frequency of Response: Annually. this notice in the Federal Register by comments. the Paperwork Reduction Act of 1995. Public Comments Invited: Comments • Fax: 1–202–493–2251. DATES: Comments must be submitted on are invited on: (a) Whether the proposed • Mail or Hand Delivery: Docket or before December 6, 2019. collection of information is necessary Management Facility, U.S. Department for the Department’s performance; (b) ADDRESSES: You may submit comments of Transportation, 1200 New Jersey the accuracy of the estimated burden; (c) identified by Docket No. MARAD– Avenue SE, West Building, Room W12– ways for the Department to enhance the 2019–0157 through one of the following 140, Washington, DC 20590, between 9 quality, utility and clarity of the methods: a.m. and 5 p.m., Monday through information collection; and (d) ways • Federal eRulemaking Portal: http:// Friday, except on Federal holidays. that the burden could be minimized www.regulations.gov. Search using the FOR FURTHER INFORMATION CONTACT: without reducing the quality of the above DOT docket number and follow Michael C. Pucci, (202) 366–5167, collected information. The agency will the online instructions for submitting Division of Maritime Programs, summarize and/or include your comments. Maritime Administration, 1200 New comments in the request for OMB’s • Fax: 1–202–493–2251. Jersey Avenue SE, Washington, DC clearance of this information collection. • Mail or Hand Delivery: Docket 20590, Email: [email protected]. Management Facility, U.S. Department (Authority: The Paperwork Reduction Act of SUPPLEMENTARY INFORMATION: of Transportation, 1200 New Jersey 1995; 44 U.S.C. Chapter 35, as amended; and Title: Requirements for Eligibility of 49 CFR 1.49.) Avenue SE, West Building, Room W12– U.S.-Flag Vessels of 100 Feet or Greater 140, Washington, DC 20590, between 9 * * * * * in Registered Length to Obtain a Fishery a.m. and 5 p.m., Monday through Dated: October 2, 2019. Endorsement. Friday, except on Federal holidays. By Order of the Maritime Administrator. OMB Control Number: 2133–0530. FOR FURTHER INFORMATION CONTACT: Ram T. Mitchell Hudson, Jr., Type of Request: Renewal of a Nagendran, 202–366–8584, Office of Secretary, Maritime Administration. previously approved information Sealift Support, U.S. Department of collection. [FR Doc. 2019–21821 Filed 10–4–19; 8:45 am] Transportation, 1200 New Jersey Abstract: In accordance with the Avenue SE, Washington, DC, 20590, BILLING CODE 4910–81–P American Fisheries Act of 1998, owners Email: [email protected]. of vessels of 100 feet or greater who SUPPLEMENTARY INFORMATION: DEPARTMENT OF TRANSPORTATION wish to obtain a fishery endorsement to Title: Voluntary Tanker Agreement. the vessels’ documentation are required OMB Control Number: 2133–0505. Maritime Administration to file with the Maritime Administration Type of Request: Renewal of a (MARAD) an Affidavit of United States previously approved information [Docket No. MARAD–2019–0156] Citizenship. The information collected collection. Request for Comments on the will be used by MARAD to determine Abstract: The Voluntary Tanker Approval of a Previously Approved that a vessel is owned and controlled by Agreement is a voluntary emergency Information Collection: Requirements citizens of the United States in preparedness agreement in accordance for Eligibility of U.S.-Flag Vessels of accordance with the requirements of the with Section 708, Defense Production 100 Feet or Greater in Registered American Fisheries Act (AFA) of 1998 Act, as amended (50 U.S.C. 4558). The Length To Obtain a Fishery and, therefore, is eligible to be collection consists of a request from the Endorsement documented with a fishery endorsement Maritime Administration (MARAD) that to its documentation. each participant in the Voluntary AGENCY: Maritime Administration, DOT. Respondents: Certain vessel owners, Tanker Agreement submit a list of the ACTION: Notice and request for vessel operators, financial institutions, names of ships owned, chartered or comments. and professional trusts. contracted for by the participant, their Affected Public: Vessel owners, size, flags of registry, and other SUMMARY: The Maritime Administration charterers, mortgagees, mortgage pertinent information. There is a (MARAD) invites public comments on trustees and managers of vessels of 100 recommended format for this our intention to request the Office of feet or greater who seek a fishery information included as part of the Management and Budget (OMB) endorsement for the vessel.

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Estimated Number of Respondents: 2019–0155 through one of the following the returns to the Nation’s economy and 500. methods: people. Estimated Number of Responses: 500. • Federal eRulemaking Portal: http:// Respondents: A port authority, a Annual Estimated Total Annual www.regulations.gov. Search using the commission or its subdivision or agent Burden Hours: 2950. above DOT docket number and follow under existing authority, as well as a Frequency of Response: Annually. the online instructions for submitting State or political subdivision of a State Public Comments Invited: Comments comments. or local government, a Tribal are invited on: (a) Whether the proposed • Fax: 1–202–493–2251. government, a public agency or publicly collection of information is necessary • Mail or Hand Delivery: Docket chartered authority established by one for the Department’s performance; (b) Management Facility, U.S. Department or more States, a special purpose district the accuracy of the estimated burden; (c) of Transportation, 1200 New Jersey with a transportation function, a ways for the Department to enhance the Avenue SE, West Building, Room W12– multistate or multijurisdictional group quality, utility and clarity of the 140, Washington, DC 20590, between 9 of entities, or a lead entity described information collection; and (d) ways a.m. and 5 p.m., Monday through above jointly with a private entity or that the burden could be minimized Friday, except on Federal holidays. group of private entities. without reducing the quality of the FOR FURTHER INFORMATION CONTACT: Affected Public: State, Local, or Tribal collected information. The agency will Robert Bouchard, 202–366–5076, Office Government. summarize and/or include your of Infrastructure Development and Estimated Number of Respondents: comments in the request for OMB’s Congestion Mitigation, Maritime 250. clearance of this information collection. Administration, 1200 New Jersey Estimated Number of Responses: 250. Avenue SE, Washington, DC 20590, Estimated Hours per Response: 160. Authority: The Paperwork Reduction Act Annual Estimated Total Annual of 1995; 44 U.S.C. Chapter 35, as amended; Email: [email protected]. Copies and 49 CFR 1.49. of this collection also can be obtained Burden Hours: 40,000. Frequency of Response: Annually. * * * * * from that office. Authority: The Paperwork Reduction Act Dated: October 2, 2019. SUPPLEMENTARY INFORMATION: Title: Port Infrastructure Development of 1995; 44 U.S.C. Chapter 35, as amended; By Order of the Maritime Administrator. Program. and 49 CFR 1.49. T. Mitchell Hudson, Jr., OMB Control Number: 2133–NEW. * * * * * Secretary, Maritime Administration. Type of Request: New information Dated: October 2, 2019. [FR Doc. 2019–21820 Filed 10–4–19; 8:45 am] collection. By Order of the Maritime Administrator. BILLING CODE 4910–81–P Abstract: On February 15, 2019, the T. Mitchell Hudson, Jr., President signed the Consolidated Secretary, Maritime Administration. Appropriations Act, 2019 (FY 2019 DEPARTMENT OF TRANSPORTATION Appropriations Act), which [FR Doc. 2019–21824 Filed 10–4–19; 8:45 am] appropriated $292,730,000 to be BILLING CODE 4910–81–P Maritime Administration awarded by the U.S. Department of [Docket No. MARAD–2019–0155] Transportation (Department) for the Port DEPARTMENT OF TRANSPORTATION Infrastructure Development Program Request for Comments on the (Program). This appropriations act Information Dissemination Quality Approval of a New Proposed allows the Department to make Guidelines Information Collection: Port discretionary grants to improve port Infrastructure Development Program facilities at or near coastal seaports. This AGENCY: Office of the Secretary of Program supports the Department of Transportation, US Department of AGENCY: Maritime Administration, DOT. Transportation (DOT) strategic goal of Transportation. ACTION: Notice and request for infrastructure investment to ensure ACTION: Updated guidelines. comments. safety and to stimulate economic growth, productivity and SUMMARY: The U.S. Department of SUMMARY: The Maritime Administration competitiveness for American workers Transportation (DOT) is issuing updated (MARAD) invites public comments on and businesses. DOT seeks to work guidelines to implement section 515 of our intention to request the Office of effectively with State, local, Tribal, and the Treasury and General Government Management and Budget (OMB) private partners to guide investments Appropriations Act for FY 2001. The approval of a new information that stimulate economic growth, Office of Management and Budget collection. The information to be improve the condition of transportation (OMB) has issued Government-wide collected are applications for grants to infrastructure, and enable the efficient guidelines under Section 515 which be used to support DOT’s work with and safe movement of people and goods. direct each Federal agency to establish State, local, Tribal, and private partners To achieve this goal, DOT will provide and implement written procedures to to guide investments that stimulate guidance, technical assistance, and ensure and maximize the quality, economic growth, improve the research that leverages Federal funding, utility, objectivity and integrity of the condition of transportation accelerates project delivery, reduces information that they disseminate. OMB infrastructure, and enable the efficient project lifecycle costs, and optimizes the has directed each agency to update its and safe movement of people and goods. operation and performance of existing guidelines in accordance with the We are required to publish this notice facilities. By using innovative forms of requirements of OMB Memorandum M– in the Federal Register by the project delivery, encouraging 19–15. Paperwork Reduction Act of 1995. partnerships between the public and DATES: Comments are due November 6, DATES: Comments must be submitted on private sectors, and strategically 2019. or before December 6, 2019. balancing investments across various ADDRESSES: You may send comments, ADDRESSES: You may submit comments modes of transportation to promote identified by DOT–OST–2019–0135, by identified by Docket No. MARAD– greater efficiencies, DOT can maximize any of the following methods:

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• Follow the instructions for sending Utility, and Integrity of Information Department will ensure the quality of comments on www.regulations.gov, or Disseminated by Federal Agencies,’’ and disseminated information. This email [email protected]. Include DOT– OMB Memorandum M–19–15, document also explains how affected OST–2019–0135 in the subject line of ‘‘Improving Implementation of the persons may seek and obtain corrections the message. Information Quality Act,’’ the of information that does not comply • Mail: Docket Management Facility; Department is revising its Information with these Information Quality U.S. Department of Transportation Dissemination Quality Guidelines guidelines. (DOT), 1200 New Jersey Avenue SE, (Guidelines). These guidelines were What version are these guidelines? West Building, Room W12–140, originally issued in 2002. The Washington, DC 20590–0001. Department’s Guidelines apply to a These Guidelines were originally • Hand Delivery/Courier: Room W12– wide variety of its information published on October 1, 2002 and were 140 on the ground level of DOT, West dissemination activities to meet basic updated on October 1, 2019. Building, 1200 New Jersey Avenue SE, information quality standards. The When are these guidelines effective? Washington, DC, between 9:00 a.m. and Guidelines provide a framework under 5:00 p.m., Monday through Friday, which the Department allows affected These Guidelines are effective except Federal holidays. persons an opportunity to seek and October 1, 2019. Instructions: All submissions received obtain correction of information Who should be contacted for further must include the agency name and maintained and disseminated by the information about these guidelines? docket number for this notice. All Department that does not comply with Daniel Morgan, Assistant Chief comments received will be posted these guidelines. without change to www.regulations.gov, The written procedures established Information Officer for Data Services/ including any personal information within DOT’s guidelines apply to the Chief Data Officer, [email protected] or provided. following organization components of 202–366–9201. For inquiries on the Docket: For access to the docket to the Department: The Office of the Department’s administrative read background documents or Secretary, the Federal Aviation mechanisms for persons to seek comments received, go to Administration, the Federal Motor correction of information, please contact www.regulations.gov at any time or to Carrier Safety Administration, the the Office of the General Counsel, 202– Room W12–140 on the ground level of Federal Railroad Administration, the 366–4702. For inquiries on the DOT, West Building, 1200 New Jersey Federal Transit Administration, the guidelines concerning statistical Avenue SE, Washington, DC, between Maritime Administration, the National disseminated information, contact the 9:00 a.m. and 5:00 p.m., Monday Highway Traffic Safety Administration, Bureau of Transportation Statistics, U.S. through Friday, except Federal holidays. the Pipeline and Hazardous Materials Department of Transportation; 800–853– If you wish to receive confirmation of Safety Administration, and the Saint 1351 or 202–366–DATA (3282). Written receipt of your written comments, Lawrence Seaway Development correspondence may be addressed to the please include a self-addressed, Corporation. U.S. Department of Transportation, stamped postcard with the following The updated guidelines are available Office of the Chief Information Officer statement: ‘‘Comments on DOT–OST– on the Department’s website at https:// (S–80), 1200 New Jersey Avenue SE, 2019–0135.’’ The Docket Clerk will date www.transportation.gov/dot- Washington, DC, 20590. stamp the postcard prior to returning it information-dissemination-quality- Contents to you via the U.S. mail. Please note that guidelines and in the docket. The 1. What is the background and purpose due to possible delays in the delivery of Department seeks comment on the of these guidelines? guidelines and the proposed changes. U.S. mail to federal offices in 2. To which DOT operating Washington, DC, we recommend that Authority: Issued in Washington, DC on administrations do these guidelines persons consider an alternative method October 1, 2019. apply? (internet, or professional delivery Ryan Cote, 3. What are the scope, nature and legal service) of submitting comments to the Chief Information Officer, Department of effect of these guidelines? docket and ensuring their timely receipt Transportation, Office of the Secretary. Scope at DOT. Influential Information The Department of Transportation’s FOR FURTHER INFORMATION CONTACT: Protecting Data Information Dissemination Quality Daniel Morgan, Chief Data Officer, OST, Nature and Legal Effect Guidelines Department of Transportation at 202– 4. What types of information are not 366–9201 or by email at What is the purpose of this posting? subject to these guidelines? [email protected]. For specific Consistent with The Office of 5. What general standards of quality are inquiries on the Department’s Management and Budget’s (OMB) DOT operating administrations administration mechanisms for seeking Guidelines for Ensuring and implementing? Utility correction of information covered by Maximizing the Quality, Objectivity, these guidelines, or for specific Objectivity Utility, and Integrity of Information Integrity inquiries about the Department’s Disseminated by Federal Agencies Accessibility statistical guidelines, please refer to the implementing Section 515 of the Public Access to Government contacts listed in the guidelines. Treasury and General Government Information (Open Data) SUPPLEMENTARY INFORMATION: Pursuant Appropriations Act for Fiscal Year 2001 Re-use of Existing DOT Program Data to Section 515 of the Treasury and (Pub. L. 106–554) and the requirements 6. What additional standards of quality General Government Appropriations outlined in OMB Memorandum M–19– are DOT operating administrations Act for Fiscal Year 2001 (Pub. L. 106– 15, Improving Implementation of the implementing for statistical 554), and consistent with the Office of Information Quality Act, the U.S. information? Management and Budget’s (OMB) Department of Transportation 7. What processes does DOT utilize to ‘‘Guidelines for Ensuring and (henceforth DOT or Department) is ensure information quality before it Maximizing the Quality, Objectivity, updating guidelines explaining how the is disseminated?

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8. What are DOT’s procedures guidelines, and to provide affected 2.101 and in accordance with the concerning requests for correction persons an opportunity to seek and Federal Source Code Policy). These of information? obtain correction of information guidelines apply to information May I request a correction of maintained and disseminated by DOT disseminated by DOT on or after information from the Department? that does not comply with these October 1, 2002, regardless of when the Where do I submit a request for guidelines. DOT has designated the information was first disseminated. correction of information? Departmental Chief Information Officer Maintenance of information on DOT How does the Department process (CIO) as the senior official responsible websites or paper files does not, in incoming requests for correction? for DOT compliance with these itself, subject information disseminated What should you include in a request guidelines. Administrators of DOT’s before this date to the guidelines. for correction of information? Operating Administrations (OAs) are However, information that the May the Department reject a request also responsible for ensuring proper Department maintains in a way that is for correction of information? implementation of these Departmental readily available to the public and that Who has the burden of proof with guidelines. The CIO is responsible for continues to play a significant, active respect to corrections of the Office of the Secretary’s compliance. role in Department program or in information? In implementing these guidelines, the private sector decisions is subject to the What determinations does the Department acknowledges that ensuring guidelines. These guidelines apply to Department make concerning a the quality of information is an information dissemination in all media request for correction of important management objective that (printed, electronic, or in other form). information? takes its place concurrently with other When the Department has performed How does the Department process Departmental objectives, such as analysis using a specialized set of requests for correction concerning ensuring the success of agency missions, computer code, the computer code used information on which the observing budget and resource priorities to process it should be made available Department has sought public and restraints, and providing useful to the public for further analysis, if comment? information to the public. consistent with applicable law and How may I appeal the Department’s These guidelines were updated in policy.1 As is the intent of OMB’s decision on a request for correction? 2019 to reflect current procedures and guidelines, DOT’s guidelines will focus 9. What are the department’s reporting compliance with OMB’s Memorandum primarily on the dissemination of requirements? M–19–15. Implementation updates from substantive information (e.g., reports, 10. What are the definitions associated that memorandum are footnoted where tabular and geospatial datasets, with these guidelines? they are addressed in this update. analyses, studies, summaries) rather 1. What is the background and purpose than information pertaining to basic 2. To which DOT operating of these guidelines? agency operations. administrations do these guidelines The standards of these guidelines The Department of Transportation apply? apply only to information that DOT (DOT) is updating guidelines originally These guidelines apply to the Office generates. However, these guidelines released in 2002 to implement Section of the Secretary of Transportation (OST) serve as recommendations for 515 of the Treasury and General and to the following DOT OAs. information that external sources Government Appropriations Act for • provide to DOT, if the external parties Fiscal Year 2001 (Pub. L. 106–554). The Federal Aviation Administration seek to have the Department rely upon Office of Management and Budget (FAA) • or disseminate this information or the (OMB) previously issued guidelines Federal Highway Administration Department decides to do so. When under Section 515 which direct Federal (FHWA) • using non-government sources to create agencies subject to the Paperwork Federal Motor Carrier Safety influential information (as defined Reduction Act (44 U.S.C. Chapter 35) to Administration (FMCSA) • below) that is communicated to the establish and implement written Federal Railroad Administration public, DOT will include sufficient guidelines to ensure and maximize the (FRA) • Federal Transit Administration (FTA) information on the characteristics of the quality, utility, objectivity and integrity • Maritime Administration (MARAD) data and analysis, including its scope, of the information that they • National Highway Traffic Safety generation protocols, and any other disseminate. These updated 2019 DOT Administration (NHTSA) information necessary to allow the guidelines apply to a wide variety of • Pipeline and Hazardous Materials public to reproduce that source’s substantive information dissemination Safety Administration (PHMSA) conclusions.2 For example, suppose that activities to meet basic information • Saint Lawrence Seaway Development a trade association, in commenting on a quality standards set forth by Section Corporation (SLSDC) proposed rule, supplies a scientific or 515. Under Section 515, the Department technical study or an economic analysis is responsible for carrying out the OMB DOT OAs may adopt further in support of its position on what the information quality guidelines as well guidance, consistent with these final rule should say. For DOT to rely as for implementing its own guidelines guidelines, to address the specifics of on this information in a subsequent that are set forth in this document. their programs and information DOT dissemination of information (e.g., Consequently, when this document products. as part of the basis cited for decisions refers to ‘‘the guidelines,’’ it should be 3. What are the scope, nature and legal in the final rule), the quality of the trade taken to refer to the OMB guidelines, as effect of these guidelines? association’s information would have to applied to DOT programs and activities, be consistent with these guidelines. as well as the 2019 DOT guidelines Scope Likewise, if the Department themselves, unless the context suggests These guidelines apply to certain otherwise. information (including both statistical 1 Implementation Update 3.2, OMB Memorandum The purpose of these 2019 DOT and non-statistical data, as well as M–19–15, April 24, 2019. guidelines is to provide a framework for computer software (including code) as 2 Implementation Update 3.3, OMB Memorandum DOT’s compliance with the OMB defined in 48 CFR 27.401 and 48 CFR M–19–15, April 24, 2019.

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disseminates information originally or more key issues in a significant personally identifiable information (PII) created by, for example, a contractor or rulemaking, as that term is defined in and/or sensitive data. Implementation of consultant, these guidelines would Executive Order 12866. DOT’s these approaches (e.g., tiered access) is apply. The types of Departmental interpretation of influential information consistent with principles for ethical information not subject to these reflects the ‘‘clear and substantial governance, which include employing guidelines are outlined in Section 4. impact’’ language in the OMB sound data security practices, protecting guidelines language. The reference to individual privacy, maintaining Influential Information key issues on significant rules reflects appropriate confidentiality, and The OMB guidelines and subsequent the ‘‘important’’ public policy language ensuring appropriate access and use.4 Information Quality Bulletin for Peer of the guidelines. These methods apply to both Review define ‘‘influential information’’ In non-rulemaking contexts, DOT government and non-government as information that the agency considers two factors in determining information and data used in the reasonably can determine ‘‘will have or whether information is influential. development of influential information does have a clear and substantial impact • Breadth: Influential information and data. DOT retains data in on important public policies or affects a broad number and/or range of accordance with established records important private sector decisions.’’ stakeholders or parties (e.g., an entire schedules and the DOT Records This definition applies only to industry or a significant part of an Management Policy (DOT Order scientific, financial, or statistical industry, as opposed to a single 1351.28).5 information. DOT defines ‘‘scientific company). In making this Nature and Legal Effect information’’ as in the Information determination, the Department would These guidelines are policy views of Quality Bulletin for Peer Review also evaluate the overall magnitude of DOT. They are not intended to be, and (excerpted below) and notes that DOT the impact of the information, not only should not be construed as, legally considers financial and statistical its impact on a per capita or per unit binding regulations or mandates. These information to be types of scientific basis. guidelines are intended only to improve • information. Impact: Influential information has the internal management of DOT and do a substantial economic, regulatory, or ‘‘The term ‘‘scientific information’’ not create any right or benefit, behavioral impact, as determined by the means factual inputs, data, models, substantive or procedural, enforceable at DOT Component. In considering analyses, technical information, or law or equity, by any party against the whether information has a substantial scientific assessments based on the United States, its agencies (including impact, DOT Components consider the behavioral and social sciences, public DOT or any Component), officers, or same kinds of factors that cause a rule health and medical sciences, life and employees, or any person. to be an economically significant rule as earth sciences, engineering, or physical This guidance is not legally binding defined in Executive Order 12866. DOT- sciences. This includes any in its own right and will not be relied initiated or sponsored distribution of communication or representation of upon by the Department as a separate influential information may be novel, knowledge such as facts or data, in any basis for affirmative enforcement action controversial, and/or precedent-setting. medium or form, including textual, or other administrative penalty. When DOT substantially changes numerical, graphic, cartographic, Conformity with this guidance is information that it disseminates, such as narrative, or audiovisual forms. This voluntary only and nonconformity will through a change in information definition includes information that an not affect rights and obligations under collected under the Paperwork agency disseminates from a web page, existing statutes and regulations. Reduction Act (PRA), DOT will re- but does not include the provision of evaluate the information disseminated 4. What types of information are not hyperlinks to information that others to determine whether it is influential. subject to these guidelines? disseminate. This definition does not DOT reserves the right to designate include opinions, where the agency’s The following information is not other information as influential presentation makes clear that what is subject to these guidelines: provided the information is scientific, • being offered is someone’s opinion Distribution of information that is financial, or statistical, although rather than fact or the agency’s views.’’ intended to be limited to government Components should not designate employees, agency contractors or Note that the definition above applies information products or types of grantees; to information itself, not to decisions information as influential without • Distribution of information that is that the information may support. The consultation with the Department Chief intended to be limited to intra- or inter- guidelines assign to DOT the task of Information Officer. agency use or sharing of government defining ‘‘influential information’’ in information; responses to requests ways appropriate to the agency and its Protecting Data under FOIA, Privacy Act, the Federal various programs. DOT is prioritizing increased access Advisory Committee Act or other At DOT, influential information may to the data and analytic frameworks similar laws; be used to support rulemakings, (e.g., models) used to generate • Predisclosure Notification to regulatory actions, and analysis or other influential information. Data disclosures Submitters of Confidential Commercial purposes. Every decision DOT makes will be consistent with statutory, Information (49 CFR 7.29); based on disseminated information is regulatory, and policy requirements for • Distribution limited to important to someone. That does not protections of privacy and correspondence with individuals or mean that disseminated information confidentiality, proprietary data, and persons (regardless of medium, e.g., used for each decision is influential, as 3 confidential business information. DOT email). The possibility of further the term is used in the guidelines. uses and continues to explore methods distribution by the recipient does not In rulemakings, influential that provide wider access to datasets information is scientific, financial, or while reducing the risk of disclosure of 4 Implementation Update 3.5, OMB Memorandum statistical information that can M–19–15, April 24, 2019. reasonably be regarded as being one of 3 Implementation Update 3.4, OMB Memorandum 5 https://www.transportation.gov/digitalstrategy/ the major factors in the resolution of one M–19–15, April 24, 2019. policyarchive/Records-Management.

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cause such correspondence to be subject • Views or opinions, where the repeatedly or continuously to these guidelines. However, presenter makes it clear that what is disseminated information is reviewed information sent by letter to a wide being offered is someone’s opinion on a regular basis to ensure all variety of individuals (e.g., a ‘‘Dear rather than fact or the Department’s information is current and complies Colleague’’ letter sent to heads of all views; with these guidelines. Specifically, DOT recipients of financial assistance from a • Information presented to Congress will set the following standards at levels DOT OA) would be subject to coverage as part of the legislative or oversight appropriate to the nature and timeliness under these guidelines; processes (e.g., testimony of DOT of substantive information to be • Archival records disseminated by officials, information or drafting disseminated. Federal agency libraries, websites, or assistance provided to Congress about similar Federal data repositories; (e.g., pending or proposed legislation or Utility inactive or historical materials in DOT oversight) that has previously been DOT Components will assess the libraries and other data collections— subject to the guidelines, is primarily a usefulness of the information to be including bibliographies or responses to statement of the views of the disseminated to the public. The reference requests pertaining to such Department on an issue, or is provided originating office will continuously materials); to a member of Congress who then monitor the information needs and • Public filings, such as material filed disseminates it publicly. However, the develop new sources or revise existing by DOT or non-DOT parties in DOT Department would treat studies or other methods, models, and information dockets or by DOT in other agencies’ information products that are presented products where appropriate. dockets. For example, a study filed in to Congress, and that have not DOT’s policy is to disseminate the DOT docket by a commenter on a previously been subject to these information in machine-readable and proposed rule does not become subject guidelines, as being covered. open formats, to the greatest extent to these guidelines simply because it • Press releases and other information possible, such that the information that has been filed there. However, if the of an ephemeral nature, advising the can be easily consumed by a wide Department chooses to rely on the study public of an event or activity of a finite external audience. DOT’s Data in the rulemaking or another duration—regardless of medium. Management Policy (DOT Order information product, the study would Information products referenced in such 1351.34) outlines requirements for become subject to these guidelines releases may be subject to the interoperability and standardization of because of the Department’s use of it; guidelines, however (e.g., a study data and information. • Contents of the National referred to in a press release); and DOT’s policy is to provide the public Transportation Library that are not • Procedural, operational, policy, and with sufficient documentation about products of DOT-funded research or internal manuals prepared for the each dataset released to allow data users DOT-funded data collections. management and operations of DOT that to determine the fitness of the data for • Information intended to be limited are not primarily intended for public the purpose for which third parties may to subpoenas and adjudicatory dissemination. This includes personnel consider using it.6 DOT may employ processes. These processes would notices such as vacancy templates or frameworks provide data include: announcements. users with the relevant information. 1. Court or administrative litigation 5. What general standards of quality Objectivity (e.g., briefs and attachments, or other are DOT operating administrations information that the Department implementing? DOT Components will ensure submits to the court or other decision disseminated information is accurate, maker); DOT has traditionally utilized clear, complete, and unbiased in 2. Administrative enforcement standards, policies, and other substance and presentation, and proceedings conducted by the operational guidelines to ensure the presented in a proper context. The Department; quality of all its disseminated originating office will use reliable data 3. Civil rights and personnel information. Incorporating these sources and sound analytical complaints and reviews conducted by guidelines further reinforces DOT’s techniques. Quality control procedures the Department (e.g., under Titles VI commitment of meeting higher will be included when data is created or and VII of the Civil Rights Act; the standards of quality prior to processed. To the extent possible and Americans with Disabilities Act; disseminating information to the public. consistent with confidentiality Sections 501, 504 and 508 of the The Department has made protections, the originating office will Rehabilitation Act of 1973; Title IX of implementation of these guidelines a identify the source of disseminated the Education Amendments of 1972, part of its performance plan, including information so that the public can assess and Disadvantaged Business Enterprise performance goals and standards. whether the information is objective. matters); To ensure compliance with these The 2012 version of DOT’s Scientific 4. Debarment and suspension matters, guidelines, each DOT Component is Integrity Policy,7 states: responsible for appointing a data quality 49 CFR part 29 (Federal-aid contracts) ‘‘The Department is dedicated to and 48 CFR part 9 (direct contracts); official who will serve as the liaison for preserving the integrity of the research it 5. Merit System Protection Board implementing these guidelines within conducts and funds. It will not tolerate matters (Sections 7511, 7543, and 70701 its organization. misconduct in the performance of these of Title 5, United States Code); OMB’s guidelines define ‘‘quality’’ as activities nor in the application of these 6. Locomotive engineer certification an encompassing term comprising activities to decision-making. Political matters, 49 CFR part 240, subpart E- utility, objectivity, and integrity. appointees at DOT should never suppress or Dispute Resolution procedures; Therefore, the guidelines sometimes • Hyperlinks to information that refer to these statutory terms, 6 Implementation Update 2.2, OMB Memorandum others disseminate (as well as paper- collectively, as ‘‘quality.’’ At a M–19–15, April 24, 2019. 7 minimum, a basic standard of quality is Available at https://www.transportation.gov/ based information from other sources sites/dot.gov/files/docs/mission/administrations/ referenced but not adopted or endorsed established for all DOT information assistant-secretary-research-and-technology/ by DOT); prior to its dissemination. In addition, 282391/scientificintegritypolicy.pdf.

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alter research findings or conclusions. accordance with sound and objective external to DOT, or both) that have not Political appointees are not to censure or scientific practices, including peer- participated in the preparation of the coerce DOT employees to alter scientific reviewed studies where available. influential information being reviewed. findings. This policy encompasses all • Use data collected by accepted When using scientific information, sciences including hard, natural and life, and methods or best available methods, in including third-party data or models, to social sciences, and all findings including results derived from data (actual or accordance with all applicable support their policies, DOT will comply simulated).’’ standards (if the reliability of the with the requirements of OMB’s DOT employees are prohibited from method and the nature of the decision Information Quality Bulletin for Peer any behavior that attempts to justifies the use of the data), and Review. DOT will ensure reviewers are inappropriately alter the scientific document methods used in metadata asked to evaluate the objectivity of the underlying data and the sensitivity of process or to suppress, fabricate, or which accompanies disseminated datasets. conclusions to analytic assumptions. falsify scientific findings. • The Department follows a policy of In the dissemination of influential Furthermore, when influential determining, in consultation as scientific information about risks, information that has been peer-reviewed ensure that the presentation of changes significantly, DOT will conduct appropriate with relevant scientific and 10 technical communities, when it is information is comprehensive, a second peer review. Peer review will useful and practicable to apply informative, and understandable, and also apply to influential information in reproducibility standards to original and that influential information is economically significant regulations supporting data. In making such accompanied by a clear explanation of under Executive Order 12866. determinations, the Department will be underlying assumptions. In a document Integrity guided by commonly accepted made available to the public, specify, to the extent practicable: DOT’s policy is to ensure that scientific, financial or statistical information is protected from standards, as applicable. The 1. Each population addressed by any estimate of applicable effects. unauthorized access, corruption or Department’s Scientific Integrity Policy revision (i.e., make certain disseminated guides its scientific research. With 2. The expected risk or central estimate of risk for the specific information is not compromised respect to analytic results, the through corruption or falsification). The Department’s policies favor sufficient populations affected. 3. Each appropriate upper bound or Department will apply appropriate transparency about methods to allow lower-bound estimate of risk. protections to information as independent reanalysis by qualified 4. Each significant uncertainty determined by DOT policy. DOT members of the public. In situations identified in the process of the risk Components will comply with relevant where public access will not occur (e.g., assessment and studies that would Department policies that protect the because of confidentiality requirements assist in reducing the uncertainty. integrity of information, including but or the use of proprietary models), the 5. Any additional studies, including not limited to: Department’s policy is to apply and peer-reviewed studies, known to the • DOT Order 1351.18, Departmental document especially rigorous agency that support, are directly Privacy Risk Management Policy robustness checks. relevant to, or fail to support the • DOT Order 1351.37, Departmental In OMB’s guidelines, one of the findings of the assessment and the Cybersecurity Policy aspects of ensuring objectivity concerns methodology used to reconcile the use of peer review. For information inconsistencies in the scientific data. Accessibility products to which peer review is In 2019, DOT revisited the parameters DOT’s policy is to ensure that all relevant, OMB’s guidelines create a for identifying and disseminating disseminated information (including rebuttable presumption that the influential information. DOT will electronic and web-based media) is information meets the OMB guidelines’ provide guidance for determining the accessible to all persons. DOT objectivity standards if the data and amount and type of pre-dissemination Components will comply with relevant analytic results have been subject to review necessary, specific types of Departmental policies that ensure the formal, independent, external peer information that are influential and a accessibility of disseminated review. Anyone seeking to rebut this rigorous process for determining information, including but not limited presumption (i.e., as part of the request whether types of information not to DOT Order 1351.23, Electronic and for correction process) would have the specifically listed in the guidelines Information Technology (EIT) obligation of demonstrating that the qualify as influential.8 DOT will ensure Accessibility Policy. information was not substantively that influential information is accurate, clear, complete, or unbiased, Public Access to Government communicated transparently by both as to substance and presentation, Information (Open Data) including a clear explication of and in a proper context. underlying assumptions, accurate When DOT makes available With respect to influential scientific contextualization of uncertainties, and a information originally collected by information disseminated by the DOT description of the probabilities another agency, the contributing agency Components regarding analysis of risks associated with both optimistic and is responsible for the quality of the to human health, safety, and the pessimistic projections, including best- information they contribute, and DOT environment, DOT Components will case and worst-case scenarios.9 will clearly communicate that adopt, with respect to the analysis in Prior to dissemination, all influential responsibility. question, quality principles of the Safe information produced by the DOT shall DOT’s policy is to provide the public Drinking Water Act of 1996 (42 U.S.C. be peer reviewed by subject matter with sufficient documentation about 300g–1(b)(3)(A) & (B), except where the experts (may be either internal or each dataset to allow data users to agency adapts these principles to fit the determine fitness for purpose. DOT will, needs and character of the analysis. 8 Implementation Update 1.1, OMB Memorandum when applicable, safeguard privacy and These principles are as follows: • M–19–15, April 24, 2019. Use the best available science and 9 Implementation Update 3.1, OMB Memorandum 10 Implementation Updates 1.2–1.4, OMB supporting studies conducted in M–19–15, April 24, 2019. Memorandum M–19–15, April 24, 2019.

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confidentiality when releasing data. develop transportation statistics and documentation. With respect to DOT Components will comply with the carry out modeling, economic information collection requirements DOT Order 1351.34, Departmental Data assessment, and program assessment covered by the PRA, the Department Management Policy, when activities to ensure that such will ensure that these requirements are disseminating, sharing, safeguarding, information is accurate, reliable, consistent with the guidelines and will and evaluating data and information. relevant, uniform, and in a form that so state in the PRA submission to OMB. permits systematic analysis by the The main components of DOT’s pre- Re-Use of Existing DOT Program Data Department; dissemination review policy are: DOT will: • Review and report to the Secretary • Allow adequate time for reviews, • Consider potential for using on the sources and reliability of the consistent with the level of standards existing data sources from inside and statistics proposed by the heads of the required for the type of information to outside the agency for statistical and OAs of the Department to measure be disseminated. Consult with other research purposes, while protecting outputs and outcomes as required by the stakeholders who have a substantial privacy and confidentiality. Government Performance and Results interest in the proposed dissemination • Solicit comments about Act of 1993 (Pub. L. 103–62; 107 Stat. of the information. downstream uses from statistical, 285); and at the request of the Secretary, • Verify compliance with these research, and evaluation agencies/ any other data collected or statistical guidelines (i.e., utility, objectivity, offices when designing or improving information published by the heads of integrity and accessibility requirements) data collection systems. the OAs of the Department; and as well as other DOT organization • Coordinate with the Senior Agency • Ensure that the statistics published specific guidance/procedures; Official for Privacy if considering under [49 U.S.C. 6302] are readily • With respect to information a DOT secondary analysis that involves PII. accessible to the public, consistent with organization believes to be influential, • Develop procedures for clearly applicable security constraints and maintain internal records of what documenting the quality of confidentiality interests. additional standards will be applied to administrative data that have the BTS has published a Statistical ensure its quality. potential to be used for statistical Standards Manual,12 a Guide to Good • Ensure that the entire information purposes.11 Statistical Practice in the Transportation product fulfills the intentions stated and DOT’s Data Management Policy (DOT Field,13 and a Confidentiality Policy.14 that the conclusions are consistent with Order 1351.34) also provides detailed BTS maintains these documents to the evidence; information regarding re-use of data and reflect current statistical policies and • Indicate origin of data (when information. methods regarding data quality and including data from an external source); confidentiality as well as challenges and 6. What additional standards of quality related to new data sources and • Ensure that each program office can are DOT operating administrations analytical methods. The most current provide additional data or metadata on implementing for statistical version of these manuals and guides the subject matter of any covered information? applies. information it disseminates. The Bureau of Transportation As one of the 13 principal federal 8. What are DOT’S procedures Statistics (BTS) provides additional statistical agencies, BTS adheres to all concerning requests for correction of guidance for statistical information. Statistical Policy Directives of the Office information? Under 49 U.S.C. 6302(b)(3)(B), the BTS of Management and Budget (OMB). Director is required to: These directives are published at You may request the correction of • Continually improve surveys and https://www.whitehouse.gov/omb/ information from the Department, but data collection methods of the information-regulatory-affairs/ not all requests for correction fall under Department to improve the accuracy statistical-programs-standards/. these Guidelines. For instance: and utility of transportation statistics; • The DOT maintains certain • Encourage the standardization of 7. What processes does DOT utilize to information about individuals in its data, data collection methods, and data ensure information quality before it is systems of records that those management and storage technologies disseminated? individuals may know or suspect is for data collected by the Bureau; the DOT’s policy is to conduct a pre- inaccurate, irrelevant, untimely, or operating administrations of the dissemination review on all information incomplete. In such cases, the Privacy Department (OAs); State and local it disseminates on or after October 1, Act permits those individuals to request governments; metropolitan planning 2002. During this review, each DOT that the DOT correct or amend the organizations; and private sector organization shall conduct subject information. To learn more about your entities; matter expert (internal or external, or rights under the Privacy Act, please • Build and disseminate the both) peer reviews and other review visit: https://www.transportation.gov/ transportation layer of the National mechanisms to ensure the quality of all privacy. Spatial Data Infrastructure. . . disseminated information. The costs • The DOT maintains information in including by coordinating the and benefits of using a higher quality support of its basic agency operations development of transportation standard or a more extensive review that relevant parties may have an geospatial data standards, compiling process will be considered in deciding opportunity to correct. In such cases, intermodal geospatial data, and the appropriate level of review and individual DOT programs may develop collecting geospatial data that is not their own review and redress being collected by other entities; 12 Available at https://www.bts.gov/learn-about- procedures that are not subject to these • Issue guidelines for the collection of bts-and-our-work/statistical-methods-and-policies/ Guidelines. To learn more about such information by the Department that the bts-statistical-standards-manual. programs, please visit the website of the 13 Available at https://www.bts.gov/archive/ relevant DOT OA. BTS Director determines necessary to publications/guide_to_good_statistical_practice_in_ the_transportation_field/index. To request correction of information 11 Implementation Updates 2.3–2.6, OMB 14 Available at https://www.bts.gov/ that is subject to these Guidelines, Memorandum M–19–15, April 24, 2019. confidentiality. follow the procedures below.

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May I request a correction of number and organizational affiliation, if statement, or other final document on information from the Department? any. which there was an opportunity for • You may request that the Department Describe how the information in public comment or participation with correct information disseminated after question affects you (e.g., how an respect to the compliance of the October 1, 2002. Information originally alleged error harms you, and/or how the information with these guidelines, correction will benefit you). could interested persons have requested disseminated before October 1, 2002, is • subject to this correction process if it Clearly identify the report, dataset, the correction of the information at the remains publicly available (e.g., it is or other document that contains the proposed stage? posted on a DOT website or the information you want the Department to If the DOT organization determines Department makes it available on a correct. Please include identifying that the answer to 1,2, or 3 is ‘‘no’’ or generally distributed information characteristics such as title, date, and that the answer to Question 4, 5, or 6 is how information was accessed. ‘‘yes,’’ DOT has the discretion to reject source) and it continues to play a • significant, active role in Department Not rely solely on general your request without responding to it on programs or in private sector decisions. statements that allege some type of its merits. If data or information is already covered error. You should specify, in detail, why If DOT rejects your request, the DOT by an existing quality review process, it you believe the information in question OA will send a written response will be addressed by that process and is inconsistent with the Department’s explaining why. Normally, the DOT OA not by the correction of information and/or OMB’s information quality will send this response within 60 procedure described here. If the guidelines (i.e., how the information calendar days of receiving your request. information relates to a final fails to meet standards of integrity, The DOT OA will file this response in utility, and/or objectivity). the Federal Docket Management System. Environmental Impact Statement (EIS), • the DOT organization may handle the Include any documents and/or If the DOT organization does not reject request as though it were a request for evidence you believe is relevant to your your request, it will consider the request a Supplemental EIS. request (e.g., comparable data or on its merits. DOT will not opine on the research results on the same topic). requestor’s or DOT’s policy position. Where do I submit a request for • Specify what corrections you wish DOT’s response will contain a point-by- correction of information? for DOT to make to the information and point response to any data quality You may make a request for why the recommended corrections arguments contained in the request for correction of information or request for would make the information more correction and will refer to a peer reconsideration by emailing consistent with DOT’s and/or OMB’s review that directly considered the issue [email protected]. If you information quality guidelines. being raised, if available. Prior to the wish to use postal mail, please send May the Department reject a request for release to the requestor, DOT will share your request to: U.S. Department of correction of information? a draft response with OMB for Transportation (DOT), Docket assessment of compliance with the Management, Re: Request for Correction Once the appropriate data quality above norms.15 of Information under the Information official has received your request for Who has the burden of proof with Quality Act, West Building, Room W12– correction of information s/he will respect to corrections of information? 140, 1200 New Jersey Avenue SE, review your request and answer the Washington, DC 20590. following questions to determine if your As the requester, you bear the burden request for correction is valid: of proof with respect to the necessity for How does the Department process 1. Did DOT (as opposed to some other correction as well as with respect to the incoming requests for correction? person or organization) disseminate the type of correction you seek. We will post incoming requests for information you are requesting to be What determinations does the correction, requests for reconsideration corrected? Department make concerning a request and DOT organizational responses on 2. Is the information about which you for correction of information? the Federal Dockets Management are requesting a correction from DOT System. covered by these Guidelines (see If DOT considers your request on its You should be aware that the Section 4)? merits (that is, does not reject it for one Department is not required to change, or 3. Is your request frivolous or not of the reasons stated above), DOT will in any way alter, the content or status germane to the substance of the make the determination whether of information simply based on the information in question? information subject to the DOT receipt of a request for correction. Nor 4. Has DOT responded previously to information quality guidelines complies does the receipt of a request, or a request that is the same or with the guidelines. In doing so, the consideration by the Department, result substantively very similar? (Note: This Department will consider whether the in staying or changing any action of the does not mean that the Department information or the request for correction Department. The receipt of a request for would automatically reject a second or is stale. If DOT did not disseminate this correction likewise does not affect the subsequent information correction information recently (i.e., within one finality of any decision of a DOT request concerning the same year of your request), or it does not have Component. information product. If one party made a continuing significant impact on DOT a request concerning one aspect of the projects or policy decisions or on What should you include in a request information product, and a second party important private sector decisions, we for correction of information? made a request concerning a different may regard the information as stale for You should: aspect of the same product, the two purposes of responding to a correction • Include a statement that you are requesters are seeking correction on request, unless the requestor can show submitting a request for correction of different grounds and it could be that he or she is affected by its information under DOT’s Information appropriate for the Department to dissemination. If we determine that Dissemination Quality Guidelines. consider both). • Include your name, mailing 5. With respect to information in a 15 Implementation Updates 4.2–4.4, OMB address, email address, telephone final rule, final environmental impact Memorandum M–19–15, April 24, 2019.

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information subject to the 2019 DOT issued or the requester had persuaded U.S.C. 3516). Contact information is guidelines does not comply with the the Department that there was a needed to respond to your request and guidelines, the Department will decide reasonable likelihood that the requester initiate follow-up contact with you if what correction is appropriate to make would suffer actual harm if the necessary. We may disclose part of the to ensure compliance. While the correction were not made before the records relating to a correction or Department’s policy is to correct final action was issued. correction appeals, including requestor existing information when necessary, Once again, the DOT organization will contact information to a congressional the Department is not obligated to place its response in the Federal office in response to an inquiry made on generate new or additional information Dockets Management System. As noted your behalf, to the Department of to respond to requests for correction. above, a DOT Component may reject a Justice, a court, other tribunal when the The DOT provides a response directly request for correction with respect to information is relevant and necessary to to the requestor. This response will information in a final document if there litigation, or to a contractor or another normally be issued within 60 calendar was an opportunity for public comment Federal agency to help accomplish a days of receiving the request. If the or participation with respect to the function related to this process. response will take significantly longer, compliance of information to these DOT will inform the requester that more 9. What are the department’s reporting guidelines and interested persons could requirements? time is required and indicate the reason have requested the correction of the why and an estimated decision date. information at the proposed stage. The Departmental Office of the Chief DOT will not take more than 120 days Information Officer will provide annual to respond without first seeking the How may I appeal the Department’s reports to OMB, including the number concurrence of the requester.16 This decision on a request for correction? and nature of complaints received written explanation to the requestor will You may request reconsideration concerning agency compliance as well also be filed in the Federal Dockets under this section if you have requested as how complaints were resolved. Management System. a correction of information under these 10. What are the definitions associated How does the Department process guidelines, and you are not satisfied with these guidelines? requests for correction concerning with the DOT organization’s response. You should request reconsideration DOT has adopted the definitions of information on which the Department terms set forth in The Office of has sought public comment? within 30 days of the date you received the DOT Component’s decision on your Management and Budget’s Guidelines Information in rulemakings and other original request for correction. for Ensuring and Maximizing the documents concerning which public You should send your request in the Quality, Objectivity, Utility, and participation and comment are sought same manner, and to the same address, Integrity of Information Disseminated by are subject to these guidelines. as provided above. Federal Agencies. The following However, the Department may respond DOT will assign an official or information explains further the way to requests for correction concerning establish a reconsideration panel to that DOT uses some of these terms. such information through a different determine if additional corrective action Reproducibility. Documented process than we use for other types of is needed, and will issue a written methods are capable of being used on information. When the Department response to the requestor stating the the same data set to achieve a consistent seeks public comment on a document reasons for the decision. DOT will share result. For more information on this and the information in it (e.g., a notice a draft response of the appeal with OMB term, please refer to OMB’s guidelines. Dissemination. As provided in OMB’s of proposed rulemaking (NPRM), prior to release to the requestor for guidelines, these guidelines apply only studies cited in an NPRM, a regulatory assessment of compliance with the to information disseminated on or after evaluation or cost-benefit analysis above norms. To protect the integrity of October 1, 2002. The fact that an pertaining to the NPRM; a draft the appeals process, DOT will ensure information product that was environmental impact statement; a that individuals reviewing and disseminated by DOT before this date is proposed policy notice or aviation order responding to the appeals request were still maintained by the Department (e.g., on which comment has been sought; a not involved in the review and initial in DOT’s files, in publications that DOT request for comments on an information response to the request for correction.17 continues to distribute on a website) collection subject to the Paperwork This guidance is non-regulatory and is does not make the information subject Reduction Act), there is an existing not intended to constitute a set of to these guidelines or to the request for mechanism for responding to a request legally binding requirements. However, correction process. As noted above, the for correction. This mechanism is a final DOT may be unable to process requests Department’s policy is to treat as subject document that responds to public that omit one or more of the requested to the guidelines information that we comments (e.g., the preamble to a final elements. DOT will attempt to contact maintain in a way that is readily rule). Consequently, our response to a and work with requesters to obtain available to the public and that request for correction of such additional information when warranted. continues to play a significant, active information will normally be The Department maintains records of role in Department programs or in incorporated in the next document we all corrections and appeals requests. issue in the matter. private sector decisions. These records may contain contact For example, suppose that DOT first The Department would consider information provided by you as making an earlier response, if doing so issued a study in 1999. The study is authorized by Section 515 of the relied upon in a 2000 DOT organization (1) would not delay the issuance of the Treasury and General Government final action in the matter; and (2) the publication, and the DOT organization Appropriations Act for Fiscal Year makes the publication available on its Department determined that there 2001 18 (Pub. L. 106–554, codified at 44 would be an unusually lengthy delay website. This study is not subject to these guidelines or to the request for before the final document would be 17 Implementation Updates 4.4–4.5, OMB Memorandum M–19–15, April 24, 2019. correction process just because it is 16 Implementation Update 4.1, OMB 18 https://www.govinfo.gov/content/pkg/PLAW- ‘‘archived’’ in an available paper Memorandum M–19–15, April 24, 2019. 106publ554/pdf/PLAW-106publ554.pdf. publication or website. However, if DOT

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issues a notice of proposed rulemaking DATES: We must receive your written Paperwork Reduction Act of 1995 (44 in 2003 that relies on the same study, comments on or before December 6, U.S.C. 3501 et seq.). then it becomes subject to these 2019. Comments submitted in response to guidelines—because it then has been ADDRESSES: As described below, you this notice will be included or disseminated (or, one might say ‘‘re- may send comments on the information summarized in our request for Office of disseminated’’) after October 1, 2002. collection described below using the Management and Budget (OMB) Departmental Components. Offices, ‘‘Regulations.gov’’ online comment form approval of the relevant information divisions, Operating Administrations for this document, or you may send collection. All comments are part of the (OAs) and comparable elements of the written comments via U.S. mail or hand public record and subject to disclosure. DOT. delivery. We no longer accept public Please do not include any confidential Departmental Chief Information comments via email or fax. or inappropriate material in your Officer (CIO). The Departmental CIO is • Internet: To submit comments comments. the senior management official online, use the comment form for this We invite comments on: (a) Whether responsible for the DOT Information document posted within Docket No. this information collection is necessary Dissemination Quality Program. TTB–2019–0001 on the Regulations.gov for the proper performance of the Data Quality Administrator (DQA). e-rulemaking website at https:// agency’s functions, including whether Designated representative in the Office www.regulations.gov. the information has practical utility; (b) of the CIO responsible for compiling • U.S. Mail: Send comments to the the accuracy of the agency’s estimate of agency reports and serving as agency Paperwork Reduction Act Officer, the information collection’s burden; (c) liaison to OMB. Regulations and Rulings Division, ways to enhance the quality, utility, and Data Quality Official (DQO). The Alcohol and Tobacco Tax and Trade clarity of the information collected; (d) DQO serve as the point of contact for the Bureau, 1310 G Street NW, Box 12, ways to minimize the information Departmental CIO/Data Quality Washington, DC 20005. collection’s burden on respondents, Administrator and will be responsible • Hand Delivery/Courier: Delivery including through the use of automated for implementing these guidelines comments to the Paper Reduction Act collection techniques or other forms of within their organization. Officer, Regulations and Rulings information technology; and (e) Federal Docket Management System. Division, Alcohol and Tobacco Tax and estimates of capital or start-up costs and An electronic, image-based database in Trade Bureau, 1310 G Street NW, Suite costs of operation, maintenance, and which all DOT docketed information is 400, Washington, DC 20005. purchase of services to provide the stored for easy research and retrieval. You must reference the information requested information. Docket. A docket is an official public collection’s title or recordkeeping An agency may not conduct or record. DOT publishes and stores online requirement number, and OMB control sponsor, and a person is not required to information about proposed and final number in your comment. respond to, a collection of information regulations, copies of public comments You may view copies of this unless the collection of information has on proposed rules, and related document, the information collection a valid OMB control number. information in the Federal Docket described in it, and all comments Management System. DOT uses this received in response to this document Information Collections Open for docketed material when making within Docket No. TTB–2019–0001 at Comment regulatory and adjudicatory decisions, https://www.regulations.gov. A link to Currently, we are seeking comments and makes docketed material available that docket is posted on the TTB on the following recordkeeping for review by interested parties. Specific website at https://www.ttb.gov/forms/ requirement: documents covering the same issues are comment-on-form.shtml. You may also stored together in a docket. obtain paper copies of this document OMB Control No. 1513–0110 [FR Doc. 2019–21769 Filed 10–4–19; 8:45 am] and any comments received in response Title: Recordkeeping for Tobacco BILLING CODE P to it by contacting Michael Hoover at Products Removed in Bond from a the addresses or telephone number Manufacturer’s Premises for shown below. Experimental Purposes—27 CFR DEPARTMENT OF THE TREASURY FOR FURTHER INFORMATION CONTACT: 40.232(e). Michael Hoover, Regulations and Abstract: The IRC at 26 U.S.C. 5704(a) Alcohol and Tobacco Tax and Trade Rulings Division, Alcohol and Tobacco provides that manufacturers of tobacco Bureau Tax and Trade Bureau, 1310 G Street products may remove tobacco products NW, Box 12, Washington, DC 20005; for experimental purposes without [Docket No. TTB–2019–0001] 202–453–1039, ext. 135; or payment of Federal excise tax, as Proposed Information Collection; [email protected] (please prescribed by regulation. Under that Comment Request (No. 75) do not submit comments to this email authority, the TTB regulations at 27 CFR address). 40.232(e) require the keeping of certain AGENCY: Alcohol and Tobacco Tax and SUPPLEMENTARY INFORMATION: usual and customary business records Trade Bureau (TTB); Treasury. regarding the description, shipment, Request for Comments ACTION: Notice and request for use, and disposition of tobacco products comments. The Department of the Treasury and removed for experimental purposes its Alcohol and Tobacco Tax and Trade outside of the factory. These records are SUMMARY: As part of our continuing Bureau (TTB), as part of their subject to TTB inspection and are effort to reduce paperwork and continuing effort to reduce paperwork necessary to protect the revenue, as they respondent burden, and as required by and respondent burden, invite the allow TTB to account for the lawful the Paperwork Reduction Act of 1995, general public and other Federal experimental use and disposition of we invite comments on the continuing agencies to comment on the continuing nontaxpaid tobacco products, and to information collection listed below in information collection described below detect diversion of such products into this notice. in this notice, as required by the the domestic market.

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Current Actions: There are no changes FOR FURTHER INFORMATION CONTACT: Veterans would elect to receive to this information collection or its Danny S. Green, Office of Quality, authorized care under the VCCP if estimated burden, and TTB is Performance and Risk (OQPR), certain conditions are met, as required submitting it for extension purposes Department of Veterans Affairs, 810 by 38 U.S.C. 1703(d)(3). This form also only. Vermont Avenue NW, Washington, DC will allow a covered Veteran to specify Type of Review: Extension of a 20420, (202) 421–1354 or email a particular non-VA entity or provider. currently approved collection. [email protected] Please refer to b. VA Form 10–10143a will collect Affected Public: Businesses or other ‘‘OMB Control No. 2900–0823’’ in any other health insurance information from for-profits. correspondence. covered Veterans who elect to Estimated Annual Burden: • SUPPLEMENTARY INFORMATION: participate in the VCCP, as required by Number of Respondents: 235. 38 U.S.C. 1705A. This information also • Average Responses per Respondent: Authority: 44 U.S.C. 3501–21. Title: Expanded Access to Non-VA is required by 38 U.S.C. 1703(j), which One. requires VA to recover or collect • Number of Responses: 235. Care through the MISSION Program: • Average per-response and Total Veterans Community Care Program reasonable charges for community care Burden: None. (Per the OMB regulation (VCCP) (VA Forms 10–10143, 10– that is furnished from a health care plan at 5 CFR 1320.3(b)(2), there is no burden 10143a, 10–10143b, 10–10143c and 10– contract described in 38 U.S.C. 1729. associated with the collection of usual 10143e) c. VA Form 10–10143b will collect of customary records kept during the OMB Control Number: 2900–0823. health records of covered Veterans from normal course of business.) Type of Review: Non-substantive non-VA health care entities and providers for care authorized under the Dated: September 30, 2019. change to a currently approved collection. VCCP, as required by 38 U.S.C. Amy R. Greenberg, Abstract: Section 101 of the VA 1703(a)(2)(A), which requires VA to Director, Regulations and Rulings Division. Maintaining Internal Systems and establish a mechanism to receive [FR Doc. 2019–21796 Filed 10–4–19; 8:45 am] Strengthening Integrated Outside medical records from non-VA providers. BILLING CODE 4810–31–P Networks (MISSION) Act of 2018 A copy of all medical and dental records requires VA to implement the Veterans (including but not limited to images, Community Care Program (VCCP) to test results, and notes or other records DEPARTMENT OF VETERANS furnish care in the community to of what care was provided and why) AFFAIRS covered Veterans through eligible related to a Veteran’s care provided [OMB Control No. 2900–0823] entities and providers, under under the VCCP must be submitted to circumstances as further prescribed in VA, including any claims for payment Agency Information Collection Activity the MISSION Act. VA currently collects for the furnishing of such care. Under OMB Review: Expanded Access information that will be required to d. VA Form 10–10143c will collect to Non-VA Care Through the MISSION implement the Veterans Community information from non-VA entities and Program: Veterans Community Care Care Program under the Veterans Choice providers concerning relevant Program (VCCP) Program, through an OMB approved credentials and licenses as required for collection 2900–0823. OMB Collection such entities or providers to furnish care AGENCY: Veterans Health 2900–0823 includes VA Form 10– and services generally. This information Administration, Department of Veterans 10143, Election to Receive Authorized is authorized by section 133 of the Affairs. Non-VA Care and Selection of Provider MISSION Act, which requires VA to ACTION: Notice. for the Veterans Choice Program; VA establish competency standards for non- Form 10–10143a, Health-Care Plan SUMMARY: In compliance with the VA providers, as well as 38 U.S.C. Information for the Veterans Choice Paperwork Reduction Act (PRA) of 1703C(a)(1), which requires VA to Program; VA Form 10–10143b, 1995, this notice announces that the establish certain standards of quality for Submission of Medical Record Veterans Health Administration, furnishing care and services (including Information under the Veterans Choice Department of Veterans Affairs, will through non-VA providers). Program; VA Form 10–10143c, submit the collection of information e. VA Form 10–10143e will collect Submission of Information on abstracted below to the Office of secondary authorization requests from Credentials and Licenses by Eligible Management and Budget (OMB) for non-VA entities and providers to Entities and Providers; and VA Form review and comment. The PRA furnish care and services in addition to 10–10143e,Secondary Authorization submission describes the nature of the or supporting the original authorization Request for VA Community Care. information collection and its expected VA seeks to update OMB collection for care. This information is required by cost and burden, and it includes the 2900–0823 to implement the Veterans 38 U.S.C. 1703(a)(3), which establishes actual data collection instrument. Community Care Program by updating that a covered Veteran may only receive DATES: Comments must be submitted on the title of VA forms and any associated care or services under the VCCP upon or before November 6, 2019. statutory citations to be consistent with VA’s authorization of such care or ADDRESSES: Submit written comments the new program and the MISSION Act, services. on the collection of information through and by updating burden hours to An agency may not conduct or www.Regulations.gov, or to Office of account for estimated increased use of sponsor, and a person is not required to Information and Regulatory Affairs, community care under the new respond to, a collection of information Office of Management and Budget, Attn: program. unless it displays a currently valid OMB VA Desk Officer; 725 17th St. NW, This collection of information is control number. The Federal Register Washington, DC 20503 or sent through required to properly adjudicate and Notice with a 60-day comment period electronic mail to oira_submission@ implement the requirements of the soliciting comments on this collection omb.eop.gov. Please refer to ‘‘OMB MISSION Act. of information was published at 84 FR Control No. 2900–0823’’ in any a. VA Form 10–10143 will collect 35181 on July 22, 2019, pages 35181 and correspondence. Veteran information on whether covered 35182.

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VA Form 10–10143 DEPARTMENT OF VETERANS respondents, including through the use AFFAIRS of automated collection techniques or Affected Public: Individuals or the use of other forms of information households. [OMB Control No. 2900–0846] technology. Estimated Annual Burden: 610,833 Agency Information Collection hours. Authority: Public Law 104–13; 44 Activity: VA Financial Services Center U.S.C. 3501–3521. Estimated Average Burden per (VA–FSC) Vendor File Request Form Respondent: 10 minutes. Title: VA Financial Services Center Frequency of Response: Once AGENCY: Veterans Health (VA–FSC) Vendor File Request Form annually. Administration, Department of Veterans (VA Form 10091) Affairs. Estimated Number of Respondents: OMB Control Number: 2900–0846. ACTION: Notice. 3,665,000. Type of Review: Extension of a VA Form 10–10143a SUMMARY: Veterans Health currently approved collection. Administration, Department of Veterans Abstract: The authorizing statute for Affected Public: Individuals or Affairs (VA), is announcing an this data collection falls under 31 U.S.C. households. opportunity for public comment on the 3701 and Public Law 104–134, Section Estimated Annual Burden: 610,833 proposed collection of certain 31001, Debt Collection Improvement hours. information by the agency. Under the Act of 1996. The mission of the Estimated Average Burden per Paperwork Reduction Act (PRA) of Nationwide Vendor File Division of the Respondent: 10 minutes. 1995, Federal agencies are required to Department of Veterans Affairs— publish notice in the Federal Register Frequency of Response: Once Financial Services Center (VA–FSC) is concerning each proposed collection of annually. to add, modify, or delete vendor records information, including each proposed Estimated Number of Respondents: extension of a currently approved in the Financial Management Services 3,665,000. collection, and allow 60 days for public (FMS) vendor file. The VA–FSC FMS VA Form 10–10143b comment in response to the notice. vendor file controls aspects of when, where, and how vendors are paid. There DATES: Written comments and Affected Public: Private Sector. recommendations on the proposed are currently more than 2.4 million Estimated Annual Burden: 1,039,332 collection of information should be active vendor records in FMS. hours. received on or before December 6, 2019. The VA–FSC Vendor File Request Estimated Average Burden per ADDRESSES: Submit written comments Form, VA Form 10091, was previously Respondent: 5 minutes. on the collection of information through created to streamline the data required Frequency of Response: Average of 34 Federal Docket Management System to establish a vendor record from times annually. (FDMS) at www.Regulations.gov or to multiple sources into a single form. The Estimated Number of Respondents: Brian McCarthy, Office of Regulatory VA now seeks a routine three-year 366,823. and Administrative Affairs (10B4), extension of the previous OMB PRA Department of Veterans Affairs, 810 clearance for this form. VA Form 10091 VA Form 10–10143c Vermont Avenue NW, Washington, DC will be used throughout the VA to Affected Public: Private Sector. 20420 or email to Brian.McCarthy4@ gather essential payment data from Estimated Annual Burden: 10,190 va.gov. Please refer to ‘‘OMB Control vendors (commercial, individuals, hours. No. 2900–0846’’ in any correspondence. Veterans, employees, etc.) to establish or During the comment period, comments Estimated Average Burden per update vendor records in order to may be viewed online through FDMS. Respondent: 5 minutes. process electronic payments through the FOR FURTHER INFORMATION CONTACT: ACH network to the vendor’s financial Frequency of Response: Once Brian McCarthy at (202) 615–9241. annually. institution. SUPPLEMENTARY INFORMATION: Under the Affected Public: Individuals and Estimated Number of Respondents: PRA of 1995, Federal agencies must households. 122,274. obtain approval from the Office of VA Form 10–10143e Management and Budget (OMB) for each Estimated Annual Burden: 37,500 collection of information they conduct hours. Affected Public: Private Sector. or sponsor. This request for comment is Estimated Average Burden per Estimated Annual Burden: 611,372 being made pursuant to Section Respondent: 15 minutes. hours. 3506(c)(2)(A) of the PRA. Frequency of Response: Once Estimated Average Burden per With respect to the following annually. Respondent: 20 minutes. collection of information, VHA invites Frequency of Response: Average of 5 comments on: (1) Whether the proposed Estimated Number of Respondents: times annually. collection of information is necessary 150,000. for the proper performance of VHA’s Estimated Number of Respondents: By direction of the Secretary. functions, including whether the 366,823. Danny S. Green, information will have practical utility; By direction of the Secretary. (2) the accuracy of VHA’s estimate of Interim VA Clearance Officer, Office of Danny S. Green, the burden of the proposed collection of Quality, Performance and Risk (OQPR), Department of Veterans Affairs. Interim VA Clearance Officer, Office of information; (3) ways to enhance the Quality, Performance and Risk (OQPR), quality, utility, and clarity of the [FR Doc. 2019–21756 Filed 10–4–19; 8:45 am] Department of Veterans Affairs. information to be collected; and (4) BILLING CODE 8320–01–P [FR Doc. 2019–21704 Filed 10–4–19; 8:45 am] ways to minimize the burden of the BILLING CODE 8320–01–P collection of information on

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DEPARTMENT OF VETERANS ADDRESSES: Submit written comments claimants. The information collected AFFAIRS on the collection of information through will be used to contact the alternate www.Regulations.gov, or to Office of signer for verification purposes. [OMB Control No. 2900–0849] Information and Regulatory Affairs, An agency may not conduct or Office of Management and Budget, Attn: sponsor, and a person is not required to Agency Information Collection Activity VA Desk Officer; 725 17th St. NW, respond to a collection of information Under OMB Review: Alternate Signer Washington, DC 20503 or sent through unless it displays a currently valid OMB Certification electronic mail to oira_submission@ control number. omb.eop.gov. Please refer to ‘‘OMB AGENCY: Veterans Benefits The Federal Register Notice with a Administration, Department of Veterans Control No. 2900–0849’’ in any 60-day comment period soliciting Affairs. correspondence. comments on this collection of information was published at 84 FR 118, ACTION: Notice. FOR FURTHER INFORMATION CONTACT: Danny S. Green, (202) 421–1354 or on June 19, 2019, page 28627. SUMMARY: In compliance with the email [email protected]. Please Affected Public: Individuals and Paperwork Reduction Act (PRA) of refer to ‘‘OMB Control No. 2900–0849’’ households. 1995, this notice announces that the in any correspondence. Estimated Annual Burden: 1,250. Estimated Average Burden per Veterans Benefits Administration, SUPPLEMENTARY INFORMATION: Respondent: 15 minutes. Department of Veterans Affairs, will Authority: 44 U.S.C. 3501–21. Frequency of Response: One time. submit the collection of information Title: Alternate Signer Certification Estimated Number of Respondents: abstracted below to the Office of (VA Form 21–0972). 5,000. Management and Budget (OMB) for OMB Control Number: 2900–0849. review and comment. The PRA Type of Review: Extension of a By direction of the Secretary. submission describes the nature of the currently approved collection. Danny S. Green, information collection and its expected Abstract: The VA Form 21–0972 is VA Interim Clearance Officer, Office of cost and burden and it includes the used to collect the alternate signer Quality, Performance and Risk Department actual data collection instrument. information necessary for VA to accept of Veterans Affairs. DATES: Comments must be submitted on benefit application forms signed by the [FR Doc. 2019–21703 Filed 10–4–19; 8:45 am] or before November 6, 2019. individuals on behalf of veterans and BILLING CODE 8320–01–P

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Reader Aids Federal Register Vol. 84, No. 194 Monday, October 7, 2019

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING OCTOBER

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. 12 CFR Presidential Documents 2 CFR 201...... 52752 Executive orders and proclamations 741–6000 417...... 52993 204...... 52753 The United States Government Manual 741–6000 3 CFR 701...... 51942, 53278 Other Services 715...... 53303 Proclamations: 746...... 53278 Electronic and on-line services (voice) 741–6020 9933...... 52737 Proposed Rules: Privacy Act Compilation 741–6050 9934...... 52739 327...... 52826 9935...... 52741 390 ...... 52387, 52827, 52834 ELECTRONIC RESEARCH 9936...... 52983 9937...... 52985 14 CFR World Wide Web 9938...... 52987 39 ...... 51952, 51955, 51957, 9939...... 52989 51960, 52754, 53008 Full text of the daily Federal Register, CFR and other publications 9940...... 52991 is located at: www.govinfo.gov. 71 ...... 51963, 51964, 52757 Executive Orders: 97 ...... 51965, 51967, 51970, Federal Register information and research tools, including Public 13811 (superseded in 51971 Inspection List and electronic text are located at: part by 13889)...... 52743 www.federalregister.gov. 13888...... 52355 Proposed Rules: 25...... 52392 13889...... 52743 E-mail 27...... 52392 Administrative Orders: 29...... 52392 FEDREGTOC (Daily Federal Register Table of Contents Electronic Memorandums: 39 ...... 52044, 52047, 53070, Mailing List) is an open e-mail service that provides subscribers Memorandum of 53073, 53076, 53082 with a digital form of the Federal Register Table of Contents. The September 24, 71 ...... 52049, 52051, 53346 digital form of the Federal Register Table of Contents includes 2019 ...... 52353 91...... 52392 HTML and PDF links to the full text of each document. 5 CFR 121...... 52392 To join or leave, go to https://public.govdelivery.com/accounts/ 125...... 52392 USGPOOFR/subscriber/new, enter your email address, then 185...... 51937 135...... 52392 follow the instructions to join, leave, or manage your 7 CFR subscription. 15 CFR 1...... 51938 PENS (Public Law Electronic Notification Service) is an e-mail Proposed Rules: 51...... 51939 922...... 52053 service that notifies subscribers of recently enacted laws. 251...... 52997 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 400...... 52993 16 CFR and select Join or leave the list (or change settings); then follow 930...... 53003 Proposed Rules: the instructions. Proposed Rules: 425...... 52393 FEDREGTOC and PENS are mailing lists only. We cannot 205...... 52041 respond to specific inquiries. 273...... 52809 17 CFR 922...... 52384 230...... 53011 Reference questions. Send questions and comments about the 966...... 52042 Federal Register system to: [email protected] Proposed Rules: 210...... 52936 8 CFR The Federal Register staff cannot interpret specific documents or 229...... 52936 regulations. 103...... 52357 249...... 52936 212...... 52357 FEDERAL REGISTER PAGES AND DATE, OCTOBER 213...... 52357 18 CFR 214...... 52357 Proposed Rules: 51937–52356...... 1 245...... 52357 292...... 53246 52357–52746...... 2 248...... 52357 375...... 53246 52747–52992...... 3 9 CFR 52993–53302...... 4 20 CFR 53303–53572...... 7 301...... 52300 620...... 53037 309...... 52300 310...... 52300 21 CFR 510...... 53309 10 CFR 520...... 53309 72...... 52747 522...... 53309 Proposed Rules: 526...... 53309 72...... 52815 529...... 53309 429...... 52817 556...... 53309 430...... 52817, 52818 558...... 53309 431...... 52386 Proposed Rules: 810...... 52819 117...... 53347 955...... 53066 573...... 52055

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26 CFR 117...... 53350 63...... 52419 49 CFR 1...... 53052 127...... 53352 180...... 52850 190...... 52015 165...... 52835 282...... 52852 Proposed Rules: 191...... 52180 1 ...... 52398, 52410, 52835 37 CFR 192...... 52180 41 CFR 195...... 52260 29 CFR 1...... 51977 105-70...... 53064 383...... 52029 2200...... 53052 2...... 52363 7...... 52363 384...... 52029 Proposed Rule: 580...... 52664 42...... 51977 47 CFR 4003...... 53084 Proposed Rules: Proposed Rules: Proposed Rules: 30 CFR 1...... 53090 29...... 52706 0...... 53355 385...... 52432 Proposed Rules: 39 CFR 1...... 53355 Ch. X...... 53094 924...... 53349 76...... 53355 111...... 51982 1250...... 53375 31 CFR 3002...... 53056 48 CFR 1010...... 51973, 53053 3004...... 53056 50 CFR Proposed Rules: Proposed Rules: Proposed Rules: 17 ...... 52598, 52791, 53336 800...... 52411 501...... 53353 2...... 52420 9...... 52420 216...... 52372 40 CFR 32 CFR 12...... 52425 300...... 52035, 52800 316...... 51974 52 ...... 51983, 51986, 51988, 13...... 52420, 52425 622...... 52036 637...... 52363 52001, 52003, 52005, 52364, 14...... 52428 635...... 52806 887...... 51974 52368, 52766, 53057, 53061 15...... 52425, 52428 648...... 52039, 53065 180 ...... 52369, 52771, 52775, 16...... 52420, 52425 679 ...... 52039, 53343, 53344 33 CFR 52778, 53316, 53322, 53326, 19...... 52420 Proposed Rules: 100 ...... 51975, 53053, 53314 53373 22...... 52420 17...... 52058, 53380 117...... 53054 282...... 52783 25...... 52420 300...... 52852 165...... 51975, 52763 Proposed Rules: 30...... 52428 600...... 52852 Proposed Rules: 52...... 52838 37...... 52425 622...... 52438, 52864 100...... 52411 60...... 52055 52...... 52420, 52428 679...... 52442, 52852

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