Vol. 85 Tuesday, No. 67 April 7, 2020
Pages 19375–19640
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 85, No. 67
Tuesday, April 7, 2020
Agricultural Marketing Service PROPOSED RULES RULES Schedules of Controlled Substances: Subpart Nomenclature Change, 19378–19381 Placement of 4,4′-DMAR in Schedule I, 19401–19408 NOTICES Agriculture Department Bulk Manufacturer of Controlled Substances Application: See Agricultural Marketing Service American Radiolabeled Chem, 19504 NOTICES Benuvia Therapeutics, Inc., 19505 Agency Information Collection Activities; Proposals, Importer of Controlled Substances Application: Submissions, and Approvals, 19422–19423 Almac Clinical Services Incorp, 19504–19505
Centers for Disease Control and Prevention Employment and Training Administration NOTICES NOTICES Meetings: Agency Information Collection Activities; Proposals, Board of Scientific Counselors, National Institute for Submissions, and Approvals, 19505–19506 Occupational Safety and Health, National Firefighter Registry Subcommittee, 19486 Energy Department Centers for Medicare & Medicaid Services See Federal Energy Regulatory Commission NOTICES Agency Information Collection Activities; Proposals, Engineers Corps Submissions, and Approvals, 19486–19489 NOTICES Environmental Impact Statements; Availability, etc.: Civil Rights Commission Dow Chemical Company’s Harris Reservoir Expansion NOTICES Project, Brazoria County, TX; Public Scoping Meetings: Meeting, 19460–19462 Florida Advisory Committee, 19424 Port of Corpus Christi Channel Deepening Project, Nueces Michigan Advisory Committee, 19423–19424 and Aransas Counties, TX; Public Scoping Meeting, 19462–19463 Commerce Department See Foreign-Trade Zones Board Environmental Protection Agency See Industry and Security Bureau PROPOSED RULES See International Trade Administration Air Quality State Implementation Plans; Approvals and See National Oceanic and Atmospheric Administration Promulgations: See Patent and Trademark Office Finding of Failure to Attain the 1987 24-Hour PM10 Standard; Reclassification as Serious Nonattainment; Commodity Futures Trading Commission Pinal County, AZ, 19408–19412 NOTICES National Emission Standards for Hazardous Air Pollutants: Meetings; Sunshine Act, 19459 Phosphoric Acid Manufacturing, 19412–19418 NOTICES Corporation for National and Community Service Existing Comprehensive Procurement Guideline NOTICES Designations and Recovered Materials Advisory Notice Agency Information Collection Activities; Proposals, Recommendations, 19473–19474 Submissions, and Approvals: Funding Availability: Application Instructions for AmeriCorps State and FY2020 Supplemental Funding for Brownfields National Competitive New and Continuation, 19459– Revolving Loan Fund Grantees; Extension of 19460 Application Period, 19474–19475 Defense Department Meetings: See Engineers Corps National and Governmental Advisory Committees to the RULES U.S. Representative to the Commission for Disposition of Proceeds from DoD Sales of Surplus Personal Environmental Cooperation; Teleconference, 19472– Property, 19392 19473 NOTICES Agency Information Collection Activities; Proposals, Federal Aviation Administration Submissions, and Approvals: RULES Examination of Records by Comptroller General and Airworthiness Directives: Contract Audit, 19485–19486 Airbus SAS Airplanes, 19381–19383 Payments to Small Business Subcontractors, 19484–19485 Amendment of Area Navigation Routes; Florida Metroplex Project: Drug Enforcement Administration Southeastern United States, 19384 RULES PROPOSED RULES Schedules of Controlled Substances: Airworthiness Directives: Placement of Lemborexant in Schedule IV, 19387–19391 McCauley Propeller Systems Governors, 19399–19401
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Federal Communications Commission Food and Drug Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals, 19475–19479 Submissions, and Approvals: Recordkeeping and Records Access Requirements for Federal Emergency Management Agency Food Facilities, 19489–19491 NOTICES Meetings: Agency Information Collection Activities; Proposals, Pulmonary-Allergy Drugs Advisory Committee; Submissions, and Approvals: Postponed, 19491 Residential Basement Floodproofing Certification, 19496 Withdrawal of Approval of Abbreviated New Drug Applications; Correction: Elite Laboratories, Inc., 19491 Federal Energy Regulatory Commission RULES Delegation of Authority, 19384–19386 Foreign-Trade Zones Board NOTICES NOTICES Business Continuity of Energy Infrastructure, 19465–19466 Approval of Subzone Status: Combined Filings, 19463–19470 Warehouse Specialists, LLC; Council Bluffs, IA, 19424 Complaint: Alliance for Open Markets, BP Canada Energy Marketing Corp., Oasis Petroleum Marketing LLC, and Tenaska General Services Administration Marketing Ventures v. Northern Border Pipeline Co., NOTICES 19471 Agency Information Collection Activities; Proposals, Filing: Submissions, and Approvals: City of Goose Creek, SC, 19471–19472 Examination of Records by Comptroller General and FirstEnergy Service Co., 19472 Contract Audit, 19485–19486 Initial Market-Based Rate Filings Including Requests for Payments to Small Business Subcontractors, 19484–19485 Blanket Section 204 Authorizations: Roundhouse Renewable Energy, LLC, 19469 Health and Human Services Department Yards Creek Energy, LLC, 19471 See Centers for Disease Control and Prevention See Centers for Medicare & Medicaid Services Federal Motor Carrier Safety Administration See Food and Drug Administration NOTICES See Health Resources and Services Administration Agency Information Collection Activities; Proposals, See National Institutes of Health Submissions, and Approvals: RULES Hazardous Materials Safety Permits, 19570 Enforcement Discretion under HIPAA to Allow Uses and Training Certification for Entry-Level Commercial Motor Disclosures of Protected Health Information by Vehicle Operators, 19570–19572 Business Associates for Public Health and Health Qualification of Drivers; Exemption Applications: Oversight Activities in Response to COVID–19, 19392– Epilepsy and Seizure Disorders, 19568–19569 19393 Hearing, 19572–19576 Implantable Cardioverter Defibrillator, 19567–19568 Health Resources and Services Administration Vision, 19576–19578 NOTICES Agency Information Collection Activities; Proposals, Federal Reserve System Submissions, and Approvals: NOTICES AIDS Drug Assistance Program Data Report ADR, 19494– Change in Bank Control: 19495 Acquisitions of Shares of a Bank or Bank Holding Meetings: Company, 19479 Rescheduling National Advisory Council on Migrant Formations of, Acquisitions by, and Mergers of Bank Health, 19492 Holding Companies, 19479 Supplemental Award: Ryan White HIV/AIDS Program Part F; AIDS Education Federal Trade Commission and Training Centers Enhancement and Update of NOTICES the National HIV Curriculum e-Learning Platform, Agency Information Collection Activities; Proposals, 19493–19494 Submissions, and Approvals, 19479–19481 Ryan White HIV/AIDS Program Part F; AIDS Education Proposed Consent Agreement: and Training Centers; National HIV Curriculum e- Ortho-Clinical Diagnostics, Inc.; Analysis of Proposed Learning Platform: Technology Operations and Consent Order to Aid Public Comment, 19481–19483 Maintenance Project, 19491–19492 Williams–Sonoma, Inc.; Analysis to Aid Public Comment, Supplemental Awards: 19483–19484 Ryan White HIV/AIDS Program Part F Regional AIDS Education and Training Centers, 19492–19493 Fish and Wildlife Service PROPOSED RULES Homeland Security Department National Wildlife Refuge System: See Federal Emergency Management Agency Use of Electric Bicycles, 19418–19421 See U.S. Citizenship and Immigration Services
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Housing and Urban Development Department Mine Safety and Health Administration NOTICES RULES Agency Information Collection Activities; Proposals, Electronic Detonators, 19391–19392 Submissions, and Approvals: Environmental Review Procedures for Entities Assuming National Aeronautics and Space Administration HUD Environmental Responsibilities, 19502 NOTICES Agency Information Collection Activities; Proposals, Indian Affairs Bureau Submissions, and Approvals: NOTICES Examination of Records by Comptroller General and National Tribal Broadband Grant: Contract Audit, 19485–19486 Solicitation of Proposals; Correction, 19502–19503 Payments to Small Business Subcontractors, 19484–19485 Industry and Security Bureau NOTICES National Highway Traffic Safety Administration Meetings: RULES Information Systems Technical Advisory Committee, Denial of Petition for Reconsideration: 19425 Temporary Exemption from Motor Vehicle Safety and Sensors and Instrumentation Technical Advisory Bumper Standards, 19393–19396 Committee, 19424–19425 National Institutes of Health Interior Department NOTICES See Fish and Wildlife Service Meetings: See Indian Affairs Bureau National Institute of Dental and Craniofacial Research, 19495 International Trade Administration NOTICES National Oceanic and Atmospheric Administration Antidumping or Countervailing Duty Investigations, Orders, RULES or Reviews: Fisheries of the Caribbean, Gulf of Mexico, and South Calcium Hypochlorite from the People’s Republic of Atlantic: China, 19439–19440, 19443–19444 Reef Fish Fishery of the Gulf of Mexico; 2020 Red Ceramic Tile from the People’s Republic of China, Snapper Private Angling Component Closures in 19440–19443 Federal Waters off Texas, 19396–19397 Certain Corrosion Inhibitors from the People’s Republic Fisheries of the Exclusive Economic Zone off Alaska: of China, 19455–19456 Northern Rockfish in the Bering Sea and Aleutian Islands Certain Lined Paper Products from India, 19434–19436 Management Area, 19397–19398 Citric Acid and Certain Citrate Salts from Canada, 19436– NOTICES 19437 Application for Exempted Fishing Permits: Common Alloy Aluminum Sheet from Bahrain, Brazil, Magnuson-Stevens Act Provisions; General Provisions for India, and the Republic of Turkey, 19449–19454 Domestic Fisheries, 19457–19459 Sugar from Mexico, 19438–19439, 19454–19455 Endangered and Threatened Species: Welded Line Pipe from the Republic of Korea, 19437– Initiation of a 5-Year Review of Three Foreign Corals, 19438 19456–19457 Determination of Sales at Less Than Fair Value: Meetings: Ceramic Tile from the People’s Republic of China, U.S. Stakeholder Meeting on Pacific Bluefin Tuna Fishery 19425–19434 Management Framework, 19457 Common Alloy Aluminum Sheet from Bahrain, Brazil, Takes of Marine Mammals Incidental to Specified Croatia, et al., 19444–19449 Activities: Marine Geophysical Survey in the Northeast Pacific International Trade Commission Ocean, 19580–19634 NOTICES Investigations; Determinations, Modifications, and Rulings, etc.: National Science Foundation Mattresses from Cambodia, China, Indonesia, Malaysia, NOTICES Serbia, Thailand, Turkey, and Vietnam, 19503–19504 Meetings; Sunshine Act, 19507
Justice Department Nuclear Regulatory Commission See Drug Enforcement Administration NOTICES Applications and Amendments to Facility Operating Labor Department Licenses and Combined Licenses Involving No See Employment and Training Administration Significant Hazards Considerations: See Mine Safety and Health Administration Biweekly Notice, 19507–19514 License Transfer: Legal Services Corporation In the Matter of Duke Energy Florida, LLC; Crystal River NOTICES Unit 3 Nuclear Generating Plant and Independent Funding Availability: Spent Fuel Storage Installation, 19515–19517 Request for Proposals for Calendar Year 2021 Basic Field Release of Patients Administered Radioactive Material, Grant Awards, 19506–19507 19514–19515
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Patent and Trademark Office Small Business Administration NOTICES NOTICES Interim Extension of the Term of Patent: Major Disaster Declarations: U.S. Patent No. 7,534,790; vernakalant hydrochloride, South Carolina, 19562–19563 19459 Social Security Administration NOTICES Personnel Management Office Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals, 19563–19566 Prevailing Rate Systems: Definition of Pitt County, NC, to a Nonappropriated Fund State Department Federal Wage System Wage Area, 19377–19378 NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: State Assistance Management System Domestic Results Annuity Supplement Earnings Report, RI 92–22, 19518 Monitoring Module and NEA/AC Online Reinstatement of Disability Annuity Previously Performance Reporting System, 19566 Terminated Because of Restoration to Earning Capacity, RI 30–9, 19517 Transportation Department Request to Disability Annuitant for Information on See Federal Aviation Administration Physical Condition and Employment, RI 30–1, See Federal Motor Carrier Safety Administration 19517–19518 See National Highway Traffic Safety Administration
Presidential Documents U.S. Citizenship and Immigration Services PROCLAMATIONS NOTICES Special Observances: Agency Information Collection Activities; Proposals, World Autism Awareness Day (Proc. 10006), 19375– Submissions, and Approvals: 19376 Generic Clearance for the Collection of Qualitative ADMINISTRATIVE ORDERS Feedback on Agency Service Delivery, 19501–19502 Government Agencies and Employees: Continuation of Employment Authorization and Automatic Pension Benefit Guaranty Corporation; Order of Extension of Existing Employment Authorization Succession (Memorandum of April 2, 2020), 19635– Documents for Eligible Liberians During the Period of 19638 Extended Wind-Down of Deferred Enforced Departure, Health and Human Services: 19496–19500 COVID–19 Response in Georgia, Hawaii, Indiana, Memorandum on Extending the Wind-Down Period for Missouri, New Hampshire, New Mexico, Ohio, Deferred Enforced Departure for Liberians, 19500– Rhode Island, Tennessee, Texas, and the U.S. Virgin 19501 Islands; Federal Support for Governors’ Use of National Guard (Memorandum of April 2, 2020), 19639–19640 Separate Parts In This Issue
Part II Railroad Retirement Board Commerce Department, National Oceanic and Atmospheric RULES Administration, 19580–19634 Amending the Definition of Available for Work, 19386 Part III Securities and Exchange Commission Presidential Documents, 19635–19640 NOTICES Joint Industry Plan: BOX Exchange, LLC; Cboe BZX Exchange, Inc.; Cboe C2 Reader Aids Exchange, Inc.; et al., 19545–19548 Consult the Reader Aids section at the end of this issue for Self-Regulatory Organizations; Proposed Rule Changes: phone numbers, online resources, finding aids, and notice BOX Exchange, LLC, 19537–19540 of recently enacted public laws. ICE Clear Credit, LLC, 19551–19553 To subscribe to the Federal Register Table of Contents New York Stock Exchange, LLC; NYSE Chicago, Inc.; electronic mailing list, go to https://public.govdelivery.com/ NYSE American, LLC; et al., 19553–19554, 19562 accounts/USGPOOFR/subscriber/new, enter your e-mail NYSE Arca, Inc., 19519–19537, 19554–19562 address, then follow the instructions to join, leave, or NYSE National, Inc., 19541–19545, 19549–19551 manage your subscription.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
3 CFR Proclamations: 10006...... 19375 Administrative Orders: Memorandums: Memorandums of April 2, 2020 ...... 19637,19639 5 CFR 532...... 19377 7 CFR 51...... 19378 52...... 19378 14 CFR 39...... 19381 71...... 19384 Proposed Rules: 39...... 19399 18 CFR 375...... 19384 20 CFR 327...... 19386 21 CFR 1308...... 19387 Proposed Rules: 1308...... 19401 30 CFR 56...... 19391 57...... 19391 32 CFR 172...... 19392 40 CFR Proposed Rules: 52...... 19408 63...... 19412 45 CFR 160...... 19392 164...... 19392 49 CFR 555...... 19393 50 CFR 622...... 19396 679...... 19397 Proposed Rules: 27...... 19418
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Federal Register Presidential Documents Vol. 85, No. 67
Tuesday, April 7, 2020
Title 3— Proclamation 10006 of April 1, 2020
The President World Autism Awareness Day, 2020
By the President of the United States of America
A Proclamation World Autism Awareness Day is a tribute to the millions of Americans living with autism spectrum disorder (ASD). Their numerous triumphs over many and varied obstacles are a testament to the strength and resolve of the American spirit. We also extend our gratitude to all those who, through their unwavering dedication to supporting Americans with ASD, help em- power them to thrive at home, in the workplace, and in their communities. As President, I am committed to ensuring all Americans with ASD can thrive and prosper. Last year, I was proud to sign into law legislation reauthorizing the Autism CARES Act, approving more than $1.8 billion in funding over 5 years to research and develop new treatments and therapies, and enhancing support services for those with ASD throughout their entire lives. This legislation also expanded the Interagency Autism Coordinating Committee to include representatives from 17 Federal agencies and stake- holders from throughout the autism community. The enhanced public-private partnerships made possible by these efforts are providing support to those with ASD. Early detection and treatment play essential roles in optimizing the lives of people with ASD. To assist in making every resource available to these individuals during the most critical developmental stage of their life, the National Institutes of Health (NIH) recently awarded more than $4 million to research, develop, and validate screening tools that detect signs of ASD during the first year of life. NIH has also awarded more than $36 million to enhance healthcare providers’ expertise in caring for Americans with ASD. This funding is vital to those living with ASD, expanding opportunities to live lives full of meaning and joy. Approximately 1 in every 59 American children lives with ASD. That means that approximately 500,000 of our Nation’s young people who turn 18 over the next decade enter adulthood with ASD. My Administration, along with coordinated efforts at the State and local levels, is committed to providing opportunities to assist in their successful transition into rewarding careers and fulfilling lives. Through the Department of Labor’s Youth Policy Develop- ment Center and the Apprenticeship Inclusion Model initiative, we are expanding opportunities for Americans with ASD to develop high-demand skills that pair with good-paying jobs. Additionally, the Department of Hous- ing and Urban Development has allocated more than $110 million to increase the availability of affordable and reliable housing models to enable individ- uals with disabilities, including ASD, to live independently. Today, we join with the international ASD community in reaffirming our resolve to support all those with ASD as they continue to strengthen our families, our communities, our Nation, and the world. Together, we will work to promote more meaningful connections of respect and build a society where everyone has the opportunity to succeed. NOW, THEREFORE, I, DONALD J. TRUMP, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim April 2, 2020, as World Autism Awareness Day. I call upon all Americans to learn more
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about the signs of autism to improve early diagnosis, understand the chal- lenges faced by individuals with autism, and find ways to support those with autism and their families. IN WITNESS WHEREOF, I have hereunto set my hand this first day of April, in the year of our Lord two thousand twenty, and of the Independence of the United States of America the two hundred and forty-fourth.
[FR Doc. 2020–07388 Filed 4–6–20; 8:45 am] Billing code 3295–F0–P
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Rules and Regulations Federal Register Vol. 85, No. 67
Tuesday, April 7, 2020
This section of the FEDERAL REGISTER Regulatory Impact Analysis Paperwork Reduction Act contains regulatory documents having general applicability and legal effect, most of which This action is not a ‘‘significant This rule does not impose any new are keyed to and codified in the Code of regulatory action’’ under the terms of reporting or recordkeeping requirements Federal Regulations, which is published under Executive Order (E.O.) 12866 (58 FR subject to the Paperwork Reduction Act. 50 titles pursuant to 44 U.S.C. 1510. 51735, October 4, 1993) and is therefore not subject to review under E.O. 12866 List of Subjects in 5 CFR Part 532 The Code of Federal Regulations is sold by and 13563 (76 FR 3821, January 21, the Superintendent of Documents. Administrative practice and 2011). procedure, Freedom of information, Reducing Regulation and Controlling Government employees, Reporting and OFFICE OF PERSONNEL Regulatory Costs recordkeeping requirements, Wages. MANAGEMENT Office of Personnel Management. This rule is not an Executive Order 5 CFR Part 532 13771 regulatory action because this Alexys Stanley, Regulatory Affairs Analyst. RIN 3206–AN94 rule is not significant under E.O. 12866. Regulatory Flexibility Act Accordingly, OPM is amending 5 CFR Prevailing Rate Systems; Definition of part 532 as follows: Pitt County, North Carolina, to a OPM certifies that this rule will not Nonappropriated Fund Federal Wage have a significant economic impact on PART 532—PREVAILING RATE System Wage Area a substantial number of small entities SYSTEMS because it will affect only Federal AGENCY: Office of Personnel agencies and employees. ■ 1. The authority citation for part 532 Management. Federalism continues to read as follows: ACTION: Final rule. Authority: 5 U.S.C. 5343, 5346; § 532.707 We have examined this rule in also issued under 5 U.S.C. 552. SUMMARY: The Office of Personnel accordance with Executive Order 13132, ■ Management (OPM) is issuing a final Federalism, and have determined that 2. In appendix D to subpart B, amend rule to define Pitt County, North this rule will not have any negative the table by revising the wage area Carolina, as an area of application impact on the rights, roles and listing for the State of North Carolina to county to the Wayne, NC, responsibilities of State, local, or tribal read as follows: nonappropriated fund (NAF) Federal governments. Wage System (FWS) wage area. This Appendix D to Subpart B of Part 532— change is necessary because there is one Civil Justice Reform Nonappropriated Fund Wage and NAF FWS employee working in Pitt Survey Areas This regulation meets the applicable County, and the county is not currently * * * * * standard set forth in Executive Order defined to a NAF wage area. 12988. DATES: DEFINITIONS OF WAGE AREAS AND Effective date: This regulation is Unfunded Mandates Act of 1995 WAGE AREA SURVEY AREAS effective May 7, 2020. This rule will not result in the Applicability date: This change expenditure by State, local, and tribal ***** applies on the first day of the first NORTH CAROLINA governments, in the aggregate, or by the Craven applicable pay period beginning on or private sector, of $100 million or more after May 7, 2020. Survey Area in any year and it will not significantly North Carolina: FOR FURTHER INFORMATION CONTACT: or uniquely affect small governments. Craven Madeline Gonzalez, by telephone at Therefore, no actions were deemed Area of Application. Survey area plus: (202) 606–2858 or by email at pay-leave- necessary under the provisions of the North Carolina: [email protected]. Unfunded Mandates Reform Act of Carteret Dare SUPPLEMENTARY INFORMATION: On 1995. Cumberland December 31, 2019, OPM issued a Congressional Review Act Survey Area proposed rule (84 FR 72250) to define North Carolina: Pitt County, NC, as an area of This action pertains to agency Cumberland application county to the Wayne, NC, management, personnel, and Area of Application. Survey area plus: NAF FWS wage area. This change is organization and does not substantially North Carolina: based on a majority recommendation of affect the rights or obligations of Durham the Federal Prevailing Rate Advisory nonagency parties and, accordingly, is Forsyth Committee (FPRAC), the national labor- not a ‘‘rule’’ as that term is used by the Rowan management committee responsible for Congressional Review Act (Subtitle E of Onslow Survey area advising OPM on the administration of the Small Business Regulatory North Carolina: the FWS. Enforcement Fairness Act of 1996 Onslow The proposed rule had a 30-day (SBREFA)). Therefore, the reporting Area of Application. Survey area plus: comment period, during which OPM requirement of 5 U.S.C. 801 does not North Carolina: received no comments. apply. New Hanover
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DEFINITIONS OF WAGE AREAS AND issued under 7 CFR parts 51 and 52, Processing. This change has not been WAGE AREA SURVEY AREAS—Con- which establish grade standards and reflected in the subsequent Code of tinued provide for inspection of certain fresh Federal Register publications but is Wayne and processed fruits, vegetables, nuts, recognized in this rule. Survey area and specialty crops under the This final rule is administrative in North Carolina: Agricultural Marketing Act of 1946. nature and makes technical changes to Wayne This technical amendment CFR headings that will have no impact Area of Application. Survey area plus: redesignates and revises the heading of on the regulated industries. North Carolina: title 7, subtitle B, chapter I, subchapter Accordingly, pursuant to 5 U.S.C. Halifax C and of each subpart within 7 CFR 553(b)(3)(B), notice of proposed Pitt parts 51 and 52 so that they are rulemaking and opportunity for consistent with OFR requirements. The ***** comment are unnecessary, and there is subparts were previously incorporated good cause to proceed with a final rule. [FR Doc. 2020–06891 Filed 4–6–20; 8:45 am] into 7 CFR parts 51 and 52 without Although there is no formal comment BILLING CODE 6325–39–P assigned subpart letter designations. period, public comments on this rule Further, some headings in subchapter C are welcome on a continuing basis. include the word ‘‘Regulations’’ in the Comments should be submitted to the DEPARTMENT OF AGRICULTURE title, which is inconsistent with OFR address or email under the FOR FURTHER approved part and subpart headings, as INFORMATION CONTACT section. Agricultural Marketing Service each part under 7 CFR subtitle B This rule falls within a category of represents a body of regulations. regulatory actions that the Office of 7 CFR Parts 51 and 52 For example, the heading of Management and Budget (OMB) [Doc. No. AMS–LRRS–19–0099; SC–19–331] subchapter C, ‘‘Regulations and exempted from Executive Order 12866 Standards under the Agricultural review. Additionally, because this rule Subpart Nomenclature Change; Marketing Act of 1946 and the Egg does not meet the definition of a Technical Amendment Products Inspection Act’’, is considered significant regulatory action, it does not redundant by the OFR in that it denotes trigger the requirements contained in AGENCY: Agricultural Marketing Service, regulations within a body of regulation. USDA. Executive Order 13771. See OMB’s This rule amends subchapter C by Memorandum titled ‘‘Interim Guidance ACTION: Final rule; technical revising the heading to read, Implementing Section 2 of the Executive amendment. ‘‘Requirements and Standards under the Order of January 30, 2017, titled Agricultural Marketing Act of 1946 and SUMMARY: This document makes ‘Reducing Regulation and Controlling the Egg Products Inspection Act.’’ Regulatory Costs’’’ (February 2, 2017). nomenclature changes to subpart As a further example, the heading for This final rule has been reviewed in headings in the Agricultural Marketing 7 CFR part 51 currently includes two accordance with the requirements of Service’s regulations to bring the footnotes that might be considered Executive Order 13175, Consultation language into conformance with the regulatory in nature, which is and Coordination with Indian Tribal Office of the Federal Register (OFR) inconsistent with OFR formatting. This Governments. The review reveals that requirements. rule amends part 51 by removing the this regulation would not have footnotes and incorporating the DATES: Effective May 7, 2020. substantial and direct effects on Tribal information from the footnotes ADDRESSES: Specialty Crops Inspection Governments nor significant Tribal elsewhere in the part, as needed. The Division, Specialty Crops Program, implications. information in Footnote 1 is AMS, USDA, 1400 Independence AMS is committed to complying with incorporated into § 51.2 and the Avenue SW, Stop 0240, Washington, DC the E-Government Act to promote the information from Footnote 2 is 20250–0240. use of the internet and other incorporated into a new paragraph (c) to information technologies, to provide FOR FURTHER INFORMATION CONTACT: § 51.1. Contact Brian E. Griffin, Specialty Crops Similarly, footnotes in subpart increased opportunities for citizen Inspection Division, Specialty Crops headings are removed where the text of access to Government information and Program, Agricultural Marketing the footnote is addressed in another services, and for other purposes. Service, U.S. Department of Agriculture, provision of the subpart or part. USDA has not identified any relevant 1400 Independence Avenue SW, Room Likewise, the note accompanying part Federal rules that duplicate, overlap, or 1536, South Building; Stop 0240, 52 has been removed because the conflict with this final rule. Washington, DC 20250; telephone (202) substance of that note is already in part List of Subjects 720–5021; fax (202) 690–1527; or, email 52, specifically § 52.57. [email protected]. As a final example, the first subpart 7 CFR Part 51 SUPPLEMENTARY INFORMATION: This of part 51 is currently titled ‘‘Subpart— Food grades and standards, Fruits, action, pursuant to 5 U.S.C. 553, Regulations.’’ This rule redesignates the Nuts, Reporting and recordkeeping amends regulations issued in 7 CFR first subpart of part 51 and revises its requirements, Vegetables. subtitle B, Regulations of the title to read ‘‘Subpart A— 7 CFR Part 52 Department of Agriculture, chapter I, Requirements.’’ This document makes Agricultural Marketing Service similar redesignations and revisions to Food grades and standards, Food (Standards, Inspections, Marketing the other subparts in parts 51 and 52 to labeling, Frozen foods, Fruit juices, Practices), Department of Agriculture. bring them into compliance with OFR Fruits, Reporting and recordkeeping This rule is issued under the requirements. requirements, Vegetables. Agricultural Marketing Act of 1946 (7 Additionally, 35 FR 6957, May 1, For the reasons set forth in the U.S.C. 1621–1627) and the Egg Products 1970 provided for a title change from preamble, and under the authority of 7 Inspection Act (21 U.S.C. 1031–1056), U.S. Standards for Pears for Canning to CFR 2.79, the Department of Agriculture both as amended. This rule is also U.S. Standards for Grades of Pears for amends 7 CFR chapter I as follows:
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■ 1. Revise the heading for subchapter C [Subpart Redesignated as Subpart D] the subpart as ‘‘Subpart K—United to read as follows: States Standards for Winter Pears’’. ■ 9. Redesignate ‘‘Subpart—United SUBCHAPTER C—REQUIREMENTS AND States Standards for Grades of [Subpart Redesignated as Subpart L STANDARDS UNDER THE AGRICULTURAL and Amended] MARKETING ACT OF 1946 AND THE EGG Grapefruit (Texas and States Other Than PRODUCTS INSPECTION ACT Florida, California, and Arizona)’’ as ‘‘Subpart D—United States Standards ■ 17. Redesignate ‘‘Subpart—United PART 51—FRESH FRUITS, for Grades of Grapefruit (Texas and States Standards for Pears for Canning’’ VEGETABLES, AND OTHER States Other Than Florida, California, as ‘‘Subpart L—United States Standards PRODUCTS (INSPECTION, and Arizona)’’. for Grades of Pears for Processing’’. CERTIFICATION, AND STANDARDS) [Subpart Redesignated as Subpart E] [Subpart Redesignated as Subpart M] ■ 2. The authority citation for part 51 ■ 10. Redesignate ‘‘Subpart—United ■ 18. Redesignate ‘‘Subpart—United continues to read as follows: States Standards for Grades of Oranges States Standards for Grades of Pecans in Authority: 7 U.S.C. 1621–1627. (Texas and States Other Than Florida, the Shell’’ as ‘‘Subpart M—United States Standards for Grades of Pecans in ■ California, and Arizona)’’ as ‘‘Subpart 3. Revise the heading for part 51 the Shell’’. (including removal of the footnotes) to E—United States Standards for Grades read as set forth above. of Oranges (Texas and States Other [Subpart Redesignated as Subpart N] Than Florida, California, and Arizona)’’. [Subpart Redesignated as Subpart A ■ 19. Redesignate ‘‘Subpart—United [Subpart Redesignated as Subpart F] and Amended] States Standards for Grades of Shelled ■ 11. Redesignate ‘‘Subpart—United Pecans’’ as ‘‘Subpart N—United States ■ 4. Redesignate ‘‘Subpart— States Standards for Grades of Florida Standards for Grades of Shelled Regulations’’ as subpart A and revise the Grapefruit’’ as ‘‘Subpart F—United Pecans’’. heading (including removal of the States Standards for Grades of Florida [Subpart Redesignated as Subpart O] footnote) to read as follows: Grapefruit’’. Subpart A—Requirements ■ 20. Redesignate ‘‘Subpart—United [Subpart Redesignated as Subpart G States Standards for Grades of Fresh and Amended] ■ 5. Amend § 51.1 by revising the Plums and Prunes’’ as ‘‘Subpart O— heading and adding paragraph (c) to ■ 12. Amend ‘‘Subpart—United States United States Standards for Grades of read as follows: Standards for Grades of Table Grapes Fresh Plums and Prunes’’. (European or Vinifera Type)’’ by § 51.1 Administration of the regulations in [Subpart Redesignated as Subpart P this part. removing the footnote and redesignating and Amended] the subpart as ‘‘Subpart G—United * * * * * States Standards for Grades of Table ■ 21. Amend ‘‘Subpart—United States (c) None of the requirements in this Grapes (European or Vinifera Type)’’. Standards for Grades of Potatoes’’ by part shall excuse failure to comply with removing the footnote and redesignating any Federal, State, county, or municipal [Subpart Redesignated as Subpart H] the subpart as ‘‘Subpart P—United laws applicable to products covered by ■ States Standards for Grades of the requirements in this part. 13. Redesignate ‘‘Subpart—United States Standards for Grades of Florida Potatoes’’. ■ 6. Amend § 51.2 by redesignating Oranges and Tangelos’’ as ‘‘Subpart H— [Subpart Redesignated as Subpart Q] paragraphs (n) through (u) as paragraphs United States Standards for Grades of (o) through (v) and adding new Florida Oranges and Tangelos’’. ■ 22. Redesignate ‘‘Subpart—United paragraph (n) to read as follows: States Consumer Standards for [Subpart Redesignated as Subpart I] § 51.2 Terms defined. Potatoes’’ as ‘‘Subpart Q—United States Consumer Standards for Potatoes’’. * * * * * ■ 14. Redesignate ‘‘Subpart—United (n) Other products. Among such other States Standards for Cleaned Virginia [Subpart Redesignated as Subpart R] products are the following: Raw nuts, Type Peanuts in the Shell’’ as ‘‘Subpart Christmas trees and evergreens; flowers I—United States Standards for Cleaned ■ 23. Redesignate ‘‘Subpart—United and flower bulbs; and onion sets. Virginia Type Peanuts in the Shell’’. States Standards for Grades of Florida * * * * * Tangerines’’ as ‘‘Subpart R—United [Subpart Redesignated as Subpart J States Standards for Grades of Florida [Subpart Redesignated as Subpart B] and Amended] Tangerines’’. ■ 15. Amend ‘‘Subpart—United States [Subpart Redesignated as Subpart S ■ 7. Redesignate ‘‘Subpart—United Standards for Summer and Fall Pears’’ and Amended] States Standards for Grades of Apples’’ by removing the footnote and as ‘‘Subpart B—United States Standards redesignating the subpart as ‘‘Subpart ■ 24. Amend ‘‘Subpart—United States for Grades of Apples’’. J—United States Standards for Summer Standards for Fresh Tomatoes’’ by and Fall Pears’’. removing the footnote and redesignating [Subpart Redesignated as Subpart C] the subpart as ‘‘Subpart S—United [Subpart Redesignated as Subpart K States Standards for Fresh Tomatoes’’. ■ 8. Redesignate ‘‘Subpart—United and Amended] States Standards for Grades of Apples [Subpart Redesignated as Subpart T] for Processing’’ as ‘‘Subpart C—United ■ 16. Amend ‘‘Subpart—United States States Standards for Grades of Apples Standards for Winter Pears’’ by ■ 25. Redesignate ‘‘Subpart—United for Processing’’. removing the footnote and redesignating States Consumer Standards for Fresh
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Tomatoes’’ as ‘‘Subpart T—United [Subpart Redesignated as Subpart CC] PART 52—PROCESSED FRUITS AND States Consumer Standards for Fresh VEGETABLES, PROCESSED Tomatoes’’. ■ 34. Redesignate ‘‘Subpart—United PRODUCTS THEREOF, AND CERTAIN States Standards for Shelled Runner OTHER PROCESSED FOOD [Subpart Redesignated as Subpart U Type Peanuts’’ as ‘‘Subpart CC—United PRODUCTS and Amended] States Standards for Shelled Runner Type Peanuts’’. ■ 42. The authority citation for part 52 ■ 26. Amend ‘‘Subpart—United States continues to read as follows: Standards for Grades of Filberts in the [Subpart Redesignated as Subpart DD] Shell’’ by removing the footnote and Authority: 7 U.S.C. 1621–1627. ■ 43. The heading for part 52 is revised redesignating the subpart as ‘‘Subpart ■ U—United States Standards for Grades 35. Redesignate ‘‘Subpart—United (including removal of the footnote) to of Filberts in the Shell’’. States Standards for Grades of Shelled read as set forth above. Spanish Type Peanuts’’ as ‘‘Subpart ■ [Subpart Redesignated as Subpart V] DD—United States Standards for Grades 44. In part 52, remove the note of Shelled Spanish Type Peanuts’’. preceding the authority citation. ■ 27. Redesignate ‘‘Subpart—United [Subpart Redesignation as Subpart EE] [Subpart Redesignated as Subpart A States Standards for Grades of Almonds and Amended] in the Shell’’ as ‘‘Subpart V—United ■ 36. Redesignate ‘‘Subpart—United States Standards for Grades of Almonds ■ 45. Redesignate ‘‘Subpart— in the Shell’’. States Standards for Shelled Virginia Regulations Governing Inspection and Type Peanuts’’ as ‘‘Subpart EE—United [Subpart Redesignated as Subpart W] Certification’’ as subpart A and revise States Standards for Shelled Virginia the heading to read as follows: Type Peanuts’’. ■ 28. Redesignate ‘‘Subpart—United Subpart A—Requirements Governing States Standards for Grades of Shelled [Subpart Redesignated as Subpart FF] Inspection and Certification Almonds’’ as ‘‘Subpart W—United States Standards for Grades of Shelled ■ 37. Redesignate ‘‘Subpart—United ■ 46. Amend § 52.2 by adding in Almonds’’. States Standards for Grades of Onions alphabetical order the definition ‘‘Other (Other Than Bermuda-Granex-Grano [Subpart Redesignated as Subpart X] processed food products’’ to read as and Creole Types)’’ as ‘‘Subpart FF— follows: ■ 29. Redesignate ‘‘Subpart—United United States Standards for Grades of Onions (Other Than Bermuda-Granex- § 52.2 Terms defined. States Standards for Shelled English * * * * * Walnuts (Juglans Regia)’’ as ‘‘Subpart Grano and Creole Types)’’. X—United States Standards for Shelled Other processed food products. [Subpart Redesignated as Subpart GG] English Walnuts (Juglans Regia)’’. Among such other processed food products are the following: Honey; [Subpart Redesignated as Subpart Y] ■ 38. Redesignate ‘‘Subpart—United molasses, except for stockfeed; nuts and States Standards for Grades of Walnuts nut products, except oil; sugar (cane, ■ 30. Redesignate ‘‘Subpart—United in the Shell’’ as ‘‘Subpart GG—United beet, and maple); sirups (blended), States Standards for Grades of States Standards for Grades of Walnuts sirups, except from grain; tea; cocoa; Kiwifruit’’ as ‘‘Subpart Y—United States in the Shell’’. coffee; spices; condiments. Standards for Grades of Kiwifruit’’. * * * * * [Subpart Redesignated as Subpart HH] [Subpart Redesignated as Subpart Z] [Subpart Redesignated as Subpart B ■ 39. Redesignate ‘‘Subpart—United and Amended] ■ 31. Redesignate ‘‘Subpart—United States Standards for Florida Avocados’’ States Standards for Grades of Pistachio as ‘‘Subpart HH—United States ■ 47. Amend ‘‘Subpart—United States Nuts in the Shell’’ as ‘‘Subpart Z— Standards for Florida Avocados’’. Standards for Grades of Canned Red United States Standards for Grades of Tart Pitted Cherries’’ by removing the Pistachio Nuts in the Shell’’. [Subpart Redesignated as Subpart II] footnote and redesignating the subpart as ‘‘Subpart B—United States Standards [Subpart Redesignated as Subpart AA] ■ 40. Redesignate ‘‘Subpart—United for Grades of Canned Red Tart Pitted Cherries’’. ■ 32. Redesignate ‘‘Subpart—United States Standards for Grades of Bermuda- States Standards for Grades of Shelled Granex-Grano Type Onions’’ as [Subpart Redesignated as Subpart C] Pistachio Nuts’’ as ‘‘Subpart AA— ‘‘Subpart II—United States Standards United States Standards for Grades of for Grades of Bermuda-Granex-Grano ■ 48. Redesignate ‘‘Subpart—United Shelled Pistachio Nuts’’. Type Onions’’. States Standards for Grades of Frozen Red Tart Pitted Cherries’’ as ‘‘Subpart [Subpart Redesignated as Subpart JJ [Subpart Redesignated as Subpart BB C—United States Standards for Grades and Amended] and Amended] of Frozen Red Tart Pitted Cherries’’. ■ 33. Amend ‘‘Subpart—United States ■ 41. Amend ‘‘Subpart—United States [Subpart Redesignated as Subpart D] Standards for Grades for Sweet Standards for Grades of Potatoes for Cherries’’ by removing the footnote and Processing’’ by removing the footnote ■ 49. Redesignate ‘‘Subpart—United redesignating the subpart as ‘‘Subpart and redesignating the subpart as States Standards for Grades of Dates’’ as BB—United States Standards for Grades ‘‘Subpart JJ—United States Standards ‘‘Subpart D—United States Standards for Sweet Cherries’’. for Grades of Potatoes for Processing’’. for Grades of Dates’’.
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[Subpart Redesignated as Subpart E DATES: This AD becomes effective April SUPPLEMENTARY INFORMATION: and Amended] 22, 2020. The Director of the Federal Register Discussion ■ 50. Amend ‘‘Subpart—United States approved the incorporation by reference The EASA, which is the Technical Standards for Grades of Processed of a certain publication listed in this AD Agent for the Member States of the Raisins’’ by removing the footnote and as of April 22, 2020. European Union, has issued EASA AD redesignating the subpart as ‘‘Subpart We must receive comments on this 2020–0053, dated March 10, 2020 (also E—United States Standards for Grades AD by May 22, 2020. referred to as the Mandatory Continuing of Processed Raisins’’. ADDRESSES: You may send comments, Airworthiness Information, or ‘‘the using the procedures found in 14 CFR MCAI’’), to correct an unsafe condition [Subpart Redesignated as Subpart F] 11.43 and 11.45, by any of the following for certain Airbus SAS Model A320– ■ 51. Redesignate ‘‘Subpart—United methods: • Federal eRulemaking Portal: Go to 271N airplanes and Model A321–271N, States Standards for Grades of Dried https://www.regulations.gov. Follow the –271NX, and –272N airplanes. Prunes’’ as ‘‘Subpart F—United States instructions for submitting comments. This AD was prompted by a report of Standards for Grades of Dried Prunes’’. • Fax: 202–493–2251. a gap found on an engine pylon nose • Mail: U.S. Department of [Subpart Redesignated as Subpart G fire seal during an inspection of an in- Transportation, Docket Operations, and Amended] production airplane. The FAA is issuing M–30, West Building Ground Floor, this AD to address a potential gap in the ■ 52. Amend ‘‘Subpart—United States Room W12–140, 1200 New Jersey engine pylon nose fire seal, which, if Avenue SE, Washington, DC 20590. Standards for Grades of Canned Ripe • not detected and corrected, could lead Olives’’ by removing the footnote and Hand Delivery: U.S. Department of to loss of firewall integrity and, in case Transportation, Docket Operations, redesignating the subpart as ‘‘Subpart of an engine fire, could prevent the M–30, West Building Ground Floor, G—United States Standards for Grades ability to extinguish the fire. See the Room W12–140, 1200 New Jersey of Canned Ripe Olives’’. MCAI for additional background Avenue SE, Washington, DC 20590, information. Bruce Summers, between 9 a.m. and 5 p.m., Monday Administrator, Agricultural Marketing through Friday, except Federal holidays. Related IBR Material Under 1 CFR Part Service. For the material incorporated by 51 [FR Doc. 2020–06616 Filed 4–6–20; 8:45 am] reference (IBR) in this AD, contact the BILLING CODE 3410–02–P EASA, Konrad-Adenauer-Ufer 3, 50668 EASA AD 2020–0053 describes Cologne, Germany; telephone +49 221 procedures for accomplishing a detailed 89990 1000; email [email protected]; inspection of engine pylon nose fire DEPARTMENT OF TRANSPORTATION internet www.easa.europa.eu. You may seals having part number find this IBR material on the EASA D0003109300000 for correct installation Federal Aviation Administration website at https://ad.easa.europa.eu. (no gaps and correctly seated on the You may view this IBR material at the bifurcation panels) and corrective 14 CFR Part 39 FAA, Transport Standards Branch, 2200 actions if necessary (replacement of the South 216th St., Des Moines, WA. For fire seal and joint plate assembly). This [Docket No. FAA–2020–0213; Product information on the availability of this Identifier 2020–NM–043–AD; Amendment material is reasonably available because 39–19889; AD 2020–07–10] material at the FAA, call 206–231–3195. the interested parties have access to it It is also available in the AD docket on through their normal course of business RIN 2120–AA64 the internet at https:// or by the means identified in the www.regulations.gov by searching for ADDRESSES section. Airworthiness Directives; Airbus SAS and locating Docket No. FAA–2020– Airplanes 0213. FAA’s Determination AGENCY: Federal Aviation Examining the AD Docket This product has been approved by Administration (FAA), DOT. You may examine the AD docket on the aviation authority of another ACTION: Final rule; request for the internet at https:// country, and is approved for operation comments. www.regulations.gov by searching for in the United States. Pursuant to a bilateral agreement with the State of SUMMARY: The FAA is adopting a new and locating Docket No. FAA–2020– airworthiness directive (AD) for certain 0213; or in person at Docket Operations Design Authority, the FAA has been Airbus SAS Model A320–271N between 9 a.m. and 5 p.m., Monday notified of the unsafe condition airplanes and Model A321–271N, through Friday, except Federal holidays. described in the MCAI referenced –271NX, and –272N airplanes. This AD The AD docket contains this AD, the above. The FAA is issuing this AD was prompted by a report of a gap found regulatory evaluation, any comments because the agency evaluated all on an engine pylon nose fire seal during received, and other information. The pertinent information and determined an inspection of an in-production street address for Docket Operations is the unsafe condition exists and is likely airplane. This AD requires a one-time listed above. Comments will be to exist or develop on other products of detailed inspection of certain engine available in the AD docket shortly after the same type design. pylon nose fire seals for correct receipt. Requirements of This AD installation, and applicable corrective FOR FURTHER INFORMATION CONTACT: actions if necessary, as specified in a Sanjay Ralhan, Aerospace Engineer, This AD requires accomplishing the European Union Aviation Safety Agency International Section, Transport actions specified in EASA AD 2020– (EASA) AD, which is incorporated by Standards Branch, FAA, 2200 South 0053 described previously, as reference. The FAA is issuing this AD 216th St., Des Moines, WA 98198; incorporated by reference, except for to address the unsafe condition on these telephone and fax 206–231–3223; email any differences identified as exceptions products. [email protected]. in the regulatory text of this AD.
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Explanation of Required Compliance www.regulations.gov by searching for Comments Invited Information and locating Docket No. FAA–2020– 0213. This AD is a final rule that involves In the FAA’s ongoing efforts to requirements affecting flight safety, and improve the efficiency of the AD FAA’s Justification and Determination the FAA did not precede it by notice process, the FAA initially worked with of the Effective Date and opportunity for public comment. Airbus and EASA to develop a process An unsafe condition exists that The FAA invites you to send any to use certain EASA ADs as the primary requires the immediate adoption of this source of information for compliance written relevant data, views, or AD without providing an opportunity arguments about this AD. Send your with requirements for corresponding for public comments prior to adoption. FAA ADs. The FAA has since comments to an address listed under the The FAA has found that the risk to the ADDRESSES section. Include ‘‘Docket No. coordinated with other manufacturers flying public justifies waiving notice and civil aviation authorities (CAAs) to FAA–2020–0213; Product Identifier and comment prior to adoption of this 2020–NM–043–AD’’ at the beginning of use this process. As a result, EASA AD rule because loss of firewall integrity of your comments. The FAA specifically 2020–0053 is incorporated by reference the pylon nose fire seal caused by invites comments on the overall in this final rule. This AD, therefore, permanent seal deformation could, in requires compliance with EASA AD case of an engine fire, prevent the ability regulatory, economic, environmental, 2020–0053 in its entirety, through that to extinguish the fire. Therefore, the and energy aspects of this AD. The FAA incorporation, except for any differences FAA finds good cause that notice and will consider all comments received by identified as exceptions in the opportunity for prior public comment the closing date and may amend this AD regulatory text of this AD. Using are impracticable. In addition, for the based on those comments. common terms that are the same as the reasons stated above, the FAA finds that The FAA will post all comments heading of a particular section in the good cause exists for making this received, without change, to https:// EASA AD does not mean that operators amendment effective in less than 30 www.regulations.gov, including any need comply only with that section. For days. personal information you provide. The example, where the AD requirement refers to ‘‘all required actions and Regulatory Flexibility Act (RFA) FAA will also post a report summarizing each substantive verbal compliance times,’’ compliance with The requirements of the RFA do not this AD requirement is not limited to apply when an agency finds good cause contact received about this AD. the section titled ‘‘Required Action(s) pursuant to 5 U.S.C. 553 to adopt a rule Costs of Compliance and Compliance Time(s)’’ in the EASA without prior notice and comment. AD. Service information specified in Because the FAA has determined that it The FAA estimates that this AD EASA AD 2020–0053 that is required for has good cause to adopt this rule affects 44 airplanes of U.S. registry. The compliance with EASA AD 2020–0053 without notice and comment, RFA FAA estimates the following costs to is available on the internet at https:// analysis is not required. comply with this AD:
ESTIMATED COSTS FOR REQUIRED ACTIONS
Cost per Cost on U.S. Labor cost Parts cost product operators
4 work-hours × $85 per hour = $170 ...... $0 $170 $7,480
The FAA estimates the following the results of any required actions. The number of aircraft that might need this costs to do any necessary on-condition FAA has no way of determining the on-condition action: action that would be required based on
ESTIMATED COSTS OF ON-CONDITION ACTIONS
Cost per Labor cost Parts cost product
6 work-hours × $85 per hour = $510 ...... $4,500 $5,010
According to the manufacturer, some section 106, describes the authority of necessary for safety in air commerce. or all of the costs of this AD may be the FAA Administrator. Subtitle VII: This regulation is within the scope of covered under warranty, thereby Aviation Programs, describes in more that authority because it addresses an reducing the cost impact on affected detail the scope of the Agency’s unsafe condition that is likely to exist or individuals. The FAA does not control authority. develop on products identified in this warranty coverage for affected The FAA is issuing this rulemaking rulemaking action. individuals. As a result, the FAA has under the authority described in Regulatory Findings included all known costs in the cost Subtitle VII, Part A, Subpart III, Section estimate. 44701: ‘‘General requirements.’’ Under The FAA has determined that this AD that section, Congress charges the FAA will not have federalism implications Authority for This Rulemaking with promoting safe flight of civil under Executive Order 13132. This AD Title 49 of the United States Code aircraft in air commerce by prescribing will not have a substantial direct effect specifies the FAA’s authority to issue regulations for practices, methods, and on the States, on the relationship rules on aviation safety. Subtitle I, procedures the Administrator finds between the national government and
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the States, or on the distribution of (f) Compliance (3) Required for Compliance (RC): For any power and responsibilities among the Comply with this AD within the service information referenced in EASA AD various levels of government. compliance times specified, unless already 2020–0053 that contains RC procedures and done. tests: Except as specified in paragraph (i) of For the reasons discussed above, I this AD and as required by paragraph (j)(2) certify that this AD: (g) Requirements of this AD, RC procedures and tests must be (1) Is not a ‘‘significant regulatory Except as specified in paragraph (h) of this done to comply with this AD; any procedures action’’ under Executive Order 12866, AD: Comply with all required actions and or tests that are not identified as RC are and compliance times specified in, and in recommended. Those procedures and tests accordance with, EASA AD 2020–0053. that are not identified as RC may be deviated (2) Will not affect intrastate aviation from using accepted methods in accordance in Alaska. (h) Exceptions to EASA AD 2020–0053 with the operator’s maintenance or (1) Where EASA AD 2020–0053 refers to its inspection program without obtaining List of Subjects in 14 CFR Part 39 effective date, this AD requires using the approval of an AMOC, provided the effective date of this AD. procedures and tests identified as RC can be Air transportation, Aircraft, Aviation (2) The ‘‘Remarks’’ section of EASA AD done and the airplane can be put back in an safety, Incorporation by reference, 2020–0053 does not apply to this AD. airworthy condition. Any substitutions or Safety. (3) Where paragraph (3) EASA AD 2020– changes to procedures or tests identified as Adoption of the Amendment 0053 specifies to do actions ‘‘in accordance RC require approval of an AMOC. with the instructions of the applicable (k) Related Information Aircraft Maintenance Manual,’’ this AD Accordingly, under the authority For more information about this AD, delegated to me by the Administrator, requires doing those actions ‘‘using a method approved by the Manager, International contact Sanjay Ralhan, Aerospace Engineer, the FAA amends 14 CFR part 39 as International Section, Transport Standards follows: Section, Transport Standards Branch, FAA; or EASA; or Airbus SAS’s EASA Design Branch, FAA, 2200 South 216th St., Des Moines, WA 98198; telephone and fax 206– PART 39—AIRWORTHINESS Organization Approval (DOA). If approved by the DOA, the approval must include the 231–3223; email [email protected]. DIRECTIVES DOA-authorized signature.’’ (l) Material Incorporated by Reference Note 1 to paragraph (h)(3): Guidance on (1) The Director of the Federal Register ■ 1. The authority citation for part 39 accomplishing the replacement specified in approved the incorporation by reference continues to read as follows: paragraph (3) of EASA AD 2020–0053 can be (IBR) of the service information listed in this found in Airbus aircraft maintenance manual Authority: 49 U.S.C. 106(g), 40113, 44701. paragraph under 5 U.S.C. 552(a) and 1 CFR (AMM) task 54–57–22–000–821–A and AMM part 51. task 54–57–22–400–821 dated May 2019. § 39.13 [Amended] (2) You must use this service information (i) No Reporting Requirement as applicable to do the actions required by ■ 2. The FAA amends § 39.13 by adding Although the service information this AD, unless this AD specifies otherwise. the following new airworthiness (i) European Union Aviation Safety Agency directive (AD): referenced in EASA AD 2020–0053 specifies to submit certain information to the (EASA) AD 2020–0053, dated March 10, 2020–07–10 Airbus SAS: Amendment 39– manufacturer, this AD does not include that 2020. 19889; Docket No. FAA–2020–0213; requirement. (ii) [Reserved] Product Identifier 2020–NM–043–AD. (3) For information about EASA AD 2020– (j) Other FAA AD Provisions 0053, contact the EASA, Konrad-Adenauer- (a) Effective Date The following provisions also apply to this Ufer 3, 50668 Cologne, Germany; telephone This AD becomes effective April 22, 2020. AD: +49 221 89990 6017; email ADs@ (1) Alternative Methods of Compliance easa.europa.eu; internet (b) Affected ADs (AMOCs): The Manager, International www.easa.europa.eu. You may find this None. Section, Transport Standards Branch, FAA, EASA AD on the EASA website at https:// has the authority to approve AMOCs for this ad.easa.europa.eu. (c) Applicability AD, if requested using the procedures found (4) You may view this material at the FAA, This AD applies to Airbus SAS Model in 14 CFR 39.19. In accordance with 14 CFR Transport Standards Branch, 2200 South A320–271N airplanes and Model A321– 39.19, send your request to your principal 216th St., Des Moines, WA. For information 271N, –271NX, and –272N airplanes, inspector or local Flight Standards District on the availability of this material at the certificated in any category, as identified in Office, as appropriate. If sending information FAA, call 206–231–3195. This material may European Union Aviation Safety Agency directly to the International Section, send it be found in the AD docket on the internet at (EASA) AD 2020–0053, dated March 10, 2020 to the attention of the person identified in https://www.regulations.gov by searching for (‘‘EASA AD 2020–0053’’). paragraph (k) of this AD. Information may be and locating Docket No. FAA–2020–0213. emailed to: 9-ANM-116-AMOC-REQUESTS@ (5) You may view this material that is (d) Subject faa.gov. Before using any approved AMOC, incorporated by reference at the National Air Transport Association (ATA) of notify your appropriate principal inspector, Archives and Records Administration America Code 54, Nacelles/pylons. or lacking a principal inspector, the manager (NARA). For information on the availability of the local flight standards district office/ of this material at NARA, email fedreg.legal@ (e) Reason certificate holding district office. nara.gov, or go to: https://www.archives.gov/ This AD was prompted by a report of a gap (2) Contacting the Manufacturer: For any federal-register/cfr/ibr-locations.html. found on an engine pylon nose fire seal requirement in this AD to obtain instructions Issued on March 31, 2020. during an inspection of an in-production from a manufacturer, the instructions must Gaetano A. Sciortino, airplane. The FAA is issuing this AD to be accomplished using a method approved address a potential gap in the engine pylon by the Manager, International Section, Deputy Director for Strategic Initiatives, nose fire seal, which, if not detected and Transport Standards Branch, FAA; or EASA; Compliance & Airworthiness Division, corrected, could lead to loss of firewall or Airbus SAS’s EASA DOA. If approved by Aircraft Certification Service. integrity and, in case of an engine fire, could the DOA, the approval must include the [FR Doc. 2020–07342 Filed 4–3–20; 11:15 am] prevent the ability to extinguish the fire. DOA-authorized signature. BILLING CODE 4910–13–P
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DEPARTMENT OF TRANSPORTATION in the description of RNAV route Q– determined that the order of points 110. listed in the description of RNAV route Federal Aviation Administration DATES: Effective date 0901 UTC, May 21, Q–110 was incorrectly changed from a 2020. The Director of the Federal ‘‘west to east’’ format to a ‘‘south to 14 CFR Part 71 Register approves this incorporation by north’’ format. This rule corrects the Q– [Docket No. FAA–2019–0687; Airspace reference action under Title 1 Code of 110 route description by changing the Docket No. 19–ASO–17] Federal Regulations part 51, subject to order of points to a ‘‘west to east’’ the annual revision of FAA, Order format in accordance with FAA Order RIN 2120–AA66 7400.11 and publication of conforming 7400.2 criteria. This is an editorial change only that does not alter the Amendment of Area Navigation amendments. FOR FURTHER INFORMATION CONTACT: Paul alignment of the route as shown on Routes, Florida Metroplex Project; aeronautical charts, and does not affect Southeastern United States Gallant, Rules and Regulations Group, Office of Policy, Federal Aviation use of the route by aircraft. AGENCY: Federal Aviation Administration, 800 Independence Correction to Final Rule Administration (FAA), DOT. Avenue SW, Washington, DC 20591; ACTION: Final rule; correction. telephone: (202) 267–8783. ■ Accordingly, pursuant to the authority SUPPLEMENTARY INFORMATION: delegated to me, the description of SUMMARY: This action corrects a final History RNAV route Q–110 as published in the rule published by the FAA in the Federal Register on March 24, 2020 (85 Federal Register on March 24, 2020, The FAA published a final rule for FR 16533; FR Doc. 2020–05987) is that amends area navigation (RNAV) Docket No. FAA–2019–0687 in the corrected as follows: routes in the southeastern United States Federal Register (85 FR 16533; March in support of the Florida Metroplex 24, 2020), amending 11 RNAV Q-routes Paragraph 2006 United States Area Project. This action makes an editorial in the southeastern United States. Navigation Routes correction to the order of points listed Subsequent to publication, it was * * * * *
Q–110 BLANS, IL TO OCTAL, FL [CORRECTED] BLANS, IL WP (Lat. 37°28′09.27″N, long. 088°44′00.68″W) BETIE, TN WP (Lat. 36°07′29.88″N, long. 087°54′01.48″W) SKIDO, AL WP (Lat. 34°31′49.10″N, long. 086°53′11.16″W) BFOLO, AL WP (Lat. 34°03′33.98″N, long. 086°31′30.49″W) JYROD, AL WP (Lat. 33°10′53.29″N, long. 085°51′54.85″W) DAWWN, GA WP (Lat. 31°28′49.96″N, long. 084°36′46.69″W) JOKKY, FL WP (Lat. 30°11′31.47″N, long. 083°38′41.86″W) AMORY, FL WP (Lat. 29°13′17.02″N, long. 082°55′42.90″W) SMELZ, FL WP (Lat. 28°04′59.00″N, long. 082°06′34.00″W) SHEEK, FL WP (Lat. 27°35′15.40″N, long. 081°46′27.82″W) JAYMC, FL WP (Lat. 26°58′51.00″N, long. 081°22′08.00″W) OCTAL, FL WP (Lat. 26°09′01.92″N, long. 080°12′11.60″W)
* * * * * requests or petitions for waiver of the on the date of publication of this final Issued in Washington, DC, on April 1, requirements of, FERC Form No. 552 rule in the Federal Register. (Annual Report of Natural Gas 2020. I. Background Scott M. Rosenbloom, Transactions) and FERC–730 (Report of Acting Manager, Rules and Regulations Transmission Investment Activity). 2. On March 13, 2020, the President Group. DATES: This rule is effective April 7, issued a proclamation declaring a [FR Doc. 2020–07182 Filed 4–6–20; 8:45 am] 2020. National Emergency concerning the BILLING CODE 4910–13–P FOR FURTHER INFORMATION CONTACT: Novel Coronavirus Disease (COVID–19). Kaleb Lockwood, Office of the General Entities regulated by the Commission Counsel, Federal Energy Regulatory have had to take unprecedented actions DEPARTMENT OF ENERGY Commission, 888 First Street NE, in response to the emergency Washington, DC 20426, (202) 502– conditions, including directing staff to Federal Energy Regulatory 8255, [email protected] work remotely for an extended period, Commission Eric Primosch, Office of Energy Policy which may disrupt, complicate, or and Innovation, Federal Energy 18 CFR Part 375 otherwise change their normal course of Regulatory Commission, 888 First business operations. Regulated entities [Docket No. RM20–13–000; Order No. 870] Street NE, Washington, DC 20426, and the public have since filed motions (202) 502–6483, eric.primosch@ and other requests for Commission Delegation of Authority ferc.gov action to relieve regulatory burdens so Michael Tita, Office of Energy Policy AGENCY: Federal Energy Regulatory that they may focus on continuity of Commission. and Innovation, Federal Energy operations and ensuring reliable Regulatory Commission, 888 First ACTION: operations of their systems during this Final rule. Street NE, Washington, DC 20426, emergency period. This has prompted (202) 502–6448, [email protected] SUMMARY: The Commission is revising the Commission to review its procedural SUPPLEMENTARY INFORMATION: its regulations to delegate authority to regulations to ensure that the the Director of the Office of Energy 1. By this instant final rule, the Commission’s work is performed in an Policy and Innovation, or the Director’s Commission is revising its regulations to efficient manner. designee, to take appropriate action on delegate further authority to its staff to motions for extension of time to file, or take action, as provided below, effective
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II. Discussion significant adverse effect on the human (toll free at 1–866–208–3676) or email at 3 3. On September 19, 2019, the environment. Issuance of this final rule [email protected], or the Chairman of the Commission transferred does not represent a major federal action Public Reference Room at (202) 502– certain functions performed by the having a significant adverse effect on 8371, TTY (202) 502–8659. Email the Office of Enforcement’s Division of the human environment under the Public Reference Room at Energy Market Oversight, including the Commission’s regulations implementing [email protected]. the National Environmental Policy Act administration of FERC Form No. 552 VII. Effective Date and FERC–730, to the Office of Energy of 1969. Part 380 of the Commission’s Policy and Innovation. This final rule regulations lists exemptions to the 11. The Commission is issuing this amends 18 CFR 375.315 to delegate requirement to draft an Environmental rule as an instant final rule without a authority to the Director of the Office of Analysis or Environmental Impact period for public comment. Public Energy Policy and Innovation, or the Statement. Included is an exemption for notice of this action, otherwise required Director’s designee, to take appropriate rules that are clarifying, corrective, or by 5 U.S.C. 553(b), is impracticable procedural or that do not substantially action on motions for extension of time because of the immediate need to change the effect of the regulations to file, or requests or petitions for efficiently process and act on waiver being amended.4 This final rule is waiver of the requirements of, FERC and extension requests made in exempt under that provision. Form No. 552 (Annual Report of Natural response to the emergency conditions Gas Transactions) and FERC–730 V. Regulatory Flexibility Act created by COVID–19. The (Report of Transmission Investment 7. The Regulatory Flexibility Act of Commission’s requirement to protect Activity). This authority was previously 1980 (RFA) 5 generally requires a the public interest creates an immediate delegated to the Director of the Office of description and analysis of final rules need for this action. Enforcement.1 Given this change, the that will have significant economic 12. These regulations are effective Commission concludes it is reasonable impact on a substantial number of small April 7, 2020. to now delegate this authority to the entities. This final rule changes the Director of the Office of Energy Policy Commission’s delegations of authority List of Subjects in 18 CFR Part 375 and Innovation. Further, in light of the to take certain actions and does not emergency conditions related to Authority delegations create any additional requirements for COVID–19, this delegation of authority filers. The Commission thus certifies By the Commission. will allow for more efficient processing that it will not have a significant Issued: April 2, 2020. of and action on motions for extension economic impact upon participants in of time to file, or requests or petitions Nathaniel J. Davis, Sr., Commission proceedings. An analysis for waiver related to FERC Form No. 552 Deputy Secretary. under the RFA is therefore not required and FERC–730. These delegations apply In consideration of the foregoing, the to uncontested matters. VI. Document Availability Commission amends part 375, chapter I, 4. Correspondingly, this instant final 8. In addition to publishing the full title 18, Code of Federal Regulations, as rule removes the authority previously text of this document in the Federal follows: delegated to the Commission’s Office of Register, the Commission provides all Enforcement to grant motions for interested persons an opportunity to PART 375—THE COMMISSION extension of time or waiver of FERC view and/or print the contents of this Form No. 552 and FERC–730. Now that document via the internet through the ■ 1. The authority citation for part 375 such authority is delegated to the Commission’s Home Page (http:// continues to read as follows: Director of the Commission’s Office of www.ferc.gov). At this time, the Authority: 5 U.S.C. 551–557; 15 U.S.C. Energy Policy and Innovation, it is Commission has suspended access to appropriate to delete that authority from 717–717w, 3301–3432; 16 U.S.C. 791–825r, the Commission’s Public Reference 2601–2645; 42 U.S.C. 7101–7352. the authority delegated to the Director of Room due to the proclamation declaring the Office of Enforcement. a National Emergency concerning ■ 2. In § 375.311, paragraphs (r) and (s) III. Information Collection Statement COVID–19. are revised to read as follows: 9. From the Commission’s Home Page 5. OMB’s regulations require approval on the internet, this information is § 375.311 Delegations to the Director of of certain information collection the Office of Enforcement. available on eLibrary. The full text of requirements imposed by agency rules.2 this document is available on eLibrary * * * * * This final rule, however, results in no in PDF and Microsoft Word format for new, additional, or different public (r) Deny or grant, in whole or in part, viewing, printing, and/or downloading. reporting burden. This final rule does motions for extension of time to file, or To access this document in eLibrary, not require public utilities or natural gas requests for waiver of the requirements type the docket number excluding the companies to file new, additional, or of the following forms, data collections, last three digits of this document in the different information, and it does not and reports: Annual Reports (Form Nos. docket number field. change the frequency with which they 1, 1–F, 2, 2–A, and 6); Quarterly Reports 10. User assistance is available for must file information. (Form Nos. 3–Q and 6–Q); Annual eLibrary and the Commission’s website Report of Centralized Service IV. Environmental Analysis during normal business hours from Companies (Form No. 60); Narrative 6. The Commission is required to FERC Online Support at 202–502–6652 Description of Service Company prepare an Environmental Assessment Functions (FERC–61); and Electric 3 Regulations Implementing the National Quarterly Reports, as well as, where or an Environmental Impact Statement Environmental Policy Act, Order No. 486, 52 FR for any action that may have a 47897 (Dec. 17, 1987), FERC Stats. & Regs. required, the electronic filing of such Preambles 1986–1990 ¶ 30,783 (1987). information (§ 385.2011 of this chapter, 1 See 18 CFR 375.311(r) and (s). 4 18 CFR 380.4(a)(2)(ii). Procedures for filing on electronic 2 5 CFR 1320.13. 5 5 U.S.C. 601–12. media, paragraphs (a)(6), (c), and (e)).
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(s) Provide notification if a submitted RAILROAD RETIREMENT BOARD industry and railroad employees, the Annual Report (Form Nos. 1, 1–F, 2, 2– definition of ‘‘available for work’’ must A, and 6), Quarterly Report (Form Nos. 20 CFR Part 327 be modified in order to facilitate the payment of unemployment benefits to 3–Q and 6–Q), Annual Report of RIN 3220—AB75 Centralized Service Companies (Form railroad employees who will be out of No. 60), Narrative Description of Service Available for Work work because of state and local public Company Functions (FERC–61), or health orders related to the coronavirus. AGENCY: Railroad Retirement Board. Electric Quarterly Report fails to comply In light of the President’s declaration with applicable statutory requirements, ACTION: Interim final rule. that the national emergency began March 1, 2020, the Board is issuing this and with all applicable Commission SUMMARY: The Railroad Retirement rules, regulations, and orders for which rule as a final rule. If the Board were to Board is amending the definition of invite public comment on a proposed a waiver has not been granted, or, when ‘‘available for work’’ in its regulations in rule, the goal of paying unemployment appropriate, notify a party that a order to facilitate payment of benefits as quickly as possible to submission is acceptable. unemployment benefits to railroad otherwise eligible railroad employees * * * * * employees who are out of work due to could not be met. The Board thus finds the impact of the COVID–19 outbreak for good cause that it is impracticable to ■ 3. In § 375.315, paragraph (a) is and subsequent declaration of a national revised to read as follows: invite public comment and in the public emergency beginning March 1, 2020. interest that unemployment claims of § 375.315 Delegations to the Director of DATES: This final rule takes effect April railroad employees be facilitated in this the Office of Energy Policy and Innovation. 3, 2020. period of national emergency. 5 U.S.C * * * * * ADDRESSES: Secretary to the Board, § 553(b). Railroad Retirement Board, 844 North (a) Take appropriate action on: The Office of Management and Budget Rush Street, Chicago, Illinois 60611– has determined that this is a significant (1) Any notice of intervention or 1275. regulatory action under Executive Order motion to intervene, filed in an FOR FURTHER INFORMATION CONTACT: 12866, as amended. There are no uncontested proceeding processed by Marguerite P. Dadabo, Assistant General changes to the information collections the Office of Energy Policy and Counsel, Railroad Retirement Board, associated with Part 327. Innovation; 844 North Rush Street, Chicago, Illinois List of Subjects in 20 CFR Part 327 (2) Applications or motions for 60611–1275, (312) 751–4945, TTD (312) extensions of time to file required 751–4701. Railroad employees, Railroad filings, reports, data and information SUPPLEMENTARY INFORMATION: The unemployment. and to perform other acts required at or Railroad Retirement Board pays For the reasons set out in the within a specific time by any rule, unemployment benefits to unemployed railroad workers under the provisions of preamble, the Railroad Retirement regulation, license, permit, certificate, or Board amends title 20, chapter II, order by the Commission, including the Railroad Unemployment Insurance Act (45 U.S.C. 351 et seq.). One of the subchapter C, part 327 of the Code of applications or motions for extensions Federal Regulations as follows: of time to file the Annual Report of requirements for payment of a claim for unemployment benefits is that the Natural Gas Transactions (FERC Form PART 327—AVAILABLE FOR WORK claimant be ‘‘available for work.’’ The No. 552) and the Report of Transmission Board has defined that phrase in its Investment Activity (FERC–730); and ■ regulations at Part 327. The Board is 1. The authority citation for part 327 (3) Requests or petitions for waiver of now revising that definition in order to continues to read as follows: the requirements of the Annual Report address the handling of claims for Authority: 45 U.S.C. 362(i), 362(l). of Natural Gas Transactions (FERC Form railroad unemployment benefits caused No. 552) and the Report of Transmission by the COVID–19 pandemic. ■ 2. Amend § 327.5 by adding paragraph Investment Activity (FERC–730). On March 13, 2020, President Donald (d) to read as follows: Trump issued a proclamation declaring (4) Notification to a party if a § 327.5 Meaning of ‘‘available for work.’’ that the COVID–19 outbreak in the submitted Annual Report of Natural Gas United States constitutes a national * * * * * Transactions (FERC Form No. 552) or emergency, beginning March 1, 2020. (d) Deemed available for work. During Report of Transmission Investment On March 14, 2020, the House of the period extending from March 1, Activity (FERC–730) fails to comply Representatives passed a bill, H.R. 6201, 2020 until December 31, 2020, a with applicable statutory requirements, the Families First Coronavirus Response claimant will be deemed to be available and with all applicable Commission Act, which includes an expansion of for work during any period for which he rules, regulations, and orders for which unemployment benefit programs or she is subject to a state or local order a waiver has not been granted, or, when administered by the states. That bill was related to the public health emergency appropriate notify a party that a passed by the Senate and signed by the declared effective March 1, 2020 submission is acceptable. President on March 18, 2020. Consistent preventing him or her from reporting to * * * * * with the President’s proclamation and work. the expansion of state unemployment [FR Doc. 2020–07302 Filed 4–2–20; 5:15 pm] Dated: March 31, 2020. benefits in the legislation, the Board is BILLING CODE 6717–01–P expanding the definition of ‘‘available By Authority of the Board. for work’’ to address the surge in Stephanie Hillyard, unemployment caused by the pandemic. Secretary to the Board. The Board has determined that in order [FR Doc. 2020–06975 Filed 4–3–20; 11:15 am] to meet the needs of the railroad BILLING CODE 7905–01–P
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DEPARTMENT OF JUSTICE encourages that all comments be information (such as your name, submitted electronically through the address, etc.) voluntarily submitted by Drug Enforcement Administration Federal eRulemaking Portal, which the commenter. The Freedom of provides the ability to type short Information Act applies to all comments 21 CFR Part 1308 comments directly into the comment received. If you want to submit personal [Docket No. DEA–600] field on the web page or attach a file for identifying information (such as your lengthier comments. Please go to http:// name, address, etc.) as part of your Schedules of Controlled Substances: www.regulations.gov and follow the comment, but do not want it to be made Placement of Lemborexant in Schedule online instructions at the site for publicly available, you must include the IV submitting comments. Upon completion phrase ‘‘PERSONAL IDENTIFYING of your submission, you will receive a INFORMATION’’ in the first paragraph AGENCY: Drug Enforcement Comment Tracking Number for your of your comment. You must also place Administration, Department of Justice. comment. Please be aware that all of the personal identifying ACTION: Interim final rule with request submitted comments are not information you do not want made for comments. instantaneously available for public publicly available in the first paragraph of your comment and identify what SUMMARY: On December 20, 2019, the view on Regulations.gov. If you have information you want redacted. If you U.S. Food and Drug Administration received a Comment Tracking Number, want to submit confidential business approved a new drug application for your comment has been successfully information as part of your comment, Dayvigo (lemborexant) tablets for oral submitted and there is no need to but do not want it to be made publicly use. Lemborexant is chemically known resubmit the same comment. • available, you must include the phrase as (1R,2S)-2-[(2,4-dimethylpyrimidin-5- Paper comments: Paper comments ‘‘CONFIDENTIAL BUSINESS yl)oxymethyl]-2-(3-fluorophenyl)-N-(5- that duplicate the electronic submission INFORMATION’’ in the first paragraph fluoropyridin-2-yl)cyclopropane-1- are not necessary and are discouraged. of your comment. You must also carboxamide. The Department of Health Should you wish to mail a paper prominently identify the confidential and Human Services provided the Drug comment in lieu of an electronic business information to be redacted Enforcement Administration (DEA) with comment, it should be sent via regular within the comment. a scheduling recommendation to place or express mail to: Drug Enforcement Administration, Attn: DEA Federal Comments containing personal lemborexant in schedule IV of the identifying information and confidential Controlled Substances Act (CSA). In Register Representative/DPW, 8701 Morrissette Drive, Springfield, VA business information identified as accordance with the CSA, as amended directed above will generally be made by the Improving Regulatory 22152. • publicly available in redacted form. If a Transparency for New Medical Hearing requests: All requests for hearing and waivers of participation, comment has so much confidential Therapies Act, DEA is hereby issuing an business information or personal interim final rule placing lemborexant, together with a written statement regarding his position on the matter of identifying information that it cannot be including its salts, isomers, and salts of effectively redacted, all or part of that isomers whenever the existence of such fact and law involved in such hearing, must be sent to: Drug Enforcement comment may not be made publicly salts, isomers, and salts of isomers is available. Comments posted to http:// possible, in schedule IV of the CSA. Administration. Attn: Administrator, 8701 Morrissette Drive, Springfield, www.regulations.gov may include any DATES: The effective date of this personal identifying information (such rulemaking is April 7, 2020. Interested Virginia 22152. All requests for hearing and waivers of participation should also as name, address, and phone number) persons may file written comments on included in the text of your electronic this rulemaking in accordance with 21 be sent to: (1) Drug Enforcement Administration, Attn: Hearing Clerk/LJ. submission that is not identified as U.S.C. 811(j)(3) and 21 CFR 1308.43(g). directed above as confidential. 8701 Morrissette Drive, Springfield, Electronic comments must be An electronic copy of this document Virginia 22152: and (2) Drug submitted, and written comments must and supplemental information, be postmarked, on or before May 7, Enforcement Administration, Attn: DEA including the complete Department of 2020. Commenters should be aware that Federal Register Representative/DPW. Health and Human Services (HHS) and the electronic Federal Docket 8701 Morrissette Drive, Springfield, DEA eight-factor analyses, to this Management System will not accept Virginia 22152. interim final rule are available at http:// comments after 11:59 p.m. Eastern Time FOR FURTHER INFORMATION CONTACT: www.regulations.gov for easy reference. on the last day of the comment period. Scott A. Brinks, Regulatory Drafting and Interested persons may file a request Policy Support Section, Diversion Request for Hearing or Appearance; for hearing or waiver of hearing in Control Division, Drug Enforcement Waiver accordance with Administration; Mailing Address: 8701 Pursuant to 21 U.S.C. 811(a), this 21 U.S.C. 811(j)(3) and 21 CFR Morrissette Drive, Springfield, Virginia action is a formal rulemaking ‘‘on the 1308.44. Requests for hearing and 22152; Telephone: (571) 362–3261. record after opportunity for a hearing.’’ waivers of an opportunity for a hearing SUPPLEMENTARY INFORMATION: Such proceedings are conducted or to participate in a hearing, together pursuant to the provisions of the with a written statement of position on Posting of Public Comments Administrative Procedure Act (APA), 5 the matters of fact and law asserted in Please note that all comments U.S.C. 551–559. 21 CFR 1308.41– the hearing, must be received on or received are considered part of the 1308.45; 21 CFR part 1316, subpart D. before May 7, 2020. public record. They will, unless Interested persons may file requests for ADDRESSES: To ensure proper handling reasonable cause is given, be made a hearing or notices of intent to of comments, please reference ‘‘Docket available by the Drug Enforcement participate in a hearing in conformity No. DEA–600’’ on all correspondence, Administration (DEA) for public with the requirements of 21 CFR including any attachments. inspection online at http:// 1308.44(a) or (b), and include a • Electronic comments: The Drug www.regulations.gov. Such information statement of interest in the proceeding Enforcement Administration (DEA) includes personal identifying and the objections or issues, if any,
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concerning which the person desires to comment and to request a hearing. After lemborexant as a schedule IV controlled be heard. 21 CFR 1316.47(a). Any the conclusion of such proceedings, substance under the CSA. interested person may file a waiver of an DEA must issue a final rule in Included below is a brief summary of opportunity for a hearing or to accordance with the scheduling criteria each factor as analyzed by HHS and participate in a hearing together with a of subsections 21 U.S.C. 811(b), (c), and DEA, and as considered by DEA in its written statement regarding the (d) and 21 U.S.C. 812(b). scheduling action. Please note that both interested person’s position on the Lemborexant [(1R,2S)-2-[(2,4- DEA and HHS analyses are available in matters of fact and law involved in any dimethylpyrimidin-5-yl)oxymethyl]-2- hearing as set forth in 21 CFR their entirety under ‘‘Supporting (3-fluorophenyl)-N-(5-fluoropyridin-2- Documents’’ in the public docket for 1308.44(c). yl)cyclopropane-1-carboxamide] is a this interim final rule at http:// All requests for a hearing and waivers new molecular entity with CNS www.regulations.gov, under Docket of participation together with a written depressant properties. Lemborexant acts statement of position on the matters of as an antagonist at both orexin-1 and Number ‘‘DEA–600.’’ Full analysis of, fact and law involved in such hearing, orexin-2 receptors (OX1R and OX2R, and citations to, the information must be sent to DEA using the address respectively). On December 27, 2018, referenced in the summary may also be information provided above. Eisai, Inc., submitted an NDA for found in the supporting and related Background and Legal Authority Dayvigo (lemborexant), 5 and 10 mg oral material. Under the Improving Regulatory tablets, with the proposed dosage 1. Its Actual or Relative Potential for Transparency for New Medical suggestion of 5 mg, not to exceed a Abuse Therapies Act, Public Law 114–89, 2(b), maximum dose of 10 mg once a day. On 129 tat. 700 (2015), DEA is required to March 9, 2020, DEA received a letter As noted by HHS, lemborexant is a commence an expedited scheduling from FDA, dated March 5, 2020, new molecular entity that has not been action with respect to certain new drugs notifying DEA that FDA, on December marketed in the United States or any approved by the Food and Drug 20, 2019, approved the NDA for Dayvigo other country. Thus, evidence regarding Administration (FDA). As provided in (lemborexant), under section 505(c) of its diversion, illicit manufacture, or 21 U.S.C. 811(j), this expedited the Federal Food, Drug, and Cosmetic deliberate ingestion is currently lacking. scheduling is required where both of the Act (FDCA), for the treatment of adult DEA notes that there are no reports for following conditions apply: (1) The patients with insomnia, characterized lemborexant in the National Forensic Secretary of HHS has advised DEA that by difficulties with sleep onset and/or Laboratory Information System 2 a New Drug Application (NDA) has been sleep maintenance. Lemborexant has (NFLIS),3 which collects drug not been marketed in any other country submitted for a drug that has a identification results from drug cases for any medical indication. stimulant, depressant, or hallucinogenic submitted to and analyzed by state and effect on the central nervous system Determination To Schedule local forensic laboratories. There were (CNS), and that it appears that such Lemborexant also no reports in STARLiMS,4 DEA’s drug has an abuse potential; and (2) the laboratory drug evidence data system of On January 9, 2020, DEA received Secretary of HHS recommends that DEA record. control the drug in schedule II, III, IV, from HHS a scientific and medical or V pursuant to 21 U.S.C. 811(a) and evaluation (dated December 19, 2019) As stated by HHS, lemborexant is a (b). In these circumstances. DEA is entitled ‘‘Basis for the Recommendation sedative that is highly selective for both required to issue an interim final rule to Control Lemborexant and its Salts in the OX1R and OX2R receptors and has controlling the drug within 90 days. Schedule IV of the Controlled little to no affinity to other CNS receptor The law further states that the 90-day Substances Act’’ and a scheduling sites associated with abuse potential. In timeframe starts the later of: (1) The date recommendation. Pursuant to 21 U.S.C. a clinical study investigating the abuse DEA receives HHS’ scientific and 811(b) and (c), this document contained potential of lemborexant, HHS medical evaluation and scheduling an eight-factor analysis of the abuse concluded that lemborexant produced recommendation, or (2) the date DEA potential, legitimate medical use, and subjective responses that were similar to receives notice of the NDA approval by dependence liability of lemborexant, those for the schedule IV sedative HHS. In addition, the law specifies that along with HHS’s recommendation to suvorexant. the rulemaking shall become control lemborexant and its salts under immediately effective as an interim final schedule IV of the CSA. 3 NFLIS represents an important resource in rule without requiring DEA to In response, DEA reviewed the monitoring illicit drug trafficking, including the demonstrate good cause therefore. Thus, scientific and medical evaluation and diversion of legally manufactured pharmaceuticals the purpose of subsection (j) is to speed into illegal markets. NFLIS is a comprehensive scheduling recommendation provided information system that includes data from forensic the process by which DEA schedules by HHS, along with all other relevant laboratories that handle more than 96% of an newly approved drugs that are currently data, and completed its own eight-factor estimated 1.0 million distinct annual State and either in schedule I or not controlled review pursuant to 21 U.S.C. 811(c). local drug analysis cases. NFLIS includes drug (but which have sufficient abuse chemistry results from completed analyses only. DEA concluded that lemborexant meets While NFLIS data is not direct evidence of abuse, potential to warrant control) so that the 21 U.S.C. 812(b)(4) criteria for it can lead to an inference that a drug has been such drugs may be marketed without placement in schedule IV of the CSA. diverted and abused. See 76 FR 77330, 77332, Dec. 1 undue delay following FDA approval. Pursuant to subsection 811(j), and 12, 2011. NFLIS data were queried January 15, Subsection (j) further provides that 2020. based on HHS’s recommendation, the 4 On October 1, 2014, DEA implemented the interim final rule shall give NDA approval by HHS/FDA, and DEA’s interested persons the opportunity to STARLiMS (a web-based, commercial laboratory determination, DEA is issuing this information management system) to replace the interim final rule to schedule System to Retrieve Information from Drug Evidence 1 Given the parameter of subsection (j), in DEA’s (STRIDE) as its laboratory drug evidence data view, it would not apply to a reformulation of a system of record. DEA laboratory data submitted drug containing a substance currently in schedules 2 https://www.accessdata.fda.gov/drugsatfda_ after September 30, 2014, are reposited in II through V for which an NDA has recently been docs/appletter/2019/212028Orig1s000ltr.pdf, STARLiMS. STARLiMS data were queried January approved. accessed March 11, 2020. 15, 2020.
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2. Scientific Evidence of Its proposed therapeutic use for and STARLiMS databases have no Pharmacological Effects, if Known lemborexant as a treatment for evidence of law enforcement encounters According to HHS, lemborexant insomnia. No additional abuse-related of lemborexant. However, as HHS notes, primarily acts as a dual orexin receptor AEs were reported by participants at an data from preclinical and clinical antagonist and does not bind with any incidence greater than 1.0 percent. As studies summarized in Factor 2 indicate other CNS receptors that are typically per the adverse event data obtained that the scope, duration, and associated with abuse, such as opioid or from Phase 1 and Phase 2⁄3 clinical significance of abuse for lemborexant cannabinoid receptors, GABAergic, and safety and efficacy trials, there were no would be similar to those of suvorexant, other ion channels. According to HHS, significant abuse-related signals. a schedule IV substance. As stated by HHS, data from animal and human general behavioral studies in animals 3. The State of Current Scientific studies indicate that lemborexant has an indicate that acute oral administration Knowledge Regarding the Drug or Other abuse potential similar to that of of lemborexant using supratherapeutic Substance doses (100, 300, and 1000 mg/kg), suvorexant. produced no overt behavioral changes Lemborexant is a new molecular entity, chemically known as (1R,2S)-2- 6. What, if Any, Risk There Is to the in hindlimb foot splay, forelimb grip Public Health strength, hindlimb grip strength, and [(2,4-dimethylpyrimidin-5- As stated by HHS, the public health rectal temperature in cage-side, hand- yl)oxymethyl]-2-(3-fluorophenyl)-N-(5- risk associated with lemborexant is held, and open-field using functional fluoropyridin-2-yl)cyclopropane-1- largely a risk to the individual due to its observational methods. Additionally, carboxamide. It is nearly insoluble in abuse potential. The extent of abuse lemborexant, even at supratherapeutic water and heptane; ‘‘sparingly’’ soluble potential of a drug is an indication of its doses, does not significantly impair in 1-octanol; very soluble in dimethyl public health risk. Data from the motor coordination. In drug sulfoxide; and freely soluble in preclinical and clinical studies suggest discrimination studies, which are used methanol, acetone, ethyl acetate, and that the abuse potential of lemborexant to predict subjective effects in humans, benzyl alcohol. Additionally, is similar to schedule IV substances, lemborexant and suvorexant (a schedule lemborexant is soluble in acetonitrile such as suvorexant and zolpidem. IV substance which is another known and ethanol. On December 20, 2019, Lemborexant, similar to schedule IV dual orexin receptor antagonist) did not FDA approved an NDA for lemborexant sedatives, is likely to pose a public fully mimic stimulus effects of for medical use for the treatment of health risk of abuse upon marketing in zolpidem, a schedule IV sedative. In a insomnia in adult patients with the United States. self-administration study in rhesus insomnia characterized by difficulties monkeys, the rewarding effects of with sleep onset and/or sleep 7. Its Psychic or Physiological lemborexant were insufficient to maintenance. Thus, lemborexant has an Dependence Liability produce reinforcement. accepted medical use in the United States. Lemborexant will be marketed as Physical dependence for lemborexant According to HHS, in a human abuse was tested in a rat physical dependence potential (HAP) study conducted by the a once daily tablet taken before bedtime, study and during Phase 2⁄3 clinical Sponsor, lemborexant (at therapeutic with at least 7 hours remaining before the planned time of awakening. The trials. Based on the data from these and supratherapeutic doses) produced studies, HHS concluded that statistically significant increases on recommended dose for lemborexant is 5 mg; however, the dosage may be lemborexant lacked physical positive subjective measures in the dependence potential. According to bipolar visual analog scale (VAS) (i.e., increased to 10 mg based on clinical response and tolerability.5 HHS, in the HAP study (presented in Drug Liking, Overall Drug Liking, Good Factor 2), lemborexant administration Effects, High, Stoned, and Take Drug 4. Its History and Current Pattern of was associated with positive subjective Again) that were greater than placebo Abuse effects as assessed by participant and statistically similar to suvorexant responses to measures of Drug Liking, and/or zolpidem (schedule IV There is no information available relating to the history and current Overall Drug Liking, Good Drug Effects, substances). With respect to two High, Stoned, and Take Drug Again. The subjective measures, such as drowsiness pattern of abuse of lemborexant because this drug is not currently marketed in results indicated that the responses for and sedation, lemborexant, similar to lemborexant were similar to that of zolpidem and suvorexant, produced any country. As stated in Factor 1, DEA notes that there has been no diversion positive control drugs, such as zolpidem statistically significantly greater scores and suvorexant. Thus, it is likely that than placebo. HHS concluded that of lemborexant based on NFLIS and STARLiMS data. HHS notes that lemborexant can produce psychic lemborexant produces positive dependence similar to that of schedule subjective effects and has an abuse lemborexant produces abuse-related signals and abuse potential similar to IV drugs, such as zolpidem and potential similar to that of schedule IV suvorexant. sedatives, such as suvorexant and that of the schedule IV controlled zolpidem, which were used as positive substance suvorexant. 8. Whether the Substance Is an controls in the aforementioned study. 5. The Scope, Duration, and Immediate Precursor of a Substance According to HHS, in multiple-dose Significance of Abuse Already Controlled Under the CSA Phase I studies, lemborexant produced Lemborexant as a single active Lemborexant is not an immediate dose-dependent ‘‘abnormal dreams.’’ ingredient in a drug product is currently precursor of any controlled substance, There were few incidents of abuse- not marketed in any country. Thus, as defined in 21 U.S.C. 802(23). related adverse events (AEs), such as information on the scope, duration, and ‘‘euphoric mood,’’ ‘‘disturbance in Conclusion significance of abuse for lemborexant is attention,’’ and ‘‘memory impairment.’’ After considering the scientific and lacking. As described in Factor 4, NFLIS Furthermore, in Phase 2 clinical studies, medical evaluation conducted by HHS, lemborexant produced dose dependent 5 https://www.accessdata.fda.gov/drugsatfda_ HHS’s recommendation, and its own somnolence. This response was docs/label/2019/212028s000lbl.pdf, accessed eight-factor analysis, DEA has considered appropriate given the February 6, 2020. determined that these facts and all
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relevant data constitute substantial dependence to a similar extent as 5. Inventory. Every DEA registrant evidence of a potential for abuse of zolpidem and suvorexant. Thus, abuse who possesses any quantity of lemborexant. As such, DEA hereby of lemborexant may lead to limited lemborexant must take an inventory of schedules lemborexant as a controlled psychological dependence relative to lemborexant on hand, pursuant to 21 substance under the CSA. the drugs or other substances in U.S.C. 827 and 958, and in accordance Determination of Appropriate Schedule schedule III of the CSA. with 21 CFR 1304.03, 1304.04, and Based on these findings, the Acting 1304.11. The CSA lists the findings required to Administrator of DEA concludes that Any person who becomes registered place a drug or other substance in any lemborexant warrants control in with DEA to handle lemborexant must particular schedule (I, II, III, IV, or V). schedule IV of the CSA. 21 U.S.C. take an initial inventory of all stocks of 21 U.S.C. 812(b). After consideration of 812(b)(4). controlled substances (including the analysis and recommendation of the lemborexant) on hand on the date the Assistant Secretary for Health of HHS Requirements for Handling registrant first engages in the handling and review of all available data, the Lemborexant of controlled substances, pursuant to 21 Acting Administrator of DEA, pursuant Lemborexant is subject to the CSA’s U.S.C. 827 and 958(e), and in to 21 U.S.C. 812(b)(4), finds that: schedule IV regulatory controls and accordance with 21 CFR 1304.03, 1. Lemborexant has a low potential administrative, civil, and criminal 1304.04, and 1304.11. for abuse relative to the drugs or other sanctions applicable to the manufacture, After the initial inventory, every DEA substances in schedule III. distribution, reverse distribution, registrant must take a new inventory of Lemborexant is a dual orexin receptor dispensing, importing, exporting, all stocks of controlled substances antagonist, which produces sedation in research, and conduct of instructional (including lemborexant) on hand at least human behavioral studies. In the HAP activities and chemical analysis with, every two years, pursuant to 21 U.S.C. study, therapeutic and supratherapeutic and possession involving schedule IV 827 and 958(e), and in accordance with doses of lemborexant produced positive substances, including the following: 21 CFR 1304.03, 1304.04, and 1304.11. subjective responses such as Drug 1. Registration. Any person who 6. Records and Reports. DEA Liking, Overall Drug Liking, Good Drug handles (manufactures, distributes, registrants must maintain records and Effects, High, Stoned, and Take Drug reverse distributes, dispenses, imports, submit reports for lemborexant, Again that were statistically exports, engages in research, or pursuant to 21 U.S.C. 827, 832(a), and significantly greater than those conducts instructional activities or 958(e), and in accordance with 21 CFR produced by placebo. These responses chemical analysis with, or possesses) 1301.74(b) and (c) and parts 1304, 1312, of lemborexant are similar to those lemborexant, or who desires to handle and 1317. produced by schedule IV drugs lemborexant, must be registered with 7. Prescriptions. All prescriptions for suvorexant and zolpidem. Because DEA to conduct such activities pursuant lemborexant, or products containing lemborexant is similar to zolpidem and to 21 U.S.C. 822, 823, 957, and 958 and lemborexant, must comply with 21 suvorexant in its abuse potential, in accordance with 21 CFR parts 1301 U.S.C. 829, and be issued in accordance lemborexant has a low potential for and 1312. Any person who currently with 21 CFR parts 1306 and 1311, abuse relative to the drugs and other handles or intends to handle subpart C. listed substances in schedule III of the lemborexant and is not registered with 8. Manufacturing and Distributing. In CSA. DEA must submit an application for addition to the general requirements of 2. Lemborexant has a currently the CSA and DEA regulations that are accepted medical use in the United registration and may not continue to handle lemborexant, unless DEA has applicable to manufacturers and States. distributors of schedule IV controlled FDA recently approved lemborexant approved that application for substances, such registrants should be oral tablets for the treatment of adult registration, pursuant to 21 U.S.C. 822, advised that (consistent with the patients with insomnia, characterized 823, 957, and 958, and in accordance foregoing considerations) any by difficulties with sleep onset and/or with 21 CFR parts 1301 and 1312. manufacturing or distribution of sleep maintenance. Thus, lemborexant 2. Disposal of stocks. Any person who lemborexant may only be for the has a currently accepted medical use in does not desire or is not able to legitimate purposes consistent with the treatment in the United States. maintain a schedule IV registration must 3. Lemborexant may lead to limited surrender all quantities of currently drug’s labeling, or for research activities physical dependence or psychological held lemborexant or may transfer all authorized by the FDCA and the CSA. dependence relative to the drugs or quantities of lemborexant to a person 9. Importation and Exportation. All other substances in schedule III. registered with DEA in accordance with importation and exportation of As stated by HHS, data from a rat 21 CFR part 1317, in additional to all lemborexant must be in compliance physical dependence study, as well as a other applicable Federal, State, local, with 21 U.S.C. 952, 953, 957, and 958, physical dependence assessment at the and tribal laws. and in accordance with 21 CFR part 1312. conclusion of the Phase 2⁄3 clinical 3. Security. Lemborexant is subject to trials, showed that lemborexant did not schedule III–V security requirements 10. Liability. Any activity involving produce withdrawal symptoms and must be handled and stored in lemborexant not authorized by, or in indicative of physical dependence. In accordance with 21 CFR 1301.71– violation of, the CSA or its the HAP study, lemborexant produced 1301.77. Non-practitioners handling implementing regulations, is unlawful, positive subjective responses to lemborexant must also comply with the and may subject the person to measures such as Drug Liking, Overall employee screening requirements of administrative, civil, and/or criminal Drug Liking, Good Drug Effects, High, 1301.90–1301.93. sanctions. Stoned, and Take Drug Again that were 4. Labeling and Packaging. All labels, Regulatory Analyses greater than placebo and similar to that labeling, and packaging for commercial of the schedule IV drugs zolpidem and containers of lemborexant must comply Administrative Procedure Act suvorexant. This data suggests that with 21 U.S.C. 825 and 958(e), and be Section 553 of the APA (5 U.S.C. 553) lemborexant can produce psychic in accordance with 21 CFR part 1302. generally requires notice and comment
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for rulemakings. However, 21 U.S.C. distribution of power and ability of United States-based 811(j) provides that in cases where a responsibilities among the various companies to compete with foreign- certain new drug is: (1) Approved by levels of government. based companies in domestic and HHS, under section 505(c) of the FDCA, export markets. However, pursuant to Executive Order 13175, Consultation and (2) HHS recommends control in the CRA, DEA has submitted a copy of and Coordination With Indian Tribal CSA schedule II–V, DEA shall issue an this interim final rule to both Houses of Governments interim final rule scheduling the drug Congress and to the Comptroller within 90 days. As stated in the legal This rule does not have tribal General. authority section, the 90-day time frame implications warranting the application is the later of: (1) The date DEA receives of Executive Order 13175. It does not List of Subjects in 21 CFR Part 1308 HHS’s scientific and medical have substantial direct effects on one or Administrative practice and evaluation/scheduling recommendation, more Indian tribes, on the relationship procedure, Drug traffic control, or (2) the date DEA receives notice of between the Federal government and Reporting and recordkeeping the NDA approval by HHS. Indian tribes, or on the distribution of requirements. Additionally, the law specifies that the power and responsibilities between the For the reasons set out above, DEA rulemaking shall become immediately Federal government and Indian tribes. amends 21 CFR part 1308 as follows: effective as an interim final rule without Regulatory Flexibility Act requiring DEA to demonstrate good PART 1308—SCHEDULES OF cause. The Regulatory Flexibility Act (RFA) CONTROLLED SUBSTANCES (5 U.S.C. 601–612) applies to rules that Executive Orders 12866, 13563, and are subject to notice and comment ■ 1. The authority citation for 21 CFR 13771, Regulatory Planning and Review, under section 553(b) of the APA. Under part 1308 continues to read as follows: Improving Regulation and Regulatory 21 U.S.C. 811(j), DEA is not required to Review, and Reducing Regulation and Authority: 21 U.S.C. 811, 812, 871(b), publish a general notice of proposed 956(b), unless otherwise noted. Controlling Regulatory Costs rulemaking. Consequently, the RFA ■ 2. Amend § 1308.14 by: In accordance with 21 U.S.C. 811(a) does not apply to this interim final rule. ■ and (j), this scheduling action is subject a. Redesignating paragraphs (c)(30) to formal rulemaking procedures Unfunded Mandates Reform Act of 1995 through (c)(56) as (c)(31) through (c)(57); In accordance with the Unfunded and performed ‘‘on the record after ■ opportunity for a hearing,’’ which are Mandates Reform Act (UMRA) of 1995, b. Adding new paragraph (c)(30). conducted pursuant to the provisions of 2 U.S.C. 1501 et seq., DEA has The addition reads as follows: 5 U.S.C. 556 and 557. The CSA sets determined that this action would not § 1308.14 Schedule IV. forth the procedures and criteria for result in any Federal mandate that may * * * * * scheduling a drug or other substance. result ‘‘in the expenditure by State, (c) * * * Such actions are exempt from review by local, and tribal governments, in the the Office of Management and Budget aggregate, or by the private sector, of (30) Lemborexant ...... 2245 (OMB) pursuant to section 3(d)(1) of $100,000,000 or more (adjusted Executive Order 12866 and the annually for inflation) in any 1 year.’’ * * * * * principles reaffirmed in Executive Order Therefore, neither a Small Government Uttam Dhillon, 13563. Agency Plan nor any other action is Acting Administrator. This interim final rule is not an required under UMRA of 1995. [FR Doc. 2020–07089 Filed 4–6–20; 8:45 am] Executive Order 13771 regulatory action pursuant to Executive Order 12866 and Paperwork Reduction Act of 1995 BILLING CODE 4410–09–P OMB guidance.6 This action does not impose a new collection of information requirement Executive Order 12988, Civil Justice under the Paperwork Reduction Act of DEPARTMENT OF LABOR Reform 1995. 44 U.S.C. 3501–3521. This action Mine Safety and Health Administration This regulation meets the applicable would not impose recordkeeping or standards set forth in sections 3(a) and reporting requirements on State or local 30 CFR Parts 56 and 57 3(b)(2) of Executive Order 12988 to governments, individuals, businesses, or eliminate drafting errors and ambiguity, organizations. An agency may not [Docket No. MSHA–2019–0007] minimize litigation, provide a clear legal conduct or sponsor, and a person is not RIN 1219–AB88 standard for affected conduct, and required to respond to, a collection of promote simplification and burden information unless it displays a Electronic Detonators reduction. currently valid OMB control number. AGENCY: Mine Safety and Health Executive Order 13132, Federalism Congressional Review Act Administration, Labor. This rulemaking does not have This rule is not a major rule as ACTION: Direct final rule; confirmation of federalism implications warranting the defined by the Congressional Review effective date. application of Executive Order 13132. Act (CRA), 5 U.S.C. 804. This rule will The rule does not have substantial not result in: An annual effect on the SUMMARY: The Mine Safety and Health direct effects on the States, on the economy of $100 million or more; a Administration (MSHA) confirms the relationship between the national major increase in costs or prices for effective date for the direct final rule, government and the States, or on the consumers, individual industries, Electronic Detonators, which was Federal, State, or local government published on January 14, 2020, to revise 6 Office of Mgmt. & Budget, Exec. Office of The agencies, or geographic regions; or certain safety standards for explosives at President, Interim Guidance Implementing Section metal and nonmetal mines. 2 of the Executive Order of January 30, 2017 Titled significant adverse effects on ‘‘Reducing Regulation and Controlling Regulatory competition, employment, investment, DATES: The effective date of the final Costs’’ (Feb. 2, 2017). productivity, innovation, or on the rule published in the Federal Register
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of January 14, 2020 (85 FR 2022) is SUMMARY: This final rule removes DoD’s DEPARTMENT OF HEALTH AND confirmed: March 16, 2020. regulation that provides instructions to HUMAN SERVICES ADDRESSES: DoD Components on the collection and Federal Register Publications: Access disposition of cash and cash equivalents 45 CFR Parts 160 and 164 received for the sale of DoD surplus rulemaking documents electronically at Enforcement Discretion Under HIPAA https://www.msha.gov/regulations/ personal property. Proceeds from the To Allow Uses and Disclosures of rulemaking or http:// sale of surplus personal property shall Protected Health Information by www.regulations.gov [Docket Number: be deposited by the collecting DoD Business Associates for Public Health MSHA–2019–0007]. Component promptly to a U.S. Treasury and Health Oversight Activities in Email Notification: To subscribe to account. Process instructions are Response to COVID–19 receive email notification when MSHA conveyed directly to potential buyers publishes rulemaking documents in the and bidders when invitation for bids are AGENCY: Office of the Secretary, HHS. Federal Register, go to https:// distributed or published. Therefore, this ACTION: Notification of enforcement www.msha.gov/subscriptions. rule is unnecessary and can be removed discretion. FOR FURTHER INFORMATION CONTACT: from the CFR. SUMMARY: This notification is to inform Sheila A. McConnell, Director, Office of the public that the Department of Health Standards, Regulations, and Variances, DATES: This rule is effective on April 7, and Human Services (HHS) is exercising MSHA, at [email protected] 2020. its discretion in how it applies the (email), 202–693–9440 (voice), or 202– FOR FURTHER INFORMATION CONTACT: Privacy Rule under the Health Insurance 693–9441 (fax). These are not toll-free Kellie Allison at 703–614–0410. Portability and Accountability Act of numbers. SUPPLEMENTARY INFORMATION: It has been 1996 (HIPAA). Current regulations SUPPLEMENTARY INFORMATION: determined that publication of this CFR allow a HIPAA business associate to use Effective Date part removal for public comment is and disclose protected health information for public health and health On January 14, 2020, MSHA impracticable, unnecessary, and contrary to public interest since it is oversight purposes only if expressly published in the Federal Register a permitted by its business associate based on removing DoD guidance that is direct final rule to revise certain safety agreement with a HIPAA covered entity. not required to be codified and is standards for explosives at metal and As a matter of enforcement discretion, publicly available on the Department’s nonmetal mines (85 FR 2022). In the effective immediately, the HHS Office same issue of the Federal Register, website. DoD guidance will continue to for Civil Rights (OCR) will exercise its MSHA published a companion be published in DoD 7000.14–R, enforcement discretion and will not proposed rule (85 FR 2064) for notice Financial Management Regulation, impose potential penalties for violations and comment rulemaking to provide a Volume 11A, Chapter 5, ‘‘Disposition of of certain provisions of the HIPAA procedural framework to finalize the Proceeds from DoD Sales of Surplus Privacy Rule against covered health care rule in the event that the Agency Personal Property’’ available at http:// providers or their business associates for received significant adverse comments comptroller.defense.gov/Portals/45/ uses and disclosures of protected health and had to withdraw the direct final documents/fmr/current/11a/11a_05.pdf. information by business associates for rule. After reviewing all the comments This rule is not significant under public health and health oversight received during the public comment Executive Order (E.O.) 12866, activities during the COVID–19 period, MSHA has determined that ‘‘Regulatory Planning and Review.’’ nationwide public health emergency. these comments are not adverse to the Therefore, E.O. 13771, ‘‘Reducing DATES: The Notification of Enforcement direct final rule. Therefore, the direct Discretion will remain in effect until the final rule took effect on March 16, 2020. Regulation and Controlling Regulatory Costs,’’ does not apply. Secretary of HHS declares that the Authority: 30 U.S.C. 811 public health emergency no longer List of Subjects in 32 CFR Part 172 exists, or upon the expiration date of the David G. Zatezalo, declared public health emergency (as Assistant Secretary of Labor for Mine Safety Personal property, Recyclable determined by 42 U.S.C. 247d), and Health Administration. material, Surplus Government property. whichever occurs first. [FR Doc. 2020–06649 Filed 4–6–20; 8:45 am] PART 172—[REMOVED] FOR FURTHER INFORMATION CONTACT: BILLING CODE 4520–43–P Rachel Seeger at (202) 619–0403 or (800) 537–7697 (TDD). ■ Accordingly, by the authority of 5 U.S.C. 301, 32 CFR part 172 is removed. SUPPLEMENTARY INFORMATION: HHS is DEPARTMENT OF DEFENSE informing the public that it is exercising Dated: March 27, 2020. Office of the Secretary its discretion in how it applies the Aaron T. Siegel, Privacy Rule under the Health Insurance 32 CFR Part 172 Federal Register Liaison Officer, Department Portability and Accountability Act of of Defense. 1996 (HIPAA).1 [Docket ID: DOD–2018–OS–0044] [FR Doc. 2020–06773 Filed 4–6–20; 8:45 am] 1 Due to the public health emergency posed by RIN 0790–AK30 BILLING CODE 5001–06–P COVID–19, the HHS Office for Civil Rights (OCR) is exercising its enforcement discretion under the Disposition of Proceeds From DoD conditions outlined herein. We believe that this guidance is a statement of agency policy not subject Sales of Surplus Personal Property to the notice and comment requirements of the Administrative Procedure Act (APA). 5 U.S.C. AGENCY: Office of the Under Secretary of 553(b)(A). OCR additionally finds that, even if this Defense (Comptroller), DoD. guidance were subject to the public participation ACTION: Final rule. provisions of the APA, prior notice and comment for this guidance is impracticable, and there is good
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I. Background health oversight activities consistent DEPARTMENT OF TRANSPORTATION with 45 CFR 164.512(d); and The Office for Civil Rights (OCR) at National Highway Traffic Safety • The business associate informs the the Department of Health and Human Administration Services (HHS) is responsible for covered entity within ten (10) calendar enforcing certain regulations issued days after the use or disclosure occurs 49 CFR Part 555 under the Health Insurance Portability (or commences, with respect to uses or and Accountability Act of 1996 disclosures that will repeat over time). [Docket No. NHTSA–2018–0103] (HIPAA), and the Health Information Examples of such good faith uses or Denial of Petition for Reconsideration; Technology for Economic and Clinical disclosures covered by this Notification Health (HITECH) Act, to protect the Temporary Exemption From Motor include uses and disclosures for or to: privacy and security of protected health Vehicle Safety and Bumper Standards • the Centers for Disease Control and information (PHI), namely, the HIPAA AGENCY: National Highway Traffic Privacy, Security, and Breach Prevention (CDC), or a similar public Safety Administration (NHTSA), Notification Rules (the HIPAA Rules). health authority at the state level, for the Department of Transportation (DOT). purpose of preventing or controlling the The HIPAA Privacy Rule permits a ACTION: Denial of petition for spread of COVID–19, consistent with 45 business associate of a HIPAA covered reconsideration. entity to use and disclose PHI to CFR 164.512(b). conduct certain activities or functions • The Centers for Medicare and SUMMARY: This document denies a on behalf of the covered entity, or Medicaid Services (CMS), or a similar petition for reconsideration submitted provide certain services to or for the health oversight agency at the state by Advocates for Highway and Auto covered entity, but only pursuant to the level, for the purpose of overseeing and Safety, Center for Auto Safety, explicit terms of a business associate providing assistance for the health care Consumer Reports, Consumer contract or other written agreement or system as it relates to the COVID–19 Federation of America, and Ms. Joan arrangement under 45 CFR 164.502(e)(2) response, consistent with 45 CFR Claybrook (collectively, the (collectively, ‘‘business associate ‘‘Petitioners’’) of a final rule amending 164.512(d). agreement’’ or BAA), or as required by NHTSA’s regulation on temporary law. This enforcement discretion does not exemption from the Federal Motor Federal public health authorities and extend to other requirements or Vehicle Safety Standards (FMVSS). The health oversight agencies, state and prohibitions under the Privacy Rule, nor final rule eliminated the provision local health departments, and state to any obligations under the HIPAA calling for the agency to determine that emergency operations centers have Security and Breach Notification Rules an application for a temporary requested PHI from HIPAA business applicable to business associates and exemption from any FMVSS or bumper associates (i.e., a disclosure of PHI), or covered entities. For example, business standard or for a renewal of exemption requested that business associates associates remain liable for complying is complete before the agency publishes perform public health data analytics on with the Security Rule’s requirements to a notification summarizing the such PHI (i.e., a use of PHI by the implement safeguards to maintain the application and soliciting public business associate) for the purpose of confidentiality, integrity, and comments on it. ensuring the health and safety of the availability of electronic PHI (ePHI), DATES: April 7, 2020. public during the COVID–19 national including by ensuring secure FOR FURTHER INFORMATION CONTACT: emergency, which also constitutes a transmission of ePHI to the public Daniel Koblenz, Office of Chief Counsel, nationwide public health emergency. health authority or health oversight National Highway Traffic Safety Some HIPAA business associates have agency. This Notification does not Administration, 1200 New Jersey been unable to timely participate in address other federal or state laws Avenue SE, Washington, DC 20590; these efforts because their BAAs do not (including breach of contract claims) Telephone: (202) 366–2992. expressly permit them to make such SUPPLEMENTARY INFORMATION: uses and disclosures of PHI. that might apply to the uses and disclosures of this information. Table of Contents II. Parameters and Conditions of Enforcement Discretion III. Collection of Information I. Background Requirements II. Petition for Reconsideration and Agency To facilitate uses and disclosures for Response public health and health oversight This notice of enforcement discretion A. This Final Rule was Not Issued as a activities during this nationwide public creates no legal obligations and no legal Direct Final Rule under 49 CFR 553.14 health emergency, effective rights. Because this notice imposes no B. Immediate Adoption of a Final Rule immediately, OCR will exercise its information collection requirements, it Under the APA enforcement discretion and will not need not be reviewed by the Office of C. Advantages of Removing Completeness Requirement impose penalties against a business Management and Budget under the associate or covered entity under the D. NHTSA Provided a Reasoned Paperwork Reduction Act of 1995 (44 Justification for the Amendment Privacy Rule provisions 45 CFR U.S.C. 3501 et seq.). III. Conclusion 164.502(a)(3), 45 CFR 164.502(e)(2), 45 CFR 164.504(e)(1) and (5) if, and only if: Roger T. Severino, This document denies a petition for • the business associate makes a good Director, Office for Civil Rights, Department reconsideration submitted by the faith use or disclosure of the covered of Health and Human Services. Petitioners requesting reconsideration of entity’s PHI for public health activities [FR Doc. 2020–07268 Filed 4–2–20; 4:15 pm] a December 26, 2018 final rule (83 FR consistent with 45 CFR 164.512(b), or 66158) amending NHTSA’s regulation BILLING CODE 4153–01–P on temporary exemption from the cause to issue this guidance without prior public FMVSS. The intended effect of the final comment and without a delayed effective date. 5 rule was to solicit public comments on U.S.C. 553(b)(B) & (d)(3). a petition more quickly than had been
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the case under part 555 prior to the enable NHTSA to make the findings The December 26, 2018 final rule change in procedure. required to grant the exemption under amended 49 CFR 555.7 by eliminating one of the four exemption bases. In the provision stating that the agency I. Background addition, the petition must also explain will not publish a notice of receipt of an The National Traffic and Motor why the exemption would be in the exemption petition to solicit public Vehicle Safety Act (Safety Act), as public interest and consistent with the comments prior to making a amended, authorizes the Secretary of objectives of the Safety Act. NHTSA’s determination that the petition is Transportation to exempt, on a procedures for processing exemption ‘‘complete.’’ 5 As was noted in the final temporary basis, under specified petitions once they are received are rule, the reason for this was NHTSA’s circumstances, and on terms the described in 49 CFR 555.7. difficulty in differentiating between Secretary deems appropriate, motor The final rule made no changes to the incomplete petitions (for which, prior to vehicles from an FMVSS or bumper ability of the public to comment on a the final rule, a notice of receipt would standard. This authority is set forth at published petition for exemption, nor to not be published) and petitions which 49 U.S.C. 30113. The Secretary has the substantive requirements for a were complete, but which failed to delegated the authority for petition. The opportunity for the public provide adequate justification to grant implementing this section to NHTSA.1 to comment on a petition remains the (for which, prior to the final rule, a In exercising this authority, NHTSA same today as it has always been: The notice of receipt would be published). must look comprehensively at the agency publishes a notification in the This was especially the case in the request for exemption and find that an Federal Register summarizing the context of complex petitions involving exemption would be consistent with the application and inviting public new or innovative vehicle designs, public interest and with the objectives comment on whether the application which has in the past led to delays in of the Safety Act.2 In addition, the should be granted or denied. Before processing these petitions.6 This final Secretary must make at least one of the NHTSA issued its December 26, 2018, rule did not change the substantive following more-focused findings, which final rule (83 FR 66158), however, this requirements that exemption petitions NHTSA commonly refers to as the Federal Register notification would must meet; the amended regulation ‘‘basis’’ for the exemption: only be published after the agency continues to provide that the agency determined that the application was (i) compliance with the standard[s] [from will determine whether an application which exemption is sought] would cause complete (i.e., that the application for exemption contains adequate substantial economic hardship to a included all the information required justification in deciding whether to manufacturer that has tried to comply with under 49 U.S.C. 30113 and 49 CFR part grant or deny the application.7 the standard[s] in good faith; 555). However, if NHTSA found that the (ii) the exemption would make easier the application was incomplete, NHTSA II. Petition for Reconsideration and development or field evaluation of a new informed the applicant, pointed out the Agency Response motor vehicle safety feature providing a areas of insufficiency, and stated that The Petitioners submitted a petition safety level at least equal to the safety level the application would not receive for reconsideration requesting that of the standard; further consideration until the required NHTSA stay the effective date of the (iii) the exemption would make the information was submitted. Prior to the development or field evaluation of a low- December 26, 2018 final rule, and to emission motor vehicle easier and would not final rule, the agency would not make proceed with a new notice of proposed unreasonably lower the safety level of that the application available to the public rulemaking along with a notice and vehicle; or and request public comment at this comment period. (iv) compliance with the standard would stage in the process unless the First, the Petitioners argue that by prevent the manufacturer from selling a additional required information was issuing the final rule, NHTSA did not motor vehicle with an overall safety level at submitted. Only then would the agency follow its direct final rulemaking least equal to the overall safety level of publish the notification requesting procedures for amendments that involve nonexempt vehicles.3 public comment. complex or controversial issues because, Per the Safety Act, once NHTSA Importantly, the final rule did not pursuant to 49 CFR 553.14, direct final receives a petition for an exemption, the amend 49 CFR 555.7(d) or (e), which rules may not be issued when they are agency is required to publish a notice of describe what steps NHTSA must take likely to result in ‘‘adverse public receipt of the petition and provide the after the agency determines whether an comment.’’ The Petitioners argue that public the opportunity to comment. exemption petition contains ‘‘adequate the final rule would have resulted in However, NHTSA does have a certain justification’’ to grant the petition. 49 adverse public comments because the amount of discretion to set procedural CFR 555.7(d) states that, if NHTSA new procedure is controversial among rules regarding time and way in which determines that the application does not the Petitioners. (Under NHTSA’s direct a petition is filed, as well as the contain adequate justification to grant final rulemaking procedures, if NHTSA contents of the petition.4 an exemption after considering the receives an adverse comment after NHTSA’s procedural regulations application and the public comments, issuing a direct final rule, the agency implementing these statutory the Administrator denies the petition must withdraw the rule and issue an requirements are codified at 49 CFR part and notifies the petitioner in writing. 49 NPRM proposing the amendment.) 555, ‘‘Temporary Exemption from Motor CFR 555.7(e) states that, if the Second, the Petitioners argue that, if Vehicle Safety and Bumper Standards.’’ Administrator determines that the the agency did not intend for the final Per the requirements in 49 CFR 555.5, application does contain adequate rule to be a direct final rule, the agency a petition for a temporary exemption justification to grant the petition, the violated the Administrative Procedure must, among other things, provide Administrator grants the petition and Act’s (APA) notice and comment supporting documentation that would notifies the applicant in writing. Under requirement because the agency did not both cases, the Administrator also issue an NPRM proposing the change. 1 49 CFR 1.94 publishes a notification in the Federal 2 49 U.S.C. 30113(b)(3)(A). Register stating the decision to grant or 5 83 FR 66158 (Dec. 26, 2018). 3 49 U.S.C. 30113(b)(3)(B). deny the petition, and the reasons for 6 Id. 4 49 U.S.C. 30113(b)(2). the decision. 7 Id.
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Third, the Petitioners argue that the this petition according to those of the rights or interests of the final rule is not in the public interest procedures. The petitioned final rule Petitioners as the Petitioners’ public because it deprives the public of the did not refer to 49 CFR 553.14 and interest argument seems to suggest; it opportunity to ‘‘review issues of great instead expressly indicated that it was does not alter the underlying rights or importance to safety’’ and permits the issued without notice and comment interest of interested parties. agency to publish incomplete pursuant to the APA exception for Petitioners’ assertion that the final applications. The Petitioners believe procedural rules in 5 U.S.C. rule ‘‘contravenes NHTSA’s notice-and- that the regulatory change would 553(b)(3)(A).9 Petitioners do not support comment obligations under the impose additional burdens on the their claim that NHTSA somehow acted Administrative Procedure Act’’ is public because to fully evaluate an ‘‘in violation of’’ its discretionary direct unpersuasive. NHTSA expressly found incomplete application and its final rulemaking procedures in 49 CFR that the final rule met the exception in implications on safety, the public would 553.14, when the agency instead APA section 553(b)(3)(A) because ‘‘[t]he be required to conduct independent applied a statutory exception in the sole purpose of this rule is to eliminate research and investigation to obtain APA. the provision calling for the agency to missing information not contained in an determine that a petition is complete B. Immediate Adoption of a Rule Under incomplete application. before the agency publishes a Finally, the Petitioners argue that the APA notification summarizing the petition NHTSA has not put forth data or NHTSA fully complied with the APA and soliciting public comments on it. evidence to show that the requirement when it issued a final rule for This rule does not impose any of waiting until an application is immediate adoption without a notice additional requirements on exemption complete before publication has caused and comment period. Section applicants or the public. Therefore, an undue delay or hardship on any 553(b)(3)(A) of the APA (U.S.C., Title 5) NHTSA has determined that notice and applicant, the agency, or the public. provides that notice and comment public comment are unnecessary.’’ 14 procedures do not apply to rules of Petitioners provided no explanation for A. This Final Rule was Not Issued as a agency organization, procedure, or why they believe notice-and-comment Direct Final Rule Under 49 CFR 553.14 practice, except when notice or hearing procedures apply notwithstanding the The Petitioners’ assumption that is required by statute. Under this APA exception cited by the agency in NHTSA intended for this rulemaking to section, an agency may issue a final rule the final rule. be considered a direct final rule, subject without seeking comment prior to the to 49 CFR 553.14, is incorrect. The APA rulemaking. Procedural rules are agency C. Advantages of Removing includes two circumstances when provisions that are primarily directed Completeness Determination notice and comment rulemaking toward improving the efficient and Requirement procedures do not apply: (1) ‘‘to effective operations of an agency, not Contrary to the assertion by interpretative rules, general statements toward the determination of the rights Petitioners, the subject final rule is in of policy, or rules of agency or interests of affected parties.10 A rule the public’s interest for several reasons. organization, procedure, or practice; or’’ that simply prescribes the manner in First, the final rule increases (2) ‘‘when the agency for good cause which the parties present themselves or transparency by giving the public the finds (and incorporates the finding and their viewpoints to the agency does not opportunity to thoroughly review a brief statement of reasons therefor in alter the underlying rights or interests of exemption applications that otherwise the rules issued) that notice and public the parties.11 may not have been disclosed to the procedure thereon are impracticable, The purpose of the petitioned final public or subject to public input. Under unnecessary, or contrary to the public rule is to expedite the publishing of the prior rule, NHTSA first had to make interest.’’ 5 U.S.C. 553(b). As described documents soliciting public comment a threshold finding before opening a below, this rule falls into the first on exemption applications,12 which is public docket on the petition. If NHTSA exception, as a rule of agency directly related to improving the found that the application was procedure. NHTSA’s direct final efficient and effective operations of the incomplete, NHTSA informed the rulemaking regulation is primarily agency. It amended a provision of applicant, pointed out the areas of directed at the second exception, as it NHTSA’s regulations concerning the insufficiency, and stated that the requires a threshold ‘‘good cause’’ agency’s ‘‘[p]rocessing of application would not receive further finding. See 49 CFR 553.14. applications.’’ 13 The final rule simply consideration until the required In any event, the procedures in 49 eliminated the provision calling for the information was submitted. The public CFR 553.14 are not mandatory. 49 CFR agency to determine that an application did not have the opportunity to review 553.14 states that if the Administrator for exemption is complete before the incomplete application. Under the makes a ‘‘good cause’’ finding, ‘‘a direct publishing a notification summarizing amended rule, the public can review final rule may [emphasis added] be an application and soliciting public incomplete exemption applications. issued’’ according to the direct final comments on it, which is a prescription Second, under the final rule, both the rulemaking procedures. Likewise, it of the manner in which applicants agency and the public can provides that: ‘‘[r]ules that the present themselves to the agency. comprehensively evaluate applications Administrator judges to be non- Therefore, this procedural final rule is for exemption. Prior to the final rule, controversial and unlikely to result in not directed toward the determination only the agency would make a adverse public comment may [emphasis completeness determination, without added] be published as direct final 9 83 FR 66158, 66159. input on that issue from the public. The rules,’’ 8 thereby giving NHTSA 10 Clarian Health West, LLC v. Burwell, 206 F. final rule increases the public’s discretion to publish a rule according to Supp. 3d 393, 414 (D.D.C. 2016), rev’d on other opportunity to evaluate the application the specified ‘‘direct final rule’’ grounds, Clarian Health West, LLC v. Hargan, 878 and provide input because the agency F.3d 346 (DC Cir. 2017). procedures. NHTSA did not purport to 11 Inova Alexandria Hospital v. Shalala, 244 F.3d will decide whether to grant an issue the final rule that is the subject of 342, 349 (2001). exemption application, complete or not, 12 83 FR 66158 (Dec. 26, 2018). 8 49 CFR 553.14(a). 13 See revised heading of 49 CFR 555.7. 14 83 FR 66158, 66159—60.
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based on the application and the public ‘‘NHTSA has put forth no data or the exclusive economic zone (EEZ) off comments. Among its comments, the evidence in the Final Rule that the Texas in the Gulf of Mexico (Gulf) public can submit opinions as to current requirement of waiting until the through this temporary rule. The red whether the application is complete. application is complete before snapper recreational private angling The public gets to see an application publishing it in the Federal Register has component in the Gulf EEZ off Texas sooner as opposed to not seeing it until caused undue delay or hardship on any closes on April 1, 2020 until 12:01 a.m., NHTSA makes a threshold applicant, the agency, or the public’’ local time, on June 1, 2020, and will completeness determination. The public lacks merit. NHTSA provided a close again at 12:01 a.m., local time, on can point out what it sees as reasoned explanation of its change in August 3, 2020 until 12:01 a.m., local insufficiencies to the agency; and if the procedure. See F.C.C. v. Fox Television time, on January 1, 2021. This closure agency agrees, the application will be Stations, Inc., 556 U.S. 502, 515 (2009). is necessary to prevent the private denied unless it is later supplemented. NHTSA explained how the prior angling component from exceeding the If an application is supplemented, the procedure led to delays.17 The agency Texas regional management area annual public will have access to any also explained that the prior procedure catch limit (ACL) and to prevent supplemental information to the same was unnecessary under the statute, overfishing of the Gulf red snapper extent as if the supplement happened particularly in light of the substantive resource. before the application became public determination it will continue to make DATES: This closure is effective on April under the old rule. In addition, the regarding whether a petition contains an 1, 2020 until 12:01 a.m., local time, on 18 public can, if it so chooses, comment on adequate justification. Petitioners’ June 1, 2020, then closes again at 12:01 completeness, or on any other assertions regarding the public interest a.m., local time, on August 3, 2020 until supplemental information submitted have not convinced the agency that it 12:01 a.m., local time, on January 1, through the public comment process. should return to its prior procedure, 2021. Finally, the final rule does not impose which would reduce transparency and additional requirements on the public to delay the ability of the public to obtain FOR FURTHER INFORMATION CONTACT: perform research, as the Petitioners and comment on exemption Susan Gerhart, NMFS Southeast claimed without support. Although applications. Regional Office, telephone: 727–824– published exemption applications may 5305, email: [email protected]. be incomplete, NHTSA is still required III. Conclusion SUPPLEMENTARY INFORMATION: The Gulf to make an ‘‘adequate justification’’ For the reasons discussed above, the reef fish fishery, which includes red determination based on the information agency is denying the Petitioners’ snapper, is managed under the Fishery provided by the applicant. An petition for reconsideration of the Management Plan for the Reef Fish application that lacks merit or critical December 26, 2018 final rule (83 FR Resources of the Gulf of Mexico (FMP). information will be denied, based on 66158). The FMP was prepared by the Gulf of Mexico Fishery Management Council public input and the agency’s analysis, Issued in Washington, DC, under authority regardless of whether there is a delegated in 49 CFR 1.95 and 501.4. and is implemented by NMFS under the authority of the Magnuson-Stevens threshold completeness determination. James Clayton Owens, Fishery Conservation and Management A determination that an application is Acting Administrator. complete is not a determination that the Act (Magnuson-Stevens Act) by application should be granted. If [FR Doc. 2020–06403 Filed 4–6–20; 8:45 am] regulations at 50 CFR part 622. NHTSA determines that the application BILLING CODE 4910–59–P The final rule implementing does not contain ‘‘adequate Amendment 40 to the FMP established justification,’’ the Administrator denies two components within the recreational it and notifies the applicant in writing, DEPARTMENT OF COMMERCE sector fishing for Gulf red snapper: the pointing out the areas of insufficiency.15 private angling component, and the National Oceanic and Atmospheric Federal for-hire component (80 FR It is not the public’s duty to perform Administration research to determine areas of 22422, April 22, 2015). Amendment 40 also allocated the red snapper insufficiency. The Administrator also 50 CFR Part 622 publishes in the Federal Register a recreational ACL (recreational quota) notification of the denial and the [Docket No. 200124–0029; RTID 0648– between the components and reasons for it, which is available to the XS030] established separate seasonal closures public. Further, if a member of the for the two components. On February 6, Fisheries of the Caribbean, Gulf of public believes the agency’s explanation 2020, NMFS implemented Amendments Mexico, and South Atlantic; Reef Fish for granting an application lacks 50 A–F to the FMP, which delegated Fishery of the Gulf of Mexico; 2020 sufficient supporting arguments and authority to the Gulf states (Louisiana, Red Snapper Private Angling facts, he or she may seek to have the Mississippi, Alabama, Florida, and Component Closures in Federal agency reconsider the grant. Texas) to establish specific management Waters off Texas measures for the harvest of red snapper D. NHTSA Provided a Reasoned AGENCY: in Federal waters of the Gulf by the Justification for the Amendment National Marine Fisheries Service (NMFS), National Oceanic and private angling component of the NHTSA articulated the purpose Atmospheric Administration (NOAA), recreational sector (85 FR 6819, behind changing this procedural rule in Commerce. February 6, 2020). These amendments allocate a portion of the private angling the preamble to the rule. Specifically, ACTION: Temporary rule; closure. NHTSA changed its procedure ‘‘to ACL to each state, and each state is expedite the publishing of documents SUMMARY: NMFS announces closures for required to constrain landings to its soliciting public comment on exemption the 2020 fishing season for the red allocation. petitions.’’ 16 Petitioners’ argument that snapper private angling component in As described at 50 CFR 622.23(c), a Gulf state with an active delegation may 15 49 CFR 555.7(d). 17 Id. request that NMFS close all, or an area 16 83 FR 66158, 66159. 18 Id. of, Federal waters off that state to the
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harvest and possession of red snapper Classification Atmospheric Administration (NOAA), by private anglers. The state is required The Regional Administrator for the Commerce. to request the closure by letter to NMFS, NMFS Southeast Region has determined ACTION: Temporary rule; modification of providing dates and geographic this temporary rule is necessary for the closure. coordinates for the closure. If the conservation and management of Gulf SUMMARY: NMFS is opening directed request is within the scope of the red snapper and is consistent with the analysis in Amendment 50A, NMFS fishing for northern rockfish in the FMP, the Magnuson-Stevens Act, and Bering Sea and Aleutian Islands publishes a notification in the Federal other applicable laws. Register implementing the closure for Management Area (BSAI). This action is This action is taken under 50 CFR necessary to fully use the 2020 total the fishing year. Based on the analysis 622.23(c) and is exempt from review in Amendment 50A, Texas may request allowable catch (TAC) of northern under Executive Order 12866. rockfish in the BSAI. a closure of all Federal waters off the These measures are exempt from the DATES: state to allow a year-round fishing procedures of the Regulatory Flexibility Effective 1200 hours, Alaska season in state waters. As described at Act because the temporary rule is issued local time (A.l.t.), April 2, 2020, through 50 CFR 622.2, ‘‘off Texas’’ is defined as without opportunity for prior notice and 2400 hours, A.l.t., December 31, 2020. the waters in the Gulf west of a rhumb comment. Comments must be received at the ° ′ ° ′ line from 29 32.1 N lat., 93 47.7 W This action is based on the best following address no later than 4:30 ° ′ ° ′ long. to 26 11.4 N lat., 92 53 W long., scientific information available. The p.m., A.l.t., April 17, 2020. which line is an extension of the Assistant Administrator for NOAA ADDRESSES: You may submit comments, boundary between Louisiana and Texas. Fisheries (AA) finds that the need to identified by NOAA–NMFS–2019–0089, On March 27, 2020, NMFS received a implement this action to close the by either of the following methods: • Federal e-Rulemaking Portal. Go to: request from the Texas Parks and Federal private angling component of https://www.regulations.gov/ Wildlife Department (TPWD) to close the red snapper recreational sector in docket?D=NOAA-NMFS-2019-0074, the EEZ off Texas to the red snapper the EEZ off Texas constitute good cause click the ‘‘Comment Now!’’ icon, private angling component during the to waive the requirements to provide complete the required fields, and enter 2020 fishing year. Texas requested that prior notice and opportunity for public comment on this temporary rule or attach your comments. the closure be effective as soon as • Mail: Submit written comments to practicable through May 31, 2020, and pursuant to the authority set forth in 5 U.S.C. 553(b)(B), because such Glenn Merrill, Assistant Regional then from August 3, 2020, through the Administrator, Sustainable Fisheries end of the fishing year. NMFS has procedures are unnecessary and contrary to the public interest. Such Division, Alaska Region NMFS, Attn: determined that this request is within Records Office. Mail comments to P.O. the scope of analysis contained within procedures are unnecessary because the rule implementing the area closure Box 21668, Juneau, AK 99802–1668. Amendment 50A, which analyzed the Instructions: Comments sent by any potential impacts of a closure of all authority and the state-specific private angling ACLs has already been subject other method, to any other address or federal waters off Texas when a portion individual, or received after the end of of the Texas quota has been landed and to notice and comment, and all that remains is to notify the public of the the comment period, may not be is consistent with the Reef Fish FMP. As considered by NMFS. All comments explained in Amendment 50A, Texas closure. Such procedures are contrary to the public interest because a failure to received are a part of the public record intends to maintain a year-round fishing and will generally be posted for public season in state waters during which the implement the closure immediately may result an overage of the Texas ACL and viewing on www.regulations.gov remaining part of Texas’ ACL could be without change. All personal identifying caught. This Federal waters closure will less access to red snapper in state waters. information (e.g., name, address), result in a 63-day red snapper private confidential business information, or angling component season in the EEZ Authority: 16 U.S.C. 1801 et seq. otherwise sensitive information off Texas. Dated: April 1, 2020. submitted voluntarily by the sender will Therefore, the red snapper He´le`ne M.N. Scalliet, be publicly accessible. NMFS will recreational private angling component Acting Director, Office of Sustainable accept anonymous comments (enter ‘‘N/ in the Gulf EEZ off Texas will close on Fisheries, National Marine Fisheries Service. A’’ in the required fields if you wish to April 1, 2020 until 12:01 a.m., local [FR Doc. 2020–07177 Filed 4–1–20; 4:15 pm] remain anonymous). time, on June 1, 2020, and will close BILLING CODE 3510–22–P FOR FURTHER INFORMATION CONTACT: again at 12:01 a.m., local time, on Steve Whitney, 907–586–7228. August 3, 2020, until 12:01 a.m., local SUPPLEMENTARY INFORMATION: NMFS time, on January 1, 2021. This closure DEPARTMENT OF COMMERCE manages the groundfish fishery in the applies to all private-anglers (those on BSAI according to the Fishery board vessels that have not been issued National Oceanic and Atmospheric Management Plan for Groundfish of the a valid charter vessel/headboat permit Administration Bering Sea and Aleutian Islands for Gulf reef fish) regardless of which Management Area (FMP) prepared by state they are from or where they intend 50 CFR Part 679 the North Pacific Fishery Management to land. Council under authority of the [Docket No. 200227–0066;RTID 0648–XY094] On and after the effective dates of Magnuson-Stevens Fishery these closures in the EEZ off Texas, the Fisheries of the Exclusive Economic Conservation and Management Act. harvest and possession red snapper in Zone Off Alaska; Northern Rockfish in Regulations governing fishing by U.S. the EEZ off Texas by the private angling the Bering Sea and Aleutian Islands vessels in accordance with the FMP component is prohibited and the bag Management Area appear at subpart H of 50 CFR part 600 and possession limits for the red and 50 CFR part 679. snapper private angling component in AGENCY: National Marine Fisheries Pursuant to the final 2020 and 2021 the closed area is zero. Service (NMFS), National Oceanic and harvest specifications for groundfish in
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the BSAI (85 FR 13553, March 9, 2020), Classification date of this action under 5 U.S.C. NMFS closed directed fishing for This action responds to the best 553(d)(3). This finding is based upon northern rockfish under available information recently obtained the reasons provided above for waiver of § 679.20(d)(1)(iii). from the fishery. The Assistant prior notice and opportunity for public As of April 1, 2020, NMFS has Administrator for Fisheries, NOAA comment. determined that approximately 8,000 (AA), finds good cause to waive the Without this inseason adjustment, metric tons of northern rockfish initial requirement to provide prior notice and NMFS could not allow the fishery for TAC remains unharvested in the BSAI. opportunity for public comment northern rockfish in the BSAI to be Therefore, in accordance with pursuant to the authority set forth at 5 harvested in an expedient manner and § 679.25(a)(1)(i), (a)(2)(i)(C), and U.S.C. 553(b)(B) and § 679.25(c)(1)(ii) as in accordance with the regulatory (a)(2)(iii)(D), and to fully utilize the such requirement is impracticable and schedule. Under § 679.25(c)(2), 2020 TAC of northern rockfish in the contrary to the public interest. This interested persons are invited to submit BSAI, NMFS is terminating the previous requirement is impracticable and written comments on this action to the closure and is opening directed fishing contrary to the public interest as it above address until April 17, 2020. for northern rockfish in the BSAI. This would prevent NMFS from responding This action is required by § 679.20 will enhance the socioeconomic well- to the most recent fisheries data in a and § 679.25 and is exempt from review being of harvesters in this area. The timely fashion and would delay the under Executive Order 12866. Administrator, Alaska Region (Regional opening of northern rockfish in the Authority: 16 U.S.C. 1801 et seq. Administrator) considered the following BSAI. NMFS was unable to publish a factors in reaching this decision: (1) The notice providing time for public Dated: April 2, 2020. current catch of northern rockfish in the comment because the most recent, He´le`ne M.N. Scalliet, BSAI and, (2) the harvest capacity and relevant data only became available as Acting Director, Office of Sustainable stated intent on future harvesting of April 1, 2020. Fisheries, National Marine Fisheries Service. patterns of vessels in participating in The AA also finds good cause to [FR Doc. 2020–07306 Filed 4–2–20; 4:15 pm] this fishery. waive the 30-day delay in the effective BILLING CODE 3510–22–P
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Proposed Rules Federal Register Vol. 85, No. 67
Tuesday, April 7, 2020
This section of the FEDERAL REGISTER telephone: (800) 621–7767 or (316) 831– 20028, was installed on certain contains notices to the public of the proposed 4021; email: [email protected]; governors during production between issuance of rules and regulations. The internet: https://mccauley.txtav.com. January 31, 2017, and September 27, purpose of these notices is to give interested You may view this service information 2018, and may have been installed on persons an opportunity to participate in the at the FAA, Policy and Innovation governors in service after January 31, rule making prior to the adoption of the final rules. Division, 901 Locust, Kansas City, 2017. The unapproved variant of the Missouri 64106. For information on the idler gear bearing does not conform to availability of this material at the FAA, McCauley drawing requirements. DEPARTMENT OF TRANSPORTATION call (816) 329–4148. All models of McCauley governors have an idler gear bearing with P/N A– Examining the AD Docket Federal Aviation Administration 20028 installed; however, the You may examine the AD docket on unapproved variant of the bearing can 14 CFR Part 39 the internet at https:// be identified by part marking ‘‘BA–59.’’ www.regulations.gov by searching for The non-conforming idler gear bearing [Docket No. FAA–2020–0320; Product could have also been included in the Identifier 2019–CE–011–AD] and locating Docket No. FAA–2020– 0320 or in person at Docket Operations idler gear assembly (idler gear and RIN 2120–AA64 between 9 a.m. and 5 p.m., Monday bearing), P/N A–20107, or the governor through Friday, except Federal holidays. overhaul kit, P/N PL–20233 or PL– Airworthiness Directives; McCauley The AD docket contains this NPRM, the 20234. Propeller Systems Governors regulatory evaluation, any comments The non-conformity of the bearing may cause premature failure of the idler AGENCY: Federal Aviation received, and other information. The gear bearing. Early symptoms that the Administration (FAA), DOT. street address for Docket Operations is listed above. Comments will be idler gear bearing may fail include ACTION: Notice of proposed rulemaking inability of the governor to hold the (NPRM). available in the AD docket shortly after receipt. selected RPM, hunting, surging, etc. An investigation identified 23 occurrences SUMMARY: The FAA proposes to adopt a FOR FURTHER INFORMATION CONTACT: of airplane operation problems related new airworthiness directive (AD) for Thomas Teplik, Aerospace Engineer, to erratic governor behavior that may certain model McCauley Propeller Wichita ACO Branch, 1801 Airport have resulted from the unapproved idler Systems (McCauley) governors installed Road, Room 100, Wichita, Kansas on airplanes. This proposed AD was gear bearing. 67209; telephone: (316) 946–4196; fax: This condition, if not addressed, prompted by reports of an unapproved (316) 946–4107; email: thomas.teplik@ could cause the idler gear bearing to fail. variant McCauley idler gear bearing, faa.gov or [email protected]. This failure could result in failure of the part number (P/N) A–20028, that could SUPPLEMENTARY INFORMATION: governor, loss of propeller pitch control, be installed in the affected governors. engine and propeller over speed, engine This proposed AD would require Comments Invited oil contamination, and loss of control. replacing the governor with a governor The FAA invites you to send any that is eligible for installation. The FAA written relevant data, views, or Related Service Information Under 1 is proposing this AD to address the arguments about this proposal. Send CFR Part 51 unsafe condition on these products. your comments to an address listed The FAA reviewed McCauley Alert DATES: The FAA must receive comments under the ADDRESSES section. Include Service Bulletin ASB273C, dated on this proposed AD by May 22, 2020. ‘‘Docket No. FAA–2020–0320; Product January 30, 2019. The service bulletin ADDRESSES: You may send comments, Identifier 2019–CE–011–AD’’ at the contains model and serial number using the procedures found in 14 CFR beginning of your comments. The FAA information to identify the affected 11.43 and 11.45, by any of the following specifically invites comments on the governors. The service bulletin also methods: overall regulatory, economic, contains procedures for removing the • Federal eRulemaking Portal: Go to environmental, and energy aspects of governor from the engine, inspecting the https://www.regulations.gov. Follow the this NPRM. The FAA will consider all governor for the unapproved variant instructions for submitting comments. comments received by the closing date idler gear bearing, replacing the idler • Fax: 202–493–2251. and may amend this NPRM because of gear bearing or idler gear assembly if • Mail: U.S. Department of those comments. necessary, overhauling the governor if Transportation, Docket Operations, The FAA will post all comments necessary, and installing a governor on M–30, West Building Ground Floor, received, without change, to https:// the engine. This service information is Room W12–140, 1200 New Jersey www.regulations.gov, including any reasonably available because the Avenue SE, Washington, DC 20590. personal information you provide. The interested parties have access to it • Hand Delivery: Deliver to Mail FAA will also post a report through their normal course of business address above between 9 a.m. and 5 summarizing each substantive verbal or by the means identified in the p.m., Monday through Friday, except contact received about this NPRM. ADDRESSES section. Federal holidays. For service information identified in Discussion FAA’s Determination this NPRM, contact McCauley Propeller The FAA has received reports from The FAA is proposing this AD Systems, One Cessna Boulevard, P.O. McCauley that an unapproved variant because it evaluated all relevant Box 7704, Wichita, Kansas 67277; idler gear bearing, part number (P/N) A– information and determined the unsafe
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condition described previously is likely Differences Between This Proposed AD include overhaul of the governor. to exist or develop in other products of and the Service Information However, this NPRM only proposes the same type design. The service bulletin contains replacing the affected governor with a governor eligible for installation. Proposed AD Requirements maintenance procedures for inspecting an affected governor and any Costs of Compliance This proposed AD would require subsequent corrective actions required replacing an affected governor with a to ensure the governor is eligible for The FAA estimates that this proposed governor eligible for installation. continued service and installation. The AD affects 2,500 governors as installed service bulletin also references other in airplanes of U.S. registry. McCauley service documents for The FAA estimates the following additional maintenance actions to costs to comply with this proposed AD:
ESTIMATED COSTS
Cost on U.S. Action Labor cost Parts cost Cost per product operators
Remove affected governor .. 1 work-hour × $85 per hour = $85 ...... Not Applicable ...... $85 $212,500 Install an governor ...... 1 work-hour × $85 per hour = $85 ...... See table below ...... Variable Unknown
An operator has the option to pay a factory new governor or an overhauled Therefore, the FAA has no way of service center to inspect their existing governor, a feathering/syncing governor determining the parts cost on U.S. governor and replace the idler gear or a non-feathering/syncing governor. operators. The following represents the bearing if necessary or pay to have their The FAA has no way of knowing what estimated parts cost associated with existing governor overhauled. An option an operator may take to obtain a obtaining a governor. operator has the option to purchase a governor eligible for installation.
COST FOR AN ELIGIBLE GOVERNOR
Type of governor Cost of governor
Factory new non-feathering/non-syncing governor ...... $2,000 Factory new feathering/syncing governor ...... 9,000 Overhaul of existing non-feathering/non-syncing governor ...... 1,000 Overhaul of existing feathering/syncing governor ...... 3,000
According to the manufacturer, some develop on products identified in this The Proposed Amendment of the costs of this proposed AD may be rulemaking action. Accordingly, under the authority covered under warranty, thereby Regulatory Findings delegated to me by the Administrator, reducing the cost impact on affected the FAA proposes to amend 14 CFR part individuals. The FAA does not control The FAA determined that this 39 as follows: warranty coverage for affected proposed AD would not have federalism individuals. As a result, the FAA has implications under Executive Order PART 39—AIRWORTHINESS included all costs in our cost estimate. 13132. This proposed AD would not DIRECTIVES Authority for This Rulemaking have a substantial direct effect on the States, on the relationship between the ■ 1. The authority citation for part 39 Title 49 of the United States Code national government and the States, or continues to read as follows: specifies the FAA’s authority to issue on the distribution of power and Authority: 49 U.S.C. 106(g), 40113, 44701. rules on aviation safety. Subtitle I, responsibilities among the various section 106, describes the authority of levels of government. § 39.13 [Amended] the FAA Administrator. Subtitle VII: For the reasons discussed above, I ■ 2. The FAA amends § 39.13 by adding Aviation Programs, describes in more certify this proposed regulation: the following new airworthiness detail the scope of the Agency’s (1) Is not a ‘‘significant regulatory directive (AD): authority. action’’ under Executive Order 12866, The FAA is issuing this rulemaking McCauley Propeller Systems: Docket No. under the authority described in (2) Will not affect intrastate aviation FAA–2020–0320; Product Identifier 2019–CE–011–AD. Subtitle VII, Part A, Subpart III, section in Alaska, and 44701: General requirements. Under (3) Will not have a significant (a) Comments Due Date that section, Congress charges the FAA economic impact, positive or negative, The FAA must receive comments by May with promoting safe flight of civil on a substantial number of small entities 22, 2020. under the criteria of the Regulatory aircraft in air commerce by prescribing (b) Affected ADs regulations for practices, methods, and Flexibility Act. None. procedures the Administrator finds List of Subjects in 14 CFR Part 39 necessary for safety in air commerce. (c) Applicability This regulation is within the scope of Air transportation, Aircraft, Aviation This AD applies to the McCauley Propeller that authority because it addresses an safety, Incorporation by reference, Systems (McCauley) governors specified in unsafe condition that is likely to exist or Safety. paragraphs (c)(1) or (2) of this AD and
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installed on airplanes, certificated in any or lacking a principal inspector, the manager pursuant to 21 CFR 1308.44 and in category. of the local flight standards district office/ accordance with 21 CFR 1316.45 and/or (1) Models listed in table 2 of McCauley certificate holding district office. 1316.47, as applicable. Requests for Alert Service Bulletin No. ASB273C, dated (j) Related Information hearing and waivers of an opportunity January 30, 2019 (McCauley ASB273C) with a serial number from 170061 through 180501, (1) For more information about this AD, for a hearing or to participate in a excluding the serial numbers listed in table contact Thomas Teplik, Aerospace Engineer, hearing must be received on or before 1 of McCauley ASB273C. Wichita ACO Branch, 1801 Airport Road, May 7, 2020. (2) Models listed in table 2 of McCauley Room 100, Wichita, Kansas 67209; telephone: ADDRESSES: Interested persons may file ASB273C, with any serial number, that have (316) 946–4196; fax: (316) 946–4107; email: written comments on this proposal in [email protected] or Wichita-COS@ an installation date after January 31, 2017, or accordance with 21 CFR 1308.43(g). an installation date that cannot be faa.gov. determined. (2) For service information identified in Commenters should be aware that the this AD, contact McCauley Propeller electronic Federal Docket Management (d) Subject Systems, One Cessna Boulevard, P.O. Box System will not accept comments after Joint Aircraft System Component (JASC)/ 7704, Wichita, Kansas 67277; telephone: 11:59 p.m. Eastern Time on the last day Air Transport Association (ATA) of America (800) 621–7767 or (316) 831–4021; email: of the comment period. To ensure Code 61, Propellers. [email protected]; internet: https:// proper handling of comments, please mccauley.txtav.com. You may view this reference ‘‘Docket No. DEA–498’’ on all (e) Unsafe Condition service information at the FAA, Policy and This AD was prompted by reports of an Innovation Division, 901 Locust, Kansas City, electronic and written correspondence, unapproved variant idler gear bearing, Missouri 64106. For information on the including any attachments. McCauley part number (P/N) A–20028, availability of this material at the FAA, call • Electronic comments: The Drug installed on governors. All models of (816) 329–4148. Enforcement Administration encourages McCauley governors have a bearing with Issued on April 1, 2020. that all comments be submitted P/N A–20028 installed; however, the electronically through the Federal Lance T. Gant, unapproved variant can be identified with eRulemaking Portal, which provides the the part marking ‘‘BA–59.’’ The FAA is Director, Compliance & Airworthiness ability to type short comments directly issuing this AD to prevent failure of the idler Division, Aircraft Certification Service. into the comment field on the web page gear bearing. This failure could result in [FR Doc. 2020–07168 Filed 4–6–20; 8:45 am] failure of the governor, loss of propeller pitch or attach a file for lengthier comments. BILLING CODE 4910–13–P control, engine and propeller over speed, Please go to http://www.regulations.gov engine oil contamination, and loss of control and follow the on-line instructions at of the airplane. that site for submitting comments. Upon DEPARTMENT OF JUSTICE (f) Compliance completion of your submission you will receive a Comment Tracking Number for Drug Enforcement Administration Unless already done, within 50 hours time- your comment. Please be aware that in-service after the effective date of this AD submitted comments are not or within 24 months after the effective date 21 CFR Part 1308 of this AD, whichever occurs first, replace instantaneously available for public the governor with a governor eligible for [Docket No. DEA–498] view on regulations.gov. If you have installation. received a Comment Tracking Number, Note 1 to paragraph (f) of this AD: Any Schedules of Controlled Substances: your comment has been successfully ′ model McCauley governor that is stamped Placement of 4,4 -DMAR in Schedule I submitted and there is no need to with the letter B, as specified in the AGENCY: Drug Enforcement resubmit the same comment. Accomplishment Instructions in McCauley • Paper comments: Paper comments ASB273C, has already complied with the Administration, Department of Justice. that duplicate electronic submissions requirements of this AD. ACTION: Notice of proposed rulemaking. are not necessary and are discouraged. (g) Definition SUMMARY: The Drug Enforcement Should you wish to mail a paper For the purposes of this AD, a governor Administration proposes placing the comment in lieu of an electronic eligible for installation is defined as a substance 4,4′-DMAR (Chemical name: comment, it should be sent via regular governor that does not have an idler gear 4,4′-dimethylaminorex), including its or express mail to: Drug Enforcement bearing with a part marking ‘‘BA–59’’ Administration, Attn: DEA Federal installed. salts, isomers, and salts of isomers, in schedule I of the Controlled Substances Register Representative/DPW, 8701 (h) Parts Installation Prohibition Act. This action is being taken to enable Morrissette Drive, Springfield, Virginia As of the effective date of this AD, do not the United States to meet its obligations 22152. install on any airplane a McCauley governor under the 1971 Convention on • Hearing requests: All requests for a unless it is a governor eligible for Psychotropic Substances. If finalized, hearing and waivers of participation installation. this action would impose the regulatory must be sent to: Drug Enforcement (i) Alternative Methods of Compliance controls and administrative, civil, and Administration, Attn: Administrator, (AMOCs) criminal sanctions applicable to 8701 Morrissette Drive, Springfield, (1) The Manager, Wichita ACO Branch, schedule I controlled substances on Virginia 22152. All requests for hearing FAA, has the authority to approve AMOCs persons who handle (manufacture, and waivers of participation should also for this AD, if requested using the procedures distribute, reverse distribute, import, be sent to: (1) Drug Enforcement found in 14 CFR 39.19. In accordance with export, engage in research, conduct Administration, Attn: Hearing Clerk/LJ, 14 CFR 39.19, send your request to your instructional activities or chemical 8701 Morrissette Drive, Springfield, principal inspector or local Flight Standards analysis with, or possess), or propose to Virginia 22152; and (2) Drug District Office, as appropriate. If sending handle 4,4′-DMAR. Enforcement Administration, Attn: DEA information directly to the manager of the DATES: Comments must be submitted Federal Register Representative/DPW, certification office, send it to the attention of 8701 Morrissette Drive, Springfield, the person identified in paragraph (l)(1) of electronically or postmarked on or this AD. before June 8, 2020. Virginia 22152. (2) Before using any approved AMOC, Interested persons may file a request FOR FURTHER INFORMATION CONTACT: notify your appropriate principal inspector, for hearing or waiver of hearing Scott A. Brinks, Regulatory Drafting and
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Policy Section, Diversion Control record after opportunity for a hearing.’’ the drug or substance under the Division, Drug Enforcement Such proceedings are conducted appropriate schedule pursuant to 21 Administration; Mailing Address: 8701 pursuant to the provisions of the U.S.C. 811(a) and (b). 21 U.S.C. Morrissette Drive, Springfield, Virginia Administrative Procedure Act (APA), 5 811(d)(3)(B). Pursuant to 21 U.S.C. 22152; Telephone: (202) 598–6812. U.S.C. 551–559. 21 CFR 1308.41– 811(a)(1), the Attorney General may, by SUPPLEMENTARY INFORMATION: 1308.45; 21 CFR part 1316, subpart D. rule, add to such a schedule or transfer Interested persons may file requests for between such schedules any drug or Posting of Public Comments a hearing or notices of intent to other substance, if he finds that such Please note that all comments participate in a hearing in conformity drug or other substance has a potential received in response to this docket are with the requirements of 21 CFR for abuse, and makes with respect to considered part of the public record. 1308.44(a) or (b), and include a such drug or other substance the They will, unless reasonable cause is statement of interest in the proceeding findings prescribed by 21 U.S.C. 812(b) given, be made available by the Drug and the objections or issues, if any, for the schedule in which such drug or Enforcement Administration (DEA) for concerning which the person desires to other substance is to be placed. The public inspection online at http:// be heard. Any interested person may file Attorney General has delegated this www.regulations.gov. Such information a waiver of an opportunity for a hearing scheduling authority to the includes personal identifying or to participate in a hearing together Administrator of DEA (Administrator). information (such as your name, with a written statement regarding the 28 CFR 0.100. address, etc.) voluntarily submitted by interested person’s position on the the commenter. The Freedom of matters of fact and law involved in any Background Information Act (FOIA) applies to all hearing as set forth in 21 CFR 4,4′-dimethylaminorex (4,4′-DMAR) is comments received. If you want to 1308.44(c). All requests for hearing and a synthetic stimulant drug that is submit personal identifying information waivers of participation must be sent to structurally related to 4-methylaminorex (such as your name, address, etc.) as DEA using the address information (4–MAR), a schedule I substance in the part of your comment, but do not want provided above. United States and listed as a schedule it to be made publicly available, you Legal Authority I substance in the 1971 Convention. 4,4′- must include the phrase ‘‘PERSONAL DMAR first emerged on the illicit drug IDENTIFYING INFORMATION’’ in the The United States is a party to the market in December 2012 in the first paragraph of your comment. You 1971 United Nations Convention on Netherlands. 4,4′-DMAR can be must also place all of the personal Psychotropic Substances (‘‘1971 purchased through websites selling identifying information you do not want Convention’’), February 21, 1971, 32 ‘‘research chemicals’’ and is typically made publicly available in the first U.S.T. 543, 1019 U.N.T.S. 175, as paragraph of your comment and identify amended. Procedures respecting sold as a powder or tablet. Based on what information you want redacted. changes in drug schedules under the drug user forum information presented If you want to submit confidential 1971 Convention are governed in the scientific literature and through business information as part of your domestically by 21 U.S.C. 811(d). When the European Monitoring Centre for comment, but do not want it to be made the United States receives notification of Drugs and Drug Addiction (EMCDDA) publicly available, you must include the a scheduling decision pursuant to and World Health Organization (WHO) phrase ‘‘CONFIDENTIAL BUSINESS Article 2 of the 1971 Convention that a reviews, it appears that the most drug or other substance has been added common routes of administration for INFORMATION’’ in the first paragraph ′ of your comment. You must also or transferred to a schedule specified in 4,4 -DMAR are via nasal insufflation and prominently identify the confidential the notification, the Secretary of the oral ingestion. There is limited Department Health and Human Services information with respect to the business information to be redacted ′ within the comment. (HHS),1 after consultation with the pharmacological properties of 4,4 - Comments containing personal Attorney General, shall first determine DMAR. In vitro studies have reported ′ identifying information and confidential whether existing legal controls under that exposure to 4,4 -DMAR results in business information identified, as subchapter I of the Controlled dopamine, norepinephrine, and directed above, will generally be made Substances Act (CSA) and the Federal serotonin release at dopamine, publicly available in redacted form. If a Food, Drug, and Cosmetic Act (FDCA) norepinephrine, and serotonin comment has so much confidential meet the requirements of the schedule transporters, respectively, and the dose business information that it cannot be specified in the notification with respect levels are comparable to other known effectively redacted, all or part of that to the specific drug or substance. 21 stimulant drugs. There are no animal or comment may not be made publicly U.S.C. 811(d)(3). If such requirements human studies that have examined available. Comments posted to http:// are not met by such existing controls dependence potential associated with ′ www.regulations.gov may include any and the Secretary of HHS concurs in the 4,4 -DMAR. Due to the large number of personal identifying information (such scheduling decision, the Secretary shall known fatalities (46 known fatalities in as name, address, and phone number) recommend to the Attorney General that several European countries since 2013) ′ included in the text of your electronic he initiate proceedings for scheduling associated with 4,4 -DMAR, the United submission that is not identified as Kingdom’s Advisory Council on the directed above as confidential. 1 As discussed in a memorandum of Misuse of Drugs (ACMD), EMCDDA, An electronic copy of this document understanding entered into by the Food and Drug and the WHO stated that 4,4′-DMAR Administration (FDA) and the National Institute on carries a substantial risk to the public and supplemental information to this Drug Abuse (NIDA), the FDA acts as the lead agency proposed rule are available at http:// within HHS in carrying out the Secretary’s health. Adverse symptoms such as www.regulations.gov for easy reference. scheduling responsibilities under the Controlled agitation, increased body temperature, Substances Act, with the concurrence of NIDA. 50 respiratory distress, and cardiac arrest Request for Hearing or Waiver of FR 9518 (March 8, 1985). The Secretary of HHS has have been reported in 4,4′-DMAR- Participation in Hearing delegated to the Assistant Secretary for Health of HHS the authority to make domestic drug related drug overdoses and deaths. In Pursuant to 21 U.S.C. 811(a), this scheduling recommendations. 58 FR 35460 (July 1, most of these deaths and overdoses, action is a formal rulemaking ‘‘on the 1993). other drugs were also detected.
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In November 2015, the Director- regard to each substance in schedule III scientific and medical evaluation General of the WHO recommended to and IV of the 1971 Convention, document for 4,4′-DMAR, DEA also the Secretary-General of the United quantities manufactured, as well as considered all other relevant data Nations that 4,4′-DMAR be placed in quantities exported and imported; (3) in regarding 4,4′-DMAR’s actual or relative schedule II of the 1971 Convention, as regard to each substance in schedule II potential for abuse. The term ‘‘abuse’’ is 4,4′-DMAR produces a spectrum of and III of the 1971 Convention, not defined in the CSA, however, the pharmacological effects similar to that quantities used in the manufacture of legislative history of the CSA suggests of psychomotor stimulants in schedule exempt preparations; and (4) in regard the following be considered when II of the 1971 Convention, and has to each substance in schedule II–IV of determining whether a particular drug dependence and abuse potential. On the 1971 Convention, quantities used for or substance has a potential for abuse: 2 May 17, 2016, the Secretary-General of the manufacture of non-psychotropic a. Individuals are taking the drug or the United Nations advised the substances or products. Lastly, under other substance in amounts sufficient to Secretary of State of the United States Article 2 of the 1971 Convention, the create a hazard to their health or to the that during its 59th Session on March United States must adopt measures in safety of other individuals or to the 2016, the Commission on Narcotic accordance with Article 22 to address community; or Drugs (CND) voted to place 4,4′- violations of any statutes or regulations b. There is a significant diversion of dimethylaminorex (4,4′-DMAR) in that are adopted pursuant to its the drug or other substance from schedule II of the 1971 Convention on obligations under the 1971 Convention. legitimate drug channels; or Psychotropic Substances (CND Dec/59/ The United States complies with this c. Individuals are taking the drug or 5). provision as persons acting outside the other substance on their own initiative Article 2, paragraph 7(b), of the 1971 legal framework established by the CSA rather than on the basis of medical Convention sets forth the minimum are subject to administrative, civil, and/ advice from a practitioner licensed by requirements that the United States or criminal action. law to administer such drugs; or must meet when a substance has been Proposed Determination to Schedule d. The drug is so related in its action added to schedule II of the 1971 4,4′-DMAR to a drug or other substance already listed as having a potential for abuse to Convention. Pursuant to the 1971 Pursuant to 21 U.S.C. 811(b), DEA Convention, the United States must ′ make it likely that it will have the same gathered the necessary data on 4,4 - potential for abuse as such substance, require licenses for the manufacture, DMAR and on March 21, 2017, export and import, and distribution of thus making it reasonable to assume ′ submitted it to the Assistant Secretary that there may be significant diversions 4,4 -DMAR. This license requirement is for Health of HHS with a request for a accomplished by the CSA’s registration from legitimate channels, significant use scientific and medical evaluation of contrary to or without medical advice, requirement as set forth in 21 U.S.C. available information and a scheduling 822, 823, 957, 958, and in accordance ′ or that it has a substantial capability of recommendation for 4,4 -DMAR. On creating hazards to the health of the with 21 CFR parts 1301 and 1312. In October 12, 2018, HHS provided to DEA addition, the United States must adhere user or to the safety of the community. a scientific and medical evaluation DEA reviewed the scientific and to specific export and import provisions entitled ‘‘Basis for the Recommendation that are provided in the 1971 ′ ′ medical evaluation provided by HHS to Place 4,4 -Dimethylaminorex (4,4 - and all other data relevant to the abuse Convention. This requirement is DMAR) and its salts in schedule I of the potential of 4,4′-DMAR. These data as accomplished by the CSA’s export and Controlled Substances Act’’ and a presented below demonstrate that 4,4′- import provisions established in 21 scheduling recommendation. Following DMAR has a high potential for abuse. U.S.C. 952, 953, 957, 958, and in consideration of the eight-factors and a. Individuals are taking the accordance with 21 CFR part 1312. findings related to the substance’s abuse substance in amounts sufficient to Likewise, under Article 13, paragraphs potential, legitimate medical use, and create a hazard to their health or to the 1 and 2, of the 1971 Convention, a party dependence liability, HHS safety of other individuals or to the to the 1971 Convention may notify recommended that 4,4′-DMAR be community. another party, through the Secretary- controlled in schedule I of the CSA 4,4′-DMAR is not currently approved General of the United Nations, that it under 21 U.S.C. 812(b). In response, for medical use in the United States. prohibits the importation of a substance DEA reviewed the scientific and There are currently no data regarding in schedule II, III, or IV of the medical evaluation and scheduling 4,4′-DMAR abuse in the United States. Convention. If such notice is presented recommendation provided by HHS and Since 2013, 46 fatalities in which 4,4′- to the United States, the United States all other relevant data, and completed DMAR was detected were reported in shall take measures to ensure that the its own eight-factor review document several European countries including named substance is not exported to the pursuant to 21 U.S.C. 811(c). Included Hungary, Poland, and the United notifying country. This requirement is below is a brief summary of each factor Kingdom (UK). As noted by HHS, all but also accomplished by the CSA’s export as analyzed by HHS and DEA in their one of these fatalities involved the provisions mentioned above. Under respective eight-factor analyses, and as concomitant use of other drugs, Article 16, paragraph 4, of the 1971 considered by DEA in this proposed typically stimulants. Regardless, 4,4′- Convention, the United States is scheduling determination. Please note DMAR was still determined to be a required to provide annual statistical that both DEA and HHS analyses are contributing factor to their deaths reports to the International Narcotics available in their entirety under (Factor 6). Control Board (INCB). Using INCB Form ‘‘Supporting Documents’’ of the public DEA further gathered and evaluated P, the United States shall provide the docket for this proposed rule at http:// available information from its forensic following information: (1) In regard to www.regulations.gov under docket laboratory databases such as each substance in schedule I and II of number ‘‘DEA–498.’’ the 1971 Convention, quantities 1. The Drug’s Actual or Relative 2 Comprehensive Drug Abuse Prevention and manufactured, exported to and imported Potential for Abuse: Control Act of 1970, H.R. Rep. No. 91–1444, 91st from each country or region as well as In addition to considering the Cong., 2nd Sess. (1970) reprinted in 1970 stocks held by manufacturers; (2) in information HHS provided in its U.S.C.C.A.N. 4566, 4603.
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STARLiMS,3 System to Retrieve (MDMA) from their illicit source as results showed that monkeys self- Information from Drug Evidence opposed to users obtaining 4,4′-DMAR administered aminorex more than saline (STRIDE),4 and the National Forensic directly from these websites. and similar to methohexital, a positive Laboratory Information System c. Individuals are taking the control agent. In drug discrimination (NFLIS).5 According to these databases, substance on their own initiative rather assays in animals trained to distinguish there are no known reports of 4,4′- than on the basis of medical advice d-amphetamine or pentobarbital from DMAR related drug seizures in the from a practitioner licensed by law to saline, aminorex fully substituted for United States. administer such drugs. the discriminative stimulus effects of Although 4,4′-DMAR has not been 4,4′-DMAR is not approved for damphetamine but produced little seized in the United States, there have medical use in the United States and is pentobarbital appropriate responding. been numerous reports of seizures of the not formulated or available for clinical Furthermore, aminorex can stimulate substance in Europe. 4,4′-DMAR was use. As noted by HHS, law enforcement locomotor activity and increased the first encountered in a customs seizure in seizures and anecdotal internet user physiological dependence of rats taking the Netherlands in December 2012. The experience posts (drugs-forum.com and pentobarbital. These data suggest that EMCDDA reported in 2014 that there bluelight.org) indicate that individuals aminorex has dependence liability ′ was one internet site that offered 4,4′- are taking 4,4 -DMAR without medical similar to that of amphetamine. 4-MAR DMAR for sale. Since the initial report advice from a licensed practitioner. with structural similarity to aminorex ′ of the 4,4 -DMAR seizure in the d. The substance is so related in its and 4,4′-DMAR has also been reported Netherlands, there have been reports of action to a drug or other substance to be self-administered by monkeys. The seizures in other European nations already listed as having a potential for structural and pharmacological including Denmark, Finland, Hungary, abuse to make it likely that it will have similarities of 4,4′-DMAR with the Netherlands, Romania, Sweden, and the same potential for abuse as such substances known to have high abuse the UK in 2014. Furthermore, it was substance, thus making it reasonable to potential suggest that 4,4′-DMAR itself reported that organized crime groups in assume that there may be significant has high abuse potential. Hungary are involved in the trafficking diversion from legitimate channels, ′ As described by HHS, in vitro studies and distribution of 4,4 -DMAR. significant use contrary to or without ′ b. There is a significant diversion of medical advice, or that it has a showed that 4,4 -DMAR, similar to other the substance from legitimate drug substantial capability of creating controlled substances such as channels. hazards to the health of the user or to amphetamine, aminorex and MDMA, According to HHS, 4,4′-DMAR is not the safety of the community. affects the functions of monoamine an FDA-approved drug product for As stated by HHS, 4,4′-DMAR is a transporters. An in vitro study in treatment in the United States and there derivative of substances that are in isolated brain synaptosomes from appear to be no legitimate sources for schedule I of the 1971 Convention and Sprague-Dawley rats evaluated the ′ 4,4′-DMAR as a marketed drug. substances that are in schedule I of the functional activity of 4,4 -DMAR and The NFLIS, STRIDE, and STARLiMS CSA. HHS further states that the several other stimulant drugs including databases did not contain any reports of substances in schedule I of the 1971 d-amphetamine, aminorex, (±)-cis-4- 4,4′-DMAR when queried in March Convention and of the CSA are known MAR, and (±)-cis-4,4′-DMAR. All tested 2019. This suggests that 4,4′-DMAR is to have high potential for abuse. 4,4′- drugs evoked release of monoamines not trafficked in the United States. DMAR is similar in both its mechanism through the three monoamine Because 4,4′-DMAR is not approved as of action and its high potential for abuse transporters, namely dopamine a drug for medical use in the United to other scheduled compounds transporter (DAT), norepinephrine States, there appear to be no legitimate including 4-MAR (schedule I of the transporter (NET), and serotonin drug channels from which 4,4′-DMAR 1971 Convention and schedule I of the transporter (SERT). They are also potent can be diverted. CSA) and aminorex (schedule I of the at DAT and NET, indicating their According to HHS, 4,4′-DMAR can be CSA). 4,4′-DMAR, 4–MAR, and potential to release dopamine and purchased from several internet sources aminorex have all been shown to norepinephrine in the central nervous as a research chemical. Although it is increase neurotransmitter levels within system (CNS). But, their potencies at the likely that some individuals with abuse- the central nervous system resulting in SERT transport are different and varied related disorders obtained 4,4′-DMAR a stimulant effect. Although there are no by more than 100-fold. (±)-cis-4,4′- from these internet sources, findings clinical studies on 4,4′-DMAR, DMAR was the most potent drug at have indicated that the majority of the extrapolated animal studies indicate its SERT, with an EC50 value of 18.5 nM, fatalities associated with 4,4′-DMAR abuse and dependence potential. HHS similar to its potencies at DAT (8.6 nM) were the result of the user being sold concluded that 4,4′-DMAR has a similar and NET (26.9 nM). The data from these what they thought was 3, 4- potential for abuse as substances already studies revealed that (±)-cis-4,4′-DMAR methylenedioxy-methamphetamine controlled internationally and federally is a non-selective releaser of dopamine, in the United States. norepinephrine, and serotonin and that 3 STARLiMS is a laboratory information 2. Scientific Evidence of the Drug’s it is more potent in releasing serotonin management system that systematically collects than amphetamine. Another in vitro results from drug chemistry analyses conducted by Pharmacological Effects, If Known: DEA laboratories. On October 1, 2014, STARLiMS There are few pharmacological study compared the potencies of cis and replaced System to Retrieve Information from Drug studies conducted on 4,4′-DMAR and no trans isomers of 4,4′-DMAR against 3,4- Evidence (STRIDE) as the DEA laboratory drug abuse related or clinical studies in methylenedioxymethamphetamine evidence data system of record. human subjects have been conducted on (MDMA or ecstasy) in releasing 4 STRIDE is a database of drug exhibits sent to ′ DEA laboratories for analysis. Exhibits from the this substance. 4,4 -DMAR is monoamines in rat brain synaptosomal database are from DEA, other federal agencies, and structurally similar to aminorex and preparations. It showed that cis-4,4′- some local law enforcement agencies. both share a similar mechanism of DMAR is 2- to 3-fold more potent than 5 The National Forensic Laboratory Information pharmacological action. The abuse trans-4,4′-DMAR in releasing dopamine System (NFLIS) is a national forensic laboratory potential of aminorex was evaluated in or norepinephrine. The study also reporting system that systematically collects results ′ from drug chemistry analyses conducted by State monkeys using drug self-administration revealed that both isomers of 4,4 -DMAR and local forensic laboratories in the United States. or drug discrimination assays. The are about 4- to 10-fold more potent than
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(+)-MDMA in releasing dopamine, 4,4′-DMAR isomers requires 2-amino-1- There have been no published studies norepinephrine, or serotonin. (4-methylphenyl)propan-1-ol, potassium addressing the prevalence and pattern of Based on the review of both DEA and cyanate, water, hydrochloric acid, abuse of 4,4′DMAR. 4,4′-DMAR is a fine HHS, no clinical studies have been sodium carbonate, dichloromethane, white powder that can be pressed into performed to evaluate the effects of 4,4′- and methanol. These substances are tablets. The most common routes of DMAR in human subjects. Anecdotal available for purchase through internet administration for 4,4′-DMAR are oral reports of 4,4′-DMAR use reveal that sources; however, the equipment and ingestion and nasal insufflation. insufflation and oral consumption of knowledge required make it difficult for According to user reports, doses of 4,4′- tablets are the major methods of an average individual to synthesize this DMAR range from 10 to 200 mg and 10 administration. Reports of injection substance. to 65 mg for oral administration and were also noted. According to the user Toxicology and Pharmacokinetics insufflation, respectively. reports from websites (e.g., bluelight.org 5. The Scope, Duration, and and drug-forum.com), oral and Based on the evaluation of both DEA Significance of Abuse: insufflation doses range from 10 to 200 and HHS, there have been no non- There are no studies directly mg and from 10 to 65 mg, respectively. clinical or clinical studies to directly ′ monitoring the scope and duration of Euphoria, stimulation, happiness, and evaluate the toxicology of 4,4 DMAR. use or abuse of 4,4′-DMAR. However, increased sociability were reported to be The toxicological data are from some internet websites contain the desired effects of 4,4′-DMAR. Drug anecdotal reports or from fatalities in ′ anecdotal reports indicating that users use discussion forums report the desired which 4,4 -DMAR was implicated as a can purchase 4,4′-DMAR from online contributory factor. Emergency Room effects begin within 8–60 minutes and sources as a research chemical. visits and death reports revealed that the peak was in approximately 3 hours. Fatalities reports reveal that most users ′ 4,4′-DMAR consumption produces 4,4 -DMAR at higher doses produced believed they used another drug, such adverse health effects including adverse effects including nausea, as MDMA, which is typically obtained agitation, tachycardia, hypertension, dysphoria, agitation, psychosis, illicitly from drug dealers. A published breathing problems, convulsions, and tachycardia, hypertension, breathing paper in 2015 reported at least one cardiac arrest. 4,4′-DMAR is believed to problems, convulsions, and cardiac online retailer selling 4,4′-DMAR at a be a contributing factor in several deaths arrest. Although there are indications of minimum amount of 500 mg for Ö36.08/ ′ in Europe. Since 2013, at least 46 4,4 -DMAR’s potential to cause g. The EMCDDA report also identified known fatalities have been associated serotonin syndrome, poly-drug use with two internet sources for 4,4′-DMAR. substances that produce serotonergic with the use of 4,4′-DMAR in several HHS stated that no specific effects confound these reports. European nations including Hungary, 3. The State of Current Scientific Poland, and the UK. The reported mean epidemiological reports regarding the ′ significance of abuse of 4,4′-DMAR are Knowledge Regarding the Drug or Other blood concentration of 4,4 -DMAR in 27 ′ Substance: fatalities was 2.04 mg/L, while the range available. The reported cases of 4,4 - of urine concentrations in three of the DMAR-associated deaths suggest that Chemistry fatalities ranged from 5.93 to 43.49 mg/ many of these drug users assumed that The molecular formula of 4,4′-DMAR L. they were using MDMA. Thus, the is C11H14N2O and it has a molecular As mentioned by HHS, there are no majority of instances of abuse appear to weight of 190.24 g/mol. 4,4′-DMAR is a human pharmacokinetic data for 4,4′- be unintentional (see Factor 6). synthetic substituted oxazoline DMAR. A preliminary study in rats Additionally, based on DEA’s review, derivative. The oxazoline structure showed that cis-4,4′-DMAR there is no evidence of 4,4′-DMAR abuse consists of a five-membered ring administered intravenously (1 mg/kg) in the United States. DEA’s STRIDE/ containing an oxygen (O) atom at the 1- rapidly enters the brain after 5 minutes. STARLiMS and the NFLIS databases as position and a nitrogen (N) atom at the 4. Its History and Current Pattern of queried in March 2019 had no reports 3-position. The structure of 4,4′-DMAR Abuse: of 4,4′-DMAR, suggesting that it is not has two chiral centers, C4 and C5, in the HHS and DEA’s review indicates that trafficked in the United States. The first oxazoline ring. Therefore, it may exist as several European countries have seizure of 4,4′-DMAR (500 grams of four stereoisomers known as (4S,5S), reported drug seizures in which 4,4′- white powder) occurred in the (4S,5R), (4R,5S), and (4R, 5R). 4,4′- DMAR was detected in either powder or Netherlands in 2012; subsequently a DMAR is structurally related to cis 4- tablet form. As mentioned in the HHS small seizure was made in Finland in methylaminorex (cis 4-MAR) which is a review, customs authorities first 2013. Hungary reported 41 seizures psychostimulant. 4-MAR is currently a detected 4,4′-DMAR in the Netherlands totaling 1,852 tablets and 37 seizures schedule I substance in the United in 2012, in a seized drug powder that totaling 377 grams of powder between States and is listed as a schedule I came from India. In 2013, Hungarian June and October of 2013. In twenty substance under the 1971 Convention. authorities reported at least 78 seizures percent of these seizures (both powder The synthesis of 4,4′-DMAR is a of 4,4′-DMAR alone or mixed with other and tablets), 4,4′-DMAR was mixed with complex process requiring many steps. stimulants (mainly cathinones), both in other illicit substances such as synthetic Both (±)-cis 4,4′-DMAR and (±)-trans powder and tablet form, which cathinones and synthetic cannabinoids. 4,4′-DMAR are synthesized by the originated from China. Romania, In the subsequent years, 4,4′-DMAR was cyclization of 2-amino-1-(4- Sweden, Denmark, and Finland also reported in Denmark, Finland, France, methylphenyl) propan-1-ol (also known reported multiple drug seizures Hungary, the Netherlands, Poland, as 4′-methylnorepinephrine). The agent containing various amounts of 4,4′- Romania, Sweden, and the UK. These used for cyclization determines the DMAR since 2013. According to HHS, seizures in Europe have been small in synthesis of one isomer over the other. two published studies in 2015 examined size. Because synthetic cathinones and The synthetic process of the (±)-cis-4,4′- the availability of 4,4′-DMAR using synthetic cannabinoids are being widely DMAR isomers requires the use of internet search engines and reported abused in the United States, it is anhydrous sodium acetate, methanol, that there was one internet site that sold possible that the abuse of 4,4′-DMAR and sodium carbonate in the final step, 4,4′-DMAR, which is currently still mixed with these substances may occur whereas the synthesis of the (± )-trans- available. domestically if 4,4′-DMAR were to be
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trafficked and abused in the United pharmacology between aminorex and and no known therapeutic applications States. 4,4′-DMAR, it can be inferred that 4,4′- for 4,4′-DMAR in the United States. 6. What, If Any, Risk There Is to the DMAR will have high psychic and Therefore, 4,4′-DMAR has no currently Public Health: physiological dependence liability accepted medical use in treatment in the Based on the review of both HHS and similar to that of d-amphetamine. United States.6 DEA, use of 4,4′-DMAR has been 8. Whether the Substance is an (3) There is a lack of accepted safety associated with at least 31 serious Immediate Precursor of a Substance for use of 4,4′-DMAR under medical adverse events and 46 fatalities Already Controlled Under the CSA: supervision. Because 4,4′-DMAR has no throughout Europe since 2013. These DEA and HHS find that 4,4′-DMAR is approved medical use and has not been serious adverse events and fatalities are not an immediate precursor of a investigated as a new drug, its safety for the result of unintentional consumption substance already controlled under the use under medical supervision has not of 4,4′-DMAR. These individuals bought CSA. been determined. Therefore, there is a what they thought to be another ′ Conclusion lack of accepted safety for use of 4,4 - substance such as MDMA, cocaine, or DMAR under medical supervision. mephedrone from websites. According Based on consideration of the Based on these findings, the Acting to HHS, the so called ‘‘psychonauts’’ scientific and medical evaluation and Administrator concludes that 4,4′- who purchase substances for accompanying recommendation of HHS, DMAR warrants control in schedule I of exploratory purposes appear to be and based on DEA’s consideration of its the CSA. 21 U.S.C. 812(b)(1). More buying 4,4′-DMAR from research own eight-factor analysis, DEA finds precisely, because of its stimulant chemical websites. that these facts and all relevant data effects, and because it may produce According to the medical examiner constitute substantial evidence of stimulant-like tolerance and reports mentioned in 2014 EMCDDA potential for abuse of 4,4′-DMAR. As dependence in humans, DEA is Risk Assessment, of the 23 fatalities, one such, DEA hereby proposes to schedule proposing to place 4,4′-DMAR in 21 CFR was the result of 4,4′DMAR alone; in 4,4′-DMAR as a schedule I controlled 1308.11(f) (the stimulants category of two fatalities, 4,4′-DMAR had a major substance under the CSA. schedule I). As such, the proposed role, and in the remaining 20 cases, 4,4′- ′ Proposed Determination of Appropriate control of 4,4 -DMAR includes the DMAR mixed with other drugs likely Schedule substance as well as its salts, isomers, contributed to deaths. Prior to their and salts of isomers. The CSA establishes five schedules of deaths, many of these individuals ′ showed symptoms similar to controlled substances known as Requirements for Handling 4,4 -DMAR sympathomimetic toxicity, which schedule I, II, III, IV, and V. The CSA If this rule is finalized as proposed, included agitation, aggression, seizures, also outlines the findings required to 4,4′-DMAR would be subject to the and hyperthermia. Another study place a drug or other substance in any CSA’s schedule I regulatory controls further analyzed the EMCDDA and particular schedule. 21 U.S.C. 812(b). and administrative, civil, and criminal ACMD’s epidemiological data and After consideration of the analysis and sanctions applicable to the manufacture, revealed that in 31 fatalities associated recommendation of the Assistant distribution, reverse distribution, with 4,4′-DMAR, 22 were male, 8 were Secretary for Health of HHS and review import, export, engagement in research, female, and 1 was unknown. Many of of all available data, the Acting conduct of instructional activities or these individuals also had ingested Administrator of DEA (Acting chemical analysis with, and possession multiple drugs. Combining 4,4′-DMAR Administrator), pursuant to 21 U.S.C. of schedule I controlled substances, with other drugs may contribute to fatal 812(b)(1), finds that: including the following: overdoses and pose a risk to the public (1) 4,4′-DMAR has a high potential for 1. Registration. Any person who health. abuse. There are no non-clinical or handles (manufactures, distributes, 7. Its Psychic or Physiological clinical studies directly evaluating the reverse distributes, imports, exports, Dependence Liability: abuse potential of 4,4′-DMAR. However, engages in research, or conducts There are no non-clinical or clinical 4,4′-DMAR is chemically similar to instructional activities or chemical studies examining the psychic or aminorex (schedule I) and in vitro analysis with, or possesses) 4,4′-DMAR, physiological dependence liability of activity assays using brain or who desires to handle 4,4′-DMAR, 4,4′-DMAR. Drug abuse-associated synaptosomes indicate that 4,4′-DMAR would need to be registered with DEA internet forums or drug treatment has similar pharmacological activity to to conduct such activities pursuant to facilities had no mentions of d-amphetamine (schedule II), aminorex 21 U.S.C. 822, 823, 957, 958, and in dependence liability associated with (schedule I), and MDMA (schedule I). accordance with 21 CFR parts 1301 and 4,4′-DMAR. Although direct evidence More specifically, 4,4′-DMAR acts as a regarding the psychic and physiologic more potent releaser of dopamine, 6 Although there is no evidence suggesting that dependence liability of 4,4′-DMAR is norepinephrine, and serotonin than 4,4′-DMAR has a currently accepted medical use in treatment in the United States, it bears noting that lacking, information on substances that substances that are listed in schedules I a drug cannot be found to have such medical use have a pharmacological mechanism of and II of the CSA. 4,4′-DMAR has been unless DEA concludes that it satisfies a five-part action similar to that of 4,4′-DMAR can detected in several drug seizures in test. Specifically, with respect to a drug that has not be used to infer the dependence several European countries. These been approved by the FDA, to have a currently potential of this substance. As stated in reports correlate with 46 deaths in accepted medical use in treatment in the United ′ ′ States, all of the following must be demonstrated: Factor 2, 4,4 -DMAR shares a which 4,4 -DMAR played a contributory i. The drug’s chemistry must be known and mechanism of action with aminorex, a role. The data provides supportive reproducible; structurally related substance. evidence that 4,4′-DMAR has a high ii. there must be adequate safety studies; Aminorex increases locomotor activity potential for abuse that is similar to iii. there must be adequate and well-controlled and the physiological dependence of substances in schedule I or II of the CSA studies proving efficacy; ′ iv. the drug must be accepted by qualified rats taking pentobarbital. Aminorex has (2) 4,4 -DMAR has no currently experts; and dependence liability similar to the accepted medical use in treatment in the v. the scientific evidence must be widely stimulant amphetamine. Because of United States. There are no approved available. similarities in structure and New Drug Applications for 4,4′-DMAR 57 FR 10499 (1992).
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1312 as of the effective date of a final After the initial inventory, every DEA this rule is not significant under scheduling action. Any person who registrant would be required to take an Executive Order 12866. currently handles 4,4′-DMAR, and is not inventory of all controlled substances Executive Order 12988, Civil Justice registered with DEA, would need to (including 4,4′-DMAR) on hand every Reform submit an application for registration two years, pursuant to 21 U.S.C. 827 and may not continue to handle 4,4′- and 958, and in accordance with 21 CFR This proposed regulation meets the DMAR after the effective date of a final 1304.03, 1304.04, and 1304.11. applicable standards set forth in scheduling action unless DEA has 7. Records and Reports. Every DEA sections 3(a) and 3(b)(2) of Executive approved that application for registrant would be required to maintain Order 12988, Civil Justice Reform, to registration pursuant to 21 U.S.C. 822, records and submit reports pursuant to eliminate drafting errors and ambiguity, 823, 957, 958, and in accordance with 21 U.S.C. 827 and 958, and in minimize litigation, provide a clear legal 21 CFR parts 1301 and 1312. accordance with 21 CFR parts 1304, standard for affected conduct, and 2. Disposal of stocks. Any person who 1312, and 1317, as of the effective date promote simplification and burden does not desire or is not able to obtain of a final scheduling action. reduction. a schedule I registration would be Manufacturers and distributors would required to surrender all quantities of Executive Order 13132, Federalism ′ be required to submit reports regarding currently held 4,4 -DMAR, or transfer all ′ This proposed rulemaking does not ′ 4,4 -DMAR to the Automation of Reports quantities of currently held 4,4 -DMAR and Consolidated Order System have federalism implications warranting to a person registered with DEA before (ARCOS) pursuant to 21 U.S.C. 827 and the application of Executive Order the effective date of a final scheduling in accordance with 21 CFR parts 1304 13132. The proposed rule does not have action, in accordance with all applicable and 1312, as of the effective date of a substantial direct effects on the States, federal, state, local, and tribal laws. As final scheduling action. on the relationship between the national of the effective date of a final scheduling ′ 8. Order Forms. Every DEA registrant government and the States, or the action, 4,4 -DMAR would be required to ′ distribution of power and be disposed of in accordance with 21 who distributes 4,4 -DMAR would be required to comply with order form responsibilities among the various CFR part 1317, in addition to all other levels of government. applicable federal, state, local, and tribal requirements, pursuant to 21 U.S.C. 828, laws. and in accordance with 21 CFR part Executive Order 13175, Consultation 3. Security. 4,4′-DMAR would be 1305, as of the effective date of a final and Coordination With Indian Tribal subject to schedule I security scheduling action. Governments requirements and would need to be 9. Importation and Exportation. All This proposed rule does not have handled and stored in accordance with importation and exportation of 4,4′- tribal implications warranting the 21 CFR 1301.71–1301.93 as of the DMAR would need to be in compliance application of Executive Order 13175. It effective date of a final scheduling with 21 U.S.C. 952, 953, 957, and 958, does not have substantial direct effects action. and in accordance with 21 CFR part 4. Labeling and Packaging. All labels, 1312, as of the effective date of a final on one or more Indian tribes, on the labeling, and packaging for commercial scheduling action. relationship between the Federal Government and Indian tribes, or on the containers of 4,4′-DMAR would need to 10. Liability. Any activity involving distribution of power and be in compliance with 21 U.S.C. 825 4,4′-DMAR not authorized by, or in responsibilities between the Federal and 958(e), and be in accordance with violation of, the CSA or its Government and Indian tribes. 21 CFR part 1302, as of the effective implementing regulations, would be date of a final scheduling action. unlawful, and may subject the person to Regulatory Flexibility Act 5. Quota. Only registered administrative, civil, and/or criminal The Acting Administrator, in manufacturers would be permitted to sanctions. manufacture 4,4′-DMAR in accordance accordance with the Regulatory with a quota assigned, pursuant to 21 Regulatory Analyses Flexibility Act (RFA), 5 U.S.C. 601–602, has reviewed this proposed rule, and by U.S.C. 826 and in accordance with 21 Executive Orders 12866, 13563, and approving it, certifies that it will not CFR part 1303, as of the effective date 13771, Regulatory Planning and Review, have a significant economic impact on of a final scheduling action. Improving Regulation and Regulatory a substantial number of small entities. 6. Inventory. Every DEA registrant Review, and Reducing Regulation and ′ who possesses any quantity of 4,4 - Controlling Regulatory Costs DEA proposes placing the substance DMAR on the effective date of a final 4,4′-DMAR (Chemical name: 4-methyl- scheduling action would be required to In accordance with 21 U.S.C. 811(a), 5-(4-methylphenyl)-4,5-dihydro-l,3- take an inventory of 4,4′-DMAR on hand this proposed scheduling action is oxazol-2-amine), including its salts, at that time, pursuant to 21 U.S.C. 827 subject to formal rulemaking procedures isomers, and salts of isomers, whenever and 958, and in accordance with 21 CFR performed ‘‘on the record after the existence of such salts, isomers, and 1304.03, 1304.04, and 1304.11(a) and opportunity for a hearing,’’ which are salts of isomers is possible, in schedule (d). conducted pursuant to the provisions of I of the CSA. This action is being taken Any person who becomes registered 5 U.S.C. 556 and 557. The CSA sets to enable the United States to meet its with DEA on or after the effective date forth the procedures and criteria for obligations under the 1971 Convention of the final scheduling action would be scheduling a drug or other substance. on Psychotropic Substances. If finalized, required to take an initial inventory of Such actions are exempt from review by this action would impose the regulatory all stocks of controlled substances the Office of Management and Budget controls and administrative, civil, and (including 4,4′-DMAR) on hand on the (OMB) pursuant to section 3(d)(1) of criminal sanctions applicable to date the registrant first engages in the Executive Order 12866 and the schedule I controlled substances on handling of controlled substances, principles reaffirmed in Executive Order persons who handle (manufacture, pursuant to 21 U.S.C. 827 and 958, and 13563. distribute, reverse distribute, import, in accordance with 21 CFR 1304.03, This rulemaking is not an Executive export, engage in research, conduct 1304.04, and 1304.11(a) and (b). Order 13771 regulatory action because instructional activities or chemical
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analysis with, or possess), or propose to economy of $100,000,000 or more; a that the West Pinal County, Arizona handle 4,4′-DMAR. major increase in costs or prices for nonattainment area did not attain the According to HHS, 4,4′-DMAR has a consumers, individual industries, 1987 24-hour national ambient air high potential for abuse, has no Federal, State, or local government quality standards (NAAQS or currently accepted medical use in agencies, or geographic regions; or ‘‘standard’’) for particulate matter with treatment in the United States, and lacks significant adverse effects on a diameter of ten micrometers or smaller accepted safety for use under medical competition, employment, investment, (PM10) by December 31, 2018, the supervision. DEA’s research confirms productivity, innovation, or on the statutory attainment date for the that there is no commercial market for ability of U.S.-based companies to nonattainment area. This proposal is 4,4′-DMAR in the United States. compete with foreign-based companies based on the EPA’s calculation of the Additionally, queries of DEA’s STRIDE/ in domestic and export markets. PM10 design value for the nonattainment STARLiMS and the NFLIS databases in List of Subjects in 21 CFR Part 1308 area over the 2016–2018 period, using February, 2020, did not generate any complete, quality-assured, and certified ′ Administrative practice and reports of 4,4 -DMAR, suggesting that it PM10 monitoring data. If the EPA makes is not trafficked in the United States. procedure, Drug traffic control, a final determination that West Pinal Therefore, DEA estimates that no U.S. Reporting and recordkeeping County has failed to attain the PM ′ 10 entity currently handles 4,4 -DMAR and requirements. NAAQS by its attainment date, then does not expect any U.S. entity to For the reasons set out above, 21 CFR Clean Air Act (CAA) section 188(b)(2) ′ handle 4,4 -DMAR in the foreseeable part 1308 is proposed to be amended to requires that the nonattainment area be future. DEA concludes that no U.S. read as follows: reclassified to Serious by operation of entity would be affected by this rule if law. Within 18 months from the PART 1308—SCHEDULES OF finalized. As such, the proposed rule effective date of a reclassification to CONTROLLED SUBSTANCES will not have a significant effect on a Serious, the State must submit State substantial number of small entities. ■ 1. The authority citation for 21 CFR Implementation Plan (SIP) revisions that Duplicative, Overlapping, and part 1308 continues to read as follows: comply with the statutory and Conflicting Rules regulatory requirements for Serious Authority: 21 U.S.C. 811, 812, 871(b), PM nonattainment areas. DEA is the only agency with authority unless otherwise noted. 10 to schedule drugs under the CSA. DEA ■ 2. In § 1308.11, redesignate DATES: Written comments must be has not identified any duplicative, paragraphs (f)(4) through (f)(8) as received on or before May 7, 2020. overlapping, or conflicting rules with paragraphs (f)(5) through (f)(9) and add the proposed rule. ADDRESSES: Submit your comments, a new paragraph (f)(4) to read as identified by Docket ID No. EPA–R09– Unfunded Mandates Reform Act of 1995 follows: OAR–2020–0151 at https:// In accordance with the Unfunded § 1308.11 Schedule I. www.regulations.gov. For comments submitted at Regulations.gov, follow the Mandates Reform Act (UMRA) of 1995, * * * * * online instructions for submitting 2 U.S.C. 1501 et seq., DEA has (f) * * * determined and certifies that this action (4) 4,4′-Dimethylaminorex (4,4′- comments. Once submitted, comments would not result in any Federal DMAR; 4,5-dihydro-4-methyl-5-(4- cannot be edited or removed from mandate that may result ‘‘in the methylphenyl)-2-oxazolamine; 4- Regulations.gov. The EPA may publish expenditure by State, local, and tribal methyl-5-(4-methylphenyl)-4,5-dihydro- any comment received to its public governments, in the aggregate, or by the 1,3-oxazol-2- docket. Do not submit electronically any private sector, of $100,000,000 or more amine)...... 1595 information you consider to be Confidential Business Information (CBI) (adjusted for inflation) in any 1 year * * * * * * * *.’’ Therefore, neither a Small or other information whose disclosure is Government Agency Plan nor any other Uttam Dhillon, restricted by statute. Multimedia action is required under UMRA of 1995. Acting Administrator. submissions (audio, video, etc.) must be accompanied by a written comment. Paperwork Reduction Act [FR Doc. 2020–07095 Filed 4–6–20; 8:45 am] BILLING CODE 4410–09–P The written comment is considered the This action does not impose a new official comment and should include collection of information requirement discussion of all points you wish to under the Paperwork Reduction Act, 44 ENVIRONMENTAL PROTECTION make. The EPA will generally not U.S.C. 3501–3521. This action would AGENCY consider comments or comment not impose recordkeeping or reporting contents located outside of the primary requirements on State or local 40 CFR Part 52 submission (i.e., on the web, cloud, or governments, individuals, businesses, or other file sharing system). For organizations. An agency may not [EPA–R09–OAR–2020–0151; FRL–10007– 67–Region 9] additional submission methods, please conduct or sponsor, and a person is not contact the person identified in the FOR required to respond to, a collection of Finding of Failure To Attain the 1987 FURTHER INFORMATION CONTACT section. information unless it displays a 24-Hour PM10 Standard; For the full EPA public comment policy, currently valid OMB control number. Reclassification as Serious information about CBI or multimedia Congressional Review Act Nonattainment; Pinal County, Arizona submissions, and general guidance on making effective comments, please visit This rule is not a major rule as AGENCY: Environmental Protection https://www.epa.gov/dockets/ defined by section 804 of the Small Agency (EPA). commenting-epa-dockets. Business Regulatory Enforcement ACTION: Proposed rule. Fairness Act of 1996 (Congressional FOR FURTHER INFORMATION CONTACT: Jerry Review Act (CRA)). This rule will not SUMMARY: The Environmental Protection Wamsley, EPA Region IX, (415) 947– result in: An annual effect on the Agency (EPA) is proposing to determine 4111, [email protected].
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SUPPLEMENTARY INFORMATION: classified as a ‘‘Moderate’’ PM10 PM10 standard, are less stringent and the Throughout this document, ‘‘we,’’ ‘‘us’’ nonattainment area. 75 percent data capture requirement and ‘‘our’’ refer to the EPA. For a PM10 nonattainment area does not apply provided there is classified as Moderate under the CAA, sufficient data to unambiguously Table of Contents section 188(c) of the CAA states that the establish nonattainment of the I. Background and Regulatory Context Moderate area attainment date is ‘‘as standard.7 II. Criteria for Determining That an Area Has expeditiously as practicable, but no later III. The EPA’s Proposed Action and Attained the 1987 24-Hour PM10 NAAQS than the end of the sixth calendar year III. The EPA’s Proposed Action and after the area’s designation as Associated Rationale Associated Rationale nonattainment.’’ Consequently, the This proposed action is pursuant to A. Data Completeness, Network Review, applicable attainment date for West and Certification of Data the EPA’s statutory obligation, under Pinal County, designated nonattainment B. Finding of Failure to Attain the PM10 CAA section 188(b)(2), to determine NAAQS in 2012, was December 31, 2018. CAA whether the West Pinal County IV. Summary of Our Proposed Action section 188(b)(2) requires the EPA to nonattainment area has attained the V. Statutory and Executive Order Reviews determine whether any PM10 1987 24-hour PM10 NAAQS by its nonattainment area classified as December 31, 2018 attainment date. As I. Background and Regulatory Context Moderate attained the 24-hour PM10 discussed in Section II, a nonattainment The EPA sets the NAAQS for certain NAAQS by the area’s attainment date area’s ambient data must meet several ambient air pollutants at levels required and requires the EPA to make such a criteria if the EPA is to determine that to protect public health and welfare. determination within six months after the nonattainment area has met the 24- Particulate matter with an aerodynamic that date. If the EPA determines that a hour PM10 NAAQS. These criteria diameter less than or equal to a nominal Moderate area has not attained the include complete, quality-assured and ten micrometers (microns), or PM10, is NAAQS by the relevant attainment date, certified data collected from a valid one of the ambient air pollutants for then the area shall be reclassified as a ambient air quality monitoring network which the EPA has established health- Serious area by operation of law. As and a design value calculated from the based standards, and we have discussed previously, the 1987 24-hour ambient data to be less than the promulgated and revised the PM10 PM10 NAAQS is met when the expected applicable NAAQS. NAAQS several times. number of exceedances averaged over a three-year period is equal to or less than A. Data Completeness, Network Review, The EPA revised the NAAQS for one at each monitoring site within the and Certification of Data particulate matter on July 1, 1987, nonattainment area. In accordance with 40 CFR part 50, replacing standards for total suspended Appendices J and K, a finding of particulates (TSP, particulate less than II. Criteria for Determining That an attainment of the 1987 24-hour PM 30 microns in diameter) with new Area Has Attained the 1987 24-Hour 10 NAAQS must generally be based upon standards applying only to particulate PM10 NAAQS complete, quality-assured data gathered matter up to 10 microns in diameter.1 In Generally, the EPA’s determination of at monitoring sites in the nonattainment 1987, the EPA established two PM 10 whether an area’s air quality meets the area and entered in the AQS. For the 24- NAAQS, an annual standard and a 24- 1987 24-hour PM10 NAAQS is based on hour PM standard, Appendix K hour standard. An area attains the 24- 10 three years of complete, quality-assured provides that all data produced by hour PM standard of 150 micrograms 10 data that has been gathered at SLAMS and other sites submitted to the per cubic meter (mg/m3) when the established state and local air EPA in accordance with the part 58 expected number of days per calendar monitoring stations (SLAMS) in a requirements be used for evaluating year with a 24-hour concentration nonattainment area and entered into the attainment.8 exceeding the standard (referred to as an EPA’s Air Quality System (AQS) The PM10 ambient air quality ‘‘exceedance’’) over a three-year period, database.5 Data from ambient air is equal to or less than one.2 The annual monitoring data collected within the monitors operated by state or local West Pinal County nonattainment area PM10 standard was revoked on October agencies in compliance with the EPA 17, 2006.3 for the 2016–2018 three-year period monitoring requirements must be must meet data completeness criteria, or On May 31, 2012, the EPA designated submitted to AQS. Monitoring agencies otherwise unambiguously establish a portion of state lands in Pinal County, certify annually that these data are nonattainment according to 40 CFR part Arizona (‘‘West Pinal County’’) as accurate to the best of their knowledge. 50, Appendix K, section 2.3. The nonattainment for the 1987 p.m.10 Accordingly, the EPA relies primarily ambient air quality monitoring data 4 NAAQS based on 2006–2008 data. As on data in AQS when determining the completeness requirements are met a result of the nonattainment attainment status of nonattainment when quarterly data capture rates for all designation, West Pinal County was areas. four quarters in a calendar year over a Ambient air quality data must three-year period are at least 75 percent. 1 52 FR 24634 (July 1, 1987). generally meet data completeness For the purposes of this proposal, we 2 An exceedance is defined as a daily value that requirements for each year under reviewed the data for the 2016–2018 is above the level of the 24-hour standard, 150 mg/ consideration. The completeness 3 3 period for completeness and determined m , after rounding to the nearest 10 mg/m (i.e., requirements are met when at least 75 values ending in five or greater are to be rounded that the PM10 data met the completeness 3 percent of the scheduled sampling days up). Consequently, a recorded value of 154 mg/m criterion for all 12 quarters at PM10 would not be an exceedance because it would be for each quarter have valid data.6 The 3 monitoring sites in the West Pinal rounded to 150 mg/m ; whereas, a recorded value data requirements for showing that a 9 3 County nonattainment area. of 155 mg/m would be an exceedance because it monitor has failed an attainment test, would be rounded to 160 mg/m3. See 40 CFR part 50.6 and 40 CFR 50 Appendix K, section 1.0. and thus recorded a violation of the 7 40 CFR part 50, Appendix K, section 2.3(a). 3 71 FR 61144 (October 17, 2006). 8 40 CFR part 50, Appendix K, section 2.3(a). 4 77 FR 32024 (May 31, 2012). The boundaries for 5 AQS is the EPA’s national repository of ambient 9 AQS Design Value Report, dated March 5, 2020, the West Pinal County nonattainment area are air quality data. included within our docket. Also, refer to Table 1 described in 40 CFR 81.303. 6 40 CFR part 50, Appendix K, section 2.3. Continued
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The EPA’s determination as to Systems Audit of Pinal County’s averaged over a three-year period at any whether an area has attained the PM10 ambient air quality monitoring program given monitor is known as the PM10 NAAQS pursuant to CAA section that the ambient air monitoring network design value for that site. The PM10 188(b)(2) is based on monitored ambient currently meets or exceeds the design value for the nonattainment area air quality data. The validity of this requirements for the minimum number is the highest design value from a determination of attainment depends in of monitoring sites designated as monitor within that area. Three part on whether the monitoring network SLAMS for PM10 in the West Pinal consecutive years of air quality data are 11 adequately measures ambient PM10 County nonattainment area. Pinal required to show attainment of the PM10 levels in the nonattainment area. The County certifies annually that the data standard. Pinal County Air Quality Control it submits to AQS are quality-assured Table 1 provides the 2018 PM10 District (‘‘Pinal County’’) is the and has done so for each year relevant design values for all regulatory governmental agency with the authority to our determination of attainment, monitoring sites measuring PM10 within and responsibilities under the State’s 2016–2018.12 the West Pinal County nonattainment laws for collecting ambient air quality area, expressed as a single value B. Finding of Failure To Attain the PM10 data for the West Pinal County representing the average expected NAAQS nonattainment area. Pinal County exceedances over the three-year period, 13 submits annual monitoring network As discussed previously, the EPA’s 2016–2018. The PM10 data show that plans to the EPA. These plans discuss evaluation of whether the West Pinal the design values at multiple monitoring the status of the ambient air monitoring County nonattainment area has met the sites are greater than 1.0 estimated network, as required under 40 CFR part 1987 24-hour PM10 NAAQS is based on annual average exceedances of the 1987 58. The EPA reviews these annual our review of the monitoring data, the 24-hour PM10 NAAQS. Consequently, network plans for compliance with the adequacy of the PM10 monitoring the EPA proposes to determine, based applicable reporting requirements in 40 network in the nonattainment area, and upon three years of complete, quality- CFR 58.10. With respect to PM10, the the reliability of the data collected by assured and certified data from 2016– EPA has found that the annual network the network. The PM10 standard is 2018, that the West Pinal County plans submitted by Pinal County meet attained when the expected number of nonattainment area did not attain the the applicable requirements under 40 exceedances, averaged over a three-year 1987 24-hour PM10 NAAQS by the CFR part 58.10 Furthermore, we period, is less than or equal to one. The applicable attainment date of December concluded from our 2019 Technical expected number of exceedances 31, 2018.
TABLE 1—2018 DESIGN VALUES FOR THE 1987 24-HOUR PM10 NAAQS AT AIR QUALITY MONITORING SITES IN THE WEST PINAL COUNTY NONATTAINMENT AREA, BASED ON 2016–2018 DATA
Monitoring site AQS identification number Design value
Casa Grande Downtown ...... 04–021–0001–3 4.1 Coolidge a ...... 04–021–3004–1 2.0 Stanfield ...... 04–021–3008–3 14.3 Combs ...... 04–021–3009–3 2.0 Pinal County Housing ...... 04–021–3011–3 7.4 Eloy b ...... 04–021–3014–3/04–021–3014–1 6.0 Hidden Valley ...... 04–021–3015–3 32.8 Maricopa 1405/Maricopa c ...... 04–021–3016–3/04–021–3010–3 3.4 Source: EPA AQS Design Value Report, dated March 5, 2020. Table 1 includes only data from monitoring sites in the nonattainment area. Ad- ditional information can be found in the EPA AQS Violation Day Count Report, dated March 18, 2020, and included in our docket. a The AQS Design Value Report contains design values for two monitors at the Coolidge monitoring site. The second monitor (04–021–3004– 2) is a collocated quality assurance monitor and is not used for comparison to the NAAQS. b The EPA manually calculated the design value for the Eloy monitoring site by combining data from a manual monitor (04–021–3014–1) with data from a continuous monitor (04–021–3014–3) that replaced the manual monitor in early 2016. The monitors are reflected separately in the AQS Design Value Report. We have provided this combined design value in the EPA 2018 PM10 Design Value Report, available from the EPA Air Trends website at https://www.epa.gov/air-trends/air-quality-design-values and in our docket via an Excel spreadsheet. c Pinal County relocated the Maricopa site (04–021–3010) to the Maricopa 1405 site (04–021–2016) in January 2017. The EPA approved this relocation; consequently, the data from both sites are combined to form one continuous record for calculating a design value. See correspond- ence from Gwen Yoshimura, Acting Manager, Air Quality Analysis Office, EPA Region IX, to Michael Sundblom, Director, Pinal County Air Qual- ity Control District, dated December 15, 2016. The monitors are reflected separately, however, in the AQS Design Value Report. We have pro- vided this combined design value in the EPA 2018 PM10 Design Value Report, available from the EPA Air Trends website at https:// www.epa.gov/air-trends/air-quality-design-values and in our docket via an Excel spreadsheet.
If the EPA determines that a Moderate the PM10 NAAQS by its applicable 188(b)(2) provides that the area shall be nonattainment area has failed to attain attainment date, then CAA section reclassified as a Serious area by
below and its endnotes for additional information 11 We have included in our docket the Manager, Air Quality Analysis Office, EPA Region concerning the Eloy and Maricopa monitoring sites. correspondence concerning the most recent audit; IX. Annual data certification requirements can be 10 We have included in our docket the see correspondence dated September 24, 2019, from found at 40 CFR 58.15. Elizabeth J. Adams, Director, Air and Radiation correspondence transmitting our annual network 13 A design value is calculated using a specific Division, EPA Region IX, to Michael Sundblom, reviews, e.g., correspondence dated October 30, Director, Pinal County Air Quality Control District. methodology from monitored air quality data and 2018, from Gwen Yoshimura, Manager, Air Quality 12 We have included in our docket Pinal County’s is used to compare an area’s air quality to a Analysis Office, EPA Region IX, to Michael annual data certifications for 2016, 2017 and 2018, NAAQS. The methodologies for calculating Sundblom, Director, Pinal County Air Quality e.g., correspondence dated April 25, 2019, from expected exceedances for the 24-hour PM10 NAAQS Control District. Josh DeZeeuw, Air Quality Manager, Pinal County are found in 40 CFR part 50, Appendix K, Section Air Quality Control District, to Gwen Yoshimura, 2.1(a).
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operation of law. Accordingly, if the Office of Management and Budget levels of government, as specified in EPA takes final action on our proposed (OMB) for review. Executive Order 13132 (64 FR 43255, determination that the West Pinal B. Executive Order 13771: Reducing August 10, 1999). The requirement to County Moderate area failed to attain Regulations and Controlling Regulatory submit SIP revisions to meet the 1987 the 1987 24-hour PM NAAQS by 10 Costs 24-hour PM10 NAAQS is imposed by the December 31, 2018, the area will be CAA. This proposed rule does not alter reclassified to Serious. The EPA is This action is not an Executive Order the distribution of power and taking comment on this proposed 13771 regulatory action because it is not responsibilities established in the CAA. a significant regulatory action under finding of failure to attain and Thus, Executive Order 13132 does not Executive Order 12866. reclassification of the West Pinal County apply to this action. In the spirit of PM10 nonattainment area from Moderate C. Paperwork Reduction Act Executive Order 13132 and consistent to Serious. This action does not impose an with EPA policy to promote IV. Summary of Our Proposed Action information collection burden under the communications between the EPA and In accordance with section 188(b)(2) provisions of the Paperwork Reduction state and local governments, the EPA of the CAA, the EPA is proposing to Act (44 U.S.C. 3501–3521) because it specifically solicits comments on this determine that the West Pinal County does not contain any information proposed action from state and local Moderate nonattainment area did not collection activities. officials. attain the 1987 24-hour PM10 NAAQS D. Regulatory Flexibility Act G. Executive Order 13175, Consultation by its applicable attainment date of I certify that this action will not have and Coordination With Indian Tribal December 31, 2018. Our proposed Governments determination that West Pinal County a significant economic impact on a substantial number of small entities failed to attain the PM10 NAAQS is This action does not have tribal under the Regulatory Flexibility Act based on complete, quality-assured, and implications as specified in Executive (RFA), 5 U.S.C. 601–612. This action certified PM10 monitoring data for the will not impose any requirements on Order 13175. No areas of Indian country appropriate three-year period, 2016– are located within the West Pinal 2018. We are soliciting comment on this small entities. This proposed action, if County PM10 nonattainment area. proposed finding that the West Pinal finalized, would require the state to adopt and submit SIP revisions to Therefore, no tribal areas are implicated County Moderate nonattainment area in the area that the EPA is proposing to satisfy the statutory requirements that failed to attain the 24-hour PM10 find failed to attain the 1987 24-hour NAAQS. apply to Serious areas and would not PM NAAQS by the applicable If we finalize our action as proposed, itself directly regulate any small 10 attainment date. The CAA and the West Pinal County will be reclassified entities. We continue to be interested in the potential impacts of the proposed Tribal Authority Rule establish the as a Serious PM10 nonattainment area by operation of law and will be subject to rule on small entities and welcome relationship of the federal government all applicable Serious area attainment comments on issues related to such and tribes in developing plans to attain planning and nonattainment New impacts. the NAAQS, and this rule does nothing Source Review requirements. This E. Unfunded Mandates Reform Act to modify that relationship. Thus, includes the requirement to submit a Executive Order 13175 does not apply This action does not contain any Serious area air quality plan within 18 to this action. unfunded mandate of $100 million or months of the effective date of our final more and does not significantly or H. Executive Order 13045, Protection of rule, per section 189(b)(2) of the CAA. uniquely affect small governments, as Children From Environmental Health This Serious area air quality plan must described in the Unfunded Mandates Risks and Safety Risks demonstrate attainment of the 24-hour Reform Act (UMRA) (2 U.S.C. 1531– PM NAAQS by December 31, 2022, 10 1538). This action itself imposes no The EPA interprets Executive Order ten years after the area’s designation to enforceable duty on any state, local, or 13045 (62 FR 19885, April 23, 1997) as nonattainment, per section 188(c)(2) of tribal governments, or the private sector. applying only to those regulatory the CAA. This action proposes to determine that actions that concern environmental We will accept comments from the the West Pinal County nonattainment health or safety risks that the EPA has public on these proposals for the next area failed to attain the 1987 24-hour reason to believe may 30 days. The deadline and instructions PM NAAQS by its applicable disproportionately affect children, per for submission of comments are 10 attainment date, which would trigger the definition of ‘‘covered regulatory provided in the DATES and ADDRESSES reclassification as a Serious action’’ in section 2–202 of the sections at the beginning of this nonattainment area and existing preamble. Executive Order. This proposed action statutory timeframes for the state to is not subject to Executive Order 13045 V. Statutory and Executive Order submit SIP revisions. Such a because the effect of this proposed Reviews reclassification in and of itself does not action, if finalized, would be to impose any federal intergovernmental A. Executive Order 12866: Regulatory reclassify the West Pinal County mandate. Planning and Review, and Executive nonattainment area as Serious Order 13563: Improving Regulation and F. Executive Order 13132: Federalism nonattainment for the 1987 24-hour PM10 NAAQS, which would trigger Regulatory Review This action does not have federalism additional Serious area planning This action is not a significant implications. It will not have substantial regulatory action under the terms of direct effects on the states, on the requirements under the CAA. This Executive Order 12866 (58 FR 51735, relationship between the national proposed action does not establish an October 4, 1993) and Executive Order government and the states, or on the environmental standard intended to 13563 (76 FR 3821, January 21, 2011), distribution of power and mitigate health or safety risks. and therefore was not submitted to the responsibilities among the various
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I. Executive Order 13211, Actions That ENVIRONMENTAL PROTECTION 2020–0016 in the subject line of the Significantly Affect Energy Supply, AGENCY message. Distribution, or Use • Fax: (202) 566–9744. Attention 40 CFR Part 63 Docket ID No. EPA–HQ–OAR–2020– This proposed rule is not subject to 0016. Executive Order 13211, ‘‘Actions [EPA–HQ–OAR–2020–0016; FRL–10007–29– • OAR] Mail: U.S. Environmental Concerning Regulations That Protection Agency, EPA Docket Center, Significantly Affect Energy Supply, RIN 2060–AU25 Docket ID No. EPA–HQ–OAR–2020– Distribution, or Use’’ (66 FR 28355, May National Emission Standards for 0016, Mail Code 28221T, 1200 22, 2001) because it is not a significant Pennsylvania Avenue NW, Washington, regulatory action under Executive Order Hazardous Air Pollutants: Phosphoric Acid Manufacturing DC 20460. 12866. • Hand/Courier Delivery: EPA Docket J. National Technology Transfer and AGENCY: Environmental Protection Center, WJC West Building, Room 3334, Advancement Act Agency (EPA). 1301 Constitution Avenue NW, ACTION: Proposed rule. Washington, DC 20004. The Docket This action is not subject to the Center’s hours of operation are 8:30 requirements of Section 12(d) of the SUMMARY: This action proposes to a.m.–4:30 p.m., Monday–Friday (except National Technology Transfer and amend the National Emission Standards federal holidays). Advancement Act of 1995 (15 U.S.C. for Hazardous Air Pollutants (NESHAP) Instructions: All submissions received 272 note) because it does not involve for the Phosphoric Acid Manufacturing must include the Docket ID No. for this technical standards. source category. The proposed rulemaking. Comments received may be amendment is in response to a petition posted without change to https:// K. Executive Order 12898: Federal for rulemaking by an industry www.regulations.gov/, including any Actions To Address Environmental stakeholder on the mercury emission personal information provided. For Justice in Minority Populations and limit based on the maximum achievable detailed instructions on sending Low-Income Population control technology (MACT) floor for comments and additional information existing sources set in a rule that was Executive Order 12898 (59 FR 7629, on the rulemaking process, see the finalized on August 19, 2015 (‘‘2015 Feb. 16, 1994) establishes federal SUPPLEMENTARY INFORMATION section of Rule’’). All six of the existing calciners executive policy on environmental this document. used to set this MACT floor were justice. Its main provision directs FOR FURTHER INFORMATION CONTACT: For located at the PCS Phosphate Company, federal agencies, to the greatest extent Inc. (‘‘PCS Phosphate’’) facility in questions about this proposed action, practicable and permitted by law, to Aurora, North Carolina (‘‘PCS Aurora’’). contact Mr. John Feather, Sector Policies make environmental justice part of their PCS Phosphate asserted that data and Programs Division (D243–04), mission by identifying and addressing, received since the rule’s promulgation Office of Air Quality Planning and as appropriate, disproportionately high indicate that the MACT floor did not Standards, U.S. Environmental and adverse human health or accurately characterize the average Protection Agency, Research Triangle environmental effects of their programs, emission limitation achieved by the Park, North Carolina 27711; telephone policies, and activities on minority units used to set the standard. Based on number: (919) 541–3052; fax number: populations and low-income these new data, the U.S. Environmental (919) 541–4991 and email address: populations in the United States. The Protection Agency (EPA) proposes to [email protected]. EPA has determined that this action will revise the mercury MACT floor for SUPPLEMENTARY INFORMATION: not have disproportionately high and existing calciners. Public hearing. Please contact Ms. adverse human health or environmental DATES: Nancy Perry at (919) 541–5628 or by effects on minority or low-income Comments. Comments must be email at [email protected] to request populations because it does not affect received on or before May 22, 2020. a public hearing, to register to speak at the level of protection provided to Public hearing. If anyone contacts us the public hearing, or to inquire as to human health or the environment. The requesting a public hearing on or before whether a public hearing will be held. effect of this proposed action, if April 13, 2020, we will hold a hearing. Docket. The EPA has established a finalized, would be to reclassify the Additional information about the docket for this rulemaking under Docket West Pinal County nonattainment area hearing, if requested, will be published ID No. EPA–HQ–OAR–2020–0016. All as Serious nonattainment for the 1987 in a subsequent Federal Register documents in the docket are listed in 24-hour PM10 NAAQS, which would document and posted at https:// Regulations.gov. Although listed, some trigger additional Serious area planning www.epa.gov/stationary-sources-air- information is not publicly available, requirements under the CAA. pollution/phosphate-fertilizer- e.g., Confidential Business Information List of Subjects in 40 CFR Part 52 production-plants-and-phosphoric-acid. (CBI) or other information whose See SUPPLEMENTARY INFORMATION for disclosure is restricted by statute. Environmental protection, Air information on requesting and Certain other material, such as pollution control, Particulate matter, registering for a public hearing. copyrighted material, is not placed on Incorporation by reference, ADDRESSES: You may send comments, the internet and will be publicly Intergovernmental relations, Reporting identified by Docket ID No. EPA–HQ– available only in hard copy. Publicly and recordkeeping requirements. OAR–2020–0016 by any of the following available docket materials are available Authority: 42 U.S.C. 7401 et seq. methods: either electronically in Regulations.gov • Federal eRulemaking Portal: or in hard copy at the EPA Docket Dated: March 30, 2020. https://www.regulations.gov/ (our Center, Room 3334, WJC West Building, John Busterud, preferred method). Follow the online 1301 Constitution Avenue NW, Regional Administrator, Region IX. instructions for submitting comments. Washington, DC. The Public Reading [FR Doc. 2020–07005 Filed 4–6–20; 8:45 am] • Email: [email protected]. Room is open from 8:30 a.m. to 4:30 BILLING CODE 6560–50–P Include Docket ID No. EPA–HQ–OAR– p.m., Monday through Friday, excluding
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legal holidays. The telephone number EPA Docket Center homepage at https:// SBA Small Business Administration for the Public Reading Room is (202) www.epa.gov/dockets. tph tons per hour 566–1744, and the telephone number for Submitting CBI. Do not submit tpy tons per year the EPA Docket Center is (202) 566– information containing CBI to the EPA UPL upper prediction limit 1742. through https://www.regulations.gov/ or Organization of this document. The Instructions. Direct your comments to email. Clearly mark the part or all of the information in this preamble is Docket ID No. EPA–HQ–OAR–2020– information that you claim to be CBI. organized as follows: For CBI information on any digital 0016. The EPA’s policy is that all Table of Contents comments received will be included in storage media that you mail to the EPA, the public docket without change and mark the outside of the digital storage I. General Information may be made available online at https:// media as CBI and then identify A. Does this action apply to me? www.regulations.gov/, including any electronically within the digital storage B. Where can I get a copy of this document media the specific information that is and other related information? personal information provided, unless C. What is the source of the Agency’s the comment includes information claimed as CBI. In addition to one complete version of the comments that authority for taking this action? claimed to be CBI or other information D. What action is the Agency taking? whose disclosure is restricted by statute. includes information claimed as CBI, II. Background Do not submit information that you you must submit a copy of the A. Why is the EPA issuing this proposed consider to be CBI or otherwise comments that does not contain the review? protected through https:// information claimed as CBI directly to B. What are the issues raised by the www.regulations.gov/ or email. This the public docket through the petitioner? type of information should be submitted procedures outlined in Instructions III. Analytical Procedures and Decision- above. If you submit any digital storage Making by mail as discussed below. A. What mercury emissions and phosphate The EPA may publish any comment media that does not contain CBI, mark the outside of the digital storage media rock composition data were collected? received to its public docket. B. How did we calculate the MACT floor Multimedia submissions (audio, video, clearly that it does not contain CBI. limit? etc.) must be accompanied by a written Information not marked as CBI will be C. What is our BTF Analysis? comment. The written comment is included in the public docket and the IV. Summary of Cost, Environmental, and considered the official comment and EPA’s electronic public docket without Economic Impacts should include discussion of all points prior notice. Information marked as CBI V. Request for Comments VI. Statutory and Executive Order Reviews you wish to make. The EPA will will not be disclosed except in accordance with procedures set forth in A. Executive Order 12866: Regulatory generally not consider comments or Planning and Review and Executive comment contents located outside of the 40 Code of Federal Regulations (CFR) part 2. Send or deliver information Order 13563: Improving Regulation and primary submission (i.e., on the Web, Regulatory Review cloud, or other file sharing system). For identified as CBI only to the following B. Executive Order 13771: Reducing additional submission methods, the full address: OAQPS Document Control Regulation and Controlling Regulatory EPA public comment policy, Officer (C404–02), OAQPS, U.S. Costs information about CBI or multimedia Environmental Protection Agency, C. Paperwork Reduction Act (PRA) submissions, and general guidance on Research Triangle Park, North Carolina D. Regulatory Flexibility Act (RFA) 27711, Attention Docket ID No. EPA– E. Unfunded Mandates Reform Act making effective comments, please visit (UMRA) https://www.epa.gov/dockets/ HQ–OAR–2020–0016. Preamble acronyms and F. Executive Order 13132: Federalism commenting-epa-dockets. abbreviations. We use multiple G. Executive Order 13175: Consultation The https://www.regulations.gov/ acronyms and terms in this preamble. and Coordination With Indian Tribal website allows you to submit your Governments While this list may not be exhaustive, to comment anonymously, which means H. Executive Order 13045: Protection of ease the reading of this preamble and for the EPA will not know your identity or Children From Environmental Health reference purposes, the EPA defines the contact information unless you provide Risks and Safety Risks following terms and acronyms here: it in the body of your comment. If you I. Executive Order 13211: Actions ACI activated carbon injection Concerning Regulations That send an email comment directly to the Significantly Affect Energy Supply, EPA without going through https:// BTF beyond-the-floor CAA Clean Air Act Distribution, or Use www.regulations.gov/, your email CBI Confidential Business Information J. National Technology Transfer and address will be automatically captured CFR Code of Federal Regulations Advancement Act (NTTAA) and included as part of the comment EPA Environmental Protection Agency K. Executive Order 12898: Federal Actions that is placed in the public docket and GMCS Gore Mercury Control System To Address Environmental Justice in made available on the internet. If you HAP hazardous air pollutant(s) Minority Populations and Low-Income submit an electronic comment, the EPA ICR information collection request Populations recommends that you include your lb/yr pounds per year I. General Information name and other contact information in MACT maximum achievable control technology A. Does this action apply to me? the body of your comment and with any mg/dscm milligram per dry standard cubic digital storage media you submit. If the meter Table 1 of this preamble lists the EPA cannot read your comment due to NAICS North American Industry NESHAP and associated regulated technical difficulties and cannot contact Classification System industrial source category that is the you for clarification, the EPA may not NESHAP national emission standards for subject of this proposal. Table 1 is not be able to consider your comment. hazardous air pollutants intended to be exhaustive, but rather Electronic files should not include NTTAA National Technology Transfer and provides a guide for readers regarding Advancement Act special characters or any form of OAQPS Office of Air Quality Planning and the entities that this proposed action is encryption and be free of any defects or Standards likely to affect. The proposed standards, viruses. For additional information OMB Office of Management and Budget once promulgated, will be directly about the EPA’s public docket, visit the ppm parts per million applicable to the affected sources.
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Federal, state, local, and tribal achievable (after considering cost, emission limit, submitted by PCS government entities would not be energy requirements, and non-air Phosphate to the Agency on September affected by this proposed action. As quality health and environmental 6, 2016. The petition is available in the defined in the Initial List of Categories impacts). In developing MACT docket for this action (Docket ID No. of Sources Under Section 112(c)(1) of standards, CAA section 112(d)(2) directs EPA–HQ–OAR–2020–0016). The EPA the Clean Air Act Amendments of 1990 the EPA to consider the application of proposes to raise the mercury MACT (see 57 FR 31576, July 16, 1992) and measures, processes, methods, systems, floor-based limit for existing calciners Documentation for Developing the or techniques, including, but not limited from 0.14 milligrams per dry standard Initial Source Category List, Final to, those that reduce the volume of or cubic meter (mg/dscm) at 3-percent Report (see EPA–450/3–91–030, July eliminate HAP emissions through oxygen (O2) to 0.23 mg/dscm at 1992), the Phosphoric Acid process changes, substitution of 3-percent O2. Table 1 to Subpart AA of Manufacturing source category includes materials, or other modifications; Part 63—Existing Source Emission any facility engaged in the production of enclose systems or processes to Limits is reproduced in its entirety at phosphoric acid. The category includes, eliminate emissions; collect, capture, or the end of this preamble for the sake of but is not limited to, production of wet- treat HAP when released from a process, clarity. However, the EPA is proposing process phosphoric acid and stack, storage, or fugitive emissions to amend only the existing source superphosphoric acid. point; are design, equipment, work mercury limit for phosphate rock practice, or operational standards; or calciners, along with its footnote TABLE 1—NESHAP AND INDUSTRIAL any combination of the above. In setting indicating the applicable compliance SOURCE CATEGORIES AFFECTED BY MACT standards, the statute specifies date. This proposed amendment would THIS PROPOSED ACTION certain minimum stringency not impact any other aspect of the table requirements, which are referred to as or regulatory text. NESHAP and source 1 ‘‘MACT floor’’ requirements, and which category NAICS code may not be based on cost II. Background considerations. See CAA section A. Why is the EPA issuing this proposed Phosphoric Acid Manufac- 112(d)(3) for more information. For new review? turing ...... 325312 sources, the MACT floor cannot be less In August 2015, we published final 1 North American Industry Classification stringent than the emission control System. achieved in practice by the best- amendments to the Phosphoric Acid Manufacturing and Phosphate Fertilizer B. Where can I get a copy of this controlled similar source. The MACT standards for existing sources can be Production NESHAP (80 FR 50386, document and other related August 19, 2015). As part of that action, information? less stringent than floors for new sources, but they cannot be less we established MACT-based mercury In addition to being available in the stringent than the average emission emissions limits for new and existing docket, an electronic copy of this action limitation achieved by the best calciners within the Phosphoric Acid is available on the internet. Following performing 12 percent of existing Manufacturing source category. These signature by the EPA Administrator, the sources in the category or subcategory limits were based on emissions data EPA will post a copy of this proposed (or the best-performing five sources for from the six identical calciners at the action at https://www.epa.gov/ categories or subcategories with fewer PCS Aurora facility. Because these six stationary-sources-air-pollution/ than 30 sources). In developing MACT sources are of identical design and use phosphate-fertilizer-production-plants- standards, we must also consider the same fuel and feed, we determined and-phosphoric-acid. Following control options we call ‘‘beyond-the- that they should be treated as a single publication in the Federal Register, the floor’’ (BTF) that are more stringent than source for purposes of MACT floor EPA will post the Federal Register the floor, under CAA section 112(d)(2). development. As a result, we combined version of the proposal and key We may establish standards more the emission test results for the different technical documents at this same stringent than the floor, based on the calciners into a single database that we website. consideration of the cost of achieving used as the basis to set MACT floor A redline version of the regulatory the emissions reductions, any non-air emissions limits for both new and language that incorporates the proposed quality health and environmental existing sources. We also evaluated a changes is available in the docket for impacts, and energy requirements. The BTF option for MACT for existing this action (Docket ID No. EPA–HQ– EPA may amend MACT floor calciners but did not select the BTF OAR–2020–0016). determinations if they were improperly option as MACT because we determined set (Medical Waste Institute and Energy that the economic impacts to the facility C. What is the source of the Agency’s would not be reasonable. We did set a authority for taking this action? Recovery Council v. EPA, 645 F. 3d 420, 425–27 (D.C. Cir. 2011)). In the BTF limit for new calciners. The statutory authority for this action Phosphoric Acid Manufacturing source Following promulgation of the 2015 is provided by section 112 of the Clean category, the calciners’ mercury Rule, PCS Phosphate petitioned for Air Act (CAA) (42 U.S.C. 7412). A emissions are effectively uncontrolled, reconsideration, pursuant to section technology-based NESHAP has been so their actual emissions are considered 307(d)(7)(B) of the CAA, on October 16, developed for major sources in the to be the average emission limitation 2015. The EPA granted the petition for Phosphoric Acid Manufacturing source achieved by the best-performing reconsideration of the issues presented category. ‘‘Major sources’’ are those that sources. at the time relating to the compliance emit, or have the potential to emit, any schedule for oxidation reactor emissions single hazardous air pollutant (HAP) at D. What action is the Agency taking? and absorber liquid-to-gas ratios. This a rate of 10 tons per year (tpy) or more, The EPA is proposing to amend 40 reconsideration was finalized on or 25 tpy or more of any combination of CFR part 63, subpart AA. This September 13, 2017. However, HAP. For major sources, MACT amendment is in response to a petition subsequent to this petition for standards reflect the maximum degree for a rulemaking to amend the 2015 reconsideration, compliance testing of of emission reductions of HAP Rule’s calciner mercury MACT floor the calciners for mercury emissions in
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2016 showed that three calciners at the III. Analytical Procedures and 2017 operating under normal loads and Aurora facility exceeded the MACT Decision-Making most of the other non-compliance test runs. The average emissions indicated limit, with the three other calciners near A. What mercury emissions and from the new data are significantly the limit. For reference, the mean phosphate rock composition data were higher than those from the data used to calciner compliance emissions in 2016 collected? were 0.143 mg/dscm at 3-percent O2, set the MACT limit in the 2015 Rule. higher than the MACT limit of 0.14 mg/ To develop our 2015 Rule, we Furthermore, composition testing shows obtained initial ICR data from PCS dscm at 3-percent O2. The mean of these that the 2010 and 2014 ICR tests did not emissions was 44 percent higher than Aurora in 2010 that consisted of three represent the full range of the on-site the mean of the data from the 2010 and test runs performed during one stack phosphate rock’s mercury content. The 2014 information collection request test of a single calciner (three test runs mercury composition average in feed (ICR) that was used to develop the 2015 during each stack test). These data were phosphate rock has increased since the Rule’s emission limit. On May 10, 2016, collected using EPA Method 30B, the ICR tests, and from 2016 to 2019. PCS Phosphate submitted a letter to the same method used for compliance Testing has also shown an testing. Speciated mercury data, EPA requesting a revision to the calciner unanticipated degree of variation of differentiating elemental mercury from mercury MACT floor standard. On mercury content in phosphate rock, total mercury, was also obtained by the September 6, 2016, PCS Phosphate both in the short-term feed and in on- ASTM D6784–02 (Ontario-Hydro) added the calciner mercury limit to its site ore that would be used as feed in method. Due to concerns about basing a earlier petition for reconsideration. This the future. Mercury emissions are a MACT floor on such a limited dataset, function of both the rate of input feed additional request was not raised with in 2014 an additional nine test runs reasonable specificity or within 60 days and the concentration of mercury in the were performed during three stack tests feed. Additional mercury entering the of the publication of the 2015 Rule, so of a different calciner. Based on data the mercury MACT floor issue was not calciner, whether by more feed entering from these 12 test runs, we calculated a the calciner or a higher concentration of included in the reconsideration. MACT floor using the 99-percent upper mercury in the feed, leads to an However, on the basis of the test data prediction limit (UPL). The 2015 UPL increased magnitude of mercury presented, the EPA was convinced there data and analysis are included in this emissions. Calciner airflow rates are was justification to review the mercury docket (Docket ID No. EPA–HQ–OAR– insensitive to the throughput rate, calciner limit and include new 2020–0016). keeping fairly constant without regard emissions data in that analysis. Because Each year from 2016 to 2019, PCS for how much feed is being processed. of that evaluation, as explained below, Aurora measured mercury emissions The increased concentrations of the EPA is now proposing a revised from each of the six calciners with mercury emissions that these new data mercury emissions standard for existing three-run stack tests. In addition, the show are due to the increased amount calciners. facility performed a study varying feed of mercury entering into the calciners B. What are the issues raised by the throughput rates and stack test sampling through the feed, not because of process petitioner? times. During every test run from 2016 inefficiencies or problems with and on, PCS Aurora measured the feed operating conditions. Therefore, for PCS Phosphate raised concerns about ore mercury concentration. PCS Aurora purposes of calculating the MACT floor, whether the mercury MACT limit also analyzed the mercury content of an we have used emissions data from 2016 accurately represents the average additional 48 samples of ore (rock) through 2019, as well as studies of the emission limitation achieved by the collected from core samples to better variance in the mercury in ore at the calciners at their facility in Aurora, characterize the expected mercury in Aurora site. North Carolina. These calciners, on feed ore in future years. In total, our B. How did we calculate the MACT floor which the MACT floor was based, dataset for this MACT floor analysis limit? consistently showed emissions above includes 104 stack test runs under the calculated floor level. This was normal operating rates. These new data In general, MACT floor analyses believed to be due to two factors: provide more information that better involve an assessment of the emissions characterize average calciner mercury from the best-performing sources in a • The 2010 and 2014 emission test emissions. This rule’s data and analysis source category using the available data used in calculating the MACT floor are also available in the MACT floor emissions information. For each source were obtained while the calciners were memorandum in the docket (Docket ID category, the assessment involves a operating at throughput rates that No. EPA–HQ–OAR–2020–0016). review of emissions data with an averaged 52 wet tons per hour (tph), due On the basis of the new data appropriate accounting for emissions in part to mining limitations. Based on provided, we do not believe now that variability. Various methods of industry statements and values from the testing used to set the MACT limit estimating emissions can be used if the state-mandated test reports, these in the 2015 Rule represented the methods can be shown to provide calciners typically operate at a feed emissions that calciners achieve during reasonable estimates of the actual throughput rate of greater than 65 wet normal operations. We agree that the emissions from a source or sources. tph. This low throughput during initial measured levels could not be achieved To determine the MACT floors for tests biased the emissions data low. were the sources operating under phosphate rock calciners, we used the • The mercury content of the feed normal loads. Compliance testing data arithmetic average of all the available material varies significantly. The from 2016 through 2019 has emissions data from 2016 through 2019 limited data available from the 2010 and consistently shown emissions exceeding and accounted for emissions variability. 2014 tests did not fully capture this the MACT floor limit when operating at We accounted for emissions variability variability or the range of mercury normal loads. Each year the average in setting floors not only because content that may be expected to be emissions tested under normal loads variability is an aspect of performance, present in the phosphate rock. Changes exceeded the MACT floor. Every test but because it is reasonable to assess in feed mercury content directly affect run in 2018 and 2019 exceeded the performance over time and to account mercury emissions. MACT limit, as did the three tests in for test method variability. The United
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States Court of Appeals for the District TABLE 2—PROPOSED EMISSON LIMIT $23,900. The GMCS total capital cost is of Columbia Circuit has recognized that FOR MERCURY FROM PHOSPHATE $36.4 million and the total annualized the EPA may consider variability in ROCK CALCINERS AT PHOSPHORIC cost is $4.99 million per year, with a estimating the degree of emission ACID FACILITIES cost per pound for mercury removal of reduction achieved by best-performing $21,000. We still consider these controls sources and in setting MACT floors Pollutant Limit Units to be cost effective. (Mossville Environmental Action Now v. PCS merged with Agrium to form EPA, 370 F.3d 1232, 1241–42 (D.C. Cir. Existing sources: Nutrien in 2018, after the 2015 Rule was promulgated. As was the case during the 2004)). For more detailed information Mercury ...... 0.23 mg/dscm @3% O2 2015 Rule’s analysis, annualized control about the EPA’s analytical process in technology costs represent less than 1 using the UPL to calculate MACT floors, C. What is our BTF analysis? percent of the revenue for the Aurora see the 2015 Rule’s UPL memorandum, The 2015 Rule evaluated possible BTF facility’s parent company, which is now included in this docket (Docket ID No. Nutrien. Parent company revenue is EPA–HQ–OAR–2020–0016). control options. That analysis focused on the activated carbon injection (ACI) significantly higher due to the merger, The dataset for this analysis used the system and Gore Mercury Control so control costs now comprise a smaller proportion of the company revenue than 104 stack test runs that were taken System (GMCS), largely based on site- before. However, operations at the PCS under normal operating conditions. specific quotes provided by the PCS Aurora facility have not substantively Because the calciners typically operate Aurora facility. These technologies both changed since our 2015 Rule’s analysis. at 65 tph of feed or more, we excluded employ adsorption to capture mercury The total costs of the ACI system are from the analysis any test runs that were emissions from the calciners with also higher due to the fact that the conducted when feed rates were below feasible mercury reductions of 90 amount of mercury removed increases 65 tph. These lower feed rates do not percent. An ACI system injects correspondingly with the increased represent normal operation and would halogenated powdered activated carbon estimates of mercury emissions. In our bias the result low. This excluded the 12 into the airflow, oxidizing elemental economic analysis in the 2015 Rule, we runs from the 2010 and 2014 ICR tests, mercury which adsorbs to the activated determined that the economic impacts along with 13 runs from tests in 2016 carbon. The GMCS consists of a series on the specific process line being and 2017 that specifically sought to vary of modules containing catalysts and controlled were unreasonable and did parameters to better understand the sorbents which capture all forms of not impose a BTF option. In our new emission results. mercury passing through. The GMCS analysis, control costs have increased. requires a higher capital cost than the The 2015 Rule MACT floor analysis These control costs represent more than ACI system, with an associated higher 1 percent of the purified acid process used the stack test data to calculate the annualized cost based on conditions at average emissions and the 99-percent revenue associated with the calciners. the time, so the 2015 Rule based its We find the costs for the ACI system are UPL to account for variability in the evaluations on the lower cost of the ACI testing and calciner operations. Our too high to justify pursuing the BTF system. The analysis showed a cost option. For more detail, see the BTF revised analysis in this proposal relies effectiveness of $29,800 to $36,400 per on the statistical analysis of the new memorandum in the docket for this pound of mercury reduced and an rulemaking (Docket ID No. EPA–HQ– data set that represent emissions from economic impact to the purified acid OAR–2020–0016). normal operations. In addition, we are process of approximately 0.9 percent to now using data on the mercury 5.3 percent. This was determined to be IV. Summary of Cost, Environmental, concentrations in phosphate ore areas cost effective, but the significant and Economic Impacts yet to be mined to account for economic impact to the facility led to Only the PCS Aurora facility and its variability that would occur in the the EPA’s previous decision to not six calciners would be affected by the future. We determined the variance of pursue the BTF option. change to the existing calciner MACT the ore mercury concentration data and This current review also used the floor proposed in this action. We are added that to the variance of the 2015 Rule’s control costs for evaluations proposing to raise the MACT floor based emissions test data. The relative of BTF mercury removal cost on new data from the existing calciners. standard deviation of mercury content effectiveness and its related economic Since neither this amendment nor the in the future feed is slightly greater than impact. Based on the mercury emissions 2015 Rule requires controls, we do not that of mercury emissions and varies data available for this proposal, mercury anticipate a change in actual mercury independently. We used this 99-percent emissions are estimated to be 264 emissions as a result of this proposed lognormal UPL with independent future pounds per year (lb/yr), compared to the rule. More mercury emissions will be earlier estimate of 169 lb/yr during the feed variance to calculate the MACT allowable due to raising the MACT 2015 Rule. Due to this, the ACI sorbent floor limit for existing rock calciners of floor. However, currently we estimate rate and associated cost were adjusted to total actual emissions of mercury from 0.23 mg/dscm on a 3-percent O2 basis. account for the higher mercury removal. Table 2 of this preamble lists the all six calciners to be 264 lb/yr, less Otherwise, the ACI system parameters than the 352 lb/yr conservatively proposed mercury emission limit for are unchanged from the 2015 Rule’s cost estimated in the 2015 Rule, so we phosphate rock calciners. For more analysis. The GMCS capacity was continue to anticipate no adverse information, see the MACT floor sufficient to achieve this higher mercury environmental impact. memorandum in the docket for this removal without modifications or The 2015 Rule set a mercury limit of rulemaking (Docket ID No. EPA–HQ– increased cost. Based on these 0.14 mg/dscm at 3 percent that current OAR–2020–0016). adjustments, we estimate that the total operations cannot achieve under normal capital cost of the ACI system is $20.1 operations. Without this amendment, million and the total annualized cost is additional controls such as the ACI $5.69 million per year. This results in a system would be necessary to comply cost per pound for mercury removal of with that standard. If this amendment is
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finalized, the value of those controls EPA believes that there are no changes because it does not concern an would represent a cost-savings for the to the information collection environmental health risk or safety risk. facility, since those expenditures would requirements of the 2015 Rule, so the be expected to no longer be necessary. information collection estimate of I. Executive Order 13211: Actions The costs of installing new ACI control projected cost and hour burden from the Concerning Regulations That equipment to meet the 2015 Rule’s 2015 Rule remains unchanged. Significantly Affect Energy Supply, calciner mercury standard were Distribution, or Use D. Regulatory Flexibility Act (RFA) estimated to comprise a present value This action is not subject to Executive cost of approximately $26 million (2017 I certify that this action will not have Order 13211 because it is not a dollars) discounted at 7 percent to 2019 a significant economic impact on a significant regulatory action under over a 5-year analytical period. substantial number of small entities Executive Order 12866. Therefore, this action will result in a under the RFA. This action will not total cost savings of $26 million. For impose any requirements on small J. National Technology Transfer and more detail, see the economic impact entities. The single facility currently Advancement Act (NTTAA) analysis memorandum in the docket subject to the calciner mercury MACT (Docket ID No. EPA–HQ–OAR–2020– floor requirements of 40 CFR 63, subpart This action does not involve any new 0016). AA is not a small entity. technical standards. V. Request for Comments E. Unfunded Mandates Reform Act K. Executive Order 12898: Federal (UMRA) Actions To Address Environmental The EPA seeks public comments on Justice in Minority Populations and the issues addressed in this proposed This action does not contain an Low-Income Populations rule, as described in this document. We unfunded mandate of $100 million or are soliciting comments on the proposed more as described in UMRA, 2 U.S.C. The EPA believes that this action does revised standards, particularly the 1531–1538, and does not significantly or not have disproportionately high and method of determining the average uniquely affect small governments. The adverse human health or environmental emission limitation achieved by the action imposes no enforceable duty on effects on minority populations, low- calciners for mercury emissions and any state, local, or tribal governments or income populations, and/or indigenous costs of mercury control. the private sector. peoples, as specified in Executive Order 12898 (59 FR 7629, February 16, 1994). VI. Statutory and Executive Order F. Executive Order 13132: Federalism Reviews The environmental justice finding in This action does not have federalism Additional information about these the 2015 Rule remains relevant in this implications. It will not have substantial action, which seeks comments on statutes and Executive Orders can be direct effects on the states, on the found at https://www.epa.gov/ proposed amendments to the 40 CFR relationship between the national part 63, subpart AA existing rule lawsregulations/laws-and-executive- government and the states, or on the orders. language narrowly concerning the distribution of power and calciner mercury MACT floor. A. Executive Order 12866: Regulatory responsibilities among the various Planning and Review and Executive levels of government. List of Subjects in 40 CFR Part 63 Order 13563: Improving Regulation and G. Executive Order 13175: Consultation Regulatory Review Environmental protection, and Coordination With Indian Tribal Administrative practice and procedure, This action is not a significant Governments Air pollution control, Hazardous regulatory action and was, therefore, not This action does not have tribal substances, Reporting and submitted to the Office of Management recordkeeping requirements. and Budget (OMB) for review. implications as specified in Executive Order 13175. This action will not have Andrew Wheeler, B. Executive Order 13771: Reducing substantial direct effects on tribal Administrator. Regulation and Controlling Regulatory governments, on the relationship Costs between the federal government and For the reasons set forth in the This action is expected to be an Indian tribes, or on the distribution of preamble, the EPA proposes to amend Executive Order 13771 deregulatory power and responsibilities between the 40 CFR part 63 as follows: action. Details on the estimated costs of federal government and Indian tribes, as PART 63—NATIONAL EMISSION this proposed rule can be found in the specified in Executive Order 13175. STANDARDS FOR HAZARDOUS AIR EPA’s analysis of the potential costs and Thus, Executive Order 13175 does not POLLUTANTS FOR SOURCE benefits associated with this action. apply to this action. CATEGORIES C. Paperwork Reduction Act (PRA) H. Executive Order 13045: Protection of Children From Environmental Health This action does not impose any new ■ 1. The authority citation for part 63 Risks and Safety Risks information collection burden under the continues to read as follows: PRA. OMB has previously approved the The EPA interprets Executive Order Authority: 42 U.S.C. 7401 et seq. information collection activities 13045 as applying to those regulatory contained in the existing regulations actions that concern environmental Subpart AA—National Emission and has assigned OMB control number health or safety risks that the EPA has Standards for Hazardous Air Pollutants 2060–0361. With this action, the EPA is reason to believe may for Phosphoric Acid Manufacturing seeking comments on proposed disproportionately affect children, per Plants amendments to the 40 CFR part 63, the definition of ‘‘covered regulatory subpart AA existing rule language action’’ in section 2–202 of the ■ 2. Table 1 to Subpart AA of Part 63— narrowly concerning the calciner Executive Order. This action is not Existing Source Emission Limits is mercury MACT floor. Therefore, the subject to Executive Order 13045 amended to read as follows:
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TABLE 1 TO SUBPART AA OF PART 63—EXISTING SOURCE EMISSION LIMITS ab
You must meet the emission limits for the specified pollutant . . . For the following existing sources . . . Total fluorides Total particulate Mercury
Wet-Process Phosphoric Acid Line ...... 0.020 lb/ton of equivalent P2O5 feed. Superphosphoric Acid Process Line c ...... 0.010 lb/ton of equivalent P2O5 feed. Superphosphoric Acid Submerged ...... 0.020 lb/ton of equivalent P2O5 feed. Line with a Submerged Combustion Process ...... 2,150 lb/ton of phosphate rock feed. Phosphate Rock Dryer ...... 0.181 g/dscm. Phosphate Rock Calciner ...... 9.0E–04 lb/ton of rock feed d ...... 0.23 mg/dscm corrected to 3 percent oxygen.e a The existing source compliance data is June 10, 2002, except as noted. b During periods of startup and shutdown, for emission limits stated in terms of pounds of pollutant per ton of feed, you are subject to the work practice standards specified in § 63.602(f). c Beginning on August 19, 2018, you must include oxidation reactors in superphosphoric acid process lines when determining compliance with the total fluorides limit. d Compliance date is August 19, 2015. e Compliance date is [DATE OF PUBLICATION OF THE FINAL RULE IN THE FEDERAL REGISTER].
[FR Doc. 2020–06930 Filed 4–6–20; 8:45 am] • Mail: Address comment to Public present and future generations of BILLING CODE 6560–50–P Comments Processing, Attn: Docket No. Americans. The Refuge System is an FWS–HQ–NWRS–2019–0109; U.S. Fish unparalleled network of 568 national and Wildlife Service; MS: JAO/1N; 5275 wildlife refuges and 38 wetland DEPARTMENT OF THE INTERIOR Leesburg Pike, Falls Church, VA 22041. management districts. More than 59 • Hand-deliver: U.S. Fish and million Americans visit refuges every Fish and Wildlife Service Wildlife Service; MS: JAO/1N; 5275 year. You can find at least one refuge in Leesburg Pike, Falls Church, VA 22041. every State and every U.S. territory, and 50 CFR Part 27 FOR FURTHER INFORMATION CONTACT: within a 1-hour drive of most major [Docket No. FWS–HQ–NWRS–2019–0109; Maggie O’Connell, National Wildlife cities. FXRS12630900000–201–FF09R81000] Refuge System—Branch Chief for Visitor The U.S. Fish and Wildlife Service Services, 703–358–1883, maggie_ (FWS) administers the Refuge System RIN 1018–BE68 [email protected]. via regulations contained in title 50 of National Wildlife Refuge System; Use SUPPLEMENTARY INFORMATION: the Code of Federal Regulations (CFR). of Electric Bicycles These regulations help to protect the Background natural and cultural resources of AGENCY: Fish and Wildlife Service, The National Wildlife Refuge System refuges, and to protect visitors and Interior. Administration Act of 1966, as amended property within those lands. In their ACTION: Proposed rule. by the National Wildlife Refuge System current form, these regulations generally Improvement Act of 1997 (16 U.S.C. prohibit visitors from utilizing SUMMARY: We, the U.S. Fish and 668dd–668ee), governs the motorized vehicles on refuges other Wildlife Service, have adopted a policy, administration and public use of than on designated routes. and we propose to adopt consistent refuges, and the Refuge Recreation Act Electric Bicycles regulations, pertaining to the use of of 1962 (16 U.S.C. 460k–460k–4) electric bicycles (otherwise known as governs the administration and public Secretary’s Order 3376 directs ‘‘e-bikes’’). These proposed changes are use of refuges and hatcheries. The Department of the Interior (DOI) bureaus intended to increase recreational National Wildlife Refuge System to begin the process of obtaining public opportunities for all Americans, Administration Act closes national input on proposed new regulations that especially for people with physical wildlife refuges in all States except will clarify that operators of low-speed limitations. We solicit comments on Alaska to all uses until opened. The electric bicycles (e-bikes) should enjoy proposed regulations that will provide Secretary of the Interior (Secretary) may the same access as conventional guidance and controls for the use of e- open refuge areas to any use upon a bicycles, consistent with other Federal bikes on the National Wildlife Refuge determination that the use is compatible and State laws. Refuge managers will System. with the purposes of the refuge and the have the ability in the short term to DATES: Written comments will be National Wildlife Refuge System utilize the flexibility they have under accepted through June 8, 2020. mission. The action also must be in current regulations to accommodate this ADDRESSES: You may submit comments, accordance with the provisions of all new technology, that assists riders as identified by Docket No. FWS–HQ– laws applicable, consistent with the they pedal, in a way that allows them NWRS–2019–0109 by any one of the principles of sound fish and wildlife to enjoy the bicycling experience. following methods: management and administration, and DOI’s guidance will enable visitors to • Federal e-rulemaking portal: http:// otherwise in the public interest. use these bicycles with a small electric www.regulations.gov. Follow the These requirements ensure that we motor (not more than 1 horsepower) instructions for submitting comments to maintain the biological integrity, power assist in the same manner as Docket No. FWS–HQ–NWRS–2019– diversity, and environmental health of traditional bicycles. The operator of an 0109. the Refuge System for the benefit of e-bike may use the small electric motor
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only to assist pedal propulsion. The bicycle’’ found at 15 U.S.C. 2085 and Executive Order 13771—Reducing motor may not be used to propel an that meets the requirements of one of Regulation and Controlling Regulatory e-bike without the rider also pedaling. three classes of e-bikes. Costs A majority of States have adopted This proposed rule is an Executive e-bike policies, most following model Request for Comments Order (E.O.) 13771 (82 FR 9339, legislation that allows for the three You may submit comments and February 3, 2017) deregulatory action. classes of e-bikes to have access to materials on this proposed rule by any bicycle trails. The DOI e-bike guidance one of the methods listed in ADDRESSES. Regulatory Flexibility Act seeks to provide consistency with the We will not accept comments sent by Under the Regulatory Flexibility Act State and local rules where possible. email or fax or to an address not listed (as amended by the Small Business In 2019, approximately 1.4 million in ADDRESSES. We will not consider Regulatory Enforcement Fairness Act people bicycled at 197 national wildlife hand-delivered comments that we do [SBREFA] of 1996) (5 U.S.C. 601 et seq.), refuges. The Refuge System’s new e-bike not receive, or mailed comments that whenever a Federal agency is required guidance provides expanded options for are not postmarked by the date specified to publish a notice of rulemaking for visitors who wish to ride a bicycle and in DATES. any proposed or final rule, it must who may be limited by fitness level or ability. We will post your entire comment on prepare and make available for public Similar to traditional bicycles, e-bikes http://www.regulations.gov. Before comment a regulatory flexibility are not allowed in designated including personal identifying analysis that describes the effect of the wilderness areas and may not be information in your comment, you rule on small entities (i.e., small appropriate for back-country trails. The should be aware that we may make your businesses, small organizations, and focus of the DOI guidance is on entire comment—including your small government jurisdictions). expanding the traditional bicycling personal identifying information— However, no regulatory flexibility experience to those who enjoy the publicly available at any time. While analysis is required if the head of an reduction of effort provided by this new you can ask us in your comment to agency certifies that the rule will not e-bike technology. Local refuge and land withhold your personal identifying have a significant economic impact on managers will limit, restrict, or impose information from public review, we a substantial number of small entities. conditions on bicycle use and e-bike use cannot guarantee that we will be able to Thus, for a regulatory flexibility analysis where necessary to manage visitor use do so. We will post all hardcopy to be required, impacts must exceed a conflicts and ensure visitor safety and comments on http:// threshold for ‘‘significant impact’’ and a resource protection. www.regulations.gov. threshold for a ‘‘substantial number of E-bikes make bicycle travel easier and small entities.’’ See 5 U.S.C. 605(b). Compliance With Laws, Executive SBREFA amended the Regulatory more efficient, because they allow Orders, and Department Policy bicyclists to travel farther with less Flexibility Act to require Federal effort. When used as an alternative to Regulatory Planning and Review agencies to provide a statement of the gasoline- or diesel-powered modes of (Executive Orders 12866 and 13563) factual basis for certifying that a rule transportation, e-bikes can reduce will not have a significant economic Executive Order 12866 provides that greenhouse gas emissions and fossil fuel impact on a substantial number of small the Office of Information and Regulatory consumption, improve air quality, and entities. Affairs (OIRA) in the Office of support active modes of transportation In 2019, there were approximately 1.4 Management and Budget (OMB) will for visitors. Similar to traditional million bicycle visits on 197 refuges review all significant rules. The OIRA bicycles, e-bikes can decrease traffic (34.6 percent of all refuges). Of these has waived review of this proposed rule congestion, reduce the demand for 197 refuges, 136 refuges had fewer than and, at the final rule stage, will make a vehicle parking spaces, and increase the 1,000 bicycle visits. These visits separate decision as to whether the rule number and visibility of cyclists on the comprised approximately 2 percent is a significant regulatory action as road. (=2.34%) of total recreational visits for defined by Executive Order 12866. the Refuge System. This Proposed Rule Executive Order (E.O.) 13563 Under the proposed rule, recreational The regulations in 50 CFR part 27 reaffirms the principles of E.O. 12866 activities on refuges could be expanded pertain to prohibited acts on refuge while calling for improvements in the by allowing e-bikes where determined lands. The current regulations in § 27.31 nation’s regulatory system to promote by the appropriate refuge manager. As a generally prohibit use of any motorized predictability, to reduce uncertainty, result, recreational visitation at these or other vehicles, including those used and to use the best, most innovative, stations may change. The extent of any on air, water, ice, or snow, on national and least burdensome tools for increase would likely be dependent wildlife refuges except on designated achieving regulatory ends. The upon factors such as whether current routes of travel, as indicated by the executive order directs agencies to bicyclists change from using traditional appropriate traffic control signs or consider regulatory approaches that bicycles to e-bikes, whether walking/ signals and in designated areas posted reduce burdens and maintain flexibility hiking visits change to e-bike visits, or or delineated on maps by the refuge and freedom of choice for the public whether other recreational visitors manager. where these approaches are relevant, decrease visits due to increased Under the proposed amendment, feasible, and consistent with regulatory conflicts. The impact of these potential which is set forth at the end of this objectives. E.O. 13563 emphasizes factors is uncertain. However, we document, e-bikes would be allowed further that regulations must be based estimate that increasing opportunities where other types of bicycles are on the best available science and that for e-bikes would correspond with less allowed, and e-bikes would not be the rulemaking process must allow for than 2 percent of the average allowed where other types of bicycles public participation and an open recreational visits due to the small are prohibited. DOI proposes to adopt a exchange of ideas. We have developed percentage of current bicycling visits. definition of ‘‘e-bike’’ that is informed this rule in a manner consistent with Small businesses within the retail by the definition of ‘‘low-speed electric these requirements. trade industry (such as hotels, gas
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stations, sporting equipment stores, and Civil Justice Reform (Executive Order address the potential effects, if any, of similar businesses) may be affected by 12988) the proposed regulatory action. some increased or decreased station In accordance with E.O. 12988, the Clarity of This Regulation visitation due to the proposed rule. A Department of the Interior has We are required by Executive Orders large percentage of these retail trade determined that this proposed rule establishments in the local communities 12866 and 12988 and by the would not unduly burden the judicial Presidential Memorandum of June 1, near national wildlife refuges and system and that it meets the national fish hatcheries qualify as small 1998, to write all rules in plain requirements of sections 3(a) and 3(b)(2) language. This means that each rule we businesses. We expect that the of the Order. incremental recreational changes will be publish must: scattered, and so we do not expect that Paperwork Reduction Act (a) Be logically organized; (b) Use the active voice to address the rule would have a significant This proposed rule does not contain economic effect on a substantial number readers directly; information collection requirements, (c) Use clear language rather than of small entities in any region or and a submission to OMB under the nationally. jargon; Paperwork Reduction Act of 1995 (44 (d) Be divided into short sections and Therefore, we certify that this U.S.C. 3501 et seq.) is not required. We proposed rule would not have a sentences; and may not conduct or sponsor and you are (e) Use lists and tables wherever significant economic effect on a not required to respond to a collection substantial number of small entities as possible. of information unless it displays a If you feel that we have not met these defined under the Regulatory Flexibility currently valid OMB control number. Act (5 U.S.C. 601 et seq.). An initial requirements, send us comments by one regulatory flexibility analysis is not National Environmental Policy Act of the methods listed in ADDRESSES. To better help us revise the rule, your required. Accordingly, a small entity We are required under the National compliance guide is not required. comments should be as specific as Environmental Policy Act (NEPA; 42 possible. For example, you should tell Small Business Regulatory Enforcement U.S.C. 4321 et seq.) to assess the impact us the numbers of the sections or Fairness Act (SBREFA) of any Federal action significantly paragraphs that are unclearly written, affecting the quality of the human which sections or sentences are too This rule is not a major rule under 5 environment, health, and safety. We U.S.C. 804(2), the Small Business long, the sections where you feel lists or have determined that the proposed rule tables would be useful, etc. Regulatory Enforcement Fairness Act. falls under the class of actions covered This proposed rule: by the following Department of the List of Subjects in 50 CFR Part 27 a. Would not have an annual effect on Interior categorical exclusion: ‘‘Policies, Wildlife refuges. the economy of $100 million or more. directives, regulations, and guidelines: b. Would not cause a major increase that are of an administrative, financial, Proposed Regulation Promulgation in costs or prices for consumers, legal, technical, or procedural nature; or In consideration of the foregoing, we individual industries, Federal, State, or whose environmental effects are too propose to amend part 27, subchapter C local government agencies, or broad, speculative, or conjectural to of chapter I, title 50 of the Code of geographic regions. lend themselves to meaningful analysis Federal Regulations as follows: c. Would not have significant adverse and will later be subject to the NEPA effects on competition, employment, process, either collectively or case-by- PART 27—PROHIBITED ACTS investment, productivity, innovation, or case.’’ (43 CFR 46.210(i)). Under the the ability of U.S.-based enterprises to proposed rule, a refuge manager must ■ 1. The authority citation for part 27 compete with foreign-based enterprises. first make a determination that e-bike continues to read as follows: use is a compatible use before allowing Unfunded Mandates Reform Act Authority: 5 U.S.C. 685, 752, 690d; 16 e-bike use on a national wildlife refuge. U.S.C. 460k, 460l–6d, 664, 668dd, 685, 690d, This proposed rule would not impose This determination must be made on a 715i, 715s, 725; 43 U.S.C. 315a. an unfunded mandate on State, local, or case-by-case basis. Therefore, the tribal governments or the private sector environmental impacts of the proposed Subpart C—Disturbing Violations: With of more than $100 million per year. The rule are too speculative to lead to Vehicles rule would not have a significant or meaningful analysis at this time. The ■ 2. Amend § 27.31 by redesignating unique effect on State, local, or tribal Service will assess the environmental paragraph (m) as paragraph (n) and governments or the private sector. A impacts of e-bike use in compliance adding a new paragraph (m) to read as statement containing the information with NEPA at the time a refuge manager follows: required by the Unfunded Mandates determines whether e-bike use is Reform Act (2 U.S.C. 1531 et seq.) is not compatible. § 27.31 General provisions regarding required. vehicles. Government-to-Government * * * * * Takings (Executive Order 12630) Relationship With Tribes (m) If the refuge manager determines In accordance with Executive Order In accordance with E.O. 13175 that electric bicycle (also known as an 12630, this proposed rule does not have ‘‘Consultation and Coordination with e-bike) use is a compatible use on roads significant takings implications. This Indian Tribal Governments’’ (65 FR or trails, any person using the motorized rule would affect only visitors at 67249), the President’s memorandum of features of an e-bike as an assist to national wildlife refuges. April 29, 1994, ‘‘Government-to- human propulsion shall be afforded all Government Relations with Native the rights and privileges, and be subject Federalism (Executive Order 13132) American Tribal Governments’’ (59 FR to all of the duties, of the operators of In accordance with E.O. 13132, this 22961), and 512 DM 2, we will consult non-motorized bicycles on roads and proposed rule does not require the with federally recognized tribal trails. An e-bike is a two- or three- preparation of a federalism assessment. governments to jointly evaluate and wheeled electric bicycle with fully
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operable pedals and an electric motor of (2) Class 2 e-bike shall mean an provide assistance when the bicycle not more than 750 watts (1 h.p.) that electric bicycle equipped with a motor reaches the speed of 28 miles per hour. meets the requirements of one of the that may be used exclusively to propel * * * * * following three classes: the bicycle, and that is not capable of (1) Class 1 e-bike shall mean an providing assistance when the bicycle George Wallace, electric bicycle equipped with a motor reaches the speed of 20 miles per hour. Assistant Secretary for Fish and Wildlife and that provides assistance only when the (3) Class 3 e-bike shall mean an Parks. rider is pedaling, and that ceases to electric bicycle equipped with a motor [FR Doc. 2020–07167 Filed 4–6–20; 8:45 am] provide assistance when the bicycle that provides assistance only when the BILLING CODE 4333–15–P reaches the speed of 20 miles per hour. rider is pedaling, and that ceases to
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Notices Federal Register Vol. 85, No. 67
Tuesday, April 7, 2020
This section of the FEDERAL REGISTER Docket: For access to background proposed collection of information contains documents other than rules or documents or comments received, go to including the validity of the proposed rules that are applicable to the the Office of Communications Docket methodology and assumptions used; (3) public. Notices of hearings and investigations, Room at 1400 Independence Ave. SW, ways to enhance the quality, utility, and committee meetings, agency decisions and Room 402A, Washington, DC 20250– clarity of the information to be rulings, delegations of authority, filing of petitions and applications and agency 3700 between 8:00 a.m. and 4:30 p.m., collected; and (4) ways to minimize the statements of organization and functions are Monday through Friday. burden of the collection of information examples of documents appearing in this FOR FURTHER INFORMATION CONTACT: on those who are to respond, including section. Contact Brian Mabry, Office of the use of appropriate automated, Communications, U.S. Department of electronic, mechanical, or other Agriculture, 1400 Independence Ave. technological collection techniques or DEPARTMENT OF AGRICULTURE SW, 402A, Washington, DC 20250, 202– other forms of information technology. 720–5831. Comments may be sent to Brian Mabry, Notice of Request for Approval of an SUPPLEMENTARY INFORMATION: Office of Communications U.S. Information Collection In accordance with the Paperwork Department of Agriculture. All AGENCY: Office of Communications, Reduction Act of 1995 (44 U.S.C. comments received will be available for Department of Agriculture. Chapter 35), this notice announces the public inspection during regular business hours at the same address. ACTION: Notice and request for intention of Office of Communications All responses to this notice will be comments. to request revision and extension an approved information collection. summarized and included in the request SUMMARY: This notice announces Office Title: Event Appearance Requests for for OMB approval. All comments will of Communications’ to request a the Secretary or members of his staff. become a matter of public record. revision and extension of a currently OMB Number: 0506–0005. Meghan Rodgers, approved information collection, Event Expiration Date of Approval: July 31, Director (Acting), Office of Communications. Appearance for the Secretary or 2020. [FR Doc. 2020–07215 Filed 4–6–20; 8:45 am] Members of his Staff, OMB Control Type of Request: Revision and number 0506–0005. extension of a currently approved BILLING CODE 3410–13–P DATES: Comments on this notice must be information collection. received by June 8, 2020 to be assured Abstract: A web form collects DEPARTMENT OF AGRICULTURE of consideration. information on events that the public ADDRESSES: Office of Communications would like the Secretary to participate Submission for OMB Review; invites interested persons to submit in, or those in which the incoming Comment Request comments on this notice. Comments Secretary may want to use to reach back may be submitted by one of the out to interested parties to invite them April 1, 2020. following methods: to events. Information that will be The Department of Agriculture will • Federal eRulemaking Portal: This collected is a follows: Organization, submit the following information website provides the ability to type Address, Phone/Cell Number, First and collection requirement(s) to OMB for short comments directly into the last name of point of contact, Email review and clearance under the comment field on this web page or Address, Type of event, Date of event, Paperwork Reduction Act of 1995, attach a file for lengthier comments. Go Event location, Secretary’s role, Number Public Law 104–13 on or after the date to http://www.regulations.gov. Follow of attendees, Press open or closed. of publication of this notice. Comments the on-line instructions at that site for Estimate of Burden: Public reporting are requested regarding: (1) Whether the submitting comments. burden for this collection of information collection of information is necessary • Mail, including CD–ROMs, etc.: is estimated to average 15 min per for the proper performance of the Send to Docket Clerk, U.S. Department response. There may be one or more functions of the agency, including of Agriculture, Office of responses per respondent. whether the information will have Communications, Docket Clerk, 1400 Respondents: Individual, Businesses, practical utility; (2) the accuracy of the Independence Ave. SW, Mailstop 402A, Not-for-profit; State, Local or Tribal agency’s estimate of burden including Washington, DC 20250–3700. governments. the validity of the methodology and • Hand- or courier-delivered Estimated Number of Respondents: assumptions used; (3) ways to enhance submittals: Deliver to 1400 5,000. the quality, utility and clarity of the Independence Ave. Room 402A, Estimated Number of Responses per information to be collected; and (4) Washington, DC 20250–3700. Respondent: 2. ways to minimize the burden of the Instructions: All items submitted by Estimated Total Annual Burden on collection of information on those who mail or electronic mail must include the Respondents: 2,500. are to respond, including through the Agency name, Office of Comments are invited on: (1) Whether use of appropriate automated, Communications. Comments received in the proposed collection of information electronic, mechanical, or other response to this docket will be made is necessary for the proper performance technological collection techniques or available for public inspection and of the functions of the agency, including other forms of information technology. posted without change, including any whether the information will have Comments regarding these personal information, to http:// practical utility; (2) the accuracy of the information collections are best assured www.regulations.gov. agency’s estimate of the burden of the of having their full effect if received by
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May 7, 2020. Written comments and deleted have been added as Public Call Information: Dial: 888– recommendations for the proposed supplemental documents to this 254–3590, Conference ID: 6011106. information collection should be submission. FOR FURTHER INFORMATION CONTACT: Ana submitted within 30 days of the This substantive change will not Victoria Fortes, DFO, at afortes@ publication of this notice on the change the sample sizes of any of the usccr.gov or 213–894–3437. following website www.reginfo.gov/ surveys only the content of the ARMS SUPPLEMENTARY INFORMATION: Members II surveys for rice, corn and soybeans, public/do/PRAMain. Find this of the public can listen to the the Vegetable Chemical Use Survey and particular information collection by discussion. This meeting is available to the Cropping Practices Survey (done selecting ‘‘Currently under 30-day the public through the above toll-free under a cooperative agreement with Review—Open for Public Comments’’ or call-in number. Any interested member by using the search function. Mississippi State University). A detailed of the public may call this number and An agency may not conduct or listing of the changes are attached to the listen to the meeting. An open comment sponsor a collection of information docket submission. Based on the ARMS unless the collection of information II and the Fruit Chemical Use surveys period will be provided to allow displays a currently valid OMB control conducted in 2019, in which the field members of the public to make a number and the agency informs enumerators were asked to record statement as time allows. The potential persons who are to respond to beginning and ending times for personal conference call operator will ask callers the collection of information that such interviews the changes in average to identify themselves, the organization persons are not required to respond to burden per questionnaire a 10 to 15 they are affiliated with (if any), and an the collection of information unless it minute increase was added to the email address prior to placing callers displays a currently valid OMB control questionnaires. This resulted in a net into the conference room. Callers can number. increase in respondent burden of 442 expect to incur regular charges for calls hours above the currently approved they initiate over wireless lines, National Agricultural Statistics Service annual average total. according to their wireless plan. The (NASS) Need and Use of the Information: The Commission will not refund any Title: Agricultural Resource Office of Pest Management Policy incurred charges. Callers will incur no Management and Chemical Use (OPMP), the Economic Research Service charge for calls they initiate over land- Surveys—Substantive Change. (ERS), and the Mississippi State line connections to the toll-free OMB Control Number: 0535–0218. University Extension Service (MSUES) telephone number. Persons with hearing Summary of Collection: General will be able to better address changes in impairments may also follow the authority for these data collection the farming practices and chemicals proceedings by first calling the Federal activities is granted under U.S. Code used on these crops that have occurred Relay Service at 1–800–877–8339 and Title 7, Section 2204 which specifies since the original approval of this providing the Service with the that ‘‘The Secretary of Agriculture shall docket. conference call number and conference procure and preserve all information Description of Respondents: Farms. ID number. concerning agriculture which he can Number of Respondents: 16,815. Members of the public are also obtain . . . by the collection of statistics Frequency of Responses: Reporting: entitled to submit written comments; . . .’’. The primary objective of the Once. the comments must be received in the National Agricultural Statistics Service Total Burden Hours: 13,610. regional office within 30 days following (NASS) is to provide data users with the meeting. Written comments may be Ruth Brown, timely and reliable agricultural mailed to the Regional Programs Unit production and economic statistics, as Departmental Information Collection Office, U.S. Commission on Civil Rights, Clearance Officer. well as environmental and specialty 230 S. Dearborn St., Suite 2120, agricultural related statistics. To [FR Doc. 2020–07220 Filed 4–6–20; 8:45 am] Chicago, IL 60604. They may also be accomplish this objective, NASS relies BILLING CODE 3410–20–P emailed to Carolyn Allen at callen@ on the use of diverse surveys that show usccr.gov. Persons who desire changes within the farming industry additional information may contact the over time. COMMISSION ON CIVIL RIGHTS Regional Programs Unit Office at (312) Using the Agricultural Resource 353–8311. Management Survey (ARMS) and the Notice of Public Meeting of the Michigan Advisory Committee Records generated from this meeting Vegetable Chemical Use Survey, NASS may be inspected and reproduced at the collects environmental data which AGENCY: U.S. Commission on Civil Regional Programs Office, as they includes cropping practices, fertilizer Rights. become available, both before and after applications, pesticide usage for weeds, ACTION: Announcement of meeting. the meeting. Records of the meeting will insects, fungus, mold, etc., and the use be available via www.facadatabase.gov of various pest management practices. SUMMARY: Notice is hereby given, under the Commission on Civil Rights, Through cooperative agreements with pursuant to the provisions of the rules Michigan Advisory Committee link. the Economic Research Service and the and regulations of the U.S. Commission Persons interested in the work of this Office of Pest Management Policy NASS on Civil Rights (Commission) and the Committee are directed to the collects additional data to aid in there Federal Advisory Committee Act that Commission’s website, http:// research. The additional questions that the Michigan Advisory Committee www.usccr.gov, or may contact the will be added to the questionnaires that (Committee) will hold a meeting on Regional Programs Office at the above were not in the original approval will Tuesday, April 14, 2020, at 3:00 p.m. email or street address. address topics such as seed treatments, EST. The purpose of the meeting is to GPS enabled equipment, nutrient review the recommendations section of Agenda management, crop insurance, their report. I. Welcome environmental regulations, organic DATES: The meeting will be held on II. Approval of March 24, 2020 Minutes production practices, etc. Complete Tuesday, April 14, 2020, at 3:00 p.m. III. Review Report Draft listings of the questions added and EST. a. Update
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b. Recommendations Commission on Civil Rights, 230 S DEPARTMENT OF COMMERCE IV. Public Comment Dearborn St., Suite 2120, Chicago, IL V. Adjournment 60604. They may also be faxed to the Bureau of Industry and Security Dated: April 2, 2020. Commission at (312) 353–8324 or may be emailed to Carolyn Allen at callen@ Sensors and Instrumentation David Mussatt, usccr.gov. Records of the meeting will Technical Advisory Committee; Notice Supervisory Chief, Regional Programs Unit. be available via www.facadatabase.gov of Partially Closed Meeting [FR Doc. 2020–07287 Filed 4–6–20; 8:45 am] under the Commission on Civil Rights, BILLING CODE 6335–01–P The Sensors and Instrumentation Florida Advisory Committee link. Technical Advisory Committee (SITAC) Persons interested in the work of this will meet on April 28, 2020, at 9:30 a.m. Committee are directed to the COMMISSION ON CIVIL RIGHTS The meeting is open to the public via Commission’s website, http:// teleconference. The Committee advises Notice of Public Meeting of the Florida www.usccr.gov, or may contact the the Office of the Assistant Secretary for Advisory Committee Regional Program Unit at the above Export Administration on technical email or street address. questions that affect the level of export AGENCY: U.S. Commission on Civil Agenda controls applicable to sensors and Rights. instrumentation equipment and Welcome and Roll Call ACTION: Announcement of meeting. technology. Discussion: Voting Rights in Florida SUMMARY: Notice is hereby given, Public Comment Agenda pursuant to the provisions of the rules Adjournment and regulations of the U.S. Commission Open Session Dated: April 1, 2020. on Civil Rights (Commission) and the 1. Welcome and Introductions. David Mussatt, Federal Advisory Committee Act that 2. Remarks from the Bureau of Supervisory Chief, Regional Programs Unit. the Florida Advisory Committee Industry and Security Management. (Committee) will hold a meeting on [FR Doc. 2020–07242 Filed 4–6–20; 8:45 am] 3. Industry Presentations. Tuesday April 28, 2020, at 3:00 p.m. BILLING CODE P 4. New Business. (Eastern) for the purpose of discussing next steps in their current study of Closed Session voting rights in Florida. DEPARTMENT OF COMMERCE 5. Discussion of matters determined to DATES: The meeting will be held on be exempt from the provisions relating Foreign-Trade Zones Board Tuesday, April 28, 2020, from 3:00–4:00 to public meetings found in 5 U.S.C. p.m. Eastern. [S–27–2020] app. 2 §§ 10(a)(1) and 10(a)(3). Public Call Information: Dial: 888– The open session will be accessible 394–8218, Conference ID: 7889521. Approval of Subzone Status; via teleconference on a first come, first FOR FURTHER INFORMATION CONTACT: Warehouse Specialists, LLC, Council serve basis. To join the conference, Melissa Wojnaroski, DFO, at Bluffs, Iowa submit inquiries to Ms. Yvette Springer [email protected] or 312–353– at [email protected], no later 8311. On February 7, 2020, the Executive Secretary of the Foreign-Trade Zones than April 21, 2020. SUPPLEMENTARY INFORMATION: Members (FTZ) Board docketed an application A limited number of seats will be of the public can listen to the submitted by the Iowa Foreign Trade available during the public session of discussion. This meeting is available to Zone Corporation, grantee of FTZ 107, the meeting. Reservations are not the public through the above listed toll- requesting subzone status subject to the accepted. To the extent that time free call-in number. An open comment existing activation limit of FTZ 107, on permits, members of the public may period will be provided to allow behalf of Warehouse Specialists, LLC, in present oral statements to the members of the public to make a Council Bluffs, Iowa. Committee. The public may submit statement as time allows. The The application was processed in written statements at any time before or conference call operator will ask callers accordance with the FTZ Act and after the meeting. However, to facilitate to identify themselves, the organization Regulations, including notice in the distribution of public presentation they are affiliated with (if any), and an Federal Register inviting public materials to the Committee members, email address prior to placing callers comment (85 FR 7919, February 12, the Committee suggests that the into the conference room. Callers can 2020). The FTZ staff examiner reviewed materials be forwarded before the expect to incur regular charges for calls the application and determined that it meeting to Ms. Springer. they initiate over wireless lines, meets the criteria for approval. Pursuant The Assistant Secretary for according to their wireless plan. The to the authority delegated to the FTZ Administration, with the concurrence of Commission will not refund any Board Executive Secretary (15 CFR Sec. the General Counsel, formally incurred charges. Callers will incur no 400.36(f)), the application to establish determined on October 10, 2019 charge for calls they initiate over land- Subzone 107D was approved on March pursuant to Section 10(d) of the Federal line connections to the toll-free 31, 2020, subject to the FTZ Act and the Advisory Committee Act, as amended (5 telephone number. Persons with hearing Board’s regulations, including Section U.S.C. app. 2 § 10(d), that the portion of impairments may also follow the 400.13, and further subject to FTZ 107’s this meeting dealing with pre-decisional proceedings by first calling the Federal 2,000-acre activation limit. changes to the Commerce Control List Relay Service at 1–800–877–8339 and and U.S. export control policies shall be providing the Service with the Dated: March 31, 2020. exempt from the provisions relating to conference call number and conference Andrew McGilvray, public meetings found in 5 U.S.C. app. ID number. Executive Secretary. 2 §§ 10(a)(1) and 10(a)(3). The remaining Written comments may be mailed to [FR Doc. 2020–07191 Filed 4–6–20; 8:45 am] portions of the meeting will be open to the Regional Program Unit Office, U.S. BILLING CODE 3510–DS–P the public.
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For more information contact Yvette Federal Advisory Committee Act, as The petitioner is The Coalition for Fair Springer on (202) 482–2813. amended (5 U.S.C. app. 2 § (10)(d)), that Trade in Ceramic Tile. The mandatory the portion of the meeting concerning respondents in this investigation are Yvette Springer, trade secrets and commercial or Belite 2 and Foshan Sanfi Import & Committee Liaison Officer. financial information deemed privileged Export Co., Ltd. (Foshan Sanfi). [FR Doc. 2020–07187 Filed 4–6–20; 8:45 am] or confidential as described in 5 U.S.C. A summary of the events that BILLING CODE 3510–JT–P 552b(c)(4) and the portion of the occurred since Commerce published the meeting concerning matters the Preliminary Determination, as well as a disclosure of which would be likely to full discussion of the issues raised by DEPARTMENT OF COMMERCE frustrate significantly implementation of parties for this final determination, are Bureau of Industry and Security an agency action as described in 5 discussed in the Issues and Decision U.S.C. 552b(c)(9)(B) shall be exempt Memorandum.3 The Issues and Decision Information Systems Technical from the provisions relating to public Memorandum is a public document and Advisory Committee; Notice of meetings found in 5 U.S.C. app. 2 is on file electronically via Enforcement Partially Closed Meeting §§ 10(a)(1) and 10(a)(3). The remaining and Compliance’s Antidumping and portions of the meeting will be open to Countervailing Duty Centralized The Information Systems Technical the public. Electronic Service System (ACCESS). Advisory Committee (ISTAC) will meet For more information, call Yvette ACCESS is available to registered users on April 29, 2020, at 1:00 p.m. The Springer at (202) 482–2813. at http://access.trade.gov, and to all meeting is open to the public via parties in the Central Records Unit, teleconference. The ISTAC will meet Yvette Springer, room B8024 of the main Commerce again on April 30, 2020, in closed Committee Liaison Officer. building. In addition, a complete session. The Committee advises the [FR Doc. 2020–07186 Filed 4–6–20; 8:45 am] version of the Issues and Decision Office of the Assistant Secretary for BILLING CODE 3510–JT–P Memorandum is available at http:// Export Administration on technical enforcement.trade.gov/frn/index.html. questions that affect the level of export The signed and electronic versions of controls applicable to information DEPARTMENT OF COMMERCE the Issues and Decision Memorandum systems equipment and technology. International Trade Administration are identical in content. Wednesday, April 29 Period of Investigation [A–570–108] Open Session The period of investigation is October 1. Welcome and Introductions. Ceramic Tile From the People’s 1, 2018 through March 31, 2019. Republic of China: Final Affirmative 2. Working Group Reports. Scope of the Investigation 3. Old Business. Determination of Sales at Less Than 4. Comments from the Bureau of Fair Value, and Final Partial Affirmative The scope of the investigation covers Industry and Security. Critical Circumstances Determination ceramic tile from China. For a complete description of the scope of the Thursday, April 30 AGENCY: Enforcement and Compliance, investigation, see Appendix I. International Trade Administration, Closed Session Department of Commerce. Scope Comments 5. Discussion of matters determined to SUMMARY: The Department of Commerce On September 6, 2019, Commerce be exempt from the provisions relating (Commerce) determines that ceramic tile issued a Preliminary Scope Decision to public meetings found in 5 U.S.C. from the People’s Republic of China Memorandum.4 Several interested app. 2 §§ 10(a)(1) and 10(a)(3). (China) is being, or is likely to be, sold parties submitted case and rebuttal The open session will be accessible in the United States at less than fair via teleconference on a first come, first value (LTFV). The final dumping (November 14, 2019) (Preliminary Determination), serve basis. To join the conference, margins are listed in the ‘‘Final and accompanying Preliminary Decision Memorandum (PDM); see also Ceramic Tile from submit inquiries to Ms. Yvette Springer Determination Margins’’ section of this at [email protected], no later the People’s Republic of China: Notice of Correction notice. to the Preliminary Affirmative Determination of than April 22, 2020. DATES: Applicable April 7, 2020. Sales at Less Than Fair Value, 84 FR 68114 A limited number of seats will be (December 13, 2019). available for the public session. FOR FURTHER INFORMATION CONTACT: Erin 2 We collapsed Belite Ceramics (Anyang) Co., Reservations are not accepted. To the Kearney, AD/CVD Operations, Office VI, Ltd., Beilitai (Tianjin) Tile Co., Ltd. (Beilitai), and Enforcement and Compliance, Tianjin Honghui Creative Technology Co., Ltd., extent time permits, members of the collectively hereafter referred to as Belite. See public may present oral statements to International Trade Administration, Memorandum, ‘‘Investigation of Ceramic Tile from the Committee. The public may submit U.S. Department of Commerce, 1401 the People’s Republic of China: Affiliation and written statements at any time before or Constitution Avenue NW, Washington, Collapsing of Belite Ceramics (Anyang) Co., Ltd., DC 20230; telephone: (202) 482–0167. Beilitai (Tianjin) Tile Co., Ltd., and Tianjin after the meeting. However, to facilitate Honghui Creative Technology Co., Ltd.,’’ dated distribution of public presentation SUPPLEMENTARY INFORMATION: November 6, 2019. materials to Committee members, the 3 See Memorandum, ‘‘Issues and Decision Background Committee suggests that public Memorandum for the Final Affirmative presentation materials or comments be On November 14, 2019, Commerce Determination in the Less-Than-Fair-Value Investigation of Ceramic Tile from the People’s forwarded before the meeting to Ms. published the Preliminary Republic of China,’’ dated concurrently with, and 1 Springer. Determination of this investigation. hereby adopted by, this notice (Issues and Decision The Assistant Secretary for Memorandum). Administration, with the concurrence of 1 See Ceramic Tile from the People’s Republic of 4 See Memorandum, ‘‘Ceramic Tile from the China: Preliminary Affirmative Determination of People’s Republic of China: Scope Comments the delegate of the General Counsel, Sales at Less Than Fair Value, Preliminary Negative Decision Memorandum for the Preliminary formally determined on December 18, Critical Circumstances Determination, and Determinations,’’ dated September 6, 2019 2019, pursuant to Section 10(d) of the Postponement of Final Determination, 84 FR 61877 (Preliminary Scope Decision Memorandum).
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briefs concerning the scope of this Adverse Facts Available (AFA) 735(a)(3)(A) and (B) of the Act and 19 investigation. For a summary of the CFR 351.206. product coverage comments and For the reasons explained in the Separate Rates rebuttal comments submitted to the Preliminary Determination, we continue record for this final determination, and to find that the use of AFA, pursuant to sections 776(a) and (b) of the Act, is Generally, Commerce looks to section accompanying discussion and analysis 735(c)(5)(A) of the Act, which provides of all comments timely received, see the warranted in determining the rate for 8 instructions for calculating the all- Final Scope Decision Memorandum.5 the China-wide entity. In selecting the AFA rate for the China-wide entity, others rate in a market economy Based on the comments received, antidumping duty (AD) investigation, Commerce is not modifying the scope Commerce’s practice is to select a rate that is sufficiently adverse to ensure that for guidance when calculating the rate language as it appeared in the for separate rate respondents that we Preliminary Determination. The scope the uncooperative party does not obtain a more favorable result by failing to did not individually examine in a non- in Appendix I remains unchanged from market economy AD investigation. that which appeared in the Preliminary cooperate than if it had fully 9 Section 735(c)(5)(A) of the Act states Determination. cooperated. For the final determination, we are assigning the that the estimated all-others rate shall be Analysis of Comments Received China-wide entity, as AFA, the rate of an amount equal to the weighted average of the estimated weighted All issues raised in the case and 356.02 percent, which is the highest petition rate.10 average dumping margins established rebuttal briefs by parties in this for exporters and producers investigation are discussed in the Issues Critical Circumstances individually investigated, excluding any and Decision Memorandum. A list of margins that are zero, de minimis, or the issues that parties raised in the As explained in the Issues and determined entirely on the basis of facts Issues and Decision Memorandum is Decision Memorandum, we find that available.12 attached to this notice as Appendix II. critical circumstances exist for imports of ceramic tile from the China-wide As discussed in the Issues and Verification entity pursuant to sections 735(a)(3)(A) Decision Memorandum,13 Belite and As provided in section 782(i) of the and (B) of the Act and 19 CFR 351.206. Foshan Sanfi have not received a Tariff Act of 1930, as amended (the Act), With respect to the separate rate separate rate for the final determination Commerce conducted verification of the companies, we continue to find that the and, thus, are part of the China-wide information submitted by Belite for use U.S. Census Bureau data provided by entity. As such, we have assigned the in the final determination. We used the petitioner in its critical average of the rates found in the standard verification procedures, circumstances allegation 11 does not Petition 14 as the rate for non- including an examination of relevant show that imports of subject individually examined companies that accounting records and original source merchandise were massive during a have qualified for a separate rate.15 documents provided by Belite.6 We did relatively short period, and that critical Final Determination not conduct verification of Foshan Sanfi circumstances do not exist for imports because it withdrew from participation of ceramic tile from the separate rate The final estimated weighted-average in verification.7 companies pursuant to sections dumping margins are as follows:
Estimated Cash deposit weighted- rate average (adjusted Exporter Producer dumping for subsidy margin offsets) (percent) (percent)
Anatolia Tile & Stone Inc ...... Hubei ASA Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Bode Fine Building Material Co., Ltd ...... 229.04 203.71 Foshan Mona Decoration Material Co., Ltd. (DBA Guang Dong 229.04 203.71 Bo Hua Ceramics Co., Ltd.). Heyuan Dongyuan Eagle Branch Ceramics Ltd ...... 229.04 203.71 Foshan Gold Medal Ceramics International Trade Co., Ltd ...... 229.04 203.71 Greens Patio Workshop Co., Ltd ...... 229.04 203.71 Fujian Huatai Group Co., Ltd ...... 229.04 203.71 Foshan Tianyao Ceramics Co., Ltd ...... 229.04 203.71 Foshan Ibel Import and Export Ltd ...... 229.04 203.71 Max Glory International Limited ...... 229.04 203.71 Foshan Leo Import and Export Trading Co., Ltd ...... 229.04 203.71 Guangdong Mona Lisa Trading Co., Ltd ...... 229.04 203.71 Foshan Amosa International Business Company ...... 229.04 203.71 Foshan Yonglie Export and Import Company Limited ...... 229.04 203.71
5 See Memorandum, ‘‘Ceramic Tile from the 8 See Preliminary Determination PDM at 20–22. Kingdom: Final Results of Antidumping Duty People’s Republic of China: Scope Decision 9 See, e.g., Notice of Preliminary Determination of Administrative Reviews and Rescission of Reviews Memorandum for the Final Determinations,’’ dated Sales at Less Than Fair Value and Postponement in Part, 73 FR 52823, 52824 (September 11, 2008), concurrently with this notice (Final Scope Decision of Final Determination: Purified Carboxymethyl and accompanying Issues and Decision Memorandum). Cellulose from Finland, 69 FR 77216 (December 27, Memorandum (IDM) at Comment 16. 6 See Memorandum, ‘‘Verification of the 2004), unchanged in Notice of Final Determination 13 See IDM at Comments 1–2. Questionnaire Responses of Belite Ceramics of Sales at Less Than Fair Value: Purified (Anyang) Co., Ltd., in the Antidumping Carboxymethyl Cellulose from Finland, 70 FR 14 See Petitioner’s Letter, ‘‘Petition for the Investigation of Ceramic Tile from the People’s 28279 (May 17, 2005). Imposition of Antidumping Duties on Imports of Republic of China,’’ dated January 6, 2020. 10 See Issues and Decision Memorandum at 3. Ceramic Tile from the People’s Republic of China,’’ 7 See Foshan Sanfi’s Letter, ‘‘Ceramic Tile from 11 See Preliminary Determination PDM at dated April 10, 2019 (the Petition) and the Petition the People’s Republic of China—Notice of Intention ‘‘Critical Circumstances.’’ Supplement at Exhibit II–21. Not to Participate in Verification,’’ dated November 12 See, e.g., Ball Bearings and Parts Thereof from 15 See IDM at Comment 3. 22, 2019. France, Germany, Italy, Japan, and the United
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Estimated Cash deposit weighted- rate average (adjusted Exporter Producer dumping for subsidy margin offsets) (percent) (percent)
Elegance International Inc ...... 229.04 203.71 Foshan International Trade Co., Ltd ...... 229.04 203.71 Foshan Rhino Building Materials Co., Ltd ...... 229.04 203.71 Foshan Romantic Ceramics Co., Ltd ...... 229.04 203.71 Heyuan Romantic Ceramics Co., Ltd ...... 229.04 203.71 Pingxiang Dacheng Ceramics Technology Co., Ltd ...... 229.04 203.71 Jingdezhen Seed Ceramic Co., Ltd ...... 229.04 203.71 Foshan Xinfu Imp. & Exp. Co., Ltd ...... 229.04 203.71 Foshan Nah Hai Sky Glass Mosaic Limited ...... 229.04 203.71 Super Building Material Co., Ltd. (Xiamen) ...... 229.04 203.71 Foshan Tong Hai International Import and Export Trading Cor- 229.04 203.71 poration Limited. Rabbit Song Building Material Co., Ltd ...... 229.04 203.71 Avangarde Ceramiche ...... Fujian Nan’an Xinglong Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Jiajun Ceramics Co., Ltd ...... 229.04 203.71 Beijing Shiji Mingtai Inc ...... Jinjiang Guoxing Ceramics Building Materials Co., Ltd ...... 229.04 203.71 Fujian Honghua Group Co., Ltd ...... 229.04 203.71 Fujian Zhangzhou Jianhua Ceramics Co., Ltd ...... 229.04 203.71 Foshan Dongpeng Ceramics Co., Ltd ...... 229.04 203.71 Fujian Huatai Group Co., Ltd ...... 229.04 203.71 Quanzhou Zhiran Ceramics Co., Ltd ...... 229.04 203.71 Quanzhou Yuanlong Building Materials Development Co., Ltd ... 229.04 203.71 Fujian Xindezhou Ceramics Co., Ltd ...... 229.04 203.71 Jinjiang Juntao Ceramics Industry Co., Ltd ...... 229.04 203.71 Bestview (Fuzhou) Import & Export Co. Ltd ...... Foshan Lanyu Building Material Co. Ltd ...... 229.04 203.71 Tianjin Belite Ceramics Co., Ltd Foshan Branch ...... 229.04 203.71 Jingdezhen Leixi Building Material Factory ...... 229.04 203.71 Foshan Nanhai District Energy Building Material Co., Ltd ...... 229.04 203.71 Buddy Mosaic Limited ...... Foshan Tanhua Building Material Co., Ltd ...... 229.04 203.71 China Stone Limited ...... Qingyuan MegaCera Ceramic Co., Ltd ...... 229.04 203.71 Foshan Kovic Import and Export Co., Ltd ...... 229.04 203.71 Dongguan City Wonderful Ceramics Industrial Park Co., Ltd ...... Dongguan City Wonderful Ceramics Industrial Park Co., Ltd ...... 229.04 203.71 Dongguan City Wonderful Decoration Materials Co., Ltd ...... Dongguan City Wonderful Decoration Materials Co., Ltd ...... 229.04 203.71 Dox Building Materials Co., Limited ...... White Rabbit Ceramics Co., Ltd ...... 229.04 203.71 Rabbit Song Building Material Co., Ltd ...... 229.04 203.71 Elegance International Inc ...... Tegaote Ceramics Co., Ltd ...... 229.04 203.71 Foshan Nanhai District Zhengbin New Materials Co., Ltd ...... 229.04 203.71 229.04 203.71 Everstone Industry (Qingdao) Co., Ltd ...... 229.04 203.71 Foshan Ant Buying Service Co., Ltd ...... Foshan Xindonglong Ceramic Co., Ltd ...... 229.04 203.71 Foshan Shiwan Yulong Ceramic Co., Ltd ...... 229.04 203.71 Heshan Heqiang Art China & Dinnerware Co., Ltd ...... 229.04 203.71 Foshan Kingfer Building Material Co., Ltd ...... 229.04 203.71 Luoding Junhua Ceramics Industrial Co., Ltd ...... 229.04 203.71 Foshan Xinamei Material Co., Ltd ...... 229.04 203.71 Foshan Be Tf Fu Decorative Material Co., Ltd ...... 229.04 203.71 Foshan Verona Borde Co., Ltd ...... 229.04 203.71 Jiangmen Xuri Ceramic Co., Ltd ...... 229.04 203.71 Foshan Yongzhuo Material Co., Ltd ...... 229.04 203.71 Sihui Jiefeng Material Co., Ltd ...... 229.04 203.71 Foshan Caidian Material Co., Ltd ...... 229.04 203.71 Foshan Artist Ceramics Co., Ltd ...... Sheng Taoju Ceramics ...... 229.04 203.71 Zhaoqing Langfeng Ceramics Co., Ltd ...... 229.04 203.71 Zhong Rong Ceramic Building Materials Co., Ltd ...... 229.04 203.71 Foshan Xindonglong Ceramic Co., Ltd ...... 229.04 203.71 Guangxi Jinmen Building Material Co., Ltd ...... 229.04 203.71 Fujian Lvdao Ecology Technology Co., Ltd ...... 229.04 203.71 Guangdong Fangxiang Ceramic Co., Ltd ...... 229.04 203.71 Foshan Nanhai Yuda Ceremics Co., Ltd ...... 229.04 203.71 Xinxing County Jin Mali Ceramics Co., Ltd ...... 229.04 203.71 Foshan Chancheng Lijiahua Ceramics Co., Ltd ...... 229.04 203.71 Foshan City Nanhai Junhong Ceramic Decoration Material Co., 229.04 203.71 Ltd. Foshan Atpalas Ceramics Co., Ltd ...... Foshan Yuanzhen Building Materials Co., Ltd ...... 229.04 203.71 Foshan CTC Group Co., Ltd ...... Guangdong Jiajun Ceramics Co., Ltd ...... 229.04 203.71 Foshan Disong Trading Co., Ltd ...... Zhaoqing Xinciyu Ceramics Co., Ltd ...... 229.04 203.71 Foshan Dolphin Trading Co., Ltd ...... Foshan Shiwan Yulong Ceramic Co., Ltd ...... 229.04 203.71 Si Hui Jiefeng Decoration Materials Co., Ltd ...... 229.04 203.71 Dongguan City Wonderful Ceramics Industrial Park Co., Ltd ...... 229.04 203.71 Luoding Junhua Ceramics Industrial Co., Ltd ...... 229.04 203.71 Guangdong Bode Fine Building Material Co., Ltd ...... 229.04 203.71 Kaiping Tilee’s Building Materials Co., Ltd ...... 229.04 203.71 Zhuhai Xuri Ceramics Co., Ltd ...... 229.04 203.71 Foshan Top Black Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Xinruncheng Ceramics Co., Ltd ...... 229.04 203.71 Heyuan Romantic Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Xiejin Ceramics Co., Ltd ...... 229.04 203.71 Liling Dolphin Ceramics Co., Ltd ...... 229.04 203.71 Foshan Oceano Ceramics Co., Ltd ...... 229.04 203.71
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Estimated Cash deposit weighted- rate average (adjusted Exporter Producer dumping for subsidy margin offsets) (percent) (percent)
Kaiping Lihang Building Materials Co., Ltd ...... 229.04 203.71 Hunan Tianxin Technology Co., Ltd ...... 229.04 203.71 Oyg Glass Spar Decoration Materials Co., Ltd ...... 229.04 203.71 Foshan Dongpeng Ceramic Co., Ltd ...... Qingyuan Nafuna Ceramics Co., Ltd ...... 229.04 203.71 Fengcheng Dongpeng Ceramics Co., Ltd ...... 229.04 203.71 Lixian Xinpeng Ceramic Co., Ltd ...... 229.04 203.71 Foshan Donghuashengchang New Material Co., Ltd ...... 229.04 203.71 Foshan Dongxin Economy And Trade Co., Ltd ...... Zhangzhou Aoli Ceramic Development Co., Ltd ...... 229.04 203.71 Foshan Eiffel Ceramic Co., Ltd ...... Foshan Bubuking Decorating Techniques Co., Ltd ...... 229.04 203.71 Guangdong Shenghui Ceramics Co., Ltd ...... 229.04 203.71 Qingyuan Baoshima Ceramics Co., Ltd ...... 229.04 203.71 Foshan Eminent Industry Development Co., Ltd ...... Foshan Huanqiu Ceramics Co., Ltd ...... 229.04 203.71 Foshan Everstone Import & Export Co., Ltd ...... Foshan Gani Ceramics Co., Ltd ...... 229.04 203.71 Foshan Gani Ceramics Co., Ltd ...... Qingyuan Gani Ceramics Co., Ltd ...... 229.04 203.71 Foshan Gold Medal Ceramics International Trade Co., Ltd ...... Guangdong Goldmedal Ceramics Co., Ltd ...... 229.04 203.71 Foshan Griffiths Building Material Ltd ...... Foshan Lihua Ceramics Co., Ltd ...... 229.04 203.71 Foshan Hudson Economics And Trade Co., Ltd ...... Guangdong Kito Ceramics Group Co., Ltd ...... 229.04 203.71 Foshan Shiwan Eagle Brand Ceramic Co., Ltd ...... 229.04 203.71 Guangdong Overland Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Bode Fine Building Material Co., Ltd ...... 229.04 203.71 Foshan Yuanmei Craft Ceramics Factory ...... 229.04 203.71 Foshan Nanhai Yuheng Decorative Material Co., Ltd ...... 229.04 203.71 Guangzhou Cowin New Materials Co., Ltd ...... 229.04 203.71 Guangdong Kito Trading Co., Ltd ...... 229.04 203.71 Foshan International Trade Co., Ltd ...... Foshan B&W Ceramics Co., Ltd ...... 229.04 203.71 Fogang Tongqing Ceramics Co., Ltd ...... 229.04 203.71 Foshan Junjing Industrial Co., Ltd ...... Guangdong Jialian Enterprise Ceramics Co., Ltd ...... 229.04 203.71 Foshan Jinhong Ceramics Co., Ltd ...... 229.04 203.71 Foshan Jinyi Ceramics Co., Ltd ...... 229.04 203.71 Foshan Nanhai Longpeng Vitrified Brick Co., Ltd ...... 229.04 203.71 Foshan Chancheng Oldenburg Ceramics Co., Ltd ...... 229.04 203.71 Fujian Nan’an Baoda Building Material Co., Ltd ...... 229.04 203.71 Guangdong Baiqiang Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Bode Fine Building Material Co., Ltd ...... 229.04 203.71 Foshan Huicheng Building Material Co., Ltd ...... 229.04 203.71 Foshan Jialeshi Building Material Co., Ltd ...... 229.04 203.71 Guangdong Jiamei Ceramics Co., Ltd ...... 229.04 203.71 Jiangxi Shiwan Global Ceramics Co., Ltd ...... 229.04 203.71 Xinxing County Jinmaili Ceramics Co., Ltd ...... 229.04 203.71 Foshan Lailida Building Material Co., Ltd ...... 229.04 203.71 Fujian Mingsheng Ceramic Development Co., Ltd ...... 229.04 203.71 Foshan Qiangshengda Building Material Co., Ltd ...... 229.04 203.71 Guangdong Shenghui Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Xiejin Ceramics Co., Ltd ...... 229.04 203.71 Qingyuan Xinjinshan Ceramics Co., Ltd ...... 229.04 203.71 Sihui Quanquan Ceramics Co., Ltd ...... 229.04 203.71 Enping Xiangda Ceramics Co., Ltd ...... 229.04 203.71 Foshan Xinhenglong Polishing Brick Co., Ltd ...... 229.04 203.71 Enping Xinjincheng Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Xinruncheng Ceramics Co., Ltd ...... 229.04 203.71 Foshan Shiwan Yulong Ceramics Co., Ltd ...... 229.04 203.71 Jiangmen Xinxingwei Building Material Co., Ltd ...... 229.04 203.71 Jinjiang Zhongrong Ceramic Building Material Co., Ltd ...... 229.04 203.71 Foshan Kiva Ceramics Co., Ltd ...... Guangdong Xinruncheng Ceramic Co., Ltd ...... 229.04 203.71 Foshan Nanhai Yuda Ceramic Co., Ltd ...... 229.04 203.71 Guangdong Shenghui Ceramic Co., Ltd ...... 229.04 203.71 Guangdong Kito Ceramic Trading Co., Ltd ...... 229.04 203.71 Zhaoqing Jincheng Ceramic Co., Ltd ...... 229.04 203.71 Guangdong Yongsheng Ceramic Co., Ltd ...... 229.04 203.71 Foshan Jialeshi Building Materials Co., Ltd ...... 229.04 203.71 Guangxi Yaou Ceramics Co., Ltd ...... 229.04 203.71 Foshan Nanhai Xinya Ceramic Co., Ltd ...... 229.04 203.71 Foshan Leo Import and Export Trading Co., Ltd ...... Foshan Jingmeida Ceramics Procuct Co., Ltd ...... 229.04 203.71 Fujian Yuekai Building Materials Industry Co., Ltd ...... 229.04 203.71 Guangxi Hengxi Building Materials Co., Ltd ...... 229.04 203.71 Foshan Shiwan Yulong Ceramic Co., Ltd ...... 229.04 203.71 Chaoyang Rongfu Ceramics Co., Ltd ...... 229.04 203.71 Xianning Xianzhuanjiang Building Materials Co., Ltd ...... 229.04 203.71 Jiangxi Jingcheng Ceramics Co., Ltd ...... 229.04 203.71 Jiangxi Wifi Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Jiajun Ceramics Co., Ltd ...... 229.04 203.71 Foshan Giania Ceramics Co., Ltd ...... 229.04 203.71 Foshan Ligaote Ceramics Co., Ltd ...... Foshan Ligaote Ceramics Co., Ltd ...... 229.04 203.71 Foshan Livin Ceramics Co., Ltd ...... Zhaoqing Jinhang Ceramics Co., Ltd ...... 229.04 203.71 Cenxi Lianchuang Ceramics Co., Ltd ...... 229.04 203.71 Foshan Mainland Import and Export Co., Ltd ...... Fujian Nanan Baoda Building Materials Co., Ltd ...... 229.04 203.71 Fujian Jinjiang Baoda Ceramics Co., Ltd ...... 229.04 203.71 Nan’an Xiejin Building Material Commercial Firm ...... 229.04 203.71 Nan’an Xiejin Building Materials Co., Ltd ...... 229.04 203.71
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Estimated Cash deposit weighted- rate average (adjusted Exporter Producer dumping for subsidy margin offsets) (percent) (percent)
Fujian Honghua Group Co., Ltd ...... 229.04 203.71 Fujian Xindezhou Ceramics Co., Ltd ...... 229.04 203.71 Foshan Medici Building Material Co., Ltd ...... Chaoyang Rongfu Ceramic Tile Co., Ltd ...... 229.04 203.71 Jianping Jinzheng Ceramic Tile Co., Ltd ...... 229.04 203.71 Fujian Yuekai Building Material Co., Ltd ...... 229.04 203.71 Fuzhou Hengyu Ceramic Tile Co., Ltd ...... 229.04 203.71 Fujian Minqing Ouya Ceramic Tile Co., Ltd ...... 229.04 203.71 Foshan Lazio Building Material Co., Ltd ...... 229.04 203.71 Zhaoqing Gaoyao Guangfu Ceramic Tile Co., Ltd ...... 229.04 203.71 Foshan Muzzi Decor And Tile Co., Ltd ...... Pingxiang Dacheng Ceramics Technologies Co., Ltd ...... 229.04 203.71 Foshan Oceanland Ceramics Co., Ltd ...... Foshan Super Ceramics Co., Ltd ...... 229.04 203.71 Qingyuan Baoshima Ceramic Co., Ltd ...... 229.04 203.71 Xinxing Jianxing Ceramics Co., Ltd ...... 229.04 203.71 Enping Quansheng Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Shenghui Ceramics Co., Ltd ...... 229.04 203.71 Foshan Paramount Import and Export Co., Ltd ...... Foshan Ligaote Ceramics Co., Ltd ...... 229.04 203.71 Foshan Nanhai District Energy Building Material Co., Ltd ...... 229.04 203.71 Foshan Shiwan Yulong Ceramic Co., Ltd ...... 229.04 203.71 Luoding Junhua Ceramics Industrial Co., Ltd ...... 229.04 203.71 Guangdong Bode Fine Building Material Co., Ltd ...... 229.04 203.71 Foshan Porcelain Plaza Trading Co., Ltd ...... Foshan Ottima Ceramic Co., Ltd ...... 229.04 203.71 Foshan Dongpeng Ceramic Co., Ltd ...... 229.04 203.71 Jinjiang City Zhongrong Ceramic Building Material Co., Ltd ...... 229.04 203.71 Foshan Bannilu Ceramic Co., Ltd ...... 229.04 203.71 Foshan Yibaiwang Building Material Co., Ltd ...... 229.04 203.71 Foshan Qualicer Industrial Co., Ltd ...... Guangzhou Cowin New Materials Co., Ltd ...... 229.04 203.71 Foshan Rainbow Color Export & Import Co., Ltd ...... Foshan Baleno Ceramic Co., Ltd ...... 229.04 203.71 Foshan Ligaote Ceramic Co., Ltd ...... 229.04 203.71 Heshan Heqiang Art China & Dinnerware Co., Ltd ...... 229.04 203.71 Jiangmen Xuri Ceramic Co., Ltd ...... 229.04 203.71 Foshan Shiwan Yulong Ceramic Co., Ltd ...... 229.04 203.71 Foshan Jingmeida Ceramic Products Co., Ltd ...... 229.04 203.71 Foshan Rhino Building Materials Co., Ltd ...... Guangdong Gold Medal Ceramics Co., Ltd ...... 229.04 203.71 Chaoyang Rong Fu Ceramic Co., Ltd ...... 229.04 203.71 Foshan Romantic Ceramics Co., Ltd ...... Heyuan Romantic Ceramics Co., Ltd ...... 229.04 203.71 Pingxiang Dacheng Ceramics Technology Co., Ltd ...... 229.04 203.71 Foshan Saiguan Import & Export Co., Ltd ...... Saifei (Guangdong) New Materials Co., Ltd ...... 229.04 203.71 FoShan San Honore Imp & Exp Co., Ltd ...... Quanzhou Zhiran Ceramics Company Ltd ...... 229.04 203.71 Fujian Zunwei Ceramics Company Ltd ...... 229.04 203.71 Foshan Sanden Enterprise Co., Ltd ...... Tegaote Ceramics Co., Ltd ...... 229.04 203.71 Zhaoqing Langfeng Ceramics Co., Ltd ...... 229.04 203.71 Guangzhou Cowin New Materials Co., Ltd ...... 229.04 203.71 Foshan Chengke New Material Co., Ltd ...... 229.04 203.71 Foshan Jingmeida Ceramics Co., Ltd ...... 229.04 203.71 Foshan Shangking Group Co., Ltd ...... Guangdong Qianghui (QHTC) Ceramics Co., Ltd ...... 229.04 203.71 Foshan Shiwan Yulong Ceramic Co., Ltd ...... Foshan Shiwan Yulong Ceramic Co., Ltd ...... 229.04 203.71 Foshan Sincere Building Materials Co., Ltd ...... Foshan City Lihua Ceramic Co., Ltd ...... 229.04 203.71 Enping City Huachang Ceramic Co., Ltd ...... 229.04 203.71 Foshan Soaraway Industrial Co., Ltd ...... Foshan Shiwan Yulong Ceramic Co., Ltd ...... 229.04 203.71 Foshan Tai-Decor Decoraiton Materials Co., Ltd ...... 229.04 203.71 Foshan Sumso Construction Materials Co., Ltd ...... Foshan Laili Ceramics Co., Ltd ...... 229.04 203.71 Foshan Sundare Building Materials Co., Ltd ...... Foshan Qingyuan Baoshima Co., Ltd ...... 229.04 203.71 Foshan New Henglong Polished Tiles Co., Ltd ...... 229.04 203.71 Foshan Nanhai Xinyiya Decoration Materials Co., Ltd ...... 229.04 203.71 Foshan Sunvin Ceramics Co., Ltd ...... Sihui Jie Feng Decoration Materials Co., Ltd ...... 229.04 203.71 Foshan Tbs Trading Co., Ltd ...... Foshan Jiameisheng Ceramic Co., Ltd ...... 229.04 203.71 Qingyuan Xinjinshan Ceramics Co., Ltd ...... 229.04 203.71 Zhuhai Xuri Ceramics Co., Ltd ...... 229.04 203.71 Foshan Elephome Ceramics Co., Ltd ...... 229.04 203.71 Jinjiang Zhongrong Ceramics Of Build Material Co., Ltd ...... 229.04 203.71 Quanzhou Yuanlong Building Materials Development Co., Ltd ... 229.04 203.71 Fujian Honghua Group Co., Ltd ...... 229.04 203.71 Foshan Nanhai Jinzhilan Decoration Material Co., Ltd ...... 229.04 203.71 Jinjiang Guoxing Ceramic Building Material Co., Ltd ...... 229.04 203.71 Guangdong Yongsheng Ceramics Co., Ltd ...... 229.04 203.71 Heyuan Romanic Ceramics Co., Ltd ...... 229.04 203.71 Zhaoqing Jinhang Ceramics Co., Ltd ...... 229.04 203.71 Foshan Yibao Ceramics Co., Ltd ...... 229.04 203.71 Qingyuan Ouya Ceramic Co., Ltd ...... 229.04 203.71 Foshan Top Black Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Jialian Enterprise Ceramics Co., Ltd ...... 229.04 203.71 Sihui City Xin Quan Ye Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Hemei Ceramic Co., Ltd ...... 229.04 203.71 Fujian Jinjiang Lianxing Building Materials Co., Ltd ...... 229.04 203.71 Foshan New Yidian Ceramic Co., Ltd ...... 229.04 203.71 Foshan Tianyao Ceramics Co., Ltd ...... Guangdong Sihui Kedi Ceramics Co., Ltd ...... 229.04 203.71 Foshan Uni-Depot Porcelanico Co., Ltd ...... Guangdong Tianbi Ceramicsco., Ltd ...... 229.04 203.71 Foshan United Export Co., Ltd ...... Guangdong Shenghui Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Zhongsheng Ceramics Co., Ltd ...... 229.04 203.71
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Estimated Cash deposit weighted- rate average (adjusted Exporter Producer dumping for subsidy margin offsets) (percent) (percent)
Fujian Honghua Group Co., Ltd ...... 229.04 203.71 Guangdong Godbet Ceramics Co., Ltd ...... 229.04 203.71 Fujian Nan’an Baoda Building Material Co. Ltd ...... 229.04 203.71 Zhangzhou City Aoli Ceramic Development Co., Ltd ...... 229.04 203.71 Foshan Viewgres Co., Ltd ...... Guangdong Bohua Ceramics Co., Ltd ...... 229.04 203.71 Shandong Tongyi Ceramics Science & Technology Co., Ltd ...... 229.04 203.71 Shandong Green Ceramics Co., Ltd ...... 229.04 203.71 Ginca Ceramics Co., Ltd ...... 229.04 203.71 Xiejin Ceramics Co., Ltd ...... 229.04 203.71 Foshan Yigao Ceramic Co., Ltd ...... 229.04 203.71 Enping City Huachang Ceramic Company Limited ...... 229.04 203.71 Guangzhou Cowin New Materials Co., Ltd ...... 229.04 203.71 Kaiping Kunen Building Materials Co., Ltd ...... 229.04 203.71 Foshan Walton Building Materials Co., Ltd ...... Belite Ceramics (Anyang) Co., Ltd ...... 229.04 203.71 Lianxing Ceramics Co., Ltd ...... 229.04 203.71 Foshan Yibao Ceramics Co., Ltd ...... 229.04 203.71 Foshan Gaosheng Building Materials Co., Ltd ...... 229.04 203.71 Foshan Shiwan Eagle Brand Ceramic Co., Ltd ...... 229.04 203.71 Xingning Toscana Ceramics Co., Ltd ...... 229.04 203.71 Foshan Winbill Trading Company Limited ...... Guangdong Yonghang Advanced Materials Industrial Co., Ltd ... 229.04 203.71 Foshan Yinghui Industrial Co., Ltd ...... Heshan Heqiang Art China & Dinnerware Co., Ltd ...... 229.04 203.71 Fujian Minmetals Cbm Co., Ltd ...... Fujian Minqing Ouya Ceramic Tile Co., Ltd ...... 229.04 203.71 Xinxing Jianxing Ceramics Co., Ltd ...... 229.04 203.71 Tianjin Belite Ceramics Co., Ltd. Foshan Branch ...... 229.04 203.71 Fujian Minqing Hao Ye Ceramics Co., Ltd ...... Fujian Minqing Hao Ye Ceramics Co., Ltd ...... 229.04 203.71 Fuzhou Shuangxin Ceramic Co., Ltd ...... Fujian Xindezhou Ceramic Co., Ltd ...... 229.04 203.71 Fujian Nan’an Baoda Building Material Co., Ltd ...... 229.04 203.71 Fujian Zhuangyi Building Material Co., Ltd ...... 229.04 203.71 Zhangzhou Aoli Ceramic Development Co., Ltd ...... 229.04 203.71 Gearex Corporation ...... Kaiping Tilee’s Building Materials Co., Ltd ...... 229.04 203.71 Foshan Oceano Ceramics Co., Ltd ...... 229.04 203.71 Jingdezhen Oceano Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Xinruncheng Ceramics Co., Ltd ...... 229.04 203.71 Foshan Kioro Trade Co., Ltd ...... 229.04 203.71 Zhaoqing Xinhe Ceramics Co., Ltd ...... 229.04 203.71 Fogang Tongqing Ceramics Co., Ltd ...... 229.04 203.71 Foshan Bolier Building Materials Co., Ltd ...... 229.04 203.71 Guandong Kasor Ceramics Technology Co., Ltd ...... 229.04 203.71 Max Glory International Ltd ...... 229.04 203.71 Rongfu Ceramics Co., Ltd ...... 229.04 203.71 Tegaote Ceramics Co., Ltd ...... 229.04 203.71 Elegance International Inc ...... 229.04 203.71 Foshan Shiwan Yulong Ceramic Co., Ltd ...... 229.04 203.71 Foshan Top-Black Ceramic Co., Ltd ...... 229.04 203.71 Kim Hin Ceramics (Shanghai) Co., Ltd ...... 229.04 203.71 Jiangxi Province Shiwan Huanqiu Ceramics Co., Ltd ...... 229.04 203.71 Foshan Huanqiu Ceramics Co., Ltd ...... 229.04 203.71 Foshan Leo Import And Export Trading Co., Ltd ...... 229.04 203.71 Gearex Technical Ceramic Kun Shan Co., Ltd ...... 229.04 203.71 Global Trading Co., Ltd ...... Guangdong Kito Ceramic Trading Co., Ltd ...... 229.04 203.71 Guangdong Bode Fine Building Material Co ...... Guangdong Bode Fine Building Material Co ...... 229.04 203.71 Guangdong Jiajun Ceramics Co., Ltd ...... Guangdong Jiajun Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Jiamei Ceramics Co., Ltd ...... Guangdong Jiamei Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Jinying Import & Export Co., Ltd ...... Guangdong Sheng Hui Ceramics Co., Ltd ...... 229.04 203.71 Xingning Toscana Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Jialian Enterprise Ceramics Co., Ltd ...... 229.04 203.71 Jiangxi Shiwan Huanqiu Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Kito Ceramics Group Co., Ltd ...... Jingdezhen Kito Ceramic Co., Ltd ...... 229.04 203.71 Foshan Sanshui Kito Ceramic Co., Ltd ...... 229.04 203.71 Guangdong Gold Medal Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Monalisa Trading Co., Ltd ...... Monalisa Group Co., Ltd ...... 229.04 203.71 Guangdong Overland Ceramics Co., Ltd ...... Guangdong Overland Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Winto Ceramics Co., Ltd ...... Guangdong Homeway Ceramics Co., Ltd ...... 229.04 203.71 Hangzhou Nabel China Co., Ltd ...... Deqing Nabel Co., Ltd ...... 229.04 203.71 Heyuan Dongyuan Eagle Brand Ceramic Co., Ltd ...... Heyuan Dongyuan Eagle Brand Ceramic Co., Ltd ...... 229.04 203.71 Hoe Hin Building Materials Co., Limited ...... Foshan liangjian ceramics Co., Limited ...... 229.04 203.71 Guangdong Bode Fine Building Material ...... 229.04 203.71 Kaipingkunenbuilding Materials Co., Ltd ...... 229.04 203.71 Zhaoqing Langfeng Ceramics Co., Ltd ...... 229.04 203.71 Kaiping Tilee’s Building Materials Co ...... 229.04 203.71 Foshan Shanghui decoration material Co., Ltd ...... 229.04 203.71 Tegaote Ceramics Co., Ltd ...... 229.04 203.71 Fogang Tongqing Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Xinruncheng Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Simpire Building Material Co., Ltd ...... 229.04 203.71 Foshan Newyidian Ceramic Co., Ltd ...... 229.04 203.71 Foshan Shiwan Yulong Ceramic Co; Ltd ...... 229.04 203.71 Hong Kong Kito Cerarnic Co., Limited ...... Guangdong Kito Ceramics Group Co., Ltd ...... 229.04 203.71 Jingdezhen Kito Ceramic Co., Ltd ...... 229.04 203.71
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Estimated Cash deposit weighted- rate average (adjusted Exporter Producer dumping for subsidy margin offsets) (percent) (percent)
Foshan Sanshui Kito Ceramic Co., Ltd ...... 229.04 203.71 Guangdong Gold Medal Ceramics Co., Ltd ...... 229.04 203.71 JDD Industry Co., Limited ...... Guangdong KITO Ceramics Group Co., Ltd ...... 229.04 203.71 Guangdong KITO Trading Co., Ltd ...... 229.04 203.71 Guangdong Bode Fine Building Material Co., Ltd ...... 229.04 203.71 White Rabbit Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Xinruncheng Ceramics Co., Ltd ...... 229.04 203.71 Heyuan Dongyuan Eagle Brand Ceramic Co., Ltd ...... 229.04 203.71 Enping Jingye Ceramic Co., Ltd ...... 229.04 203.71 Guangdong Shenghui Ceramics Co., Ltd ...... 229.04 203.71 Zhaoqing Guoshi Enterprise Mingjia Ceramics Co., Ltd ...... 229.04 203.71 Fogang Tongqing Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Overland Ceramics Co., Ltd ...... 229.04 203.71 Dongguan City Wonderful Ceramics Industrial Park Co., Ltd ...... 229.04 203.71 Dongguan City Wonderful Decoration Materials Co., Ltd ...... 229.04 203.71 Guangdong Jiamei Ceramics Co., Ltd ...... 229.04 203.71 Jiangxi Hemei Ceramics Co., Ltd ...... 229.04 203.71 GuangDong Simpire Building Materials Co., Ltd ...... 229.04 203.71 Fujian Chaosheng Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Tianbi Ceramics Co., Ltd ...... 229.04 203.71 Jiangxi Wifi Ceramics Co., Ltd ...... Jiangxi Sun Ceramics Co., Ltd ...... 229.04 203.71 Jingdezhen Kito Ceramic Co., Ltd ...... Jingdezhen Kito Ceramic Co., Ltd ...... 229.04 203.71 Guangdong Gold Medal Ceramic Co., Ltd ...... 229.04 203.71 Jingdezhen Seed Ceramic Co., Ltd ...... Jingdezhen Seed Ceramic Co., Ltd ...... 229.04 203.71 Kaiping City China Trade Import & Export Co., Ltd ...... Kaiping Tilee’s Building Materials Co., Ltd ...... 229.04 203.71 Kertiles (Foshan) Inc ...... Guangdong Shenghui Ceramics Co., Ltd ...... 229.04 203.71 Bite Mosaic Co., Ltd ...... 229.04 203.71 Foshan Nanhai Suode Mosaic Co., Ltd ...... 229.04 203.71 Guangdong Xinruncheng Ceramics Co., Ltd ...... 229.04 203.71 Foshan Jialeshi Building Co., Ltd ...... 229.04 203.71 Foshan Lailida Ceramics Co., Ltd ...... 229.04 203.71 Love Song Mosaic Co., Ltd ...... 229.04 203.71 Linyi Aoda Ceramic Co., LTD ...... 229.04 203.71 Toptiles International Shangdong Limited ...... 229.04 203.71 Linyi Lianshun Cermaics Co., Ltd ...... 229.04 203.71 Foshan Nanhai Yuda Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Yonghang New Materials Industry Co., Ltd ...... 229.04 203.71 Guangdong Yongsheng Ceramics Co., Ltd ...... 229.04 203.71 Foshan Viewgres Co., Ltd ...... 229.04 203.71 Shandong Lion king Ceramics Science & Technology Com- 229.04 203.71 pany., Ltd. Quanzhou Minmetals Huayi Trading Co., Ltd ...... 229.04 203.71 Heyuan Dongyuan Eagle Brand Ceramics Co., Ltd ...... 229.04 203.71 Foshan Liangjian Ceramics Co., Ltd ...... 229.04 203.71 Foshan Bull Ceramics Co., Ltd ...... 229.04 203.71 Foshan Huiya Ceramics Co., Ltd ...... 229.04 203.71 Foshan Jinmali Ceramics Co., Ltd ...... 229.04 203.71 Shandong Qidu Ceramics Co., Ltd ...... 229.04 203.71 Shandong Jiabao Ceramics Co., Ltd ...... 229.04 203.71 Foshan Huan Qiu Ceramics ...... 229.04 203.71 Jiangmen Xuri Ceramics Co., Ltd ...... 229.04 203.71 Kim Hin Ceramics (Shanghai) Co., Ltd ...... KIM HlN CERAMICS (SHANGHAI) CO., LTD ...... 229.04 203.71 McMarmocer Ceramics Limited ...... Guangdong Overland Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Yonghang New Materials Industry Co., Ltd ...... 229.04 203.71 Guangdong Owenlai Ceramics Co., Ltd ...... 229.04 203.71 Guangdong High Microcrystal Technology Co., Ltd ...... 229.04 203.71 Foshan Shiwan Yulong Ceramics Co., Ltd ...... 229.04 203.71 Megacera Incorporation Limited ...... Foshan Giance Trading Co., Ltd ...... 229.04 203.71 Foshan Accuwealth Trading Co., Ltd ...... 229.04 203.71 Modern Home Ceramics Co., Limited ...... Zibo Fengxia Ceramics Co., Ltd ...... 229.04 203.71 Zibo Jin Yi Ceramics Co., Ltd ...... 229.04 203.71 Nanning Ying Jin Ling Trade Co., Ltd ...... Saifei (Guangdong) New Materials Co., Ltd ...... 229.04 203.71 Guangdong Fuqiang Ceramic Co., Ltd ...... 229.04 203.71 Foshan Rongyi Construction Materials Co., Ltd ...... 229.04 203.71 Foshan Cizun Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Xie Jin Ceramics Co., Ltd ...... 229.04 203.71 New Zhong Yuan Ceramics Import & Export Co., Ltd. of Southern Building Materials and Sanitary Co., Ltd of Qingyuan 229.04 203.71 Guangdong. City. Guangdong Luxury Micro-Crystal Stone Technology Co., Ltd ..... 229.04 203.71 Jiangxi Fuligao Ceramics Co., Ltd ...... 229.04 203.71 Hubei Baojiali Ceramics Co., Ltd ...... 229.04 203.71 Porschelain Building Materials Co., Ltd ...... Guangdong Gold Medal Ceramics Co., Ltd ...... 229.04 203.71 Qingdao Oriental Bright Trading Co., Ltd ...... Zibo Fengxia Ceramics Co., Ltd ...... 229.04 203.71 Zibo Jin Yi Ceramics Co., Ltd ...... 229.04 203.71 Quanzhou Lans Ceramic Products Co., Ltd ...... Fujian Tilechina Industrial Co., Ltd ...... 229.04 203.71 Quanzhou Yuanlong Building Materials Development Co., Ltd ... 229.04 203.71 Fujian Likai Ceramic Co., Ltd ...... 229.04 203.71 Fujian Jinjiang Jincheng Ceramics Co., Ltd ...... 229.04 203.71 Rabbit Song Building Material Co., Ltd ...... White Rabbit Ceramics Co., Ltd ...... 229.04 203.71
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Estimated Cash deposit weighted- rate average (adjusted Exporter Producer dumping for subsidy margin offsets) (percent) (percent)
Shandong Kingstone Ceramics Co., Ltd ...... Shandong Lianzhong Ceramics Co., Ltd ...... 229.04 203.71 Shandong Shunwei Ceramics Co., Ltd ...... 229.04 203.71 Zibo Xinyijin Ceramic Technology Co., Ltd ...... 229.04 203.71 Shanghai Gaudimila Import & Exporter Co., Ltd ...... Shanghai Gaudimila Construction Materials Co., Ltd ...... 229.04 203.71 Sinorock (Jiangxi) Co., Ltd ...... Fujian Huatai Group Co., Ltd ...... 229.04 203.71 Stota Ceramics Co., Ltd ...... Xingning Toscana Ceramics Co., Ltd ...... 229.04 203.71 Foshan Xinyidian Colored Ceramics Co., Ltd ...... 229.04 203.71 Foshan Sanshui Kaililai Craft Products Co., Ltd ...... 229.04 203.71 Gaoyao Tegaote Chinaware Co., Ltd ...... 229.04 203.71 Guangdong Shenghui Ceramics Co., Ltd ...... 229.04 203.71 Foshan Yitao Building Materials Co., Ltd ...... 229.04 203.71 Foshan Hangxin Building Materials Co., Ltd ...... 229.04 203.71 Foshan Saize Decorative Materials Co., Ltd ...... 229.04 203.71 Foshan Nanhai Suode Glass Technics Co., Ltd ...... 229.04 203.71 Jiangmen Huatao Ceramics Co., Ltd ...... 229.04 203.71 Temgoo International Trading Limited ...... Xinxing Jianxing Ceramics Co., Ltd ...... 229.04 203.71 Xinxingxian Yinghao Ceramics Co., Ltd ...... 229.04 203.71 Zhaoqingshi Gaoyaoqu Xingda Ceramics Co., Ltd ...... 229.04 203.71 Foshan Skyplanet Import & Export Co., Ltd ...... 229.04 203.71 The Tile Shop (Beijing) Trading Company, Ltd ...... Belite Ceramics (Anyang) Co., Ltd ...... 229.04 203.71 Foshan Xindonglong Ceramic Co., Ltd ...... 229.04 203.71 Quality Tile Co., Ltd ...... 229.04 203.71 Super Building Material Co., Ltd. (Xiamen) ...... Xiamen Aidi Building Materials Industry Co., Ltd ...... 229.04 203.71 Zhangzhou Sage Building Material Technology Co., Ltd ...... 229.04 203.71 Zhangzhou Huitai Building Materials Technology Co., Ltd ...... 229.04 203.71 Quanzhou Zhengyifang Ceramic Technology Co., Ltd ...... 229.04 203.71 Foshan Nanhai Meitian Glass Technology Co., Ltd ...... 229.04 203.71 Yunfu Jiapeng Stone Co., Ltd ...... 229.04 203.71 Foshan Debang Building Material Co., Ltd ...... 229.04 203.71 Foshan Longjing Decoration Materials Co., Ltd ...... 229.04 203.71 Yekalon Industry Inc ...... Fujian Minqing Tenglong Ceramics Co., Ltd ...... 229.04 203.71 Romantic Ceramics Co., Ltd ...... 229.04 203.71 Foshan Shiwan Eagle Brand Ceraminc Ltd ...... 229.04 203.71 Fujian Hongxing Ceramic Development Co., Ltd ...... 229.04 203.71 Fujian Zhangzhou Ruicheng Ceramics Co., Ltd ...... 229.04 203.71 Foshan Nanhai District Traven Development Decorative Tiles 229.04 203.71 Co., Ltd. Foshan Czun Ceramics Co., Ltd ...... 229.04 203.71 Foshan Qiangguan Building Materials Co., Ltd ...... 229.04 203.71 Foshan Jiana Ceramics Co., Ltd ...... 229.04 203.71 Foshan GIANIA Ceramics ...... 229.04 203.71 Guangdong Shenghui Ceramics Co., Ltd ...... 229.04 203.71 Foshan Tai-Decor Decoration Materials Co., Ltd ...... 229.04 203.71 Fujian Minqing Jintao Ceramic Co., Ltd ...... 229.04 203.71 Foshan Lihua Ceramics Co., Ltd ...... 229.04 203.71 Xingning Toscana Ceramics Co., Ltd ...... 229.04 203.71 Foshan Nanhai Shengguan Building Materials Co., Ltd ...... 229.04 203.71 Jinjiang Zhongrong Ceramic Building Material Co., Ltd ...... 229.04 203.71 Foshan Yangguang Ceramics Co., Ltd ...... 229.04 203.71 Xindonglong Ceramices Co., Ltd ...... 229.04 203.71 Jinshajiang Ceramics Co., Ltd ...... 229.04 203.71 Enping Yijian Ceramics Co., Ltd ...... 229.04 203.71 Jiangmen Huatao Ceramic Co., Ltd ...... 229.04 203.71 Guangdong Jialian Enterprise Ceramics Co., Ltd ...... 229.04 203.71 Guangdong Xinruncheng Ceramics Co., Ltd ...... 229.04 203.71 Fujian Huatai Group Co., Ltd ...... 229.04 203.71 Fujian Honghua Group Co., Ltd ...... 229.04 203.71 Guangdong Yonghang New Materials Industry Co., Ltd ...... 229.04 203.71 Jiangxi Jingcheng Ceramics Co., Ltd ...... 229.04 203.71 Zhaoqing Langfeng Ceramics Co., Ltd ...... 229.04 203.71 Foshan Top-Black Ceramic Co., Ltd ...... 229.04 203.71 Zhaoqing Xinhe Ceramics Co., Ltd ...... 229.04 203.71 Yingfei International Limited ...... Foshan Shuangou Ceramics Co., Ltd ...... 229.04 203.71 Foshan Yinghui Industrial Co., Ltd ...... Heshan Heqiang Art China & Dinnerware Co., Ltd ...... 229.04 203.71 Zhuhai Xuri Star Trading Co., Ltd ...... Zhuhai City Doumen District Xuri Pottery and Porcelain Com- 229.04 203.71 pany Limited. Zi Bo Teng Chen International Trade Co., Ltd ...... Zibo Jinhao Ceramics Co., Ltd ...... 229.04 203.71 Shandong Yuan Feng Ceramics Co., Ltd ...... 229.04 203.71 Zibo Belin Trading Co., Ltd ...... Shandong Lion King Ceramic Technology & Science Co., Ltd .... 229.04 203.71 Shandong Yuanfeng Ceramic Co., Ltd ...... 229.04 203.71 Shandong Shunwei Ceramic Co., Ltd ...... 229.04 203.71 Zibo Jiaxi Group Co., Ltd ...... Shandong Lionking Ceramics Co., Ltd ...... 229.04 203.71 Shandong Gengci Group Co., Ltd ...... 229.04 203.71 Shandong Lianzhong Ceramics Co., Ltd ...... 229.04 203.71 Shandong Greenkey Ceramics Co., Ltd ...... 229.04 203.71 Shandong Yuxi Ceramics Co., Ltd ...... 229.04 203.71 Zibo Jinhao Ceramics Co., Ltd ...... 229.04 203.71 Shandong Shunyuan Ceramics Co., Ltd ...... 229.04 203.71 Shandong Yuma Ceramics Co., Ltd ...... 229.04 203.71
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Estimated Cash deposit weighted- rate average (adjusted Exporter Producer dumping for subsidy margin offsets) (percent) (percent)
Shandong Shunwei Ceramics Co., Ltd ...... 229.04 203.71 Zibo New Jinyi Ceramic And Technoogy Co., Ltd ...... 229.04 203.71 Zibo Ginca Ceramics Co., Ltd ...... 229.04 203.71 Linyi Aoda Ceramics Co., Ltd ...... 229.04 203.71 Zibo Lipin Ceramic Co., Ltd ...... Shandong Shunwei Ceramics Co., Ltd ...... 229.04 203.71 Shandong Yuanfeng Ceramics Co., Ltd ...... 229.04 203.71 Shandong Shiziwang Ceramics Technology Co., Ltd ...... 229.04 203.71 Shandong Zibo Luzhong Construction Materials Plant ...... 229.04 203.71 Shandong Mingyu Ceramics Technology Co., Ltd ...... 229.04 203.71 Zibo Xinjinyi Ceramics Technology Co., Ltd ...... 229.04 203.71 Shandong Guorun Ceramics Co., Ltd ...... 229.04 203.71 Zibo Jinyi Ceramics Co., Ltd ...... 229.04 203.71 Anyang Fuerjia Ceramics Technology Co., Ltd ...... 229.04 203.71 Shandong Gengci Group Co., Ltd ...... 229.04 203.71 Zhangzhou Aoli Ceramics Development Co., Ltd ...... 229.04 203.71 Nan’an Kuoda Construction Materials Co., Ltd ...... 229.04 203.71 Foshan Modern Mingshi Ceramics Co., Ltd ...... 229.04 203.71 China-Wide Entity 16 ...... 356.02 330.69 16 Including: Belite Ceramics (Anyang) Co., Ltd., Beilitai (Tianjin) Tile Co., Ltd., Tianjin Honghui Creative Technology Co., Ltd., Foshan Sanfi Import & Export Co., Ltd., Foshan Foson Tiles Co., Ltd., and Foshan Ibel Import and Export Ltd.
Continuation of Suspension of where appropriate. In the companion issue an AD order directing CBP to Liquidation countervailing duty (CVD) investigation assess, upon further instruction by In accordance with section we found that an export subsidy Commerce, duties on all imports of the 735(c)(1)(B) of the Act, we will instruct adjustment of 25.33 percent to the cash subject merchandise entered, or U.S. Customs and Border Protection deposit rate is warranted, because this is withdrawn from warehouse, for (CBP) to continue to suspend the export subsidy rate included in the consumption on or after the effective liquidation of all entries of ceramic tile CVD all-others rate to which the date of the suspension of liquidation. separate-rate companies are subject. As from China, as described in the ‘‘Scope Notification Regarding Administrative part of our determination in this final of the Investigation’’ section, entered, or Protective Orders (APO) withdrawn from warehouse, for determination to apply AFA to the consumption on or after November 14, China-wide entity, Commerce has In the event that the ITC issues a final 2019, the date of publication of the adjusted the China-wide entity’s AD negative injury determination, this Preliminary Determination notice in the cash deposit rate by the lowest export notice will serve as the only reminder Federal Register. subsidy rate determined for any party in to parties subject to the APO of their Pursuant to section 735(c)(1)(B)(ii) of the companion CVD proceeding, i.e., responsibility concerning the the Act, Commerce will instruct CBP to 25.33 percent.18 destruction of proprietary information require a cash deposit 17 equal to the disclosed under APO in accordance International Trade Commission (ITC) with 19 CFR 351.305(a)(3). Timely weighted-average amount by which Notification normal value exceeds U.S. price as written notification of the return/ follows: (1) The cash deposit rate for the In accordance with section 735(d) of destruction of APO materials or exporter/producer combination listed in the Act, we will notify the ITC of the conversion to judicial protective order is the table above will be the rate final affirmative determination of sales hereby requested. Failure to comply identified for that combination in the at LTFV. As Commerce’s final with the regulations and terms of an table; (2) for all combinations of China determination is affirmative, in APO is a violation which is subject to exporters/producers of subject accordance with section 735(b)(2) of the sanction. Act, the ITC will determine, within 45 merchandise that have not received Notification to Importers their own separate rate above, the cash- days, whether the domestic industry in deposit rate will be the cash deposit rate the United States is materially injured, This notice also serves as an initial established for the China-wide entity; or threatened with material injury, by reminder to importers of their and (3) for all non-China exporters of reason of imports of ceramic tile from responsibility under 19 CFR 351.402(f) the subject merchandise which have not China, or sales (or the likelihood of to file a certificate regarding the received their own separate rate above, sales) for importation, of ceramic tile reimbursement of AD duties prior to the cash-deposit rate will be the cash from China. If the ITC determines that liquidation. Failure to comply with this deposit rate applicable to the China such injury does not exist, this requirement could result in Commerce’s exporter/producer combination that proceeding will be terminated, and all presumption that reimbursement of AD supplied that non-China exporter. These securities posted will be refunded or duties occurred and the subsequent suspension of liquidation instructions canceled. If the ITC determines that assessment of doubled AD duties. will remain in effect until further notice. such injury does exist, Commerce will Notification to Interested Parties We normally adjust AD cash deposit rates by the amount of export subsidies, 18 See, e.g., Certain Passenger Vehicle and Light This determination is issued and Truck Tires from the People’s Republic of China: published in accordance with sections 17 See Modification of Regulations Regarding the Preliminary Determination of Sales at Less Than 735(d) and 777(i)(1) of the Act, and 19 Practice of Accepting Bonds During the Provisional Fair Value; Preliminary Affirmative Determination CFR 351.210(c). Note that Commerce Measures Period in Antidumping and of Critical Circumstances; In Part and Countervailing Duty Investigations, 76 FR 61042 Postponement of Final Determination, 80 FR 4250 has temporarily modified certain of its (October 3, 2011). (January 27, 2015), and accompanying IDM at 35. requirements for serving documents
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containing business proprietary Appendix II—Issues and Decision May 12, 2020.2 For a complete information, until May 19, 2020, unless Memorandum description of events that occurred since extended.19 the Preliminary Results, see the Issues I. Summary 3 Dated: March 30, 2020. II. Background and Decision Memorandum. Jeffrey I. Kessler, III. Scope Comments Scope of the Order IV. Scope of the Investigation Assistant Secretary for Enforcement and The merchandise covered by the order Compliance. V. China-Wide Rate VI. Adjustment to Cash Deposit Rate for is certain lined paper products from Appendix I—Scope of the Investigation Export Subsidies India. For a complete description of the VII. Critical Circumstances scope of this order, see the Issues and The merchandise covered by this VIII. Discussion of the Issues Decision Memorandum. investigation is ceramic flooring tile, wall Comment 1: Separate Rate Status of Belite tile, paving tile, hearth tile, porcelain tile, Comment 2: Separate Rate Status of Foshan Final Determination of No Shipments mosaic tile, flags, finishing tile, and the like Sanfi In the Preliminary Results, we (hereinafter ceramic tile). Ceramic tiles are Comment 3: Calculation of the Separate articles containing a mixture of minerals preliminarily found that Lodha Offset Rate including clay (generally hydrous silicates of Limited, Pioneer Stationery Private Comment 4: Other Issues alumina or magnesium) that are fired so the IX. Recommendation Limited, and Marisa International had raw materials are fused to produce a finished no shipments of subject merchandise good that is less than 3.2 cm in actual [FR Doc. 2020–07188 Filed 4–6–20; 8:45 am] during the POR. Following the thickness. All ceramic tile is subject to the BILLING CODE 3510–DS–P publication of the Preliminary Results, scope regardless of end use, surface area, and we received no comments from weight, regardless of whether the tile is interested parties regarding these glazed or unglazed, regardless of the water DEPARTMENT OF COMMERCE absorption coefficient by weight, regardless companies, nor has any party submitted of the extent of vitrification, and regardless International Trade Administration record evidence which would call our of whether or not the tile is on a backing. preliminary determination of no Subject merchandise includes ceramic tile [A–533–843] shipments into question. Therefore, for with decorative features that may in spots the final results, we continue to find exceed 3.2 cm in thickness and includes Certain Lined Paper Products From that these three companies had no ceramic tile ‘‘slabs’’ or ‘‘panels’’ (tiles that are India: Final Results of Antidumping shipments of subject merchandise larger than 1 meter2 (11 ft.2)). Duty Administrative Review and Final Subject merchandise includes ceramic tile during the POR. Accordingly, consistent Determination of No Shipments; 2017– with Commerce’s practice, we intend to that undergoes minor processing in a third 2018 country prior to importation into the United instruct U.S. Customs and Border States. Similarly, subject merchandise AGENCY: Enforcement and Compliance, Protection (CBP) to liquidate any includes ceramic tile produced that International Trade Administration, existing entries of merchandise undergoes minor processing after importation Department of Commerce. produced by these three companies, but into the United States. Such minor exported by other parties, at the rate for processing includes, but is not limited to, one SUMMARY: The Department of Commerce (Commerce) determines that Navneet the intermediate reseller, if available, or or more of the following: Beveling, cutting, 4 trimming, staining, painting, polishing, Education Ltd. (Navneet) made sales of at the all-others rate. finishing, additional firing, or any other certain lined paper products (CLPP) Analysis of Comments Received processing that would otherwise not remove from India below normal value (NV), All issues raised in the case and the merchandise from the scope of the and SAB International (SAB) did not, rebuttal briefs by interested parties are investigation if performed in the country of during the period of review (POR) addressed in the Issues and Decision manufacture of the in-scope product. September 1, 2017 through August 31, Subject merchandise is currently classified Memorandum. The list of issues that 2018. in the Harmonized Tariff Schedule of the interested parties raised, and to which United States (HTSUS) under the following DATES: Applicable April 7, 2020. we responded in the Issues and subheadings of heading 6907: 6907.21.1005, FOR FURTHER INFORMATION CONTACT: Decision Memorandum, are identified 6907.21.1011, 6907.21.1051, 6907.21.2000, Samuel Brummitt (for Navneet) and in the appendix to this notice. The 6907.21.3000, 6907.21.4000, 6907.21.9011, Cindy Robinson (for SAB), AD/CVD 6907.21.9051, 6907.22.1005, 6907.22.1011, Issues and Decision Memorandum is a 6907.22.1051, 6907.22.2000, 6907.22.3000, Operations, Office III, Enforcement and public document and is on file 6907.22.4000, 6907.22.9011, 6907.22.9051, Compliance, International Trade electronically via Enforcement and 6907.23.1005, 6907.23.1011, 6907.23.1051, Administration, U.S. Department of Compliance’s Antidumping and 6907.23.2000, 6907.23.3000, 6907.23.4000, Commerce, 1401 Constitution Avenue Countervailing Duty Centralized 6907.23.9011, 6907.23.9051, 6907.30.1005, NW, Washington, DC 20230; telephone: Electronic Service System (ACCESS). 6907.30.1011, 6907.30.1051, 6907.30.2000, (202) 482–7851 or (202) 482–3797, 6907.30.3000, 6907.30.4000, 6907.30.9011, respectively. 2 See Memorandum, ‘‘Certain Lined Paper 6907.30.9051, 6907.40.1005, 6907.40.1011, SUPPLEMENTARY INFORMATION: Products from India: Extension of Time Limit for 6907.40.1051, 6907.40.2000, 6907.40.3000, Final Results of Antidumping Duty Administrative 6907.40.4000, 6907.40.9011, and Background Review: 2017–2018,’’ dated February 28, 2020. 6907.40.9051. Subject merchandise may also 3 See Memorandum, ‘‘Certain Lined Paper enter under subheadings of headings 6914 Commerce published the Preliminary Products from India: Issues and Decision and 6905: 6914.10.8000, 6914.90.8000, Results on November 14, 2019.1 On Memorandum for the Final Results of Antidumping 6905.10.0000, and 6905.90.0050. The HTSUS February 28, 2020, Commerce extended Duty Administrative Review; 2017–2018,’’ dated concurrently with, and hereby adopted by, this subheadings are provided for convenience the deadline for these final results until and customs purposes only. The written notice (Issues and Decision Memorandum). 4 description of the scope of this investigation See, e.g., Magnesium Metal from the Russian 1 See Certain Lined Paper Products from India: Federation: Preliminary Results of Antidumping is dispositive. Preliminary Results of Antidumping Duty Duty Administrative Review, 75 FR 26922, 26923 Administrative Review, Preliminary Determination (May 13, 2010), unchanged in Magnesium Metal 19 See Temporary Rule Modifying AD/CVD of No Shipments; 2017–2018, 84 FR 61887 from the Russian Federation: Final Results of Service Requirements Due to COVID–19, 85 FR (November 14, 2019) (Preliminary Results), and Antidumping Duty Administrative Review, 75 FR 17006 (March 26, 2020). accompanying Preliminary Decision Memorandum. 56989 (September 17, 2010).
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ACCESS is available to registered users Disclosure review; (2) for merchandise exported by at https://access.trade.gov, and to all We intend to disclose the calculations manufacturers or exporters not covered parties in the Central Records Unit performed in connection with these in this administrative review but (CRU), Room B8024 of the main final results within five days after covered in a prior segment of the Commerce building. In addition, a publication of these final results in the proceeding, the cash deposit rate will continue to be the company-specific rate complete version of the Issues and Federal Register, in accordance with 19 published for the most recently Decision Memorandum can be accessed CFR 351.224(b). at http://enforcement.trade.gov/frn/ completed segment of this proceeding; index.html. The signed and electronic Assessment Rates (3) if the exporter is not a firm covered versions of the Issues and Decision Pursuant to section 751(a)(2)(A) of the in this review, a prior review, or the Memorandum are identical in content. Act, and 19 CFR 351.212(b)(1), original investigation, but the producer is, then the cash deposit rate will be the Changes Since the Preliminary Results Commerce will determine, and CBP shall assess, antidumping duties on all rate established for the most recently Based on a review of the record and appropriate entries of subject completed segment of this proceeding comments received from interested merchandise in accordance with the for the producer of the subject merchandise; and (4) the cash deposit parties regarding our Preliminary final results of this review. For any rate for all other producers or exporters Results, we made certain revisions to individually-examined respondent will continue to be 3.91 percent, the all- the preliminary margin calculations for whose weighted-average dumping 5 others rate established in the less-than- Navneet and SAB. For Navneet, we margin is above de minimis (i.e., 0.50 fair-value investigation.9 These cash used Navneet’s comparison market sales percent), Commerce will calculate deposit requirements, when imposed, to calculate NV rather than relying on importer-specific assessment rates on 6 shall remain in effect until further constructed value. For SAB, we (1) the basis of the ratio of the total amount notice. revised SAB’s rent payment to an of antidumping duties calculated for affiliated party; (2) recalculated SAB’s each importer’s examined sales and the Notification to Importers reported scrap offset, and (3) reversed total entered value of the sales, in This notice also serves as a final the incorrect conversion for credit accordance with 19 CFR 351.212(b)(1). reminder to importers of their expenses from positive to negative.7 Where either a respondent’s weighted- responsibility under 19 CFR 351.402(f) Final Results of the Review average dumping margin is zero or de to file a certificate regarding the minimis, or an importer- or customer- reimbursement of antidumping and/or We have determined the following specific ad valorem rate is zero or de countervailing duties prior to weighted-average dumping margins for minimis, we will instruct CBP to liquidation of the relevant entries the exporters or producers listed below liquidate appropriate entries without 8 during the POR. Failure to comply with for the POR: regard to antidumping duties. this requirement could result in For entries of subject merchandise Commerce’s presumption that Weighted- during the POR produced by each average reimbursement of antidumping and/or Producer/exporter dumping respondent for which it did not know its countervailing duties occurred and the margin merchandise was destined for the subsequent assessment of doubled (percent) United States, we will instruct CBP to antidumping duties. liquidate such entries at the all-others Cellpage Ventures Private Lim- rate if there is no rate for the Administrative Protective Order ited ...... 1.93 Goldenpalm Manufacturers PVT intermediate company(ies) involved in This notice also serves as a reminder Limited ...... 1.93 the transaction. As indicated above, for to parties subject to administrative Kokuyo Riddhi Paper Products the companies that had no shipments of protective order (APO) of their Pvt. Ltd ...... 1.93 subject merchandise during the POR, we responsibility concerning the return or Lotus Global Private Limited ...... 1.93 will instruct CBP to liquidate any destruction of proprietary information Magic International Pvt. Ltd ...... 1.93 existing entries of merchandise disclosed under APO in accordance Navneet Education Ltd ...... 1.93 produced by these companies, but with 19 CFR 351.305(a)(3), which PP Bafna Ventures Private Lim- exported by other parties, at the all- continues to govern business ited ...... 1.93 others rate if there is no rate for the proprietary information in this segment SAB International ...... 0.00 of the proceeding. Timely written SGM Paper Products ...... 1.93 intermediate company(ies) involved in Super Impex ...... 1.93 the transaction. We intend to issue notification of the return/destruction of liquidation instructions to CBP 15 days APO materials, or conversion to judicial after publication of the final results of protective order, is hereby requested. 5 See Issues and Decision Memorandum. this review. Failure to comply with the regulations 6 See Memorandum, ‘‘Certain Lined Paper and the terms of an APO is a Products from India (2017–2018): Sales and Cost of Cash Deposit Requirements sanctionable violation. Production Calculation Memorandum for the Final The following cash deposit Results of Navneet Education Limited (Navneet),’’ Notification to Interested Parties dated concurrently with this notice. requirements will be effective upon 7 See Memorandum, ‘‘Certain Lined Paper publication of the notice of final results We are issuing and publishing this Products from India (2017–2018): Sales and Cost of of administrative review for all notice in accordance with sections Production Calculation Memorandum for the Final shipments of subject merchandise Results of SAB International (SAB),’’ dated 9 entered, or withdrawn from warehouse, See Notice of Amended Final Determination of concurrently with this notice. Sales at Less Than Fair Value: Certain Lined Paper 8 For the companies that were not selected for for consumption on or after the date of Products form the People’s Republic of China; individual review, we assigned a rate based on the publication, as provided by section Notice of Antidumping Duty Orders: Certain Lined rates for the respondents that were selected for 751(a)(2)(C) of the Act: (1) The cash Paper Products from India, Indonesia and the individual review, excluding any rates that are zero, People’s Republic of China; and Notice of de minimis, or based entirely on facts available. See deposit rate for the respondents noted Countervailing Duty Orders: Certain Lined Paper section 735(c)(5)(A) of the Tariff Act of 1930, as above will be the rate established in the Products from India and Indonesia, 71 FR 56949, amended (the Act). final results of this administrative 56952 (September 28, 2006).
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751(a)(1) and 777(i) of the Act, and 19 (POR) May 1, 2018 through April 30, description, available in the Preliminary CFR 351.221(b)(5). 2019. Decision Memorandum, remains 6 Dated: April 1, 2020. DATES: Applicable April 7, 2020. dispositive. Jeffrey I. Kessler, FOR FURTHER INFORMATION CONTACT: Changes Since the Preliminary Results Assistant Secretary for Enforcement and Joseph Dowling or George Ayache, AD/ As no parties submitted comments on Compliance. CVD Operations, Office VIII, the margin calculation methodology Appendix Enforcement and Compliance, used in the Preliminary Results, International Trade Administration, Commerce made no adjustments to that List of Topics Discussed in the Final U.S. Department of Commerce, 1401 Decision Memorandum methodology in the final results of this Constitution Avenue NW, Washington, review. I. Summary DC 20230; telephone: (202) 482–1646 or II. List of Comments (202) 482–2623, respectively. Final Results of the Review III. Background SUPPLEMENTARY INFORMATION: IV. Scope of the Order As a result of this review, Commerce V. Changes Made Since the Preliminary Background determines that a weighted-average Results dumping margin of 0.00 percent exists VI. Analysis of Comments On January 22, 2020, Commerce for entries of subject merchandise that Comments Concerning Navneet Education published in the Federal Register the were produced and/or exported by JBL Ltd. (Navneet) Preliminary Results of the Canada during the POR. Comment 1: Whether Commerce Should administrative review of the Apply Total or Partial Adverse Facts antidumping duty order on citric acid Assessment Rates Available (AFA) to Navneet from Canada.1 This review covers one Commerce shall determine, and U.S. Comment 2: Whether Commerce Should producer/exporter of the subject Adjust Navneet’s General and Customs and Border Protection (CBP) Administrative Expenses merchandise, JBL Canada. We invited shall assess, antidumping duties on all Comment 3: Whether Commerce Should parties to comment on the Preliminary appropriate entries of subject Adjust the SAS Programs to Use Results.2 No interested party submitted merchandise in accordance with the Navneet’s Comparison Market Sales for comments.3 On February 11, 2020, JBL final results of this review, pursuant to Normal Value (NV) Instead of Canada submitted a request to section 751(a)(2)(C) of the Act and 19 Constructed Value (CV) participate in a hearing in the event that CFR 351.212(b). Because we calculated Comments Concerning SAB International Commerce held a hearing.4 No other a zero margin for JBL Canada in the final (SAB) party submitted a request for a hearing Comment 4: Whether Commerce Should results of this review, we intend to Apply Total or Partial AFA to SAB’s in the instant review; therefore, instruct CBP to liquidate the appropriate Classification of Certain Sales as Commerce did not hold a hearing. entries without regard to antidumping Canadian Sales Rather than U.S. Sales Commerce conducted this duties. Comment 5: Whether Commerce Should administrative review in accordance Commerce intends to issue the Adjust SAB’s Calculations of Rent Paid with section 751(a) of the Tariff Act of appropriate assessment instructions to to an Affiliated Party 1930, as amended (the Act). CBP 41 days after the date of Comment 6: Whether Commerce Should publication of these final results of Recalculate SAB’s Reported Scrap Offset Scope of the Order Comment 7: Whether Commerce Should review, in accordance with 19 CFR The merchandise subject to the Order 356.8(a). Adjust SAB’s Treatment of Certain Costs is citric acid from Canada.5 The product Comment 8: Whether Commerce Cash Deposit Requirements Incorrectly Converted Negative Credit is currently classified under the Expenses into Positive Credit Expenses Harmonized Tariff Schedule of the The following deposit requirements VII. Recommendation United States (HTSUS) subheadings will be effective upon publication of the [FR Doc. 2020–07312 Filed 4–6–20; 8:45 am] 2918.14.0000, 2918.15.1000, notice of these final results for all 2918.15.5000, and 3824.90.9290. BILLING CODE 3510–DS–P shipments of citric acid from Canada Although the HTSUS numbers are entered, or withdrawn from warehouse, provided for convenience and customs for consumption on or after the DEPARTMENT OF COMMERCE purposes, the written product publication date as provided by section 751(a)(2) of the Act: (1) The cash deposit International Trade Administration 1 See Citric Acid and Certain Citrate Salts from rate for JBL Canada will be zero; (2) for Canada: Preliminary Results of Antidumping Duty [A–122–853] Administrative Review; 2018–2019, 85 FR 3611 merchandise exported by manufacturers (January 22, 2020) (Preliminary Results), and or exporters not covered in this review Citric Acid and Certain Citrate Salts accompanying Preliminary Decision Memorandum. but covered in a completed prior From Canada: Final Results of 2 Id. segment of the proceeding, the cash Antidumping Duty Administrative 3 JBL Canada submitted a case brief stating: deposit rate will continue to be the ‘‘Respondent JBL has no comments on Commerce’s Review; 2018–2019 Preliminary Results. JBL reserves the right to submit company-specific rate published for the a rebuttal brief in response to any issue(s) which most recently completed segment; (3) if AGENCY: Enforcement and Compliance, may be raised by Petitioners in their case brief.’’ See the exporter is not a firm covered in this International Trade Administration, JBL Canada’s Letter, ‘‘Tenth Administrative Review review, a prior review, or the original Department of Commerce. of the Antidumping Order on Citric Acid and investigation but the manufacturer is, SUMMARY: Certain Citrate Sales from Canada—Case Brief on The Department of Commerce Behalf of JBL Canada,’’ dated February 11, 2020. the cash deposit rate will be the rate (Commerce) determines that 4 See JBL Canada’s Letter, ‘‘Tenth Administrative established for the most recently Jungbunzlauer Canada, Inc. (JBL Review of the Antidumping Order on Citric Acid completed segment for the manufacturer Canada), a producer/exporter of citric and Certain Citrate Sales from Canada—JBL of the merchandise; and (4) the cash acid and certain citrate salts (citric acid) Canada’s Comments regarding Hearing,’’ dated February 11, 2020. deposit rate for all other manufacturers from Canada, did not sell subject 5 See Citric Acid and Citrate Salts from Canada merchandise at prices below normal and the People’s Republic of China: Antidumping 6 For a complete description of the scope of the value (NV) during the period of review Duty Orders, 74 FR 25703 (May 29, 2009) (Order). Order, see Preliminary Decision Memorandum at 3.
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or exporters will continue to be 23.21 sustained the Department of resulting Order to the CIT. On January percent, the all-others rate established Commerce’s (Commerce’s) second 8, 2019, the CIT remanded for in the Order. These cash deposit remand redetermination pertaining to Commerce to explain or reconsider its requirements, when imposed, shall the less-than-fair-value (LTFV) decision to include certain ‘‘local sales’’ remain in effect until further notice. investigation of welded line pipe (WLP) in Hyundai HYSCO’s home market sales database.6 Separately, the CIT held that Notification to Importers from the Republic of Korea (Korea). Commerce is notifying the public that Commerce’s rejection of Maverick’s This notice also serves as a final the final judgment in this case is not in September 8, 2015 supplemental case reminder to importers of their harmony with Commerce’s amended brief constituted an abuse of discretion, responsibility under 19 CFR final determination in the LTFV and remanded for Commerce to review 351.402(f)(2) to file a certificate investigation of WLP from Korea and and determine which portions should regarding the reimbursement of that Commerce is amending the be retained on the record.7 On May 2, antidumping duties prior to liquidation amended final determination and 2019, Commerce issued the First of the relevant entries during this POR. antidumping duty order with respect to Remand Results, in which it determined Failure to comply with this requirement the weighted-average dumping margin that Hyundai HYSCO knew, or should could result in Commerce’s for Hyundai HYSCO Co. Ltd. (Hyundai have known, that certain ‘‘local sales’’ presumption that reimbursement of HYSCO). included in its home market database antidumping duties has occurred and DATES: Applicable April 3, 2020. would be exported without further the subsequent assessment of double processing in Korea.8 Accordingly, FOR FURTHER INFORMATION CONTACT: antidumping duties. Commerce reclassified these sales and David Goldberger or Joshua Tucker, AD/ excluded them from the calculation of Administrative Protective Order (APO) CVD Operations, Office II, Enforcement normal value (NV), which resulted in a and Compliance, International Trade In accordance with 19 CFR recalculated weighted-average dumping Administration, U.S. Department of 351.305(a)(3), this notice also serves as margin of 6.22 percent for Hyundai Commerce, 1401 Constitution Avenue a reminder to parties subject to APO of HYSCO.9 In addition, Commerce NW, Washington, DC 20230; telephone: their responsibility concerning the reopened the administrative record to return or destruction of proprietary (202) 482–4136 and (202) 482–2044, permit Maverick to place its September information disclosed under the APO, respectively. 8, 2015 supplemental case brief on the which continues to govern business SUPPLEMENTARY INFORMATION: record in its entirety, and to permit proprietary information in this segment Background other interested parties to submit of the proceeding. Timely written rebuttal briefs in response to Maverick’s notification of the return or destruction On October 13, 2015, Commerce supplemental case brief. Consistent with of APO materials or conversion to published its Final Determination in the its practice to determine home market judicial protective order is hereby LTFV investigation of WLP from Korea.1 viability early in a proceeding, requested. Failure to comply with the Subsequently, on November 10, 2015, Commerce did not reconsider Hyundai regulations and terms of an APO is a Commerce published its Amended Final HYSCO’s home market viability.10 violation subject to sanction. Determination.2 On December 1, 2015, The CIT, however, subsequently held Notification to Interested Parties Commerce published the Order that, by refusing to reassess the viability resulting from the investigation.3 As of HYSCO’s home market, ‘‘Commerce We intend to issue and publish these reflected in Commerce’s Amended Final failed to comply with its statutory and results in accordance with sections Determination and Order, Commerce regulatory mandate to ensure the 751(a)(1) and 777(i)(1) of the Act and 19 calculated weighted-average dumping sufficiency of the home market as a CFR 351.213(h) and 351.221(b)(5). margins of 6.23 percent for Hyundai basis for normal value.’’ 11 On that basis, Dated: April 1, 2020. HYSCO, 2.53 percent for SeAH Steel it remanded to Commerce to further Jeffrey I. Kessler, Corporation (SeAH), the other explain or reconsider Hyundai HYSCO’s Assistant Secretary for Enforcement and mandatory respondent in the home market viability.12 Compliance. investigation, and 4.38 percent for all On January 14, 2020, Commerce 4 [FR Doc. 2020–07293 Filed 4–6–20; 8:45 am] others. issued the Second Remand Results in 13 BILLING CODE 3510–DS–P Hyundai HYSCO, SeAH, and the accordance with the CIT’s order. On petitioners 5 appealed Commerce’s Final remand, Commerce provided further Determination, as amended by the explanation regarding Hyundai DEPARTMENT OF COMMERCE Amended Final Determination, and HYSCO’s home market viability. Specifically, Commerce explained that International Trade Administration 1 See Welded Line Pipe from the Republic of Hyundai HYSCO’s home market sales Korea: Final Determination of Sales at Less Than [A–580–876] quantity was sufficient to permit Fair Value, 80 FR 61366 (October 13, 2015) (Final Commerce to make a proper comparison Determination), and accompanying Issues and Welded Line Pipe From the Republic of Decision Memorandum (IDM). 6 Korea: Notice of Court Decision Not in 2 See Welded Line Pipe from the Republic of See Stupp Corporation et al. v. United States, Harmony With the Amended Final Korea: Amended Final Determination of Sales at 359 F. Supp. 3d 1293, 1309–1312 (CIT 2019). Less Than Fair Value, 80 FR 69637 (November 10, 7 Id., 359 F. Supp. 3d. at 1311–12. Determination in the Less-Than-Fair- 2015) (Amended Final Determination). 8 See Final Results of Redetermination Pursuant Value Investigation, and Notice of 3 See Welded Line Pipe from the Republic of to Court Remand, Consol. Court No. 15–00334, Amended Final Determination and Korea and the Republic of Turkey: Antidumping dated May 2, 2019 (First Remand Results). Amended Antidumping Duty Order Duty Orders, 80 FR 75056 (December 1, 2015) 9 Id. at 13. (Order). 10 Id. AGENCY: Enforcement and Compliance, 4 See Amended Final Determination, 80 FR at 11 See Stupp Corporation et al. v. United States, International Trade Administration, 69638; see also Order, 80 FR at 75057. 413 F. Supp. 3d 1326, 1332 (CIT 2019). Department of Commerce. 5 The petitioners are: Stupp Corporation, a 12 Id., 413 F. Supp. 3d at 1333. division of Stupp Bros., Inc., TMK IPSCO, Welspun 13 See Final Results of Redetermination Pursuant SUMMARY: On March 24, 2020, the U.S. Tubular LLC USA, and Maverick Tube Corporation to Second Court Remand, Consol. Court No. 15– Court of International Trade (CIT) (Maverick). 00334 (January 14, 2020) (Second Remand Results).
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between export price and NV, consistent completed administrative review (i.e., Act).1 We received notice of intent to with its statutory and regulatory 29.89 percent).20 participate in the review from the mandates. On March 24, 2020, the CIT following parties, both domestic Notification to Interested Parties sustained Commerce’s Second Remand interested parties: Imperial Sugar Results.14 This notice is issued and published in Company and the American Sugar accordance with sections 516A(c)(1) and Coalition (‘‘ASC’’).2 Commerce received Timken Notice (e), and 777(i)(1) of the Act. complete substantive responses from the In its decision in Timken,15 as Dated: April 1, 2020. domestic interested parties within the 16 30-day deadline specified in 19 CFR clarified by Diamond Sawblades, the Jeffrey I. Kessler, 3 Court of Appeals for the Federal Circuit 351.218(d)(3)(i). We rejected untimely Assistant Secretary for Enforcement and submissions filed by Sweetener Users held that, pursuant to section 516A of Compliance. Association (SUA) on January 21, 2020 the Tariff Act of 1930, as amended (the [FR Doc. 2020–07295 Filed 4–6–20; 8:45 am] and January 23, 2020.4 We received no Act), Commerce must publish a notice BILLING CODE 3510–DS–P substantive responses from any other of court decision that is not ‘‘in interested parties, nor was a hearing harmony’’ with a Commerce requested. As a result, pursuant to DEPARTMENT OF COMMERCE determination and must suspend section 751(c)(3)(B) of the Act and 19 liquidation of entries pending a CFR 351.218(e)(1)(ii)(C)(2), Commerce 17 International Trade Administration ‘‘conclusive’’ court decision. The conducted an expedited (120-day) CIT’s March 24 2020 judgment sunset review of the Agreement and constitutes a final decision of that court [A–201–845] suspended investigation.5 that is not in harmony with Commerce’s Final Determination, Amended Final Sugar From Mexico: Final Results of Scope of the Agreement Determination, and Order. Thus, this the Expedited First Sunset Review of The merchandise subject to the notice is published in fulfillment of the the Agreement Suspending the Agreement is raw and refined sugar of publication requirements of Timken and Antidumping Duty Investigation all polarimeter readings derived from section 516A of the Act. AGENCY: Enforcement and Compliance, sugar cane or sugar beets. The chemical Amended Final Determination and International Trade Administration, sucrose gives sugar its essential Amended Order Department of Commerce. character. Sucrose is a nonreducing disaccharide composed of glucose and SUMMARY: As a result of this sunset Because there is now a final court review, the Department of Commerce fructose linked by a glycosidic bond via decision, Commerce is amending its (Commerce) finds that termination of their anomeric carbons. The molecular Amended Final Determination and the Agreement Suspending the formula for sucrose is C12H22O11; the International Union of Pure and Order with respect to the weighted- Antidumping Duty Investigation on Applied Chemistry (IUPAC) average dumping margin for Hyundai Sugar from Mexico (Agreement) and the 18 International Chemical Identifier (InChl) HYSCO. The revised weighted-average suspended antidumping duty (AD) for sucrose is 1S/C12H22O11/c13-l-4- dumping margin is as follows: investigation would be likely to lead to 6(16)8(18)9(19)11(21-4)23-12(3- the continuation or recurrence of 15)10(20)7(17) 5(2-14)22-12/h4-11,13- Weighted- dumping at the levels indicated in the average 20H,1-3H2/t4-,5-,6-,7-,8+,9-,10+,11- ‘‘Final Results of Sunset Reviews’’ Exporter/producer dumping ,12+/m1/s1; the InChl Key for sucrose is section of this notice. The magnitude of margin CZMRCDWAGMRECN-UGDNZRGBSA- (percent) the dumping margin likely to prevail is N; the U.S. National Institutes of Health indicated in the ‘‘Final Results of Hyundai HYSCO Co., Ltd ..... 6.22 PubChem Compound Identifier (CID) for Review’’ section of this notice. sucrose is 5988; and the Chemical DATES: Applicable April 7, 2020. Cash Deposit Requirements FOR FURTHER INFORMATION CONTACT: 1 See Initiation of Five-Year (Sunset) Reviews, 84 Sally C. Gannon, Bilateral Agreements, FR 58687 (November 1, 2019); Initiation of Five- Because there have been subsequent Year (Sunset) Review; Correction, 84 FR 66153 administrative reviews for Hyundai Office of Policy, Enforcement and (December 3, 2019). Steel Company (Hyundai Steel), the Compliance, International Trade 2 See Letter, ‘‘Sugar from Mexico: Notice of Intent successor company to Hyundai Administration, U.S. Department of to Participate’’, dated December 18, 2019; Letter, HYSCO,19 the cash deposit rate for Commerce, 1401 Constitution Avenue ‘‘Sugar from Mexico, Case Nos. C–201–846 and A– 201–845 (Five-Year Sunset Reviews): Notice of Hyundai Steel will remain the rate NW, Washington, DC 20230; telephone: Intent to Participate’’, dated December 18, 2019. established in the most recently- (202) 482–0162. 3 See Letter, American Sugar Coalition, ‘‘Sugar SUPPLEMENTARY INFORMATION: from Mexico: Substantive Response to Notice of Initiation of Five-Year (Sunset) Reviews of the 14 See Stupp Corporation et al. v. United States, Background Antidumping and Countervailing Duty Suspension Consol. Court No. 15–00334, Slip Op. 20–38, dated Agreements,’’ dated January 2, 2020; Letter, ‘‘Sugar March 24, 2020. On December 3, 2019, Commerce from Mexico: Substantive Response of the Imperial 15 See Timken Co. v. United States, 893 F.2d 337 published the notice of initiation of the Sugar Company to Commerce’s Notice of Initiation (Fed. Cir. 1990) (Timken). of Five-Year (‘‘Sunset’’) Reviews’’, dated January 2, 16 See Diamond Sawblades Mfrs. Coalition v. first sunset review of the agreement 2020. United States, 626 F. 3d 1374 (Fed. Cir. 2010) suspending the antidumping 4 See Letter to Wilbur Ross, Secretary of (Diamond Sawblades). investigation on sugar from Mexico, Commerce, from Sweetener Users Association. re: 17 See sections 516A(c) and (e) of the Act. pursuant to section 751(c)(2) of the ‘‘Sugar from Mexico’’ (January 21, 2020); Letter to 18 The change to Hyundai HYSCO’s margin did Wilbur Ross, Secretary of Commerce, from not affect the calculation of the all-others rate. See Tariff Act of 1930, as amended (the Sweetener Users Association, re: ‘‘Sugar from First Remand Results at 13. Mexico’’ (January 23, 2020); Letter, ‘‘Rejection on 19 As discussed in the Final Determination, and 20 See Welded Line Pipe From the Republic of January 21 and January 23 Filings’’, dated February accompanying IDM at 1, Hyundai HYSCO merged Korea: Amended Final Results of Antidumping 5, 2020. with Hyundai Steel subsequent to the period of Duty Administrative Review; 2016–2017, 84 FR 5 See Letter, ‘‘Sunset Reviews Initiated on investigation and Hyundai HYSCO no longer exists. 35371, 35372 (July 23, 2019). December 2, 2019’’, dated January 22, 2020.
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Abstracts Service (CAS) Number of ACCESS is available to registered users VIII. Recommendation at http://access.trade.gov and to all sucrose is 57–50–1. [FR Doc. 2020–07199 Filed 4–6–20; 8:45 am] Sugar includes products of all parties in the Central Records Unit, BILLING CODE 3510–DS–P polarimeter readings described in Room B8024 of the main Commerce various forms, such as raw sugar, building. In addition, a complete estandar or standard sugar, high polarity version of the Issues and Decision DEPARTMENT OF COMMERCE or semi-refined sugar, special white Memorandum can be accessed directly sugar, refined sugar, brown sugar, edible on the internet at http:// International Trade Administration molasses, de-sugaring molasses, organic enforcement.trade.gov/frn/. The signed raw sugar, and organic refined sugar. and electronic versions of the Issues and [A–570–008] Other sugar products, such as powdered Decision Memorandum are identical in sugar, colored sugar, flavored sugar, and content. Calcium Hypochlorite From the liquids and syrups that contain 95 Final Results of Sunset Review People’s Republic of China: Final percent or more sugar by dry weight are Results of the Expedited First Sunset also within the scope of this Agreement. Pursuant to sections 751(c)(1) and Review of the Antidumping Duty Order Merchandise covered by this Agreement 752(c)(1) and (3) of the Act, we is typically imported under the determine that termination of the AGENCY: Enforcement and Compliance, following headings of the HTSUS: Agreement and suspended antidumping International Trade Administration, 1701.12.1000, 1701.12.5000, investigation on sugar from Mexico is Department of Commerce. 1701.13.1000, 1701.13.5000, likely to lead to the continuation or SUMMARY: The Department of Commerce 1701.14.1000, 1701.14.5000, recurrence of dumping, and that the (Commerce) finds that revocation of the 1701.91.1000, 1701.91.3000, magnitude of the dumping margins antidumping duty order on calcium 1701.99.1010, 1701.99.1025, likely to prevail would be weighted- hypochlorite from the People’s Republic 1701.99.1050, 1701.99.5010, average dumping margins up to 42.14.8 of China (China) would be likely to lead 1701.99.5025, 1701.99.5050, and to continuation or recurrence of 1702.90.4000. Administrative Protective Order (APO) dumping at the levels indicated in the The scope of the Agreement excludes This notice serves as the only ‘‘Final Results of Sunset Review’’ sugar imported under the Refined Sugar section of this notice. Re-Export Programs of the U.S. reminder to parties subject to an APO of Department of Agriculture, sugar their responsibility concerning the DATES: Applicable April 7, 2020. products produced in Mexico that return or destruction of proprietary FOR FURTHER INFORMATION CONTACT: contain 95 percent or more sugar by dry information disclosed under APO in Rachel Greenberg, AD/CVD Operations, weight that originated outside of accordance with 19 CFR 351.305. Office V, Enforcement and Compliance, Mexico, inedible molasses (other than Timely notification of the return or International Trade Administration, inedible desugaring molasses noted destruction of APO materials or U.S. Department of Commerce, 14th above), beverages, candy, certain conversion to judicial protective order is Street and Constitution Avenue NW, specialty sugars, and processed food hereby requested. Failure to comply Washington, DC 20230; telephone: (202) products that contain sugar (e.g., with the regulations and terms of an 482–0652. APO is a violation which is subject to cereals). Specialty sugars excluded from SUPPLEMENTARY INFORMATION: the scope of this Agreement are limited sanction. to the following: Caramelized slab sugar Notification to Interested Parties Background candy, pearl sugar, rock candy, dragees On January 30, 2015, Commerce for cooking and baking, fondant, golden We are issuing and publishing these published its antidumping duty order syrup, and sugar decorations.6 final results and notice in accordance on calcium hypochlorite from China.1 with sections 751(c), 752(c), and Analysis of Comments Received On December 2, 2019, Commerce 777(i)(1) of the Act and 19 CFR 351.218. published the notice of initiation of the All issues raised in this sunset review, Dated: March 31, 2020. five-year sunset review of the Order, including the likelihood of continuation Jeffrey I. Kessler, pursuant to section 751(c) of the Tariff or recurrence of dumping in the event Assistant Secretary for Enforcement and Act of 1930, as amended (the Act).2 On of the termination of the Agreement and Compliance. December 17, 2019, Commerce received suspended investigation, and the a notice of intent to participate in this magnitude of the margins likely to Appendix review from Innovative Water Care, LLC prevail, are addressed in the List of Topics Discussed in the Issues and dba Sigura (IWC) within the deadline accompanying Issues and Decision specified in 19 CFR 351.218(d)(1)(i).3 7 Decision Memorandum Memorandum. The Issues and Decision IWC claimed interested party status Memorandum is a public document and I. Summary II. Background under section 771(9)(C) of the Act as a is on file electronically via Enforcement manufacturer of a domestic like product and Compliance’s Antidumping and III. Scope of the Orders IV. History of the Orders in the United States. On January 2, Countervailing Duty Centralized V. Legal Framework 2020, IWC provided a complete Electronic Service System (ACCESS). VI. Discussion of the Issues substantive response for this review 1. Likelihood of Continuation or within the 30-day deadline specified in 6 See Sugar from Mexico: Suspension of Recurrence of Dumping Antidumping Investigation, 79 FR 78039 (December 2. Magnitude of the Margins Likely To 1 29, 2014). Prevail See Calcium Hypochlorite from the People’s 7 Republic of China: Antidumping Duty Order, 80 FR See Memorandum, ‘‘Issues and Decision VII. Final Results of Reviews Memorandum for the Expedited First Sunset 5085 (January 30, 2015) (Order). Review of the Agreement Suspending the 2 See Initiation of Five-Year (Sunset) Reviews, 84 Antidumping Investigation on Sugar from Mexico,’’ 8 See Sugar from Mexico: Final Determination of FR 65968 (December 2, 2019) (Notice of Initiation). dated concurrently with, and hereby adopted by, Sales at Less than Fair Value, 80 FR 57341 3 See IWC’s Letter, ‘‘Notice of Intent to this notice (Issues and Decision Memorandum). (September 23, 2015). Participate,’’ dated December 17, 2019.
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19 CFR 351.218(d)(3)(i).4 We received Analysis of Comments Received serving documents containing business no substantive responses from any other All issues raised in this review, proprietary information, until May 19, 7 interested parties, nor was a hearing including the likelihood of continuation 2020, unless extended. requested. On December 23, 2019, or recurrence of dumping in the event Dated: March 31, 2020. Commerce notified the U.S. of revocation and the magnitude of the Jeffrey I. Kessler, International Trade Commission (ITC) margins likely to prevail if the order Assistant Secretary for Enforcement and that it did not receive an adequate were revoked, are addressed in the Compliance. substantive response from respondent accompanying Issues and Decision 5 Appendix interested parties. As a result, pursuant Memorandum. A list of topics discussed to section 751(c)(3)(B) of the Act and 19 in the Issues and Decision List of Topics Discussed in the Issues and CFR 351.218(e)(1)(ii)(C)(2), Commerce Memorandum is included as an Decision Memorandum conducted an expedited (120-day) appendix to this notice. The Issues and I. Summary sunset review of this Order. Decision Memorandum is a public II. Background Scope of the Order document and is on file electronically III. Scope of the Order via Enforcement and Compliance’s IV. History of the Order The product covered by this order is Antidumping and Countervailing Duty V. Legal Framework calcium hypochlorite, regardless of form VI. Discussion of the Issues Centralized Electronic Service System (e.g., powder, tablet (compressed), 1. Likelihood of Continuation or (ACCESS). ACCESS is available to crystalline (granular), or in liquid Recurrence of Dumping registered users at http:// solution), whether or not blended with 2. Magnitude of the Margins Likely to access.trade.gov, and to all parties in the Prevail other materials, containing at least 10 Central Records Unit, Room B8024 of VII. Final Results of Sunset Review percent available chlorine measured by the main Commerce building. In VIII. Recommendation actual weight. The scope also includes addition, a complete version of the [FR Doc. 2020–07298 Filed 4–6–20; 8:45 am] bleaching powder and hemibasic Issues and Decision Memorandum can BILLING CODE 3510–DS–P calcium hypochlorite. Calcium hypochlorite has the general be accessed directly on the internet at chemical formulation Ca(OCl)2, but may http://enforcement.trade.gov/frn/. The DEPARTMENT OF COMMERCE also be sold in a more dilute form as signed Issues and Decision Memorandum and the electronic bleaching powder with the chemical International Trade Administration formulation, version of the Issues and Decision Ca(OCl)2.CaCl2.Ca(OH)2.2H2O or Memorandum are identical in content. [C–570–109] hemibasic calcium hypochlorite with Final Results of Sunset Review Ceramic Tile From the People’s the chemical formula of Pursuant to sections 751(c)(1) and Republic of China: Final Affirmative 2Ca(OCl)2.Ca(OH)2 or 752(c)(1) and (3) of the Act, Commerce Countervailing Duty Determination, Ca(OCl)2.0.5Ca(OH)2. Calcium determines that revocation of the and Final Negative Critical hypochlorite has a Chemical Abstract antidumping duty order on calcium Circumstances Determination Service (CAS) registry number of 7778– hypochlorite from China would likely 54–3, and a U.S. Environmental lead to continuation or recurrence of AGENCY: Enforcement and Compliance, Protection Agency (EPA) Pesticide Code dumping and that the magnitude of the International Trade Administration, (PC) Number of 014701. The subject margins is up to 210.52 percent.6 Department of Commerce. calcium hypochlorite has an SUMMARY: The Department of Commerce International Maritime Dangerous Administrative Protective Order (APO) (Commerce) determines that Goods (IMDG) code of Class 5.1 UN This notice serves as the only countervailable subsidies are being 1748, 2880, or 2208 or Class 5.1/8 UN reminder to interested parties subject to provided to producers and exporters of 3485, 3486, or 3487. an APO of their responsibility ceramic tile from the People’s Republic Calcium hypochlorite is currently concerning the return or destruction of of China (China). classifiable under the subheading proprietary information disclosed under DATES: Applicable April 7, 2020. 2828.10.0000 of the Harmonized Tariff APO in accordance with 19 CFR FOR FURTHER INFORMATION CONTACT: Schedule of the United States (HTSUS). 351.305. Timely notification of the The subheading covers commercial Yasmin Bordas, Moses Song, or John return or destruction of APO materials McGowan, AD/CVD Operations, Office calcium hypochlorite and other calcium or conversion to judicial protective hypochlorite. When tableted or blended VI, Enforcement and Compliance, order is hereby requested. Failure to International Trade Administration, with other materials, calcium comply with the regulations and terms hypochlorite may be entered under U.S. Department of Commerce, 1401 of an APO is a violation which is subject Constitution Avenue NW, Washington, other tariff classifications, such as to sanction. 3808.94.5000 and 3808.99.9500, which DC 20230; telephone: (202) 482–3813, cover disinfectants and similar Notification to Interested Parties (202) 482–7885, or (202) 482–3019, products. While the HTSUS We are issuing and publishing these respectively. subheadings, the CAS registry number, final results and notice in accordance SUPPLEMENTARY INFORMATION: the U.S. EPA PC number, and the IMDG with sections 751(c), 752(c), and Background codes are provided for convenience and 777(i)(1) of the Act and 19 CFR 351.218. customs purposes, the written Note that Commerce has temporarily On September 12, 2019, Commerce description of the scope of this order is modified certain of its requirements for published the Preliminary dispositive. Determination of this investigation.1 6 See Memorandum, ‘‘Issues and Decision 4 See IWC’s Letter, ‘‘Substantive Response to Memorandum for the Final Results of the Expedited 7 See Temporary Rule Modifying AD/CVD Service Notice of Initiation,’’ dated January 2, 2020. First Sunset Review of the Antidumping Duty Order Requirements Due to COVID–19, 85 FR 17006 5 See Commerce’s Letter, ‘‘Sunset Reviews on Calcium Hypochlorite from the People’s (March 26, 2020). Initiated on December 2, 2019,’’ dated December 23, Republic of China,’’ dated concurrently with this 1 See Ceramic Tile from the People’s Republic of 2019. notice. China: Preliminary Affirmative Countervailing Duty
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The petitioner is The Coalition for Fair 2019, Commerce issued a Preliminary underlying our final determination, see Trade in Ceramic Tile. The mandatory Scope Decision Memorandum.3 Several the Issues and Decision Memorandum. respondents in this investigation are interested parties submitted case and Adverse Facts Available (AFA) Temgoo International Trading Limited rebuttal briefs concerning the scope of (Temgoo) and Foshan Sanfi Import & this investigation. For a summary of the Commerce relied on ‘‘facts otherwise Export Co., Ltd. (Foshan Sanfi). In the product coverage comments and available,’’ including adverse facts Preliminary Determination, Commerce rebuttal comments submitted to the available (AFA), for several findings in aligned the final determination in this record for this final determination, and the Preliminary Determination. For this countervailing duty (CVD) investigation accompanying discussion and analysis final determination, we are basing the with the final determination in the of all comments timely received, see the CVD rates for Temgoo and Foshan Sanfi companion less-than-fair-value (LTFV) Final Scope Decision Memorandum.4 on facts otherwise available, with an investigation, in accordance with Based on the comments received, adverse inference, pursuant to sections section 705(a)(1) of the Tariff Act of Commerce is not modifying the scope 776(a) and (b) of the Act. For a full 1930, as amended (the Act), and 19 CFR language as it appeared in the discussion of our application of AFA, 351.210(b)(4). Preliminary Determination. The scope see the Issues and Decision A summary of the events that in Appendix I remains unchanged from Memorandum. occurred since Commerce published the that which appeared in the Preliminary Final Negative Determination of Preliminary Determination, as well as a Determination. Critical Circumstances full discussion of the issues raised by parties for this final determination, are Analysis of Subsidy Programs and In the Preliminary Determination, discussed in the Issues and Decision Comments Received Commerce determined, pursuant to section 703(e)(1) of the Act, that Memorandum.2 The Issues and Decision All issues raised in the case and Memorandum is a public document and information provided in the critical rebuttal briefs by parties in this circumstances allegation does not is on file electronically via Enforcement investigation, other than those issues and Compliance’s Antidumping and demonstrate the existence of critical related to scope, are discussed in the circumstances with respect to imports of Countervailing Duty Centralized Issues and Decision Memorandum. A Electronic Service System (ACCESS). ceramic tile from China. For this final list of the issues raised by parties and determination, we continue to find that ACCESS is available to registered users responded to by Commerce in the Issues at http://access.trade.gov, and is critical circumstances do not exist with and Decision Memorandum, is attached respect to imports of ceramic tile from available to all parties in the Central at Appendix II. Records Unit, Room B8024 of the main China. For a full description of the Commerce building. In addition, a Methodology methodology and results of Commerce’s complete version of the Issues and analysis, see the Issues and Decision Commerce is conducting this Decision Memorandum can be accessed Memorandum. investigation in accordance with section directly at http://enforcement.trade.gov/ 701 of the Act. For each of the subsidy Changes Since the Preliminary frn/index.html. The signed and programs found countervailable, Determination electronic versions of the Issues and Commerce preliminarily determines Based on our analysis of the Decision Memorandum are identical in that there is a subsidy, i.e., a financial comments received from parties, we content. contribution by an ‘‘authority’’ that made certain changes to the Period of Investigation gives rise to a benefit to the recipient, respondents’ subsidy rate calculations 5 The period of investigation (POI) is and that the subsidy is specific. set forth in the Preliminary from January 1, 2018 through December Commerce notes that, in making these Determination. For a discussion of these 31, 2018. findings, it relied, in part, on facts changes, see the Issues and Decision available and, because it finds that one Memorandum. Scope of the Investigation or more respondents did not act to the All-Others Rate The product covered by this best of their ability to respond to investigation covers ceramic tile from Commerce’s requests for information, it In accordance with section China. For a complete description of the drew an adverse inference where 705(c)(5)(A) of the Act, Commerce shall scope of this investigation, see appropriate in selecting from among the determine an estimated all-others rate Appendix I. facts otherwise available.6 For for companies not individually description of the methodology examined. Generally, under section Scope Comments 705(c)(5)(A)(i) of the Act, this rate shall During the course of this investigation 3 See Memorandum, ‘‘Ceramic Tile from the be an amount equal to the weighted and the concurrent LTFV investigation People’s Republic of China Decision Memorandum average of the estimated subsidy rates of ceramic tile from China, Commerce for the Preliminary Determinations,’’ dated established for those companies September 6, 2019 (Preliminary Scope Decision individually examined, excluding any received scope comments from Memorandum). interested parties. On September 6, 4 See Memorandum, ‘‘Ceramic Tile from the zero and de minimis rates and any rates People’s Republic of China: Scope Decision based entirely on AFA under section Investigation, Preliminary Negative Critical Memorandum for the Final Determinations, dated 776 of the Act. However, section Circumstances Determination, and Alignment of concurrently with this notice (Final Scope Decision 705(c)(5)(A)(ii) of the Act provides that, Final Determination with Final Antidumping Duty Memorandum). where all countervailable subsidy rates Determination, 84 FR 48125 (September 12, 2019) 5 See sections 771(5)(B) and (D) of the Act (Preliminary Determination) and accompanying regarding financial contribution; section 771(5)(E) established for the mandatory Preliminary Decision Memorandum. of the Act regarding benefit; and section 771(5A) of respondents are zero, de minimis, or 2 See Memorandum, ‘‘Issues and Decision for the the Act regarding specificity. based entirely on facts available, Final Determination in the Countervailing Duty 6 See Memorandum, ‘‘Ceramic Tile from the Commerce may use ‘‘any reasonable Investigation of Ceramic Tile from the People’s People’s Republic of China Decision Memorandum Republic of China,’’ dated concurrently, and hereby for the Final Determination, dated concurrently method’’ for assigning an all-others rate, adopted by, this notice (Issues and Decision with this notice (Final Scope Decision including ‘‘averaging the estimated Memorandum). Memorandum). average countervailable subsidy rates
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determined for the exporters and a result of the suspension of liquidation information, until May 19, 2020, unless producers individually investigated.’’ In will be refunded or canceled. extended.8 this investigation, all rates for the Disclosure Dated: March 30, 2020. individually investigated respondents Jeffrey I. Kessler, are based entirely on facts available, We intend to disclose the calculations Assistant Secretary for Enforcement and pursuant to section 776 of the Act. We performed to parties in this proceeding Compliance. are relying on a simple average of the within five days of its public total AFA rates assigned to Temgoo and announcement, or if there is no public Appendix I Foshan Sanfi as the all-others rate in announcement, within five days of the Scope of the Investigation this final determination, consistent with date of this notice, in accordance with The merchandise covered by this the statutory provision to rely on ‘‘any 19 CFR 351.224(b). investigation is ceramic flooring tile, wall reasonable method.’’ tile, paving tile, hearth tile, porcelain tile, ITC Notification mosaic tile, flags, finishing tile, and the like Final Determination (hereinafter ceramic tile). Ceramic tiles are In accordance with section 705(d) of In accordance with section articles containing a mixture of minerals the Act, we will notify the ITC of our 705(c)(1)(B)(i)(I) of the Act, we including clay (generally hydrous silicates of final affirmative determination that established individual estimated alumina or magnesium) that are fired so the countervailable subsidies are being raw materials are fused to produce a finished countervailable subsidy rates, as provided to producers and exporters of good that is less than 3.2 cm in actual follows: ceramic tile from China. As Commerce’s thickness. All ceramic tile is subject to the scope regardless of end use, surface area, and Subsidy rate final determination is affirmative, in Company accordance with section 705(b) of the weight, regardless of whether the tile is (percent) glazed or unglazed, regardless of the water Act, the ITC will determine, within 45 absorption coefficient by weight, regardless Temgoo International Trad- days, whether the domestic industry in of the extent of vitrification, and regardless ing Limited ...... 358.81 the United States is materially injured, of whether or not the tile is on a backing. 7 Sanfi Imp & Exp Co., Ltd ... 358.81 or threatened with material injury, by Subject merchandise includes ceramic tile All Others ...... 358.81 reason of imports of ceramic tile from with decorative features that may in spots China, or sales (or the likelihood of exceed 3.2 cm in thickness and includes Continuation of Suspension of ceramic tile ‘‘slabs’’ or ‘‘panels’’ (tiles that are sales) for importation of ceramic tile 2 2 Liquidation from China. In addition, we are making larger than 1 meter (11 ft. )). Subject merchandise includes ceramic tile As a result of our Preliminary available to the ITC all non-privileged that undergoes minor processing in a third Determination, and pursuant to sections and nonproprietary information related country prior to importation into the United 703(d)(1)(B) and (d)(2) of the Act, we to this investigation. We will allow the States. Similarly, subject merchandise instructed U.S. Customs and Border ITC access to all privileged and business includes ceramic tile produced that Protection (CBP) to suspend liquidation proprietary information in our files, undergoes minor processing after importation of all entries of merchandise under provided the ITC confirms that it will into the United States. Such minor consideration from China that were not disclose such information, either processing includes, but is not limited to, one publicly or under an administrative or more of the following: Beveling, cutting, entered or withdrawn from warehouse, trimming, staining, painting, polishing, for consumption, on or after September protective order (APO), without the finishing, additional firing, or any other 17, 2019, the date of publication of the written consent of the Assistant processing that would otherwise not remove Preliminary Determination in the Secretary for Enforcement and the merchandise from the scope of the Federal Register. In accordance with Compliance. investigation if performed in the country of manufacture of the in-scope product. section 703(d) of the Act, we instructed Notification Regarding APO CBP to discontinue the suspension of Subject merchandise is currently classified liquidation for CVD purposes for subject in the Harmonized Tariff Schedule of the In the event that the ITC issues a final United States (HTSUS) under the following merchandise entered, or withdrawn negative injury determination, this subheadings of heading 6907: 6907.21.1005, from warehouse, on or after January 10, notice will serve as the only reminder 6907.21.1011, 6907.21.1051, 6907.21.2000, 2020, but continue the suspension of to parties subject to the APO of their 6907.21.3000, 6907.21.4000, 6907.21.9011, liquidation of all entries from responsibility concerning the 6907.21.9051, 6907.22.1005, 6907.22.1011, September 17 through January 9, 2020. destruction of proprietary information 6907.22.1051, 6907.22.2000, 6907.22.3000, If the U.S. International Trade disclosed under APO in accordance 6907.22.4000, 6907.22.9011, 6907.22.9051, Commission (ITC) issues a final with 19 CFR 351.305(a)(3). Timely 6907.23.1005, 6907.23.1011, 6907.23.1051, 6907.23.2000, 6907.23.3000, 6907.23.4000, affirmative injury determination, we written notification of the return/ 6907.23.9011, 6907.23.9051, 6907.30.1005, will issue a CVD order, reinstate the destruction of APO materials or 6907.30.1011, 6907.30.1051, 6907.30.2000, suspension of liquidation under section conversion to judicial protective order is 6907.30.3000, 6907.30.4000, 6907.30.9011, 706(a) of the Act, and require a cash hereby requested. Failure to comply 6907.30.9051, 6907.40.1005, 6907.40.1011, deposit of estimated countervailing with the regulations and terms of an 6907.40.1051, 6907.40.2000, 6907.40.3000, duties for such entries of subject APO is a violation which is subject to 6907.40.4000, 6907.40.9011, and merchandise in the amounts indicated sanction. 6907.40.9051. Subject merchandise may also above. If the ITC determines that enter under subheadings of headings 6914 Notification to Interested Parties and 6905: 6914.10.8000, 6914.90.8000, material injury, or threat of material 6905.10.0000, and 6905.90.0050. The HTSUS injury, does not exist, this proceeding This determination is issued and subheadings are provided for convenience will be terminated, and all estimated published in accordance with sections and customs purposes only. The written duties deposited or securities posted as 705(d) and 777(i) of the Act and 19 CFR description of the scope of this investigation 351.210(c). Note that Commerce has is dispositive. 7 Commerce assigned Sanfi’s rate to each of the temporarily modified certain of its entities for which Sanfi provided an initial 8 See Temporary Rule Modifying AD/CVD Service questionnaire response: Guangdong Sanfi Ceramics requirements for serving documents Requirements Due to COVID–19, 85 FR 17006 Group Co., Ltd. containing business proprietary (March 26, 2020).
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Appendix II Commerce published the notice of Service (CAS) registry number of 7778– List of Topics Discussed in the Issues and initiation of the first sunset review of 54–3, and a U.S. Environmental Decision Memorandum the CVD order on calcium hypochlorite Protection Agency (EPA) Pesticide Code from China, pursuant to section 751(c) (PC) Number of 014701. The subject I. Summary II. Background of the Tariff Act of 1930, as amended calcium hypochlorite has an 2 III. Scope Comments (the Act). On January 2, 2019, International Maritime Dangerous IV. Scope of the Investigation Commerce received a timely filed notice Goods (IMDG) code of Class 5.1 UN V. Critical Circumstances of intent to participate from Innovative 1748, 2880, or 2208 or Class 5.1/8 UN VI. Subsidies Valuation Water Care, LLC dba Sigura (IWC) 3485, 3486, or 3487. VII. Benchmarks and Interest Rates within the deadline specified in 19 CFR Calcium hypochlorite is currently VIII. Use of Facts Otherwise Available and 351.218(d)(1)(i).3 IWC claimed classifiable under the subheading Adverse Inferences interested party status under section 2828.10.0000 of the Harmonized Tariff IX. Discussion of Issues 771(9)(C) of the Act, as a manufacturer Schedule of the United States (HTSUS). Comment 1: Application of AFA to Sanfi of a domestic like product in the United The subheading covers commercial and Temgoo and Calculation of the All- calcium hypochlorite and other calcium Others Rate States. Comment 2: Whether Commerce’s Commerce received an adequate hypochlorite. When tableted or blended Calculation of the AFA Rate in substantive response to the notice of with other materials, calcium Unreasonable initiation from IWC within the 30-day hypochlorite may be entered under Comment 3: Selection of AFA Rates for deadline specified in 19 CFR other tariff classifications, such as Subsidy Programs 351.218(d)(3)(i).4 We received no 3808.94.5000 and 3808.99.9500, which Comment 4: Preliminary Scope substantive responses from any other cover disinfectants and similar Determination interested parties, including the products. While the HTSUS X. Recommendation Government of China, nor was a hearing subheadings, the CAS registry number, [FR Doc. 2020–07189 Filed 4–6–20; 8:45 am] requested. On December 23, 2019, the U.S. EPA PC number, and the IMDG BILLING CODE 3510–DS–P Commerce notified the U.S. codes are provided for convenience and International Trade Commission that it customs purposes, the written did not receive an adequate substantive description of the scope of this order is DEPARTMENT OF COMMERCE response from respondent interested dispositive. parties.5 As a result, pursuant to Analysis of Comments Received International Trade Administration 751(c)(3)(B) of the Act and 19 CFR [C–570–009] 351.218(e)(1)(ii)(B)–(C), Commerce All issues raised in this sunset review conducted an expedited (120-day) are addressed in the Issues and Decision Calcium Hypochlorite From the sunset review of the CVD order on Memorandum,6 which is hereby People’s Republic of China: Final calcium hypochlorite from China. adopted by this notice. The issues Results of the Expedited First Sunset discussed in the Issues and Decision Scope of the Order Review of the Countervailing Duty Memorandum are the likelihood of Order The product covered by this order is continuation or recurrence of a calcium hypochlorite, regardless of form countervailable subsidy and the net AGENCY: Enforcement and Compliance, (e.g., powder, tablet (compressed), countervailable subsidy likely to prevail International Trade Administration, crystalline (granular), or in liquid if the order were revoked. The Issues Department of Commerce. solution), whether or not blended with and Decision Memorandum is a public SUMMARY: The Department of Commerce other materials, containing at least 10 document and is on file electronically (Commerce) finds that revocation of the percent available chlorine measured by via Enforcement and Compliance’s countervailing duty (CVD) order would actual weight. The scope also includes Antidumping and Countervailing Duty be likely to lead to the continuation or bleaching powder and hemibasic Centralized Electronic Service System recurrence of a countervailable subsidy calcium hypochlorite. (ACCESS). ACCESS is available to at the levels indicated in the ‘‘Final Calcium hypochlorite has the general registered users at http:// Results of Review’’ section of this chemical formulation Ca(OCl)2, but may access.trade.gov, and to all in the notice. also be sold in a more dilute form as Central Records Unit, Room B8024 of DATES: Applicable April 7, 2020. bleaching powder with the chemical the main Commerce building. In FOR FURTHER INFORMATION CONTACT: formulation, addition, a complete version of the Rachel Greenberg, AD/CVD Operations, Ca(OCl)2.CaCl2.Ca(OH)2.2H2O or Issues and Decision Memorandum can Office V, Enforcement and Compliance, hemibasic calcium hypochlorite with be accessed directly at http:// International Trade Administration, the chemical formula of enforcement.trade.gov/frn/. The signed U.S. Department of Commerce, 1401 2Ca(OCl)2.Ca(OH)2 or and electronic versions of the Issues and Constitution Avenue NW, Washington, Ca(OCl)2.0.5Ca(OH)2. Calcium Decision Memorandum are identical in DC 20230; telephone: (202) 482–0652. hypochlorite has a Chemical Abstract content. SUPPLEMENTARY INFORMATION: 2 See Initiation of Five-Year (Sunset) Reviews, 84 Final Results of Review Background FR 65968 (December 2, 2019). Pursuant to sections 751(c)(1) and 3 See IWC’s Letter, ‘‘Countervailing Duty Order on 752(b) of the Act, Commerce determines On January 30, 2015, Commerce Calcium Hypochlorite from the People’s Republic of published in the Federal Register the China: Notice of Intent to Participate,’’ December that revocation of the CVD order on CVD order on calcium hypochlorite 17, 2019. calcium hypochlorite from China would from the People’s Republic of China 4 See IWC’s Letter, ‘‘Countervailing Duty Order on Calcium Hypochlorite from the People’s Republic of 6 1 See Memorandum ‘‘Issues and Decision (China). On December 2, 2019, China: Substantive Response to Notice of Memorandum for the Final Results of the Expedited Initiation,’’ dated January 2, 2020. First Sunset Review of the Countervailing Duty 1 See Calcium Hypochlorite from the People’s 5 See Commerce’s Letter, ‘‘Sunset Reviews Order on Calcium Hypochlorite from the People’s Republic of China: Countervailing Duty Order, 80 Initiated on December 2, 2019,’’ dated December 23, Republic of China,’’ dated concurrently with this FR 5082 (January 30, 2015). 2019. notice (Issues and Decision Memorandum).
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be likely to lead to the continuation or recurrence of a countervailable subsidy at the rates listed below:
Net subsidy Producer/exporter rate (percent)
Hubei Dinglong Chemical Co. Ltd ...... 65.85 W&W Marketing Corporation ...... 65.85 Tianjin Jinbin International Trade Co., Ltd ...... 65.85 All Others ...... 65.85
Administrative Protective Order (APO) DEPARTMENT OF COMMERCE received antidumping duty (AD) petitions concerning imports of This notice also serves as the only International Trade Administration common alloy aluminum sheet reminder to parties subject to an APO of (aluminum sheet) from Bahrain, Brazil, their responsibility concerning the [A–525–001, A–351–854, A–891–001, A–729– 803, A–428–849, A–484–804, A–533–895, A– Croatia, Egypt, Germany, Greece, India, destruction of proprietary information 560–835, A–475–842, A–580–906, A–523– Indonesia, Italy, Korea, Oman, Romania, disclosed under APO in accordance 814, A–485–809, A–801–001, A–856–001, A– Serbia, Slovenia, South Africa, Spain, with 19 CFR 351.305. Timely written 791–825, A–469–820, A–583–867, A–489– Taiwan, and Turkey filed in proper form notification of the return or destruction 839] on behalf the petitioners,1 domestic of APO materials or conversion to producers of aluminum sheet.2 The judicial protective order is hereby Common Alloy Aluminum Sheet From Petitions were accompanied by requested. Failure to comply with the Bahrain, Brazil, Croatia, Egypt, countervailing duty (CVD) petitions Germany, Greece, India, Indonesia, regulations and terms of an APO is a concerning imports of aluminum sheet Italy, Republic of Korea, Oman, 3 sanctionable violation. from Bahrain, Brazil, India and Turkey. Romania, Serbia, Slovenia, South Between March 12 and 20, 2020, Notification to Interested Parties Africa, Spain, Taiwan and the Republic Commerce requested supplemental of Turkey: Initiation of Less-Than-Fair- information pertaining to certain aspects We are issuing and publishing these Value Investigations of the Petitions in separate results in accordance with sections supplemental questionnaires.4 The AGENCY: Enforcement and Compliance, 751(c), 752(b), and 777(i)(1) of the Act petitioners filed responses to the International Trade Administration, and 19 CFR 351.218. Note that supplemental questionnaires between Commerce has temporarily modified Department of Commerce. March 16 through 23, 2020.5 certain of its requirements for serving DATES: Applicable March 30, 2020. documents containing business FOR FURTHER INFORMATION CONTACT: 1 The Aluminum Association Common Alloy proprietary information, until May 19, Allison Hollander at (202) 482–2805 Aluminum Sheet Trade Enforcement Working 7 Group and its Individual Members, Aleris Rolled 2020, unless extended. (Bahrain); Shanah Lee at (202) 482–6386 Products, Inc., Arconic, Inc., Constellium Rolled Dated: March 31, 2020. (Brazil); Irene Gorelik at (202) 482–6905 Products Ravenswood, LLC, JW Aluminum (Croatia); Magd Zalok at (202) 482–4162 Company, Novelis Corporation, and Texarkana Jeffrey I. Kessler, (Egypt); Jonathan Hill at (202) 482–3518 Aluminum, Inc. 2 See Petitioners’ Letter, ‘‘Common Alloy Assistant Secretary for Enforcement and (Germany); Samantha Kinney at (202) Compliance. Aluminum Sheet from Bahrain, Brazil, Croatia, 482–2285 (Greece); Jasun Moy at (202) Egypt, Germany, Greece, India, Indonesia, Italy, Appendix 482–8194 (India); Preston Cox at (202) Korea, Oman, Romania, Serbia, Slovenia, South Africa, Spain, Taiwan and Turkey—Petition for the 482–5041 (Indonesia); Kathryn Wallace Imposition of Antidumping and Countervailing List of Topics Discussed in the Issues and at (202) 482–6251 (Italy); Annathea Decision Memorandum Duties,’’ dated March 9, 2020 (the Petitions). Cook at (202) 482–0250 (Republic of 3 Id. I. Summary Korea (Korea)); Chelsey Simonovich at 4 See Commerce’s Letters, ‘‘Petition for the II. Background (202) 482–1979 (Oman); Krisha Hill at Imposition of Antidumping Duties on Imports of III. Scope of the Order (202) 482–4037 (Romania); Katherine Common Alloy Aluminum Sheet from Bahrain, IV. History of the Order Brazil, Croatia, Egypt, Germany, Greece, India, Johnson at (202) 482–4929 (Serbia); Indonesia, Italy, Korea, Oman, Romania, Serbia, V. Legal Framework Allison Hollander at (202) 482–2805 Slovenia, South Africa, Spain, Taiwan and Turkey: VI. Discussion of the Issues (Slovenia); Peter Zukowski at (202) 482– Supplemental Questions,’’ dated March 13, 2020 1. Likelihood of continuation or recurrence 0189 (South Africa); Rachel Greenberg (General Issues Supplemental); and country specific of a countervailable subsidy supplemental questionnaires: Bahrain at (202) 482–0652 (Spain); Kathryn Supplemental, Brazil Supplemental, Croatia 2. Net countervailable subsidy rates that Turlo at (202) 482–3870 (Taiwan); and Supplemental, Egypt Supplemental, Germany are likely to prevail Sean Carey at (202) 482–3964 (Republic Supplemental, Greece Supplemental, India 3. Nature of the subsidies of Turkey (Turkey)); AD/CVD Supplemental, Indonesia Supplemental, Italy VII. Final Results of Review Supplemental, Korea Supplemental, Oman Operations, Enforcement and Supplemental, Romania Supplemental, Serbia VIII. Recommendation Compliance, International Trade Supplemental, Slovenia Supplemental, South [FR Doc. 2020–07297 Filed 4–6–20; 8:45 am] Administration, U.S. Department of Africa Supplemental, Spain Supplemental, Taiwan Supplemental, and Turkey Supplemental, dated BILLING CODE 3510–DS–P Commerce, 1401 Constitution Avenue March 12, 2020 or March 13, 2020; see also country- NW, Washington, DC 20230. specific Memoranda regarding telephone SUPPLEMENTARY INFORMATION: conversation with counsel for the petitioners, dated March 20, 2020. The Petitions 5 See Petitioners’ First country-specific 7 See Temporary Rule Modifying AD/CVD Service Supplemental Responses, dated March 16, 2020 Requirements Due to COVID–19, 85 FR 17006 On March 9, 2020, the U.S. through March 18, 2020; see also Petitioners’ Letter, (March 26, 2020). Department of Commerce (Commerce) ‘‘Common Alloy Aluminum Sheet from Bahrain,
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In accordance with section 732(b) of Comments on the Scope of the electronically filed document must be the Tariff Act of 1930, as amended (the Investigations received successfully in its entirety by the time and date it is due. Act), the petitioners allege that imports As discussed in the Preamble to of aluminum sheet from Bahrain, Brazil, Commerce’s regulations, we are setting Comments on Product Characteristics Croatia, Egypt, Germany, Greece, India, aside a period for interested parties to Indonesia, Italy, Korea, Oman, Romania, raise issues regarding product coverage Commerce is providing interested Serbia, Slovenia, South Africa, Spain, (i.e., scope).8 Commerce will consider parties an opportunity to comment on Taiwan, and Turkey are being, or are all comments received from interested the appropriate physical characteristics likely to be, sold in the United States at parties and, if necessary, will consult of aluminum sheet to be reported in less than fair value (LTFV) within the with interested parties prior to the response to Commerce’s AD meaning of section 731 of the Act, and issuance of the preliminary questionnaires. This information will be that imports of such products are determinations. If scope comments used to identify the key physical materially injuring, or threatening include factual information,9 all such characteristics of the subject material injury to, the domestic factual information should be limited to merchandise in order to report the aluminum sheet industry in the United public information. To facilitate relevant costs of production accurately, States. Consistent with section 732(b)(1) preparation of its questionnaires, as well as to develop appropriate of the Act, the Petitions are Commerce requests that all interested product-comparison criteria. accompanied by information reasonably parties submit such comments by 5:00 Interested parties may provide any available to the petitioners supporting p.m. Eastern Time (ET) on April 20, information or comments that they feel their allegations. 2020, which is 20 calendar days from are relevant to the development of an 10 Commerce finds that the petitioners the signature date of this notice. Any accurate list of physical characteristics. filed the Petitions on behalf of the rebuttal comments, which may include Specifically, they may provide domestic industry, because the factual information, must be filed by comments as to which characteristics 5:00 p.m. ET on April 30, 2020, which petitioners are interested parties, as are appropriate to use as: (1) General is ten calendar days from the initial product characteristics, and (2) product defined in sections 771(9)(C) and (F) of comment deadline.11 comparison criteria. We note that it is the Act. Commerce also finds that the Commerce requests that any factual not always appropriate to use all petitioners demonstrated sufficient information parties consider relevant to product characteristics as product industry support for the initiation of the the scope of the investigations be comparison criteria. We base product requested AD investigations.6 submitted during this period. However, comparison criteria on meaningful Period of Investigations if a party subsequently finds that commercial differences among products. additional factual information In other words, although there may be Because the Petitions were filed on pertaining to the scope of the some physical product characteristics March 9, 2020, the period of investigations may be relevant, the party utilized by manufacturers to describe investigation (POI) for these AD may contact Commerce and request aluminum sheet, it may be that only a investigations is January 1 through permission to submit the additional select few product characteristics take December 31, 2019, pursuant to 19 CFR information. All such submissions must into account commercially meaningful 351.204(b)(1).7 be filed on the records of the concurrent physical characteristics. In addition, AD and CVD investigations. interested parties may comment on the Scope of the Investigations order in which the physical Filing Requirements The products covered by these characteristics should be used in investigations are aluminum sheet from All submissions to Commerce must be matching products. Generally, Bahrain, Brazil, Croatia, Egypt, filed electronically via Enforcement and Commerce attempts to list the most Germany, Greece, India, Indonesia, Compliance’s Antidumping Duty and important physical characteristics first Italy, Korea, Oman, Romania, Serbia, Countervailing Duty Centralized and the least important characteristics Slovenia, South Africa, Spain, Taiwan, Electronic Service System (ACCESS), last. 12 and Turkey. For a full description of the unless an exception applies. An In order to consider the suggestions of scope of these investigations, see the interested parties in developing and 8 See Antidumping Duties; Countervailing Duties, appendix to this notice. Final Rule, 62 FR 27296, 27323 (May 19, 1997) issuing the AD questionnaires, all (Preamble). product characteristics comments must Brazil, Croatia, Egypt, Germany, Greece, India, 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual be filed by 5:00 p.m. ET on April 20, Indonesia, Italy, Korea, Oman, Romania, Serbia, information’’). 2020, which is 20 calendar days from Slovenia, South Africa, Spain, Taiwan and 10 Commerce practice dictates that where a the signature date of this notice.13 Any Turkey—Petitioners’ Amendments to Volume I deadline falls on a weekend or Federal holiday, the Relating to General Issues,’’ dated March 17, 2020 appropriate deadline is the next business day (in rebuttal comments must be filed by 5:00 (General Issues Supplement); Petitioners’ Letters, this instance, April 20, 2020). See Notice of p.m. ET on April 30, 2020. All ‘‘Petitioners’ Revised Confidential Foreign Market Clarification: Application of ‘‘Next Business Day’’ comments and submissions to Research Declarations,’’ dated between March 17, Rule for Administrative Determination Deadlines Commerce must be filed electronically 2020 and March 18, 2020; Second country-specific Pursuant to the Tariff Act of 1930, As Amended, 70 Supplemental Responses, dated March 20, 2020 FR 24533 (May 10, 2005). using ACCESS, as explained above, on through March 23, 2020; and the petitioners’ Letter, 11 See 19 CFR 351.303(b). ‘‘Common Alloy Aluminum Sheet from Bahrain, 12 See Antidumping and Countervailing Duty access.trade.gov/help/Handbook%20on%20 Brazil, Croatia, Egypt, Germany, Greece, India, Proceedings: Electronic Filing Procedures; Electronic%20Filling%20Procedures.pdf. Indonesia, Italy, Korea, Oman, Romania, Serbia, Administrative Protective Order Procedures, 76 FR 13 See 19 CFR 351.303(b). Commerce practice Slovenia, South Africa, Spain, Taiwan and 39263 (July 6, 2011); see also Enforcement and dictates that where a deadline falls on a weekend Turkey—Petitioners’ Second Amendment to Compliance; Change of Electronic Filing System or Federal holiday, the appropriate deadline is the Volume I Relating to General Issues,’’ dated March Name, 79 FR 69046 (November 20, 2014) for details next business day (in this instance, April 20, 2020). 23, 2020 (Second General Issues Supplement). of Commerce’s electronic filing requirements, See Notice of Clarification: Application of ‘‘Next 6 See infra, section on ‘‘Determination of Industry effective August 5, 2011. Information on help using Business Day’’ Rule for Administrative Support for the Petitions.’’ ACCESS can be found at https://access.trade.gov/ Determination Deadlines Pursuant to the Tariff Act 7 See 19 CFR 351.204(b)(1). help.aspx and a handbook can be found at https:// of 1930, As Amended, 70 FR 24533 (May 10, 2005).
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the record of each of the AD ‘‘the article subject to an investigation’’ from domestic producers (or workers) investigations. (i.e., the class or kind of merchandise to accounting for more than 50 percent of be investigated, which normally will be the total production of the domestic like Determination of Industry Support for the scope as defined in the petition). product and, as such, Commerce is not the Petitions With regard to the domestic like required to take further action in order Section 732(b)(1) of the Act requires product, the petitioners do not offer a to evaluate industry support (e.g., that a petition be filed on behalf of the definition of the domestic like product polling).23 Second, the domestic domestic industry. Section 732(c)(4)(A) distinct from the scope of the producers (or workers) have met the of the Act provides that a petition meets investigations.16 Based on our analysis statutory criteria for industry support this requirement if the domestic of the information submitted on the under section 732(c)(4)(A)(i) of the Act producers or workers who support the record, we have determined that because the domestic producers (or petition account for: (i) At least 25 aluminum sheet, as defined in the workers) who support the Petitions percent of the total production of the scope, constitutes a single domestic like account for at least 25 percent of the domestic like product; and (ii) more product, and we have analyzed industry total production of the domestic like than 50 percent of the production of the support in terms of that domestic like product.24 Finally, the domestic domestic like product produced by that product.17 producers (or workers) have met the portion of the industry expressing In determining whether the statutory criteria for industry support support for, or opposition to, the petitioners have standing under section under section 732(c)(4)(A)(ii) of the Act petition. Moreover, section 732(c)(4)(D) 732(c)(4)(A) of the Act, we considered because the domestic producers (or of the Act provides that, if the petition the industry support data contained in workers) who support the Petitions does not establish support of domestic the Petitions with reference to the account for more than 50 percent of the producers or workers accounting for domestic like product as defined in the production of the domestic like product more than 50 percent of the total ‘‘Scope of the Investigations,’’ in the produced by that portion of the industry production of the domestic like product, appendix to this notice. To establish expressing support for, or opposition to, Commerce shall: (i) Poll the industry or industry support, the petitioners the Petitions.25 Accordingly, Commerce rely on other information in order to provided their 2019 production of the determines that the Petitions were filed determine if there is support for the domestic like product.18 In addition, the on behalf of the domestic industry petition, as required by subparagraph petitioners provided 2019 production within the meaning of section 732(b)(1) (A); or (ii) determine industry support data for and a letter of support from of the Act.26 using a statistically valid sampling Jupiter Aluminum Corporation.19 The method to poll the ‘‘industry.’’ petitioners estimated the production of Allegations and Evidence of Material Section 771(4)(A) of the Act defines the domestic like product for the entire Injury and Causation the ‘‘industry’’ as the producers as a domestic industry based on shipment The petitioners allege that the U.S. whole of a domestic like product. Thus, data collected by the Aluminum industry producing the domestic like to determine whether a petition has the Association, and the Aluminum product is being materially injured, or is requisite industry support, the statute Association’s knowledge of the threatened with material injury, by directs Commerce to look to producers industry.20 We relied on data provided reason of the imports of the subject and workers who produce the domestic by the petitioners for purposes of merchandise sold at LTFV. In addition, like product. The International Trade measuring industry support.21 with regard to Oman, Germany, Bahrain, Commission (ITC), which is responsible Our review of the data provided in the Indonesia, Taiwan, Turkey, India, South for determining whether ‘‘the domestic Petitions, the General Issues Africa, Korea, Brazil, and Greece, the industry’’ has been injured, must also Supplement, the Second General Issues petitioners allege that subject imports determine what constitutes a domestic Supplement, and other information exceed the negligibility threshold like product in order to define the readily available to Commerce indicates provided for under section 771(24)(A) of industry. While both Commerce and the that the petitioners have established the Act.27 With regard to Italy, Spain, ITC must apply the same statutory industry support for the Petitions.22 Egypt, Slovenia, Romania, Croatia, and definition regarding the domestic like First, the Petitions established support Serbia, while the allegedly dumped product,14 they do so for different imports from each of these countries do purposes and pursuant to a separate and 16 See Volume I of the Petitions at 13–15. not individually exceed the statutory distinct authority. In addition, 17 For a discussion of the domestic like product requirements for negligibility, the Commerce’s determination is subject to analysis as applied to these cases and information petitioners provide data demonstrating limitations of time and information. regarding industry support, see country-specific AD Initiation Checklists at Attachment II, Analysis of that the aggregate import share from Although this may result in different Industry Support for the Antidumping and these five countries is 9.7 percent, definitions of the like product, such Countervailing Duty Petitions Covering Common which exceeds the seven percent differences do not render the decision of Alloy Aluminum Sheet from Bahrain, Brazil, threshold established by the exception Croatia, Egypt, Germany, Greece, India, Indonesia, either agency contrary to law.15 28 Italy, Korea, Oman, Romania, Serbia, Slovenia, in section 771(24)(A)(ii) of the Act. Section 771(10) of the Act defines the South Africa, Spain, Taiwan, and Turkey domestic like product as ‘‘a product (Attachment II). 23 Id.; see also section 732(c)(4)(D) of the Act. which is like, or in the absence of like, 18 See Volume I of the Petitions at 4 and Exhibit 24 See Volume I of the Petitions at 4 and Exhibit most similar in characteristics and uses GEN–2; see also General Issues Supplement at 3. GEN–2; see also General Issues Supplement at 3. with, the article subject to an 19 See Volume I of the Petitions at 4 and Exhibit For further discussion, see Attachment II of the investigation under this title.’’ Thus, the GEN–2; see also Second General Issues country-specific AD Initiation Checklists. Supplement. 25 Id. reference point from which the 20 See Volume I of the Petitions at 4 and Exhibits 26 Id. domestic like product analysis begins is GEN–2 and GEN–3; see also General Issues 27 See Volume I of the Petitions at 15–17 and Supplement at 3. Exhibit GEN–9. 14 See section 771(10) of the Act. 21 See Volume I of the Petitions at 4 and Exhibit 28 Section 771(24)(A)(ii) of the Act states 15 See USEC, Inc. v. United States, 132 F. Supp. GEN–2; see also General Issues Supplement at 3. ‘‘{i}mports that would otherwise be negligible 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. For further discussion, see Attachment II of the under clause (i) shall not be negligible if the v. United States, 688 F. Supp. 639, 644 (CIT 1988), country-specific AD Initiation Checklists. aggregate volume of imports of the merchandise aff’d 865 F. 2d 240 (Fed. Cir. 1989)). 22 Id. from all countries described in clause (i) with
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Therefore, the subject imports from Normal Value 33 Bahrain, Brazil, Croatia, Egypt, these countries are not negligible for For Bahrain, Brazil, Croatia, Egypt, Germany, Greece, India, Indonesia, purposes of the material injury analysis Germany, Greece, India, Indonesia, Italy, Korea, Oman, Romania, Serbia, 29 in these Petitions. Italy, Korea, Oman, Romania, Serbia, Slovenia, South Africa, Spain, Taiwan, The petitioners contend that the Slovenia, Spain, Taiwan, and Turkey, and Turkey are being, or are likely to be, industry’s injured condition is the petitioners based NV on a home sold in the United States at LTFV. Based on comparisons of EP or CEP, as illustrated by a significant and market price quote obtained through applicable, to NV in accordance with increasing volume of subject imports; market research for aluminum sheet sections 772 and 773 of the Act, the reduced market share; underselling and produced in and sold, or offered for sale, in each country within the estimated dumping margins for price depression or suppression; lost aluminum sheet for each of the sales and revenues; declining capacity applicable time period.34 For Oman, the petitioners provided information countries covered by this initiation are utilization; a declining number of as follows: (1) Bahrain—58.45 percent; production and related workers; and a indicating that the price quote was below the COP and, therefore, the (2) Brazil—17.96 and 27.01 percent; (3) decline in financial performance and Croatia—13.79 percent; (4) Egypt—31.50 profitability.30 We assessed the petitioners also calculated NV based on constructed value (CV). percent; (5) Germany—37.22 percent; (6) allegations and supporting evidence Greece—61.87 percent; (7) India— regarding material injury, threat of For South Africa, the petitioners were unable to obtain a price quote for 122.80 to 151.00 percent; (8) material injury, causation, as well as Indonesia—32.12 percent; (9) Italy— negligibility, and we have determined aluminum sheet produced in and sold, or offered for sale, in South Africa that 29.13 percent; (10) Korea—36.55 and that these allegations are properly was usable for comparison to the price 44.03 percent; (11) Oman—15.90 and supported by adequate evidence, and of aluminum sheet exported to the 58.17 percent; (12) Romania—12.51 meet the statutory requirements for United States from South Africa, nor percent; (13) Serbia—25.84 percent; (14) initiation.31 were third country prices reasonably Slovenia—12.95 percent; (15) South Africa—63.27 percent; (16) Spain— Allegations of Sales at LTFV available to the petitioners.35 The petitioners therefore calculated NV 24.26 percent; (17) Taiwan—27.22 The following is a description of the 36 percent; and (18) Turkey—42.88 based on CV. 39 allegations of sales at LTFV upon which For further discussion of CV, see the percent. Commerce based its decision to initiate section ‘‘Normal Value Based on Initiation of LTFV Investigations AD investigations of imports of Constructed Value.’’ aluminum sheet from Bahrain, Brazil, Based upon the examination of the Normal Value Based on Constructed Croatia, Egypt, Germany, Greece, India, Petitions and supplemental responses, Value Indonesia, Italy, Korea, Oman, Romania, we find that they meet the requirements Serbia, Slovenia, South Africa, Spain, As noted above, the petitioners were of section 732 of the Act. Therefore, we Taiwan, and Turkey. The sources of unable to obtain information relating to are initiating AD investigations to data for the deductions and adjustments the prices charged for aluminum sheet determine whether imports of relating to U.S. price and normal value produced in South Africa and sold in aluminum sheet from Bahrain, Brazil, (NV) are discussed in greater detail in South Africa, or any third country Croatia, Egypt, Germany, Greece, India, the country-specific AD Initiation market, and the price quote obtained for Indonesia, Italy, Korea, Oman, Romania, Checklists. the sale in Oman was below the COP. Serbia, Slovenia, South Africa, Spain, Accordingly, the petitioners based NV Taiwan, and Turkey are being, or are U.S. Price on CV.37 Pursuant to section 773(e) of likely to be, sold in the United States at the Act, the petitioners calculated CV as LTFV. In accordance with section For all countries, the petitioners based the sum of the cost of manufacturing, 733(b)(1)(A) of the Act and 19 CFR export price (EP) or constructed export selling, general, and administrative 351.205(b)(1), unless postponed, we will price (CEP) (as applicable), on pricing expenses, financial expenses, and make our preliminary determinations no information for sales of, or sales offers profit.38 later than 140 days after the date of this for, aluminum sheet produced in and initiation. exported from each country. The Fair Value Comparisons petitioners made certain adjustments to Based on the data provided by the Respondent Selection U.S. price to calculate a net ex-factory petitioners, there is reason to believe In the Petitions, the petitioners named U.S. price.32 that imports of aluminum sheet from one company in Bahrain, six companies in Brazil, one company in Croatia, one respect to which investigations were initiated on 33 In accordance with section 505(a) of the Trade the same day exceeds 7 percent of the volume of Preferences Extension Act of 2015, amending company in Egypt, 37 companies in all such merchandise imported in to the United section 773(b)(2) of the Act, for these investigations, Germany, two companies in Greece, 14 States during the applicable 12-month period.’’ Commerce will request information necessary to companies in India, four companies in 29 See Volume I of the Petitions at 15–16 and calculate the constructed value and cost of Indonesia, 20 companies in Italy, 25 production (COP) to determine whether there are Exhibit GEN–9. companies in Korea, one company in 30 See Volume I of the Petitions at 22–37 and reasonable grounds to believe or suspect that sales Exhibits GEN–7, and GEN–10 through GEN–15. of the foreign like product have been made at prices Oman, two companies in Romania, two that represent less than the COP of the product. 31 See country-specific AD Initiation Checklists at companies in Serbia, one company in Commerce no longer requires a COP allegation to Attachment III, Analysis of Allegations and Slovenia, one company in South Africa, conduct this analysis. Evidence of Material Injury and Causation for the 34 Id. 16 companies in Spain, 12 companies in Antidumping Duty Petition Petitions Covering 40 35 Taiwan, and 21 companies in Turkey Common Alloy Aluminum Sheet from Bahrain, See South Africa AD Initiation Checklist. Brazil, Croatia, Egypt, Germany, Greece, India, 36 Id. Indonesia, Italy, Korea, Oman, Romania, Serbia, 37 See country-specific AD Initiation Checklists 39 See country-specific Initiation Checklists for Slovenia, South Africa, Spain, Taiwan, and Turkey for details of calculations. details of calculations. (Attachment III). 38 See Oman AD Initiation Checklist and South 40 See Volume I of the Petitions at Exhibit GEN– 32 See country-specific AD Initiation Checklists. Africa AD Initiation Checklist. 6.
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as producers/exporters of aluminum Seval Aluminium Rolling Mill and imports of aluminum sheet from sheet. Otovici Doo), one company in Slovenia Bahrain, Brazil, Croatia, Egypt, Following standard practice in AD as the producer/exporter of aluminum Germany, Greece, India, Indonesia, investigations involving market sheet (i.e., Impol 2000, dd and its Italy, Korea, Oman, Romania, Serbia, economy countries, in the event subsidiary companies including Impol Slovenia, South Africa, Spain, Taiwan, Commerce determines that the number d.o.o. and Impol FT, d.o.o. (Impol and/or Turkey are materially injuring, or of companies is large and it cannot Group)), and one company in South threatening material injury to, a U.S. individually examine each company Africa as the producer/exporter of industry.43 A negative ITC based upon Commerce’s resources, aluminum sheet (i.e., Hulamin determination for any country will where appropriate, Commerce intends Operations (PtY) Ltd.), and provided result in the investigation being to select mandatory respondents in independent third-party information as terminated with respect to that Brazil, Germany, India, Indonesia, Italy, support.42 We currently know of no country.44 Otherwise, these AD Korea, Spain, Taiwan, and Turkey based additional producers/exporters of investigations will proceed according to on U.S. Customs and Border Protection aluminum sheet from Bahrain, Croatia, statutory and regulatory time limits. (CBP) data for U.S. imports under the Egypt, Greece, Oman, Romania, Serbia, Submission of Factual Information appropriate Harmonized Tariff Schedule Slovenia, or South Africa. Accordingly, of the United States numbers listed in Commerce intends to individually Factual information is defined in 19 the ‘‘Scope of the Investigations,’’ in the examine all known producers/exporters CFR 351.102(b)(21) as: (i) Evidence appendix. in the investigations from these submitted in response to questionnaires; On March 24, 2020, Commerce countries (i.e., the companies cited (ii) evidence submitted in support of released CBP data on imports of above). allegations; (iii) publicly available aluminum sheet from those countries Parties wishing to comment on information to value factors under 19 with a large number of companies, respondent selection for Bahrain, CFR 351.408(c) or to measure the specifically, Brazil, Germany, India, Croatia, Egypt, Greece, Oman, Romania, adequacy of remuneration under 19 CFR Indonesia, Italy, Korea, Spain, Taiwan, Serbia, Slovenia, or South Africa must 351.511(a)(2); (iv) evidence placed on and Turkey under Administrative do so within three business days of the the record by Commerce; and (v) Protective Order (APO) to all parties publication of this notice in the Federal evidence other than factual information with access to information protected by Register. Commerce will not accept described in (i)–(iv). Section 351.301(b) APO and indicated that interested rebuttal comments regarding respondent of Commerce’s regulations requires any parties wishing to comment on the CBP selection for Bahrain, Croatia, Egypt, party, when submitting factual data must do so within three business Greece, Oman, Romania, Serbia, information, to specify under which subsection of 19 CFR 351.102(b)(21) the days of the publication date of the Slovenia, or South Africa. Comments 45 notice of initiation of these must be filed electronically using information is being submitted and, if investigations.41 Commerce will not ACCESS. An electronically-filed the information is submitted to rebut, accept rebuttal comments regarding the document must be received successfully clarify, or correct factual information CBP data or respondent selection. in its entirety by Commerce’s electronic already on the record, to provide an explanation identifying the information Interested parties must submit records system, ACCESS, by 5:00 p.m. already on the record that the factual applications for disclosure under APO ET on the specified deadline. in accordance with 19 CFR 351.305(b). information seeks to rebut, clarify, or Distribution of Copies of the AD 46 Instructions for filing such applications correct. Time limits for the Petitions may be found on Commerce’s website at submission of factual information are addressed in 19 CFR 351.301, which http://enforcement.trade.gove/apo. In accordance with section The petitioners identified one 732(b)(3)(A) of the Act and 19 CFR provides specific time limits based on company in Bahrain as the producer/ 351.202(f), copies of the public version the type of factual information being submitted. Interested parties should exporter of aluminum sheet (i.e., Gulf of the AD Petitions have been provided review the regulations prior to Aluminium Rolling Mill Company to the governments of Bahrain, Brazil, submitting factual information in these (GARMCO)), one company in Croatia as Croatia, Egypt, Germany, Greece, India, investigations. the producer/exporter of aluminum Indonesia, Italy, Korea, Oman, Romania, sheet (i.e., Impol-TLM,d.o.o.), one Serbia, Slovenia, South Africa, Spain, Particular Market Situation Allegation company in Egypt as the producer/ Taiwan, and Turkey via ACCESS. To the Section 504 of the Trade Preferences exporter of aluminum sheet (i.e., extent practicable, we will attempt to Extension Act of 2015 amended the Act Aluminium Co. of Egypt (Egyptalum)), provide a copy of the public version of by adding the concept of particular two companies in Greece as producers/ the AD Petitions to each exporter named market situation (PMS) for purposes of exporters of aluminum sheet (i.e., in the AD Petitions, as provided under CV under section 773(e) of the Act.47 Argiropoulos B.A.E.E and Elval Hellenic 19 CFR 351.203(c)(2). Section 773(e) of the Act states that ‘‘if Aluminium Industry S.A.), one ITC Notification a particular market situation exists such company in Oman as the producer/ that the cost of materials and fabrication We will notify the ITC of our exporter aluminum sheet (i.e., Oman or other processing of any kind does not initiation, as required by section 732(d) Aluminium Rolling Company (OARC)), accurately reflect the cost of production of the Act. two companies in Romania as in the ordinary course of trade, the producers/exporters of aluminum sheet Preliminary Determinations by the ITC administering authority may use (i.e., Alro, S.A. and Vimetco Group), another calculation methodology under two companies in Serbia as producers/ The ITC will preliminarily determine, within 45 days after the date on which exporters of aluminum sheet (i.e., Impol 43 See section 733(a) of the Act. the AD Petitions were filed, whether 44 Id. 41 See Memoranda, ‘‘Antidumping Duty there is a reasonable indication that 45 See 19 CFR 351.301(b). Investigation of Common Alloy Aluminum Sheet: 46 See 19 CFR 351.301(b)(2). Release of Customs Data from U.S. Customs and 42 See country-specific Supplemental Responses 47 See Trade Preferences Extension Act of 2015, Border Protection,’’ dated March 24, 2020. dated March 17, 2020 or March 18, 2020. Public Law 114–27, 129 Stat. 362 (2015).
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this subtitle or any other calculation and completeness of that information.48 sheet meeting the scope description is methodology.’’ When an interested Parties must use the certification included in the scope. Subject merchandise party submits a PMS allegation pursuant formats provided in 19 CFR includes common alloy sheet that has been to section 773(e) of the Act, Commerce 351.303(g).49 Commerce intends to further processed in a third country, including but not limited to annealing, will respond to such a submission reject factual submissions if the tempering, painting, varnishing, trimming, consistent with 19 CFR 351.301(c)(2)(v). submitting party does not comply with cutting, punching, and/or slitting, or any If Commerce finds that a PMS exists the applicable certification other processing that would not otherwise under section 773(e) of the Act, then it requirements. remove the merchandise from the scope of these investigations if performed in the will modify its dumping calculations Notification to Interested Parties appropriately. country of manufacture of the common alloy Interested parties must submit sheet. Neither section 773(e) of the Act, nor applications for disclosure under APO Excluded from the scope of these 19 CFR 351.301(c)(2)(v), set a deadline in accordance with 19 CFR 351.305. On investigations is aluminum can stock, which for the submission of PMS allegations January 22, 2008, Commerce published is suitable for use in the manufacture of and supporting factual information. Antidumping and Countervailing Duty aluminum beverage cans, lids of such cans, or tabs used to open such cans. Aluminum However, in order to administer section Proceedings: Documents Submission 773(e) of the Act, Commerce must can stock is produced to gauges that range Procedures; APO Procedures, 73 FR from 0.200 mm to 0.292 mm, and has an H– receive PMS allegations and supporting 3634 (January 22, 2008). Parties wishing factual information with enough time to 19, H–41, H–48, or H–391 temper. In to participate in these investigations addition, aluminum can stock has a lubricant consider the submission. Thus, should should ensure that they meet the applied to the flat surfaces of the can stock an interested party wish to submit a requirements of these procedures (e.g., to facilitate its movement through machines PMS allegation and supporting new the filing of letters of appearance as used in the manufacture of beverage cans. factual information pursuant to section discussed at 19 CFR 351.103(d)). Note Aluminum can stock is properly classified 773(e) of the Act, it must do so no later that Commerce has temporarily under Harmonized Tariff Schedule of the than 20 days after submission of a United States (HTSUS) subheadings modified certain of its requirements for 7606.12.3045 and 7606.12.3055. respondent’s initial section D serving documents containing business questionnaire response. Where the nominal and actual proprietary information, until May 19, measurements vary, a product is within the Extensions of Time Limits 2020, unless extended.50 scope if application of either the nominal or This notice is issued and published actual measurement would place it within Parties may request an extension of pursuant to sections 732(c)(2) and 777(i) the scope based on the definitions set for the time limits before the expiration of a of the Act, and 19 CFR 351.203(c). above. time limit established under 19 CFR Common alloy sheet is currently Dated: March 30, 2020. classifiable under HTSUS subheadings 351.301, or as otherwise specified by Jeffrey I. Kessler, Commerce. In general, an extension 7606.11.3060, 7606.11.6000, 7606.12.3096, Assistant Secretary for Enforcement and 7606.12.6000, 7606.91.3095, 7606.91.6095, request will be considered untimely if it Compliance. 7606.92.3035, and 7606.92.6095. Further, is filed after the expiration of the time merchandise that falls within the scope of limit established under 19 CFR 351.301. Appendix these investigations may also be entered into For submissions that are due from Scope of the Investigations the United States under HTSUS subheadings multiple parties simultaneously, an 7606.11.3030, 7606.12.3015, 7606.12.3025, The products covered by these 7606.12.3035, 7606.12.3091, 7606.91.3055, extension request will be considered investigations are common alloy aluminum 7606.91.6055, 7606.92.3025, 7606.92.6055, untimely if it is filed after 10:00 a.m. ET sheet, which is a flat-rolled aluminum 7607.11.9090. Although the HTSUS on the due date. Under certain product having a thickness of 6.3 mm or less, subheadings are provided for convenience circumstances, we may elect to specify but greater than 0.2 mm, in coils or cut-to- and customs purposes, the written length, regardless of width. Common alloy a different time limit by which description of the scope of these sheet within the scope of these investigations extension requests will be considered investigations is dispositive. untimely for submissions which are due includes both not clad aluminum sheet, as from multiple parties simultaneously. In well as multi-alloy, clad aluminum sheet. [FR Doc. 2020–07179 Filed 4–6–20; 8:45 am] such a case, we will inform parties in a With respect to not clad aluminum sheet, BILLING CODE 3510–DS–P common alloy sheet is manufactured from a letter or memorandum of the deadline IXXX-, 3XXX-, or 5XXX-series alloy as (including a specified time) by which designated by the Aluminum Association. DEPARTMENT OF COMMERCE extension requests must be filed to be With respect to multi-alloy, clad aluminum considered timely. An extension request sheet, common alloy sheet is produced from International Trade Administration must be made in a separate, stand-alone a 3XXX-series core, to which cladding layers submission; under limited are applied to either one or both sides of the [C–351–855, C–489–840, C–525–002, C–533– circumstances we will grant untimely- core. 896] filed requests for the extension of time Common alloy sheet may be made to Common Alloy Aluminum Sheet From limits. Parties should review Extension ASTM specification B209–14 but can also be made to other specifications. Regardless of Bahrain, Brazil, India, and the Republic of Time Limits; Final Rule, 78 FR 57790 specification, however, all common alloy of Turkey: Initiation of Countervailing (September 20, 2013), available at Duty Investigations http://www.gpo.gov/fdsys/pkg/FR-2013- 48 See section 782(b) of the Act. 09-20/html/2013-22853.htm, prior to 49 See Certification of Factual Information to AGENCY: Enforcement and Compliance, submitting factual information in these Import Administration During Antidumping and International Trade Administration, investigations. Countervailing Duty Proceedings, 78 FR 42678 (July Department of Commerce. 17, 2013) (Final Rule). Answers to frequently asked Certification Requirements questions regarding the Final Rule are available at DATES: Applicable March 30, 2020. _ http://enforcement.trade.gov/tlei/notices/factual FOR FURTHER INFORMATION CONTACT: Any party submitting factual info_final_rule_FAQ_07172013.pdf. 50 See Temporary Rule Modifying AD/CVD Thomas Schauer at (202) 482–0410 information in an AD or CVD Service Requirements Due to COVID–19, 85 FR (Bahrain); Jonathan Hall-Eastman at proceeding must certify to the accuracy 17006 (March 26, 2020). (202) 482–1468 (Brazil); Benito
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Ballesteros at (202) 482–7425 (India); Commerce requested additional Scope of the Investigations Mark Hoadley at (202) 482–3148 information in a phone call with the The product covered by these 4 (Republic of Turkey (Turkey)), AD/CVD petitioners, and the petitioners investigations is aluminum sheet from Operations, Enforcement and responded to Commerce’s request on Bahrain, Brazil, India, and Turkey. For 5 Compliance, International Trade March 23, 2020. a full description of the scope of these Administration, U.S. Department of In accordance with section 702(b)(1) investigations, see the Appendix to this Commerce, 1401 Constitution Avenue of the Tariff Act of 1930, as amended notice. NW, Washington, DC 20230. (the Act), the petitioners allege that the SUPPLEMENTARY INFORMATION: Governments of Bahrain, Brazil, India, Scope Comments The Petitions and Turkey (GBA, GBR, GOI, and GOT, As discussed in the Preamble to respectively) 6 are providing Commerce’s regulations, we are setting On March 9, 2020, the U.S. countervailable subsidies, within the aside a period for interested parties to Department of Commerce (Commerce) meaning of sections 701 and 771(5) of raise issues regarding product coverage received countervailing duty (CVD) the Act, to producers of aluminum sheet (i.e., scope).8 Commerce will consider petitions concerning imports of in Bahrain, Brazil, India, and Turkey, all comments received from interested common alloy aluminum sheet and that imports of such products are parties and, if necessary, will consult (aluminum sheet) from Bahrain, Brazil, materially injuring, or threatening with interested parties prior to the India, and Turkey, filed in proper form material injury to, the domestic issuance of the preliminary on behalf of the Aluminum Association aluminum sheet industry in the United determinations. If scope comments Common Alloy Aluminum Sheet include factual information,9 all such 1 States. Consistent with section 702(b)(1) Working Group (petitioners). The of the Act and 19 CFR 351.202(b), for factual information should be limited to Petitions were accompanied by those alleged programs on which we are public information. To facilitate antidumping duty (AD) petitions initiating CVD investigations, the preparation of its questionnaires, concerning imports of aluminum sheet Petitions are accompanied by Commerce requests that all interested from Bahrain, Brazil, Croatia, Egypt, information reasonably available to the parties submit such comments by 5:00 Germany, Greece, India, Indonesia, petitioners supporting the allegations. p.m. Eastern Time (ET) on April 20, Italy, Republic of Korea, Oman, 2020, which is 20 calendar days from Romania, Serbia, Slovenia, South Commerce finds that the petitioners the signature date of this notice.10 Any Africa, Spain, Taiwan, and Turkey. filed the Petitions on behalf of the rebuttal comments, which may include On March 12, 2020, Commerce domestic industry, because the factual information, must be filed by requested supplemental information petitioners are an interested party, as pertaining to certain aspects of the defined in sections 771(9)(C) and (F) of 5:00 p.m. ET on April 30, 2020, which the Act. Commerce also finds that the is 10 calendar days from the initial Petitions in separate supplemental 11 questionnaires.2 The petitioners filed petitioners demonstrated sufficient comment deadline. Commerce requests that any factual responses to the supplemental industry support necessary for the information parties consider relevant to questionnaires between March 16 and initiation of the requested CVD the scope of the investigations be 19, 2020.3 On March 20, 2020, investigations.7 submitted during this period. However, Periods of Investigation if a party subsequently finds that 1 See Petitioners’ Letter, ‘‘Common Alloy Aluminum Sheet from Bahrain, Brazil, Croatia, Because the Petitions were filed on additional factual information Egypt, Germany, Greece, India, Indonesia, Italy, pertaining to the scope of the Korea, Oman, Romania, Serbia, Slovenia, South March 9, 2020, the periods of investigation are January 1, 2019 investigations may be relevant, the party Africa, Spain, Taiwan, and Turkey,’’ dated March may contact Commerce and request 9, 2020 (Petitions). through December 31, 2019. 2 See Commerce’s Letters, ‘‘Petition for the permission to submit the additional Imposition of Countervailing Duties on Imports of information. All such submissions must Common Alloy Aluminum Sheet from Bahrain: Relating to Brazil Countervailing Duties’’; ‘‘Common Alloy Aluminum Sheet from India— be filed on the records of the concurrent Supplemental Questions’’; ‘‘Petition for the AD and CVD investigations. Imposition of Countervailing Duties on Imports of Petitioners’ Supplement to Volume XXII Relating to India Countervailing Duties’’; and ‘‘Petitioners’ Common Alloy Aluminum Sheet from Bahrain: Filing Requirements Supplemental Questions’’; ‘‘Petition for the Responses to Supplemental Questions Concerning Imposition of Countervailing Duties on Imports of Volume XXIII Relating to Turkey Countervailing All submissions to Commerce must be Duty’’, dated March 17, 2020. Common Alloy Aluminum Sheet from India: filed electronically via Enforcement and Supplemental Questions’’; and ‘‘Petition for the 4 See Memorandum, ‘‘Petitions for the Imposition Imposition of Countervailing Duties on Imports of of Antidumping and Countervailing Duties on Compliance’s Antidumping Duty and Common Alloy Aluminum Sheet from Turkey: Imports of Common Alloy Aluminum Sheet from Countervailing Duty Centralized Supplemental Questions’’, dated March 12, 2020. Bahrain, Brazil, Croatia, Egypt, Germany, Greece, Electronic Service System (ACCESS), See also Commerce Letter, ‘‘Petitions for the India, Indonesia, Italy, Korea, Oman, Romania, unless an exception applies.12 An Imposition of Antidumping and Countervailing Serbia, Slovenia, South Africa, Spain, Taiwan, and Duties on Imports of Common Alloy Aluminum Turkey: Phone Call with Counsel to the 8 Sheet from Bahrain, Brazil, Croatia, Egypt, Petitioners,’’ dated March 20, 2020. See Antidumping Duties; Countervailing Duties, Germany, Greece, India, Indonesia, Italy, Korea, 5 See Petitioners’ Letter, ‘‘Common Alloy Final Rule, 62 FR 27296, 27323 (May 19, 1997) Oman, Romania, Serbia, Slovenia, South Africa, Aluminum Sheet from Bahrain, Brazil, Croatia, (Preamble). Spain, Taiwan, and Turkey: Supplemental Egypt, Germany, Greece, India, Indonesia, Italy, 9 See 19 CFR 351.102(b) (21) (defining ‘‘factual Questions,’’ dated March 13, 2020. Korea, Oman, Romania, Serbia, Slovenia, South information’’). 3 See Petitioner’s Letters, ‘‘Common Alloy Africa, Spain, Taiwan, and Turkey—Petitioners’ 10 Commerce practice dictates that where a Aluminum Sheet from Bahrain, Brazil, Croatia, Second Amendment to Volume I Relating to deadline falls on a weekend or Federal holiday, the Egypt, Germany, Greece, India, Indonesia, Italy, General Issues,’’ dated March 23, 2020 (Second appropriate deadline is the next business day (in Korea, Oman, Romania, Serbia, Slovenia, South General Issues Supplement). this instance, April 20, 2020). See Notice of Africa, Spain, Taiwan, and Turkey—Petitioners’ 6 Petitioners’ filings refer to both the Government Clarification: Application of ‘‘Next Business Day’’ Amendments to Volume I Relating to General of Bahrain and Government of Brazil and ‘‘GOB.’’ Rule for Administrative Determination Deadlines Issues’’ (General Issues Supplement); ‘‘Petitioners’ To avoid confusion, we will use ‘‘GBA’’ and ‘‘GBR’’ Pursuant to the Tariff Act of 1930, As Amended, 70 Responses to Supplemental Questions Concerning to refer to the governments of Bahrain and Brazil, FR 24533 (May 10, 2005). Volume XX Relating to Bahrain Countervailing respectively. 11 See 19 CFR 351.303(b). Duty’’; ‘‘Common Alloy Aluminum Sheet from 7 See the ‘‘Determination of Industry Support for 12 See Antidumping and Countervailing Duty Brazil—Petitioners’ Supplement to Volume XXI the Petition’’ section, infra. Proceedings: Electronic Filing Procedures;
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electronically filed document must be petition. Moreover, section 702(c)(4)(D) support in terms of that domestic like received successfully in its entirety by of the Act provides that, if the petition product.20 the time and date it is due. does not establish support of domestic In determining whether the petitioners have standing under section Consultations producers or workers accounting for more than 50 percent of the total 702(c)(4)(A) of the Act, we considered Pursuant to sections 702(b)(4)(A)(i) production of the domestic like product, the industry support data contained in and (ii) of the Act, Commerce notified Commerce shall: (i) Poll the industry or the Petitions with reference to the representatives of the GBA, GBR, GOI, rely on other information in order to domestic like product as defined in the and GOT of the receipt of the Petitions determine if there is support for the ‘‘Scope of the Investigations,’’ in the and provided them the opportunity for petition, as required by subparagraph appendix to this notice. To establish consultations with respect to the (A); or (ii) determine industry support industry support, the petitioners 13 Petitions. The consultations with the using a statistically valid sampling provided their 2019 production of the GOI were scheduled for March 23, 2020. method to poll the ‘‘industry.’’ domestic like product.21 In addition, the However, on March 23, 2020, the GOI Section 771(4)(A) of the Act defines petitioners provided 2019 production requested that Commerce postpone the data for, and a letter of support from, 14 the ‘‘industry’’ as the producers as a consultations to a later date. Jupiter Aluminum Corporation.22 The whole of a domestic like product. Thus, Consultations were held with the GOT petitioners estimated the production of 15 to determine whether a petition has the on March 20, 2020. Consultations the domestic like product for the entire requisite industry support, the statute were held with the GBR on March 27, domestic industry based on shipment 16 directs Commerce to look to producers 2020. Consultations were not held data collected by the Aluminum and workers who produce the domestic with the GBA because the GBA did not Association, and the Aluminum like product. The International Trade request them. Association’s knowledge of the Commission (ITC), which is responsible industry.23 We relied on data provided Determination of Industry Support for for determining whether ‘‘the domestic by the petitioners for purposes of the Petitions industry’’ has been injured, must also measuring industry support.24 Section 702(b)(1) of the Act requires determine what constitutes a domestic Our review of the data provided in the that a petition be filed on behalf of the like product in order to define the Petitions, the General Issues domestic industry. Section 702(c)(4)(A) industry. While both Commerce and the Supplement, the Second General Issues of the Act provides that a petition meets ITC must apply the same statutory Supplement, and other information this requirement if the domestic definition regarding the domestic like readily available to Commerce indicates producers or workers who support the product,17 they do so for different that the petitioners have established petition account for: (i) At least 25 purposes and pursuant to a separate and industry support for the Petitions.25 percent of the total production of the distinct authority. In addition, First, the Petitions established support domestic like product; and (ii) more Commerce’s determination is subject to than 50 percent of the production of the limitations of time and information. 20 For a discussion of the domestic like product domestic like product produced by that Although this may result in different analysis as applied to these cases and information portion of the industry expressing definitions of the like product, such regarding industry support, see Countervailing Duty support for, or opposition to, the differences do not render the decision of Investigation Initiation Checklist: Common Alloy either agency contrary to law.18 Aluminum Sheet from Bahrain (Bahrain CVD Administrative Protective Order Procedures, 76 FR Initiation Checklist) at Attachment II, Analysis of 39263 (July 6, 2011); see also Enforcement and Section 771(10) of the Act defines the Industry Support for the Antidumping and Compliance: Change of Electronic Filing System domestic like product as ‘‘a product Countervailing Duty Petitions Covering Common Name, 79 FR 69046 (November 20, 2014) for details Alloy Aluminum Sheet from Bahrain, Brazil, which is like, or in the absence of like, Croatia, Egypt, Germany, Greece, India, Indonesia, of Commerce’s electronic filing requirements, most similar in characteristics and uses which went into effect on August 5, 2011. Italy, Korea, Oman, Romania, Serbia, Slovenia, Information on help using ACCESS can be found at with, the article subject to an South Africa, Spain, Taiwan, and Turkey https://access.trade.gov/help.aspx, and a handbook investigation under this title.’’ Thus, the (Attachment II); see also Countervailing Duty can be found at https://access.trade.gov/help/ reference point from which the Investigation Initiation Checklist: Common Alloy Handbook%20on%20Electronic%20Filling%20 Aluminum Sheet from Brazil (Brazil CVD Initiation Procedures.pdf. domestic like product analysis begins is Checklist) at Attachment II; Countervailing Duty 13 See Commerce’s Letters, ‘‘Countervailing Duty ‘‘the article subject to an investigation’’ Investigation Initiation Checklist: Common Alloy Petition on Common Alloy Aluminum Sheet from (i.e., the class or kind of merchandise to Aluminum Sheet from India (India CVD Initiation Brazil: Invitation for Consultations to Discuss the Checklist) at Attachment II; and Countervailing be investigated, which normally will be Duty Investigation Initiation Checklist: Common Countervailing Duty Petition,’’ dated March 10, the scope as defined in the petition). 2020; ‘‘Countervailing Duty Petition on Common Alloy Aluminum Sheet from Turkey (Turkey CVD Alloy Aluminum Sheet from Bahrain;’’ and Initiation Checklist) at Attachment II. These With regard to the domestic like checklists are dated concurrently with this notice ‘‘Petition for Countervailing Duties on Common product, the petitioners do not offer a Alloy Aluminum Sheet from the Republic of and on file electronically via ACCESS. Access to Turkey,’’ each dated March 11, 2020; and definition of the domestic like product documents filed via ACCESS is also available in the ‘‘Countervailing Duty Petition on Common Alloy distinct from the scope of the Central Records Unit, Room B8024 of the main Aluminum Sheet from India: Invitation for investigations.19 Based on our analysis Commerce building. 21 See Volume I of the Petitions at 4 and Exhibit Consultations to Discuss the Countervailing Duty of the information submitted on the Petition,’’ dated March 13, 2020. GEN–2; see also General Issues Supplement at 3. 14 See Memorandum, ‘‘Countervailing Duty record, we have determined that 22 See Volume I of the Petitions at 4 and Exhibit Petition on Common Alloy Aluminum Sheet from aluminum sheet, as defined in the GEN–2; see also Second General Issues India: Government Consultations,’’ dated March 23, scope, constitutes a single domestic like Supplement. 2020. product, and we have analyzed industry 23 See Volume I of the Petitions at 4 and Exhibits 15 See Memorandum, ‘‘Consultations with the GEN–2 and GEN–3; see also General Issues Government of the Republic of Turkey (Turkey) on Supplement at 3. the Countervailing Duty Petition Regarding 17 See section 771(10) of the Act. 24 See Volume I of the Petitions at 4 and Exhibit Common Alloy Aluminum Sheet from Turkey,’’ 18 See USEC, Inc. v. United States, 132 F. Supp. GEN–2; see also General Issues Supplement at 3. dated March 23, 2020. 2d 1, 8 (Ct. Int’l Trade 2001) (citing Algoma Steel For further discussion, see Attachment II of the 16 See Memorandum, ‘‘Consultations with the Corp., Ltd. v. United States, 688 F. Supp. 639, 644 Bahrain CVD Initiation Checklist, Brazil CVD Government of Brazil on the Countervailing Duty (Ct. Int’l Trade 1988), aff’d 865 F.2d 240 (Fed. Cir. Initiation Checklist, India CVD Initiation Checklist, Petition Regarding Common Alloy Aluminum Sheet 1989)). and Turkey CVD Initiation Checklist. from Brazil,’’ dated March 27, 2020. 19 See Volume I of the Petitions at 13–15. 25 Id.
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from domestic producers (or workers) reduced market share; underselling and India accounting for more than 50 percent of price depression or suppression; lost Based on our review of the petition, the total production of the domestic like sales and revenues; declining capacity we find that there is sufficient product and, as such, Commerce is not utilization; a declining number of information to initiate a CVD required to take further action in order production and related workers; and a investigation, in whole or part, on 41of to evaluate industry support (e.g., decline in financial performance and 26 31 the 43 alleged programs. For a full polling). Second, the domestic profitability. We have assessed the discussion of the basis for our decision producers (or workers) have met the allegations and supporting evidence to initiate on each program, see India statutory criteria for industry support regarding material injury, threat of CVD Initiation Checklist. A public under section 702(c)(4)(A)(i) of the Act material injury, causation, as well as version of the initiation checklist for because the domestic producers (or negligibility, and we have determined this investigation is available on workers) who support the Petitions that these allegations are properly ACCESS. account for at least 25 percent of the supported by adequate evidence, and total production of the domestic like meet the statutory requirements for Turkey 27 32 product. Finally, the domestic initiation. Based on our review of the petition, producers (or workers) have met the Initiation of CVD Investigations we find that there is sufficient statutory criteria for industry support information to initiate a CVD Based upon the examination of the under section 702(c)(4)(A)(ii) of the Act investigation, in whole or part, on all of because the domestic producers (or Petitions and supplemental responses, we find that they meet the requirements the 21 alleged programs. For a full workers) who support the Petitions discussion of the basis for our decision account for more than 50 percent of the of section 702 of the Act. Therefore, we are initiating CVD investigations to to initiate on each program, see Turkey production of the domestic like product CVD Initiation Checklist. A public produced by that portion of the industry determine whether imports of aluminum sheet from Bahrain, Brazil, version of the initiation checklist for expressing support for, or opposition to, this investigation is available on 28 India, and Turkey benefit from the Petitions. Accordingly, Commerce ACCESS. determines that the Petitions were filed countervailable subsidies conferred by on behalf of the domestic industry the GBA, GBR, GOI, and GOT, Respondent Selection respectively. In accordance with section within the meaning of section 702(b)(1) The petitioners named one company 29 703(b)(1) of the Act and 19 CFR of the Act. in Bahrain, six companies in Brazil, 14 351.205(b)(1), unless postponed, we will companies in India, and 21 companies Injury Test make our preliminary determinations no in Turkey as producers/exporters of Because Bahrain, Brazil, India, and later than 65 days after the date of this aluminum sheet.33 Commerce intends to Turkey are ‘‘Subsidies Agreement initiation. follow its standard practice in CVD Countries’’ within the meaning of Bahrain section 701(b) of the Act, section investigations and calculate company- 701(a)(2) of the Act applies to these Based on our review of the petition, specific subsidy rates in these investigations. Accordingly, the ITC we find that there is sufficient investigations. In the event Commerce must determine whether imports of the information to initiate a CVD determines that the number of subject merchandise from Bahrain, investigation on 9 of the 12 alleged companies is large and it cannot Brazil, India, and/or Turkey materially programs. For a full discussion of the individually examine each company injure, or threaten material injury to, a basis for our decision whether to initiate based upon Commerce’s resources, U.S. industry. on each program, see Bahrain CVD where appropriate, Commerce intends Initiation Checklist. A public version of to select mandatory respondents based Allegations and Evidence of Material the initiation checklist for this on U.S. Customs and Border Protection Injury and Causation investigation is available on ACCESS. (CBP) data for U.S. imports of aluminum The petitioners allege that imports of sheet from Bahrain, Brazil, India, and Brazil the subject merchandise are benefitting Turkey during the POI under the from countervailable subsidies and that Based on our review of the petition, appropriate Harmonized Tariff Schedule such imports are causing, or threaten to we find that there is sufficient of the United States numbers listed in cause, material injury to the U.S. information to initiate a CVD the ‘‘Scope of the Investigations,’’ in the industry producing the domestic like investigation on 18 of the 19 alleged Appendix. product. In addition, the petitioners programs. For a full discussion of the On March 24, 2020 and March 26, allege that subject imports exceed the basis for our decision whether to initiate 2020, Commerce released CBP data on negligibility threshold provided for on each program, see Brazil CVD imports of aluminum sheet from those under section 771(24)(A) of the Act.30 Initiation Checklist. A public version of countries with a large number of The petitioners contend that the the initiation checklist for this companies, specifically, Brazil, India, industry’s injured condition is investigation is available on ACCESS. and Turkey under APO to all parties illustrated by a significant and with access to information protected by increasing volume of subject imports; 31 See Volume I of the Petitions at 22–37, and APO and indicated that interested Exhibits GEN–7 and GEN–10 through GEN–15. parties wishing to comment on the CBP 32 See Bahrain CVD Initiation Checklist at 26 Id.; see also section 702(c)(4)(D) of the Act. Attachment III, Analysis of Allegations and data must do so within three business 27 See Volume I of the Petitions at 4 and Exhibit Evidence of Material Injury and Causation for the days of the publication date of the GEN–2; see also General Issues Supplement at 3. Antidumping and Countervailing Duty Petition For further discussion, see Attachment II of the notice of initiation of these Petitions Covering Common Alloy Aluminum Sheet investigations.34 Commerce will not Bahrain CVD Initiation Checklist, Brazil CVD from Bahrain, Brazil, Croatia, Egypt, Germany, Initiation Checklist, India CVD Initiation Checklist, Greece, India, Indonesia, Italy, Korea, Oman, and Turkey CVD Initiation Checklist. Romania, Serbia, Slovenia, South Africa, Spain, 33 See Volume I of the Petitions at Exhibit 28 Id. Taiwan, and Turkey (Attachment III); see also GEN–6. 29 Id. Attachment III of the Brazil CVD Initiation 34 See Memoranda, ‘‘Petition for the Imposition of 30 See Volume I of the Petitions at 15–17, and Checklist, India CVD Initiation Checklist, and Countervailing Duties (CVD) on Imports of Common Exhibit GEN–9. Turkey CVD Initiation Checklist. Alloy Aluminum Sheet from Brazil: Release of U.S.
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accept rebuttal comments regarding the determination in any country will result separate, stand-alone submission; under CBP data or respondent selection. in the investigations being terminated limited circumstances we will grant The petitioners identified one with respect to that country.36 untimely-filed requests for the extension company in Bahrain as the sole Otherwise, these investigations will of time limits. Parties should review producer/exporter of aluminum sheet proceed according to statutory and Extension of Time Limits; Final Rule, 78 (i.e., Gulf Aluminum Rolling Mill regulatory time limits. FR 57790 (September 20, 2013), Company (GARMCO)). We currently available at http://www.gpo.gov/fdsys/ Submission of Factual Information know of no additional producers/ pkg/FR-2013-09-20/html/2013- exporters of aluminum sheet from Factual information is defined in 19 22853.htm, prior to submitting factual Bahrain. Accordingly, for Bahrain, CFR 351.102(b)(21) as: (i) Evidence information in these investigations. Commerce intends to individually submitted in response to questionnaires; examine GARMCO. Parties wishing to (ii) evidence submitted in support of Certification Requirements comment on respondent selection for allegations; (iii) publicly available Any party submitting factual Bahrain, must do so within three information to value factors under 19 information in an AD or CVD business days of the publication date of CFR 351.408(c) or to measure the proceeding must certify to the accuracy the notice of initiation of these adequacy of remuneration under 19 CFR and completeness of that information.39 investigations. 351.511(a)(2); (iv) evidence placed on Parties must use the certification Interested parties must submit the record by Commerce; and (v) formats provided in 19 CFR applications for disclosure under APO evidence other than factual information 351.303(g).40 Commerce intends to in accordance with 19 CFR 351.305(b). described in (i)–(iv). 19 CFR 351.301(b) reject factual submissions if the Instructions for filing such applications requires any party, when submitting submitting party does not comply with may be found on the Commerce’s factual information, to specify under the applicable certification website at http://enforcement.trade.gov/ which subsection of 19 CFR requirements. apo. 351.102(b)(21) the information is being Notification to Interested Parties Comments must be filed submitted 37 and, if the information is electronically using ACCESS. An submitted to rebut, clarify, or correct Interested parties must submit electronically filed document must be factual information already on the applications for disclosure under APO received successfully, in its entirety, by record, to provide an explanation in accordance with 19 CFR 351.305. On ACCESS no later than 5:00 p.m. ET on identifying the information already on January 22, 2008, Commerce published the date noted above. We intend to the record that the factual information Antidumping and Countervailing Duty finalize our decisions regarding seeks to rebut, clarify, or correct.38 Time Proceedings: Documents Submission respondent selection within 20 days of limits for the submission of factual Procedures; APO Procedures, 73 FR publication of this notice. information are addressed in 19 CFR 3634 (January 22, 2008). Parties wishing to participate in these investigations Distribution of Copies of the Petitions 351.301, which provides specific time limits based on the type of factual should ensure that they meet the In accordance with section information being submitted. Interested requirements of these procedures (e.g., 702(b)(4)(A)(i) of the Act and 19 CFR parties should review the regulations the filing of letters of appearance as 351.202(f), copies of the public version prior to submitting factual information discussed at 19 CFR 351.103(d)). Note of the Petitions have been provided to in these investigations. that Commerce has temporarily the GBA, GBR, GOI, and GOT via modified certain of its requirements for ACCESS. To the extent practicable, we Extensions of Time Limits serving documents containing business will attempt to provide a copy of the Parties may request an extension of proprietary information, until May 19, public version of the Petitions to each time limits before the expiration of a 2020, unless extended.41 exporter named in the Petitions, as time limit established under 19 CFR This notice is issued and published provided under 19 CFR 351.203(c)(2). 351.301, or as otherwise specified by the pursuant to sections 702(c)(2) and 777(i) of the Act and 19 CFR 351.203(c). ITC Notification Secretary. In general, an extension request will be considered untimely if it Dated: March 30, 2020. We will notify the ITC of our is filed after the expiration of the time Jeffrey I. Kessler, initiation, as required by section 702(d) limit established under 19 CFR 351.301. of the Act. Assistant Secretary for Enforcement and For submissions that are due from Compliance. Preliminary Determinations by the ITC multiple parties simultaneously, an extension request will be considered Appendix The ITC will preliminarily determine, untimely if it is filed after 10:00 a.m. ET Scope of the Investigations within 45 days after the date on which on the due date. Under certain the Petitions were filed, whether there The merchandise covered by these circumstances, we may elect to specify is a reasonable indication that imports investigations is aluminum common alloy a different time limit by which sheet (common alloy sheet), which is a flat- of aluminum sheet from Bahrain, Brazil, extension requests will be considered rolled aluminum product having a thickness India, and Turkey are materially untimely for submissions which are due of 6.3 mm or less, but greater than 0.2 mm, injuring, or threatening material injury from multiple parties simultaneously. In in coils or cut-to-length, regardless of width. to, a U.S. industry.35 A negative ITC such a case, we will inform parties in 39 the letter or memorandum setting forth See section 782(b) of the Act. Customs and Border Protection Data;’’ and 40 See Certification of Factual Information to ‘‘Countervailing Duty Petition on Common Alloy the deadline (including a specified time) Import Administration During Antidumping and Aluminum Sheet from India: Release of U.S. by which extension requests must be Countervailing Duty Proceedings, 78 FR 42678 (July Customs and Border Protection Data,’’ dated March filed to be considered timely. An 17, 2013) (‘‘Final Rule’’); see also frequently asked 24, 2020; see also Memorandum, ‘‘Countervailing extension request must be made in a questions regarding the Final Rule, available at Duty Petition on Common Alloy Aluminum Sheet http://enforcement.trade.gov/tlei/notices/factual_ from the Republic of Turkey: Release of U.S. info_final_rule_FAQ_07172013.pdf. Customs and Border Protection Data,’’ dated March 36 See section 703(a)(1) of the Act. 41 See Temporary Rule Modifying AD/CVD 26, 2020. 37 See 19 CFR 351.301(b). Service Requirements Due to COVID–19, 85 FR 35 See section 703(a)(2) of the Act. 38 See 19 CFR 351.301(b)(2). 17006 (March 26, 2020).
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Common alloy sheet within the scope of the DEPARTMENT OF COMMERCE submissions filed by Sweetener Users investigations includes both not clad Association (SUA) on January 21, 2020 aluminum sheet, as well as multi-alloy, clad International Trade Administration and January 23, 2020.4 We received no aluminum sheet. With respect to not clad [C–201–846] substantive responses from any other aluminum sheet, common alloy sheet is interested parties, nor was a hearing manufactured from a 1XXX-, 3XXX-, or Sugar From Mexico: Final Results of requested. As a result, pursuant to 5XXX-series alloy as designated by the the Expedited First Sunset Review of section 751(c)(3)(B) of the Act and 19 Aluminum Association. With respect to the Agreement Suspending the CFR 351.218(e)(1)(ii)(B)–(C), Commerce multi-alloy, clad aluminum sheet, common Countervailing Duty Investigation conducted an expedited (120-day) alloy sheet is produced from a 3XXX-series sunset review of the Agreement and core, to which cladding layers are applied to AGENCY: Enforcement and Compliance, suspended investigation.5 either one or both sides of the core. International Trade Administration, Common alloy sheet may be made to Department of Commerce. Scope of the Agreement ASTM specification B209–14, but can also be SUMMARY: As a result of this sunset The merchandise subject to the made to other specifications. Regardless of review, the Department of Commerce Agreement is raw and refined sugar of specification, however, all common alloy (Commerce) finds that termination of all polarimeter readings derived from sheet meeting the scope description is the Agreement Suspending the sugar cane or sugar beets. The chemical included in the scope. Subject merchandise Countervailing Duty Investigation on sucrose gives sugar its essential includes common alloy sheet that has been Sugar from Mexico (Agreement) and the character. Sucrose is a nonreducing further processed in a third country, suspended countervailing duty (CVD) disaccharide composed of glucose and including but not limited to annealing, investigation would be likely to lead to fructose linked by a glycosidic bond via tempering, painting, varnishing, trimming, the continuation or recurrence of a their anomeric carbons. The molecular cutting, punching, and/or slitting, or any countervailable subsidy at the levels formula for sucrose is C12H22O11; the other processing that would not otherwise indicated in the ‘‘Final Results of International Union of Pure and remove the merchandise from the scope of Review’’ section of this notice. Applied Chemistry (IUPAC) these investigations if performed in the International Chemical Identifier (InChl) DATES: Applicable April 7, 2020. country of manufacture of the common alloy for sucrose is 1S/C12H22O11/c13-l-4- sheet. FOR FURTHER INFORMATION: Sally C. 6(16)8(18)9(19)11(21-4)23-12(3- Excluded from the scope of these Gannon, Bilateral Agreements, Office of 15)10(20)7(17) 5(2-14)22-12/h4-11,13- investigations is aluminum can stock, which Policy, Enforcement and Compliance, 20H,1-3H2/t4-,5-,6-,7-,8+,9-,10+,11- is suitable for use in the manufacture of International Trade Administration, ,12+/m1/s1; the InChl Key for sucrose is aluminum beverage cans, lids of such cans, U.S. Department of Commerce, 1401 CZMRCDWAGMRECN-UGDNZRGBSA- or tabs used to open such cans. Aluminum Constitution Avenue NW, Washington, N; the U.S. National Institutes of Health can stock is produced to gauges that range DC 20230; telephone: (202) 482–0162. PubChem Compound Identifier (CID) for from 0.200 mm to 0.292 mm, and has an H– SUPPLEMENTARY INFORMATION: sucrose is 5988; and the Chemical 19, H–41, H–48, or H–391 temper. In Background Abstracts Service (CAS) Number of addition, aluminum can stock has a lubricant sucrose is 57–50–1. applied to the flat surfaces of the can stock On December 3, 2019, Commerce Sugar includes products of all to facilitate its Start Printed Page 2159 published the notice of initiation of the polarimeter readings described in movement through machines used in the first sunset review of the agreement various forms, such as raw sugar, manufacture of beverage cans. Aluminum suspending the countervailing duty estandar or standard sugar, high polarity can stock is properly classified under investigation on sugar from Mexico, or semi-refined sugar, special white Harmonized Tariff Schedule of the United pursuant to section 751(c)(2) of the sugar, refined sugar, brown sugar, edible States (HTSUS) subheadings 7606.12.3045 Tariff Act of 1930, as amended (the molasses, de-sugaring molasses, organic and 7606.12.3055. Act).1 We received notice of intent to raw sugar, and organic refined sugar. Where the nominal and actual participate in the review from the Other sugar products, such as powdered measurements vary, a product is within the following parties, both domestic sugar, colored sugar, flavored sugar, and scope if application of either the nominal or interested parties: Imperial Sugar liquids and syrups that contain 95 actual measurement would place it within Company and the American Sugar percent or more sugar by dry weight are the scope based on the definitions set for the Coalition (ASC).2 Commerce received also within the scope of this Agreement. above. complete substantive responses from the Merchandise covered by this Agreement Common alloy sheet is currently domestic interested parties within the classifiable under HTSUS subheadings is typically imported under the 30-day deadline specified in 19 CFR following headings of the HTSUS: 7606.11.3060, 7606.1l 6000, 7606.12.3096, 351.218(d)(3)(i).3 We rejected untimely 7606.12.6000, 7606.91.3095, 7606.9.6095, 1701.12.1000, 1701.12.5000, 7606.92.3035, and 7606.92.6095. Further, 1701.13.1000, 1701.13.5000, 1 See Initiation of Five-Year (Sunset) Reviews, 84 1701.14.1000, 1701.14.5000, merchandise that falls within the scope of FR 58687 (November 1, 2019); see also Initiation of these investigations may also be entered into Five-Year (Sunset Review); Correction, 84 FR 66153 1701.91.1000, 1701.91.3000, the United States under HTSUS subheadings (December 3, 2019). 7606.11.3030, 7606.12.3015, 7606.12.3025, 2 See Letter, American Sugar Coalition, ‘‘Sugar Sugar Company to Commerce’s Notice of Initiation of Five-Year (‘‘Sunset’’) Reviews’’, dated January 2, 7606.12.3035, 7606.12.3091, 7606.91.3055, from Mexico: Notice of Intent to Participate’’, dated December 18, 2019; Letter, Imperial Sugar 2020. 7606.91.6055, 7606.92.3025, 7606.92.6055, Company, ‘‘Sugar from Mexico, Case Nos. C–201– 4 See Letter to Wilbur Ross, Secretary of 7607.11.9090. Although the HTSUS 846 and A–201–845 (Five-Year Sunset Reviews): Commerce, from Sweetener Users Association. re: subheadings are provided for convenience Notice of Intent to Participate’’, dated December 18, ‘‘Sugar from Mexico’’ (January 21, 2020); Letter to and customs purposes, the written 2019. Wilbur Ross, Secretary of Commerce, from 3 Sweetener Users Association, re: ‘‘Sugar from description of the scope of these See Letter, American Sugar Coalition, ‘‘Sugar from Mexico: Substantive Response to Notice of Mexico’’ (January 23, 2020); Letter, ‘‘Rejection on investigations is dispositive. Initiation of Five-Year (Sunset) Reviews of the January 21 and January 23 Filings’’, dated February [FR Doc. 2020–07180 Filed 4–6–20; 8:45 am] Antidumping and Countervailing Duty Suspension 5, 2020. Agreements,’’ dated January 2, 2020; Letter, ‘‘Sugar 5 See Letter, ‘‘Sunset Reviews Initiated on BILLING CODE 3510–DS–P from Mexico: Substantive Response of the Imperial December 2, 2019’’, dated January 22, 2020.
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1701.99.1010, 1701.99.1025, recurrence of a countervailable subsidy DEPARTMENT OF COMMERCE 1701.99.1050, 1701.99.5010, at the rates listed below: 1701.99.5025, 1701.99.5050, and International Trade Administration 1702.90.4000. Net countervailable [C–570–123] The scope of the Agreement excludes Company subsidy sugar imported under the Refined Sugar (percent) Certain Corrosion Inhibitors From the Re-Export Programs of the U.S. People’s Republic of China: Fondo de Empresas Department of Agriculture, sugar Postponement of Preliminary products produced in Mexico that Expropiadas del Sector Azucarero ...... 43.93 Determination in the Countervailing contain 95 percent or more sugar by dry Duty Investigation weight that originated outside of Ingenio Tala S.A. de C.V. and certain affiliated sugar Mexico, inedible molasses (other than AGENCY: Enforcement and Compliance, mills of Grupo Azucarero inedible desugaring molasses noted Mexico S.A. de C.V ...... 5.78 International Trade Administration, above), beverages, candy, certain All Others ...... 8 38.11 Department of Commerce. specialty sugars, and processed food DATES: Applicable April 7, 2020. products that contain sugar (e.g., Administrative Protective Order (APO) FOR FURTHER INFORMATION CONTACT: cereals). Specialty sugars excluded from Theodore Pearson or Nicholas the scope of this Agreement are limited This notice serves as the only Czajkowski, AD/CVD Operations, Office to the following: Caramelized slab sugar reminder to parties subject to an APO of I, Enforcement and Compliance, candy, pearl sugar, rock candy, dragees their responsibility concerning the International Trade Administration, for cooking and baking, fondant, golden return or destruction of proprietary U.S. Department of Commerce, 1401 6 syrup, and sugar decorations. information disclosed under APO in Constitution Avenue NW, Washington, Analysis of Comments Received accordance with 19 CFR 351.305. DC 20230; telephone: (202) 482–2631 or Timely notification of the return or (202) 482–1395, respectively. All issues raised in this review are destruction of APO materials or SUPPLEMENTARY INFORMATION: addressed in the Issues and Decision conversion to judicial protective order is Background Memorandum, which is hereby adopted hereby requested. Failure to comply by this notice. The issues discussed in with the regulations and terms of an On February 25, 2020, the Department the Issues and Decision Memorandum APO is a violation which is subject to of Commerce (Commerce) initiated a include the likelihood of continuation sanction. countervailing duty (CVD) investigation or recurrence of a countervailable of imports of corrosion inhibitors from subsidy and the net countervailable Notification to Interested Parties the People’s Republic of China.1 subsidy likely to prevail if the order Currently, the preliminary 7 We are issuing and publishing these were revoked. The Issues and Decision determination is due no later than April Memorandum is a public document and final results and notice in accordance 30, 2020. is on file electronically via Enforcement with sections 751(c), 752(c), and and Compliance’s Antidumping and 777(i)(1) of the Act and 19 CFR 351.218. Postponement of Preliminary Determination Countervailing Duty Centralized Dated: March 31, 2020. Electronic Service System (ACCESS). Jeffrey I. Kessler, Section 703(b)(1) of the Tariff Act of ACCESS is available to registered users 1930, as amended (the Act), requires at http://access.trade.gov and to all Assistant Secretary for Enforcement and Compliance. Commerce to issue the preliminary parties in the Central Records Unit, determination in a CVD investigation Room B8024 of the main Commerce Appendix within 65 days after the date on which building. In addition, a complete Commerce initiated the investigation. version of the Issues and Decision List of Topics Discussed in the Issues and Decision Memorandum However, section 703(c)(1) of the Act Memorandum can be accessed directly permits Commerce to postpone the at http://enforcement.trade.gov/frn. The I. Summary preliminary determination until no later signed and electronic versions of the II. Background than 130 days after the date on which Issues and Decision Memorandum are III. Scope of the Orders Commerce initiated the investigation if: identical in content. IV. History of the Orders (A) The petitioner makes a timely V. Legal Framework Final Results of Review request for a postponement; or (B) VI. Discussion of the Issues Commerce concludes that the parties 1. Likelihood of Continuation or Pursuant to sections 751(c)(1) and concerned are cooperating, that the Recurrence of a Countervailable Subsidy 752(b) of the Act, Commerce determines investigation is extraordinarily 2. Net Countervailable Subsidy Rates complicated, and that additional time is that termination of the Agreement and Likely to Prevail necessary to make a preliminary suspended countervailing duty 3. Nature of the Subsidy determination. Under 19 CFR investigation on sugar from Mexico is VII. Final Results of Review 351.205(e), the petitioner must submit a likely to lead to the continuation or VIII. Recommendation request for postponement 25 days or [FR Doc. 2020–07200 Filed 4–6–20; 8:45 am] 6 See ‘‘Sugar from Mexico: Suspension of more before the scheduled date of the Antidumping Investigation’’, 79 FR 78039 BILLING CODE 3510–DS–P preliminary determination and must (December 29, 2014). state the reasons for the request. 7 See Memorandum, ‘‘Issues and Decision Commerce will grant the request unless Memorandum for the Expedited First Sunset Review of the Agreement Suspending the Countervailing Duty Investigation on Sugar from 1 See Certain Corrosion Inhibitors from the Mexico,’’ dated concurrently with, and hereby People’s Republic of China: Initiation of adopted by, this notice (Issues and Decision Countervailing Duty Investigation, 85 FR 12502 Memorandum). 8 Id. (March 3, 2020).
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it finds compelling reasons to deny the Atmospheric Administration (NOAA), endangered under the ESA: request.2 Commerce. Cantharellus noumeae, Siderastrea On March 27, 2020, the petitioner ACTION: Notice; request for information. glynni, and Tubastraea floreana. Section submitted a timely request that 4(c)(2)(A) of the ESA requires that we Commerce postpone the preliminary SUMMARY: NMFS announces the conduct a review of listed species at CVD determination.3 The petitioner initiation of a 5-year review for three least once every 5 years. This will be the requests postponement because, {t}he foreign corals (Cantharellus noumeae, first review of these species since they current deadline does not provide Siderastrea glynni, and Tubastraea were listed in 2015. The regulations in adequate time for Commerce to select floreana). NMFS is required by the 50 CFR 424.21 require that we publish mandatory respondents, issue Endangered Species Act (ESA) to a notice in the Federal Register questionnaires, receive responses, and conduct 5-year reviews to ensure that announcing species currently under then follow up with deficiency the listing classifications of species are active review. On the basis of such questionnaires.’’ 4 In accordance with 19 accurate. The 5-year review must be reviews under section 4(c)(2)(B), we CFR 351.205(e), the petitioner has stated based on the best scientific and determine whether any species should the reasons for requesting a commercial data available at the time of be removed from the list (i.e., delisted) postponement of the preliminary the review. We request submission of or reclassified from endangered to determination, and Commerce finds no any such information on these three threatened or from threatened to compelling reason to deny the request. coral species, particularly information endangered (16 U.S.C. 1533(c)(2)(B)). As Therefore, in accordance with section on the status, threats, and recovery of described by the regulations in 50 CFR 703(c)(1)(A) of the Act, Commerce is the species that has become available 424.11(e), the Secretary shall delist a postponing the deadline for the since their listing, effective November 6, species if the Secretary finds that, after preliminary determination to no later 2015 (80 FR 60560). conducting a status review based on the than 130 days after the date on which DATES: To allow us adequate time to best scientific and commercial data this investigation was initiated, i.e., July conduct this review, we must receive available: (1) The species is extinct; (2) 6, 2020.5 Pursuant to section 705(a)(1) of your information no later than June 8, the species does not meet the definition the Act and 19 CFR 351.210(b)(1), the 2020. of an endangered species or a threatened deadline for the final determination of ADDRESSES: You may submit species; and/or (3) the listed entity does this investigation will continue to be 75 information on this document, not meet the statutory definition of a days after the date of the preliminary identified by NOAA–NMFS–2020–0040, species. Any change in Federal determination. by either of the following methods: classification would require a separate • Electronic Submission: Submit rulemaking process. Notification to Interested Parties electronic information via the Federal e- Background information on each of This notice is issued and published Rulemaking Portal. Go to the three species is available on the pursuant to section 703(c)(2) of the Act www.regulations.gov and enter NOAA– NMFS website at: https:// and 19 CFR 351.205(f)(1). NMFS–2020–0040. Click on the www.fisheries.noaa.gov/corals. Dated: April 1, 2020. ‘‘Comment Now!’’ icon and complete Public Solicitation of New Information Jeffrey I. Kessler, the required fields. Enter or attach your To ensure that the reviews are comments. Assistant Secretary for Enforcement and • complete and based on the best Compliance. Mail: Submit written comments to available scientific and commercial Adrienne Lohe, Endangered Species [FR Doc. 2020–07294 Filed 4–6–20; 8:45 am] information, we are soliciting new Conservation Division, Office of BILLING CODE 3510–DS–P information from the public, Protected Resources, NMFS, 1315 East- governmental agencies, Tribes, the West Highway, Room 13626, Silver scientific community, industry, DEPARTMENT OF COMMERCE Spring, MD 20910. environmental entities, and any other Instructions: Comments sent by any interested parties concerning the status National Oceanic and Atmospheric other method, to any other address or of Cantharellus noumeae, Siderastrea Administration individual, or received after the end of glynni, and Tubastraea floreana. the specified period, may not be Categories of requested information [RTID 0648–XR111] considered. All comments received are include: (1) Species biology including, a part of the public record and will but not limited to, population trends, Endangered and Threatened Species; generally be posted for public viewing distribution, abundance, demographics, Notice of Initiation of a 5-Year Review on www.regulations.gov without change. and genetics; (2) habitat conditions of Three Foreign Corals All personal identifying information including, but not limited to, amount, (e.g., name, address, etc.), confidential AGENCY: National Marine Fisheries distribution, and important features for business information, or otherwise Service (NMFS), National Oceanic and conservation; (3) status and trends of sensitive or protected information threats to the species and its habitats; (4) submitted voluntarily by the sender will 2 conservation measures that have been See 19 CFR 351.205(e). be publicly accessible. NMFS will 3 See Petitioner’s Letter, ‘‘Certain Corrosion implemented that benefit the species, Inhibitors from the People’s Republic of China: accept anonymous submissions (enter including monitoring data Request to Postpone Preliminary Determination,’’ ‘‘N/A’’ in the required fields if you wish demonstrating effectiveness of such dated March 27, 2020. to remain anonymous). 4 measures; and (5) other new Id. FOR FURTHER INFORMATION CONTACT: 5 In this case, 130 days after initiation falls on July information, data, or corrections 4, 2020, a Saturday. Where a deadline falls on a Adrienne Lohe at the above address, by including, but not limited to, taxonomic weekend or federal holiday, the appropriate phone at (301) 427–8403 or or nomenclatural changes and improved deadline is the next business day. See Notice of [email protected]. analytical methods for evaluating Clarification: Application of ‘‘Next Business Day’’ SUPPLEMENTARY INFORMATION: Rule for Administrative Determination Deadlines This extinction risk. Pursuant to the Tariff Act of 1930, As Amended, 70 notice announces our review of the If you wish to provide information for FR 24533 (May 10, 2005). following foreign coral species listed as the reviews, you may submit your
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information and materials electronically strongly encourages in-person restrict attendance in person at that or via mail (see ADDRESSES section). We participation in order to facilitate time. NMFS will email attendance request that all information be discussion, unless developments related instructions, which may include accompanied by supporting to Coronavirus/COVID–19 restrict instructions to attend by teleconference documentation such as maps, attendance in person at that time. See or webinar, and background materials to bibliographic references, or reprints of SUPPLEMENTARY INFORMATION for the meeting participants who notify the pertinent publications. We also would additional information on attendance, meeting facilitator as described in the appreciate the submitter’s name, participation instructions, and meeting ADDRESSES section. address, and any association, materials. PBF U.S. Stakeholder Meeting Topics institution, or business that the person FOR FURTHER INFORMATION CONTACT: represents; however, anonymous Celia Barroso, West Coast Region, The PBF U.S. stakeholder meeting submissions will also be accepted. NMFS, at [email protected], or at topics may include, but are not limited (562) 432–1850. to, the following: Authority: 16 U.S.C. 1531 et seq. (1) An overview of international Dated: April 1, 2020. SUPPLEMENTARY INFORMATION: NMFS management of PBF and current Angela Somma, intended to hold a meeting to discuss management of the U.S. PBF fishery; the future management of the U.S. West Chief, Endangered Species Conservation and, Division,Office of Protected Resources, Coast PBF fishery, including (2) Potential management options for National Marine Fisheries Service. management objectives and a 2021–2022 and in the long-term. management framework, on April 23, [FR Doc. 2020–07243 Filed 4–6–20; 8:45 am] 2020 (85 FR 11967; February 28, 2020). Special Accommodations BILLING CODE 3510–22–P However, given recent developments The meeting location is physically related to Coronavirus/COVID–19, we accessible to people with disabilities. DEPARTMENT OF COMMERCE have decided to reschedule this meeting Requests for sign language originally planned for April 23, 2020. interpretation or other auxiliary aids National Oceanic and Atmospheric We are taking this step out of an should be directed to Celia Barroso, at Administration abundance of caution to consider the [email protected] or (562) 432– safety of our participants. The new date 1850, by April 27, 2020. [RTID 0648–XW019] for this meeting is May 19, 2020. Authority: 16 U.S.C. 951 et seq., 16 U.S.C. Stakeholders have expressed an U.S. Stakeholder Meeting on Pacific 1801 et seq., 16 U.S.C. 6901 et seq. interest in developing management Bluefin Tuna Fishery Management Dated: April 2, 2020. Framework; Meeting Announcement objectives and a long-term management framework for PBF. In September 2018, He´le`ne M.N. Scalliet, AGENCY: National Marine Fisheries the Pacific Fishery Management Council Acting Director, Office of Sustainable Service (NMFS), National Oceanic and (PFMC) recommended that its Highly Fisheries, National Marine Fisheries Service. Atmospheric Administration (NOAA), Migratory Species Management Team [FR Doc. 2020–07288 Filed 4–6–20; 8:45 am] Commerce. develop a long-term management BILLING CODE 3510–22–P ACTION: Notice of public meeting; strategy for PBF (see the PFMC’s rescheduled meeting. ‘‘September 2018 Decision Summary Document’’ at https:// DEPARTMENT OF COMMERCE SUMMARY: NMFS is holding a meeting to www.pcouncil.org/wp-content/uploads/ National Oceanic and Atmospheric discuss the future management of the 2018/09/0918_Decision_Summary_ Administration U.S. West Coast Pacific bluefin tuna DocumentV2.pdf). On May 2, 2019, (PBF) fishery, including management NMFS held a stakeholder meeting in [RTID 0648–XX053] objectives and a management which participants discussed potential framework. Given recent developments management objectives and strategies to Magnuson-Stevens Act Provisions; related to Coronavirus/COVID–19, we achieve those objectives for the General Provisions for Domestic have decided to reschedule this meeting domestic commercial PBF fishery (see Fisheries; Application for Exempted originally planned for April 23, 2020. the NMFS report to the June PFMC Fishing Permit We are taking this step out of an meeting at https://www.pcouncil.org/ AGENCY: National Marine Fisheries abundance of caution to consider the _ _ wp-content/uploads/2019/06/J2b Sup Service (NMFS), National Oceanic and safety of our visitors. The new date for _ _ NMFS Rpt3 JUN2019BB.pdf). The Atmospheric Administration (NOAA), this meeting is May 19, 2020. upcoming meeting that is rescheduled Commerce. DATES: The meeting will be held May for May 19, 2020, is intended to follow ACTION: Notice; request for comments. 19, 2020, from 9 a.m. to 4:30 p.m. PDT, up the discussion from the 2019 or until business concludes. stakeholder meeting as well as provide SUMMARY: The Assistant Regional ADDRESSES: The meeting will be held in an opportunity for early comments on Administrator for Sustainable Fisheries, Room 3400 at the Glenn M. Anderson how to implement a new Inter- Greater Atlantic Region, NMFS, has Federal Building, 501 W. Ocean Blvd., American Tropical Tuna Commission made a preliminary determination that Long Beach, California 90802. Please (IATTC) resolution on PBF conservation an Exempted Fishing Permit application notify Eric Poncelet (meeting facilitator), and management for 2021–2022 that submitted by the Northeast Fisheries at [email protected] or (415) NMFS anticipates the IATTC will adopt Science Center in support of the 2020 697–0566 by May 4, 2020, if you plan at its annual meeting in August 2020. In Study Fleet Program contains all of the to attend. If interested members of the order to facilitate discussion, NMFS required information and warrants public cannot reasonably attend the strongly encourages in-person further consideration. This Exempted meeting in person, NMFS may provide participation at the meeting location Fishing Permit would exempt for a teleconference phone line or described in the ADDRESSES section, if participating vessels from minimum fish webinar for such members if a request possible and unless developments sizes and possession limits for species is made to the meeting facilitator. NMFS related to Coronavirus/COVID–19 of interest, for sampling purposes only.
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Regulations under the Magnuson- SUPPLEMENTARY INFORMATION: The participating captains and crew to Stevens Fishery Conservation and Northeast Fisheries Science Center conduct at-sea sampling consistent with Management Act require publication of (Center) submitted a complete Center sampling protocols for survey this notice to provide interested parties application for an Exempted Fishing and observer programs. During EFP the opportunity to comment on Permit (EFP) in support of the 2020 trips, crew would sort, weigh, and Exempted Fishing Permit applications. Study Fleet Program. This EFP would measure fish prior to discarding. During DATES: Comments must be received on exempt 19 commercial fishing vessels sampling, some discarded fish would or before April 22, 2020. from minimum fish sizes and remain on deck slightly longer than they ADDRESSES: You may submit written possession limits for species of interest, would under normal sorting procedures. comments by either of the following as well as allow temporary retention of Exemptions from minimum fish sizes methods: species prior to discarding. and possession restrictions would allow • Email: [email protected]. The Center established the Study vessels to temporarily retain catch for Include in the subject line ‘‘NEFSC Fleet Program in 2002 to more fully at-sea sampling. STUDY FLEET EFP.’’ characterize commercial fishing • Mail: Michael Pentony, Regional operations and provide sampling Table 1 lists the regulations from Administrator, NMFS, Greater Atlantic opportunities to augment NMFS’s data which participating vessels would be Regional Fisheries Office, 55 Great collection programs. As part of the exempt for at-sea sampling or when Republic Drive, Gloucester, MA 01930. program, the Center contracts retaining and landing fish for research Mark the outside of the envelope commercial fishing vessels to collect purposes. The exemptions listed in ‘‘NEFSC STUDY FLEET EFP.’’ biological data and fish specimens for Table 1 are necessary for contracted FOR FURTHER INFORMATION CONTACT: the Center to use in research relevant to vessels to acquire the biological samples Maria Fenton, Fishery Management stock assessments and fish biology. The needed to meet Center research Specialist, 978–281–9196. Center’s Study Fleet Program trains objectives.
TABLE 1—LIST OF VESSEL EXEMPTIONS FOR RETAINING AND LANDING FISH
2020 Study fleet program EFP
Number of Vessels ...... 19. Exempted regulations in 50 CFR part 648 ...... Minimum fish sizes § 648.83 Northeast multispecies minimum fish sizes for redfish, yellowtail flounder, and winter flounder. Possession restrictions § 648.86(a) Haddock. § 648.86(g) Yellowtail flounder. § 648.94 Monkfish.
When directed by the Center, for research purposes only. The captain vessels a formal biological sampling participating vessels would also be or crew would deliver these fish to request prior to landing. This would authorized to retain and land specific Center staff upon landing. In these ensure that the landed fish do not amounts of fish exceeding possession limited circumstances, the Study Fleet exceed any collection needs of the limits and/or below minimum fish sizes, Program would give participating Study Fleet, as detailed in Table 2.
TABLE 2—STUDY FLEET PROGRAM’S BIOLOGICAL SAMPLE COLLECTION NEEDS
Individual Maximum Stock Gear Collection fish per weight Maximum Species area * types # frequency collection allowed per allowance period trip
Acadian redfish ...... GOM ...... OTF ...... Monthly (Mar– 50 per month ...... 150 lb (331 kg) .... 750 lb (1,653 kg). July). Haddock ...... GOM, GB ...... OTF, DRS ...... Monthly (Dec– 80 per week (40 300 lb (661 kg) .... 4,800 lb (10,582 Mar). from each stock kg). area). Winter flounder ...... GOM, GB, SNE ... OTF, DRS ...... Monthly (Jan–Apr) 120 per week (40 160 lb (353 kg) .... 3,840 lb (8,466 from each stock kg). area). Yellowtail flounder .. GOM, GB, SNE ... OTF, DRS ...... Monthly (Jan–Apr) 120 per week (40 90 lb (198 kg) ...... 2,160 lb (4,762 from each stock kg). area). Monkfish ...... SNE ...... OTF ...... Twice ...... 10 per trip ...... 120 lb (295 kg) .... 240 lb (529 kg). Butterfish ...... SNE ...... OTM ...... Twice ...... 20 per trip ...... 10 lb (22 kg) ...... 20 lb (44 kg). Atlantic mackerel ... SNE ...... OTM ...... Twice ...... 20 per trip ...... 10 lb (22 kg) ...... 20 lb (44 kg). Shortfin squid ...... Any Area ...... OTM, OTF ...... Monthly (Dec– 30 per month ...... 15 lb (33 kg) ...... 60 lb (132 kg). Mar). * Stock area abbreviations: Gulf of Maine (GOM), Georges Bank (GB), Southern New England (SNE) # Gear abbreviations: Otter trawl (OTF), bottom longline (LLB), sink gillnet (GNS), sea scallop dredge (DRS), fish pot (PTF), hand lines, auto jig (HND), purse seine (PUR), otter trawl midwater (OTM), pair trawl midwater (PTM).
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All catch would be attributed to the (571) 273–0909; or by email to the time, date, or location of this appropriate commercial fishing quota. [email protected]. meeting changes, an announcement of For a vessel fishing on a groundfish SUPPLEMENTARY INFORMATION: Section the change, along with the new time, sector trip, all catch of groundfish stocks 156 of Title 35, United States Code, date, and/or place of the meeting will be allocated to sectors would be deducted generally provides that the term of a posted on the Commission’s website at from the vessel’s sector’s annual catch patent may be extended for a period of https://www.cftc.gov/. entitlement (ACE). Once the ACE for a up to five years if the patent claims a CONTACT PERSON FOR MORE INFORMATION: stock has been reached in a sector, product, or a method of making or using Christopher Kirkpatrick, 202–418–5964. vessels would no longer be allowed to a product, that has been subject to Authority: 5 U.S.C. 552b. fish in that stock area unless the sector certain defined regulatory review, and Dated: April 3, 2020. acquired additional ACE for the stock in that the patent may be extended for question. For common pool vessels, all interim periods of up to one year if the Christopher Kirkpatrick, groundfish catch would be counted regulatory review is anticipated to Secretary of the Commission. toward the appropriate trimester total extend beyond the expiration date of the [FR Doc. 2020–07422 Filed 4–3–20; 4:15 pm] allowable catch (TAC). Common pool patent. BILLING CODE 6351–01–P vessels would be exempt from On February 5, 2020, Correvio possession and trip limits on EFP trips International Sa`rl, the patent owner of when directed for sampling by the record, timely filed an application CORPORATION FOR NATIONAL AND Center, but would still be subject to under 35 U.S.C. 156(d)(5) for a second COMMUNITY SERVICE trimester TAC closures. interim extension of the term of U.S. If approved, the Center may request Patent No. 7,534,790. The patent claims Agency Information Collection minor modifications and extensions to the human drug product, vernakalant Activities; Submission to the Office of the EFP throughout the year. EFP hydrochloride. The application for Management and Budget for Review modifications and extensions may be patent term extension indicates that and Approval; Comment Request; granted without further notice if they New Drug Application (NDA) 22–034 Application Instructions for are deemed essential to facilitate was submitted to the Food and Drug AmeriCorps State and National completion of the proposed research Administration (FDA) on December 19, Competitive New and Continuation and have minimal impact that does not 2006. AGENCY: change the scope of the initially Corporation for National and Review of the patent term extension Community Service (CNCS). approved EFP request. Any fishing application indicates that, except for activity conducted outside the scope of ACTION: Notice of information collection; permission to market or use the product request for comment. the exempted fishing activity would be commercially, the subject patent would prohibited. be eligible for an extension of the patent SUMMARY: In accordance with the Authority: 16 U.S.C. 1801 et seq. term under 35 U.S.C. 156, and that the Paperwork Reduction Act of 1995, Dated: April 1, 2020. patent should be extended for one year CNCS is proposing to renew an as required by 35 U.S.C. 156(d)(5)(B). He´le`ne M.N. Scalliet, information collection. Because the regulatory review period DATES: Written comments must be Acting Director, Office of Sustainable will continue beyond the once-extended Fisheries,National Marine Fisheries Service. submitted to the individual and office expiration date of the patent, March 31, ADDRESSES [FR Doc. 2020–07218 Filed 4–6–20; 8:45 am] listed in the section by June 2020, interim extension of the patent 8, 2020. BILLING CODE 3510–22–P term under 35 U.S.C. 156(d)(5) is ADDRESSES: You may submit comments, appropriate. identified by the title of the information DEPARTMENT OF COMMERCE An interim extension under 35 U.S.C. collection activity, by any of the 156(d)(5) of the term of U.S. Patent No. following methods: Patent and Trademark Office 7,534,790 is granted for a period of one (1) By mail sent to: Corporation for year from the extended expiration date National and Community Service, [Docket No.: PTO–P–2020–0021] of the patent. Attention Arminda Pappas, 250 E Street Grant of Interim Extension of the Term Robert Bahr, SW, Washington, DC 20525. (2) By hand delivery or by courier to of U.S. Patent No. 7,534,790; Deputy Commissioner for Patent Examination Vernakalant Hydrochloride Policy,United States Patent and Trademark the CNCS mailroom at the mail address Office. given in paragraph (1) above, between AGENCY: United States Patent and [FR Doc. 2020–07190 Filed 4–6–20; 8:45 am] 9:00 a.m. and 4:00 p.m. Eastern Time, Trademark Office, Commerce. Monday through Friday, except federal BILLING CODE 3510–16–P ACTION: Notice of interim patent term holidays. extension. (3) Electronically through www.regulations.gov. SUMMARY: The United States Patent and COMMODITY FUTURES TRADING Comments submitted in response to Trademark Office has issued an order COMMISSION this notice may be made available to the granting interim extension for a one- public through regulations.gov. For this year interim extension of the term of Sunshine Act Meetings reason, please do not include in your U.S. Patent No. 7,534,790. TIME AND DATE: 1:30 p.m. EDT, Tuesday, comments information of a confidential FOR FURTHER INFORMATION CONTACT: Ali April 14, 2020. nature, such as sensitive personal Salimi by telephone at (571) 272–0909; information or proprietary information. by mail marked to his attention and PLACE: This meeting will be convened If you send an email comment, your addressed to the Commissioner for on a telephone conference call. email address will be automatically Patents, Mail Stop Hatch-Waxman PTE, STATUS: Closed. captured and included as part of the P.O. Box 1450, Alexandria, VA 22313– MATTERS TO BE CONSIDERED: comment that is placed in the public 1450; by fax marked to his attention at Enforcement matters. In the event that docket and made available on the
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internet. Please note that responses to collecting, validating and verifying social, economic, and environmental this public comment request containing information, processing and impacts of the construction and any routine notice about the maintaining information, and disclosing operation of the proposed project, and is confidentiality of the communication and providing information; to train intended to be sufficient in scope to will be treated as public comment that personnel and to be able to respond to address federal, state, and local may be made available to the public, a collection of information, to search requirements; environmental and notwithstanding the inclusion of the data sources, to complete and review socioeconomic issues concerning the routine notice. the collection of information; and to proposed action; and permit reviews. FOR FURTHER INFORMATION CONTACT: transmit or otherwise disclose the ADDRESSES: Written comments Arminda Pappas, 202–606–6659, or by information. All written comments will regarding the proposed EIS scope email at [email protected]. be available for public inspection on should be addressed to Mr. Jayson regulations.gov. SUPPLEMENTARY INFORMATION: Hudson, USACE, Galveston District, Title of Collection: Application Dated: March 31, 2020. Regulatory Branch, P.O. Box 1229, Instructions for AmeriCorps State and Arminda Pappas, Galveston, Texas 77553–1229. National Competitive New and Grant Review Manager. Individuals who would like to Continuation. [FR Doc. 2020–07217 Filed 4–6–20; 8:45 am] electronically provide comments should contact Mr. Hudson by electronic mail OMB Control Number: 3045–0047. BILLING CODE 6050–28–P Type of Review: Renewal. at [email protected]. Respondents/Affected Public: Emailed comments, including attachments, should be provided in Organizations and State, Local or Tribal DEPARTMENT OF DEFENSE Governments. .doc, .docx, .pdf or .txt formats. Total Estimated Number of Annual Department of the Army, Corps of FOR FURTHER INFORMATION CONTACT: For Responses: 450. Engineers information about this project, to be Total Estimated Number of Annual included on the mailing list for future Burden Hours: 18,000. Intent To Prepare an Environmental updates and meeting announcements, or Abstract: The application instructions Impact Statement and Public Scoping to receive a copy of the Draft EIS when conform to the Corporation for National Meeting for Dow Chemical Company’s it is issued, contact Mr. Jayson Hudson, and Community Service’s online grant Harris Reservoir Expansion Project, at the Corps at (409) 766–3108, email application system, eGrants, which Brazoria County, Texas (Department of address SWG201601027@ applicants must use to respond to CNCS the Army Permit SWG–2016–01027) usace.army.mil, or the address provided above. Notices of Funding Opportunities. AGENCY: U.S. Department of the Army, CNCS also seeks to continue using the U.S. Army Corps of Engineers, DoD. SUPPLEMENTARY INFORMATION: The Corps currently approved information Galveston District intends to prepare an ACTION: Notice of intent. collection until the revised information EIS for the proposed Harris Reservoir collection is approved by OMB. The SUMMARY: The U.S. Army Corps of Expansion Project located in Brazoria currently approved information Engineers (Corps), Galveston District, County, Texas. The proposed Project collection is due to expire on June 30, has received a permit application for a would include the construction of a 2020. U.S. Department of the Army (DA) 1,929-acre impoundment with a Comments submitted in response to permit pursuant to Section 10 of the nominal storage capacity of 50,000 acre- this notice will be summarized and/or Rivers and Harbors Act of 1899 and feet, an intake and pump station to included in the request for OMB Section 404 of the Clean Water Act from divert Dow’s existing surface water approval. Comments are invited on: (a) Dow Chemical Company (Dow) (SWG– rights from the Brazos River, an outlet Whether the collection of information is 2016–01027) for the Harris Reservoir to Oyster Creek, and an emergency necessary for the proper performance of Expansion Project (proposed Project). spillway. The Project would also the functions of the agency, including The proposed Project site is located include floodplain enhancements on whether the information shall have between the Brazos River and Oyster Oyster Creek, stream restoration, and practical utility; (b) the accuracy of the Creek approximately 8 miles northwest temporary construction staging and agency’s estimate of the burden of the of the City of Angleton in Brazoria laydown areas. As part of the collection of information; (c) ways to County, Texas. The primary federal Department of the Army permit enhance the quality, utility, and clarity involvement associated with the application process, a public notice was of the information to be collected; (d) proposed action (proposed Project) is issued on March 2, 2018. The purpose ways to minimize the burden of the the discharge of dredged or fill material of the public notice was to initiate an collection of information on into waters of the United States (U.S.), early public scoping process to solicit respondents, including through the use and the construction of structures and/ comments and information from the of automated collection techniques or or work that may affect navigable public as well as state and federal other forms of information technology; waters. Federal authorizations for the agencies to better enable us to make a and (e) estimates of capital or start-up Project would constitute a major federal reasonable decision on factors affecting costs and costs of operation, action. Based on the potential impacts, the public interest. All comments maintenance, and purchase of services both individually and cumulatively, the received to date, including those to provide information. Burden means Corps intends to prepare an provided for review during the public the total time, effort, or financial environmental impact statement (EIS) in notice comment period, will be resources expended by persons to compliance with the National considered by the Galveston District generate, maintain, retain, disclose or Environmental Policy Act (NEPA) to during EIS preparation. provide information to or for a Federal render a final decision on the permit 1. Scoping Process/Public agency. This includes the time needed applications. The Corps’ decision will Involvement: The Corps invites all to review instructions; to develop, be to issue, issue with modification, or affected federal, state, and local acquire, install and utilize technology deny DA permits for the proposed agencies, affected Native American and systems for the purpose of action. The EIS will assess the potential Tribes, other interested parties, and the
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general public to participate in the existing Harris Reservoir, and then the (vi) Other planning studies, including NEPA process during development of Brazoria Reservoir. As with current a Phase I Environmental Site the EIS. The purpose of the public operations, emergency releases would Assessment. scoping process is to provide occur because of severe weather, such as Mitigation: Since the Public Notice information to the public, narrow the tropical storms and hurricanes with was issued, additional wetland scope of analysis to significant wind speeds that can overtop the delineation work was conducted in environmental issues, serve as a embankments. September 2019 that included mechanism to solicit agency and public Component 2: As part of the proposed preparation of a functional assessment input on alternatives and issues of Project, Oyster Creek restoration is and stream assessment referred to concern, and ensure full and open planned under three projects (referred to above. The Corps verified that wetland participation in scoping for the Draft as Projects 1, 2, and 3) to enhance the delineation on October 10, 2019. A EIS. To ensure that all of the issues flood capacity and to provide riparian conceptual mitigation plan was related to this proposed project are restoration and enhancements. Stream submitted with the Section 404 Permit addressed, the Corps will conduct restoration projects comprise bankfull application in 2018 to address public scoping meeting(s) in which benching, 100-foot buffer preservation, compensation of unavoidable impacts to agencies, organizations, and members of and buffer re-establishment out to 200 waters of the U.S. The conceptual the general public are invited to present feet. Project 1 is located on a 3,600- mitigation plan will be revised based on comments or suggestions with regard to linear-foot unnamed tributary to Oyster the verified wetland delineation and the range of actions, alternatives, and Creek, and Project 2 is located on a results of the functional assessment and potential impacts to be considered in 12,860-linear-foot segment of Oyster stream assessments and as part of the the EIS. The scoping meeting will begin Creek. Project 3, located on an 11,200- EIS development. with an informal open house including linear-foot segment of Oyster Creek, 3. Location: The project site is located a presentation of the proposed action would serve as a receiving channel between the Brazos River and Oyster and a description of the NEPA process. conveying overflows from Oyster Creek Creek approximately eight miles These will be held in person, or during high flows by providing northwest of the City of Angleton and virtually, as determined by the Agency. additional hydraulic conveyance abuts the Brazos River. The project can Comments will be accepted for 14 days capacity in the floodplain, and would be located on the U.S.G.S. quadrangle following the scoping meeting. Displays provide additional flood storage map titled: OTEY, Texas. capacity by receiving backwater from and other forms of information about 4. Purpose and Need: The purpose of Oyster Creek at the downstream end of the proposed action will be available, the proposed Project is to utilize Dow’s Project 3 during flood events. and the Corps and Dow personnel will existing run-of-river water rights from be present at the informal session to Planning: In response to public the Brazos River to improve reliability discuss the proposed project and the EIS concerns on potential impacts to during extended drought conditions for Process. The Corps invites comments on floodplains and hydrology raised during the existing water supply system that the proposed scope and content of the the 2018 Public Notice scoping period, serves Dow’s Texas Operations in EIS from all interested parties. Verbal Dow prepared the following studies: Freeport as well as other industrial, transcribers will be available at the (i) A geomorphic assessment of Oyster community and potable water users that scoping meeting to accept verbal Creek that applied Rosgen Stream rely on Dow’s water supply. Based on comments. A time limit will be imposed Classification Levels I, II, and III. The modeling, Dow estimates that a total of on verbal comments. Written comments assessment was used to develop the 78,000 acre-feet of water storage may be submitted prior, during, or up to proposed Oyster Creek enhancement 14 days after the scoping meeting. The prescriptions. capacity is necessary to provide Texas specific dates, times, and locations of (ii) A Level I and II stream condition Commission on Environmental the meetings will be published in press assessment to determine the functions Quality’s recommended 180 days of releases, special public notices and on and values for wetlands and waters of drought resilience. The current the Corps’ project website: https:// the U.S. that would be affected as a combined storage capacity in the www.swg.usace.army.mil/Business- result of reservoir and associated facility existing Brazoria and Harris reservoirs is With-Us/Regulatory/Special-Projects- placement. approximately 29,000 acre-feet. Environmental-Impact-Statements/. (iii) A hydrology and hydraulic Therefore, Dow will need to develop the 2. Project Background: The proposed modeling report using HEC–HMS, Harris Reservoir Expansion Reservoir to Project would consist of the following: RiverwareTM, and HEC–RAS models. provide an additional storage capacity Component 1: Construction of an HEC–HMS provides hydrologic of at least 49,000 to provide a reliable approximately 50,000-acre-foot off- modeling, RiverwareTM provides water supply during drought. channel impoundment reservoir would reservoir operational modeling, and 5. Alternatives: An evaluation of be located directly upstream and HEC–RAS provides hydraulic modeling. alternatives to Dow’s preferred adjacent to the existing Harris Reservoir, The modeling and analysis focused on alternative initially being considered referred to as the Harris Reservoir drought conditions during the life of the includes a No Action alternative; Expansion. The proposed reservoir proposed Project. alternatives that would avoid, minimize, would cover approximately 2,000 acres (iv) Planning-level floodplain analysis and compensate for impacts to the and would include a pumped intake and modeling for areas downstream of environment within the proposed station on the Brazos River and gravity the proposed Project to confirm the Project footprint; alternatives that would outfall to Oyster Creek via a new bypass floodplain storage changes that would avoid, minimize, and compensate for channel that would be constructed. The occur if the proposed Project is impacts to the environment outside the proposed reservoir would operate with implemented. footprint; alternatives using alternative the existing Harris and Brazoria (v) An updated interim practices; and other reasonable Reservoirs in a manner similar to hydrogeomorphic functional assessment alternatives that will be developed current operations. During periods of to determine the functional capacities of through the Project scoping process, drought, the proposed reservoir would wetlands and waters of the U.S. within which may also meet the identified be exhausted first, followed by the the proposed Project site. purpose and need.
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6. Public Involvement: The purpose of has received a permit application for a activities would be completed within the public scoping process is used to Department of the Army (DA) Permit the footprint of the authorized CCSC determine relevant issues that will pursuant to Section 10 of the Rivers and channel width. The proposed project influence the scope of the Harbors Act of 1899, Section 404 of the does not include widening the channel; environmental analysis and EIS Clean Water Act, and Section 103 of the however, some minor incidental alternatives. General concerns in the Marine Protection, Research and widening of the channel is expected to following categories have been Sanctuaries Act from the Port of Corpus meet side slope requirements and to identified to date: Waters of the U.S. Christi Authority (PCCA) (SWG–2019– maintain the stability of the channel. As including wetlands, water quality, 00067) for the deepening of the Corpus part of the Department of the Army sedimentation and erosion, hydrology Christi Ship Channel (CCSC). The permit application process, a public and flood hazards, water rights, wildlife primary Federal involvement associated notice was published on August 1, 2019. and aquatic species, migratory birds, with the proposed action is the The purpose of the public notice was to threatened and endangered species, discharge of dredged or fill material into initiate an early public scoping process invasive species, air quality, waters of the United States, the to solicit comments and information environmental justice, socioeconomic construction of structures and/or work from the public as well as state and environment, archaeological and that may affect navigable waters, and federal agencies to better enable us to cultural resources, navigation and ocean disposal of dredged material. make a reasonable decision on factors recreational resources, hazardous waste Federal authorizations for the proposed affecting the public interest. All and materials, public health and safety, project would constitute a ‘‘major comments received to date, including downstream and off-site impacts, and federal action.’’ Based on the potential those provided for review during the cumulative impacts. All parties who impacts, both individually and public notice comment period, will be express interest will be given an cumulatively, the Corps intends to considered by the Galveston District opportunity to participate in the prepare an Environmental Impact during EIS preparation. process. Statement (EIS) in compliance with the 1. Scoping Process/Public 7. Coordination: The proposed action National Environmental Policy Act Involvement: The Corps invites all is being coordinated with a number of (NEPA) to render a final decision on the affected federal, state, and local federal, state, regional, and local permit application. The Corps’ decision agencies, affected Native American agencies, including the U.S. will be to issue, issue with modification, Tribes, other interested parties, and the Environmental Protection Agency (a or deny DA permits for the proposed general public to participate in the cooperating agency under NEPA), U.S. action. The EIS will assess the potential NEPA process during development of Fish and Wildlife Service, U.S. National social, economic, and environmental the EIS. The purpose of the public Marine Fisheries Service, Texas impacts of the proposed project and is scoping process is to provide Commission on Environmental Quality, intended to be sufficient in scope to information to the public, narrow the Texas General Land Office, and Texas address Federal, State and local scope of analysis to significant Parks and Wildlife Department. requirements, environmental and environmental issues, serve as a 8. Availability of Draft EIS and socioeconomic issues concerning the mechanism to solicit agency and public Scoping: The draft EIS is estimated to be proposed action, and permit reviews. input on alternatives and issues of available for public review and ADDRESSES: Written comments concern, and ensure full and open comment no sooner than the spring of regarding the proposed EIS scope participation in scoping for the Draft 2021. At that time a 45-day public should be addressed to Mr. Jayson EIS. To ensure that all of the issues review period will be provided for Hudson, USACE, Galveston District, related to this proposed project are individuals and agencies to review and Regulatory Branch, P.O. Box 1229, addressed, the Corps will conduct comment on the DEIS. Galveston, Texas 77553–1229. public scoping meeting(s) in which Individuals who would like to agencies, organizations, and members of Pete G. Perez, electronically provide comments should Director, Programs Directorate. the general public are invited to present contact Mr. Hudson by electronic mail comments or suggestions with regard to [FR Doc. 2020–07315 Filed 4–6–20; 8:45 am] at: [email protected]. the range of actions, alternatives, and BILLING CODE 3720–58–P Emailed comments, including potential impacts to be considered in attachments, should be provided in the EIS. The scoping meeting will begin .doc, .docx, .pdf or .txt formats. DEPARTMENT OF DEFENSE with an informal open house including FOR FURTHER INFORMATION CONTACT: For a presentation of the proposed action Department of the Army, Corps of information about this project, to be and a description of the NEPA process. Engineers included on the mailing list for future These will be held in person, or updates and meeting announcements, or virtually, as determined by the Agency. [Department of the Army Permit Number to receive a copy of the Draft EIS when Comments will be accepted for 14 days SWG–2019–00067] it is issued, contact Mr. Jayson Hudson, following the scoping meeting. Displays at the Corps at (409) 766–3108, the and other forms of information about [Intent To Prepare an Environmental email address SWG201900067@ Impact Statement and Public Scoping the proposed action will be available, usace.army.mil, or the address provided and the Corps and PCCA personnel will Meeting for the Port of Corpus Christi above. Channel Deepening Project, Nueces be present at the informal session to SUPPLEMENTARY INFORMATION: and Aransas Counties, Texas The Corps discuss the proposed project and the EIS Galveston District intends to prepare an Process. The Corps invites comments on AGENCY: U.S. Army Corps of Engineers, EIS for the proposed Port of Corpus the proposed scope and content of the DoD. Christi Deepening project. The proposed EIS from all interested parties. Verbal ACTION: Notice of intent. project is needed to accommodate transcribers will be available at the transit of fully laden very large crude scoping meeting to accept verbal SUMMARY: The U.S. Army Corps of carriers (VLCCs) that draft comments. A time limit will be imposed Engineers, Galveston District (Corps), approximately 70 feet. The deepening on verbal comments. Written comments
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may be submitted prior, during, or up to United States for beneficial use sites following categories have been 14 days after the scoping meeting. The located in and around Corpus Christi identified to date: Potential direct specific dates, times, and locations of and Redfish Bays; effects to waters of the United States the meetings will be published in press Potential placement of dredged including wetlands; water and sediment releases, special public notices and on material on San Jose Island for dune quality; aquatic species; air quality; the Corps’ project website: https:// restoration; socioeconomic environment; www.swg.usace.army.mil/Business- Potential placement of dredged archaeological and cultural resources; With-Us/Regulatory/Special-Projects- material feeder berms for beach recreation and recreational resources; Environmental-Impact-Statements/. restoration along San Jose and Mustang hazardous waste and materials; 2. Project Background: The CCSC is Islands; and aesthetics; public health and safety; currently authorized by the USACE to Transport of new work dredged navigation; ferry operations; erosion; project depths of ¥54 feet and ¥56 feet material to the CCSC Improvement invasive species; cumulative impacts; mean lower low water (MLLW) from Project New Work Ocean Dredged public benefit and needs of the people Station 110+00 to Station ¥330+00 as Material Disposal Site (ODMDS). along with potential effects on the part of the CCSC Improvement Project. 3. Location: The proposed project is human environment. All parties who The current authorized width of the located within the existing channel express interest will be given an CCSC is 600 feet inside the jetties and bottom of the CCSC starting at station opportunity to participate in the 700 feet in the entrance channel. The 110+00 near the southeast side of process. proposed project would deepen the Harbor Island, traversing easterly 7. Coordination: The proposed action through the Aransas Pass, and extending channel from Station 110+00 to Station is being coordinated with a number of ¥ beyond the currently authorized 72+50 to a maximum depth of –79 Federal, State, regional and local terminus Station ¥330+00 an feet MLLW (–75 feet MLLW plus two agencies. As part of the NEPA process, additional 29,000 feet terminating out feet of advanced maintenance and two the U.S. Environmental Protection into the Gulf of Mexico at the proposed feet of allowable overdredge), and from Agency, National Oceanic and ¥ ¥ new Terminus Station ¥620+00, an Station 72+50 to Station 330+00, Atmospheric Administration, National approximate distance of 13.8 miles, in the channel would be deepened to a Marine Fisheries Service, the U.S. Fish ¥ Port Aransas, Nueces County, Texas. maximum depth of 81 feet MLLW and Wildlife Service, and the U.S. Coast ¥ The project can be located on the ( 77 feet MLLW plus two feet of Guard will be cooperating agencies in U.S.G.S. quadrangle map entitled: Port advanced maintenance and two feet of the preparation of the EIS. The Texas allowable overdredge). The proposed Aransas, Texas. 4. Purpose and Need: To safely, Commission on Environmental Quality project includes a 29,000-foot extension and the Texas Parks and Wildlife of the CCSC from Station–330+00 to efficiently, and economically export current and forecasted crude oil Department will be participating Station –620+00 to a maximum depth of agencies in the preparation of the EIS. –81 MLLW (¥77 feet MLLW plus two inventories via VLCC, a common vessel in the world fleet. Crude oil is delivered 8. Availability of Draft EIS and feet of advanced maintenance and two Scoping: The draft EIS is estimated to be feet of allowable overdredge) to reach via pipeline from the Eagle Ford and ¥ Permian Basins to multiple locations at available for public review and the 80-foot MLLW bathymetric comment no sooner than the spring of contour in the Gulf of Mexico. The the Port of Corpus Christi. Crude Oil inventories exported at the Port of 2021. At that time a 45-day public proposed project would span review period will be provided for approximately 13.8 miles from a Corpus Christi have increased from 280,000 barrels per day in 2017 to individuals and agencies to review and location near the southeast side of comment on the DEIS. Harbor Island to the –80-foot MLLW 1,650,000 barrels in January 2020 with bathymetric contour in the Gulf of forecasts increasing to 4,500,000 barrels Pete G. Perez, Mexico. The proposed project would per day by 2030. Current facilities Director, Programs Directorate. cover approximately 1,778 acres, require vessel lightering to fully load a [FR Doc. 2020–07313 Filed 4–6–20; 8:45 am] VLCC which increases cost and affects creating approximately 46 million cubic BILLING CODE 3720–58–P yards (MCY) of new work dredged safety. material (17.1 MCY of clay and 29.2 5. Alternatives: An evaluation of alternatives to PCCA’s preferred MCY of sand). DEPARTMENT OF ENERGY The proposed project consists of the alternative initially being considered following: includes a No Action alternative; Federal Energy Regulatory Deepening a portion of the CCSC from alternatives that would avoid, minimize, Commission the currently authorized depth of ¥54 and compensate for impacts to the to ¥56 MLLW to final constructed environment within the proposed Combined Notice of Filings depths ranging from ¥79 to ¥81 feet Project footprint; alternatives that would MLLW; avoid, minimize, and compensate for Take notice that the Commission has Extending the existing terminus of the impacts to the environment outside the received the following Natural Gas authorized channel an additional 29,000 footprint; alternatives using alternative Pipeline Rate and Refund Report filings: feet into the Gulf of Mexico to reach the practices; and other reasonable Docket Number: PR20–47–000. ¥80-foot MLLW bathymetric contour; alternatives that will be developed Applicants: Public Service Company Expanding the existing Inner Basin at through the Project scoping process, of Colorado. Harbor Island as necessary to which may also meet the identified Description: Tariff filing per accommodate VLCC turning, which purpose and need. 284.123(b),(e)+(g): Statement of Rates includes construction of a flare 6. Public Involvement: The purpose of 3.1.2020 to be effective 3/1/2020. transition from the CCSC within the public scoping process is to Filed Date: 3/27/2020. Aransas to meet the turning basin determine relevant issues that will Accession Number: 202003275291. expansion; influence the scope of the Comments Due: 5 p.m. ET 4/17/2020. Potential placement of new work environmental analysis and EIS 284.123(g) Protests Due: 5 p.m. ET dredged material into waters of the alternatives. General concerns in the 5/26/2020.
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Docket Numbers: RP20–694–000. Filed Date: 3/30/20. 385.214) on or before 5:00 p.m. Eastern Applicants: Rover Pipeline LLC. Accession Number: 20200330–5240. time on the specified date(s). Protests Description: Compliance filing Flow Comments Due: 5 p.m. ET 4/13/20. may be considered, but intervention is Through of Cash-Out and Penalty Docket Numbers: RP20–702–000. necessary to become a party to the Revenues filed on 3–30–20. Applicants: Gulf South Pipeline proceeding. Filed Date: 3/30/20. Company, LLC. eFiling is encouraged. More detailed Accession Number: 20200330–5063. Description: § 4(d) Rate Filing: Cap information relating to filing Comments Due: 5 p.m. ET 4/13/20. Rel Neg Rate Agmts (Atlanta Gas 8438 requirements, interventions, protests, Docket Numbers: RP20–695–000. releases eff 4–1–20) to be effective service, and qualifying facilities filings Applicants: Midcontinent Express 4/1/2020. can be found at: http://www.ferc.gov/ Pipeline LLC. Filed Date: 3/30/20. docs-filing/efiling/filing-req.pdf. For Description: § 4(d) Rate Filing: Accession Number: 20200330–5278. other information, call (866) 208–3676 Tenaska PALS Negotiated Rate to be Comments Due: 5 p.m. ET 4/13/20. (toll free). For TTY, call (202) 502–8659. effective 4/1/2020. Filed Date: 3/30/20. Docket Numbers: RP20–703–000. Dated: April 1, 2020. Accession Number: 20200330–5097. Applicants: Gulf South Pipeline Nathaniel J. Davis, Sr., Comments Due: 5 p.m. ET 4/13/20. Company, LLC. Deputy Secretary. Description: § 4(d) Rate Filing: Neg Docket Numbers: RP20–696–000. [FR Doc. 2020–07256 Filed 4–6–20; 8:45 am] Rate Agmt (FPL 48381) to be effective Applicants: MarkWest Pioneer, L.L.C. BILLING CODE 6717–01–P Description: § 4(d) Rate Filing: 4/1/2020. Amendment to Negotiated Rate Service Filed Date: 3/30/20. Agreement to be effective 4/1/2020. Accession Number: 20200330–5280. DEPARTMENT OF ENERGY Filed Date: 3/30/20. Comments Due: 5 p.m. ET 4/13/20. Accession Number: 20200330–5119. Docket Numbers: RP20–704–000. Federal Energy Regulatory Comments Due: 5 p.m. ET 4/13/20. Applicants: Texas Gas Transmission, Commission LLC. Docket Numbers: RP20–697–000. Combined Notice of Filings #2 Applicants: Enable Gas Transmission, Description: § 4(d) Rate Filing: LLC. Amendment to Neg Rate Agmt (TVA Take notice that the Commission Description: § 4(d) Rate Filing: 35341 eff 4–1–2020) to be effective received the following electric corporate Negotiated Rate Filing—April 1 2020 4/1/2020. filings: Filed Date: 3/30/20. City of Winfield 1011266 & Tenaska Docket Numbers: EC20–49–000. Accession Number: 20200330–5281. 1011653 to be effective 4/1/2020. Applicants: PSEG Fossil LLC, Yards Comments Due: 5 p.m. ET 4/13/20. Filed Date: 3/30/20. Creek Energy, LLC. Accession Number: 20200330–5186. Docket Numbers: RP20–705–000. Description: Joint Application for Comments Due: 5 p.m. ET 4/13/20. Applicants: Rover Pipeline LLC. Authorization Under Section 203 of the Docket Numbers: RP20–698–000. Description: § 4(d) Rate Filing: Federal Power Act, et al. of PSEG Fossil Applicants: Texas Eastern Summary of Negotiated Rate Capacity LLC, et al. Transmission, LP. Release Agreements on 3–30–20 to be Filed Date: 3/30/20. Description: § 4(d) Rate Filing: EQT to effective 4/1/2020. Accession Number: 20200330–5419. Nextera Perm Releases—NC Agrmts & Filed Date: 3/30/20. Comments Due: 5 p.m. ET 5/14/20. NRA eff 4.1.2020 to be effective Accession Number: 20200330–5284. Take notice that the Commission 4/1/2020. Comments Due: 5 p.m. ET 4/13/20. Filed Date: 3/30/20. received the following electric rate Docket Numbers: RP20–706–000. filings: Accession Number: 20200330–5204. Applicants: Equitrans, L.P. Comments Due: 5 p.m. ET 4/13/20. Docket Numbers: ER10–1975–025; Description: Compliance filing Notice ER10–1976–012; ER10–1985–012; Docket Numbers: RP20–699–000. Regarding Non-Jurisdictional Gathering Applicants: Dominion Energy ER10–1989–013; ER10–2078–018; Facilities (Zero-Flow Meters). ER10–2641–035; ER11–2192–015; Transmission, Inc. Filed Date: 3/30/20. Description: § 4(d) Rate Filing: DETI— ER11–4678–014; ER12–1660–017; Accession Number: 20200330–5303. ER12–2444–013; ER12–631–015; ER12– March 30, 2020 MCS Negotiated Rate Comments Due: 5 p.m. ET 4/13/20. Agreements to be effective 4/1/2020. 676–012; ER13–2458–012; ER13–2461– Filed Date: 3/30/20. Docket Numbers: RP20–707–000. 012; ER13–2474–015; ER14–2708–017; Accession Number: 20200330–5222. Applicants: LA Storage, LLC. ER14–2709–016; ER14–2710–016; Comments Due: 5 p.m. ET 4/13/20. Description: § 4(d) Rate Filing: Filing ER15–1016–007; ER15–2243–005; Docket Numbers: RP20–700–000. of Negotiated Rate, Conforming IW ER15–30–014; ER15–58–014; ER16– Applicants: NEXUS Gas Agreements 4.1.20 to be effective 1277–008; ER16–1293–007; ER16–1440– Transmission, LLC. 4/1/2020. 010; ER16–1913–005; ER16–2240–010; Description: § 4(d) Rate Filing: Filed Date: 3/30/20. ER16–2297–009; ER16–2506–009; Negotiated Rates—EAP Ohio 860161 Accession Number: 20200330–5309. ER17–196–004; ER17–2270–009; ER17– Apr 1 Releases to be effective 4/1/2020. Comments Due: 5 p.m. ET 4/13/20. 582–005; ER17–583–005; ER18–1981– Filed Date: 3/30/20. The filings are accessible in the 005; ER18–2032–005; ER18–2091–004; Accession Number: 20200330–5226. Commission’s eLibrary system by ER18–2224–007; ER18–807–004; ER19– Comments Due: 5 p.m. ET 4/13/20. clicking on the links or querying the 11–004; ER19–2266–001; ER19–2382– Docket Numbers: RP20–701–000. docket number. 001; ER19–2495–001; ER19–2513–001; Applicants: Rockies Express Pipeline Any person desiring to intervene or ER19–774–004. LLC. protest in any of the above proceedings Applicants: North Jersey Energy Description: § 4(d) Rate Filing: REX must file in accordance with Rules 211 Associates, A Limited Partnership, Evaluation of Credit Revisions (GT&C and 214 of the Commission’s North Sky River Energy, LLC, Northern Section 13) to be effective 4/30/2020. Regulations (18 CFR 385.211 and Colorado Wind Energy, LLC, Oleander
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Power Project, Limited Partnership, Applicants: Midcontinent infrastructure during this extraordinary Oliver Wind III, LLC, Osborn Wind Independent System Operator, Inc., time. Energy, LLC, Palo Duro Wind Energy, MidAmerican Energy Company. DATES: This policy statement will LLC, Palo Duro Wind Interconnection Description: § 205(d) Rate Filing: become applicable April 7, 2020. _ Services, LLC, Peetz Logan Interconnect, 2020–03–31 MidAmerican Attachment FOR FURTHER INFORMATION CONTACT: LLC, Peetz Table Wind Energy, LLC, O Revisions to be effective 6/1/2020. Caroline Wozniak (Technical Pegasus Wind, LLC, Perrin Ranch Wind, Filed Date: 3/31/20. Information), Office of Energy Market LLC, Pheasant Run Wind, LLC, Pima Accession Number: 20200331–5047. Regulation, Federal Energy Regulatory Energy Storage System, LLC, Pinal Comments Due: 5 p.m. ET 4/21/20. Commission, 888 First Street NE, Central Energy Center, LLC, Pratt Wind, Docket Numbers: ER20–1445–000. Washington, DC 20426, 202–502–8931, LLC, Quitman Solar, LLC, Red Mesa Applicants: Emera Maine. [email protected]. Wind, LLC, River Bend Solar, LLC, Description: § 205(d) Rate Filing: Kaleb Lockwood (Legal Information), Roswell Solar, LLC, Rush Springs Wind Service Agreement for NISTA—Houlton Office of the General Counsel, Federal Energy, LLC, Seiling Wind, LLC, Seiling Water Company to be effective Energy Regulatory Commission, 888 Wind II, LLC, Seiling Wind 3/31/2020. First Street NE, Washington, DC 20426, Interconnection Services, LLC, Silver Filed Date: 3/31/20. (202) 502–8255, kaleb.lockwood@ State Solar Power South, LLC, Shafter Accession Number: 20200331–5057. ferc.gov. Solar, LLC, Sky River LLC, Stanton Comments Due: 5 p.m. ET 4/21/20. SUPPLEMENTARY INFORMATION: Clean Energy, LLC, Steele Flats Wind The filings are accessible in the 1. On March 13, 2020, the President Project, LLC, Story County Wind, LLC, Commission’s eLibrary system by issued a proclamation declaring a Stuttgart Solar, LLC, Titan Solar, LLC, clicking on the links or querying the National Emergency concerning Tuscola Bay Wind, LLC, Tuscola Wind docket number. COVID–19. Entities regulated by the II, LLC, Vasco Winds, LLC, Wessington Any person desiring to intervene or Commission have had to take Springs Wind, LLC, Westside Solar, protest in any of the above proceedings unprecedented actions in response to LLC, White Oak Energy LLC, White Oak must file in accordance with Rules 211 the emergency conditions, including Solar, LLC, White Pine Solar, LLC, and 214 of the Commission’s directing staff to work remotely for an Whitney Point Solar, LLC, Wildcat Regulations (18 CFR 385.211 and extended period, which may disrupt, Ranch Wind Project, LLC, Wilton Wind 385.214) on or before 5:00 p.m. Eastern complicate, or otherwise change their Energy II, LLC, Windpower Partners time on the specified comment date. normal course of business operations. In 1993, LLC. Protests may be considered, but light of the President’s proclamation, Description: Notice of Change in intervention is necessary to become a the Commission believes it is Status of the NextEra MBR Sellers (Part party to the proceeding. appropriate to provide regulatory 3), et al. eFiling is encouraged. More detailed guidance on certain energy Filed Date: 3/27/20. information relating to filing infrastructure, market, reliability and Accession Number: 20200327–5337. requirements, interventions, protests, security matters. We understand that Comments Due: 5 p.m. ET 4/17/20. service, and qualifying facilities filings regulated entities may need to Docket Numbers: ER18–254–000. can be found at: http://www.ferc.gov/ implement new procedures, update Applicants: Buckeye Power, Inc. docs-filing/efiling/filing-req.pdf. For and/or suspend existing procedures, Description: Buckeye Power, Inc. other information, call (866) 208–3676 and take other measures to safeguard the submits tariff filing per 35.19a(b): (toll free). For TTY, call (202) 502–8659. business continuity of their systems. We Refund Report_South Central Power Dated: March 31, 2020. are aware that such regulated entities Company [ER18–254 and ER19–1457] to Nathaniel J. Davis, Sr., may have questions about their ability be effective N/A. Deputy Secretary. to meet regulatory requirements and/or Filed Date: 3/30/20. [FR Doc. 2020–07197 Filed 4–6–20; 8:45 am] recover the expenses necessary if they Accession Number: 20200330–5308. take steps to safeguard the business BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 4/20/20. continuity of their systems during the Docket Numbers: ER20–1442–000. national emergency. We want to assure Applicants: Wisconsin Public Service DEPARTMENT OF ENERGY regulated entities that we will Corporation. expeditiously review and act on Description: § 205(d) Rate Filing: Federal Energy Regulatory requests for relief, including but not Filing of Annual Formula Rate of PEB Commission limited to, requests for cost recovery necessary to assure business continuity and PBOP Changes to be effective [Docket No. PL20–5–000] 4/1/2020. of the regulated entities’ energy Filed Date: 3/31/20. Business Continuity of Energy infrastructure in response to the Accession Number: 20200331–5019. Infrastructure national emergency. Comments Due: 5 p.m. ET 4/21/20. 2. We will give our highest priority to AGENCY: Federal Energy Regulatory processing filings made for the purpose Docket Numbers: ER20–1443–000. Commission. of assuring the business continuity of Applicants: PJM Interconnection, ACTION: Policy statement. regulated entities’ energy infrastructure L.L.C. during this extraordinary time. We view Description: § 205(d) Rate Filing: SUMMARY: The Commission states that it the reliability and security of our Original WMPA, Service Agreement No. will expeditiously review and act on Nation’s vital energy infrastructure as 5609; Queue No. AE1–219 to be requests for relief in response to the critical to meeting the energy effective 3/5/2020. national emergency caused by COVID– requirements essential to the American Filed Date: 3/31/20. 19, and that it will give its highest people. Accession Number: 20200331–5022. priority to processing filings made for 3. The Commission fully supports the Comments Due: 5 p.m. ET 4/21/20. the purpose of assuring the business continued cooperation of the energy Docket Numbers: ER20–1444–000. continuity of regulated entities’ energy industry, customers, and Federal, State,
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and local government partners to III, LLC, Blythe Solar IV, LLC, 1973–012; ER10–1951–020; ER10–1974– provide any additional safeguards Breckinridge Wind Project, LLC, Brady 023; ER16–2241–009. necessary to protect the business Interconnection, LLC, Brady Wind, LLC, Applicants: FPL Energy Stateline II, continuity of the Nation’s vital energy Brady Wind II, LLC, Bronco Plains Inc., FPL Energy Stateline II, Inc., FPL infrastructure. Wind, LLC, Butler Ridge Wind Energy Energy Vansycle, L.L.C, FPL Energy By the Commission. Center, LLC, Carousel Wind Farm, LLC, Wyman, LLC, FPL Energy Wyman IV, Issued: April 2, 2020. Casa Mesa Wind, LLC, Cedar Bluff LLC, Frontier Utilities Northeast LLC, Wind, LLC, Chaves County Solar, LLC, Garden Wind, LLC, Genesis Solar, LLC, Nathaniel J. Davis, Sr., Cimarron Wind Energy, LLC, Coolidge Golden Hills Interconnection, LLC, Deputy Secretary. Solar I, LLC, Cottonwood Wind Project, Golden Hills North Wind, LLC, Golden [FR Doc. 2020–07301 Filed 4–2–20; 5:15 pm] LLC, Crowned Ridge Wind, LLC, Crystal Hills Wind, LLC, Golden West Power BILLING CODE 6717–01–P Lake Wind III, LLC, Dougherty County Partners, LLC, Gray County Wind Solar, LLC, Day County Wind, LLC Energy, LLC, Grazing Yak Solar, LLC, Desert Sunlight 250, LLC, Desert Green Mountain Storage, LLC, Gulf DEPARTMENT OF ENERGY Sunlight 300, LLC, East Hampton Power Company, LLC, Hancock County Federal Energy Regulatory Energy Storage Center, LLC, Elk City Wind, LLC, Hatch Solar Energy Center Commission Renewables II, LLC, Elk City Wind, LLC, I, LLC, Hawkeye Power Partners, LLC, Emmons-Logan Wind, LLC, Endeavor Heartland Divide Wind Project, LLC, Combined Notice of Filings #1 Wind I, LLC, Endeavor Wind II, LLC, High Lonesome Mesa Wind, LLC, High Energy Storage Holdings, LLC, Ensign Majestic Wind Energy Center, LLC, High Take notice that the Commission Wind, LLC, ESI Vansycle Partners, L.P., Majestic Wind II, LLC, High Winds, received the following exempt Florida Power & Light Company, FPL LLC, Kingman Wind Energy I, LLC, wholesale generator filings: Energy Burleigh County Wind, LLC, FPL Kingman Wind Energy II, LLC, Lake Docket Numbers: EG20–108–000. Energy Cape, LLC, FPL Energy Cowboy Benton Power Partners II, LLC, Langdon Applicants: Yards Creek Energy, LLC. Wind, LLC, FPL Energy Green Power Renewables, LLC, Limon Wind, LLC, Description: Notice of Self- Wind, LLC, FPL Energy Illinois Wind, Limon Wind II, LLC, Limon Wind III, Certification of Exempt Wholesale LLC, FPL Energy Montezuma Wind, LLC, Live Oak Solar, LLC, Logan Wind Generator Status. LLC, FPL Energy Mower County, LLC, Energy LLC, Lorenzo Wind, LLC, Luz Filed Date: 3/30/20. FPL Energy North Dakota Wind, LLC, Solar Partners Ltd., III, Luz Solar Accession Number: 20200330–5268. FPL Energy North Dakota Wind II, LLC, Partners Ltd., IV, Luz Solar Partners Comments Due: 5 p.m. ET 4/20/20. FPL Energy Oklahoma Wind, LLC, FPL Ltd., V, Mammoth Plains Wind Project, Take notice that the Commission Energy Oliver Wind I, LLC, FPL Energy LLC, Manuta Creek Solar, LLC, Marshall received the following electric rate Oliver Wind II, LLC, FPL Energy Sooner Solar, LLC, McCoy Solar, LLC, filings: Wind, LLC, FPL Energy South Dakota Meyersdale Storage, LLC, Minco Wind, Docket Numbers: ER15–1883–008; Wind, LLC. LLC, Minco Wind II, LLC, Minco Wind ER15–1418–008; ER18–2118–006; Description: Notice of Change in III, LLC, Minco IV & V Interconnection, ER19–2373–001; ER10–2005–018; Status of the NextEra MBR Sellers (Part LLC, Minco Wind Interconnection ER11–26–018; ER10–2551–015; ER12– 1), et al. Services, LLC, Montauk Energy Storage 569–021; ER16–91–008; ER16–632–006; Filed Date: 3/27/20. Center, LLC, Mountain View Solar, LLC, ER20–819–001; ER20–820–001; ER15– Accession Number: 20200327–5332. NEPM II, LLC, New Mexico Wind, LLC, 1925–014; ER16–2453–011; ER16–2190– Comments Due: 5 p.m. ET 4/17/20. NextEra Blythe Solar Energy Center, 010; ER16–2191–010; ER19–2901–002; Docket Numbers: ER10–1930–012; LLC, NextEra Energy Bluff Point, LLC, ER10–1841–018; ER15–2582–007; ER10–1931–013; ER10–1932–013; NextEra Energy Duane Arnold, LLC, ER18–1978–005; ER15–2676–013; ER10–1935–013; ER13–2147–001; NextEra Energy Montezuma II Wind, ER16–1672–011; ER13–712–022; ER18– ER10–1950–018; ER13–2112–009; LLC, NextEra Energy Point Beach, LLC, 1863–005; ER17–2152–007; ER19–2461– ER16–90–007; ER17–2340–004; ER15– NextEra Energy Marketing, LLC, 001; ER19–987–005; ER19–1003–005; 2477–007; ER15–2101–008; ER10–1952– NextEra Energy Seabrook, LLC, NextEra ER10–1845–018; ER19–2269–001; 019; ER19–2389–002; ER15–2601–005; Energy Services Massachusetts, LLC, ER10–1846–014; ER13–1991–013; ER18–1952–007; ER19–2398–002; Northeast Energy Associates, A Limited ER13–1992–013; ER18–1534–005; ER11–3635–013; ER10–2006–018; Partnership, Ninnescah Wind Energy, ER18–882–006; ER10–1849–020; ER19– ER18–2246–006; ER19–1392–004; LLC. 2437–001; ER19–1393–005; ER19–1394– ER10–1961–019; ER12–1228–021; Description: Notice of Change in 005; ER13–752–012; ER12–2227–020; ER10–1962–013; ER16–2275–009; Status of the NextEra MBR Sellers (Part ER10–1851–012; ER10–1852–036; ER16–2276–009; ER10–1964–016; 2), et al. ER10–1855–013; ER10–1857–013; ER18–1771–007; ER12–2226–011; Filed Date: 3/27/20. ER10–1887–020; ER10–1890–014; ER12–2225–011; ER14–2138–008; Accession Number: 20200327–5336. ER10–1899–013; ER11–2160–014; ER16–1354–007; ER10–1966–012; Comments Due: 5 p.m. ET 4/17/20. ER10–1905–018; ER10–1907–017; ER18–2003–005; ER17–822–005; ER17– Docket Numbers: ER19–1195–001. ER10–1918–018; ER10–1920–021; 823–005; ER18–241–004; ER14–2707– Applicants: GSG 6, LLC. ER10–1925–018; ER10–1927–018; 016; ER14–1630–009; ER16–1872–008; Description: Report Filing: Refund ER10–1928–021; ER11–2642–015. ER15–1375–007; ER15–2602–005; Report per Settlement (ER19–1195) to be Applicants: Adelanto Solar, LLC, ER10–2720–021; ER11–4428–021; effective N/A. Adelanto Solar II, LLC, Armadillo Flats ER12–1880–020; ER18–2182–005; Filed Date: 3/30/20. Wind Project, LLC, Ashtabula Wind I, ER12–895–019; ER18–1535–004; ER14– LLC, Ashtabula Wind II, LLC, Ashtabula 21–007; ER11–4462–041; ER18–772– Accession Number: 20200330–5196. Wind III, LLC, Baldwin Wind, LLC, 004; ER16–2443–004; ER17–1774–003; Comments Due: 5 p.m. ET 4/20/20. Blackwell Wind, LLC, Blythe Solar 110, ER10–1970–017; ER11–4677–014; Docket Numbers: ER20–1074–001. LLC, Blythe Solar II, LLC, Blythe Solar ER10–1972–017; ER17–838–016; ER10– Applicants: Marsh Landing LLC.
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Description: Tariff Amendment: Applicants: PJM Interconnection, Based Rate Tariff to be effective 2/27/ Amendment to Filing of Black Start L.L.C., Buckeye Power, Inc. 2020. Agreement to be effective 4/26/2020. Description: § 205(d) Rate Filing: Filed Date: 3/30/20. Filed Date: 3/30/20. Revised SA No. 4753—NITSA Among Accession Number: 20200330–5335. Accession Number: 20200330–5302. PJM and Buckeye Power, Inc. to be Comments Due: 5 p.m. ET 4/20/20. Comments Due: 5 p.m. ET 4/6/20. effective 3/1/2020. Docket Numbers: ER20–1437–000. Docket Numbers: ER20–1422–000. Filed Date: 3/30/20. Applicants: Energy Harbor Generation Applicants: AEP Texas Inc. Accession Number: 20200330–5236. LLC. Description: § 205(d) Rate Filing: Comments Due: 5 p.m. ET 4/20/20. Description: Compliance filing: Notice AEPTX-Taylor EC-Golden Spread EC Docket Numbers: ER20–1430–000. of Succession and Revisions to Market- 5th A&R Interconnection Agreement to Applicants: Ohio Edison Company. Based Rate Tariff to be effective 2/27/ be effective 3/12/2020. Description: § 205(d) Rate Filing: 2020. Filed Date: 3/30/20. Normal Rate Schedule changes 2020 to Filed Date: 3/30/20. Accession Number: 20200330–5187. be effective 2/27/2020. Accession Number: 20200330–5352. Comments Due: 5 p.m. ET 4/20/20. Filed Date: 3/30/20. Comments Due: 5 p.m. ET 4/20/20. Docket Numbers: ER20–1423–000. Accession Number: 20200330–5237. Docket Numbers: ER20–1438–000. Applicants: PJM Interconnection, Comments Due: 5 p.m. ET 4/20/20. Applicants: Energy Harbor Nuclear L.L.C. Docket Numbers: ER20–1431–000. Generation LLC. Description: § 205(d) Rate Filing: Applicants: The Toledo Edison Description: Compliance filing: Notice Original WMPA, Service Agreement No. Company. of Succession and Revisions to Market- 5608; Queue No. AE1–218 to be Description: § 205(d) Rate Filing: Based Rate Tariff to be effective effective 3/5/2020. Normal Rate Schedule changes 2020 to 2/27/2020. Filed Date: 3/30/20. be effective 2/27/2020. Filed Date: 3/30/20. Accession Number: 20200330–5213. Filed Date: 3/30/20. Accession Number: 20200330–5324. Comments Due: 5 p.m. ET 4/20/20. Accession Number: 20200330–5239. Comments Due: 5 p.m. ET 4/20/20. Docket Numbers: ER20–1424–000. Comments Due: 5 p.m. ET 4/20/20. Docket Numbers: ER20–1439–000. Applicants: Yards Creek Energy, LLC. Docket Numbers: ER20–1432–000. Applicants: Pleasants Corp.. Description: Baseline eTariff Filing: Applicants: Pennsylvania Power Description: Tariff Cancellation: Reactive Service Rate Schedule to be Company. Notice of Cancellation of Market-Based effective 12/31/9998. Description: § 205(d) Rate Filing: Rate Tariff to be effective 3/31/2020. Filed Date: 3/30/20. Normal Rate Schedule changes 2020 to Filed Date: 3/30/20. Accession Number: 20200330–5214. be effective 2/27/2020. Accession Number: 20200330–5329. Comments Due: 5 p.m. ET 4/20/20. Filed Date: 3/30/20. Comments Due: 5 p.m. ET 4/20/20. Docket Numbers: ER20–1425–000. Accession Number: 20200330–5244. Docket Numbers: ER20–1440–000. Applicants: Jersey Central Power & Comments Due: 5 p.m. ET 4/20/20. Applicants: Yards Creek Energy, LLC. Light Company. Docket Numbers: ER20–1433–000. Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: Rate Applicants: Metropolitan Edison Application for Market-Based Rate changes to be effective 2/27/2020. Company. Authorization and Request for Waivers Filed Date: 3/30/20. Description: § 205(d) Rate Filing: to be effective 12/31/9998. Accession Number: 20200330–5216. Normal Rate Schedule changes 2020 to Filed Date: 3/30/20. Comments Due: 5 p.m. ET 4/20/20. be effective 2/27/2020. Accession Number: 20200330–5338. Docket Numbers: ER20–1426–000. Filed Date: 3/30/20. Comments Due: 5 p.m. ET 4/20/20. Applicants: Monongahela Power Accession Number: 20200330–5245. Docket Numbers: ER20–1441–000. Company. Comments Due: 5 p.m. ET 4/20/20. Applicants: PSEG Energy Resources & Description: § 205(d) Rate Filing: Rate Docket Numbers: ER20–1434–000. Trade LLC. changes 2020 to be effective 2/27/2020. Applicants: Central Maine Power Description: Tariff Cancellation: Filed Date: 3/30/20. Company. Cancellation of Yards Creek to be Accession Number: 20200330–5217. Description: § 205(d) Rate Filing: First effective 12/31/9998. Comments Due: 5 p.m. ET 4/20/20. Amendment to Sappi North America, Filed Date: 3/30/20. Docket Numbers: ER20–1427–000. Inc. Interconnection Agreement to be Accession Number: 20200330–5347. Applicants: Pennsylvania Electric effective 2/29/2020. Comments Due: 5 p.m. ET 4/20/20. Company. Filed Date: 3/30/20. The filings are accessible in the Description: § 205(d) Rate Filing: Rate Accession Number: 20200330–5283. Commission’s eLibrary system by changes 2020 to be effective 2/27/2020. Comments Due: 5 p.m. ET 4/20/20. clicking on the links or querying the Filed Date: 3/30/20. Docket Numbers: ER20–1435–000. docket number. Accession Number: 20200330–5225. Applicants: Energy Harbor LLC. Any person desiring to intervene or Comments Due: 5 p.m. ET 4/20/20. Description: Compliance filing: Notice protest in any of the above proceedings Docket Numbers: ER20–1428–000. of Succession and Requests for must file in accordance with Rules 211 Applicants: The Cleveland Electric Administrative Cancellation and Waiver and 214 of the Commission’s Illuminating Comp. to be effective 2/27/2020. Regulations (18 CFR 385.211 and Description: § 205(d) Rate Filing: Filed Date: 3/30/20. 385.214) on or before 5:00 p.m. Eastern Normal Rate Schedule changes 2020 to Accession Number: 20200330–5334. time on the specified comment date. be effective 2/27/2020. Comments Due: 5 p.m. ET 4/20/20. Protests may be considered, but Filed Date: 3/30/20. Docket Numbers: ER20–1436–000. intervention is necessary to become a Accession Number: 20200330–5234. Applicants: Energy Harbor LLC. party to the proceeding. Comments Due: 5 p.m. ET 4/20/20. Description: Compliance filing: Notice eFiling is encouraged. More detailed Docket Numbers: ER20–1429–000. of Succession and Revisions to Market- information relating to filing
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requirements, interventions, protests, Docket Numbers: ER20–1458–000. Filed Date: 4/1/20. service, and qualifying facilities filings Applicants: Pacific Gas and Electric Accession Number: 20200401–5188. can be found at: http://www.ferc.gov/ Company. Comments Due: 5 p.m. ET 4/22/20. docs-filing/efiling/filing-req.pdf. For Description: § 205(d) Rate Filing: Docket Numbers: ER20–1466–000. other information, call (866) 208–3676 PG&E Southern Oaks BESS SGIA (SA Applicants: Louisville Gas and (toll free). For TTY, call (202) 502–8659. 448) to be effective 6/1/2020. Electric Company. Filed Date: 3/31/20. Dated: March 31, 2020. Description: Compliance filing: Order Accession Number: 20200331–5282. No. 864 Compliance TCJA Att O Nathaniel J. Davis, Sr., Comments Due: 5 p.m. ET 4/21/20. Deputy Secretary. Revision to be effective 1/27/2020. Docket Numbers: ER20–1459–000. Filed Date: 4/1/20. [FR Doc. 2020–07195 Filed 4–6–20; 8:45 am] Applicants: Pacific Gas and Electric Accession Number: 20200401–5192. BILLING CODE 6717–01–P Company. Comments Due: 5 p.m. ET 4/22/20. Description: § 205(d) Rate Filing: Docket Numbers: ER20–1467–000. PG&E Mission Ranch BESS SGIA (SA Applicants: Duke Energy Florida, DEPARTMENT OF ENERGY 449) to be effective 6/1/2020. Filed Date: 3/31/20. LLC. Federal Energy Regulatory Accession Number: 20200331–5277. Description: § 205(d) Rate Filing: Commission Comments Due: 5 p.m. ET 4/21/20. Revised DEF–SECI RS No. 194 to be effective 6/1/2020. Docket Numbers: ER20–1460–000. Combined Notice of Filings #1 Filed Date: 4/1/20. Applicants: Wisconsin Power and Accession Number: 20200401–5193. Take notice that the Commission Light Company. received the following exempt Description: § 205(d) Rate Filing: REC Comments Due: 5 p.m. ET 4/22/20. wholesale generator filings: Amendment to Wholesale Power Docket Numbers: ER20–1468–000. Docket Numbers: EG20–109–000. Agreement to be effective 6/1/2020. Applicants: Arizona Public Service Applicants: Inter-Power/AhlCon Filed Date: 3/31/20. Company. Partners, L.P. Accession Number: 20200331–5279. Description: § 205(d) Rate Filing: Description: Notice of Self- Comments Due: 5 p.m. ET 4/21/20. Service Agreement No. 371, Certification of EWG Status of Inter- Docket Numbers: ER20–1461–000. Amendment No. 2—TOUA to be Power/AhlCon Partners, L.P. Applicants: Wisconsin Power and effective 4/2/2020. Filed Date: 3/31/20. Light Company. Filed Date: 4/1/20. Accession Number: 20200331–5078. Description: § 205(d) Rate Filing: Accession Number: 20200401–5196. Comments Due: 5 p.m. ET 4/21/20. CWEC Amendment to Wholesale Power Comments Due: 5 p.m. ET 4/22/20. Docket Numbers: EG20–110–000. Agreement to be effective 6/1/2020. Docket Numbers: ER20–1469–000. Applicants: Northern Colorado Wind Filed Date: 4/1/20. Applicants: PJM Interconnection, Energy Center, LLC. Accession Number: 20200401–5001. L.L.C. Comments Due: 5 p.m. ET 4/22/20. Description: Notice of Self- Description: Tariff Cancellation: Certification of Exempt Wholesale Docket Numbers: ER20–1462–000. Notice of Cancellation of ISA No. 3810 Generation Status of Northern Colorado Applicants: Union Electric Company, RE: Deactivation to be effective Wind Energy Center, LLC. Outlaw Wind Project, LLC. 6/1/2020. Filed Date: 3/31/20. Description: § 205(d) Rate Filing: Filed Date: 4/1/20. Accession Number: 20200331–5283. Purchase and Sale Agreement to be Accession Number: 20200401–5200. Comments Due: 5 p.m. ET 4/21/20. effective 6/1/2020. Comments Due: 5 p.m. ET 4/22/20. Filed Date: 4/1/20. Take notice that the Commission Docket Numbers: ER20–1470–000. Accession Number: 20200401–5090. Applicants: New York Independent received the following electric rate Comments Due: 5 p.m. ET 4/22/20. filings:. System Operator, Inc. Docket Numbers: ER20–1463–000. Docket Numbers: ER04–835–010. Description: Request for Limited Applicants: American Transmission Waiver of Tariff Provisions of New York Applicants: California Independent Systems, Incorporated, PJM System Operator Corporation. Independent System Operator, Inc. Interconnection, L.L.C. Filed Date: 4/1/20. Description: Second Supplemental Description: § 205(d) Rate Filing: Informational Compliance Filing of the Accession Number: 20200401–5202. ATSI submits ECSA SA No. 5566 to be Comments Due: 5 p.m. ET 4/22/20. California Independent System Operator effective 5/31/2020. Corporation. Filed Date: 4/1/20. Docket Numbers: ER20–1471–000. Filed Date: 3/31/20. Accession Number: 20200401–5091. Applicants: Public Service Company Accession Number: 20200331–5477. Comments Due: 5 p.m. ET 4/22/20. of New Mexico. Description: § 205(d) Rate Filing: Comments Due: 5 p.m. ET 4/21/20. Docket Numbers: ER20–1464–000. Annual Real Power Loss Factor Filing Docket Numbers: ER17–256–011; Applicants: Consolidated Edison for 2020 to be effective 6/1/2020. ER17–242–010; ER17–243–010; ER17– Company of New York, Inc. 245–010; ER17–652–010. Description: § 205(d) Rate Filing: Filed Date: 4/1/20. Applicants: Darby Power, LLC, Gavin Amendment PASNY Tariff 4–1–2020 to Accession Number: 20200401–5214. Power, LLC, Lawrenceburg Power, LLC, be effective 4/1/2020. Comments Due: 5 p.m. ET 4/22/20. Waterford Power, LLC, Lightstone Filed Date: 4/1/20. Docket Numbers: ER20–1472–000. Marketing LLC. Accession Number: 20200401–5114. Applicants: Midcontinent Description: Notice of Non-Material Comments Due: 5 p.m. ET 4/22/20. Independent System Operator, Inc., Change in Status of Darby Power, LLC, Docket Numbers: ER20–1465–000. Entergy Services, LLC. et al. Applicants: PacifiCorp. Description: § 205(d) Rate Filing: Filed Date: 3/31/20. Description: § 205(d) Rate Filing: 2020–04–01_Entergy Pension Filing to Accession Number: 20200331–5475. Avista Comm. Lease Agmt (Saddle Mtn) be effective 6/1/2020. Comments Due: 5 p.m. ET 4/21/20. to be effective 6/1/2020. Filed Date: 4/1/20.
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Accession Number: 20200401–5222. such application includes a request for DEPARTMENT OF ENERGY Comments Due: 5 p.m. ET 4/22/20. blanket authorization, under 18 CFR Docket Numbers: ER20–1473–000. part 34, of future issuances of securities Federal Energy Regulatory Applicants: AEP Generation and assumptions of liability. Commission Resources Inc. Any person desiring to intervene or to Combined Notice of Filings Description: § 205(d) Rate Filing: protest should file with the Federal Reactive Supply and Voltage Control Energy Regulatory Commission, 888 March 31, 2020. from Generation Service to be effective First Street NE, Washington, DC 20426, Take notice that the Commission has 6/1/2020. in accordance with Rules 211 and 214 received the following Natural Gas Filed Date: 4/1/20. Pipeline Rate and Refund Report filings: Accession Number: 20200401–5224. of the Commission’s Rules of Practice Comments Due: 5 p.m. ET 4/22/20. and Procedure (18 CFR 385.211 and Docket Numbers: RP18–922–005. 385.214). Anyone filing a motion to Applicants: Trailblazer Pipeline Docket Numbers: ER20–1473–000. Company LLC. Applicants: AEP Generation intervene or protest must serve a copy of that document on the Applicant. Description: Compliance filing TPC Resources Inc. RP18–922 Stipulation and Agreement Description: § 205(d) Rate Filing: Notice is hereby given that the Compliance Filing to be effective Reactive Supply and Voltage Control deadline for filing protests with regard 1/1/2019. from Generation Service to be effective to the applicant’s request for blanket Filed Date: 3/27/20. 6/1/2020. authorization, under 18 CFR part 34, of Accession Number: 20200327–5141. Filed Date: 4/1/20. future issuances of securities and Comments Due: 5 p.m. ET 4/8/20. Accession Number: 20200401–5225. assumptions of liability, is April 21, Docket Numbers: RP20–688–000. Comments Due: 5 p.m. ET 4/22/20. 2020. Applicants: Algonquin Gas The filings are accessible in the Transmission, LLC. Commission’s eLibrary system by The Commission encourages electronic submission of protests and Description: § 4(d) Rate Filing: clicking on the links or querying the Negotiated Rate—Amended Macquarie docket number. interventions in lieu of paper, using the FERC Online links at http:// 510932 to be effective 4/1/2020. Any person desiring to intervene or Filed Date: 3/27/20. protest in any of the above proceedings www.ferc.gov. To facilitate electronic Accession Number: 20200327–5026. must file in accordance with Rules 211 service, persons with internet access Comments Due: 5 p.m. ET 4/8/20. who will eFile a document and/or be and 214 of the Commission’s Docket Numbers: RP20–689–000. Regulations (18 CFR 385.211 and listed as a contact for an intervenor Applicants: El Paso Natural Gas 385.214) on or before 5:00 p.m. Eastern must create and validate an Company, L.L.C. time on the specified comment date. eRegistration account using the Description: § 4(d) Rate Filing: Protests may be considered, but eRegistration link. Select the eFiling Negotiated Rate Update Filing (Conoco intervention is necessary to become a link to log on and submit the Apr 20) to be effective 4/1/2020. party to the proceeding. intervention or protests. Filed Date: 3/27/20. eFiling is encouraged. More detailed Persons unable to file electronically Accession Number: 20200327–5040. information relating to filing should submit an original and 5 copies Comments Due: 5 p.m. ET 4/8/20. requirements, interventions, protests, of the intervention or protest to the Docket Numbers: RP20–690–000. service, and qualifying facilities filings Federal Energy Regulatory Commission, Applicants: Northern Border Pipeline can be found at: http://www.ferc.gov/ Company. docs-filing/efiling/filing-req.pdf. For 888 First Street NE, Washington, DC 20426. Description: § 4(d) Rate Filing: other information, call (866) 208–3676 Compressor Usage Surcharge 2020 to be (toll free). For TTY, call (202) 502–8659. The filings in the above-referenced effective 5/1/2020. Dated: April 1, 2020. proceeding are accessible in the Filed Date: 3/27/20. Nathaniel J. Davis, Sr., Commission’s eLibrary system by Accession Number: 20200327–5043. clicking on the appropriate link in the Deputy Secretary. Comments Due: 5 p.m. ET 4/8/20. above list. They are also available for [FR Doc. 2020–07255 Filed 4–6–20; 8:45 am] Docket Numbers: RP20–691–000. electronic review in the Commission’s Applicants: Kern River Gas BILLING CODE 6717–01–P Public Reference Room in Washington, Transmission Company. DC. There is an eSubscription link on Description: Annual Gas Compressor DEPARTMENT OF ENERGY the website that enables subscribers to Fuel Report of Kern River Gas receive email notification when a Transmission Company under RP20– Federal Energy Regulatory document is added to a subscribed 691. Commission docket(s). For assistance with any FERC Filed Date: 3/27/20. Accession Number: 20200327–5117. [Docket No. ER20–1417–000] Online service, please email [email protected]. or call Comments Due: 5 p.m. ET 4/8/20. Roundhouse Renewable Energy, LLC; (866) 208–3676 (toll free). For TTY, call Docket Numbers: RP20–692–000. Supplemental Notice that Initial (202) 502–8659. Applicants: Pine Needle LNG Company, LLC. Market-Based Rate Filing Includes Dated: April 1, 2020. Request for Blanket Section 204 Description: § 4(d) Rate Filing: Tariff Authorization Nathaniel J. Davis, Sr., Clean-Up to be effective 4/27/2020. Deputy Secretary. Filed Date: 3/27/20. This is a supplemental notice in the [FR Doc. 2020–07252 Filed 4–6–20; 8:45 am] Accession Number: 20200327–5132. above-referenced Roundhouse Comments Due: 5 p.m. ET 4/8/20. BILLING CODE 6717–01–P Renewable Energy, LLC’s application for Docket Numbers: RP20–693–000. market-based rate authority, with an Applicants: Transcontinental Gas accompanying rate tariff, noting that Pipe Line Company, LLC.
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Description: § 4(d) Rate Filing: Tariff Description: Compliance filing: New Description: § 205(d) Rate Filing: Apr Clean Up Filing to be effective eTariff Baseline and Revised MBR Tariff 2020 Membership Filing to be effective 4/27/2020. to be effective 4/1/2020. 3/1/2020. Filed Date: 3/27/20. Filed Date: 3/31/20. Filed Date: 3/31/20. Accession Number: 20200327–5299. Accession Number: 20200331–5125. Accession Number: 20200331–5205. Comments Due: 5 p.m. ET 4/8/20. Comments Due: 5 p.m. ET 4/21/20. Comments Due: 5 p.m. ET 4/21/20. The filings are accessible in the Docket Numbers: ER20–1448–000. Commission’s eLibrary system by Applicants: PacifiCorp. Docket Numbers: ER20–1455–000. clicking on the links or querying the Description: § 205(d) Rate Filing: Applicants: Cordova Energy Company docket number. Avangrid Const Agmt for Klamath LLC. Any person desiring to intervene or Metering (Rev 1) to be effective Description: § 205(d) Rate Filing: protest in any of the above proceedings 5/31/2020. Reactive Power Compensation Tariff must file in accordance with Rules 211 Filed Date: 3/31/20. Filing to be effective 4/1/2020. and 214 of the Commission’s Accession Number: 20200331–5126. Filed Date: 3/31/20. Regulations (18 CFR 385.211 and Comments Due: 5 p.m. ET 4/21/20. 385.214) on or before 5:00 p.m. Eastern Accession Number: 20200331–5212. time on the specified comment date. Docket Numbers: ER20–1449–000. Comments Due: 5 p.m. ET 4/21/20. Applicants: Midcontinent Protests may be considered, but Docket Numbers: ER20–1456–000. intervention is necessary to become a Independent System Operator, Inc., Applicants: The Empire District party to the proceeding. Entergy Services, LLC. Electric Company. eFiling is encouraged. More detailed Description: § 205(d) Rate Filing: information relating to filing 2020–03–31_Entergy NOL Filing to be Description: § 205(d) Rate Filing: requirements, interventions, protests, effective 6/1/2020. Revised Service Agreement and Revised service, and qualifying facilities filings Filed Date: 3/31/20. Wholesale Distribution Service can be found at: http://www.ferc.gov/ Accession Number: 20200331–5128. Agreement to be effective 6/1/2020. docs-filing/efiling/filing-req.pdf. For Comments Due: 5 p.m. ET 4/21/20. Filed Date: 3/31/20. other information, call (866) 208–3676 Docket Numbers: ER20–1450–000. Accession Number: 20200331–5222. (toll free). For TTY, call (202) 502–8659. Applicants: Entergy Louisiana, LLC. Comments Due: 5 p.m. ET 4/21/20. Dated: March 31, 2020. Description: § 205(d) Rate Filing: ELL- Docket Numbers: ER20–1457–000. Nathaniel J. Davis, Sr., Cleco 2nd Amended Implementation Agreement to be effective 6/1/2020. Applicants: Wisconsin Power and Deputy Secretary. Light Company. [FR Doc. 2020–07198 Filed 4–6–20; 8:45 am] Filed Date: 3/31/20. Description: § 205(d) Rate Filing: BILLING CODE 6717–01–P Accession Number: 20200331–5132. Comments Due: 5 p.m. ET 4/21/20. ACEC Amendment to Wholesale Power Agreement to be effective 6/1/2020. Docket Numbers: ER20–1451–000. DEPARTMENT OF ENERGY Applicants: PJM Interconnection, Filed Date: 3/31/20. L.L.C. Accession Number: 20200331–5259. Federal Energy Regulatory Description: § 205(d) Rate Filing: Comments Due: 5 p.m. ET 4/21/20. Commission Enhancement of PJM’s Credit Rules to The filings are accessible in the Combined Notice of Filings #3 be effective 6/1/2020. Commission’s eLibrary system by Filed Date: 3/31/20. clicking on the links or querying the Take notice that the Commission Accession Number: 20200331–5142. docket number. received the following electric rate Comments Due: 5 p.m. ET 4/21/20. filings: Any person desiring to intervene or Docket Numbers: ER20–1452–000. protest in any of the above proceedings Docket Numbers: ER10–1586–007; Applicants: Southern California must file in accordance with Rules 211 ER10–1630–007. Edison Company. and 214 of the Commission’s Applicants: Big Sandy Peaker Plant, Description: § 205(d) Rate Filing: 2020 Regulations (18 CFR 385.211 and LLC, Wolf Hills Energy, LLC. TACBAA Update to be effective 385.214) on or before 5:00 p.m. Eastern Description: Notification of Change in 6/1/2020. time on the specified comment date. Status of the Avenue MBR Sellers, et al. Filed Date: 3/31/20. Protests may be considered, but Filed Date: 3/30/20. Accession Number: 20200331–5147. intervention is necessary to become a Accession Number: 20200330–5430. Comments Due: 5 p.m. ET 4/21/20. party to the proceeding. Comments Due: 5 p.m. ET 4/20/20. eFiling is encouraged. More detailed Docket Numbers: ER20–1446–000. Docket Numbers: ER20–1453–000. information relating to filing Applicants: PJM Interconnection, Applicants: Midcontinent requirements, interventions, protests, L.L.C. Independent System Operator, Inc. service, and qualifying facilities filings Description: § 205(d) Rate Filing: Description: § 205(d) Rate Filing: _ can be found at: http://www.ferc.gov/ Amendment to ISA, SA No. 4541; 2020–03–31 Revisions to Schedule 17 docs-filing/efiling/filing-req.pdf. For Queue No. W1–124/AA2–049 (amend) Financial Schedules to be effective other information, call (866) 208–3676 to be effective 9/20/2016. 6/1/2020. (toll free). For TTY, call (202) 502–8659. Filed Date: 3/31/20. Filed Date: 3/31/20. Accession Number: 20200331–5120. Accession Number: 20200331–5202. Dated: March 31, 2020. Comments Due: 5 p.m. ET 4/21/20. Comments Due: 5 p.m. ET 4/21/20. Nathaniel J. Davis, Sr., Docket Numbers: ER20–1447–000. Docket Numbers: ER20–1454–000. Deputy Secretary. Applicants: Brookfield Energy Applicants: New England Power Pool [FR Doc. 2020–07194 Filed 4–6–20; 8:45 am] Marketing US LLC. Participants Committee. BILLING CODE 6717–01–P
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DEPARTMENT OF ENERGY assistance, contact FERC at FERC Online links at http:// [email protected] or call www.ferc.gov. To facilitate electronic Federal Energy Regulatory toll-free, (886) 208–3676 or TYY, (202) service, persons with internet access Commission 502–8659. who will eFile a document and/or be [Docket No. RP20–745–000] The Commission strongly encourages listed as a contact for an intervenor electronic filings of comments, protests must create and validate an Alliance for Open Markets, BP Canada and interventions in lieu of paper using eRegistration account using the Energy Marketing Corp., Oasis the ‘‘eFiling’’ link at http:// eRegistration link. Select the eFiling Petroleum Marketing LLC and Tenaska www.ferc.gov. Persons unable to file link to log on and submit the Marketing Ventures v. Northern Border electronically may mail similar intervention or protests. Pipeline Company; Notice of pleadings to the Federal Energy Persons unable to file electronically Complaint Regulatory Commission, 888 First Street should submit an original and 5 copies NE, Washington, DC 20426. Hand of the intervention or protest to the Take notice that on March 31, 2020, delivered submissions in docketed Federal Energy Regulatory Commission, pursuant to Rule 206 of the Rules of proceedings should be delivered to 888 First Street NE, Washington, DC Practice and Procedures of the Federal Health and Human Services, 12225 20426. Energy Regulatory Commission Wilkins Avenue, Rockville, Maryland The filings in the above-referenced (Commission), 18 CFR 385.206 (2019), 20852. proceeding are accessible in the BP Canada Energy Marketing Corp., Comment Date: 5:00 p.m. Eastern Commission’s eLibrary system by Oasis Petroleum Marketing LLC, and Time on April 20, 2020. clicking on the appropriate link in the Tenaska Marketing Ventures above list. They are also available for (Complainants) filed a complaint against Dated: April 1, 2020. electronic review in the Commission’s Northern Border Pipeline Company Nathaniel J. Davis, Sr., Public Reference Room in Washington, (NBPL or Respondent), alleging that that Deputy Secretary. DC. There is an eSubscription link on Respondent awarded capacity in a pre- [FR Doc. 2020–07251 Filed 4–6–20; 8:45 am] the website that enables subscribers to arranged transaction in a manner BILLING CODE 6717–01–P receive email notification when a violating sections 4 and 5 of the Natural document is added to a subscribed Gas Act, 18 CFR 284.13(d)(1) (2019), docket(s). For assistance with any FERC Commission policy, and the provisions DEPARTMENT OF ENERGY Online service, please email of NBPL’s Tariff., as more fully [email protected]. or call explained in the complaint. Federal Energy Regulatory (866) 208–3676 (toll free). For TTY, call The Complainant certifies that copies Commission (202) 502–8659. of the complaint were served on the [Docket No. ER20–1440–000] Dated: April 1, 2020. contacts for the Respondent as listed on Nathaniel J. Davis, Sr., the Commission’s list of Corporate Yards Creek Energy, LLC; Deputy Secretary. Officials. Supplemental Notice That Initial Any person desiring to intervene or to Market-Based Rate Filing Includes [FR Doc. 2020–07254 Filed 4–6–20; 8:45 am] protest this filing must file in Request for Blanket Section 204 BILLING CODE 6717–01–P accordance with Rules 211 and 214 of Authorization the Commission’s Rules of Practice and Procedure (18 CFR 385.211, 385.214). This is a supplemental notice in the DEPARTMENT OF ENERGY above-referenced proceeding of Yards Protests will be considered by the Federal Energy Regulatory Creek Energy, LLC’s application for Commission in determining the Commission appropriate action to be taken, but will market-based rate authority, with an not serve to make protestants parties to accompanying rate tariff, noting that [Docket No. TX20–2–000] the proceeding. Any person wishing to such application includes a request for become a party must file a notice of blanket authorization, under 18 CFR City of Goose Creek, South Carolina; intervention or motion to intervene, as part 34, of future issuances of securities Notice of Filing appropriate. All interventions, or and assumptions of liability. Take notice that on March 30, 2020, protests must be filed on or before the Any person desiring to intervene or to pursuant to sections 210 and 212 of the comment date. protest should file with the Federal Federal Power Act,1 and Rule 204 of the In addition to publishing the full text Energy Regulatory Commission, 888 Commission’s Rules of Practice and of this document in the Federal First Street NE, Washington, DC 20426, Procedure,2 the City of Goose Creek, Register, the Commission provides all in accordance with Rules 211 and 214 South Carolina filed an application for interested persons an opportunity to of the Commission’s Rules of Practice an order directing South Carolina Public view and/or print the contents of this and Procedure (18 CFR 385.211 and Service Authority to administratively document via the internet through the 385.214). Anyone filing a motion to transition the interconnection customer Commission’s Home Page (http:// intervene or protest must serve a copy at the Mt. Holly Interconnection from ferc.gov) using the ‘‘eLibrary’’ link. of that document on the Applicant. Century Aluminum of South Carolina, Enter the docket number excluding the Notice is hereby given that the Inc. to Goose Creek and take all last three digits in the docket number deadline for filing protests with regard necessary steps to maintain the Mt. field to access the document. At this to the applicant’s request for blanket Holly Interconnection. time, the Commission has suspended authorization, under 18 CFR part 34, of Any person desiring to intervene or to access to the Commission’s Public future issuances of securities and protest this filing must file in Reference Room, due to the assumptions of liability, is April 21, accordance with Rules 211 and 214 of proclamation declaring a National 2020. the Commission’s Rules of Practice and Emergency concerning the Novel The Commission encourages Coronavirus Disease (COVID–19), issued electronic submission of protests and 1 16 U.S.C. 824i and 824k. by the President on March 13, 2020. For interventions in lieu of paper, using the 2 18 CFR 385.204.
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Procedure (18 CFR 385.211 and DEPARTMENT OF ENERGY toll-free, (886) 208–3676 or TYY, (202) 385.214). Protests will be considered by 502–8659. the Commission in determining the Federal Energy Regulatory Comment Date: 5:00 p.m. Eastern appropriate action to be taken, but will Commission Time on April 20, 2020. not serve to make protestants parties to Dated: March 31, 2020. the proceeding. Any person wishing to [Docket No. EL18–6–003] Kimberly D. Bose, become a party must file a notice of FirstEnergy Service Company; Notice Secretary. intervention or motion to intervene, as of Filing [FR Doc. 2020–07225 Filed 4–6–20; 8:45 am] appropriate. Such notices, motions, or BILLING CODE 6717–01–P protests must be filed on or before the Take notice that on March 30, 2020, comment date. Anyone filing a motion FirstEnergy Service Company submitted to intervene or protest must serve a copy a Notice of Non-Material Change in ENVIRONMENTAL PROTECTION of that document on the Applicant. On Circumstances pursuant to the order AGENCY or before the comment date, it is not issued by the Federal Energy Regulatory [FRL–10007–43–OMS] necessary to serve motions to intervene Commission (Commission), in the above captioned proceeding, on February 2, or protests on persons other than the National and Governmental Advisory 2018.1 Applicant. Committees to the U.S. Representative Any person desiring to intervene or to In addition to publishing the full text to the Commission for Environmental protest this filing must file in Cooperation of this document in the Federal accordance with Rules 211 and 214 of Register, the Commission provides all the Commission’s Rules of Practice and AGENCY: Environmental Protection interested persons an opportunity to Procedure (18 CFR 385.211, 385.214). Agency (EPA). view and/or print the contents of this Protests will be considered by the ACTION: Notice of Federal Advisory document via the internet through the Commission in determining the Committee meeting teleconference. Commission’s Home Page (http:// appropriate action to be taken, but will ferc.gov) using the ‘‘eLibrary’’ link. not serve to make protestants parties to SUMMARY: Under the Federal Advisory Enter the docket number excluding the the proceeding. Any person wishing to Committee Act, The Environmental last three digits in the docket number become a party must file a notice of Protection Agency (EPA) gives notice of field to access the document. At this intervention or motion to intervene, as a public meeting of the National time, the Commission has suspended appropriate. Such notices, motions, or Advisory Committee (NAC) and the Government Advisory Committee access to the Commission’s Public protests must be filed on or before the (GAC). The NAC and GAC provide Reference Room, due to the comment date. On or before the comment date, it is not necessary to advice the EPA Administrator a broad proclamation declaring a National range of environmental policy, Emergency concerning the Novel serve motions to intervene or protests on persons other than the Applicant. technology, and management issues. Coronavirus Disease (COVID–19), issued NAC/GAC members represent academia, by the President on March 13, 2020. For The Commission encourages electronic submission of protests and business/industry, non-governmental assistance, contact FERC at organizations, and state, local and tribal [email protected] or call interventions in lieu of paper using the ‘‘eFiling’’ link at http://www.ferc.gov. governments. The purpose of this toll-free, (886) 208–3676 or TYY, (202) Persons unable to file electronically meeting is to provide advice to the EPA 502–8659. should submit an original and 5 copies Administrator, regarding the draft 2021– The Commission strongly encourages of the protest or intervention to the 2025 Strategic Plan of the Commission electronic filings of comments, protests Federal Energy Regulatory Commission, for Environmental Cooperation (CEC). A copy of the meeting agenda will be and interventions in lieu of paper using 888 First Street NE, Washington, DC posted at http://www.epa.gov/faca/nac- the ‘‘eFiling’’ link at http:// 20426. gac. Due to unforeseen administrative www.ferc.gov. Persons unable to file In addition to publishing the full text circumstances, EPA is announcing this electronically may mail similar of this document in the Federal meeting with less than 15 calendar days Register, The Commission provides all pleadings to the Federal Energy notice. Regulatory Commission, 888 First Street interested persons an opportunity to DATES: NAC/GAC will hold a public NE, Washington, DC 20426. Hand view and/or print the contents of this document via the internet through the teleconference on April 10, 2020, from delivered submissions in docketed 11 a.m. to 3 p.m. (EST). proceedings should be delivered to Commission’s Home Page (http:// ADDRESSES: This meeting will be Health and Human Services, 12225 www.ferc.gov) using the ‘‘eLibrary’’ link. Enter the docket number excluding the broadcasted via teleconference only. To Wilkins Avenue, Rockville, Maryland gain access to the meeting please 20852. last three digits in the docket number field to access the document. At this contact Oscar Carrillo, Designated Comment Date: 5:00 p.m. Eastern time, the Commission has suspended Federal Officer for the NAC/GAC at Time on April 20, 2020. access to Commission’s Public 202–564–0347 or carrillo.oscar@ epa.gov. Dated: March 31, 2020. Reference Room, due to the Nathaniel J. Davis, Sr., proclamation declaring a National FOR FURTHER INFORMATION CONTACT: Emergency concerning the Novel Oscar Carrillo, Program Analyst, Deputy Secretary. Coronavirus Disease (COVID–19), issued [email protected], (202) 564–0347, [FR Doc. 2020–07196 Filed 4–6–20; 8:45 am] by the President on March 13, 2020. For U.S. EPA, Office of Resources, BILLING CODE 6717–01–P assistance, contact FERC at Operations and Management; Federal [email protected] or call Advisory Committee Management Division (MC1601M), 1200 1 FirstEnergy Service Company, 162 FERC Pennsylvania Avenue NW, Washington, ¶ 61,087 (2018). DC 20460.
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SUPPLEMENTARY INFORMATION: Requests Federal Register. EPA last updated the appropriated Federal funds for a to make oral comments or to provide CPG/RMANs in 2007. Today, the procurement as well as any person written comments to NAC/GAC should Agency is seeking comment concerning contracting with any such agency with be sent to Oscar Carrillo at the list of CPG-designated items and respect to work performed under the [email protected] by April 6th, recommendations issued in the contract. The EPA must designate items 2020. The teleconference is open to the associated RMANs. that are or can be made with recovered public, with limited lines available on a DATES: Comments must be received on materials and must also recommend first-come, first-served basis. Members or before July 6, 2020. practices to assist procuring agencies in of the public wishing to participate in ADDRESSES: You may send comments, meeting their obligations. Once an item the teleconference should contact Oscar identified by Docket ID No. EPA–HQ– is designated by EPA, procuring Carrillo via email or by calling (202) OLEM–2019–0589, by any of the agencies that use appropriated federal 564–0347 no later than April 6, 2020. following methods: funds to purchase the item are required Meeting Access: Information regarding • Federal eRulemaking Portal: to purchase the item composed of the accessibility and/or accommodations for https://www.regulations.gov/ (our highest percentage of recovered individuals with disabilities should be preferred method). Follow the online materials practicable. directed to Oscar Carrillo at the email instructions for submitting comments. Within one year after EPA designates address or phone number listed above. • Mail: U.S. Environmental a CPG item, federal agencies must revise To ensure adequate time for processing, Protection Agency, EPA Docket Center, their procurement specifications to please make requests for OLEM Docket, Mail Code 28221T, 1200 require the use of recovered materials to accommodations at least 10 days prior Pennsylvania Avenue NW, Washington, the maximum extent possible without to the teleconference meeting. DC 20460. jeopardizing the intended end-use of the • item (Section 6002(d)(2)). Federal Dated: April 1, 2020. Hand Delivery/Courier: EPA Docket Center, WJC West Building, Room 3334, agencies responsible for drafting or Oscar Carrillo, reviewing specifications must also Program Analyst. 1301 Constitution Avenue NW, Washington, DC 20004. The Docket review all their product specifications to [FR Doc. 2020–07219 Filed 4–6–20; 8:45 am] Center’s hours of operations are 8:30 eliminate both provisions prohibiting BILLING CODE 6560–50–P a.m.–4:30 p.m., Monday–Friday (except the use of recovered materials and Federal Holidays). requirements specifying the exclusive Instructions: All submissions received use of virgin materials (Section ENVIRONMENTAL PROTECTION 6002(d)(1)). For each item designated by AGENCY must include the Docket ID No. for this action, EPA–HQ–OLEM–2019–0589. EPA, procuring agencies are further [FRL–10007–05–OLEM; EPA–HQ–OLEM– Comments received may be posted required to develop an affirmative 2019–0589] without change to https:// procuring program, which sets forth the www.regulations.gov/, including any agency’s policies and procedures for implementing the requirements of Existing Comprehensive Procurement personal information provided. For RCRA section 6002 (Section 6002(i)). Guideline Designations and Recovered detailed instructions on sending Finally, the Office of Federal Materials Advisory Notice comments and additional information, Procurement Policy must implement the Recommendations: Request for see the ‘‘Public Participation’’ heading Comments statute requirements and coordinate the of the SUPPLEMENTARY INFORMATION purchasing policy with other federal section of this document. AGENCY: Environmental Protection procurement policies in order to Agency (EPA). FOR FURTHER INFORMATION CONTACT: maximize the use of recovered materials ACTION: Notice and request for Ksenija Janjic, Resource Conservation (Section 6002(g)). comments. and Sustainability Division, Office of Executive Order (E.O.) 12873, entitled Resource Conservation and Recovery ‘‘Federal Acquisition, Recycling, and SUMMARY: Buying products with (5306P), Environmental Protection Waste Prevention’’ established a recycled content fosters the diversion of Agency, 1200 Pennsylvania Avenue bifurcated, two-part process for EPA to materials from the solid waste stream NW, Washington, DC 20460; telephone use when developing and issuing the and promotes the use of these materials number: (703) 347–0376; email address: procurement guidelines for items in the manufacture of new products, [email protected]. containing recovered materials, as strengthening the United States’ SUPPLEMENTARY INFORMATION: required by RCRA section 6002(e). The recycling system. Congress required the first part, the Comprehensive I. Background issuance of procurement guidelines in Procurement Guideline (CPG), involved Section 6002 of the Resource Section 6002 of the Solid Waste designating items that are or can be Conservation and Recovery Act (RCRA). Disposal Act, as amended by the made with recovered materials, which is Section 6002 requires the Resource Conservation and Recovery an activity requiring a rulemaking, Environmental Protection Agency (EPA Act of 1976 (RCRA) and the Hazardous including the formal notice-and- or the Agency) to designate items that and Solid Waste Amendments of 1984, comment rulemaking procedures. CPGs are or can be made with recovered established the government ‘‘buy- are therefore, codified in the Code of materials and to recommend practices recycled’’ program that seeks to harness Federal Regulations (CFR). The second for procurement of such items. EPA has the federal purchasing power to part involves issuing recommendations designated 61 items in eight product stimulate the demand for products made to procuring agencies on purchasing the categories in a Comprehensive with recovered materials. The statute items designated in CPGs. These Procurement Guideline (CPG) and has requires EPA to issue guidelines to be recommendations are issued in issued recycled-content used by procuring agencies to buy Recovered Materials Advisory Notices recommendations and procurement products with recovered material (RMANs) and published in the notice specifications for these items in a series content. Section 1004(17) defines section of the Federal Register (FR) for of Recovered Materials Advisory ‘‘procuring agency’’ to include any public comment but are not codified in Notices (RMANs) published in the Federal or State agency using the Code of Federal Regulations.
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Subsequent E.O.s continued to require Æ If not, please provide appropriate Federal Register. Action with respect to the preferred purchasing of recycled specifications. a CPG will be made through the notice- content products, as required by Commenters should provide ample and-comment rulemaking. EPA will also statutory mandates. Between 1995 and justification and background make every attempt to alert the public 2007, EPA issued five CPGs designating information for their comments in order when an action is forthcoming via 61 items in eight distinct product to ensure appropriate consideration of multiple official social media platforms. categories. With each group of proposed the commenter’s recommendations. Dated: March 31, 2020. items, EPA also published B. Where To Find Documents Peter Wright, recommendations on purchasing The individual FR notices that were Assistant Administrator, Office of Land and designated items in RMANs. The Emergency Management. recommendations published in the published to designate the CPG items [FR Doc. 2020–07193 Filed 4–6–20; 8:45 am] RMANs were developed based on and provide RMAN recommendations, information on commercially available as well as the supporting technical BILLING CODE 6560–50–P items with recovered materials and their information, can be accessed from the associated specifications. table entitled Federal Register Notices Related to the Guidelines for ENVIRONMENTAL PROTECTION The process established in E.O. 12873 AGENCY that provides for publication of an Procurement of Products Containing RMAN in the FR for public comment Recovered Materials, at https:// [FRL–10007–69–OLEM] without its being codified in the Code www.epa.gov/smm/regulatory- of Federal Regulations, fulfills the background-comprehensive- FY2020 Supplemental Funding for statutory intent and requirements of procurement-guideline-program-cpg. Brownfields Revolving Loan Fund RCRA Section 6002. Procuring agencies Existing notices are also available under (RLF) Grantees; Extension of can obtain information on the Docket Details for this Docket, ID No. Application Period availability and sourcing of designated EPA–HQ–OLEM–2019–0589, at https:// AGENCY: Environmental Protection items for use in developing procurement www.regulations.gov. Agency (EPA). programs to meet their obligations III. Public Participation ACTION: Notice of the availability of under the statute. Furthermore, because funds; extension of application period. the established process is more flexible Submit your comments, identified by than a rulemaking process, RMAN can Docket ID No. EPA–HQ–OLEM–2019– SUMMARY: The Environmental Protection be issued more expeditiously as well as 0589, at https://www.regulations.gov Agency (EPA) is extending the revised easily to reflect development of (our preferred method), or the other application period for a notice issued in new technologies and/or changes in methods identified in the ADDRESSES the Federal Register of March 9, 2020, commercial availability of items. section. Once submitted, comments announcing the availability of cannot be edited or removed from the II. Request for Comment approximately $5 million to provide docket. The EPA may publish any supplemental funds to Revolving Loan Today, EPA requests comments on the comment received to its public docket. Fund (RLF) cooperative agreements existing five CPGs and the five Do not submit electronically any previously awarded competitively corresponding RMANs. These five CPGs information you consider to be under section 104(k)(3) of the and RMANs pertain to 61 items in the Confidential Business Information (CBI) Comprehensive Environmental following eight product categories: or other information whose disclosure is Response, Compensation and Liability • Paper and Paper Products; restricted by statute. Multimedia Act (CERCLA). This document extends • Vehicular Products; submissions (audio, video, etc.) must be the due date for supplemental funding • Construction Products; accompanied by a written comment. requests to April 22, 2020. • Transportation Products; The written comment is considered the DATES: • Park and Recreation Products; Supplemental funding requests official comment and should include must be submitted by April 22, 2020. • Landscaping Products; discussion of all points you wish to • ADDRESSES: Non-paper Office Products; and, make. The EPA will generally not Follow the detailed • ADDRESSES Miscellaneous Products. consider comments or comment instructions provided under contents located outside of the primary in the Federal Register document of A. Topic Areas March 9, 2020 (85 FR 13647) (FRL– EPA is seeking comment, relating to submission (i.e. on the web, cloud, or other file sharing system). For 10006–24–OLEM). the following topics: FOR FURTHER INFORMATION CONTACT: Topic 1: Designated Items additional submission methods, the full • EPA public comment policy, Rachel Lentz, Office of Brownfields and Based on procuring agencies Land Revitalization, Environmental purchases, are the right items information about CBI or multimedia submissions, and general guidance on Protection Agency, 1200 Pennsylvania designated? Ave. NW, Washington, DC 20460–0001; • Do the items currently designated making effective comments, please visit telephone number (202) 566–2745; represent items that procuring agencies https://www.epa.gov/dockets/ email address: [email protected]. purchase? commenting-epa-dockets. For example, • Should items be deleted, added or commenters should provide ample You may also contact the appropriate modified? Why? justification and background Regional Brownfields Coordinator listed Topic 2: Recommendations for the information for their comments to under SUPPLEMENTARY INFORMATION in Designated Items Including Recovered ensure appropriate consideration of the the Federal Register document of March Material Content and Specifications commenter’s views. 9, 2020. • Are the recommended recovered SUPPLEMENTARY INFORMATION: EPA is IV. Follow-Up Actions content levels/ranges appropriate? extending the due date for supplemental Æ If not, please provide appropriate The EPA plans to review all funding requests Brownfields Revolving levels. comments received and determine next Loan Fund cooperative agreements to • Are the specifications published in steps. Any future revisions to the CPG April 22, 2020 due to disruptions RMANs appropriate? or RMANs will be noticed in the stemming from the Novel Coronavirus
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(COVID–19) public health emergency. The FCC may not conduct or sponsor development in a consistent manner, The original due date was April 8, 2020. a collection of information unless it thereby facilitating review of the ILEC This extension is consistent with the displays a currently valid Office of rate revisions by the Commission and guidance that the Office of Management Management and Budget (OMB) control interested parties. The TRPs have served and Budget provided on March 19, 2020 number. No person shall be subject to this purpose effectively in past years. in M–20–17, Administrative Relief for any penalty for failing to comply with Federal Communications Commission. Recipients and Applicants of Federal a collection of information subject to the Cecilia Sigmund, Financial Assistance Directly Impacted PRA that does not display a valid OMB by the Novel Coronavirus (COVID–19) control number. Federal Register Liaison. [FR Doc. 2020–07210 Filed 4–6–20; 8:45 am] due to Loss of Operations regarding DATES: Written PRA comments should extending due dates for funding be submitted on or before June 8, 2020. BILLING CODE 6712–01–P applications EPA will continue to If you anticipate that you will be monitor the impact on COVID–19 and submitting comments, but find it any further extension of the due date for FEDERAL COMMUNICATIONS difficult to do so within the period of COMMISSION submission of FY2020 RLF time allowed by this notice, you should Supplemental Funding applications will advise the contact listed below as soon [3060–0804; FRS 16621] be announced on the EPA’s Brownfields as possible. Information Collection Being web page at www.epa.gov/brownfields ADDRESSES: Direct all PRA comments to rather than in the Federal Register. Submitted for Review and Approval to Nicole Ongele, FCC, via email PRA@ Office of Management and Budget Dated: April 1, 2020. fcc.gov and to [email protected]. David Lloyd, FOR FURTHER INFORMATION CONTACT: For AGENCY: Federal Communications Director, Office of Brownfields and Land additional information about the Commission. Revitalization, Office of Land and Emergency information collection, contact Nicole ACTION: Notice and request for Management. Ongele, (202) 418–2991. comments. [FR Doc. 2020–07201 Filed 4–6–20; 8:45 am] SUPPLEMENTARY INFORMATION: SUMMARY: As part of its continuing effort BILLING CODE 6560–50–P OMB Control Number: 3060–0400. to reduce paperwork burdens, as Title: Part 61, Tariff Review Plan required by the Paperwork Reduction (TRP). Act (PRA) of 1995, the Federal FEDERAL COMMUNICATIONS Form Number: N/A. Communications Commission (FCC or COMMISSION Type of Review: Revision of a the Commission) invites the general currently approved collection. [OMB 3060–0400; FRS 16624] Respondents: Business or other for- public and other Federal Agencies to take this opportunity to comment on the Information Collection Being Reviewed profit. Number of Respondents and following information collection. by the Federal Communications Pursuant to the Small Business Commission Responses: 2,749 respondents; 4,152 responses. Paperwork Relief Act of 2002, the FCC AGENCY: Federal Communications Estimated Time per Response: 0.5–53 seeks specific comment on how it might Commission. hours. ‘‘further reduce the information collection burden for small business ACTION: Notice and request for Frequency of Response: One-time, on concerns with fewer than 25 comments. occasion, biennially, and annual reporting requirements. employees.’’ SUMMARY: As part of its continuing effort Obligation to Respond: Required to The Commission may not conduct or to reduce paperwork burdens, and as obtain or retain benefits. Statutory sponsor a collection of information required by the Paperwork Reduction authority for this information collection unless it displays a currently valid Act of 1995 (PRA), the Federal (IC) is contained in section 47 U.S.C. Office of Management and Budget Communications Commission (FCC or 10(a) of the Communications Act of (OMB) control number. No person shall Commission) invites the general public 1934, as amended. be subject to any penalty for failing to and other Federal agencies to take this Total Annual Burden: 60,722. comply with a collection of information opportunity to comment on the Total Annual Cost: No cost. subject to the PRA that does not display following information collections. Privacy Act Impact Assessment: No a valid OMB control number. Comments are requested concerning: impact(s). DATES: Written comments and Whether the proposed collection of Nature and Extent of Confidentiality: recommendations for the proposed information is necessary for the proper Respondents are not being asked to information collection should be performance of the functions of the submit confidential information to the submitted on or before May 7, 2020. Commission, including whether the Commission. If the Commission ADDRESSES: Comments should be sent to information shall have practical utility; requests respondents to submit www.reginfo.gov/public/do/PRAMain. the accuracy of the Commission’s information which respondents believe Find this particular information burden estimate; ways to enhance the are confidential, respondents may collection by selecting ‘‘Currently under quality, utility, and clarity of the request confidential treatment of such 30-day Review—Open for Public information collected; ways to minimize information under 47 CFR 0.459 of the Comments’’ or by using the search the burden of the collection of Commission’s rules. function. Your comment must be information on the respondents, Needs and Uses: The Commission has submitted into www.reginfo.gov per the including the use of automated developed standardized Tariff Review above instructions for it to be collection techniques or other forms of Plans (TRPs) that set forth the summary considered. In addition to submitting in information technology; and ways to material that incumbent LECs (ILECs) www.reginfo.gov also send a copy of further reduce the information file to support revisions to the rates in your comment on the proposed collection burden on small business their interstate access service tariffs. The information collection to Nicole Ongele, concerns with fewer than 25 employees. TRPs display basic data on rate FCC, via email to [email protected] and to
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[email protected]. Include in the Federal Government; and State, Local, requirements for the Healthcare Connect comments the OMB control number as or Tribal governments. Fund and Telecommunications shown in the SUPPLEMENTARY Number of Respondents and (Telecom) Programs; (2) revise some of INFORMATION below. Responses: 10,494 unique respondents; the information collection requirements FOR FURTHER INFORMATION CONTACT: For 93,687 responses. for the Healthcare Connect Fund and Estimated Time per Response: 0.30– additional information or copies of the Telecom Programs and (3) add some 17 hours. information collection, contact Nicole new information collection Frequency of Response: On occasion, requirements applicable to both the Ongele at (202) 418–2991. To view a One-time, Annual, Quarterly, and copy of this information collection Healthcare Connect Fund Program and Monthly reporting requirements. the Telecom Program as a result of the request (ICR) submitted to OMB: (1) Go Obligation to Respond: Required to to the web page http://www.reginfo.gov/ 2019 Promoting Telehealth Report and obtain or retain benefits. Statutory Order. As part of this information public/do/PRAMain, (2) look for the authority for this collection of section of the web page called collection, the Commission is also information is contained in sections 1– revising the FCC Form templates for ‘‘Currently Under Review,’’ (3) click on 4, 201–205, 214, 254, 303(r), and 403 of the downward-pointing arrow in the both programs, reformatting and the Communications Act of 1934, as revising the Telecommunications ‘‘Select Agency’’ box below the amended, 47 U.S.C. 151–154, 201–205, ‘‘Currently Under Review’’ heading, (4) Program Invoice Template, and creating 214, 254, 303(r), and 403, unless a new Post-Commitment Request Form select ‘‘Federal Communications otherwise noted. Commission’’ from the list of agencies consistent with the changes adopted in Total Annual Burden: 382,741 hours. the 2019 Promoting Telehealth Report presented in the ‘‘Select Agency’’ box, Total Annual Cost: No Cost. (5) click the ‘‘Submit’’ button to the Privacy Impact Assessment: No and Order and to promote transparency right of the ‘‘Select Agency’’ box, (6) Impact(s). into the RHC Program procedures and when the list of FCC ICRs currently Nature and Extent of Confidentiality: requirements. under review appears, look for the Title There is no assurance of confidentiality The Healthcare Connect Fund of this ICR and then click on the ICR provided to respondents concerning this Program currently includes FCC Forms Reference Number. A copy of the FCC information collection. Information 460, 461, 462, and 463 and the Telecom submission to OMB will be displayed. submitted on FCC Forms for the RHC Program currently includes FCC Forms 465, 466, and 467. The revisions to SUPPLEMENTARY INFORMATION: As part of Program is subject to public inspection these FCC Form templates, where its continuing effort to reduce and is used by USAC to update and applicable, are intended to make the paperwork burdens, as required by the expand the RHC Program dataset as part RHC Program information requests Paperwork Reduction Act (PRA) of 1995 of its Open Data Platform. However, consistent between the programs, to the (44 U.S.C. 3501–3520), the FCC invited respondents may request materials or extent possible, and help to ensure and the general public and other Federal information submitted to the verify that RHC Program participants are Agencies to take this opportunity to Commission or to USAC be withheld not engaging in fraudulent conduct or comment on the following information from public inspection under 47 CFR otherwise violating the Commission’s collection. Comments are requested 0.459 of the FCC’s rules. rules. Some of the changes to the FCC concerning: (a) Whether the proposed Needs and Uses: The Commission Form templates have different effective collection of information is necessary seeks OMB approval of revisions dates. Therefore, for administrative ease, for the proper performance of the (change in reporting and recordkeeping we have indicated the applicable functions of the Commission, including requirements) to this information funding year of the FCC Form template, whether the information shall have collection as a result of the 2019 and where a specific form includes practical utility; (b) the accuracy of the Promoting Telehealth Report and Order changes applicable to funding year 2020 Commission’s burden estimates; (c) (WC Docket No. 17–310; FCC 19–78; 84 and others to funding year 2021, we ways to enhance the quality, utility, and FR 54952, October 11, 2019). This have provided separate forms applicable clarity of the information collected; and collection is utilized for the RHC to each funding year. In the 2019 (d) ways to minimize the burden of the support mechanism of the Promoting Telehealth Report and Order, collection of information on the Commission’s universal service fund the Commission directed USAC to respondents, including the use of (USF). The collection of this streamline the data collection automated collection techniques or information is necessary so that the requirements and consolidate the other forms of information technology. Commission and the Universal Service program forms to the extent possible. Pursuant to the Small Business Administrative Company (USAC) will Such streamlining and consolidation Paperwork Relief Act of 2002, Public have sufficient information to determine will not affect the underlying Law 107–198, see 44 U.S.C. 3506(c)(4), if entities are eligible for funding information collected as part of this the FCC seeks specific comment on how pursuant to the RHC universal service information collection, but may change it might ‘‘further reduce the information support mechanism, to determine if the format in which it may be collected. collection burden for small business entities are complying with the The information on the FCC Form concerns with fewer than 25 Commission’s rules, and to prevent templates is a representative description employees.’’ waste, fraud, and abuse. This information is also necessary in order to of the information to be collected via an OMB Control Number: 3060–0804. allow the Commission to evaluate the online portal and is not intended to be Title: Universal Service—Rural Health extent to which the RHC Program is a visual representation of what each Care Program. meeting the statutory objectives applicant or service provider will see, Form Numbers: FCC Forms 460, 461, specified in section 254(h) of the 1996 the order in which they will see 462, 463, 465, 466, and 467. Act, and the Commission’s performance information, or the exact wording or Type of Review: Revision of a goals for the RHC Program. directions used to collect the currently approved collection. This information collection is being information. Where possible, Respondents: Business or other for- revised to: (1) Extend some of the information already provided by profit; Not-for-profit institutions; existing information collection applicants from previous filing years or
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that was pre-filed in the system portal above instructions for it to be Form 346); Sections 74.793(d) and will be carried forward and auto- considered. In addition to submitting in 74.787, Low Power Television (LPTV) generated into the form to simplify the www.reginfo.gov also send a copy of Out-of-Core Digital Displacement information collection for applicants. your comment on the proposed Application; Section 73.3700(g)(1)–(3), Additionally, in the 2019 Promoting information collection to Cathy Post-Incentive Auction Licensing and Telehealth Report and Order, the Williams, FCC, via email to PRA@ Operations; Section 74.799, Low Power Commission adopted rules to reflect the fcc.gov and to [email protected]. Television and TV Translator Channel changes in the Report and Order. The Include in the comments the OMB Sharing. new and revised rules impacted by this control number as shown in the Form No.: FCC Form 2100, Schedule collection are listed and described SUPPLEMENTARY INFORMATION below. C. within the collection. FOR FURTHER INFORMATION CONTACT: For Type of Review: Extension of a Federal Communications Commission. additional information or copies of the currently approved information information collection, contact Cathy collection. Cecilia Sigmund, Respondents: Business or other for- Federal Register Liaison Officer. Williams at (202) 418–2918. To view a copy of this information collection profit entities; Not for profit institutions; [FR Doc. 2020–07208 Filed 4–6–20; 8:45 am] request (ICR) submitted to OMB: (1) Go State, local or Tribal government. BILLING CODE 6712–01–P to the web page http://www.reginfo.gov/ Number of Respondents and public/do/PRAMain, (2) look for the Responses: 4,460 respondents and 4,460 section of the web page called responses. FEDERAL COMMUNICATIONS Estimated Time per Response: 2.5–7 ‘‘Currently Under Review,’’ (3) click on COMMISSION hours (total of 9.5 hours). the downward-pointing arrow in the Frequency of Response: One-time [3060–0016; FRS 16628] ‘‘Select Agency’’ box below the reporting requirement; on occasion ‘‘Currently Under Review’’ heading, (4) reporting requirement; third party Information Collection Being select ‘‘Federal Communications disclosure requirement. Submitted for Review and Approval to Commission’’ from the list of agencies Office of Management and Budget Obligation To Respond: Required to presented in the ‘‘Select Agency’’ box, obtain or retain benefits. The statutory AGENCY: Federal Communications (5) click the ‘‘Submit’’ button to the authority for this collection is contained Commission. right of the ‘‘Select Agency’’ box, (6) in Section 154(i), 303, 307, 308 and 309 ACTION: Notice and request for when the list of FCC ICRs currently of the Communications Act of 1934, as comments. under review appears, look for the Title amended. of this ICR and then click on the ICR Total Annual Burden: 42,370 hours. SUMMARY: As part of its continuing effort Reference Number. A copy of the FCC Annual Cost Burden: $24,744,080. to reduce paperwork burdens, as submission to OMB will be displayed. Privacy Act Impact Assessment: No required by the Paperwork Reduction SUPPLEMENTARY INFORMATION: As part of impact(s). Act (PRA) of 1995, the Federal its continuing effort to reduce Nature and Extent of Confidentiality: Communications Commission (FCC or paperwork burdens, as required by the There is no need for confidentiality with the Commission) invites the general Paperwork Reduction Act (PRA) of 1995 this collection of information. public and other Federal Agencies to (44 U.S.C. 3501–3520), the FCC invited Needs and Uses: FCC Form 2100, take this opportunity to comment on the the general public and other Federal Schedule C is used by licensees/ following information collection. Agencies to take this opportunity to permittees/applicants when applying Pursuant to the Small Business comment on the following information for authority to construct or make Paperwork Relief Act of 2002, the FCC collection. Comments are requested changes in a Low Power Television, TV seeks specific comment on how it might concerning: (a) Whether the proposed Translator or DTV Transition. 47 CFR ‘‘further reduce the information collection of information is necessary 74.799 (previously 74.800) permits collection burden for small business for the proper performance of the LPTV and TV translator stations to seek concerns with fewer than 25 functions of the Commission, including approval to share a single television employees.’’ whether the information shall have channel with other LPTV and TV The Commission may not conduct or practical utility; (b) the accuracy of the translator stations and with full power sponsor a collection of information Commission’s burden estimates; (c) and Class A stations. Stations interested unless it displays a currently valid ways to enhance the quality, utility, and in terminating operations and sharing Office of Management and Budget clarity of the information collected; and another station’s channel must submit (OMB) control number. No person shall (d) ways to minimize the burden of the FCC Form 2100 Schedule C in order to be subject to any penalty for failing to collection of information on the have the channel sharing arrangement comply with a collection of information respondents, including the use of approved. If the sharing station is subject to the PRA that does not display automated collection techniques or proposing to make changes to its facility a valid OMB control number. other forms of information technology. to accommodate the channel sharing, it DATES: Written comments and Pursuant to the Small Business must also file FCC Form 2100 Schedule recommendations for the proposed Paperwork Relief Act of 2002, Public C. information collection should be Law 107–198, see 44 U.S.C. 3506(c)(4), The information collection submitted on or before May 7, 2020. the FCC seeks specific comment on how requirements contained in 47 CFR ADDRESSES: Comments should be sent to it might ‘‘further reduce the information 74.793(d) require that certain digital low www.reginfo.gov/public/do/PRAMain. collection burden for small business power and TV translator stations submit Find this particular information concerns with fewer than 25 information as to vertical radiation collection by selecting ‘‘Currently under employees.’’ patterns as part of their applications 30-day Review—Open for Public OMB Control No.: 3060–0016. (FCC Form 2100, Schedule C) for new Comments’’ or by using the search Title: FCC Form 2100, Application for or modified construction permits. function. Your comment must be Media Bureau Audio and Video Service Applicants are also subject to the submitted into www.reginfo.gov per the Authorization, Schedule C (Former FCC third-party disclosure requirement of 47
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CFR 73.3580. This section requires local Federal Communications Commission. FOR FURTHER INFORMATION CONTACT: For public notice in a newspaper of general Cecilia Sigmund, additional information about the circulation of the filing of all Federal Register Liaison Officer. information collection, contact Nicole applications for new or major changes [FR Doc. 2020–07211 Filed 4–6–20; 8:45 am] Ongele at (202) 418–2991. in facilities. This notice must be BILLING CODE 6712–01–P SUPPLEMENTARY INFORMATION: completed within 30 days of the OMB Control Number: 3060–1241. tendering of the application. This notice Title: Connect America Phase II must be published at least twice a week FEDERAL COMMUNICATIONS Auction Waiver Post-Selection Review. for two consecutive weeks in a three- COMMISSION Form Number: FCC Form 5625. week period. A copy of this notice must [OMB 3060–1241; FRS 16623] Type of Review: Extension of a be locally maintained along with the currently approved collection. application. Information Collection Being Reviewed Respondents: Business or other for- The information collection by the Federal Communications profit. requirements contained in 47 CFR Commission Under Delegated Number of Respondents and 73.3700(g)(1)–(3) permits licensees of Authority Responses: 50 respondents; 150 operating low power TV and TV responses. translator stations that are displaced by AGENCY: Federal Communications Estimated Time per Response: 2–4 a broadcast television station or a Commission. hours. wireless service provider or whose ACTION: Notice and request for Frequency of Response: Annual channel is reserved as a guard band as comments. reporting requirements and one-time a result of the broadcast television reporting requirement. spectrum incentive auction conducted SUMMARY: As part of its continuing effort Obligation to Respond: Required to under section 6403 of the Spectrum Act to reduce paperwork burdens, and as obtain or retain benefits. Statutory to submit an application for required by the Paperwork Reduction authority for this information collection displacement relief in a restricted filing Act (PRA) of 1995, the Federal is contained in 47 U.S.C. 151–154, 214, window to be announced by the Media Communications Commission (FCC or and 254. Bureau by public notice. Except as the Commission) invites the general Total Annual Burden: 500 hours. otherwise indicated in this section, such public and other Federal agencies to Total Annual Cost: No Cost. applications will be subject to the rules take this opportunity to comment on the Privacy Act Impact Assessment: No governing displacement applications set following information collection. impact(s). forth in §§ 73.3572(a)(4) and Comments are requested concerning: Nature and Extent of Confidentiality: 74.787(a)(4) of this chapter. In addition Whether the proposed collection of There are no assurances of to other interference protection information is necessary for the proper confidentiality. However, the requirements set forth in the rules, performance of the functions of the Commission intends to keep the when requesting a new channel in a Commission, including whether the information private to the extent displacement application, licensees of information shall have practical utility; permitted by law. Also, respondents operating low power TV and TV the accuracy of the Commission’s may request materials or information translator stations will be required to burden estimate; ways to enhance the submitted to the Commission believed demonstrate that the station would not quality, utility, and clarity of the confidential to be withheld from public cause interference to the predicted information collected; ways to minimize inspection under 47 CFR 0.459 of the service of broadcast television stations the burden of the collection of FCC’s rules. on: (i) Pre-auction channels; (ii) information on the respondents, Needs and Uses: On January 26, 2017, Channels assigned in the Channel including the use of automated the Commission released Connect Reassignment Public Notice; or (iii) collection techniques or other forms of America Fund; ETC Annual Reports and Alternative channels or expanded information technology; and ways to Certifications, WC Docket Nos. 10–90 facilities broadcast television station further reduce the information and 14–58, Order, FCC 17–2 (New York licensees have applied for pursuant to collection burden on small business Auction Order), which granted New paragraph (b)(2) of this section. concerns with fewer than 25 employees. York waiver of the Phase II auction Licensees of low power TV and TV The FCC may not conduct or sponsor a program rules, subject to certain translator stations that file mutually collection of information unless it conditions. Specifically, the exclusive displacement applications displays a currently valid control Commission made an amount up to the will be permitted to resolve the mutual number. No person shall be subject to amount of Connect America Phase II exclusivity through an engineering any penalty for failing to comply with model-based support that Verizon solution or settlement agreement. If no a collection of information subject to the declined in New York—$170.4 resolution of mutually exclusive PRA that does not display a valid Office million—available to applicants displacement applications occurs, a of Management and Budget (OMB) selected in New York’s New NY selection priority will be granted to the control number. Broadband Program in accordance with licensee of a displaced digital DATES: Written PRA comments should the framework adopted in the New York replacement translator. be submitted on or before June 8, 2020. Auction Order. Full power television stations (see 47 If you anticipate that you will be This information collection addresses CFR 74.787) are required to obtain a submitting comments, but find it the eligibility requirements that New digital-to-digital replacement translator difficult to do so within the period of York winning bidders must meet before to replace service areas lost as a result time allowed by this notice, you should the Wireline Competition Bureau of the incentive auction and repacking advise the contact listed below as soon (Bureau) will authorize them to receive processes. Stations submit FCC Form as possible. Connect America Phase II support. For 2100 Schedule C to obtain a ADDRESSES: Direct all PRA comments to each New York winning bid that construction permit for the new Nicole Ongele, FCC, via email PRA@ includes Connect America-eligible replacement translator. fcc.gov and to [email protected]. areas, the Commission authorizes
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Connect America support up to the total A. Federal Reserve Bank of Chicago Sidamon-Eristoff 2003 Grantor Retained reserve prices of all of the Connect (Colette A. Fried, Assistant Vice Annuity Trust, Woodbridge, New Jersey, America Phase II auction eligible census President) 230 South LaSalle Street, Martha Phipps Maguire, trustee; to blocks that are included in the bid, Chicago, Illinois 60690–1414: acquire voting shares of Bessemer provided that New York has committed, 1. ChoiceOne Financial Services, Inc., Group, Inc., and thereby indirectly at a minimum, the same dollar amount Sparta, Michigan; to merge with acquire voting shares of Bessemer Trust of New York support to the Connect Community Shores Bank Corporation Company, both of Woodbridge, New America-eligible areas in that bid. and thereby indirectly acquire Jersey, and Bessemer Trust Company, Before Connect America Phase II Community Shores Bank, both of N.A, New York, New York. support is authorized, the Bureau will Muskegon, Michigan. Board of Governors of the Federal Reserve closely review the winning bidders to Board of Governors of the Federal Reserve System, April 2, 2020. ensure that they have met the eligibility System, April 2, 2020. Yao-Chin Chao, requirements adopted by the Yao-Chin Chao, Assistant Secretary of the Board. Commission and that they are Assistant Secretary of the Board. technically and financially qualified to [FR Doc. 2020–07290 Filed 4–6–20; 8:45 am] [FR Doc. 2020–07291 Filed 4–6–20; 8:45 am] meet the terms and conditions of BILLING CODE P Connect America support. To aid in BILLING CODE 6210–01–P collecting this information regarding FEDERAL TRADE COMMISSION New York State’s winning bidders and FEDERAL RESERVE SYSTEM the applicants’ ability to meet the terms Agency Information Collection and conditions of Connect America Change in Bank Control Notices; Activities; Proposed Collection; Phase II support in a uniform fashion, Acquisitions of Shares of a Bank or Comment Request parties must complete FCC Form 5625. Bank Holding Company AGENCY: Federal Trade Commission. Federal Communications Commission. The notificants listed below have Cecilia Sigmund, applied under the Change in Bank ACTION: Notice. Federal Register Liaison Officer, Office of the Control Act (Act) (12 U.S.C. 1817(j)) and SUMMARY: In accordance with the Secretary. § 225.41 of the Board’s Regulation Y (12 [FR Doc. 2020–07209 Filed 4–6–20; 8:45 am] Paperwork Reduction Act of 1995 CFR 225.41) to acquire shares of a bank (‘‘PRA’’), the Federal Trade Commission BILLING CODE 6712–01–P or bank holding company. The factors (‘‘FTC’’ or ‘‘Commission’’) is seeking that are considered in acting on the public comment on its proposal to applications are set forth in paragraph 7 extend for an additional three years the FEDERAL RESERVE SYSTEM of the Act (12 U.S.C. 1817(j)(7)). Office of Management and Budget The applications listed below, as well clearance for information collection Formations of, Acquisitions by, and as other related filings required by the Mergers of Bank Holding Companies requirements in its Trade Regulation Board, if any, are available for Rule on Disclosure Requirements and The companies listed in this notice immediate inspection at the Federal Prohibitions Concerning Franchising have applied to the Board for approval, Reserve Bank indicated. The (‘‘Franchise Rule’’ or ‘‘Rule’’). That pursuant to the Bank Holding Company applications will also be available for clearance expires on October 31, 2020. inspection at the offices of the Board of Act of 1956 (12 U.S.C. 1841 et seq.) DATES: Comments must be submitted by Governors. Interested persons may (BHC Act), Regulation Y (12 CFR part June 8, 2020. 225), and all other applicable statutes express their views in writing on the ADDRESSES: Interested parties may file a and regulations to become a bank standards enumerated in paragraph 7 of comment online or on paper, by holding company and/or to acquire the the Act. following the instructions in the assets or the ownership of, control of, or Comments regarding each of these Request for Comment part of the the power to vote shares of a bank or applications must be received at the SUPPLEMENTARY INFORMATION section bank holding company and all of the Reserve Bank indicated or the offices of below. Write ‘‘Franchise Rule, PRA banks and nonbanking companies the Board of Governors, Ann E. Comment, FTC File No. P094400’’ on owned by the bank holding company, Misback, Secretary of the Board, 20th your comment and file your comment including the companies listed below. Street and Constitution Avenue NW, The applications listed below, as well Washington, DC 20551–0001, not later online at https://www.regulations.gov, as other related filings required by the than April 22, 2020. by following the instructions on the web- Board, if any, are available for A. Federal Reserve Bank of New York based form. If you prefer to file your immediate inspection at the Federal (Ivan Hurwitz, Senior Vice President) 33 comment on paper, mail your comment Reserve Bank indicated. The Liberty Street, New York, New York to the following address: Federal Trade applications will also be available for 10045–0001. Comments can also be sent Commission, Office of the Secretary, inspection at the offices of the Board of electronically to 600 Pennsylvania Avenue NW, Suite Governors. Interested persons may [email protected]: CC–5610 (Annex J), Washington, DC express their views in writing on the 1. JGD III (J. Gordon Douglas, III) & 20580, or deliver your comment to the standards enumerated in the BHC Act DESC UA 8 A3 UW MB (Margaret following address: Federal Trade (12 U.S.C. 1842(c)). Boegner) BGI Trust, Martha Phipps Commission, Office of the Secretary, Comments regarding each of these Maguire, trustee, both of New York, New Constitution Center, 400 7th Street SW, applications must be received at the York; Andrew P. Sidamon-Eristoff 2003 5th Floor, Suite 5610 (Annex J), Reserve Bank indicated or the offices of Grantor Retained Annuity Trust, Washington, DC 20024. the Board of Governors, Ann E. Woodbridge, New Jersey, Martha Phipps FOR FURTHER INFORMATION CONTACT: Misback, Secretary of the Board, 20th Maguire, trustee; Elizabeth Sidamon- Christine M. Todaro, Attorney, Division Street and Constitution Avenue NW, Eristoff 2003 Grantor Retained Annuity of Marketing Practices, Bureau of Washington, DC 20551–0001, not later Trust, Woodbridge, New Jersey, Martha Consumer Protection, Federal Trade than May 7, 2020. Phipps Maguire, trustee; and Simon Commission, 600 Pennsylvania Avenue
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NW, Room 8607, Washington, DC preparation of disclosure documents by that its cost estimates remain 20580, (202) 326–3711, [email protected]. new sellers of franchise opportunities representative of the costs incurred by SUPPLEMENTARY INFORMATION: will require approximately 30 hours for franchisors generally. Title of Collection: Franchise Rule, 16 a total of 7,500 hours (250 new FTC staff estimates that the non-labor CFR part 436. franchisors × 30 hours). burden incurred by franchisors differs OMB Control Number: 3084–0107. Covered franchisors also may need to based on the length of the disclosure Type of Review: Extension without maintain an alternative version of the document, the number produced, and change of currently approved collection. FDD for use in non-registration states, the method of distribution employed by Affected Public: Private Sector: which may differ from FDDs used in franchisors. Staff estimates that the Businesses and other for-profit entities. registration states. Staff estimates that estimated 2,500 sellers of franchise Estimated Annual Burden Hours: this recordkeeping obligation would opportunities distribute approximately 16,750. require approximately one hour per 100 disclosure documents each Estimated Annual Labor Costs: year. This results in an additional annually for a total of 250,000 $3,603,125. burden of 2,500 hours (2,500 franchisors disclosure documents. Staff estimates × Estimated Annual Non-Labor Costs: 1 hour). Under the Rule, a franchisor that 80% of these disclosure documents $7,250,000. is also required to retain copies of are distributed in hard copy format at a Abstract: The Franchise Rule ensures receipts of disclosure documents, as cost of $35 each for printing and mailing that consumers who are considering a well as materially different versions of costs. This results in a total estimated franchise investment have access to the its disclosure documents. Such $7,000,000 in non-labor costs printing and mailing disclosure documents material information they need to make recordkeeping requirements, however, (200,000 × $35). Staff estimates that the an informed investment decision and are consistent with, or less burdensome remaining 20% of disclosure documents compare different franchise offerings. than, those imposed by the states that (50,000) are distributed electronically, at The Rule requires franchisors to furnish have franchise registration and a cost of $5 per electronic disclosure. prospective purchasers with a Franchise disclosure laws. Accordingly, staff This yields a total non-labor cost burden Disclosure Document (‘‘FDD’’) that believes that incremental recordkeeping associated with the electronic provides information relating to the burden, if any, would be de minimis. Estimated Annual Labor Costs: distribution of disclosure documents of franchisor, its business, the nature of the × $3,603,125. $250,000 (50,000 $5). proposed franchise, and any Under the PRA, 44 U.S.C. 3501–3521, representations by the franchisor about Labor costs are derived by applying estimated hourly cost figures to the federal agencies must obtain approval financial performance regarding actual from OMB for each collection of or potential sales, income, or profits burden hours described above. FTC staff anticipates that an attorney will prepare information they conduct or sponsor. made to a prospective franchise ‘‘Collection of information’’ means purchaser. The Rule also requires that required disclosure documents at an estimated hourly attorney rate of $250.3 agency requests or requirements that franchisors maintain records to facilitate members of the public submit reports, enforcement of the Rule.1 The For established franchisors, estimates the following annual labor costs: $750 keep records, or provide information to franchisor must preserve materially × a third party. 44 U.S.C. 3502(3); 5 CFR different copies of its FDD for 3 years, per established franchisor (3 hours $250) for a total annual cost burden of 1320.3(c). As required by section as well as information that provides a × 3506(c)(2)(A) of the PRA, the FTC is reasonable basis for any financial $1,687,500 ($750 2,250 established franchisors). For new franchisors, this providing this opportunity for public performance representation it elects to comment before requesting that OMB make. yields an annual cost of $7,500 per new franchisor (30 hours × $250) for a total extend the existing clearance for the Estimated Annual Hours Burden: information collection requirements 16,750. annual cost burden of $1,875,000 for new franchisors ($7,500 × 250 new contained in the Franchise Rule, 16 CFR Based on information from state part 436 (OMB Control No. 3084–0107). regulatory authorities and relevant trade franchisors). journals, staff estimates that there are The FTC additionally anticipates that Request for Comment approximately 2,500 sellers of recordkeeping under the Rule will be Pursuant to Section 3506(c)(2)(A) of franchises covered by the Rule, with performed by clerical staff at the PRA, the FTC invites comments on: 4 approximately 10% of that total approximately $16.25 per hour. Thus, (1) Whether the proposed collection of reflecting an equal amount of new and 2,500 hours of recordkeeping burden information is necessary for the proper departing business entrants.2 Staff per year for all covered franchisors will performance of the functions of the estimates that the average annual amount to a total annual labor cost of agency, including whether the disclosure burden for established $40,625. information will have practical utility; franchisors to update existing disclosure Estimated Annual Non-Labor Costs: (2) the accuracy of the agency’s estimate documents will be three hours per seller $7,250,000. of the burden of the proposed collection for a total of 6,750 hours (2,250 In developing cost estimates for this of information, including the validity of franchisors × 3 hours). For new Rule, FTC staff consulted with the methodology and assumptions used; franchisors, staff estimates that practitioners who prepare disclosure (3) ways to enhance the quality, utility, documents for a cross-section of and clarity of the information to be franchise systems. The FTC believes 1 The Rule was amended in 2007 to conform its collected; and (4) ways to minimize the disclosure requirements with the disclosure format burden of the collection of information accepted by 15 states that have franchise 3 Commission staff believes this is a reasonable registration or disclosure laws. See 72 FR 15444 estimate for mean hourly attorney rates for on those who are to respond, including (Mar. 30, 2007). The amended Rule has significantly franchisor consultation on compliance with the through the use of appropriate minimized any compliance burden beyond what is Rule’s disclosure and recordkeeping requirements. automated, electronic, mechanical, or required by state law. 4 Based on mean hourly wages for file clerks other technological collection 2 This number appears to be consistent with the found in Table 1. ‘‘National employment and wage number of business format franchise offerings data from the Occupational Employment Statistics techniques or other forms of information registered in compliance with state franchise laws, survey by occupation, May 2018,’’ at https:// technology, e.g., permitting electronic and listed in franchise directories. www.bls.gov/news.release/ocwage.t01.htm. submission of responses.
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You can file a comment online or on Comments containing material for following the instructions in the paper. For the Commission to consider which confidential treatment is Request for Comment part of the your comment, we must receive it on or requested must be filed in paper form, SUPPLEMENTARY INFORMATION section before June 8, 2020. Write ‘‘Franchise must be clearly labeled ‘‘Confidential,’’ below. Write ‘‘Ortho-Clinical Rule, PRA Comment, FTC File No. and must comply with FTC Rule 4.9(c). Diagnostics, Inc.; File No. 192 3050’’ on P094400’’ on your comment. Postal mail In particular, the written request for your comment, and file your comment addressed to the Commission is subject confidential treatment that accompanies online at https://www.regulations.gov by to delay due to heightened security the comment must include the factual following the instructions on the web- screening. As a result, we encourage you and legal basis for the request, and must based form. If you prefer to file your to submit your comments online. To identify the specific portions of the comment on paper, mail your comment make sure that the Commission comment to be withheld from the public to the following address: Federal Trade considers your online comment, you record. See FTC Rule 4.9(c). Your Commission, Office of the Secretary, must file it through the https:// comment will be kept confidential only 600 Pennsylvania Avenue NW, Suite www.regulations.gov website by if the General Counsel grants your CC–5610 (Annex D), Washington, DC following the instructions on the web- request in accordance with the law and 20580, or deliver your comment to the based form provided. Your comment, the public interest. Once your comment following address: Federal Trade including your name and your state— has been posted on https:// Commission, Office of the Secretary, will be placed on the public record of www.regulations.gov—as legally Constitution Center, 400 7th Street SW, this proceeding, including the https:// required by FTC Rule 4.9(b)—we cannot 5th Floor, Suite 5610 (Annex D), www.regulations.gov website. redact or remove your comment from Washington, DC 20024. If you file your comment on paper, https://www.regulations.gov, unless you FOR FURTHER INFORMATION CONTACT: write ‘‘Franchise Rule, PRA Comment, submit a confidentiality request that Kenneth Abbe (310–824–4300), Bureau FTC File No. P094400’’ on your meets the requirements for such of Consumer Protection, Federal Trade comment and on the envelope, and mail treatment under FTC Rule 4.9(c), and Commission, 600 Pennsylvania Avenue your comment to the following address: the General Counsel grants that request. NW, Washington, DC 20580. Federal Trade Commission, Office of the The FTC Act and other laws that the Commission administers permit the SUPPLEMENTARY INFORMATION: Pursuant Secretary, 600 Pennsylvania Avenue to Section 6(f) of the Federal Trade NW, Suite CC–5610 (Annex J), collection of public comments to consider and use in this proceeding as Commission Act, 15 U.S.C. 46(f), and Washington, DC 20580, or deliver your FTC Rule 2.34, 16 CFR 2.34, notice is comment to the following address: appropriate. The Commission will consider all timely and responsive hereby given that the above-captioned Federal Trade Commission, Office of the consent agreement containing a consent Secretary, Constitution Center, 400 7th public comments that it receives on or before June 8, 2020. For information on order to cease and desist, having been Street SW, 5th Floor, Suite 5610, filed with and accepted, subject to final Washington, DC 20024. If possible, the Commission’s privacy policy, including routine uses permitted by the approval, by the Commission, has been please submit your paper comment to placed on the public record for a period the Commission by courier or overnight Privacy Act, see https://www.ftc.gov/ site-information/privacy-policy. of thirty (30) days. The following service. Analysis to Aid Public Comment Because your comment will be placed Josephine Liu, describes the terms of the consent on the public record, you are solely Assistant General Counsel for Legal Counsel. agreement and the allegations in the responsible for making sure that your [FR Doc. 2020–07269 Filed 4–6–20; 8:45 am] complaint. An electronic copy of the comment does not include any sensitive BILLING CODE 6750–01–P full text of the consent agreement or confidential information. In package can be obtained from the FTC particular, your comment should not website (for March 30, 2020), at this web include any sensitive personal FEDERAL TRADE COMMISSION address: https://www.ftc.gov/news- information, such as your or anyone [File No. 192 3050] events/commission-actions. else’s Social Security number; date of You can file a comment online or on birth; driver’s license number or other Ortho-Clinical Diagnostics, Inc.; paper. For the Commission to consider state identification number, or foreign Analysis of Proposed Consent Order your comment, we must receive it on or country equivalent; passport number; To Aid Public Comment before May 7, 2020. Write ‘‘Ortho- financial account number; or credit or Clinical Diagnostics, Inc.; File No. 192 debit card number. You are also solely AGENCY: Federal Trade Commission. 3050’’ on your comment. Your responsible for making sure that your ACTION: Proposed Consent Agreement; comment—including your name and comment does not include any sensitive request for comment. your state—will be placed on the public health information, such as medical record of this proceeding, including, to SUMMARY: The consent agreement in this records or other individually the extent practicable, on the https:// matter settles alleged violations of identifiable health information. In www.regulations.gov website. federal law prohibiting unfair or addition, your comment should not Due to the public health emergency in deceptive acts or practices. The attached include any ‘‘trade secret or any response to the COVID–19 outbreak and Analysis to Aid Public Comment commercial or financial information the agency’s heightened security describes both the allegations in the which . . . is privileged or screening, postal mail addressed to the complaint and the terms of the consent confidential’’—as provided by Section Commission will be subject to delay. We order—embodied in the consent 6(f) of the FTC Act, 15 U.S.C. 46(f), and strongly encourage you to submit your agreement—that would settle these FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2)— comments online through the https:// allegations. including in particular competitively www.regulations.gov website. sensitive information such as costs, DATES: Comments must be received on If you prefer to file your comment on sales statistics, inventories, formulas, or before May 7, 2020. paper, write ‘‘Ortho-Clinical patterns, devices, manufacturing ADDRESSES: Interested parties may file Diagnostics, Inc.; File No. 192 3050’’ on processes, or customer names. comments online or on paper, by your comment and on the envelope, and
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mail your comment to the following FTC Rule 4.9(c), and the General website, https://www.privacyshield.gov/ address: Federal Trade Commission, Counsel grants that request. list, where it posts the names of Office of the Secretary, 600 Visit the FTC website at http:// companies who have completed the Pennsylvania Avenue NW, Suite CC– www.ftc.gov to read this Notice and the requirements for certification. 5610 (Annex D), Washington, DC 20580; news release describing it. The FTC Act Companies are required to recertify or deliver your comment to the and other laws that the Commission every year in order to continue following address: Federal Trade administers permit the collection of benefitting from Privacy Shield. Commission, Office of the Secretary, public comments to consider and use in Ortho markets and sells medical Constitution Center, 400 7th Street SW, this proceeding, as appropriate. The devices and in vitro diagnostics services 5th Floor, Suite 5610 (Annex D), Commission will consider all timely to the global clinical laboratory and Washington, DC 20024. If possible, and responsive public comments that it immunohematology communities. It submit your paper comment to the receives on or before May 7, 2020. For collects personal data from its suppliers Commission by courier or overnight information on the Commission’s and capital customers around the world, service. privacy policy, including routine uses including from EU citizens. According Because your comment will be placed permitted by the Privacy Act, see to the Commission’s complaint, from on the publicly accessible website at https://www.ftc.gov/site-information/ approximately September 2017 until https://www.regulations.gov, you are privacy-policy. March 2019, Ortho published on its solely responsible for making sure your website, https://www.orthoclinical Analysis of Proposed Consent Order To comment does not include any sensitive diagnostics.com/en-us/home/privacy- Aid Public Comment or confidential information. In policy, a privacy policy containing particular, your comment should not The Federal Trade Commission statements related to its participation in include any sensitive personal (‘‘Commission’’) has accepted, subject to Privacy Shield. information, such as your or anyone final approval, an agreement containing The Commission’s proposed three- else’s Social Security number; date of a consent order from Ortho-Clinical count complaint alleges that birth; driver’s license number or other Diagnostics, Inc. (‘‘Ortho’’ or Respondent violated Section 5(a) of the state identification number, or foreign ‘‘Respondent’’). Federal Trade Commission Act. country equivalent; passport number; The proposed consent order Specifically, the first count in the financial account number; or credit or (‘‘proposed order’’) has been placed on proposed complaint alleges that debit card number. You are also solely the public record for thirty days for Respondent engaged in a deceptive act responsible for making sure your receipt of comments by interested or practice by falsely representing that comment does not include sensitive persons. Comments received during this it was a certified participant in the EU- health information, such as medical period will become part of the public U.S. Privacy Shield Framework. The records or other individually record. After thirty days, the second count alleges that Ortho did not identifiable health information. In Commission will again review the verify the truth of the Privacy Shield addition, your comment should not agreement and the comments received, assurances in its privacy policy, either include any ‘‘trade secret or any and will decide whether it should through a self-assessment or a third commercial or financial information withdraw from the agreement and take party compliance review, so its which . . . is privileged or appropriate action or make final the representation that it ‘‘complied with’’ confidential’’—as provided by Section agreement’s proposed order. the Privacy Shield principles was false. 6(f) of the FTC Act, 15 U.S.C. 46(f), and This matter concerns alleged false or Finally, the third count alleges that FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2)— misleading representations that Ortho Ortho failed to annually affirm to including in particular competitively made concerning its participation in the Commerce that Ortho will continue to sensitive information such as costs, Privacy Shield framework agreed upon apply the Privacy Shield Principles to sales statistics, inventories, formulas, by the U.S. and the European Union personal data it received while it was patterns, devices, manufacturing (‘‘EU’’). The Privacy Shield framework part of the framework after it withdraws processes, or customer names. allows for the lawful transfer of personal from Privacy Shield. Comments containing material for data from the EU to participating Part I of the proposed order prohibits which confidential treatment is companies. The framework consists of a the Respondent from making requested must be filed in paper form, set of principles and related misrepresentations about its must be clearly labeled ‘‘Confidential,’’ requirements that have been deemed by membership in any privacy or security and must comply with FTC Rule 4.9(c). the European Commission as providing program sponsored by the government In particular, the written request for ‘‘adequate’’ privacy protection. The or any other self-regulatory or standard- confidential treatment that accompanies principles include notice; choice; setting organization, including, but not the comment must include the factual accountability for onward transfer; limited to, the EU-U.S. Privacy Shield and legal basis for the request, and must security; data integrity and purpose framework and the Swiss-U.S. Privacy identify the specific portions of the limitation; access; and recourse, Shield framework. Part II also comment to be withheld from the public enforcement, and liability. The related specifically requires the Respondent to record. See FTC Rule 4.9(c). Your requirements include, for example, comply with the Privacy Shield comment will be kept confidential only securing an independent recourse requirement to continue to protect if the General Counsel grants your mechanism to handle any disputes personal information received while in request in accordance with the law and about how the company handles the framework. the public interest. Once your comment information about EU citizens. Parts III through VI of the proposed has been posted on the public FTC To participate in the framework, a order are reporting and compliance website—as legally required by FTC company must comply with the Privacy provisions. Part III requires Rule 4.9(b)—we cannot redact or Shield principles and self-certify that acknowledgement of the order and remove your comment from the FTC compliance to the U.S. Department of dissemination of the order now and in website, unless you submit a Commerce (‘‘Commerce’’). Commerce the future to persons with confidentiality request that meets the reviews companies’ self-certification responsibilities relating to the subject requirements for such treatment under applications and maintains a public matter of the order. Part IV ensures
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notification to the FTC of changes in Commission, Office of the Secretary, solely responsible for making sure your corporate status and mandates that the Constitution Center, 400 7th Street SW, comment does not include any sensitive Respondent submit an initial 5th Floor, Suite 5610 (Annex D), or confidential information. In compliance report to the FTC. Part V Washington, DC 20024. particular, your comment should not requires the Respondent to create FOR FURTHER INFORMATION CONTACT: Julia include any sensitive personal certain documents relating to its Ensor (202–326–2377), Bureau of information, such as your or anyone compliance with the order for ten years Consumer Protection, Federal Trade else’s Social Security number; date of and to retain those documents for a five- Commission, 600 Pennsylvania Avenue birth; driver’s license number or other year period. Part VI mandates that the NW, Washington, DC 20580. state identification number, or foreign country equivalent; passport number; Respondent make available to the FTC SUPPLEMENTARY INFORMATION: Pursuant information or subsequent compliance to Section 6(f) of the Federal Trade financial account number; or credit or reports, as requested. Commission Act, 15 U.S.C. 46(f), and debit card number. You are also solely Part VII is a provision ‘‘sun-setting’’ FTC Rule 2.34, 16 CFR 2.34, notice is responsible for making sure your comment does not include sensitive the order after twenty years, with hereby given that the above-captioned health information, such as medical certain exceptions. consent agreement containing a consent The purpose of this analysis is to aid records or other individually order to cease and desist, having been public comment on the proposed order. identifiable health information. In filed with and accepted, subject to final It is not intended to constitute an addition, your comment should not approval, by the Commission, has been official interpretation of the complaint include any ‘‘trade secret or any placed on the public record for a period or proposed order, or to modify in any commercial or financial information of thirty (30) days. The following way the proposed order’s terms. which . . . is privileged or Analysis to Aid Public Comment confidential’’—as provided by Section By direction of the Commission. describes the terms of the consent April J. Tabor, 6(f) of the FTC Act, 15 U.S.C. 46(f), and agreement and the allegations in the FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2)— Acting Secretary. complaint. An electronic copy of the including in particular competitively [FR Doc. 2020–07311 Filed 4–6–20; 8:45 am] full text of the consent agreement sensitive information such as costs, BILLING CODE 6750–01–P package can be obtained from the FTC sales statistics, inventories, formulas, website (for March 30, 2020), at this web patterns, devices, manufacturing address: https://www.ftc.gov/news- processes, or customer names. FEDERAL TRADE COMMISSION events/commission-actions. Comments containing material for [File No. 202 3025] You can file a comment online or on which confidential treatment is paper. For the Commission to consider requested must be filed in paper form, Williams-Sonoma, Inc.; Analysis To your comment, we must receive it on or must be clearly labeled ‘‘Confidential,’’ Aid Public Comment before May 7, 2020. Write ‘‘Williams- and must comply with FTC Rule 4.9(c). Sonoma, Inc.; File No. 202 3025’’ on In particular, the written request for AGENCY: Federal Trade Commission. your comment. Your comment— confidential treatment that accompanies ACTION: Proposed consent agreement; including your name and your state— the comment must include the factual request for comment. will be placed on the public record of and legal basis for the request, and must this proceeding, including, to the extent SUMMARY: The consent agreement in this identify the specific portions of the practicable, on the https:// matter settles alleged violations of comment to be withheld from the public www.regulations.gov website. federal law prohibiting unfair or record. See FTC Rule 4.9(c). Your Due to the public health emergency in deceptive acts or practices. The attached comment will be kept confidential only response to the COVID–19 outbreak and Analysis to Aid Public Comment if the General Counsel grants your the agency’s heightened security describes both the allegations in the request in accordance with the law and screening, postal mail addressed to the complaint and the terms of the consent the public interest. Once your comment Commission will be subject to delay. We order—embodied in the consent has been posted on the public FTC strongly encourage you to submit your agreement—that would settle these website—as legally required by FTC comments online through the https:// allegations. Rule 4.9(b)—we cannot redact or www.regulations.gov website. remove your comment from the FTC DATES: Comments must be received on If you prefer to file your comment on website, unless you submit a or before May 7, 2020. paper, write ‘‘Williams-Sonoma, Inc.; confidentiality request that meets the ADDRESSES: Interested parties may file File No. 202 3025’’ on your comment requirements for such treatment under comments online or on paper, by and on the envelope, and mail your FTC Rule 4.9(c), and the General following the instructions in the comment to the following address: Counsel grants that request. Request for Comment part of the Federal Trade Commission, Office of the Visit the FTC website at http:// SUPPLEMENTARY INFORMATION section Secretary, 600 Pennsylvania Avenue www.ftc.gov to read this Notice and the below. Write ‘‘Williams-Sonoma, Inc.; NW, Suite CC–5610 (Annex D), news release describing it. The FTC Act File No. 202 3025’’ on your comment, Washington, DC 20580; or deliver your and other laws that the Commission and file your comment online at https:// comment to the following address: administers permit the collection of www.regulations.gov by following the Federal Trade Commission, Office of the public comments to consider and use in instructions on the web-based form. If Secretary, Constitution Center, 400 7th this proceeding, as appropriate. The you prefer to file your comment on Street SW, 5th Floor, Suite 5610 (Annex Commission will consider all timely paper, mail your comment to the D), Washington, DC 20024. If possible, and responsive public comments that it following address: Federal Trade submit your paper comment to the receives on or before May 7, 2020. For Commission, Office of the Secretary, Commission by courier or overnight information on the Commission’s 600 Pennsylvania Avenue NW, Suite service. privacy policy, including routine uses CC–5610 (Annex D), Washington, DC Because your comment will be placed permitted by the Privacy Act, see 20580, or deliver your comment to the on the publicly accessible website at https://www.ftc.gov/site-information/ following address: Federal Trade https://www.regulations.gov, you are privacy-policy.
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Analysis of Proposed Consent Order To components, and/or processing; or (3) DEPARTMENT OF DEFENSE Aid Public Comment for a claim that a product is assembled GENERAL SERVICES The Federal Trade Commission in the United States, the product is last ADMINISTRATION (‘‘FTC’’ or ‘‘Commission’’) has accepted, substantially transformed in the United subject to final approval, an agreement States, the product’s principal assembly NATIONAL AERONAUTICS AND containing a consent order from takes place in the United States, and SPACE ADMINISTRATION Williams-Sonoma, Inc., also d/b/a United States assembly operations are Williams Sonoma, Williams Sonoma substantial. [OMB Control No. 9000–0196; Docket No. Home, Pottery Barn, Pottery Barn Kids, Part II prohibits Respondent from 2020–0053; Sequence No. 2] Pottery Barn Teen, West Elm, making any country-of-origin claim Rejuvenation, Outward, and Mark & Information Collection; Payments to about a product or service unless the Small Business Subcontractors Graham (‘‘Respondent’’). claim is true, not misleading, and The proposed consent order has been Respondent has a reasonable basis AGENCY: Department of Defense (DOD), placed on the public record for thirty substantiating the representation. General Services Administration (GSA), (30) days for receipt of comments by and National Aeronautics and Space interested persons. Comments received Parts III through V are monetary Administration (NASA). during this period will become part of provisions. Part III imposes a judgment ACTION: Notice. the public record. After thirty (30) days, of $1,000,000. Part IV includes the Commission will again review the additional monetary provisions relating SUMMARY: Under the provisions of the agreement and the comments received, to collections. Part V requires Paperwork Reduction Act, the and will decide whether it should Respondent to provide sufficient Regulatory Secretariat Division has withdraw from the agreement or make customer information to enable the submitted to the Office of Management final the agreement’s proposed order. Commission to administer consumer and Budget (OMB) a request to review This matter involves Respondent’s redress, if appropriate. and approve a revision and renewal of marketing, sale, and distribution of a previously approved information Parts VI through IX are reporting and home products as made in the United collection requirement regarding States. According to the FTC’s compliance provisions. Part VI requires payments to small business complaint, Respondent represented that Respondent to acknowledge receipt of subcontractors. the order, to provide a copy of the order its Goldtouch Bakeware products, DATES: Submit comments on or before to certain current and future principals, Rejuvenation-branded products, and May 7, 2020. officers, directors, and employees, and Pottery Barn Teen and Pottery Barn ADDRESSES: Written comments and to obtain an acknowledgement from Kids-branded upholstered furniture recommendations for this information each such person that they have products, including the materials and collection should be sent within 30 days subcomponents used to make such received a copy of the order. Part VII of publication of this notice to products, are all or virtually all made in requires Respondent to file a www.reginfo.gov/public/do/PRAMain. the United States. In fact, in numerous compliance report within one year after Find this particular information instances, Respondent’s Goldtouch the order becomes final and to notify the collection by selecting ‘‘Currently under Bakeware products, Rejuvenation- Commission within 14 days of certain Review—Open for Public Comments’’ or branded products, and Pottery Barn changes that would affect compliance by using the search function. Teen and Pottery Barn Kids-branded with the order. Part VIII requires Additionally submit a copy to GSA by upholstered furniture products are Respondent to maintain certain records, any of the following methods: wholly imported or incorporate including records necessary to • Federal eRulemaking Portal: This significant imported materials or demonstrate compliance with the order. website provides the ability to type subcomponents. Based on the foregoing, Part IX requires Respondent to submit short comments directly into the the complaint alleges that Respondent additional compliance reports when comment field or attach a file for engaged in deceptive acts or practices in requested by the Commission and to lengthier comments. Go to http:// violation of Section 5(a) of the FTC Act. permit the Commission or its www.regulations.gov and follow the The proposed consent order contains representatives to interview instructions on the site. provisions designed to prevent • Respondent’s personnel. Mail: General Services Respondent from engaging in similar Administration, Regulatory Secretariat acts and practices in the future. Finally, Part X is a ‘‘sunset’’ Division (MVCB), 1800 F Street NW, Consistent with the FTC’s Enforcement provision, terminating the order after Washington, DC 20405. ATTN: Lois Policy Statement on U.S. Origin Claims, twenty (20) years, with certain Mandell/IC 9000–0196, Payments to Part I prohibits Respondent from exceptions. Small Business Subcontractors. making U.S.-origin claims for its The purpose of this analysis is to aid Instructions: All items submitted products unless either: (1) The final public comment on the proposed order. must cite Information Collection 9000– assembly or processing of the product It is not intended to constitute an 0196, Payments to Small Business occurs in the United States, all official interpretation of the proposed Subcontractors. Comments received significant processing that goes into the order or to modify its terms in any way. generally will be posted without change product occurs in the United States, and to http://www.regulations.gov, including all or virtually all ingredients or By direction of the Commission. any personal and/or business components of the product are made April J. Tabor, confidential information provided. To and sourced in the United States; (2) a Acting Secretary. confirm receipt of your comment(s), clear and conspicuous qualification [FR Doc. 2020–07310 Filed 4–6–20; 8:45 am] please check www.regulations.gov, appears immediately adjacent to the approximately two to three days after BILLING CODE 6750–01–P representation that accurately conveys submission to verify posting (except the extent to which the product contains allow 30 days for posting of comments foreign parts, ingredients or submitted by mail).
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FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF DEFENSE approximately two to three days after Zenaida Delgado, Procurement Analyst, submission to verify posting (except at telephone 202–969–7207, or GENERAL SERVICES allow 30 days for posting of comments [email protected]. ADMINISTRATION submitted by mail). FOR FURTHER INFORMATION CONTACT: SUPPLEMENTARY INFORMATION: NATIONAL AERONAUTICS AND Zenaida Delgado, Procurement Analyst, A. OMB Control Number, Title, and SPACE ADMINISTRATION at telephone 202–969–7207, or Any Associated Form(s) [OMB Control No. 9000–0034; Docket No. [email protected]. 2020–0053; Sequence No.1] SUPPLEMENTARY INFORMATION: 9000–0196, Payments to Small Business Subcontractors. Submission for OMB Review; A. OMB Control Number, Title, and Any Associated Form(s) B. Need and Uses Examination of Records by Comptroller General and Contract 9000–0034, Examination of Records This clearance covers the information Audit by Comptroller General and Contract that contractors must submit to comply Audit. AGENCY: Department of Defense (DOD), with the Federal Acquisition Regulation General Services Administration (GSA), B. Needs and Uses (FAR) clause at 52.242–5, Payments to and National Aeronautics and Space The objective of this information Small Business Subcontractors. This Administration (NASA). clause requires the prime contractor to collection, for the examination of ACTION: self-report to the contracting officer Notice. records by Comptroller General and contract audit, is to require contractors when the prime contractor makes late or SUMMARY: Under the provisions of the reduced payments to small business Paperwork Reduction Act, the to maintain certain records and to subcontractors. The notice shall include Regulatory Secretariat Division has ensure the Comptroller General and/or the reason(s) for making the reduced or submitted to the Office of Management agency have access to, and the right to, untimely payment. The contracting and Budget (OMB) a request to review examine and audit records, which officer uses the information to record and approve a revision and renewal of includes: Books, documents, accounting the identity of contractors with a history a previously approved information procedures and practices, and other of late or reduced payments to small collection requirement regarding data, regardless of type and regardless of business subcontractors in the Federal examination of records by Comptroller whether such items are in written form, Awardee Performance and Integrity General and contract audit. in the form of computer data, or in any other form, for a period of three years Information System (FAPIIS). The DATES: Submit comments on or before after final payment. This information is contracting officer considers and May 7, 2020. evaluates the contractor’s written necessary for examination and audit of ADDRESSES: Written comments and contract surveillance, verification of explanation for a reduced or an recommendations for this information untimely payment to determine whether contract pricing, and to provide collection should be sent within 30 days reimbursement of contractor costs, the reduced or untimely payment is of publication of this notice to justified. where applicable. The records retention www.reginfo.gov/public/do/PRAMain. period is required by the statutory C. Annual Burden Find this particular information authorities at 10 U.S.C. 2313, 41 U.S.C. collection by selecting ‘‘Currently under 4706, and 10 U.S.C. 2306, and are Respondents: 473. Review—Open for Public Comments’’ or implemented through the following Total Annual Responses: 473. by using the search function. Federal Acquisition Regulation clauses: Additionally submit a copy to GSA by Total Burden Hours: 946. 52.214–26, Audit and Records-Sealed any of the following methods: Bidding; 52.212–5, Contract Terms and • Federal eRulemaking Portal: This D. Public Comment Conditions Required to Implement website provides the ability to type Statutes or Executive Orders- A 60-day notice was published in the short comments directly into the Commercial Items; and 52.215–2, Audit Federal Register at 85 FR 5660, on comment field or attach a file for and Records-Negotiation. This January 31, 2020. No comments were lengthier comments. Go to http:// information collection does not require received. www.regulations.gov and follow the contractors to create or maintain any Obtaining Copies: Requesters may instructions on the site. • records that the contractor does not obtain a copy of the information Mail: General Services Administration, Regulatory Secretariat normally maintain in its usual course of collection documents from the General business. Services Administration, Regulatory Division (MVCB), 1800 F Street NW, Secretariat Division (MVCB), 1800 F Washington, DC 20405. ATTN: Lois C. Annual Burden Street NW, Washington, DC 20405, Mandell/IC 9000–0034, Examination of Respondents: 20,678. telephone 202–501–4755. Please cite Records by Comptroller General and Total Annual Responses: 80,068. OMB Control No. 9000–0196, Payments Contract Audit. Total Burden Hours: 80,068. Instructions: All items submitted to Small Business Subcontractors, in all D. Public Comment correspondence. must cite Information Collection 9000– 0034, Examination of Records by A 60-day notice was published in the Dated: April 2, 2020. Comptroller General and Contract Federal Register at 85 FR 5659, on Janet Fry, Audit. Comments received generally January 31, 2020. No comments were Director,Federal Acquisition Policy Division, will be posted without change to http:// received. Office of Governmentwide Acquisition Policy, www.regulations.gov, including any Obtaining Copies: Requesters may Office of Acquisition Policy, Office of personal and/or business confidential obtain a copy of the information Governmentwide Policy. information provided. To confirm collection documents from the General [FR Doc. 2020–07272 Filed 4–6–20; 8:45 am] receipt of your comment(s), please Services Administration, Regulatory BILLING CODE 6820–EP–P check www.regulations.gov, Secretariat Division (MVCB), 1800 F
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Street NW, Washington, DC 20405, ADDRESSES: The web conference access Comments should be specifically telephone 202–501–4755. Please cite is https://niosh-connect.adobeconnect. related to the National Firefighter OMB Control No. 9000–0034, com/nfrs/event/event_info.html and the Registry protocol which can be found in Examination of Records by Comptroller teleconference access is (855) 644–0229, docket 232 or by visiting the General and Contract Audit, in all and the participant pass code is subcommittee website: https:// correspondence. 9777483. www.cdc.gov/niosh/bsc/nfrs/. Each Dated: April 2, 2020. FOR FURTHER INFORMATION CONTACT: Paul commenter will be provided up to five minutes for comment. A limited number Janet Fry, J. Middendorf, Ph.D., Executive Secretary, National Firefighter Registry of time slots are available and will be Director, Federal Acquisition Policy Division, assigned on a first come-first served Office of Governmentwide Acquisition Policy, Subcommittee of the NIOSH Board of Office of Acquisition Policy, Office of Scientific Counselors, NIOSH, CDC, basis. Members of the public who wish Governmentwide Policy. 2400 Century Parkway NE, MS V24–4, to address the NIOSH BSC Subcommittee are requested to contact [FR Doc. 2020–07271 Filed 4–6–20; 8:45 a.m.] Atlanta, GA 30345, telephone (404) the Executive Secretary for scheduling BILLING CODE 6820–EP–P 498–6439, or email at pmiddendorf@ cdc.gov. purposes (see contact information below). Written comments will also be SUPPLEMENTARY INFORMATION: accepted from those unable to attend the DEPARTMENT OF HEALTH AND Purpose: The Secretary, the Assistant public session. Written comments can HUMAN SERVICES Secretary for Health, and by delegation be sent directly to the Docket for the the Director, Centers for Disease Control Centers for Disease Control and NFRS at NIOSH Docket Office, Docket and Prevention, are authorized under #232, 1090 Tusculum Avenue, Mail Prevention Sections 301 and 308 of the Public Stop C–34, Cincinnati, OH 45226, or [Docket Number: NIOSH 232] Health Service Act to conduct directly emailed to the [email protected]. or by grants or contracts, research, The Docket number must be specified Board of Scientific Counselors, experiments, and demonstrations on the comments. Comments received National Institute for Occupational relating to occupational safety and by May 6, 2020, will be provided to the Safety and Health (BSC, NIOSH), health and to mine health. The Board of Subcommittee prior to the meeting. The National Firefighter Registry Scientific Counselors Subcommittee for docket will close May 22, 2020 and will Subcommittee the National Firefighter Registry (the be considered by the National Subcommittee) provides guidance to the Firefighter Registry Program when AGENCY: Centers for Disease Control and Director, National Institute for Prevention (CDC), Department of Health developing the final protocol. Occupational Safety and Health on The Director, Strategic Business and Human Services (HHS). matters related to the National Initiatives Unit, Office of the Chief ACTION: Notice of meeting. Firefighter Registry. Specifically, the Operating Officer, Centers for Disease Subcommittee provides guidance and Control and Prevention, has been SUMMARY: In accordance with the professional input to the Board of delegated the authority to sign Federal Federal Advisory Committee Act, the Scientific Counselors (BSC) that will CDC announces the following meeting Register notices pertaining to assist the BSC in advising the Director announcements of meetings and other of the Board of Scientific Counselors about NIOSH’s efforts to establish and (BSC), National Institute for committee management activities, for operate the National Firefighter both the Centers for Disease Control and Occupational Safety and Health Registry. The Subcommittee advises the (NIOSH), National Firefighter Registry Prevention and the Agency for Toxic Board of Scientific Counselors (BSC) on Substances and Disease Registry. Subcommittee. This meeting is open to the following issues pertaining to the the public via webcast and by ‘‘required strategy’’ as mandated by the Kalwant Smagh, teleconference. If you wish to attend by Firefighter Cancer Registry Act of 2018 Director, Strategic Business Initiatives Unit, webcast or teleconference, please (the Act): (1) Increase awareness of the Office of the Chief Operating Officer, Centers register at the NIOSH website https:// National Firefighter Registry and for Disease Control and Prevention. www.cdc.gov/niosh/bsc/nfrs/ encouraging participation among all [FR Doc. 2020–07304 Filed 4–6–20; 8:45 am] registration.html or call (513–841–4203) groups of firefighters, (2) consider data BILLING CODE 4163–18–P at least five business days in advance of collection needs, (3) consider data the meeting. Adobe Connect webcast storage and electronic access of health will be available at https://niosh- information, and (4) in consultation DEPARTMENT OF HEALTH AND connect.adobeconnect.com/nfrs/event/ with subject matter experts develop a HUMAN SERVICES _ event info.html for participants wanting method for estimating the number and to connect remotely, teleconference is Centers for Medicare & Medicaid type of fire incidents attended by a Services available toll-free at (855) 644–0229, firefighter. Additional responsibilities of and the participant pass code is the Subcommittee are to provide [Document Identifier: CMS–10260] 9777483. This meeting is open to the guidance to the BSC regarding inclusion public, limited only by the number of and the maintenance of data on Agency Information Collection adobe license seats available, which is firefighters as required by the Act. Activities: Submission for OMB 1,000. The public is welcome to Matters to be Considered: The agenda Review; Comment Request participate during the public comment for the meeting addresses issues related AGENCY: Centers for Medicare & period, from 11:15 a.m. to 12:00 p.m., to: The National Firefighter Registry Medicaid Services, HHS. EDT, on May 15, 2020. Please note that protocol including the questionnaire, ACTION: Notice. the public comment period ends at the enrollment process, and data sharing. time indicated above. Agenda items are subject to change as SUMMARY: The Centers for Medicare & DATES: The meeting will be held on May priorities dictate. An agenda is also Medicaid Services (CMS) is announcing 15, 2020, from 10:00 a.m. to 5:00 p.m., posted on the NIOSH website https:// an opportunity for the public to EDT. www.cdc.gov/niosh/bsc/nfrs/. comment on CMS’ intention to collect
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information from the public. Under the or sponsor. The term ‘‘collection of Health Plan Management System Paperwork Reduction Act of 1995 information’’ is defined in 44 U.S.C. (HPMS). MA organizations and Part D (PRA), federal agencies are required to 3502(3) and 5 CFR 1320.3(c) and plans submit marketing materials to the publish notice in the Federal Register includes agency requests or CMS marketing material review process concerning each proposed collection of requirements that members of the public using HPMS. Both current and potential information, including each proposed submit reports, keep records, or provide enrollees can review other marketing extension or reinstatement of an existing information to a third party. Section materials to find plan benefits, collection of information, and to allow 3506(c)(2)(A) of the PRA (44 U.S.C. premiums, and cost sharing for the a second opportunity for public 3506(c)(2)(A)) requires federal agencies coming year (after October 1) and the comment on the notice. Interested to publish a 30-day notice in the current year to be in a better position to persons are invited to send comments Federal Register concerning each make. regarding the burden estimate or any proposed collection of information, MA organizations and Part D sponsors other aspect of this collection of including each proposed extension or use the information discussed in the information, including the necessity and reinstatement of an existing collection Medicare Communication and utility of the proposed information of information, before submitting the Marketing Guidelines (MCMG) to collection for the proper performance of collection to OMB for approval. To comply with the requirements to seek the agency’s functions, the accuracy of comply with this requirement, CMS is CMS approval on marketing materials the estimated burden, ways to enhance publishing this notice that summarizes under MA and Part D law and the quality, utility, and clarity of the the following proposed collection(s) of regulations, as described above. CMS information to be collected, and the use information for public comment: requires MA organizations and Part D of automated collection techniques or 1. Type of Information Collection sponsors to obtain CMS approval of other forms of information technology to Request: Revision with change of a marketing materials to ensure that MA minimize the information collection currently approved collection; Title of organizations and Part D sponsors burden. Information Collection: Medicare disclose correct information to current Advantage and Prescription Drug and potential enrollees. Both current DATES: Comments on the collection(s) of Program: Final Marketing Provisions in and potential enrollees can review other information must be received by the 42 CFR 422.111(a)(3) and 423.128(a)(3); OMB desk officer by May 7, 2020. marketing materials to find plan Use: Pursuant to disclosure benefits, premiums, and cost sharing for ADDRESSES: When commenting on the requirements set out in sections the coming year (after October 1) and proposed information collections, 1851(d)(2)(A) and 1860D–1(c) of the the current year to be in a better please reference the document identifier Social Security Act (the Act), and cited position to make informed and educated or OMB control number. To be assured in §§ 422.111(a)(3) and 423.128(a)(3), plan selections. Form Number: CMS– consideration, comments and Medicare Advantage (MA) organizations 10260 (OMB control number: 0938– recommendations must be received by and Part D sponsors must provide notice 1051); Frequency: Yearly; Affected the OMB desk officer via one of the to plan members of impending changes Public: State, Local, or Tribal following transmissions: to plan benefits, premiums and cost Governments; Number of Respondents: Written comments and sharing in the coming year. To this 795; Total Annual Responses: 47,962; recommendations for the proposed effect, members will be in the best Total Annual Hours: 33,124. (For policy information collection should be sent position to make an informed choice on questions regarding this collection within 30 days of publication of this continued enrollment or disenrollment contact Timothy Roe at 410–786–2006.) notice to www.reginfo.gov/public/do/ from that plan at least 15 days before the PRAMain. Find this particular Annual Election Period (AEP) using the Dated: April 1, 2020 information collection by selecting Annual Notice of Change (ANOC) and William N. Parham, III, ‘‘Currently under 30-day Review—Open before the first day of the AEP for the Director, Paperwork Reduction Staff, Office for Public Comments’’ or by using the Evidence of Coverage (EOC). MA of Strategic Operations and Regulatory search function. organizations and Part D sponsors must Affairs. To obtain copies of a supporting notify plan members of the coming year [FR Doc. 2020–07181 Filed 4–6–20; 8:45 am] statement and any related forms for the changes using the standardized ANOC. BILLING CODE 4120–01–P proposed collection(s) summarized in Plans must disseminate the EOC at the this notice, you may make your request time of enrollment and at least annually using one of following: thereafter. DEPARTMENT OF HEALTH AND 1. Access CMS’ website address at CMS requires MA organizations and HUMAN SERVICES https://www.cms.gov/Regulations-and- Part D sponsors to use the standardized Centers for Medicare & Medicaid Guidance/Legislation/Paperwork documents being submitted for OMB Services ReductionActof1995/PRA-Listing.html. approval to satisfy disclosure 2. Email your request, including your requirements mandated by section 1851 [Document Identifier: CMS–10636 and CMS– address, phone number, OMB number, (d)(3)(A) of the Act and § 422.111 for 10592] and CMS document identifier, to MA organizations and section 1860D– [email protected]. 1(c) of the Act and § 423.128(a)(3) for Agency Information Collection 3. Call the Reports Clearance Office at Part D sponsors. Activities: Proposed Collection; (410) 786–1326. Sections 1851(h)(1) and (2) of the Act Comment Request FOR FURTHER INFORMATION CONTACT: require MA organizations and Part D AGENCY: Centers for Medicare & William Parham at (410) 786–4669. sponsors to obtain CMS approval of Medicaid Services, HHS. SUPPLEMENTARY INFORMATION: Under the marketing materials to ensure that MA ACTION: Notice. Paperwork Reduction Act of 1995 (PRA) organizations and Part D sponsors (44 U.S.C. 3501–3520), federal agencies disclose correct information to current SUMMARY: The Centers for Medicare & must obtain approval from the Office of and potential enrollees. CMS collects Medicaid Services (CMS) is announcing Management and Budget (OMB) for each and retains the MA organization and an opportunity for the public to collection of information they conduct Part D plan marketing materials via the comment on CMS’ intention to collect
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information from the public. Under the Contents published annually on CMS’s website. Paperwork Reduction Act of 1995 (the This notice sets out a summary of the Additional network policy guidance is PRA), federal agencies are required to use and burden associated with the also located in chapter 4 of the Medicare publish notice in the Federal Register following information collections. More Managed Care Manual. This collection concerning each proposed collection of detailed information can be found in of information is essential to information (including each proposed each collection’s supporting statement appropriate and timely compliance extension or reinstatement of an existing and associated materials (see monitoring by CMS, in order to ensure collection of information) and to allow ADDRESSES). that all active contracts offering network-based plans maintain an 60 days for public comment on the CMS–10636 Triennial Network adequate network. proposed action. Interested persons are Adequacy Review for Medicare CMS verifies that organizations are invited to send comments regarding our Advantage Organizations and 1876 compliant with the CMS network burden estimates or any other aspect of Cost Plans adequacy criteria by performing a this collection of information, including CMS–10592 Establishment of contract-level network review, which the necessity and utility of the proposed Exchanges and Qualified Health occurs when CMS requests an information collection for the proper Plans; Exchange Standards for organization upload provider and performance of the agency’s functions, Employers the accuracy of the estimated burden, facility Health Service Delivery (HSD) ways to enhance the quality, utility, and Under the PRA (44 U.S.C. 3501– tables for a given contract to the Health clarity of the information to be 3520), federal agencies must obtain Plan Management System (HPMS). CMS approval from the Office of Management collected, and the use of automated reviews networks on a three-year cycle, and Budget (OMB) for each collection of collection techniques or other forms of unless there is an event that triggers an information they conduct or sponsor. information technology to minimize the intermediate full network review, thus The term ‘‘collection of information’’ is information collection burden. resetting the organization’s triennial defined in 44 U.S.C. 3502(3) and 5 CFR review. The triennial review cycle will DATES: Comments must be received by 1320.3(c) and includes agency requests help ensure a consistent process for June 8, 2020. or requirements that members of the network oversight and monitoring. ADDRESSES: When commenting, please public submit reports, keep records, or Once CMS staff reviews the ACC reference the document identifier or provide information to a third party. reports and any Exception Requests OMB control number. To be assured Section 3506(c)(2)(A) of the PRA and/or Partial County Justifications, consideration, comments and requires federal agencies to publish a CMS then makes its final determination recommendations must be submitted in 60-day notice in the Federal Register on whether the organization is operating any one of the following ways: concerning each proposed collection of in compliance with current CMS 1. Electronically. You may send your information, including each proposed network adequacy criteria. If the comments electronically to http:// extension or reinstatement of an existing organization passes its network review www.regulations.gov. Follow the collection of information, before for a given contract, then CMS will take instructions for ‘‘Comment or submitting the collection to OMB for no further action. If the organization Submission’’ or ‘‘More Search Options’’ approval. To comply with this fails its network review for a given to find the information collection requirement, CMS is publishing this contract, then CMS will take document(s) that are accepting notice. appropriate compliance actions. CMS comments. Information Collection has developed a compliance 2. By regular mail. You may mail methodology for network adequacy written comments to the following 1. Type of Information Collection reviews that will ensure a consistent address: CMS, Office of Strategic Request: Revision with change of a approach across all organizations. Form Operations and Regulatory Affairs, currently approved collection; Title of Number: CMS–10636 (OMB control Division of Regulations Development, Information Collection: Triennial number: 0938–1346); Frequency: Yearly; Attention: Document Identifier/OMB Network Adequacy Review for Medicare Affected Public: Private Sector, Business Control Number lll, Room C4–26– Advantage Organizations and 1876 Cost or other for-profits; Number of 05, 7500 Security Boulevard, Baltimore, Plans; Use: CMS regulations at 42 CFR Respondents: 140; Total Annual Maryland 21244–1850. 417.414, 417.416, 422.112(a)(1)(i), and Responses: 1,416; Total Annual Hours: To obtain copies of a supporting 422.114(a)(3)(ii) require that all 12,772. (For policy questions regarding statement and any related forms for the Medicare Advantage organizations this collection contact Amber Casserly proposed collection(s) summarized in (MAOs) offering coordinated care plans, at 410–786–5530.) this notice, you may make your request network-based private fee-for-service 2. Type of Information Collection using one of following: (PFFS) plans, and as well as section Request: Extension without change of a 1. Access CMS’ website address at 1876 cost organizations, maintain a currently approved collection; Title of website address at https://www.cms.gov/ network of appropriate providers that is Information Collection: Establishment of Regulations-and-Guidance/Legislation/ sufficient to provide adequate access to Exchanges and Qualified Health Plans; PaperworkReductionActof1995/PRA- covered services to meet the needs of Exchange Standards for Employers; Use: Listing.html. the population served. To enforce this Section 1321(a) requires HHS to issue requirement, CMS developed network regulations setting standards for meeting 2. Email your request, including your adequacy criteria which set forth the the requirements under Title I of the address, phone number, OMB number, minimum number of providers and Affordable Care Act including the and CMS document identifier, to maximum travel time and distance from offering of Qualified Health Plans [email protected]. enrollees to providers, for required (QHPs) through the Exchanges. On 3. Call the Reports Clearance Office at provider specialty types in each county March 27, 2012, HHS published the rule (410) 786–1326. in the United States and its territories. CMS–9989–F: Establishment of FOR FURTHER INFORMATION CONTACT: Organizations must be in compliance Exchanges and Qualified Health Plans; William N. Parham at (410) 786–4669. with the current CMS network adequacy Exchange Standards for Employers. The SUPPLEMENTARY INFORMATION: criteria guidance, which is updated and Exchange rule contains provisions that
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mandate reporting and data collections solicits comments on the information identified, as confidential, if submitted necessary to ensure that health collection provisions of our as detailed in ‘‘Instructions.’’ insurance issuers are meeting the recordkeeping and records access Instructions: All submissions received requirements of the Affordable Care Act. requirements for food facilities. must include the Docket No. FDA– These information collection DATES: Submit either electronic or 2011–N–0016 for ‘‘Agency Information requirements are set forth in 45 CFR written comments on the collection of Collection Activities; Proposed part 156. information by June 8, 2020. Collection; Comment Request; Information collected by the ADDRESSES: You may submit comments Recordkeeping and Records Access Exchanges or Medicaid and CHIP Requirements for Food Facilities.’’ agencies will be used to determine as follows. Please note that late, untimely filed comments will not be Received comments, those filed in a eligibility for coverage through the timely manner (see ADDRESSES), will be Exchange and insurance affordability considered. Electronic comments must be submitted on or before June 8, 2020. placed in the docket and, except for programs (i.e., Medicaid, CHIP, and those submitted as ‘‘Confidential advance payment of the premium tax The https://www.regulations.gov electronic filing system will accept Submissions,’’ publicly viewable at credits); evaluate how CMS can best https://www.regulations.gov/ or at the communicate eligibility and enrollment comments until 11:59 p.m. Eastern Time at the end of June 8, 2020. Comments Dockets Management Staff between 9 updates to issuers; and assist consumers a.m. and 4 p.m., Monday through in enrolling in a QHP if eligible. received by mail/hand delivery/courier (for written/paper submissions) will be Friday. Applicants include anyone who may be • Confidential Submissions—To eligible for coverage through any of considered timely if they are postmarked or the delivery service submit a comment with confidential these programs. Form Number: CMS– information that you do not wish to be 10592 (OMB control number: 0938– acceptance receipt is on or before that date. made publicly available, submit your 1341); Frequency: Annually, Monthly, comments only as a written/paper Occasionally; Affected Public: Private Electronic Submissions submission. You should submit two Sector: Business or other for-profits; copies total. One copy will include the Number of Respondents: 250; Total Submit electronic comments in the following way: information you claim to be confidential Annual Responses: 250; Total Annual • with a heading or cover note that states Hours: 131,750. (For policy questions Federal eRulemaking Portal: https:// www.regulations.gov. Follow the ‘‘THIS DOCUMENT CONTAINS regarding this collection contact Anne CONFIDENTIAL INFORMATION.’’ The Pesto at 443–844–9966.) instructions for submitting comments. Comments submitted electronically, Agency will review this copy, including Dated: April 1, 2020. including attachments, to https:// the claimed confidential information, in William N. Parham, III, www.regulations.gov will be posted to its consideration of comments. The Director, Paperwork Reduction Staff, Office the docket unchanged. Because your second copy, which will have the of Strategic Operations and Regulatory comment will be made public, you are claimed confidential information Affairs. solely responsible for ensuring that your redacted/blacked out, will be available [FR Doc. 2020–07185 Filed 4–6–20; 8:45 am] comment does not include any for public viewing and posted on BILLING CODE 4120–01–P confidential information that you or a https://www.regulations.gov. Submit third party may not wish to be posted, both copies to the Dockets Management such as medical information, your or Staff. If you do not wish your name and DEPARTMENT OF HEALTH AND anyone else’s Social Security number, or contact information to be made publicly HUMAN SERVICES confidential business information, such available, you can provide this information on the cover sheet and not Food and Drug Administration as a manufacturing process. Please note that if you include your name, contact in the body of your comments and you [Docket No. FDA–2011–N–0016] information, or other information that must identify this information as identifies you in the body of your ‘‘confidential.’’ Any information marked Agency Information Collection comments, that information will be as ‘‘confidential’’ will not be disclosed Activities; Proposed Collection; posted on https://www.regulations.gov. except in accordance with 21 CFR 10.20 Comment Request; Recordkeeping • If you want to submit a comment and other applicable disclosure law. For and Records Access Requirements for with confidential information that you more information about FDA’s posting Food Facilities do not wish to be made available to the of comments to public dockets, see 80 FR 56469, September 18, 2015, or access AGENCY: Food and Drug Administration, public, submit the comment as a the information at: https:// HHS. written/paper submission and in the www.govinfo.gov/content/pkg/FR-2015- ACTION: Notice. manner detailed (see ‘‘Written/Paper Submissions’’ and ‘‘Instructions’’). 09-18/pdf/2015-23389.pdf. SUMMARY: The Food and Drug Docket: For access to the docket to Administration (FDA or Agency) is Written/Paper Submissions read background documents or the announcing an opportunity for public Submit written/paper submissions as electronic and written/paper comments comment on the proposed collection of follows: received, go to https:// certain information by the Agency. • Mail/Hand Delivery/Courier (for www.regulations.gov and insert the Under the Paperwork Reduction Act of written/paper submissions): Dockets docket number, found in brackets in the 1995 (PRA), Federal Agencies are Management Staff (HFA–305), Food and heading of this document, into the required to publish notice in the Drug Administration, 5630 Fishers ‘‘Search’’ box and follow the prompts Federal Register concerning each Lane, Rm. 1061, Rockville, MD 20852. and/or go to the Dockets Management proposed collection of information, • For written/paper comments Staff, 5630 Fishers Lane, Rm. 1061, including each proposed extension of an submitted to the Dockets Management Rockville, MD 20852. existing collection of information, and Staff, FDA will post your comment, as FOR FURTHER INFORMATION CONTACT: to allow 60 days for public comment in well as any attachments, except for Domini Bean, Office of Operations, response to the notice. This notice information submitted, marked and Food and Drug Administration, Three
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White Flint North, 10A–12M, 11601 Recordkeeping and Records Access 111–353) amended section 414(a) of the Landsdown St., North Bethesda, MD Requirements for Food Facilities—21 FD&C Act and expanded our access to 20852, 301–796–5733, PRAStaff@ CFR 1.337, 1.345, and 1.352 records. Specifically, FSMA expanded fda.hhs.gov. OMB Control Number 0910–0560— our access to records beyond records Extension relating to the specific suspect article of SUPPLEMENTARY INFORMATION: Under the food to records relating to any other PRA (44 U.S.C. 3501–3521), Federal The Public Health Security and article of food that we reasonably Agencies must obtain approval from the Bioterrorism Preparedness and believe is likely to be affected in a Office of Management and Budget Response Act of 2002 added section 414 similar manner. In addition, we can (OMB) for each collection of of the Federal Food, Drug, and Cosmetic access records if we believe that there is information they conduct or sponsor. Act (FD&C Act) (21 U.S.C. 350c), which a reasonable probability that the use of ‘‘Collection of information’’ is defined requires that persons who manufacture, or exposure to an article of food, and in 44 U.S.C. 3502(3) and 5 CFR process, pack, hold, receive, distribute, any other article of food that we transport, or import food in the United 1320.3(c) and includes Agency requests reasonably believe is likely to be States establish and maintain records or requirements that members of the affected in a similar manner, will cause identifying the immediate previous serious adverse health consequences or public submit reports, keep records, or sources and immediate subsequent death to humans or animals. To gain provide information to a third party. recipients of food. Sections 1.326 access to these records, our officer or Section 3506(c)(2)(A) of the PRA (44 through 1.363 of our regulations (21 employee must present appropriate U.S.C. 3506(c)(2)(A)) requires Federal CFR 1.326 through 1.363) set forth the Agencies to provide a 60-day notice in requirements for recordkeeping and credentials and a written notice, at the Federal Register concerning each records access. The requirement to reasonable times and within reasonable proposed collection of information, establish and maintain records improves limits and in a reasonable manner. including each proposed extension of an our ability to respond to, and further The information collection provisions existing collection of information, contain, threats of serious adverse of § 1.361 are exempt from OMB review before submitting the collection to OMB health consequences or death to humans under 44 U.S.C. 3518(c)(1)(B)(ii) and 5 for approval. To comply with this or animals from accidental or deliberate CFR 1320.4(a)(2) as collections of requirement, FDA is publishing notice contamination of food. information obtained during the of the proposed collection of Information maintained under these conduct of an administrative action, information set forth in this document. regulations helps us identify and investigation, or audit involving an quickly locate contaminated or agency against specific individuals or With respect to the following potentially contaminated food and entities. The regulations at 5 CFR collection of information, FDA invites inform the appropriate individuals and 1320.3(c) provide that the exception in comments on these topics: (1) Whether food facilities of specific terrorist 5 CFR 1320.4(a)(2) applies during the the proposed collection of information threats. Our regulations require that entire course of the investigation, audit, is necessary for the proper performance records for non-transporters include the or action, but only after a case file or of FDA’s functions, including whether name and full contact information of equivalent is opened with respect to a the information will have practical sources, recipients, and transporters; an particular party. Such a case file would utility; (2) the accuracy of FDA’s adequate description of the food, be opened as part of the request to estimate of the burden of the proposed including the quantity and packaging; access records under § 1.361. collection of information, including the and the receipt and shipping dates Accordingly, we have not included an validity of the methodology and (§§ 1.337 and 1.345). Required records estimate of burden hours associated assumptions used; (3) ways to enhance for transporters include the names of with § 1.361 in table 1. consignor and consignee, points of the quality, utility, and clarity of the Description of Respondents: information to be collected; and (4) origin and destination, date of shipment, number of packages, Respondents to this collection of ways to minimize the burden of the information are persons that collection of information on description of freight, route of movement and name of each carrier manufacture, process, pack, hold, respondents, including through the use receive, distribute, transport, or import of automated collection techniques, participating in the transportation, and transfer points through which shipment food in the United States who are when appropriate, and other forms of moved (§ 1.352). Existing records may required to establish and maintain information technology. be used if they contain all the required records, including persons that engage information and are retained for the in both interstate and intrastate required time period. commerce. Section 101 of the FDA Food Safety We estimate the burden of this Modernization Act (FSMA) (Pub. L. collection of information as follows:
TABLE 1—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1
Number of Average 21 CFR section; activity Number of records per Total annual burden per Total hours recordkeepers recordkeeper records recordkeeping
1.337, 1.345, and 1.352 (Records maintenance) ...... 379,493 1 379,493 6.61 2,508,449 1.337, 1.345, and 1.352 (Learning for new firms) ...... 18,975 1 18,975 4.5 85,388
Total ...... 2,593,837 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
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Based on a review of the information and Drug Administration (FDA), like York, NY 10016: ANDA 073191, collection since our last request for other government agencies, is taking the Triamterene and Hydrochlorothiazide OMB approval, we have made necessary steps to ensure the Agency is Capsules USP, 50 milligrams (mg)/25 adjustments to our burden estimate to prepared to continue our vital public mg; ANDA 076075, Econazole Nitrate account for advances in information and health mission in the event that our day- Cream, 1%; ANDA 076192, Ribavirin communication technology that have to-day operations are impacted by the Capsules USP, 200 mg; ANDA 076514, occurred in the last decade. Because the COVID–19 public health emergency. Midodrine Hydrochloride (HCl) Tablets transition from paper-based to Therefore, we are canceling or USP, 2.5 mg, 5 mg, and 10 mg; ANDA electronic records systems is postponing all non-essential meetings 086809, Spironolactone Tablets USP, 25 widespread, we estimate that the through the month of April. We will mg; ANDA 090288, Naratriptan Tablets average burden per recordkeeping has reassess on an ongoing basis for future USP, Equivalent to (EQ) 1 mg base and decreased by 50 percent. With regards to months. Therefore, this meeting is being EQ 2.5 mg base; and ANDA 203384, records maintenance, we estimate that postponed. The meeting was announced Epinastine HCl Ophthalmic Solution, approximately 379,493 facilities each in the Federal Register on February 20, 0.05%. Before FDA withdrew the spend half the amount of time from the 2020. approval of these ANDAs, CASI 13.228 hours previously reported to 6.61 FOR FURTHER INFORMATION CONTACT: Pharmaceuticals, Inc., informed FDA hours collecting, recording, and LaToya Bonner, Center for Drug that it did not want the approval of the checking for accuracy of the limited Evaluation and Research, Food and ANDAs withdrawn. Because CASI amount of additional information Drug Administration, 10903 New Pharmaceuticals, Inc., timely requested required by the regulations, for a total of Hampshire Ave., Bldg. 31, Rm. 2417, that approval of these ANDAs not be 2,508,449 hours annually. In addition, Silver Spring, MD 20993–0002, 301– withdrawn, the approval of ANDAs we estimate that new firms entering the 796–9001, Fax: 301–847–8533, email: 073191, 076075, 076192, 076514, affected businesses incur a burden from [email protected], or FDA Advisory 086809, 090288, and 203384 is still in learning the regulatory requirements Committee Information Line, 1–800– effect. and understanding the records required 741–8138 (301–443–0572 in the FOR FURTHER INFORMATION CONTACT: for compliance. In this regard, we Washington, DC area), and follow the Martha Nguyen, Center for Drug estimate the number of new firms prompts to the desired center or product Evaluation and Research, Food and entering the affected businesses is 5 area. Please call the Information Line for Drug Administration, 10903 New percent of 379,493, or 18,975 firms. up-to-date information on this meeting, Hampshire Ave., Bldg. 75, Rm. 1676, Thus, we estimate that approximately which was announced in the Federal Silver Spring, MD 20993–0002, 240– 18,975 facilities each spend, on average, Register of February 20, 2020 (85 FR 402–6980, [email protected]. 4.5 hours learning about the 9780). SUPPLEMENTARY INFORMATION: In the recordkeeping and records access Federal Register of Wednesday, January Dated: April 1, 2020. requirements, for a total of 85,388 hours 8, 2020 (85 FR 909), in FR Doc. 2020– annually. This estimate reflects a Lowell J. Schiller, 00076, on page 909, the following reduction from 4.79 to 4.5 average hours Principal Associate Commissioner for Policy. correction is made: per facility to account for the increase [FR Doc. 2020–07262 Filed 4–6–20; 8:45 am] 1. On pages 909 and 910, in the table, in facilities using internet, which BILLING CODE 4164–01–P the entries for ANDAs 073191, 076075, increased from 71 to 99 percent. We 076192, 076514, 086809, 090288, and estimate that approximately the same 203384 are removed. number of firms (18,975) exit the group DEPARTMENT OF HEALTH AND HUMAN SERVICES Dated: April 1, 2020. of affected businesses in any given year, Lowell J. Schiller, resulting in no growth in the number of Food and Drug Administration Principal Associate Commissioner for Policy. total firms reported on line 1 of table 1. [Docket No. FDA–2019–N–5550] [FR Doc. 2020–07265 Filed 4–6–20; 8:45 am] Dated: April 1, 2020. BILLING CODE 4164–01–P Lowell J. Schiller, Elite Laboratories, Inc., et al.; Principal Associate Commissioner for Policy. Withdrawal of Approval of 23 [FR Doc. 2020–07275 Filed 4–6–20; 8:45 am] Abbreviated New Drug Applications; DEPARTMENT OF HEALTH AND HUMAN SERVICES BILLING CODE 4164–01–P Correction AGENCY: Food and Drug Administration, Health Resources and Services DEPARTMENT OF HEALTH AND HHS. Administration HUMAN SERVICES ACTION: Notice; correction. Ryan White HIV/AIDS Program Part F; Food and Drug Administration SUMMARY: The Food and Drug AIDS Education and Training Centers; Administration (FDA) is correcting a National HIV Curriculum e-Learning [Docket No. FDA–2020–N–0626] notice that appeared in the Federal Platform: Technology Operations and Maintenance Project Pulmonary-Allergy Drugs Advisory Register on January 8, 2020. The Committee; Postponed document announced the withdrawal of AGENCY: Health Resources and Services approval of 23 abbreviated new drug Administration (HRSA), Department of AGENCY: Food and Drug Administration, applications (ANDAs) from multiple Health and Human Services. HHS. applicants, withdrawn as of February 7, ACTION: Notice of supplemental award. ACTION: Notice. 2020. The document indicated that FDA was withdrawing approval of the SUMMARY: HRSA’s HIV/AIDS Bureau SUMMARY: The meeting of the following seven ANDAs after receiving will award $100,000 in supplemental Pulmonary-Allergy Drugs Advisory a withdrawal request from CASI funding to the University of Washington Committee (PADAC) scheduled for Pharmaceuticals, Inc., c/o Target Health, to support the AIDS Education and April 21, 2020, is postponed. The Food Inc., 261 Madison Ave., 24th Floor, New Training Centers’ (AETC) National HIV
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Curriculum (NHC) e-Learning Platform: the skills and knowledge base of which will be posted 30 calendar days Technology Operations and professionals that care for people with before the meeting. Maintenance project in Fiscal Year (FY) or at risk for HIV. In addition, DATES: July 29–30, 2020; 9:00 a.m. to 2020 and, pending the availability of supplemental funding will allow this 5:00 p.m. Mountain Time (MT). funds, in each succeeding year of the recipient to ensure that providers in project’s period of performance. This EHE target areas are aware of the ADDRESSES: The meeting will be held in- supplemental funding will enable the National HIV Curriculum and know person at Courtyard Boulder Longmont, recipient to implement technological how to access and use it. Expanding the 1410 Dry Creek Drive, Longmont, enhancements to the NHC eLearning availability of state-of-the-art HIV care Colorado 80503. Platform to increase access and improve and treatment training resources will Instructions for joining the meeting efficiency of new online training help prepare for the projected increase in-person will be posted on the NACMH modules and learning activities that in demand for well-trained HIV care website 30 business days before the date respond to specific needs, as identified, professionals as a result of the EHE of the meeting. For meeting information by Ending the HIV Epidemic: A Plan for rollout. This award recipient has the updates, go to the NACMH website at: America (EHE) initiative jurisdictions. demonstrated expertise and scalable https://bphc.hrsa.gov/quality These system enhancements will help experience required to swiftly address improvement/strategicpartnerships/ increase the number of health these time-sensitive training and nacmh/index.html. professionals that have access to state of technical assistance needs. FOR FURTHER INFORMATION CONTACT: the art HIV treatment interventions and Thomas J. Engels, Esther Paul, NACMH Designated protocols. Administrator. Federal Officer (DFO), Strategic FOR FURTHER INFORMATION CONTACT: Initiatives and Planning Division, Office Sherrillyn Crooks, Chief, HIV Education [FR Doc. 2020–07314 Filed 4–6–20; 8:45 am] BILLING CODE 4165–15–P of Policy and Program Development, Branch, Office of Training and Capacity Bureau of Primary Health Care, HRSA, Development, HRSA, 5600 Fishers Lane, 5600 Fishers Lane, Rockville, Maryland Room 9N110, Rockville, MD 20857, by DEPARTMENT OF HEALTH AND 20857; 301–594–4300; or epaul@ email at [email protected] or by phone HUMAN SERVICES hrsa.gov. at (301) 443–7662. Correction: The NACMH meeting SUPPLEMENTARY INFORMATION: Health Resources and Services originally scheduled to take place on Intended Recipient of the Award: The Administration May 5–6, 2020, is re-scheduled to July University of Washington, AIDS 29–30, 2020. Education and Training. Rescheduling National Advisory Centers National HIV Curriculum e- Council on Migrant Health Meeting Maria G. Button, Learning Platform: Technology Director, Executive Secretariat. AGENCY: Health Resources and Services Operations and Maintenance project. [FR Doc. 2020–07204 Filed 4–6–20; 8:45 am] Administration (HRSA); Department of Amount of Award: $100,000 is BILLING CODE 4165–15–P available in FY 2020. Health and Human Services (HHS). Project Period: March 1, 2020–August ACTION: Notice; correction. 31, 2022. DEPARTMENT OF HEALTH AND CFDA Number: 93.145. SUMMARY: This is to notify the public HUMAN SERVICES Authority: 42 U.S.C. 300ff–111(a) that the National Advisory Council on (section 2692(a) of the Public Health Migrant Health (NACMH) meeting, Health Resources and Services Service (PHS) Act), 42 U.S.C. 300ff–121 originally scheduled for May 5–6, 2020, Administration (section 2693 of the PHS Act), and is re-scheduled to July 29–30, 2020. The Further Consolidated Appropriations May 5–6, 2020, NACMH meeting was Ryan White HIV/AIDS Program Part F Act, 2020 (Pub. L. 116–94). announced in the Federal Register, Vol. Regional AIDS Education and Training Justification: The University of 85, No. 41, on Monday, March 2, 2020 Centers Washington currently manages the e- (FR Doc. 2020–04169 Filed 2–28–20). Learning platform, which hosts the The decision to re-schedule the NACMH AGENCY: Health Resources and Services AETC’s web-based NHC. The NHC e- meeting has been made after carefully Administration (HRSA), Department of Learning Platform provides state of the examining the Centers for Disease Health and Human Services. art HIV care training and resources to Control and Prevention’s ACTION: Notice of supplemental award. providers nation-wide. With additional recommendations to restrict all non- supplemental funding, the University of essential travel, and the widespread SUMMARY: HRSA’s HIV/AIDS Bureau Washington will strengthen the existing health risks posed by COVID–19 to the will award supplemental funding to the capacity of the e-Learning platform to American public. The location and eight current recipients of the Ryan ensure that additional, up-to-date HIV agenda for the re-scheduled NACMH White HIV/AIDS Program Part F treatment resources and information are meeting remains as posted in the Regional AIDS Education and Training available, with a special focus on Federal Register, Vol. 85, No. 41, on Centers (AETC) in Fiscal Year (FY) 2020 jurisdictions targeted by the EHE Monday, March 2, 2020. For calendar and pending the availability of funds, in initiative. year 2020 meetings, agenda items may each succeeding fiscal year of their The supplemental award will enable include, but are not limited to, topics periods of performance. The recipients the recipient to leverage its existing and issues related to migratory and will use this supplement funding to infrastructure to meet the learning needs seasonal agricultural worker health. provide critical expertise and resources of the HIV workforce in EHE designated Refer to the NACMH website listed to respond to the specific workforce areas. The recipient will be able to below for all current and updated development needs of novice and enhance and maintain an e-Learning information concerning the calendar experienced health professionals who Platform that provides a valuable and year 2020 NACMH meetings, including care for people with or at risk for HIV accessible tool designed to strengthen draft agendas and meeting materials, in Ending the HIV Epidemic focus areas.
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TABLE 1—AWARD RECIPIENTS AND AMOUNTS
FY20 Grant No. Award recipient supplemental Estimated out-year award supplemental amount
U1OHA29294 ...... University of Massachusetts ...... $90,290 FY21—$316,016 FY22—316,016 FY23—316,016 FY24—316,016 U1OHA29295 ...... University of Pittsburgh ...... 187,735 FY21—657,074 FY22—657,074 FY23—657,074 FY24—657,074 U1OHA29291 ...... The Trustees of Columbia University in the City of 240,112 FY21—840,392 New York. FY22—840,392 FY23—840,392 FY24—840,392 U1OHA30535 ...... Vanderbilt University Medical Center ...... 700,020 FY21—2,450,068 FY22—2,450,068 FY23—2,450,068 FY24—2,450,068 U1OHA33225 ...... University of New Mexico ...... 395,061 FY21—1,382,714 FY22—1,382,714 FY23—1,382,714 FY24—1,382,714 U1OHA29293 ...... University of Illinois ...... 363,864 FY21—1,273,524 FY22—1,273,524 FY23—1,273,524 FY24—1,273,524 U1OHA29292 ...... University of California San Francisco ...... 336,021 FY21—1,176,074 FY22—1,176,074 FY23—1,176,074 FY24—1,176,074 U1OHA29296 ...... The University of Washington ...... 86,897 FY21—304,139 FY22—304,139 FY23—304,139 FY24—304,139
Regional AETCs Funding Levels in FY America (EHE) jurisdictions, which are expertise and scalable experience 2020 and throughout the period of 48 counties; Washington, DC; San Juan, required to address these time-sensitive performance. Funding beyond FY 2020 Puerto Rico; and seven states that have training and technical assistance needs. is subject to the availability of a substantial rural HIV burden. Since FOR FURTHER INFORMATION CONTACT: appropriated funds, satisfactory the AETC regional centers operate in all Sherrillyn Crooks, Chief, HIV Education recipient performance, and a decision U.S. states and territories, the target Branch, Office of Training and Capacity that continued funding is in the best areas of the EHE are already Development, HRSA, 5600 Fishers Lane, interest of the federal government. encompassed in their service areas. This Room 9N110, Rockville, MD 20857, by SUPPLEMENTARY INFORMATION: geographic coverage offers HRSA a email at [email protected] or by phone Intended Recipient of the Award: strategic opportunity to leverage the at (301) 443–7662. Regional AIDS Education and Training existing AETC infrastructure and their Centers as listed on TABLE 1. established networks of health care Thomas J. Engels, Amount of Award: $2,400,000 providers and professional training Administrator. available in FY 2020. See TABLE 1 for institutions to provide critical, time- [FR Doc. 2020–07205 Filed 4–6–20; 8:45 am] award amounts in each subsequent year sensitive training and technical BILLING CODE 4165–15–P of each regional AETC’s period of assistance in EHE jurisdictions. Further, performance. since the goals of the AETC program CFDA Number: 93.145. directly align with the goals of the EHE DEPARTMENT OF HEALTH AND Project Period: March 1, 2020– June HUMAN SERVICES 30, 2024. initiative, regional AETCs are uniquely positioned to immediately begin Authority: 42 U.S.C. 300ff–111(a) Health Resources and Services (section 2692(a) of the Public Health delivering targeted, multidisciplinary Administration Service (PHS) Act), 42 U.S.C. 300ff–121 education and training to new and (section 2693 of the PHS Act), and experienced health care professionals to Ryan White HIV/AIDS Program Part F; Further Consolidated Appropriations enable them to provide quality HIV care AIDS Education and Training Centers; Act, 2020 (Pub. L. 116–94). and treatment in the EHE jurisdictions. Enhancement and Update of the Justification: The award recipients Supplemental funds are necessary to National HIV Curriculum e-Learning will provide specialized HIV focused support timely implementation of Platform training and technical assistance (T/TA) critical training and technical assistance to providers in geographic areas with to providers in geographic locations AGENCY: Health Resources and Services the highest HIV burden, targeted as identified by the EHE initiative. The Administration (HRSA), Department of Ending the HIV Epidemic: A Plan for award recipients have the demonstrated Health and Human Services.
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ACTION: Notice of supplemental award. and expand its focus to include the PRAMain. Find this particular specific educational needs of HIV care information collection by selecting SUMMARY: HRSA’s HIV/AIDS Bureau and treatment providers in EHE ‘‘Currently under 30-day Review—Open will award $100,000 in supplemental designated areas. The supplemental for Public Comments’’ or by using the funding to the University of funds will enable the University of search function. Washington. This award is to support Washington to deploy more robust FOR FURTHER INFORMATION CONTACT: To the Ryan White HIV/AIDS Program Part outreach efforts that target EHE F AIDS Education and Training Centers request a copy of the clearance requests jurisdictions to ensure that they are submitted to OMB for review, email Lisa (AETC) Enhancement and Update of the aware of and can use this valuable web- National HIV Curriculum e-Learning Wright-Solomon, the HRSA Information based resource. Engaging new and Collection Clearance Officer at Platform project in Fiscal Year (FY) experienced HIV providers and health 2020 and in each succeeding year of [email protected] or call (301) 443– professions training institutions in EHE 1984. their periods of performance, pending regions will allow the University of the availability of funds. This SUPPLEMENTARY INFORMATION: Washington to better discern and Information Collection Request Title: supplemental funding will enable the directly respond to any training needs University of Washington to make AIDS Drug Assistance Program Data or gaps these providers and institutions Report (ADAP) OMB No. 0915–0345— critical content enhancements to the may identify. Expanding the availability Revisions. National HIV Curriculum e-Learning of state-of-the-art HIV care and Platform that respond to the specific Abstract: HRSA’s Ryan White HIV/ treatment training resources will help AIDS Program AIDS Drug Assistance training and technical assistance needs prepare for the projected increase in Program (RWHAP ADAP) is authorized of HIV treatment professionals located demand for well-trained HIV care under Part B of the RWHAP legislation, in the jurisdictions targeted by the professionals as a result of the EHE codified in sections 2611 et seq. of the Ending the HIV Epidemic: A Plan for rollout. This award recipient has the Public Health Service Act, which America (EHE) initiative. Further, it will demonstrated expertise and scalable provides grants to U.S. states and ensure that more health professionals in experience required to address these territories. HRSA’s RWHAP ADAP is a EHE jurisdictions have access to the time-sensitive technical and training state and territory-administered program most up-to-date HIV treatment assistance. interventions and protocols, thus that provides Food and Drug increasing their competency to provide Thomas J. Engels, Administration-approved medications high-quality care for people with HIV Administrator. to low-income people with HIV who and in so doing, advance the goals of the [FR Doc. 2020–07214 Filed 4–6–20; 8:45 am] have limited or no health coverage from EHE. BILLING CODE 4165–15–P private insurance, Medicaid, or FOR FURTHER INFORMATION CONTACT: Medicare. HRSA’s RWHAP ADAP funds Sherrillyn Crooks, Chief, HIV Education may also be used to purchase health Branch, Office of Training and Capacity DEPARTMENT OF HEALTH AND insurance for eligible clients and for Development, HRSA, 5600 Fishers Lane, HUMAN SERVICES services that enhance access, adherence, Room 9N110, Rockville, MD 20857, by and monitoring of drug treatments. Health Resources and Services email at [email protected] or by phone All 50 states, the District of Columbia, Administration at (301) 443–7662. Puerto Rico, Guam, the U.S. Virgin Islands, and the five U.S. Pacific SUPPLEMENTARY INFORMATION: Agency Information Collection Intended Recipient of the Award: The Territories or Associated Jurisdictions Activities: Submission to OMB for receive RWHAP Part B grant awards University of Washington, AETC Review and Approval; Public Comment including funds for RWHAP ADAP. Enhancement and Update of the Request; AIDS Drug Assistance RWHAP Part B reporting requirements National HIV Curriculum e-Learning Program Data Report ADR, OMB No. include the annual submission of an Platform project. 0915–0345—Revision Amount of Award: $100,000 available ADAP Data Report (ADR), including a in FY 2020. AGENCY: Health Resources and Services Recipient Report and a Client Report. Project Period: March 1, 2020–August Administration (HRSA), Department of The Recipient Report is a collection of 31, 2022. Health and Human Services. basic information about grant recipient CFDA Number: 93.145. ACTION: Notice. characteristics and policies including Authority: 42 U.S.C. 300ff–111(a) program administration, purchasing (section 2692(a) of the Public Health SUMMARY: In compliance with of the mechanisms, funding, and Service (PHS) Act), 42 U.S.C. 300ff–121 Paperwork Reduction Act of 1995, expenditures. The Client Report is a (section 2693 of the PHS Act), and HRSA has submitted an Information collection of client-level records (one Further Consolidated Appropriations Collection Request (ICR) to the Office of record for each client enrolled in the Act, 2020 (Pub. L. 116–94). Management and Budget (OMB) for RWHAP ADAP), which includes the Justification: The University of review and approval. Comments client’s encrypted unique identifier, Washington currently manages the submitted during the first public review basic demographic data, enrollment AETC’s web-based National HIV of this ICR will be provided to OMB. information, services received and Curriculum-e-Learning Platform. The OMB will accept further comments from clinical data. National HIV Curriculum e-Learning the public during the review and HRSA is proposing several changes to Platform provides virtual state of the art approval period. the ADR Recipient and Client Reports to training and resources to HIV treatment DATES: Comments on this ICR should be improve question clarity, delete obsolete and care professionals. The recipient received no later than May 7, 2020. data elements, combine related data will use this supplement award to ADDRESSES: Written comments and elements, add new data elements, and enhance the quality and relevance of the recommendations for the proposed improve response options to reflect of training and technical assistance information collection should be sent program practices and support HRSA’s resources offered through the National within 30 days of publication of this analysis and understanding of program HIV Curriculum e-Learning Platform notice to www.reginfo.gov/public/do/ impact. In addition, a new initiative,
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Ending the HIV Epidemic: A Plan for National Drug Code from the Drug client-level data is used to monitor America (EHE), began in Fiscal Year Identification Code (d-codes); health outcomes of people with HIV 2020 and some of its data collection • revision to reporting of clinical data receiving care and treatment through the requirements will be incorporated in for clients to include all clients rather HRSA RWHAP ADAP, to monitor the existing annual data collections, than a subset of clients; and use of HRSA RWHAP ADAP funds in • including the ADR, in order to limit deletion of three data elements that addressing the HIV epidemic and its recipient burden. Specifically, the were combined with other existing data impact on vulnerable communities, and Recipient Report includes the following elements. to track progress toward achieving the proposed changes: New and revised data elements • goals identified in the National HIV/ Addition of two new ‘‘Yes/No’’ require reporting of information that AIDS Strategy. questions should already be collected by • addition of one new follow-up recipients to meet legislative or Likely Respondents: State ADAPs of question that requests the number of programmatic requirements for the RWHAP Part B recipients. new clients enrolled proper oversight and administration of Burden Statement: Burden in this • addition of one question on funding the program. context means the time expended by to monitor the use of funds provided to A 60-day notice was published in the persons to generate, maintain, retain, ADAPs for the EHE initiative Federal Register on December 3, 2019, disclose or provide the information • clarification on two existing vol. 84, No. 232; pp. 66202–03. There requested. This includes the time questions were two public comments. Both needed to review instructions; to • revision to one existing question comments were requests to clarify the develop, acquire, install, and utilize that requests program income and data reporting changes, which included manufacturer rebates reinvested in requests for a copy of the ADR technology and systems for the purpose ADAP, and instrument. of collecting, validating, and verifying • deletion of six obsolete data Need and Proposed Use of the information, processing and elements. Information: HRSA’s RWHAP requires maintaining information, and disclosing The Client Report includes the the submission of annual reports by the and providing information; to train following proposed changes: Secretary of Department of Health and personnel and to be able to respond to • Revision to reporting of RWHAP Human Services to the appropriate a collection of information; to search ADAP-funded medications to include committees of Congress. HRSA uses the data sources; to complete and review all medications rather than a subset of ADR to evaluate the national impact of the collection of information; and to medications; the HRSA RWHAP ADAP by providing transmit or otherwise disclose the • revision to one existing question client-level data on individuals being information. The total annual burden that requests reporting of all RWHAP served, services being delivered, and hours estimated for this ICR are ADAP-funded medications using the costs associated with these services. The summarized in the table below.
TOTAL ESTIMATED ANNUALIZED BURDEN—HOURS
Number of Average Number of responses Total burden per Total burden Form name respondents per responses response hours respondent (in hours)
Recipient Report ...... 54 1 54 6 324 Client-Level Report ...... 54 1 54 81 4,374
Total ...... * 54 ...... 54 ...... 4,698
Maria G. Button, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Health, 6701 Democracy Boulevard, Suite Director, Executive Secretariat. as amended. The grant applications and 668, Bethesda, MD 20892 (Virtual Meeting). [FR Doc. 2020–07247 Filed 4–6–20; 8:45 am] the discussions could disclose Contact Person: Nisan Bhattacharyya, BILLING CODE 4165–15–P confidential trade secrets or commercial Ph.D., Scientific Review Officer, Scientific property such as patentable material, Review Branch, National Institute of Dental and personal information concerning and Craniofacial Research, National Institutes DEPARTMENT OF HEALTH AND individuals associated with the grant of Health, 6701 Democracy Boulevard, Suite HUMAN SERVICES applications, the disclosure of which 668, Bethesda, MD 20892, 301–451–2405, would constitute a clearly unwarranted [email protected]. National Institutes of Health invasion of personal privacy. (Catalogue of Federal Domestic Assistance Program Nos. 93.121, Oral Diseases and National Institute of Dental & Name of Committee: National Institute of Disorders Research, National Institutes of Craniofacial Research; Notice of Dental and Craniofacial Research Special Health, HHS) Closed Meeting Emphasis Panel NIDCR Secondary and Genomic Data Analysis Application Review Dated: April 1, 2020. Pursuant to section 10(d) of the Meeting. Melanie J. Pantoja, Federal Advisory Committee Act, as Date: July 1, 2020. Program Analyst, Office of Federal Advisory amended, notice is hereby given of the Time: 12:00 p.m. to 5:00 p.m. Committee Policy. following meeting. Agenda: To review and evaluate grant The meeting will be closed to the applications. [FR Doc. 2020–07192 Filed 4–6–20; 8:45 am] public in accordance with the Place: National Institute of Dental and BILLING CODE 4140–01–P provisions set forth in sections Craniofacial Research, National Institutes of
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DEPARTMENT OF HOMELAND address: FEMA-Information-Collections- Comments SECURITY [email protected]. Comments may be submitted as SUPPLEMENTARY INFORMATION: The indicated in the ADDRESSES caption Federal Emergency Management National Flood Insurance Program above. Comments are solicited to (a) Agency (NFIP) is authorized by Public Law 90– evaluate whether the proposed data [Docket ID: FEMA–2020–0010; OMB No. 448 (1968) and expanded by Public Law collection is necessary for the proper 1660–0033] 93–234 (1973) and requires that the performance of the agency, including Federal Emergency Management Agency whether the information shall have Agency Information Collection (FEMA) provide flood insurance. FEMA practical utility; (b) evaluate the Activities: Proposed Collection; delineates flood zones on a Flood accuracy of the agency’s estimate of the Comment Request; Residential Insurance Rate Map to identify Special burden of the proposed collection of Basement Floodproofing Certification Flood Hazard Areas (SFHAs) in a information, including the validity of community. Title 44 CFR 60.3(c)(2) the methodology and assumptions used; AGENCY: Federal Emergency requires that all new construction and (c) enhance the quality, utility, and Management Agency, DHS. substantial improvements of residential clarity of the information to be ACTION: Notice and request for structures within SFHA Zones A1–30, collected; and (d) minimize the burden comments. AE and AH zones have the lowest floor, of the collection of information on those SUMMARY: The Federal Emergency including the basement, elevated to or who are to respond, including through Management Agency, as part of its above the base flood level unless an the use of appropriate automated, continuing effort to reduce paperwork exception is granted. Title 44 CFR electronic, mechanical, or other and respondent burden, invites the 60.6(a)(7) and 44 CFR 60.6(b)(1) allow technological collection techniques or general public to take this opportunity communities to apply for an exception other forms of information technology, to comment on an extension, without when circumstances present a hardship e.g., permitting electronic submission of change, of a currently approved that would not allow for adherence to responses. the requirement for elevation above the information collection. In accordance Maile Arthur, with the Paperwork Reduction Act of base flood level. This exception must meet the conditions set forth in 44 CFR Acting Records Management Branch Chief, 1995, this notice seeks comments Office of the Chief Administrative Officer, concerning information collected for 60.6(c). When owners of residential Mission Support, Federal Emergency eligible properties insured under the structures in these zones are seeking Management Agency, Department of National Flood Insurance Program flood insurance, they must be certified Homeland Security. (NFIP) policies to certify the that the structural design is floodproof. [FR Doc. 2020–07270 Filed 4–6–20; 8:45 am] floodproofing of residential basements. Collection of Information BILLING CODE 9111–52–P DATES: Comments must be submitted on Title: Residential Basement or before June 8, 2020. Floodproofing Certification. DEPARTMENT OF HOMELAND ADDRESSES: To avoid duplicate Type of Information Collection: SECURITY submissions to the docket, please use Extension, without change, of a only one of the following means to currently approved information U.S. Citizenship and Immigration submit comments: collection. Services (1) Online. Submit comments at OMB Number: 1660–0033. www.regulations.gov under Docket ID FEMA Forms: FEMA Form 086–0–24, Continuation of Employment FEMA–2020–0010. Follow the Residential Basement Floodproofing Authorization and Automatic instructions for submitting comments. Certification. Extension of Existing Employment (2) Mail. Submit written comments to Abstract: The Residential Basement Authorization Documents for Eligible Docket Manager, Office of Chief Floodproofing Certification, completed Liberians During the Period of Counsel, DHS/FEMA, 500 C Street SW, by a registered professional surveyor, Extended Wind-Down of Deferred 8NE, Washington, DC 20472–3100. engineer, or architect, is required to Enforced Departure All submissions received must certify that floodproofing of a structure AGENCY: U.S. Citizenship and include the agency name and Docket ID. meets at least minimal floodproofing Immigration Services (USCIS), Regardless of the method used for specifications. Residential structures Department of Homeland Security. submitting comments or material, all that receive this certification are granted ACTION: Notice. submissions will be posted, without reduced rates on flood insurance change, to the Federal eRulemaking premiums. SUMMARY: On March 30, 2020, President Portal at http://www.regulations.gov, Affected Public: Business or other for- Trump issued a memorandum to the and will include any personal profit. Acting Secretary of Homeland Security information you provide. Therefore, Estimated Number of Respondents: (Secretary) directing him to extend the submitting this information makes it 10. Deferred Enforced Departure (DED) public. You may wish to read the Estimated Number of Responses: 10. wind-down period for eligible Liberians, Privacy and Security Notice that is Estimated Total Annual Burden and to provide for continued work available via the link on the homepage Hours: 32.5. authorization through January 10, 2021, of www.regulations.gov. Estimated Total Annual Respondent after which date the DED wind-down FOR FURTHER INFORMATION CONTACT: Cost: $2,138. period will end. Furthermore, Liberians Joycelyn Collins, Underwriting Branch Estimated Respondents’ Operation who apply for adjustment of status Program Analyst, Federal Insurance and Maintenance Costs: $5,000. under the Liberian Refugee Immigration Directorate, 202–212–4716. You may Estimated Respondents’ Capital and Fairness (LRIF) provision of the contact the Information Management Start-Up Costs: 0. National Defense Authorization Act for Division for copies of the proposed Estimated Total Annual Cost to the Fiscal Year 2020 on or before December collection of information at email Federal Government: $44.59. 20, 2020 may immediately apply for
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employment authorization consistent • Applicants seeking information The President authorized the extension with that provision. During this about the status of their individual cases of the DED wind-down period to allow extended DED wind down period and may check Case Status Online, available for continued employment the LRIF application period, Liberians on the USCIS website at www.uscis.gov, authorization for aliens covered under covered under DED may remain in the or call the USCIS Contact Center at 800– DED. Liberians who apply for United States. Liberians covered under 375–5283 (TTY 800–767–1833). adjustment of status under the LRIF DED who also qualify to apply for • Further information will also be provision of the National Defense permanent resident status under LRIF available at local USCIS offices upon Authorization Act for Fiscal Year 2020 may experience a gap in employment publication of this notice. on or before December 20, 2020 may authorization after the March 30, 2020 SUPPLEMENTARY INFORMATION: immediately apply for employment expiration of their current DED-based authorization consistent with that employment authorization documents Table of Abbreviations provision. See National Defense (EADs). Therefore, the President CFR—Code of Federal Regulations Authorization Act for Fiscal Year 2020, directed that aliens who remain covered DED—Deferred Enforced Departure Public Law 116–92 (Dec. 20, 2019), under DED be authorized employment DHS—U.S. Department of Homeland Section 7611, available at for the duration of the extended DED Security www.congress.gov/116/bills/s1790/ wind-down period. This notice extends EAD—Employment Authorization Document BILLS-116s1790enr.pdf. But because through January 10, 2021 employment FNC—Final Nonconfirmation Form I–485—Application to Register LRIF did not specifically automatically authorization for Liberians (and persons Permanent Residence or Adjust Status extend existing DED-related without nationality who last habitually Form I–765—Application for Employment employment authorization, Liberians resided in Liberia) covered under DED Authorization covered under DED who apply for who would like to apply for an EAD and Form I–797—Notice of Action (Approval permanent resident status under LRIF also automatically extends DED-related Notice) may experience a gap in employment EADs for those who already have an Form I–9—Employment Eligibility authorization upon the March 30, 2020 EAD with a printed expiration date of Verification expiration of their current DED-based March 30, 2020. Form I–912—Request for Fee Waiver FR—Federal Register EADs. Therefore, the President directed DATES: The DED wind-down period and Government—U.S. Government that aliens who remain covered under employment authorization for aliens IER—U.S. Department of Justice Civil Rights DED be authorized employment for the covered under DED for Liberians is Division, Immigrant and Employee Rights duration of the current DED wind-down extended through January 10, 2021. Section period, through January 10, 2021. See Automatically extended DED-related LRIF—Liberian Refugee Immigration Fairness Presidential Memorandum on Extending EADs, as specified in this notice, expire SAVE—USCIS Systematic Alien Verification the Wind-Down Period for Deferred after January 10, 2021. for Entitlements Program Enforced Departure for Liberians, March Secretary—Secretary of Homeland Security FOR FURTHER INFORMATION CONTACT: 30, 2020, available at • TNC—Tentative Nonconfirmation You may contact Maureen Dunn, TPS—Temporary Protected Status www.whitehouse.gov/presidential- Chief, Humanitarian Affairs Division, TTY—Text Telephone actions/memorandum-extending-wind- Office of Policy and Strategy, U.S. USCIS—U.S. Citizenship and Immigration period-deferred-enforced-departure- Citizenship and Immigration Services, Services liberians/. This notice also explains how Department of Homeland Security, by U.S.C.—United States Code Liberians covered under DED and their mail at 20 Massachusetts Avenue NW, Purpose of This Action employers may determine which EADs Washington, DC 20529–2060. are automatically extended and how • For further information on DED, Pursuant to the President’s this impacts the Employment Eligibility including additional information on constitutional authority to conduct the Verification (Form I–9), E-Verify, and eligibility, please visit the USCIS DED foreign relations of the United States, USCIS Systematic Alien Verification for web page at www.uscis.gov/ President Trump has concluded that Entitlements Program (SAVE) processes. humanitarian/temporary-protected- foreign policy considerations warrant a Note that DED only applies to aliens status/deferred-enforced-departure. You further extension of the wind-down who have continuously resided in the can find specific information about DED period of DED for Liberians through United States since October 1, 2002, and for Liberians by selecting ‘‘DED Granted January 10, 2021.1 Through this notice, who held Temporary Protected Status Country: Liberia’’ from the menu on the as directed by the President, DHS is (TPS) on September 30, 2007, under the left of the DED web page. For further extending the DED wind-down period TPS designation for Liberia, which information on Liberian Refugee and employment authorization for terminated on that date. Id.; see also 71 Immigration Fairness (LRIF), including covered Liberians and automatically FR 55000 (Sept. 20, 2006) (termination additional information on eligibility, extending the validity of current DED- of TPS Liberia notice). please visit the USCIS LRIF web page related EADs through January 10, 2021. www.uscis.gov/green-card/other-ways- Employment Authorization and get-green-card/liberian-refugee- 1 See Presidential Memorandum for the Secretary Eligibility of State and the Secretary of Homeland Security on immigration-fairness. How will I know if I am eligible for • Extending Deferred Enforced Departure for If you have additional questions Liberians March 30, 2020, available at employment authorization under the about DED or LRIF, please visit www.whitehouse.gov/presidential-actions/ Presidential Memorandum that uscis.gov/tools. Our online virtual memorandum-extending-wind-period-deferred- enforced-departure-liberians/. Note: Aliens covered extended the DED wind-down period for assistant, Emma, can answer many of by the presidential DED memorandum include eligible Liberians? your questions and point you to certain Liberians as well as persons without additional information on our website. nationality who last habitually resided in Liberia The procedures for employment If you are unable to find your answers who held Temporary Protected Status on September authorization in this notice apply only 30, 2007 and who meet all other criteria in the there, you may also call the USCIS memorandum for DED. Hereinafter, ‘‘DED for to aliens who are Liberian nationals Contact Center at 800–375–5283 (TTY Liberians’’ also includes such persons without (and persons without nationality who 800–767–1833). nationality. last habitually resided in Liberia) who:
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• Have continuously resided in the evidence of identity and employment notice for further information. You may United States since October 1, 2002; authorization to satisfy Form I–9 show this Federal Register notice to • Held TPS on September 30, 2007, requirements. your employer to explain what to do for the termination date of a former TPS You may present any document from Form I–9 and to show that your EAD designation for Liberia; and List A (which provides evidence of both has been automatically extended • Currently remain covered under identity and employment authorization) through January 10, 2021. Your DED for Liberians. or one document from List B (which employer may need to re-inspect your This DED extension does not include provides evidence of your identity) automatically extended EAD to check any alien: together with one document from List C the Card Expires date and Category code • Who would be ineligible for TPS for (which provides evidence of if your employer did not keep a copy of the reasons set forth in section employment authorization), or you may your EAD when you initially presented 244(c)(2)(B) of the Immigration and present an acceptable receipt as it. Nationality Act, 8 U.S.C. 1254a(c)(2)(B); described in the Form I–9 Instructions. The last day of the automatic • Who sought or seek LPR status Employers may not reject a document extension for your EAD is January 10, under the LRIF provision but whose based on a future expiration date. You 2021. Before you start work on January applications have been or are denied by can find additional information about 11, 2021, your employer is required by the Secretary; Form I–9 on the I–9 Central web page law to reverify your employment • Whose removal the Secretary at www.uscis.gov/I-9Central. authorization in Section 3 of Form I–9. determines is in the interest of the An EAD is an acceptable document At that time, you must present any United States, subject to the LRIF under List A. See the section ‘‘How do document from List A or any document provision and other applicable law; my employer and I complete Form I–9 from List C on Form I–9, Lists of • Whose presence or activities in the using my automatically extended EAD Acceptable Documents, or an acceptable United States the Secretary of State has for a new job?’’ of this Federal Register List A or List C receipt described in the reasonable grounds to believe would notice for further information. If your Form I–9 Instructions, to reverify your have potentially serious adverse foreign EAD has an expiration date of March 30, employment authorization. policy consequences for the United 2020, and states A–11 under Category, If your original Form I–9 was a States; it has been extended automatically previous version, your employer must • Who has voluntarily returned to consistent with the President’s directive complete Section 3 of the current Liberia or his or her country of last and the issuance of this Federal version of Form I–9, and attach it to habitual residence outside the United Registernotice, and you may choose to your previously completed Form I–9. States beyond the timeframe specified present this EAD to your employer as Your employer can check the I–9 in subsection (c) of the LRIF provision; proof of identity and employment Central web page at www.uscis.gov/I- • Who was deported, excluded, or eligibility for Form I–9 through January 9Central for the most current version of removed prior to March 30, 2020; or 10, 2021. To minimize confusion over Form I–9. • Who is subject to extradition. this extension at the time of hire, you Your employer may not specify which may also show your employer a copy of Does this Federal Register notice List A or List C document you must this Federal Register notice confirming automatically extend my current EAD present and cannot reject an acceptable the extension of your employment through January 10, 2021? receipt. authorization through January 10, 2021. If you are a national of Liberia (or a See the section ‘‘How do my employer Can I obtain a new EAD? person having no nationality who last and I complete Form I–9 using my Yes, if you remain eligible for DED, habitually resided in Liberia), you are automatically extended EAD for a new you can obtain a new EAD; however, currently covered under DED for job?’’ for further information. As an you do not need to apply for a new EAD Liberians, and you are within the class alternative to presenting your to benefit from this automatic extension. of aliens approved for DED by the automatically extended EAD, you may If you are currently covered under DED President, this notice automatically choose to present any other acceptable and want to obtain a new DED-based extends your DED-based EAD with a document from List A, a combination of EAD valid through January 10, 2021, marked expiration date of March 30, one selection from List B and one then you must file Form I–765, 2020, bearing the notation A–11 on the selection from List C, or an acceptable Application for Employment face of the card under Category, though receipt. Authorization, and pay the associated January 10, 2021. This means that your fee. If you are currently covered under What documentation may I present to EAD is valid through January 10, 2021, DED and are eligible for permanent my employer for Form I–9 if I am even though its marked expiration date resident status under LRIF, you may file already employed but my current DED- has passed. Form I–765 concurrently with or after related EAD is set to expire? you file Form I–485, Application to When hired, what documentation may I Even though your EAD has been Register Permanent Residence or Adjust show to my employer as evidence of automatically extended, your employer Status. You may be eligible for a fee identity and employment authorization is required by law to ask you about your waiver, if you meet the eligibility when completing Form I–9? continued employment authorization, criteria. See Form I–912, Request for Fee You can find the Lists of Acceptable and you will need to present your Waiver. Documents on the third page of Form I– employer with evidence that you are 9 as well as the Acceptable Documents still authorized to work. Once Can my employer require that I provide web page at www.uscis.gov/i-9-central/ presented, your employer should update any other documentation to prove my acceptable-documents. Employers must the EAD expiration date in Section 2 of status, such as proof of my Liberian complete Form I–9 to verify the identity Form I–9. See the section ‘‘What citizenship? and employment authorization of all corrections should my current employer No. When completing Form I–9, new employees. Within 3 days of hire, make to Form I–9 if my employment including reverifying employment employees must present acceptable authorization has been automatically authorization, employers must accept documents to their employers as extended?’’ of this Federal Register any documentation that appears on the
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Form I–9 Lists of Acceptable Documents For Section 2, your employer should: If I am an employer enrolled in E-Verify, that reasonably appears to be genuine a. Determine if the EAD is auto- what do I do when I receive a ‘‘Work and that relates to you, or an acceptable extended by ensuring it is in Category Authorization Documents Expiration’’ List A, List B, or List C receipt. A–11 and has a Card Expires date of alert for an automatically extended Employers do not need to reverify List March 30, 2020; EAD? B identity documents. Employers may b. Write in the document title; not request documentation that does not E-Verify has automated the c. Enter the issuing authority; appear on the Lists of Acceptable verification process for DED-related Documents. Therefore, employers may d. Enter either the employee’s A- EADs that are automatically extended. If not request proof of Liberian citizenship Number or USCIS number from the EAD you have employees who provided a when completing Form I–9 for new in the Document Number field on Form DED-related EAD when they first started hires or reverifying the employment I–9; and working for you, you will receive a authorization of current employees. If e. Write January 10, 2021 as the ‘‘Work Authorization Documents presented with an EAD that has been expiration date. Expiring’’ case alert when the auto- automatically extended, employers Before the start of work on January 11, extension period for this EAD is about should accept such document as a valid 2021, employers must reverify the the expire. Before this employee starts List A document, as long as the EAD employee’s employment authorization work on January 11, 2021, you must reasonably appears to be genuine and in Section 3 of Form I–9. reverify his or her employment authorization in Section 3 of Form I–9. relates to the employee. Refer to the What corrections should my current ‘‘Note to Employees’’ section of this Employers should not use E-Verify for employer make to Form I–9 if my EAD reverification. Federal Register notice for important has been automatically extended? information about your rights if your Note to All Employers employer rejects lawful documentation, If you presented a DED-related EAD requires additional documentation, or that was valid when you first started Employers are reminded that the laws otherwise discriminates against you your job and your EAD has now been requiring proper employment eligibility based on your citizenship or automatically extended, your employer verification and prohibiting unfair immigration status, or your national may need to reinspect your current EAD immigration-related employment origin. if your employer does not have a copy practices remain in full force. This of the EAD on file. Your employer Federal Register notice does not What happens after January 10, 2021, should determine if your EAD is supersede or in any way limit for purposes of employment automatically extended by ensuring that applicable employment verification authorization? it contains Category A–11 and has a rules and policy guidance, including After January 10, 2021, employers Card Expires date of March 30, 2020. If those rules setting forth reverification may no longer accept EADs issued your employer determines that your requirements. For general questions under the previous DED extension of EAD has been automatically extended, about the employment eligibility Liberia that this Federal Register notice your employer should update Section 2 verification process, employers may call automatically extended. of your previously completed Form I–9 USCIS at 888–464–4218 (TTY 877–875– What can I do to adjust status based on as follows: 6028) or email USCIS at I-9Central@ LRIF and continue working in the a. Write EAD Ext. and January 10, dhs.gov. USCIS accepts calls and emails United States after January 10, 2021? 2021 as the expiration date in the in English and many other languages. Additional Information field; and For questions about avoiding Aliens who are eligible for permanent b. Initial and date the correction. discrimination during the employment resident status under LRIF and who eligibility verification process (Form I– Note: This is not considered a wish to prevent a gap in employment 9 and E-Verify), employers may call the authorization should submit their reverification. Employers do not need to complete Section 3 until either this notice’s U.S. Department of Justice’s Civil Rights completed Form I–485 and associated Division, Immigrant and Employee Form I–765 as early as possible. automatic extension of EADs has ended or the employee presents a new document to Rights Section (IER) Employer Hotline Liberian nationals applying to adjust show continued employment authorization, at 800–255–8155 (TTY 800–237–2515). status under LRIF must properly file whichever is sooner. By January 11, 2021, IER offers language interpretation in Form I–485, and USCIS must receive when the employee’s automatically extended numerous languages. Employers may Form I–485, by December 20, 2020. EAD has expired, employers are required by also email IER at [email protected]. law to reverify the employee’s employment How do my employer and I complete authorization in Section 3. If your original Note to Employees Form I–9 using an automatically Form I–9 was a previous version, your extended EAD for a new job? employer must complete Section 3 of the For general questions about the When using an automatically current version of Form I–9 and attach it to employment eligibility verification extended EAD to complete Form I–9 for your previously completed Form I–9. Your process, employees may call USCIS at a new job on or before January 10, 2021, employer can check the I–9 Central web page 888–897–7781 (TTY 877–875–6028) or at www.uscis.gov/I-9Central for the most email USCIS at [email protected]. for Section 1, you should: current version of Form I–9. a. Check ‘‘An alien authorized to work USCIS accepts calls in English, Spanish and many other languages. Employees until’’ and enter January 10, 2021 as the If I am an employer enrolled in E-Verify, or applicants may also call the IER expiration date; and how do I verify a new employee whose b. Enter your USCIS Number or A- Worker Hotline at 800–255–7688 (TTY EAD has been automatically extended? Number where indicated (your EAD or 800–237–2515) for information other document from DHS will have Employers may create a case in E- regarding employment discrimination your USCIS number or A-Number Verify for a new employee by providing based upon citizenship, immigration printed on it; the USCIS Number is the the employee’s A-Number or USCIS status, or national origin, including same as your A-Number without the A number from Form I–9 in the Document discrimination related to Form I–9 and prefix). Number field in E-Verify. E-Verify. The IER Worker Hotline
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provides language interpretation in different laws, requirements, and Your Case’’ button. CaseCheck is a free numerous languages. determinations about what documents service that lets you follow the progress To comply with the law, employers you need to provide to prove eligibility of your SAVE verification using your must accept any document or for certain benefits. Whether you are date of birth and one immigration combination of documents from the applying for a Federal, state, or local identifier number. If an agency has Lists of Acceptable Documents if the government benefit, you may need to denied your application based solely or documentation reasonably appears to be provide the government agency with in part on a SAVE response, the agency genuine and to relate to the employee, documents that show you are covered must offer you the opportunity to appeal or an acceptable List A, List B, or List under DED and/or show you are the decision in accordance with the C receipt as described in the Form I–9 authorized to work based on DED. agency’s procedures. If the agency has Instructions. Employers may not require Examples of such documents are: received and acted upon or will act extra or additional documentation • Your current EAD; upon a SAVE verification and you do beyond what is required for Form I–9 • Your automatically extended EAD not believe the response is correct, you completion. Further, employers with a copy of this Federal Register participating in E-Verify who receive an may make an appointment for an in- notice, providing an automatic person interview at a local USCIS office. E-Verify case result of ‘‘Tentative extension of your EAD; Detailed information on how to make Nonconfirmation’’ (TNC) must promptly • A copy of the notice of approval of corrections or update your immigration inform employees of the TNC and give your past Application for Temporary record, make an appointment, or submit such employees an opportunity to Protected Status Form I–797, Notice of a written request to correct records contest the TNC. A TNC case result Action, if you received one from USCIS, means that the information entered into coupled with a copy of the March 30, under the Freedom of Information Act E-Verify from Form I–9 differs from 2020, Presidential Memorandum can be found on the SAVE website at records available to DHS. extending DED for Liberians; and/or www.uscis.gov/save. Employers may not terminate, • A print-out from the USCIS DED suspend, delay training, withhold pay, Joseph Edlow, website that provides information on lower pay, or take any adverse action Deputy Director for Policy, U.S. Citizenship the automatic extension. Such a print- against an employee because of the TNC and Immigration Services. out could be coupled with your EAD or while the case is still pending with E- [FR Doc. 2020–07355 Filed 4–3–20; 4:15 pm] with the Presidential Memorandum and Verify. A ‘‘Final Nonconfirmation’’ BILLING CODE 9111–97–P your USCIS notice of approval showing (FNC) case result is received when E- that you had TPS as of September 30, Verify cannot confirm an employee’s 2007. employment eligibility. An employer DEPARTMENT OF HOMELAND may terminate employment based on a Check with the government agency SECURITY case result of FNC. Work-authorized regarding which document(s) the agency employees who receive an FNC may call will accept. Some benefit-granting U.S. Citizenship and Immigration USCIS for assistance at 888–897–7781 agencies use the SAVE program to Services (TTY 877–875–6028). For more confirm the current immigration status information about E-Verify-related of applicants for public benefits. While Memorandum on Extending the Wind- discrimination or to report an employer SAVE can verify when an individual Down Period for Deferred Enforced for discrimination in the E-Verify has DED, each agency’s procedures Departure for Liberians process based on citizenship, govern whether they will accept an immigration status, or national origin, automatically extended DED-related AGENCY: U.S. Citizenship and contact IER’s Worker Hotline at 800– EAD. You should: Immigration Services (USCIS), 255–7688 (TTY 800–237–2515). a. Present the agency with a copy of Department of Homeland Security Additional information about proper this Federal Register notice showing the (DHS). nondiscriminatory Form I–9 and E- extension of DED and of your DED- Verify procedures is available on the related EAD with your alien number; ACTION: Notice. IER website at www.justice.gov/ier and b. Explain that SAVE will be able to the USCIS and E-verify websites at verify the continuation of your DED A ‘‘Memorandum on Extending the www.uscis.gov/i-9-central and www.e- using this information; and Wind-Down Period for Deferred verify.gov. c. Ask the agency to initiate a SAVE Enforced Departure for Liberians’’ was query with your information and follow issued by President Trump on March Note Regarding Federal, State, and through with additional verification 30, 2020. The President determined that Local Government Agencies (Such as steps, if necessary, to get a final SAVE Departments of Motor Vehicles) it is in the foreign policy interests of the response confirming your DED. United States to extend the Deferred For Federal purposes, individuals You can also ask the agency to look Enforced Departure (DED) wind-down covered under DED for Liberians for SAVE notices or contact SAVE if period for Liberians through January 10, presenting an EAD referenced in this they have any questions about your 2021. The President directed the Federal Register notice do not need to immigration status or automatic Secretary of Homeland Security to show any other document, such as an I– extension of your DED-related EAD. In extend the DED wind-down period for 797, Notice of Action, to prove that they most cases, SAVE provides an eligible Liberians currently covered qualify for this extension. However, automated electronic response to under DED and to provide for continued while Federal Government agencies benefit-granting agencies within work authorization through January 10, must follow the guidelines laid out by seconds, but, occasionally, verification the Federal Government, state and local can be delayed. You can check the 2021. The President further authorized government agencies establish their own status of your SAVE verification by and directed the Secretary of Homeland rules and guidelines when granting using CaseCheck at save.uscis.gov/ Security to publish this memorandum certain benefits. Each state may have casecheck/, then by clicking the ‘‘Check
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in the Federal Register. The text of the I have, therefore, determined that it is denied by the Secretary of Homeland memorandum is set out below. in the foreign policy interests of the Security; United States to extend the DED wind- (3) Individuals whose removal the Joseph Edlow, down period for current Liberian DED Secretary of Homeland Security Deputy Director for Policy, U.S. Citizenship beneficiaries through January 10, 2021, determines to be in the interest of the and Immigration Services. to facilitate uninterrupted work United States, subject to the LRIF Memorandum on Extending the Wind- authorization for those currently in the provision; Down Period for Deferred Enforced United States under DED who are (4) Individuals whose presence or Departure for Liberians eligible to apply for LPR status under activities in the United States the the LRIF provision. Secretary of State has reasonable Since March 1991, certain Liberian The relationship between the United grounds to believe would have nationals and persons without States and Liberia is unique. Former potentially serious adverse foreign nationality who last habitually resided African-American slaves were among policy consequences for the United in Liberia (collectively, ‘‘Liberians’’) those who founded the modern state of States; have been eligible for either Temporary Liberia in 1847. Since that date, the (5) Individuals who have voluntarily Protected Status (TPS) or Deferred United States has sought to honor, returned to Liberia or their country of Enforced Departure (DED), allowing through bilateral diplomatic last habitual residence outside the them to remain in the United States partnership, the sacrifices of individuals United States beyond the timeframe when they would otherwise be who suffered grievous wrongs in the specified in subsection (c) of the LRIF removable. United States, but who were determined provision; In a memorandum dated March 27, to build a modern African democracy (6) Individuals who were deported, 2018, I determined that although mirroring America’s representative excluded, or removed before the date of conditions in Liberia had improved and political institutions. As President, I am this memorandum; or no longer warranted a further extension conscious of this special bond. (7) Individuals who are subject to of DED, the foreign policy interests of Providing those Liberians for whom we extradition. the United States warranted affording an have long authorized temporary status The Secretary of Homeland Security orderly transition (‘‘wind-down’’) or deferred enforced departure in the is authorized and directed to publish period to Liberian DED beneficiaries. In United States, and for whom the this memorandum in the Federal a memorandum dated March 28, 2019, Congress has now provided the ability Register. I determined that an additional 12- to adjust status to that of lawful Donald J. Trump month wind-down period was permanent resident, with the ability to [FR Doc. 2020–07356 Filed 4–3–20; 4:15 pm] appropriate. By the terms of my continue to work to support themselves BILLING CODE 9111–97–P memorandum, the wind-down period while they complete the process to expires on March 30, 2020. In making adjust their status, honors the historic, my determination, I noted that there close relationship between our two DEPARTMENT OF HOMELAND were efforts underway by Members of countries and is in the foreign policy SECURITY Congress to provide legislative relief for interests of the United States. Liberian DED beneficiaries, and that Pursuant to my constitutional U.S. Citizenship and Immigration extending the wind-down period would authority to conduct the foreign Services give the Congress time to consider the relations of the United States, I hereby [OMB Control Number 1615–0121] propriety of enacting such legislation. direct the Secretary of Homeland On December 20, 2019, I signed the Security to take appropriate measures to Agency Information Collection National Defense Authorization Act for accomplish the following: Activities; Extension, Without Change, (1) A continuation of the DED wind Fiscal Year 2020 (Pub. L. 116–92) of a Currently Approved Collection: down period through January 10, 2021, (NDAA), which included as section Generic Clearance for the Collection of during which current Liberian DED 7611, the Liberian Refugee Immigration Qualitative Feedback on Agency beneficiaries who satisfy the description Fairness (LRIF) provision. The LRIF Service Delivery below may remain in the United States; provision provides certain Liberians, and AGENCY: U.S. Citizenship and including those who have been (2) As part of that wind-down, Immigration Services, Department of continuously present in the United continued authorization for Homeland Security. States since November 20, 2014, as well employment through January 10, 2021, ACTION: 60-Day notice; correction. as their spouses and children who meet for current Liberian DED beneficiaries the criteria of the provision, the ability who satisfy the description below. SUMMARY: The Department of Homeland to apply to adjust their status to that of This further extension of the wind- Security, U.S. Citizenship and United States lawful permanent resident down of DED and continued Immigration Services (USCIS) published (LPR). Eligible Liberian nationals have authorization for employment through a document in the Federal Register of until December 20, 2020, to apply for January 10, 2021, shall apply to any April 1, 2020 requesting public adjustment of status under the LRIF current Liberian DED beneficiary, but comments in connection with the provision. shall not apply to Liberians in the collection of information titled Generic The LRIF provision, however, did not following categories: Clearance of Qualitative Feedback on provide for continued employment (1) Individuals who would be Agency Service Delivery in accordance authorization past the expiration of the ineligible for TPS for reasons set forth with the Paperwork Reduction Act of existing DED wind-down period. Once in section 244(c)(2)(B) of the 1995. USCIS incorrectly identified both the DED wind-down period expires, Immigration and Nationality Act (8 the Docket Identification (Docket ID) most covered Liberians will have no U.S.C. 1254a(c)(2)(B)); and the Office of Management and basis upon which to renew or maintain (2) Individuals who sought or seek Budget Control Number in the ADDRESS employment authorization before LPR status under the LRIF provision but section of the original Notice. applying to adjust their status. whose applications have been or are SUPPLEMENTARY INFORMATION:
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Correction ACTION: Notice. SUPPLEMENTARY INFORMATION: This In the Federal Register of April 1, notice informs the public that HUD is 2020, in FR Doc. 85–18254, in the first SUMMARY: HUD is seeking approval from seeking approval from OMB for the column, correct the DATES and ADDRESS the Office of Management and Budget information collection described in captions to read: (OMB) for the information collection Section A. described below. In accordance with the DATES: Comments are encouraged and Paperwork Reduction Act, HUD is The Federal Register notice that will be accepted for 60 days until June requesting comment from all interested solicited public comment on the 8, 2020. parties on the proposed collection of information collection for a period of 60 ADDRESSES: All submissions received information. The purpose of this notice days was published on January 6, 2020 must include the OMB Control Number is to allow for 30 days of public at 85 FR 519. 1615–0121 in the body of the letter, the comment. agency name and Docket ID USCIS– A. Overview of Information Collection 2014–0008. Submit comments via the DATES: Comments Due Date: May 7, Title of Information Collection: Federal eRulemaking Portal website at 2020. Environmental Review Procedures for http://www.regulations.gov under e- Docket ID number USCIS–2014–0008. ADDRESSES: Interested persons are Entities Assuming HUD Environmental USCIS is limiting communications for invited to submit comments regarding Responsibilities. this Notice as a result of USCIS’ COVID– this proposal. Written comments and OMB Approval Number: 2506–0087. 19 response actions. recommendations for the proposed information collection should be sent Type of Request: Extension of Dated: April 1, 2020. within 30 days of publication of this currently approved collection. Samantha L Deshommes, notice to www.reginfo.gov/public/do/ Form Number: HUD–7015.15. Chief, Regulatory Coordination Division, StartPrintedPage15501PRAMain. Find Description of the need for the Office of Policy and Strategy, U.S. Citizenship this particular information collection by and Immigration Services, Department of information and proposed use: The Homeland Security. selecting ‘‘Currently under 30-day RROF/C is used to document Review—Open for Public Comments’’ or compliance with the National [FR Doc. 2020–07246 Filed 4–6–20; 8:45 am] by using the search function. BILLING CODE 9111–97–P Environmental Policy Act (NEPA) and FOR FURTHER INFORMATION CONTACT: the related environmental statutes, Anna P. Guido, Reports Management executive orders, and authorities in DEPARTMENT OF HOUSING AND Officer, QMAC, Department of Housing accordance with the procedures URBAN DEVELOPMENT and Urban Development, 451 7th Street identified in 24 CFR part 58. Recipients SW, Washington, DC 20410; email her at certify compliance and make request for [Docket No. FR–7024–N–13] [email protected] or telephone release of funds. 30-Day Notice of Proposed Information 202–402–5535. This is not a toll-free Collection: Environmental Review number. Person with hearing or speech Procedures for Entities Assuming HUD impairments may access this number Environmental Responsibilities; OMB through TTY by calling the toll-free Control No. 2506–0087 Federal Relay Service at (800) 877–8339. Copies of available documents AGENCY: Office of the Chief Information submitted to OMB may be obtained Officer, HUD. from Ms. Guido.
Burden Hourly Information collection Number of Frequency Responses hour per Annual cost per Annual respondents of response per annum response burden hours response cost
Total ...... 18,785.00 1.00 18,785.00 .60 11,271.00 36.65 413,082.15
B. Solicitation of Public Comment who are to respond; including through Dated: March 31, 2020. This notice is soliciting comments the use of appropriate automated Anna P. Guido, from members of the public and affected collection techniques or other forms of Department Reports Management Officer, parties concerning the collection of information technology, e.g., permitting Office of the Chief Information Officer. information described in Section A on electronic submission of responses. [FR Doc. 2020–07257 Filed 4–6–20; 8:45 am] the following: (5) Ways to minimize the burden of BILLING CODE 4210–67–P (1) Whether the proposed collection the collection of information on those of information is necessary for the who are to respond, including the use proper performance of the functions of of automated collection techniques or DEPARTMENT OF THE INTERIOR the agency, including whether the other forms of information technology. information will have practical utility; Bureau of Indian Affairs (2) The accuracy of the agency’s HUD encourages interested parties to estimate of the burden of the proposed submit comment in response to these [201D0102DR/DS5A300000/ DR.5A311.IA000118] collection of information; questions. (3) Ways to enhance the quality, Authority: Section 3507 of the Paperwork National Tribal Broadband Grant; utility, and clarity of the information to Reduction Act of 1995, 44 U.S.C. Chapter 35. Solicitation of Proposals be collected; and (4) Ways to minimize the burden of AGENCY: Bureau of Indian Affairs, the collection of information on those Interior.
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ACTION: Notice; correction. the United States, that are alleged to be entry of appearance with the Secretary sold in the United States at less than fair to the Commission, as provided in SUMMARY: The Bureau of Indian Affairs value and by reason of imports of sections 201.11 and 207.10 of the published a document in the Federal mattresses from China alleged to be Commission’s rules, not later than seven Register of February 10, 2020, that subsidized by the Government of China. days after publication of this notice in contained an incorrect CFDA Number. Unless the Department of Commerce the Federal Register. Industrial users This notice corrects the CDFA Number (‘‘Commerce’’) extends the time for and (if the merchandise under to be 15.032. initiation, the Commission must reach investigation is sold at the retail level) FOR FURTHER INFORMATION CONTACT: Mr. preliminary determinations in representative consumer organizations James R. West, National Tribal antidumping and countervailing duty have the right to appear as parties in Broadband Grant (NTBG) Manager, investigations in 45 days, or in this case Commission antidumping duty and Office of Indian Energy and Economic by May 15, 2020. The Commission’s countervailing duty investigations. The Development, Room 6049–B, 12220 views must be transmitted to Commerce Secretary will prepare a public service Sunrise Valley Drive, Reston, Virginia within five business days thereafter, or list containing the names and addresses 20191; telephone: (202) 595–4766; by May 22, 2020. of all persons, or their representatives, email: [email protected]. DATES: March 31, 2020. who are parties to these investigations SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: upon the expiration of the period for Mary Messer ((202) 205–3193), Office of filing entries of appearance. Correction Limited disclosure of business Investigations, U.S. International Trade In the Federal Register of February proprietary information (BPI) under an Commission, 500 E Street SW, 10, 2020, in FR Doc. 2020–02616, on administrative protective order (APO) Washington, DC 20436. Hearing- page 7581, in the second column, and BPI service list.—Pursuant to impaired persons can obtain correct the CFDA number to be 15.032, section 207.7(a) of the Commission’s information on this matter by contacting so that the text reads ‘‘Item 11: CFDA rules, the Secretary will make BPI the Commission’s TDD terminal on 202– Title box—Type in the numbers: gathered in these investigations 205–1810. Persons with mobility 15.032.’’ available to authorized applicants impairments who will need special representing interested parties (as Tara Sweeney, assistance in gaining access to the defined in 19 U.S.C. 1677(9)) who are Assistant Secretary—Indian Affairs. Commission should contact the Office parties to the investigations under the [FR Doc. 2020–07248 Filed 4–6–20; 8:45 am] of the Secretary at 202–205–2000. APO issued in the investigations, BILLING CODE 4337–10–P General information concerning the provided that the application is made Commission may also be obtained by not later than seven days after the accessing its internet server (https:// publication of this notice in the Federal INTERNATIONAL TRADE www.usitc.gov). The public record for Register. A separate service list will be COMMISSION these investigations may be viewed on maintained by the Secretary for those the Commission’s electronic docket parties authorized to receive BPI under [Investigation Nos. 701–TA–645 and 731– (EDIS) at https://edis.usitc.gov. TA–1495–1501 (Preliminary)] the APO. SUPPLEMENTARY INFORMATION: Conference.—As the Commission Background.—These investigations Mattresses From Cambodia, China, proceeds with alternative solutions are being instituted, pursuant to Indonesia, Malaysia, Serbia, Thailand, during the COVID–19 pandemic, the sections 703(a) and 733(a) of the Tariff Turkey, and Vietnam; Institution of Commission is not holding in-person Act of 1930 (19 U.S.C. 1671b(a) and Anti-Dumping and Countervailing Duty Title VII (antidumping and 1673b(a)), in response to petitions filed Investigations and Scheduling of countervailing duty) preliminary phase on March 31, 2020, by Brooklyn Preliminary Phase Investigations staff conferences at the U.S. Bedding (Phoenix, Arizona), Corsicana International Trade Commission AGENCY: United States International Mattress Company (Dallas, Texas), Elite Building. It is providing an opportunity Trade Commission. Comfort Solutions (Newnan, Georgia), for parties to provide opening remarks ACTION: Notice. FXI, Inc. (Media, Pennsylvania), and witness testimony by April 17, Innocor, Inc. (Media, Pennsylvania), 2020, and responses to staff questions SUMMARY: The Commission hereby gives Kolcraft Enterprises, Inc. (Chicago, through written submissions by April notice of the institution of investigations Illinois), Leggett & Platt, Incorporated 27, 2020. Commission staff will issue and commencement of preliminary (Carthage, Missouri), the International public written questions to parties phase antidumping and countervailing Brotherhood of Teamsters (Washington, participating in the written proceedings duty investigation Nos. 701–TA–645 DC), and United Steel, Paper and on April 21, 2020. Requests to and 731–TA–1495–1501 (Preliminary) Forestry, Rubber, Manufacturing, participate in these written proceedings pursuant to the Tariff Act of 1930 (‘‘the Energy, Allied Industrial and Service should be emailed to Act’’) to determine whether there is a Workers International Union, AFL–CIO [email protected] (DO reasonable indication that an industry (Washington, DC). NOT FILE ON EDIS) on or before April in the United States is materially For further information concerning 17, 2020. A nonparty who has testimony injured or threatened with material the conduct of these investigations and that may aid the Commission’s injury, or the establishment of an rules of general application, consult the deliberations may request permission to industry in the United States is Commission’s Rules of Practice and participate by submitting a short materially retarded, by reason of Procedure, part 201, subparts A and B statement on or before April 27, 2020. imports of mattresses from Cambodia, (19 CFR part 201), and part 207, Please note the Secretary’s Office will Indonesia, Malaysia, Serbia, Thailand, subparts A and B (19 CFR part 207). accept only electronic filings during this Turkey, and Vietnam, provided for in Participation in the investigations and time. Filings must be made through the subheadings 9404.21.00, 9404.29.10, public service list.—Persons (other than Commission’s Electronic Document 9404.29.90, 9401.40.00, and 9401.90.50 petitioners) wishing to participate in the Information System (EDIS, https:// of the Harmonized Tariff Schedule of investigations as parties must file an edis.usitc.gov). No in-person paper-
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based filings or paper copies of any operations of the Commission including Drug electronic filings will be accepted until under 5 U.S.C. Appendix 3; or (ii) by Controlled substance code Schedule further notice. U.S. government employees and Written submissions.— Parties that contract personnel, solely for Methamphetamine .... 1105 II have requested to participate in the cybersecurity purposes. All contract Amobarbital ...... 2125 II written proceedings held in lieu of an Phencyclidine ...... 7471 II personnel will sign appropriate Phenylacetone ...... 8501 II in-person staff conference may submit nondisclosure agreements. Cocaine ...... 9041 II opening remarks limited to five pages Authority: These investigations are Codeine ...... 9050 II and witness testimony (in the form of being conducted under authority of title Dihydrocodeine ...... 9120 II certified affidavits) limited to 50 pages VII of the Tariff Act of 1930; this notice Oxycodone ...... 9143 II no later than April 17, 2020. As is published pursuant to section 207.12 Hydromorphone ...... 9150 II provided in sections 201.8 and 207.15 of of the Commission’s rules. Ecgonine ...... 9180 II the Commission’s rules, any person may Hydrocodone ...... 9193 II By order of the Commission. submit to the Commission on or before Meperidine ...... 9230 II Metazocine ...... 9240 II April 27, 2020, a written brief Issued: April 1, 2020. Lisa Barton, Methadone ...... 9250 II containing information and arguments Dextropropoxyphene, 9273 II pertinent to the subject matter of the Secretary to the Commission. bulk (non-dosage investigations, including responses to [FR Doc. 2020–07207 Filed 4–6–20; 8:45 am] forms). staff questions. All written submissions BILLING CODE 7020–02–P Morphine ...... 9300 II must conform with the provisions of Oripavine ...... 9330 II section 201.8 of the Commission’s rules; Thebaine ...... 9333 II any submissions that contain BPI must Oxymorphone ...... 9652 II DEPARTMENT OF JUSTICE Phenazocine ...... 9715 II also conform with the requirements of Carfentanil ...... 9743 II sections 201.6, 207.3, and 207.7 of the Drug Enforcement Administration Fentanyl ...... 9801 II Commission’s rules. The Commission’s [Docket No. DEA–619] Handbook on Filing Procedures, The company plans to manufacture available on the Commission’s website Bulk Manufacturer of Controlled small quantities of the above-listed at https://www.usitc.gov/documents/ Substances Application: American controlled substances as radiolabeled _ _ _ handbook on filing procedures.pdf, Radiolabeled Chem compounds for biochemical research. elaborates upon the Commission’s No other activities for these drug codes procedures with respect to filings. ACTION: Notice of application. are authorized for this registration. Please note the Secretary’s Office will accept only electronic filings during this DATES: Registered bulk manufacturers of William T. McDermott, time. Filings must be made through the the affected basic class(es), and Assistant Administrator. Commission’s Electronic Document applicants therefore, may file written [FR Doc. 2020–07277 Filed 4–6–20; 8:45 am] Information System (EDIS, https:// comments on or objections to the BILLING CODE 4410–09–P edis.usitc.gov). No in-person paper- issuance of the proposed registration on based filings or paper copies of any or before June 8, 2020. electronic filings will be accepted until ADDRESSES: Written comments should DEPARTMENT OF JUSTICE further notice. be sent to: Drug Enforcement Drug Enforcement Administration In accordance with sections 201.16(c) Administration, Attention: DEA Federal and 207.3 of the rules, each document Register Representative/DPW, 8701 [Docket No. DEA–618] filed by a party to the investigations Morrissette Drive, Springfield, Virginia must be served on all other parties to 22152. Importer of Controlled Substances the investigations (as identified by Application: Almac Clinical Services either the public or BPI service list), and SUPPLEMENTARY INFORMATION: In Incorp (ACSI) a certificate of service must be timely accordance with 21 CFR 1301.33(a), this filed. The Secretary will not accept a is notice that on March 7, 2020, ACTION: Notice of application. document for filing without a certificate American Radiolabeled Chem, 101 Arc of service. Drive, Saint Louis, Missouri 63146, DATES: Registered bulk manufacturers of Certification.—Pursuant to section applied to be registered as a bulk the affected basic class(es), and 207.3 of the Commission’s rules, any manufacturer of the following basic applicants therefore, may file written person submitting information to the class(es) of controlled substances: comments on or objections to the Commission in connection with these issuance of the proposed registration on investigations must certify that the Drug or before May 7, 2020. Such persons Controlled substance code Schedule information is accurate and complete to may also file a written request for a the best of the submitter’s knowledge. In Gamma Hydroxy- 2010 I hearing on the application on or before making the certification, the submitter butyric Acid. May 7, 2020. will acknowledge that any information Ibogaine ...... 7260 I ADDRESSES: Written comments should that it submits to the Commission Lysergic acid 7315 I be sent to: Drug Enforcement during these investigations may be diethylamide. Administration, Attention: DEA Federal disclosed to and used: (i) By the Tetrahydrocannabino- 7370 I Register Representative/DPW, 8701 Commission, its employees and Offices, ls. Morrissette Drive, Springfield, Virginia Dimethyltryptamine ... 7435 I 22152. All requests for a hearing must and contract personnel (a) for 1-[1-(2-Thienyl)cyclo 7470 I developing or maintaining the records hexyl]piperidine. be sent to: Drug Enforcement of these or related investigations or Dihydromorphine ...... 9145 I Administration, Attn: Administrator, reviews, or (b) in internal investigations, Heroin ...... 9200 I 8701 Morrissette Drive, Springfield, audits, reviews, and evaluations relating Normorphine ...... 9313 I Virginia 22152. All request for a hearing to the programs, personnel, and Amphetamine ...... 1100 II should also be sent to: (1) Drug
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Enforcement Administration, Attn: is notice that on December 4, 2019, Submit written comments about, or Hearing Clerk/OALJ, 8701 Morrissette Benuvia Therapeutics Inc., 2700 requests for a copy of, this ICR by mail Drive, Springfield, Virginia 22152; and Oakmont Drive, Round Rock, Texas or courier to the U.S. Department of (2) Drug Enforcement Administration, 78665 applied to be registered as a bulk Labor, ETA, Office of Unemployment Attn: DEA Federal Register manufacturer of the following basic Insurance, DUA Program, Room S–4520, Representative/DPW, 8701 Morrissette class(es) of controlled substances: 202 Constitution Ave. NW, Washington, Drive, Springfield, Virginia 22152. DC 20210; by email: king.david.h@ SUPPLEMENTARY INFORMATION: In Drug dol.gov; or by fax (202) 693–3975. Controlled substance code Schedule accordance with 21 CFR 1301.34(a), this FOR FURTHER INFORMATION CONTACT: is notice that on March 6, 2020, Almac Marihuana ...... 7360 I David King by telephone at (202) 693– Clinical Services Incorp, (ACSI) 25 Fretz Tetrahydrocannabinols ... 7370 I 2698 (this is not a toll-free number) or Road, Souderton, Pennsylvania, 18964, by email at [email protected]. applied to be registered as an importer The company plans to manufacture SUPPLEMENTARY INFORMATION: DOL, as of the following basic class(es) of the above-listed controlled substances part of continuing efforts to reduce controlled substances: in bulk to produce finished dosage paperwork and respondent burden, forms and conduct research to develop conducts a pre-clearance consultation Drug new drug products and for clinical program to provide the general public Controlled substance code Schedule studies. In reference to drug codes 7360 and Federal agencies an opportunity to Psilocybin ...... 7437 I (Marihuana), and 7370 comment on proposed and/or Oxycodone ...... 9143 II (Tetrahydrocannabinols), the company continuing collections of information Hydromorphone ...... 9150 II plans to bulk manufacture these drugs before submitting them to the Office of Morphine ...... 9300 II as synthetic. No other activities for these Management and Budget (OMB) for final Tapentadol ...... 9780 II drug codes are authorized for this approval. This program helps to ensure Fentanyl ...... 9801 II registration. requested data can be provided in the desired format, reporting burden (time William T. McDermott, The company plans to import the and financial resources) is minimized, listed controlled substances in dosage Assistant Administrator. collection instruments are clearly form to conduct clinical trials. [FR Doc. 2020–07279 Filed 4–6–20; 8:45 am] understood, and the impact of collection Approval of permit applications will BILLING CODE 4410–09–P requirements can be properly assessed. occur only when the registrant’s This ICR seeks to extend PRA business activity is consistent with what authority for the Disaster is authorized under to 21 U.S.C. DEPARTMENT OF LABOR Unemployment Assistance Activities 952(a)(2). Authorization will not extend Report information collection. Sections to the import of FDA-approved or non- Employment and Training 410 and 423 of the Robert T. Stafford approved finished dosage forms for Administration Disaster Relief and Emergency commercial sale. Assistance Act provide for Disaster Agency Information Collection Unemployment Assistance (DUA) to William T. McDermott, Activities; Comment Request Assistant Administrator. eligible applicants who are unemployed as a direct result of a major disaster. [FR Doc. 2020–07273 Filed 4–6–20; 8:45 am] ACTION: Notice. State Workforce Agencies, through BILLING CODE 4410–09–P SUMMARY: The Department of Labor’s individual agreements with the (DOL) Employment and Training Secretary of Labor, act as agents of the DEPARTMENT OF JUSTICE Administration (ETA) is soliciting Federal government in providing DUA. comments concerning a proposed Form ETA 902 is a monthly report that Drug Enforcement Administration extension for the authority to conduct a State submits on DUA program the information collection request (ICR) activities once the President declares a [Docket No. DEA–620] titled, ‘‘Disaster Unemployment disaster. The Social Security Act section 303(a)(6) authorizes this information Bulk Manufacturer of Controlled Assistance Activities Report’’. This comment request is part of continuing collection. See 42 U.S.C. 503(a)(6). Substances Application: Benuvia This information collection is subject Therapeutics Inc. Departmental efforts to reduce paperwork and respondent burden in to the PRA. A Federal agency generally ACTION: Notice of application. accordance with the Paperwork cannot conduct or sponsor a collection Reduction Act of 1995 (PRA). of information, and the public is generally not required to respond to an DATES: Registered bulk manufacturers of DATES: Consideration will be given to all information collection, unless it is the affected basic class(es), and written comments received by June 8, approved by OMB under the PRA and applicants therefore, may file written 2020. comments on or objections to the displays a currently valid OMB Control issuance of the proposed registration on ADDRESSES: A copy of this ICR with Number. In addition, notwithstanding or before June 8, 2020. applicable supporting documentation, any other provisions of law, no person including a description of the likely shall generally be subject to penalty for ADDRESSES: Written comments should respondents, proposed frequency of failing to comply with a collection of be sent to: Drug Enforcement response, and estimated total burden, information that does not display a Administration, Attention: DEA Federal may be obtained free by contacting valid Control Number. See 5 CFR Register Representative/DPW, 8701 David King by telephone at (202) 693– 1320.5(a) and 1320.6. Morrissette Drive, Springfield, Virginia 2698 (this is not a toll-free number), Interested parties are encouraged to 22152. TTY 1–877–889–5627 (this is not a toll- provide comments to the contact shown SUPPLEMENTARY INFORMATION: In free number), or by email at in the ADDRESSES section. Comments accordance with 21 CFR 1301.33(a), this [email protected]. must be written to receive
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consideration, and they will be LEGAL SERVICES CORPORATION Pre-application, RFP, and additional summarized and included in the request information will be available at https:// for OMB approval of the final ICR. In Notice of Funding Availability and www.lsc.gov/grants-grantee-resources/ order to help ensure appropriate Request for Proposals for Calendar our-grant-programs/basic-field-grant on consideration, comments should Year 2021 Basic Field Grant Awards or around May 13, 2020. mention OMB control 1205–0051. The listing of all key dates for the LSC AGENCY: Legal Services Corporation. Submitted comments will also be a 2021 basic field grants process, ACTION: Notice of funding availability. matter of public record for this ICR and including the deadlines for filing grant posted on the internet, without SUMMARY: The Legal Services proposals is available at http:// redaction. DOL encourages commenters Corporation (LSC) is a federally www.lsc.gov/grants-grantee-resources/ not to include personally identifiable established and funded organization our-grant-programs/basic-field-grant/ information, confidential business data, that funds civil legal aid organizations basic-field-grant-key-dates. LSC seeks proposals from: (1) Non- or other sensitive statements/ across the country and in the U.S. profit organizations that have as a information in any comments. territories. Its mission is to expand purpose the provision of legal assistance DOL is particularly interested in access to justice by funding high-quality to eligible clients; (2) private attorneys; comments that: legal representation for low-income (3) groups of private attorneys or law • Evaluate whether the proposed people in civil matters. In anticipation firms; (4) state or local governments; collection of information is necessary of a congressional appropriation to LSC and (5) sub-state regional planning and for the proper performance of the for Fiscal Year 2021, LSC hereby coordination agencies that are functions of the agency, including announces the availability of funding composed of sub-state areas and whose whether the information will have for basic field grants with terms governing boards are controlled by practical utility; commencing in January 2021. LSC will • locally elected officials. Evaluate the accuracy of the publish a Request for Proposals (RFP) The service areas for which LSC is agency’s estimate of the burden of the and seeks applications from interested requesting grant proposals for 2021 are proposed collection of information, parties who are qualified to provide listed below. LSC provides grants for including the validity of the effective, efficient, and high-quality three types of service areas: Basic Field- methodology and assumptions used; civil legal services to eligible clients in General, Basic Field-Native American, • Enhance the quality, utility, and the service area(s) of the states and and Basic Field-Agricultural Worker. clarity of the information to be territories identified below. The For example, the state of Idaho has three collected; and availability and the exact amount of basic field service areas: ID–1 (General), • Minimize the burden of the congressionally appropriated funds, as NID–1 (Native American), and MID collection of information on those who well as the date, terms, and conditions (Agricultural Worker). Service area are to respond, including through the of funds available for grants for calendar descriptions are available at https:// use of appropriate automated, year 2021, have not yet been www.lsc.gov/grants-grantee-resources/ electronic, mechanical, or other determined. our-grant-programs/basic-field-grant/ technological collection techniques or DATES: See Supplementary Information lsc-service-areas. LSC will post all other forms of information technology, section for grant application dates. updates and changes to this notice at (e.g., permitting electronic submission ADDRESSES: By email to lscgrants@ http://www.lsc.gov/grants-grantee- of responses). lsc.gov or by other correspondence to resources/our-grant-programs/basic- Agency: DOL–ETA. Legal Services Corporation—Basic Field field-grant. Interested parties can visit Type of Review: Extension without Grant Awards, 3333 K Street NW, Third http://www.lsc.gov/grants-grantee- changes. Floor, Washington, DC 20007–3522. resources/our-grant-programs/basic- Title of Collection: Disaster FOR FURTHER INFORMATION CONTACT: The field-grant for updates on the LSC grants Unemployment Assistance Activities Office of Program Performance by phone process. Report. at 202–295–1518 or email at lscgrants@ Form: ETA 902, Disaster lsc.gov, or visit the LSC website at State or territory Service area(s) Unemployment Assistance Activities. https://www.lsc.gov/grants-grantee- Alaska ...... AK–1, NAK–1. OMB Control Number: 1205–0051. resources/our-grant-programs. Arizona ...... AZ–2, NAZ–5. Affected Public: State, Local, and SUPPLEMENTARY INFORMATION: The Legal California ...... CA–31, MCA, CA–14. Tribal Governments. Services Corporation (LSC) hereby Connecticut ...... NCT–1. Estimated Number of Respondents: announces the availability of funding Delaware ...... DE–1. 30. for basic field grants with terms Guam ...... GU–1. Frequency: Monthly. Iowa ...... IA–3, MIA. beginning in January 2021. LSC seeks Idaho ...... ID–1, MID, NID–1. Total Estimated Annual Responses: grant proposals from interested parties Kansas ...... KS–1. 210. who are qualified to provide effective, Kentucky ...... KY–5. Estimated Average Time per efficient, and high-quality civil legal Maine ...... ME–1, MMX–1, NME–1. Response: 60 minutes. services to eligible clients in the service Michigan ...... MI–13, MI–14. Estimated Total Annual Burden area(s) of the states and territories Minnesota ...... NMN–1. Hours: 210 hours. identified below. Interested potential Micronesia ...... MP–1. applicants must first file a Pre- Nebraska ...... MNE, NE–4, NNE–1. Total Estimated Annual Other Cost Nevada ...... NNV–1; NV–1. Burden: $10,237.50. application (formerly Notice of Intent to Compete). After approval by LSC of the New Hampshire NH–1. John Pallasch, New Jersey ...... NJ–17, NJ–8, NJ–15, NJ– Pre-application, an applicant can submit 18, MNJ, NJ–20. Assistant Secretary for Employment and an application in response to the RFP, New Mexico ...... NM–1, NNM–2. Training. which contains the grant proposal Ohio ...... OH–24. [FR Doc. 2020–07300 Filed 4–6–20; 8:45 am] guidelines, proposal content Oregon ...... MOR, NOR–1, OR–6. BILLING CODE 4510–FW–P requirements, and selection criteria. The Pennsylvania .... PA–25.
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State or territory Service area(s) be found at http://www.nsf.gov/nsb/ A60M, U.S. Nuclear Regulatory notices/.jsp#sunshine. Please refer to the Commission, Washington, DC 20555– Rhode Island .... RI–1. National Science Board website at 0001, ATTN: Program Management, South Dakota .... NSD–1, SD–4. www.nsf.gov/nsb for general Announcements and Editing Staff. Texas ...... TX–14. information. For additional direction on obtaining Utah ...... MUT, NUT–1, UT–1. information and submitting comments, Chris Blair, Virginia ...... MVA, VA–18, VA–16, VA– see ‘‘Obtaining Information and 15. Executive Assistant to the National Science Submitting Comments’’ in the Vermont ...... VT–1. Board Office. SUPPLEMENTARY INFORMATION section of Virgin Islands .... VI–1. [FR Doc. 2020–07349 Filed 4–3–20; 11:15 am] Washington ...... MWA, NWA–1, WA–1. this document. BILLING CODE 7555–01–P Wisconsin ...... NWI–1, WI–2. FOR FURTHER INFORMATION CONTACT: Lynn Ronewicz, Office of Nuclear Reactor Regulation, telephone: 301– Dated: April 1, 2020. NUCLEAR REGULATORY Stefanie Davis, 415–1927, email: lynn.ronewicz@ COMMISSION nrc.gov, U.S. Nuclear Regulatory Senior Assistant General Counsel. [NRC–2020–0084] Commission, Washington, DC 20555– [FR Doc. 2020–07178 Filed 4–6–20; 8:45 am] 0001. BILLING CODE 7050–01–P Biweekly Notice; Applications and SUPPLEMENTARY INFORMATION: Amendments to Facility Operating Licenses and Combined Licenses I. Obtaining Information and NATIONAL SCIENCE FOUNDATION Involving No Significant Hazards Submitting Comments Considerations Sunshine Act Meeting; National A. Obtaining Information Science Board AGENCY: Nuclear Regulatory Please refer to Docket ID NRC–2020– Commission. 0084, facility name, unit number(s), The National Science Board’s ACTION: Biweekly notice. docket number(s), application date, and Executive Committee (EC), pursuant to subject when contacting the NRC about National Science Foundation SUMMARY: Pursuant to section 189.a.(2) the availability of information for this regulations (45 CFR part 614), the of the Atomic Energy Act of 1954, as action. You may obtain publicly- National Science Foundation Act, as amended (the Act), the U.S. Nuclear available information related to this amended (42 U.S.C. 1862n-5), and the Regulatory Commission (NRC) is publishing this regular biweekly notice. action by any of the following methods: Government in the Sunshine Act (5 • Federal Rulemaking Website: Go to The Act requires the Commission to U.S.C. 552b), hereby gives notice of the https://www.regulations.gov and search publish notice of any amendments scheduling of a teleconference for the for Docket ID NRC–2020–0084. transaction of National Science Board issued, or proposed to be issued, and • NRC’s Agencywide Documents business, as follows: grants the Commission the authority to Access and Management System TIME & DATE: Friday, April 10, 2020, issue and make immediately effective (ADAMS): You may obtain publicly- from 3:00–4:00 p.m. EDT. any amendment to an operating license available documents online in the or combined license, as applicable, PLACE: This meeting will be held by ADAMS Public Documents collection at teleconference through the National upon a determination by the https://www.nrc.gov/reading-rm/ Science Foundation, 2415 Eisenhower Commission that such amendment adams.html. To begin the search, select Avenue, Alexandria, VA 22314. An involves no significant hazards ‘‘Begin Web-based ADAMS Search.’’ For audio link will be available for the consideration, notwithstanding the problems with ADAMS, please contact public. Members of the public must pendency before the Commission of a the NRC’s Public Document Room (PDR) contact the Board Office to request the request for a hearing from any person. reference staff at 1–800–397–4209, 301– public audio link at least 24 hours prior This biweekly notice includes all 415–4737, or by email to pdr.resource@ to the teleconference. The email address amendments issued, or proposed to be nrc.gov. The ADAMS accession number for the request is given below. issued, from approximately March 10, for each document referenced (if it is 2020, to March 23, 2020. The last STATUS: Open. available in ADAMS) is provided the biweekly notice was published on first time that it is mentioned in this MATTERS TO BE CONSIDERED: Acting March 24, 2020. Committee Chair’s opening remarks; document. DATES: Comments must be filed by May • NRC’s PDR: You may examine and approval of Executive Committee 7, 2020. A request for a hearing or purchase copies of public documents at minutes of January 10, 2020; approval of petitions for leave to intervene must be the NRC’s PDR, Room O1–F21, One Executive Committee annual report; and filed by June 8, 2020. White Flint North, 11555 Rockville discuss issues and topics for an agenda ADDRESSES: You may submit comments Pike, Rockville, Maryland 20852. of the NSB meetings scheduled for May by any of the following methods: 5–6, 2020. • Federal Rulemaking Website: Go to B. Submitting Comments CONTACT PERSON FOR MORE INFORMATION: https://www.regulations.gov and search Please include Docket ID NRC–2020– Point of contact for this meeting is: for Docket ID NRC–2020–0084. Address 0084, facility name, unit number(s), James Hamos, 2415 Eisenhower Avenue, questions about NRC Docket IDs in docket number(s), application date, and Alexandria, VA 22314. Telephone: 703/ Regulations.gov to Jennifer Borges; subject in your comment submission. 292–8000. Members of the public must telephone: 301–287–9127; email: The NRC cautions you not to include contact the National Science Board [email protected]. For technical identifying or contact information that Office to request the public audio link questions, contact the individual(s) you do not want to be publicly by sending an email to listed in the FOR FURTHER INFORMATION disclosed in your comment submission. [email protected] at least 24 CONTACT section of this document. The NRC will post all comment hours prior to the teleconference. • Mail comments to: Office of submissions at https:// Meeting information and updates may Administration, Mail Stop: TWFN–7– www.regulations.gov as well as enter the
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comment submissions into ADAMS. or the notice period, it will publish in petitioner intends to rely to support its The NRC does not routinely edit the Federal Register a notice of position on the issue. The petition must comment submissions to remove issuance. If the Commission makes a include sufficient information to show identifying or contact information. final NSHC determination, any hearing that a genuine dispute exists with the If you are requesting or aggregating will take place after issuance. The applicant or licensee on a material issue comments from other persons for Commission expects that the need to of law or fact. Contentions must be submission to the NRC, then you should take action on an amendment before 60 limited to matters within the scope of inform those persons not to include days have elapsed will occur very the proceeding. The contention must be identifying or contact information that infrequently. one which, if proven, would entitle the they do not want to be publicly petitioner to relief. A petitioner who A. Opportunity To Request a Hearing disclosed in their comment submission. fails to satisfy the requirements at 10 and Petition for Leave To Intervene Your request should state that the NRC CFR 2.309(f) with respect to at least one does not routinely edit comment Within 60 days after the date of contention will not be permitted to submissions to remove such information publication of this notice, any persons participate as a party. before making the comment (petitioner) whose interest may be Those permitted to intervene become submissions available to the public or affected by this action may file a request parties to the proceeding, subject to any entering the comment into ADAMS. for a hearing and petition for leave to limitations in the order granting leave to intervene (petition) with respect to the intervene. Parties have the opportunity II. Notice of Consideration of Issuance action. Petitions shall be filed in to participate fully in the conduct of the of Amendments to Facility Operating accordance with the Commission’s hearing with respect to resolution of Licenses and Combined Licenses and ‘‘Agency Rules of Practice and that party’s admitted contentions, Proposed No Significant Hazards Procedure’’ in 10 CFR part 2. Interested including the opportunity to present Consideration Determination persons should consult a current copy evidence, consistent with the NRC’s For the facility-specific amendment of 10 CFR 2.309. The NRC’s regulations regulations, policies, and procedures. requests shown below, the Commission are accessible electronically from the Petitions must be filed no later than finds that the licensee’s analyses NRC Library on the NRC’s website at 60 days from the date of publication of provided, consistent with title 10 of the https://www.nrc.gov/reading-rm/doc- this notice. Petitions and motions for Code of Federal Regulations (10 CFR) collections/cfr/. Alternatively, a copy of leave to file new or amended section 50.91 is sufficient to support the the regulations is available at the NRC’s contentions that are filed after the proposed determination that these Public Document Room, located at One deadline will not be entertained absent amendment requests involve No White Flint North, Room O1–F21, 11555 a determination by the presiding officer Significant Hazards Consideration Rockville Pike (first floor), Rockville, that the filing demonstrates good cause (NSHC). Under the Commission’s Maryland 20852. If a petition is filed, by satisfying the three factors in 10 CFR regulations in 10 CFR 50.92, operation the Commission or a presiding officer 2.309(c)(1)(i) through (iii). The petition of the facility in accordance with the will rule on the petition and, if must be filed in accordance with the proposed amendment would not (1) appropriate, a notice of a hearing will be filing instructions in the ‘‘Electronic involve a significant increase in the issued. Submissions (E-Filing)’’ section of this probability or consequences of an As required by 10 CFR 2.309(d) the document. accident previously evaluated; or (2) petition should specifically explain the If a hearing is requested, and the create the possibility of a new or reasons why intervention should be Commission has not made a final different kind of accident from any permitted with particular reference to determination on the issue of no accident previously evaluated; or (3) the following general requirements for significant hazards consideration, the involve a significant reduction in a standing: (1) The name, address, and Commission will make a final margin of safety. telephone number of the petitioner; (2) determination on the issue of no The Commission is seeking public the nature of the petitioner’s right under significant hazards consideration. The comments on this proposed the Act to be made a party to the final determination will serve to determination. Any comments received proceeding; (3) the nature and extent of establish when the hearing is held. If the within 30 days after the date of the petitioner’s property, financial, or final determination is that the publication of this notice will be other interest in the proceeding; and (4) amendment request involves no considered in making any final the possible effect of any decision or significant hazards consideration, the determination. order which may be entered in the Commission may issue the amendment Normally, the Commission will not proceeding on the petitioner’s interest. and make it immediately effective, issue the amendment until the In accordance with 10 CFR 2.309(f), notwithstanding the request for a expiration of 60 days after the date of the petition must also set forth the hearing. Any hearing would take place publication of this notice. The specific contentions which the after issuance of the amendment. If the Commission may issue the license petitioner seeks to have litigated in the final determination is that the amendment before expiration of the 60- proceeding. Each contention must amendment request involves a day period provided that its final consist of a specific statement of the significant hazards consideration, then determination is that the amendment issue of law or fact to be raised or any hearing held would take place involves NSHC. In addition, the controverted. In addition, the petitioner before the issuance of the amendment Commission may issue the amendment must provide a brief explanation of the unless the Commission finds an prior to the expiration of the 30-day bases for the contention and a concise imminent danger to the health or safety comment period if circumstances statement of the alleged facts or expert of the public, in which case it will issue change during the 30-day comment opinion which support the contention an appropriate order or rule under 10 period such that failure to act in a and on which the petitioner intends to CFR part 2. timely way would result, for example in rely in proving the contention at the A State, local governmental body, derating or shutdown of the facility. If hearing. The petitioner must also Federally-recognized Indian Tribe, or the Commission takes action prior to the provide references to the specific agency thereof, may submit a petition to expiration of either the comment period sources and documents on which the the Commission to participate as a party
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under 10 CFR 2.309(h)(1). The petition participant should contact the Office of [email protected], or by a toll- should state the nature and extent of the the Secretary by email at free call at 1–866–672–7640. The NRC petitioner’s interest in the proceeding. [email protected], or by telephone Electronic Filing Help Desk is available The petition should be submitted to the at 301–415–1677, to (1) request a digital between 9 a.m. and 6 p.m., Eastern Commission no later than 60 days from identification (ID) certificate, which Time, Monday through Friday, the date of publication of this notice. allows the participant (or its counsel or excluding government holidays. The petition must be filed in accordance representative) to digitally sign Participants who believe that they with the filing instructions in the submissions and access the E-Filing have a good cause for not submitting ‘‘Electronic Submissions (E-Filing)’’ system for any proceeding in which it documents electronically must file an section of this document, and should is participating; and (2) advise the exemption request, in accordance with meet the requirements for petitions set Secretary that the participant will be 10 CFR 2.302(g), with their initial paper forth in this section. Alternatively, a submitting a petition or other filing stating why there is good cause for State, local governmental body, adjudicatory document (even in not filing electronically and requesting Federally-recognized Indian Tribe, or instances in which the participant, or its authorization to continue to submit agency thereof may participate as a non- counsel or representative, already holds documents in paper format. Such filings party under 10 CFR 2.315(c). an NRC-issued digital ID certificate). must be submitted by: (1) First class If a hearing is granted, any person Based upon this information, the mail addressed to the Office of the who is not a party to the proceeding and Secretary will establish an electronic Secretary of the Commission, U.S. is not affiliated with or represented by docket for the hearing in this proceeding Nuclear Regulatory Commission, a party may, at the discretion of the if the Secretary has not already Washington, DC 20555–0001, Attention: presiding officer, be permitted to make established an electronic docket. Rulemaking and Adjudications Staff; or a limited appearance pursuant to the Information about applying for a (2) courier, express mail, or expedited provisions of 10 CFR 2.315(a). A person digital ID certificate is available on the delivery service to the Office of the making a limited appearance may make NRC’s public website at https:// Secretary, 11555 Rockville Pike, an oral or written statement of his or her www.nrc.gov/site-help/e-submittals/ Rockville, Maryland 20852, Attention: position on the issues but may not getting-started.html. Once a participant Rulemaking and Adjudications Staff. otherwise participate in the proceeding. has obtained a digital ID certificate and Participants filing adjudicatory A limited appearance may be made at a docket has been created, the documents in this manner are any session of the hearing or at any participant can then submit responsible for serving the document on prehearing conference, subject to the adjudicatory documents. Submissions all other participants. Filing is limits and conditions as may be must be in Portable Document Format considered complete by first-class mail imposed by the presiding officer. Details (PDF). Additional guidance on PDF as of the time of deposit in the mail, or regarding the opportunity to make a submissions is available on the NRC’s by courier, express mail, or expedited limited appearance will be provided by public website at https://www.nrc.gov/ delivery service upon depositing the the presiding officer if such sessions are site-help/electronic-sub-ref-mat.html. A document with the provider of the scheduled. filing is considered complete at the time service. A presiding officer, having the document is submitted through the granted an exemption request from B. Electronic Submissions (E-Filing) NRC’s E-Filing system. To be timely, an using E-Filing, may require a participant All documents filed in NRC electronic filing must be submitted to or party to use E-Filing if the presiding adjudicatory proceedings, including a the E-Filing system no later than 11:59 officer subsequently determines that the request for hearing and petition for p.m. Eastern Time on the due date. reason for granting the exemption from leave to intervene (petition), any motion Upon receipt of a transmission, the E- use of E-Filing no longer exists. or other document filed in the Filing system time-stamps the document Documents submitted in adjudicatory proceeding prior to the submission of a and sends the submitter an email notice proceedings will appear in the NRC’s request for hearing or petition to confirming receipt of the document. The electronic hearing docket which is intervene, and documents filed by E-Filing system also distributes an email available to the public at https:// interested governmental entities that notice that provides access to the adams.nrc.gov/ehd, unless excluded request to participate under 10 CFR document to the NRC’s Office of the pursuant to an order of the Commission 2.315(c), must be filed in accordance General Counsel and any others who or the presiding officer. If you do not with the NRC’s E-Filing rule (72 FR have advised the Office of the Secretary have an NRC-issued digital ID certificate 49139; August 28, 2007, as amended at that they wish to participate in the as described above, click ‘‘cancel’’ when 77 FR 46562; August 3, 2012). The E- proceeding, so that the filer need not the link requests certificates and you Filing process requires participants to serve the document on those will be automatically directed to the submit and serve all adjudicatory participants separately. Therefore, NRC’s electronic hearing dockets where documents over the internet, or in some applicants and other participants (or you will be able to access any publicly cases to mail copies on electronic their counsel or representative) must available documents in a particular storage media. Detailed guidance on apply for and receive a digital ID hearing docket. Participants are making electronic submissions may be certificate before adjudicatory requested not to include personal found in the Guidance for Electronic documents are filed so that they can privacy information, such as social Submissions to the NRC and on the NRC obtain access to the documents via the security numbers, home addresses, or website at https://www.nrc.gov/site- E-Filing system. personal phone numbers in their filings, help/e-submittals.html. Participants A person filing electronically using unless an NRC regulation or other law may not submit paper copies of their the NRC’s adjudicatory E-Filing system requires submission of such filings unless they seek an exemption in may seek assistance by contacting the information. For example, in some accordance with the procedures NRC’s Electronic Filing Help Desk instances, individuals provide home described below. through the ‘‘Contact Us’’ link located addresses in order to demonstrate To comply with the procedural on the NRC’s public website at https:// proximity to a facility or site. With requirements of E-Filing, at least 10 www.nrc.gov/site-help/e- respect to copyrighted works, except for days prior to the filing deadline, the submittals.html, by email to limited excerpts that serve the purpose
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of the adjudicatory filings and would application, ADAMS accession number, public inspection in ADAMS and at the constitute a Fair Use application, and location in the application of the NRC’s PDR. For additional direction on participants are requested not to include licensee’s proposed NSHC accessing information related to this copyrighted materials in their determination. For further details with document, see the ‘‘Obtaining submission. respect to these license amendment Information and Submitting Comments’’ The table below provides the plant applications, see the application for section of this document. name, docket number, date of amendment which is available for TABLE 1—LICENSE AMENDMENT REQUEST(S)
Energy Northwest; Columbia Generating Station; Benton County, WA
Application Date ...... January 27, 2020. ADAMS Accession No...... ML20030C062. Location in Application of NSHC ...... Page 3 of Attachment 1. Brief Description of Amendments ...... The proposed amendment would adopt Technical Specifications Task Force (TSTF) Traveler TSTF–566, ‘‘Revise Actions for Inoperable RHR [Residual Heat Removal] Shutdown Cooling Subsystems,’’ and would revise the applicability of Technical Specification actions when an RHR shutdown cooling subsystem is in- operable. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Kathleen Galioto, Assistant General Counsel, Energy Northwest, MD PE13, P.O. Box 968, Richland, WA 99352. Docket Nos...... 50–397. NRC Project Manager, Telephone Number ...... L. John Klos, 301–415–5136.
Energy Northwest; Columbia Generating Station; Benton County, WA
Application Date ...... January 27, 2020. ADAMS Accession No...... ML20027D541. Location in Application of NSHC ...... Page 2 of Enclosure 1. Brief Description of Amendments ...... The proposed amendment would adopt Technical Specifications Task Force (TSTF) Traveler TSTF–564, ‘‘Safety Limit MCPR [Minimum Power Critical Ratio],’’ Revision 2, which would revise the Technical Speci- fication safety limit on MCPR and reduce the need for cycle-specific changes to that value while maintain- ing compliance with the regulatory requirements for safety limits. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Kathleen Galioto, Assistant General Counsel, Energy Northwest, MD PE13, P.O. Box 968, Richland, WA 99352. Docket Nos...... 50–397. NRC Project Manager, Telephone Number ...... L. John Klos, 301–415–5136.
Entergy Operations, Inc., System Energy Resources, Inc., Cooperative Energy, A Mississippi Electric Cooperative, and Entergy Mississippi, LLC; Grand Gulf Nuclear Station, Unit 1; Claiborne County, MS, Entergy Louisiana, LLC and Entergy Operations, Inc.; River Bend Station, Unit 1; West Feliciana Parish, LA
Application Date ...... February 26, 2020. ADAMS Accession No...... ML20057G004. Location in Application of NSHC ...... Page 3 of the Enclosure. Brief Description of Amendments ...... The proposed amendments would revise the Technical Specifications (TSs) to adopt Technical Specifica- tions Task Force (TSTF) Traveler TSTF–501, ‘‘Relocate Stored Fuel Oil and Lube Oil Volume Values to Licensee Control,’’ Revision 1 (ADAMS Accession Nos. ML090510686 and ML100850094), for Grand Gulf Nuclear Station, Unit 1 (Grand Gulf), and River Bend Station, Unit 1 (River Bend). The amendments would revise Grand Gulf and River Bend TS 3.8.3, ‘‘Diesel Fuel Oil, Lube Oil, and Starting Air,’’ by remov- ing the current stored diesel fuel oil and lube oil numerical volume requirements from the TSs and placing them in the TS Bases so that they may be modified under licensee control. The TSs would also be re- vised such that the stored diesel fuel oil and lube oil inventory would require that a 7-day supply be avail- able for each diesel generator at Grand Gulf and River Bend. Corresponding surveillance requirements and TS Bases would also be revised to reflect the above changes. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Anna Vinson Jones, Senior Counsel, Entergy Services, Inc., 101 Constitution Avenue NW, Suite 200 East, Washington, DC 20001. Docket Nos...... 50–416, 50–458. NRC Project Manager, Telephone Number ...... Siva Lingam, 301–415–1564.
Entergy Operations, Inc., System Energy Resources, Inc., Cooperative Energy, A Mississippi Electric Cooperative, and Entergy Mississippi, LLC; Grand Gulf Nuclear Station, Unit 1; Claiborne County, MS
Application Date ...... February 19, 2020. ADAMS Accession No...... ML20050R656. Location in Application of NSHC ...... Pages 111–113 of the Enclosure. Brief Description of Amendments ...... The proposed amendment would revise Technical Specification (TS) 5.5.12, ‘‘10 CFR 50, Appendix J, Test- ing Program,’’ to allow for the permanent extension of the Type A integrated leak rate testing. The amendment also proposes to make administrative changes to TS 5.5.12 to delete the already performed Type A test, and TS Surveillance Requirement (SR) 3.6.5.1.1 to delete the already performed drywell by- pass leak rate test. In addition, the amendment would revise SRs 3.6.1.1.1 and 3.6.1.2.1, and TS 5.5.12 to align with NUREG-1434, Volume 1, Revision 4, ‘‘Standard Technical Specifications General Electric BWR/6 Plants.’’ Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Anna Vinson Jones, Senior Counsel, Entergy Services, Inc., 101 Constitution Avenue NW, Suite 200 East, Washington, DC 20001. Docket Nos...... 50–416. NRC Project Manager, Telephone Number ...... Siva Lingam, 301–415–1564.
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TABLE 1—LICENSE AMENDMENT REQUEST(S)—Continued Exelon Generation Company, LLC; Dresden Nuclear Power Station, Units 2 and 3; Grundy County, IL
Application Date ...... October 21, 2019. ADAMS Accession No...... ML19294A304. Location in Application of NSHC ...... Attachment 1, Pages 24–26. Brief Description of Amendments ...... The proposed amendments would alter Technical Specification 3.6.1.3, ‘‘Primary Containment Isolation Valves (PCIVs),’’ and Surveillance Requirement 3.6.1.3.10 by revising the combined main steam isolation valve leakage rate limits. These proposed changes are based on a revision of the alternate source term analysis of the radiological consequences of the design-basis loss-of-coolant accident. The proposed change is consistent with Technical Specifications Task Force Traveler (TSTF)-551, ‘‘Revise Secondary Containment Surveillance Requirements,’’ Revision 3, which was approved by the NRC on September 21, 2017. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Tamra Domeyer, Associate General Counsel, Exelon Generation Company, LLC, 4300 Winfield Road, Warrenville, IL 60555. Docket Nos...... 50–237, 50–249. NRC Project Manager, Telephone Number ...... Russell Haskell, 301–415–1129.
Exelon Generation Company, LLC; LaSalle County Station, Units 1 and 2; LaSalle County, IL
Application Date ...... January 31, 2020. ADAMS Accession No...... ML20035E577. Location in Application of NSHC ...... Pages 5 and 6 of Attachment 1. Brief Description of Amendments ...... The proposed amendments would modify Technical Specification requirements to permit the use of risk-in- formed completion times in accordance with Technical Specifications Task Force Traveler (TSTF)-505, Revision 2, ‘‘Provide Risk-Informed Extended Completion Times—RITSTF Initiative 4b.’’ Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Tamra Domeyer, Associate General Counsel, Exelon Generation Company, LLC, 4300 Winfield Road, Warrenville, IL 60555. Docket Nos...... 50–373, 50–374. NRC Project Manager, Telephone Number ...... Bhalchandra Vaidya, 301–415–3308.
Exelon Generation Company, LLC; LaSalle County Station, Units 1 and 2; LaSalle County, IL
Application Date ...... January 31, 2020. ADAMS Accession No...... ML20031E699. Location in Application of NSHC ...... Enclosure, Pages 26 and 27. Brief Description of Amendments ...... The proposed amendments would modify the licensing basis by the addition of a license condition to allow for the implementation of the provisions of 10 CFR Section 50.69, ‘‘Risk-informed categorization and treat- ment of structures, systems and components for nuclear power reactors.’’ Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Tamra Domeyer, Associate General Counsel, Exelon Generation Company, LLC, 4300 Winfield Road, Warrenville, IL 60555. Docket Nos...... 50–373, 50–374. NRC Project Manager, Telephone Number ...... Bhalchandra Vaidya, 301–415–3308.
Northern States Power Company; Monticello Nuclear Generating Plant; Wright County, MN; Northern States Power Company—Minnesota; Prairie Island Nuclear Generating Plant, Unit Nos. 1 and 2; Goodhue County, MN
Application Date ...... February 27, 2020. ADAMS Accession No...... ML20058F943. Location in Application of NSHC ...... Attachment 1, Pages 3 and 4. Brief Description of Amendments ...... The proposed amendment would modify Technical Specification requirements in Section 1.3 and Section 3.0 regarding Limiting Condition for Operation and Surveillance Requirement usage. These changes are consistent with NRC-approved Technical Specifications Task Force (TSTF) Traveler TSTF–529, ‘‘Clarify Use and Application Rules,’’ Revision 4. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Peter M. Glass, Assistant General Counsel, Xcel Energy, 414 Nicollet Mall—401–8, Minneapolis, MN 55401. Docket Nos...... 50–263, 50–282, 50–306. NRC Project Manager, Telephone Number ...... Robert Kuntz, 301–415–3733.
Tennessee Valley Authority; Sequoyah Nuclear Plant, Units 1 and 2; Hamilton County, TN
Application Date ...... February 24, 2020. ADAMS Accession No...... ML20056C857. Location in Application of NSHC ...... Page 24 of the Enclosure. Brief Description of Amendments ...... The proposed amendments would modify the Technical Specifications to reduce the steam generator tube inspection frequency. Proposed Determination ...... NSHC. Name of Attorney for Licensee, Mailing Address ...... Sherry Quirk, Executive VP and General Counsel, Tennessee Valley Authority, 400 West Summit Hill Drive, WT 6A, Knoxville, TN 37902. Docket Nos...... 50–327. NRC Project Manager, Telephone Number ...... Perry Buckberg, 301–415–1383.
III. Notice of Issuance of Amendments amendments. The Commission has Commission’s rules and regulations. to Facility Operating Licenses and determined for each of these The Commission has made appropriate Combined Licenses amendments that the application findings as required by the Act and the During the period since publication of complies with the standards and Commission’s rules and regulations in the last biweekly notice, the requirements of the Atomic Energy Act 10 CFR chapter I, which are set forth in Commission has issued the following of 1954, as amended (the Act), and the the license amendment.
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A notice of consideration of issuance categorical exclusion in accordance For further details with respect to the of amendment to facility operating with 10 CFR 51.22. Therefore, pursuant action, see (1) the application for license or combined license, as to 10 CFR 51.22(b), no environmental amendment; (2) the amendment; and (3) applicable, proposed NSHC impact statement or environmental the Commission’s related letter, Safety determination, and opportunity for a assessment need be prepared for these Evaluation, and/or Environmental hearing in connection with these amendments. If the Commission has Assessment as indicated. All of these actions, was published in the Federal prepared an environmental assessment items can be accessed as described in Register as indicated. under the special circumstances the ‘‘Obtaining Information and Unless otherwise indicated, the provision in 10 CFR 51.22(b) and has Submitting Comments’’ section of this Commission has determined that these made a determination based on that document. amendments satisfy the criteria for assessment, it is so indicated. TABLE 2—LICENSE AMENDMENT ISSUANCE(S)
Dominion Energy South Carolina, Inc.; Virgil C. Summer Nuclear Station, Unit 1; Fairfield County, SC
Date Issued ...... 3/6/2020 ADAMS Accession No...... ML19305A005 Amendment Nos...... 217 Brief Description of Amendments ...... The amendment revised license conditions and approved changes to plant modifications evaluated using fire probabilistic risk assessment. The amendment also approved performance-based alternatives to Na- tional Fire Protection Association (NFPA) 805, Section 3.3.4, ‘‘Insulation Materials,’’ and Section 3.3.5.1, ‘‘Wiring above Suspended Ceilings.’’ Docket Nos...... 50–395.
Duke Energy Progress, LLC; Brunswick Steam Electric Plant, Units 1 and 2; Brunswick County, NC
Date Issued ...... March 6, 2020. ADAMS Accession No...... ML20073F186. Amendment Nos...... 299 (Unit 1) and 327 (Unit 2). Brief Description of Amendments ...... The amendments allow application of the Framatome analysis methodologies necessary to support a planned transition to ATRIUM 11 fuel under the currently licensed Maximum Extended Load Line Limit Analysis Plus (MELLLA+) operating domain. Docket Nos...... 50–325, 50–324.
Energy Northwest; Columbia Generating Station; Benton County, WA
Date Issued ...... 3/10/2020. ADAMS Accession No...... ML20037A733. Amendment Nos...... 256. Brief Description of Amendments ...... The amendment removed License Condition 2.C.(11), ‘‘Shield Wall Deferral (Section 12.3.2, SSER #4, Li- cense Amendment #7),’’ and its related Attachment 3, ‘‘List of Shield Walls,’’ from the renewed facility op- erating license because these items are outdated and not applicable to Columbia’s operation. Docket Nos...... 50–397.
Entergy Operations, Inc.; Arkansas Nuclear One, Unit 1; Pope County, AR
Date Issued ...... March 16, 2020. ADAMS Accession No...... ML20034E874. Amendment Nos...... 268. Brief Description of Amendments ...... The amendment adopted Technical Specifications Task Force (TSTF) Traveler TSTF–439, Revision 2, ‘‘Eliminate Second Completion Times Limiting Time from Discovery of Failure to Meet an LCO [Limiting Condition for Operation].’’ Docket Nos...... 50–313.
Exelon FitzPatrick, LLC and Exelon Generation Company, LLC; James A. FitzPatrick Nuclear Power Plant, LLC; Oswego County, NY
Date Issued ...... March 2, 2020. ADAMS Accession No...... ML20024C661. Amendment Nos...... 332. Brief Description of Amendments ...... The amendment adopted Technical Specifications Task Force (TSTF) Traveler TSTF–568, Revision 2, ‘‘Re- vise Applicability of BWR [Boiling Water Reactor]/4 TS [Technical Specification] 3.6.2.5 and TS 3.6.3.2,’’ using the Consolidated Line Item Improvement Process. Specifically, the amendment revised FitzPatrick TS 3.6.2.4, ‘‘Drywell-to-Suppression Chamber Differential Pressure,’’ and TS 3.6.3.1, ‘‘Primary Contain- ment Oxygen Concentration,’’ and presents the requirements in a manner more consistent with the Stand- ard Technical Specifications format and content. Docket Nos...... 50–333.
Exelon Generation Company, LLC; Braidwood Station, Units 1 and 2; Will County, IL; Exelon Generation Company, LLC; Byron Station, Unit Nos. 1 and 2, Ogle County, IL; Exelon Generation Company, LLC; Calvert Cliffs Nuclear Power Plant, Unit Nos. 1 and 2; Calvert County, MD; Exelon Generation Company, LLC, Clinton Power Station, Unit No. 1, DeWitt County, IL; Exelon Generation Company, LLC; Dresden Nuclear Power Station, Units 2 and 3; Grundy County, IL; Exelon Generation Company, LLC and Exelon FitzPatrick, LLC; James A. FitzPatrick Nuclear Power Plant; Oswego County, NY; Exelon Generation Company, LLC, LaSalle County Station, Units 1 and 2; LaSalle County, IL; Exelon Generation Company, LLC; Limerick Generating Station, Units 1 and 2; Montgomery County, PA; Exelon Generation Company, LLC; Nine Mile Point Nuclear Station, Units 1 and 2; Oswego County, NY; Exelon Generation Company, LLC and PSEG Nuclear LLC; Peach Bottom Atomic Power Station, Units 2 and 3; York and Lancaster Counties, PA; Exelon Generation Company, LLC; Quad Cities Nuclear Power Station, Units 1 and 2; Rock Island County, IL; Exelon Generation Company, LLC; R. E. Ginna Nuclear Power Plant; Wayne County, NY
Date Issued ...... March 12, 2020. ADAMS Accession No...... ML20034G546. Amendment Nos...... Braidwood (207/207), Byron (213/213), Calvert Cliffs (334/312), Clinton (229), Dresden (266/259), FitzPatrick (333), LaSalle (242/228), Limerick (243/206), Nine Mile Point (241/179), Peach Bottom (332/ 335), Quad Cities (279/274), and R. E. Ginna (138).
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TABLE 2—LICENSE AMENDMENT ISSUANCE(S)—Continued Brief Description of Amendments ...... The amendments revised the instrument testing and calibration definitions in the technical specifications for each facility to incorporate the surveillance frequency control program. The amendments are based on Technical Specifications Task Force (TSTF) Traveler TSTF–563, Revision 0, ‘‘Revise Instrument Testing Definitions to Incorporate the Surveillance Frequency Control Program’’ (ADAMS Accession No. ML17130A819). Docket Nos...... 50–456, 50–457, 50–454, 50–455, 50–317, 50–318, 50–461, 50–237, 50–249, 50–333, 50–373, 50–374, 50–352, 50–353, 50–220, 50–410, 50–277, 50–278, 50–254, 50–265, 50–244.
Exelon Generation Company, LLC; Limerick Generating Station, Units 1 and 2; Montgomery County, PA
Date Issued ...... March 11, 2020. ADAMS Accession No...... ML19345D984. Amendment Nos...... 242 (Unit 1) and 205 (Unit 2). Brief Description of Amendments ...... The amendments removed Technical Specification (TS) 3⁄4.3.7.8.1, ‘‘Chlorine Detection System’’; TS 3⁄4.3.7.8.2, ‘‘Toxic Gas Detection System’’; and Surveillance Requirement 4.7.2.1.e.2, which require verification of realignment of the control room emergency fresh air supply system upon detection of chorine or toxic gases. Docket Nos...... 50–352, 50–353.
Exelon Generation Company, LLC; Limerick Generating Station, Units 1 and 2; Montgomery County, PA
Date Issued ...... March 11, 2020. ADAMS Accession No...... ML19351E376. Amendment Nos...... 241 (Unit 1) and 204 (Unit 2). Brief Description of Amendments ...... The amendments revised Technical Specification (TS) 6.8.4.g, ‘‘Primary Containment Leakage Rate Testing Program,’’ to adopt Nuclear Energy Institute (NEI) 94–01, Revisions 2–A and 3–A. Specifically, the amendments allowed the maximum interval for the integrated leakage rate test, also known as Type A test, to be extended permanently from once in 10 years to once in 15 years, and made an administrative change to remove the exception under TS 6.8.4.g regarding the performance of the next Units 1 and 2 Type A test no later than May 15, 2013, and May 21, 2014, respectively, as these Type A tests have al- ready occurred. Docket Nos...... 50–352, 50–353.
PSEG Nuclear LLC; Salem Nuclear Generating Station, Unit Nos. 1 and 2; Salem County, NJ
Date Issued ...... 3/12/2020. ADAMS Accession No...... ML20042F101. Amendment Nos...... 334 (Unit No. 1) and 315 (Unit No. 2). Brief Description of Amendments ...... The amendments relocated Salem, Unit Nos. 1 and 2, Technical Specifications 3⁄4.9.3, ‘‘Decay Time,’’ and 3⁄4.9.12, ‘‘Fuel Handling Area Ventilation System,’’ to the Salem Technical Requirements Manual. Docket Nos...... 50–272, 50–311.
R. E. Ginna Nuclear Power Plant, LLC and Exelon Generation Company, LLC; R. E. Ginna Nuclear Power Plant; Wayne County, NY
Date Issued ...... March 11, 2020. ADAMS Accession No...... ML20044D072. Amendment Nos...... 137. Brief Description of Amendments ...... The amendment revised Technical Specification 3.7.1, ‘‘Main Steam Safety Valves (MSSVs),’’ Surveillance Requirement 3.7.1.1 to increase the allowable as-found main steam safety valves lift setpoint tolerance from +1 percent, ¥3 percent to +1.4 percent, ¥4 percent for valve numbers 3508, 3509, 3510, 3511, 3512, and 3515. Docket Nos...... 50–244.
Notice of Issuance of Amendments to which are set forth in the license communication for the public to Facility Operating Licenses and amendment. respond quickly, and in the case of Combined Licenses and Final Because of exigent or emergency telephone comments, the comments Determination of No Significant circumstances associated with the date have been recorded or transcribed as Hazards Consideration and the amendment was needed, there was appropriate and the licensee has been Opportunity for a Hearing (Exigent not time for the Commission to publish, informed of the public comments. Public Announcement or Emergency for public comment before issuance, its In circumstances where failure to act Circumstances) usual notice of consideration of in a timely way would have resulted, for issuance of amendment, proposed example, in derating or shutdown of a During the period since publication of NSHC determination, and opportunity nuclear power plant or in prevention of the last biweekly notice, the for a hearing. either resumption of operation or of Commission has issued the following For exigent circumstances, the increase in power output up to the amendments. The Commission has Commission has either issued a Federal plant’s licensed power level, the determined for each of these Register notice providing opportunity Commission may not have had an amendments that the application for the for public comment or has used local opportunity to provide for public amendment complies with the media to provide notice to the public in comment on its NSHC determination. In standards and requirements of the the area surrounding a licensee’s facility such case, the license amendment has Atomic Energy Act of 1954, as amended of the licensee’s application and of the been issued without opportunity for (the Act), and the Commission’s rules Commission’s proposed determination comment. If there has been some time and regulations. The Commission has of NSHC. The Commission has provided for public comment but less than 30 made appropriate findings as required a reasonable opportunity for the public days, the Commission may provide an by the Act and the Commission’s rules to comment, using its best efforts to opportunity for public comment. If and regulations in 10 CFR chapter I, make available to the public means of comments have been requested, it is so
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stated. In either event, the State has with 10 CFR 51.22. Therefore, pursuant Previously Published Notice of been consulted by telephone whenever to 10 CFR 51.22(b), no environmental Consideration of Issuance of possible. impact statement or environmental Amendments to Facility Operating Under its regulations, the Commission assessment need be prepared for these Licenses and Combined Licenses, may issue and make an amendment amendments. If the Commission has Proposed No Significant Hazards immediately effective, notwithstanding prepared an environmental assessment Consideration Determination, and the pendency before it of a request for under the special circumstances Opportunity for a Hearing a hearing from any person, in advance provision in 10 CFR 51.12(b) and has The following notices were previously of the holding and completion of any made a determination based on that published as separate individual required hearing, where it has assessment, it is so indicated. notices. The notice content was the determined that NSHC is involved. For further details with respect to the same as above. They were published as The Commission has applied the action see (1) the application for individual notices either because time standards of 10 CFR 50.92 and has made amendment, (2) the amendment to did not allow the Commission to wait a final determination that the Facility Operating License or Combined for this biweekly notice or because the amendment involves NSHC. The basis License, as applicable, and (3) the action involved exigent circumstances. for this determination is contained in They are repeated here because the Commission’s related letter, Safety the documents related to this action. biweekly notice lists all amendments Evaluation and/or Environmental Accordingly, the amendments have issued or proposed to be issued been issued and made effective as Assessment, as indicated. All of these involving no significant hazards indicated. items can be accessed as described in consideration. Unless otherwise indicated, the the ‘‘Obtaining Information and For details, including the applicable Commission has determined that these Submitting Comments’’ section of this notice period, see the individual notice amendments satisfy the criteria for document. in the Federal Register on the day and categorical exclusion in accordance page cited. TABLE 4—LICENSE AMENDMENT REQUEST(S)—REPEAT OF INDIVIDUAL FEDERAL REGISTER NOTICE
Exelon Generation Company, LLC; R.E. Ginna Nuclear Power Plant; Wayne County, NY
Application Date ...... February 25, 2020. ADAMS Accession No...... ML20056E958. Brief Description of Amendment ...... The amendment revised Technical Specifications 3.4.7, ‘‘RCS [Reactor Coolant System] Loops—MODE 5, Loops Filled’’; 3.4.8, ‘‘RCS Loops—MODE 5, Loops Not Filled’’; 3.9.4, ‘‘Residual Heat Removal (RHR) and Coolant Circulation—Water Level ≥23 Ft’’; and 3.9.5, ‘‘Residual Heat Removal (RHR) and Coolant Circulation—Water Level <23 Ft,’’ to add an asterisk to allow the use of alternative means for residual heat removal. This one-time change was requested to support Ginna in the shutdown of the reactor dur- ing the upcoming refueling outage scheduled to start in April 2020. Date & Cite of Federal Register Individual Notice ...... 3/2/2020; 85 FR 12349. Expiration Dates for Public Comments & Hearing Re- 4/1/2020 (comments); 5/1/2020 (petitions). quests. Docket Nos...... 50–244.
Dated at Rockville, Maryland, this 25th day instructions to provide to patients Regulations.gov to Jennifer Borges, of March, 2020. before and after they have been telephone: 301–287–9127; email: For the Nuclear Regulatory Commission. administered radioactive material than [email protected]. For technical Gregory F. Suber, was in Revision 0. In addition, the guide questions, contact the individual listed Deputy Director, Division of Operating includes a new section on ‘‘Death of a in the FOR FURTHER INFORMATION Reactor Licensing, Office of Nuclear Reactor Patient Following Radiopharmaceutical CONTACT section of this document. Regulation. or Implants Administrations,’’ as well as • NRC’s Agencywide Documents [FR Doc. 2020–06624 Filed 4–6–20; 8:45 am] requirements for recordkeeping. Also, Access and Management System BILLING CODE 7590–01–P Table 3, ‘‘Activities of (ADAMS): You may obtain publicly- Radiopharmaceuticals That Require available documents online in the Instructions and Records When ADAMS Public Document collection at NUCLEAR REGULATORY Administered to Patients Who Are https://www.nrc.gov/reading-rm/ COMMISSION Breastfeeding an Infant or Child,’’ has adams.html. To begin the search, select been revised. ‘‘Begin Web-based ADAMS Search.’’ For [NRC–2019–0154] problems with ADAMS, please contact DATES: Revision 1 to RG 8.39 is available the NRC’s Public Document Room (PDR) Release of Patients Administered on April 7, 2020. Radioactive Material reference staff at 1–800–397–4209, 301– ADDRESSES: Please refer to Docket ID 415–4737, or by email to pdr.resource@ AGENCY: Nuclear Regulatory NRC–2019–0154 when contacting the nrc.gov. The ADAMS accession number Commission. NRC about the availability of for each document referenced in this ACTION: Regulatory guide; issuance. information regarding this document. notice (if that document is available in You may obtain publicly-available ADAMS) is provided the first time that SUMMARY: The U.S. Nuclear Regulatory information related to this document, a document is referenced. Revision 1 to Commission (NRC) is issuing Revision 1 using the following methods: RG 8.39 may be found in ADAMS under to Regulatory Guide (RG) 8.39, ‘‘Release • Federal Rulemaking Website: Go to Accession No. ML19232A081. of Patients Administered Radioactive https://www.regulations.gov and search • NRC’s PDR: You may examine and Material.’’ This RG (Revision 1) for Docket ID NRC–2019–0154. Address purchase copies of public documents at provides licensees with more detailed questions about NRC docket IDs in the NRC’s PDR, Room O1–F21, One
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White Flint North, 11555 Rockville The public comment period was Duke Energy Florida, LLC (DEF) under Pike, Rockville, Maryland 20852. extended for another 30 days (84 FR Facility Operating License No. DPR–72 Regulatory guides are not 39383; August 9, 2019). The public for the Crystal River Unit 3 Nuclear copyrighted, and NRC approval is not comment period closed on September Generating Plant (CR–3) and the general required to reproduce them. 26, 2019. Public comments on DG–8057 license for the CR–3 independent spent FOR FURTHER INFORMATION CONTACT: and the staff responses to the public fuel storage installation (ISFSI) to Vered Shaffer, Office of Nuclear comments are available under ADAMS possess, maintain, and decommission Regulatory Research, telephone: 630– under Accession No. ML19353B203. CR–3 and its ISFSI. The order also 829–9862, email: Vered.Shaffer@ III. Congressional Review Act approves a draft conforming nrc.gov, U.S. Nuclear Regulatory administrative license amendment to Commission, Washington, DC 20555– This RG is a rule as defined in the reflect the transfer from DEF to ADP 0001. Congressional Review Act (5 U.S.C. CR3. The NRC determined that ADP 801–808). However, the Office of CR3 is qualified to hold the licenses to SUPPLEMENTARY INFORMATION: Management and Budget has not found the extent proposed, and that the I. Discussion it to be a major rule as defined in the transfer is otherwise consistent with Congressional Review Act. The NRC is issuing a revision to an applicable provisions of law, existing guide in the NRC’s ‘‘Regulatory IV. Backfitting, Forward Fitting, and regulations, and orders issued by the Guide’’ series. This series was Issue Finality Commission pursuant thereto, subject to the condition described in the order. developed to describe and make Revision 1 of RG 8.39 does not The order became effective on April 1, available to the public information constitute backfitting as defined in title 2020. regarding methods and techniques that 10 of the Code of Federal Regulations the NRC staff uses in evaluating specific (10 CFR) section 50.109, ‘‘Backfitting’’ DATES: The order was issued on April 1, issues or postulated events, and data and as described in NRC Management 2020 and is effective for one year. that the NRC staff needs in its review of Directive (MD) 8.4, ‘‘Management of ADDRESSES: Please refer to Docket ID applications for permits and licenses. Backfitting, Forward Fitting, Issue NRC–2020–0077 when contacting the RG 8.39 described methods that are Finality, and Information Requests’’ NRC about the availability of acceptable to the NRC staff for (ADAMS Accession No. ML18093B087); information regarding this document. implementing specific parts of the affect the issue finality of any approval You may obtain publicly-available NRC’s regulations. Specifically, the RG issued under 10 CFR part 52, ‘‘Licenses, information related to this document provides licensees with instructions for using any of the following methods: Certifications, and Approvals for • patients before and after they receive Nuclear Power Plants;’’ or constitute Federal Rulemaking Website: Go to medical procedures involving the forward fitting as that term is defined https://www.regulations.gov and search administration of radioactive material, and described in MD 8.4. 10 CFR part for Docket ID NRC–2020–0077. Address as well as requirements for 35, ‘‘Medical Use of Byproduct questions about NRC Docket IDs in recordkeeping. The RG also lists Material,’’ does not include backfitting Regulations.gov to Jennifer Borges; activities and dose rates that may be or issue finality provisions and the telephone: 301–287–9127; email: used by licensees for the release of forward fitting policy in MD 8.4 does [email protected]. For technical patients in order to meet NRC regulatory not apply to these licensees. In addition, questions, contact the individual listed requirements. licensees will not be required to comply in the FOR FURTHER INFORMATION This revision of the guide (Revision 1) with the positions set forth in this RG. CONTACT section of this document. provides licensees with more detailed • NRC’s Agencywide Documents Dated: April 2, 2020. instructions to provide to patients Access and Management System before and after they have been For the Nuclear Regulatory Commission. (ADAMS): You may obtain publicly- administered radioactive material than Thomas H. Boyce, available documents online in the was in Revision 0. In addition, the guide Chief, Regulatory Guidance and Generic ADAMS Public Documents collection at includes a new section on ‘‘Death of a Issues Branch, Division of Engineering, Office https://www.nrc.gov/reading-rm/ of Nuclear Regulatory Research. Patient Following Radiopharmaceutical adams.html. To begin the search, select or Implants Administrations,’’ as well as [FR Doc. 2020–07307 Filed 4–6–20; 8:45 am] ‘‘Begin Web-based ADAMS Search.’’ For additional guidance for requirements for BILLING CODE 7590–01–P problems with ADAMS, please contact recordkeeping. Also, Table 3, the NRC’s Public Document Room (PDR) ‘‘Activities of Radiopharmaceuticals reference staff at 1–800–397–4209, 301– NUCLEAR REGULATORY that Require Instructions and Records 415–4737, or by email to pdr.resource@ COMMISSION when Administered to Patients who are nrc.gov. The ADAMS accession number Breastfeeding an Infant or Child,’’ has [Docket Nos. 50–302 and 72–1035; NRC– for each document referenced (if it is been revised to provide information for 2020–0077] available in ADAMS) is provided the the recommended duration of first time that it is mentioned in this interruption of breastfeeding to ensure In the Matter of Duke Energy Florida, document. • that the dose to an infant or child meets LLC; Crystal River Unit 3 Nuclear NRC’s PDR: You may examine and the NRC’s regulatory requirements. Generating Plant and Independent purchase copies of public documents at Spent Fuel Storage Installation the NRC’s PDR, Room O1–F21, One II. Additional Information AGENCY: Nuclear Regulatory White Flint North, 11555 Rockville Proposed revision 1 of RG 8.39 was Commission. Pike, Rockville, Maryland 20852. FOR FURTHER INFORMATION CONTACT: issued with a temporary identification ACTION: Direct transfer of license; order. John of Draft Regulatory Guide, (DG)–8057. B. Hickman, Office of Nuclear Material The NRC published a notice of the SUMMARY: The U.S. Nuclear Regulatory Safety and Safeguards, U.S. Nuclear availability of DG–8057 in the Federal Commission (NRC) is issuing an order Regulatory Commission, Washington, Register on July 29, 2019 (84 FR 36127) approving the transfer to ADP CR3, LLC DC 20555–0001; telephone: 301–415– for a 30-day public comment period. (ADP CR3) of the licensed authority of 3017; email: [email protected].
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SUPPLEMENTARY INFORMATION: The text of II (2) The facility will operate in the order is attached. conformity with the application, the By letter dated June 14, 2019 (ADAMS Dated: April 2, 2020. provisions of the Act, and the rules and Accession No. ML19170A209), as regulations of the Commission. For the Nuclear Regulatory Commission. supplemented by letters dated January (3) There is reasonable assurance that Bruce A. Watson, 17, 2020 (ADAMS Accession No. the activities authorized by the Chief, Reactor Decommissioning Branch, ML20017A216), and March 5, 2020 amendment can be conducted without Division of Decommissioning, Uranium (ADAMS Accession No. ML20065K737), endangering the health and safety of the Recovery and Waste Programs, Office of DEF requested, on behalf of itself and public, and that such activities will be Nuclear Material Safety and Safeguards. ADP CR3, LLC (ADP CR3) (collectively, conducted in compliance with the Attachment—Order Approving the Applicants), pursuant to Section 184 Commission’s regulations. Transfer of Licensed Authority and of the Atomic Energy Act of 1954, as (4) The issuance of the amendment Draft Conforming Administrative amended, and 10 CFR 50.80, ‘‘Transfer will not be inimical to the common License Amendment of licenses,’’ and 10 CFR 72.50, defense and security or to the health ‘‘Transfer of license,’’ that the NRC and safety of the public. United States of America consent to the transfer to ADP CR3 of (5) The issuance of the amendment is Nuclear Regulatory Commission DEF’s licensed authority under the in accordance with 10 CFR part 51 of licenses. Specifically, DEF intends to the Commission’s regulations and all In the Matter of Duke Energy Florida, transfer its NRC-licensed possession, applicable requirements have been LLC; Crystal River Unit 3 Nuclear maintenance, and decommissioning satisfied. Generating Plant and its generally authorities to ADP CR3 for the purpose The findings set forth above are licensed ISFSI of completing the decommissioning of supported by an NRC staff safety Docket Nos. 50–302 and 72–1035 the CR–3 facility. The application evaluation dated April 1, 2020, which is proposed no physical or operational available at ADAMS Accession No. License No. DPR–72 changes to the CR–3 facility. ML20069A027. Order Approving Transfer of Licensed The NRC published a notice, ‘‘Crystal III Authority and Draft Conforming River Unit 3 Nuclear Generating Plant; Administrative License Amendment Duke Energy Florida, LLC; Accordingly, pursuant to Sections (EA–20–045) Consideration of Approval of Transfer of 161b, 161i, and 184 of the Act, 42 U.S.C. Sections 2201(b), 2201(i), and 2234; and I License and Conforming Amendment,’’ in the Federal Register (FR) on October 10 CFR 50.80, 10 CFR 72.50, and 10 CFR 50.90, it is hereby ordered that the Duke Energy Florida, LLC (DEF) is the 11, 2019 (84 FR 54932). The NRC did application for license transfer, as holder of Facility Operating License No. not receive any comments or hearing described herein, is approved, subject to DPR–72 for the Crystal River Unit 3 requests on the application. the following condition: Nuclear Generating Plant (CR–3) and the Pursuant to 10 CFR 50.80, no license Prior to the closing of the license general license for the CR–3 for a production or utilization facility, transfer, DEF and ADP CR3 shall independent spent fuel storage or any right thereunder, shall be provide the Director of the NRC’s Office installation (ISFSI) (collectively, the transferred, either voluntarily or of Nuclear Material Safety and licenses). DEF is authorized to possess, involuntarily, directly or indirectly, Safeguards satisfactory documentary maintain, and decommission CR–3 and through transfer of control of the license evidence that they have obtained the the CR–3 ISFSI (collectively, the CR–3 to any person, unless the Commission appropriate amount of insurance facility), which are located in Crystal gives its consent in writing. Upon required of a licensee under 10 CFR River, Florida. The CR–3 facility is review of the information in the 140.11(a)(4) and 10 CFR 50.54(w), located on the Gulf coast of Florida application for license transfer, as consistent with the exemptions issued approximately 80 miles north of Tampa, supplemented, and other information for CR–3 on April 27, 2015, and March Florida, within the Crystal River Energy before the Commission, and relying 31, 2016. Complex (CREC). upon the representations and It is further ordered that, consistent CR–3 was a 2,609 megawatts thermal agreements contained in the with 10 CFR 2.1315(b), the license single-unit pressurized light-water application, the NRC staff has amendment that makes changes, as reactor supplied by Babcock & Wilcox determined that ADP CR3 is qualified to indicated in Enclosure 2 to the letter that was issued an operating license on hold the licenses to the extent proposed, transmitting this Order, to reflect the January 28, 1977. By letter dated and that the transfer, as described in the subject license transfer, is approved. February 20, 2013 (Agencywide application, is otherwise consistent with The amendment shall be issued and Documents Access and Management applicable provisions of law, made effective at the time the proposed System (ADAMS) Accession No. regulations, and orders issued by the transfer actions are completed. ML13056A005), pursuant to Section Commission pursuant thereto, subject to It is further ordered that after receipt 50.82(a)(1) of Title 10 of the Code of the condition set forth below. of all required regulatory approvals of Federal Regulations (10 CFR), DEF Upon review of the information in the the proposed transfer actions, ADP CR3 notified the U.S. Nuclear Regulatory application for a conforming shall inform the Director of the NRC Commission (NRC, the Commission) administrative license amendment, as Office of Nuclear Material Safety and that CR–3 had been permanently shut supplemented, the NRC staff has Safeguards in writing of such receipt, down and that all fuel had been determined that: and of the date of the closing of the permanently removed from the reactor (1) The application for amendment transfer, no later than 5 business days vessel. Accordingly, pursuant to 10 CFR complies with the standards and before the date of the closing of the 50.82(a)(2), the 10 CFR part 50 license requirements of the Atomic Energy Act transfer. Should the proposed transfer for CR–3 no longer authorizes operation of 1954, as amended (the Act), and the not be completed within 1 year of the of the reactor or emplacement or Commission’s rules and regulations set date of this Order, this Order shall retention of fuel into the reactor vessel. forth in 10 CFR Chapter I. become null and void, provided,
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however, that upon written application ADDRESSES: You may submit comments, submitted with a request for and for good cause shown, such date identified by docket number and/or reinstatement. may be extended by order. Regulatory Information Number (RIN) Analysis This Order is effective upon issuance. and title, by the following method: For further details with respect to this —Federal Rulemaking Portal: http:// Agency: Retirement Operations, Order, see the application dated June www.regulations.gov. Follow the Retirement Services, Office of Personnel 14, 2019 (ADAMS Accession No. instructions for submitting comments. Management. ML19170A209), the supplemental All submissions received must Title: Reinstatement of Disability letters dated January 17, 2020 (ADAMS include the agency name and docket Annuity Previously Terminated Because Accession No. ML20017A216), and number or RIN for this document. The of Restoration to Earning Capacity (RI March 5, 2020 (ADAMS Accession No. general policy for comments and other 30–9). ML20065K737), and the NRC staff’s submissions from members of the public OMB Number: 3206–0138. safety evaluation dated April 1, 2020 is to make these submissions available Frequency: On occasion. (ADAMS Accession No. ML20069A027), for public viewing at http:// Affected Public: Individuals or which are available for public www.regulations.gov as they are Households. inspection at the NRC’s Public received without change, including any Number of Respondents: 200. Document Room located at One White personal identifiers or contact Estimated Time per Respondent: 60 Flint North, Public File Area O1–F21, information. minutes. 11555 Rockville Pike (first floor), FOR FURTHER INFORMATION CONTACT: A Total Burden Hours: 200 hours. Rockville, Maryland. Publicly available copy of this ICR with applicable Office of Personnel Management. documents created or received at the supporting documentation, may be Alexys Stanley, NRC are accessible electronically obtained by contacting the Retirement Regulatory Affairs Analyst. through ADAMS in the NRC Library at Services Publications Team, Office of [FR Doc. 2020–07236 Filed 4–6–20; 8:45 am] http://www.nrc.gov/reading-rm/ Personnel Management, 1900 E Street BILLING CODE 6325–38–P adams.html. Persons who do not have NW, Room 3316–L, Washington, DC access to ADAMS or who encounter 20415, Attention: Cyrus S. Benson, or problems accessing the documents sent via electronic mail to OFFICE OF PERSONNEL located in ADAMS should contact the [email protected] or faxed to MANAGEMENT NRC Public Document Room reference (202) 606–0910 or via telephone at (202) staff by telephone at 1–800–397–4209 or 606–4808. Submission for Review: 3206–0143, 301–415–4737, or by email to SUPPLEMENTARY INFORMATION: As Request to Disability Annuitant for [email protected]. required by the Paperwork Reduction Information on Physical Condition and Dated at Rockville, Maryland, this 1st day Act of 1995 (Pub. L. 104–13, 44 U.S.C. Employment, RI 30–1 of April, 2020. chapter 35) as amended by the Clinger- AGENCY: Office of Personnel For the Nuclear Regulatory Commission. Cohen Act (Pub. L. 104–106), OPM is Management. John W. Lubinski, soliciting comments for this collection ACTION: 60-Day notice and request for Director, Office of Nuclear Material Safety (OMB No. 3206–0138). The Office of and Safeguards. Management and Budget is particularly comments. [FR Doc. 2020–07261 Filed 4–6–20; 8:45 am] interested in comments that: SUMMARY: The Retirement Services, 1. Evaluate whether the proposed BILLING CODE 7590–01–P Office of Personnel Management (OPM) collection of information is necessary offers the general public and other for the proper performance of functions federal agencies the opportunity to of the agency, including whether the comment on a revised information OFFICE OF PERSONNEL information will have practical utility; collection request (ICR), Request to 2. Evaluate the accuracy of the MANAGEMENT Disability Annuitant for Information on agency’s estimate of the burden of the Physical Condition and Employment, RI Submission for Review: 3206–0138, proposed collection of information, 30–1. Reinstatement of Disability Annuity including the validity of the Previously Terminated Because of methodology and assumptions used; DATES: Comments are encouraged and Restoration to Earning Capacity, RI 3. Enhance the quality, utility, and will be accepted until June 8, 2020. 30–9 clarity of the information to be ADDRESSES: You may submit comments, collected; and identified by docket number and/or AGENCY: Office of Personnel 4. Minimize the burden of the Regulatory Information Number (RIN) Management. collection of information on those who and title, by the following method: ACTION: 60-Day notice and request for are to respond, including through the —Federal Rulemaking Portal: http:// comments. use of appropriate automated, www.regulations.gov. Follow the electronic, mechanical, or other instructions for submitting comments. SUMMARY: The Retirement Services, technological collection techniques or All submissions received must Office of Personnel Management (OPM) other forms of information technology, include the agency name and docket offers the general public and other e.g., permitting electronic submissions number or RIN for this document. The federal agencies the opportunity to of responses. general policy for comments and other comment on a revised information RI 30–9, Reinstatement of Disability submissions from members of the public collection request (ICR), Reinstatement Annuity Previously Terminated Because is to make these submissions available of Disability Annuity Previously of Restoration to Earning Capacity, for public viewing at http:// Terminated Because of Restoration to informs former annuitants of their right www.regulations.gov as they are Earning Capacity, RI 30–9. to request reconsideration. It also received without change, including any DATES: Comments are encouraged and specifies the conditions to be met and personal identifiers or contact will be accepted until June 8, 2020. the documentation that must be information.
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FOR FURTHER INFORMATION CONTACT: A Number of Respondents: 8,000. Act of 1995 (Pub. L. 104–13, 44 U.S.C. copy of this ICR with applicable Estimated Time per Respondent: 60 chapter 35) as amended by the Clinger- supporting documentation, may be minutes. Cohen Act (Pub. L. 104–106), OPM is obtained by contacting the Retirement Total Burden Hours: 8,000 hours. soliciting comments for this collection Services Publications Team, Office of Office of Personnel Management. (OMB No. 3206–0194). The Office of Personnel Management, 1900 E Street Alexys Stanley, Management and Budget is particularly NW, Room 3316–L, Washington, DC interested in comments that: Regulatory Affairs Analyst. 20415, Attention: Cyrus S. Benson, or [FR Doc. 2020–07235 Filed 4–6–20; 8:45 am] 1. Evaluate whether the proposed sent via electronic mail to collection of information is necessary BILLING CODE 6325–38–P [email protected] or faxed to for the proper performance of functions (202) 606–0910 or via telephone at (202) of the agency, including whether the 606–4808. OFFICE OF PERSONNEL information will have practical utility; SUPPLEMENTARY INFORMATION: As MANAGEMENT 2. Evaluate the accuracy of the required by the Paperwork Reduction agency’s estimate of the burden of the Act of 1995 (Public Law 104–13, 44 Submission for Review: 3206–0194, proposed collection of information, U.S.C. chapter 35) as amended by the Annuity Supplement Earnings Report, including the validity of the Clinger-Cohen Act (Pub. L. 104–106), RI 92–22 methodology and assumptions used; OPM is soliciting comments for this AGENCY: Office of Personnel 3. Enhance the quality, utility, and collection (OMB No. 3206–0143). The Management. clarity of the information to be Office of Management and Budget is collected; and particularly interested in comments ACTION: 60-Day notice and request for that: comments. 4. Minimize the burden of the collection of information on those who 1. Evaluate whether the proposed SUMMARY: The Retirement Services, collection of information is necessary are to respond, including through the Office of Personnel Management (OPM) use of appropriate automated, for the proper performance of functions offers the general public and other of the agency, including whether the electronic, mechanical, or other federal agencies the opportunity to technological collection techniques or information will have practical utility; comment on a revised information 2. Evaluate the accuracy of the other forms of information technology, collection request (ICR), Annuity e.g., permitting electronic submissions agency’s estimate of the burden of the Supplement Earnings Report, RI 92–22. proposed collection of information, of responses. DATES: Comments are encouraged and including the validity of the RI 92–22, Annuity Supplement will be accepted until June 8, 2020. methodology and assumptions used; Earnings Report, is used each year to 3. Enhance the quality, utility, and ADDRESSES: You may submit comments, obtain the earned income of Federal clarity of the information to be identified by docket number and/or Employees Retirement System (FERS) collected; and Regulatory Information Number (RIN) annuitants who are not retired on 4. Minimize the burden of the and title, by the following method: disability and are not yet age 62. The collection of information on those who —Federal Rulemaking Portal: http:// supplement approximates the portion of are to respond, including through the www.regulations.gov. Follow the a full career Social Security benefit use of appropriate automated, instructions for submitting comments. earned while under FERS and ends at electronic, mechanical, or other All submissions received must age 62. Like Social Security benefits, the include the agency name and docket technological collection techniques or annuity supplement is subject to an number or RIN for this document. The other forms of information technology, earnings limitation. general policy for comments and other e.g., permitting electronic submissions submissions from members of the public Analysis of responses. is to make these submissions available Form RI 30–1, Request to Disability Agency: Retirement Operations, for public viewing at http:// Annuitant for Information on Physical Retirement Services, Office of Personnel www.regulations.gov as they are Condition and Employment, is used by Management. received without change, including any persons who are not yet age 60 and who personal identifiers or contact Title: Annuity Supplement Earnings are receiving a disability annuity and information. Report (RI 92–22). are subject to inquiry regarding their OMB Number: 3206–0194. FOR FURTHER INFORMATION CONTACT: A medical condition as OPM deems Frequency: On occasion. reasonably necessary. copy of this ICR with applicable supporting documentation, may be Affected Public: Individuals or Analysis obtained by contacting the Retirement Households. Agency: Retirement Operations, Services Publications Team, Office of Number of Respondents: 13,000. Retirement Services, Office of Personnel Personnel Management, 1900 E Street Estimated Time per Respondent: 15 Management. NW, Room 3316–L, Washington, DC minutes. Title: Request to Disability Annuitant 20415, Attention: Cyrus S. Benson, or Total Burden Hours: 3,250 hours. for Information on Physical Condition sent via electronic mail to and Employment (RI 30–1). [email protected] or faxed to Office of Personnel Management. OMB Number: 3206–0143. (202) 606–0910 or via telephone at (202) Alexys Stanley, Frequency: On occasion. 606–4808. Regulatory Affairs Analyst. Affected Public: Individuals or SUPPLEMENTARY INFORMATION: As [FR Doc. 2020–07238 Filed 4–6–20; 8:45 am] Households. required by the Paperwork Reduction BILLING CODE 6325–38–P
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SECURITIES AND EXCHANGE and superseded the proposed rule trading privileges (‘‘UTP’’), of Active COMMISSION change as originally filed.7 The Proxy Portfolio Shares, which are Commission has received no comments securities issued by an actively managed [Release No. 34–88534; File No. SR– NYSEArca–2019–96] on the proposed rule change. The open-end investment management Commission is publishing this notice company.9 Proposed Commentary 02 to Self-Regulatory Organizations; NYSE and order to solicit comments on the Rule 8.601–E would require the Arca, Inc.; Notice of Filing of proposed rule change, as modified by Exchange to file separate proposals Amendment No. 2 and Order Instituting Amendment No. 2, from interested under Section 19(b) of the Act before Proceedings To Determine Whether To persons and to institute proceedings listing and trading any series of Active Approve or Disapprove a Proposed pursuant to Section 19(b)(2)(B) of the Proxy Portfolio Shares on the Exchange. Rule Change, as Modified by Act 8 to determine whether to approve Therefore, the Exchange is submitting Amendment No. 2, To List and Trade or disapprove the proposed rule change, this proposal in order to list and trade Two Series of Active Proxy Portfolio as modified by Amendment No. 2. shares (‘‘Shares’’) of Active Proxy Shares Issued by the American Portfolio Shares of the American II. The Exchange’s Description of the Century Mid Cap Growth Impact ETF Century ETF Trust Under Proposed Proposed Rule Change, as Modified by NYSE Arca Rule 8.601–E and American Century Sustainable Amendment No. 2 Equity ETF (each a ‘‘Fund’’ and, April 1, 2020. The Exchange proposes to list and collectively, the ‘‘Funds’’) under I. Introduction trade shares of the following under proposed Rule 8.601–E. proposed NYSE Arca Rule 8.601–E On December 23, 2019, NYSE Arca, Key Features of Active Proxy Portfolio (Active Proxy Portfolio Shares): Shares Inc. (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed American Century Mid Cap Growth with the Securities and Exchange Impact ETF and American Century While funds issuing Active Proxy Commission (‘‘Commission’’), pursuant Sustainable Equity ETF. This Portfolio Shares will be actively- to Section 19(b)(1) of the Securities Amendment No. 2 to SR–NYSEArca– managed and, to that extent, will be Exchange Act of 1934 (‘‘Act’’) 1 and Rule 2019–96 replaces SR–NYSEArca–2019– similar to Managed Fund Shares, Active 19b–4 thereunder,2 a proposed rule 96 as originally filed and supersedes Proxy Portfolio Shares differ from change to list and trade the following such filing in its entirety. The Exchange Managed Fund Shares in the following under proposed NYSE Arca Rule 8.601– has withdrawn Amendment No. 1 to important respects. First, in contrast to E (Active Proxy Portfolio Shares): SR–NYSEArca–2019–96. Managed Fund Shares, which are American Century Mid Cap Growth The proposed change is available on actively-managed funds listed and Impact ETF and American Century the Exchange’s website at traded under NYSE Arca Rule 8.600– Sustainable Equity ETF (‘‘Funds’’).3 The E 10 and for which a ‘‘Disclosed proposed rule change was published for www.nyse.com, at the principal office of the Exchange, and at the Commission’s comment in the Federal Register on 9 Public Reference Room. See Amendment 2 to SR–NYSEArca–2019–95, January 3, 2020.4 On February 13, 2020, relating to listing and trading on the Exchange of pursuant to Section 19(b)(2) of the III. Self-Regulatory Organization’s shares of the Natixis ETF Trust, filed on March 31, 5 2020. See also, Securities Exchange Act Release No. Exchange Act, the Commission Statement of the Purpose of, and 87866 (December 30, 2019), 85 FR 357 (January 3, designated a longer period within which Statutory Basis for, the Proposed Rule 2020) (SR–NYSEArca–2019–95). Proposed Rule to approve the proposed rule change, Change 8.601–E(c)(1) provides that the term ‘‘Active Proxy disapprove the proposed rule change, or Portfolio Share’’ means a security that (a) is issued In its filing with the Commission, the institute proceedings to determine by a investment company registered under the self-regulatory organization included Investment Company Act of 1940 (‘‘Investment whether to disapprove the proposed statements concerning the purpose of, Company’’) organized as an open-end management rule change.6 On March 31, 2020, the investment company that invests in a portfolio of Exchange filed Amendment No. 2 to the and basis for, the proposed rule change securities selected by the Investment Company’s proposed rule change, which replaced and discussed any comments it received investment adviser consistent with the Investment on the proposed rule change. The text Company’s investment objectives and policies; (b) of those statements may be examined at is issued in a specified minimum number of shares, 1 15 U.S.C. 78s(b)(1). or multiples thereof, in return for a deposit by the 2 17 CFR 240.19b–4. the places specified in Item IV below. purchaser of the Proxy Portfolio and/or cash with 3 The Exchange originally proposed to adopt The Exchange has prepared summaries, a value equal to the next determined net asset value NYSE Arca Rule 8.602–E to permit the Exchange to set forth in sections A, B, and C below, (‘‘NAV’’); (c) when aggregated in the same specified list and trade Actively Managed Solution Shares, of the most significant parts of such minimum number of Active Proxy Portfolio Shares, and to list and trade shares of the Funds under or multiples thereof, may be redeemed at a holder’s proposed Exchange Rule 8.602–E. In Amendment statements. request in return for a transfer of the Proxy Portfolio No. 2, the Exchange removed the proposal to adopt and/or cash to the holder by the issuer with a value proposed NYSE Arca Rule 8.602–E and revised the A. Self-Regulatory Organization’s equal to the next determined NAV; and (d) the proposal to seek to list and trade shares of the Statement of the Purpose of, and portfolio holdings for which are disclosed within at Funds under proposed NYSE Arca Rule 8.601–E Statutory Basis for, the Proposed Rule least 60 days following the end of every fiscal (Active Proxy Portfolio Shares). See Amendment Change quarter. No. 2, infra note 7. See also Amendment 2 to SR– 10 The Commission has previously approved NYSEArca–2019–95 (proposing to adopt NYSE 1. Purpose listing and trading on the Exchange of a number of Arca Rule 8.601–E to list and trade Active Proxy issues of Managed Fund Shares under NYSE Arca Portfolio Shares, available on the Commission’s The Exchange has proposed to add Rule 8.600–E. See, e.g., Securities Exchange Act website at https://www.sec.gov/comments/sr- new NYSE Arca Rule 8.601–E for the Release Nos. 57801 (May 8, 2008), 73 FR 27878 nysearca-2019-95/srnysearca201995.htm). purpose of permitting the listing and (May 14, 2008) (SR–NYSEArca–2008–31) (order 4 See Securities Exchange Act Release No. 87867 approving Exchange listing and trading of twelve (Dec. 30, 2019), 85 FR 394 (‘‘Notice’’). trading, or trading pursuant to unlisted actively-managed funds of the WisdomTree Trust); 5 15 U.S.C. 78s(b)(2). 60460 (August 7, 2009), 74 FR 41468 (August 17, 6 See Securities Exchange Act Release No. 88198, 7 Amendment No. 1 to the proposed rule change 2009) (SR–NYSEArca–2009–55) (order approving 85 FR 9833 (Feb. 20, 2020). The Commission was filed on March 26, 2020 and subsequently listing of Dent Tactical ETF); 63076 (October 12, designated April 2, 2020, as the date by which the withdrawn on March 31, 2020. Amendment No. 2 2010), 75 FR 63874 (October 18, 2010) (SR– Commission shall approve or disapprove, or is available on the Commission’s website at https:// NYSEArca–2010–79) (order approving Exchange institute proceedings to determine whether to www.sec.gov/. listing and trading of Cambria Global Tactical ETF); disapprove, the proposed rule change. 8 15 U.S.C. 78s(b)(2)(B). Continued
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Portfolio’’ is required to be disseminated assess the intraday value and associated to manage a market maker’s quoting risk at least once daily,11 the portfolio for an risk of a Fund’s Actual Portfolio and in connection with trading shares of a issue of Active Proxy Portfolio Shares thereby facilitate the purchase and sale fund. Market makers can then conduct will be disclosed within at least 60 days of Shares by investors in the secondary statistical arbitrage between Proxy following the end of every fiscal quarter market at prices that do not vary Portfolio and shares of a fund, buying in accordance with normal disclosure materially from their NAV.13 The NYSE and selling one against the other over requirements otherwise applicable to Proxy Portfolio Methodology would the course of the trading day. They will open-end management investment utilize creation of a Proxy Portfolio for evaluate how the Proxy Portfolio companies registered under the 1940 hedging and arbitrage purposes. performed in comparison to the price of Act.12 The composition of the portfolio The Exchange, after consulting with a fund’s shares, and use that analysis as of an issue of Active Proxy Portfolio various Lead Market Makers that trade well as knowledge of risk metrics, such Shares would not be available at exchange-traded funds (‘‘ETFs’’) on the as volatility and turnover, to provide a commencement of Exchange listing and Exchange, believes that market makers more efficient hedge. trading. Second, in connection with the will be able to make efficient and liquid Market makers have indicated to the creation and redemption of Active markets priced near the NAV in light of Exchange that there will be sufficient Proxy Portfolio Shares, such creation or the daily Proxy Portfolio dissemination. data to run a statistical analysis which redemption may be exchanged for a Market makers employ market making will lead to spreads being tightened Proxy Portfolio with a value equal to the techniques such as ‘‘statistical substantially around NAV of a fund’s next-determined NAV. arbitrage,’’ including correlation shares. This is similar to certain other A series of Active Proxy Portfolio hedging, beta hedging, and dispersion existing exchange traded products (for Shares will disclose the Proxy Portfolio trading, which is currently used example, ETFs that invest in foreign on a daily basis, which, as described throughout the financial services securities that do not trade during U.S. above, is designed to track closely the industry, to make efficient markets in trading hours), in which spreads may be daily performance of the Actual exchange-traded products.14 These generally wider in the early days of Portfolio of a series of Active Proxy techniques should permit market trading and then narrow as market Portfolio Shares, instead of the actual makers to make efficient markets in an makers gain more confidence in their holdings of the Investment Company, as issue of Active Proxy Portfolio Shares real-time hedges. provided by a series of Managed Fund without precise knowledge of a fund’s Description of the Funds and the Trust Shares. underlying portfolio. In this regard, with respect to the The Exchange understands that The Funds will be series of the Funds, the Funds will utilize a proxy traders use statistical analysis to derive American Century ETF Trust (‘‘Trust’’), portfolio methodology—the ‘‘NYSE correlations between different sets of which will be registered with the Proxy Portfolio Methodology’’— that instruments to identify opportunities to Commission as an open-end 15 would allow market participants to buy or sell one set of instruments when management investment company. it is mispriced relative to the others. For 63802 (January 31, 2011), 76 FR 6503 (February 4, Active Proxy Portfolio Shares, market 15 The Trust is registered under the 1940 Act. On 2011) (SR–NYSEArca–2010–118) (order approving January 24, 2020, the Trust filed a registration Exchange listing and trading of the SiM Dynamic makers may use the knowledge of a statement on Form N–1A under the Securities Act Allocation Diversified Income ETF and SiM fund’s means of achieving its of 1933 and the 1940 Act for the Funds (File Nos. Dynamic Allocation Growth Income ETF). The investment objective, as described in the 333–221045 and 811–23305) (‘‘Registration Commission also has approved a proposed rule applicable fund registration statement, Statement’’). The Trust also filed an application for change relating to generic listing standards for an order under Section 6(c) of the 1940 Act for Managed Fund Shares. See Securities Exchange Act exemptions from various provisions of the 1940 Act Release No. 78397 (July 22, 2016), 81 FR 49320 13 The NYSE Proxy Portfolio Methodology is and rules thereunder (File No. 812–15082), dated (July 27, 2016 (SR–NYSEArca–2015–110) owned by the NYSE Group, Inc. and licensed for December 11, 2019 (‘‘American Century (amending NYSE Arca Equities Rule 8.600 to adopt use by the Funds. NYSE Group, Inc. is not affiliated Application’’ or ‘‘Application’’). The Shares will generic listing standards for Managed Fund Shares). with the Funds, Adviser or Distributor. Not all not be listed on the Exchange until an order 11 NYSE Arca Rule 8.600–E(c)(2) defines the term series of Active Proxy Portfolio Shares will utilize (‘‘American Century Exemptive Order’’) under the ‘‘Disclosed Portfolio’’ as the identities and the NYSE Proxy Portfolio Methodology. 1940 Act has been issued by the Commission with quantities of the securities and other assets held by 14 Statistical arbitrage enables a trader to respect to the Application. The American Century the Investment Company that will form the basis for construct an accurate proxy for another instrument, Application states that the exemptive relief the Investment Company’s calculation of net asset allowing it to hedge the other instrument or buy or requested by the Trust will apply to funds of the value at the end of the business day. NYSE Arca sell the instrument when it is cheap or expensive Trust that comply with the terms and conditions of Rule 8.600–E(d)(2)(B)(i) requires that the Disclosed in relation to the proxy. Statistical analysis permits the American Century Exemptive Order and the Portfolio will be disseminated at least once daily traders to discover correlations based purely on order issued to Natixis ETF Trust II. With respect and will be made available to all market trading data without regard to other fundamental to the Natixis ETF Trust II, see Seventh Amended participants at the same time. drivers. These correlations are a function of and Restated Application for an Order under 12 A mutual fund is required to file with the differentials, over time, between one instrument or Section 6(c) of the 1940 Act for exemptions from Commission its complete portfolio schedules for the group of instruments and one or more other various provisions of the 1940 Act and rules second and fourth fiscal quarters on Form N–CSR instruments. Once the nature of these price thereunder (File No. 812–14870) (October 21, 2019 under the 1940 Act. Information reported on Form deviations have been quantified, a universe of (‘‘Natixis Application’’); the Commission notice N–PORT for the third month of a Fund’s fiscal securities is searched in an effort to, in the case of regarding the Natixis Application (Investment quarter will be made publicly available 60 days a hedging strategy, minimize the differential. Once Company Release No. 33684 (File No. 812–14870) after the end of a Fund’s fiscal quarter. Form N– a suitable hedging proxy has been identified, a November 14, 2019); and the Commission order PORT requires reporting of a fund’s complete trader can minimize portfolio risk by executing the under the 1940 Act granting the exemptions portfolio holdings on a position-by-position basis hedging basket. The trader then can monitor the requested in the Natixis Application (Investment on a quarterly basis within 60 days after fiscal performance of this hedge throughout the trade Company Act Release No. 33711 (December 10, quarter end. Investors can obtain a fund’s Statement period making correction where warranted. In the 2019)) (‘‘Natixis Exemptive Order’’). The American of Additional Information, its Shareholder Reports, case of correlation hedging, the analysis seeks to Century Application incorporates the Natixis its Form N–CSR, filed twice a year, and its Form find a proxy that matches the pricing behavior of Exemptive Order by reference. Investments made by N–CEN, filed annually. A fund’s statement of a fund. In the case of beta hedging, the analysis the Funds will comply with the conditions set forth additional information (‘‘SAI’’) and Shareholder seeks to determine the relationship between the in the American Century Application, American Reports are available free upon request from the price movement over time of a fund and that of Century Exemptive Order and Natixis Exemptive Investment Company, and those documents and the another stock. Dispersion trading is a hedged Order. The description of the operation of the Trust Form N–PORT, Form N–CSR, and Form N–CEN strategy designed to take advantage of relative value and the Funds herein is based, in part, on the may be viewed on-screen or downloaded from the differences in implied volatilities between an index Registration Statement and the American Century Commission’s website at www.sec.gov. and the component stocks of that index. Application.
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American Century Investment Commentary .04 is also similar to American Century Mid Cap Growth Management, Inc. (‘‘Adviser’’) will be Commentary .06 to Rule 8.600–E related Impact ETF the investment adviser to the Funds. to Managed Fund Shares, except that The Fund will seek long-term capital Foreside Fund Services, LLC will act as proposed Commentary .04 relates to growth. The Fund’s holdings will the distributor and principal establishment and maintenance of a conform to the permissible investments underwriter (‘‘Distributor’’) for the ‘‘fire wall’’ between the investment as set forth in the American Century Funds. adviser and the broker-dealer applicable Application and the holdings will be Proposed Commentary .04 to NYSE to an Investment Company’s Actual consistent with all requirements in the Arca Rule 8.601–E provides that, if the Portfolio and/or Proxy Portfolio, and not American Century Application and investment adviser to the Investment just to the underlying portfolio, as is the American Century Exemptive Order.19 Company issuing Active Proxy Portfolio Shares is registered as a broker-dealer or case with Managed Fund Shares. The American Century Sustainable Equity is affiliated with a broker-dealer, such Adviser is not registered as a broker- ETF investment adviser will erect and dealer but is affiliated with a broker- dealer. The Adviser has implemented The Fund will seek long-term capital maintain a ‘‘fire wall’’ between the growth, with income as a secondary investment adviser and personnel of the and will maintain a ‘‘fire wall’’ with respect to such broker-dealer affiliate objective. The Fund’s holdings will broker-dealer or broker-dealer affiliate, conform to the permissible investments regarding access to information as applicable, with respect to access to as set forth in the American Century concerning the composition of and/or information concerning the composition Application and the holdings will be and/or changes to such Investment changes to a Fund’s portfolio. consistent with all requirements in the Company’s Actual Portfolio and/or In the event (a) the Adviser or any American Century Application and Proxy Portfolio. Any person related to sub-adviser becomes registered as a American Century Exemptive Order.20 the investment adviser or Investment broker-dealer or becomes newly Company who makes decisions Creations and Redemptions of Shares affiliated with a broker-dealer, or (b) any pertaining to the Investment Company’s new adviser or sub-adviser is a According to the Application, the portfolio composition or has access to Creation Basket will be based on the non-public information regarding the registered broker-dealer, or becomes affiliated with a broker-dealer, it will Proxy Portfolio, which is designed to Investment Company’s Actual Portfolio approximate the value and performance or changes thereto or the Proxy Portfolio implement and maintain a fire wall with respect to its relevant personnel or its of the Actual Portfolio. All Creation must be subject to procedures Basket instruments will be valued in the reasonably designed to prevent the use broker-dealer affiliate regarding access to information concerning the same manner as they are valued for and dissemination of material non- purposes of calculating a Fund’s NAV, composition and/or changes to the public information regarding the Actual and such valuation will be made in the portfolio, and will be subject to Portfolio or changes thereto or the Proxy same manner regardless of the identity 16 Portfolio. procedures designed to prevent the use of the purchaser or redeemer. Further, Proposed Commentary .04 is similar and dissemination of material non- the total consideration paid for the to Commentary .03(a)(i) and (iii) to public information regarding such purchase or redemption of a Creation NYSE Arca Rule 5.2–E(j)(3); however, portfolio. Unit of Shares will be based on the NAV Commentary .03(a) in connection with The Funds of such Fund, as calculated in the establishment of a ‘‘fire wall’’ accordance with the policies and between the investment adviser and the According to the Application, the procedures set forth in its Registration broker-dealer reflects the applicable Funds may hold only ‘‘Permissible Statement. open-end fund’s portfolio, not an Investments.’’ In this regard, the Funds As with the Proxy Portfolio, the underlying benchmark index, as is the will utilize a proxy portfolio Creation Basket will mask a Fund’s case with index-based funds.17 methodology—the ‘‘NYSE Proxy Actual Portfolio from full disclosure while at the same time maximizing 16 The text of proposed Commentary .04 to NYSE Portfolio Methodology’’—that would Arca Rule 8.601–E is included in Amendment 2 to allow market participants to assess the benefits of the ETF structure to SR–NYSEArca–2019–95. See note 9, supra. intraday value and associated risk of a shareholders. In particular, the Adviser 17 An investment adviser to an open-end fund is Fund’s Actual Portfolio and thereby believes that the ability of a Fund to required to be registered under the Investment facilitate the purchase and sale of take deposits and make redemptions in- Advisers Act of 1940 (the ‘‘Advisers Act’’). As a kind may aid in achieving a Fund’s result, the Adviser and its related personnel will be Shares of a Fund by investors in the subject to the provisions of Rule 204A–1 under the secondary market at prices that do not 19 Pursuant to the American Century Application, Advisers Act relating to codes of ethics. This Rule 18 requires investment advisers to adopt a code of vary materially from their NAV. The the permissible investments for a Fund are the ethics that reflects the fiduciary nature of the NYSE Proxy Portfolio Methodology ‘‘Permissible Investments’’ set forth in the Natixis relationship to clients as well as compliance with would utilize creation of a Proxy Application and Natixis Exemptive Order which are other applicable securities laws. Accordingly, Portfolio for hedging and arbitrage the following: Exchange-traded funds (‘‘ETFs’’), procedures designed to prevent the communication exchange-traded notes (‘‘ETNs’’), exchange-traded and misuse of non-public information by an purposes. common stocks, common stocks listed on a foreign investment adviser must be consistent with Rule exchange (‘‘foreign common stocks’’) that trade on such exchange contemporaneously with the 204A–1 under the Advisers Act. In addition, Rule above and the effectiveness of their 206(4)–7 under the Advisers Act makes it unlawful exchange-traded Shares, preferred stocks, exchange- implementation; and (iii) designated an individual for an investment adviser to provide investment traded American Depositary Receipts (‘‘ADRs’’), (who is a supervised person) responsible for advice to clients unless such investment adviser has exchange-traded real estate investment trusts, administering the policies and procedures adopted (i) adopted and implemented written policies and exchange-traded commodity pools, exchange-traded procedures reasonably designed to prevent under subparagraph (i) above. metals trusts, exchange-traded currency trusts and violations, by the investment adviser and its 18 The NYSE Proxy Portfolio Methodology is exchange-traded futures that trade supervised persons, of the Advisers Act and the owned by the NYSE Group, Inc. and licensed for contemporaneously with Fund Shares, as well as Commission rules adopted thereunder; (ii) use by the Fund. NYSE Group, Inc. is not affiliated cash and cash equivalents (short-term U.S. Treasury implemented, at a minimum, an annual review with the Fund, Adviser or Distributor. Not all series securities, government money market funds, and regarding the adequacy of the policies and of Active Proxy Portfolio Shares will utilize the repurchase agreements). procedures established pursuant to subparagraph (i) NYSE Proxy Portfolio Methodology. 20 See note 19, supra.
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investment objectives by allowing it to require purchases and redemptions to require custom orders to be placed be more fully invested, minimizing cash be made entirely or in part on a cash earlier in the day. drag, and reducing flow-related trading basis. In such an instance, the Fund will Availability of Information costs. In-kind transactions may also announce, before the open of trading in increase a Fund’s tax efficiency and the Core Trading Session (normally, The Funds’ website will include on a promote efficient secondary market 9:30 a.m. to 4:00 p.m., E.T.) on a given daily basis, per Share for each Fund, the trading in Shares. Business Day, that all purchases, all prior Business Day’s NAV and the According to the Application, the redemptions, or all purchases and Closing Price or Bid/Ask Price, and a Trust will offer, issue and sell Shares of redemptions on that day will be made calculation of the premium/discount of each Fund to investors only in Creation wholly or partly in cash. A Fund may the Closing Price or Bid/Ask Price Units through the Distributor on a also determine, upon receiving a against such NAV.21 Each Fund’s continuous basis at the NAV per Share purchase or redemption order from an website also will disclose the next determined after an order in proper Authorized Participant, to have the information required under proposed 22 form is received. The NAV of each Fund purchase or redemption, as applicable, Rule 8.601–E (c)(3). is expected to be determined as of 4:00 be made entirely or in part in cash. Each The Proxy Portfolio holdings p.m. E.T. on each Business Day. The Business Day, before the open of trading (including the identity and quantity of Trust will sell and redeem Creation on the Exchange, a Fund will cause to investments in the Proxy Portfolio) will Units of each Fund only on a Business be published through the National be publicly available on the Funds’ Day. Creation Units of the Funds may be Securities Clearing Corporation website before the commencement of purchased and/or redeemed entirely for (‘‘NSCC’’) the names and quantities of trading in Shares on each Business Day. Typical mutual fund-style annual, cash, as permissible under the the instruments comprising the Creation semi-annual and quarterly disclosures procedures described below. Basket, as well as the estimated Cash contained in the Funds’ Commission In order to keep costs low and permit Amount (if any), for that day. The filings will be provided on the Funds’ each Fund to be as fully invested as published Creation Basket will apply website on a current basis. 23 Thus, each possible, Shares will be purchased and until a new Creation Basket is Fund will publish the portfolio contents redeemed in Creation Units and announced on the following Business of its Actual Portfolio on a periodic generally on an in-kind basis. Day, and there will be no intra-day basis. Accordingly, except where the purchase changes to the Creation Basket except to or redemption will include cash under Investors can obtain a Fund’s correct errors in the published Creation prospectus, statement of additional the circumstances specified below, Basket. purchasers will be required to purchase information (‘‘SAI’’), Shareholder Creation Units by making an in-kind All orders to purchase Creation Units Reports, Form N–CSR, N–PORT and deposit of specified instruments must be placed with the Distributor by Form N–CEN filed with the (‘‘Deposit Instruments’’), and or through an Authorized Participant, Commission. The prospectus, SAI and shareholders redeeming their Shares which is either: (1) A ‘‘participating Shareholder Reports are available free will receive an in-kind transfer of party’’ (i.e., a broker or other upon request from the Trust, and those specified instruments (‘‘Redemption participant), in the Continuous Net documents and the Form N–CSR, N– Instruments’’). The names and Settlement (‘‘CNS’’) System of the PORT, and Form N–CEN may be viewed quantities of the instruments that NSCC, a clearing agency registered with on-screen or downloaded from the constitute the Deposit Instruments and the Commission and affiliated with the Commission’s website. the Redemption Instruments for a Fund Depository Trust Company (‘‘DTC’’), or Updated price information for U.S. (collectively, the ‘‘Creation Basket’’) will (2) a DTC Participant, which in any case exchange-listed equity securities is be the same as the Fund’s Proxy has executed a participant agreement available through major market data Portfolio, except to the extent purchases with the Distributor and the transfer and redemptions are made entirely or in agent. 21 The ‘‘premium/discount’’ refers to the part on a cash basis. premium or discount to NAV at the end of a trading Timing and Transmission of Purchase day and will be calculated based on the last Bid/ If there is a difference between the Orders Ask Price or the Closing Price on a given trading NAV attributable to a Creation Unit and day. The ‘‘Closing Price’’ of Shares is the official the aggregate market value of the All orders to purchase (or redeem) closing price of the Shares on the Fund’s Exchange. Creation Basket exchanged for the Creation Units, whether using the NSCC The ‘‘Bid/Ask Price’’ is the midpoint of the highest Process or the DTC Process, must be bid and lowest offer based upon the National Best Creation Unit, the party conveying Bid and Offer as of the time of calculation of such instruments with the lower value will received by the Distributor no later than Fund’s NAV. The ‘‘National Best Bid and Offer’’ is also pay to the other an amount in cash the NAV calculation time (‘‘NAV the current national best bid and national best offer equal to that difference (the ‘‘Cash Calculation Time’’), generally 4:00 p.m. as disseminated by the Consolidated Quotation E.T. on the date the order is placed System or UTP Plan Securities Information Amount’’). Processor. Each Fund will adopt and implement (‘‘Transmittal Date’’) in order for the 22 See note 9, supra. Proposed Rule 8.601–E (c)(3) policies and procedures regarding the purchaser (or redeemer) to receive the provides that the website for each series of Active composition of its Creation Baskets. The NAV determined on the Transmittal Proxy Portfolio Shares shall disclose the policies and procedures will set forth Date. In the case of custom orders, the information regarding the Proxy Portfolio as provided in the exemptive relief pursuant to the detailed parameters for the construction order must be received by the Investment Company Act of 1940 applicable to such and acceptance of baskets in compliance Distributor sufficiently in advance of the series, including the following, to the extent with the terms and conditions of the NAV Calculation Time in order to help applicable: American Century Exemptive Order and ensure that the Fund has an opportunity (i) Ticker symbol; that are in the best interests of a Fund to purchase the missing securities with (ii) CUSIP or other identifier; and its shareholders, including the the cash in lieu amounts or to sell (iii) Description of holding; securities to generate the cash in lieu (iv) Quantity of each security or other asset held; process for any revisions to or and deviations from those parameters. amounts prior to the NAV Calculation (v) Percentage weighting of the holding in the A Fund that normally issues and Time. On days when the Exchange portfolio. redeems Creation Units in kind may closes earlier than normal, a Fund may 23 See note 12, supra.
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vendors or securities exchanges trading upon the existence of any such other entities that are members of the such securities. Quotation and last sale condition or set of conditions. ISG, and the Exchange or FINRA, on information for the Shares, ETFs, ETNs, behalf of the Exchange, or both, may Trading Rules U.S. exchange-traded common stocks, obtain trading information regarding preferred stocks and ADRs will be The Exchange deems the Shares to be trading such securities and financial available via the Consolidated Tape equity securities, thus rendering trading instruments from such markets and Association (‘‘CTA’’) high-speed line. in the Shares subject to the Exchange’s other entities. In addition, the Exchange Price information for cash equivalents is existing rules governing the trading of may obtain information regarding available through major market data equity securities. Shares will trade on trading in such securities and financial vendors the NYSE Arca Marketplace in all instruments from markets and other trading sessions in accordance with entities that are members of ISG or with Investment Restrictions NYSE Arca Rule 7.34–E(a). As provided which the Exchange has in place a The Shares of the Funds will conform in NYSE Arca Rule 7.6–E, the minimum comprehensive surveillance sharing to the initial and continued listing price variation (‘‘MPV’’) for quoting and agreement.26 criteria under proposed Rule 8.601–E. entry of orders in equity securities In addition, the Exchange also has a The Funds’ holdings will be limited to traded on the NYSE Arca Marketplace is general policy prohibiting the and consistent with Permissible $0.01, with the exception of securities distribution of material, non-public Investments as described above. that are priced less than $1.00 for which information by its employees. the MPV for order entry is $0.0001. Proposed Commentary .03 to NYSE Trading Halts The Shares will conform to the initial Arca Rule 8.601–E provides that the With respect to trading halts, the and continued listing criteria under Exchange will implement and maintain Exchange may consider all relevant NYSE Arca Rule 8.601–E. written surveillance procedures for factors in exercising its discretion to The Exchange deems the Shares to be Active Proxy Portfolio Shares. As part of halt or suspend trading in the Shares of equity securities, thus rendering trading these surveillance procedures, the a Fund.24 Trading in Shares of a Fund n the Shares subject to the Exchange’s Investment Company’s investment will be halted if the circuit breaker existing rules governing the trading of adviser will, upon request by the parameters in NYSE Arca Rule 7.12–E equity securities. The Exchange has Exchange or FINRA, on behalf of the have been reached. Trading also may be appropriate rules to facilitate trading in Exchange, make available to the halted because of market conditions or the Shares during all trading sessions. Exchange or FINRA the daily portfolio for reasons that, in the view of the Surveillance holdings of each series of Active Proxy Exchange, make trading in the Shares Portfolio Shares. The Exchange believes inadvisable. Trading in the Shares will The Exchange represents that trading that the ability to access the information be subject to proposed NYSE Arca Rule in the Shares will be subject to the on an as needed basis will provide it 8.601–E(D), which sets forth existing trading surveillances, with sufficient information to perform circumstances under which Shares of a administered by the Exchange, as well the necessary regulatory functions Fund will be halted. as cross-market surveillances associated with listing and trading Specifically, proposed Rule 8.601– administered by FINRA on behalf of the series of Active Proxy Portfolio Shares E(d)(2)(D) provides that the Exchange Exchange, which are designed to detect on the Exchange, including the ability to may consider all relevant factors in violations of Exchange rules and monitor compliance with the initial and 25 exercising its discretion to halt trading applicable federal securities laws. The continued listing requirements as well in a series of Active Proxy Portfolio Exchange represents that these as the ability to surveil for manipulation Shares. Trading may be halted because procedures are adequate to properly of Active Proxy Portfolio Shares. of market conditions or for reasons that, monitor Exchange trading of the Shares The Exchange will utilize its existing in the view of the Exchange, make in all trading sessions and to deter and procedures to monitor issuer trading in the series of Active Proxy detect violations of Exchange rules and compliance with the requirements of Portfolio Shares inadvisable. These may federal securities laws applicable to proposed Rule 8.601–E. For example, include: (a) The extent to which trading trading on the Exchange. the Exchange will continue to use is not occurring in the securities and/or The surveillances referred to above intraday alerts that will notify Exchange the financial instruments composing the generally focus on detecting securities personnel of trading activity throughout portfolio; or (b) whether other unusual trading outside their normal patterns, the day that may indicate that unusual conditions or circumstances detrimental which could be indicative of conditions or circumstances are present to the maintenance of a fair and orderly manipulative or other violative activity. that could be detrimental to the market are present. In addition, upon When such situations are detected, maintenance of a fair and orderly notification to the Exchange by the surveillance analysis follows and market. The Exchange will require from issuer of a series of Active Proxy investigations are opened, where the issuer of a series of Active Proxy Portfolio Shares, that the NAV, Proxy appropriate, to review the behavior of Portfolio Shares, upon initial listing and Portfolio or Actual Portfolio with all relevant parties for all relevant periodically thereafter, a representation respect to a series of Active Proxy trading violations. that it is in compliance with Rule Portfolio Shares is not disseminated to The Exchange or FINRA, on behalf of 8.601–E. The Exchange notes that all market participants at the same time, the Exchange, or both, will proposed Commentary .01 to Rule the Exchange shall halt trading in such communicate as needed regarding 8.601–E would require an issuer of series until such time as the NAV, Proxy trading in the Shares, exchange-traded Active Proxy Portfolio Shares to notify Portfolio or Actual Portfolio is available equity securities, and E-mini S&P 500 the Exchange of any failure to comply to all market participants at the same futures contracts with other markets and with the continued listing requirements time. The issuer has represented to the of Rule 8.601–E. In addition, the Exchange that it will provide the 25 FINRA conducts cross-market surveillances on behalf of the Exchange pursuant to a regulatory Exchange will require issuers to Exchange with prompt notification services agreement. The Exchange is responsible for FINRA’s performance under this regulatory services 26 For a list of the current members of ISG, see 24 See NYSE Arca Rule 7.12–E. agreement. www.isgportal.org.
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represent that they will notify the Section 6(b) of the Act,27 in general, and buy or sell one set of instruments when Exchange of any failure to comply with furthers the objectives of Section 6(b)(5) it is mispriced relative to the others. For the terms of applicable exemptive and of the Act,28 in particular, in that it is Active Proxy Portfolio Shares, market no-action relief. The Exchange will rely designed to prevent fraudulent and makers utilizing statistical arbitrage use on the foregoing procedures to become manipulative acts and practices, to the knowledge of a fund’s means of aware of any non-compliance with the promote just and equitable principles of achieving its investment objective, as requirements of Rule 8.601–E. trade, to remove impediments to and described in the applicable fund With respect to the Funds, all perfect the mechanism of a free and registration statement, as well as Proxy statements and representations made in open market and a national market Portfolio to manage a market maker’s this filing regarding (a) the description system, and, in general, to protect quoting risk in connection with trading of the portfolio or reference asset, (b) investors and the public interest. fund shares. Market makers will then limitations on portfolio holdings or With respect to the proposed listing conduct statistical arbitrage between the reference assets, or (c) the applicability and trading of Shares of the Funds, the Proxy Portfolio and shares of a fund, of Exchange listing rules specified in Exchange believes that the proposed buying and selling one against the other this rule filing shall constitute rule change is designed to prevent over the course of the trading day. continued listing requirements for fraudulent and manipulative acts and Eventually, at the end of each day, they listing the Shares on the Exchange. The practices in that the Shares will be will evaluate how the Proxy Portfolio issuer has represented to the Exchange listed and traded on the Exchange performed in comparison to the price of that it will advise the Exchange of any pursuant to the initial and continued a fund’s shares, and use that analysis as failure by a Fund to comply with the listing criteria in proposed NYSE Arca well as knowledge of risk metrics, such continued listing requirements, and, Rule 8.601–E. The Funds’ investments as volatility and turnover, to provide a pursuant to its obligations under will be consistent with its investment more efficient hedge. Section 19(g)(1) of the Act, the Exchange objective and will not be used to The Lead Market Makers also will monitor for compliance with the enhance leverage. indicated that, as with some other new continued listing requirements. If a The Exchange or FINRA, on behalf of exchange-traded products, spreads Fund is not in compliance with the the Exchange, or both, will would tend to narrow as market makers applicable listing requirements, the communicate as needed regarding gain more confidence in the accuracy of Exchange will commence delisting trading in the Shares, exchange-traded their hedges and their ability to adjust procedures under NYSE Arca Rule 5.5– equity securities, and E-mini S&P 500 these hedges in real-time and gain an E(m). futures contracts with other markets and understanding of the applicable market other entities that are members of the risk metrics such as volatility and Information Bulletin ISG, and the Exchange or FINRA, on turnover, and as natural buyers and Prior to the commencement of behalf of the Exchange, or both, may sellers enter the market. Other relevant trading, the Exchange will inform its obtain trading information regarding factors cited by Lead Market Makers Equity Trading Permit (‘‘ETP’’) Holders trading such securities and financial were that a fund’s investment objectives in an Information Bulletin (‘‘Bulletin’’) instruments from such markets and are clearly disclosed in the applicable of the special characteristics and risks other entities. In addition, the Exchange prospectus, the existence of quarterly associated with trading the Shares. may obtain information regarding portfolio disclosure and the ability to Specifically, the Bulletin will discuss trading in such securities and financial create shares in creation unit size. The Funds will utilize the NYSE the following: (1) The procedures for instruments from markets and other Proxy Portfolio Methodology that would purchases and redemptions of Shares; entities that are members of ISG or with allow market participants to assess the (2) NYSE Arca Rule 9.2–E(a), which which the Exchange has in place a comprehensive surveillance sharing intraday value and associated risk of a imposes a duty of due diligence on its Fund’s Actual Portfolio and thereby ETP Holders to learn the essential facts agreement. The Exchange, after consulting with facilitate the purchase and sale of relating to every customer prior to various Lead Market Makers that trade Shares by investors in the secondary trading the Shares; (4) how information ETFs on the Exchange, believes that market at prices that do not vary regarding the Proxy Portfolio will be market makers will be able to make materially from their NAV. disseminated; (5) the requirement that efficient and liquid markets priced near The daily dissemination of the ETP Holders deliver a prospectus to the NAV, and that market makers have identity and quantity of Proxy Portfolio investors purchasing newly issued knowledge of a fund’s means of component investments, together with Shares prior to or concurrently with the achieving its investment objective even the right of Authorized Participants to confirmation of a transaction; and (6) without daily disclosure of a fund’s create and redeem each day at the NAV, trading information. underlying portfolio. The Exchange will be sufficient for market participants In addition, the Bulletin will believes that market makers will employ to value and trade shares in a manner reference that a Fund is subject to risk-management techniques to make that will not lead to significant various fees and expenses described in efficient markets in exchange traded deviations between the Shares’ Bid/Ask the applicable registration statement. products.29 This ability should permit Price and NAV. The Bulletin will discuss any market makers to make efficient markets The pricing efficiency with respect to exemptive, no-action, and interpretive in shares without knowledge of a fund’s trading a series of Active Proxy Portfolio relief granted by the Commission from underlying portfolio. Shares will generally rest on the ability any rules under the Act. The Bulletin The Exchange understands that of market participants to arbitrage will also disclose that the NAV for the traders use statistical analysis to derive between the shares and a fund’s Shares will be calculated after 4:00 p.m., correlations between different sets of portfolio, in addition to the ability of E.T. each trading day. instruments to identify opportunities to market participants to assess a fund’s 2. Statutory Basis underlying value accurately enough 27 15 U.S.C. 78f(b). throughout the trading day in order to The Exchange believes that the 28 15 U.S.C. 78f(b)(5). hedge positions in shares effectively. proposed rule change is consistent with 29 See note 14, supra. Professional traders can buy shares that
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they perceive to be trading at a price Holders in an Information Bulletin of IV. Proceedings To Determine Whether less than that which will be available at the special characteristics and risks To Approve or Disapprove SR– a subsequent time and sell shares they associated with trading the Shares. NYSEArca–2019–96, as Modified by perceive to be trading at a price higher Trading in Shares of the Funds will be Amendment No. 2, and Grounds for than that which will be available at a halted if the circuit breaker parameters Disapproval Under Consideration subsequent time. It is expected that, as in NYSE Arca Rule 7.12–E have been The Commission is instituting part of their normal day-to-day trading reached or because of market conditions proceedings pursuant to Section activity, market makers assigned to or for reasons that, in the view of the 19(b)(2)(B) of the Exchange Act 32 to shares by the Exchange, off-exchange Exchange, make trading in the Shares determine whether the proposed rule market makers, firms that specialize in inadvisable. In addition, as noted above, change should be approved or electronic trading, hedge funds and investors will have ready access to the disapproved. Institution of such other professionals specializing in short- proceedings is appropriate at this time term, non-fundamental trading Proxy Portfolio and quotation and last in view of the legal and policy issues strategies will assume the risk of being sale information for the Shares. The raised by the proposed rule change. ‘‘long’’ or ‘‘short’’ shares through such Shares will conform to the initial and Institution of proceedings does not trading and will hedge such risk wholly continued listing criteria under or partly by simultaneously taking proposed Rule 8.601–E.31 indicate that the Commission has reached any conclusions with respect to positions in correlated assets 30 or by The proposed rule change is designed any of the issues involved. Rather, as netting the exposure against other, to perfect the mechanism of a free and offsetting trading positions—much as described below, the Commission seeks open market and, in general, to protect and encourages interested persons to such firms do with existing ETFs and investors and the public interest in that other equities. Disclosure of a fund’s provide comments on the proposed rule it will facilitate the listing and trading change. investment objective and principal of an additional type of actively- investment strategies in its prospectus Pursuant to Section 19(b)(2)(B) of the managed exchange-traded product that Exchange Act,33 the Commission is and SAI should permit professional will enhance competition among market investors to engage easily in this type of providing notice of the grounds for participants, to the benefit of investors hedging activity. disapproval under consideration. The The proposed rule change is designed and the marketplace. As noted above, Commission is instituting proceedings to promote just and equitable principles the Exchange has in place surveillance to allow for additional analysis of the of trade and to protect investors and the procedures relating to trading in the proposed rule change’s consistency with public interest. Investors can obtain a Shares and may obtain information via Section 6(b)(5) of the Exchange Act, fund’s SAI, shareholder reports, and its ISG from other exchanges that are which requires, among other things, that Form N–CSR, Form N–PORT and Form members of ISG or with which the the rules of a national securities N–CEN. A fund’s SAI and shareholder Exchange has entered into a exchange be ‘‘designed to prevent reports will be available free upon comprehensive surveillance sharing fraudulent and manipulative acts and request from the applicable fund, and agreement. In addition, as noted above, practices, to promote just and equitable those documents and the Form N–CSR, investors will have ready access to principles of trade, . . . to remove Form N–PORT and Form N–CEN may information regarding quotation and last impediments to and perfect the be viewed on-screen or downloaded sale information for the Shares. mechanism of a free and open market from the Commission’s website. In and a national market system, and, in addition, with respect to each Fund, a B. Self-Regulatory Organization’s general, to protect investors and the large amount of information will be Statement on Burden on Competition public interest.’’ 34 publicly available regarding the Funds The Exchange does not believe that III. Procedure: Request for Written and the Shares, thereby promoting Comments market transparency. Quotation and last the proposed rule change will impose sale information for the Shares will be any burden on competition that is not The Commission requests that available via the CTA high-speed line. necessary or appropriate in furtherance interested persons provide written The website for the Funds will include of the purposes of the Act. The submissions of their views, data, and a form of the prospectus for each Fund Exchange believes the proposed rule arguments with respect to the issues that may be downloaded, and additional change would permit listing and trading identified above, as well as any other data relating to NAV and other of another type of actively-managed ETF concerns they may have with the applicable quantitative information, that has characteristics different from proposal. In particular, the Commission updated on a daily basis. Moreover, existing actively-managed and index invites the written views of interested prior to the commencement of trading, ETFs and would introduce additional persons concerning whether the the Exchange will inform its ETP competition among various ETF proposed rule change, as modified by products to the benefit of investors. Amendment No. 2, is consistent with 30 Price correlation trading is used throughout the Section 6(b)(5) or any other provision of financial industry. It is used to discover both C. Self-Regulatory Organization’s the Exchange Act, or the rules and trading opportunities to be exploited, such as Statement on Comments on the regulations thereunder. Although there currency pairs and statistical arbitrage, as well as for risk mitigation such as dispersion trading and Proposed Rule Change Received From do not appear to be any issues relevant beta hedging. These correlations are a function of Members, Participants, or Others to approval or disapproval that would differentials, over time, between one or multiple be facilitated by an oral presentation of securities pricing. Once the nature of these price No written comments were solicited views, data, and arguments, the deviations have been quantified, a universe of or received with respect to the proposed securities is searched in an effort to, in the case of Commission will consider, pursuant to a hedging strategy, minimize the differential. Once rule change. Rule 19b–4, any request for an a suitable hedging basket has been identified, a trader can minimize portfolio risk by executing the hedging basket. The trader then can monitor the 32 15 U.S.C. 78s(b)(2)(B). performance of this hedge throughout the trade 31 See Amendment 2 to SR–NYSEArca–2019–95, 33 Id. period, making corrections where warranted. referenced in note 9, supra. 34 15 U.S.C. 78f(b)(5).
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opportunity to make an oral Paper Comments SECURITIES AND EXCHANGE presentation.35 • COMMISSION Interested persons are invited to Send paper comments in triplicate to Secretary, Securities and Exchange [Release No. 34–88533; File No. SR– submit written data, views, and NYSEArca–2019–95] arguments regarding whether the Commission, 100 F Street NE, proposed rule change, as modified by Washington, DC 20549–1090. Self-Regulatory Organizations; NYSE Amendment No. 2, should be approved All submissions should refer to File Arca, Inc.; Notice of Filing of or disapproved by April 28, 2020. Any Number SR–NYSEArca–2019–96. This Amendment No. 2 and Order Instituting person who wishes to file a rebuttal to file number should be included on the Proceedings To Determine Whether To any other person’s submission must file subject line if email is used. To help the Approve or Disapprove a Proposed that rebuttal by May 12, 2020. Commission process and review your Rule Change, as Modified by Amendment No. 2, To Adopt NYSE The Commission asks that comments more efficiently, please use commenters address the sufficiency of Arca Rule 8.601–E To Permit the only one method. The Commission will the Exchange’s statements in support of Listing and Trading of Active Proxy post all comments on the Commission’s the proposal, which are set forth in Portfolio Shares and To List and Trade Amendment No. 2,36 and any other internet website (http://www.sec.gov/ Shares of the Natixis ETF Under issues raised by the proposed rule rules/sro.shtml). Copies of the Proposed NYSE Arca Rule 8.601–E change, as modified by Amendment No. submission, all subsequent 2, under the Exchange Act. In this amendments, all written statements April 1, 2020. regard, the Commission seeks with respect to the proposed rule I. Introduction change that are filed with the commenters’ views regarding whether On December 23, 2019, NYSE Arca, Commission, and all written the Exchange’s proposed rule to list and Inc. (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed communications relating to the trade Active Proxy Portfolio Shares, with the Securities and Exchange which are actively managed exchange- proposed rule change between the Commission (‘‘Commission’’), pursuant traded products for which the portfolio Commission and any person, other than to Section 19(b)(1) of the Securities holdings would be disclosed on a those that may be withheld from the Exchange Act of 1934 (‘‘Act’’) 1 and Rule quarterly, rather than daily, basis, is public in accordance with the 19b–4 thereunder,2 a proposed rule adequately designed to prevent provisions of 5 U.S.C. 552, will be change to (1) adopt proposed NYSE fraudulent and manipulative acts and available for website viewing and Arca Rule 8.601–E to permit the practices, to promote just and equitable printing in the Commission’s Public Exchange to list and trade Active Proxy principles of trade, and to protect Reference Room, 100 F Street NE, Portfolio Shares,3 which are shares of investors and the public interest, and is Washington, DC 20549, on official actively managed exchange-traded consistent with the maintenance of a business days between the hours of funds for which the portfolio is fair and orderly market under the 10:00 a.m. and 3:00 p.m. Copies of the disclosed in accordance with standard Exchange Act. In particular, the filing also will be available for mutual fund disclosure rules; and (2) Commission seeks commenters’ views inspection and copying at the principal list and trade the following Active Proxy regarding whether the Exchange’s office of the Exchange. All comments Portfolio Shares under proposed NYSE proposed listing rule provisions as they received will be posted without change. Arca Rule 8.601–E: Natixis ETF. The relate to foreign securities are adequate Persons submitting comments are proposed rule change was published for to prevent fraud and manipulation. In cautioned that we do not redact or edit comment in the Federal Register on addition, the Commission seeks 4 personal identifying information from January 3, 2020. On February 13, 2020, commenters’ views regarding whether pursuant to Section 19(b)(2) of the comment submissions. You should the Exchange’s proposed listing rule Exchange Act,5 the Commission submit only information that you wish provisions are adequate to prevent the designated a longer period within which use and dissemination of material non- to make available publicly. All to approve the proposed rule change, public information relating to the submissions should refer to File disapprove the proposed rule change, or Funds. Number SR–NYSEArca–2019–96 and institute proceedings to determine Comments may be submitted by any should be submitted on or before April whether to disapprove the proposed of the following methods: 28, 2020. Rebuttal comments should be rule change.6 On March 31, 2020, the submitted by May 12, 2020. Exchange filed Amendment No. 2 to the Electronic Comments For the Commission, by the Division of proposed rule change, which replaced • Use the Commission’s internet Trading and Markets, pursuant to delegated and superseded the proposed rule comment form (http://www.sec.gov/ authority.37 1 15 U.S.C. 78s(b)(1). rules/sro.shtml); or J. Matthew DeLesDernier, • Send an email to rule-comments@ 2 17 CFR 240.19b–4. Assistant Secretary. 3 sec.gov. Please include File Number SR– The Exchange originally proposed to adopt [FR Doc. 2020–07227 Filed 4–6–20; 8:45 am] NYSE Arca Rule 8.602–E to permit the Exchange to NYSEArca–2019–96 on the subject line. list and trade Actively Managed Solution Shares. In BILLING CODE 8011–01–P Amendment No. 2, the Exchange renumbered and 35 Section 19(b)(2) of the Exchange Act, as renamed the Exchange rule proposed to be adopted amended by the Securities Act Amendments of to NYSE Arca Rule 8.601–E (Active Proxy Portfolio 1975, Public Law 94–29 (June 4, 1975), grants the Shares). See Amendment No. 2, infra note 7. Commission flexibility to determine what type of 4 See Securities Exchange Act Release No. 87866 proceeding—either oral or notice and opportunity (Dec. 30, 2019), 85 FR 357 (‘‘Notice’’). for written comments—is appropriate for 5 15 U.S.C. 78s(b)(2). consideration of a particular proposal by a self- 6 See Securities Exchange Act Release No. 88199, regulatory organization. See Securities Act 85 FR 9888 (Feb. 20, 2020). The Commission Amendments of 1975, Senate Comm. on Banking, designated April 2, 2020, as the date by which the Housing & Urban Affairs, S. Rep. No. 75, 94th Commission shall approve or disapprove, or Cong., 1st Sess. 30 (1975). institute proceedings to determine whether to 36 See supra note 7. 37 17 CFR 200.30–3(a)(57). disapprove, the proposed rule change.
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change as originally filed.7 The A. Self-Regulatory Organization’s identities and quantities of the Commission has received no comments Statement of the Purpose of, and the securities and other assets held by the on the proposed rule change. The Statutory Basis for, the Proposed Rule Investment Company that shall form the Commission is publishing this notice Change basis for the Investment Company’s calculation of NAV at the end of the and order to solicit comments on the 1. Purpose proposed rule change, as modified by business day. The Exchange proposes to add new Amendment No. 2, from interested Proposed Rule 8.601–E(c)(3) defines NYSE Arca Rule 8.601–E for the persons and to institute proceedings the term ‘‘Proxy Portfolio’’ as a specified purpose of permitting the listing and portfolio of securities, other financial pursuant to Section 19(b)(2)(B) of the trading, or trading pursuant to unlisted instruments and/or cash designed to Act 8 to determine whether to approve trading privileges (‘‘UTP’’), of Active track closely the daily performance of or disapprove the proposed rule change, Proxy Portfolio Shares, which are the Actual Portfolio of a series of Active as modified by Amendment No. 2. securities issued by an actively managed Proxy Portfolio Shares as provided in II. The Exchange’s Description of the open-end investment management the exemptive relief pursuant to the Proposed Rule Change, as Modified by company. The Exchange also proposes Investment Company Act of 1940 Amendment No. 2 to list and trade shares (‘‘Shares’’) of the applicable to such series. The website following under proposed NYSE Arca for each series of Active Proxy Portfolio The Exchange proposes to adopt new Rule 8.601–E: Natixis ETF (the ‘‘Fund’’). Shares shall disclose the information NYSE Arca Rule 8.601–E to permit it to Proposed Listing Rules regarding the Proxy Portfolio as list and trade Active Proxy Portfolio provided in the exemptive relief Proposed Rule 8.601–E (a) provides Shares, which are shares of actively pursuant to the Investment Company that the Exchange will consider for managed exchange-traded funds for Act of 1940 applicable to such series, trading, whether by listing or pursuant including the following, to the extent which the portfolio is disclosed in to UTP, Active Proxy Portfolio Shares accordance with standard mutual fund applicable: that meet the criteria of Rule 8.601–E. (i) Ticker symbol; disclosure rules. In addition, the Proposed Rule 8.601–E (b) provides (ii) CUSIP or other identifier; Exchange proposes to list and trade that Rule 8.601–E is applicable only to (iii) Description of holding; shares of the following under proposed Active Proxy Portfolio Shares and that, (iv) Quantity of each security or other NYSE Arca Rule 8.601–E: Natixis ETF. except to the extent inconsistent with asset held; and This Amendment No. 2 to SR– Rule 8.601–E, or unless the context (v) Percentage weighting of the NYSEArca-2019–95 replaces SR– otherwise requires, the rules and holding in the portfolio.9 NYSEArca–2019–95 as originally filed procedures of the Exchange’s Board of Proposed Rule 8.601–E(c)(4) defines and supersedes such filing in its Directors shall be applicable to the the term ‘‘Creation Unit’’ as a specified entirety. The Exchange has withdrawn trading on the Exchange of such minimum number of Active Proxy Amendment No. 1 to SR–NYSEArca– securities. Proposed Rule 8.601–E (b) Portfolio Shares issued by an 2019–95. provides further that Active Proxy Investment Company in return for a Portfolio Shares are included within the deposit by the purchaser of the Proxy The proposed change is available on definition of ‘‘security’’ or ‘‘securities’’ Portfolio and/or cash. the Exchange’s website at as such terms are used in the Rules of Proposed Rule 8.601–E(c)(5) defines www.nyse.com, at the principal office of the Exchange. the term ‘‘Reporting Authority’’ in the Exchange, and at the Commission’s Proposed Rule 8.601–E(c)(1) defines respect of a particular series of Active Public Reference Room. the term ‘‘Active Proxy Portfolio Share’’ Proxy Portfolio Shares means the Exchange, an institution, or a reporting III. Self-Regulatory Organization’s as a security that (a) is issued by a service designated by the Exchange or Statement of the Purpose of, and registered investment company Statutory Basis for, the Proposed Rule (‘‘Investment Company’’) organized as an open-end management investment 9 The information required in proposed Rule Change 8.601–E(c)(3) for the Proxy Portfolio is the same as company that invests in a portfolio of that required in SEC Rule 6c–11(c)(1)(i)(A) through In its filing with the Commission, the securities selected by the Investment (E) under the 1940 Act for exchange-traded funds self-regulatory organization included Company’s investment adviser operating in compliance with Rule 6c–11. See consistent with the Investment Release Nos. 33–10695; IC–33646; File No. S7–15– statements concerning the purpose of, 18 (Exchange-Traded Funds) (September 25, 2019), and basis for, the proposed rule change Company’s investment objectives and 84 FR 57162 (October 24, 2019) (the ‘‘Rule 6c–11 and discussed any comments it received policies; (b) is issued in a Creation Unit, Release’’). The Exchange believes it is appropriate on the proposed rule change. The text or multiples thereof, in return for a to require such information, rather than all deposit by the purchaser of the Proxy information required under Rule 8.600–E(c)(2), in of those statements may be examined at order to provide consistency in website the places specified in Item IV below. Portfolio and/or cash with a value equal dissemination among various ETF issuers. In The Exchange has prepared summaries, to the next determined net asset value adopting this requirement for funds operating in (‘‘NAV’’); (c) when aggregated in the compliance with Rule 6c–11, the Commission set forth in sections A, B, and C below, same specified minimum number of stated that ‘‘a more streamlined requirement will of the most significant parts of such provide standardized portfolio holdings disclosure Active Proxy Portfolio Shares, or statements. in a more efficient, less costly, and less burdensome multiples thereof, may be redeemed at format, while still providing market participants a holder’s request in return for a transfer with relevant information. Accordingly, rule 6c–11 of the Proxy Portfolio and/or cash to the will require an ETF to post a subset of the information required by the listing exchanges’ holder by the issuer with a value equal 7 Amendment No. 1 to the proposed rule change current generic listing standards for actively was filed on March 26, 2020 and subsequently to the next determined NAV; and (d) the managed ETFs.’’ The Commission stated further that ‘‘this framework will provide market withdrawn on March 31, 2020. Amendment No. 2 portfolio holdings for which are disclosed within at least 60 days participants with the information necessary to is available on the Commission’s website at https:// support an effective arbitrage mechanism and www.sec.gov/comments/sr-nysearca-2019-95/ following the end of every fiscal quarter. eliminate potential investor confusion due to a lack srnysearca201995.htm. Proposed Rule 8.601–E(c)(2) defines of standardization.’’ See Rule 6c–11 Release, notes 8 15 U.S.C. 78s(b)(2)(B). the term ‘‘Actual Portfolio’’ as the 249–260 and accompanying text.
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by the exchange that lists a particular to all market participants at the same Portfolio or Actual Portfolio with series of Active Proxy Portfolio Shares time (proposed Rule 8.601– respect to a series of Active Proxy (if the Exchange is trading such series E(d)(2)(B)(i)). Portfolio Shares is not disseminated to pursuant to unlisted trading privileges) Proposed Rule 8.601–E(d)(2)(C) all market participants at the same time, as the official source for calculating and provides that the Exchange will the Exchange shall halt trading in such reporting information relating to such consider the suspension of trading in, series until such time as the NAV, Proxy series, including, but not limited to, and will commence delisting Portfolio or Actual Portfolio is available NAV; the Actual Portfolio, Proxy proceedings under Rule 5.5–E(m) for, a to all market participants at the same Portfolio, or other information relating series of Active Proxy Portfolio Shares time. to the issuance, redemption or trading of under any of the following Proposed Rule 8.601–E(d)(2)(E) Active Proxy Portfolio Shares. A series circumstances: provides that, upon termination of an of Active Proxy Portfolio Shares may (i) If any of the continued listing Investment Company, the Exchange have more than one Reporting requirements set forth in Rule 8.601–E requires that Active Proxy Portfolio Authority, each having different are not continuously maintained; Shares issued in connection with such functions. (ii) if, following the initial twelve entity be removed from Exchange Proposed Rule 8.601–E(c)(6) defines month period after commencement of listing. the term ‘‘normal market conditions’’ as trading on the Exchange of a series of Proposed Rule 8.601–E(d)(2)(F) including, but not limited to, the Active Proxy Portfolio Shares, there are provides that voting rights shall be as absence of trading halts in the fewer than 50 beneficial holders of such set forth in the applicable Investment applicable financial markets generally; series of Active Proxy Portfolio Shares; Company prospectus. operational issues (e.g., systems failure) (iii) if the Exchange is notified, or Proposed Rule 8.601–E(e) (Limitation causing dissemination of inaccurate otherwise becomes aware, that the of Exchange Liability) provides that market information; or force majeure Investment Company is not in neither the Exchange, the Reporting type events such as natural or manmade compliance with the conditions of any Authority, when the Exchange is acting disaster, act of God, armed conflict, act currently applicable exemptive order or in the capacity of a Reporting Authority, of terrorism, riot or labor disruption or no-action relief granted by the nor any agent of the Exchange shall any similar intervening circumstance. Commission or Commission staff to the have any liability for damages, claims, Proposed Rule 8.601–E (d) sets forth Investment Company with respect to a losses or expenses caused by any errors, initial and continued listing criteria series of Active Proxy Portfolio Shares; omissions, or delays in calculating or applicable to Active Proxy Portfolio (iv) if any of the statements or disseminating any current portfolio Shares. Proposed Rule 8.601–E(d)(1) representations regarding (a) the value; the current value of the portfolio provides that each series of Active description of the portfolio, (b) of securities required to be deposited to Proxy Portfolio Shares shall be listed limitations on portfolio holdings, or (c) the Investment Company in connection and traded on the Exchange subject to the applicability of Exchange listing with issuance of Active Proxy Portfolio application of the following criteria: rules, specified in the Exchange’s rule Shares; the amount of any dividend (A) For each series, the Exchange filing pursuant to Section 19(b) of the equivalent payment or cash distribution shall establish a minimum number of Act to permit the listing and trading of to holders of Active Proxy Portfolio Active Proxy Portfolio Shares required a series of Active Proxy Portfolio Shares, Shares; NAV; or other information to be outstanding at the time of is not continuously maintained; or relating to the purchase, redemption, or commencement of trading on the (v) if such other event shall occur or trading of Active Proxy Portfolio Shares, Exchange. condition exists which, in the opinion resulting from any negligent act or (B) The Exchange shall obtain a of the Exchange, makes further dealings omission by the Exchange, the representation from the issuer of each on the Exchange inadvisable. Reporting Authority, when the series of Active Proxy Portfolio Shares Proposed Rule 8.601–E(d)(2)(D) Exchange is acting in the capacity of a that the NAV per share for the series (Trading Halt) provides that (i) The Reporting Authority, or any agent of the shall be calculated daily and that the Exchange may consider all relevant Exchange, or any act, condition, or NAV, the Proxy Portfolio, and the factors in exercising its discretion to cause beyond the reasonable control of Actual Portfolio shall be made publicly halt trading in a series of Active Proxy the Exchange, when the Exchange is available to all market participants at Portfolio Shares. Trading may be halted acting in the capacity of a Reporting the same time. because of market conditions or for Authority, its agent, or the Reporting (C) All Active Proxy Portfolio Shares reasons that, in the view of the Authority, including, but not limited to, shall have a stated investment objective, Exchange, make trading in the series of an act of God; fire; flood; extraordinary which shall be adhered to under normal Active Proxy Portfolio Shares weather conditions; war; insurrection; market conditions. inadvisable. These may include: (a) The riot; strike; accident; action of Proposed Rule 8.601–E(d)(2) provides extent to which trading is not occurring government; communications or power that each series of Active Proxy in the securities and/or the financial failure; equipment or software Portfolio Shares shall be listed and instruments composing the portfolio; or malfunction; or any error, omission, or traded subject to application of the (b) whether other unusual conditions or delay in the reports of transactions in following continued listing criteria: The circumstances detrimental to the one or more underlying securities. Actual Portfolio shall be disseminated at maintenance of a fair and orderly Proposed Commentary .01 to Rule least 60 days following the end of every market are present; (ii) If a series of 8.601–E provides that the Exchange will fiscal quarter and shall be made Active Proxy Portfolio Shares is trading file separate proposals under Section publicly available to all market on the Exchange pursuant to unlisted 19(b) of the Act before the listing and participants at the same time (proposed trading privileges, the Exchange shall trading of a series of Active Proxy Rule 8.601–E(d)(2)(A)(i)), and the Proxy halt trading in that series as specified in Portfolio Shares. All statements or Portfolio will be made publicly Rule 7.18–E(d)(1); and (iii) Upon representations contained in such rule available on the website for each series notification to the Exchange by the filing regarding (a) the description of the of Active Proxy Portfolio Shares at least issuer of a series of Active Proxy portfolio, (b) limitations on portfolio once daily and will be made available Portfolio Shares, that the NAV, Proxy holdings, or (c) the applicability of
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Exchange listing rules specified in such subject to corporate governance, portfolio of an issue of Active Proxy rule filing will constitute continued disclosure and shareholder/annual Portfolio Shares would not be available listing requirements. An issuer of such meeting requirements that are consistent at commencement of Exchange listing securities must notify the Exchange of with other derivative and special and trading. Second, in connection with any failure to comply with such purpose securities enumerated in those the creation and redemption of Active continued listing requirements. Rules. Proxy Portfolio Shares, such creation or Proposed Commentary .02 provides Key Features of Active Proxy Portfolio redemption may be exchanged for a that transactions in Active Proxy Shares Proxy Portfolio with a value equal to the Portfolio Shares shall occur during the next-determined NAV. A series of While funds issuing Active Proxy trading hours specified in NYSE Arca Active Proxy Portfolio Shares will Portfolio Shares will be actively- Rule 7.34–E(a). disclose the Proxy Portfolio on a daily Proposed Commentary .03 provides managed and, to that extent, will be similar to Managed Fund Shares, Active basis, which, as described above, is that the Exchange will implement and designed to track closely the daily maintain written surveillance Proxy Portfolio Shares differ from performance of the Actual Portfolio of a procedures for Active Proxy Portfolio Managed Fund Shares in the following series of Active Proxy Portfolio Shares, Shares. As part of these surveillance important respects. First, in contrast to instead of the actual holdings of the procedures, the Investment Company’s Managed Fund Shares, which are investment adviser will upon request by actively-managed funds listed and Investment Company, as provided by a the Exchange or FINRA, on behalf of the traded under NYSE Arca Rule 8.600– series of Managed Fund Shares. Exchange, make available to the E 11 and for which a ‘‘Disclosed The Exchange, after consulting with Exchange or FINRA the daily portfolio Portfolio’’ is required to be disseminated various Lead Market Makers that trade 12 holdings of each series of Active Proxy at least once daily, the portfolio for an exchange-traded funds (‘‘ETFs’’) on the Portfolio Shares. issue of Active Proxy Portfolio Shares Exchange, believes that market makers Proposed Commentary.04 provides will be publicly disclosed within at will be able to make efficient and liquid that, if the investment adviser to the least 60 days following the end of every markets priced near the NAV in light of Investment Company issuing Active fiscal quarter in accordance with normal the daily Proxy Portfolio dissemination Proxy Portfolio Shares is registered as a disclosure requirements otherwise Market makers employ market making applicable to open-end management broker-dealer or is affiliated with a techniques such as ‘‘statistical investment companies registered under broker-dealer, such investment adviser arbitrage,’’ including correlation the 1940 Act.13 The composition of the will erect and maintain a ‘‘fire wall’’ hedging, beta hedging, and dispersion between the investment adviser and trading, which is currently used 11 The Commission has previously approved personnel of the broker-dealer or broker- listing and trading on the Exchange of a number of throughout the financial services dealer affiliate, as applicable, with issues of Managed Fund Shares under NYSE Arca industry, to make efficient markets in respect to access to information Rule 8.600–E. See, e.g., Securities Exchange Act exchange-traded products.14 These concerning the composition and/or Release Nos. 57801 (May 8, 2008), 73 FR 27878 (May 14, 2008) (SR–NYSEArca–2008–31) (order techniques should permit market changes to such Investment Company’s approving Exchange listing and trading of twelve makers to make efficient markets in an Actual Portfolio and/or Proxy Portfolio. actively-managed funds of the WisdomTree Trust); issue of Active Proxy Portfolio Shares Any person related to the investment 60460 (August 7, 2009), 74 FR 41468 (August 17, adviser or Investment Company who 2009) (SR–NYSEArca–2009–55) (order approving of Additional Information, its Shareholder Reports, listing of Dent Tactical ETF); 63076 (October 12, its Form N–CSR, filed twice a year, and its Form makes decisions pertaining to the 2010), 75 FR 63874 (October 18, 2010) (SR– N–CEN, filed annually. A fund’s statement of Investment Company’s portfolio NYSEArca–2010–79) (order approving Exchange additional information (‘‘SAI’’) and Shareholder composition or has access to non-public listing and trading of Cambria Global Tactical ETF); Reports are available free upon request from the information regarding the Investment 63802 (January 31, 2011), 76 FR 6503 (February 4, Investment Company, and those documents and the 2011) (SR–NYSEArca–2010–118) (order approving Form N–PORT, Form N–CSR, and Form N–CEN Company’s Actual Portfolio or changes Exchange listing and trading of the SiM Dynamic may be viewed on-screen or downloaded from the thereto or the Proxy Portfolio must be Allocation Diversified Income ETF and SiM Commission’s website at www.sec.gov. subject to procedures reasonably Dynamic Allocation Growth Income ETF). The 14 Statistical arbitrage enables a trader to Commission also has approved a proposed rule designed to prevent the use and construct an accurate proxy for another instrument, change relating to generic listing standards for allowing it to hedge the other instrument or buy or dissemination of material non-public Managed Fund Shares. Securities Exchange Act sell the instrument when it is cheap or expensive information regarding the Actual Release No. 78397 (July 22, 2016), 81 FR 49320 (July 27, 2016 (SR–NYSEArca–2015–110) in relation to the proxy. Statistical analysis permits Portfolio or changes thereto or the Proxy traders to discover correlations based purely on 10 (amending NYSE Arca Equities Rule 8.600 to adopt Portfolio. generic listing standards for Managed Fund Shares). trading data without regard to other fundamental The Exchange also proposes non- 12 NYSE Arca Rule 8.600–E(c)(2) defines the term drivers. These correlations are a function of substantive amendments to include ‘‘Disclosed Portfolio’’ as the identities and differentials, over time, between one instrument or quantities of the securities and other assets held by group of instruments and one or more other Active Proxy Portfolio Shares in other instruments. Once the nature of these price Exchange rules. Specifically, the the Investment Company that will form the basis for the Investment Company’s calculation of net asset deviations have been quantified, a universe of Exchange proposes to amend Rule 5.3– value at the end of the business day. NYSE Arca securities is searched in an effort to, in the case of E, concerning Corporate Governance Rule 8.600–E(d)(2)(B)(i) requires that the Disclosed a hedging strategy, minimize the differential. Once and Disclosure Policies, and Rule 5.3– Portfolio will be disseminated at least once daily a suitable hedging proxy has been identified, a trader can minimize portfolio risk by executing the E(e), concerning Shareholder/Annual and will be made available to all market participants at the same time. hedging basket. The trader then can monitor the Meetings, to add Active Proxy Portfolio 13 A mutual fund is required to file with the performance of this hedge throughout the trade Shares to the enumerated derivative and Commission its complete portfolio schedules for the period making correction where warranted. In the special purpose securities that are second and fourth fiscal quarters on Form N–CSR case of correlation hedging, the analysis seeks to subject to the respective Rules. Thus, under the 1940 Act. Information reported on Form find a proxy that matches the pricing behavior of N–PORT for the third month of a Fund’s fiscal a fund. In the case of beta hedging, the analysis Active Proxy Portfolio Shares would be quarter will be made publicly available 60 days seeks to determine the relationship between the after the end of a Fund’s fiscal quarter. Form N– price movement over time of a fund and that of 10 The Exchange will propose applicable NYSE PORT requires reporting of a fund’s complete another stock. Dispersion trading is a hedged Arca listing fees for Active Proxy Portfolio Shares portfolio holdings on a position-by-position basis strategy designed to take advantage of relative value in the NYSE Arca Equities Schedule of Fees and on a quarterly basis within 60 days after fiscal differences in implied volatilities between an index Charges via a separate proposed rule change. quarter end. Investors can obtain a fund’s Statement and the component stocks of that index.
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without precise knowledge of a fund’s Natixis Advisors, L.P. (‘‘Adviser’’) ‘‘fire wall’’ between the investment underlying portfolio. will be the investment adviser to the adviser and the broker-dealer applicable The Exchange understands that Fund. ALPS Distributors, Inc. will act as to an Investment Company’s Actual traders use statistical analysis to derive the distributor and principal Portfolio and/or Proxy Portfolio, and not correlations between different sets of underwriter (‘‘Distributor’’) for the just to the underlying portfolio, as is the instruments to identify opportunities to Fund. case with Managed Fund Shares. The buy or sell one set of instruments when As noted above, proposed Adviser is not registered as a broker- it is mispriced relative to the others. For Commentary.04 provides that, if the dealer but is affiliated with a broker- Active Proxy Portfolio Shares, market investment adviser to the Investment dealer. The Adviser has implemented makers may use the knowledge of a Company issuing Active Proxy Portfolio and will maintain a ‘‘fire wall’’ with fund’s means of achieving its Shares is affiliated with a broker-dealer, respect to such broker-dealer affiliate investment objective, as described in the such investment adviser will erect and regarding access to information applicable fund registration statement, maintain a ‘‘fire wall’’ between the concerning the composition of and/or together with the Proxy Portfolio to investment adviser and personnel of the changes to the Fund’s portfolio. manage a market maker’s quoting risk in broker-dealer or broker-dealer affiliate, In the event (a) the Adviser or any connection with trading shares of a as applicable, with respect to access to sub-adviser becomes registered as a fund. Market makers can then conduct information concerning the composition broker-dealer or becomes newly statistical arbitrage between Proxy and/or changes to such Investment affiliated with a broker-dealer, or (b) any Portfolio and shares of a fund, buying Company portfolio. Any person related new adviser or sub-adviser is a and selling one against the other over to the investment adviser or Investment registered broker-dealer, or becomes the course of the trading day. They will Company who makes decisions affiliated with a broker-dealer, it will evaluate how the Proxy Portfolio pertaining to the Investment Company’s implement and maintain a fire wall with performed in comparison to the price of portfolio composition or has access to respect to its relevant personnel or its a fund’s shares, and use that analysis as information regarding the Investment broker-dealer affiliate regarding access well as knowledge of risk metrics, such Company’s Actual Portfolio or changes to information concerning the as volatility and turnover, to provide a thereto must be subject to procedures composition and/or changes to the more efficient hedge. designed to prevent the use and portfolio, and will be subject to Market makers have indicated to the dissemination of material non-public procedures designed to prevent the use Exchange that there will be sufficient information regarding the Actual and dissemination of material non- data to run a statistical analysis which Portfolio Proposed Commentary .04 is public information regarding such will lead to spreads being tightened similar to Commentary .03(a)(i) and (iii) portfolio. substantially around NAV of a fund’s to NYSE Arca Rule 5.2–E(j)(3); however, Natixis ETF shares. This is similar to certain other Commentary .04, in connection with the existing exchange traded products (for establishment of a ‘‘fire wall’’ between According to the Application, the example, ETFs that invest in foreign the investment adviser and the broker- Adviser believes the Fund would allow securities that do not trade during U. S. dealer, reflects the applicable open-end for efficient trading of Shares through an trading hours), in which spreads may be fund’s portfolio, not an underlying effective Fund portfolio transparency generally wider in the early days of benchmark index, as is the case with substitute and publication of related trading and then narrow as market index-based funds.16 Proposed information metrics, while still makers gain more confidence in their Commentary .04 is also similar to shielding the identity of the full Fund real-time hedges. Commentary .06 to Rule 8.600–E related portfolio contents to protect the Fund’s performance-seeking strategies. Even Description of the Fund and the Trust to Managed Fund Shares, except that proposed Commentary .04 relates to though the Fund would not publish its The Fund will be a series of Natixis establishment and maintenance of a full portfolio contents daily, the Adviser ETF Trust II (‘‘Trust’’), which will be believes that the NYSE Proxy Portfolio registered with the Commission as an 16 An investment adviser to an open-end fund is Methodology would allow market open-end management investment required to be registered under the Investment participants to assess the intraday value company.15 Advisers Act of 1940 (the ‘‘Advisers Act’’). As a and associated risk of the Fund’s Actual result, the Adviser and its related personnel will be subject to the provisions of Rule 204A–1 under the Portfolio. As a result, the Adviser 15 The Trust is registered under the 1940 Act. On Advisers Act relating to codes of ethics. This Rule believes that investors would be able to December 12, 2019, the Trust filed a registration requires investment advisers to adopt a code of purchase and sell Shares in the statement on Form N–1A under the Securities Act ethics that reflects the fiduciary nature of the of 1933 (the ‘‘1933 Act’’) (15 U.S.C. 77a), and under relationship to clients as well as compliance with secondary market at prices that are close the 1940 Act relating to the Fund (File Nos. 333– other applicable securities laws. Accordingly, to their NAV. 235466 and 811–23500) (the ‘‘Registration procedures designed to prevent the communication In this regard, the Fund will utilize a Statement’’). The Trust and NYSE Group, Inc. filed and misuse of non-public information by an proxy portfolio methodology— the a Seventh Amended and Restated Application for investment adviser must be consistent with Rule an Order under Section 6(c) of the 1940 Act for 204A–1 under the Advisers Act. In addition, Rule ‘‘NYSE Proxy Portfolio Methodology’’— exemptions from various provisions of the 1940 Act 206(4)–7 under the Advisers Act makes it unlawful that would allow market participants to and rules thereunder (File No. 812–14870), dated for an investment adviser to provide investment assess the intraday value and associated October 21, 2019 (‘‘Application’’). On November 14, advice to clients unless such investment adviser has risk of the Fund’s Actual Portfolio and 2019, the Commission issued a notice regarding the (i) adopted and implemented written policies and Application. Investment Company Release No. procedures reasonably designed to prevent thereby facilitate the purchase and sale 33684 (File No. 812–14870). On December 10, 2019, violations, by the investment adviser and its of Shares by investors in the secondary the Commission issued an order (‘‘Exemptive supervised persons, of the Advisers Act and the market at prices that do not vary Order’’) under the 1940 Act granting the Commission rules adopted thereunder; (ii) materially from their NAV.17 The NYSE exemptions requested in the Application implemented, at a minimum, an annual review (Investment Company Act Release No. 33711 regarding the adequacy of the policies and (December 10, 2019)). Investments made by the procedures established pursuant to subparagraph (i) 17 The NYSE Proxy Portfolio Methodology is Fund will comply with the conditions set forth in above and the effectiveness of their owned by the NYSE Group, Inc. and licensed for the Application and the Exemptive Order. The implementation; and (iii) designated an individual use by the Fund. NYSE Group, Inc. is not affiliated description of the operation of the Trust and the (who is a supervised person) responsible for with the Fund, Adviser or Distributor. Not all series Fund herein is based, in part, on the Registration administering the policies and procedures adopted of Active Proxy Portfolio Shares will utilize the Statement and the Application. under subparagraph (i) above. NYSE Proxy Portfolio Methodology.
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Proxy Portfolio Methodology would as calculated in accordance with the Securities Clearing Corporation utilize creation of a Proxy Portfolio for policies and procedures set forth in the (‘‘NSCC’’) the names and quantities of hedging and arbitrage purposes.18 Registration Statement. the instruments comprising the Creation The Fund’s holdings will conform to According to the Application, the Basket, as well as the estimated Cash the permissible investments as set forth Trust will offer, issue and sell Shares of Amount (if any), for that day. The in the Application and Exemptive Order the Fund to investors only in Creation published Creation Basket will apply and the holdings will be consistent with Units through the Distributor on a until a new Creation Basket is all requirements in the Application and continuous basis at the NAV per Share announced on the following Business Exemptive Order.19 next determined after an order in proper Day, and there will be no intra-day According to the Registration form is received. The NAV of the Fund changes to the Creation Basket except to Statement, the Fund will invest only in is expected to be determined as of 4:00 correct errors in the published Creation together, the ‘‘Permissible p.m. E.T. on each Business Day. The Basket. Investments’’).20 The Fund will not hold Trust will sell and redeem Creation All orders to purchase Creation Units short positions or invest in derivatives Units of the Fund only on a Business must be placed with the Distributor by other than U.S. exchange-traded futures. Day. Creation Units of the Fund may be or through an Authorized Participant, The Fund will not borrow for purchased and/or redeemed entirely for which is either: (1) A ‘‘participating investment purposes. cash, as permissible under the party’’ (i.e., a broker or other 21 Under normal market conditions, procedures described below. participant), in the Continuous Net the Fund will primarily invest in U.S. Shares will be purchased and Settlement (‘‘CNS’’) System of the exchange-traded common stocks of U.S. redeemed in Creation Units and NSCC, a clearing agency registered with companies. The Fund generally will generally on an in-kind basis. the Commission and affiliated with the invest in securities of larger Accordingly, except where the purchase Depository Trust Company (‘‘DTC’’), or capitalization companies in any or redemption will include cash under (2) a DTC Participant, which in any case industry. the circumstances specified below, has executed a participant agreement Creations and Redemptions of Shares purchasers will be required to purchase with the Distributor and the transfer Creation Units by making an in-kind agent. According to the Application, the deposit of specified instruments ‘‘Creation Basket’’ (as defined below) for (‘‘Deposit Instruments’’), and Timing and Transmission of Purchase the Fund’s Shares will be based on the shareholders redeeming their Shares Orders Fund’s Proxy Portfolio, which is will receive an in-kind transfer of All orders to purchase (or redeem) designed to approximate the value and specified instruments (‘‘Redemption Creation Units, whether using the NSCC performance of the Actual Portfolio. All Instruments’’). The names and Process or the DTC Process, must be Creation Basket instruments will be quantities of the instruments that received by the Distributor no later than valued in the same manner as they are constitute the Deposit Instruments and the NAV calculation time (‘‘NAV valued for purposes of calculating the the Redemption Instruments for the Fund’s NAV, and such valuation will be Calculation Time’’), generally 4:00 p.m. Fund (collectively, the ‘‘Creation E.T. on the date the order is placed made in the same manner regardless of Basket’’) will be the same as the Fund’s the identity of the purchaser or (‘‘Transmittal Date’’) in order for the Proxy Portfolio, except to the extent purchaser (or redeemer) to receive the redeemer. Further, the total purchases and redemptions are made consideration paid for the purchase or NAV determined on the Transmittal entirely or in part on a cash basis. Date. In the case of custom orders, the redemption of a Creation Unit of Shares If there is a difference between the will be based on the NAV of the Fund, order must be received by the NAV attributable to a Creation Unit and Distributor sufficiently in advance of the the aggregate market value of the NAV Calculation Time in order to help 18 With respect to the Fund, the Fund will have Creation Basket exchanged for the ensure that the Fund has an opportunity in place policies and procedures regarding the Creation Unit, the party conveying construction and composition of its Proxy Portfolio. to purchase the missing securities with instruments with the lower value will Such policies and procedures will be covered by the cash in lieu amounts or to sell the Fund’s compliance program and other also pay to the other an amount in cash securities to generate the cash in lieu requirements under Rule 38a–1 under the 1940 Act. equal to that difference (the ‘‘Cash 19 amounts prior to the NAV Calculation Pursuant to the Application and Exemptive Amount’’). Order, the permissible investments include only the Time. On days when the Exchange following instruments: Exchange traded funds While the Fund normally will issue and redeem Shares in kind, the Fund closes earlier than normal, the Fund (‘‘ETFs’’) traded on a U.S. exchange; exchange- may require custom orders to be placed traded notes (‘‘ETNs’’) traded on a U.S. exchange; may require purchases and redemptions U.S. exchange-traded common stocks; common to be made entirely or in part on a cash earlier in the day. stocks listed on a foreign exchange that trade on such exchange contemporaneously with the Shares basis. In such an instance, the Fund will Availability of Information for the (‘‘foreign common stocks’’) in the Exchange’s Core announce, before the open of trading in Fund’s Shares Trading Session (normally 9:30 a.m. and 4:00 p.m. the Core Trading Session (normally, The Fund’s website Eastern time (‘‘E.T.’’)); U.S. exchange-traded 9:30 a.m. to 4:00 p.m. E.T.) on a given (www.im.natixis.com), which will be preferred stocks; U.S. exchange-traded American Business Day, that all purchases, all Depositary Receipts (‘‘ADRs’’); U.S. exchange- publicly available prior to the public redemptions, or all purchases and traded real estate investment trusts; U.S. exchange- offering of Shares, will include a form traded commodity pools; U.S. exchange-traded redemptions on that day will be made of the prospectus for the Fund that may metals trusts; U.S. exchange-traded currency trusts; wholly or partly in cash. The Fund may be downloaded. The Fund’s website and U.S. exchange-traded futures that trade also determine, upon receiving a contemporaneously with Fund Shares. In addition, will include on a daily basis, per Share purchase or redemption order from an the Fund may hold cash and cash equivalents for the Fund, (1) daily trading volume, (short-term U.S. Treasury securities, government Authorized Participant, to have the money market funds, and repurchase agreements). the prior Business Day’s NAV and the purchase or redemption, as applicable, 22 20 ‘‘Closing Price’’ or ‘‘Bid/Ask Price,’’ For purposes of this filing, cash equivalents are be made entirely or in part in cash. Each short-term U.S. Treasury securities, government money market funds, and repurchase agreements. Business Day, before the open of trading 22 The records relating to Bid/Ask Prices will be 21 The term ‘‘normal market conditions’’ is on the Exchange, the Fund will cause to retained by the Fund or its service providers. The defined in proposed Rule 8.6018.601–E(c)(6). be published through the National Continued
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and a calculation of the premium/ and consistent with permissible traded on the NYSE Arca Marketplace is discount of the Closing Price or Bid/Ask holdings as described in the Exemptive $0.01, with the exception of securities Price against such NAV 23, and (2) data Application. that are priced less than $1.00 for which in chart format displaying the frequency the MPV for order entry is $0.0001. Trading Halts distribution of discounts and premiums The Shares will conform to the initial With respect to trading halts, the of the daily Bid/Ask Price against the and continued listing criteria under Exchange may consider all relevant NAV, within appropriate ranges, for NYSE Arca Rule 8.601–E. The Exchange factors in exercising its discretion to each of the four previous calendar deems the Shares to be equity securities, halt or suspend trading in the Shares of quarters. The website and information thus rendering trading in the Shares the Fund.25 Trading in Shares of the will be publicly available at no charge. subject to the Exchange’s existing rules Fund will be halted if the circuit breaker The Proxy Portfolio holdings governing the trading of equity parameters in NYSE Arca Rule 7.12–E (including the identity and quantity of securities. The Exchange has have been reached. Trading also may be investments in the Proxy Portfolio) will appropriate rules to facilitate trading in halted because of market conditions or be publicly available on the Fund’s the Shares during all trading sessions. website before the commencement of for reasons that, in the view of the trading in Shares on each Business Day. Exchange, make trading in the Shares Surveillance Typical mutual fund-style annual, inadvisable. Trading in the Shares will be subject to NYSE Arca Rule 8.601– The Exchange represents that trading semi-annual and quarterly disclosures in the Shares will be subject to the contained in the Fund’s Commission E(d)(2)(D), which sets forth circumstances under which Shares of existing trading surveillances, filings will be provided on the Fund’s administered by the Exchange, as well website on a current basis.24 Thus, the the Fund will be halted. Specifically, proposed Rule 8.601– as cross-market surveillances Fund will publish the portfolio contents E(d)(2)(D) provides that the Exchange administered by the Financial Industry of its Actual Portfolio on a periodic may consider all relevant factors in Regulatory Authority (‘‘FINRA’’) on basis, and no less than 60 days after the exercising its discretion to halt trading behalf of the Exchange, which are end of every fiscal quarter. in a series of Active Proxy Portfolio designed to detect violations of Investors can also obtain the Fund’s Shares. Trading may be halted because Exchange rules and applicable federal SAI, Shareholder Reports, Form N–CSR, of market conditions or for reasons that, securities laws.26 The Exchange N–PORT and Form N–CEN. The in the view of the Exchange, make represents that these procedures are prospectus, SAI and Shareholder trading in the series of Active Proxy adequate to properly monitor Exchange Reports are available free upon request Portfolio Shares inadvisable. These may trading of the Shares in all trading from the Trust, and those documents include: (a) The extent to which trading sessions and to deter and detect and the Form N–CSR, N–PORT, and is not occurring in the securities and/or violations of Exchange rules and federal Form N–CEN may be viewed on-screen the financial instruments composing the securities laws applicable to trading on or downloaded from the Commission’s portfolio; or (b) whether other unusual the Exchange. website. conditions or circumstances detrimental Information regarding market price The surveillances referred to above to the maintenance of a fair and orderly and trading volume of the Shares will be generally focus on detecting securities market are present. In addition, upon continually available on a real-time trading outside their normal patterns, notification to the Exchange by the basis throughout the day on brokers’ which could be indicative of issuer of a series of Active Proxy computer screens and other electronic manipulative or other violative activity. Portfolio Shares, that the NAV, Proxy services. Information regarding the When such situations are detected, Portfolio or Actual Portfolio with previous day’s closing price and trading surveillance analysis follows and respect to a series of Active Proxy volume information for the Shares will investigations are opened, where Portfolio Shares is not disseminated to be published daily in the financial appropriate, to review the behavior of all market participants at the same time, section of newspapers. Quotation and all relevant parties for all relevant the Exchange shall halt trading in such last sale information for the Shares, trading violations. series until such time as the NAV, Proxy equity securities and ETFs will be The Exchange or FINRA, on behalf of Portfolio or Actual Portfolio is available available via the Consolidated Tape the Exchange, or both, will to all market participants at the same Association (‘‘CTA’’) high-speed line. communicate as needed regarding time. The issuer has represented to the trading in the Shares and underlying Exchange that it will provide the Investment Restrictions exchange-traded instruments with other Exchange with prompt notification The Shares of the Fund will conform markets and other entities that are upon the existence of any such to the initial and continued listing members of the ISG, and the Exchange condition or set of conditions. criteria under proposed Rule 8.601–E. or FINRA, on behalf of the Exchange, or The Fund’s holdings will be limited to Trading Rules both, may obtain trading information The Exchange deems the Shares to be regarding trading such securities and ‘‘Bid/Ask Price’’ is the midpoint of the highest bid equity securities, thus rendering trading financial instruments from such markets and lowest offer based upon the National Best Bid and other entities. In addition, the and Offer as of the time of calculation of the Fund’s in the Shares subject to the Exchange’s NAV. The ‘‘National Best Bid and Offer’’ is the existing rules governing the trading of Exchange may obtain information current national best bid and national best offer as equity securities. Shares will trade on regarding trading in such securities and disseminated by the Consolidated Quotation the NYSE Arca Marketplace in all financial instruments from markets and System or UTP Plan Securities Information other entities that are members of ISG or Processor. The ‘‘Closing Price’’ of Shares is the trading sessions in accordance with official closing price of the Shares on the Exchange. NYSE Arca Rule 7.34–E(a). As provided with which the Exchange has in place 23 The ‘‘premium/discount’’ refers to the in NYSE Arca Rule 7.6–E, the minimum premium or discount to NAV at the end of a trading price variation (‘‘MPV’’) for quoting and 26 FINRA conducts cross-market surveillances on day and will be calculated based on the last Bid/ behalf of the Exchange pursuant to a regulatory Ask Price or the Closing Price on a given trading entry of orders in equity securities services agreement. The Exchange is responsible for day. FINRA’s performance under this regulatory services 24 See note 13, supra. 25 See NYSE Arca Rule 7.12–E. agreement.
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a comprehensive surveillance sharing aware of any non-compliance with the of the Act,29 in particular, in that it is agreement.27 requirements of Rule 8.601–E. designed to prevent fraudulent and The Adviser will make available daily With respect to the Fund, all manipulative acts and practices, to to FINRA and the Exchange the Actual statements and representations made in promote just and equitable principles of Portfolio of the Fund, upon request, in this filing regarding (a) the description trade, to remove impediments to and order to facilitate the performance of the of the portfolio or reference asset, (b) perfect the mechanism of a free and surveillances referred to above. limitations on portfolio holdings or open market and a national market In addition, the Exchange also has a reference assets, or (c) the applicability system, and, in general, to protect general policy prohibiting the of Exchange listing rules specified in investors and the public interest. distribution of material, non-public this rule filing shall constitute The Exchange believes that proposed information by its employees. continued listing requirements for Rule 8.601–E is designed to prevent As noted above, proposed listing the Shares on the Exchange. The fraudulent and manipulative acts and Commentary .03 to NYSE Arca Rule issuer has represented to the Exchange practices in that the proposed rules 8.601–E provides that the Exchange will that it will advise the Exchange of any relating to listing and trading of Active implement and maintain written failure by the Fund to comply with the Proxy Portfolio Shares provide specific continued listing requirements, and, surveillance procedures for Active initial and continued listing criteria pursuant to its obligations under required to be met by such securities. Proxy Portfolio Shares. As part of these Section 19(g)(1) of the Act, the Exchange Proposed Rule 8.601–E(d) sets forth surveillance procedures, the Investment will monitor for compliance with the initial and continued listing criteria Company’s investment adviser will continued listing requirements. If the applicable to Active Proxy Portfolio upon request by the Exchange or Fund is not in compliance with the Shares. Proposed Rule 8.601–E(d)(1)(A) FINRA, on behalf of the Exchange, make applicable listing requirements, the provides that, for each series of Active available to the Exchange or FINRA the Exchange will commence delisting Proxy Portfolio Shares, the Exchange daily portfolio holdings of each series of procedures under NYSE Arca Rule 5.5– will establish a minimum number of Active Proxy Portfolio Shares. The E(m). Active Proxy Portfolio Shares required Exchange believes that the ability to to be outstanding at the time of access the information on an as needed Information Bulletin commencement of trading on the basis will provide it with sufficient Prior to the commencement of Exchange. In addition, proposed Rule information to perform the necessary trading, the Exchange will inform its 8.601–E(d)(1)(B) provides that the regulatory functions associated with Equity Trading Permit (‘‘ETP’’) Holders Exchange will obtain a representation listing and trading series of Active in an Information Bulletin (‘‘Bulletin’’) from the issuer of each series of Active Proxy Portfolio Shares on the Exchange, of the special characteristics and risks Proxy Portfolio Shares that the NAV per including the ability to monitor associated with trading the Shares. share for the series will be calculated compliance with the initial and Specifically, the Bulletin will discuss daily and that the NAV, Proxy Portfolio continued listing requirements as well the following: (1) The procedures for and the Actual Portfolio will be made as the ability to surveil for manipulation purchases and redemptions of Shares; available to all market participants at of Active Proxy Portfolio Shares. (2) NYSE Arca Rule 9.2–E(a), which the same time. Proposed Rule 8.601– The Exchange will utilize its existing imposes a duty of due diligence on its E(d)(2) provides that each series of procedures to monitor issuer ETP Holders to learn the essential facts Active Proxy Portfolio Shares will be compliance with the requirements of relating to every customer prior to listed and traded subject to application proposed Rule 8.601–E. For example, trading the Shares; (3) how information of specified continued listing criteria, as the Exchange will continue to use regarding the Proxy Portfolio will be set forth above. intraday alerts that will notify Exchange disseminated; (4) the requirement that Proposed Rule 8.601–E(d)(2)(D)(i) personnel of trading activity throughout ETP Holders deliver a prospectus to provides that the Exchange may the day that may indicate that unusual investors purchasing newly issued consider all relevant factors in conditions or circumstances are present Shares prior to or concurrently with the exercising its discretion to halt trading that could be detrimental to the confirmation of a transaction; (5) the in a series of Active Proxy Portfolio maintenance of a fair and orderly requirement that the Fund’s portfolio Shares. Trading may be halted because market. The Exchange will require from holdings will be disclosed quarterly, of market conditions or for reasons that, the issuer of a series of Active Proxy and (6) trading information. in the view of the Exchange, make Portfolio Shares, upon initial listing and In addition, the Bulletin will trading in the series of Active Proxy periodically thereafter, a representation reference that the Fund is subject to Portfolio Shares inadvisable. These may that it is in compliance with Rule various fees and expenses described in include: (a) The extent to which trading 8.601–E. The Exchange notes that the Registration Statement. The Bulletin is not occurring in the securities and/or proposed Commentary .01 to Rule will discuss any exemptive, no-action, the financial instruments composing the 8.601–E would require an issuer of and interpretive relief granted by the portfolio; or (b) whether other unusual Active Proxy Portfolio Shares to notify Commission from any rules under the conditions or circumstances detrimental the Exchange of any failure to comply Act. The Bulletin will also disclose that to the maintenance of a fair and orderly with the continued listing requirements the NAV for the Shares will be market are present. of Rule 8.601–E. In addition, the calculated after 4:00 p.m. E.T. each Proposed Rule 8.601–E(d)(2)(D)(iii) Exchange will require issuers to trading day. provides that, upon notification to the represent that they will notify the Exchange by the issuer of a series of Exchange of any failure to comply with 2. Statutory Basis Active Proxy Portfolio Shares, that the the terms of applicable exemptive and The Exchange believes that the NAV, Proxy Portfolio or Actual Portfolio no-action relief. The Exchange will rely proposed rule change is consistent with with respect to a series of Active Proxy on the foregoing procedures to become Section 6(b) of the Act,28 in general, and Portfolio Shares is not disseminated to furthers the objectives of Section 6(b)(5) all market participants at the same time, 27 For a list of the current members of ISG, see www.isgportal.org. 28 15 U.S.C. 78f(b). 29 15 U.S.C. 78f(b)(5).
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the Exchange shall halt trading in such Meetings) would subject Active Proxy correlations between different sets of series until such time as the NAV, Proxy Portfolio Shares to the same instruments to identify opportunities to Portfolio or Actual Portfolio is available requirements currently applicable to buy or sell one set of instruments when to all market participants at the same other 1940 Act-registered investment it is mispriced relative to the others. For time. company securities (i.e., Investment Active Proxy Portfolio Shares, market Proposed Commentary .01 to NYSE Company Units, Managed Fund Shares makers utilizing statistical arbitrage use Arca Rule 8.601–E provides that the and Portfolio Depositary Receipts). the knowledge of a fund’s means of Exchange will file separate proposals With respect to the proposed listing achieving its investment objective, as under Section 19(b) of the Act before the and trading of Shares of the Fund, the described in the applicable fund listing and trading of Active Proxy Exchange believes that the proposed registration statement to manage a Portfolio Shares. All statements or rule change is designed to prevent market maker’s quoting risk in representations contained in such rule fraudulent and manipulative acts and connection with trading fund shares. filing regarding (a) the description of the practices in that the Shares will be Market makers will then conduct portfolio, (b) limitations on portfolio listed and traded on the Exchange statistical arbitrage between the Proxy holdings, or (c) the applicability of pursuant to the initial and continued Portfolio and shares of a fund, buying Exchange listing rules specified in such listing criteria in NYSE Arca Rule and selling one against the other over rule filing will constitute continued 8.601–E. All exchange-listed equity the course of the trading day. listing requirements. An issuer of such securities held by the Fund will be Eventually, at the end of each day, they securities must notify the Exchange of listed on U.S. national securities will evaluate how the Proxy Portfolio any failure to comply with such exchanges. The listing and trading of performed in comparison to the price of continued listing requirements. such securities is subject to rules of the a fund’s shares, and use that analysis as Proposed Commentary .03 to NYSE exchanges on which they are listed and well as knowledge of risk metrics, such Arca Rule 8.601–E provides that the traded, as approved by the Commission. as volatility and turnover, to provide a Exchange will implement and maintain The Fund will primarily hold U.S.- more efficient hedge. written surveillance procedures for listed equity securities and shares The Lead Market Makers also Active Proxy Portfolio Shares. As part of issued by other U.S.-listed ETFs. The indicated that, as with some other new these surveillance procedures, the Fund’s holdings will conform to the exchange-traded products, spreads Investment Company’s investment permissible investments as set forth in would tend to narrow as market makers adviser will, upon request by the the Application and Exemptive Order gain more confidence in the accuracy of Exchange or FINRA, on behalf of the and the holdings will be consistent with their hedges and their ability to adjust Exchange, make available to the all requirements in the Application and these hedges in real-time and gain an Exchange or FINRA the daily portfolio Exemptive Order. The Exchange or understanding of the applicable market holdings of each series of Active Proxy FINRA, on behalf of the Exchange, or risk metrics such as volatility and Portfolio Shares. both, will communicate as needed turnover, and as natural buyers and Proposed Commentary .04 provides regarding trading in the Shares, sellers enter the market. Other relevant that, if the investment adviser to the exchange-traded equity securities, and factors cited by Lead Market Makers Investment Company issuing Active futures with other markets and other were that a fund’s investment objectives Proxy Portfolio Shares is registered as a entities that are members of the ISG, and are clearly disclosed in the applicable broker-dealer or is affiliated with a the Exchange or FINRA, on behalf of the prospectus, the existence of quarterly broker-dealer, such investment adviser Exchange, or both, may obtain trading portfolio disclosure and the ability to will erect and maintain a ‘‘fire wall’’ information regarding trading such create shares in creation unit size. between the investment adviser and securities and financial instruments The real-time dissemination of the personnel of the broker-dealer or broker- from such markets and other entities. In identity and quantity of Proxy Portfolio dealer affiliate, as applicable, with addition, the Exchange may obtain component investments, together with respect to access to information information regarding trading in such the right of Authorized Participants to concerning the composition and/or securities and financial instruments create and redeem each day at the NAV, changes to such Investment Company’s from markets and other entities that are will be sufficient for market participants Actual Portfolio and or Proxy Portfolio. members of ISG or with which the to value and trade shares in a manner Any person related to the investment Exchange has in place a comprehensive that will not lead to significant adviser or Investment Company who surveillance sharing agreement. deviations between the Bid/Ask Price makes decisions pertaining to the The Exchange, after consulting with and NAV of shares of a series of Active Investment Company’s portfolio various Lead Market Makers that trade Proxy Portfolio Shares. composition or has access to non-public ETFs on the Exchange, believes that The pricing efficiency with respect to information regarding the Investment market makers will be able to make trading a series of Active Proxy Portfolio Company’s Actual Portfolio or changes efficient and liquid markets priced near Shares will generally rest on the ability thereto or the Proxy Portfolio must be the NAV, and that market makers have of market participants to arbitrage subject to procedures reasonably knowledge of a fund’s means of between the shares and a fund’s designed to prevent the use and achieving its investment objective even portfolio, in addition to the ability of dissemination of material non-public without daily disclosure of a fund’s market participants to assess a fund’s information regarding the Actual underlying portfolio. The Exchange underlying value accurately enough Portfolio or changes thereto or to the believes that market makers will employ throughout the trading day in order to Proxy Portfolio. risk-management techniques to make hedge positions in shares effectively. The proposed addition of Active efficient markets in exchange traded Professional traders can buy shares that Proxy Portfolio Shares to the products. This ability should permit they perceive to be trading at a price enumerated derivative and special market makers to make efficient markets less than that which will be available at purpose securities that are subject to the in shares without knowledge of a fund’s a subsequent time and sell shares they provisions of Rule 5.3–E (Corporate underlying portfolio. perceive to be trading at a price higher Governance and Disclosure Policies) The Exchange understands that than that which will be available at a and Rule 5.3–E(e) (Shareholder/Annual traders use statistical analysis to derive subsequent time. It is expected that, as
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part of their normal day-to-day trading adversely impact the performance of the documents and the Form N–CSR, Form activity, market makers assigned to Fund. N–PORT and Form N–CEN may be shares by the Exchange, off-exchange The Fund will utilize the NYSE Proxy viewed on-screen or downloaded from market makers, firms that specialize in Portfolio Methodology, allowing market the Commission’s website. In addition, electronic trading, hedge funds and participants to assess the intraday value with respect to the Fund, a large amount other professionals specializing in short- and associated risk of the Fund’s Actual of information will be publicly available term, non-fundamental trading Portfolio and thereby facilitate the regarding the Fund and the Shares, strategies will assume the risk of being purchase and sale of Shares by investors thereby promoting market transparency. ‘‘long’’ or ‘‘short’’ shares through such in the secondary market at prices that Quotation and last sale information for trading and will hedge such risk wholly do not vary materially from their NAV. the Shares will be available via the CTA or partly by simultaneously taking The Exchange believes that Active high-speed line. The website for the positions in correlated assets 30 or by Proxy Portfolio Shares will provide the Fund will include a form of the netting the exposure against other, platform for many more asset managers prospectus for the Fund that may be offsetting trading positions—much as to launch ETFs, increasing the downloaded, and additional data such firms do with existing ETFs and investment choices for consumers of relating to NAV and other applicable other equities. Disclosure of a fund’s actively managed funds, which should quantitative information, updated on a investment objective and principal lead to a greater competitive landscape daily basis. Moreover, prior to the investment strategies in its prospectus that can help to reduce the overall costs commencement of trading, the Exchange and SAI should permit professional of active investment management for will inform its ETP Holders in an investors to engage easily in this type of retail investors. Unlike mutual funds, Information Bulletin of the special hedging activity. Active Proxy Portfolio Shares would be characteristics and risks associated with The Exchange believes that the Fund able to use the efficient share settlement trading the Shares. Trading in Shares of and Active Proxy Portfolio Shares system in place for ETFs today, the Fund will be halted if the circuit generally, will provide investors with a translating into a lower cost of breaker parameters in NYSE Arca Rule greater choice of active portfolio maintaining shareholder accounts and 7.12–E have been reached or because of managers and active strategies through processing transactions. market conditions or for reasons that, in The Adviser represents that investors which they can manage their assets in the view of the Exchange, make trading will also benefit because the Fund’s an ETF structure. This greater choice of in the Shares inadvisable. Trading in the operating costs, such as transfer agency Shares will be subject to NYSE Arca active asset management is expected to costs, are generally lower in ETFs than be similar to the diversity of active Rule 8.601–E (d)(2)(D), which sets forth in mutual funds. The Fund will have circumstances under which Shares of managers and strategies available to access to the identical clearing and mutual fund investors. Unlike mutual the Fund will be halted. In addition, as settlement procedures now used by U.S. noted above, investors will have ready fund investors, investors in Active domiciled ETFs, and therefore, should Proxy Portfolio Shares would also access to quotation and last sale experience many of the operational and information for the Shares. The Shares accrue the benefits derived from the cost efficiencies benefitting current ETF ETF structure, such as lower fund costs, will conform to the initial and investors. continued listing criteria under tax efficiencies, intraday liquidity, and The Adviser represents further that pricing that reflects current market proposed Rule 8.601–E. in-kind Share creation/redemption The proposed rule change is designed conditions rather than end-of-day orders will allow the Fund to enjoy to perfect the mechanism of a free and pricing. overall transaction costs lower than open market and, in general, to protect The Adviser represents that, unlike those experienced by mutual funds. The investors and the public interest in that ETFs that publish their portfolios on a Fund’s in-kind Share creation and it will facilitate the listing and trading daily basis, the Fund, as Active Proxy redemption process will facilitate and of an additional type of actively- Portfolio Shares, proposes to allow for enhance active management strategies managed exchange-traded product that efficient trading of Shares through an by generally limiting the portfolio will enhance competition among market effective Fund portfolio transparency manager’s need to transact in a large participants, to the benefit of investors substitute—Proxy Portfolio volume of trades in order to maintain and the marketplace. As noted above, transparency. The Adviser believes that desired investment exposures. In the Exchange has in place surveillance this approach will provide an important addition, the Adviser represents that the procedures relating to trading in the benefit to investors by protecting the Fund will receive tax efficiency benefits Shares and may obtain information via Fund from the potential for front- of the ETF structure because of in-kind ISG from other exchanges that are running of portfolio transactions and the Share creation and redemption activity. members of ISG or with which the potential for free-riding on Fund The proposed rule change is designed Exchange has entered into a portfolio strategies, each of which could to promote just and equitable principles comprehensive surveillance sharing of trade and to protect investors and the agreement. In addition, as noted above, 30 Price correlation trading is used throughout the public interest in that the Exchange will investors will have ready access to financial industry. It is used to discover both obtain a representation from the issuer trading opportunities to be exploited, such as information regarding quotation and last currency pairs and statistical arbitrage, as well as of a series of Active Proxy Portfolio sale information for the Shares. for risk mitigation such as dispersion trading and Shares that the NAV per share of a fund beta hedging. These correlations are a function of will be calculated daily and that the B. Self-Regulatory Organization’s differentials, over time, between one or multiple NAV will be made available to all Statement on Burden on Competition securities pricing. Once the nature of these price deviations have been quantified, a universe of market participants at the same time. The Exchange does not believe that securities is searched in an effort to, in the case of Investors can also obtain the Fund’s the proposed rule change will impose a hedging strategy, minimize the differential. Once SAI, shareholder reports, and its Form any burden on competition that is not a suitable hedging basket has been identified, a N–CSR, Form N–PORT and Form N– necessary or appropriate in furtherance trader can minimize portfolio risk by executing the hedging basket. The trader then can monitor the CEN. The Fund’s SAI and shareholder of the purposes of the Act. The performance of this hedge throughout the trade reports will be available free upon Exchange believes the proposed rule period, making corrections where warranted. request from the Fund, and those change would permit listing and trading
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of another type of actively-managed ETF concerns they may have with the the Exchange’s proposed listing rule that has characteristics different from proposal. In particular, the Commission provisions are adequate to prevent the existing actively-managed and index invites the written views of interested use and dissemination of material non- ETFs and would introduce additional persons concerning whether the public information regarding the Actual competition among various ETF proposed rule change, as modified by Portfolio and the Proxy Portfolio and products to the benefit of investors. Amendment No. 2, is consistent with changes thereto. Section 6(b)(5) or any other provision of C. Self-Regulatory Organization’s the Exchange Act, or the rules and Comments may be submitted by any Statement on Comments on the regulations thereunder. Although there of the following methods: Proposed Rule Change Received From do not appear to be any issues relevant Electronic Comments Members, Participants, or Others to approval or disapproval that would No written comments were solicited be facilitated by an oral presentation of • Use the Commission’s internet or received with respect to the proposed views, data, and arguments, the comment form (http://www.sec.gov/ rule change. Commission will consider, pursuant to rules/sro.shtml); or Rule 19b–4, any request for an • Send an email to rule-comments@ IV. Proceedings To Determine Whether opportunity to make an oral To Approve or Disapprove SR– presentation.34 sec.gov. Please include File Number SR– NYSEArca–2019–95, as Modified by Interested persons are invited to NYSEArca–2019–95 on the subject line. Amendment No. 2, and Grounds for submit written data, views, and Paper Comments Disapproval Under Consideration arguments regarding whether the The Commission is instituting proposed rule change, as modified by • Send paper comments in triplicate proceedings pursuant to Section Amendment No. 2, should be approved to Secretary, Securities and Exchange 19(b)(2)(B) of the Exchange Act 31 to or disapproved by April 28, 2020. Any Commission, 100 F Street NE, determine whether the proposed rule person who wishes to file a rebuttal to Washington, DC 20549–1090. change should be approved or any other person’s submission must file disapproved. Institution of such that rebuttal by May 12, 2020. All submissions should refer to File proceedings is appropriate at this time The Commission asks that Number SR–NYSEArca–2019–95. This in view of the legal and policy issues commenters address the sufficiency of file number should be included on the raised by the proposed rule change. the Exchange’s statements in support of subject line if email is used. To help the Institution of proceedings does not the proposal, which are set forth in Commission process and review your indicate that the Commission has Amendment No. 2,35 and any other comments more efficiently, please use reached any conclusions with respect to issues raised by the proposed rule only one method. The Commission will any of the issues involved. Rather, as change, as modified by Amendment No. post all comments on the Commission’s described below, the Commission seeks 2, under the Exchange Act. In this internet website (http://www.sec.gov/ and encourages interested persons to regard, the Commission seeks rules/sro.shtml). Copies of the provide comments on the proposed rule commenters’ views regarding whether submission, all subsequent change. the Exchange’s proposed rule to list and amendments, all written statements Pursuant to Section 19(b)(2)(B) of the trade Active Proxy Portfolio Shares, with respect to the proposed rule Exchange Act,32 the Commission is which are actively managed exchange- change that are filed with the providing notice of the grounds for traded products for which the portfolio Commission, and all written disapproval under consideration. The holdings would be disclosed on a communications relating to the Commission is instituting proceedings quarterly, rather than daily, basis, is proposed rule change between the to allow for additional analysis of the adequately designed to prevent Commission and any person, other than fraudulent and manipulative acts and proposed rule change’s consistency with those that may be withheld from the practices, to promote just and equitable Section 6(b)(5) of the Exchange Act, public in accordance with the principles of trade, and to protect which requires, among other things, that provisions of 5 U.S.C. 552, will be investors and the public interest, and is the rules of a national securities available for website viewing and consistent with the maintenance of a exchange be ‘‘designed to prevent printing in the Commission’s Public fraudulent and manipulative acts and fair and orderly market under the Exchange Act. In particular, the Reference Room, 100 F Street NE, practices, to promote just and equitable Washington, DC 20549, on official principles of trade, . . . to remove Commission seeks commenters’ views regarding whether the Exchange’s business days between the hours of impediments to and perfect the 10:00 a.m. and 3:00 p.m. Copies of the mechanism of a free and open market proposed listing rule provisions as they relate to foreign securities are adequate filing also will be available for and a national market system, and, in inspection and copying at the principal general, to protect investors and the to prevent fraud and manipulation. In office of the Exchange. All comments public interest.’’ 33 addition, the Commission seeks commenters’ views regarding whether received will be posted without change. V. Procedure: Request for Written Persons submitting comments are Comments 34 Section 19(b)(2) of the Exchange Act, as cautioned that we do not redact or edit The Commission requests that amended by the Securities Act Amendments of personal identifying information from 1975, Public Law 94–29 (June 4, 1975), grants the comment submissions. You should interested persons provide written Commission flexibility to determine what type of submissions of their views, data, and proceeding—either oral or notice and opportunity submit only information that you wish arguments with respect to the issues for written comments—is appropriate for to make available publicly. All identified above, as well as any other consideration of a particular proposal by a self- submissions should refer to File regulatory organization. See Securities Act Number SR–NYSEArca–2019–95 and Amendments of 1975, Senate Comm. on Banking, 31 15 U.S.C. 78s(b)(2)(B). Housing & Urban Affairs, S. Rep. No. 75, 94th should be submitted on or before April 32 Id. Cong., 1st Sess. 30 (1975). 28, 2020. Rebuttal comments should be 33 15 U.S.C. 78f(b)(5). 35 See supra note 7. submitted by May 12, 2020.
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For the Commission, by the Division of determine whether to approve or Montreal, Inc., which in turn is a wholly Trading and Markets, pursuant to delegated disapprove the proposed rule change. owned subsidiary of TMX Group authority.36 Limited (‘‘TMX’’); (2) 22.01% owned by I. Summary of the Proposal J. Matthew DeLesDernier, IB Exchange Corp.; and (3) 36.66% Assistant Secretary. As described in the Notice,8 the owned by seven separate, unaffiliated [FR Doc. 2020–07226 Filed 4–6–20; 8:45 am] Exchange proposes to adopt the owners.13 The Exchange also states that BILLING CODE 8011–01–P Amended and Restated Limited BSTX is an affiliate of the Exchange and Liability Company Agreement of BSTX will be subject to regulatory oversight by (the ‘‘BSTX LLC Agreement’’) for BSTX the Exchange,14 and that tZERO and SECURITIES AND EXCHANGE as a facility of the Exchange.9 BSTX BSTX are affiliates of Overstock.15 COMMISSION proposes to operate a fully automated, The Exchange states that BOX price-time priority execution system to Holdings wholly owns BOX Options [Release No. 34–88536; File No. SR–BOX– list and trade NMS stocks that meet Market LLC (‘‘BOX Options’’), which is 16 2019–37] BSTX listing standards and for which a facility of the Exchange and the only ancillary records of ownership reflecting facility that the Exchange currently Self-Regulatory Organizations; BOX certain end-of-day security token operates.17 The Exchange notes that the Exchange LLC; Order Instituting balances as reported by market BSTX LLC Agreement provisions are Proceedings To Determine Whether To participants would be created and generally the same as provisions of the Approve or Disapprove a Proposed maintained using distributed ledger BOX Options LLC Agreement or the Rule Change in Connection With the technology (such securities to be BOX Holdings LLC Agreement, with Proposed Commencement of referred to as ‘‘security tokens’’).10 certain exceptions.18 The Exchange Operations of the Boston Security According to the Exchange, BSTX is states that it will enter into a facility Token Exchange LLC as a Facility of (1) 50% owned by BOX Digital Markets agreement with BSTX (‘‘Facility the Exchange LLC (‘‘BOX Digital’’), which is 98% Agreement’’) pursuant to which the owned by BOX Holdings Group LLC Exchange will exercise regulatory April 1, 2020. (‘‘BOX Holdings’’) and 2% owned by oversight over BSTX.19 Furthermore, the 11 On December 18, 2019, BOX Lisa Fall; and (2) 50% owned by Exchange has entered into an IP License Exchange LLC (‘‘Exchange’’ or ‘‘BOX’’) tZERO Group, Inc. (‘‘tZERO’’), which is and Services Agreement (‘‘LSA’’) with filed with the Securities and Exchange 80.07% owned by Medici Ventures, Inc. tZERO,20 under which tZERO will Commission (‘‘Commission’’), pursuant (‘‘Medici’’), a wholly owned subsidiary provide BSTX and the Exchange with a to Section 19(b)(1) of the Securities of a publicly held corporation, license to use its intellectual property Exchange Act of 1934 (‘‘Act’’) 1 and Rule Overstock.com, Inc. (‘‘Overstock’’), and that comprises the BSTX trading system 19b–4 thereunder,2 a proposed rule 19.93% owned by individuals and and services related to, among other 12 change in connection with the proposed companies. BOX Holdings is (1) things, implementing and maintain the commencement of operations of the 41.33% owned by MX US 2, Inc., which trading system.21 Boston Security Token Exchange LLC is 100% owned by MX US 1, Inc., a Currently, BOX Digital and tZERO are (‘‘BSTX’’) as a facility of the Exchange. wholly owned subsidiary of Bourse de the only holders of the limited liability The proposed rule change was company interests of BSTX (‘‘LLC 8 published for comment in the Federal See Notice, supra note 3. Members’’).22 The Exchange proposes 9 See id., 85 FR at 345. The proposed Boston 3 that a person would become an Register on January 3, 2020. On Security Token Exchange LLC, Amended and February 13, 2020, pursuant to Section Restated Limited Liability Company Agreement, additional or substitute LLC Member of 19(b)(2) of the Act,4 the Commission dated as of January 29, 2019 (‘‘BSTX LLC BSTX only upon that person’s execution designated a longer period within which Agreement’’) is attached as Exhibit 5A to the Form of a counterpart of the BSTX LLC 19b–4 for SR–BOX–2019–37 (available on the Agreement to evidence that person’s to approve the proposed rule change, Commission’s website at https://www.sec.gov/rules/ disapprove the proposed rule change, or sro/box/2019/34-87868-ex5a.pdf). written acceptance of the terms and institute proceedings to determine 10 See Notice, supra note 3, 85 FR at 345. The whether to disapprove the proposed Exchange has separately filed with the Commission 13 See id. The following entities each hold less a proposed rule change regarding the listing and 5 than 17% of the outstanding units of BOX Holdings: rule change. The Commission has trading rules for the BSTX facility. See Securities Citadel Securities Principal Investments LLC, received comment letters on the Exchange Act Release No. 88300 (February 28, Citigroup Financial Products Inc., UBS Americas proposed rule change.6 This order 2020), 85 FR 13242 (March 6, 2020) (‘‘BSTX Inc., CSFB Next Fund Inc., LabMorgan Corp., institutes proceedings pursuant to Trading Rules Proposal’’). Wolverine Trading, LLC, and Aragon Solutions Ltd. 7 The Commission also published an order See id. Section 19(b)(2)(B) of the Act to instituting proceedings to determine whether to 14 See id. at 345. approve or disapprove the BSTX Trading Rules 15 See id. at 346. 36 17 CFR 200.30–3(a)(57). Proposal. See Securities Exchange Act Release No. 16 See id. at 345. 88002 (January 16, 2020), 85 FR 4040 (January 23, 1 15 U.S.C. 78s(b)(1). 17 2020) (SR–BOX–2019–19) (Notice of Filing of See id. at 345, n.4. 2 18 17 CFR 240.19b–4. Amendment No. 1 and Order Instituting See id. at 345, n.8 and accompanying text. 3 See Securities Exchange Act Release No. 87868 Proceedings to Determine Whether to Approve or 19 See id. at 345. The Exchange will also provide (December 30, 2019), 85 FR 345 (January 3, 2020) Disapprove a Proposed Rule Change, as Modified by certain business services to BSTX pursuant to an (‘‘Notice’’). Amendment No. 1, to Adopt Rules Governing the administrative services agreement. See id. 4 15 U.S.C. 78s(b)(2). Trading of Equity Securities on the Exchange 20 See id. at 347. 5 See Securities Exchange Act Release No. 88206 Through a Facility of the Exchange Known as the 21 See id. at 352. The Facility Agreement, (February 13, 2020), 85 FR 9824 (February 20, Boston Security Token Exchange LLC). administrative services agreement, and LSA were 2020). The Commission designated April 2, 2020, 11 Lisa Fall is the Chief Executive Officer of not provided as exhibits to the proposal. as the date by which the Commission shall approve BSTX, and President of the Exchange. See BSTX 22 See id. at 346; BSTX LLC Agreement, supra or disapprove, or institute proceedings to determine LLC Agreement, supra note 9, Signature Page. note 9. ‘‘LLC Members’’ are duly admitted holders whether to disapprove, the proposed rule change. 12 See Notice, supra note 3, 85 FR at 346. One of limited liability company interests in BSTX and 6 All comments on the proposed rule change are individual holds 7.53% of the outstanding shares of would include any person later admitted to BSTX available on the Commission’s website at https:// tZERO, and Newer Ventures LLC, SpeedRoute as an additional or substitute LLC Member as www.sec.gov/comments/sr-box-2019-37/ Technologies Inc., Dinosaur Financial, and 28 provided by the BSTX LLC Agreement. See Notice, srbox201937.htm. individuals each own less than 3% of the supra note 3, 85 FR at 346; BSTX LLC Agreement, 7 15 U.S.C. 78s(b)(2)(B). outstanding shares of tZERO. See id. supra note 9, Section 1.1.
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provisions of the BSTX LLC Member that holds equal to or greater states that BSTX will have an Agreement.23 According to the than a 20% ownership interest in BSTX Independent Director to avoid either Exchange, the Commission would be will be required to become a party to the BOX Digital or tZERO from controlling notified if an LLC Member’s ownership BSTX LLC Agreement, by executing an or creating deadlock on the Board.32 The interest in BSTX, alone or together with instrument of accession, and abide by Exchange also states that BSTX’s Board any related person of that LLC Member, its provisions to the same extent as if structure differs from that of BOX meets or exceeds 5%, 10%, or 15%, and they were LLC Members.26 The Options because BOX Options, as a the BSTX LLC Agreement provides that Exchange also states that these wholly-owned subsidiary of BOX any ‘‘Transfer’’ that results in the amendments to the BSTX LLC Holdings, has the same directors as BOX acquisition and holding by any person, Agreement will be subject to the rule Holdings, and BOX Holdings, unlike alone or together with its related filing process pursuant to Section 19 of BSTX, has no owners with 50% or persons, of an ownership interest that the Act.27 The Exchange further greater ownership.33 meets or crosses 20% or any subsequent proposes that any BSTX Participant that Generally, actions by the Board will 5% increment, would be subject to the directly or indirectly with Related be considered effective only if approved rule filing process pursuant to Section Persons holds more than 20% of BSTX by at least a majority of the votes 19 of the Act.24 would have its voting power capped at entitled to vote on that action.34 The Pursuant to the BSTX LLC Agreement, 20%.28 According to the Exchange, this Board must approve, by an affirmative a Controlling Person that establishes a limitation is designed to prevent a vote of the Member Directors, any Controlling Interest 25 in an LLC market participant from exerting undue ‘‘major action,’’ which will include, influence on an Exchange facility.29 among other things, changes to 23 See Notice, supra note 3, 85 FR at 352–53; The Exchange states that the BSTX operating the BSTX Market using any BSTX LLC Agreement, supra note 9, Section 7.1(b). LLC Agreement includes provisions that software system other than the BSTX 24 See Notice, supra note 3, 85 FR at 353; BSTX ensure that the Exchange has full LLC Agreement, supra note 9, Section 7.4(e) and (f). trading system, except as otherwise The term ‘‘Transfer’’ is defined in Section 7.1(a) of regulatory control over BSTX and these provided in the LSA or to the extent the BSTX LLC Agreement, and excludes ‘‘(i) provisions are designed to prevent any otherwise required by the Exchange to transfers among [LLC] Members, (ii) transfers to any owner of BSTX from having undue fulfill its regulatory functions or Person directly or indirectly owning, controlling or influence over regulatory actions.30 The responsibilities or to oversee the BSTX holding with power to vote all of the outstanding BSTX LLC Agreement provides that voting securities of and equity beneficial interests Market as determined by the board of in such [LLC] Member, or (iii) any Person that is BSTX’s board of directors (‘‘Board’’) will the Exchange.35 The BSTX LLC a wholly owned Affiliate of such [LLC] Member.’’ consist of six directors, comprised of (1) Agreement also provides that the See BSTX LLC Agreement, supra note 9, Section two directors appointed by each of BOX Exchange shall receive notice of 7.1(a); Notice, supra note 3, 85 FR at 352. Digital and tZERO (the ‘‘Member 25 ‘‘Controlling Person’’ is defined as ‘‘a Person planned or proposed changes to BSTX, who, alone or together with any Related Persons of Directors’’); (2) one director appointed with the exception of certain changes such Person, holds a Controlling Interest in [an by the unanimous vote of the Member not related to the operation of the LLC] Member.’’ ‘‘Controlling Interest’’ is defined as Directors (the ‘‘Independent Director’’); market, or to the BSTX Market, and that ‘‘the direct or indirect ownership of 25% or more and (3) one non-voting director of the total voting power of all equity securities of such changes will require affirmative [an LLC] Member . . . by any Person, alone or appointed by the Exchange (‘‘the approval by the Exchange before 31 together with any Related Persons of such Person.’’ ‘‘Regulatory Director’’). The Exchange implementation.36 If the Exchange See BSTX LLC Agreement, supra note 9, Section determines that planned or proposed 7.4(g)(v)(A)–(B). ‘‘Related Person’’ is defined as ‘‘BSTX Participant’’ is defined as ‘‘a firm or ‘‘with respect to any Person: (A) Any Affiliate of organization that is registered with the Exchange changes could cause a regulatory such Person; (B) any other Person with which such pursuant to Exchange Rules for purposes of deficiency, the Exchange may direct first Person has any agreement, arrangement or participating in Trading on the BSTX Market as an BSTX, subject to Board approval, to understanding (whether or not in writing) to act order flow provider or market maker.’’ See id. modify the proposal as necessary.37 together for the purpose of acquiring, voting, 26 See Notice, supra note 3, 85 FR at 346, 353; The Exchange also proposes how holding or disposing of Interests; (C) in the case of BSTX LLC Agreement, supra note 9, Section 7.4(g). a Person that is a company, corporation or similar The proposed Form of Instrument of Accession to regulatory funds may be allocated. The entity, any executive officer (as defined under Rule Boston Security Token Exchange LLC, Amended Exchange states that, pursuant to the 3b–7 under the Exchange Act) or director of such and Restated Limited Liability Company Agreement Facility Agreement, the Exchange will Person and, in the case of a Person that is a is attached as Exhibit 5B to the Form 19b–4 for SR– have the right to receive all fees, fines, partnership or limited liability company, any BOX–2019–37 (available on the Commission’s general partner, managing member or manager of website at https://www.sec.gov/rules/sro/box/2019/ and disgorgements imposed upon BSTX such Person, as applicable; (D) in the case of any 34-87868-ex5b.pdf). The Exchange specifically Participants with respect to BSTX’s BSTX Participant who is at the same time a broker- notes that Medici, Overstock, BOX Digital, BOX trading system (‘‘Regulatory Funds’’) dealer, any Person that is associated with the BSTX Holdings, MX US 1, Inc., MX US 2, Inc., Bourse de and all other market data fees, tape, and Participant (as determined using the definition of Montreal, Inc., and TMX would be required to ‘person associated with a member’ as defined under execute an instrument of accession substantially in other revenue (‘‘Non-regulatory Section 3(a)(21) of the Exchange Act); (E) in the case the form attached as Exhibit 5B. See Notice, supra of a Person that is a natural person and a BSTX note 3, 85 FR at 346. management of the regulation staff of the Exchange. Participant, any broker or dealer that is also a BSTX Pursuant to Section 7.4(g)(iii) of the BSTX LLC See Notice, supra note 3, 85 FR at 348. See also Participant with which such Person is associated; Agreement, ‘‘a Person shall not be required to BSTX LLC Agreement, supra note 9, Section 1.1. (F) in the case of a Person that is a natural person, execute an amendment to [the BSTX LLC 32 See Notice, supra note 3, 85 FR at 348. any relative or spouse of such Person, or any Agreement] . . . if such Person does not, directly 33 See id. relative of such spouse who has the same home as or indirectly, hold any interest in [an LLC] 34 such Person or who is a director or officer of the See id.; BSTX LLC Agreement, supra note 9, Member.’’ BSTX LLC Agreement, supra note 9, Section 4.3. Exchange or any of its parents or subsidiaries; (G) Section 7.4(g)(iii). in the case of a Person that is an executive officer 35 See Notice, supra note 3, 85 FR at 348–49; 27 See Notice, supra note 3, 85 FR at 353; BSTX (as defined under Rule 3b–7 under the Exchange BSTX LLC Agreement, supra note 9, Section 4.4(a). LLC Agreement, supra note 9, Section 7.4(g)(iv). Act) or a director of a company, corporation or ‘‘BSTX Market’’ is defined as the market operated 28 similar entity, such company, corporation or entity, See Notice, supra note 3, 85 FR at 346, 353; by the Exchange pursuant to Section 3.1 of the as applicable; and (H) in the case of a Person that BSTX LLC Agreement, supra note 9, Section 7.4(h). BSTX LLC Agreement. See BSTX LLC Agreement, is a general partner, managing member or manager 29 See Notice, supra note 3, 85 FR at 346. supra note 9, Section 1.1. of a partnership or limited liability company, such 30 See id. at 348. 36 See Notice, supra note 3, 85 FR at 350; BSTX partnership or limited liability company, as 31 See id.; BSTX LLC Agreement, supra note 9, LLC Agreement, supra note 9, Section 3.2(a)(ii). applicable.’’ See BSTX LLC Agreement, supra note Section 4.1(a). The Exchange states that the 37 See Notice, supra note 3, 85 FR at 350; BSTX 9, Section 1.1. Regulatory Director must be a member of senior LLC Agreement, supra note 9, Section 3.2(a)(iii).
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Funds’’), and all Regulatory Funds and the activities of the BSTX Market.45 equities markets.53 This commenter Non-regulatory Funds collected in Additionally, the BSTX LLC Agreement expresses concern that the approval of respect to BSTX may be used by the includes provisions, which the the proposal ‘‘could be a significant Exchange, at its sole discretion, for Exchange states are substantively change for the equities market.’’ 54 This regulatory purposes.38 Furthermore, all similar to provisions in the BOX commenter requests an extension of the Regulatory Funds collected by the Options LLC Agreement, that address comment period to consider the Exchange will be retained by the the handling of confidential proposal.55 Another commenter notes Exchange and not transferred to BSTX; information, both pertaining to that the tZERO token is affiliated with however, Non-regulatory Funds regulatory matters and otherwise.46 The certain owners of the Exchange, collected may be transferred to BSTX BSTX LLC Agreement also contains Overstock, and other entities related to after the Exchange has made adequate provisions, which the Exchange states the Exchange.56 This commenter also provisions for all regulatory purposes.39 are substantially similar to those of the notes that the price of the tZERO token BOX Options LLC Agreement, related to is down by over 85% since issuance less The proposal includes provisions 57 regarding capital contributions and regulatory jurisdiction over LLC than two years ago. This commenter 47 believes that the Commission should distributions. The BSTX LLC Agreement Members; the maintenance of books 48 disclose and study further details on the provides for an initial capital and records; and the independence of relationships between the contribution from both BOX Digital and the self-regulatory function of the aforementioned entities.58 tZERO, with tZERO providing an initial Exchange and compliance with federal cash contribution of $10 million and securities laws.49 III. Proceedings To Determine Whether BOX Digital providing the ‘‘[r]ight to The Exchange also states that it is To Approve or Disapprove SR–BOX– seek approval to become a facility of submitting a separate filing to introduce 2019–37 and Grounds for Disapproval SRO’’ and ‘‘[r]egulatory expertise.’’ 40 structural changes to the Exchange to Under Consideration The BSTX LLC Agreement also includes accommodate regulation of BSTX as The Commission is instituting provisions regarding determinations of well as BOX Options.50 According to the proceedings pursuant to Section capital needs by the Board, including, Exchange, BSTX Participants will have 19(b)(2)(B) of the Act 59 to determine among others, the requirement that at the same representation, rights, and whether the proposed rule change least one Member Director appointed by responsibilities as BOX Options should be approved or disapproved. each LLC Member affirmatively vote to Participants.51 Institution of such proceedings is raise capital; 41 potential cash appropriate at this time in view of the distributions; 42 and allocation of II. Summary of the Comment Letters Received legal and policy issues raised by the profits, losses, and credits for each fiscal proposed rule change. Institution of year to LLC Members at least once To date the Commission has received proceedings does not indicate that the 43 annually on a pro rata basis. two comment letters on the proposal.52 Commission has reached any The proposal also includes provisions One commenter notes that the proposal conclusions with respect to any of the regarding the regulation of BSTX and was only recently brought to its issues involved. Rather, as described regulatory jurisdiction over LLC attention because it did not anticipate below, the Commission seeks and Members of BSTX.44 Specifically, the that a filing by an options exchange to encourages interested persons to BSTX LLC Agreement provides that the create a facility could impact the U.S. provide additional comment on the Exchange has the authority to act as the proposed rule change to inform the self-regulatory organization (‘‘SRO’’) for 45 See id. at 354; BSTX LLC Agreement, supra Commission’s analysis of whether to BSTX, will provide the regulatory note 9, Section 3.2. The Exchange states that approve or disapprove the proposed framework for the BSTX Market, and Section 3.2 of the BSTX LLC Agreement ensures rule change. will have regulatory responsibility for that the Exchange has full regulatory control over Pursuant to Section 19(b)(2)(B) of the BSTX and is designed to prevent any owner of 60 BSTX from exercising undue influence over the Act, the Commission is providing 38 See Notice, supra note 3, 85 FR at 350–51. If regulated activities of BSTX. See Notice, supra note BSTX incurs costs and expenses for regulatory 3, 85 FR at 354. 53 See Letter from Ellen Greene, Managing purposes, the Exchange may reimburse BSTX using 46 See Notice, supra note 3, 85 FR at 354–55; Director, SIFMA, to Vanessa Countryman, Regulatory Funds. See id. at 351. In the event that BSTX LLC Agreement, supra note 9, Article 15. The Secretary, Commission, dated January 13, 2020 the Exchange does not hold sufficient funds to meet BSTX LLC Agreement contains additional language (‘‘SIFMA Letter’’), at 2. See also Letter from David all regulatory purposes, BSTX will reimburse the to make it clear that the Commission can access and A. Schrader, Partner, Paykin Krieg & Adams, LLP, Exchange for any such additional costs and examine confidential information pursuant to to Vanessa Countryman, Secretary, Commission, expenses. See id. The BSTX LLC Agreement does federal securities laws and rules. See Notice, supra dated February 25, 2020 (‘‘PKA Law Letter’’), at 2 not include provisions regarding Regulatory Funds. note 3, 85 FR at 354–55; BSTX LLC Agreement, (stating that the proposal has had little 39 See id. supra note 9, Section 15.5. dissemination among market participants, 40 See id.; BSTX LLC Agreement, supra note 9, 47 See Notice, supra note 3, 85 FR at 355; BSTX particularly the exchanges and designated market Section 6.1 & Schedule A. tZERO will also provide LLC Agreement, supra note 9, Sections 11.1, makers). ‘‘consideration provided pursuant to the LSA.’’ 18.6(a), 18.6(c). 54 See SIFMA Letter, supra note 53, at 2. This BSTX LLC Agreement, supra note 9, Schedule A. 48 See Notice, supra note 3, 85 FR at 355; BSTX commenter’s letter also references the BSTX 41 See Notice, supra note 3, 85 FR at 351; BSTX LLC Agreement, supra note 9, Section 11.1. Trading Rules Proposal. See id. at 1. See also PKA LLC Agreement, supra note 9, Section 6.2. The 49 See Notice, supra note 3, 85 FR at 348, 350; Law Letter, supra note 53, at 2 (stating that the Exchange states that the requirement concerning the BSTX LLC Agreement, supra note 9, Section 4.12. proposal contains potentially significant changes to the operation and structure of the global equity affirmative vote of one Member Director appointed 50 See Notice, supra note 3, 85 FR at 345. trading markets). by each LLC Member is not present in the BOX 51 See id. See also Securities Exchange Act 55 See SIFMA Letter, supra note 53, at 2. This Options LLC Agreement, but that the Exchange Release No. 88236 (February 19, 2020), 85 FR 10768 commenter also requests more time to provide believes that this provision promotes commercial (February 25, 2020) (SR–BOX–2020–04) (‘‘Exchange feedback on the BSTX Trading Rules Proposal. See fairness and is necessary due to the differing Governance Amendment Proposal’’). The id. at 2. ownership structure of BSTX. See Notice, supra Commission notes that the Exchange Governance 56 note 3, 85 FR at 351. Amendment Proposal proposes to amend the See PKA Law Letter, supra note 53, at 2. 42 See BSTX LLC Agreement, supra note 9, Exchange’s LLC Agreement and Bylaws to provide 57 See id. Section 8.1. flexibility for the Exchange to regulate multiple 58 See id. 43 See id., Section 9.1. facilities. 59 15 U.S.C. 78s(b)(2)(B). 44 See Notice, supra note 3, 85 FR at 354–55. 52 See supra note 6. 60 Id.
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notice of the grounds for disapproval a proposed rule change is consistent Electronic Comments under consideration. The Commission is with the Act and the applicable rules • instituting proceedings to allow for and regulations.66 Use the Commission’s internet additional analysis of the proposed rule comment form (http://www.sec.gov/ The Commission is instituting rules/sro.shtml); or change’s consistency with Section proceedings to allow for additional • 6(b)(1) of the Act, which requires that a consideration and comment on the Send an email to rule-comments@ national securities exchange be so issues raised herein, including as to sec.gov. Please include File Number SR– organized and have the capacity to be whether the proposal is consistent with BOX–2019–37 on the subject line. able to carry out the purposes of the Act the Act. and to comply, and enforce compliance Paper Comments by its members and persons associated IV. Procedure: Request for Written • Send paper comments in triplicate with its members, with the provisions of Comments the Act, the rules and regulations to Secretary, Securities and Exchange thereunder, and the rules of the The Commission requests that Commission, 100 F Street NE, exchange.61 In addition, the interested persons provide written Washington, DC 20549–1090. Commission is instituting proceedings submissions of their views, data, and All submissions should refer to File to allow for additional analysis of the arguments with respect to the issues Number SR–BOX–2019–37. This file proposed rule change’s consistency with identified above, as well as any other number should be included on the Section 6(b)(3) of the Act, which concerns they may have with the subject line if email is used. To help the requires that the rules of a national proposal. In particular, the Commission Commission process and review your securities exchange assure a fair invites the written views of interested comments more efficiently, please use representation of its members in the persons concerning whether the only one method. The Commission will selection of its directors and proposal is consistent with Sections post all comments on the Commission’s administration of its affairs and provide 6(b)(1),67 6(b)(3),68 and 6(b)(5) 69 of the internet website (http://www.sec.gov/ that one or more directors shall be Act or any other provision of the Act, rules/sro.shtml). Copies of the representative of issuers and investors or the rules and regulations thereunder. submission, all subsequent and not be associated with a member of Although there do not appear to be any the exchange, broker, or dealer; 62 and issues relevant to approval or amendments, all written statements Section 6(b)(5) of the Act, which disapproval that would be facilitated by with respect to the proposed rule requires, among other things, that the an oral presentation of views, data, and change that are filed with the rules of a national securities exchange arguments, the Commission will Commission, and all written be designed to prevent fraudulent and consider, pursuant to Rule 19b–4 under communications relating to the manipulative acts and practices, to the Act,70 any request for an proposed rule change between the promote just and equitable principles of opportunity to make an oral Commission and any person, other than trade, to foster cooperation and presentation.71 those that may be withheld from the coordination with persons engaged in public in accordance with the Interested persons are invited to regulating, clearing, settling, processing provisions of 5 U.S.C. 552, will be submit written data, views, and information with respect to, and available for website viewing and arguments regarding whether the facilitating transactions in securities, to printing in the Commission’s Public proposal should be approved or remove impediments to and perfect the Reference Room, 100 F Street NE, disapproved by April 28, 2020. Any mechanism of a free and open market Washington, DC 20549, on official person who wishes to file a rebuttal to and a national market system, and to business days between the hours of any other person’s submission must file protect investors and the public interest, 10:00 a.m. and 3:00 p.m. Copies of the that rebuttal by May 12, 2020. The and not be designed to permit unfair filing also will be available for Commission asks that commenters discrimination between customers, inspection and copying at the principal address the sufficiency of the issuers, brokers, or dealers.63 office of the Exchange. All comments Exchange’s statements in support of the Under the Commission’s Rules of received will be posted without change. Practice, the ‘‘burden to demonstrate proposal, which are set forth in the Notice,72 in addition to any other Persons submitting comments are that a proposed rule change is cautioned that we do not redact or edit consistent with the Exchange Act and comments they may wish to submit about the proposed rule change. personal identifying information from the rules and regulations issued comment submissions. You should thereunder . . . is on the [SRO] that Comments may be submitted by any submit only information that you wish 64 proposed the rule change.’’ The of the following methods: to make available publicly. All description of a proposed rule change, submissions should refer to File its purpose and operation, its effect, and 66 See id. Number SR–BOX–2019–37 and should a legal analysis of its consistency with 67 15 U.S.C. 78f(b)(1). be submitted by April 28, 2020. Rebuttal 68 applicable requirements must all be 15 U.S.C. 78f(b)(3). comments should be submitted by May sufficiently detailed and specific to 69 15 U.S.C. 78f(b)(5). 70 12, 2020. support an affirmative Commission 17 CFR 240.19b–4. finding,65 and any failure of an SRO to 71 Section 19(b)(2) of the Act, as amended by the For the Commission, by the Division of Securities Act Amendments of 1975, Public Law Trading and Markets, pursuant to delegated provide this information may result in 94–29 (June 4, 1975), grants the Commission 73 the Commission not having a sufficient flexibility to determine what type of proceeding— authority. basis to make an affirmative finding that either oral or notice and opportunity for written J. Matthew DeLesDernier, comments—is appropriate for consideration of a particular proposal by a self-regulatory Assistant Secretary. 61 15 U.S.C. 78f(b)(1). organization. See Securities Act Amendments of [FR Doc. 2020–07229 Filed 4–6–20; 8:45 am] 62 15 U.S.C. 78f(b)(3). 1975, Senate Comm. on Banking, Housing & Urban BILLING CODE 8011–01–P 63 15 U.S.C. 78f(b)(5). Affairs, S. Rep. No. 75, 94th Cong., 1st Sess. 30 64 17 CFR 201.700(b)(3). (1975). 65 See id. 72 See Notice, supra note 3. 73 17 CFR 200.30–3(a)(57).
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SECURITIES AND EXCHANGE II. Description of the Proposed Rule Æ $5,000 per month category 1 non- COMMISSION Change display fee, which would apply when a NYSE National proposes to establish data recipient’s non-display use of real- [Release No. 34–88538; File No. SR– time market data is on its own behalf; NYSENAT–2020–05] fees for the NYSE National Integrated Feed, which became effective on Æ $5,000 per month category 2 non- Self-Regulatory Organizations; NYSE February 3, 2020.6 According to NYSE display fee, which would apply when a National, Inc.; Suspension of and National, the NYSE National Integrated data recipient’s non-display use of real- Order Instituting Proceedings To Feed is a NYSE National-only market time market data is on behalf of its Determine Whether To Approve or data feed that provides vendors and clients; Disapprove a Proposed Rule Change subscribers on a real-time basis with a Æ $5,000 per platform per month To Establish Fees for the NYSE unified view of events, in sequence, as category 3 non-display fee (capped at National Integrated Feed they appear on the NYSE National $15,000), which would apply when a matching engine.7 The NYSE National data recipient’s non-display use of real- April 1, 2020. Integrated Feed includes depth-of-book time market data is for the purpose of I. Introduction order data, last sale data, security status internally matching buy and sell orders updates (e.g., trade corrections and within an organization, including On February 3, 2020, NYSE National, trading halts), and stock summary matching customer orders on a data Inc. (‘‘NYSE National’’ or ‘‘Exchange’’) messages.8 It also includes information recipient’s own behalf and on behalf of filed with the Securities and Exchange about NYSE National’s best bid or offer its clients; 14 Commission (‘‘Commission’’), pursuant at any given time.9 NYSE National • $1,000 per month non-display use to Section 19(b)(1) of the Securities proposes the following fees for the 1 declaration late fee, which would apply Exchange Act of 1934 (‘‘Act’’) and Rule NYSE National Integrated Feed: to any data recipient that is paying an 2 • 19b–4 thereunder, a proposed rule $2,500 per month access fee, which access fee for the NYSE National change to establish fees for the NYSE would be charged (once per firm) to any Integrated Feed and that fails to National Integrated Feed. The proposed data recipient that receives a data feed complete and submit the annual non- rule change was immediately effective of the NYSE National Integrated Feed; 10 • display use declaration by December 31 upon filing with the Commission $1,500 per month redistribution fee, of the year, and would apply beginning pursuant to Section 19(b)(3)(A) of the which would be charged (once per 3 January 1 and for each month thereafter Act. The proposed rule change was redistributor account) to any until the data recipient has completed published for comment in the Federal redistributor 11 of the NYSE National 4 and submitted the annual non-display Register on February 20, 2020. Integrated Feed; use declaration; 15 and Pursuant to Section 19(b)(3)(C) of the • $10 per month professional per user • $200 per month multiple data feed Act,5 the Commission is hereby: (1) fee and $1 per month non-professional fee, which would apply to any data Temporarily suspending the proposed per user fee, which would apply to each recipient that takes a data feed for a rule change; and (2) instituting display device that has access to the market data product in more than two proceedings to determine whether to NYSE National Integrated Feed; 12 locations, and would apply to each approve or disapprove the proposed • Non-display use 13 fees: location, beyond the first two locations, rule change. 6 Prior to February 3, 2020, NYSE National did where the data recipient receives a data 16 1 15 U.S.C. 78s(b)(1). not charge any fees for the NYSE National feed. Integrated Feed. See Notice, supra note 4, at 9847. 2 17 CFR 240.19b–4. The access fees, professional user 7 See id. 3 15 U.S.C. 78s(b)(3)(A). A proposed rule change fees, and non-display fees would not 8 may take effect upon filing with the Commission if See id. apply to Federal agencies 17 that it is designated by the exchange as ‘‘establishing or 9 See id. changing a due, fee, or other charge imposed by the 10 Data recipients that only use display devices to self-regulatory organization on any person, whether view NYSE National Integrated Feed data and do display use declaration before they would be or not the person is a member of the self-regulatory not separately receive a data feed would not be authorized to receive the feed. See id. at 9849. In organization.’’ 15 U.S.C. 78s(b)(3)(A)(ii). charged an access fee. See id. at 9848. addition, if a data recipient’s use of the NYSE 4 See Securities Exchange Act Release No. 88211 11 A redistributor would be a vendor or person National Integrated Feed data changes at any time (February 14, 2020), 85 FR 9847 (‘‘Notice’’). that provides a real-time NYSE National market after the data recipient submits a non-display use Comments received on the Notice are available on data product externally to a data recipient that is declaration, the data recipient must inform NYSE the Commission’s website at https://www.sec.gov/ not its affiliate or wholly-owned subsidiary, or to National of the change by completing and comments/sr-nysenat-2020-05/ any system that an external data recipient uses, submitting an updated declaration reflecting the srnysenat202005.htm. The Commission notes that, irrespective of the means of transmission or access. change of use at the time of the change. See id. on December 4, 2019, NYSE National filed a See id. 14 According to NYSE National, category 3 non- proposed rule change to establish fees for the NYSE 12 See id. display fees would apply to non-display use in National Integrated Feed that are identical to the 13 Non-display use would mean accessing, trading platforms, such as, but not limited to, fees proposed in this filing. See Securities Exchange processing, or consuming the NYSE National alternative trading systems (‘‘ATSs’’), broker Act Release No. 87797 (December 18, 2019), 84 FR Integrated Feed, delivered directly or through a crossing networks, broker crossing systems not filed 71025 (December 26, 2019) (SR–NYSENAT–2019– redistributor, for a purpose other than in support of as ATSs, dark pools, multilateral trading facilities, 31). Comments received on SR–NYSENAT–2019–31 a data recipient’s display or further internal or exchanges, and systematic internalization systems. are available on the Commission’s website at external redistribution. See id. As proposed, non- See id. at 9848–49. https://www.sec.gov/comments/sr-nysenat-2019-31/ display use would include trading uses such as 15 See id. at 9849. srnysenat201931.htm. On January 31, 2020, the high frequency or algorithmic trading, as well as 16 See id. Commission temporarily suspended SR– any trading in any asset class, automated order or 17 The term ‘‘Federal agencies’’ as used in the NYSENAT–2019–31 and instituted proceedings to quote generation and order pegging, price proposed fee schedule would include all Federal determine whether to approve or disapprove that referencing for algorithmic trading or smart order agencies subject to the Federal Acquisition proposed rule change. See Securities Exchange Act routing, operations controls programs, investment Regulation (‘‘FAR’’), as well as any Federal agency Release No. 88109, 85 FR 6982 (February 6, 2020) analysis, order verification, surveillance programs, not subject to FAR that has promulgated its own (‘‘SR–NYSENAT–2019–31 OIP’’). On February 3, risk management, compliance, and portfolio procurement rules. See id. All Federal agencies that 2020, NYSE National withdrew SR–NYSENAT– management. See id. One, two, or three categories subscribe to the NYSE National real-time 2019–31. See Securities Exchange Act Release No. of non-display use may apply to a data recipient. proprietary market data products would continue to 88118 (February 4, 2020), 85 FR 7611 (February 10, See id. Moreover, data recipients that receive the be required to execute the appropriate subscriber 2020). NYSE National Integrated Feed for non-display use agreement, which includes, among other things, 5 15 U.S.C. 78s(b)(3)(C). would be required to complete and submit a non- provisions against the redistribution of data. See id.
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subscribe to the products listed on the National also provides a report by Marc market.33 NYSE National provides a proposed fee schedule that includes Rysman,26 which finds that the report by Charles M. Jones,34 which such fees.18 introduction of the NYSE Integrated concludes that exchanges compete with Finally, first-time subscribers 19 Feed in 2015 attracted more trading to each other in selling proprietary market would be eligible for a free trial by NYSE by both subscribers and non- data products, as well as with contacting NYSE National and would subscribers to the NYSE Integrated consolidated data feeds and with data not be charged the access fee, the non- Feed,27 and concludes that overall provided by ATSs.35 NYSE National display fee, any applicable professional competition between exchanges will also more specifically argues that NYSE and non-professional user fee, and the limit their overall profitability (not National BBO (which includes best bid redistribution fee for one calendar margins on any particular side of the and offer information for NYSE National month for each of the products listed on platform).28 According to NYSE on a real-time basis), NYSE National the proposed fee schedule.20 The free National, given the conclusion in the Trades (which includes NYSE National trial would be for the first full calendar Rysman Paper that exchanges are last sale information on a real-time month following the date a subscriber is platforms for market data and basis), and consolidated data feeds are approved to receive trial access to NYSE transaction services, competition for substitutes for the NYSE National National market data.21 As proposed, order flow on the trading side of the Integrated Feed and constrain NYSE NYSE National would provide the one- platform acts to constrain the pricing of National’s ability to charge month free trial for a particular product market data on the other side of the supracompetitive prices for the feed.36 to each subscriber only once.22 platform.29 In addition, NYSE National states that, III. Suspension of the Proposed Rule In addition, NYSE National argues since the date of filing of SR– Change that, due to the ready availability of NYSENAT–2019–31 and before the substitutes and the low cost to move proposed fees went into effect on Pursuant to Section 19(b)(3)(C) of the order flow to the substitute trading February 3, 2020, five subscribers to the Act,23 at any time within 60 days of the venues, an exchange setting market data NYSE National Integrated Feed (i.e., date of filing of an immediately effective fees that are not at competitive levels nearly nine percent of the prior proposed rule change pursuant to would expect to quickly lose business to subscriber base) have cancelled their Section 19(b)(1) of the Act,24 the alternative platforms with more subscriptions due to the imminent Commission summarily may 37 attractive pricing.30 NYSE National imposition of the fees. Moreover, temporarily suspend the change in the NYSE National states that a sixth rules of a self-regulatory organization argues that subscribing to the NYSE National Integrated Feed is optional, customer informed NYSE National that (‘‘SRO’’) if it appears to the Commission if NYSE National is permitted to impose that such action is necessary or that its customers may choose to discontinue using the feed once the the fees, the customer would cancel its appropriate in the public interest, for subscription to the NYSE National the protection of investors, or otherwise proposed fees are effective, and that any customers who choose to discontinue Integrated Feed and instead subscribe to in furtherance of the purposes of the 38 using the feed may choose to shift order the NYSE National BBO feed. Act. The Commission believes a With respect to the other flow away from NYSE National.31 temporary suspension of the proposed requirements under the Act, NYSE Similarly, NYSE National argues that its rule change is necessary and National argues that the proposed fees market data pricing is constrained by appropriate to allow for additional are equitably allocated and are not the availability of numerous substitute analysis of the proposed rule change’s unfairly discriminatory because they platforms offering competing consistency with the Act and the rules would apply on an equal basis to all proprietary market data products and thereunder. data recipients that choose to subscribe trading services.32 NYSE National proposes to adopt fees to the data in a manner that is subject for the NYSE National Integrated Feed In addition to its ‘‘platform’’-based to an applicable fee and because any and provides various arguments to arguments, NYSE National presents an differences among categories of users support the proposal’s consistency with alternative competition-based argument, are justified.39 Specifically, NYSE the Act. With respect to whether the asserting that the NYSE National National argues that the professional proposed fees are reasonable, NYSE Integrated Feed is sold in a competitive and non-professional user fee structure National states that exchanges in general has long been used by NYSE National to function as platforms between 26 See Marc Rysman, Stock Exchanges as reduce the price of data to non- consumers of market data and Platforms for Data and Trading (December 2, 2019) (‘‘Rysman Paper’’), available at https:// professional users and make it more consumers of trading services, and that www.sec.gov/rules/sro/nysenat/2020/34-88211- broadly available, and that the non- overall competition between exchanges ex3b.pdf. display fee structure results in will limit their overall profitability.25 In 27 See Notice, supra note 4, at 9852. NYSE connection with these arguments, NYSE National also states that, since May 2018, when 33 See id. at 9851. NYSE National relaunched trading, it has observed 34 See Charles M. Jones, Understanding the a direct correlation between the steady increase of 18 The proposed fee schedule lists NYSE National Market for U.S. Equity Market Data (August 31, subscribers to the NYSE National Integrated Feed 2018) (‘‘Jones Paper’’), available at https:// BBO, NYSE National Trades, and NYSE National and the increase in NYSE National’s transaction Integrated Feed, and specifies that there would be www.sec.gov/rules/sro/nysenat/2020/34-88211- market share volume over the same period. See id. ex3a.pdf. no fees for NYSE National BBO and NYSE National at 9850. NYSE National states that, between May 35 Trades. See Notice, supra note 4, at 9851. The Jones 2018 and October 2019, it has grown from 0% to Paper also states that the market for order flow and 19 A first-time subscriber would be any firm that nearly 2% market share of consolidated trading the market for market data are closely linked, and has not previously subscribed to a particular volume and, between May 2018 and November that an exchange needs to consider the negative product listed on the proposed fee schedule. See 2019, the number of NYSE National Integrated Feed impact on its order flow if it raises the price of Notice, supra note 4, at 9849. subscribers increased from 12 to 57. See id. at 9847– market data. See id. 20 See id. 48, 9852. 36 See id. at 9854. 21 28 See id. at 9849–50. See id. at 9852. 37 See id. at 9848. 22 29 See id. at 9850. See id. at 9853. 38 NYSE National states that six lost subscribers 23 15 U.S.C. 78s(b)(3)(C). 30 See id. constitute 10.5 percent of the prior NYSE National 24 15 U.S.C. 78s(b)(1). 31 See id. at 9850, 9853. Integrated Feed subscriber base. See id. 25 See Notice, supra note 4, at 9852. 32 See id. at 9853. 39 See id. at 9856–58.
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subscribers with greater uses of the data commenter argues that the NYSE choose whether or not to connect to the paying higher fees and subscribers with National Integrated Feed is not subject NYSE National Integrated Feed and fewer uses of the data paying lower to competitive forces because there are believes instead that many market fees.40 For similar reasons, and because no available substitutes to NYSE participants must buy the feed.54 This it claims numerous substitute market National’s depth-of-book product.47 commenter acknowledges that NYSE data products are available, NYSE This commenter also argues that National provides the number of National argues that the proposed fees competition for order flow under the customers that discontinued using the do not impose an unnecessary or ‘‘platform theory’’ does not constrain NYSE National Integrated Feed in 41 inappropriate burden on competition. the cost of market data, but instead response to the proposed fees, but With respect to the redistribution fee, results in supra-monopoly prices for expresses concern that NYSE National NYSE National argues that the proposed 48 market data products. In addition, this has not provided any relevant fee is reasonable because vendors that commenter argues that NYSE National information about these customers (e.g., would be charged the proposed fee makes an unpersuasive attempt to show why they subscribed to the NYSE would profit by re-transmitting NYSE an elasticity of demand for the NYSE National Integrated Feed in the first National’s market data to their National Integrated Feed (i.e., in customers,42 and that the proposed fee response to the fee increase, 5 of the 57 place; whether they were proprietary is equitable and not unfairly subscribers notified NYSE National of trading firms, agency brokers, or data discriminatory because the fees would their intent to cancel their subscriptions vendors; and whether and how often 55 be charged on an equal basis to those before the fees went into effect).49 they sent orders to NYSE National). vendors that choose to redistribute the Moreover, this commenter argues that This commenter also states that NYSE feed.43 Similarly, with respect to exchanges have yet to show an increase National should update and further category 3 non-display fees, which (or decrease) in trading volume after elaborate on information about the would be charged to each trading reducing (or increasing) a respective remaining subscribers.56 platform on which the customer uses exchange’s price of market data, and Moreover, this commenter argues that non-display data (capped at three that NYSE National does not state the NYSE National’s discussions regarding platforms), NYSE National argues that anticipated impact on order flow from the reasonableness of the proposed fees the proposal is reasonable, equitable, losing subscribers to the NYSE National (i.e., the comparison to similar fees and not unfairly discriminatory because Integrated Feed.50 Finally, the charged by affiliated exchanges, the such use of data is directly in commenter argues that, because it nature of the market for order flow, the competition with NYSE National and believes competitive forces have not availability of other data options, and NYSE National should be permitted to constrained the cost of market data, the lack of a relation between the recoup some of its lost trading revenue NYSE National should provide proposed fees and the costs of by charging for the data that makes such 51 additional information on cost. production) do not support a finding competition possible.44 Another commenter also states that that the proposed fees are reasonable.57 Finally, with respect to the non- the information provided by NYSE This commenter also states that NYSE display use declaration late fee and the National is not adequate to establish multiple data feed fee, NYSE National that the proposed fees are consistent National does not provide any claims that these fees are reasonable, with the Act and Commission rules.52 information about the costs of equitable, and not unfairly This commenter questions whether production for the NYSE National discriminatory because they would third parties can compete with NYSE Integrated Feed, the expected revenue offset NYSE National’s administrative National in offering data related to NYSE National projects to generate from burdens and costs associated with activity on NYSE National.53 This the proposed fees, the impact of the incorrect billing, late payments, and commenter also questions NYSE proposed fees on subscribers, the 45 tracking data usage locations. National’s assertion that market competition between subscribers and The Commission received comment participants have a meaningful ability to non-subscribers, and whether the letters that express concerns regarding proposed fees would be equitably the proposed rule change. One SIFMA, to Vanessa Countryman, Secretary, allocated and would not impose any commenter states that NYSE National Commission, dated January 21, 2020, available at undue burden on competition.58 In fails to provide the necessary https://www.sec.gov/comments/sr-nysenat-2019-31/ addition, the commenter states that srnysenat201931-6678406-204968.pdf. information for the Commission to NYSE National does not provide any determine whether the proposed fees 47 See SIFMA Letter, supra note 46, at 2. 48 information about the latency difference meet the requirements of the Act.46 This See id. 49 See id. between the NYSE National Integrated 50 See id. Feed and the consolidated data feed or 40 See id. at 9856–57. 51 See id. 59 41 See id. at 9858–59. other methods of transmitting data. 52 See letter from Tyler Gellasch, Executive 42 Finally, this commenter objects to NYSE See id. at 9854. Director, The Healthy Markets Association, to 43 See id. at 9856–57. Vanessa Countryman, Office of the Secretary, National’s platform-based arguments, 44 See id. at 9855–58. Commission, dated March 12, 2020 (‘‘Healthy stating that the supply and demand 45 See id. Markets Letter’’). See also SR–NYSENAT–2019–31 46 See letter from Ellen Greene, Managing OIP, supra note 4, at 6984 (describing the 54 See id. at 4–5. According to this commenter, if Director, Equities & Options Market Structure, commenter’s letter on SR–NYSENAT–2019–31); one set of market participants has access to a faster, Securities Industry and Financial Markets letter from Tyler Gellasch, Executive Director, The richer data set, then those without that information Association (‘‘SIFMA’’), to Vanessa Countryman, Healthy Markets Association, to Vanessa will not be as competitive and may not be able to Secretary, Commission, dated March 11, 2020 Countryman, Office of the Secretary, Commission, quote or otherwise route orders in a manner that (‘‘SIFMA Letter’’). This commenter also refers to the dated January 16, 2020, available at https:// could effectively achieve best execution. See id. at comment letter it submitted on SR–NYSENAT– www.sec.gov/comments/sr-nysenat-2019-31/ 8. 2019–31 in stating that the proposal does not meet srnysenat201931-6663540-203934.pdf. 55 See id. at 5–6. the requirements of the Act. See id. at 2. See also 53 See Healthy Markets Letter, supra note 52, at 56 See id. at 6. SR–NYSENAT–2019–31 OIP, supra note 4, at 6984– 6–8. This commenter states that NYSE National 57 85 (describing the commenter’s letter on SR– controls who, under what terms, and when anyone See id. at 8–9. NYSENAT–2019–31); letter from Robert Toomey, other than NYSE National can obtain order-related 58 See id. at 9. Managing Director and Associate General Counsel, information about NYSE National. See id. at 7. 59 See id.
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functions for order flow and market data otherwise in furtherance of the purposes consistent with Section 6(b)(8) of the are separate.60 of the Act, to temporarily suspend the Act, which requires that the rules of a When exchanges file their proposed proposed rule change.67 national securities exchange ‘‘not rule changes with the Commission, impose any burden on competition not IV. Proceedings To Determine Whether including fee filings like NYSE necessary or appropriate in furtherance To Approve or Disapprove the National’s present proposal, they are 73 Proposed Rule Change of the purposes of [the Act].’’ required to provide a statement As discussed in Section III above, supporting the proposal’s basis under In addition to temporarily suspending NYSE National made various arguments the Act and the rules and regulations the proposal, the Commission also in support of its proposal and the thereunder applicable to the hereby institutes proceedings pursuant Commission received comment letters exchange.61 The instructions to Form to Sections 19(b)(3)(C) 68 and 19(b)(2)(B) that expressed concerns regarding the 19b-4, on which exchanges file their of the Act 69 to determine whether NYSE proposal, including in particular that proposed rule changes, specify that such National’s proposed rule change should NYSE National did not provide statement ‘‘should be sufficiently be approved or disapproved. Institution sufficient information to establish that detailed and specific to support a of proceedings does not indicate that the the proposed fees are consistent with finding that the proposed rule change is Commission has reached any the Act and the rules thereunder. consistent with [those] requirements.’’ 62 conclusions with respect to any of the Under the Commission’s Rules of Section 6 of the Act, including issues involved. Rather, the Commission Practice, the ‘‘burden to demonstrate Sections 6(b)(4), (5), and (8), require the seeks and encourages interested persons that a proposed rule change is rules of an exchange to: (1) Provide for to provide additional comment on the consistent with the [Act] and the rules the equitable allocation of reasonable proposed rule change to inform the and regulations issued thereunder . . . fees among members, issuers, and other Commission’s analysis of whether to is on the [SRO] that proposed the rule persons using the exchange’s approve or disapprove the proposed change.’’ 74 The description of a facilities; 63 (2) perfect the mechanism of rule change. proposed rule change, its purpose and a free and open market and a national Pursuant to Section 19(b)(2)(B) of the operation, its effect, and a legal analysis 70 market system, protect investors and the Act, the Commission is providing of its consistency with applicable public interest, and not be designed to notice of the grounds for possible requirements must all be sufficiently permit unfair discrimination between disapproval under consideration: detailed and specific to support an • Whether NYSE National has customers, issuers, brokers, or affirmative Commission finding,75 and demonstrated how its proposed fees are dealers; 64 and (3) not impose any any failure of an SRO to provide this consistent with Section 6(b)(4) of the burden on competition not necessary or information may result in the Act, which requires that the rules of a appropriate in furtherance of the Commission not having a sufficient national securities exchange ‘‘provide purposes of the Act.65 basis to make an affirmative finding that for the equitable allocation of reasonable In temporarily suspending NYSE a proposed rule change is consistent dues, fees, and other charges among its National’s proposed rule change, the with the Act and the applicable rules members and issuers and other persons 76 Commission intends to further consider 71 and regulations. whether the proposal to establish fees using its facilities’’; • Whether NYSE National has The Commission is instituting for the NYSE National Integrated Feed demonstrated how its proposed fees are proceedings to allow for additional is consistent with the statutory consistent with Section 6(b)(5) of the consideration and comment on the requirements applicable to a national Act, which requires, among other issues raised herein, including as to securities exchange under the Act. In things, that the rules of a national whether the proposed fees are particular, the Commission will securities exchange not be ‘‘designed to consistent with the Act, and consider whether the proposed rule permit unfair discrimination between specifically, with its requirements that change satisfies the standards under the customers, issuers, brokers, or exchange fees be reasonable and Act and the rules thereunder requiring, dealers’’; 72 and equitably allocated, not be unfairly among other things, that an exchange’s • Whether NYSE National has discriminatory, and not impose any rules provide for the equitable demonstrated how its proposed fees are burden on competition that is not allocation of reasonable fees among necessary or appropriate in furtherance 77 members, issuers, and other persons 67 For purposes of temporarily suspending the of the purposes of the Act. using its facilities; not permit unfair proposed rule change, the Commission has discrimination between customers, considered the proposed rule’s impact on V. Commission’s Solicitation of efficiency, competition, and capital formation. See Comments issuers, brokers or dealers; and do not 15 U.S.C. 78c(f). impose any burden on competition not 68 15 U.S.C. 78s(b)(3)(C). Once the Commission The Commission requests written necessary or appropriate in furtherance temporarily suspends a proposed rule change, views, data, and arguments with respect of the purposes of the Act.66 Section 19(b)(3)(C) of the Act requires that the to the concerns identified above as well Therefore, the Commission finds that Commission institute proceedings under Section as any other relevant concerns. Such 19(b)(2)(B) to determine whether a proposed rule it is appropriate in the public interest, change should be approved or disapproved. comments should be submitted by April for the protection of investors, and 69 15 U.S.C. 78s(b)(2)(B). 28, 2020. Rebuttal comments should be 70 Id. Section 19(b)(2)(B) of the Act also provides submitted by May 12, 2020. Although 60 See id. at 9–10. that proceedings to determine whether to there do not appear to be any issues 61 See 17 CFR 240.19b-4 (Item 3 entitled ‘‘Self- disapprove a proposed rule change must be concluded within 180 days of the date of relevant to approval or disapproval that Regulatory Organization’s Statement of the Purpose would be facilitated by an oral of, and Statutory Basis for, the Proposed Rule publication of notice of the filing of the proposed rule change. See id. The time for conclusion of the Change’’). presentation of views, data, and proceedings may be extended for up to 60 days if 62 See id. the Commission finds good cause for such 73 63 15 U.S.C. 78f(b)(4). extension and publishes its reasons for so finding, 15 U.S.C. 78f(b)(8). 64 15 U.S.C. 78f(b)(5). or if the exchange consents to the longer period. See 74 17 CFR 201.700(b)(3). 65 15 U.S.C. 78f(b)(8). id. 75 See id. 66 See 15 U.S.C. 78f(b)(4), (5), and (8), 71 15 U.S.C. 78f(b)(4). 76 See id. respectively. 72 15 U.S.C. 78f(b)(5). 77 See 15 U.S.C. 78f(b)(4), (5), and (8).
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arguments, the Commission will office of NYSE National. All comments of 1934 (‘‘Act’’) 1 and Rule 608 consider, pursuant to Rule 19b–4, any received will be posted without change. thereunder,2 a proposal to amend the request for an opportunity to make an Persons submitting comments are Plan for the Purpose of Developing and oral presentation.78 cautioned that we do not redact or edit Implementing Procedures Designed to The Commission asks that personal identifying information from Facilitate the Listing and Trading of commenters address the sufficiency and comment submissions. You should Standardized Options (the ‘‘Plan’’).3 merit of NYSE National’s statements in submit only information that you wish Amendment No. 5 was published for support of the proposal, in addition to to make publicly available. All comment in the Federal Register on any other comments they may wish to submissions should refer to File No. December 17, 2019.4 submit about the proposed rule change. SR–NYSENAT–2020–05 and should be The Commission received no Interested persons are invited to submitted on or before April 28, 2020. comment letters regarding the submit written data, views, and Rebuttal comments should be submitted Amendment. This order approves arguments concerning the proposed rule by May 12, 2020. Amendment No. 5 to the Plan. change, including whether the proposed rule change is consistent with the Act. VI. Conclusion II. Description of the Amendment Comments may be submitted by any of It is therefore ordered, pursuant to A. Background the following methods: Section 19(b)(3)(C) of the Act,79 that File In January 2007, the Commission No. SR–NYSENAT–2020–05, be and Electronic Comments approved rules that allowed the six hereby is, temporarily suspended. In registered options exchanges that then • Use the Commission’s internet addition, the Commission is instituting existed to begin quoting certain comment form (http://www.sec.gov/ proceedings to determine whether the multiply listed options classes overlying rules/sro.shtml); or proposed rule change should be thirteen stocks and Exchange Traded • Send an email to rule-comments@ approved or disapproved. sec.gov. Please include File No. SR– Funds (‘‘ETFs’’) in penny increments For the Commission, by the Division of pursuant to a six-month Penny Pilot NYSENAT–2020–05 on the subject line. Trading and Markets, pursuant to delegated 80 Paper Comments authority. 1 15 U.S.C. 78k–1(a)(3). J. Matthew DeLesDernier, 2 • Send paper comments in triplicate 17 CFR 242.608. Assistant Secretary. 3 See Letter from BOX Exchange LLC, CBOE BZX to Secretary, Securities and Exchange Exchange, Inc., CBOE Exchange, Inc., CBOE C2 Commission, 100 F Street NE, Exchange, Inc, CBOE EDGX Exchange, Inc., Miami Washington, DC 20549–1090. [FR Doc. 2020–07231 Filed 4–6–20; 8:45 am] International Securities Exchange, LLC, MIAX BILLING CODE 8011–01–P Emerald, LLC, MIAX PEARL, LLC, NASDAQ BX, All submissions should refer to File No. Inc., NASDAQ GEMX, LLC, NASDAQ ISE, LLC, SR–NYSENAT–2020–05. The file NASDAQ MRX, LLC, NASDAQ PHLX, LLC, The number should be included on the SECURITIES AND EXCHANGE NASDAQ Stock Market LLC, NYSE American, LLC, subject line if email is used. To help the NYSE Arca, Inc., and the OCC, to Vanessa COMMISSION Countryman, Secretary, Commission, dated July 18, Commission process and review your 2019. (‘‘Amendment No. 5’’). On July 6, 2001, the comments more efficiently, please use [Release No. 34–88532; File No. 4–443] Commission approved the Plan, which was only one method. The Commission will proposed by the American Stock Exchange LLC, post all comments on the Commission’s Joint Industry Plan; Order Approving Chicago Board Options Exchange, Incorporated, Amendment No. 5 to the Plan for the International Securities Exchange LLC, OCC, internet website (http://www.sec.gov/ Philadelphia Stock Exchange, Inc., and Pacific rules/sro.shtml). Copies of the Purpose of Developing and Exchange, Inc. See Securities Exchange Act Release submission, all subsequent Implementing Procedures Designed To No. 44521, 66 FR 36809 (July 13, 2001). See also amendments, all written statements Facilitate the Listing and Trading of Securities Exchange Act Release Nos. 49199 Standardized Options To Adopt a (February 5, 2004), 69 FR 7030 (February 12, 2004) with respect to the proposed rule (adding Boston Stock Exchange, Inc. as a Plan change that are filed with the Penny Interval Program Sponsor); 57546 (March 21, 2008), 73 FR 16393 Commission, and all written (March 27, 2008) (adding The Nasdaq Stock Market, April 1, 2020. communications relating to the LLC as a Plan Sponsor); 61528 (February 17, 2010), 75 FR 8415 (February 24, 2010) (adding BATS proposed rule change between the I. Introduction Exchange, Inc. as a Plan Sponsor); 63162 (October Commission and any person, other than On July 18, 2019, BOX Exchange LLC; 22, 2010), 75 FR 66401 (October 28, 2010) (adding C2 Options Exchange Incorporated as a Plan those that may be withheld from the Cboe BZX Exchange, Inc.; Cboe C2 public in accordance with the Sponsor); 66952 (May 9, 2012), 77 FR 28641 (May Exchange, Inc.; Cboe Exchange, Inc.; 15, 2012) (adding BOX Options Exchange LLC as a provisions of 5 U.S.C. 552, will be Cboe EDGX Exchange, Inc.; Miami Plan Sponsor); 67327 (June 29, 2012), 77 FR 40125 available for website viewing and International Securities Exchange, LLC; (July 6, 2012) (adding Nasdaq OMX BX, Inc. as a Plan Sponsor); 70765 (October 28, 2013), 78 FR printing in the Commission’s Public MIAX Emerald, LLC; MIAX PEARL, Reference Room, 100 F Street NE, 65739 (November 1, 2013) (adding Topaz Exchange, LLC; Nasdaq BX, Inc.; Nasdaq GEMX, LLC as a Plan Sponsor); 70764 (October 28, 2013), Washington, DC 20549, on official LLC; Nasdaq ISE, LLC; Nasdaq MRX, 78 FR 65733 (November 1, 2013) (adding Miami business days between the hours of LLC; Nasdaq PHLX LLC; The Nasdaq International Securities Exchange, LLC as a Plan Sponsor); 76822 (January 1, 2016), 81 FR 1251 10:00 a.m. and 3:00 p.m. Copies of such Stock Market LLC; NYSE American, filing also will be available for (January 11, 2016) (adding EDGX Exchange, Inc. as LLC; NYSE Arca, Inc. (collectively, a Plan Sponsor); 77323 (March 8, 2016), 81 FR inspection and copying at the principal ‘‘Exchanges’’); and The Options Clearing 13433 (March 14, 2016) (adding ISE Mercury, LLC Corporation (‘‘OCC’’) (together with the as a Plan Sponsor); 79897 (January 30, 2017), 82 FR 78 15 U.S.C. 78s(b)(2). Section 19(b)(2) of the Act 9263 (February 3, 2017) (adding MIAX PEARL, LLC grants the Commission flexibility to determine what OCC, ‘‘Plan Sponsors’’) filed with the as a Plan Sponsor); and 85228 (March 1, 2019), 84 type of proceeding—either oral or notice and Securities and Exchange Commission FR 8355 (March 7, 2019) (adding MIAX Emerald, opportunity for written comments—is appropriate (‘‘Commission’’) pursuant to Section LLC as a Plan Sponsor). The full text of the Plan for consideration of a particular proposal by an 11A(a)(3) of the Securities Exchange Act is available at: https://www.theocc.com/ SRO. See Securities Acts Amendments of 1975, components/docs/clearing/services/options_listing_ Report of the Senate Committee on Banking, procedures_plan.pdf. Housing and Urban Affairs to Accompany S. 249, 79 15 U.S.C. 78s(b)(3)(C). 4 See Securities Exchange Act Release No. 87681 S. Rep. No. 75, 94th Cong., 1st Sess. 30 (1975). 80 17 CFR 200.30–3(a)(57) and (58). (December 9, 2019), 84 FR 68960 (‘‘Notice’’).
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Program (‘‘Penny Pilot’’).5 The Penny B. Description of the Proposal higher would be quoted in $0.05 Pilot was designed to determine increments for all series.10 whether investors would benefit from In light of the imminent expiration of The Penny Program would initially options being quoted in penny the Penny Pilot, the Plan Sponsors now apply to the 363 most actively traded, increments, and in which classes the propose in Amendment No. 5 to the multiply listed options classes 11 that (i) benefits were most significant. Plan to replace the Penny Pilot by are currently included the Penny Pilot Following that initial approval, the instituting a permanent program (the or, (ii) if not currently in the Penny Commission approved additional ‘‘Penny Program’’) that would permit Pilot, overlie securities priced below Exchange rules that expanded the quoting in penny increments for certain $200, or any index at an index level number of options classes covered by classes of options. Under the terms of below $200.12 As is the case today, the the Penny Pilot.6 In each instance, these this proposal, designated options classes Exchanges will use the OCC rankings approvals relied upon the consideration would continue to be quoted in $0.01 and apply these objective criteria to of data periodically provided by the and $0.05 increments according to the determine which classes are eligible for Exchanges that analyzed how quoting same parameters for the Penny Pilot. In inclusion in the Penny Program. Once options in penny increments affects addition, the Penny Program would: (1) an option class is added to the Penny spreads, liquidity, quote traffic, and Establish an annual review process to Program, it would remain in the volume. Today, the Penny Pilot add and/or remove options classes from Program subject to the annual review includes 363 options classes, which are the Penny Program; (2) allow an option process described in further detail among the most actively traded, class to be added to the Penny Program below.13 outside of the annual review process if multiply listed options classes.7 The 2. Annual Review Process Penny Pilot is scheduled to expire by its it is a newly listed option class or a The Penny Program provides for an own terms on June 30, 2020.8 class that experiences significant growth in activity, provided such class meets annual review process by which options 5 See Securities Exchange Act Release Nos. 55153 certain objective criteria; (3) provide classes can be added and removed from (January 23, 2007), 72 FR 4553 (January 31, 2007) that if a corporate action involves one or the Penny Program based on objective (SR–Phlx–2006–74); 55154 (January 23, 2007), 72 more options classes in the Penny criteria. The annual review process is FR 4743 (February 1, 2007) (SR–CBOE–2006–92); Program, all adjusted and unadjusted designed to ensure that the most active 55162 (January 24, 2007), 72 FR 4738 (February 1, eligible issues are included in the Penny 2007) (SR–Amex–2006–106); 55161 (January 24, series of the option class would 2007), 72 FR 4754 (January 24, 2007) (SR–ISE– continue to be included in the Penny Program while also preventing a high 2006–62); 55156 (January 23, 2007), 72 FR 4759 Program; (4) provide that any series in rate of turnover for issues that are (February 1, 2007) (SR–NYSEArca–2006–73); and an option class participating in the removed from the Penny Program. 55155 (January 23, 2007), 72 FR 4741 (February 1, Specifically, on an annual basis 2007) (SR–BSE–2006–49). Penny Program in which the underlying 6 See, e.g., Securities Act Release Nos. 56568 security has been delisted, or are (commencing in December 2020), the (September 27, 2007) (NYSEArca–2007–88); 57559 identified by OCC as ineligible for OCC would rank all multiply listed (March 26, 2008) (NYSEArca–2008–34); and 60711 opening customer transactions, would options classes based on National (September 23, 2009), 74 FR 49419 (September 28, Cleared Volume from June 1 through 2009) (NYSEArca–2009–44). continue to quote pursuant to the rules 7 of the Penny Program until all such November 30 to determine the most See Securities Exchange Act Release Nos. 60711 14 (September 23, 2009), 74 FR 49419 (September 28, options have expired; and (5) establish actively traded options classes. Any 2009) (SR–NYSEArca–2009–44); 60865 (October 22, voting provisions governing option class not yet in the Penny 2009), 74 FR 55880 (October 29, 2009) (SR–ISE– amendments to the Penny Program.9 Program that is among the 300 most 2009–82); 60864 (October 22, 2009), 74 FR 55876 actively traded, multiply listed options (October 29, 2009) (SR–CBOE–2009–076); 60874 1. Minimum Quoting Increments and (October 23, 2009), 74 FR 56682 (November 2, 2009) (SR–NASDAQ–2009–091); 60873 (October 23, Initial Selection of Options Classes for 10 See Proposed Section 3.1 of the Plan. 2009), 74 FR 56675 (November 2, 2009) (SR–Phlx– the Penny Program 11 This number is taken from the current number 2009–91); 60886 (October 27, 2009), 74 FR 56897 of the options classes in the Penny Pilot. See (November 3, 2009) (SR–BX–2009–067); and 61106 The minimum quoting increment Notice, supra note 4 at 68961. (December 3, 2009), 74 FR 65193 (December 9, requirements that currently apply under 12 OCC will rank all multiply listed options 2009) (SR–NYSEAmex–2009–74). the Penny Pilot would continue to apply classes based on National Cleared Volume for the 8 See Securities Exchange Act Release Nos. 87632 for options classes included in the six-month period ending in the month that the (November 26, 2019), 84 FR 66255 (December 3, Commission approves proposed Amendment No. 5 2019) (SR–BOX–2019–34); 87740 (December 13, Penny Program. Specifically, (i) the to determine whether an option class is among the 2019), 84 FR 69800 (December 19, 2019) (CboeBZX– minimum quoting increment for all 363 most activity traded. See Proposed Section 2019–106); 87738 (December 13, 2019), 84 FR series in the QQQ, SPY, and IWM 3.1(a) of the Plan. Eligibility for inclusion in the Penny Program will be determined at the close of 69795 (December 19, 2019) (C2–2019–027); 87739 would continue to be $0.01, regardless (December 13, 2019), 84 FR 69801 (December 19, trading on the monthly expiration Friday of the 2019) (CBOE–2019–119); 87741 (December 13, of price; (ii) options classes with a price second full month following approval of the 2019), 84 FR 69805 (December 19, 2019) of less than $3.00 would be quoted in proposed Amendment. See id. Certain options (CboeEDGX–2019–074); 87606 (November 25, $0.01 increments for all series; and (iii) classes that currently quote in penny increments pursuant to the Penny Pilot that are not among the 2019), 84 FR 66030 (December 2, 2019) (MIAX– options classes with a price of $3.00 or 2019–47); 87608 (November 25, 2019), 84 FR 66046 363 most actively traded multiply listed options (EMERALD–2019–36); 87609 (November 25, 2019), classes at the time of the initial selection will no 84 FR 66032 (December 2, 2019) (PEARL–2019–34); 9 Amendment No. 5 also proposes to make certain longer be eligible to quote in penny increments 87754 (December 16, 2019), 84 FR 70232 (December administrative changes to Section 4 of the Plan to under the Penny Program. Any options classes that 20, 2019) (BX–2019–046); 87753 (December 16, replace references to ‘‘the adjustment panel’’ with are currently in the Penny Pilot, but that are not 2019), 84 FR 70243 (December 20, 2019) (GEMX– references to ‘‘the OCC’’ to ensure that the language selected for inclusion in the Penny Program 2019–19); 87752 (December 16, 2019), 84 FR 70230 in the Plan is consistent with changes made in a following the initial selection process would be (December 20, 2019) (ISE–2019–33); 87766 separate filing. See Securities Exchange Act Release subject to the minimum trading increment as (December 16, 2019), 84 FR 70214 (December 20, No. 84565 (November 9, 2018), 83 FR 57778 described in the rules of the Exchanges. See Notice, 2019) (MRX–2019–26); 87746 (December 13, 2019), (November 16, 2018) (SR–ODD–2018–01). See also supra note 4, at 68961. Such changes would be 84 FR 69803 (December 19, 2019) (Phlx–2019–55); Securities Exchange Act Release No. 69977 (July 11, effective on the first trading day of the third full 87831 (December 20, 2019), 84 FR 72013 (December 2013), 78 FR 42815 (July 17, 2013) (SR–OCC–2013– calendar month following the Amendment’s 30, 2019) (Nasdaq–2019–100); 87610 (November 25, 05). In addition, Amendment No. 5 proposes to approval date. See Proposed Section 3.1(a) of the 2019), 84 FR 66047 (December 2, 2019) (NYSEArca– make non-substantive ministerial changes to Plan. 2019–83); 87633 (November 26, 2019), 84 FR 66251 Section 9 of the Plan to update the names and 13 See Notice, supra note 4, at 68961. (December 3, 2019) (NYSEAmex–2019–51). addresses of certain Plan Sponsors. 14 Proposed Section 3.1(b) of the Plan.
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classes overlying securities priced calendar year and then would be subject of the Penny Program until all options below $200, or an index at an index to the annual review process.18 series have expired. level below $200, would be added to the Second, the Penny Program would 4. Amendments to the Penny Program Penny Program on the first trading day allow an option class to be added to the in January following the annual Penny Program outside of the annual Section 3.1(h) sets forth an review.15 In addition, based on the review process if it is an option class amendment process applicable to annual review, options classes that are that meets certain specific criteria. changes to the Penny Program. ranked between the 300 most actively Section 3.1(d) provides that an option Currently, amendments to the Plan traded and the 425 most actively traded class may be added to the Penny (other than an amendment to add a new would continue to be included in the Program, provided that (i) it is among Plan Sponsor) must be approved Penny Program,16 but any option class the 75 most actively traded, multiply unanimously by the Plan Sponsors.21 A that falls outside of the 425 most listed options classes, as ranked by new and separate process would govern actively traded, multiply listed option National Cleared Volume at OCC, for six amendments to the Penny Program and class would be removed from the Penny full calendar months of trading, and (ii) any changes to Section 3.1. Under this Program and would be subject to the the underlying security is priced below new process, for the first 60 months minimum quoting increment rules set $200 or the underlying index is at an following Commission approval of forth in the Exchanges’ rules, effective index level below $200. Options classes Amendment No. 5, any change to the on the first day of trading in April.17 that are added to the Penny Program Penny Program would require 3. Changes to the Composition of the pursuant to Section 3.1(d) would remain unanimous approval by the Plan Penny Program Outside of the Annual in the Penny Program for the rest of the Sponsors. For the period following the Review Process calendar year in which they are added expiration of that initial 60-month and then would be subject to the annual period, any changes to the Penny i. Newly Listed Options Classes and review process.19 Program would require a super-majority Options Classes With Significant (2⁄3) vote of the Plan Sponsors. The Plan ii. Corporate Actions Growth in Activity Sponsors structured the amendment The Penny Program would specify a Section 3.1(e) specifies a process to process this way because they believe process and parameters for including address options classes in the Penny delaying the elimination of the options classes in the Penny Program Program that undergo a corporate action unanimity requirement by 60 months outside the annual review process in and is designed to ensure continuous would preserve the agreed upon two circumstances. These provisions are liquidity in the affected options classes. provisions of the Penny Program, except designed to provide objective criteria for Specifically, if a corporate action in circumstances where all the Plan the Exchanges to add to the Penny involves one or more options classes in Sponsors agree a change is needed. Program new options classes in issues the Penny Program, all adjusted and with the most demonstrated trading unadjusted series of an option class III. Discussion and Commission interest from market participants and would continue to be included in the Findings investors on an expedited basis prior to Penny Program.20 Furthermore, neither The Commission finds that the annual review, with the benefit that the trading volume threshold, nor the Amendment No. 5 is consistent with the market participants and investors will initial price test would apply to options requirements of the Act and the rules then be able to trade these new options classes added to the Penny Program as and regulations thereunder. classes based upon quotes expressed in a result of the corporate action. Finally, Specifically, and as discussed in greater finer trading increments. the newly added adjusted and detail below, the Commission finds that First, Section 3.1(c) provides for unadjusted series of the option class Amendment No. 5 is consistent with certain newly listed options classes to would remain in the Penny Program for Section 11A of the Act 22 and Rule 608 be added to the Penny Program outside one full calendar year and then would thereunder 23 in that it is appropriate in of the annual review process, provided become subject to the annual review the public interest, for the protection of that (i) the class is among the 300 most process. investors and the maintenance of fair actively traded, multiply listed options and orderly markets, to remove classes, as ranked by National Cleared iii. Delisted or Ineligible Options Classes impediments to, and perfect the Volume at OCC, in its first full calendar mechanisms of, the national market month of trading; and (ii) the underlying Section 3.1(f) provides a mechanism system to allow the Exchanges to security is priced below $200 or the to address options classes that have continue to quote certain options classes underlying index is at an index level been delisted or those that are no longer in penny increments on a permanent below $200. Such newly listed options eligible for listing. Specifically, any basis pursuant to provisions established classes added to the Penny Program series in an option class participating in by Amendment No. 5. pursuant to this process would remain the Penny Program in which the in the Penny Program for one full In support of the proposal to establish underlying has been delisted, or is the Penny Program, the Exchanges identified by OCC as ineligible for 15 Proposed Section 3.1(b)(1) of the Plan. After prepared a report that contained the opening customer transactions, would results of their analysis of the Penny extensive discussion, the Plan Sponsors concluded continue to quote pursuant to the terms that including the top 300 classes would ensure that Pilot and its impact on several indicia the Penny Program always includes the most active of market quality (‘‘Report’’).24 The issues. See Notice, supra note 4, at 68961–62 and 18 See Proposed Section 3.1(c) of the Plan. n.14. 19 See Proposed Section 3.1(d) of the Plan. 21 16 Proposed Section 3.1(b) of the Plan. The Plan 20 For example, if Company A acquires Company See Section 7 of the Plan. Sponsors determined that including the top 425 B and Company A is not in the Penny Program but 22 15 U.S.C. 78k–1. options classes would prevent high turnover rates Company B is in the Penny Program, once the 23 17 CFR 242.608. of classes and thus provide the least disruptive merger is consummated and an options contract 24 See Report on Activity in Options Classes means of implementing the annual rebalancing of adjustment is effective, then Company A would be Added to the Penny Pilot dated March 8, 2019 the Penny Program. See Notice, supra note 4, at added to the Penny Program and remain in the (‘‘Report’’), submitted as Exhibit A as part of 68961–62 and n.14. Penny Program for one calendar year. See Notice, Amendment No. 5. See also Notice, supra note 4, 17 Proposed Section 3.1(b)(2) of the Plan. supra note 4, at 68963 n.19. at 68966–83.
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Report contains data and analysis on the investors will benefit from the among the Exchanges as to how such impact of the Penny Pilot on spread implementation of a permanent options classes will be treated. width, liquidity, and quote message approach to allowing continued quoting Further, requiring that any series in traffic and shows that spreads in options in penny increments for certain options an option class in the Penny Program in classes with a premium of less than classes. The Penny Program is designed which the underlying security has been $3.00 decreased upon inclusion in the to facilitate a permanent environment delisted, or are identified by OCC as Penny Pilot.25 In addition, the Report where investors can continue to enjoy ineligible for opening customer shows that volume increased in Penny reduced spreads, and concomitantly transactions, continue to quote pursuant Pilot classes 26 and that while liquidity potentially reduced costs, in portions of to the rules of the Penny Program until at the National Best Bid or Offer the options market where the greatest all such options have expired, will decreased, the size available was amount of options trading occurs (i.e., promote the maintenance of fair and nonetheless greater than the size the top 300 options classes). Further, orderly markets by encouraging market traded.27 Further, the Exchanges although the Exchanges predict that the participants to continue to provide represent that they and the Options Penny Program will generate a liquidity in such options classes on a Price Reporting Authority (‘‘OPRA’’) significant increase in quote message predictable and transparent time frame. have demonstrated sufficient capacity to traffic,31 the Plan Sponsors have The Exchanges’ proposal to permit handle the increase in quotes resulting represented that the Exchange’s amendments to be approved by a super- from quoting in penny increments respective systems and OPRA’s system majority vote of the Exchanges, rather during the Penny Pilot. The Exchanges will maintain sufficient capacity to than by a unanimous vote, as the Plan also represent that the OPRA system manage the increase in message traffic. otherwise requires, should promote the and their own respective systems have The Penny Program annual review maintenance of fair and orderly markets sufficient quote capacity to process will help facilitate the and remove impediments by preventing accommodate the projected increase in maintenance of a fair and orderly a single Exchange from having an quote message traffic that is likely to market for trading options because it effective veto over modifications to the result from the Penny Program.28 provides a framework, based upon Penny Program that a super-majority of In addition to reviewing the data and objective criteria, that rebalances the Exchanges support, thus potentially analysis provided by the Exchanges in composition of the Penny Program on obstructing improvements to the their Report, the Commission reviewed an annual basis, thereby helping to Program and its operations. The an independent analysis of the impact ensure that the most actively traded Commission notes that the Exchanges’ of the Penny Pilot on market quality options classes are included in the proposal to delay the elimination of the conducted by Cornerstone Research Penny Program. Further, the parameters unanimity requirement by 60 months is (‘‘Cornerstone’’).29 Cornerstone’s of the annual review process are designed to preserve the agreed upon analysis used quoted and effective designed to prevent high turnover for provisions contained in Amendment spreads as measures of market quality options classes in the Penny Program by No. 5, except in circumstances where all and concluded that the most liquid incorporating a buffer to help ensure the Exchanges agree a change is needed, options classes included in the Penny that options classes that are actively which in turn should allow the Penny Pilot experienced a significant decrease traded are not prematurely removed Program to operate as proposed before in effective and quoted spread. For less from the Penny Program. lesser supported changes are proposed. liquid options classes, however, the The Penny Program will also allow The Commission notes that no results did not suggest that allowing options classes to be added outside the comments were received in opposition quoting in penny increments has a annual review process provided certain to continuing to allow the Exchanges to significant effect on market quality. The objective criteria (trading volume quote in penny increments or with Exchanges state that the results of their thresholds and initial price tests) are respect to the specific provisions analysis were consistent with satisfied. These procedures should regarding how the Penny Program will Cornerstone’s findings that inclusion in facilitate the maintenance of a fair and operate. the Penny Pilot is associated with a orderly market by permitting options For the reasons discussed above, the decrease in quoted spreads.30 classes that reflect a certain level of Commission finds that Amendment No. The Commission believes that the trading interest (either because the class 5 is consistent with Section 11A of the evidence contained in both the is newly listed or a class that experience Act 32 and Rule 608 thereunder.33 Exchanges’ Report and the Cornerstone a significant growth in investor interest) analysis demonstrates that the Penny to quote in finer trading increments, IV. Conclusion Pilot has benefitted investors and other which in turn should benefit market It is therefore ordered, pursuant to market participants in the form of participants by reducing the cost of Section 11A of the Act,34 and Rule 608 narrower spreads while also having a trading such options. thereunder,35 that Amendment No. 5 to minimal negative impact on the In addition, the process to address the Plan (File No. 4–443) be, and it industry. The Commission believes that options classes in the Penny Program hereby is, approved. that undergo a corporate action will For the Commission, by the Division of 25 Specifically, the Report states, ‘‘[t]he study help to ensure continued liquidity in Trading and Markets, pursuant to delegated found that the average spread width for issues in such options classes to the benefit of authority.36 the Study Group was reduced during the Pilot market participants and investors period as compared to pre-Pilot period.’’ See J. Matthew DeLesDernier, Notice, supra note 4, at 68967. thereby helping to promote just and Assistant Secretary. 26 See id. at 68976–77. equitable principles of trade, remove [FR Doc. 2020–07224 Filed 4–6–20; 8:45 am] 27 See id. at 68967. impediments to and perfect the BILLING CODE 8011–01–P 28 See id. at 68965–66. mechanism of a free and open market 29 See DERA Memorandum on Cornerstone and a national market system and 32 Analysis, dated December 18, 2017 and July 3, 2017 15 U.S.C. 78k–1. protect investors and the public interest 33 Cornerstone Analysis, available at: https:// 17 CFR 242.608. www.sec.gov/files/DERA_Memo_on_a_Cornerstone_ by providing clarity and uniformity 34 15 U.S.C. 78k–1. Penny_Pilot_Analysis.pdf. 35 17 CFR 242.608. 30 See Notice, supra note 4, at 68967. 31 See id. at 68975–83. 36 17 CFR 200.30–3(a)(29).
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SECURITIES AND EXCHANGE statements concerning the purpose of, of the designated self-regulatory COMMISSION and basis for, the proposed rule change organization, where appropriate, and and discussed any comments it received with Exchange rules. [Release No. 34–88541; File No. SR– on the proposed rule change. The text Rule 11.5.2 provides that final NYSENAT–2020–12] of those statements may be examined at responsibility for proper supervision rests with the ETP Holder, and that the Self-Regulatory Organizations; NYSE the places specified in Item IV below. ETP Holder shall designate a partner, National, Inc.; Notice of Filing and The Exchange has prepared summaries, officer or manager in each office of Order Granting Accelerated Approval set forth in sections A, B, and C below, supervisory jurisdiction, including the of a Proposed Rule Change, as of the most significant parts of such main office, to carry out the written Modified by Amendment No. 1, To Add statements. supervisory procedures. the Exchange’s Supervision Rules to A. Self-Regulatory Organization’s Rules 11.3.2, 11.5.1 and 11.5.2 are the List of Minor Rule Violations in Statement of the Purpose of, and the substantially similar to certain Rule 10.9217 Statutory Basis for, the Proposed Rule provisions of the New York Stock Change April 1, 2020. Exchange LLC’s (‘‘NYSE’’) supervision On March 18, 2020, NYSE National, 1. Purpose Rule 3110. Specifically, NYSE Rule Inc. (‘‘NYSE National’’ or the 3110(a) requires, in part, that NYSE The Exchange proposes to add the member organizations establish and ‘‘Exchange’’) filed with the Securities Exchange’s supervision rules to the list and Exchange Commission maintain a system to supervise the of minor rule violations in Rule 10.9217. activities of each associated person that (‘‘Commission’’), pursuant to Section Rule 10.9217 sets forth the list of rules 19(b)(1) of the Securities Exchange Act is reasonably designed to achieve under which an ETP Holder or compliance with applicable securities of 1934 (‘‘Act’’) 1 and Rule 19b–4 Associated Person may be subject to a laws and regulations, and with thereunder,2 a proposed rule change to fine under a minor rule violation plan applicable NYSE rules and that final add the Exchange’s supervision rules to as described in Rule 10.9216(b). responsibility for proper supervision the list of minor rule violations in Rule rests with the member organization. 10.9217. On March 30, 2020, the Proposed Rule Change NYSE Rule 3110(b)(1) requires NYSE Exchange filed Amendment No. 1 to the First, the Exchange proposes to add member organizations to establish, proposed rule change, which the following new paragraph (d) to Rule maintain, and enforce written superseded and replaced the proposed 10.9217: procedures to supervise the types of rule change in its entirety, and is Nothing in this Rule shall require the business in which it engages and the described in Items I and II below, which Exchange to impose a fine for a violation of activities of its associated persons that Items have been prepared by the self- any rule under this Minor Rule Plan. If the 3 are reasonably designed to achieve regulatory organization. The Exchange determines that any violation is not compliance with applicable securities Commission is publishing this notice to minor in nature, the Exchange may, at its laws and regulations, and with solicit comments on the proposed rule discretion, proceed under the Rule 10.9000 Series rather than under this Rule. applicable NYSE rules. Both NYSE change, as modified by Amendment No. Rules 3110(a) and (b)(1) are separately 1, from interested persons, and is The language is based on NYSE Arca, eligible for a minor rule fine under the approving the proposed rule change, as Inc. (‘‘NYSE Arca’’) Rule 10.9217(d). NYSE’s version of Rule 9217.4 modified by Amendment No. 1, on an Existing paragraphs (d) through (f) of To effectuate this change, the accelerated basis. Rule 9217 would become paragraphs (e), Exchange proposes to add ‘‘Failure to I. The Exchange’s Description of the (f) and (g). comply with the supervision Proposed Rule Change, as Modified by Second, the Exchange proposes to add requirements of Rules 11.3.2 and Amendment No. 1 Rules 11.3.2 (Violations Prohibited), 11.5.1’’ and ‘‘Failure to comply with the 11.5.1 (Written Procedures) and 11.5.2 supervision requirements of Rules The Exchange proposes to add the (Responsibility of ETP Holders) to the 11.3.2 and Rule 11.5.2’’ to the list of rule Exchange’s supervision rules to the list list of rules in Rule 10.9217 eligible for violations in current subparagraph (e) of of minor rule violations in Rule 10.9217. disposition pursuant to a fine under Rule 9217 titled ‘‘Record Keeping and This Amendment No. 1 to SR– Rule 10.9216(b). Rules 11.3.2, 11.5.1 Other Minor Rule Violations.’’ As noted NYSENat–2020–12 replaces SR– and 11.5.2 are the Exchange’s above, subparagraph (e) of Rule 9217 NYSENat–2020–12 as originally filed supervision rules for equities trading. would become new subparagraph (f). and supersedes such filing in its Rule 11.3.2 provides that no ETP Similarly, the Exchange would add entirety. The proposed rule change is Holder shall engage in conduct in two new entries to the Fine Schedule in available on the Exchange’s website at violation of the Exchange Act, the rules current Rule 9217(f)(2), which would www.nyse.com, at the principal office of or regulations thereunder, the By-Laws, become subparagraph (g)(2). First, the the Exchange, and at the Commission’s or Exchange Rules, and that every ETP Exchange would add a new number 4 to Public Reference Room. Holder shall supervise persons the chart in subparagraph (f)(2) titled II. Self-Regulatory Organization’s associated with the ETP Holder as to ‘‘Failure to comply with the supervision Statement of the Purpose of, and assure compliance with those requirements as set forth in Rules 11.3.2 Statutory Basis for, the Proposed Rule requirements. and 11.5.1’’ and corresponding Change Rule 11.5.1 governs written proposed fine levels of $2,000 for a first procedures and requires ETP Holders to level fine, $4,000 for a second level fine, In its filing with the Commission, the establish, maintain, and enforce written and $5,000 for a third level fine. self-regulatory organization included procedures to supervise properly the Second, the Exchange would add a new activities of its Associated Persons and number 5 to the chart in subparagraph 1 15 U.S.C. 78s(b)(1). to assure their compliance with (f)(2) titled ‘‘Failure to comply with the 2 17 CFR 240.19b–4. 3 In Amendment No. 1, the Exchange clarified the applicable securities laws, rules, supervision requirements as set forth in relationship between its supervisory rules and those regulations and statements of policy of its affiliate. promulgated thereunder, with the rules 4 See NYSE Rules 3110 (Supervision) & 9217.
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Rules 11.3.2 and 11.5.2’’ and are each separately eligible for a minor Commission, 100 F Street NE, corresponding proposed fine levels of rule fine under NYSE Rule 9217.8 Washington, DC 20549–1090. $2,000 for a first level fine, $4,000 for The Exchange further believes that the All submissions should refer to File a second level fine, and $5,000 for a proposed amendments to Rule 10.9217 Number SR–NYSENAT–2020–12. This third level fine. are consistent with Section 6(b)(6) of the file number should be included on the The proposed fine levels are Act,9 which provides that members and subject line if email is used. To help the consistent with current Exchange fine persons associated with members shall Commission process and review your levels and comparable to those in the be appropriately disciplined for comments more efficiently, please use NYSE fine schedule.5 violation of the provisions of the rules only one method. The Commission will 2. Statutory Basis of the exchange, by expulsion, post all comments on the Commission’s suspension, limitation of activities, internet website (http://www.sec.gov/ The proposed rule change is functions, and operations, fine, censure, rules/sro.shtml). Copies of the consistent with Section 6(b) of the Act,6 being suspended or barred from being submission, all subsequent in general, and furthers the objectives of associated with a member, or any other amendments, all written statements Section 6(b)(5),7 in particular, because it fitting sanction. As noted, the proposed with respect to the proposed rule is designed to prevent fraudulent and rule change would provide the change that are filed with the manipulative acts and practices, to Exchange ability to sanction minor or Commission, and all written promote just and equitable principles of technical violations pursuant to the communications relating to the trade, to foster cooperation and Exchange’s rules. proposed rule change between the coordination with persons engaged in facilitating transactions in securities, to B. Self-Regulatory Organization’s Commission and any person, other than remove impediments to, and perfect the Statement on Burden on Competition those that may be withheld from the mechanism of, a free and open market public in accordance with the The Exchange does not believe that provisions of 5 U.S.C. 552, will be and a national market system and, in the proposed rule change will impose general, to protect investors and the available for website viewing and any burden on competition that is not printing in the Commission’s Public public interest. necessary or appropriate in furtherance Minor rule fines provide a meaningful Reference Room, 100 F Street NE, of the purposes of the Act. The Washington, DC 20549 on official sanction for minor or technical proposed change is not designed to violations of rules. The Exchange business days between the hours of address any competitive issue but rather 10:00 a.m. and 3:00 p.m. Copies of the believes that the proposed rule change to update the Exchange’s rules to will strengthen the Exchange’s ability to filing also will be available for strengthen the Exchange’s ability to carry out its oversight and enforcement inspection and copying at the principal carry out its oversight and enforcement responsibilities in cases where full office of the Exchange. All comments functions and deter potential violative disciplinary proceedings are received will be posted without change. conduct. unwarranted in view of the minor Persons submitting comments are nature of the particular violation. C. Self-Regulatory Organization’s cautioned that we do not redact or edit Specifically, the proposed rule change is Statement on Comments on the personal identifying information from designed to prevent fraudulent and Proposed Rule Change Received From comment submissions. You should manipulative acts and practices because Members, Participants, or Others submit only information that you wish to make available publicly. All it will provide the Exchange the ability No written comments were solicited to issue a minor rule fine for violations submissions should refer to File or received with respect to the proposed Number SR–NYSENAT–2020–12 and of its rules governing supervision rule change. requirements in situations where either should be submitted on or before April a cautionary action letter or a more III. Solicitation of Comments on the 28, 2020. formal disciplinary action may not be Proposed Rule Change, as Modified by IV. Commission’s Findings and Order warranted or appropriate. Amendment No. 1 Granting Accelerated Approval of In addition, the Exchange believes Interested persons are invited to Proposed Rule Change, as Modified by that adding rules based on the rules of submit written data, views, and Amendment No. 1 its affiliate to the Exchange’s minor rule arguments concerning the foregoing, The Commission finds that the plan would promote fairness and including whether the proposed rule consistency in the marketplace by proposed rule change, as modified by change, as modified by Amendment No. Amendment No. 1, is consistent with permitting the Exchange to issue a 1, is consistent with the Act. Comments minor rule fine for violations of the requirements of the Act and the may be submitted by any of the rules and regulations thereunder substantially similar rules that are following methods: eligible for minor rule treatment on the applicable to a national securities 10 Exchange’s affiliate, thereby Electronic Comments exchange. In particular, the Commission finds that the proposed harmonizing minor rule plan fines • Use the Commission’s internet rule change, as modified by Amendment across affiliated exchanges for the same comment form (http://www.sec.gov/ No. 1, is consistent with Section 6(b)(5) conduct. As noted above, Rules 11.3.2, rules/sro.shtml); or of the Act,11 which requires that the 11.5.1 and 11.5.2 are substantially • Send an email to rule-comments@ rules of an exchange be designed to similar to certain provisions of NYSE sec.gov. Please include File Number SR– promote just and equitable principles of Rule 3110. NYSE Rule 3110(a) and (b)(1) NYSENAT–2020–12 on the subject line. trade, to remove impediments and to 5 See NYSE 9217. The Exchange notes that it must Paper Comments perfect the mechanism of a free and provide the Commission prompt notice of any • Send paper comments in triplicate violation with sanction over $2,500, in accordance 10 In approving this proposed rule change, the with Securities Exchange Act Rule 19d–1(c). See 17 to Secretary, Securities and Exchange Commission has considered the proposed rule’s CFR 240.19d–1(c). impact on efficiency, competition, and capital 6 15 U.S.C. 78f(b). 8 See note 4, supra. formation. See 15 U.S.C. 78c(f). 7 15 U.S.C. 78f(b)(5). 9 15 U.S.C. 78f(b)(6). 11 15 U.S.C. 78f(b)(5).
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open market and a national market and-comment period is not necessary II. Clearing Agency’s Statement of the system, and, in general, to protect before approving the proposal. Purpose of, and Statutory Basis for, the investors and the public interest. The Proposed Rule Change V. Conclusion Commission also believes that the In its filing with the Commission, ICC proposed rule change, as modified by It is therefore ordered, pursuant to included statements concerning the Amendment No. 1, is consistent with Section 19(b)(2) of the Act 16 and Rule purpose of and basis for the proposed Sections 6(b)(1) and 6(b)(6) of the Act 12 19d–1(c)(2) thereunder,17 that the rule change, security-based swap which require that the rules of an proposed rule change (SR–NYSENAT– submission, or advance notice and exchange enforce compliance with, and 2020–12), as modified by Amendment discussed any comments it received on provide appropriate discipline for, the proposed rule change, security- violations of Commission and Exchange No. 1 be, and hereby is, approved on an accelerated basis. based swap submission, or advance rules. Finally, the Commission finds notice. The text of these statements may that the proposal, as modified by For the Commission, by the Division of be examined at the places specified in Amendment 1, is consistent with the Trading and Markets, pursuant to delegated Item IV below. ICC has prepared public interest, the protection of authority.18 summaries, set forth in sections (A), (B), investors, or otherwise in furtherance of J. Matthew DeLesDernier, and (C) below, of the most significant the purposes of the Act, as required by Assistant Secretary. aspects of these statements. Rule 19d–1(c)(2) under the Act,13 which governs minor rule violation plans. [FR Doc. 2020–07234 Filed 4–6–20; 8:45 am] (A) Clearing Agency’s Statement of the As stated above, the Exchange BILLING CODE 8011–01–P Purpose of, and Statutory Basis for, the proposes to add the Exchange’s Proposed Rule Change supervision rules to the list of Minor (a) Purpose Rule violations. Similar supervision SECURITIES AND EXCHANGE rules are eligible for a minor rule fine COMMISSION The purpose of the proposed rule under an affiliated exchange. The change is to adopt rules that will Commission believes that the proposed [Release No. 34–88537; File No. SR–ICC– provide the basis for ICC to clear rule, as modified by Amendment No. 1, 2020–003] additional credit default swap contracts. provides a reasonable means of ICC proposes to make such changes addressing violations that do not rise to Self-Regulatory Organizations; ICE effective following Commission the level of requiring formal Clear Credit LLC; Notice of Filing of approval of the proposed rule change. disciplinary proceedings, while Proposed Rule Change Relating to the ICC believes the addition of these providing greater flexibility in handling Clearance of Additional Credit Default contracts will benefit the market for certain violations. However, the Swap Contracts credit default swaps by providing Commission expects, as suggested by market participants the benefits of the Exchange’s proposed introduction to April 1, 2020. clearing, including reduction in counterparty risk and safeguarding of its Rule 10.9217, that the Exchange will Pursuant to Section 19(b)(1) of the margin assets pursuant to clearing house continue to conduct surveillance with Securities Exchange Act of 1934,1 and due diligence and make determinations 2 rules. Clearing of the additional EM Rule 19b–4, notice is hereby given that Contract and the additional SWES based on its findings, on a case-by-case on March 26, 2020, ICE Clear Credit LLC basis, regarding whether a sanction Contracts (collectively, the ‘‘EM and (‘‘ICC’’) filed with the Securities and SWES Contracts’’) will not require any under the rule is appropriate, or Exchange Commission (‘‘SEC’’ or the whether a violation requires formal changes to ICC’s Risk Management ‘‘Commission’’) the proposed rule disciplinary action. The Commission Framework or other policies and change as described in Items I, II, and further notes that, as before, the procedures constituting rules within the Exchange must give the Commission III below, which Items have been meaning of the Securities Exchange Act prompt notice of any violation with prepared primarily by ICC. The of 1934 (‘‘Act’’). sanction over $2,500, in accordance Commission is publishing this notice to ICC proposes amending Subchapter with Securities Exchange Act Rule 19d– solicit comments on the proposed rule 26D of its Rules to provide for the 1(c).14 Accordingly, the Commission change from interested persons. clearance of the additional EM Contract, namely the Republic of Croatia. This believes the proposal, as modified by I. Clearing Agency’s Statement of the Amendment No. 1 raises no novel or additional EM Contract has terms Terms of Substance of the Proposed consistent with the other EM Contracts significant issues. Rule Change For the same reasons discussed above, approved for clearing at ICC and the Commission finds good cause, The principal purpose of the governed by Subchapter 26D of the Rules. Minor revisions to Subchapter pursuant to Section 19(b)(2) of the proposed rule change is to revise the 15 26D (Standard Emerging Market Act, for approving the proposed rule ICC Rulebook (the ‘‘Rules’’) to provide change, as modified by Amendment No. Sovereign (‘‘SES’’) Single Name) are for the clearance of an additional made to provide for clearing the 1, prior to the thirtieth day after the date Standard Emerging Market Sovereign of publication of the notice of the filing additional EM Contract. Specifically, in CDS contract (the ‘‘EM Contract’’) and Rule 26D–102 (Definitions), ‘‘Eligible thereof in the Federal Register. The additional Standard Western European proposal merely adds rules and SES Reference Entities’’ is modified to Sovereign CDS contracts (collectively, language already in use at affiliated include the Republic of Croatia in the the ‘‘SWES Contracts’’). exchanges. Accordingly, the list of specific Eligible SES Reference Commission believes that a full notice- Entities to be cleared by ICC. 16 15 U.S.C. 78s(b)(2). Additionally, ICC proposes amending 17 12 15 U.S.C. 78f(b)(1) and 78f(b)(6). 17 CFR 240.19d–1(c)(2). Subchapter 26I of its Rules to provide 13 17 CFR 240.19d–1(c)(2). 18 17 CFR 200.30–3(a)(12). for the clearance of the additional SWES 14 See 17 CFR 240.19d–1(c). 1 15 U.S.C. 78s(b)(1). Contracts, namely the Republic of 15 15 U.S.C. 78s(b)(2). 2 17 CFR 240.19b–4. Finland and the Hellenic Republic.
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These additional SWES Contracts have implement, maintain and enforce end of the settlement day, and require terms consistent with the other SWES written policies and procedures that intraday or real-time finality be Contracts approved for clearing at ICC reasonably designed to use margin provided where necessary to reduce and governed by Subchapter 26I of the requirements to limit its credit risks; and state to its participants ICC’s Rules. Minor revisions to Subchapter exposures to participants under normal obligations with respect to physical 26I (Standard Western European market conditions and use risk-based deliveries and identify and manage the Sovereign (‘‘SWES’’) Single Name) are models and parameters to set margin risks from these obligations. ICC will made to provide for clearing the requirements. In terms of financial use its existing settlement procedures additional SWES Contracts. resources, ICC will apply its existing and account structures for the new EM Specifically, in Rule 26I–102 initial margin methodology to the new and SWES Contracts, which are similar (Definitions), ‘‘Eligible SWES Reference EM and SWES Contracts, which are to the EM and SWES Contracts currently Entities’’ is modified to include the similar to the EM and SWES Contracts cleared by ICC, consistent with the Republic of Finland and the Hellenic currently cleared by ICC. ICC believes requirements of Rule 17Ad–22(d)(5), Republic in the list of specific Eligible that this model will provide sufficient (12) and (15) 13 as to the finality and SWES Reference Entities to be cleared initial margin requirements to cover its accuracy of its daily settlement process by ICC. credit exposure to its clearing members and avoidance of the risk to ICC of settlement failures. (b) Statutory Basis from clearing such contracts, consistent with the requirements of Rule 17Ad– Governance Arrangements. Rule Section 17A(b)(3)(F) of the Act 3 22(b)(2).7 17Ad–22(d)(8) 14 requires ICC to requires, among other things, that the Financial Resources. Rule 17Ad– establish, implement, maintain and rules of a clearing agency be designed to 22(b)(3) 8 requires ICC to establish, enforce written policies and procedures promote the prompt and accurate implement, maintain and enforce reasonably designed to have governance clearance and settlement of securities written policies and procedures arrangements that are clear and transactions and, to the extent reasonably designed to maintain transparent to fulfill the public interest applicable, derivative agreements, financial resources sufficient to requirements in Section 17A of the contracts, and transactions; to assure the withstand, at a minimum, a default by Act 15 applicable to clearing agencies, to safeguarding of securities and funds the two participant families to which it support the objectives of owners and which are in the custody or control of has the largest exposures in extreme but participants, and to promote the ICC or for which it is responsible; and plausible market conditions. ICC effectiveness of ICC’s risk management to comply with the provisions of the Act believes its Guaranty Fund, under its procedures. ICC determined to accept and the rules and regulations existing methodology, will, together the additional EM and SWES Contracts thereunder. The additional EM and with the required initial margin, provide for clearing in accordance with its SWES Contracts proposed for clearing sufficient financial resources to support governance process, which included are similar to the EM and SWES the clearing of the additional EM and review of the contracts and related risk Contracts currently cleared by ICC, and SWES Contracts, consistent with the management considerations by the ICC will be cleared pursuant to ICC’s requirements of Rule 17Ad–22(b)(3).9 Risk Committee and approval by its existing clearing arrangements and Operational Resources. Rule 17Ad– Board. These governance arrangements related financial safeguards, protections 22(d)(4) 10 requires ICC to establish, continue to be clear and transparent, and risk management procedures. implement, maintain and enforce such that information relating to the Clearing of the additional EM and SWES written policies and procedures assignment of responsibilities and the Contracts will allow market participants reasonably designed to identify sources requisite involvement of the ICC Board an increased ability to manage risk and of operational risk and minimize them and committees is clearly detailed in the ensure the safeguarding of margin assets through the development of appropriate ICC Rules and policies and procedures, pursuant to clearing house rules. ICC systems, controls and procedures. ICC consistent with the requirements of Rule believes that acceptance of the new EM believes that its existing operational and 17Ad–22(d)(8).16 and SWES Contracts, on the terms and managerial resources will be sufficient Default Procedures. Rule 17Ad– conditions set out in the Rules, is for clearing of the additional EM and 22(d)(11) 17 requires ICC to establish, consistent with the prompt and accurate SWES Contracts, consistent with the implement, maintain and enforce clearance and settlement of securities requirements of Rule 17Ad–22(d)(4),11 written policies and procedures transactions and derivative agreements, as these new contracts are substantially reasonably designed to establish default contracts and transactions cleared by the same from an operational procedures that ensure that it can take ICC, the safeguarding of securities and perspective as existing contracts. timely action to contain losses and funds in the custody or control of ICC Settlement Procedures. Rule 17Ad– liquidity pressures and to continue or for which it is responsible, and the 22(d)(5), (12) and (15) 12 requires ICC to meeting its obligations in the event of a protection of investors and the public establish, implement, maintain and participant default. ICC will apply its interest, within the meaning of Section enforce written policies and procedures existing default management policies 17A(b)(3)(F) of the Act.4 reasonably designed to employ money and procedures for the additional EM Clearing of the additional EM and settlement arrangements that eliminate and SWES Contracts. ICC believes that SWES Contracts will also satisfy the or strictly limit ICC’s settlement bank these procedures allow for it to take relevant requirements of Rule 17Ad– risks and require funds transfers to ICC timely action to contain losses and 22,5 as set forth in the following to be final when effected; ensure that liquidity pressures and to continue discussion. final settlement occurs no later than the meeting its obligations in the event of Margin Requirements. Rule 17Ad– clearing member insolvencies or 22(b)(2) 6 requires ICC to establish, 7 Id. 8 17 CFR 240.17Ad–22(b)(3). 13 Id. 3 15 U.S.C. 78q–1(b)(3)(F). 9 Id. 14 17 CFR 240.17Ad–22(d)(8). 4 Id. 10 17 CFR 240.17Ad–22(d)(4). 15 15 U.S.C. 78q–1. 5 17 CFR 240.17Ad–22. 11 Id. 16 17 CFR 240.17Ad–22(d)(8). 6 17 CFR 240.17Ad–22(b)(2). 12 17 CFR 240.17Ad–22(d)(5), (12) and (15). 17 17 CFR 240.17Ad–22(d)(11).
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defaults in respect of the additional Commission, 100 F Street NE, SECURITIES AND EXCHANGE single names, in accordance with Rule Washington, DC 20549. COMMISSION 17Ad–22(d)(11).18 All submissions should refer to File [Release No. 34–88539; File Nos. SR–NYSE– (B) Clearing Agency’s Statement on Number SR–ICC–2020–003. This file 2020–05, SR–NYSECHX–2020–02, SR– Burden on Competition number should be included on the NYSEAMER–2020–05, SR–NYSEArca–2020– 08, SR–NYSENAT–2020–03] The additional EM and SWES subject line if email is used. To help the Contracts will be available to all ICC Commission process and review your Self-Regulatory Organizations; New participants for clearing. The clearing of comments more efficiently, please use York Stock Exchange LLC, NYSE these additional EM and SWES only one method. The Commission will Chicago, Inc., NYSE American LLC, Contracts by ICC does not preclude the post all comments on the Commission’s NYSE Arca, Inc., and NYSE National, offering of the additional EM and SWES internet website (http://www.sec.gov/ Inc.; Notice of Designation of a Longer Contracts for clearing by other market rules/sro.shtml). Copies of the Period for Commission Action on participants. Accordingly, ICC does not submission, all subsequent Proposed Rule Changes To Establish a believe that clearance of the additional amendments, all written statements Schedule of Wireless Connectivity EM and SWES Contracts will impose with respect to the proposed rule Fees and Charges With Wireless any burden on competition not change that are filed with the Connections Between the Mahwah, necessary or appropriate in furtherance Commission, and all written New Jersey Data Center and Other of the purposes of the Act. communications relating to the Data Centers (C) Clearing Agency’s Statement on proposed rule change between the April 1, 2020 Comments on the Proposed Rule Commission and any person, other than On January 30, 2020, New York Stock Change Received From Members, those that may be withheld from the Exchange LLC, NYSE Chicago, Inc., Participants or Others public in accordance with the NYSE American LLC, NYSE Arca, Inc., Written comments relating to the provisions of 5 U.S.C. 552, will be and NYSE National, Inc. each filed with proposed rule change have not been available for website viewing and the Securities and Exchange solicited or received. ICC will notify the printing in the Commission’s Public Commission (‘‘Commission’’), pursuant Commission of any written comments Reference Room, 100 F Street NE, to Section 19(b)(1) of the Securities received by ICC. Washington, DC 20549, on official Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule III. Date of Effectiveness of the business days between the hours of change to establish a schedule of Proposed Rule Change and Timing for 10:00 a.m. and 3:00 p.m. Copies of such Wireless Connectivity Fees and Charges Commission Action filings will also be available for inspection and copying at the principal with wireless connections between the Within 45 days of the date of Mahwah, New Jersey data center and publication of this notice in the Federal office of ICE Clear Credit and on ICE Clear Credit’s website at https:// other data centers. The proposed rule Register or within such longer period changes were published for comment in www.theice.com/clear-credit/regulation. up to 90 days (i) as the Commission may the Federal Register on February 18, designate if it finds such longer period All comments received will be posted 2020.3 The Commission has received to be appropriate and publishes its without change. Persons submitting comment letters on the proposed rule reasons for so finding or (ii) as to which comments are cautioned that we do not changes.4 the self-regulatory organization redact or edit personal identifying Section 19(b)(2) of the Act 5 provides consents, the Commission will: information from comment submissions. that within 45 days of the publication of (A) By order approve or disapprove You should submit only information notice of the filing of a propose rule such proposed rule change, or that you wish to make available change, or within such longer period up (B) institute proceedings to determine publicly. All submissions should refer to 90 days as the Commission may whether the proposed rule change to File Number SR–ICC–2020–003 and designate if it find such longer period to should be disapproved. should be submitted on or before April be appropriate and published its reasons IV. Solicitation of Comments 28, 2020. for so finding or as to which the self- regulatory organization consents, the Interested persons are invited to For the Commission, by the Division of Commission shall either approve the submit written data, views, and Trading and Markets, pursuant to delegated proposed rule change, disapprove the arguments concerning the foregoing, 19 authority. proposed rule change, or institute including whether the proposed rule J. Matthew DesLesDernier, proceedings to determine whether the change is consistent with the Act. Assistant Secretary. Comments may be submitted by any of [FR Doc. 2020–07230 Filed 4–6–20; 8:45 am] 1 15 U.S.C. 78s(b)(1). the following methods: 2 17 CFR 240.19b–4. BILLING CODE 8011–01–P Electronic Comments 3 See Securities Exchange Act Release Nos. 88168 (February 11, 2020), 85 FR 8938 (February 18, 2020) • Use the Commission’s internet (SR–NYSE–2020–05); 88172 (February 11, 2020), 85 comment form (http://www.sec.gov/ FR 8923 (February 18, 2020) (SR–NYSECHX–2020– rules/sro.shtml); or 02); 88169 (February 11, 2020), 85 FR 8946 • (February 18, 2020) (SR–NYSEAMER–2020–05); Send an email to rule-comments@ 88170 (February 11, 2020), 85 FR 8956 (February sec.gov. Please include File Number SR– 18, 2020) (SR–NYSEArca–2020–08); and 88171 ICC–2020–003 on the subject line. (February 11, 2020), 85 FR 8930 (February 18, 2020) (SR–NYSENAT–2020–03) (collectively, the Paper Comments ‘‘Notices’’). Send paper comments in triplicate to 4 Comments received on the Notices are available on the Commission’s website at: https:// Secretary, Securities and Exchange www.sec.gov/comments/sr-nyse-2020–05/ srnyse202005.htm. 18 Id. 19 17 CFR 200.30–3(a)(12). 5 15 U.S.C. 78s(b)(2).
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proposed rule change should be Rowe Price Growth Stock ETF, and T. 92 as originally filed and supersedes disapproved. The 45th day after Rowe Price Equity Income ETF such filing in its entirety. publication of the Notices for these (‘‘Funds’’).3 The proposed rule change The proposed change is available on proposed rule changes is April 3, 2020. was published for comment in the the Exchange’s website at The Commission is extending this 45- Federal Register on January 3, 2020.4 www.nyse.com, at the principal office of day period. On February 13, 2020, pursuant to the Exchange, and at the Commission’s The Commission find that it is Section 19(b)(2) of the Exchange Act,5 Public Reference Room. appropriate to designate a longer period the Commission designated a longer III. Self-Regulatory Organization’s within which to take action on the period within which to approve the Statement of the Purpose of, and proposed rule changes so that it has proposed rule change, disapprove the Statutory Basis for, the Proposed Rule sufficient time to consider the proposed proposed rule change, or institute Change rule changes and the comment letters. proceedings to determine whether to In its filing with the Commission, the Accordingly, pursuant to Section disapprove the proposed rule change.6 6 self-regulatory organization included 19(b)(2) of the Act, the Commission On March 31, 2020, the Exchange filed statements concerning the purpose of, designates May 18, 2020, as the date by Amendment No. 1 to the proposed rule and basis for, the proposed rule change which the Commission shall either change, which replaced and superseded and discussed any comments it received approve or disapprove, or institute the proposed rule change as originally on the proposed rule change. The text proceedings to determine whether to filed.7 The Commission has received no of those statements may be examined at approve or disapprove, the proposed comments on the proposed rule change. the places specified in Item IV below. rule changes (File Nos. SR–NYSE–2020– The Commission is publishing this 05, SR–NYSECHX–2020–02, SR– The Exchange has prepared summaries, notice and order to solicit comments on set forth in sections A, B, and C below, NYSEAMER–2020–05, SR–NYSEArca– the proposed rule change, as modified 2020–08, SR–NYSENAT–2020–03). of the most significant parts of such by Amendment No. 1, from interested statements. For the Commission, by the Division of persons and to institute proceedings Trading and Markets, pursuant to delegated pursuant to Section 19(b)(2)(B) of the A. Self-Regulatory Organization’s authority.7 Act 8 to determine whether to approve Statement of the Purpose of, and J. Matthew DeLesDernier, or disapprove the proposed rule change, Statutory Basis for, the Proposed Rule Assistant Secretary. as modified by Amendment No. 1. Change [FR Doc. 2020–07232 Filed 4–6–20; 8:45 am] II. The Exchange’s Description of the 1. Purpose BILLING CODE 8011–01–P Proposed Rule Change, as Modified by The Exchange has proposed to add Amendment No. 1 new NYSE Arca Rule 8.601–E for the purpose of permitting the listing and SECURITIES AND EXCHANGE The Exchange proposes to list and COMMISSION trading, or trading pursuant to unlisted trade shares of the following under trading privileges (‘‘UTP’’), of Active [Release No. 34–88535; File No. SR– proposed NYSE Arca Rule 8.601–E Proxy Portfolio Shares, which are NYSEArca–2019–92] (Active Proxy Portfolio Shares): T. Rowe securities issued by an actively managed Price Blue Chip Growth ETF; T. Rowe open-end investment management Self-Regulatory Organizations; NYSE Price Dividend Growth ETF; T. Rowe 9 Arca, Inc.; Notice of Filing of company. Proposed Commentary .02 to Price Growth Stock ETF; and T. Rowe Rule 8.601–E would require the Amendment No. 1 and Order Instituting Price Equity Income ETF. This Proceedings To Determine Whether To Exchange to file separate proposals Amendment No. 1 to SR–NYSEArca– under Section 19(b) of the Act before Approve or Disapprove a Proposed 2019–92 replaces SR–NYSEArca–2019– listing and trading any series of Active Rule Change, as Modified by Proxy Portfolio Shares on the Exchange. Amendment No. 1, To List and Trade 3 The Exchange originally proposed to adopt Therefore, the Exchange is submitting Four Series of Active Proxy Portfolio NYSE Arca Rule 8.601–E to permit the Exchange to this proposal in order to list and trade Shares Issued by T. Rowe Price list and trade Managed Portfolio Securities, and to shares (‘‘Shares’’) of the T. Rowe Price Exchange-Traded Funds, Inc. Under list and trade shares of the Funds under proposed Blue Chip Growth ETF; T. Rowe Price Proposed NYSE Arca Rule 8.601–E Exchange Rule 8.601–E (Managed Portfolio Securities). In Amendment No. 1, the Exchange Dividend Growth ETF; T. Rowe Price removed the proposal to adopt proposed NYSE Growth Stock ETF; and T. Rowe Price April 1, 2020. Arca Rule 8.601–E (Managed Portfolio Securities) I. Introduction and revised the proposal to seek to list and trade shares of the Funds under proposed NYSE Arca 9 See Amendment 2 to SR–NYSEArca–2019–95, On December 23, 2019, NYSE Arca, Rule 8.601–E (Active Proxy Portfolio Shares). See filed on March 31, 2020. Proposed Rule 8.601– Inc. (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed Amendment No. 1, infra note 7. See also E(c)(1) provides that the term ‘‘Active Proxy Amendment 2 to SR–NYSEArca–2019–95 Portfolio Share’’ means a security that (a) is issued with the Securities and Exchange (proposing to adopt NYSE Arca Rule 8.601–E to list by a registered investment company (‘‘Investment Commission (‘‘Commission’’), pursuant and trade Active Proxy Portfolio Shares, available Company’’) organized as an open-end management to Section 19(b)(1) of the Securities on the Commission’s website at https:// investment company that invests in a portfolio of 1 www.sec.gov/comments/sr-nysearca-2019-95/ securities selected by the Investment Company’s Exchange Act of 1934 (‘‘Act’’) and Rule investment adviser consistent with the Investment 19b–4 thereunder,2 a proposed rule srnysearca201995.htm). 4 See Securities Exchange Act Release No. 87865 Company’s investment objectives and policies; (b) is issued in a Creation Unit, or multiples thereof, change to list and trade the following (Dec. 30, 2019), 85 FR 380 (‘‘Notice’’). in return for a deposit by the purchaser of the Proxy Active Proxy Portfolio Shares under 5 15 U.S.C. 78s(b)(2). Portfolio and/or cash with a value equal to the next proposed NYSE Arca Rule 8.601–E: T. 6 See Securities Exchange Act Release No. 88197, determined net asset value (‘‘NAV’’); (c) when Rowe Price Blue Chip Growth ETF, T. 85 FR 9887 (Feb. 20, 2020). The Commission aggregated in the same specified minimum number Rowe Price Dividend Growth ETF, T. designated April 2, 2020, as the date by which the of Active Proxy Portfolio Shares, or multiples Commission shall approve or disapprove, or thereof, may be redeemed at a holder’s request in institute proceedings to determine whether to return for a transfer of the Proxy Portfolio and/or 6 15 U.S.C. 78s(b)(2). disapprove, the proposed rule change. cash to the holder by the issuer with a value equal 7 17 CFR 200.30–3(a)(31). 7 Amendment No. 1 is available on the to the next determined NAV; and (d) the portfolio 1 15 U.S.C. 78s(b)(1). Commission’s website at https://www.sec.gov/. holdings for which are disclosed within at least 60 2 17 CFR 240.19b–4. 8 15 U.S.C. 78s(b)(2)(B). days following the end of every fiscal quarter.
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Equity Income ETF (each a ‘‘Fund’’ and, holdings disclosure requirements the Funds will be T. Rowe Price collectively, the ‘‘Funds’’) under applicable to other registered open-end Associates, Inc. (‘‘Adviser’’). State Street proposed Rule 8.601–E. funds, including traditional mutual Bank and Trust Co. will serve as the funds.13 Second, in connection with the Funds’ transfer agent, administrator and Key Features of Active Proxy Portfolio creation and redemption of Active custodian (the ‘‘Transfer Agent’’, Shares Proxy Portfolio Shares, such creation or ‘‘Administrator’’, or ‘‘Custodian’’). T. While funds issuing Active Proxy redemption may be in exchange for a Rowe Price Investment Services, Inc., a Portfolio Shares will be actively- fund’s Proxy Portfolio and/or cash with registered broker dealer and an affiliate managed and, to that extent, will be a value equal to the next determined of the Adviser, will serve as the similar to Managed Fund Shares listed NAV. The Proxy Portfolio is designed to distributor (‘‘Distributor’’) of the Shares. and traded under NYSE Arca Rule serve as a pricing signal for low-risk Proposed Commentary .04 to NYSE 8.600–E,10 Active Proxy Portfolio Shares arbitrage trades in shares of Active Arca Rule 8.601–E provides that, if the differ from Managed Fund Shares in the Proxy Portfolio Shares generally. investment adviser to the Investment following important respects. First, in Market makers have indicated to the Company issuing Active Proxy Portfolio contrast to Managed Fund Shares, for Exchange that there will be sufficient Shares is registered as a broker-dealer or which a fund’s ‘‘Disclosed Portfolio’’ is data to engage in arbitrage trades in is affiliated with a broker-dealer, such required to be disseminated at least Active Proxy Portfolio Shares with investment adviser will erect and once daily,11 the full portfolio holdings accuracy and minimal risk. In addition, maintain a ‘‘fire wall’’ between the for a series of Active Proxy Portfolio market makers have indicated that they investment adviser and personnel of the Shares will not be made available on a are incented to engage in arbitrage broker-dealer or broker-dealer affiliate, daily basis. Rather, a fund’s ‘‘Actual trades when the risk of the trade is low. as applicable, with respect to access to Portfolio’’ 12 will be publicly disclosed However, they cannot know with any information concerning the composition within at least 60 days following the certainty the precise risk of an arbitrage and/or changes to such Investment end of every fiscal quarter in accordance trade on the current or any future Company’s Actual Portfolio and/or and in compliance with the portfolio Business Day. Rather, they must use Proxy Portfolio. Any person related to information from the past to evaluate the investment adviser or Investment 10 The Commission has previously approved the likely risk of an arbitrage trade Company who makes decisions listing and trading on the Exchange of a number of executed today or in the future. More issues of Managed Fund Shares under Rule 8.600– pertaining to the Investment Company’s E. A Managed Fund Share is a security that specifically, it is understood that they portfolio composition or has access to represents an interest in an investment company must use historical data about the non-public information regarding the registered under the Investment Company Act of performance of a fund whose shares are Investment Company’s Actual Portfolio 1940 (15 U.S.C. 80a–1) (‘‘1940 Act’’) organized as being arbitraged and the performance of an open-end investment company or similar entity or changes thereto or the Proxy Portfolio that invests in a portfolio of securities selected by the fund’s Proxy Portfolio. From such must be subject to procedures its investment adviser consistent with its data, arbitrageurs may be able to reasonably designed to prevent the use investment objectives and policies. In contrast, an develop sufficient insight into the risk and dissemination of material non- open-end investment company that issues of an arbitrage trade to evaluate and Investment Company Units, listed and traded on public information regarding the Actual the Exchange under NYSE Arca Rule 5.2–E(j)(3), price it into the trade. Portfolio or changes thereto or the Proxy seeks to provide investment results that correspond Portfolio. generally to the price and yield performance of a Description of the Funds specific foreign or domestic stock index, fixed Proposed Commentary .04 is similar The Shares of each Fund will be to Commentary .03(a)(i) and (iii) to income securities index or combination thereof. issued by T. Rowe Price Exchange- See, e.g., Securities Exchange Act Release Nos. NYSE Arca Rule 5.2–E(j)(3); however, 57801 (May 8, 2008), 73 FR 27878 (May 14, 2008) Traded Funds, Inc. (‘‘Issuer’’), a Commentary .03(a) in connection with corporation organized under the laws of (SR–NYSEArca–2008–31) (order approving the establishment of a ‘‘fire wall’’ Exchange listing and trading of twelve actively- the State of Maryland, which may be between the investment adviser and the managed funds of the WisdomTree Trust); 76871 comprised of multiple separate series, (January 11, 2016), 81 FR 2261 (January 15, 2016) broker-dealer reflects the applicable and registered with the Commission as (SR–NYSEArca–2015–114) (Notice of Filing of open-end fund’s portfolio, not an Amendment No. 1 and Order Granting Accelerated an open-end management investment Approval of a Proposed Rule Change, as Modified 14 underlying benchmark index, as is the company. The investment adviser for 15 by Amendment No. 1, to List and Trade Shares of case with index-based funds. the Market Vectors Dynamic Put Write ETF under 13 A mutual fund is required to file with the NYSE Arca Equities Rule 8.600); 86636 (August 12, Commission its complete portfolio schedules for the statement on Form N–1A under the Securities Act 2019), 84 FR 42030 (August 16, 2019) (SR– second and fourth fiscal quarters on Form N–CSR of 1933 Act (‘‘1933 Act’’) (15 U.S.C. 77a) and under NYSEArca–2018–98) (Notice of Filing of under the 1940 Act, and is required to file its the 1940 Act relating to the Funds (File Nos. 333– Amendment No. 4 and Order Granting Accelerated complete portfolio schedules each month on Form 235450 and 811–23494) (the ‘‘Registration Approval of a Proposed Rule Change, as Modified N–PORT under the 1940 Act, within 60 days of the Statement’’). The Issuer filed a seventh amended by Amendment No. 4, to List and Trade Shares of end of each month. Information reported on Form application for an order under Section 6(c) of the the iShares Commodity Multi-Strategy ETF under N–PORT for the third month of the Fund’s fiscal 1940 Act for exemptions from various provisions of NYSE Arca Rule 8.600–E). quarter will be made publicly available 60 days the 1940 Act and rules thereunder (File No. 812– 11 NYSE Arca Rule 8.600–E(c)(2) defines the term after the end of the Fund’s fiscal quarter. Form N– 14214), dated October 16, 2019 (‘‘Application’’). On ‘‘Disclosed Portfolio’’ as the identities and PORT requires reporting of a fund’s complete December 10, 2019, the Commission issued an quantities of the securities and other assets held by portfolio holdings on a position-by-position basis order (‘‘Exemptive Order’’) under the 1940 Act the Investment Company that will form the basis for on a quarterly basis within 60 days after fiscal granting the exemptions requested in the the Investment Company’s calculation of NAV at quarter end. Investors can obtain a fund’s Statement Application (Investment Company Act Release No. the end of the Business Day. NYSE Arca Rule of Additional Information, its Shareholder Reports, 33713, December 10, 2019). Investments made by 8.600–E(d)(2)(B)(i) requires that the Disclosed its Form N–CSR, filed twice a year, and its Form the Funds will comply with the conditions set forth Portfolio be disseminated at least once daily and be N–CEN, filed annually. A fund’s statement of in the Application and the Exemptive Order. The made available to all market participants at the additional information (‘‘SAI’’) and Shareholder description of the operation of the Funds herein is same time. Reports are available free upon request from the based, in part, on the Registration Statement and 12 Proposed Rule 8.601–E(c)(2) provides that term Investment Company, and those documents and the the Application. ‘‘Actual Portfolio’’ means the identities and Form N–PORT, Form N–CSR, and Form N–CEN 15 An investment adviser to an open-end fund is quantities of the securities and other assets held by may be viewed on-screen or downloaded from the required to be registered under the Investment the Investment Company that shall form the basis Commission’s website at www.sec.gov. Advisers Act of 1940 (the ‘‘Advisers Act’’). As a for the Investment Company’s calculation of NAV 14 The Issuer is registered under the 1940 Act. On result, the Adviser and its related personnel will be at the end of the business day. December 11, 2019, the Issuer filed a registration Continued
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Commentary .04 is also similar to make such changes more frequently The Fund will normally invest at least Commentary .06 to Rule 8.600–E related than quarterly (for example, in 80% of its net assets in the common to Managed Fund Shares, except that connection with the release of a Fund’s stocks of a diversified group of growth proposed Commentary .04 relates to portfolio holdings). The Adviser will companies. While it may invest in establishment and maintenance of a publish a new Proxy Portfolio for a companies of any market capitalization, ‘‘fire wall’’ between the investment Fund only before the commencement of the Fund generally seeks investments in adviser and the broker-dealer applicable trading of such Fund’s Shares on that stocks of large-capitalization companies to an Investment Company’s Actual ‘‘Business Day,’’ 16 and the Adviser will with one or more of the following Portfolio and/or Proxy Portfolio, and not not make intra-day changes to the Proxy characteristics: Strong cash flow and an just to the underlying portfolio, as is the Portfolio except to correct errors in the above-average rate of earnings growth; case with Managed Fund Shares. published Proxy Portfolio. For the the ability to sustain earnings The Adviser is not registered as a reasons described herein, the Adviser momentum during economic broker-dealer but is affiliated with a believes that each Fund’s Proxy downturns; and occupation of a broker-dealer and has implemented and Portfolio will be a high-quality hedging lucrative niche in the economy and the will maintain a ‘‘fire wall’’ with respect vehicle, the value of which will provide ability to expand even during times of to such broker-dealer affiliate regarding arbitrageurs with a high quality pricing slow economic growth. The Fund access to information concerning the signal. generally will invest in U.S. and foreign composition and/or changes to a Fund’s The Fund’s holdings will conform to exchange-traded securities, U.S. portfolio. In the event (a) the Adviser the permissible investments as set forth exchange-traded futures, cash and cash becomes registered as a broker-dealer or in the Application and Exemptive Order equivalents. newly affiliated with a broker-dealer, or as described below in ‘‘Other (b) any new adviser is a registered Characteristics of the Funds,’’ and the T. Rowe Price Equity Income ETF broker-dealer or becomes affiliated with holdings will be consistent with all The investment objective of the T. a broker-dealer, it will implement and requirements in the Application and Rowe Price Equity Income ETF will be maintain a fire wall with respect to its Exemptive Order. to seek a high level of dividend income relevant personnel or broker-dealer and long-term capital growth. T. Rowe Price Blue Chip Growth ETF affiliate regarding access to information The Fund will normally invest at least concerning the composition and/or The investment objective of the T. 80% of its net assets in common stocks changes to the portfolio, and will be Rowe Price Blue Chip Growth ETF will listed in the United States, with an subject to procedures designed to be to seek to provide long-term capital emphasis on large-capitalization stocks prevent the use and dissemination of growth. Income will be a secondary that have a strong track record of paying material non-public information objective. dividends or that are believed to be regarding such portfolio. The Fund will normally invest at least undervalued. The Fund typically will 80% of its net assets in the common employ a ‘‘value’’ approach in selecting Description of the Funds stocks of large and medium-sized blue- investments. The Fund generally will According to the Application, for each chip growth companies that are listed in invest in U.S. and foreign exchange- Fund, the Adviser will identify its Proxy the United States. These are companies traded securities, U.S. exchange-traded Portfolio, which could be a broad-based that, in the Adviser’s view, are well futures, cash and cash equivalents. securities index (e.g., the S&P 500) or a established in their industries and have Fund’s recently disclosed portfolio the potential for above-average earnings Other Characteristics of the Funds holdings. The Proxy Portfolio will be growth. The Fund generally will invest With respect to the Funds, Shares will determined such that at least 80% of its in U.S. and foreign exchange-traded generally be issued and redeemed total assets will overlap with the securities, U.S. exchange-traded futures, primarily on an in-kind basis, but may portfolio weightings of a Fund. cash and cash equivalents. include cash under certain Although the Adviser may change a T. Rowe Price Dividend Growth ETF circumstances as described in the Fund’s Proxy Portfolio at any time, the Application.17 Adviser currently does not expect to The investment objective of the T. With respect to the Funds, in order to Rowe Price Dividend Growth ETF will provide a hedging vehicle whose subject to the provisions of Rule 204A–1 under the be to seek dividend income and long- performance reliably and highly Advisers Act relating to codes of ethics. This Rule term capital growth. correlates to the NAV of the relevant requires investment advisers to adopt a code of The Fund normally will invest at least ethics that reflects the fiduciary nature of the Fund, and that is liquid and trades relationship to clients as well as compliance with 65% of the Fund’s total assets in stocks synchronously (that is, during the hours other applicable securities laws. Accordingly, listed in the United States, with an of the Exchange’s Core Trading Session, procedures designed to prevent the communication emphasis on stocks that have a strong normally 9:30 a.m. to 4:00 p.m. E.T.) and misuse of non-public information by an track record of paying dividends or that investment adviser must be consistent with Rule with the Shares of the Funds, a Fund’s 204A–1 under the Advisers Act. In addition, Rule are expected to increase their dividends Actual Portfolio will (a) be listed on an 206(4)–7 under the Advisers Act makes it unlawful over time. The Fund generally will exchange and the primary trading for an investment adviser to provide investment invest in U.S. and foreign exchange- session of such exchange will trade advice to clients unless such investment adviser has traded securities, U.S. exchange-traded (i) adopted and implemented written policies and synchronously with the Exchange’s Core procedures reasonably designed to prevent futures cash, and cash equivalents. Trading Session, as defined in Rule violations, by the investment adviser and its T. Rowe Price Growth Stock ETF 7.34–E(a); (b) with respect to exchange- supervised persons, of the Advisers Act and the traded futures, be listed on a U.S. Commission rules adopted thereunder; (ii) The investment objective of the T. futures exchange; or (c) consist of cash implemented, at a minimum, an annual review Rowe Price Growth Stock ETF will be to regarding the adequacy of the policies and and cash equivalents. procedures established pursuant to subparagraph (i) seek long-term capital growth. Consistent with these representations, above and the effectiveness of their each Fund will only invest in exchange- implementation; and (iii) designated an individual 16 ‘‘Business Day’’ is defined to mean any day that (who is a supervised person) responsible for the Exchange is open, including any day when a traded common stocks, common stocks administering the policies and procedures adopted Fund satisfies redemption requests as required by under subparagraph (i) above. section 22(e) of the 1940 Act. 17 See note 22, infra.
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listed on a foreign exchange that trade on a continuous basis at the NAV per redemption, as applicable, be made on such exchange synchronously with Share next determined after an order in entirely or in part in cash. the Shares (‘‘foreign common stocks’’), proper form is received. The NAV of Each Business Day, before the open of ETFs,18 exchange-traded notes each Fund is expected to be determined trading on the Exchange, the Fund will (‘‘ETNs’’),19 exchange-traded preferred as of 4:00 p.m. E.T. on each Business cause to be published through the stocks, exchange-traded American Day. The Issuer will sell and redeem National Securities Clearing Corporation Depositary Receipts (‘‘ADRs’’),20 Creation Units of each Fund only on a (‘‘NSCC’’) the names and quantities of exchange-traded real estate investment Business Day. A Creation Unit will the instruments comprising the Creation trusts, exchange-traded commodity consist of at least 5,000 Shares. Basket, as well as the estimated Cash pools, exchange-traded metals trusts, Shares will be purchased and Amount (if any) for that day. The exchange-traded currency trusts and redeemed in Creation Units and published Creation Basket will apply exchange-traded futures contracts 21 generally on an in-kind basis. until a new Creation Basket is (collectively, ‘‘exchange-traded Accordingly, except where the purchase announced on the following Business instruments’’) that trade synchronously or redemption will include cash under Day, and there will be no intra-day with the Fund’s Shares, as well as cash the circumstances specified below, changes to the Creation Basket except to and cash equivalents. For purposes of purchasers will be required to purchase correct errors in the published Creation this filing, cash equivalents are short- Creation Units by making an in-kind Basket. The Proxy Portfolio will be term U.S. Treasury securities, deposit of specified instruments published each Business Day regardless government money market funds, and (‘‘Deposit Instruments’’), and of whether a Fund decides to issue or repurchase agreements. shareholders redeeming their Shares redeem Creation Units entirely or in The Proxy Portfolio will not include will receive an in-kind transfer of part on a cash basis. any asset that is ineligible to be in the specified instruments (‘‘Redemption All orders to purchase Creation Units Actual Portfolio of the applicable Fund. Instruments’’). The names and must be placed with the Distributor by quantities of the instruments that or through an Authorized Participant, Investment Restrictions constitute the Deposit Instruments and which is a member or participant of a The Shares of each Fund will conform the Redemption Instruments for a Fund clearing agency registered with the to the initial and continued listing (collectively, the ‘‘Creation Basket’’) will Commission, which has a written criteria under proposed Rule 8.601–E. be the same as a Fund’s designated agreement with a Fund or one of its Each Fund’s investments will be Proxy Portfolio, except to the extent that service providers that allows the consistent with its investment objective a Fund requires purchases and Authorized Participant to place orders and with the applicable exemptive order redemptions to be made entirely or in for the purchase and redemption of or no-action relief granted by the part on a cash basis, as described below. Creation Units. Except as otherwise Commission or Commission staff to the If there is a difference between the net permitted, no promoter, principal Issuer with respect to the Funds. asset value attributable to a Creation underwriter (e.g., the Distributor) or Unit and the aggregate market value of affiliated person of a Fund, or any Purchases and Redemptions the Creation Basket exchanged for the affiliated person of such person, will be The Issuer will offer, issue and sell Creation Unit, the party conveying an Authorized Participant in Shares. Shares of each Fund to investors only in instruments with the lower value will Validly submitted orders to purchase Creation Units through the Distributor also pay to the other an amount in cash or redeem Creation Units on each equal to that difference (the ‘‘Cash Business Day will be accepted until the 18 For purposes of this filing, ETFs include Amount’’). end of the Core Trading Session (the Each Fund will adopt and implement Investment Company Units (as described in NYSE ‘‘Order Cut-Off Time’’), generally 4:00 Arca Rule 5.2–E (j)(3)); Portfolio Depositary policies and procedures regarding the p.m. E.T., on the Business Day that the Receipts (as described in NYSE Arca Rule 8.100– composition of its Creation Baskets. The E); and Managed Fund Shares (as described in order is placed (the ‘‘Transmittal Date’’). policies and procedures will set forth NYSE Arca Rule 8.600–E). All ETFs will be listed All Creation Unit orders must be detailed parameters for the construction and traded in the U.S. on a national securities received by the Distributor no later than exchange. While the Funds may invest in inverse and acceptance of baskets that are in the the Order Cut-Off Time in order to ETFs, the Funds will not invest in leveraged (e.g., best interests of a Fund, including the 2X, –2X, 3X or –3X) ETFs. receive the NAV determined on the process for any revisions to or 19 ETNs are securities as described in NYSE Arca Transmittal Date. When the Exchange deviations from, those parameters. Rule 5.2–E(j)(6) (Equity Index-Linked Securities, closes earlier than normal, a Fund may Commodity-Linked Securities, Currency-Linked A Fund that normally issues and Securities, Fixed Income Index-Linked Securities, redeems Creation Units in kind may require orders for Creation Units to be Futures-Linked Securities and Multifactor Index- require purchases and redemptions to placed earlier in the Business Day. Linked Securities). All ETNs will be listed and be made entirely or in part on a cash traded in the U.S. on a national securities exchange. Availability of Information basis.22 In such an instance, the Fund The Funds will not invest in inverse or leveraged The Funds’ website, which will be (e.g., 2X, –2X, 3X or –3X) ETNs. will announce, before the open of publicly available at no charge prior to 20 ADRs are issued by a U.S. financial institution trading on a given Business Day, that all the public offering of Shares, will (a ‘‘depositary’’) and evidence ownership in a purchases, all redemptions or all security or pool of securities issued by a foreign include a prospectus for each Fund that issuer that have been deposited with the depositary. purchases and redemptions on that day will be made wholly or partly in cash. may be downloaded. In addition, the Each ADR is registered under the Securities Act of website will include the following: 1933 (‘‘1933 Act’’) (15 U.S.C. 77a) on Form F–6. A Fund may also determine, upon • Quantitative information updated ADRs in which a Fund may invest will trade on an receiving a purchase or redemption exchange. on a daily basis, including, on a per order from an Authorized Participant (as 21 Exchange-traded futures are U.S. listed futures defined below), to have the purchase or Share basis for each Fund, the prior contracts where the futures contract’s reference Business Day’s NAV and the Closing asset is an asset that the Fund could invest in 23 directly, or in the case of an index future, is based 22 The Adviser represents that, to the extent the Price or Bid/Ask Price of Shares, and on an index of a type of asset that the Fund could Issuer effects the creation or redemption of Shares invest in directly, such as an S&P 500 index futures in cash, such transactions will be effected in the 23 The ‘‘Closing Price’’ of Shares is the official contract. All futures contracts that a Fund may same manner for all ‘‘Authorized Participants’’ (as closing price of Shares on the Exchange’s Core invest in will be traded on a U.S. futures exchange. defined below). Trading Session.
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a calculation of the premium/discount Fund will be halted if the circuit breaker The Exchange deems the Shares to be of the Closing Price or Bid/Ask Price 24 parameters in NYSE Arca Rule 7.12–E equity securities, thus rendering trading against such NAV and any other have been reached. Trading also may be in the Shares subject to the Exchange’s information regarding premiums and halted because of market conditions or existing rules governing the trading of discounts as may be required for other for reasons that, in the view of the equity securities. The Exchange has ETFs under rule 6c–11 under the 1940 Exchange, make trading in the Shares appropriate rules to facilitate trading in Act. The website will also disclose any inadvisable. Trading in the Shares will the Shares during all trading sessions. information regarding the bid-ask be subject to NYSE Arca Rule 8.601– Surveillance spread for each Fund as may be required E(d)(2)(D), which sets forth for other ETFs under rule 6c–11 under circumstances under which Shares of The Exchange represents that trading the 1940 Act. the Fund will be halted. in the Shares will be subject to the • Each Fund’s Proxy Portfolio. existing trading surveillances, • Specifically, proposed Rule 8.601– Bid-ask spread information for each E(d)(2)(D) provides that the Exchange administered by the Financial Industry Fund. may consider all relevant factors in Regulatory Authority (‘‘FINRA’’) on Each Fund’s website also will disclose exercising its discretion to halt trading behalf of the Exchange, which are the information required under designed to detect violations of 25 in a series of Active Proxy Portfolio proposed Rule 8.601–E (c)(3). Shares. Trading may be halted because Exchange rules and applicable federal Investors interested in a particular of market conditions or for reasons that, securities laws.27 The Exchange Fund can also obtain its prospectus, in the view of the Exchange, make represents that these procedures are statement of additional information trading in the series of Active Proxy adequate to properly monitor Exchange (‘‘SAI’’), shareholder reports, Form N– trading of the Shares in all trading CSR and Form N–CEN. Investors may Portfolio Shares inadvisable. These may include: (a) The extent to which trading sessions and to deter and detect access complete portfolio schedules for violations of Exchange rules and federal the Funds on Form N–CSR and Form N– is not occurring in the securities and/or the financial instruments composing the securities laws applicable to trading on PORT. The prospectus, SAI and the Exchange. shareholder reports will be available portfolio; or (b) whether other unusual The surveillances referred to above free upon request from the Funds, and conditions or circumstances detrimental generally focus on detecting securities those documents and the Form N–CSR to the maintenance of a fair and orderly trading outside their normal patterns, and Form N–CEN may be viewed on- market are present. which could be indicative of screen or downloaded from the In addition, upon notification to the manipulative or other violative activity. Commission’s website at http:// Exchange by the issuer of a series of When such situations are detected, www.sec.gov. Active Proxy Portfolio Shares, that the Information regarding the market NAV, Proxy Portfolio or Actual Portfolio surveillance analysis follows and price of Shares and trading volume in with respect to a series of Active Proxy investigations are opened, where Shares will be continually available on Portfolio Shares is not disseminated to appropriate, to review the behavior of a real-time basis throughout the day on all market participants at the same time, all relevant parties for all relevant brokers’ computer screens and other the Exchange shall halt trading in such trading violations. electronic services. The previous day’s series until such time as the NAV, Proxy FINRA, on behalf of the Exchange, or closing price and trading volume Portfolio or Actual Portfolio is available the Exchange or both will communicate information may be published daily in to all market participants at the same as needed regarding trading in the the financial section of newspapers. time. The issuer has represented to the Shares, certain exchange-traded Exchange that it will provide the equities, ETFs, ETNs and futures with Trading Halts Exchange with prompt notification other markets and other entities that are With respect to trading halts, the upon the existence of any such members of the Intermarket Exchange may consider all relevant condition or set of conditions. Surveillance Group (‘‘ISG’’), and FINRA, factors in exercising its discretion to on behalf of the Exchange, or the Trading Rules halt or suspend trading in the Shares of Exchange or both may obtain trading the Fund.26 Trading in Shares of the The Exchange deems the Shares to be information regarding trading such equity securities, thus rendering trading securities and financial instruments 24 The ‘‘Bid/Ask Price’’ is the midpoint of the in the Shares subject to the Exchange’s from such markets and other entities. In highest bid and lowest offer based on the National existing rules governing the trading of addition, the Exchange may obtain Best Bid and Offer at the time that a Fund’s NAV information regarding trading in such is calculated. The ‘‘National Best Bid and Offer’’ is equity securities. Shares will trade on the current national best bid and national best offer the NYSE Arca Marketplace from 4 a.m. securities and financial instruments as disseminated by the Consolidated Quotation to 8 p.m. E.T. in accordance with NYSE from markets and other entities that are System or UTP Plan Securities Information Arca Rule 7.34–E (Opening, Core, and members of ISG or with which the Processor. Exchange has in place a comprehensive 25 Late Trading Sessions). The Exchange See note 9, supra. Proposed Rule 8.601–E (c)(3) surveillance sharing agreement.28 provides that the website for each series of Active has appropriate rules to facilitate Proxy Portfolio Shares shall disclose the transactions in the Shares during all The Funds’ Adviser will make information regarding the Proxy Portfolio as trading sessions. As provided in NYSE available to FINRA and the Exchange provided in the exemptive relief pursuant to the Arca Rule 7.6–E, the minimum price the portfolio holdings of each Fund in Investment Company Act of 1940 applicable to such series, including the following, to the extent variation (‘‘MPV’’) for quoting and entry order to facilitate the performance of the applicable: of orders in equity securities traded on surveillances referred to above on a (i) Ticker symbol; the NYSE Arca Marketplace is $0.01, confidential basis. (ii) CUSIP or other identifier; with the exception of securities that are (iii) Description of holding; priced less than $1.00 for which the 27 FINRA surveils trading on the Exchange (iv) Quantity of each security or other asset held; MPV for order entry is $0.0001. pursuant to a regulatory services agreement. The and Exchange is responsible for FINRA’s performance (v) Percentage weighting of the holding in the The Shares will conform to the initial under this regulatory services agreement. portfolio. and continued listing criteria under 28 For a list of the current members of ISG, see 26 See NYSE Arca Rule 7.12–E. NYSE Arca Rule 8.601–E. www.isgportal.org.
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In addition, the Exchange also has a issuer has represented to the Exchange system, and, in general, to protect general policy prohibiting the that it will advise the Exchange of any investors and the public interest. distribution of material, non-public failure by a Fund to comply with the With respect to the proposed listing information by its employees. continued listing requirements, and, and trading of Shares of the Funds, the Proposed Commentary .03 to NYSE pursuant to its obligations under Exchange believes that the proposed Arca Rule 8.601–E provides that the Section 19(g)(1) of the Act, the Exchange rule change is designed to prevent Exchange will implement and maintain will monitor for compliance with the fraudulent and manipulative acts and written surveillance procedures for continued listing requirements. If a practices in that the Shares will be Active Proxy Portfolio Shares. As part of Fund is not in compliance with the listed and traded on the Exchange these surveillance procedures, the applicable listing requirements, the pursuant to the initial and continued Investment Company’s investment Exchange will commence delisting listing criteria in NYSE Arca Rule adviser will upon request by the procedures under NYSE Arca Rule 5.5– 8.601–E. One-hundred percent of the Exchange or FINRA, on behalf of the E(m). value of a Fund’s Actual Portfolio Exchange, make available to the (except for cash, cash equivalents and Exchange or FINRA the daily portfolio Information Bulletin Treasury securities) at the time of holdings of each series of Active Proxy Prior to the commencement of purchase will be listed on U.S. or Portfolio Shares. The Exchange believes trading, the Exchange will inform its foreign securities exchanges (or, in the that the ability to access the information Equity Trading Permit (‘‘ETP’’) Holders limited case of futures contracts, U.S. on an as needed basis will provide it in an Information Bulletin (‘‘Bulletin’’) futures exchanges). The listing and with sufficient information to perform of the special characteristics and risks trading of such securities is subject to the necessary regulatory functions associated with trading the Shares. rules of the exchanges on which they associated with listing and trading Specifically, the Bulletin will discuss are listed and traded, as approved by the series of Active Proxy Portfolio Shares the following: (1) The procedures for Commission. FINRA, on behalf of the on the Exchange, including the ability to purchases and redemptions of Shares; Exchange, will communicate as needed monitor compliance with the initial and (2) NYSE Arca Rule 9.2–E(a), which regarding trading in the Shares, certain continued listing requirements as well imposes a duty of due diligence on its exchange-traded equities, ETFs, ETNs as the ability to surveil for manipulation ETP Holders to learn the essential facts and futures with other markets and of Active Proxy Portfolio Shares. relating to every customer prior to other entities that are members of the The Exchange will utilize its existing trading the Shares; (3) the requirement ISG, and FINRA, on behalf of the procedures to monitor issuer that ETP Holders deliver a prospectus to Exchange, may obtain trading compliance with the requirements of investors purchasing newly issued information regarding trading such proposed Rule 8.601–E. For example, Shares prior to or concurrently with the securities and financial instruments the Exchange will continue to use confirmation of a transaction; (4) that from such markets and other entities. In intraday alerts that will notify Exchange holdings of a Fund will not be disclosed addition, the Exchange may obtain personnel of trading activity throughout daily; and (5) trading information. information regarding trading in such the day that may indicate that unusual In addition, the Bulletin will securities and financial instruments conditions or circumstances are present reference that the Funds are subject to from markets and other entities that are that could be detrimental to the various fees and expenses described in members of ISG or with which the maintenance of a fair and orderly the Registration Statement. The Bulletin Exchange has in place a comprehensive market. The Exchange will require from will discuss any exemptive, no-action, surveillance sharing agreement. the issuer of a series of Active Proxy and interpretive relief granted by the With respect to the Funds, the Portfolio Shares, upon initial listing and Commission from any rules under the Exchange believes that a Fund’s Proxy periodically thereafter, a representation Act. The Bulletin will also disclose that Portfolio, as well as the right of that it is in compliance with Rule the NAV for the Shares will be Authorized Participants to create and 8.601–E. The Exchange notes that calculated as of 4:00 p.m. E.T. each redeem each day at the NAV, will be proposed Commentary .01 to Rule trading day. sufficient for market participants to 8.601–E would require an issuer of The Exchange notes that the proposed value and trade Shares in a manner that Active Proxy Portfolio Shares to notify change is not otherwise intended to will not lead to significant deviations the Exchange of any failure to comply address any other issues and that the between the Shares’ bid/ask price and with the continued listing requirements Exchange is not aware of any problems NAV. of Rule 8.601–E. In addition, the that Equity Trading Permit Holders or The pricing efficiency with respect to Exchange will require issuers to issuers would have in complying with trading a series of Active Proxy Portfolio represent that they will notify the the proposed change. Shares will not generally rest on the Exchange of any failure to comply with ability of market participants to the terms of applicable exemptive and 2. Statutory Basis arbitrage between the Active Proxy no-action relief. The Exchange will rely The Exchange believes that the Portfolio Shares and a fund’s portfolio, on the foregoing procedures to become proposed rule change is consistent with but rather on the ability of market aware of any non-compliance with the Section 6(b) of the Act,29 in general, and participants to assess a fund’s requirements of Rule 8.601–E. furthers the objectives of Section 6(b)(5) underlying value accurately enough With respect to the Funds, all of the Act,30 in particular, in that it is throughout the trading day in order to statements and representations made in designed to prevent fraudulent and hedge positions in Active Proxy this filing regarding (a) the description manipulative acts and practices, to Portfolio Shares effectively. Professional of the portfolio or reference asset, (b) promote just and equitable principles of traders will buy Active Proxy Portfolio limitations on portfolio holdings or trade, to remove impediments to and Shares that they perceive to be trading reference assets, or (c) the applicability perfect the mechanism of a free and at a price less than that which will be of Exchange listing rules specified in open market and a national market available at a subsequent time, and sell this rule filing shall constitute Active Proxy Portfolio Shares they continued listing requirements for 29 15 U.S.C. 78f(b). perceive to be trading at a price higher listing the Shares on the Exchange. The 30 15 U.S.C. 78f(b)(5). than that which will be available at a
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subsequent time. It is expected that, as accurately hedge their positions should Exchange or FINRA the daily portfolio part of their normal day-to-day trading serve to minimize any divergence holdings of each series of Active Proxy activity, market makers assigned to between the secondary market price of Portfolio Shares. The Exchange believes series of Active Proxy Portfolio Shares the Shares and a Fund’s NAV, as well that the ability to access the information by the Exchange, off-exchange market as create liquidity in the Shares. With on an as needed basis will provide it makers, firms that specialize in respect to trading of Shares of the with sufficient information to perform electronic trading, hedge funds and Funds, the ability of market participants the necessary regulatory functions other professionals specializing in short- to buy and sell Shares at prices near the associated with listing and trading term, non-fundamental trading NAV is dependent upon their series of Active Proxy Portfolio Shares strategies will assume the risk of being assessment that the value of the Proxy on the Exchange, including the ability to ‘‘long’’ or ‘‘short’’ Active Proxy Portfolio Portfolio is a reliable, indicative real- monitor compliance with the initial and Shares through such trading and will time value for a Fund’s underlying continued listing requirements as well hedge such risk wholly or partly by holdings. Market participants are as the ability to surveil for manipulation simultaneously taking positions in expected to accept the value of the of Active Proxy Portfolio Shares. With correlated assets 31 or by netting the Proxy Portfolio as a reliable, indicative respect to the Fund, the Adviser will exposure against other, offsetting real-time value because (1) the Proxy make available daily to FINRA and the trading positions—much as such firms Portfolio will be determined such that at Exchange the portfolio holdings of the do with existing ETFs and other least 80% of its total assets will overlap Fund upon request in order to facilitate equities. with the portfolio weightings of the the performance of the surveillances With respect to the Funds, disclosure Fund, (2) the securities in which the referred to above. of the Proxy Portfolio, a Fund’s Funds plan to invest are generally The Exchange will utilize its existing investment objective and principal highly liquid and actively traded and procedures to monitor issuer investment strategies in its prospectus therefore generally have accurate real compliance with the requirements of and SAI, should permit professional time pricing available, and (3) market proposed Rule 8.601–E. For example, investors to engage readily in this type participants will have a daily the Exchange will continue to use of hedging activity.32 opportunity to evaluate whether the intraday alerts that will notify Exchange It is expected that market participants value of the Proxy Portfolio at or near personnel of trading activity throughout will utilize the Proxy Portfolio as a the close of trading is predictive of the the day that may indicate that unusual pricing signal and high quality hedging actual NAV. conditions or circumstances are present vehicle and gain experience with how The disclosure of a Fund’s Proxy that could be detrimental to the various market factors (e.g., general Portfolio and the ability of Authorized maintenance of a fair and orderly market movements, sensitivity or Participants to create and redeem each market. The Exchange will require from correlations of the Proxy Portfolio to Business Day at the NAV, will be crucial the issuer of a series of Active Proxy intraday movements in interest rates or for market participants to value and Portfolio Shares, upon initial listing and commodity prices, other benchmarks, trade Shares in a manner that will not periodically thereafter, a representation etc.) affect the value of the Proxy lead to significant deviations between that it is in compliance with Rule Portfolio in order to determine how best the Shares’ Bid/Ask Price and NAV. 8.601–E. The Exchange notes that to hedge long or short positions taken in With respect to Active Proxy Portfolio proposed Commentary .01 to Rule Shares in a manner that will permit Shares generally, the proposed rule 8.601–E would require an issuer of them to provide a bid/ask price for change is designed to promote just and Active Proxy Portfolio Shares to notify Shares that is near to the value of the equitable principles of trade and to the Exchange of any failure to comply Proxy Portfolio throughout the day. The protect investors and the public interest with the continued listing requirements ability of market participants to in that the Exchange will obtain a of Rule 8.601–E.33 In addition, the representation from the issuer of an Exchange will require issuers to 31 Price correlation trading is used throughout the issue of Active Proxy Portfolio Shares represent that they will notify the financial industry. It is used to discover both that the NAV per share of such issue Exchange of any failure to comply with trading opportunities to be exploited, such as currency pairs and statistical arbitrage, as well as will be calculated daily and that the the terms of applicable exemptive and for risk mitigation such as dispersion trading and NAV and Actual Portfolio will be made no-action relief. The Exchange will rely beta hedging. These correlations are a function of available to all market participants at on the foregoing procedures to become differentials, over time, between one or multiple the same time. Investors can also obtain aware of any non-compliance with the securities pricing. Once the nature of these price deviations have been quantified, a universe of a fund’s SAI, shareholder reports, and requirements of Rule 8.601–E. securities is searched in an effort to, in the case of its Form N–CSR and Form N–CEN. A In addition, with respect to the Funds, a hedging strategy, minimize the differential. With fund’s SAI and shareholder reports will a large amount of information will be the Proxy Portfolio identified, a trader can be available free upon request from the publicly available regarding the Funds minimize portfolio risk by executing the hedging basket. The trader then can monitor the applicable fund, and those documents and the Shares, thereby promoting performance of the Proxy Portfolio throughout the and the Form N–CSR and Form N–CEN market transparency. Quotation and last trade period, making corrections where warranted. may be viewed on-screen or sale information for the Shares will be 32 With respect to trading in Shares of the Funds, downloaded from the Commission’s available via the Consolidated Tape market participants can manage risk in a variety of website. Association high-speed line. The ways. It is expected that market participants will be able to determine how to trade Shares at levels Proposed Commentary .03 to NYSE website for the Funds will include a approximating the intra-day value of the Funds’ Arca Rule 8.601–E provides that the form of the prospectus for the Funds holdings without taking undue risk by utilizing the Exchange will implement and maintain that may be downloaded, and additional Proxy Portfolio directly as a hedge, analyzing other written surveillance procedures for data relating to NAV and other data that may be disseminated by a Fund, gaining experience with how various market factors (e.g., Active Proxy Portfolio Shares. As part of applicable quantitative information, general market movements, sensitivity of the value these surveillance procedures, the updated on a daily basis. Moreover, of the Proxy Portfolio to intraday movements in Investment Company’s investment prior to the commencement of trading, interest rates or commodity prices, etc.) affect value adviser will, upon request by the of the Proxy Portfolio, and by finding hedges for the Exchange will inform its ETP their long or short positions in Shares using Exchange or FINRA, on behalf of the instruments correlated with such factors. Exchange, make available to the 33 Id. [sic].
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Holders in a Bulletin of the special and index ETFs, including that the proposal. In particular, the Commission characteristics and risks associated with portfolio is disclosed at least once invites the written views of interested trading the Shares. Trading in Shares of quarterly as opposed to daily, and persons concerning whether the a Fund will be halted if the circuit would introduce additional competition proposed rule change, as modified by breaker parameters in NYSE Arca Rule among various ETF products to the Amendment No. 1, is consistent with 7.12–E have been reached or because of benefit of investors. Section 6(b)(5) or any other provision of market conditions or for reasons that, in the Exchange Act, or the rules and the view of the Exchange, make trading C. Self-Regulatory Organization’s regulations thereunder. Although there in the Shares inadvisable. Trading in the Statement on Comments on the do not appear to be any issues relevant Shares will be subject to NYSE Arca Proposed Rule Change Received From to approval or disapproval that would Rule 8.601–E(d)(2)(D), which sets forth Members, Participants, or Others be facilitated by an oral presentation of circumstances under which Shares of No written comments were solicited views, data, and arguments, the the Funds may be halted. In addition, as or received with respect to the proposed Commission will consider, pursuant to noted above, investors will have ready rule change. Rule 19b–4, any request for an access to the Proxy Portfolio, and opportunity to make an oral IV. Proceedings To Determine Whether quotation and last sale information for presentation.38 To Approve or Disapprove SR– the Shares. The Shares will conform to Interested persons are invited to NYSEArca–2019–92, as Modified by the initial and continued listing criteria submit written data, views, and Amendment No. 1, and Grounds for under proposed Rule 8.601–E. arguments regarding whether the The components of a Fund’s Actual Disapproval Under Consideration proposed rule change, as modified by Portfolio will (a) be listed on an The Commission is instituting Amendment No. 1, should be approved exchange and the primary trading proceedings pursuant to Section or disapproved by April 28, 2020. Any session of such exchange will trade 19(b)(2)(B) of the Exchange Act 35 to person who wishes to file a rebuttal to synchronously with the Exchange’s Core determine whether the proposed rule any other person’s submission must file Trading Session, as defined in Rule change should be approved or that rebuttal by May 12, 2020. 7.34–E(a); (b) with respect to exchange- disapproved. Institution of such The Commission asks that traded futures, be listed on a U.S. proceedings is appropriate at this time commenters address the sufficiency of futures exchange; or (c) consist of cash in view of the legal and policy issues the Exchange’s statements in support of and cash equivalents. raised by the proposed rule change. the proposal, which are set forth in The proposed rule change is designed Institution of proceedings does not Amendment No. 1,39 and any other to improve the mechanism of a free and indicate that the Commission has issues raised by the proposed rule open market and, in general, to protect reached any conclusions with respect to change, as modified by Amendment No. investors and the public interest in that any of the issues involved. Rather, as 1, under the Exchange Act. In this it will facilitate the listing and trading described below, the Commission seeks regard, the Commission seeks of an additional type of actively- and encourages interested persons to commenters’ views regarding whether managed exchange-traded product that provide comments on the proposed rule the Exchange’s proposed rule to list and will enhance competition among market change. trade Active Proxy Portfolio Shares, participants, to the benefit of investors Pursuant to Section 19(b)(2)(B) of the which are actively managed exchange- and the marketplace. As noted above, Exchange Act,36 the Commission is traded products for which the portfolio with respect to the Active Proxy providing notice of the grounds for holdings would be disclosed on a Portfolio Shares generally, the Exchange disapproval under consideration. The quarterly, rather than daily, basis, is has in place surveillance procedures Commission is instituting proceedings adequately designed to prevent relating to trading in such securities and to allow for additional analysis of the fraudulent and manipulative acts and may obtain information via ISG from proposed rule change’s consistency with practices, to promote just and equitable other exchanges that are members of ISG Section 6(b)(5) of the Exchange Act, principles of trade, and to protect or with which the Exchange has entered which requires, among other things, that investors and the public interest, and is into a comprehensive surveillance the rules of a national securities consistent with the maintenance of a sharing agreement. In addition, as noted exchange be ‘‘designed to prevent fair and orderly market under the above, with respect to the Funds, fraudulent and manipulative acts and Exchange Act. In particular, the investors will have ready access to practices, to promote just and equitable Commission seeks commenters’ views information regarding the Proxy principles of trade, . . . to remove regarding whether the Exchange’s Portfolio and quotation and last sale impediments to and perfect the proposed listing rule provisions as they information for the Shares. mechanism of a free and open market relate to foreign securities are adequate and a national market system, and, in to prevent fraud and manipulation. In B. Self-Regulatory Organization’s addition, the Commission seeks Statement on Burden on Competition general, to protect investors and the public interest.’’ 37 commenters’ views regarding whether In accordance with Section 6(b)(8) of the Exchange’s proposed listing rule the Act,34 the Exchange does not believe V. Procedure: Request for Written provisions are adequate to prevent the that the proposed rule change will Comments impose any burden on competition that The Commission requests that 38 Section 19(b)(2) of the Exchange Act, as is not necessary or appropriate in interested persons provide written amended by the Securities Act Amendments of furtherance of the purposes of the Act. 1975, Public Law 94–29 (June 4, 1975), grants the submissions of their views, data, and Commission flexibility to determine what type of The Exchange believes the proposed arguments with respect to the issues proceeding—either oral or notice and opportunity rule change would permit listing and identified above, as well as any other for written comments—is appropriate for trading of another type of actively- concerns they may have with the consideration of a particular proposal by a self- managed ETF that has characteristics regulatory organization. See Securities Act Amendments of 1975, Senate Comm. on Banking, different from existing actively-managed 35 15 U.S.C. 78s(b)(2)(B). Housing & Urban Affairs, S. Rep. No. 75, 94th 36 Id. Cong., 1st Sess. 30 (1975). 34 15 U.S.C. 78f(b)(8). 37 15 U.S.C. 78f(b)(5). 39 See supra note 7.
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use and dissemination of material non- For the Commission, by the Division of Section 19(b)(2) of the Act 6 provides public information relating to the Trading and Markets, pursuant to delegated that within 45 days of the publication of 40 Funds. authority. notice of the filing of a propose rule J. Matthew DeLesDernier, Comments may be submitted by any change, or within such longer period up Assistant Secretary. to 90 days as the Commission may of the following methods: [FR Doc. 2020–07228 Filed 4–6–20; 8:45 am] designate if it find such longer period to Electronic Comments BILLING CODE 8011–01–P be appropriate and published its reasons for so finding or as to which the self- • Use the Commission’s internet regulatory organization consents, the comment form (http://www.sec.gov/ SECURITIES AND EXCHANGE Commission shall either approve the rules/sro.shtml); or COMMISSION proposed rule change, disapprove the • proposed rule change, or institute Send an email to rule-comments@ [Release No. 34–88540; File Nos. SR–NYSE– sec.gov. Please include File Number SR– proceedings to determine whether the 2020–11, SR–NYSECHX–2020–05, SR– proposed rule change should be NYSEArca–2019–92 on the subject line. NYSEAMER–2020–10, SR–NYSEArca–2020– 15, SR–NYSENAT–2020–08] disapproved. The 45th day after Paper Comments publication of the Notices for these Self-Regulatory Organizations; New proposed rule changes is April 10, 2020. • Send paper comments in triplicate York Stock Exchange LLC, NYSE The Commission is extending this 45- to Secretary, Securities and Exchange Chicago, Inc., NYSE American LLC, day period. Commission, 100 F Street NE, NYSE Arca, Inc., and NYSE National, The Commission find that it is Washington, DC 20549–1090. Inc.; Notice of Designation of a Longer appropriate to designate a longer period All submissions should refer to File Period for Commission Action on within which to take action on the Number SR–NYSEArca–2019–92. This Proposed Rule Changes To Amend the proposed rule changes so that it has file number should be included on the Schedule of Wireless Connectivity sufficient time to consider the proposed rule changes and the comment letters. subject line if email is used. To help the Fees and Charges To Add Wireless Accordingly, pursuant to Section Commission process and review your Connectivity Services 19(b)(2) of the Act,7 the Commission comments more efficiently, please use April 1, 2020. designates May 25, 2020, as the date by only one method. The Commission will On February 11, 2020, New York which the Commission shall either post all comments on the Commission’s Stock Exchange LLC, NYSE Chicago, approve or disapprove, or institute internet website (http://www.sec.gov/ Inc., NYSE Arca, Inc., and NYSE proceedings to determine whether to rules/sro.shtml). Copies of the National, Inc. each filed with the approve or disapprove, the proposed submission, all subsequent Securities and Exchange Commission rule changes (File Nos. SR–NYSE–2020– amendments, all written statements (‘‘Commission’’), pursuant to Section 11, SR–NYSECHX–2020–05, SR– with respect to the proposed rule 19(b)(1) of the Securities Exchange Act NYSEAMER–2020–10, SR–NYSEArca– change that are filed with the of 1934 (‘‘Act’’) 1 and Rule 19b–4 2020–15, SR–NYSENAT–2020–08). 2 Commission, and all written thereunder, a proposed rule change to For the Commission, by the Division of communications relating to the amend the schedule of Wireless Trading and Markets, pursuant to delegated proposed rule change between the Connectivity Fees and Charges to add authority.8 Commission and any person, other than wireless connectivity services that J. Matthew DeLesDernier, those that may be withheld from the transport the market data of the Assistant Secretary. public in accordance with the Exchanges. NYSE American LLC filed [FR Doc. 2020–07233 Filed 4–6–20; 8:45 am] with the Commission a substantively provisions of 5 U.S.C. 552, will be BILLING CODE 8011–01–P available for website viewing and identical filing on February 12, 2020.3 printing in the Commission’s Public The proposed rule changes were Reference Room, 100 F Street NE, published for comment in the Federal 4 SMALL BUSINESS ADMINISTRATION Washington, DC 20549, on official Register on February 25, 2020. The [Disaster Declaration #16357 and #16358; business days between the hours of Commission has received comment letters on the proposed rule changes.5 SOUTH CAROLINA Disaster Number SC– 10:00 a.m. and 3:00 p.m. Copies of the 00068] filing also will be available for 40 17 CFR 200.30–3(a)(57). Presidential Declaration of a Major inspection and copying at the principal 1 15 U.S.C. 78s(b)(1). Disaster for Public Assistance Only for office of the Exchange. All comments 2 17 CFR 240.19b–4. received will be posted without change. 3 New York Stock Exchange LLC, NYSE Chicago, the State of South Carolina Persons submitting comments are Inc., NYSE American LLC, NYSE Arca, Inc., and AGENCY: U.S. Small Business cautioned that we do not redact or edit NYSE National, Inc. are collectively referred to herein as the ‘‘Exchanges.’’ Administration. personal identifying information from 4 See Securities Exchange Act Release Nos. 88237 ACTION: Notice. comment submissions. You should (February 19, 2020), 85 FR 10752 (February 25, submit only information that you wish 2020) (SR–NYSE–2020–11); 88240 (February 19, SUMMARY: This is a Notice of the to make available publicly. All 2020), 85 FR 10795 (February 25, 2020) (SR– Presidential declaration of a major NYSECHX–2020–05); 88238 (February 19, 2020), 85 submissions should refer to File FR 10776 (February 25, 2020) (SR–NYSEAMER– disaster for Public Assistance Only for Number SR–NYSEArca–2019–92 and 2020–10); 88239 (February 19, 2020), 85 FR 10786 the State of South Carolina (FEMA– should be submitted on or before April (February 25, 2020) (SR–NYSEArca–2020–15); and 4479–DR), dated 03/17/2020. 28, 2020. Rebuttal comments should be 88241 (February 19, 2020), 85 FR 10738 (February Incident: Severe Storms, Tornadoes, 25, 2020) (SR–NYSENAT–2020–08) (collectively, Straight-line Winds, and Flooding. submitted by May 12, 2020. the ‘‘Notices’’). 5 Comments received on the Notices are available on the Commission’s website at: https:// 6 15 U.S.C. 78s(b)(2). www.sec.gov/comments/sr-nyse-2020-11/ 7 15 U.S.C. 78s(b)(2). srnyse202011.htm. 8 17 CFR 200.30–3(a)(31).
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Incident Period: 02/06/2020 through The number assigned to this disaster (SSA) Social Security Administration, 02/13/2020. for physical damage is 16357B and for OLCA, Attn: Reports Clearance DATES: Issued on 03/17/2020. economic injury is 163580. Director, 3100 West High Rise, 6401 Physical Loan Application Deadline (Catalog of Federal Domestic Assistance Security Blvd., Baltimore, MD 21235, Number 59008) Date: 05/18/2020. Fax: 410–966–2830, Email address: Economic Injury (EIDL) Loan Cynthia Pitts, [email protected]. Application Deadline Date: 12/17/2020. Acting Associate Administratorfor Disaster Or you may submit your comments Assistance. ADDRESSES: Submit completed loan online through www.regulations.gov, applications to: U.S. Small Business [FR Doc. 2020–07266 Filed 4–6–20; 8:45 am] referencing Docket ID Number [SSA– Administration, Processing and BILLING CODE 8026–03–P 2020–0015]. Disbursement Center, 14925 Kingsport I. The information collection below is Road, Fort Worth, TX 76155. pending at SSA. SSA will submit it to SOCIAL SECURITY ADMINISTRATION FOR FURTHER INFORMATION CONTACT: A. OMB within 60 days from the date of Escobar, Office of Disaster Assistance, [Docket No: SSA–2020–0015] this notice. To be sure we consider your U.S. Small Business Administration, comments, we must receive them no 409 3rd Street SW, Suite 6050, Agency Information Collection later than June 8, 2020. Individuals can Washington, DC 20416, (202) 205–6734. Activities: Proposed Request and obtain copies of the collection Comment Request instrument by writing to the above SUPPLEMENTARY INFORMATION: Notice is email address. hereby given that as a result of the The Social Security Administration President’s major disaster declaration on (SSA) publishes a list of information Authorization to Obtain Earnings 03/17/2020, Private Non-Profit collection packages requiring clearance Data From the Social Security organizations that provide essential by the Office of Management and Administration—0960–0602. On services of a governmental nature may Budget (OMB) in compliance with occasion, public and private file disaster loan applications at the Public Law 104–13, the Paperwork organizations and agencies need to address listed above or other locally Reduction Act of 1995, effective October obtain detailed earnings information announced locations. 1, 1995. This notice includes revisions about specific Social Security number The following areas have been of OMB-approved information (SSN) holding wage earners for business determined to be adversely affected by collections. purposes (e.g. pension funds, State the disaster: SSA is soliciting comments on the agencies, etc.). Respondents use Form Primary Counties: Anderson, Chester, accuracy of the agency’s burden SSA–581 to identify the SSN holder Greenville, Newberry, Oconee, estimate; the need for the information; whose information they are requesting, Pickens, Spartanburg. its practical utility; ways to enhance its and provide authorization from the SSN quality, utility, and clarity; and ways to holder, when applicable. SSA uses the The Interest Rates are: minimize burden on respondents, information provided on Form SSA–581 including the use of automated to: (1) Identify the wage earner; (2) Percent collection techniques or other forms of establish the period of earnings For Physical Damage: information technology. Mail, email, or information requested; (3) verify the Non-Profit Organizations with fax your comments and wage earner authorized SSA to release Credit Available Elsewhere ... 2.750 recommendations on the information this information to the requesting party; Non-Profit Organizations with- collection(s) to the OMB Desk Officer and (4) produce the Itemized Statement out Credit Available Else- and SSA Reports Clearance Officer at of Earnings (SSA–1826). The where ...... 2.750 the following addresses or fax numbers. respondents are private businesses, state For Economic Injury: (OMB) Office of Management and or local agencies, and other federal Non-Profit Organizations With- Budget, Attn: Desk Officer for SSA, agencies. Type of Request: Revision of out Credit Available Else- where ...... 2.750 Fax: 202–395–6974, Email address: an OMB-approved information [email protected]. collection.
Average Average Estimated total theoretical Total annual Modality of completion Number of Frequency of burden per annual burden hourly cost opportunity respondents response response (hours) amount cost (minutes) (dollars) * (dollars) **
SSA–581 ...... 24,000 1 2 800 *$30.29 **$24,232 * We based this figure on average Compensation, Benefits, and Job Analysis Specialists hourly wage data from the BLS website. Since most respondents are from the private sector, and wages for private sector are comparable to those of the state and local governments, we did not differentiate between the two. ** 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 we must receive them no later than May alleging inaccurate earnings records in collections below to OMB for clearance. 7, 2020. Individuals can obtain copies of SSA’s files use paper Form SSA–7008, Your comments regarding these the OMB clearance packages by writing or a personal interview during which information collections would be most to [email protected]. SSA employees key their answers into useful if OMB and SSA receive them 30 1. Request for Corrections of Earnings our electronic Earnings Modernization days from the date of this publication. Record—20 CFR 404.820 and 20 CFR Item Correction system, to provide the To be sure we consider your comments, 422.125—0960–0029. Individuals information SSA needs to check
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earnings posted, and, as necessary, individuals who request correction of Type of Request: Revision of an OMB- initiate development to resolve any earnings posted to their Social Security approved information collection. inaccuracies. The respondents are earnings record.
Average Total annual Average Estimated total theoretical Total annual Average wait opportunity Modality of completion Number of Frequency of burden per annual burden hourly cost opportunity time in field cost for wait respondents response response (hours) amount cost office time (minutes) (dollars) * (dollars) ** (minutes) *** (dollars) **
SSA–7008 ...... 28,734 1 28 13,409 *$22.50 **$301,702 ***24 **$540 In-person or telephone interview ...... 337,500 1 10 56,250 *22.50 **1,265,625 ***24 **540
Totals ...... 366,234 ...... 69,659 ...... ** 1,567,328 ...... ** 1,080 * We based this figure on average U.S. worker’s hourly wages, 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; rather, these are theo- retical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to respondents to complete the applica- tion. *** We based this figure on the average FY 2020 wait times for field offices, based on SSA’s current management information data.
2. Application for a Social Security Statistics (BVS), and they send the for no change, with the exception of Number Card, the Social Security information to SSA’s National Computer name change, replacement SSN cards Number Application Process (SSNAP), Center. SSA then uploads the data to the for U.S Citizens (adult and minor and internet SSN Replacement Card SSA mainframe along with all other children). oSSNAP will allow certain (iSSNRC) Application—20 CFR enumeration data, and we assign the applicants for SSN replacement cards to 422.103–422.110–0960–0066. SSA newborn a Social Security number start the application process on-line, collects information on the SS–5 (used (SSN) and issue a Social Security card. receive a list of evidentiary documents, in the United States) and SS–5–FS (used Respondents can also use these and then submit the application data to outside the United States) to issue modalities to request a change in their SSA for further processing by SSA original or replacement Social Security SSN records. In addition, the iSSNRC employees. Applicants will need to visit cards. SSA also enters the application internet application collects information a local SSA office to complete the data into the SSNAP application when similar to the paper SS–5 for no-change issuing a card via telephone or in replacement SSN cards for adult U.S. application process. The respondents person. In addition, hospitals collect the citizens. The iSSNRC modality allows for this collection are applicants for same information on SSA’s behalf for certain applicants for SSN replacement original and replacement Social newborn children through the cards to complete the internet Security cards, or individuals who wish Enumeration-at-Birth process. In this application and submit the required to change information in their SSN process, parents of newborns provide evidence online rather than completing records, who use any of the modalities hospital birth registration clerks with a paper Form SS–5. Finally, the new described above. information required to register these Online Social Security Number Type of Request: Revision of an OMB- newborns. Hospitals send this Application Process (oSSNAP) collects approved information collection. information to State Bureaus of Vital information similar to the paper SS–5
Average Total annual Average Estimated total theoretical Total annual Average wait opportunity Application scenario Number of Frequency of burden per annual burden hourly cost opportunity time in field cost for wait respondents response response (hours) amount cost office time (minutes) (dollars) * (dollars) ** (minutes) *** (dollars) **
Respondents who do not have to provide parents’ SSNs ...... 7,380,000 1 8.5 1,107,000 *$22.50 **$24,907,500 ***24 **$540 Adult U.S. Citizens re- questing a replacement card with no changes through the iSSNRC mo- dality ...... 1,350,000 1 5 112,500 *22.50 **2,531,250 ***24 **540 Adult U.S. Citizens pro- viding information to re- ceive a replacement card through the oSSNAP modality+ ...... 3,500,000 1 5 291,667 * 22.50 ** 6,562,508 *** 24 ** 540 Respondents whom we ask to provide parents’ SSNs (when applying for original SSN cards for children under age 12) .. 190,000 1 9 28,500 *22.50 ** 641,250 *** 24 ** 540 Applicants age 12 or older who need to answer ad- ditional questions so SSA can determine whether we previously assigned an SSN ...... 910,000 1 10 151,667 * 22.50 ** 3,412,508 *** 24 ** 540
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Average Total annual Average Estimated total theoretical Total annual Average wait opportunity Application scenario Number of Frequency of burden per annual burden hourly cost opportunity time in field cost for wait respondents response response (hours) amount cost office time (minutes) (dollars) * (dollars) ** (minutes) *** (dollars) **
Applicants asking for a re- placement SSN card be- yond the allowable limits (i.e., who must provide additional documentation to accompany the appli- cation) ...... 7,250 1 60 7,250 *22.50 **163,125 ***24 **540 Authorization to SSA to obtain personal informa- tion cover letter ...... 500 1 15 125 * 22.50 ** 2,813 *** 24 ** 540 Authorization to SSA to obtain personal informa- tion follow-up cover let- ter ...... 500 1 15 125 *22.50 **2,813 ***24 **540
Totals ...... 13,338,250 ...... 1,698,834 ...... ** 38,223,767 ...... ** 4,320 * We based this figure on average U.S. worker’s hourly wages (based on BLS.gov data). ** This figure does not represent actual costs that SSA is imposing on recipients of Social Security payments to complete this application; rather, these are theo- retical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to respondents to complete the applica- tion. *** We based this figure on the average FY 2020 wait times for field offices, based on SSA’s current management information data. + The number of respondents for this modality is an estimate based on google analytics data for the SS–5 form downloads from SSA.Gov.
3. Petition for Authorization to Charge been disqualified from appearing before the information on a claim-by-claim and Collect a Fee for Services Before the a Federal program or agency. SSA must basis, if the individual representatives Social Security Administration—20 CFR authorize a fee to the representative, if decide to use this option to receive 404.1720–404.1730; 20 CFR 416.1520– the representative requests to be paid authorization of a fee, and 416.1530—0960–0104. A Social Security from the expected past-due benefits of representatives must submit the claimant’s representative, whether an the claimant. The representative documentation once per claim. SSA attorney or a non-attorney, uses Form submits the SSA–1560 after a claim employees then evaluate and process SSA–1560 to petition SSA for decision, or any time when the the request for authorization of a fee. authorization to charge and collect a fee representation is terminated, to request The respondents are representatives authorization to charge and collect a fee for their services as a representative. In who use this form to request a fee via addition, the representatives indicate on under the fee petition process. Since the fee petition process. the form if they have been disbarred or this information is mandated by suspended from a court or bar to which regulation, the form is mandatory for the Type of Request: Revision of an OMB- they were previously admitted to representative to obtain authorization to approved information collection. practice as an attorney; or if they have charge and collect a fee. SSA collects
Average Average Estimated total theoretical Total annual Modality of completion Number of Frequency of burden per annual burden hourly cost opportunity respondents response response (hours) amount cost (minutes) (dollars) * (dollars) **
SSA–1560 ...... 24,153 1 30 12,077 *$72.21 $**872,080 * We based this figure on average lawyer’s salary (https://www.bls.gov/oes/current/oes231011.htm). ** 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.
4. Development of Participation in a disability payment recipients whose collect this information. The Vocational Rehabilitation or Similar disability ceased and who participate in respondents are State employment Program—20 CFR 404.316(c), vocational rehabilitation programs may networks, vocational rehabilitation 404.337(c), 404.352(d), 404.1586(g), continue to receive disability payments. agencies, or other providers of 404.1596, 404.1597(a), 404.327, To do this, DDSs need information educational or job training services. 404.328, 416.1321(d), 416.1331(a)–(b), about the recipients; the types of Type of Request: Revision of an OMB- and 416.1338, 416.1402—0960–0282. program participation; and the services State Disability Determination Services they receive under the rehabilitation approved information collection. (DDS) determine if Social Security program. SSA uses Form SSA–4290 to
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Average Total annual Average Estimated total theoretical Total annual Average wait opportunity Modality of completion Number of Frequency of burden per annual burden hourly cost opportunity time in field cost for wait respondents response response (hours) amount cost office time (minutes) (dollars) * (dollars) ** (minutes) *** (dollars) **
SSA–4290–F5 ...... 3,000 1 15 750 *$17.22 **$12,915 ***24 **$413 * We based this figure on average Social and Human Service Assistant’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; rather, these are theo- retical opportunity costs for the additional time respondents will spend to complete the application. There is no actual charge to respondents to complete the applica- tion. *** We based this figure on the average FY 2020 wait times for field offices, based on SSA’s current management information data.
Dated: April 1, 2020. You must include the DS form • Enhance the quality, utility, and Naomi Sipple, number (if applicable), information clarity of the information to be Reports Clearance Officer,Social Security collection title, and the OMB control collected. Administration. number in any correspondence. • Minimize the reporting burden on [FR Doc. 2020–07183 Filed 4–6–20; 8:45 am] FOR FURTHER INFORMATION CONTACT: those who are to respond, including the BILLING CODE 4191–02–P Direct requests for additional use of automated collection techniques information regarding the collection or other forms of information listed in this notice, including requests technology. for copies of the proposed collection DEPARTMENT OF STATE instrument and supporting documents, Please note that comments submitted may be made to Sarah Tajalli, Accenture in response to this Notice are public [Public Notice 11022] Federal Services Contractor, U.S. record. Before including any detailed Department of State, Bureau of personal information, you should be 60-Day Notice of Proposed Information aware that your comments as submitted, Collection: State Assistance Administration, Office of Logistics Management (A/LM), Suite 3150, 1800 including your personal information, Management System (SAMS) Domestic will be available for public review. Results Monitoring Module and NEA/ N Kent Street, Arlington, VA. She may AC Online Performance Reporting be reached by phone at (571) 551–4511 Abstract of Proposed Collection System (ACPRS) or by email at [email protected]. SUPPLEMENTARY INFORMATION: In compliance with OMB Guidelines ACTION: Notice of request for public • Title of Information Collection: contained in 2 CFR 200, recipient comment. State Assistance Management System organizations are required to provide, (SAMS) Domestic Results Monitoring and the U.S. Department of State is SUMMARY: The Department of State is Module. required to collect, periodic program seeking Office of Management and • OMB Control Number: 1405–0183. and financial performance reports. The Budget (OMB) approval for the responsibility of the Department to track • Type of Request: Extension of a information collection described below. and monitor the programmatic and Currently Approved Collection. In accordance with the Paperwork financial performance necessitates a • Originating Office: Bureau of Reduction Act of 1995, we are database that can help facilitate this in Administration, Office of Logistic requesting comments on this collection a consistent and standardized manner. from all interested individuals and Management (A/LM). • The SAMS Domestic Results Monitoring organizations. The purpose of this Form Number: DS–4127. Module and ACPRS enables enhanced • notice is to allow 60 days for public Respondents: Recipients of monitoring and evaluation of grants comment preceding submission of the Department of State grants. through standardized collection and • collection to OMB. Estimated Number of Respondents: storage of relevant award elements, such DATES: The Department will accept 240. as quarterly progress reports, workplans, comments from the public up to June 8, • Estimated Number of Responses: results monitoring plans, grant 2020. 960. agreements, and other business • ADDRESSES: You may submit comments Average Time per Response: 20 information related to implementers. by any of the following methods: hours. The SAMS Domestic Results Monitoring • • Web: Persons with access to the Total Estimated Burden Time: Module streamlines communication internet may comment on this notice by 19,200 hours. with implementers and allows for rapid • going to www.Regulations.gov. You can Frequency: Quarterly. identification of information gaps for search for the document by entering • Obligation to Respond: Mandatory. specific projects. ‘‘Docket Number: DOS–2020–0001’’ in We are soliciting public comments to Methodology the Search field. Then click the permit the Department to: ‘‘Comment Now’’ button and complete • Evaluate whether the proposed Information will be electronically the comment form. information collection is necessary for entered into SAMS Domestic and • Email: [email protected]. the proper functions of the Department. ACPRS by respondents. • Regular Mail: Send written • Evaluate the accuracy of our comments to: Sarah Tajalli, Accenture estimate of the time and cost burden for Jennifer Gorkowski, Federal Services Contractor, Logistics this proposed collection, including the SAMS Deputy Program Manager. Management, A/LM, 1800 N Kent Street, validity of the methodology and [FR Doc. 2020–07245 Filed 4–6–20; 8:45 am] Arlington, VA 22209. assumptions used. BILLING CODE 4710–24–P
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DEPARTMENT OF TRANSPORTATION to better inform its rulemaking process. § 391.41(b)(4) indicates that coronary DOT posts these comments, without artery bypass surgery and pacemaker Federal Motor Carrier Safety edit, including any personal information implantation are remedial procedures Administration the commenter provides, to and thus, not medically disqualifying. [Docket No. FMCSA–2019–0230] www.regulations.gov, as described in Implantable cardioverter defibrillators the system of records notice (DOT/ALL– are disqualifying due to risk of syncope. 14 FDMS), which can be reviewed at Qualification of Drivers; Exemption III. Discussion of Comments Applications; Implantable Cardioverter www.dot.gov/privacy. Defibrillator (ICD) FMCSA received six comments in this II. Background proceeding. Five of the six comments AGENCY: Federal Motor Carrier Safety On November 5, 2019, FMCSA were favorable towards the applicants Administration (FMCSA), DOT. published a Federal Register notice (84 continuing to drive CMV’s with ICD’s. ACTION: Notice of denials. FR 59672) announcing receipt of The sixth comment was submitted by applications from six individuals Mr. Corey Tugwell’s cardiologist. His SUMMARY: FMCSA announces its treated with ICDs and requested cardiologist’s comments supported the decision to deny applications from five comments from the public. These six withdrawal of Mr. Tugwell’s exemption individuals treated with Implantable individuals requested an exemption application. Cardioverter Defibrillators (ICDs) who from 49 CFR 391.41(b)(4) which In response to the comments, FMCSA requested an exemption from the prohibits operation of a CMV in believes that a driver with an ICD is at Federal Motor Carrier Safety interstate commerce by persons with a risk for incapacitation if the device Regulations (FMCSRs) prohibiting current clinical diagnosis of myocardial discharges. This risk is combined with operation of a commercial motor vehicle infarction, angina pectoris, coronary the risks associated with the underlying (CMV) in interstate commerce by insufficiency, thrombosis, or any other cardiovascular condition for which the persons with a current clinical diagnosis cardiovascular disease of a variety ICD has been implanted as a primary or of myocardial infarction, angina known to be accompanied by syncope, secondary preventive measure. Mr. pectoris, coronary insufficiency, dyspnea, collapse, or congestive heart Tugwell’s application was withdrawn thrombosis, or any other cardiovascular failure. The public comment period because an exemption is unnecessary. disease of a variety known to be closed on December 5, 2019, and six Mr. Tugwell was notified that he must accompanied by syncope (transient loss comments were received. still complete a medical certification of consciousness), dyspnea (shortness of FMCSA has evaluated the eligibility examination by a certified medical breath), collapse, or congestive heart of these applicants and concluded that examiner on the National Registry of failure. granting five of these six exemption Certified Medical Examiners to FOR FURTHER INFORMATION CONTACT: Ms. requests would not provide a level of determine whether his underlying Christine A. Hydock, Chief, Medical safety that would be equivalent to, or cardiovascular condition is stable, and if Programs Division, (202) 366–4001, greater than, the level of safety that he meets the cardiovascular physical [email protected], FMCSA, would be obtained by complying with qualification standards (49 CFR Department of Transportation, 1200 § 391.41(b)(4). One individual’s 391.41(b)(4)) to receive a medical New Jersey Avenue SE, Room W64–224, application was withdrawn. A summary examiner’s certificate. of each applicant’s medical history Washington, DC 20590–0001. Office IV. Basis for Exemption Determination hours are from 8:30 a.m. to 5 p.m., ET, related to their ICD exemption request Monday through Friday, except Federal was discussed in the November 5, 2019, Under 49 U.S.C. 31136(e) and holidays. If you have questions Federal Register notice and will not be 31315(b), FMCSA may grant an regarding viewing materials in the repeated here. exemption from the FMCSRs for no docket, contact Docket Operations, (202) The Agency’s decision regarding these longer than a 5-year period if it finds 366–9826. exemption applications is based on such exemption would likely achieve a information from the Cardiovascular SUPPLEMENTARY INFORMATION: level of safety that is equivalent to, or Medical Advisory Criteria, an April greater than, the level that would be I. Public Participation 2007, evidence report titled achieved absent such exemption. ‘‘Cardiovascular Disease and The Agency’s decision regarding these A. Viewing Documents and Comments Commercial Motor Vehicle Driver exemption applications is based on an To view comments, as well as any Safety,’’ 1 and a December 2014, focused individualized assessment of each documents mentioned in this notice as research report titled ‘‘Implantable applicant’s medical information, being available in the docket, go to Cardioverter Defibrillators and the available medical and scientific data http://www.regulations.gov/ Impact of a Shock in a Patient When concerning ICDs, and any relevant docket?D=FMCSA-2019-0230 and Deployed.’’ Copies of these reports are public comments received. choose the document to review. If you included in the docket. In the case of persons with ICDs, the do not have access to the internet, you FMCSA has published advisory underlying condition for which the ICD may view the docket online by visiting criteria to assist medical examiners in was implanted places the individual at the Docket Management Facility in determining whether drivers with high risk for syncope or other Room W12–140 on the ground floor of certain medical conditions are qualified unpredictable events known to result in the DOT West Building, 1200 New to operate a CMV in interstate gradual or sudden incapacitation. ICDs Jersey Avenue SE, Washington, DC commerce.2 The advisory criteria for may discharge, which could result in 20590, between 9 a.m. and 5 p.m., ET, loss of ability to safely control a CMV. Monday through Friday, except Federal 1 The reports are available on the internet at The December 2014 focused research holidays. https://rosap.ntl.bts.gov/view/dot/16462; https:// report discussed earlier upholds the rosap.ntl.bts.gov/view/dot/21199. findings of the April 2007 report and B. Privacy Act 2 These criteria may be found in 49 CFR part 391, Appendix A to Part 391—Medical Advisory In accordance with 5 U.S.C. 553(c), Criteria, section D. Cardiovascular: § 391.41(b)(4), https://www.gpo.gov/fdsys/pkg/CFR-2015-title49- DOT solicits comments from the public paragraph 4, which is available on the internet at vol5/pdf/CFR-2015-title49-vol5-part391-appA.pdf.
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indicates that the available scientific taking anti-seizure medication to docket?D=FMCSA-2020-0046. Click on data on persons with ICDs and CMV operate CMVs in interstate commerce. the ‘‘Comment Now!’’ button and type driving does not support that persons DATES: Comments must be received on your comment into the text box on the with ICDs who operate CMVs are able or before May 7, 2020. following screen. Choose whether you to meet an equal or greater level of ADDRESSES: You may submit comments are submitting your comment as an safety. identified by the Federal Docket individual or on behalf of a third party Operations Docket No. FMCSA–2020– and then submit. V. Conclusion If you submit your comments by mail 0046 using any of the following The Agency has determined that the or hand delivery, submit them in an methods: available medical and scientific unbound format, no larger than 81⁄2 by • Federal eRulemaking Portal: Go to literature and research provides 11 inches, suitable for copying and http://www.regulations.gov/ insufficient data to enable the Agency to electronic filing. If you submit docket?D=FMCSA-2020-0046. Follow conclude that granting these exemptions comments by mail and would like to the online instructions for submitting would achieve a level of safety know that they reached the facility, comments. equivalent to, or greater than, the level please enclose a stamped, self-addressed • Mail: Docket Operations; U.S. of safety maintained without the postcard or envelope. Department of Transportation, 1200 exemption. Therefore, the following five FMCSA will consider all comments New Jersey Avenue SE, West Building applicants have been denied and material received during the Ground Floor, Room W12–140, exemptions from the physical comment period. Washington, DC 20590–0001. qualification standards in § 391.41(b)(4): • Hand Delivery: West Building B. Viewing Documents and Comments Charles Huff (OH) Ground Floor, Room W12–140, 1200 To view comments, as well as any Brian J. Hullopeter (MN) New Jersey Avenue SE, Washington, John Gittenmeier (MO) documents mentioned in this notice as DC, between 9 a.m. and 5 p.m., ET, being available in the docket, go to Gaetano Letizia (NJ) Monday through Friday, except Federal Thomas D. Worsley (VA) http://www.regulations.gov/ Holidays. docket?D=FMCSA-2020-0046 and Each applicant has, prior to this • Fax: (202) 493–2251. choose the document to review. If you notice, received a letter of final To avoid duplication, please use only disposition regarding his/her exemption do not have access to the internet, you one of these four methods. See the may view the docket online by visiting request. Those decision letters fully ‘‘Public Participation’’ portion of the outlined the basis for the denial and the Docket Operations in Room W12– SUPPLEMENTARY INFORMATION section for 140 on the ground floor of the DOT constitute final action by the Agency. instructions on submitting comments. The list published today summarizes West Building, 1200 New Jersey Avenue FOR FURTHER INFORMATION CONTACT: Ms. the Agency’s recent denials as required SE, Washington, DC 20590, between 9 Christine A. Hydock, Chief, Medical under 49 U.S.C. 31315(b)(4). a.m. and 5 p.m., ET, Monday through Programs Division, (202) 366–4001, Friday, except Federal holidays. Larry W. Minor, [email protected], FMCSA, C. Privacy Act Associate Administrator for Policy. Department of Transportation, 1200 [FR Doc. 2020–07283 Filed 4–6–20; 8:45 am] New Jersey Avenue SE, Room W64–224, In accordance with 5 U.S.C. 553(c), DOT solicits comments from the public BILLING CODE 4910–EX–P Washington, DC 20590–0001. Office hours are 8:30 a.m. to 5 p.m., ET, to better inform its rulemaking process. Monday through Friday, except Federal DOT posts these comments, without DEPARTMENT OF TRANSPORTATION holidays. If you have questions edit, including any personal information regarding viewing or submitting the commenter provides, to Federal Motor Carrier Safety material to the docket, contact Docket www.regulations.gov, as described in Administration Operations, (202) 366–9826. the system of records notice (DOT/ALL– 14 FDMS), which can be reviewed at [Docket No. FMCSA–2020–0046] SUPPLEMENTARY INFORMATION: www.transportation.gov/privacy. I. Public Participation Qualification of Drivers; Exemption II. Background Applications; Epilepsy and Seizure A. Submitting Comments Disorders Under 49 U.S.C. 31136(e) and If you submit a comment, please 31315(b), FMCSA may grant an AGENCY: Federal Motor Carrier Safety include the docket number for this exemption from the FMCSRs for no Administration (FMCSA), DOT. notice (Docket No. FMCSA–2020–0046), longer than a 5-year period if it finds ACTION: Notice of applications for indicate the specific section of this such exemption would likely achieve a exemption; request for comments. document to which each comment level of safety that is equivalent to, or applies, and provide a reason for each greater than, the level that would be SUMMARY: FMCSA announces receipt of suggestion or recommendation. You achieved absent such exemption. The applications from seven individuals for may submit your comments and statute also allows the Agency to renew an exemption from the prohibition in material online or by fax, mail, or hand exemptions at the end of the 5-year the Federal Motor Carrier Safety delivery, but please use only one of period. FMCSA grants medical Regulations (FMCSRs) against persons these means. FMCSA recommends that exemptions from the FMCSRs for a 2- with a clinical diagnosis of epilepsy or you include your name and a mailing year period to align with the maximum any other condition that is likely to address, an email address, or a phone duration of a driver’s medical cause a loss of consciousness or any loss number in the body of your document certification. of ability to control a commercial motor so that FMCSA can contact you if there The seven individuals listed in this vehicle (CMV) to drive in interstate are questions regarding your notice have requested an exemption commerce. If granted, the exemptions submission. from the epilepsy and seizure disorders would enable these individuals who To submit your comment online, go to prohibition in 49 CFR 391.41(b)(8). have had one or more seizures and are http://www.regulations.gov/ Accordingly, the Agency will evaluate
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the qualifications of each applicant to and off anti-seizure medication for a 5- with the dosage and frequency determine whether granting the year period or more. remaining the same since 2017. His exemption will achieve the required As a result of MEs misinterpreting physician states that he is supportive of level of safety mandated by statute. advisory criteria as regulation, Mr. Bigler receiving an exemption. The physical qualification standard numerous drivers have been prohibited Barry Dull for drivers regarding epilepsy found in from operating a CMV in interstate commerce based on the fact that they § 391.41(b)(8) states that a person is Mr. Dull is a 54 year-old class D have had one or more seizures and are physically qualified to drive a CMV if driver in Ohio. He has a history of that person has no established medical taking anti-seizure medication, rather than an individual analysis of their seizure disorder and has been seizure history or clinical diagnosis of epilepsy free since 2007. He takes anti-seizure or any other condition which is likely circumstances by a qualified ME based medication with the dosage and to cause the loss of consciousness or any on the physical qualification standards frequency remaining the same since loss of ability to control a CMV. and medical best practices. On January 15, 2013, FMCSA 2004. His physician states that he is In addition to the regulations, FMCSA announced in a Notice of Final supportive of Mr. Dull receiving an has published advisory criteria 1 to Disposition titled, ‘‘Qualification of exemption. assist medical examiners (MEs) in Drivers; Exemption Applications; determining whether drivers with Jeffrey Kuper Epilepsy and Seizure Disorders,’’ (78 FR certain medical conditions are qualified 3069), its decision to grant requests from to operate a CMV in interstate Mr. Kuper is a 46 year old class AM 22 individuals for exemptions from the commerce. driver in Illinois. He has a history of regulatory requirement that interstate The criteria states that if an individual seizure disorder and has been seizure CMV drivers have ‘‘no established free since 2011. He takes anti-seizure has had a sudden episode of a non- medical history or clinical diagnosis of medication with the dosage and epileptic seizure or loss of epilepsy or any other condition which frequency remaining the same since consciousness of unknown cause that is likely to cause loss of consciousness 2011. His physician states that she is did not require anti-seizure medication, or any loss of ability to control a CMV.’’ the decision whether that person’s Since that time, the Agency has supportive of Mr. Kuper receiving an condition is likely to cause the loss of published additional notices granting exemption. consciousness or loss of ability to requests from individuals for John Mieyr control a CMV should be made on an exemptions from the regulatory individual basis by the ME in requirement regarding epilepsy found in Mr. Mieyr is a 51 year-old class D consultation with the treating physician. § 391.41(b)(8). driver in Montana. He has a history of Before certification is considered, it is To be considered for an exemption seizure disorder and has been seizure suggested that a 6-month waiting period from the epilepsy and seizure disorders free since 2006. He takes anti-seizure elapse from the time of the episode. prohibition in § 391.41(b)(8), applicants medication with the dosage and Following the waiting period, it is must meet the criteria in the 2007 frequency remaining the same since suggested that the individual have a recommendations of the Agency’s 1993. His physician states that she is complete neurological examination. If Medical Expert Panel (78 FR 3069). the results of the examination are supportive of Mr. Mieyr receiving an negative and anti-seizure medication is III. Qualifications of Applicants exemption. not required, then the driver may be Jason Allie Harold Seaton qualified. In those individual cases where a Mr. Allie is a 35 year-old class C Mr. Seaton is a 63 year old class D, driver has had a seizure or an episode driver in California. He has a history of A CDL driver in Kentucky. He has a of loss of consciousness that resulted a single seizure and has been seizure history of seizure disorder and has been from a known medical condition (e.g., free since 2015. He takes anti-seizure seizure free since 2012. He takes anti- medication with the dosage and drug reaction, high temperature, acute seizure medication with the dosage and frequency remaining the same since infectious disease, dehydration, or acute frequency remaining the same since June 2015. His physician states that he metabolic disturbance), certification 2015. His physician states that he is should be deferred until the driver has is supportive of Mr. Allie receiving an exemption. supportive of Mr. Seaton receiving an recovered fully from that condition, has exemption. no existing residual complications, and Jay Asack IV. Request for Comments is not taking anti-seizure medication. Mr. Asack is a 28 year-old class D Drivers who have a history of driver in Massachusetts. He has a In accordance with 49 U.S.C. 31136(e) epilepsy/seizures, off anti-seizure history of epilepsy and has been seizure and 31315(b), FMCSA requests public medication and seizure-free for 10 years, free since 2011. He takes anti-seizure comment from all interested persons on may be qualified to operate a CMV in medication with the dosage and the exemption petitions described in interstate commerce. Interstate drivers frequency remaining the same since this notice. We will consider all with a history of a single unprovoked 2011. His physician states that she is seizure may be qualified to drive a CMV comments received before the close of supportive of Mr. Asack receiving an business on the closing date indicated in interstate commerce if seizure-free exemption. under the DATES section of the notice.
1 David Bigler These criteria may be found in Appendix A to Larry W. Minor, Part 391—Medical Advisory Criteria, section H. Mr. Bigler is a 31 year-old class D Associate Administrator for Policy. Epilepsy: § 391.41(b)(8), paragraphs 3, 4, and 5, driver in Minnesota. He has a history of which is available on the internet at https:// [FR Doc. 2020–07285 Filed 4–6–20; 8:45 am] www.gpo.gov/fdsys/pkg/CFR-2015-title49-vol5/pdf/ epilepsy and has been seizure free since BILLING CODE 4910–EX–P CFR-2015-title49-vol5-part391-appA.pdf. 2004. He takes anti-seizure medication
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DEPARTMENT OF TRANSPORTATION Title: Hazardous Materials Safety reducing the quality of the collected Permits. information. Federal Motor Carrier Safety OMB Control Number: 2126–0030. Issued under the authority of 49 CFR 1.87. Administration Type of Request: Revision and Kenneth H. Riddle, Extension of a currently-approved [Docket No. FMCSA–2019–0242] Acting Associate Administrator, Office of information collection. Registration and Research. Agency Information Collection Respondents: Motor carriers subject to [FR Doc. 2020–07222 Filed 4–6–20; 8:45 am] Activities; Extension of a Currently- the HM Safety Permit requirements in BILLING CODE 4910–EX–P Approved Information Collection 49 CFR part 385, subpart E. Request: Hazardous Materials Safety Estimated Number of Respondents: Permits 987. DEPARTMENT OF TRANSPORTATION Estimated Time per Response: 5 AGENCY: Federal Motor Carrier Safety minutes. The communication between Federal Motor Carrier Safety Administration (FMCSA), DOT. motor carriers and their drivers must Administration ACTION: Notice and request for take place at least two times per day. It comments. is estimated that it will take 5 minutes [Docket No. FMCSA–2019–0157] to maintain a daily communication SUMMARY: In accordance with the Agency Information Collection record for each driver. Paperwork Reduction Act of 1995, Activities; Revision of an Approved FMCSA announces its plan to submit Expiration Date: August 31, 2020. Information Collection: Training the Information Collection Request (ICR) Frequency of Response: On occasion. Certification for Entry-Level Estimated Total Annual Burden: Commercial Motor Vehicle Operators described below to the Office of × Management and Budget (OMB) for its 692,000 hours [8.3 million trips 5 ÷ AGENCY: Federal Motor Carrier Safety review and approval. The FMCSA minutes per record 60 minutes per Administration (FMCSA), DOT. requests approval to revise and extend hour = 691,667 rounded to 692,000]. ACTION: an existing ICR titled, ‘‘Hazardous Background: The Secretary of Notice and request for Materials Safety Permits.’’ This ICR Transportation is responsible for comments. implementing regulations to issue safety requires companies holding safety SUMMARY: In accordance with the permits to develop communications permits for transporting certain hazardous materials (HM) in accordance Paperwork Reduction Act of 1995, plans that allow for the periodic FMCSA announces its plan to submit tracking of the shipments. A record of with 49 U.S.C. 5101 et seq. The HM Safety Permit regulations (49 CFR part the Information Collection Request (ICR) the communications that includes the described below to the Office of time of the call and location of the 385, subpart E) require carriers to develop and maintain route plans so Management and Budget (OMB) for its shipment may be kept by either the review and approval and invites public driver (e.g., recorded in the log book) or that law enforcement officials can verify the correct location of the HM shipment. comment. FMCSA requests approval to the company. These records must be revise an ICR titled ‘‘Training kept, either physically or electronically, The FMCSA requires companies holding safety permits to develop a Certification for Entry-Level for at least six months at the company’s Commercial Motor Vehicle Operators,’’ principal place of business or readily communications plan that allows for the periodic tracking of the shipment. This which will now be used to register available to the employees at the providers of entry-level driver training company’s principal place of business. ICR covers the record of communications that includes the time and to provide State Drivers’ Licensing In response to the 60-day Federal Agencies with information on Register Notice published on November of the call and location of the shipment. The records may be kept by either the individuals who have completed said 7, 2019, FMCSA received one comment training. If approved, this revision will that did not relate to this ICR. driver (e.g., recorded in the log book) or the company. These records must be allow FMCSA to collect information on DATES: Please send your comments by kept, either physically or electronically, registered training providers and entry- May 7, 2020. OMB must receive your for at least six months at the company’s level driver training certification comments by this date in order to act on principal place of business or be readily information until 2022. the ICR. available to employees at the company’s DATES: We must receive your comments ADDRESSES: Written comments and principal place of business. The on or before May 7, 2020. OMB must recommendations for the proposed currently-approved information receive your comments by this date in information collection should be sent collection is based on an estimated order to act on the ICR. within 30 days of publication of this 1,304 respondents. The total number of ADDRESSES: Written comments and notice to www.reginfo.gov/public/do/ companies now holding a safety permit recommendations for the proposed PRAMain. Find this particular is 987 therefore in this ICR the information collection should be sent information collection by selecting estimated number of respondents is within 30 days of publication of this ‘‘Currently under 30-day Review—Open being revised to reflect this number. notice to www.reginfo.gov/public/do/ for Public Comments’’ or by using the Public Comments Invited: You are PRAMain. Find this particular search function. asked to comment on any aspect of this information collection by selecting FOR FURTHER INFORMATION CONTACT: Ms. information collection, including: (1) ‘‘Currently under 30-day Review—Open Suzanne Rach, Office of Enforcement Whether the proposed collection is for Public Comments’’ or by using the and Compliance, Hazardous Materials necessary for the performance of search function. Division, Department of Transportation, FMCSA’s functions; (2) the accuracy of FOR FURTHER INFORMATION CONTACT: FMCSA, West Building 6th Floor, 1200 the estimated burden; (3) ways for Joshua Jones, Commercial Driver’s New Jersey Avenue SE, Washington, DC FMCSA to enhance the quality, License Division, Department of 20590. Telephone: 202–385–2307; email usefulness, and clarity of the collected Transportation, Federal Motor Carrier [email protected]. information; and (4) ways that the Safety Administration, West Building SUPPLEMENTARY INFORMATION: burden could be minimized without 6th Floor, 1200 New Jersey Avenue SE,
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Washington, DC 20590. Telephone: Estimated Total Burden Under this section 32304 of MAP–21. That final 202–366–7332; email: Joshua.jones@ ICR: 67,276 hours. rule eliminated the existing driver dot.gov. Background training regulations under subpart E of SUPPLEMENTARY INFORMATION: part 380, established new minimum Title: Training Certification for Entry- Section 4007(a)(2) of the Intermodal training standards for entry-level Level Commercial Motor Vehicle Surface Transportation Efficiency Act of drivers, and in doing so established two Operators. 1991 (ISTEA) (Pub. L. 102–240, separate information collection actions: OMB Control Number: 2126–0028. December 18, 1991) directed the Federal (1) Training providers must submit Type of Request: Revision of a Highway Administration (predecessor information to FMCSA to ensure that Agency to FMCSA) to ‘‘. . . commence currently-approved information they meet the new training provider a rulemaking proceeding on the need to collection. eligibility requirements and may require training of all entry level drivers IC–1 (Training Certification for Entry- of commercial motor vehicles.’’ FMCSA therefore be listed on a new TPR; and Level Drivers Under Subpart E) subsequently published the final rule (2) after an individual driver-trainee Respondents: Entry-level Commercial titled ‘‘Minimum Training completes training administered by a Motor Vehicle (CMV) operators. Requirements for Entry-Level training provider listed on the TPR, that Estimated Number of Respondents Commercial Motor Vehicle Operators’’ training provider must submit training (average per year): 235,824. (69 FR 29384) on May 21, 2004, with an certification information regarding the Estimated Time per Response effective date of July 20, 2004, driver-trainee to the TPR. However, (average): 10 minutes. because the compliance dates for that Expiration Date: April 30, 2020. implementing Section 4007(a)(2) of Frequency of Response: On occasion. ISTEA. The rule mandated training for final rule were set as three years after its Entry-level interstate CDL holders interstate CMV drivers on four topics: publication, FMCSA did not, at that receive a certificate when they Driver qualifications, hours-of-service of time, revise the collection of successfully complete mandatory drivers, driver wellness, and whistle- information to reflect these two new training, and must present a copy of it blower protection. Under Subpart E of provisions, opting to provide an update to their employer in order to be the existing Entry Level Driver Training at the time of the next renewal for the qualified to drive a commercial motor (ELDT) requirements of 49 CFR part collection. Subsequently, on March 6, vehicle (CMV) in interstate commerce. 380, employers are prohibited from 2019, FMSCA published a separate final The employer keeps a copy of the allowing an entry-level driver to operate rule titled ‘‘Commercial Driver’s License training certificate in the driver a CMV without ensuring that the driver Upgrade from Class B to Class A’’ (84 FR qualification file. has received this ELDT as specified 8029), that amended the ELDT Estimated Total Annual Burden for under 49 CFR 380.503. These entry- regulations that were published on IC–1: 39,304 hours. level interstate CDL drivers receive a December 8, 2016, by adopting a new certificate when they successfully IC–2 (Training Provider Registration) Class A CDL theory instruction upgrade complete the mandatory training, and curriculum to reduce the training time Respondents: Training providers. must present a copy of it to their and costs incurred by Class B CDL Estimated Number of Respondents employer to be qualified to drive a CMV holders upgrading to a Class A CDL. (average per year): 6,837. in interstate commerce. The employer Estimated Time per Response keeps a copy of the training certificate This March 6, 2019, final rule does not (average): 1.84 hours. in the driver qualification file. During substantively affect the paperwork Expiration Date: April 30, 2020. collection burden associated with the Frequency of Response: All training an investigation, the certificate serves as ELDT regulations, therefore no action providers will need to initially register proof that the CDL driver completed the was taken to update the collection of once. Additionally, all registered required training. The currently training providers must update their approved collection of information with information at that time. information at least biennially. They are OMB Control Number 2126–0028 titled On February 4, 2020, the Agency also required to provide an update if ‘‘Training Certification for Entry-Level published an interim final rule titled any key information (company name, Commercial Motor Vehicle Operators’’ ‘‘Extension of Compliance Date for address, phone number, types of which was most recently approved on Entry-Level Driver Training’’ (85 FR training offered, etc.) changes prior to April 19, 2017, and which has an 6088) that further amends the ELDT their biennial update. expiration date of April 30, 2020, regulations that were published on Estimated Total Annual Burden for reflects these existing ELDT December 8, 2016, by extending the IC–2: 15,026 hours. requirements under Subpart E of 49 CFR compliance date for the rule from part 380. IC–3 (Driver Training Certification) February 7, 2020, to February 7, 2022. On July 6, 2012, President Obama This compliance date extension will Respondents: Training providers. signed legislation titled the ‘‘Moving Estimated Number of Respondents provide FMCSA additional time to Ahead for Progress in the 21st Century complete development of the TPR, and (average per year): 6,837. Act’’ (MAP–21) (Pub. L. 112–141, 126 Estimated Time per Response: 5 provides State Driver Licensing Stat. 405, 791). Section 32304 of MAP– minutes. Agencies with time to modify their 21 directed FMCSA to develop and Expiration Date: April 30, 2020. information technology systems and Frequency of Response: After an establish minimum driver training procedures, as necessary, to individual driver-trainee completes standards for applicants for a CDL and/ accommodate their receipt of driver- training administered by a training or certain CDL endorsements. FMCSA specific ELDT data from the TPR. In a provider listed on the Training Provider subsequently published the final rule Registry (TPR), that training provider titled ‘‘Minimum Training July 18, 2019, proposed rule titled must submit training certification Requirements for Entry-Level ‘‘Partial Extension of Compliance Date information regarding the driver-trainee Commercial Motor Vehicle Operators’’ for Entry-Level Driver Training’’ (84 FR to the TPR. (81 FR 88732) (ELDT final rule) on 34324), FMCSA had proposed extending Estimated Total Annual Burden for December 8, 2016, with a compliance the compliance date from February 7, IC–3: 12,946 hours. date of February 7, 2020, implementing 2020, to February 7, 2022, only for the
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requirement for training providers to collection, including: (1) Whether the • Fax: (202) 493–2251. submit training certification information proposed collection is necessary for the To avoid duplication, please use only to the TPR for each individual driver- performance of FMCSA’s functions; (2) one of these four methods. See the trainee that completes training. The the accuracy of the estimated burden; ‘‘Public Participation’’ portion of the compliance date for the ‘‘Training (3) ways for FMCSA to enhance the SUPPLEMENTARY INFORMATION section for Provider Registration’’ information quality, usefulness, and clarity of the instructions on submitting comments. collection activities was proposed to collected information; and (4) ways that FOR FURTHER INFORMATION CONTACT: Ms. have remained February 7, 2020. Under the burden could be minimized without Christine A. Hydock, Chief, Medical the February 4, 2020, interim final rule, reducing the quality of the collected Programs Division, (202) 366–4001, FMCSA is now delaying the entire information. [email protected], FMCSA, ELDT final rule, as opposed to a partial The agency will summarize or include Department of Transportation, 1200 delay as originally proposed, due to your comments in the request for OMB’s New Jersey Avenue SE, Room W64–224, delays in implementation of the TPR clearance of this information collection. Washington, DC 20590–0001. Office that were not foreseen when the Issued under the authority of 49 CFR hours are 8:30 a.m. to 5 p.m., ET, proposed rule was published. 1.87. Monday through Friday, except Federal Under this revision, the existing Kenneth Riddle, holidays. If you have questions entry-level driver training requirements Acting Associate Administrator for regarding viewing or submitting and information collection activities Registration and Research. material to the docket, contact Docket under 49 CFR 380 Subpart E that will Operations, (202) 366–9826. continue to be in force for the first two [FR Doc. 2020–07221 Filed 4–6–20; 8:45 am] SUPPLEMENTARY INFORMATION: years, 2020 and 2021, of the three-year BILLING CODE 4910–EX–P period covered by this ICR are treated as I. Public Participation a separate information collection (IC), DEPARTMENT OF TRANSPORTATION A. Submitting Comments IC–1. The ‘‘Training Provider Registration’’ information collection Federal Motor Carrier Safety If you submit a comment, please activities, and the ‘‘Driver Training Administration include the docket number for this Certification Information’’ information notice (Docket No. FMCSA–2020–0024), collection activities, that go into effect [Docket No. FMCSA–2020–0024] indicate the specific section of this as of February 7, 2022, under the new document to which each comment Qualification of Drivers; Exemption ELDT requirements are also treated as applies, and provide a reason for each Applications; Hearing separate information collections, IC–2 suggestion or recommendation. You and IC–3, respectively. AGENCY: Federal Motor Carrier Safety may submit your comments and On July 3, 2019, FMCSA published a Administration (FMCSA), DOT. material online or by fax, mail, or hand notice in the Federal Register allowing ACTION: Notice of applications for delivery, but please use only one of for a 60-day comment period on this exemption; request for comments. these means. FMCSA recommends that ICR. The Agency received one comment you include your name and a mailing to that notice. The Commercial Vehicle SUMMARY: FMCSA announces receipt of address, an email address, or a phone Training Association (CVTA) stated applications from 11 individuals for an number in the body of your document their support for OMB to approve the exemption from the hearing requirement so that FMCSA can contact you if there new collections under what are now IC– in the Federal Motor Carrier Safety are questions regarding your 2 (Training Provider Registration) and Regulations (FMCSRs) to operate a submission. IC–3 (Driver Training Certification commercial motor vehicle (CMV) in To submit your comment online, go to Information). CVTA also sought interstate commerce. If granted, the http://www.regulations.gov/ clarification as to why there were exemptions would enable these hard of docket?D=FMCSA-2020-0024. Click on separate ICs presented in the 60-day hearing and deaf individuals to operate the ‘‘Comment Now!’’ button and type notice for the ‘‘Training Provider CMVs in interstate commerce. your comment into the text box on the Registration’’ function and the ‘‘Driver DATES: Comments must be received on following screen. Choose whether you Training Certification Information’’ or before May 7, 2020. are submitting your comment as an function. The Agency clarifies that it ADDRESSES: You may submit comments individual or on behalf of a third party presented those two activities as identified by the Federal Docket and then submit. separate ICs in order to improve the Management System (FDMS) Docket No. If you submit your comments by mail clarity and transparency of the analysis. FMCSA–2020–0024 using any of the or hand delivery, submit them in an Guidance from the Office of Information following methods: unbound format, no larger than 81⁄2 by and Regulatory Affairs (OIRA) at OMB • Federal eRulemaking Portal: Go to 11 inches, suitable for copying and regarding the preparation of ICRs and http://www.regulations.gov/ electronic filing. If you submit Supporting Statements recommends docket?D=FMCSA-2020-0024. Follow comments by mail and would like to that each form or collection instrument the online instructions for submitting know that they reached the facility, have a separate IC within a given ICR, comments. please enclose a stamped, self-addressed in order to provide a more meaningful • Mail: Docket Operations; U.S. postcard or envelope. and easily understood estimate of the Department of Transportation, 1200 FMCSA will consider all comments burden associated with each form or New Jersey Avenue SE, West Building and material received during the collection. OIRA also recommends that Ground Floor, Room W12–140, comment period. agencies present separate ICs within an Washington, DC 20590–0001. B. Viewing Documents and Comments ICR if the Agency believes that doing so • Hand Delivery: West Building would be informative. Ground Floor, Room W12–140, 1200 To view comments, as well as any New Jersey Avenue SE, Washington, documents mentioned in this notice as Public Comments Invited DC, between 9 a.m. and 5 p.m., ET, being available in the docket, go to FMCSA requests that you comment Monday through Friday, except Federal http://www.regulations.gov/ on any aspect of this information Holidays. docket?D=FMCSA-2020-0024 and
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choose the document to review. If you On February 1, 2013, FMCSA business on the closing date indicated do not have access to the internet, you announced in a Notice of Final under the DATES section of the notice. may view the docket online by visiting Disposition titled, ‘‘Qualification of Larry W. Minor, the Docket Operations in Room W12– Drivers; Application for Exemptions; 140 on the ground floor of the DOT National Association of the Deaf,’’ (78 Associate Administrator for Policy. West Building, 1200 New Jersey Avenue FR 7479), its decision to grant requests [FR Doc. 2020–07284 Filed 4–6–20; 8:45 am] SE, Washington, DC 20590, between 9 from 40 individuals for exemptions BILLING CODE 4910–EX–P a.m. and 5 p.m., ET, Monday through from the Agency’s physical qualification Friday, except Federal holidays. standard concerning hearing for interstate CMV drivers. Since that time DEPARTMENT OF TRANSPORTATION C. Privacy Act the Agency has published additional Federal Motor Carrier Safety In accordance with 5 U.S.C. 553(c), notices granting requests from hard of Administration DOT solicits comments from the public hearing and deaf individuals for to better inform its rulemaking process. exemptions from the Agency’s physical [Docket No. FMCSA–2013–0124; FMCSA– DOT posts these comments, without qualification standard concerning 2013–0125; FMCSA–2013–0126; FMCSA– edit, including any personal information hearing for interstate CMV drivers. 2014–0104; FMCSA–2015–0327; FMCSA– the commenter provides, to 2016–0003; FMCSA–2017–0057; FMCSA– III. Qualifications of Applicants 2017–0058] www.regulations.gov, as described in the system of records notice (DOT/ALL– Dustin Bemesderfer Qualification of Drivers; Exemption 14 FDMS), which can be reviewed at Mr. Bemesderfer, 32, holds a class E Applications; Hearing www.transportation.gov/privacy. license in Florida. AGENCY: Federal Motor Carrier Safety II. Background Jason Burkholder Administration (FMCSA), DOT. Under 49 U.S.C. 31136(e) and Mr. Burkholder, 44, holds a class M ACTION: Notice of renewal of 31315(b), FMCSA may grant an license in Indiana. exemptions; request for comments. exemption from the FMCSRs for no longer than a 5-year period if it finds James Gray SUMMARY: FMCSA announces its decision to renew exemptions for 13 such exemption would likely achieve a Mr. Gray, 29, holds a class D license individuals from the hearing level of safety that is equivalent to, or in Ohio. greater than, the level that would be requirement in the Federal Motor achieved absent such exemption. The Richard Hadlock Carrier Safety Regulations (FMCSRs) for statute also allows the Agency to renew Mr. Hadlock, 44, holds a class D in interstate commercial motor vehicle exemptions at the end of the 5-year Illinois. (CMV) drivers. The exemptions enable period. FMCSA grants medical these hard of hearing and deaf exemptions from the FMCSRs for a 2- Matthew Honkanen individuals to continue to operate CMVs year period to align with the maximum Mr. Honkanen, 38, holds a class D in interstate commerce. duration of a driver’s medical license in Minnesota. DATES: The exemptions were applicable certification. on March 27, 2020. The exemptions Larry Lang The 11 individuals listed in this expire on March 27, 2022. Comments notice have requested an exemption Mr. Lang, 31, holds a class C license must be received on or before May 7, from the hearing requirement in 49 CFR in Texas. 2020. 391.41(b)(11). Accordingly, the Agency Jesus Perez ADDRESSES: You may submit comments will evaluate the qualifications of each identified by the Federal Docket Mr. Perez, 37, holds a class D license applicant to determine whether granting Management System (FDMS) Docket No. in Illinois. the exemption will achieve the required FMCSA–2013–0124, Docket No. level of safety mandated by statute. Jonathan Ramirez FMCSA–2013–0125, Docket No. The physical qualification standard Mr. Ramirez, 30, holds a class C FMCSA–2013–0126, Docket No. for drivers regarding hearing found in license in California. FMCSA–2014–0104, Docket No. § 391.41(b)(11) states that a person is FMCSA–2015–0327, Docket No. physically qualified to drive a CMV if Brandon St. George FMCSA–2016–0003, Docket No. that person first perceives a forced Mr. St. George, 31, holds a class CM FMCSA–2017–0057, or Docket No. whispered voice in the better ear at not license in Texas. FMCSA–2017–0058 using any of the less than 5 feet with or without the use following methods: of a hearing aid or, if tested by use of Yury Volkov • Federal eRulemaking Portal: Go to an audiometric device, does not have an Mr. Volkov, 34, holds a class C license http://www.regulations.gov. Follow the average hearing loss in the better ear in Pennsylvania. online instructions for submitting greater than 40 decibels at 500 Hz, 1,000 comments. Hz, and 2,000 Hz with or without a Aldale Williamson • Mail: Docket Operations; U.S. hearing aid when the audiometric Mr. Williamson, 27, holds a class D Department of Transportation, 1200 device is calibrated to American license in Washington, DC. New Jersey Avenue SE, West Building National Standard (formerly ASA Ground Floor, Room W12–140, Standard) Z24.5–1951. IV. Request for Comments Washington, DC 20590–0001. This standard was adopted in 1970 In accordance with 49 U.S.C. 31136(e) • Hand Delivery: West Building and was revised in 1971 to allow drivers and 31315(b), FMCSA requests public Ground Floor, Room W12–140, 1200 to be qualified under this standard comment from all interested persons on New Jersey Avenue SE, Washington, while wearing a hearing aid, 35 FR the exemption petitions described in DC, between 9 a.m. and 5 p.m., ET, 6458, 6463 (April 22, 1970) and 36 FR this notice. We will consider all Monday through Friday, except Federal 12857 (July 3, 1971). comments received before the close of Holidays.
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• Fax: (202) 493–2251. FMCSA will consider all comments American National Standard (formerly To avoid duplication, please use only and material received during the ASA Standard) Z24.5—1951. one of these four methods. See the comment period. This standard was adopted in 1970 ‘‘Public Participation’’ portion of the and was revised in 1971 to allow drivers B. Viewing Documents and Comments SUPPLEMENTARY INFORMATION section for to be qualified under this standard instructions on submitting comments. To view comments, as well as any while wearing a hearing aid, 35 FR FOR FURTHER INFORMATION CONTACT: Ms. documents mentioned in this notice as 6458, 6463 (April 22, 1970) and 36 FR Christine A. Hydock, Chief, Medical being available in the docket, go to 12857 (July 3, 1971). Programs Division, 202–366–4001, http://www.regulations.gov. Insert the The 13 individuals listed in this [email protected], FMCSA, docket number, FMCSA–2013–0124, notice have requested renewal of their Department of Transportation, 1200 FMCSA–2013–0125, FMCSA–2013– exemptions from the hearing standard New Jersey Avenue SE, Room W64–224, 0126, FMCSA–2014–0104, FMCSA– in § 391.41(b)(11), in accordance with Washington, DC 20590–0001. Office 2015–0327, FMCSA–2016–0003, FMCSA procedures. Accordingly, hours are from 8:30 a.m. to 5 p.m., ET, FMCSA–2017–0057, or FMCSA–2017– FMCSA has evaluated these Monday through Friday, except Federal 0058, in the keyword box, and click applications for renewal on their merits holidays. If you have questions ‘‘Search.’’ Next, click the ‘‘Open Docket and decided to extend each exemption regarding viewing or submitting Folder’’ button and choose the for a renewable 2-year period. document to review. If you do not have material to the docket, contact Docket III. Request for Comments Operations, (202) 366–9826. access to the internet, you may view the Interested parties or organizations SUPPLEMENTARY INFORMATION: docket online by visiting the Docket Operations in Room W12–140 on the possessing information that would I. Public Participation ground floor of the DOT West Building, otherwise show that any, or all, of these drivers are not currently achieving the A. Submitting Comments 1200 New Jersey Avenue SE, Washington, DC 20590, between 9 a.m. statutory level of safety should If you submit a comment, please and 5 p.m., ET, Monday through Friday, immediately notify FMCSA. The include the docket number for this except Federal holidays. Agency will evaluate any adverse notice (Docket No. FMCSA–2013–0124; evidence submitted and, if safety is FMCSA–2013–0125; FMCSA–2013– C. Privacy Act being compromised or if continuation of 0126; FMCSA–2014–0104; FMCSA– In accordance with 5 U.S.C. 553(c), the exemption would not be consistent 2015–0327; FMCSA–2016–0003; DOT solicits comments from the public with the goals and objectives of 49 FMCSA–2017–0057; FMCSA–2017– to better inform its rulemaking process. U.S.C. 31136(e) and 31315(b), FMCSA 0058), indicate the specific section of DOT posts these comments, without will take immediate steps to revoke the this document to which each comment edit, including any personal information exemption of a driver. applies, and provide a reason for each the commenter provides, to IV. Basis for Renewing Exemptions suggestion or recommendation. You www.regulations.gov, as described in may submit your comments and the system of records notice (DOT/ALL– In accordance with 49 U.S.C. 31136(e) material online or by fax, mail, or hand 14 FDMS), which can be reviewed at and 31315(b), each of the 13 applicants delivery, but please use only one of www.transportation.gov/privacy. has satisfied the renewal conditions for these means. FMCSA recommends that obtaining an exemption from the you include your name and a mailing II. Background hearing requirement. The 13 drivers in address, an email address, or a phone Under 49 U.S.C. 31136(e) and this notice remain in good standing with number in the body of your document 31315(b), FMCSA may grant an the Agency. In addition, for Commercial so that FMCSA can contact you if there exemption from the FMCSRs for no Driver’s License (CDL) holders, the are questions regarding your longer than a 5-year period if it finds Commercial Driver’s License submission. such exemption would likely achieve a Information System and the Motor To submit your comment online, go to level of safety that is equivalent to, or Carrier Management Information System http://www.regulations.gov, put the greater than, the level that would be are searched for crash and violation docket number, FMCSA–2013–0124, achieved absent such exemption. The data. For non-CDL holders, the Agency FMCSA–2013–0125, FMCSA–2013– statute also allows the Agency to renew reviews the driving records from the 0126, FMCSA–2014–0104, FMCSA– exemptions at the end of the 5-year State Driver’s Licensing Agency. These 2015–0327, FMCSA–2016–0003, period. FMCSA grants medical factors provide an adequate basis for FMCSA–2017–0057, or FMCSA–2017– exemptions from the FMCSRs for a 2- predicting each driver’s ability to 0058, in the keyword box, and click year period to align with the maximum continue to safely operate a CMV in ‘‘Search.’’ When the new screen duration of a driver’s medical interstate commerce. Therefore, FMCSA appears, click on the ‘‘Comment Now!’’ certification. concludes that extending the exemption button and type your comment into the The physical qualification standard for each of these drivers for a period of text box on the following screen. Choose for drivers regarding hearing found in 2 years is likely to achieve a level of whether you are submitting your 49 CFR 391.41(b)(11) states that a safety equal to that existing without the comment as an individual or on behalf person is physically qualified to drive a exemption. of a third party and then submit. CMV if that person first perceives a As of March 27, 2020, and in If you submit your comments by mail forced whispered voice in the better ear accordance with 49 U.S.C. 31136(e) and or hand delivery, submit them in an at not less than 5 feet with or without 31315(b), the following 13 individuals unbound format, no larger than 81⁄2 by the use of a hearing aid or, if tested by have satisfied the renewal conditions for 11 inches, suitable for copying and use of an audiometric device, does not obtaining an exemption from the electronic filing. If you submit have an average hearing loss in the hearing requirement in the FMCSRs for comments by mail and would like to better ear greater than 40 decibels at 500 interstate CMV drivers: know that they reached the facility, Hz, 1,000 Hz, and 2,000 Hz with or Deontae Blanks (TX) please enclose a stamped, self-addressed without a hearing aid when the Marquarius Boyd (MS) postcard or envelope. audiometric device is calibrated to Arthur Brown (FL)
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Michael Bunjer (MD) exemption will be valid for two years Avenue SE, Washington, DC 20590, Marco Cisneros (CA) unless revoked earlier by FMCSA. between 9 a.m. and 5 p.m., ET, Monday through Friday, except Federal holidays. Keith Drown (ID) Larry W. Minor, B. Privacy Act Edison Garcia (MD) Associate Administrator for Policy. [FR Doc. 2020–07286 Filed 4–6–20; 8:45 am] David Garland (ME) In accordance with 5 U.S.C. 553(c), BILLING CODE 4910–EX–P DOT solicits comments from the public James Gooch (MO) to better inform its rulemaking process. Joseph Piros (CA) DOT posts these comments, without DEPARTMENT OF TRANSPORTATION Robert Quintero (IL) edit, including any personal information the commenter provides, to Ronald Rumsey (IA) Federal Motor Carrier Safety Administration www.regulations.gov, as described in Charles Wirick (MD). the system of records notice (DOT/ALL– [Docket No. FMCSA–2012–0154; FMCSA– The drivers were included in docket 14 FDMS), which can be reviewed at 2012–0332; FMCSA–2013–0122; FMCSA– www.transportation.gov/privacy. number FMCSA–2013–0124, FMCSA– 2013–0123] 2013–0125, FMCSA–2013–0126, II. Background FMCSA–2014–0104, FMCSA–2015– Qualification of Drivers; Exemption 0327, FMCSA–2016–0003, FMCSA– Applications; Hearing On January 27, 2020, FMCSA 2017–0057, or FMCSA–2017–0058. published a notice announcing its AGENCY: Federal Motor Carrier Safety decision to renew exemptions for 12 Their exemptions are applicable as of Administration (FMCSA), DOT. March 27, 2020, and will expire on individuals from the hearing standard in ACTION: Notice of final disposition. March 27, 2022. 49 CFR 391.41(b)(11) to operate a CMV in interstate commerce and requested SUMMARY: V. Conditions and Requirements FMCSA announces its comments from the public (85 FR 4758). decision to renew exemptions for 12 The public comment period ended on The exemptions are extended subject individuals from the hearing February 26, 2020, and one comment to the following conditions: (1) Each requirement in the Federal Motor was received. Carrier Safety Regulations (FMCSRs) for driver must report any crashes or FMCSA has evaluated the eligibility interstate commercial motor vehicle accidents as defined in § 390.5; and (2) of these applicants and determined that (CMV) drivers. The exemptions enable report all citations and convictions for renewing these exemptions would these hard of hearing and deaf disqualifying offenses under 49 CFR 383 achieve a level of safety equivalent to, individuals to continue to operate CMVs and 49 CFR 391 to FMCSA; and (3) each or greater than, the level that would be in interstate commerce. driver prohibited from operating a achieved by complying with motorcoach or bus with passengers in DATES: The exemptions were applicable § 391.41(b)(11). interstate commerce. The driver must on January 14, 2020. The exemptions The physical qualification standard also have a copy of the exemption when expire on January 14, 2022. for drivers regarding hearing found in driving, for presentation to a duly FOR FURTHER INFORMATION CONTACT: Ms. § 391.41(b)(11) states that a person is authorized Federal, State, or local Christine A. Hydock, Chief, Medical physically qualified to drive a CMV if enforcement official. In addition, the Programs Division, 202–366–4001, that person first perceives a forced exemption does not exempt the [email protected], FMCSA, whispered voice in the better ear at not individual from meeting the applicable Department of Transportation, 1200 less than 5 feet with or without the use CDL testing requirements. Each New Jersey Avenue SE, Room W64–224, of a hearing aid or, if tested by use of exemption will be valid for 2 years Washington, DC 20590–0001. Office an audiometric device, does not have an unless rescinded earlier by FMCSA. The hours are from 8:30 a.m. to 5 p.m., ET, average hearing loss in the better ear exemption will be rescinded if: (1) The Monday through Friday, except Federal greater than 40 decibels at 500 Hz, 1,000 person fails to comply with the terms holidays. If you have questions Hz, and 2,000 Hz with or without a and conditions of the exemption; (2) the regarding viewing or submitting hearing aid when the audiometric exemption has resulted in a lower level material to the docket, contact Docket device is calibrated to American of safety than was maintained before it Operations, (202) 366–9826. National Standard (formerly ASA was granted; or (3) continuation of the SUPPLEMENTARY INFORMATION: Standard) Z24.5–1951. exemption would not be consistent with the goals and objectives of 49 U.S.C. I. Public Participation This standard was adopted in 1970 31136(e) and 31315(b). and was revised in 1971 to allow drivers A. Viewing Documents and Comments to be qualified under this standard VI. Preemption To view comments, as well as any while wearing a hearing aid, 35 FR documents mentioned in this notice as 6458, 6463 (April 22, 1970) and 36 FR During the period the exemption is in being available in the docket, go to 12857 (July 3, 1971). effect, no State shall enforce any law or http://www.regulations.gov. Insert the III. Discussion of Comments regulation that conflicts with this docket number, FMCSA–2012–0154, exemption with respect to a person FMCSA–2012–0332, FMCSA–2013– FMCSA received one comment in this operating under the exemption. 0122, or FMCSA–2013–0123, in the proceeding that was in support of the VII. Conclusion keyword box, and click ‘‘Search.’’ Next, hearing exemptions. click the ‘‘Open Docket Folder’’ button IV. Conclusion Based upon its evaluation of the 13 and choose the document to review. If exemption applications, FMCSA renews you do not have access to the internet, Based upon its evaluation of the 12 the exemptions of the aforementioned you may view the docket online by renewal exemption applications, drivers from the hearing requirement in visiting the Docket Operations in Room FMCSA announces its decision to § 391.41(b)(11). In accordance with 49 W12–140 on the ground floor of the exempt the following drivers from the U.S.C. 31136(e) and 31315(b), each DOT West Building, 1200 New Jersey hearing requirement in § 391.41(b)(11).
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As of January 14, 2020, and in DEPARTMENT OF TRANSPORTATION FMCSA–2001–10578; FMCSA–2003– accordance with 49 U.S.C. 31136(e) and 15268; FMCSA–2003–15892; FMCSA– 31315(b), the following 12 individuals Federal Motor Carrier Safety 2005–20027; FMCSA–2005–21711; have satisfied the renewal conditions for Administration FMCSA–2005–22194; FMCSA–2005– obtaining an exemption from the [Docket No. FMCSA–1999–5748; FMCSA– 22727; FMCSA–2006–26653; FMCSA– hearing requirement in the FMCSRs for 2001–10578; FMCSA–2003–15268; FMCSA– 2007–0017; FMCSA–2007–2663; interstate CMV drivers (85 FR 4758): 2003–15892; FMCSA–2005–20027; FMCSA– FMCSA–2007–27897; FMCSA–2007– 2005–21711; FMCSA–2005–22194; FMCSA– 28695; FMCSA–2009–0154; FMCSA– Geoffrey Canoyer (MN) 2005–22727; FMCSA–2006–26653; FMCSA– 2009–0303; FMCSA–2011–0092; Chase Cook (VA) 2007–0017; FMCSA–2007–2663; FMCSA– FMCSA–2011–0140; FMCSA–2011– 2007–27897; FMCSA–2007–28695; FMCSA– 0275; FMCSA–2011–0325; FMCSA– Jerry Ferguson (TX) 2009–0154; FMCSA–2009–0303; FMCSA– 2011–26690; FMCSA–2013–0026; Douglas Gray (OR) 2011–0092; FMCSA–2011–0140; FMCSA– 2011–0275; FMCSA–2011–0325; FMCSA– FMCSA–2013–0027; FMCSA–2013– Sue Gregory (UT) 2011–26690; FMCSA–2013–0026; FMCSA– 0028; FMCSA–2013–0029; FMCSA– 2013–0030; FMCSA–2013–0165; Buford Hudson (KY) 2013–0027; FMCSA–2013–0028; FMCSA– 2013–0029; FMCSA–2013–0030; FMCSA– FMCSA–2013–0166; FMCSA–2013– William Larson (NC) 2013–0165; FMCSA–2013–0166; FMCSA– 0167; FMCSA–2013–0168; FMCSA– Raymond Norris (TX) 2013–0167; FMCSA–2013–0168; FMCSA– 2013–0170; FMCSA–2013–0174; 2013–0170; FMCSA–2013–0174; FMCSA– FMCSA–2015–0053; FMCSA–2015– Jonathan Pitts (MD) 2015–0053; FMCSA–2015–0055; FMCSA– 0055; FMCSA–2015–0056; FMCSA– James Queen (FL) 2015–0056; FMCSA–2015–0070; FMCSA– 2015–0070; FMCSA–2015–0071; 2015–0071; FMCSA–2015–0072; FMCSA– FMCSA–2015–0072; FMCSA–2015– James Schubin (CA) 2015–0345; FMCSA–2015–0347; FMCSA– 0345; FMCSA–2015–0347; FMCSA– Morris Townsend (NC) 2017–0026; FMCSA–2017–0027] 2017–0026; FMCSA–2017–0027, in the The drivers were included in docket Qualification of Drivers; Exemption keyword box, and click ‘‘Search.’’ Next, number FMCSA–2012–0154, FMCSA– Applications; Vision click the ‘‘Open Docket Folder’’ button 2012–0332, FMCSA–2013–0122, or and choose the document to review. If FMCSA–2013–0123. Their exemptions AGENCY: Federal Motor Carrier Safety you do not have access to the internet, are applicable as of January 14, 2020, Administration (FMCSA), DOT. you may view the docket online by and will expire on January 14, 2022. ACTION: Notice of final disposition. visiting the Docket Operations in Room W12–140 on the ground floor of the SUMMARY: In accordance with 49 U.S.C. FMCSA announces its DOT West Building, 1200 New Jersey 31315(b), each exemption will be valid decision to renew exemptions for 76 Avenue SE, Washington, DC 20590, for 2 years from the effective date unless individuals from the vision requirement between 9 a.m. and 5 p.m., ET, Monday revoked earlier by FMCSA. The in the Federal Motor Carrier Safety through Friday, except Federal holidays. exemption will be revoked if the Regulations (FMCSRs) for interstate following occurs: (1) The person fails to commercial motor vehicle (CMV) B. Privacy Act comply with the terms and conditions drivers. The exemptions enable these In accordance with 5 U.S.C. 553(c), of the exemption; (2) the exemption has individuals to continue to operate CMVs DOT solicits comments from the public resulted in a lower level of safety than in interstate commerce without meeting to better inform its rulemaking process. was maintained prior to being granted; the vision requirement in one eye. DOT posts these comments, without or (3) continuation of the exemption DATES: Each group of renewed edit, including any personal information would not be consistent with the goals exemptions were applicable on the the commenter provides, to and objectives of 49 U.S.C. 31136(e) and dates stated in the discussions below www.regulations.gov, as described in 31315(b). and will expire on the dates provided the system of records notice (DOT/ALL– below. 14 FDMS), which can be reviewed at Larry W. Minor, FOR FURTHER INFORMATION CONTACT: Ms. www.dot.gov/privacy. Associate Administrator for Policy. Christine A. Hydock, Chief, Medical II. Background [FR Doc. 2020–07282 Filed 4–6–20; 8:45 am] Programs Division, (202) 366–4001, On January 27, 2020, FMCSA BILLING CODE 4910–EX–P [email protected], FMCSA, Department of Transportation, 1200 published a notice announcing its New Jersey Avenue SE, Room W64–224, decision to renew exemptions for 76 Washington, DC 20590–0001. Office individuals from the vision requirement hours are from 8:30 a.m. to 5 p.m., ET, in 49 CFR 391.41(b)(10) to operate a Monday through Friday, except Federal CMV in interstate commerce and holidays. If you have questions requested comments from the public (85 regarding viewing or submitting FR 4769). The public comment period material to the docket, contact Docket ended on February 27, 2020, and no Operations, (202) 366–9826. comments were received. FMCSA has evaluated the eligibility SUPPLEMENTARY INFORMATION: of these applicants and determined that I. Public Participation renewing these exemptions would achieve a level of safety equivalent to, A. Viewing Documents and Comments or greater than, the level that would be To view comments, as well as any achieved by complying with the current documents mentioned in this notice as regulation § 391.41(b)(10). being available in the docket, go to The physical qualification standard http://www.regulations.gov. Insert the for drivers regarding vision found in docket number, FMCSA–1999–5748; § 391.41(b)(10) states that a person is
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physically qualified to drive a CMV if 80 FR 36395; 80 FR 37718; 80 FR 40122; George E. Todd (WV) that person has distant visual acuity of 80 FR 44188; 80 FR 48411; 80 FR 49302; Aaron M. Vernon (OH) at least 20/40 (Snellen) in each eye 80 FR 50915; 80 FR 53383; 80 FR 59225; John H. Voigts (AZ) without corrective lenses or visual 80 FR 59230; 80 FR 62161; 80 FR 62163; Joseph A. Wells (IL) acuity separately corrected to 20/40 80 FR 63839; 80 FR 63869; 80 FR 67472; James D. Zimmer (OH) (Snellen) or better with corrective 80 FR 67476; 80 FR 67481; 80 FR 70060; The drivers were included in docket lenses, distant binocular acuity of a least 80 FR 79414; 80 FR 80443; 81 FR 1284; numbers FMCSA–1999–5748; FMCSA– 20/40 (Snellen) in both eyes with or 81 FR 11642; 81 FR 15401; 81 FR 15404; 2001–10578; FMCSA–2003–15268; without corrective lenses, field of vision 81 FR 16265; 81 FR 44680; 82 FR 37499; FMCSA–2003–15892; FMCSA–2005– of at least 70° in the horizontal meridian 82 FR 47312; 83 FR 2306; 83 FR 3861; 20027; FMCSA–2005–21711; FMCSA– in each eye, and the ability to recognize 83 FR 4537; 83 FR 6922; and 83 FR 2005–22194; FMCSA–2005–22727; the colors of traffic signals and devices 6925): FMCSA–2006–26653; FMCSA–2007– 0017; FMCSA–2007–2663; FMCSA– showing red, green, and amber. Deneris G. Allen (LA) 2007–27897; FMCSA–2007–28695; Christopher L. Bagby (VA) III. Discussion of Comments FMCSA–2009–0154; FMCSA–2009– Wayne Barker (OK) FMCSA received no comments in this 0303; FMCSA–2011–0092; FMCSA– Richard D. Becotte (NH) proceeding. 2011–0140; FMCSA–2011–0275; Gary L. Best (MI) FMCSA–2011–26690; FMCSA–2013– IV. Conclusion Timothy A. Bohling (CO) 0026; FMCSA–2013–0027; FMCSA– Charles W. Bradley (SC) Based on its evaluation of the 76 2013–0028; FMCSA–2013–0029; renewal exemption applications and Jean-Pierre G. Brefort (CT) FMCSA–2013–0030; FMCSA–2013– comments received, FMCSA confirms Duane W. Brzuchalski (AZ) 0165; FMCSA–2013–0166; FMCSA– its decision to exempt the following John Camp (GA) 2013–0167; FMCSA–2013–0168; drivers from the vision requirement in Henry L. Chastain (GA) FMCSA–2013–0170; FMCSA–2015– § 391.41(b)(10). As of February 9, 2020, Martina B. Classen (IA) 0053; FMCSA–2015–0055; FMCSA– and in accordance with 49 U.S.C. Aubrey R. Cordrey, Jr. (DE) 2015–0056; FMCSA–2015–0070; 31136(e) and 31315, the following 61 Robert L. Cross, Jr. (MO) FMCSA–2015–0071; FMCSA–2015– individuals have satisfied the renewal Matthew W. Daggs (MO) 0072; and FMCSA–2015–0345. Their conditions for obtaining an exemption James M. Del Sasso (IL) exemptions are applicable as of from the vision requirement in the Albert M. DiVella (NV) February 9, 2020, and will expire on FMCSRs for interstate CMV drivers (64 Michael M. Edleston (MA) February 9, 2022. FR 40404; 64 FR 66962; 66 FR 53826; Elhadji M. Faye (CA) As of February 12, 2020, and in 66 FR 66966; 66 FR 66969; 68 FR 37197; James P. Fitzgerald (MA) accordance with 49 U.S.C. 31136(e) and 68 FR 52811; 68 FR 61860; 68 FR 69432; Russell W. Foster (OH) 31315(b), the following three 68 FR 69434; 70 FR 2701; 70 FR 16887; Gordon R. Fritz (WI) individuals have satisfied the renewal 70 FR 48797; 70 FR 57353; 70 FR 61165; Richard L. Gandee (OH) conditions for obtaining an exemption 70 FR 61493; 70 FR 71884; 70 FR 72689; James E. Goodman (AL) from the vision requirement in the 70 FR 74102; 71 FR 644; 71 FR 4632; 72 Christopher L. Granby (MI) FMCSRs for interstate CMV drivers (81 FR 8417; 72 FR 36099; 72 FR 39879; 72 John N. Guilford (AL) FR 1474; 81 FR 48493; and 83 FR 6925): FR 46261; 72 FR 52419; 72 FR 54971; Louis M. Hankins (IL) Charles H. Baim (PA); Walton W. Smith 72 FR 54972; 72 FR 62896; 72 FR 62897; Steven M. Hoover (IL) (VA); and Aaron D. Tillman (DE) Frank E. Johnson, Jr. (FL) 72 FR 64273; 72 FR 67340; 72 FR 71993; The drivers were included in docket Carol Kelly (IN) 72 FR 71995; 72 FR 71998; 73 FR 1395; number FMCSA–2015–0347. Their Roger D. Kool (IA) 73 FR 5259; 73 FR 6246; 74 FR 34395; exemptions are applicable as of William E. Leimkuehler (OK) 74 FR 37295; 74 FR 43221; 74 FR 43223; February 12, 2020, and will expire on 74 FR 48343; 74 FR 49069; 74 FR 53581; Michael S. Lewis (NC) February 12, 2022. 74 FR 60021; 74 FR 60022; 74 FR 62632; Jose A. Marco (TX) As of February 16, 2020, and in 74 FR 65845; 74 FR 65847; 75 FR 1450; Dennis L. Maxcy (NY) accordance with 49 U.S.C. 31136(e) and 75 FR 1451; 75 FR 4623; 76 FR 25766; George A. McCue (NV) 31315(b), the following nine individuals 76 FR 37169; 76 FR 37885; 76 FR 44652; Cameron S. McMillen (NM) have satisfied the renewal conditions for 76 FR 50318; 76 FR 53708; 76 FR 55469; David L. Menken (NY) obtaining an exemption from the vision 76 FR 62143; 76 FR 64164; 76 FR 64169; Gregory G. Miller (OH) requirement in the FMCSRs for 76 FR 64171; 76 FR 70210; 76 FR 70212; Rashawn L. Morris (VA) interstate CMV drivers (83 FR 2292; 83 76 FR 70215; 76 FR 75940; 76 FR 75943; James R. Murphy (NY) FR 2311; 83 FR 18648; and 83 FR 76 FR 78728; 76 FR 78729; 76 FR 79760; Charles D. Oestreich (MN) 24589): 77 FR 543; 77 FR 545; 77 FR 3554; 78 Carlos A. Osollo (NM) Jordan N. Bean (ND) FR 22598; 78 FR 24798; 78 FR 27281; Robert M. Pickett II (MI) Micheal H. Eheler (WI) 78 FR 34143; 78 FR 37270; 78 FR 37274; Johnny L. Powell (MD) Colin D. McGregor (WI) 78 FR 41188; 78 FR 41975; 78 FR 46407; Branden J. Ramos (CA) Ryan J. Plank (PA) 78 FR 47818; 78 FR 52602; 78 FR 56986; Andres Regalado (CA) Douglas E. Porter (MI) 78 FR 56993; 78 FR 62935; 78 FR 63302; Daniel T. Rhodes (IL) Jorge A. Rodriguez (CA) 78 FR 63307; 78 FR 64271; 78 FR 64280; Thenon D. Ridley (TX) Jimmy W. Rowland (FL) 78 FR 65032; 78 FR 66099; 78 FR 67454; Christopher M. Rivera (NM) Aaron R. Rupe (IL) 78 FR 67460; 78 FR 67462; 78 FR 68137; Richard S. Robb (NM) Juan D. Zertuche (TX) 78 FR 76395; 78 FR 76704; 78 FR 76705; Angelo D. Rogers (AL) The drivers were included in docket 78 FR 76707; 78 FR 77780; 78 FR 77782; Juan M. Rosas (AZ) numbers FMCSA–2017–0026; and 78 FR 78475; 78 FR 78477; 79 FR 2748; David J. Rothermal (RI) FMCSA–2017–0027. Their exemptions 79 FR 3919; 79 FR 4803; 79 FR 53708; James J. Slemmer (PA) are applicable as of February 16, 2020, 80 FR 31635; 80 FR 31640; 80 FR 33007; Juan E. Sotero (FL) and will expire on February 16, 2022.
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As of February 22, 2020, and in As of February 27, 2020, and in for 2 years from the effective date unless accordance with 49 U.S.C. 31136(e) and accordance with 49 U.S.C. 31136(e) and revoked earlier by FMCSA. The 31315(b), the following two individuals 31315(b), the following individual has exemption will be revoked if the have satisfied the renewal conditions for satisfied the renewal conditions for following occurs: (1) The person fails to obtaining an exemption from the vision obtaining an exemption from the vision comply with the terms and conditions requirement in the FMCSRs for requirement in the FMCSRs for of the exemption; (2) the exemption has interstate CMV drivers (77 FR 539; 77 interstate CMV drivers (79 FR 1908; 79 resulted in a lower level of safety than FR 10608; 79 FR 6993; 81 FR 15401; and FR 14333; 81 FR 15401; and 83 FR was maintained prior to being granted; 83 FR 6925): 6925): or (3) continuation of the exemption Danielle Wilkins (CA) would not be consistent with the goals Brian K. Cline (NC); and Mickey Lawson and objectives of 49 U.S.C. 31136(e) and (NC) The driver was included in docket number FMCSA–2013–0174. The 31315(b). The drivers were included in docket exemption is applicable as of February Larry W. Minor, number FMCSA–2011–0325. Their 27, 2020, and will expire on February exemptions are applicable as of 27, 2022. Associate Administrator for Policy. February 22, 2020, and will expire on In accordance with 49 U.S.C. [FR Doc. 2020–07281 Filed 4–6–20; 8:45 am] February 22, 2022. 31315(b), each exemption will be valid BILLING CODE 4910–EX–P
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Part II
Department of Commerce
National Oceanic and Atmospheric Administration Takes of Marine Mammals Incidental to Specified Activities; Taking Marine Mammals Incidental to a Marine Geophysical Survey in the Northeast Pacific Ocean; Notice
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DEPARTMENT OF COMMERCE and will generally be posted online at (NEPA; 42 U.S.C. 4321 et seq.) and https://www.fisheries.noaa.gov/permit/ NOAA Administrative Order (NAO) National Oceanic and Atmospheric incidental-take-authorizations-under- 216–6A, NMFS must review our Administration marine-mammal-protection-act without proposed action (i.e., the issuance of an change. All personal identifying incidental harassment authorization) [RTID 0648–XR074] information (e.g., name, address) with respect to potential impacts on the Takes of Marine Mammals Incidental to voluntarily submitted by the commenter human environment. Specified Activities; Taking Marine may be publicly accessible. Do not Accordingly, NMFS plans to adopt Mammals Incidental to a Marine submit confidential business the National Science Foundation’s Geophysical Survey in the Northeast information or otherwise sensitive or (NSF’s) Environmental Assessment Pacific Ocean protected information. (EA), as we have preliminarily FOR FURTHER INFORMATION CONTACT: determined that it includes adequate AGENCY: National Marine Fisheries Amy Fowler, Office of Protected information analyzing the effects on the Service (NMFS), National Oceanic and Resources, NMFS, (301) 427–8401. human environment of issuing the IHA. Atmospheric Administration (NOAA), Electronic copies of the application and NSF’s EA is available at https:// Commerce. supporting documents, as well as a list www.nsf.gov/geo/oce/envcomp/. ACTION: Notice; proposed incidental of the references cited in this document, We will review all comments harassment authorization; request for may be obtained online at: https:// submitted in response to this notice comments on proposed authorization www.fisheries.noaa.gov/permit/ prior to concluding our NEPA process and possible renewal. incidental-take-authorizations-under- or making a final decision on the IHA marine-mammal-protection-act. In case request. SUMMARY: NMFS has received a request of problems accessing these documents, Summary of Request from the Lamont-Doherty Earth please call the contact listed above. Observatory of Columbia University (L– On November 8, 2019, NMFS received SUPPLEMENTARY INFORMATION: DEO) for authorization to take marine a request from L–DEO for an IHA to take mammals incidental to a marine Background marine mammals incidental to a marine geophysical survey in the northeast geophysical survey of the Cascadia The MMPA prohibits the ‘‘take’’ of Pacific Ocean. Pursuant to the Marine Subduction Zone off the coasts of marine mammals, with certain Mammal Protection Act (MMPA), NMFS Washington, Oregon, and British exceptions. Sections 101(a)(5)(A) and is requesting comments on its proposal Columbia, Canada. The application was (D) of the MMPA (16 U.S.C. 1361 et to issue an incidental harassment deemed adequate and complete on seq.) direct the Secretary of Commerce authorization (IHA) to incidentally take March 6, 2020. L–DEO’s request is for (as delegated to NMFS) to allow, upon marine mammals during the specified take of small numbers of 31 species of request, the incidental, but not activities. NMFS is also requesting marine mammals by Level A and Level intentional, taking of small numbers of comments on a possible one-year B harassment. Neither L–DEO nor marine mammals by U.S. citizens who renewal that could be issued under NMFS expects serious injury or engage in a specified activity (other than certain circumstances and if all mortality to result from this activity commercial fishing) within a specified requirements are met, as described in and, therefore, an IHA is appropriate. geographical region if certain findings Request for Public Comments at the end NMFS has previously issued IHAs to are made and either regulations are of this notice. NMFS will consider L–DEO for similar surveys in the issued or, if the taking is limited to public comments prior to making any northeast Pacific (e.g., 84 FR 35073, July harassment, a notice of a proposed final decision on the issuance of the 22, 2019; 77 FR 41755, July 16, 2012). incidental take authorization may be requested MMPA authorizations and L–DEO complied with all the provided to the public for review. agency responses will be summarized in requirements (e.g., mitigation, Authorization for incidental takings the final notice of our decision. monitoring, and reporting) of the shall be granted if NMFS finds that the previous IHAs and information DATES: Comments and information must taking will have a negligible impact on regarding their monitoring results may be received no later than May 7, 2020. the species or stock(s) and will not have be found in the Description of Marine ADDRESSES: Comments should be an unmitigable adverse impact on the Mammals in the Area of Specified addressed to Jolie Harrison, Chief, availability of the species or stock(s) for Activities section. Permits and Conservation Division, taking for subsistence uses (where Office of Protected Resources, National relevant). Further, NMFS must prescribe Description of Proposed Activity Marine Fisheries Service. Physical the permissible methods of taking and Overview comments should be sent to 1315 East- other ‘‘means of effecting the least West Highway, Silver Spring, MD 20910 practicable adverse impact’’ on the Researchers from L–DEO, Woods Hole and electronic comments should be sent affected species or stocks and their Oceanographic Institution (WHOI), and to [email protected]. habitat, paying particular attention to the University of Texas at Austin Instructions: NMFS is not responsible rookeries, mating grounds, and areas of Institute of Geophysics (UTIG), with for comments sent by any other method, similar significance, and on the funding from the NSF, and in to any other address or individual, or availability of the species or stocks for collaboration with researchers from received after the end of the comment taking for certain subsistence uses Dalhousie University and Simon Fraser period. Comments received (referred to in shorthand as University (SFU) propose to conduct a electronically, including all ‘‘mitigation’’); and requirements high-energy seismic survey from the attachments, must not exceed a 25- pertaining to the mitigation, monitoring Research Vessel (R/V) Marcus G megabyte file size. Attachments to and reporting of the takings are set forth. Langseth (Langseth) in the northeast electronic comments will be accepted in Pacific Ocean beginning in June 2020. Microsoft Word or Excel or Adobe PDF National Environmental Policy Act The seismic survey would be conducted file formats only. All comments To comply with the National at the Cascadia Subduction Zone off the received are a part of the public record Environmental Policy Act of 1969 coasts of Oregon, Washington, and
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British Columbia, Canada. The proposed The deformation and topography of the mechanical issues with the research two-dimensional (2–D) seismic survey incoming plate; (2) the depth, vessel and/or equipment. The survey is would occur within the Exclusive topography, and reflectivity of the proposed to occur within the EEZs of Economic Zones (EEZs) of Canada and megathrust; (3) sediment properties and the United States and Canada, as well as the United States, including U.S. state amount of sediment subduction; and (4) in U.S. state waters and Canadian waters and Canadian territorial waters. the structure and evolution of the territorial waters, ranging in depth 60– The survey would use a 36-airgun accretionary wedge, including geometry 4400 meters (m). A maximum of 6,890 towed array with a total discharge and reflectivity of fault networks, and km of transect lines would be surveyed. volume of ∼6,600 cubic inches (in3) as how these properties vary along strike, Most of the survey (63.2 percent) would an acoustic source, acquiring return spanning the full length of the margin occur in deep water (>1,000 m), 26.4 signals using both a towed streamer as and down dip across what may be the percent would occur in intermediate well ocean bottom seismometers (OBSs) full width of the Cascadia Subduction water (100–1,000 m deep), and 10.4 and ocean bottom nodes (OBNs). Zone. percent would take place in shallow The proposed study would use 2–D Dates and Duration water <100 m deep. Approximately 4 percent of the transect lines (295 km) seismic surveying and OBSs and OBNs The proposed survey is expected to to investigate the Cascadia Subduction last for 40 days, with 37 days of seismic would be undertaken in Canadian Zone and provide data necessary to operations, 2 days of equipment territorial waters (from 0–12 nautical illuminate the depth, geometry, and deployment, and 1 day of transit. R/V miles (22.2 km) from shore), with most physical properties of the seismogenic Langseth would likely leave out of and effort in intermediate waters. NMFS portion and updip extent of the return to port in Astoria, Oregon, during cannot authorize the incidental take of megathrust zone between the June–July 2020. marine mammals in the territorial seas subducting Juan de Fuca plate and the of foreign nations, as the MMPA does overlying accretionary wedge/North Specific Geographic Region not apply in those waters. However, American plate. These data would The proposed survey would occur NMFS has still calculated the level of provide essential constraints for within ∼42–51° N, ∼124–130° W. incidental take in the entire activity area earthquake and tsunami hazard Representative survey tracklines are (including Canadian territorial waters) assessment in this heavily populated shown in Figure 1. Some deviation in as part of the analysis supporting our region of the Pacific Northwest. The actual track lines, including the order of preliminary determination under the primary objectives of the survey survey operations, could be necessary MMPA that the activity will have a proposed by researchers from L–DEO, for reasons such as science drivers, poor negligible impact on the affected WHOI, and UTIG is to characterize: (1) data quality, inclement weather, or species.
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Detailed Description of Specific Activity with volumes of 180 to 360 in3 and 16 Oceanus, which is owned by NSF and Bolt 1900LLX airguns with volumes of operated by Oregon State University, The procedures to be used for the 40 to 120 in3. The airgun array would be used to deploy the OBSs and proposed surveys would be similar to configuration is illustrated in Figure 2– OBNs. As the airguns are towed along those used during previous seismic 11 of NSF and USGS’s Programmatic the survey lines, the hydrophone surveys by L–DEO and would use Environmental Impact Statement (PEIS; streamer would transfer the data to the conventional seismic methodology. The NSF–USGS, 2011). The vessel speed on-board processing system, and the surveys would involve one source during seismic operations would be OBSs and OBNs would receive and vessel, R/V Langseth, which is owned approximately 4.2 knots (∼7.8 km/hour) store the returning acoustic signals by NSF and operated on its behalf by L– during the survey and the airgun array internally for later analysis. DEO. R/V Langseth would deploy an would be towed at a depth of 12 m. The Long 15-km-offset multichannel array of 36 airguns as an energy source receiving system would consist of one seismic (MCS) data would be acquired with a total volume of ∼6,600 in3. The 15-kilometer (km) long hydrophone along numerous 2–D profiles oriented array consists of 20 Bolt 1500LL airguns streamer, OBSs, and OBNs. R/V perpendicular to the margin and located
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to provide coverage in areas inferred to internal batteries; all data is recorded Description of Marine Mammals in the be rupture patches during past and stored internally. The nodes weigh Area of Specified Activities earthquakes and their boundary zones. 21 kg in air (9.5 kg in water). As the The survey would also include several OBNs are small (330 millimeters (mm) Sections 3 and 4 of the application strike lines including one continuous x 289 mm x 115 mm), compact, not summarize available information line along the continental shelf centered buoyant, and lack an anchor-release regarding status and trends, distribution and habitat preferences, and behavior roughly over gravity-inferred fore-arc mechanism, they cannot be deployed by and life history, of the potentially basins to investigate possible free-fall as with the OBSs. The nodes affected species. Additional information segmentation near the down-dip limit of would be deployed and retrieved using regarding population trends and threats the seismogenic zone. The margin a remotely operated vehicle (ROV); the ∼ may be found in NMFS’s Stock normal lines would extend 50 km ROV would be deployed from R/V Assessment Reports (SARs; https:// seaward of the deformation front to Oceanus. OBNs would be deployed 17 image the region of subduction bend www.fisheries.noaa.gov/national/ days prior to the start of the R/V marine-mammal-protection/marine- faulting in the incoming oceanic plate, Langseth cruise. The ROV would be and landward of the deformation front mammal-stock-assessments) and more fitted with a skid with capacity for 32 general information about these species to as close to the shoreline as can be units, lowered to the seafloor, and safely maneuvered. It is proposed that (e.g., physical and behavioral towed at a speed of 0.6 knots at 5–10 m the southern transects off Oregon are descriptions) may be found on NMFS’s above the seafloor between deployment acquired first, followed by the profiles website (https:// sites. After the 32 units are deployed, off Washington and Vancouver Island, www.fisheries.noaa.gov/find-species). the ROV would be retrieved, the skid British Columbia. Table 1 lists all species with expected would be reloaded with another 32 The OBSs would consist of short- potential for occurrence in the survey units, and sent back to the seafloor for period multi-component OBSs from the area and summarizes information deployment, and so on. The ROV would Ocean Bottom Seismometer Instrument related to the population or stock, recover the nodes 3 days after the Center (OBSIC) and a large-N array of including regulatory status under the completion of the R/V Langseth cruise. OBNs from a commercial provider to MMPA and ESA and potential ∼ record shots along 11 MCS margin- The nodes would be recovered one by biological removal (PBR), where known. perpendicular profiles. OBSs would be one by a suction mechanism. Take of For taxonomy, we follow Committee on ∼ deployed at 10-km spacing along 11 marine mammals is not expected to Taxonomy (2019). PBR is defined by the profiles from Vancouver Island to occur incidental to L–DEO’s use of MMPA as the maximum number of Oregon, and OBNs would be deployed OBSs and OBNs. animals, not including natural at a 500-m spacing along a portion of In addition to the operations of the mortalities, that may be removed from a two profiles off Oregon. Two OBS airgun array, a multibeam echosounder marine mammal stock while allowing deployments would occur with a total of (MBES), a sub-bottom profiler (SBP), that stock to reach or maintain its 115 instrumented locations. 60 OBSs and an Acoustic Doppler Current optimum sustainable population (as would be deployed to instrument seven Profiler (ADCP) would be operated from described in NMFS’s SARs). While no profiles off Oregon, followed by a R/V Langseth continuously during the mortality is anticipated or authorized second deployment of 55 OBSs to seismic surveys, but not during transit here, PBR and annual serious injury and instrument four profiles off Washington to and from the survey area. All planned mortality from anthropogenic sources and Vancouver Island. The first geophysical data acquisition activities are included here as gross indicators of deployment off Oregon would occur would be conducted by L–DEO with on- the status of the species and other prior to the start of the proposed survey, board assistance by the scientists who threats. after which R/V Langseth would acquire have proposed the studies. The vessel Marine mammal abundance estimates data in the southern portion of the study would be self-contained, and the crew area. R/V Oceanus would start presented in this document represent would live aboard the vessel. Take of recovering the OBSs from deployment 1, the total number of individuals that marine mammals is not expected to and then re-deploy 55 OBSs off make up a given stock or the total occur incidental to use of the MBES, Washington and Vancouver Island, so number estimated within a particular SBP, or ADCP because they will be that R/V Langseth can acquire data in study or survey area. NMFS’s stock the northern portion of the survey area. operated only during seismic abundance estimates for most species The OBSs have a height and diameter of acquisition, and it is assumed that, represent the total estimate of ∼1 m, and an ∼80 kilogram (kg) anchor. during simultaneous operations of the individuals within the geographic area, To retrieve OBSs, an acoustic release airgun array and the other sources, any if known, that comprises that stock. For transponder (pinger) is used to marine mammals close enough to be some species, this geographic area may interrogate the instrument at a affected by the MBES, SBP, and ADCP extend beyond U.S. waters. All managed frequency of 8–11 kHz, and a response would already be affected by the stocks in this region are assessed in is received at a frequency of 11.5–13 airguns. However, whether or not the NMFS’s U.S. Pacific and Alaska SARs kHz. The burn-wire release assembly is airguns are operating simultaneously (Caretta et al., 2019; Muto et al., 2019). then activated, and the instrument is with the other sources, given their All MMPA stock information presented released to float to the surface from the characteristics (e.g., narrow downward- in Table 1 is the most recent available anchor, which is not retrieved. directed beam), marine mammals would at the time of publication and is A total of 350 OBNs would be experience no more than one or two available in the 2018 SARs (Caretta et deployed: 229 nodes along one transect brief ping exposures, if any exposure al., 2019; Muto et al., 2019) and draft off northern Oregon, and 121 nodes were to occur. Proposed mitigation, 2019 SARs (available online at: https:// along a second transect off central monitoring, and reporting measures are www.fisheries.noaa.gov/national/ Oregon. The nodes are not connected to described in detail later in this marine-mammal-protection/draft- each other; each node is independent document (please see Proposed marine-mammal-stock-assessment- from each other, and there are no cables Mitigation and Proposed Monitoring and reports). Where available, abundance attached to them. Each node has Reporting). and status information is also presented
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for marine mammals in Canadian waters in British Columbia. TABLE 1—MARINE MAMMALS THAT COULD OCCUR IN THE SURVEY AREA
ESA/MMPA Stock abundance Annual Common name Scientific name Stock status; (CV, N , most recent PBR strategic min M/SI 3 abundance survey) 2 (Y/N) 1
Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales)
Family Eschrichtiidae: Gray whale ...... Eschrichtius robustus ...... Eastern North Pacific ...... -/-; N 26,960 (0.05, 25,849, 801 ...... 138. 2016). Family Balaenopteridae (rorquals): Humpback whale ...... Megaptera novaeangliae California/Oregon/Wash- -/-; Y 2,900 (0.05, 2,784, 2014) 16.7 ...... >42.1. ington. Central North Pacific ...... -/-; Y 10,103 (0.30, 7,891, 83 ...... 25. 2006). Minke whale ...... Balaenoptera California/Oregon/Wash- -/-; N 636 (0.72, 369, 2014) ..... 3.5 ...... >1.3. acutorostrata. ington. Sei whale ...... Balaenoptera borealis ..... Eastern North Pacific ...... E/D; Y 519 (0.4, 374, 2014) ...... 0.75 ...... >0.2. Fin whale ...... Balaenoptera physalus ... California/Oregon/Wash- E/D; Y 9,029 (0.12, 8,127, 2014) 81 ...... >2.0. ington. Northeast Pacific ...... E/D; Y 3,168 (0.26, 2,554, 2013) 5.1 ...... 0.4. Blue whale ...... Balaenoptera musculus .. Eastern North Pacific ...... E/D; Y 1,496 (0.44, 1,050, 2014) 1.2 ...... >19.4.
Superfamily Odontoceti (toothed whales, dolphins, and porpoises)
Family Physeteridae: Sperm whale ...... Physeter macrocephalus California/Oregon/Wash- E/D; Y 1,997 (0.57, 1,270, 2014) 2.5 ...... 0.4. ington. Family Kogiidae: Pygmy sperm whale Kogia breviceps ...... California/Oregon/Wash- -/-; N 4,111 (1.12, 1,924, 2014) 19 ...... 0. ington. Dwarf sperm whale ... Kogia sima ...... California/Oregon/Wash- -/-; N Unknown (Unknown, Un- Undetermined .... 0. ington. known, 2014). Family Ziphiidae (beaked whales): Cuvier’s beaked Ziphius cavirostris ...... California/Oregon/Wash- -/-; N 3,274 (0.67, 2,059, 2014) 21 ...... <0.1. whale. ington. Baird’s beaked whale Berardius bairdii ...... California/Oregon/Wash- -/-; N 2,697 (0.6, 1,633, 2014) 16 ...... 0 ington. Blainville’s beaked Mesoplodon densirostris California/Oregon/Wash- -/-; N 3,044 (0.54, 1,967, 2014) 20 ...... 0.1. whale. ington. Hubbs’ beaked whale Mesoplodon carlshubbi. Stejneger’s beaked Mesoplodon stejnegeri. whale. Family Delphinidae: Bottlenose dolphin .... Tursiops truncatus ...... California/Oregon/Wash- -/-; N 1,924 (0.54, 1,255, 2014) 11 ...... >1.6. ington offshore. Striped dolphin ...... Stenella coeruleoalba ..... California/Oregon/Wash- -/-; N 29,211 (0.2, 24,782, 238 ...... >0.8. ington. 2014). Common dolphin ...... Delphinus delphis ...... California/Oregon/Wash- -/-; N 969,861 (0.17, 839,325, 8,393 ...... >40. ington. 2014). Pacific white-sided Lagenorhynchus California/Oregon/Wash- -/-; N 26,814 (0.28, 21,195, 191 ...... 7.5. dolphin. obliquidens. ington. 2014). British Columbia 4 ...... N/A 22,160 (unknown, Unknown ...... Unknown. 16,522, 2008). Northern right whale Lissodelphis borealis ...... California/Oregon/Wash- -/-; N 26,556 (0.44, 18,608, 179 ...... 3.8. dolphin. ington. 2014). Risso’s dolphin ...... Grampus griseus ...... California/Oregon/Wash- -/-; N 6,336 (0.32, 4,817, 2014) 46 ...... >3.7. ington. False killer whale ...... Pseudorca crassidens ..... N/A ...... N/A N/A ...... N/A ...... N/A. Killer whale ...... Orcinus orca ...... Offshore ...... -/-; N 300 (0.1, 276, 2012) ...... 2.8 ...... 0. Southern Resident ...... E/D; Y 75 (N/A, 75, 2018) ...... 0.13 ...... 0. Northern Resident ...... -/-; N 302 (N/A, 302, 2018) ...... 2.2 ...... 0.2. West Coast Transient ..... -/-; N 243 (N/A, 243, 2009) ...... 2.4 ...... 0. Short-finned pilot Globicephala California/Oregon/Wash- -/-; N 836 (0.79, 466, 2014) ..... 4.5 ...... 1.2. whale. macrorhynchus. ington. Family Phocoenidae (por- poises): Harbor porpoise ...... Phocoena phocoena ...... Northern Oregon/Wash- -/-; N 21,487 (0.44, 15,123, 151 ...... >3.0. ington Coast. 2011). Northern California/ -/-; N 35,769 (0.52, 23,749, 475 ...... >0.6. Southern Oregon. 2011). British Columbia 4 ...... N/A 8,091 (unknown, 4,885, Unknown ...... Unknown. 2008). Dall’s porpoise ...... Phocoenoides dalli ...... California/Oregon/Wash- -/-; N 25,750 (0.45, 17,954, 172 ...... 0.3. ington. 2014). British Columbia 4 ...... N/A 5,303 (unknown, 4,638, Unknown ...... Unknown. 2008).
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TABLE 1—MARINE MAMMALS THAT COULD OCCUR IN THE SURVEY AREA—Continued
ESA/MMPA Stock abundance Annual Common name Scientific name Stock status; (CV, N , most recent PBR strategic min M/SI 3 abundance survey) 2 (Y/N) 1
Order Carnivora—Superfamily Pinnipedia
Family Otariidae (eared seals and sea lions):. Northern fur seal ...... Callorhinus ursinus ...... Eastern Pacific ...... -/D; Y 620,660 (0.2, 525,333, 11,295 ...... 399. 2016). California ...... -/D; N 14,050 (N/A, 7,524, 451 ...... 1.8. 2013). California sea lion ..... Zalophus californianus .... U.S...... -/-; N 257,606 (N/A, 233,515, 14,011 ...... >321. 2014). Steller sea lion ...... Eumetopias jubatus ...... Eastern U.S...... -/-; N 43,201 (see SAR, 2,592 ...... 113. 43,201, 2017). British Columbia 4 ...... N/A 4,037 (unknown, 1,100, Unknown ...... Unknown. 2008). Guadalupe fur seal ... Arctocephalus philippii Mexico to California ...... T/D; Y 34,187 (N/A, 31,019, 1,062 ...... >3.8. townsendi. 2013). Family Phocidae (earless seals): Harbor seal ...... Phoca vitulina ...... Oregon/Washington -/-; N Unknown (Unknown, Un- Undetermined .... 10.6. Coastal. known, 1999). British Columbia 4 ...... N/A 24,916 (Unknown, Unknown ...... Unknown. 19,666, 2008). Northern elephant Mirounga angustirostris ... California Breeding ...... -/-; N 179,000 (N/A, 81,368, 4,882 ...... 8.8. seal. 2010). 1 Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (-) indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality exceeds PBR or which is determined to be declining and likely to be listed under the ESA within the foreseeable future. Any species or stock listed under the ESA is automatically designated under the MMPA as depleted and as a strategic stock. 2 NMFS marine mammal stock assessment reports online at: https://www.fisheries.noaa.gov/national/marine-mammal-protection/marine-mammal-stock-assess- ments. CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. In some cases, CV is not applicable. 3 These values, found in NMFS’s SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (e.g., commercial fish- eries, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value or range. A CV associated with estimated mortality due to commercial fisheries is presented in some cases. 4 Best et al. (2015) total abundance estimates for animals in British Columbia based on surveys of the Strait of Georgia, Johnstone Strait, Queen Charlotte Sound, Hecate Strait, and Dixon Entrance.
All species that could potentially likelihood that the proposed survey their feeding grounds in the western occur in the proposed survey areas are would encounter a North Pacific right North Pacific at the time of the proposed included in Table 1. However, whale is discountable. survey. NMFS expects that any gray additional species have been recorded In addition, the Northern sea otter whales encountered by L–DEO during in the specified geographic region but (Enhydra lutris kenyoni) may be found the proposed survey would be from the are considered sufficiently rare that take in coastal waters of the survey area. Eastern North Pacific DPS only, and is is not anticipated. The temporal and/or However, sea otters are managed by the not proposing to authorize take of the spatial occurrence of North Pacific right U.S. Fish and Wildlife Service and are endangered Western North Pacific DPS; whales (Eubalaena japonica) is such not considered further in this document. therefore, the Western North Pacific that take is not expected to occur, and DPS will not be discussed further in this they are not discussed further beyond Gray Whale document. the explanation provided here. Only 82 Two separate populations for gray The eastern North Pacific gray whale sightings of right whales in the entire whales have been recognized in the breeds and winters in Baja California, eastern North Pacific were reported North Pacific: The eastern North Pacific and migrates north to summer feeding from 1962 to 1999, with the majority of and the western North Pacific (or grounds in the northern Bering Sea, these occurring in the Bering Sea and Korean-Okhotsk) stocks (LeDuc et al., Chukchi Sea, and western Beaufort Sea adjacent areas of the Aleutian Islands 2002; Weller et al., 2013). However, the (Rice and Wolman 1971; Rice 1998; (Brownell et al., 2001). Most sightings in distinction between these two Jefferson et al., 2015). The northward the past 20 years have occurred in the populations has been recently debated migration occurs from late February to southeastern Bering Sea, with a few in owing to evidence that whales from the June (Rice and Wolman 1971), with a the Gulf of Alaska (Wade et al., 2011). western feeding area also travel to peak in the Gulf of Alaska during mid- Despite many miles of systematic aerial breeding areas in the eastern North April (Braham 1984). Instead of and ship-based surveys for marine Pacific (Weller et al., 2012, 2013; Mate migrating to arctic and sub-arctic mammals off the coasts of Washington, et al., 2015). Thus it is possible that waters, some individuals spend the Oregon and California over several whales from either the ESA listed summer months scattered along the years, only seven documented sightings endangered Western North Pacific coast from California to southeast of right whales were made from 1990 to distinct population segment (DPS) or Alaska (Rice and Wolman 1971; Nerini 2000 (Waite et al., 2003), and NMFS is the delisted Eastern North Pacific DPS 1984; Darling et al., 1998; Calambokidis not aware of any documented sightings could occur in the survey area, although and Quan 1999; Dunham and Duffus in the area since then. Because of the it is unlikely that a gray whale from the 2001, 2002; Calambokidis et al., 2002, small population size and the fact that Western North Pacific DPS would be 2015, 2017). There is genetic evidence North Pacific right whales spend the encountered during the time of the indicating the existence of this Pacific summer feeding in high latitudes, the survey as they are expected to be in Coast Feeding Group (PCFG) is a
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distinct local subpopulation (Frasier et Preliminary findings in several of the time as the MMPA stock delineations al., 2011; Lang et al., 2014) and the whales have shown evidence of are reviewed in light of the DPS United States and Canada recognize it as emaciation. These findings are not designations, NMFS considers the such (COSEWIC 2017; Caretta et al., consistent across all of the whales existing humpback whale stocks under 2019a). However, the status of the PCFG examined, so more research is needed. the MMPA to be endangered and as a separate stock is currently The UME is ongoing, and NMFS depleted for MMPA management unresolved (Weller et al., 2013). For the continues to investigate the cause(s). purposes (e.g., selection of a recovery purposes of abundance estimates, the Additional information about the UME factor, stock status). PCFG is defined as occurring between is available at https:// Within the proposed survey area, 41° N to 52° N from June 1 to November www.fisheries.noaa.gov/national/ three current DPSs may occur: The 30 (IWC 2012). The 2015 abundance marine-life-distress/2019-2020-gray- Hawaii DPS (not listed), Mexico DPS estimate for the PCFG was 243 whales whale-unusual-mortality-event-along- (threatened), and Central America DPS (Calambokidis et al., 2017); west-coast. (endangered). According to Wade et al. approximately 100 of those may occur (2017), the probability that whales Humpback Whale in British Columbia during summer encountered in Oregon and California (Ford 2014). In British Columbia, most The humpback whale is found waters are from a given DPS are as summer resident gray whales are found throughout all of the oceans of the follows: Mexico DPS, 32.7 percent; in Clayoquot Sound, Barkley Sound, world (Clapham 2009). The worldwide Central America DPS, 67.2 percent; and along the southwestern shore of population of humpbacks is divided Hawaii DPS, 0 percent. The probability Vancouver Island, and near Cape into northern and southern ocean that humpback whales encountered in Caution on mainland British Columbia populations, but genetic analyses Washington and British Columbia (Ford 2014). During surveys in British suggest some gene flow (either past or waters are as follows: Mexico DPS, 27.9 Columbia waters during summer, most present) between the North and South percent; Central America DPS, 8.7 sightings of gray whales were made Pacific (e.g., Baker et al. 1993; Caballero percent; Hawaii DPS, 63.5 percent. within 10 km of shore and in water et al. 2001). Geographical overlap of Humpback whales are the most shallower than 100 m (Ford et al., these populations has been documented common species of large cetacean 2010a). Two sightings of three gray only off Central America (Acevedo and reported off the coasts of Oregon and whales were seen from R/V Northern Smultea 1995; Rasmussen et al. 2004, Washington from May to November Light during a survey off southern 2007). Although considered to be (Green et al., 1992; Calambokidis et al., Washington in July 2012 (RPS 2012a). mainly a coastal species, humpback 2000; 2004). The highest numbers have Biologically Important Areas (BIAs) whales often traverse deep pelagic areas been reported off Oregon during May for feeding gray whales along the coasts while migrating (Clapham and Mattila and June and off Washington during of Washington, Oregon, and California 1990; Norris et al. 1999; Calambokidis et July–September. Humpbacks occur have been identified, including northern al. 2001). primarily over the continental shelf and Puget Sound, Northwestern Humpback whales migrate between slope during the summer, with few Washington, and Grays Harbor in summer feeding grounds in high reported in offshore pelagic waters Washington, Depoe Bay and Cape latitudes and winter calving and (Green et al., 1992; Calambokidis et al., Blanco and Orford Reef in Oregon, and breeding grounds in tropical waters 2004, 2015; Becker et al., 2012; Barlow Point St. George in California; most of (Clapham and Mead 1999). North 2016). Six humpback whale sightings (8 these areas are of importance from late Pacific humpback whales summer in animals) were made off Washington/ spring through early fall (Calambokidis feeding grounds along the Pacific Rim Oregon during the June–July 2012 L– et al., 2015). BIAs have also been and in the Bering and Okhotsk seas DEO Juan de Fuca plate seismic survey. identified for migrating gray whales (Pike and MacAskie 1969; Rice 1978; There were 98 humpback whale along the entire coasts of Washington, Winn and Reichley 1985; Calambokidis sightings (213 animals) made during the Oregon, and California; although most et al. 2000, 2001, 2008). Humpback in July 2012 L–DEO seismic survey off whales travel within 10 km from shore, the north Pacific winter in four different southern Washington (RPS 2012a), and the BIAs were extended out to 47 km breeding areas: (1) Along the coast of 11 sightings (23 animals) during the July from the coastline (Calambokidis et al., Mexico; (2) along the coast of Central 2012 L–DEO seismic survey off Oregon 2015). The proposed surveys would America; (3) around the main Hawaiian (RPS 2012c). occur during the late spring/summer Islands; and (4) in the western Pacific, Humpback whales are common in the feeding season, when most individuals particularly around the Ogasawara and waters of British Columbia, where they from the eastern North Pacific stock Ryukyu islands in southern Japan and occur in inshore, outer coastal, and occur farther north. Nonetheless, the northern Philippines (Calambokidis continental shelf waters, as well as individual gray whales, particularly et al. 2008; Bettridge et al. 2015). offshore (Ford 2014). Williams and those from the PCFG could be Prior to 2016, humpback whales were Thomas (2007) estimated an abundance encountered in nearshore waters of the listed under the ESA as an endangered of 1,310 humpback whales in inshore proposed project area. species worldwide. Following a 2015 coastal waters of British Columbia based On May 30, 2019, NMFS declared an global status review (Bettridge et al., on surveys conducted in 2004 and 2005. unusual mortality event (UME) for gray 2015), NMFS established 14 distinct Best et al. (2015) provided an estimate whales after elevated numbers of population segments (DPS) with of 1,029 humpbacks in British Columbia strandings occurred along the U.S. west different listing statuses (81 FR 62259; based on surveys during 2004–2008. In coast. As of February 8, 2020, a total of September 8, 2016) pursuant to the ESA. British Columbia, humpbacks are 236 stranded gray whales have been The DPSs that occur in U.S. waters do typically seen within 20 km from the reported, including 124 in the United not necessarily equate to the existing coast, in water less than 500 m deep States (48 in Alaska, 35 in Washington, stocks designated under the MMPA and (Ford et al., 2010a). The greatest 6 in Oregon, and 35 in California), 101 shown in Table 1. Because MMPA numbers of humpbacks are seen in in Mexico, and 11 in Canada. Full or stocks cannot be portioned, i.e., parts British Columbia between April and partial necropsy examinations were managed as ESA-listed while other parts November, although humpbacks are conducted on a subset of the whales. managed as not ESA-listed, until such known to occur there throughout the
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year (Ford et al., 2010a; Ford 2014). autumn (Stewart and Leatherwood bathymetric relief such as seamounts Humpback whales in British Columbia 1985). In the North Pacific, the summer and canyons (Kenney and Winn 1987; are thought to belong to at least two range of the minke whale extends to the Gregr and Trites 2001). On feeding distinct feeding stocks; those identified Chukchi Sea; in the winter, the whales grounds, sei whales associate with off southern British Columbia show move farther south to within 2° of the oceanic frontal systems (Horwood 1987) little interchange with those seen off Equator (Perrin and Brownell 2009). such as the cold eastern currents in the northern British Columbia The International Whaling North Pacific (Perry et al. 1999a). Sei (Calambokidis et al., 2001, 2008). Commission (IWC) recognizes three whales migrate from temperate zones Humpback whales identified in stocks of minke whales in the North occupied in winter to higher latitudes in southern British Columbia show a low Pacific: The Sea of Japan/East China the summer, where most feeding takes Sea, the rest of the western Pacific west level of interchange with those seen off place (Gambell 1985a). During summer of 180° N, and the remainder of the California/Oregon/Washington in the North Pacific, the sei whale can (Calambokidis et al., 2001). Pacific (Donovan 1991). Minke whales BIAs for feeding humpbacks along the are relatively common in the Bering and be found from the Bering Sea to the Gulf coasts of Oregon and Washington, Chukchi seas and in the Gulf of Alaska, of Alaska and down to southern which have been described from May to but are not considered abundant in any California, as well as in the western November, are all within approximately other part of the eastern Pacific Pacific from Japan to Korea. Its winter ∼ ° 80 km from shore, and include the (Brueggeman et al. 1990). In the far distribution is concentrated at 20 N waters off northern Washington, and north, minke whales are thought to be (Rice 1998). Stonewall and Heceta Bank, Oregon migratory, but they are believed to be Sei whales are rare in the waters off (Calambokidis et al., 2015). On October year-round residents in coastal waters California, Oregon, and Washington 9, 2019, NMFS issued a proposed rule off the west coast of the United States (Brueggeman et al., 1990; Green et al., to designate critical habitat in nearshore (Dorsey et al. 1990). 1992; Barlow 1994, 1997). Less than 20 waters of the North Pacific Ocean for the Sightings of minke whales have been confirmed sightings were reported in endangered Central America DPS and reported off Oregon and Washington in that region during extensive surveys the threatened Mexico DPS of shelf and deeper waters (Green et al., between 1991 and 2014 (Green et al., humpback whale (NMFS 2019b). 1992; Adams et al., 2014; Barlow 2016; 1992, 1993; Hill and Barlow 1992; Caretta et al., 2019a). There were no Critical habitat for the Central America Caretta and Forney 1993; Mangels and sightings of minke whales off DPS and Mexico DPS was proposed Gerrodette 1994; Von Saunder and within the California Current Ecosystem Washington/Oregon during the June– Barlow 1999; Barlow 2003, 2010, 2014; (CCE) off the coasts California, Oregon, July 2012 L–DEO Juan de Fuca plate Forney 2007; Carretta et al., 2019a). Two and Washington, representing areas of seismic survey or during the July 2012 key foraging habitat. Off Washington L–DEO seismic survey off Oregon (RPS sightings of four individuals were made and northern Oregon, the critical habitat 2012b,c). One minke whale was seen during the June–July 2012 L–DEO Juan would extend from the 50-m isobath out during the July 2012 L–DEO seismic de Fuca plate seismic survey off to the 1200-m isobath; off southern survey off southern Washington (RPS Washington/Oregon (RPS 2012b). No sei Oregon (south of 42°10′ N), it would 2012a). Minke whales are sighted whales were sighted during the July extend out to the 2000-m isobath (NMFS regularly in nearshore waters of British 2012 L–DEO seismic surveys off Oregon 2019b). Columbia, but they are not considered and Washington (RPS 2012a,c). Critical habitat for humpbacks has abundant (COSEWIC 2006). They are The patterns of seasonal abundance been designated in four locations in most frequently sighted around the Gulf found in whaling records suggested that British Columbia (DFO 2013), including Islands and off northeastern Vancouver the whales were caught as they migrated in the waters of the proposed survey Island (Ford 2014). They are also to summer feeding grounds, with the area off southwestern Vancouver Island. regularly seen off the east coast of peak of the migration in July and The other three locations are located Moresby Island, and in Dixon Entrance, offshore movement in summer, from north of the proposed survey area at Hecate Strait, Queen Charlotte Sound, ∼25 km to ∼100 km from shore (Gregr et Haida Gwaii (Langara Island and and the west coast of Vancouver Island al., 2000). Historical whaling data show Southeast Moresby Island) and at Gil were they occur in shallow and deeper that sei whales used to be distributed Island (DFO 2013). These areas show water (Ford et al., 2010a; Ford 2014). along the continental slope of British persistent aggregations of humpback Williams and Thomas (2007) estimated Columbia and over a large area off the whales and have features such as prey minke whale abundance for inshore northwest coast of Vancouver Island availability, suitable acoustic coastal waters of British Columbia at (Gregr and Trites 2001). Sei whales are environment, water quality, and 388 individuals based on surveys now considered rare in Pacific waters of physical space that allow for feeding, conducted in 2004 and 2005 while Best the United States and Canada; in British foraging, socializing, and resting (DFO et al. (2015) provided an estimate of 522 Columbia there were no sightings in the 2013). Two of the proposed transect minke whales based on surveys during late 1900s after whaling ceased (Gregr et lines intersect the critical habitat on 2004–2008. Swiftsure and La Pe´rouse Banks. al., 2006). Ford (2014) only reported two Sei Whale sightings for British Columbia, both of Minke Whale The distribution of the sei whale is those far offshore from Haida Gwaii. The minke whale has a cosmopolitan not well known, but it is found in all Possible sei whale vocalizations were distribution that spans from tropical to oceans and appears to prefer mid- detected off the west coast of Vancouver polar regions in both hemispheres latitude temperate waters (Jefferson et Island during spring and summer 2006 (Jefferson et al. 2015). In the Northern al. 2015). The sei whale is pelagic and and 2007 (Ford et al., 2010b). Gregr and Hemisphere, the minke whale is usually generally not found in coastal waters Trites (2001) proposed that the area off seen in coastal areas, but can also be (Jefferson et al. 2015). It is found in northwestern Vancouver Island and the seen in pelagic waters during its deeper waters characteristic of the continental slope may be critical habitat northward migration in spring and continental shelf edge region (Hain et al. for sei whales because of favorable summer and southward migration in 1985) and in other regions of steep feeding conditions.
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Fin Whale common cetacean sighted during DFO (Becker et al., 2012; Calambokidis et al., The fin whale is widely distributed in surveys in 2002–2008 (Ford et al., 2015). all the world’s oceans (Gambell 1985b), 2010a). They appear to be more Sightings of blue whales in offshore waters of British Columbia are rare but typically occurs in temperate and common in northern British Columbia, (Ford 2014; DFO 2017) and there is no polar regions from 20–70° north and but sightings have been made along the abundance estimate for British south of the Equator (Perry et al. 1999b). shelf edge and in deep waters off Columbia waters (Nichol and Ford Northern and southern fin whale western Vancouver Island (Ford et al., 2012). During surveys of British populations are distinct and are 1994, 2010a; Calambokidis et al., 2003; Columbia from 2002–2013, 16 sightings recognized as different subspecies Ford 2014). Acoustic detections have of blue whales were made, all of which (Aguilar 2009). Fin whales occur in been made throughout the year in pelagic waters west of Vancouver Island occurred just to the south or west of coastal, shelf, and oceanic waters. (Edwards et al., 2015). Gregr and Trites Haida Gwaii during June, July, and Sergeant (1977) suggested that fin (2001) proposed that the area off August (Ford 2014). There have also whales tend to follow steep slope northwestern Vancouver Island and the been sightings off Vancouver Island contours, either because they detect continental slope may be critical habitat during summer and fall (Calambokidis them readily or because biological for fin whales because of favorable et al., 2004b; Ford 2014), with the most productivity is high along steep feeding conditions. recent one reported off southwestern contours because of tidal mixing and Haida Gwaii in July 2019 (CBC 2019). perhaps current mixing. Stafford et al. Blue Whale (2009) noted that sea-surface The blue whale has a cosmopolitan Sperm Whale temperature is a good predictor variable distribution and tends to be pelagic, The sperm whale is the largest of the for fin whale call detections in the only coming nearshore to feed and toothed whales, with an extensive North Pacific. possibly to breed (Jefferson et al. 2015). worldwide distribution (Rice 1989). Fin whales appear to have complex Although it has been suggested that Sperm whale distribution is linked to seasonal movements and are seasonal there are at least five subpopulations of social structure: Mixed groups of adult migrants; they mate and calve in blue whales in the North Pacific (NMFS females and juvenile animals of both temperate waters during the winter and 1998), analysis of blue whale calls sexes generally occur in tropical and migrate to feed at northern latitudes monitored from the U.S. Navy Sound subtropical waters, whereas adult males during the summer (Gambell 1985b). Surveillance System (SOSUS) and other are commonly found alone or in same- The North Pacific population summers offshore hydrophones (see Stafford et sex aggregations, often occurring in from the Chukchi Sea to California and al., 1999, 2001, 2007; Watkins et al., higher latitudes outside the breeding winters from California southwards 2000a; Stafford 2003) suggests that there season (Best 1979; Watkins and Moore (Gambell 1985b). Aggregations of fin are two separate populations: One in the 1982; Arnbom and Whitehead 1989; whales are found year-round off eastern and one in the western North Whitehead and Waters 1990). Males can southern and central California (Dohl et Pacific (Sears and Perrin 2009). Broad- migrate north in the summer to feed in al. 1980, 1983; Forney et al. 1995; scale acoustic monitoring indicates that the Gulf of Alaska, Bering Sea, and Barlow 1997) and in the summer off blue whales occurring in the northeast waters around the Aleutian Islands Oregon (Green et al. 1992; Edwards et Pacific during summer and fall may (Kasuya and Miyashita 1988). Mature al. 2015). Vocalizations from fin whales winter in the eastern tropical Pacific male sperm whales migrate to warmer have also been detected year-round off (Stafford et al., 1999, 2001). waters to breed when they are in their northern California, Oregon, and The distribution of the species, at late twenties (Best 1979). Washington (Moore et al. 1998, 2006; least during times of the year when Sperm whales generally are Watkins et al. 2000a,b; Stafford et al. feeding is a major activity, occurs in distributed over large areas that have 2007, 2009; Edwards et al. 2015). areas that provide large seasonal high secondary productivity and steep Eight fin whale sightings (19 animals) concentrations of euphausiids (Yochem underwater topography, in waters at were made off Washington/Oregon and Leatherwood 1985). The eastern least 1000 m deep (Jaquet and during the June–July 2012 L–DEO Juan North Pacific stock feeds in California Whitehead 1996; Whitehead 2009). de Fuca plate seismic survey; sightings waters from June–November They are often found far from shore, but were made in waters 2,369–3,940 m (Calambokidis et al., 1990; Mate et al., can be found closer to oceanic islands deep (RPS 2012b). Fourteen fin whale 1999). There are nine BIAs for feeding that rise steeply from deep ocean waters sightings (28 animals) were made during blue whales off the coast of California (Whitehead 2009). Adult males can the July 2012 L–DEO seismic surveys off (Calambokidis et al., 2015), and core occur in water depths <100 m and as southern Washington (RPS 2012a). No areas have also been identified there shallow as 40 m (Whitehead et al., 1992; fin whales were sighted during the July (Irvine et al., 2014). Scott and Sadove 1997). They can dive 2012 L–DEO seismic survey off Oregon Blue whales are considered rare off as deep as ∼2 km and possibly deeper (RPS 2012c). Fin whales were also seen Oregon, Washington, and British on rare occasions for periods of over 1 off southern Oregon during July 2012 in Columbia (Buchanan et al., 2001; Gregr h; however, most of their foraging water >2000 m deep during surveys by et al., 2006; Ford 2014), although occurs at depths of ∼300–800 m for 30– Adams et al. (2014). satellite-tracked individuals have been 45 min (Whitehead 2003). Whaling records indicate fin whale reported off the coast (Bailey et al., Sperm whales are distributed widely occurrence off the west coast of British 2009). Based on modeling of the across the North Pacific (Rice 1989). Off Columbia increased gradually from dynamic topography of the region, blue California, they occur year-round (Dohl March to a peak in July, then decreased whales could occur in relatively high et al., 1983; Barlow 1995; Forney et al., rapidly in September and October densities off Oregon during summer and 1995), with peak abundance from April (Gregr et al., 2000). Fin whales occur fall (Pardo et al., 2015: Hazen et al., to mid-June and from August to mid- throughout British Columbia waters 2017). Densities along the U.S. west November (Rice 1974). Off Oregon, near and past the continental shelf coast, including Oregon, were predicted sperm whales are seen in every season break, as well as in inshore waters (Ford to be highest in shelf waters, with lower except winter (Green et al., 1992). 2014). Fin whales were the second most densities in deeper offshore areas Sperm whales were sighted during
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surveys off Oregon in October 2011 and 2009). They are difficult to sight at sea, strandings and strands more commonly off Washington in June 2011 (Adams et perhaps because of their avoidance than any other beaked whale (Heyning al., 2014). Sperm whale sightings were reactions to ships and behavior changes 1989). Its inconspicuous blows, deep- also made off Oregon and Washington in relation to survey aircraft (Wu¨ rsig et diving behavior, and tendency to avoid during the 2014 SWFSC vessel survey al. 1998). The two species are difficult vessels all help to explain the infrequent (Barlow 2016). A single sperm whale to distinguish from one another when sightings (Barlow and Gisiner 2006). was sighted during a 2009 survey to the sighted (McAlpine 2009). The population in the California Current west of the proposed survey area (Holst Both Kogia species are sighted Large Marine Ecosystem seems to be 2017). primarily along the continental shelf declining (Moore and Barlow 2013). Oleson et al. (2009) noted a significant edge and slope and over deeper waters MacLeod et al. (2006) reported diel pattern in the occurrence of sperm off the shelf (Hansen et al. 1994; Davis numerous sightings and strandings whale clicks at offshore and inshore et al. 1998). Several studies have along the Pacific coast of the U.S. monitoring locations off Washington, suggested that pygmy sperm whales live Cuvier’s beaked whale is the most whereby clicks were more commonly mostly beyond the continental shelf common beaked whale off the U.S. West heard during the day at the offshore site edge, whereas dwarf sperm whales tend Coast (Barlow 2010), and it is the and were more common at night at the to occur closer to shore, often over the beaked whale species that has stranded inshore location, suggesting possible continental shelf (Rice 1998; Wang et al. most frequently on the coasts of Oregon diel movements up and down the slope 2002; MacLeod et al. 2004). Barros et al. and Washington. From 1942–2010, there in search of prey. Sperm whale acoustic (1998), on the other hand, suggested that were 23 reported Cuvier’s beaked whale detections were also reported at the dwarf sperm whales could be more strandings in Oregon and Washington inshore site from June through January pelagic and dive deeper than pygmy (Moore and Barlow 2013). Most (75 2009, with an absence of calls during sperm whales. It has also been suggested percent) Cuvier’s beaked whale February to May (Sˆ irovic´ et al., 2012). In that the pygmy sperm whale is more strandings reported occurred in Oregon addition, sperm whales were sighted temperate and the dwarf sperm whale (Norman et al. 2004). Records of during surveys off Washington in June more tropical, based at least partially on Cuvier’s beaked whale in British 2011 and off Oregon in October 2011 live sightings at sea from a large Columbia are scarce, although 20 (Adams et al. 2014). database from the eastern tropical strandings, one incidental catch, and Whaling records report large numbers Pacific (Wade and Gerrodette 1993). five sightings have been reported, of sperm whales taken in April, with a This idea is also supported by the including off western Vancouver Island peak in May. Analysis of data on catch distribution of strandings in South (Ford 2014). Most strandings have been locations, sex of the catch, and fetus American waters (Mun˜ oz-Hincapie´ et al. reported in summer (Ford 2014). lengths indicated that males and 1998). females were both 50–80 km from shore Pygmy and dwarf sperm whales are Baird’s Beaked Whale while mating in April and May, and that rarely sighted off Oregon and Baird’s beaked whale has a fairly by July and August, adult females had Washington, with only one sighting of extensive range across the North Pacific, moved to waters >100 km offshore to an unidentified Kogia spp. beyond the with concentrations occurring in the Sea calve), and adult males had moved to U.S. EEZ, during the 1991–2014 NOAA of Okhotsk and Bering Sea (Rice 1998; within ∼25 km of shore (Gregr et al., vessel surveys (Carretta et al., 2019a). Kasuya 2009). In the eastern Pacific, 2000). At least in the whaling era, Norman et al. (2004) reported eight Baird’s beaked whale is reported to females did not travel north of confirmed stranding records of pygmy occur as far south as San Clemente Vancouver Island whereas males were sperm whales for Oregon and Island, California (Rice 1998; Kasuya observed in deep water off Haida Gwaii Washington, five of which occurred 2009). Two forms of Baird’s beaked (Gregr et al., 2000). After the whaling during autumn and winter. There are whales have been recognized, the era, sperm whales have been sighted several unconfirmed sighting reports of common slate-gray form and a smaller, and detected acoustically in British the pygmy sperm whale from the rare black form (Morin et al., 2017). The Columbia waters throughout the year, Canadian west coast (Baird et al., 1996). gray form is seen off Japan, in the with a peak during summer (Ford 2014). There is a stranding record of a pygmy Aleutians, and on the west coast of Acoustic detections at La Pe´rouse Bank sperm whale for northeastern North America, whereas the black form off southwestern Vancouver Island have Vancouver Island (Ford 2014), and there has been reported for northern Japan been recorded during spring and is a single dwarf sperm whale stranding and the Aleutians (Morin et al., 2017). summer (Ford et al., 2010b). Sightings record for southwestern Vancouver Recent genetic studies suggest that the west of Vancouver Island and Haida Island in September 1981 (Ford 2014). black form could be a separate species Gwaii indicate that this species still Willis and Baird (1998) state that the (Morin et al., 2017). Baird’s beaked occurs in British Columbia in small dwarf sperm whale is likely found in whales are currently divided into three numbers (Ford et al., 1994; Ford 2014). British Columbia waters more distinct stocks: Sea of Japan, Okhotsk Based on whaling data, Gregr and Trites frequently than recognized, but Ford Sea, and Bering Sea/eastern North (2001) proposed that the area off (2014) suggested that the presence of Pacific (Balcomb 1989; Reyes 1991). northwestern Vancouver Island and the Kogia spp. in British Columbia waters is Baird’s beaked whales are occasionally continental slope may be critical habitat extralimital. seen close to shore, but their primary for male sperm whales because of habitat is in waters 1,000–3,000 m deep Cuvier’s Beaked Whale favorable feeding conditions. (Jefferson et al., 2015). Cuvier’s beaked whale is probably the Along the U.S. west coast, Baird’s Pygmy and Dwarf Sperm Whales most widespread of the beaked whales, beaked whales have been sighted The pygmy and dwarf sperm whales although it is not found in polar waters primarily along the continental slope are distributed widely throughout (Heyning 1989). Cuvier’s beaked whale (Green et al., 1992; Becker et al., 2012; tropical and temperate seas, but their appears to prefer steep continental slope Caretta et al., 2019a) from late spring to precise distributions are unknown as waters (Jefferson et al. 2015) and is most early fall (Green et al., 1992). In the most information on these species common in water depths >1000 m eastern North Pacific, Baird’s beaked comes from strandings (McAlpine (Heyning 1989). It is mostly known from whales apparently spend the winter and
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spring far offshore, and in June move recorded in Quinault Canyon off dolphins exhibit a range of movement onto the continental slop, where peak Washington in waters 1,400 m deep patterns including seasonal migration, numbers occur during September and during 2011 (Baumann-Pickering et al., year-round residency, and a October. Green et al. (1992) noted that 2014). combination of long-range movements Baird’s beaked whales on the U.S. west and repeated local residency (Wells and Hubbs’ Beaked Whale coast were most abundant in the Scott 2009). summer, and were not sighted in the fall Hubbs’ beaked whale occurs in Bottlenose dolphins occur frequently or winter. temperate waters of the North Pacific off the coast of California, and sightings Green et al. (1992) sighted five groups (Mead 1989). Its distribution appears to have been made as far north as 41° N, during 75,050 km of aerial survey effort be correlated with the deep subarctic but few records exist for Oregon and in 1989–1990 off Washington/Oregon current (Mead et al. 1982). Numerous Washington (Caretta et al., 2019a). spanning coastal to offshore waters: two stranding records have been reported for Three sightings and one stranding of in slope waters and three in offshore the U.S. West Coast (MacLeod et al. bottlenose dolphins have been waters. Two groups were sighted during 2006). Most of the records are from documented in Puget Sound since 2004 summer/fall 2008 surveys off California, but it has been sighted as far (Cascadia Research 2011 in Navy 2015). Washington/Oregon, in waters >2000 m north as Prince Rupert, British During surveys off the U.S. West Coast, deep (Barlow 2010). Acoustic Columbia (Mead 1989). Two strandings offshore bottlenose dolphins were monitoring offshore Washington are known from Washington/Oregon generally found at distances greater than detected Baird’s beaked whale pulses (Norman et al. 2004). There have been 1.86 miles (3 km) from the coast and during January through November 2011, no confirmed live sightings of Hubb’s were most abundant off southern with peaks in February and July (Sˆ irovic´ beaked whales in British Columbia. California (Barlow, 2010, 2016). Based et al. 2012b in USN 2015). Baird’s Stejneger’s Beaked Whale on sighting data collected by SWFSC beaked whales were detected during systematic surveys in the acoustically near the planned survey Stejneger’s beaked whale occurs in Northeast Pacific between 1986 and area in August 2016 during a SWFSC subarctic and cool temperate waters of 2005, there were few sightings of study using drifting acoustic recorders the North Pacific Ocean (Mead 1989). In offshore bottlenose dolphins north of (Keating et al. 2018). the eastern North Pacific Ocean, it is about 40° N (Hamilton et al., 2009). There are whaler’s reports of Baird’s distributed from Alaska to southern Bottlenose dolphins occur frequently off beaked whales off the west coast of California (Mead et al. 1982; Mead the coast of California, and sightings Vancouver Island throughout the 1989). Most stranding records are from have been made as far north as 41° N, whaling season (May–September), Alaskan waters, and the Aleutian but few records exist for Oregon/ especially in July and August (Reeves Islands appear to be its center of Washington (Carretta et al. 2017). It is and Mitchell 1993). Twenty-four distribution (MacLeod et al. 2006). After possible that bottlenose dolphins from sightings have been made in British Cuvier’s beaked whale, Stejneger’s the California/Oregon/Washington Columbia since the whaling era, beaked whale was the second most Offshore stock may range as far north as including off the west coast of commonly stranded beaked whale the proposed survey area during warm- Vancouver Island (Ford 2014). Three species in Oregon and Washington water periods (Caretta et al., 2019a). strandings have also been reported, (Norman et al. 2004). Stejneger’s beaked Adams et al. (2014) recorded one including one on northeastern Haida whale calls were detected during sighting off Washington in September Gwaii and two on the west coast of acoustic monitoring off of Washington 2012. There are no confirmed records of Vancouver Island. between January and June 2011, with an bottlenose dolphins in British absence of calls from mid-July through Blainville’s Beaked Whale Columbia, though an unconfirmed November 2011 (Sˆ irovic´ et al., 2012b in record exists for offshore waters (Baird Blainville’s beaked whale is found in Navy 2015). Analysis of these data et al., 1993). tropical and warm temperate waters of suggest that this species could be more all oceans (Pitman 2009). It has the than twice as prevalent in this area as Striped Dolphin widest distribution throughout the Baird’s beaked whale (Baumann- The striped dolphin has a world of all mesoplodont species and Pickering et al., 2014). At least five cosmopolitan distribution in tropical to appears to be relatively common stranding records exist for British warm temperate waters (Perrin et al. (Pitman 2009). Like other beaked Columbia (Houston 1990b; Willis and 1994) and is generally seen south of 43° whales, Blainville’s beaked whale is Baird 1998; Ford 2014), including two N (Archer 2009). However, in the generally found in waters 200–1400 m strandings on the west coast of Haida eastern North Pacific, its distribution deep (Gannier 2000; Jefferson et al. Gwaii and two strandings on the west extends as far north as Washington 2015). Blainville’s beaked whale coast of Vancouver Island (Ford 2014). (Jefferson et al., 2015). The striped occurrences in cooler, higher-latitude A possible sighting has been reported on dolphin is typically found in waters waters are presumably related to warm- the east coast of Vancouver Island (Ford outside the continental shelf and is water incursions (Reeves et al. 2002). 2014). often associated with convergence zones MacLeod et al. (2006) reported and areas of upwelling (Archer 2009). stranding and sighting records in the Bottlenose Dolphin However, it has also been observed eastern Pacific ranging from 37.3° N to The bottlenose dolphin is distributed approaching shore where there is deep 41.5° S. However, none of the 36 beaked worldwide in coastal and shelf waters of water close to the coast (Jefferson et al. whale stranding records in Oregon and tropical and temperate oceans (Jefferson 2015). Washington during 1930–2002 included et al. 2015). There are two distinct Striped dolphins regularly occur off Blainville’s beaked whale (Norman et al. bottlenose dolphin types: a shallow California (Becker et al., 2012), 2004). One Blainville’s beaked whale water type, mainly found in coastal including as far offshore as ∼300 nmi was found stranded (dead) on the waters, and a deep water type, mainly (Caretta et al., 2019a). Striped dolphin Washington coast in November 2016 found in oceanic waters (Duffield et al. encounters increase in deep, relatively (COASST 2016). There was one acoustic 1983; Hoelzel et al. 1998; Walker et al. warmer waters off the U.S. West Coast, detection of Blainville’s beaked whales 1999). Coastal common bottlenose and their abundance decreases north of
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about 42°N (Barlow et al., 2009; Becker narrow distribution between 38° N and Pacific white-sided dolphins are et al., 2012b; Becker et al., 2016; Forney 47° N (Brownell et al., 1999). In the common throughout the waters of et al., 2012). However, few sightings eastern North Pacific Ocean, including British Columbia, including Dixon have been made off Oregon, and no waters off Oregon, the Pacific white- Entrance, Hecate Strait, Queen Charlotte sightings have been reported for sided dolphin is one of the most Sound, the west coast of Haida Gwaii, Washington (Caretta et al., 2019a) but common cetacean species, occurring as well as western Vancouver Island, strandings have occurred along the primarily in shelf and slope waters and the mainland coast (Ford 2014). coasts of both Washington and Oregon (Green et al., 1993; Barlow 2003, 2010). Stacey and Baird (1991a) compiled 156 (Caretta et al., 2016). Striped dolphins It is known to occur close to shore in published and unpublished records to are rare and considered extralimital in certain regions, including (seasonally) 1988 of the Pacific white-sided dolphin British Columbia (Ford 2014). There are southern California (Brownell et al., within the Canadian 320-km extended a total of 14 confirmed records of 1999). EEZ. These dolphins move inshore and stranded individuals or remains for Results of aerial and shipboard offshore seasonally (Stacey and Baird Vancouver Island (Ford 2014). A single surveys strongly suggest seasonal north– 1991a). There were inshore records for confirmed sighting was made in south movements of the species all months except July, and offshore September 2019 in the Strait of Juan de between California and Oregon/ records from all months except Fuca (Pacific Whale Watch Association Washington; the movements apparently December. Offshore sightings were 2019). are related to oceanographic influences, much more common than inshore particularly water temperature (Green et sightings, especially in June–October; Common Dolphin ∼ al., 1993; Forney and Barlow 1998; the mean water depth was 1,100 m. The common dolphin is found in Buchanan et al., 2001). During winter, Ford et al. (2011b) reported that most tropical and warm temperate oceans this species is most abundant in sightings occur in water depths <500 m around the world (Perrin 2009). It California slope and offshore areas; as and within 20 km from shore. ranges as far south as 40° S in the northern waters begin to warm in the Pacific Ocean, is common in coastal Northern Right Whale Dolphin spring, it appears to move north to slope waters 200–300 m deep and is also The northern right whale dolphin is and offshore waters off Oregon/ associated with prominent underwater found in cool temperate and sub-arctic Washington (Green et al., 1992, 1993; topography, such as seamounts (Evans waters of the North Pacific, from the Forney 1994; Forney et al., 1995; 1994). Common dolphins have been Gulf of Alaska to near northern Baja Buchanan et al., 2001; Barlow 2003). sighted as far as 550 km from shore California, ranging from 30° N to 50° N The highest encounter rates off Oregon (Barlow et al. 1997). (Reeves et al., 2002). In the eastern The distribution of common dolphins and Washington have been reported North Pacific Ocean, including waters along the U.S. West Coast is variable during March–May in slope and off Oregon, the northern right whale and likely related to oceanographic offshore waters (Green et al., 1992). dolphin is one of the most common changes (Heyning and Perrin 1994; Similarly, Becker et al. (2014) predicted marine mammal species, occurring Forney and Barlow 1998). It is the most relatively high densities off southern primarily in shelf and slope waters ∼100 abundant cetacean off California; some Oregon in shelf and slope waters. to >2000 m deep (Green et al., 1993; sightings have been made off Oregon, in Based on year-round aerial surveys off Barlow 2003). The northern right whale offshore waters (Carretta et al., 2017). Oregon/Washington, the Pacific white- dolphin comes closer to shore where During surveys off the west coast in sided dolphin was the most abundant there is deep water, such as over 2014 and 2017, sightings were made as cetacean species, with nearly all (97 submarine canyons (Reeves et al., 2002). far north as 44° N (Barlow 2016; SIO percent) sightings occurring in May Aerial and shipboard surveys suggest n.d.). However, their abundance (Green et al., 1992, 1993). Barlow (2003) seasonal inshore-offshore and decreases dramatically north of about also found that the Pacific white-sided north-south movements in the eastern 40° N (Barlow et al., 2009; Becker et al., dolphin was one of the most abundant North Pacific Ocean between California 2012c; Becker et al., 2016; Forney et al., marine mammal species off Oregon/ and Oregon/Washington; the 2012). Based on the absolute dynamic Washington during 1996 and 2001 ship movements are believed to be related to topography of the region, common surveys, and it was the second most oceanographic influences, particularly dolphins could occur in relatively high abundant species reported during 2008 water temperature and presumably prey densities off Oregon during July– surveys (Barlow 2010). Adams et al. distribution and availability (Green et December (Pardo et al., 2015). In (2014) reported numerous offshore al., 1993; Forney and Barlow 1998; contrast, habitat modeling predicted sightings off Oregon during summer, Buchanan et al., 2001). Green et al. moderate densities of common dolphins fall, and winter surveys in 2011 and (1992, 1993) found that northern right off the Columbia River mouth during 2012. whale dolphins were most abundant off summer, with lower densities off Fifteen Pacific white-sided dolphin Oregon/Washington during fall, less southern Oregon (Becker et al. 2014). sightings (231 animals) were made off abundant during spring and summer, There are three stranding records of Washington/Oregon during the June– and absent during winter, when this common dolphins in British Columbia, July 2012 L–DEO Juan de Fuca plate species presumably moves south to including one from northwestern seismic survey (RPS 2012b). There were warmer California waters (Green et al., Vancouver Island, one from the Strait of fifteen Pacific white-sided dolphin 1992, 1993; Forney 1994; Forney et al., Juan de Fuca, and one from Hecate sightings (462 animals) made during the 1995; Buchanan et al., 2001; Barlow Strait (Ford 2014). July 2012 L–DEO seismic surveys off 2003). southern Washington (RPS 2012a). This Survey data suggest that, at least in Pacific White-Sided Dolphin species was not sighted during the July the eastern North Pacific, seasonal The Pacific white-sided dolphin is 2012 L–DEO seismic survey off Oregon inshore-offshore and north-south found in cool temperate waters of the (RPS 2012c). One group of 10 Pacific movements are related to prey North Pacific from the southern Gulf of white-sided dolphins was sighted availability, with peak abundance in the California to Alaska. Across the North during the 2009 ETOMO survey (Holst Southern California Bight during winter Pacific, it appears to have a relatively 2017). and distribution shifting northward into
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Oregon and Washington as water et al. (1992, 1993) reported most Risso’s sighting was made off southern temperatures increase during late spring dolphin groups off Oregon between ∼45 California during 2014 (Barlow 2016). and summer (Barlow, 1995; Becker et and 47ß N. Several sightings were made Stacey and Baird (1991b) suggested al., 2014; Forney et al., 1995; Forney & off southern Oregon during surveys in that false killer whales are at the limit Barlow, 1998; Leatherwood & Walker, 1991–2014 (Carretta et al., 2017). of their distribution in Canada and have 1979). Seven northern right whale Sightings during ship surveys in always been rare. Sightings have been dolphin sightings (231 animals) were summer/fall 2008 were mostly between made along the northern and central made off Washington/Oregon during the ∼30 and 38° N; none were reported in mainland coast of British Columbia, as June–July 2012 L–DEO Juan de Fuca Oregon/Washington (Barlow 2010).Two well as in Queen Charlotte Strait, Strait plate seismic survey (RPS 2012b). There sightings of 38 individuals were of Georgia, and along the west coast of were eight northern right whale dolphin recorded off Washington from August Vancouver Island (Ford 2014). sightings (278 animals) made during the 2004 to September 2008 (Oleson et al. Killer Whale July 2012 L–DEO seismic surveys off 2009). Risso’s dolphins were sighted off southern Washington (RPS 2012a). This Oregon, in June and October 2011 The killer whale is cosmopolitan and species was not sighted during the July (Adams et al. 2014). There were three globally fairly abundant; it has been 2012 L–DEO seismic survey off Oregon Risso’s dolphin sightings (31 animals) observed in all oceans of the world (RPS 2012c). made during the July 2012 L–DEO (Ford 2009). It is very common in There are 47 records of northern right seismic surveys off southern temperate waters and also frequents whale dolphins from British Columbia, Washington (RPS 2012a). This species tropical waters, at least seasonally mostly in deep water off the west coast was not sighted during the July 2012 L– (Heyning and Dahlheim 1988). There of Vancouver Island; however, sightings DEO seismic survey off Oregon (RPS are three distinct ecotypes, or forms, of killer whales recognized in the north have also been reported in deep water 2012c), or off Washington/Oregon Pacific: Resident, transient, and off Haida Gwaii (Ford 2014). Most during the June–July 2012 L–DEO Juan offshore. The three ecotypes differ sightings have occurred in water depths de Fuca plate seismic survey (RPS morphologically, ecologically, over 900 m (Baird and Stacey 1991a). 2012b). One group of six northern right whale behaviorally, and genetically. Resident Risso’s dolphin was once considered killer whales exclusively prey upon dolphins was seen west of Vancouver rare in British Columbia, but there have Island in water deeper than 2,500 m fish, with a clear preference for salmon been numerous sightings since the (Ford and Ellis 2006; Hanson et al., during a survey from Oregon to Alaska 1970s (Ford 2014). Most sightings have (Hauser and Holt 2009). 2010; Ford et al., 2016), while transient been made in Gwaii Haanas National killer whales exclusively prey upon Risso’s Dolphin Park Reserve, Haida Gwaii, but there marine mammals (Caretta et al., 2019). Risso’s dolphin is distributed have also been sightings in Dixon Less is known about offshore killer worldwide in temperate and tropical Entrance, off the west coast of Haida whales, but they are believed to oceans (Baird 2009), although it shows Gwaii, Queen Charlotte Sound, and to consume primarily fish, including a preference for mid-temperate waters of the west of Vancouver Island (Ford several species of shark (Dahlheim et the shelf and slope between 30° and 45° 2014). al., 2008). N (Jefferson et al., 2014). Although it False Killer Whale Currently, there are eight killer whale occurs from coastal to deep water stocks recognized in the U.S. Pacific: (1) (∼200–1000 m depth), it shows a strong The false killer whale is found in all Alaska Residents, occurring from preference for mid-temperate waters of tropical and warmer temperate oceans, southeast Alaska to the Aleutians and upper continental slopes and steep especially in deep, offshore waters Bering Sea; (2) Northern Residents, from shelf-edge areas (Hartman 2018). (Odell and McClune 1999). It is widely BC through parts of southeast Alaska; Off the U.S. West Coast, Risso’s distributed, but not abundant anywhere (3) Southern Residents, mainly in dolphin is believed to make seasonal (Carwardine 1995). The false killer inland waters of Washington State and north-south movements related to water whale generally inhabits deep, offshore southern BC; (4) Gulf of Alaska, temperature, spending colder winter waters, but sometimes is found over the Aleutian Islands, and Bering Sea months off California and moving north continental shelf and occasionally Transients, from Prince William Sound to waters off Oregon/Washington during moves into very shallow (Jefferson et al., (PWS) through to the Aleutians and the spring and summer as northern 2015; Baird 2018b). It is gregarious and Bering Sea; (5) AT1 Transients, from waters begin to warm (Green et al., forms strong social bonds, as is evident PWS through the Kenai Fjords; (6) West 1992, 1993; Buchanan et al., 2001; from its propensity to strand en masse Coast Transients, from California Barlow 2003; Becker 2007). The (Baird 2018b). In the eastern North through southeast Alaska; (7) Offshore, distribution and abundance of Risso’s Pacific, it has been reported only rarely from California through Alaska; and (8) dolphins are highly variable from north of Baja California (Leatherwood et Hawaiian (Carretta et al. 2018). California to Washington, presumably in al., 1982, 1987; Mangels and Gerrodette Individuals from the Southern Resident, response to changing oceanographic 1994); however, the waters off the U.S. Northern Resident, West Coast conditions on both annual and seasonal West Coast all the way north to Alaska Transient, and Offshore stocks could be time scales (Forney and Barlow 1998; are considered part of its secondary encountered in the proposed project Buchanan et al. 2001). The highest range (Jefferson et al. 2015). area. All three pods (J, K, and L pods) densities were predicted along the Its occurrence in Washington/Oregon of Southern Resident killer whales may coasts of Washington, Oregon, and is associated with warm-water occur in the project area. central and southern California (Becker incursions (Buchanan et al., 2001). One Southern Resident killer whales et al., 2012). Off Oregon and pod of false killer whales occurred in mainly feed on salmon, in particular Washington, Risso’s dolphins are most Puget Sound for several months during Chinook (Oncorhynchus tshawytscha), abundant over continental slope and the 1990s (USN 2015). Two were but also prey upon other salmonids, shelf waters during spring and summer, reported stranded along the Washington such as chum (O. keta), coho (O. less so during fall, and rare during coast between 1930–2002, both in El kitsutch), and steelhead (O. mykiss), as winter (Green et al., 1992, 1993). Green Nin˜ o years (Norman et al. 2004). One well as rockfish (Sebastes spp.), Pacific
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halibut (Hippoglossus stenolepis), contiguous shoreline delimited by the Bigg’s killer whales) range from Pacific herring (Clupea pallasi), among line at a depth of 6.1 m relative to Southeast Alaska to California (Muto et others. Seasonal and spatial shifts in extreme high water (71 FR 69054; al., 2019a). The seasonal movements of prey consumption have been observed, November 29, 2006). On September 19, transients are largely unpredictable, with Chinook consumed in May through 2019, NMFS published a proposed rule although there is a tendency to September, and chum eaten in the fall. to revise designated Southern Resident investigate harbor seal haulouts off Chinook remain an important prey item killer whale critical habitat to include Vancouver Island more frequently while the Southern Residents are in 40,472.7 km2 of marine waters between during the pupping season in August offshore coastal waters, where they also the 6.1-m depth contour and the 200-m and September (Baird 1994; Ford 2014). consume a greater diversity of fish depth contour from the U.S. Transients have been sighted species (NMFS 2019). international border with Canada south throughout British Columbia waters, Southern Resident killer whales occur to Point Sur, California (84 FR 49214; including the waters around Vancouver for part of the year in the inland September 19, 2019). The proposed Island (Ford 2014). waterways of the Salish Sea, including survey tracklines overlap with NMFS’ Little is known about offshore killer Puget Sound, the Strait of Juan de Fuca, proposed expanded Southern Resident whales, but they occur primarily over and the southern Strait of Georgia critical habitat. shelf waters and feed on fish, especially mostly during the spring, summer, and In Canada, Southern Resident killer sharks (Ford 2014). Dalheim et al. fall. Their movement patterns appear whales are listed as Endangered under (2008) reported sightings in southeast related to the seasonal availability of the Species at Risk Act (SARA), and Alaska during spring and summer. prey, especially Chinook salmon. They critical habitat has been designated in Relatively few sightings of offshore also move to coastal waters, primarily the trans-boundary waters in southern killer whales have been reported in off Washington and British Columbia, in British Columbia, including the British Columbia; there have been 103 search of suitable prey, and have been southern Strait of Georgia, Haro Strait, records since 1988 (Ford 2014). The observed as far as central California and and Strait of Juan de Fuca (SOR/2018– number of sightings are likely southeast Alaska (NMFS 2019). 278, December 13, 2018; SOR/2009–68, influenced by the fact that these whales Although less is known about the February 19, 2009; DFO 2018). The prefer deeper waters near the whales’ movements in outer coastal continental shelf waters off continental slope, where little sighting waters than inland waters of the Salish southwestern Vancouver Island, effort has taken place (Ford 2014). Most ´ Sea, satellite tagging, opportunistic including Swiftsure and La Perouse sightings are from Haida Gwaii and 15 sighting, and acoustic recording data Banks have also been designated as km or more off the west coast of suggest that Southern Residents spend critical habitat (DFO 2018). Two of the Vancouver Island near the continental nearly all their time on the continental proposed survey tracklines intersect the slope (Ford et al., 1994). Offshore killer shelf, within 34 km of shore in water Canadian Southern Resident critical whales are mainly seen off British less than 200 m deep (Hanson et al., habitat on Swiftsure and La Pe´rouse Columbia during summer, but they can 2017). Banks. The Southern Resident DPS was listed Northern Resident killer whales are occur in British Columbia year-round as endangered under the ESA in 2005 not listed under the ESA, but are listed (Ford 2014). after a nearly 20 percent decline in as threatened under Canada’s SARA Short-Finned Pilot Whale abundance between 1996 and 2001 (70 (DFO 2018). In British Columbia, FR 69903; November 18, 2005). As Northern Resident killer whales inhabit The short-finned pilot whale is found compared to stable or growing the central and northern Strait of in tropical, subtropical, and warm populations, the DPS reflects lower Georgia, Johnstone Strait, Queen temperate waters (Olson 2009); it is seen as far south as ∼40° S and as far north fecundity and has demonstrated little to Charlotte Strait, the west coast of ∼ ° no growth in recent decades, and in fact Vancouver Island, and the entire central as 50 N (Jefferson et al. 2015). Pilot has declined further since the date of and north coast of mainland British whales are generally nomadic, but may listing (NMFS 2019). The population Columbia (Muto et al., 2019a,b). be resident in certain locations, abundance listed in the draft 2019 SARs Northern Resident killer whales are also including California and Hawaii (Olson is 75, from the July 1, 2018 annual regularly acoustically detected off the 2009). Short-finned pilot whales were census conducted by the Center for coast of Washington (Hanson et al., common off southern California (Dohl et Whale Research (CWR) (Caretta et al., 2017). Canada has designated critical al. 1980) until an El Nin˜ o event 2019); since that date, four whales have habitat for Northern Resident killer occurred in 1982–1983 (Carretta et al. died or are presumed dead, and two whales in Johnstone Strait, southeastern 2017). calves were born in 2019, bringing the Queen Charlotte Strait, western Dixon Few sightings were made off abundance to 73 whales (NMFS 2019). Entrance along the north coast of California/Oregon/Washington in 1984– An additional adult male is considered Graham Island, Haida Gwaii, and 1992 (Green et al. 1992; Carretta and missing as of January 2020 (CWR 2020). Swiftsure and La Pe´rouse Banks off Forney 1993; Barlow 1997), and NMFS has identified three main causes southwestern Vancouver Island (SOR/ sightings remain rare (Barlow 1997; of the population decline: (1) Reduced 2018–278, December 13, 2018; SOR/ Buchanan et al. 2001; Barlow 2010). No quantity and quality of prey; (2) 2009–68, February 19, 2009; DFO 2018). short-finned pilot whales were seen persistent organic pollutants that could Critical habitat for both Northern and during surveys off Oregon and cause immune or reproductive system Southern Resident killer whales has Washington in 1989–1990, 1992, 1996, dysfunction; and (3) noise and been established within the proposed and 2001 (Barlow 2003). A few sightings disturbance from increased commercial survey area at Swiftsure and La Pe´rouse were made off California during surveys and recreational vessel traffic (NMFS Banks (SOR/2018–278, December 13, in 1991–2014 (Barlow 2010). Carretta et 2019). 2018). al. (2019a) reported one sighting off The U.S. Southern Resident killer The main diet of transient killer Oregon during 1991–2014. Several whale critical habitat designated under whales consists of marine mammals, in stranding events in Oregon/southern the ESA currently includes inland particular porpoises and seals. West Washington have been recorded over waters of Washington relative to a coast transient whales (also known as the past few decades, including in
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March 1996, June 1998, and August <100 m deep, with a few sightings on densities to the north. According to 2002 (Norman et al. 2004). the slope near the 200-m isobath. predictive density distribution maps, Short-finned pilot whales are Similarly, predictive density the highest densities off southern considered rare in British Columbia distribution maps show the highest in Washington and Oregon occur along the waters (Baird and Stacey 1993; Ford nearshore waters along the coasts of 500-m isobath (Menza et al. 2016). 2014). There are 10 confirmed records, Oregon/Washington, with very low Encounter rates reported by Green et including three bycatch records in densities beyond the 500-m isobath al. (1992) during aerial surveys off offshore waters, six sightings in offshore (Menza et al., 2016). Oregon/Washington were highest in fall, waters, and one stranding; the stranding There were no harbor porpoise lowest during winter, and intermediate occurred in the Strait of Juan de Fuca sightings made during the July 2012 L– during spring and summer. Encounter (Ford 2014). There are also unconfirmed DEO seismic surveys off southern rates during the summer were similarly records for nearshore waters of western Washington (RPS 2012a), the July 2012 high in slope and shelf waters, and Vancouver Island (Baird and Stacey L–DEO seismic survey off Oregon (RPS somewhat lower in offshore waters 1993; Ford 2014). 2012c), or off Washington/Oregon (Green et al. 1992). Dall’s porpoise was during the June–July 2012 L–DEO Juan the most abundant species sighted off Harbor Porpoise de Fuca plate seismic survey (RPS Oregon/Washington during 1996, 2001, The harbor porpoise inhabits 2012b). 2005, and 2008 ship surveys up to ∼550 temperate, subarctic, and arctic waters. Harbor porpoises are found along the km from shore (Barlow 2003, 2010). It is typically found in shallow water coast of British Columbia year-round, Oleson et al. (2009) reported 44 (<100 m) nearshore but is occasionally primarily in coastal shallow waters, sightings of 206 individuals off sighted in deeper offshore water harbors, bays, and river mouths Washington during surveys from August (Jefferson et al., 2015); abundance (Osborne et al., 1988), but can also be 2004 to September 2008. Dall’s porpoise declines linearly as depth increases found in deep water over the were seen in the waters off Oregon (Barlow 1988). In the eastern north continental shelf and over offshore during summer, fall, and winter surveys Pacific, its range extends from Point banks that are no deeper than 150 m in 2011 and 2012 (Adams et al., 2014). Barrow, Alaska to Point Conception, (Ford 2014; COSEWIC 2016). Many Nineteen Dall’s porpoise sightings (144 California. Their seasonal movements sightings records exist for nearshore animals) were made off Washington/ appear to be inshore-offshore, rather waters of Vancouver Island, and Oregon during the June–July 2012 L– than north-south, as a response to the occasional sightings have also been DEO Juan de Fuca plate seismic survey abundance and distribution of food made in shallow water of Swiftsure and (RPS 2012b). There were 16 Dall’s resources (Dohl et al., 1983; Barlow La Pe´rouse banks off southwestern porpoise sightings (54 animals) made 1988). Genetic testing has also shown Vancouver Island (Ford 2014). during the July 2012 L–DEO seismic that harbor porpoises along the west Dall’s Porpoise surveys off southern Washington (RPS coast of North America are not 2012a). This species was not sighted migratory and occupy restricted home Dall’s porpoise is found in temperate during the July 2012 L–DEO seismic ranges (Rosel et al., 1995). to subarctic waters of the North Pacific survey off Oregon (RPS 2012c). Based on genetic data and density and adjacent seas (Jefferson et al. 2015). Dall’s porpoise is found all along the discontinuities, six stocks have been It is widely distributed across the North coast of British Columbia and is identified in California/Oregon/ Pacific over the continental shelf and common inshore and offshore Washington: (1) Washington Inland slope waters, and over deep ( ≥2500 m) throughout the year (Jefferson 1990; Waters, (2) Northern Oregon/ oceanic waters (Hall 1979). It is Ford 2014). It is most common over the Washington Coast, (3) Northern probably the most abundant small continental shelf and slope, but also California/Southern Oregon, (4) San cetacean in the North Pacific Ocean, and occurs >2,400 km from the coast (Pike Francisco-Russian River, (5) Monterey its abundance changes seasonally, likely and MacAskie 1969 in Jefferson 1990), Bay, and (6) Morro Bay (Caretta et al., in relation to water temperature (Becker and sightings have been made 2019a). Harbor porpoises form the 2007). throughout the proposed survey area Northern Oregon/Washington and the Off Oregon and Washington, Dall’s (Ford 2014). During a survey from Northern California/Southern Oregon porpoise is widely distributed over shelf Oregon to Alaska, Dall’s porpoises were stocks could occur in the proposed and slope waters, with concentrations sighted west of Vancouver Island and project area (Caretta et al., 2019a). near shelf edges, but is also commonly Haida Gwaii in early October during the Harbor porpoises inhabit coastal sighted in pelagic offshore waters southbound transit, but none were Oregon and Washington waters year- (Morejohn 1979; Green et al. 1992; sighted in mid-September during the round, although there appear to be Becker et al. 2014; Carretta et al. 2018). northward transit; all sightings were distinct seasonal changes in abundance Combined results of various surveys out made in water deeper than 2000 m there (Barlow 1988; Green et al., 1992). to ∼550 km offshore indicate that the (Hauser and Holst 2009). Green et al. (1992) reported that distribution and abundance of Dall’s encounter rates were similarly high porpoise varies between seasons and Guadalupe Fur Seal during fall and winter, intermediate years. North–south movements are Guadalupe fur seals were once during spring, and low during summer. believed to occur between Oregon/ plentiful on the California coast, ranging Encounter rates were highest along the Washington and California in response from the Gulf of the Farallones near San Oregon/Washington coast in the area to changing oceanographic conditions, Francisco, to the Revillagigedo Islands, from Cape Blanco (∼43° N) to California, particularly temperature and Mexico (Aurioles-Gamboa et al., 1999), from fall through spring. During distribution and abundance of prey but they were over-harvested in the 19th summer, the reported encounter rates (Green et al. 1992, 1993; Mangels and century to near extinction. After being decreased notably from inner shelf to Gerrodette 1994; Barlow 1995; Forney protected, the population grew slowly; offshore waters. Green et al. (1992) and Barlow 1998; Buchanan et al. 2001). mature individuals of the species were reported that 96 percent of harbor Becker et al. (2014) predicted high observed occasionally in the Southern porpoise sightings off Oregon/ densities off southern Oregon California Bight starting in the 1960s Washington occurred in coastal waters throughout the year, with moderate (Stewart et al., 1993), and, in 1997, a
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female and pup were observed on San southern California to the Bering Sea, Washington, Oregon, and northern Miguel Island (Melin & DeLong, 1999). Sea of Okhotsk, and Sea of Japan California after weaning (Lea et al. Since 2008, individual adult females, (Jefferson et al. 2015). The worldwide 2009). Although pups may be present, subadult males, and between one and population of northern fur seals has there are no rookeries in Washington or three pups have been observed annually declined substantially from 1.8 million Oregon. on San Miguel Island (Caretta et al., animals in the 1950s (Muto et al. 2018). The northern fur seals spends ∼90 2017). They were subjected to large-scale percent of its time at sea, typically in During the summer breeding season, harvests on the Pribilof Islands to areas of upwelling along the continental most adults occur at rookeries in Mexico supply a lucrative fur trade. Two stocks slopes and over seamounts (Gentry (Caretta et al., 2019a,b; Norris 2017 in are recognized in U.S. waters: The 1981). The remainder of its life is spent Navy 2019a,b). Following the breeding Eastern North Pacific and the California on or near rookery islands or haulouts. season, adult males tend to move stocks. The Eastern Pacific stock ranges While at sea, northern fur seals usually northward to forage. Females have been from southern California during winter occur singly or in pairs, although larger observed feeding south of Guadalupe to the Pribilof Islands and Bogoslof groups can form in waters rich with Island, making an average round trip of Island in the Bering Sea during summer prey (Antonelis and Fiscus 1980; Gentry 2,375 km (Ronald and Gots 2003). (Carretta et al. 2018; Muto et al. 2018). 1981). Northern fur seals dive to Several rehabilitated Guadalupe fur Abundance of the Eastern Pacific Stock relatively shallow depths to feed: 100– seals that were satellite tagged and has been decreasing at the Pribilof 200 m for females, and <400 m for males released in central California traveled as Islands since the 1940s and increasing (Gentry 2009). Tagged adult female fur far north as British Columbia (Norris et on Bogoslof Island. The California stock seals were shown to remain within 200 al., 2015; Norris 2017 in Navy 2019a,b). originated with immigrants from the km of the shelf break (Pelland et al. Fur seals younger than two years old are Pribilof Islands and Russian populations 2014). more likely to travel to more northerly, that recolonized San Miguel Island Bonnell et al. (1992) noted the offshore areas than older fur seals during the late 1950s or early 1960s presence of northern fur seals year- (Norris 2017 in Navy 2019a,b). after northern fur seals were extirpated round off Oregon/Washington, with the Stranding data also indicates that fur from California in the 1700s and 1800s greatest numbers (87 percent) occurring seals younger than two years old are (DeLong 1982). The northern fur seal in January–May. Northern fur seals were more likely to occur in the proposed population appears to be greatly affected seen as far out from the coast as 185 km, survey area, as this age class was most by El Nin˜ o events. In the month of June, and numbers increased with distance frequently reported (Lambourn et al., approximately 93.6 percent of the from land; they were 5–6 times more 2012 in Navy 2019a,b). Guadalupe fur northern fur seals in the survey area are abundant in offshore waters than over the shelf or slope (Bonnell et al. 1992). seals have not been observed in expected to be from the Eastern Pacific The highest densities were seen in the previous L–DEO surveys in the stock and 6.4 percent from the Columbia River plume (∼46° N) and in northeast Pacific (RPS 2012a,b,c). California stock (U.S. Navy 2019). Increased strandings of Guadalupe fur deep offshore waters (>2000 m) off Therefore, although individuals from seals have occurred along the entire central and southern Oregon (Bonnell et both the Eastern Pacific Stock and coast of California. Guadalupe fur seal al. 1992). The waters off Washington are California Stock may be present in the strandings began in January 2015 and a known foraging area for adult females, proposed survey area, the majority are were eight times higher than the and concentrations of fur seals were also expected to be from the Eastern Pacific historical average. Strandings have reported to occur near Cape Blanco, Stock. continued since 2015 and have Oregon, at ∼42.8° N (Pelland et al. remained well above average through Most northern fur seals are highly 2014). Tagged adult fur seals were 2019. Strandings are seasonal and migratory. During the breeding season, tracked from the Pribilof Islands to the generally peak in April through June of most of the world’s population of waters off Washington/Oregon/ each year. Strandings in Oregon and northern fur seals occurs on the Pribilof California, with recorded movement Washington became elevated starting in and Bogoslof islands (NMFS 2007). The throughout the proposed survey area 2019 and have continued to present. main breeding season is in July (Gentry (Pelland et al. 2014). Strandings in these two states in 2019 2009). Adult males usually occur Thirty-one northern fur seal sightings are five times higher than the historical onshore from May to August, though (63 animals) were made off Washington/ average. Guadalupe fur seals have some may be present until November; Oregon during the June–July 2012 L– stranded alive and dead. Those females are usually found ashore from DEO Juan de Fuca plate seismic survey stranding are mostly weaned pups and June to November (Muto et al. 2018). (RPS 2012b). There were six sightings (6 juveniles (1–2 years old). The majority Nearly all fur seals from the Pribilof animals) made during the July 2012 L– of stranded animals showed signs of Island rookeries are foraging at sea from DEO seismic surveys off southern malnutrition with secondary bacterial fall through late spring. In November, Washington (RPS 2012a). This species and parasitic infections. NMFS has females and pups leave the Pribilof was not sighted during the July 2012 L– declared a UME for Guadalupe fur seals Islands and migrate through the Gulf of DEO seismic survey off Oregon (RPS along the entire U.S. West Coast; the Alaska to feeding areas primarily off the 2012c). UME is ongoing and NMFS is coasts of BC, Washington, Oregon, and Off British Columbia, females and continuing to investigate the cause(s). California before migrating north again subadult males are typically found For additional information on the UME, to the rookeries in spring (Ream et al. during the winter off the continental see https://www.fisheries.noaa.gov/ 2005; Pelland et al. 2014). Immature shelf (Bigg 1990). They start arriving national/marine-life-distress/2015-2020- seals can remain in southern foraging from Alaska during December and most guadalupe-fur-seal-unusual-mortality- areas year-round until they are old will leave British Columbia waters by event-california. enough to mate (NMFS 2007). Adult July (Ford 2014). Ford (2014) also males migrate only as far south as the reported the occurrence of northern fur Northern Fur Seal Gulf of Alaska or to the west off the seals throughout British Columbia, The northern fur seal is endemic to Kuril Islands (Kajimura 1984). Pups including Dixon Entrance, Hecate Strait, the North Pacific Ocean and occurs from from the California stock also migrate to Queen Charlotte Sound, and off the west
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coasts of Haida Gwaii and Vancouver Non-breeding adults use haulouts or California Sea Lion Island, with concentrations over the occupy sites at the periphery of The primary range of the California shelf and slope, especially on La rookeries during the breeding season sea lion includes the coastal areas and Pe´rouse Bank, southwestern Vancouver (NMFS 2008). Pupping occurs from offshore islands of the eastern North Island. A few animals are seen in mid-May to mid-July (Pitcher and Pacific Ocean from British Columbia to inshore waters in British Columbia, and Calkins 1981) and peaks in June (Pitcher central Mexico, including the Gulf of individuals occasionally come ashore, et al., 2002). Territorial males fast and California (Jefferson et al., 2015). usually at sea lion haulouts (e.g., Race remain on land during the breeding However, its distribution is expanding Rocks, off southern Vancouver Island) season (NMFS 2008). Females with (Jefferson et al., 2015), and its secondary during winter and spring (Baird and pups generally stay within 30 km of the range extends into the Gulf of Alaska Hanson 1997). Although fur seals rookeries in shallow (30–120 m) water (Maniscalco et al., 2004) and southern sometimes haul out in British Columbia, when feeding (NMFS 2008). Tagged Mexico (Gallo-Reynoso and Solo´rzano- there are no breeding rookeries. juvenile sea lions showed localized Velasco 1991), where it is occasionally movements near shore (Briggs et al., Steller Sea Lion recorded. 2005). Loughlin et al. (2003) reported In California and Baja California, The Steller sea lion occurs along the that most (88 percent) at-sea movements births occur on land from mid-May to North Pacific Rim from northern Japan of juvenile Steller sea lions were short late-June. During August and to California (Loughlin et al., 1984). It is (< 15 km) foraging trips. Although September, after the mating season, the distributed around the coasts to the Steller sea lions are not considered adult males migrate northward to outer shelf from northern Japan through migratory, foraging animals can travel feeding areas as far north as Washington the Kuril Islands and Okhotsk Sea, long distances outside of the breeding (Puget Sound) and British Columbia through the Aleutian Islands, central season (Loughlin et al., 2003; Raum- (Lowry et al., 1992). They remain there Bering Sea, southern Alaska, and south Suryan et al., 2002). During the summer, until spring (March-May), when they to California (NOAA 2019d). There are they mostly forage within 60 km from migrate back to the breeding colonies two stocks and DPSs of Steller sea lions, the coast; during winter they can range (Lowry et al., Weise et al., 2006). The the Western and Eastern DPSs, which up to 200 km from shore (Ford 2014). distribution of immature California sea ° are divided at 144 W longitude (Muto During a survey off Washington/ lions is less well known but some make et al., 2019b). The Western DPS is listed Oregon June–July 2012, two Steller sea northward migrations that are shorter in as endangered under the ESA and lions were seen from R/V Langseth (RPS length than the migrations of adult includes animals that occur in Japan 2012b) off southern Oregon. Eight males (Huber 1991). However, most and Russia (Muto et al., 2019a,b); the sightings of 11 individuals were made immature seals are presumed to remain Eastern DPS is not listed. Only from R/V Northern Light during a near the rookeries for most of the year, individuals from the Eastern DPS are survey off southern Washington during as are females and pups (Lowry et al., expected to occur in the proposed July 2012 (RPS 2012a). 1992). Peak numbers of California sea survey area. In British Columbia there are six main lions off Oregon and Washington occur Steller sea lions typically inhabit rookeries which are situated at the Scott during the fall (Bonnell et al., 1992). waters from the coast to the outer Islands off northwestern Vancouver California sea lions have not been continental shelf and slope throughout Island, the Kerourd Islands near Cape observed in previous L–DEO surveys in their range; they are not considered St. James at the southern end of Haida the northeast Pacific (RPS 2012a,b,c). migratory although foraging animals can Gwaii, North Danger Rocks in eastern California sea lions used to be rare in travel long distances (Loughlin et al., Hecate Strait, Virgin Rocks in eastern British Columbia, but their numbers 2003; Raum-Suryan et al., 2002). The Queen Charlotte Sound, Garcin Rocks have increased substantially since the eastern stock of Steller sea lions has off southeastern Moresby Island in 1970s and 1980s (Ford 2014). Wintering historically bred on rookeries located in Haida Gwaii, and Gosling Rocks on the California sea lion numbers have Southeast Alaska, British Columbia, central mainland coast (Ford 2014). The increased off southern Vancouver Island Oregon, and California. However, Scott Islands and Cape St. James since the 1970s, likely as a result of the within the last several years a new rookeries are the two largest breeding increasing California breeding rookery has become established on the sites with 4,000 and 850 pups born in population (Olesiuk and Bigg 1984). outer Washington coast (at the Carroll 2010, respectively (Ford 2014). Some Several thousand occur in the waters of Island and Sea Lion Rock complex), adults and juveniles are also found on British Columbia from fall to spring with >100 pups born there in 2015 sites known as year-round haulouts (Ford 2014). Adult and subadult male (Muto et al., 2018). Breeding adults during the breeding season. Haulouts California sea lions are mainly seen in occupy rookeries from late-May to early- are located along the coasts of Haida British Columbia during the winter July (NMFS 2008). Federally designated Gwaii, the central and northern (Olesiuk and Bigg 1984). They are critical habitat for Steller sea lions in mainland coast, the west coast of mostly seen off the west coast of Oregon and California includes all Vancouver Island, and the Strait of Vancouver Island and in the Strait of rookeries (NMFS 1993). Although the Georgia; some are year-round sites Georgia, but they are also known to haul Eastern DPS was delisted from the ESA whereas others are only winter haulouts out along the coasts of Haida Gwaii, in 2013, the designated critical habitat (Ford 2014). Pitcher et al. (2007) including Dixon Entrance, and the remains valid (NOAA 2019e). The reported 24 major haulout sites (>50 sea mainland (Ford 2014). critical habitat in Oregon is located lions) in British Columbia, but there are Elevated strandings of California sea along the coast at Rogue Reef (Pyramid currently around 30 (Ford 2014). The lion pups have occurred in Southern Rock) and Orford Reef (Long Brown total pup and non-pup count of Steller California since January 2013 and Rock and Seal Rock). The critical habitat sea lions in British Columbia in 2002 NMFS has declared a UME. The UME is area includes aquatic zones that extend was 15,438; this represents a minimum confined to pup and yearling California 0.9 km seaward and air zones extending population estimate (Pitcher et al., sea lions, many of which are emaciated, 0.9 km above these terrestrial and 2007). The highest pup counts in British dehydrated, and underweight for their aquatic zones (NMFS 1993). Columbia occur in July (Bigg 1988). age. A change in the availability of sea
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lion prey, especially sardines, a high noted that traveling likely takes place at early 20th century and its tendency to value food source for nursing mothers, depths >200 m. Most elephant seals be highly migratory. A peak number (22) is a likely contributor to the large return to their natal rookeries when they of adults and subadults were observed number of strandings. Sardine spawning start breeding (Huber et al. 1991). in spring 2003 (Demarchi and Bentley grounds shifted further offshore in 2012 When not at their breeding rookeries, 2004); pups have also been born there and 2013, and while other prey were adults feed at sea far from the rookeries. primarily during December and January available (market squid and rockfish), Males may feed as far north as the (Ford 2014). Haulouts can also be found these may not have provided adequate eastern Aleutian Islands and the Gulf of on the western and northeastern coasts nutrition in the milk of sea lion mothers Alaska, whereas females feed south of of Haida Gwaii, and along the coasts of supporting pups, or for newly-weaned 45° N (Le Boeuf et al. 1993; Stewart and Vancouver Island (Ford 2014). pups foraging on their own. Although Huber 1993). Adult male elephant seals Harbor Seal the pups showed signs of some viruses migrate north via the California current and infections, findings indicate that to the Gulf of Alaska during foraging Two subspecies of harbor seal occur this event was not caused by disease, trips, and could potentially be passing in the Pacific: P.v. stejnegeri in the but rather by the lack of high quality, through the area off Washington in May northwest Pacific Ocean and P.v. close-by food sources for nursing and August (migrating to and from richardii in the eastern Pacific Ocean. mothers. Current evidence does not molting periods) and November and P.v. richardii occurs in nearshore, indicate that this UME was caused by a February (migrating to and from coastal, and estuarine areas ranging single infectious agent, though a variety breeding periods), but likely their from Baja California, Mexico, north to of disease-causing bacteria and viruses presence there is transient and short- the Pribilof Islands in Alaska (Carretta et were found in samples from sea lion lived. Adult females and juveniles al., 2019a). Five stocks of harbor seals pups. Investigating and identifying the forage in the California current off are recognized along the U.S. West cause of this UME is a true public- California to BC (Le Boeuf et al. 1986, Coast: (1) Southern Puget Sound, (2) private effort with many collaborators. 1993, 2000). Bonnell et al. (1992) Washington Northern Inland Waters The investigative team examined reported that northern elephant seals Stock, (3) Hood Canal, (4) Oregon/ multiple potential explanations for the were distributed equally in shelf, slope, Washington Coast, and (5) California high numbers of malnourished and offshore waters during surveys (Carretta et al., 2019a). The Oregon/ California sea lion pups observed on the conducted off Oregon and Washington, Washington Coast stock occurs in the island rookeries and stranded on the as far as 150 km from shore, in waters proposed survey area. mainland in 2013. The UME >2000 m deep. Telemetry data indicate Harbor seals inhabit estuarine and investigation is ongoing. For more that they range much farther offshore coastal waters, hauling out on rocks, information, see https:// than that (Stewart and DeLong 1995). reefs, beaches, and glacial ice flows. www.fisheries.noaa.gov/national/ Off Washington, most elephant seal They are generally non-migratory, but marine-life-distress/2013-2017- sightings at sea were made during June, move locally with the tides, weather, california-sea-lion-unusual-mortality- July, and September; off Oregon, season, food availability, and event-california. sightings were recorded from November reproduction (Scheffer and Slipp 1944; through May (Bonnell et al. 1992). Fisher 1952; Bigg 1969, 1981). Female Northern Elephant Seal Several seals were seen off Oregon harbor seals give birth to a single pup The northern elephant seal breeds in during summer, fall, and winter surveys while hauled out on shore or on glacial California and Baja California, primarily in 2011 and 2012 (Adams et al. 2014). ice flows; pups are born from May to on offshore islands, from Cedros off the Northern elephant seals were also taken mid-July. When molting, which occurs west coast of Baja California, north to as bycatch off Oregon in the west coast primarily in late August, seals spend the the Farallons in Central California groundfish fishery during 2002–2009 majority of the time hauled out on (Stewart et al. 1994). Pupping has also (Jannot et al. 2011). Northern elephant shore, glacial ice, or other substrates. been observed at Shell Island (∼43.3° N) seals were sighted five times (5 animals) Juvenile harbor seals can travel off southern Oregon, suggesting a range during the July 2012 L–DEO seismic significant distances (525 km) to forage expansion (Bonnell et al. 1992; Hodder surveys off southern Washington (RPS or disperse (Lowry et al., 2001). The et al. 1998). 2012a). This species was not sighted smaller home range used by adults is Adult elephant seals engage in two during the July 2012 L–DEO seismic suggestive of a strong site fidelity long northward migrations per year, one survey off Oregon (RPS 2012c), or off (Pitcher and Calkins 1979; Pitcher and following the breeding season, and Washington/Oregon during the June– McAllister 1981; Lowry et al., 2001). another following the annual molt July 2012 L–DEO Juan de Fuca plate Harbor seals haul out on rocks, reefs, (Stewart and DeLong 1995). Between the seismic survey (RPS 2012b). One and beaches along the U.S. west coast two foraging periods, they return to land northern elephant seal was sighted (Carretta et al., 2019a). Jeffries et al. to molt, with females returning earlier during the 2009 ETOMO survey off of (2000) documented several harbor seal than males (March–April vs. July– British Columbia (Holst 2017). rookeries and haulouts along the August). After the molt, adults then Race Rocks Ecological Preserve, Washington coastline. Bonnell et al. return to their northern feeding areas located off southern Vancouver Island, (1992) noted that most harbor seals until the next winter breeding season. is one of the few spots in British sighted off Oregon and Washington Breeding occurs from December to Columbia where elephant seals were within 20 km from shore, with the March (Stewart and Huber 1993). regularly haul out. Based on their size farthest sighting 92 km from the coast. Females arrive in late December or and general appearance, most animals Menza et al. (2016) also showed the January and give birth within ∼1 week using Race Rocks are adult females or highest predicted densities nearshore. of their arrival. Pups are weaned after subadults, although a few males also During surveys off the Oregon and just 27 days and are abandoned by their haul out there. Use of Race Rocks by Washington coasts, 88 percent of at-sea mothers. Juvenile elephant seals northern elephant seals has increased harbor seals occurred over shelf waters typically leave the rookeries in April or substantially in recent years, most likely <200 m deep, with a few sightings near May and head north, traveling an as a result of the species’ dramatic the 2000-m contour, and only one average of 900–1000 km. Hindell (2009) recovery from near extinction in the sighting over deeper water (Bonnell et
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al., 1992). Twelve sightings of harbor underwater, and exposure to other data. Note that no direct seals occurred in nearshore waters from anthropogenic sound can have measurements of hearing ability have R/V Northern Light during a survey off deleterious effects. To appropriately been successfully completed for southern Washington during July 2012 assess the potential effects of exposure mysticetes (i.e., low-frequency (RPS 2012a). to sound, it is necessary to understand cetaceans). Subsequently, NMFS (2018) Harbor seals occur along all coastal the frequency ranges marine mammals described generalized hearing ranges for areas of British Columbia, including the are able to hear. Current data indicate these marine mammal hearing groups. western coast of Vancouver Island, with that not all marine mammal species Generalized hearing ranges were chosen the highest concentration in the Strait of have equal hearing capabilities (e.g., based on the approximately 65 decibel Georgia (13.1 seals per km of coast); Richardson et al., 1995; Wartzok and (dB) threshold from the normalized average densities elsewhere are 2.6 seals Ketten, 1999; Au and Hastings, 2008). composite audiograms, with the per km (Ford 2014). Almost 1,400 To reflect this, Southall et al. (2007) exception for lower limits for low- haulouts have been reported for British recommended that marine mammals be frequency cetaceans where the lower Columbia, many of them in the Strait of divided into functional hearing groups bound was deemed to be biologically Georgia (Ford 2014). based on directly measured or estimated implausible and the lower bound from hearing ranges on the basis of available Southall et al. (2007) retained. Marine Marine Mammal Hearing behavioral response data, audiograms mammal hearing groups and their Hearing is the most important sensory derived using auditory evoked potential associated hearing ranges are provided modality for marine mammals techniques, anatomical modeling, and in Table 2.
TABLE 2—MARINE MAMMAL HEARING GROUPS (NMFS, 2018)
Hearing group Generalized hearing range *
Low-frequency (LF) cetaceans (baleen whales) ...... 7 Hz to 35 kHz. Mid-frequency (MF) cetaceans (dolphins, toothed whales, beaked whales, bottlenose whales) ...... 150 Hz to 160 kHz. High-frequency (HF) cetaceans (true porpoises, Kogia, river dolphins, cephalorhynchid, Lagenorhynchus 275 Hz to 160 kHz. cruciger & L. australis). Phocid pinnipeds (PW) (underwater) (true seals) ...... 50 Hz to 86 kHz. Otariid pinnipeds (OW) (underwater) (sea lions and fur seals) ...... 60 Hz to 39 kHz. * Represents the generalized hearing range for the entire group as a composite (i.e., all species within the group), where individual species’ hearing ranges are typically not as broad. Generalized hearing range chosen based on ∼65 dB threshold from normalized composite audiogram, with the exception for lower limits for LF cetaceans (Southall et al. 2007) and PW pinniped (approximation).
The pinniped functional hearing Harassment section later in this corresponding points of a sound wave group was modified from Southall et al. document includes a quantitative (length of one cycle). Higher frequency (2007) on the basis of data indicating analysis of the number of individuals sounds have shorter wavelengths than that phocid species have consistently that are expected to be taken by this lower frequency sounds, and typically demonstrated an extended frequency activity. The Negligible Impact Analysis attenuate (decrease) more rapidly, range of hearing compared to otariids, and Determination section considers the except in certain cases in shallower especially in the higher frequency range content of this section, the Estimated water. Amplitude is the height of the (Hemila¨ et al., 2006; Kastelein et al., Take by Incidental Harassment section, sound pressure wave or the ‘‘loudness’’ 2009; Reichmuth and Holt, 2013). and the Proposed Mitigation section, to of a sound and is typically described For more detail concerning these draw conclusions regarding the likely using the relative unit of the dB. A groups and associated frequency ranges, impacts of these activities on the sound pressure level (SPL) in dB is please see NMFS (2018) for a review of reproductive success or survivorship of described as the ratio between a available information. 31 marine individuals and how those impacts on measured pressure and a reference mammal species (25 cetacean and six individuals are likely to impact marine pressure (for underwater sound, this is pinniped (four otariid and two phocid) mammal species or stocks. 1 microPascal (mPa)) and is a species) have the reasonable potential to logarithmic unit that accounts for large co-occur with the proposed survey Description of Active Acoustic Sound Sources variations in amplitude; therefore, a activities. Please refer to Table 1. Of the relatively small change in dB This section contains a brief technical cetacean species that may be present, corresponds to large changes in sound background on sound, the six are classified as low-frequency pressure. The source level (SL) characteristics of certain sound types, cetaceans (i.e., all mysticete species), 15 represents the SPL referenced at a and on metrics used in this proposal are classified as mid-frequency distance of 1 m from the source inasmuch as the information is relevant cetaceans (i.e., all delphinid and ziphiid (referenced to 1 mPa) while the received to the specified activity and to a species and the sperm whale), and four level is the SPL at the listener’s position discussion of the potential effects of the are classified as high-frequency (referenced to 1 mPa). cetaceans (i.e., porpoises and Kogia specified activity on marine mammals spp.). found later in this document. Root mean square (rms) is the Sound travels in waves, the basic quadratic mean sound pressure over the Potential Effects of Specified Activities components of which are frequency, duration of an impulse. Root mean on Marine Mammals and Their Habitat wavelength, velocity, and amplitude. square is calculated by squaring all of This section includes a summary and Frequency is the number of pressure the sound amplitudes, averaging the discussion of the ways that components waves that pass by a reference point per squares, and then taking the square root of the specified activity may impact unit of time and is measured in hertz of the average (Urick, 1983). Root mean marine mammals and their habitat. The (Hz) or cycles per second. Wavelength is square accounts for both positive and Estimated Take by Incidental the distance between two peaks or negative values; squaring the pressures
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makes all values positive so that they main source of naturally occurring Details of source types are described in may be accounted for in the summation ambient sound for frequencies between the following text. of pressure levels (Hastings and Popper, 200 Hz and 50 kHz (Mitson, 1995). In Sounds are often considered to fall 2005). This measurement is often used general, ambient sound levels tend to into one of two general types: Pulsed in the context of discussing behavioral increase with increasing wind speed and non-pulsed (defined in the effects, in part because behavioral and wave height. Surf sound becomes following). The distinction between effects, which often result from auditory important near shore, with these two sound types is important cues, may be better expressed through measurements collected at a distance of because they have differing potential to averaged units than by peak pressures. 8.5 km from shore showing an increase cause physical effects, particularly with Sound exposure level (SEL; of 10 dB in the 100 to 700 Hz band represented as dB re 1 mPa2¥s) during heavy surf conditions; regard to hearing (e.g., Ward, 1997 in represents the total energy contained • Precipitation: Sound from rain and Southall et al., 2007). Please see within a pulse and considers both hail impacting the water surface can Southall et al. (2007) for an in-depth intensity and duration of exposure. Peak become an important component of total discussion of these concepts. sound pressure (also referred to as zero- sound at frequencies above 500 Hz, and Pulsed sound sources (e.g., airguns, to-peak sound pressure or 0-p) is the possibly down to 100 Hz during quiet explosions, gunshots, sonic booms, maximum instantaneous sound pressure times; impact pile driving) produce signals • measurable in the water at a specified Biological: Marine mammals can that are brief (typically considered to be distance from the source and is contribute significantly to ambient less than one second), broadband, atonal represented in the same units as the rms sound levels, as can some fish and transients (ANSI, 1986, 2005; Harris, sound pressure. Another common snapping shrimp. The frequency band 1998; NIOSH, 1998; ISO, 2003) and metric is peak-to-peak sound pressure for biological contributions is from occur either as isolated events or (pk-pk), which is the algebraic approximately 12 Hz to over 100 kHz; repeated in some succession. Pulsed difference between the peak positive and sounds are all characterized by a • Anthropogenic: Sources of ambient and peak negative sound pressures. relatively rapid rise from ambient sound related to human activity include Peak-to-peak pressure is typically pressure to a maximal pressure value approximately 6 dB higher than peak transportation (surface vessels), dredging and construction, oil and gas followed by a rapid decay period that pressure (Southall et al., 2007). may include a period of diminishing, When underwater objects vibrate or drilling and production, seismic activity occurs, sound-pressure waves surveys, sonar, explosions, and ocean oscillating maximal and minimal are created. These waves alternately acoustic studies. Vessel noise typically pressures, and generally have an compress and decompress the water as dominates the total ambient sound for increased capacity to induce physical the sound wave travels. Underwater frequencies between 20 and 300 Hz. In injury as compared with sounds that sound waves radiate in a manner similar general, the frequencies of lack these features. to ripples on the surface of a pond and anthropogenic sounds are below 1 kHz Non-pulsed sounds can be tonal, may be either directed in a beam or and, if higher frequency sound levels narrowband, or broadband, brief or beams or may radiate in all directions are created, they attenuate rapidly. prolonged, and may be either (omnidirectional sources), as is the case Sound from identifiable anthropogenic continuous or non-continuous (ANSI, for pulses produced by the airgun arrays sources other than the activity of 1995; NIOSH, 1998). Some of these non- considered here. The compressions and interest (e.g., a passing vessel) is pulsed sounds can be transient signals decompressions associated with sound sometimes termed background sound, as of short duration but without the waves are detected as changes in opposed to ambient sound. essential properties of pulses (e.g., rapid pressure by aquatic life and man-made The sum of the various natural and rise time). Examples of non-pulsed sound receptors such as hydrophones. anthropogenic sound sources at any sounds include those produced by Even in the absence of sound from the given location and time—which vessels, aircraft, machinery operations specified activity, the underwater comprise ‘‘ambient’’ or ‘‘background’’ such as drilling or dredging, vibratory environment is typically loud due to sound—depends not only on the source pile driving, and active sonar systems ambient sound. Ambient sound is levels (as determined by current (such as those used by the U.S. Navy). defined as environmental background weather conditions and levels of The duration of such sounds, as biological and human activity) but also sound levels lacking a single source or received at a distance, can be greatly on the ability of sound to propagate point (Richardson et al., 1995), and the extended in a highly reverberant through the environment. In turn, sound sound level of a region is defined by the environment. total acoustical energy being generated propagation is dependent on the by known and unknown sources. These spatially and temporally varying Airgun arrays produce pulsed signals sources may include physical (e.g., properties of the water column and sea with energy in a frequency range from wind and waves, earthquakes, ice, floor, and is frequency-dependent. As a about 10–2,000 Hz, with most energy atmospheric sound), biological (e.g., result of the dependence on a large radiated at frequencies below 200 Hz. sounds produced by marine mammals, number of varying factors, ambient The amplitude of the acoustic wave fish, and invertebrates), and sound levels can be expected to vary emitted from the source is equal in all anthropogenic (e.g., vessels, dredging, widely over both coarse and fine spatial directions (i.e., omnidirectional), but construction) sound. A number of and temporal scales. Sound levels at a airgun arrays do possess some sources contribute to ambient sound, given frequency and location can vary directionality due to different phase including the following (Richardson et by 10–20 dB from day to day delays between guns in different al., 1995): (Richardson et al., 1995). The result is directions. Airgun arrays are typically • Wind and waves: The complex that, depending on the source type and tuned to maximize functionality for data interactions between wind and water its intensity, sound from a given activity acquisition purposes, meaning that surface, including processes such as may be a negligible addition to the local sound transmitted in horizontal breaking waves and wave-induced environment or could form a distinctive directions and at higher frequencies is bubble oscillations and cavitation, are a signal that may affect marine mammals. minimized to the extent possible.
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Acoustic Effects ability of an animal to detect a signal of data for cetaceans but such relationships Here, we discuss the effects of active interest that is above the absolute are assumed to be similar to those in acoustic sources on marine mammals. hearing threshold) may occur; the humans and other terrestrial mammals. Potential Effects of Underwater masking zone may be highly variable in PTS typically occurs at exposure levels Sound—Please refer to the information size. at least several dBs above (a 40-dB given previously (‘‘Description of Active We describe the more severe effects of threshold shift approximates PTS onset; Acoustic Sources’’) regarding sound, certain non-auditory physical or e.g., Kryter et al., 1966; Miller, 1974) characteristics of sound types, and physiological effects only briefly as we that inducing mild TTS (a 6-dB metrics used in this document. Note do not expect that use of airgun arrays threshold shift approximates TTS onset; that, in the following discussion, we are reasonably likely to result in such e.g., Southall et al. 2007). Based on data refer in many cases to a review article effects (see below for further from terrestrial mammals, a concerning studies of noise-induced discussion). Potential effects from precautionary assumption is that the impulsive sound sources can range in hearing loss conducted from 1996–2015 PTS thresholds for impulse sounds severity from effects such as behavioral (i.e., Finneran, 2015). For study-specific (such as airgun pulses as received close disturbance or tactile perception to citations, please see that work. to the source) are at least 6 dB higher physical discomfort, slight injury of the Anthropogenic sounds cover a broad than the TTS threshold on a peak- internal organs and the auditory system, range of frequencies and sound levels pressure basis and PTS cumulative or mortality (Yelverton et al., 1973). and can have a range of highly variable sound exposure level thresholds are 15 Non-auditory physiological effects or impacts on marine life, from none or to 20 dB higher than TTS cumulative injuries that theoretically might occur in sound exposure level thresholds minor to potentially severe responses, marine mammals exposed to high level (Southall et al., 2007). Given the higher depending on received levels, duration underwater sound or as a secondary level of sound or longer exposure of exposure, behavioral context, and effect of extreme behavioral reactions duration necessary to cause PTS as various other factors. The potential (e.g., change in dive profile as a result compared with TTS, it is considerably effects of underwater sound from active of an avoidance reaction) caused by less likely that PTS could occur. acoustic sources can potentially result exposure to sound include neurological For mid-frequency cetaceans in in one or more of the following: effects, bubble formation, resonance particular, potential protective Temporary or permanent hearing effects, and other types of organ or mechanisms may help limit onset of impairment, non-auditory physical or tissue damage (Cox et al., 2006; Southall TTS or prevent onset of PTS. Such physiological effects, behavioral et al., 2007; Zimmer and Tyack, 2007; mechanisms include dampening of disturbance, stress, and masking Tal et al., 2015). The survey activities hearing, auditory adaptation, or (Richardson et al., 1995; Gordon et al., considered here do not involve the use behavioral amelioration (e.g., Nachtigall 2004; Nowacek et al., 2007; Southall et of devices such as explosives or mid- and Supin, 2013; Miller et al., 2012; al., 2007; Go¨tz et al., 2009). The degree frequency tactical sonar that are Finneran et al., 2015; Popov et al., of effect is intrinsically related to the associated with these types of effects. 2016). signal characteristics, received level, Threshold Shift—Marine mammals TTS is the mildest form of hearing distance from the source, and duration exposed to high-intensity sound, or to impairment that can occur during of the sound exposure. In general, lower-intensity sound for prolonged exposure to sound (Kryter, 1985). While sudden, high level sounds can cause periods, can experience hearing experiencing TTS, the hearing threshold hearing loss, as can longer exposures to threshold shift (TS), which is the loss of rises, and a sound must be at a higher lower level sounds. Temporary or hearing sensitivity at certain frequency level in order to be heard. In terrestrial permanent loss of hearing will occur ranges (Finneran, 2015). TS can be and marine mammals, TTS can last from almost exclusively for noise within an permanent (PTS), in which case the loss minutes or hours to days (in cases of animal’s hearing range. We first describe of hearing sensitivity is not fully strong TTS). In many cases, hearing specific manifestations of acoustic recoverable, or temporary (TTS), in sensitivity recovers rapidly after effects before providing discussion which case the animal’s hearing exposure to the sound ends. Few data specific to the use of airgun arrays. threshold would recover over time on sound levels and durations necessary Richardson et al. (1995) described (Southall et al., 2007). Repeated sound to elicit mild TTS have been obtained zones of increasing intensity of effect exposure that leads to TTS could cause for marine mammals. that might be expected to occur, in PTS. In severe cases of PTS, there can Marine mammal hearing plays a relation to distance from a source and be total or partial deafness, while in critical role in communication with assuming that the signal is within an most cases the animal has an impaired conspecifics, and interpretation of animal’s hearing range. First is the area ability to hear sounds in specific environmental cues for purposes such within which the acoustic signal would frequency ranges (Kryter, 1985). as predator avoidance and prey capture. be audible (potentially perceived) to the When PTS occurs, there is physical Depending on the degree (elevation of animal, but not strong enough to elicit damage to the sound receptors in the ear threshold in dB), duration (i.e., recovery any overt behavioral or physiological (i.e., tissue damage), whereas TTS time), and frequency range of TTS, and response. The next zone corresponds represents primarily tissue fatigue and the context in which it is experienced, with the area where the signal is audible is reversible (Southall et al., 2007). In TTS can have effects on marine to the animal and of sufficient intensity addition, other investigators have mammals ranging from discountable to to elicit behavioral or physiological suggested that TTS is within the normal serious. For example, a marine mammal responsiveness. Third is a zone within bounds of physiological variability and may be able to readily compensate for which, for signals of high intensity, the tolerance and does not represent a brief, relatively small amount of TTS received level is sufficient to potentially physical injury (e.g., Ward, 1997). in a non-critical frequency range that cause discomfort or tissue damage to Therefore, NMFS does not consider TTS occurs during a time where ambient auditory or other systems. Overlaying to constitute auditory injury. noise is lower and there are not as many these zones to a certain extent is the Relationships between TTS and PTS competing sounds present. area within which masking (i.e., when a thresholds have not been studied in Alternatively, a larger amount and sound interferes with or masks the marine mammals, and there is no PTS longer duration of TTS sustained during
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time when communication is critical for Behavioral Effects—Behavioral loud pulsed sound sources (typically successful mother/calf interactions disturbance may include a variety of seismic airguns or acoustic harassment could have more serious impacts. effects, including subtle changes in devices) have been varied but often Finneran et al. (2015) measured behavior (e.g., minor or brief avoidance consist of avoidance behavior or other hearing thresholds in three captive of an area or changes in vocalizations), behavioral changes suggesting bottlenose dolphins before and after more conspicuous changes in similar discomfort (Morton and Symonds, 2002; exposure to ten pulses produced by a behavioral activities, and more see also Richardson et al., 1995; seismic airgun in order to study TTS sustained and/or potentially severe Nowacek et al., 2007). However, many induced after exposure to multiple reactions, such as displacement from or delphinids approach acoustic source pulses. Exposures began at relatively abandonment of high-quality habitat. vessels with no apparent discomfort or low levels and gradually increased over Behavioral responses to sound are obvious behavioral change (e.g., a period of several months, with the highly variable and context-specific and Barkaszi et al., 2012). highest exposures at peak SPLs from any reactions depend on numerous Available studies show wide variation 196 to 210 dB and cumulative intrinsic and extrinsic factors (e.g., in response to underwater sound; (unweighted) SELs from 193–195 dB. species, state of maturity, experience, therefore, it is difficult to predict No substantial TTS was observed. In current activity, reproductive state, specifically how any given sound in a addition, behavioral reactions were auditory sensitivity, time of day), as particular instance might affect marine observed that indicated that animals can well as the interplay between factors mammals perceiving the signal. If a learn behaviors that effectively mitigate (e.g., Richardson et al., 1995; Wartzok et marine mammal does react briefly to an noise exposures (although exposure al., 2003; Southall et al., 2007, 2019; underwater sound by changing its patterns must be learned, which is less Weilgart, 2007; Archer et al., 2010). behavior or moving a small distance, the likely in wild animals than for the Behavioral reactions can vary not only impacts of the change are unlikely to be captive animals considered in this among individuals but also within an significant to the individual, let alone study). The authors note that the failure individual, depending on previous the stock or population. However, if a to induce more significant auditory experience with a sound source, sound source displaces marine effects likely due to the intermittent context, and numerous other factors mammals from an important feeding or nature of exposure, the relatively low (Ellison et al., 2012), and can vary breeding area for a prolonged period, peak pressure produced by the acoustic depending on characteristics associated impacts on individuals and populations source, and the low-frequency energy in with the sound source (e.g., whether it could be significant (e.g., Lusseau and airgun pulses as compared with the is moving or stationary, number of Bejder, 2007; Weilgart, 2007; NRC, 2005). However, there are broad frequency range of best sensitivity for sources, distance from the source). categories of potential response, which dolphins and other mid-frequency Please see Appendices B–C of Southall we describe in greater detail here, that cetaceans. et al. (2007) for a review of studies include alteration of dive behavior, Currently, TTS data only exist for four involving marine mammal behavioral responses to sound. alteration of foraging behavior, effects to species of cetaceans (bottlenose breathing, interference with or alteration dolphin, beluga whale, harbor porpoise, Habituation can occur when an of vocalization, avoidance, and flight. and Yangtze finless porpoise) exposed animal’s response to a stimulus wanes Changes in dive behavior can vary to a limited number of sound sources with repeated exposure, usually in the widely, and may consist of increased or (i.e., mostly tones and octave-band absence of unpleasant associated events decreased dive times and surface noise) in laboratory settings (Finneran, (Wartzok et al., 2003). Animals are most intervals as well as changes in the rates 2015). In general, harbor porpoises have likely to habituate to sounds that are of ascent and descent during a dive (e.g., a lower TTS onset than other measured predictable and unvarying. It is Frankel and Clark, 2000; Ng and Leung, cetacean species (Finneran, 2015). important to note that habituation is 2003; Nowacek et al., 2004; Goldbogen Additionally, the existing marine appropriately considered as a et al., 2013a, b). Variations in dive mammal TTS data come from a limited ‘‘progressive reduction in response to behavior may reflect interruptions in number of individuals within these stimuli that are perceived as neither biologically significant activities (e.g., species. There are no data available on aversive nor beneficial,’’ rather than as, foraging) or they may be of little noise-induced hearing loss for more generally, moderation in response biological significance. The impact of an mysticetes. to human disturbance (Bejder et al., alteration to dive behavior resulting Critical questions remain regarding 2009). The opposite process is from an acoustic exposure depends on the rate of TTS growth and recovery sensitization, when an unpleasant what the animal is doing at the time of after exposure to intermittent noise and experience leads to subsequent the exposure and the type and the effects of single and multiple pulses. responses, often in the form of magnitude of the response. Data at present are also insufficient to avoidance, at a lower level of exposure. Disruption of feeding behavior can be construct generalized models for As noted, behavioral state may affect the difficult to correlate with anthropogenic recovery and determine the time type of response. For example, animals sound exposure, so it is usually inferred necessary to treat subsequent exposures that are resting may show greater by observed displacement from known as independent events. More behavioral change in response to foraging areas, the appearance of information is needed on the disturbing sound levels than animals secondary indicators (e.g., bubble nets relationship between auditory evoked that are highly motivated to remain in or sediment plumes), or changes in dive potential and behavioral measures of an area for feeding (Richardson et al., behavior. As for other types of TTS for various stimuli. For summaries 1995; NRC, 2003; Wartzok et al., 2003). behavioral response, the frequency, of data on TTS in marine mammals or Controlled experiments with captive duration, and temporal pattern of signal for further discussion of TTS onset marine mammals have showed presentation, as well as differences in thresholds, please see Southall et al. pronounced behavioral reactions, species sensitivity, are likely (2007, 2019), Finneran and Jenkins including avoidance of loud sound contributing factors to differences in (2012), Finneran (2015), and NMFS sources (Ridgway et al., 1997). Observed response in any given circumstance (2018). responses of wild marine mammals to (e.g., Croll et al., 2001; Nowacek et al.;
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2004; Madsen et al., 2006; Yazvenko et response to anthropogenic noise can Seismic pulses at average received al., 2007). A determination of whether occur for any of these modes and may levels of 131 dB re 1 mPa2-s caused blue foraging disruptions incur fitness result from a need to compete with an whales to increase call production (Di consequences would require increase in background noise or may Iorio and Clark, 2010). In contrast, information on or estimates of the reflect increased vigilance or a startle McDonald et al. (1995) tracked a blue energetic requirements of the affected response. For example, in the presence whale with seafloor seismometers and individuals and the relationship of potentially masking signals, reported that it stopped vocalizing and between prey availability, foraging effort humpback whales and killer whales changed its travel direction at a range of and success, and the life history stage of have been observed to increase the 10 km from the acoustic source vessel the animal. length of their songs or amplitude of (estimated received level 143 dB pk-pk). Visual tracking, passive acoustic calls (Miller et al., 2000; Fristrup et al., Blackwell et al. (2013) found that monitoring, and movement recording 2003; Foote et al., 2004; Holt et al., bowhead whale call rates dropped tags were used to quantify sperm whale 2012), while right whales have been significantly at onset of airgun use at behavior prior to, during, and following observed to shift the frequency content sites with a median distance of 41–45 exposure to airgun arrays at received of their calls upward while reducing the km from the survey. Blackwell et al. levels in the range 140–160 dB at rate of calling in areas of increased (2015) expanded this analysis to show distances of 7–13 km, following a phase- anthropogenic noise (Parks et al., 2007). that whales actually increased calling in of sound intensity and full array In some cases, animals may cease sound rates as soon as airgun signals were exposures at 1–13 km (Madsen et al., production during production of detectable before ultimately decreasing 2006; Miller et al., 2009). Sperm whales aversive signals (Bowles et al., 1994). calling rates at higher received levels did not exhibit horizontal avoidance Cerchio et al. (2014) used passive (i.e., 10-minute SELcum of ∼127 dB). behavior at the surface. However, acoustic monitoring to document the Overall, these results suggest that foraging behavior may have been presence of singing humpback whales bowhead whales may adjust their vocal affected. The sperm whales exhibited 19 off the coast of northern Angola and to output in an effort to compensate for percent less vocal (buzz) rate during full opportunistically test for the effect of noise before ceasing vocalization effort exposure relative to post exposure, and seismic survey activity on the number of and ultimately deflecting from the the whale that was approached most singing whales. Two recording units acoustic source (Blackwell et al., 2013, closely had an extended resting period were deployed between March and 2015). These studies demonstrate that and did not resume foraging until the December 2008 in the offshore even low levels of noise received far airguns had ceased firing. The environment; numbers of singers were from the source can induce changes in remaining whales continued to execute counted every hour. Generalized vocalization and/or behavior for foraging dives throughout exposure; Additive Mixed Models were used to mysticetes. however, swimming movements during assess the effect of survey day Avoidance is the displacement of an foraging dives were 6 percent lower (seasonality), hour (diel variation), individual from an area or migration during exposure than control periods moon phase, and received levels of path as a result of the presence of a (Miller et al., 2009). These data raise noise (measured from a single pulse sound or other stressors, and is one of concerns that seismic surveys may during each ten minute sampled period) the most obvious manifestations of impact foraging behavior in sperm on singer number. The number of disturbance in marine mammals whales, although more data are required singers significantly decreased with (Richardson et al., 1995). For example, to understand whether the differences increasing received level of noise, gray whales are known to change were due to exposure or natural suggesting that humpback whale direction—deflecting from customary variation in sperm whale behavior breeding activity was disrupted to some migratory paths—in order to avoid noise (Miller et al., 2009). extent by the survey activity. from seismic surveys (Malme et al., Variations in respiration naturally Castellote et al. (2012) reported 1984). Humpback whales showed vary with different behaviors and acoustic and behavioral changes by fin avoidance behavior in the presence of alterations to breathing rate as a whales in response to shipping and an active seismic array during function of acoustic exposure can be airgun noise. Acoustic features of fin observational studies and controlled expected to co-occur with other whale song notes recorded in the exposure experiments in western behavioral reactions, such as a flight Mediterranean Sea and northeast Australia (McCauley et al., 2000). response or an alteration in diving. Atlantic Ocean were compared for areas Avoidance may be short-term, with However, respiration rates in and of with different shipping noise levels and animals returning to the area once the themselves may be representative of traffic intensities and during a seismic noise has ceased (e.g., Bowles et al., annoyance or an acute stress response. airgun survey. During the first 72 h of 1994; Goold, 1996; Stone et al., 2000; Various studies have shown that the survey, a steady decrease in song Morton and Symonds, 2002; Gailey et respiration rates may either be received levels and bearings to singers al., 2007). Longer-term displacement is unaffected or could increase, depending indicated that whales moved away from possible, however, which may lead to on the species and signal characteristics, the acoustic source and out of the study changes in abundance or distribution again highlighting the importance in area. This displacement persisted for a patterns of the affected species in the understanding species differences in the time period well beyond the 10-day affected region if habituation to the tolerance of underwater noise when duration of seismic airgun activity, presence of the sound does not occur determining the potential for impacts providing evidence that fin whales may (e.g., Bejder et al., 2006; Teilmann et al., resulting from anthropogenic sound avoid an area for an extended period in 2006). exposure (e.g., Kastelein et al., 2001, the presence of increased noise. The Forney et al. (2017) detail the 2005, 2006; Gailey et al., 2007, 2016). authors hypothesize that fin whale potential effects of noise on marine Marine mammals vocalize for acoustic communication is modified to mammal populations with high site different purposes and across multiple compensate for increased background fidelity, including displacement and modes, such as whistling, echolocation noise and that a sensitization process auditory masking, noting that a lack of click production, calling, and singing. may play a role in the observed observed response does not imply Changes in vocalization behavior in temporary displacement. absence of fitness costs and that
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apparent tolerance of disturbance may attention (i.e., when a response consists pre-, during, and post-seismic survey have population-level impacts that are of increased vigilance, it may come at (Gailey et al., 2016). Behavioral state less obvious and difficult to document. the cost of decreased attention to other and water depth were the best ‘natural’ As we discuss in describing our critical behaviors such as foraging or predictors of whale movements and proposed mitigation later in this resting). These effects have generally not respiration and, after considering document, avoidance of overlap been demonstrated for marine natural variation, none of the response between disturbing noise and areas and/ mammals, but studies involving fish variables were significantly associated or times of particular importance for and terrestrial animals have shown that with seismic survey or vessel sounds. sensitive species may be critical to increased vigilance may substantially Stress Responses—An animal’s avoiding population-level impacts reduce feeding rates (e.g., Beauchamp perception of a threat may be sufficient because (particularly for animals with and Livoreil, 1997; Fritz et al., 2002; to trigger stress responses consisting of high site fidelity) there may be a strong Purser and Radford, 2011). In addition, some combination of behavioral motivation to remain in the area despite chronic disturbance can cause responses, autonomic nervous system negative impacts. Forney et al. (2017) population declines through reduction responses, neuroendocrine responses, or state that, for these animals, remaining of fitness (e.g., decline in body immune responses (e.g., Seyle, 1950; in a disturbed area may reflect a lack of condition) and subsequent reduction in Moberg, 2000). In many cases, an alternatives rather than a lack of effects. reproductive success, survival, or both animal’s first and sometimes most The authors discuss several case (e.g., Harrington and Veitch, 1992; Daan economical (in terms of energetic costs) studies, including western Pacific gray et al., 1996; Bradshaw et al., 1998). response is behavioral avoidance of the whales, which are a small population of However, Ridgway et al. (2006) reported potential stressor. Autonomic nervous mysticetes believed to be adversely that increased vigilance in bottlenose system responses to stress typically affected by oil and gas development off dolphins exposed to sound over a five- involve changes in heart rate, blood Sakhalin Island, Russia (Weller et al., day period did not cause any sleep pressure, and gastrointestinal activity. 2002; Reeves et al., 2005). Western gray deprivation or stress effects. These responses have a relatively short whales display a high degree of Many animals perform vital functions, duration and may or may not have a interannual site fidelity to the area for such as feeding, resting, traveling, and significant long-term effect on an foraging purposes, and observations in socializing, on a diel cycle (24-hour animal’s fitness. the area during airgun surveys has cycle). Disruption of such functions Neuroendocrine stress responses often shown the potential for harm caused by resulting from reactions to stressors involve the hypothalamus-pituitary- displacement from such an important such as sound exposure are more likely adrenal system. Virtually all area (Weller et al., 2006; Johnson et al., to be significant if they last more than neuroendocrine functions that are 2007). Forney et al. (2017) also discuss one diel cycle or recur on subsequent affected by stress—including immune beaked whales, noting that days (Southall et al., 2007). competence, reproduction, metabolism, anthropogenic effects in areas where Consequently, a behavioral response and behavior—are regulated by pituitary they are resident could cause severe lasting less than one day and not hormones. Stress-induced changes in biological consequences, in part because recurring on subsequent days is not the secretion of pituitary hormones have displacement may adversely affect considered particularly severe unless it been implicated in failed reproduction, foraging rates, reproduction, or health, could directly affect reproduction or altered metabolism, reduced immune while an overriding instinct to remain survival (Southall et al., 2007). Note that competence, and behavioral disturbance could lead to more severe acute effects. there is a difference between multi-day (e.g., Moberg, 1987; Blecha, 2000). A flight response is a dramatic change substantive behavioral reactions and Increases in the circulation of in normal movement to a directed and multi-day anthropogenic activities. For glucocorticoids are also equated with rapid movement away from the example, just because an activity lasts stress (Romano et al., 2004). perceived location of a sound source. for multiple days does not necessarily The primary distinction between The flight response differs from other mean that individual animals are either stress (which is adaptive and does not avoidance responses in the intensity of exposed to activity-related stressors for normally place an animal at risk) and the response (e.g., directed movement, multiple days or, further, exposed in a ‘‘distress’’ is the cost of the response. rate of travel). Relatively little manner resulting in sustained multi-day During a stress response, an animal uses information on flight responses of substantive behavioral responses. glycogen stores that can be quickly marine mammals to anthropogenic Stone (2015) reported data from at-sea replenished once the stress is alleviated. signals exist, although observations of observations during 1,196 seismic In such circumstances, the cost of the flight responses to the presence of surveys from 1994 to 2010. When large stress response would not pose serious predators have occurred (Connor and arrays of airguns (considered to be 500 fitness consequences. However, when Heithaus, 1996). The result of a flight in3 or more) were firing, lateral an animal does not have sufficient response could range from brief, displacement, more localized energy reserves to satisfy the energetic temporary exertion and displacement avoidance, or other changes in behavior costs of a stress response, energy from the area where the signal provokes were evident for most odontocetes. resources must be diverted from other flight to, in extreme cases, marine However, significant responses to large functions. This state of distress will last mammal strandings (Evans and arrays were found only for the minke until the animal replenishes its England, 2001). However, it should be whale and fin whale. Behavioral energetic reserves sufficiently to restore noted that response to a perceived responses observed included changes in normal function. predator does not necessarily invoke swimming or surfacing behavior, with Relationships between these flight (Ford and Reeves, 2008), and indications that cetaceans remained physiological mechanisms, animal whether individuals are solitary or in near the water surface at these times. behavior, and the costs of stress groups may influence the response. Cetaceans were recorded as feeding less responses are well-studied through Behavioral disturbance can also often when large arrays were active. controlled experiments and for both impact marine mammals in more subtle Behavioral observations of gray whales laboratory and free-ranging animals ways. Increased vigilance may result in during a seismic survey monitored (e.g., Holberton et al., 1996; Hood et al., costs related to diversion of focus and whale movements and respirations 1998; Jessop et al., 2003; Krausman et
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al., 2004; Lankford et al., 2005). Stress not considered a physiological effect, and Gagnon 2006), which could mask responses due to exposure to but rather a potential behavioral effect. calls. Situations with prolonged strong anthropogenic sounds or other stressors The frequency range of the potentially reverberation are infrequent. However, and their effects on marine mammals masking sound is important in it is common for reverberation to cause have also been reviewed (Fair and determining any potential behavioral some lesser degree of elevation of the Becker, 2000; Romano et al., 2002b) impacts. For example, low-frequency background level between airgun pulses and, more rarely, studied in wild signals may have less effect on high- (e.g., Gedamke 2011; Guerra et al. 2011, populations (e.g., Romano et al., 2002a). frequency echolocation sounds 2016; Klinck et al. 2012; Guan et al. For example, Rolland et al. (2012) found produced by odontocetes but are more 2015), and this weaker reverberation that noise reduction from reduced ship likely to affect detection of mysticete presumably reduces the detection range communication calls and other traffic in the Bay of Fundy was of calls and other natural sounds to potentially important natural sounds associated with decreased stress in some degree. Guerra et al. (2016) North Atlantic right whales. These and such as those produced by surf and reported that ambient noise levels other studies lead to a reasonable some prey species. The masking of between seismic pulses were elevated as expectation that some marine mammals communication signals by will experience physiological stress anthropogenic noise may be considered a result of reverberation at ranges of 50 responses upon exposure to acoustic as a reduction in the communication km from the seismic source. Based on stressors and that it is possible that space of animals (e.g., Clark et al., 2009) measurements in deep water of the some of these would be classified as and may result in energetic or other Southern Ocean, Gedamke (2011) ‘‘distress.’’ In addition, any animal costs as animals change their estimated that the slight elevation of experiencing TTS would likely also vocalization behavior (e.g., Miller et al., background levels during intervals experience stress responses (NRC, 2000; Foote et al., 2004; Parks et al., between pulses reduced blue and fin 2003). 2007; Di Iorio and Clark, 2009; Holt et whale communication space by as much Auditory Masking—Sound can al., 2009). Masking can be reduced in as 36–51 percent when a seismic survey disrupt behavior through masking, or situations where the signal and noise was operating 450–2,800 km away. interfering with, an animal’s ability to come from different directions Based on preliminary modeling, detect, recognize, or discriminate (Richardson et al., 1995), through Wittekind et al. (2016) reported that between acoustic signals of interest (e.g., amplitude modulation of the signal, or airgun sounds could reduce the those used for intraspecific through other compensatory behaviors communication range of blue and fin communication and social interactions, (Houser and Moore, 2014). Masking can whales 2000 km from the seismic prey detection, predator avoidance, be tested directly in captive species source. Nieukirk et al. (2012) and navigation) (Richardson et al., 1995; (e.g., Erbe, 2008), but in wild Blackwell et al. (2013) noted the Erbe et al., 2016). Masking occurs when populations it must be either modeled potential for masking effects from the receipt of a sound is interfered with or inferred from evidence of masking seismic surveys on large whales. by another coincident sound at similar compensation. There are few studies frequencies and at similar or higher addressing real-world masking sounds Some baleen and toothed whales are intensity, and may occur whether the likely to be experienced by marine known to continue calling in the sound is natural (e.g., snapping shrimp, mammals in the wild (e.g., Branstetter et presence of seismic pulses, and their wind, waves, precipitation) or al., 2013). calls usually can be heard between the anthropogenic (e.g., shipping, sonar, Masking affects both senders and pulses (e.g., Nieukirk et al. 2012; Thode seismic exploration) in origin. The receivers of acoustic signals and can et al. 2012; Bro¨ker et al. 2013; Sciacca ability of a noise source to mask potentially have long-term chronic et al. 2016). As noted above, Cerchio et biologically important sounds depends effects on marine mammals at the al. (2014) suggested that the breeding on the characteristics of both the noise population level as well as at the display of humpback whales off Angola source and the signal of interest (e.g., individual level. Low-frequency could be disrupted by seismic sounds, signal-to-noise ratio, temporal ambient sound levels have increased by as singing activity declined with variability, direction), in relation to each as much as 20 dB (more than three times increasing received levels. In addition, other and to an animal’s hearing in terms of SPL) in the world’s ocean some cetaceans are known to change abilities (e.g., sensitivity, frequency from pre-industrial periods, with most their calling rates, shift their peak range, critical ratios, frequency of the increase from distant commercial frequencies, or otherwise modify their discrimination, directional shipping (Hildebrand, 2009). All vocal behavior in response to airgun discrimination, age or TTS hearing loss), anthropogenic sound sources, but sounds (e.g., Di Iorio and Clark 2010; and existing ambient noise and especially chronic and lower-frequency Castellote et al. 2012; Blackwell et al. signals (e.g., from vessel traffic), propagation conditions. 2013, 2015). The hearing systems of Under certain circumstances, marine contribute to elevated ambient sound baleen whales are undoubtedly more mammals experiencing significant levels, thus intensifying masking. masking could also be impaired from Masking effects of pulsed sounds sensitive to low-frequency sounds than maximizing their performance fitness in (even from large arrays of airguns) on are the ears of the small odontocetes survival and reproduction. Therefore, marine mammal calls and other natural that have been studied directly (e.g., when the coincident (masking) sound is sounds are expected to be limited, MacGillivray et al. 2014). The sounds man-made, it may be considered although there are few specific data on important to small odontocetes are harassment when disrupting or altering this. Because of the intermittent nature predominantly at much higher critical behaviors. It is important to and low duty cycle of seismic pulses, frequencies than are the dominant distinguish TTS and PTS, which persist animals can emit and receive sounds in components of airgun sounds, thus after the sound exposure, from masking, the relatively quiet intervals between limiting the potential for masking. In which occurs during the sound pulses. However, in exceptional general, masking effects of seismic exposure. Because masking (without situations, reverberation occurs for pulses are expected to be minor, given resulting in TS) is not associated with much or all of the interval between the normally intermittent nature of abnormal physiological function, it is pulses (e.g., Simard et al. 2005; Clark seismic pulses.
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Ship Noise mammals. A negative correlation approach vessels (e.g., Anderwald et al. Vessel noise from the Langseth could between the presence of some cetacean 2013). Some dolphin species approach affect marine animals in the proposed species and the number of vessels in an moving vessels to ride the bow or stern survey areas. Houghton et al. (2015) area has been demonstrated by several waves (Williams et al. 1992). Pirotta et proposed that vessel speed is the most studies (e.g., Campana et al. 2015; al. (2015) noted that the physical important predictor of received noise Culloch et al. 2016). presence of vessels, not just ship noise, levels, and Putland et al. (2017) also Southern Resident killer whales often disturbed the foraging activity of reported reduced sound levels with forage in the company of whale watch bottlenose dolphins. Sightings of striped decreased vessel speed. Sounds boats in the waters around the San Juan dolphin, Risso’s dolphin, sperm whale, produced by large vessels generally Islands, Washington. These observed and Cuvier’s beaked whale in the behavioral changes have included faster dominate ambient noise at frequencies western Mediterranean were negatively swimming speeds (Williams et al., from 20 to 300 Hz (Richardson et al. correlated with the number of vessels in 2002b), less directed swimming paths 1995). However, some energy is also the area (Campana et al. 2015). (Williams et al., 2002b; Bain et al., 2006; There are few data on the behavioral produced at higher frequencies Williams et al., 2009a), and less time reactions of beaked whales to vessel (Hermannsen et al. 2014); low levels of foraging (Bain et al., 2006; Williams et noise, though they seem to avoid high-frequency sound from vessels has al., 2006; Lusseau et al., 2009; Giles and approaching vessels (e.g., Wu¨ rsig et al. been shown to elicit responses in harbor Cendak 2010; Senigaglia et al., 2016). 1998) or dive for an extended period porpoise (Dyndo et al. 2015). Increased Vessels in the path of the whales can when approached by a vessel (e.g., levels of ship noise have been shown to also interfere with important social Kasuya 1986). Based on a single affect foraging by porpoise (Teilmann et behaviors such as prey sharing (Ford observation, Aguilar Soto et al. (2006) al. 2015; Wisniewska et al. 2018); and Ellis 2006) or nursing (Kriete 2007). suggest foraging efficiency of Cuvier’s Wisniewska et al. (2018) suggest that a Williams et al. (2006) found that with beaked whales may be reduced by close decrease in foraging success could have the disruption of feeding behavior that approach of vessels. long-term fitness consequences. has been observed in Northern Resident Sounds emitted by the Langseth are Ship noise, through masking, can killer whales, it is estimated that the low frequency and continuous, but reduce the effective communication presence of vessels could result in an 18 would be widely dispersed in both distance of a marine mammal if the percent decrease in energy intake. space and time. Vessel traffic associated frequency of the sound source is close Baleen whales are thought to be more with the proposed survey is of low to that used by the animal, and if the sensitive to sound at these low density compared to traffic associated sound is present for a significant frequencies than are toothed whales with commercial shipping, industry fraction of time (e.g., Richardson et al. (e.g., MacGillivray et al. 2014), possibly support vessels, or commercial fishing 1995; Clark et al. 2009; Jensen et al. causing localized avoidance of the vessels, and would therefore be 2009; Gervaise et al. 2012; Hatch et al. proposed survey area during seismic expected to represent an insignificant 2012; Rice et al. 2014; Dunlop 2015; operations. Reactions of gray and incremental increase in the total amount Erbe et al. 2015; Jones et al. 2017; humpback whales to vessels have been of anthropogenic sound input to the Putland et al. 2017). In addition to the studied, and there is limited marine environment, and the effects of frequency and duration of the masking information available about the vessel noise described above are not sound, the strength, temporal pattern, reactions of right whales and rorquals expected to occur as a result of this and location of the introduced sound (fin, blue, and minke whales). Reactions survey. In summary, project vessel also play a role in the extent of the of humpback whales to boats are sounds would not be at levels expected masking (Branstetter et al. 2013, 2016; variable, ranging from approach to to cause anything more than possible Finneran and Branstetter 2013; Sills et avoidance (Payne 1978; Salden 1993). localized and temporary behavioral al. 2017). Branstetter et al. (2013) Baker et al. (1982, 1983) and Baker and changes in marine mammals, and would reported that time-domain metrics are Herman (1989) found humpbacks often not be expected to result in significant also important in describing and move away when vessels are within negative effects on individuals or at the predicting masking. In order to several kilometers. Humpbacks seem population level. In addition, in all compensate for increased ambient noise, less likely to react overtly when actively oceans of the world, large vessel traffic some cetaceans are known to increase feeding than when resting or engaged in is currently so prevalent that it is the source levels of their calls in the other activities (Krieger and Wing 1984, commonly considered a usual source of presence of elevated noise levels from 1986). Increased levels of ship noise ambient sound (NSF–USGS 2011). shipping, shift their peak frequencies, or have been shown to affect foraging by Ship Strike otherwise change their vocal behavior humpback whales (Blair et al. 2016). Fin (e.g., Parks et al. 2011, 2012, 2016a,b; whale sightings in the western Vessel collisions with marine Castellote et al. 2012; Melco´n et al. Mediterranean were negatively mammals, or ship strikes, can result in 2012; Azzara et al. 2013; Tyack and correlated with the number of vessels in death or serious injury of the animal. Janik 2013; Luı´s et al. 2014; Sairanen the area (Campana et al. 2015). Minke Wounds resulting from ship strike may 2014; Papale et al. 2015; Bittencourt et whales and gray seals have shown slight include massive trauma, hemorrhaging, al. 2016; Dahlheim and Castellote 2016; displacement in response to broken bones, or propeller lacerations Gospic´ and Picciulin 2016; Gridley et al. construction-related vessel traffic (Knowlton and Kraus, 2001). An animal 2016; Heiler et al. 2016; Martins et al. (Anderwald et al. 2013). at the surface may be struck directly by 2016; O’Brien et al. 2016; Tenessen and Many odontocetes show considerable a vessel, a surfacing animal may hit the Parks 2016). Harp seals did not increase tolerance of vessel traffic, although they bottom of a vessel, or an animal just their call frequencies in environments sometimes react at long distances if below the surface may be cut by a with increased low-frequency sounds confined by ice or shallow water, if vessel’s propeller. Superficial strikes (Terhune and Bosker 2016). Holt et al. previously harassed by vessels, or have may not kill or result in the death of the (2015) reported that changes in vocal had little or no recent exposure to ships animal. These interactions are typically modifications can have increased (Richardson et al. 1995). Dolphins of associated with large whales (e.g., fin energetic costs for individual marine many species tolerate and sometimes whales), which are occasionally found
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draped across the bulbous bow of large incidents were reported for geophysical MMPA is that ‘‘(A) a marine mammal is commercial ships upon arrival in port. survey vessels during that time period. dead and is (i) on a beach or shore of Although smaller cetaceans are more It is possible for ship strikes to occur the United States; or (ii) in waters under maneuverable in relation to large vessels while traveling at slow speeds. For the jurisdiction of the United States than are large whales, they may also be example, a hydrographic survey vessel (including any navigable waters); or (B) susceptible to strike. The severity of traveling at low speed (5.5 kn) while a marine mammal is alive and is (i) on injuries typically depends on the size conducting mapping surveys off the a beach or shore of the United States and speed of the vessel, with the central California coast struck and killed and is unable to return to the water; (ii) probability of death or serious injury a blue whale in 2009. The State of on a beach or shore of the United States increasing as vessel speed increases California determined that the whale and, although able to return to the (Knowlton and Kraus, 2001; Laist et al., had suddenly and unexpectedly water, is in need of apparent medical 2001; Vanderlaan and Taggart, 2007; surfaced beneath the hull, with the attention; or (iii) in the waters under the Conn and Silber, 2013). Impact forces result that the propeller severed the jurisdiction of the United States increase with speed, as does the whale’s vertebrae, and that this was an (including any navigable waters), but is probability of a strike at a given distance unavoidable event. This strike unable to return to its natural habitat (Silber et al., 2010; Gende et al., 2011). represents the only such incident in under its own power or without Pace and Silber (2005) also found that approximately 540,000 hours of similar assistance.’’ the probability of death or serious injury coastal mapping activity (p = 1.9 × 10¥6; Marine mammals strand for a variety increased rapidly with increasing vessel 95% CI = 0–5.5 × 10¥6; NMFS, 2013b). of reasons, such as infectious agents, speed. Specifically, the predicted In addition, a research vessel reported a biotoxicosis, starvation, fishery probability of serious injury or death fatal strike in 2011 of a dolphin in the interaction, ship strike, unusual increased from 45 to 75 percent as Atlantic, demonstrating that it is oceanographic or weather events, sound vessel speed increased from 10 to 14 kn, possible for strikes involving smaller exposure, or combinations of these and exceeded 90 percent at 17 kn. cetaceans to occur. In that case, the stressors sustained concurrently or in Higher speeds during collisions result in incident report indicated that an animal series. However, the cause or causes of greater force of impact, but higher apparently was struck by the vessel’s most strandings are unknown (Geraci et speeds also appear to increase the propeller as it was intentionally al., 1976; Eaton, 1979; Odell et al., 1980; chance of severe injuries or death swimming near the vessel. While Best, 1982). Numerous studies suggest through increased likelihood of indicative of the type of unusual events that the physiology, behavior, habitat collision by pulling whales toward the that cannot be ruled out, neither of these relationships, age, or condition of vessel (Clyne, 1999; Knowlton et al., instances represents a circumstance that cetaceans may cause them to strand or 1995). In a separate study, Vanderlaan would be considered reasonably might pre-dispose them to strand when and Taggart (2007) analyzed the foreseeable or that would be considered exposed to another phenomenon. These probability of lethal mortality of large preventable. suggestions are consistent with the whales at a given speed, showing that Although the likelihood of the vessel conclusions of numerous other studies the greatest rate of change in the striking a marine mammal is low, we that have demonstrated that probability of a lethal injury to a large require a robust ship strike avoidance combinations of dissimilar stressors whale as a function of vessel speed protocol (see ‘‘Proposed Mitigation’’), commonly combine to kill an animal or occurs between 8.6 and 15 kn. The which we believe eliminates any dramatically reduce its fitness, even chances of a lethal injury decline from foreseeable risk of ship strike during though one exposure without the other approximately 80 percent at 15 kn to transit. We anticipate that vessel does not produce the same result approximately 20 percent at 8.6 kn. At collisions involving a seismic data (Chroussos, 2000; Creel, 2005; DeVries speeds below 11.8 kn, the chances of acquisition vessel towing gear, while et al., 2003; Fair and Becker, 2000; Foley lethal injury drop below 50 percent, not impossible, represent unlikely, et al., 2001; Moberg, 2000; Relyea, while the probability asymptotically unpredictable events for which there are 2005a; 2005b, Romero, 2004; Sih et al., increases toward one hundred percent no preventive measures. Given the 2004). above 15 kn. required mitigation measures, the There is no conclusive evidence that The Langseth will travel at a speed of relatively slow speed of the vessel exposure to airgun noise results in 4.2 kn (7.8 km/h) while towing seismic towing gear, the presence of bridge crew behaviorally-mediated forms of injury. survey gear (LGL 2018). At this speed, watching for obstacles at all times Behaviorally-mediated injury (i.e., mass both the possibility of striking a marine (including marine mammals), and the stranding events) has been primarily mammal and the possibility of a strike presence of marine mammal observers, associated with beaked whales exposed resulting in serious injury or mortality we believe that the possibility of ship to mid-frequency active (MFA) naval are discountable. At average transit strike is discountable and, further, that sonar. Tactical sonar and the alerting speed, the probability of serious injury were a strike of a large whale to occur, stimulus used in Nowacek et al. (2004) or mortality resulting from a strike is it would be unlikely to result in serious are very different from the noise less than 50 percent. However, the injury or mortality. No incidental take produced by airguns. One should likelihood of a strike actually happening resulting from ship strike is anticipated, therefore not expect the same reaction to is again discountable. Ship strikes, as and this potential effect of the specified airgun noise as to these other sources. analyzed in the studies cited above, activity will not be discussed further in As explained below, military MFA generally involve commercial shipping, the following analysis. sonar is very different from airguns, and which is much more common in both Stranding—When a living or dead one should not assume that airguns will space and time than is geophysical marine mammal swims or floats onto cause the same effects as MFA sonar survey activity. Jensen and Silber (2004) shore and becomes ‘‘beached’’ or (including strandings). summarized ship strikes of large whales incapable of returning to sea, the event To understand why Navy MFA sonar worldwide from 1975–2003 and found is a ‘‘stranding’’ (Geraci et al., 1999; affects beaked whales differently than that most collisions occurred in the Perrin and Geraci, 2002; Geraci and airguns do, it is important to note the open ocean and involved large vessels Lounsbury, 2005; NMFS, 2007). The distinction between behavioral (e.g., commercial shipping). No such legal definition for a stranding under the sensitivity and susceptibility to auditory
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injury. To understand the potential for frequencies than airguns. Mid-frequency et al., 2009). As stated by Richardson et auditory injury in a particular marine cetacean hearing is generically thought al. (1995), ‘‘[. . .] most emitted [seismic mammal species in relation to a given to be best between 8.8 to 110 kHz, i.e., airgun] energy is at 10–120 Hz, but the acoustic signal, the frequency range the these cutoff values define the range pulses contain some energy up to 500– species is able to hear is critical, as well above and below which a species in the 1,000 Hz.’’ Tolstoy et al. (2009) as the species’ auditory sensitivity to group is assumed to have declining conducted empirical measurements, frequencies within that range. Current auditory sensitivity, until reaching demonstrating that sound energy levels data indicate that not all marine frequencies that cannot be heard associated with airguns were at least 20 mammal species have equal hearing (NMFS, 2018). However, beaked whale decibels (dB) lower at 1 kHz (considered capabilities across all frequencies and, hearing is likely best within a higher, ‘‘mid-frequency’’) compared to higher therefore, species are grouped into narrower range (20–80 kHz, with best energy levels associated with lower hearing groups with generalized hearing sensitivity around 40 kHz), based on a frequencies (below 300 Hz) (‘‘all but a ranges assigned on the basis of available few measurements of hearing in small fraction of the total energy being data (Southall et al., 2007, 2019). stranded beaked whales (Cook et al., concentrated in the 10–300 Hz range’’ Hearing ranges as well as auditory 2006; Finneran et al., 2009; Pacini et al., [Tolstoy et al., 2009]), and at higher sensitivity/susceptibility to frequencies 2011) and several studies of acoustic frequencies (e.g., 2.6–4 kHz), power within those ranges vary across the signals produced by beaked whales (e.g., might be less than 10 percent of the different groups. For example, in terms Frantzis et al., 2002; Johnson et al., peak power at 10 Hz (Yoder, 2002). of hearing range, the high-frequency 2004, 2006; Zimmer et al., 2005). While Energy levels measured by Tolstoy et al. cetaceans (e.g., Kogia spp.) have a precaution requires that the full range of (2009) were even lower at frequencies generalized hearing range of frequencies audibility be considered when assessing above 1 kHz. In addition, as sound between 275 Hz and 160 kHz, while risks associated with noise exposure propagates away from the source, it mid-frequency cetaceans—such as (Southall et al., 2007, 2019a2019), tends to lose higher-frequency dolphins and beaked whales—have a animals typically produce sound at components faster than low-frequency generalized hearing range between 150 frequencies where they hear best. More components (i.e., low-frequency sounds Hz to 160 kHz. Regarding auditory recently, Southall et al. (2019a2019) typically propagate longer distances susceptibility within the hearing range, suggested that certain species amongst than high-frequency sounds) (Diebold et while mid-frequency cetaceans and the historical mid-frequency hearing al., 2010). Although higher-frequency high-frequency cetaceans have roughly group (beaked whales, sperm whales, components of airgun signals have been similar hearing ranges, the high- and killer whales) are likely more recorded, it is typically in surface- frequency group is much more sensitive to lower frequencies within ducting conditions (e.g., DeRuiter et al., susceptible to noise-induced hearing the group’s generalized hearing range 2006; Madsen et al., 2006) or in shallow loss during sound exposure, i.e., these than are other species within the group water, where there are advantageous species have lower thresholds for these and state that the data for beaked whales propagation conditions for the higher effects than other hearing groups suggest sensitivity to approximately 5 frequency (but low-energy) components (NMFS, 2018). Referring to a species as kHz. However, this information is of the airgun signal (Hermannsen et al., behaviorally sensitive to noise simply consistent with the general conclusion 2015). This should not be of concern means that an animal of that species is that beaked whales (and other mid- because the likely behavioral reactions more likely to respond to lower received frequency cetaceans) are relatively of beaked whales that can result in acute levels of sound than an animal of insensitive to the frequencies where physical injury would result from noise another species that is considered less most energy of an airgun signal is found. exposure at depth (because of the behaviorally sensitive. So, while Military MFA sonar is typically potentially greater consequences of dolphin species and beaked whale considered to operate in the frequency severe behavioral reactions). In species—both in the mid-frequency range of approximately 3–14 kHz summary, the frequency content of cetacean hearing group—are assumed to (D’Amico et al., 2009), i.e., outside the airgun signals is such that beaked (generally) hear the same sounds range of likely best hearing for beaked whales will not be able to hear the equally well and be equally susceptible whales but within or close to the lower signals well (compared to MFA sonar), to noise-induced hearing loss (auditory bounds, whereas most energy in an especially at depth where we expect the injury), the best available information airgun signal is radiated at much lower consequences of noise exposure could indicates that a beaked whale is more frequencies, below 500 Hz (Dragoset, be more severe. likely to behaviorally respond to that 1990). Aside from frequency content, there sound at a lower received level It is important to distinguish between are other significant differences between compared to an animal from other mid- energy (loudness, measured in dB) and MFA sonar signals and the sounds frequency cetacean species that are less frequency (pitch, measured in Hz). In produced by airguns that minimize the behaviorally sensitive. This distinction considering the potential impacts of risk of severe behavioral reactions that is important because, while beaked mid-frequency components of airgun could lead to strandings or deaths at sea, whales are more likely to respond noise (1–10 kHz, where beaked whales e.g., significantly longer signal duration, behaviorally to sounds than are many can be expected to hear) on marine horizontal sound direction, typical fast other species (even at lower levels), they mammal hearing, one needs to account and unpredictable source movement. cannot hear the predominant, lower for the energy associated with these All of these characteristics of MFA frequency sounds from seismic airguns higher frequencies and determine what sonar tend towards greater potential to as well as sounds that have more energy energy is truly ‘‘significant.’’ Although cause severe behavioral or physiological at frequencies that beaked whales can there is mid-frequency energy reactions in exposed beaked whales that hear better (such as military MFA associated with airgun noise (as may contribute to stranding. Although sonar). expected from a broadband source), both sources are powerful, MFA sonar Navy MFA sonar affects beaked airgun sound is predominantly below 1 contains significantly greater energy in whales differently than airguns do kHz (Breitzke et al., 2008; the mid-frequency range, where beaked because it produces energy at different Tashmukhambetov et al., 2008; Tolstoy whales hear better. Short-duration, high
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energy pulses—such as those produced England, 2001). D’Amico et al. (2009) 6 ranking system, in which ‘‘6’’ by airguns—have greater potential to reviewed 126 beaked whale mass represented the most robust evidence cause damage to auditory structures stranding events over the period from connecting the event to the seismic (though this is unlikely for mid- 1950 (i.e., from the development of survey. As described above, D’Amico et frequency cetaceans, as explained later modern MFA sonar systems) through al. (2009) found that two events were in this document), but it is longer 2004. Of these, there were two events ranked ‘‘1’’ and ten events were ranked duration signals that have been where detailed information was ‘‘2’’ (i.e., 12 beaked whale stranding implicated in the vast majority of available on both the timing and events were found to be associated with beaked whale strandings. Faster, less location of the stranding and the MFA sonar use). In contrast, Castellote predictable movements in combination concurrent nearby naval activity, and Llorens (2016) found that none of with multiple source vessels are more including verification of active MFA the three beaked whale stranding events likely to elicit a severe, potentially anti- sonar usage, with no evidence for an achieved their highest ranks of 5 or 6. predator response. Of additional interest alternative cause of stranding. An Of the ten total events, none achieved in assessing the divergent characteristics additional ten events were at minimum the highest rank of 6. Two events were of MFA sonar and airgun signals and spatially and temporally coincident ranked as 5: One stranding in Peru their relative potential to cause with naval activity likely to have involving dolphins and porpoises and a stranding events or deaths at sea is the included MFA sonar use and, despite 2008 stranding in Madagascar. This similarity between the MFA sonar incomplete knowledge of timing and latter ranking can only broadly be signals and stereotyped calls of beaked location of the stranding or the naval associated with the survey itself, as whales’ primary predator: The killer activity in some cases, there was no opposed to use of seismic airguns. An whale (Zimmer and Tyack, 2007). evidence for an alternative cause of exhaustive investigation of this Although generic disturbance stimuli— stranding. The U.S. Navy has publicly stranding event, which did not involve as airgun noise may be considered in stated agreement that five such events beaked whales, concluded that use of a this case for beaked whales—may also since 1996 were associated in time and high-frequency mapping system (12-kHz trigger antipredator responses, stronger space with MFA sonar use, either by the multibeam echosounder) was the most responses should generally be expected U.S. Navy alone or in joint training plausible and likely initial behavioral when perceived risk is greater, as when exercises with the North Atlantic Treaty trigger of the event, which was likely the stimulus is confused for a known Organization. The U.S. Navy exacerbated by several site- and predator (Frid and Dill, 2002). In additionally noted that, as of 2017, a situation-specific secondary factors. The addition, because the source of the 2014 beaked whale stranding event in review panel found that seismic airguns perceived predator (i.e., MFA sonar) Crete coincident with naval exercises were used after the initial strandings will likely be closer to the whales was under review and had not yet been and animals entering a lagoon system, (because attenuation limits the range of determined to be linked to sonar that airgun use clearly had no role as an detection of mid-frequencies) and activities (U.S. Navy, 2017). Separately, initial trigger, and that there was no moving faster (because it will be on the International Council for the evidence that airgun use dissuaded faster-moving vessels), any antipredator Exploration of the Sea reported in 2005 animals from leaving (Southall et al., response would be more likely to be that, worldwide, there have been about 2013). However, one of these stranding severe (with greater perceived predation 50 known strandings, consisting mostly events, involving two Cuvier’s beaked risk, an animal is more likely to of beaked whales, with a potential whales, was contemporaneous with and disregard the cost of the response; Frid causal link to MFA sonar (ICES, 2005). reasonably associated spatially with a and Dill, 2002). Indeed, when analyzing In contrast, very few such associations 2002 seismic survey in the Gulf of movements of a beaked whale exposed have been made to seismic surveys, California conducted by L–DEO, as was to playback of killer whale predation despite widespread use of airguns as a the case for the 2007 Gulf of Cadiz calls, Allen et al. (2014) found that the geophysical sound source in numerous seismic survey discussed by Castellote whale engaged in a prolonged, directed locations around the world. and Llorens (also involving two Cuvier’s avoidance response, suggesting a A more recent review of possible beaked whales). However, neither event behavioral reaction that could pose a stranding associations with seismic was considered a ‘‘true atypical mass risk factor for stranding. Overall, these surveys (Castellote and Llorens, 2016) stranding’’ (according to Frantzis [1998]) significant differences between sound states plainly that, ‘‘[s]peculation as used in the analysis of Castellote and from MFA sonar and the mid-frequency concerning possible links between Llorens (2016). While we agree with the sound component from airguns and the seismic survey noise and cetacean authors that this lack of evidence should likelihood that MFA sonar signals will strandings is available for a dozen not be considered conclusive, it is clear be interpreted in error as a predator are events but without convincing causal that there is very little evidence that critical to understanding the likely risk evidence.’’ The authors’ ‘‘exhaustive’’ seismic surveys should be considered as of behaviorally-mediated injury due to search of available information found posing a significant risk of acute harm seismic surveys. ten events worth further investigation to beaked whales or other mid- The available scientific literature also via a ranking system representing a frequency cetaceans. We have provides a useful contrast between rough metric of the relative level of considered the potential for the airgun noise and MFA sonar regarding confidence offered by the data for proposed surveys to result in marine the likely risk of behaviorally-mediated inferences about the possible role of the mammal stranding and have concluded injury. There is strong evidence for the seismic survey in a given stranding that, based on the best available association of beaked whale stranding event. Only three of these events information, stranding is not expected events with MFA sonar use, and involved beaked whales. Whereas to occur. particularly detailed accounting of D’Amico et al. (2009) used a 1–5 Entanglement—Entanglements occur several events is available (e.g., a 2000 ranking system, in which ‘‘1’’ when marine mammals become Bahamas stranding event for which represented the most robust evidence wrapped around cables, lines, nets, or investigators concluded that MFA sonar connecting the event to MFA sonar use, other objects suspended in the water use was responsible; Evans and Castellote and Llorens (2016) used a 1– column. During seismic operations,
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numerous cables, lines, and other any effects of physical damage to habitat SPLs of sufficient strength have been objects primarily associated with the are expected to be minor and temporary. known to cause injury to fish and fish airgun array and hydrophone streamers Effects to Prey—Marine mammal prey mortality and, in some studies, fish will be towed behind the Langseth near varies by species, season, and location auditory systems have been damaged by the water‘s surface. However, we are not and, for some, is not well documented. airgun noise (McCauley et al., 2003; aware of any cases of entanglement of Fish react to sounds which are Popper et al., 2005; Song et al., 2008). mysticetes in seismic survey equipment. especially strong and/or intermittent However, in most fish species, hair cells No incidents of entanglement of marine low-frequency sounds, and behavioral in the ear continuously regenerate and mammals with seismic survey gear have responses such as flight or avoidance loss of auditory function likely is been documented in over 54,000 nmi are the most likely effects. However, the restored when damaged cells are (100,000 km) of previous NSF-funded reaction of fish to airguns depends on replaced with new cells. Halvorsen et al. seismic surveys when observers were the physiological state of the fish, past (2012b. (2012) showed that a TTS of 4– aboard (e.g., Smultea and Holst 2003; exposures, motivation (e.g., feeding, 6 dB was recoverable within 24 hours Haley and Koski 2004; Holst 2004; spawning, migration), and other for one species. Impacts would be most Smultea et al., 2004; Holst et al., 2005a; environmental factors. Several studies severe when the individual fish is close Haley and Ireland 2006; SIO and NSF have demonstrated that airgun sounds to the source and when the duration of 2006b; Hauser et al., 2008; Holst and might affect the distribution and exposure is long—both of which are Smultea 2008). Although entanglement behavior of some fishes, potentially conditions unlikely to occur for this with the streamer is theoretically impacting foraging opportunities or survey that is necessarily transient in possible, it has not been documented increasing energetic costs (e.g., Fewtrell any given location and likely result in during tens of thousands of miles of and McCauley, 2012; Pearson et al., brief, infrequent noise exposure to prey NSF-sponsored seismic cruises or, to 1992; Skalski et al., 1992; Santulli et al., species in any given area. For this our knowledge, during hundreds of 1999; Paxton et al., 2017), though the survey, the sound source is constantly thousands of miles of industrial seismic bulk of studies indicate no or slight moving, and most fish would likely cruises. Entanglement in OBSs and reaction to noise (e.g., Miller and avoid the sound source prior to receiving sound of sufficient intensity to OBNs is also not expected to occur. Cripps, 2013; Dalen and Knutsen, 1987; cause physiological or anatomical There are a relative few deployed Pena et al., 2013; Chapman and damage. In addition, ramp-up may devices, and no interaction between Hawkins, 1969; Wardle et al., 2001; Sara allow certain fish species the marine mammals and any such device et al., 2007; Jorgenson and Gyselman, opportunity to move further away from has been recorded during prior NSF 2009; Blaxter et al., 1981; Cott et al., surveys using the devices. There are no the sound source. 2012; Boeger et al., 2006), and that, most A recent comprehensive review meaningful entanglement risks posed by commonly, while there are likely to be the proposed survey, and entanglement (Carroll et al., 2017) found that results impacts to fish as a result of noise from are mixed as to the effects of airgun risks are not discussed further in this nearby airguns, such effects will be document. noise on the prey of marine mammals. temporary. For example, investigators While some studies suggest a change in Anticipated Effects on Marine Mammal reported significant, short-term declines prey distribution and/or a reduction in Habitat in commercial fishing catch rate of prey abundance following the use of gadid fishes during and for up to five seismic airguns, others suggest no Physical Disturbance—Sources of days after seismic survey operations, but effects or even positive effects in prey seafloor disturbance related to the catch rate subsequently returned to abundance. As one specific example, geophysical surveys that may impact normal (Engas et al., 1996; Engas and Paxton et al. (2017), which describes marine mammal habitat include Lokkeborg, 2002). Other studies have findings related to the effects of a 2014 placement of anchors, nodes, cables, reported similar findings (Hassel et al., seismic survey on a reef off of North sensors, or other equipment on or in the 2004). Skalski et al. (1992) also found a Carolina, showed a 78 percent decrease seafloor for various activities. reduction in catch rates—for rockfish in observed nighttime abundance for Equipment deployed on the seafloor has (Sebastes spp.) in response to controlled certain species. It is important to note the potential to cause direct physical airgun exposure—but suggested that the that the evening hours during which the damage and could affect bottom- mechanism underlying the decline was decline in fish habitat use was recorded associated fish resources. not dispersal but rather decreased (via video recording) occurred on the Placement of equipment, such as responsiveness to baited hooks same day that the seismic survey OBSs and OBNs, on the seafloor could associated with an alarm behavioral passed, and no subsequent data is damage areas of hard bottom where response. A companion study showed presented to support an inference that direct contact with the seafloor occurs that alarm and startle responses were the response was long-lasting. and could crush epifauna (organisms not sustained following the removal of Additionally, given that the finding is that live on the seafloor or surface of the sound source (Pearson et al., 1992). based on video images, the lack of other organisms). Damage to unknown Therefore, Skalski et al. (1992) recorded fish presence does not support or unseen hard bottom could occur, but suggested that the effects on fish a conclusion that the fish actually because of the small area covered by abundance may be transitory, primarily moved away from the site or suffered most bottom-founded equipment and occurring during the sound exposure any serious impairment. In summary, the patchy distribution of hard bottom itself. In some cases, effects on catch this particular study corroborates prior habitat, contact with unknown hard rates are variable within a study, which studies indicating that a startle response bottom is expected to be rare and may be more broadly representative of or short-term displacement should be impacts minor. Seafloor disturbance in temporary displacement of fish in expected. areas of soft bottom can cause loss of response to airgun noise (i.e., catch rates Available data suggest that small patches of epifauna and infauna may increase in some locations and cephalopods are capable of sensing the due to burial or crushing, and bottom- decrease in others) than any long-term particle motion of sounds and detect feeding fishes could be temporarily damage to the fish themselves (Streever low frequencies up to 1–1.5 kHz, displaced from feeding areas. Overall, et al., 2016). depending on the species, and so are
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likely to detect airgun noise (Kaifu et al., downstream of the survey areas, either about the underlying biological cause of 2008; Hu et al., 2009; Mooney et al., spatially or temporally. catch rate reduction (Carroll et al., 2010; Samson et al., 2014). Auditory Notably, a recently described study 2017). injuries (lesions occurring on the produced results inconsistent with In summary, impacts of the specified statocyst sensory hair cells) have been those of McCauley et al. (2017). activity on marine mammal prey species reported upon controlled exposure to Researchers conducted a field and will likely be limited to behavioral low-frequency sounds, suggesting that laboratory study to assess if exposure to responses, the majority of prey species cephalopods are particularly sensitive to airgun noise affects mortality, predator will be capable of moving out of the area low-frequency sound (Andre et al., escape response, or gene expression of during the survey, a rapid return to 2011; Sole et al., 2013). Behavioral the copepod Calanus finmarchicus normal recruitment, distribution, and responses, such as inking and jetting, (Fields et al., 2019). Immediate behavior for prey species is anticipated, have also been reported upon exposure mortality of copepods was significantly and, overall, impacts to prey species to low-frequency sound (McCauley et higher, relative to controls, at distances will be minor and temporary. Prey al., 2000b; Samson et al., 2014). Similar of 5 m or less from the airguns. species exposed to sound might move to fish, however, the transient nature of Mortality one week after the airgun blast away from the sound source, experience the survey leads to an expectation that was significantly higher in the copepods TTS, experience masking of biologically effects will be largely limited to placed 10 m from the airgun but was not relevant sounds, or show no obvious behavioral reactions and would occur as significantly different from the controls direct effects. Mortality from a result of brief, infrequent exposures. at a distance of 20 m from the airgun. decompression injuries is possible in With regard to potential impacts on The increase in mortality, relative to close proximity to a sound, but only zooplankton, McCauley et al. (2017) controls, did not exceed 30 percent at limited data on mortality in response to found that exposure to airgun noise any distance from the airgun. Moreover, airgun noise exposure are available resulted in significant depletion for the authors caution that even this higher (Hawkins et al., 2014). The most likely more than half the taxa present and that mortality in the immediate vicinity of impacts for most prey species in the there were two to three times more dead the airguns may be more pronounced survey area would be temporary zooplankton after airgun exposure than what would be observed in free- avoidance of the area. The proposed compared with controls for all taxa, swimming animals due to increased survey would move through an area within 1 km of the airguns. However, flow speed of fluid inside bags relatively quickly, limiting exposure to containing the experimental animals. the authors also stated that in order to multiple impulsive sounds. In all cases, There were no sublethal effects on the have significant impacts on r-selected sound levels would return to ambient escape performance or the sensory species (i.e., those with high growth once the survey moves out of the area threshold needed to initiate an escape rates and that produce many offspring) or ends and the noise source is shut response at any of the distances from such as plankton, the spatial or down and, when exposure to sound the airgun that were tested. Whereas temporal scale of impact must be large ends, behavioral and/or physiological McCauley et al. (2017) reported an SEL in comparison with the ecosystem responses are expected to end relatively of 156 dB at a range of 509–658 m, with concerned, and it is possible that the quickly (McCauley et al., 2000b). The zooplankton mortality observed at that findings reflect avoidance by duration of fish avoidance of a given range, Fields et al. (2019) reported an area after survey effort stops is zooplankton rather than mortality SEL of 186 dB at a range of 25 m, with (McCauley et al., 2017). In addition, the no reported mortality at that distance. unknown, but a rapid return to normal results of this study are inconsistent Regardless, if we assume a worst-case recruitment, distribution, and behavior with a large body of research that likelihood of severe impacts to is anticipated. While the potential for generally finds limited spatial and zooplankton within approximately 1 km disruption of spawning aggregations or temporal impacts to zooplankton as a of the acoustic source, the brief time to schools of important prey species can be result of exposure to airgun noise (e.g., regeneration of the potentially affected meaningful on a local scale, the mobile Dalen and Knutsen, 1987; Payne, 2004; zooplankton populations does not lead and temporary nature of this survey and Stanley et al., 2011). Most prior research us to expect any meaningful follow-on the likelihood of temporary avoidance on this topic, which has focused on effects to the prey base for marine behavior suggest that impacts would be relatively small spatial scales, has mammals. minor. showed minimal effects (e.g., A recent review article concluded Acoustic Habitat—Acoustic habitat is Kostyuchenko, 1973; Booman et al., that, while laboratory results provide the soundscape—which encompasses 1996; S#tre and Ona, 1996; Pearson et scientific evidence for high-intensity all of the sound present in a particular al., 1994; Bolle et al., 2012). and low-frequency sound-induced location and time, as a whole—when A modeling exercise was conducted physical trauma and other negative considered from the perspective of the as a follow-up to the McCauley et al. effects on some fish and invertebrates, animals experiencing it. Animals (2017) study (as recommended by the sound exposure scenarios in some produce sound for, or listen for sounds McCauley et al.), in order to assess the cases are not realistic to those produced by, conspecifics potential for impacts on ocean encountered by marine organisms (communication during feeding, mating, ecosystem dynamics and zooplankton during routine seismic operations and other social activities), other population dynamics (Richardson et al., (Carroll et al., 2017). The review finds animals (finding prey or avoiding 2017). Richardson et al. (2017) found that there has been no evidence of predators), and the physical that for copepods with a short life cycle reduced catch or abundance following environment (finding suitable habitats, in a high-energy environment, a full- seismic activities for invertebrates, and navigating). Together, sounds made by scale airgun survey would impact that there is conflicting evidence for fish animals and the geophysical copepod abundance up to three days with catch observed to increase, environment (e.g., produced by following the end of the survey, decrease, or remain the same. Further, earthquakes, lightning, wind, rain, suggesting that effects such as those where there is evidence for decreased waves) make up the natural found by McCauley et al. (2017) would catch rates in response to airgun noise, contributions to the total acoustics of a not be expected to be detectable these findings provide no information place. These acoustic conditions,
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termed acoustic habitat, are one which will inform both NMFS’ marine mammals would be reasonably attribute of an animal’s total habitat. consideration of ‘‘small numbers’’ and expected to be behaviorally harassed Soundscapes are also defined by, and the negligible impact determination. (equated to Level B harassment) or to acoustic habitat influenced by, the total Harassment is the only type of take incur PTS of some degree (equated to contribution of anthropogenic sound. expected to result from these activities. Level A harassment). This may include incidental emissions Except with respect to certain activities Level B Harassment for non-explosive from sources such as vessel traffic, or not pertinent here, section 3(18) of the may be intentionally introduced to the MMPA defines ‘‘harassment’’ as any act sources—Though significantly driven by marine environment for data acquisition of pursuit, torment, or annoyance, received level, the onset of behavioral purposes (as in the use of airgun arrays). which (i) has the potential to injure a disturbance from anthropogenic noise Anthropogenic noise varies widely in its marine mammal or marine mammal exposure is also informed to varying frequency content, duration, and stock in the wild (Level A harassment); degrees by other factors related to the loudness and these characteristics or (ii) has the potential to disturb a source (e.g., frequency, predictability, greatly influence the potential habitat- marine mammal or marine mammal duty cycle), the environment (e.g., mediated effects to marine mammals stock in the wild by causing disruption bathymetry), and the receiving animals (please see also the previous discussion of behavioral patterns, including, but (hearing, motivation, experience, on masking under ‘‘Acoustic Effects’’), not limited to, migration, breathing, demography, behavioral context) and which may range from local effects for nursing, breeding, feeding, or sheltering can be difficult to predict (Southall et brief periods of time to chronic effects (Level B harassment). al., 2007, Ellison et al., 2012). NMFS over large areas and for long durations. Authorized takes would primarily be uses a generalized acoustic threshold Depending on the extent of effects to by Level B harassment, as use of seismic based on received level to estimate the habitat, animals may alter their airguns has the potential to result in onset of behavioral harassment. NMFS communications signals (thereby disruption of behavioral patterns for predicts that marine mammals are likely potentially expending additional individual marine mammals. There is to be behaviorally harassed in a manner energy) or miss acoustic cues (either also some potential for auditory injury we consider Level B harassment when conspecific or adventitious). For more (Level A harassment) for mysticetes and exposed to underwater anthropogenic detail on these concepts see, e.g., Barber high frequency cetaceans (i.e., noise above received levels of 120 dB re et al., 2010; Pijanowski et al., 2011; porpoises, Kogia spp.). The proposed 1 mPa (rms) for continuous (e.g., Francis and Barber, 2013; Lillis et al., mitigation and monitoring measures are vibratory pile-driving, drilling) and 2014. expected to minimize the severity of above 160 dB re 1 mPa (rms) for non- Problems arising from a failure to such taking to the extent practicable. explosive impulsive (e.g., seismic detect cues are more likely to occur As described previously, no serious airguns) or intermittent (e.g., scientific when noise stimuli are chronic and injury or mortality is anticipated or sonar) sources. L–DEO’s proposed overlap with biologically relevant cues proposed to be authorized for this activity includes the use of impulsive activity. Below we describe how the used for communication, orientation, seismic sources. Therefore, the 160 dB and predator/prey detection (Francis take is estimated. re 1 mPa (rms) criteria is applicable for and Barber, 2013). Although the signals Generally speaking, we estimate take analysis of Level B harassment. emitted by seismic airgun arrays are by considering: (1) Acoustic thresholds generally low frequency, they would above which NMFS believes the best Level A harassment for non-explosive also likely be of short duration and available science indicates marine sources—NMFS’ Technical Guidance transient in any given area due to the mammals will be behaviorally harassed for Assessing the Effects of nature of these surveys. As described or incur some degree of permanent Anthropogenic Sound on Marine previously, exploratory surveys such as hearing impairment; (2) the area or Mammal Hearing (Version 2.0) these cover a large area but would be volume of water that will be ensonified (Technical Guidance, 2018) identifies transient rather than focused in a given above these levels in a day; (3) the dual criteria to assess auditory injury location over time and therefore would density or occurrence of marine (Level A harassment) to five different not be considered chronic in any given mammals within these ensonified areas; marine mammal groups (based on location. and, (4) and the number of days of hearing sensitivity) as a result of Based on the information discussed activities. We note that while these exposure to noise from two different herein, we conclude that impacts of the basic factors can contribute to a basic types of sources (impulsive or non- specified activity are not likely to have calculation to provide an initial impulsive). L–DEO’s proposed seismic more than short-term adverse effects on prediction of takes, additional survey includes the use of impulsive any prey habitat or populations of prey information that can qualitatively (seismic airguns) sources. species. Further, any impacts to marine inform take estimates is also sometimes mammal habitat are not expected to available (e.g., previous monitoring These thresholds are provided in the result in significant or long-term results or average group size). Below, we table below. The references, analysis, consequences for individual marine describe the factors considered here in and methodology used in the mammals, or to contribute to adverse more detail and present the proposed development of the thresholds are impacts on their populations. take estimate. described in NMFS 2018 Technical Guidance, which may be accessed at Estimated Take Acoustic Thresholds https://www.fisheries.noaa.gov/ This section provides an estimate of NMFS uses acoustic thresholds that national/marine-mammal-protection/ the number of incidental takes proposed identify the received level of marine-mammal-acoustic-technical- for authorization through this IHA, underwater sound above which exposed guidance.
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TABLE 3—THRESHOLDS IDENTIFYING THE ONSET OF PERMANENT THRESHOLD SHIFT
PTS onset acoustic thresholds * Hearing Group (received level) Impulsive Non-impulsive
Low-Frequency (LF) Cetaceans ...... Cell 1: Lpk,flat: 219 dB; LE,LF,24h: 183 dB ...... Cell 2: LE,LF,24h: 199 dB. Mid-Frequency (MF) Cetaceans ...... Cell 3: Lpk,flat: 230 dB; LE,MF,24h: 185 dB ...... Cell 4: LE,MF,24h: 198 dB. High-Frequency (HF) Cetaceans ...... Cell 5: Lpk,flat: 202 dB; LE,HF,24h: 155 dB ...... Cell 6: LE,HF,24h: 173 dB. Phocid Pinnipeds (PW) (Underwater) ...... Cell 7: Lpk,flat: 218 dB; LE,PW,24h: 185 dB ...... Cell 8: LE,PW,24h: 201 dB. Otariid Pinnipeds (OW) (Underwater) ...... Cell 9: Lpk,flat: 232 dB; LE,OW,24h: 203 dB ...... Cell 10: LE,OW,24h: 219 dB. * Dual metric acoustic thresholds for impulsive sounds: Use whichever results in the largest isopleth for calculating PTS onset. If a non-impul- sive sound has the potential of exceeding the peak sound pressure level thresholds associated with impulsive sounds, these thresholds should also be considered. 2 Note: Peak sound pressure (Lpk) has a reference value of 1 μPa, and cumulative sound exposure level (LE) has a reference value of 1μPa s. In this Table, thresholds are abbreviated to reflect American National Standards Institute standards (ANSI 2013). However, peak sound pressure is defined by ANSI as incorporating frequency weighting, which is not the intent for this Technical Guidance. Hence, the subscript ‘‘flat’’ is being included to indicate peak sound pressure should be flat weighted or unweighted within the generalized hearing range. The subscript associated with cumulative sound exposure level thresholds indicates the designated marine mammal auditory weighting function (LF, MF, and HF cetaceans, and PW and OW pinnipeds) and that the recommended accumulation period is 24 hours. The cumulative sound exposure level thresholds could be exceeded in a multitude of ways (i.e., varying exposure levels and durations, duty cycle). When possible, it is valuable for action proponents to indicate the conditions under which these acoustic thresholds will be exceeded.
Ensonified Area m, which may not intersect all the deep-water radii obtained from model Here, we describe operational and sound pressure level (SPL) isopleths at results down to a maximum water depth environmental parameters of the activity their widest point from the sea surface of 2,000 m. down to the maximum relevant water that will feed into identifying the area ∼ A recent retrospective analysis of ensonified above the acoustic depth for marine mammals of 2,000 m. acoustic propagation from use of the thresholds, which include source levels At short ranges, where the direct Langseth sources during a 2012 survey and acoustic propagation modeling. arrivals dominate and the effects of off Washington (i.e., in the same L–DEO’s modeling methodology is seafloor interactions are minimal, the location) suggests that predicted data recorded at the deep and slope sites described in greater detail in the IHA (modeled) radii (using the same are suitable for comparison with application (LGL 2019). The proposed approach as that used here) were 2–3 modeled levels at the depth of the 2D survey would acquire data using the times larger than the measured radii in calibration hydrophone. At longer 36-airgun array with a total discharge shallow water. (Crone et al., 2014). 3 ranges, the comparison with the volume of 6,600 in at a maximum tow Therefore, because the modeled depth of 12 m. L–DEO model results are model—constructed from the maximum SPL through the entire water column at shallow-water radii were specifically used to determine the 160-dBrms radius demonstrated to be overly conservative for the 36-airgun array in deep water varying distances from the airgun array—is the most relevant. for the region in which the current (>1,000 m) down to a maximum water survey is planned, L–DEO used the depth of 2,000 m. Water depths in the In deep and intermediate-water received levels from multichannel project area may be up to 4,400 m, but depths, comparisons at short ranges seismic data collected by the Langseth marine mammals are generally not between sound levels for direct arrivals during the 2012 survey to estimate Level anticipated to dive below 2,000 m recorded by the calibration hydrophone B harassment radii in shallow (<100 m) and model results for the same array (Costa and Williams 1999). Received and intermediate (100–1,000 m) depths tow depth are in good agreement (Fig. sound levels were predicted by L–DEO’s (Crone et al., 2014). Streamer data in 12 and 14 in Appendix H of NSF–USGS, model (Diebold et al., 2010) which uses shallow water collected in 2012 have 2011). Consequently, isopleths falling ray tracing for the direct wave traveling the advantage of including the effects of within this domain can be predicted from the array to the receiver and its local and complex subsurface geology, associated source ghost (reflection at the reliably by the L–DEO model, although seafloor topography, and water column air-water interface in the vicinity of the they may be imperfectly sampled by properties, and thus allow array), in a constant-velocity half-space measurements recorded at a single determination of radii more confidently (infinite homogeneous ocean layer, depth. At greater distances, the than using data from calibration unbounded by a seafloor). In addition, calibration data show that seafloor- experiments in the Gulf of Mexico. propagation measurements of pulses reflected and sub-seafloor-refracted from the 36-airgun array at a tow depth arrivals dominate, whereas the direct The proposed survey would acquire of 6 m have been reported in deep water arrivals become weak and/or data with a four-string 6,600-in3 airgun (approximately 1600 m), intermediate incoherent. Aside from local topography array at a tow depth of 12 m while the water depth on the slope (approximately effects, the region around the critical data collected in 2012 were acquired 600–1100 m), and shallow water distance is where the observed levels with the same airgun array at a tow (approximately 50 m) in the Gulf of rise closest to the model curve. depth of 9 m. To account for the Mexico in 2007–2008 (Tolstoy et al. However, the observed sound levels are differences in tow depth between the 2009; Diebold et al. 2010). found to fall almost entirely below the 2012 survey and the proposed 2020 For deep and intermediate-water model curve. Thus, analysis of the Gulf survey, L–DEO calculated a scaling cases, the field measurements cannot be of Mexico calibration measurements factor using the deep water modeling used readily to derive Level A and Level demonstrates that although simple, the (see Appendix D in L–DEO’s IHA B harassment isopleths, as at those sites L–DEO model is a robust tool for application). A scaling factor of 1.15 the calibration hydrophone was located conservatively estimating isopleths. For was applied to the measured radii from at a roughly constant depth of 350–500 deep water (>1,000 m), L–DEO used the the airgun array towed at 9 m.
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The estimated distances to the Level B harassment isopleth for the Langseth’s 36-airgun array are shown in Table 4.
TABLE 4—PREDICTED RADIAL DISTANCES TO ISOPLETHS CORRESPONDING TO LEVEL B HARASSMENT THRESHOLD
Level B harassment Source and volume Tow depth Water depth zone (m) (m) (m) using L–DEO model
36 airgun array, 6,600-in3 ...... 12 >1000 a 6,733 100–1000 b 9,468 <100 b 12,650 a Distance based on L–DEO model results. b Distance based on data from Crone et al. (2014).
Predicted distances to Level A marine mammal density or occurrence 2009). At larger distances, away from harassment isopleths, which vary based to facilitate the estimation of take the source array center, sound pressure on marine mammal hearing groups, numbers. of all the airguns in the array stack were calculated based on modeling The values for SELcum and peak SPL coherently, but not within one time performed by L–DEO using the for the Langseth airgun array were sample, resulting in smaller source NUCLEUS source modeling software derived from calculating the modified levels (a few dB) than the source level program and the NMFS User far-field signature (Table 5). The farfield derived from the farfield signature. Spreadsheet, described below. The signature is often used as a theoretical Because the farfield signature does not acoustic thresholds for impulsive representation of the source level. To take into account the large array effect sounds (e.g., airguns) contained in the compute the farfield signature, the near the source and is calculated as a Technical Guidance were presented as source level is estimated at a large point source, the modified farfield dual metric acoustic thresholds using distance below the array (e.g., 9 km), signature is a more appropriate measure both SELcum and peak sound pressure and this level is back projected of the sound source level for distributed metrics (NMFS 2018). As dual metrics, mathematically to a notional distance of sound sources, such as airgun arrays. L– NMFS considers onset of PTS (Level A 1 m from the array’s geometrical center. DEO used the acoustic modeling harassment) to have occurred when However, when the source is an array of methodology as used for Level B either one of the two metrics is multiple airguns separated in space, the harassment with a small grid step of 1 exceeded (i.e., metric resulting in the source level from the theoretical farfield m in both the inline and depth largest isopleth). The SELcum metric signature is not necessarily the best directions. The propagation modeling considers both level and duration of measurement of the source level that is takes into account all airgun exposure, as well as auditory weighting physically achieved at the source interactions at short distances from the functions by marine mammal hearing (Tolstoy et al. 2009). Near the source (at source, including interactions between group. In recognition of the fact that the short ranges, distances <1 km), the subarrays, which are modeled using the requirement to calculate Level A pulses of sound pressure from each NUCLEUS software to estimate the harassment ensonified areas could be individual airgun in the source array do notional signature and MATLAB more technically challenging to predict not stack constructively, as they do for software to calculate the pressure signal due to the duration component and the the theoretical farfield signature. The at each mesh point of a grid. use of weighting functions in the new pulses from the different airguns spread For a more complete explanation of SELcum thresholds, NMFS developed an out in time such that the source levels this modeling approach, please see optional User Spreadsheet that includes observed or modeled are the result of ‘‘Appendix A: Determination of tools to help predict a simple isopleth the summation of pulses from a few Mitigation Zones’’ in the IHA that can be used in conjunction with airguns, not the full array (Tolstoy et al. application.
TABLE 5—MODELED SOURCE LEVELS BASED ON MODIFIED FARFIELD SIGNATURE FOR THE 6,600-IN3 AIRGUN ARRAY
Low frequency Mid frequency High frequency Phocid pinnipeds Otariid pinnipeds cetaceans cetaceans cetaceans (underwater) (underwater) (Lpk,flat: 219 dB; (Lpk,flat: 230 dB; (Lpk,flat: 202 dB; (Lpk,flat: 218 dB; (Lpk,flat: 232 dB; LE,LF,24h: 183 dB) LE,MF,24h: 185 dB LE,HF,24h: 155 dB) LE,HF,24h: 185 dB) LE,HF,24h: 203 dB)
6,600 in3 airgun array (Peak SPLflat) ...... 252.06 252.65 253.24 252.25 252.52 3 6,600 in airgun array (SELcum) ... 232.98 232.84 233.10 232.84 232.08
In order to more realistically to make adjustments (dB) to the converted to pressures (mPa) in order to incorporate the Technical Guidance’s unweighted spectrum levels, by integrate them over the entire weighting functions over the seismic frequency, according to the weighting broadband spectrum, resulting in array’s full acoustic band, unweighted functions for each relevant marine broadband weighted source levels by spectrum data for the Langseth’s airgun mammal hearing group. These adjusted/ hearing group that could be directly array (modeled in 1 Hz bands) was used weighted spectrum levels were then incorporated within the User
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Spreadsheet (i.e., to override the potential radial distances to auditory Spreadsheets in the form of estimated Spreadsheet’s more simple weighting injury zones were then calculated for distances to Level A harassment factor adjustment). Using the User SELcum thresholds. isopleths for the survey are shown in Spreadsheet’s ‘‘safe distance’’ Inputs to the User Spreadsheets in the Table 6. As described above, NMFS methodology for mobile sources form of estimated SLs are shown in considers onset of PTS (Level A (described by Sivle et al., 2014) with the Table 5. User Spreadsheets used by L– harassment) to have occurred when hearing group-specific weighted source DEO to estimate distances to Level A either one of the dual metrics (SELcum levels, and inputs assuming spherical harassment isopleths for the 36-airgun and Peak SPLflat) is exceeded (i.e., spreading propagation and source array for the surveys are shown in Table metric resulting in the largest isopleth). velocities (4.2 knots) and shot intervals A–3 in Appendix A of the IHA (37.5 m) specific to the planned survey, application. Outputs from the User
TABLE 6—MODELED RADIAL DISTANCES (M) TO ISOPLETHS CORRESPONDING TO LEVEL A HARASSMENT THRESHOLDS
Level A harassment zone (m) Source Threshold (volume) LF cetaceans MF cetaceans HF cetaceans Phocids Otariids
36-airgun array SELcum ...... 426.9 0 1.3 13.9 0 (6,600 in3). Peak ...... 38.9 13.6 268.3 43.7 10.6
Note that because of some of the from each element. The effect is of sound (here assumed to be 1,500 assumptions included in the methods destructive interference of the outputs meters per second in water, although used (e.g., stationary receiver with no of each element, so that peak pressures this varies with environmental vertical or horizontal movement in in the near-field will be significantly conditions). response to the acoustic source), lower than the output of the largest To determine the closest distance to isopleths produced may be individual element. Here, the 230 dB the arrays at which the source level overestimates to some degree, which peak isopleth distances would in all predictions in Table 5 are valid (i.e., will ultimately result in some degree of cases be expected to be within the near- overestimation of Level A harassment. field of the array where the definition of maximum extent of the near-field), we However, these tools offer the best way source level breaks down. Therefore, calculated D based on an assumed to predict appropriate isopleths when actual locations within this distance of frequency of 1 kHz. A frequency of 1 more sophisticated modeling methods the array center where the sound level kHz is commonly used in near-field/far- are not available, and NMFS continues exceeds 230 dB peak SPL would not field calculations for airgun arrays to develop ways to quantitatively refine necessarily exist. In general, Caldwell (Zykov and Carr, 2014; MacGillivray, these tools and will qualitatively and Dragoset (2000) suggest that the 2006; NSF and USGS, 2011), and based address the output where appropriate. near-field for airgun arrays is considered on representative airgun spectrum data For mobile sources, such as the to extend out to approximately 250 m. and field measurements of an airgun proposed seismic survey, the User In order to provide quantitative array used on the Langseth, nearly all Spreadsheet predicts the closest support for this theoretical argument, (greater than 95 percent) of the energy distance at which a stationary animal we calculated expected maximum from airgun arrays is below 1 kHz would not incur PTS if the sound source distances at which the near-field would (Tolstoy et al., 2009). Thus, using 1 kHz traveled by the animal in a straight line transition to the far-field (Table 5). For as the upper cut-off for calculating the at a constant speed. a specific array one can estimate the maximum extent of the near-field Auditory injury is unlikely to occur distance at which the near-field should reasonably represent the near- for mid-frequency cetaceans, otariid transitions to the far-field by: field extent in field conditions. pinnipeds, and phocid pinnipeds given If the largest distance to the peak very small modeled zones of injury for sound pressure level threshold was those species (up to 43.7 m), in context equal to or less than the longest of distributed source dynamics. The source level of the array is a theoretical with the condition that D >> l, and dimension of the array (i.e., under the definition assuming a point source and where D is the distance, L is the longest array), or within the near-field, then measurement in the far-field of the dimension of the array, and l is the received levels that meet or exceed the source (MacGillivray, 2006). As wavelength of the signal (Lurton, 2002). threshold in most cases are not expected described by Caldwell and Dragoset Given that l can be defined by: to occur. This is because within the (2000), an array is not a point source, near-field and within the dimensions of but one that spans a small area. In the the array, the source levels specified in far-field, individual elements in arrays Table 5 are overestimated and not will effectively work as one source where f is the frequency of the sound applicable. In fact, until one reaches a because individual pressure peaks will signal and v is the speed of the sound distance of approximately three or four have coalesced into one relatively broad in the medium of interest, one can times the near-field distance the average pulse. The array can then be considered rewrite the equation for D as: intensity of sound at any given distance a ‘‘point source.’’ For distances within from the array is still less than that the near-field, i.e., approximately 2–3 based on calculations that assume a times the array dimensions, pressure directional point source (Lurton, 2002). peaks from individual elements do not The 6,600-in3 airgun array used in the arrive simultaneously because the and calculate D directly given a proposed survey has an approximate observation point is not equidistant particular frequency and known speed
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diagonal of 28.8 m, resulting in a near- and Forney 2007; Forney 2007; Barlow density models.’’) These models field distance of 138.7 m at 1 kHz (NSF 2010). Ship surveys for cetaceans in estimate density as a continuous and USGS, 2011). Field measurements slope and offshore waters of Oregon and function of habitat variables (e.g., sea of this array indicate that the source Washington were conducted by NMFS’ surface temperature, seafloor depth) and behaves like multiple discrete sources, Southwest Fisheries Science Center thus, within the study area that was rather than a directional point source, (SWFSC) in 1991, 1993, 1996, 2001, modeled, densities can be predicted at beginning at approximately 400 m (deep 2005, 2008, and 2014 and synthesized all locations where these habitat site) to 1 km (shallow site) from the by Barlow (2016); these surveys were variables can be measured or estimated. center of the array (Tolstoy et al., 2009), conducted from the coastline up to ∼556 Spatial habitat models therefore allow distances that are actually greater than km from shore from June or August to estimates of cetacean densities on finer four times the calculated 140-m near- November or December. These data scales (spatially and temporally) than field distance. Within these distances, were used by the SWFSC to develop traditional line-transect or mark- the recorded received levels were spatial models of cetacean densities for recapture analyses. always lower than would be predicted the California Current Ecosystem (CCE). The methods used to estimate based on calculations that assume a Systematic, offshore, at-sea survey data pinniped at-sea densities are typically directional point source, and for pinnipeds are more limited (e.g., different than those used for cetaceans, increasingly so as one moves closer Bonnell et al., 1992; Adams et al., 2014); because pinnipeds are not limited to the towards the array (Tolstoy et al., 2009). In British Columbia, several systematic water and spend a significant amount of Given this, relying on the calculated surveys have been conducted in coastal time on land (e.g., at rookeries). distance (138.7 m) as the distance at waters (e.g., Williams and Thomas 2007; Pinniped abundance is generally which we expect to be in the near-field Ford et al., 2010a; Best et al., 2015; estimated via shore counts of animals is a conservative approach since even Harvey et al., 2017). Surveys in coastal on land at known haulout sites or by beyond this distance the acoustic as well as offshore waters were counting number of pups weaned at modeling still overestimates the actual conducted by DFO during 2002 to 2008; rookeries and applying a correction received level. Within the near-field, in however, little effort occurred off the factor to estimate the abundance of the order to explicitly evaluate the west coast of Vancouver Island during population (for example Harvey et al., likelihood of exceeding any particular late spring/summer (Ford et al., 2010). 1990; Jeffries et al., 2003; Lowry, 2002; acoustic threshold, one would need to Density estimates for the proposed Sepulveda et al., 2009). Estimating consider the exact position of the survey areas outside the U.S. EEZ, i.e., in-water densities from land-based animal, its relationship to individual in the Canadian EEZ, were not readily counts is difficult given the variability array elements, and how the individual available, so density estimates for U.S. in foraging ranges, migration, and acoustic sources propagate and their waters were applied to the entire survey haulout behavior between species and acoustic fields interact. Given that area. within each species, and is driven by within the near-field and dimensions of factors such as age class, sex class, The U.S. Navy primarily used SWFSC the array source levels would be below breeding cycles, and seasonal variation. habitat-based cetacean density models those in Table 5, we believe exceedance Data such as age class, sex class, and of the peak pressure threshold would to develop a marine species density seasonal variation are often used in only be possible under highly unlikely database (MSDD) for the Northwest conjunction with abundance estimates circumstances. Training and Testing (NWTT) Study from known haulout sites to assign an In consideration of the received sound Area for NWTT Phase III activities (U.S. in-water abundance estimate for a given levels in the near-field as described Navy 2019a), which encompasses the area. The total abundance divided by above, we expect the potential for Level U.S. portion of the proposed survey the area of the region provides a A harassment of mid-frequency area. For several cetacean species, the representative in-water density estimate cetaceans, otariid pinnipeds, and Navy updated densities estimated by for each species in a different location. phocid pinnipeds to be de minimis, line-transect surveys or mark-recapture In addition to using shore counts to even before the likely moderating effects studies (e.g., Barlow 2016). These estimate pinniped density, traditional of aversion and/or other compensatory methods usually produce a single value line-transect derived estimates are also behaviors (e.g., Nachtigall et al., 2018) for density that is an averaged estimate used, particularly in open ocean areas. are considered. We do not believe that across very large geographical areas, The Navy’s MSDD is currently the Level A harassment is a likely outcome such as waters within the U.S. EEZ off most comprehensive compendium for for any mid-frequency cetacean, otariid California, Oregon, and Washington density data available for the CCE. pinniped, or phocid pinniped and do (referred to as a ‘‘uniform’’ density However, data products are currently not propose to authorize any Level A estimate). This is the general approach not publically available for the database; harassment for these species. applied in estimating cetacean thus, in this analysis the Navy’s data abundance in the NMFS stock products were used only for species for Marine Mammal Occurrence assessment reports. The disadvantage of which density data were not available In this section we provide the these methods is that they do not from an alternative spatially-explicit information about the presence, density, provide spatially- or temporally-explicit model (e.g., pinnipeds, Kogia spp., and group dynamics of marine density information. More recently, a minke whales, sei whales, gray whales, mammals that will inform the take newer method called spatial habitat short-finned pilot whales, and Northern calculations. modeling has been used to estimate Resident, transient, and offshore killer Extensive systematic aircraft- and cetacean densities that address some of whales). For these species, GIS was used ship-based surveys have been these shortcomings (e.g., Barlow et al., to determine the areas expected to be conducted for marine mammals in 2009; Becker et al., 2010; 2012a; 2014; ensonified in each density category (i.e., offshore waters of Oregon and Becker et al., 2016; Ferguson et al., distance from shore). For pinnipeds, the Washington (e.g., Bonnell et al., 1992; 2006; Forney et al., 2012; 2015; Redfern densities from the Navy’s MSDD were Green et al., 1992, 1993; Barlow 1997, et al., 2006). (Note that spatial habitat corrected by projecting the most recent 2003; Barlow and Taylor 2001; models are also referred to as ‘‘species population growth and updated Calambokidis and Barlow 2004; Barlow distribution models’’ or ‘‘habitat-based population estimates to 2020, when
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available. Where available, the Coast from December through June. Forney et al., 2012). The small beaked appropriate seasonal density estimate These monthly density estimates apply whale guild includes Cuvier’s beaked from the MSDD was used in the to a ‘‘main migration corridor’’ that whale and beaked whales of the genus estimation here (i.e., summer). extends from the coast to 10 km Mesoplodon, including Blainville’s NMFS obtained data products from offshore. A zone from the main beaked whale, Hubbs’ beaked whale, the Navy for densities of Southern migration corridor out to 47 km offshore and Stejneger’s beaked whale. NMFS Resident killer whales in the NWTT is designated as an area of ‘‘potential SWFSC developed a CCE habitat-based Offshore Study Area. The modeled presence’’. To derive a density estimate density model for the small beaked density estimates were available on the for this area the Navy assumed that 1 whale guild which provides spatially scale of 1 km by 1 km grid cells. The percent of the population could be explicit density estimates off the U.S. densities from grid cells overlapping the within the 47-km ‘‘potential presence’’ West Coast for summer and fall based ensonified area in each depth category area during migration. Given the 2014 on survey data collected between 1991 were multiplied by the corresponding stock assessment population estimate of and 2009 (Becker et al., 2016). area to estimate potential exposures 20,990 animals (Carretta et al., 2017b), False Killer Whale (Table 9). approximately 210 gray whales may use For most other species, (i.e., this corridor. Assuming the migration False killer whales were not included humpback, blue, fin, sperm, Baird’s wave lasts 30 days, then 7 whales on in the Navy’s MSDD, as they are very beaked, and other small beaked whales; average on any one day could occur in rarely encountered in the northeast bottlenose, striped, common, Pacific the ‘‘potential presence’’ area. The area Pacific. Density estimates for false killer white-sided, Risso’s and northern right from the main migration route offshore whales were also not presented in whale dolphins; and Dall’s porpoise), to 47 km within the NWTT study area Barlow (2016) or Becker et al. (2016), as habitat-based density models from = 45,722.06 km2, so density within this no sightings occurred during surveys Becker et al. (2016) were used. Becker zone = 0.00015 whales/km2. From July– conducted between 1986 and 2008 et al. (2016) used seven years of SWFSC November, gray whale occurrence off (Ferguson and Barlow 2001, 2003; cetacean line-transect survey data the coast is expected to consist Forney 2007; Barlow 2003, 2010). One collected between 1991 and 2009 to primarily of whales belonging to the sighting was made off of southern develop predictive habitat-based models PCFG. Calambokidis et al. (2012) California during 2014 (Barlow 2016). of cetacean densities in the CCE. The provided an updated analysis of the One pod of false killer whales occurred modeled density estimates were abundance of the PCFG whales in the in Puget Sound for several months available on the scale of 7 km by 10 km Pacific Northwest and recognized that during the 1990s (Navy 2015). Based on grid cells. The densities from all grid this group forms a distinct feeding the available information, NMFS does cells overlapping the ensonified areas aggregation. For the purposes of not believe false killer whales are within each water depth category were establishing density, the Navy assumed expected to be taken, but L–DEO has averaged to calculate a zone-specific that from July 1 to November 30 all the requested take of this species so we are density for each species. 209 PCFG whales could be present off proposing to authorize take. Becker et al. (2016) did not develop a the coast in the Northern California/ Killer Whale density model for the harbor porpoise, Oregon/Washington region (this so densities from Forney et al. (2014) accounts for the potential that some A combination of movement data were used for that species. Forney et al. PCFG whales may be outside of the area (from both visual observations and (2014) presented estimates of harbor but that there also may be some non- satellite-linked tags) and detections porpoise abundance and density along PCFG whales in the region as noted by from stationary acoustic recorders have the Pacific coast of California, Oregon, Calambokidis et al.(2012)). Given that provided information on the offshore and Washington based on aerial line- the PCFG whales are found largely distribution of the Southern Resident transect surveys conducted between nearshore, it was assumed that all the stock (Hanson et al., 2018). These data 2007 and 2012. Separate density whales could be within 10 km of the have been used to develop state space estimates were provided for harbor coast. To capture the potential presence movement models that provide porpoises in Oregon south of 45° N and of whales further offshore (e.g., Oleson estimates of the probability of Oregon/Washington north of 45° N (i.e., et al., 2009), it was assumed that a occurrence (or relative density) of within the boundaries of the Northern percentage of the whales could be Southern Residents in the offshore California/Southern Oregon and present from 10 km out to 47 km off the study area in winter and spring (Hanson Northern Oregon/Washington Coast coast; the 47 km outer limit is consistent et al., 2018). Since the total number of stocks), so stock-specific take estimates with the DeAngelis et al. (2011) animals that comprise each pod is were generated (Forney et al., 2014). migration model. Since 77 percent of known, the relative density estimates Background information on the the PCFG sightings were within the were used in association with the total density calculations for each species/ nearshore BIAs (Calambokidis et al., abundance estimates to derive absolute guild (if different from the general 2015), it was assumed that 23 percent density estimates (i.e., number of methods from the Navy’s MSDD, Becker (48 whales) could potentially be found animals/km2) within the offshore study et al. (2016), or Forney et al. (2014) further offshore. Two strata were thus area. Given that the K and L pods were described above) are reported here. developed for the July–November gray together during all but one of the Density estimates for each species/guild whale density layers: (1) From the coast satellite tag deployments, Hanson et al. (aside from Southern Resident killer to 10 km offshore, and (2) from 10 km (2018) developed two separate state whales, which are discussed separately) to 47 km offshore. The density was space models, one for the combined K are found in Table 7. assumed to be 0 animals/km2 for areas and L pods and one for the J pod. The offshore of 47 km. absolute density estimates were thus Gray Whale derived based on a total of 53 animals DeAngelis et al. (2011) developed a Small Beaked Whale Guild for the K and L pods (K pod = 18 migration model that provides monthly, NMFS has developed habitat-based animals, L pod = 35 animals) and 22 spatially explicit predictions of gray density models for a small beaked whale animals for the J pod (Center for Whale whale abundance along the U.S. West guild in the CCE (Becker et al., 2012b; Research, 2019). Of the three pods, the
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K and L pods appear to have a more et al., 2017b). Stranding records for this survey area). The second stratum (200 m extensive and seasonally variable species from Oregon and Washington to 300 km from shore) is the preferred offshore coastal distribution, with rare waters are considered to be beyond the habitat where Guadalupe fur seals are sightings as far south as Monterey Bay, normal range of this species rather than most likely to occur most of the time. California (Carretta et al., 2019; Ford et an extension of its range (Norman et al., Individuals may spend a portion of their al., 2000; Hanson et al., 2018). Two 2004). Density values for short-finned time over the continental shelf or farther seasonal density maps were thus pilot whales are available for the than 300 km from shore, necessitating a developed for the K and L pods, one SWFSC Oregon/Washington and density estimate for those areas, but all representing their distribution from Northern California strata for summer/ Guadalupe fur seals would be expected January to May (the duration of the tag fall (Barlow, 2016). Density data are not to be in the central stratum most of the deployments), and another representing available for the NWTT Offshore area time, which is the reason 100 percent is their distribution from June to northwest of the SWFSC strata, so data used in the density estimate for the December. Based on stationary acoustic from the SWFSC Oregon/Washington central stratum (Norris, 2017a). Spatial recording data, their excursions offshore stratum were used as representative areas for the three strata were estimated from June to December are more limited estimates. These values were used to in a GIS and used to calculate the and typically do not extend south of the represent density year-round. densities. Columbia River (Emmons 2019). To The Navy’s density estimate for Guadalupe Fur Seal provide more conservative density Guadalupe fur seals projected the estimates, the Navy extended the June to Adult male Guadalupe fur seals are abundance through 2017, while L– December distribution to just south of expected to be ashore at breeding areas DEO’s survey will occur in 2020. the Columbia River and redistributed over the summer, and are not expected Therefore, we have projected the the total K and L populations (53 to be present during the planned abundance estimate in 2020 using the animals) within the more limited range geophysical survey (Caretta et al., abundance estimate (34,187 animals) boundaries. A conservative approach 2017b; Norris 2017b). Additionally, and population growth rate (5.9 percent) was also adopted for the J pod since the breeding females are unlikely to be presented in the 2019 draft SARs January to May density estimates were present within the Offshore Study Area (Caretta et al., 2019). This calculation assumed to represent annual occurrence as they remain ashore to nurse their yielded an increased density estimate of patterns, despite information that this pups through the fall and winter, Guadalupe fur seals than what was pod typically spends more time in the making only short foraging trips from presented in the Navy’s MSDD. rookeries (Gallo-Reynoso et al., 2008; inland waters during the summer and Northern Fur Seal fall (Carretta et al., 2019; Ford et al., Norris 2017b; Yochem et al., 1987). To 2000; Hanson et al., 2018). Further, for estimate the total abundance of The Navy estimated the abundance of all seasons the Navy assumed that all Guadalupe fur seals, the Navy adjusted northern fur seals from the Eastern members of the three pods of Southern the population reported in the 2016 Pacific stock and the California breeding Residents could occur either offshore or SAR (Caretta et al., 2017b) of 20,000 stock that could occur in the NWTT in the inland waters, so the total number seals by applying the average annual Offshore Study Area by determining the of animals in the stock was used to growth rate of 7.64 percent over the percentage of time tagged animals spent derive density estimates for both study seven years between 2010 and 2017. within the Study Area and applying that areas. The resulting 2017 projected abundance percentage to the population to Due to the difficulties associated with was 33,485 fur seals. Using the reported calculate an abundance for adult reliably distinguishing the different composition of the breeding population females, juveniles, and pups stocks of killer whales from at sea of Guadalupe fur seals (Gallo-Reynoso independently on a monthly basis. sightings, and anticipated equal 1994) and satellite telemetry data Adult males are not expected to occur likelihood of occurrence among the (Norris 2017b), the Navy established within the Offshore Study Area and the stocks, density estimates for the rest of seasonal and demographic abundances planned survey area during the planned the stocks are presented as a whole (i.e., of Guadalupe fur seals expected to occur geophysical survey as they spend the includes the Offshore, West Coast within the Offshore Study Area. summer ashore at breeding areas in the Transient, and Northern Resident The distribution of Guadalupe fur Bering Sea and San Miguel Island stocks). Barlow (2016) presents density seals in the Offshore Study Area was (Caretta et al., 2017b). Using the values for killer whales in the CCE, with stratified by distance from shore (or monthly abundances of fur seals within separate densities for waters off Oregon/ water depth) to reflect their preferred the Offshore Study Area, the Navy Washington (i.e., north of the California pelagic habitat (Norris, 2017a). Ten created strata to estimate the density of border) and Northern California for percent of fur seals in the Study Area fur seals within three strata: 22 km to 70 summer/fall. Density data are not are expected to use waters over the km from shore, 70 km to 130 km from available for the NWTT Offshore area continental shelf (approximated as shore, and 130 km to 463 km from shore northwest of the CCE study area, so data waters with depths between 10 and 200 (the western Study Area boundary). L– from the SWFSC Oregon/Washington m). A depth of 10 m is used as the DEO’s planned survey is 423 km from area were used as representative shoreward extent of the shelf (rather shore at the closest point. Based on estimates. These values were used to than extending to shore), because satellite tag data and historic sealing represent density year-round. Guadalupe fur seals in the Offshore records (Olesiuk 2012; Kajimura 1984), Study Area are not expected to haul out the Navy assumed 25 percent of the Short-Finned Pilot Whale and would not be likely to come close population present within the overall Along the U.S. West Coast, short- to shore. All fur seals (i.e., 100 percent) Offshore Study Area may be within the finned pilot whales were once common would use waters off the shelf (beyond 130 km to 463 km stratum. south of Point Conception, California the 200-m isobath) out to 300 km from The Navy’s density estimates for (Carretta et al., 2017b; Reilly & Shane, shore, and 25 of percent of fur seals northern fur seals did not include the 1986), but now sightings off the U.S. would be expected to use waters latest abundance data collected from West Coast are infrequent and typically between 300 and 700 km from shore Bogoslof Island or the Pribilof Islands in occur during warm water years (Carretta (including the planned geophysical 2015 and 2016. Incorporating the latest
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pup counts yielded a slight decrease in (Oleson et al., 2009). The mean water California. In-water abundance the population abundance estimate, depth in the area of occurrence was 42 estimates of adult and sub-adult males which resulted in a slight decrease in m, and surveys were conducted out to in strata A and B were extrapolated to the estimated densities of northern fur approximately 60 km from shore. Wiles estimate seasonal densities in the Study seals in each depth stratum. (2015) estimated that Steller sea lions Area. Approximately 3,000 male off the Washington coast primarily California sea lions are known to pass Steller Sea Lion occurred within 60 km of shore, through the NWTT Study Area in The Eastern stock of Steller sea lions favoring habitats over the continental August as they migrate northward to the has established rookeries and breeding shelf. However, a few individuals may Washington coast and inland waters sites along the coasts of California, travel several hundred km offshore (DeLong 2018a; Wright et al., 2010). Oregon, British Columbia, and southeast (Merrick & Loughlin 1997; Wiles 2015). Nearly all male sea lions are expected to Alaska. A new rookery was recently Based on these occurrence and be on or near breeding sites off discovered along the coast of distribution data, two strata were used California in July (DeLong et al., 2017; Washington at the Carroll Island and to estimate densities for Steller sea Wright et al., 2010). An estimate of Sea Lion Rock complete, where more lions. The spatial area extending from 3,000 male sea lions is used for the than 100 pups were born in 2015 (Muto shore to the 200-m isobath (i.e., over the month of August. Projected 2017 et al., 2017; Wiles 2015). The 2017 SAR continental shelf) was defined as one seasonal abundance estimates were did not factor in pups born at sites along stratum, and the second stratum derived by applying an annual growth the Washington coast (Muto et al., extended from the 200-m isobath to 300 rate of 5.4 percent (Caretta et al., 2017b) 2017). Considering that pups have been km from shore to account for reports of between 1999 and 2017 to the observed at multiple breeding sites Steller sea lions occurring several abundance estimates from Lowry & since 2013, specifically at the Carroll hundred km offshore. Ninety-five Forney (2005). Island and Sea Lion Rock complex percent of the population of Steller sea The strata used to calculated densities (Wiles 2015), the 2017 SAR abundance lions occurring in the NWTT Study in the NWTT Study Area were based on of 1,407 Steller sea lions (non-pups Area were distributed over the distribution data from Wright et al. only) for Washington underestimates continental shelf stratum and the (2010) and Lowry & Forney (2005) the total population. Wiles (2015) remaining five percent were assumed to indicating that approximately 90 estimates that up to 2,500 Steller sea occur between the 200-m isobath and percent of California sea lions occurred lions are present along the Washington 300 km from shore. within 40 km of shore and 100 percent coast, which is the abundance estimate The percentage of time Steller sea of sea lions were within 70 km of shore. used by the Navy to calculate densities. lions spend hauled out varies by season, A third stratum was added that extends Approximately 30,000 Steller sea lions life stage, and geographic location. To from shore to 450 km offshore to occur along the coast of British calculated densities in the Study Area, account for anomalous conditions, such Columbia, but these animals were not the projected population abundance was as changes in sea surface temperature included in the Navy’s calculations. The adjusted to account for time spent and upwelling associated with El Nin˜ o, Navy applied the annual growth rate for hauled out. In spring and winter, sea during which California sea lions have each regional population (California, lions were estimated to be in the water been encountered farther from shore, Oregon, Washington, and southeast 64 percent of the time. In summer, when presumably seeking prey (DeLong & Alaska), reported in Muto et al. (2017), sea lions are more likely to be in the Jeffries 2017; Weise et al., 2010). The to each population to estimate the stock water, the percent of animals estimated Navy calculated densities for each abundance in 2017, and we further to be in the water was increased to 76 stratum (0 to 40 km, 40 to 70 km, and projected the population estimate in percent, and in fall, sea lions were 0 to 450 km) for each season, spring, 2020. anticipated to be in the water 53 percent summer, fall, and winter, but noted that Sea lions from northern California of the time (U.S. Navy 2019). Densities the density of California sea lions in all and southern Oregon rookeries migrate were calculated for each depth stratum strata for June and July was 0 animals/ north in September following the off Washington and off Oregon. km2. The Navy’s calculated densities for breeding season and winter in northern August were conservatively used here, California Sea Lion Oregon, Washington, and British as sightings of California sea lions have Columbia waters. They disperse widely Seasonal at-sea abundance of been reported on the continental shelf following the breeding season, which California sea lions is estimated from in June and July (Adams et al., 2014). extends from May through July, likely in strip transect survey data collected search of different types of prey, which offshore along the California coastline Northern Elephant Seal may be concentrated in areas where (Lowry & Forney 2005). The survey area The most recent surveys supporting oceanic fronts and eddies persist (Fritz was divided into seven strata, labeled A the abundance estimate for northern et al., 2016; Jemison et al., 2013; Lander through G. Abundance estimates from elephant seals were conducted in 2010 et al., 2010; Muto et al., 2017; NMFS the two northernmost strata (A and B) (Caretta et al., 2017b). By applying the 2013; Raum-Suryan et al., 2004; Sigler were used to estimate the abundance of average growth rate of 3.8 percent per et al., 2017). Adults depart rookeries in California sea lions occurring in the year for the California breeding stock August. Females with pups remain NWTT Study Area. While the over the seven years from 2010 to 2017, within 500 km of their rookery during northernmost stratum (A) only partially the Navy calculated a projected 2017 the non-breeding season and juveniles overlaps with the Study Area, this abundance estimate of 232,399 elephant of both sexes and adult males disperse approach conservatively assumes that seals (Caretta et al., 2017b; Lowry et al., more widely but remain primarily over all sea lions from the two strata would 2014). Male and female distributions at the continental shelf (Wiles 2015). continue north into the Study Area. sea differ both seasonally and spatially. Based on 11 sightings along the The majority of male sea lions would Pup counts reported by Lowry et al., Washington coast, Steller sea lions were be expected in the NWTT Study Area (2014) and life tables compiled by observed at an average distance of 13 from August to mid-June (Wright et al., Condit et al., (2014) were used to km from shore and 35 km from the shelf 2010). In summer, males are expected to determine the proportion of males and break (defined as the 200-m isobath) be at breeding sites off of Southern females in the population, which was
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estimated to be 56 percent female and reported by Caretta et al. (2017b) to population has remained stable) was 44 percent male. Females are assumed project the estimated abundance in applied such that the 2017 abundance to be at sea 100 percent of the time 2020. The resulting population estimate estimate used by the Navy, and 2020 within their seasonal distribution area and estimated densities increased from estimate used here, was still 24,732 in fall and summer (Robinson et al., those presented in the Navy’s MSDD harbor seals. A haulout factor of 33 2012). Males are at sea approximately 90 (U.S. Navy 2019). percent was used to account for hauled- percent of the time in fall and spring, Harbor Seal out seals (i.e., seals are estimated to be remain ashore through the entire winter, in the water 33 percent of the time) and spend one month ashore to molt in Only harbor seals from the (Huber et al., 2001). A single stratum the summer (i.e., are at sea 66 percent Washington and Oregon Coast stock extending from shore to 30 km offshore would be expected to occur in the of the summer). Monthly distribution was used to define the spatial area used proposed survey area. The most recent maps produced by Robinson et al. by the Navy for calculating densities off abundance estimate for the Washington (2012) showing the extent of foraging Washington and Oregon (Bailey et al., and Oregon Coast stock is 24,732 harbor areas used by satellite tagged female 2014; Oleson et al., 2009). elephant seals were used to estimate the seals (Caretta et al., 2017b). Survey data spatial areas to calculate densities. supporting this abundance estimate are Marine Mammal Densities Although the distributions were based from 1999, which exceeds the eight-year on tagged female seals, Le Boeuf et al. limit beyond which NMFS will not Densities for most species are (2000) and Simmons et al. (2007) confirm abundance in a SAR (Caretta et presented by depth stratum (shallow, reported similar tracks by males over al., 2017b). However, based on logistical intermediate, and deep water) in Table broad spatial scales. The spatial areas growth curves for the Washington and 7. For species where densities are representing each monthly distribution Oregon Coast stock that leveled off in available based on other categories (gray were calculating using GIS and then the early 1990s (Caretta et al., 2017b) whale, harbor porpoise, northern fur averaged to produce seasonally variable and unpublished data from the seal, Guadalupe fur seal, California sea areas and resulting densities. Washington Department of Fish and lion, Steller sea lion), category As with other pinniped species above, Wildlife (DeLong & Jeffries 2017), an definitions are provided in the footnotes NMFS used the population growth rate annual growth rate of 0 percent (i.e., the of Table 7.
TABLE 7—MARINE MAMMAL DENSITY VALUES IN THE SURVEY AREA
Estimated density (#/km2) Species Intermediate Reference Shallow <100 100–1000 m/ Deep >1000 m/category 1 category 2 m/category 3
LF Cetaceans: Humpback whale ...... 0.0052405 0.0040200 0.0004830 Becker et al. (2016). Blue whale ...... 0.0020235 0.0010518 0.0003576 Becker et al. (2016). Fin whale ...... 0.0002016 0.0009306 0.0013810 Becker et al. (2016). Sei whale ...... 0.0004000 0.0004000 0.0004000 U.S. Navy (2019). Minke whale ...... 0.0013000 0.0013000 0.0013000 U.S. Navy (2019). Gray whale a ...... 0.0155000 0.0010000 N.A. U.S. Navy (2019). MF Cetaceans: Sperm whale ...... 0.0000586 0.0001560 0.0013023 Becker et al. (2016). Baird’s beaked whale ...... 0.0001142 0.0002998 0.0014680 Becker et al. (2016). Small beaked whale ...... 0.0007878 0.0013562 0.0039516 Becker et al. (2016). Bottlenose dolphin ...... 0.0000007 0.0000011 0.0000108 Becker et al. (2016). Striped dolphin ...... 0.0000000 0.0000025 0.0001332 Becker et al. (2016). Short-beaked common dolphin ...... 0.0005075 0.0010287 0.0016437 Becker et al. (2016). Pacific white-sided dolphin ...... 0.0515230 0.0948355 0.0700595 Becker et al. (2016). Northern right-whale dolphin ...... 0.0101779 0.0435350 0.0621242 Becker et al. (2016). Risso’s dolphin ...... 0.0306137 0.0308426 0.0158850 Becker et al. (2016). False killer whale b ...... N.A. N.A. N.A. Killer whale (all stocks except Southern 0.0009200 0.0009200 0.0009200 U.S. Navy (2019). Residents). Short-finned pilot whale ...... 0.0002500 0.0002500 0.0002500 U.S. Navy (2019). HF Cetaceans: Pygmy/dwarf sperm whale ...... 0.0016300 0.0016300 0.0016300 U.S. Navy (2019). Dall’s porpoise ...... 0.1450767 0.1610605 0.1131827 Becker et al. (2016). Harbor porpoise c ...... 0.6240000 0.4670000 N.A. Forney et al. (2014). Otariids: Northern fur seal d ...... 0.0113247 0.1346441 0.0103424 U.S. Navy (2019). Guadalupe fur seal e ...... 0.0234772 0.0262595 N.A. U.S. Navy (2019). California sea lion f ...... 0.0288000 0.0037000 0.0065000 U.S. Navy (2019). Steller sea lion g ...... 0.3088864 0.0022224 N.A. U.S. Navy (2019). Phocids: Northern elephant seal ...... 0.0345997 0.0345997 0.0345997 U.S. Navy (2019). Harbor seal h ...... 0.3424000 N.A. N.A. U.S. Navy (2019). a Category 1 = 0–10 km offshore, Category 2 = 10–47 km offshore (U.S. Navy 2019). b No density estimates available for false killer whales in the survey area, take is based on mean group size from Mobley et al. (2000). c Category 1 = South of 45° N, Category 2 = North of 45° N (Forney et al., 2014). d Category 1 = 22–70 km offshore, Category 2 = 70–130 km offshore, Category 3 = 130–463 km offshore (U.S. Navy 2019).
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e Category 1 = 10–200 m depth, Category 2 = 200 m depth–300 km offshore; No stock-specific densities are available so these densities were applied to northern fur seals as a species (U.S. Navy 2019). f Category 1 = 0–40 km offshore, Category 2 = 40–70 km offshore, Category 3 = 0–450 km offshore (U.S. Navy 2019). g Category 1 = shore–200 m depth, Category 2 = 200 m depth–300 m offshore (U.S. Navy 2019). h Category 1 = 0–30 km offshore (U.S. Navy 2019).
Take Calculation and Estimation presented in Table 8 do not include application, however, due to the strict areas ensonified within Canadian operational timelines and availability of Here we describe how the information territorial waters (from 0–12 nmi (22.2 the R/V Langseth, no additional time or provided above is brought together to km) from shore). As discussed above, distance has been added to the survey produce a quantitative take estimate. In NMFS cannot authorize the incidental calculations. 37 days is the absolute order to estimate the number of marine take of marine mammals in the maximum amount of time the R/V mammals predicted to be exposed to territorial seas of foreign nations, as the Langseth is available to conduct seismic sound levels that would result in Level MMPA does not apply in those waters. operations. A or Level B harassment, radial However, NMFS has still calculated the The ensonified areas in Table 8 were distances from the airgun array to level of incidental take in the entire predicted isopleths corresponding to the activity area (including Canadian used to estimate take of marine mammal Level A harassment and Level B territorial waters) as part of the analysis species with densities available for the harassment thresholds are calculated, as supporting our preliminary three depth strata (shallow, described above. Those radial distances determination under the MMPA that the intermediate, and deep waters). For are then used to calculate the area(s) activity will have a negligible impact on other species where densities are around the airgun array predicted to be the affected species. The total estimated available based on other categories (i.e., ensonified to sound levels that exceed take in U.S. and Canadian waters is gray whale, harbor porpoise, northern the Level A and Level B harassment presented in Table 11. fur seal, Guadalupe fur seal, California thresholds. The distance for the 160-dB In past applications, to account for sea lion, Steller sea lion; see Table 7), threshold (based on L–DEO model unanticipated delays in operations, L– GIS was used to determine the areas results) was used to draw a buffer DEO has added 25 percent in the form expected to be ensonified in each around every transect line in GIS to of operational days, which is equivalent density category (see Table B–2 in L– determine the total ensonified area in to adding 25 percent to the proposed DEO’s application for the ensonified each depth category (Table 8). The areas line km to be surveyed. In this areas in each category).
TABLE 8—AREAS (KM2) ESTIMATED TO BE ENSONIFIED TO LEVEL A AND LEVEL B HARASSMENT THRESHOLDS
Relevant Total Survey zone Criteria isopleth ensonified (m) area (km2)
Level B Harassment: Shallow <100 m ...... 160 dB ...... a 12,650 11,433.80 Intermediate 100–1000 m ...... 160 dB ...... b 9,468 24,200.75 Deep >1000 m ...... 160 dB ...... b 6,733 50,924.56
Overall 86,559.11 Level A Harassment All depth zones ...... LF Cetacean ...... 426.9 5,605.34 MF Cetacean ...... 13.6 179.85 HF Cetacean ...... 268.3 3,532.92 Otariid ...... 10.6 140.19 Phocid ...... 43.7 577.63 a Based on L–DEO model results. b Based on data from Crone et al. (2014).
Density estimates for Southern layers of the Level B harassment zones areas expected to be ensonified in each Resident killer whales from the U.S. in each depth category to determine the density category (Table 9). Navy’s MSDD were overlaid with GIS
TABLE 9—SOUTHERN RESIDENT KILLER WHALE DENSITIES AND CORRESPONDING ENSONIFIED AREAS
Ensonified Pod Density area (animals/km2) (km2)
K/L ...... 0.000000 5,883 0.000001—0.002803 17,875 0.002804—0.005615 2,817 0.005616—0.009366 1,200 0.009367—0.015185 320 J ...... 0.000000 7,260 0.000001—0.001991 8,648 0.001992—0.005010 1,128
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TABLE 9—SOUTHERN RESIDENT KILLER WHALE DENSITIES AND CORRESPONDING ENSONIFIED AREAS—Continued
Ensonified Pod Density area (animals/km2) (km2)
0.005011—0.009602 236 0.009603—0.018822 20
The marine mammals predicted to NMFS expects take by Level A Estimated exposures for the proposed occur within these respective areas, harassment to potentially occur, the survey outside of Canadian territorial based on estimated densities or other calculated Level A harassment takes waters are shown in Table 10. occurrence records, are assumed to be have been subtracted from the total incidentally taken. For species where within the Level B harassment zone.
TABLE 10—ESTIMATED TAKING BY LEVEL A AND LEVEL B HARASSMENT, AND PERCENTAGE OF POPULATION
Stock Estimated take Total Percent of Species MMPA stock a proposed abundance Level B Level A take MMPA stock
LF Cetaceans: Humpback whale ...... Central North Pacific ...... 10,103 172 10 b 182 1.80 California/Oregon/Wash- 2,900 6.28 ington. Blue whale ...... Eastern North Pacific ...... 1,647 63 4 67 4.06 Fin whale ...... California/Oregon/Wash- 9,029 89 6 95 1.06 ington. Northeast Pacific ...... 3,168 3.01 Sei whale ...... Eastern North Pacific ...... 27,197 32 2 34 0.13 Minke whale ...... California/Oregon/Wash- 25,000 105 7 112 0.45 ington. Gray whale ...... Eastern North Pacific ...... 26,960 90 2 92 0.34 MF Cetaceans: Sperm whale ...... California/Oregon/Wash- 26,300 71 0 71 0.27 ington. Baird’s beaked whale .. California/Oregon/Wash- 2,697 83 0 83 3.08 ington. Small beaked whale .... California/Oregon/Wash- 6,318 244 0 c 244 3.86 ington. Bottlenose dolphin ...... California/Oregon/Wash- 1,924 1 0 d 13 0.68 ington (offshore). Striped dolphin ...... California/Oregon/Wash- 29,211 7 0 d 46 0.16 ington. Short-beaked common California/Oregon/Wash- 969,861 114 0 d 179 0.02 dolphin. ington. Pacific white-sided dol- California/Oregon/Wash- 26,814 6,452 0 6,452 24.06 phin. ington. Northern right-whale California/Oregon/Wash- 26,556 4,333 0 4,333 16.32 dolphin. ington. Risso’s dolphin ...... California/Oregon/Wash- 6,336 1,906 0 1,906 30.08 ington. False killer whale ...... N.A...... N.A. N.A. N.A. e 5 N.A. Killer whale ...... Southern Resident ...... 75 43 0 43 g 57.33 Northern Resident ...... 302 27 0 f 27 8.94 West Coast Transient ...... 243 26 f 26 10.70 Offshore ...... 300 26 f 26 8.67 Short-finned pilot whale California/Oregon/Wash- 836 24 0 d 29 3.47 ington. HF Cetaceans: Pygmy/dwarf sperm California/Oregon/Wash- 4,111 135 6 141 3.42 whale. ington. Dall’s porpoise ...... California/Oregon/Wash- 27,750 10,869 452 11,321 g 40.80 ington. Harbor porpoise ...... Northern Oregon/Wash- 21,487 12,557 449 13,006 g 60.53 ington Coast. Northern California/South- 35,769 g 36.36 ern Oregon. Otariid Seals: Northern fur seal ...... Eastern Pacific ...... 620,660 4,604 0 4,604 0.74 California ...... 14,050 32.77 Guadalupe fur seal ...... Mexico to California ...... 34,187 2,387 0 2,387 6.98 California sea lion ...... U.S...... 257,606 1140 0 1,140 0.44 Steller sea lion ...... Eastern U.S...... 43,201 7281 0 7,281 16.85
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TABLE 10—ESTIMATED TAKING BY LEVEL A AND LEVEL B HARASSMENT, AND PERCENTAGE OF POPULATION—Continued
Stock Estimated take Total Percent of Species MMPA stock a proposed abundance Level B Level A take MMPA stock
Phocid Seals: Northern elephant seal California Breeding ...... 179,000 1995 0 1,995 1.11 Harbor seal ...... Oregon/Washington Coast h 24,732 6537 0 6,537 26.43 a In most cases, where multiple stocks are being affected, for the purposes of calculating the percentage of the stock impacted, the take is being analyzed as if all proposed takes occurred within each stock. b Takes are allocated among the three DPSs in the area based on Wade et al. (2017) (Oregon: 32.7% Mexico DPS, 67.2% Central America DPS; Washington/British Columbia: 27.9% Mexico DPS, 8.7% Central America DPS, 63.5% Hawaii DPS). c Total for small beaked whale guild. Requested take includes 7 Blainville’s beaked whales, 86 Stejneger’s beaked whales, 86 Cuvier’s beaked whales, and 74 Hubbs’ beaked whales (see Appendix B of L–DEO’s application for more information). d Proposed take increased to mean group size from Barlow (2016). e Proposed take increased to mean group size from Mobley et al. (2000). f Total estimated take is 86 killer whales. Approximately one-third of calculated takes were assigned to each stock due to expected equal likeli- hood of occurrence in the survey area. g The percentage of these stocks expected to experience take is discussed further in the Small Numbers section later in the document. h As noted in Table 1, there is no current estimate of abundance available for the Oregon/Washington Coast stock of harbor seal. The abun- dance estimate from 1999, included here, is the best available.
The proposed take numbers shown in least practicable adverse impact on Mitigation measures that would be Table 10 are expected to be species or stocks and their habitat, as adopted during the planned surveys conservative. Marine mammals would well as subsistence uses where include (1) Vessel-based visual be expected to move away from a loud applicable, we carefully consider two mitigation monitoring; (2) Vessel-based sound source that represents an aversive primary factors: passive acoustic monitoring; (3) stimulus, such as an airgun array, (1) The manner in which, and the Establishment of an exclusion zone; (4) potentially reducing the number of takes degree to which, the successful Shutdown procedures; (5) Ramp-up by Level A harassment. However, the implementation of the measure(s) is procedures; and (6) Vessel strike extent to which marine mammals would expected to reduce impacts to marine avoidance measures. move away from the sound source is mammals, marine mammal species or Vessel-Based Visual Mitigation difficult to quantify and is therefore not stocks, and their habitat. This considers Monitoring accounted for in the take estimates. the nature of the potential adverse Also, note that in consideration of the impact being mitigated (likelihood, Visual monitoring requires the use of scope, range). It further considers the near-field soundscape of the airgun trained observers (herein referred to as likelihood that the measure will be array, we propose to authorize a visual PSOs) to scan the ocean surface effective if implemented (probability of different number of takes of mid- visually for the presence of marine accomplishing the mitigating result if frequency cetaceans and pinnipeds by mammals. The area to be scanned implemented as planned), the Level A harassment than the number visually includes primarily the likelihood of effective implementation proposed by L–DEO (see Appendix B in exclusion zone, within which (probability implemented as planned); L–DEO’s IHA application). observation of certain marine mammals and Proposed Mitigation (2) the practicability of the measures requires shutdown of the acoustic source, but also the buffer zone. The In order to issue an IHA under for applicant implementation, which may consider such things as cost, buffer zone means an area beyond the Section 101(a)(5)(D) of the MMPA, impact on operations, and, in the case exclusion zone to be monitored for the NMFS must set forth the permissible of a military readiness activity, presence of marine mammals that may methods of taking pursuant to the personnel safety, practicality of enter the exclusion zone. During pre- activity, and other means of effecting implementation, and impact on the clearance monitoring (i.e., before ramp- the least practicable impact on the effectiveness of the military readiness up begins), the buffer zone also acts as species or stock and its habitat, paying activity. an extension of the exclusion zone in particular attention to rookeries, mating L–DEO has reviewed mitigation that observations of marine mammals grounds, and areas of similar measures employed during seismic within the buffer zone would also significance, and on the availability of research surveys authorized by NMFS prevent airgun operations from the species or stock for taking for certain under previous incidental harassment beginning (i.e. ramp-up). The buffer subsistence uses (latter not applicable authorizations, as well as recommended zone encompasses the area at and below for this action). NMFS regulations best practices in Richardson et al. the sea surface from the edge of the 0– require applicants for incidental take (1995), Pierson et al. (1998), Weir and 500 m exclusion zone, out to a radius authorizations to include information Dolman (2007), Nowacek et al. (2013), of 1,000 m from the edges of the airgun about the availability and feasibility Wright (2014), and Wright and array (500–1,000 m). Visual monitoring (economic and technological) of Cosentino (2015), and has incorporated of the exclusion zone and adjacent equipment, methods, and manner of a suite of proposed mitigation measures waters is intended to establish and, conducting the activity or other means into their project description based on when visual conditions allow, maintain of effecting the least practicable adverse the above sources. zones around the sound source that are impact upon the affected species or To reduce the potential for clear of marine mammals, thereby stocks and their habitat (50 CFR disturbance from acoustic stimuli reducing or eliminating the potential for 216.104(a)(11)). associated with the activities, L–DEO injury and minimizing the potential for In evaluating how mitigation may or has proposed to implement mitigation more severe behavioral reactions for may not be appropriate to ensure the measures for marine mammals. animals occurring closer to the vessel.
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Visual monitoring of the buffer zone is the array or around the vessel itself). monitoring is intended to further intended to (1) provide additional During use of the acoustic source (i.e., support visual monitoring (during protection to naı¨ve marine mammals anytime airguns are active, including daylight hours) in maintaining an that may be in the area during pre- ramp-up), detections of marine exclusion zone around the sound source clearance, and (2) during airgun use, aid mammals within the buffer zone (but that is clear of marine mammals. In in establishing and maintaining the outside the exclusion zone) shall be cases where visual monitoring is not exclusion zone by alerting the visual communicated to the operator to effective (e.g., due to weather, observer and crew of marine mammals prepare for the potential shutdown of nighttime), acoustic monitoring may be that are outside of, but may approach the acoustic source. used to allow certain activities to occur, and enter, the exclusion zone. During use of the airgun (i.e., anytime as further detailed below. L–DEO must use dedicated, trained, the acoustic source is active, including Passive acoustic monitoring (PAM) NMFS-approved Protected Species ramp-up), detections of marine would take place in addition to the Observers (PSOs). The PSOs must have mammals within the buffer zone (but visual monitoring program. Visual no tasks other than to conduct outside the exclusion zone) should be monitoring typically is not effective observational effort, record communicated to the operator to during periods of poor visibility or at observational data, and communicate prepare for the potential shutdown of night, and even with good visibility, is with and instruct relevant vessel crew the acoustic source. Visual PSOs will unable to detect marine mammals when with regard to the presence of marine immediately communicate all they are below the surface or beyond mammals and mitigation requirements. observations to the on duty acoustic visual range. Acoustical monitoring can PSO resumes shall be provided to PSO(s), including any determination by be used in addition to visual NMFS for approval. the PSO regarding species observations to improve detection, At least one of the visual and two of identification, distance, and bearing and identification, and localization of the acoustic PSOs (discussed below) the degree of confidence in the cetaceans. The acoustic monitoring aboard the vessel must have a minimum determination. Any observations of would serve to alert visual PSOs (if on of 90 days at-sea experience working in marine mammals by crew members duty) when vocalizing cetaceans are those roles, respectively, during a deep shall be relayed to the PSO team. During detected. It is only useful when marine penetration (i.e., ‘‘high energy’’) seismic good conditions (e.g., daylight hours; mammals call, but it can be effective survey, with no more than 18 months Beaufort sea state (BSS) 3 or less), visual either by day or by night, and does not elapsed since the conclusion of the at- PSOs shall conduct observations when depend on good visibility. It would be sea experience. One visual PSO with the acoustic source is not operating for monitored in real time so that the visual such experience shall be designated as comparison of sighting rates and observers can be advised when the lead for the entire protected species behavior with and without use of the cetaceans are detected. observation team. The lead PSO shall acoustic source and between acquisition The R/V Langseth will use a towed serve as primary point of contact for the periods, to the maximum extent PAM system, which must be monitored vessel operator and ensure all PSO practicable. by at a minimum one on duty acoustic requirements per the IHA are met. To While the R/V Langseth is surveying PSO beginning at least 30 minutes prior the maximum extent practicable, the in water depths of 200 m or less, a to ramp-up and at all times during use experienced PSOs should be scheduled second vessel with additional PSOs of the acoustic source. Acoustic PSOs to be on duty with those PSOs with would travel approximately 5 km ahead may be on watch for a maximum of four appropriate training but who have not of the R/V Langseth. Two PSOs would consecutive hours followed by a break yet gained relevant experience. be on watch on the second vessel during of at least one hour between watches During survey operations (e.g., any all such survey operations and would and may conduct a maximum of 12 day on which use of the acoustic source alert PSOs on the R/V Langseth of any hours of observation per 24-hour period. is planned to occur, and whenever the marine mammal observations so that Combined observational duties (acoustic acoustic source is in the water, whether they may be prepared to initiate and visual but not at same time) may activated or not), a minimum of two shutdowns. not exceed 12 hours per 24-hour period visual PSOs must be on duty and Visual PSOs on both vessels may be for any individual PSO. conducting visual observations at all on watch for a maximum of four Survey activity may continue for 30 times during daylight hours (i.e., from consecutive hours followed by a break minutes when the PAM system 30 minutes prior to sunrise through 30 of at least one hour between watches malfunctions or is damaged, while the minutes following sunset). Visual and may conduct a maximum of 12 PAM operator diagnoses the issue. If the monitoring of the exclusion and buffer hours of observation per 24-hour period. diagnosis indicates that the PAM system zones must begin no less than 30 Combined observational duties (visual must be repaired to solve the problem, minutes prior to ramp-up and must and acoustic but not at same time) may operations may continue for an continue until one hour after use of the not exceed 12 hours per 24-hour period additional five hours without acoustic acoustic source ceases or until 30 for any individual PSO. monitoring during daylight hours only minutes past sunset. Visual PSOs shall Passive Acoustic Monitoring under the following conditions: coordinate to ensure 360° visual • Sea state is less than or equal to coverage around the vessel from the Acoustic monitoring means the use of BSS 4; most appropriate observation posts, and trained personnel (sometimes referred to • No marine mammals (excluding shall conduct visual observations using as passive acoustic monitoring (PAM) delphinids, other than killer whales) binoculars and the naked eye while free operators, herein referred to as acoustic detected solely by PAM in the from distractions and in a consistent, PSOs) to operate PAM equipment to applicable exclusion zone in the systematic, and diligent manner. acoustically detect the presence of previous two hours; PSOs shall establish and monitor the marine mammals. Acoustic monitoring • NMFS is notified via email as soon exclusion and buffer zones. These zones involves acoustically detecting marine as practicable with the time and shall be based upon the radial distance mammals regardless of distance from location in which operations began from the edges of the acoustic source the source, as localization of animals occurring without an active PAM (rather than being based on the center of may not always be possible. Acoustic system; and
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• Operations with an active acoustic prevent operations (i.e., the beginning of within the buffer zone do not require source, but without an operating PAM ramp-up). The intent of ramp-up is to shutdown, but such observation shall be system, do not exceed a cumulative total warn protected species of pending communicated to the operator to of five hours in any 24-hour period. seismic operations and to allow prepare for the potential shutdown; sufficient time for those animals to leave • Ramp-up may occur at times of Establishment of Exclusion and Buffer the immediate vicinity. A ramp-up poor visibility, including nighttime, if Zones procedure, involving a step-wise appropriate acoustic monitoring has An exclusion zone (EZ) is a defined increase in the number of airguns firing occurred with no detections in the 30 area within which occurrence of a and total array volume until all minutes prior to beginning ramp-up. marine mammal triggers mitigation operational airguns are activated and Acoustic source activation may only action intended to reduce the potential the full volume is achieved, is required occur at times of poor visibility where for certain outcomes, e.g., auditory at all times as part of the activation of operational planning cannot reasonably injury, disruption of critical behaviors. the acoustic source. All operators must avoid such circumstances; The PSOs would establish a minimum adhere to the following pre-clearance • If the acoustic source is shut down EZ with a 500-m radius. The 500-m EZ and ramp-up requirements: for brief periods (i.e., less than 30 would be based on radial distance from • The operator must notify a minutes) for reasons other than that the edge of the airgun array (rather than designated PSO of the planned start of described for shutdown (e.g., being based on the center of the array ramp-up as agreed upon with the lead mechanical difficulty), it may be or around the vessel itself). With certain PSO; the notification time should not be activated again without ramp-up if PSOs exceptions (described below), if a less than 60 minutes prior to the have maintained constant visual and/or marine mammal appears within or planned ramp-up in order to allow the acoustic observation and no visual or enters this zone, the acoustic source PSOs time to monitor the exclusion and acoustic detections of marine mammals would be shut down. buffer zones for 30 minutes prior to the have occurred within the applicable The 500-m EZ is intended to be initiation of ramp-up (pre-clearance); exclusion zone. For any longer precautionary in the sense that it would • Ramp-ups shall be scheduled so as shutdown, pre-clearance observation be expected to contain sound exceeding to minimize the time spent with the and ramp-up are required. For any the injury criteria for all cetacean source activated prior to reaching the shutdown at night or in periods of poor hearing groups, (based on the dual designated run-in; visibility (e.g., BSS 4 or greater), ramp- criteria of SELcum and peak SPL), while • One of the PSOs conducting pre- up is required, but if the shutdown also providing a consistent, reasonably clearance observations must be notified period was brief and constant observable zone within which PSOs again immediately prior to initiating observation was maintained, pre- would typically be able to conduct ramp-up procedures and the operator clearance watch of 30 minutes is not effective observational effort. must receive confirmation from the PSO required; and Additionally, a 500-m EZ is expected to to proceed; • Testing of the acoustic source minimize the likelihood that marine • Ramp-up may not be initiated if any involving all elements requires ramp- mammals will be exposed to levels marine mammal is within the applicable up. Testing limited to individual source likely to result in more severe exclusion or buffer zone. If a marine elements or strings does not require behavioral responses. Although mammal is observed within the ramp-up but does require pre-clearance significantly greater distances may be applicable exclusion zone or the buffer of 30 min. zone during the 30 minute pre-clearance observed from an elevated platform Shutdown under good conditions, we believe that period, ramp-up may not begin until the 500 m is likely regularly attainable for animal(s) has been observed exiting the The shutdown of an airgun array PSOs using the naked eye during typical zones or until an additional time period requires the immediate de-activation of conditions. has elapsed with no further sightings all individual airgun elements of the An extended EZ of 1,500 m must be (15 minutes for small odontocetes and array. Any PSO on duty will have the enforced for all beaked whales, and pinnipeds, and 30 minutes for all authority to delay the start of survey dwarf and pygmy sperm whales. No mysticetes and all other odontocetes, operations or to call for shutdown of the buffer zone is required. including sperm whales, pygmy sperm acoustic source if a marine mammal is whales, dwarf sperm whales, beaked detected within the applicable Pre-Clearance and Ramp-Up whales, pilot whales, false killer whales, exclusion zone. The operator must also Ramp-up (sometimes referred to as and Risso’s dolphins); establish and maintain clear lines of ‘‘soft start’’) means the gradual and • Ramp-up shall begin by activating a communication directly between PSOs systematic increase of emitted sound single airgun of the smallest volume in on duty and crew controlling the levels from an airgun array. Ramp-up the array and shall continue in stages by acoustic source to ensure that shutdown begins by first activating a single airgun doubling the number of active elements commands are conveyed swiftly while of the smallest volume, followed by at the commencement of each stage, allowing PSOs to maintain watch. When doubling the number of active elements with each stage of approximately the both visual and acoustic PSOs are on in stages until the full complement of an same duration. Duration shall not be duty, all detections will be immediately array’s airguns are active. Each stage less than 20 minutes. The operator must communicated to the remainder of the should be approximately the same provide information to the PSO on-duty PSO team for potential duration, and the total duration should documenting that appropriate verification of visual observations by the not be less than approximately 20 procedures were followed; acoustic PSO or of acoustic detections minutes. The intent of pre-clearance • PSOs must monitor the exclusion by visual PSOs. When the airgun array observation (30 minutes) is to ensure no and buffer zones during ramp-up, and is active (i.e., anytime one or more protected species are observed within ramp-up must cease and the source airguns is active, including during the buffer zone prior to the beginning of must be shut down upon detection of a ramp-up) and (1) a marine mammal ramp-up. During pre-clearance is the marine mammal within the applicable appears within or enters the applicable only time observations of protected exclusion zone. Once ramp-up has exclusion zone and/or (2) a marine species in the buffer zone would begun, detections of marine mammals mammal (other than delphinids, see
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below) is detected acoustically and A large body of anecdotal evidence • Any large whale (defined as a localized within the applicable indicates that small dolphins commonly sperm whale or any mysticete species) exclusion zone, the acoustic source will approach vessels and/or towed arrays with a calf (defined as an animal less be shut down. When shutdown is called during active sound production for than two-thirds the body size of an adult for by a PSO, the acoustic source will purposes of bow riding, with no observed to be in close association with be immediately deactivated and any apparent effect observed in those an adult; dispute resolved only following delphinoids (e.g., Barkaszi et al., 2012). • An aggregation of six or more large deactivation. Additionally, shutdown The potential for increased shutdowns whales; will occur whenever PAM alone resulting from such a measure would • A North Pacific right whale; and/or • (without visual sighting), confirms require the Langseth to revisit the A killer whale of any ecotype. presence of marine mammal(s) in the missed track line to reacquire data, Vessel Strike Avoidance EZ. If the acoustic PSO cannot confirm resulting in an overall increase in the presence within the EZ, visual PSOs total sound energy input to the marine These measures apply to all vessels will be notified but shutdown is not environment and an increase in the total associated with the planned survey required. L–DEO must also implement duration over which the survey is active activity; however, we note that these shutdown of the airgun array if killer in a given area. Although other mid- requirements do not apply in any case whale vocalizations are detected, frequency hearing specialists (e.g., large where compliance would create an regardless of localization. delphinoids) are no more likely to incur imminent and serious threat to a person Following a shutdown, airgun activity auditory injury than are small dolphins, or vessel or to the extent that a vessel would not resume until the marine they are much less likely to approach is restricted in its ability to maneuver mammal has cleared the 500-m EZ. The vessels. Therefore, retaining a shutdown and, because of the restriction, cannot animal would be considered to have requirement for large delphinoids comply. These measures include the cleared the 500-m EZ if it is visually would not have similar impacts in terms following: 1. Vessel operators and crews must observed to have departed the 500-m of either practicability for the applicant maintain a vigilant watch for all marine EZ, or it has not been seen within the or corollary increase in sound energy mammals and slow down, stop their 500-m EZ for 15 min in the case of small output and time on the water. We do vessel, or alter course, as appropriate odontocetes and pinnipeds, or 30 min in anticipate some benefit for a shutdown and regardless of vessel size, to avoid the case of mysticetes and large requirement for large delphinoids in striking any marine mammal. A single odontocetes, including sperm whales, that it simplifies somewhat the total marine mammal at the surface may pygmy sperm whales, dwarf sperm range of decision-making for PSOs and indicate the presence of submerged whales, pilot whales, beaked whales, may preclude any potential for animals in the vicinity of the vessel; false killer whales, and Risso’s physiological effects other than to the therefore, precautionary measures dolphins. auditory system as well as some more The shutdown requirement can be should be exercised when an animal is severe behavioral reactions for any such waived for small dolphins if an observed. A visual observer aboard the animals in close proximity to the source individual is visually detected within vessel must monitor a vessel strike vessel. the exclusion zone. As defined here, the avoidance zone around the vessel small dolphin group is intended to Visual PSOs shall use best (specific distances detailed below), to encompass those members of the Family professional judgment in making the ensure the potential for strike is Delphinidae most likely to voluntarily decision to call for a shutdown if there minimized. Visual observers monitoring approach the source vessel for purposes is uncertainty regarding identification the vessel strike avoidance zone can be of interacting with the vessel and/or (i.e., whether the observed marine either third-party observers or crew airgun array (e.g., bow riding). This mammal(s) belongs to one of the members, but crew members exception to the shutdown requirement delphinid genera for which shutdown is responsible for these duties must be applies solely to specific genera of small waived or one of the species with a provided sufficient training to dolphins—Tursiops, Delphinus, larger exclusion zone). distinguish marine mammals from other Stenella, Lagenorhynchus, and Upon implementation of shutdown, phenomena and broadly to identify a Lissodelphis. the source may be reactivated after the marine mammal to broad taxonomic We include this small dolphin marine mammal(s) has been observed group (i.e., as a large whale or other exception because shutdown exiting the applicable exclusion zone marine mammal); requirements for small dolphins under (i.e., animal is not required to fully exit 2. Vessel speeds must be reduced to all circumstances represent the buffer zone where applicable) or 10 kn or less when mother/calf pairs, practicability concerns without likely following 15 minutes for small pods, or large assemblages of any commensurate benefits for the animals odontocetes and pinnipeds, and 30 marine mammal are observed near a in question. Small dolphins are minutes for mysticetes and all other vessel; generally the most commonly observed odontocetes, including sperm whales, 3. All vessels must maintain a marine mammals in the specific pygmy sperm whales, dwarf sperm minimum separation distance of 100 m geographic region and would typically whales, beaked whales, pilot whales, from large whales (i.e., sperm whales be the only marine mammals likely to and Risso’s dolphins, with no further and all mysticetes); intentionally approach the vessel. As observation of the marine mammal(s). 4. All vessels must attempt to described above, auditory injury is L–DEO must implement shutdown if maintain a minimum separation extremely unlikely to occur for mid- a marine mammal species for which distance of 50 m from all other marine frequency cetaceans (e.g., delphinids), take was not authorized, or a species for mammals, with an exception made for as this group is relatively insensitive to which authorization was granted but the those animals that approach the vessel; sound produced at the predominant takes have been met, approaches the and frequencies in an airgun pulse while Level A or Level B harassment zones. L– 5. When marine mammals are sighted also having a relatively high threshold DEO must also implement shutdown if while a vessel is underway, the vessel for the onset of auditory injury (i.e., any of the following are observed at any should take action as necessary to avoid permanent threshold shift). distance: violating the relevant separation
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distance (e.g., attempt to remain parallel exclude L–DEO from waters within the • How anticipated responses to to the animal’s course, avoid excessive 200-m isobath for this survey. stressors impact either: (1) Long-term speed or abrupt changes in direction We have carefully evaluated the suite fitness and survival of individual until the animal has left the area). If of mitigation measures described here marine mammals; or (2) populations, marine mammals are sighted within the and considered a range of other species, or stocks; relevant separation distance, the vessel measures in the context of ensuring that • Effects on marine mammal habitat should reduce speed and shift the we prescribe the means of effecting the (e.g., marine mammal prey species, engine to neutral, not engaging the least practicable adverse impact on the acoustic habitat, or other important engines until animals are clear of the affected marine mammal species and physical components of marine area. This recommendation does not stocks and their habitat. Based on our mammal habitat); and apply to any vessel towing gear. evaluation of the proposed measures, as • Mitigation and monitoring well as other measures considered by effectiveness. Operational Restrictions NMFS described above, NMFS has Vessel-Based Visual Monitoring While the R/V Langseth is surveying preliminarily determined that the in waters 200 m deep or less, survey mitigation measures provide the means As described above, PSO observations operations will occur in daylight hours effecting the least practicable impact on would take place during daytime airgun only (i.e., from 30 minutes prior to the affected species or stocks and their operations. During seismic operations, sunrise through 30 minutes following habitat, paying particular attention to at least five visual PSOs would be based sunset) to ensure the ability to use rookeries, mating grounds, and areas of aboard the Langseth. Two visual PSOs visual observation as a detection-based similar significance. would be on duty at all time during mitigation tool and to implement daytime hours, with an additional two shutdown procedures for species or Proposed Monitoring and Reporting PSOs on duty aboard a second scout situations with additional shutdown In order to issue an IHA for an vessel at all times during daylight hours requirements outlined above (e.g., killer activity, Section 101(a)(5)(D) of the when operating in waters shallower whale of any ecotype, aggregation of six MMPA states that NMFS must set forth than 200 m. Monitoring shall be or more large whales, large whale with requirements pertaining to the conducted in accordance with the a calf). monitoring and reporting of such taking. following requirements: The MMPA implementing regulations at • The operator shall provide PSOs Communication 50 CFR 216.104 (a)(13) indicate that with bigeye binoculars (e.g., 25 x 150; Each day of survey operations, L–DEO requests for authorizations must include 2.7 view angle; individual ocular focus; will contact NMFS Northwest Fisheries the suggested means of accomplishing height control) of appropriate quality Science Center, NMFS West Coast the necessary monitoring and reporting (i.e., Fujinon or equivalent) solely for Region, The Whale Museum, Orca that will result in increased knowledge PSO use. These shall be pedestal- Network, Canada’s DFO and/or other of the species and of the level of taking mounted on the deck at the most sources to obtain near real-time or impacts on populations of marine appropriate vantage point that provides reporting for the whereabouts of mammals that are expected to be for optimal sea surface observation, PSO Southern Resident killer whales. present in the proposed action area. safety, and safe operation of the vessel; Effective reporting is critical both to and Mitigation Measures Considered But • Eliminated compliance as well as ensuring that the The operator will work with the most value is obtained from the required selected third-party observer provider to As stated above, in determining monitoring. ensure PSOs have all equipment appropriate mitigation measures, NMFS Monitoring and reporting (including backup equipment) needed considers the practicability of the requirements prescribed by NMFS to adequately perform necessary tasks, measures for applicant implementation, should contribute to improved including accurate determination of which may include such things as cost understanding of one or more of the distance and bearing to observed marine or impact on operations. NMFS has following: mammals. proposed expanding critical habitat for • Occurrence of marine mammal PSOs must have the following Southern Resident killer whales to species or stocks in the area in which requirements and qualifications: include marine waters between the 6.1- take is anticipated (e.g., presence, • PSOs shall be independent, m depth contour and the 200-m depth abundance, distribution, density); dedicated, trained visual and acoustic contour from the U.S. international • Nature, scope, or context of likely PSOs and must be employed by a third- border with Canada south to Point Sur, marine mammal exposure to potential party observer provider; California (84 FR 49214; September 19, stressors/impacts (individual or • PSOs shall have no tasks other than 2019). Though the proposed expansion cumulative, acute or chronic), through to conduct observational effort (visual or has not been finalized, due to the better understanding of: (1) Action or acoustic), collect data, and habitat features of the area and the environment (e.g., source communicate with and instruct relevant higher likelihood of occurrence within characterization, propagation, ambient vessel crew with regard to the presence the area, NMFS considered noise); (2) affected species (e.g., life of protected species and mitigation implementing a closure area and history, dive patterns); (3) co-occurrence requirements (including brief alerts prohibiting L–DEO from conducting of marine mammal species with the regarding maritime hazards); survey operations between the 200-m action; or (4) biological or behavioral • PSOs shall have successfully isobath and the coastline. However, this context of exposure (e.g., age, calving or completed an approved PSO training measure was eliminated from feeding areas); course appropriate for their designated consideration because the closure • Individual marine mammal task (visual or acoustic). Acoustic PSOs would not be practicable for L–DEO, as responses (behavioral or physiological) are required to complete specialized the primary purpose of their proposed to acoustic stressors (acute, chronic, or training for operating PAM systems and survey is to investigate the geologic cumulative), other stressors, or are encouraged to have familiarity with features that occur within that area. cumulative impacts from multiple the vessel with which they will be Therefore, NMFS is not proposing to stressors; working;
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• PSOs can act as acoustic or visual ramp-up of the acoustic source. If • Estimated number of animals (high/ observers (but not at the same time) as required mitigation was not low/best); long as they demonstrate that their implemented, PSOs should record a • Estimated number of animals by training and experience are sufficient to description of the circumstances. At a cohort (adults, yearlings, juveniles, perform the task at hand; minimum, the following information calves, group composition, etc.); • NMFS must review and approve must be recorded: • Description (as many distinguishing PSO resumes accompanied by a relevant • Vessel names (source vessel and features as possible of each individual training course information packet that other vessels associated with survey) seen, including length, shape, color, includes the name and qualifications and call signs; pattern, scars or markings, shape and (i.e., experience, training completed, or • PSO names and affiliations; size of dorsal fin, shape of head, and educational background) of the • Dates of departures and returns to blow characteristics); instructor(s), the course outline or port with port name; • Detailed behavior observations (e.g., syllabus, and course reference material • Date and participants of PSO number of blows/breaths, number of as well as a document stating successful briefings; surfaces, breaching, spyhopping, diving, • completion of the course; Dates and times (Greenwich Mean feeding, traveling; as explicit and • NMFS shall have one week to Time) of survey effort and times detailed as possible; note any observed approve PSOs from the time that the corresponding with PSO effort; • changes in behavior); necessary information is submitted, Vessel location (latitude/longitude) • Animal’s closest point of approach after which PSOs meeting the minimum when survey effort began and ended and (CPA) and/or closest distance from any requirements shall automatically be vessel location at beginning and end of element of the acoustic source; visual PSO duty shifts; • considered approved; • Platform activity at time of sighting • PSOs must successfully complete Vessel heading and speed at (e.g., deploying, recovering, testing, relevant training, including completion beginning and end of visual PSO duty shooting, data acquisition, other); and shifts and upon any line change; • of all required coursework and passing • Description of any actions (80 percent or greater) a written and/or Environmental conditions while on implemented in response to the sighting oral examination developed for the visual survey (at beginning and end of (e.g., delays, shutdown, ramp-up) and training program; PSO shift and whenever conditions time and location of the action. • PSOs must have successfully changed significantly), including BSS If a marine mammal is detected while attained a bachelor’s degree from an and any other relevant weather using the PAM system, the following accredited college or university with a conditions including cloud cover, fog, information should be recorded: major in one of the natural sciences, a sun glare, and overall visibility to the • An acoustic encounter minimum of 30 semester hours or horizon; • identification number, and whether the equivalent in the biological sciences, Factors that may have contributed detection was linked with a visual and at least one undergraduate course in to impaired observations during each sighting; math or statistics; and PSO shift change or as needed as • Date and time when first and last • The educational requirements may environmental conditions changed (e.g., heard; be waived if the PSO has acquired the vessel traffic, equipment malfunctions); • Types and nature of sounds heard relevant skills through alternate and (e.g., clicks, whistles, creaks, burst • experience. Requests for such a waiver Survey activity information, such as pulses, continuous, sporadic, strength of shall be submitted to NMFS and must acoustic source power output while in signal); and include written justification. Requests operation, number and volume of • Any additional information shall be granted or denied (with airguns operating in the array, tow recorded such as water depth of the justification) by NMFS within one week depth of the array, and any other notes hydrophone array, bearing of the animal of receipt of submitted information. of significance (i.e., pre-clearance, ramp- to the vessel (if determinable), species Alternate experience that may be up, shutdown, testing, shooting, ramp- or taxonomic group (if determinable), considered includes, but is not limited up completion, end of operations, spectrogram screenshot, and any other to (1) secondary education and/or streamers, etc.). notable information. experience comparable to PSO duties; The following information should be (2) previous work experience recorded upon visual observation of any Reporting protected species: A report would be submitted to NMFS conducting academic, commercial, or • government-sponsored protected Watch status (sighting made by PSO within 90 days after the end of the species surveys; or (3) previous work on/off effort, opportunistic, crew, cruise. The report would describe the experience as a PSO; the PSO should alternate vessel/platform); operations that were conducted and • PSO who sighted the animal; demonstrate good standing and • sightings of marine mammals near the Time of sighting; operations. The report would provide consistently good performance of PSO • Vessel location at time of sighting; duties. • Water depth; full documentation of methods, results, For data collection purposes, PSOs • Direction of vessel’s travel (compass and interpretation pertaining to all shall use standardized data collection direction); monitoring. The 90-day report would forms, whether hard copy or electronic. • Direction of animal’s travel relative summarize the dates and locations of PSOs shall record detailed information to the vessel; seismic operations, and all marine about any implementation of mitigation • Pace of the animal; mammal sightings (dates, times, requirements, including the distance of • Estimated distance to the animal locations, activities, associated seismic animals to the acoustic source and and its heading relative to vessel at survey activities). The report would also description of specific actions that initial sighting; include estimates of the number and ensued, the behavior of the animal(s), • Identification of the animal (e.g., nature of exposures that occurred above any observed changes in behavior before genus/species, lowest possible the harassment threshold based on PSO and after implementation of mitigation, taxonomic level, or unidentified) and observations and including an estimate and if shutdown was implemented, the the composition of the group if there is of those that were not detected, in length of time before any subsequent a mix of species; consideration of both the characteristics
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and behaviors of the species of marine • Vessel’s speed during and leading determine what measures are necessary mammals that affect detectability, as up to the incident; to minimize that likelihood (e.g., well as the environmental factors that • Vessel’s course/heading and what extending the shutdown or moving affect detectability. operations were being conducted (if operations farther away) and to The draft report shall also include applicable); implement those measures as geo-referenced time-stamped vessel • Status of all sound sources in use; appropriate. tracklines for all time periods during • Description of avoidance measures/ Additional Information Requests—if which airguns were operating. requirements that were in place at the NMFS determines that the Tracklines should include points time of the strike and what additional circumstances of any marine mammal recording any change in airgun status measure were taken, if any, to avoid stranding found in the vicinity of the (e.g., when the airguns began operating, strike; activity suggest investigation of the when they were turned off, or when • Environmental conditions (e.g., association with survey activities is they changed from full array to single wind speed and direction, Beaufort sea warranted, and an investigation into the gun or vice versa). GIS files shall be state, cloud cover, visibility) stranding is being pursued, NMFS will provided in ESRI shapefile format and immediately preceding the strike; submit a written request to L–DEO • include the UTC date and time, latitude Species identification (if known) or indicating that the following initial in decimal degrees, and longitude in description of the animal(s) involved; available information must be provided • decimal degrees. All coordinates shall Estimated size and length of the as soon as possible, but no later than 7 animal that was struck business days after the request for be referenced to the WGS84 geographic • coordinate system. In addition to the Description of the behavior of the information: report, all raw observational data shall animal immediately preceding and • Status of all sound source use in the following the strike; 48 hours preceding the estimated time be made available to NMFS. The report • must summarize the information If available, description of the of stranding and within 50 km of the submitted in interim monthly reports as presence and behavior of any other discovery/notification of the stranding well as additional data collected as marine mammals present immediately by NMFS; and • described above and in the IHA. A final preceding the strike; If available, description of the • Estimated fate of the animal (e.g., report must be submitted within 30 days behavior of any marine mammal(s) dead, injured but alive, injured and following resolution of any comments observed preceding (i.e., within 48 moving, blood or tissue observed in the on the draft report. hours and 50 km) and immediately after water, status unknown, disappeared); the discovery of the stranding. Reporting Injured or Dead Marine and In the event that the investigation is Mammals • To the extent practicable, still inconclusive, the investigation of Discovery of injured or dead marine photographs or video footage of the the association of the survey activities is mammals—In the event that personnel animal(s). still warranted, and the investigation is involved in survey activities covered by Actions To Minimize Additional Harm still being pursued, NMFS may provide the authorization discover an injured or to Live-stranded (or Milling) Marine additional information requests, in dead marine mammal, the L–DEO shall Mammals writing, regarding the nature and report the incident to the Office of location of survey operations prior to In the event of a live stranding (or Protected Resources (OPR), NMFS and the time period above. near-shore atypical milling) event to the NMFS West Coast Regional within 50 km of the survey operations, Reporting Species of Concern Stranding Coordinator as soon as where the NMFS stranding network is feasible. The report must include the To support NMFS’s goal of improving engaged in herding or other following information: our understanding of occurrence of interventions to return animals to the • Time, date, and location (latitude/ marine mammal species or stocks in the water, the Director of OPR, NMFS (or longitude) of the first discovery (and area (e.g., presence, abundance, designee) will advise L–DEO of the need updated location information if known distribution, density), L–DEO will to implement shutdown procedures for and applicable); immediately report observations of • Species identification (if known) or all active acoustic sources operating Southern Resident killer whales and description of the animal(s) involved; within 50 km of the stranding. North Pacific right whales to OPR, • Condition of the animal(s) Shutdown procedures for live stranding NMFS . (including carcass condition if the or milling marine mammals include the following: If at any time, the marine Negligible Impact Analysis and animal is dead); Determination • Observed behaviors of the mammal the marine mammal(s) die or animal(s), if alive; are euthanized, or if herding/ NMFS has defined negligible impact • If available, photographs or video intervention efforts are stopped, the as an impact resulting from the footage of the animal(s); and Director of OPR, NMFS (or designee) specified activity that cannot be • General circumstances under which will advise the IHA-holder that the reasonably expected to, and is not the animal was discovered. shutdown around the animals’ location reasonably likely to, adversely affect the Vessel strike—In the event of a ship is no longer needed. Otherwise, species or stock through effects on strike of a marine mammal by any vessel shutdown procedures will remain in annual rates of recruitment or survival involved in the activities covered by the effect until the Director of OPR, NMFS (50 CFR 216.103). A negligible impact authorization, L–DEO shall report the (or designee) determines and advises L– finding is based on the lack of likely incident to OPR, NMFS and to the DEO that all live animals involved have adverse effects on annual rates of NMFS West Coast Regional Stranding left the area (either of their own volition recruitment or survival (i.e., population- Coordinator as soon as feasible. The or following an intervention). level effects). An estimate of the number report must include the following If further observations of the marine of takes alone is not enough information information: mammals indicate the potential for re- on which to base an impact • Time, date, and location (latitude/ stranding, additional coordination with determination. In addition to longitude) of the incident; the IHA-holder will be required to considering estimates of the number of
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marine mammals that might be ‘‘taken’’ incorporated into this analysis via their population due to differences in through harassment, NMFS considers impacts on the environmental baseline population status, or impacts on habitat, other factors, such as the likely nature (e.g., as reflected in the regulatory status NMFS has identified species-specific of any responses (e.g., intensity, of the species, population size and factors to inform the analysis. As duration), the context of any responses growth rate where known, ongoing described above, we proposed to (e.g., critical reproductive time or sources of human-caused mortality, or authorize only the takes estimated to location, migration), as well as effects ambient noise levels). occur outside of Canadian territorial on habitat, and the likely effectiveness To avoid repetition, our analysis waters (Table 10); however, for the of the mitigation. We also assess the applies to all species listed in Tables 10 purposes of our negligible impact number, intensity, and context of and 11, given that NMFS expects the analysis and determination, we consider estimated takes by evaluating this anticipated effects of the planned the total number of takes that are information relative to population geophysical survey to be similar in anticipated to occur as a result of the status. Consistent with the 1989 nature. Where there are meaningful entire proposed survey (including the preamble for NMFS’s implementing differences between species or stocks, or portion of the survey that would occur regulations (54 FR 40338; September 29, groups of species, in anticipated within the Canadian territorial waters 1989), the impacts from other past and individual responses to activities, (approximately four percent of the ongoing anthropogenic activities are impact of expected take on the survey) (Table 11).
TABLE 11—TOTAL ESTIMATED TAKE INCLUDING CANADIAN TERRITORIAL WATERS
Estimated take Estimated take Total estimated take (excluding Canadian (Canadian Species territorial waters) territorial waters) Level B Level A Level A Level B Level A Level B
LF Cetaceans: Humpback whale ...... 172 10 23 1 195 11 Blue whale ...... 63 4 8 0 71 4 Fin whale ...... 89 6 2 0 91 6 Sei whale ...... 32 2 2 0 34 2 Minke whale ...... 105 7 6 0 111 7 Gray whale ...... 90 2 24 1 114 3 MF Cetaceans: Sperm whale ...... 71 0 1 0 72 0 Baird’s beaked whale ...... 83 0 1 0 84 0 Small beaked whale ...... 244 0 5 0 249 0 Bottlenose dolphin ...... 13 0 0 0 13 0 Striped dolphin ...... 7 0 0 0 7 0 Short-beaked common dolphin ...... 179 0 4 0 183 0 Pacific white-sided dolphin ...... 6,452 0 354 0 6,806 0 Northern right-whale dolphin ...... 4,333 0 123 0 4,457 0 Risso’s dolphin ...... 1,906 0 155 0 2,062 0 False killer whale ...... 5 0 5 0 10 0 Killer whale (Southern Resident) ...... 43 0 2 0 45 0 Killer whale (Northern Resident) ...... 27 0 2 0 29 0 Killer whale (West Coast Transient) 26 0 2 0 28 0 Killer whale (Offshore) ...... 26 0 2 0 28 0 Short-finned pilot whale ...... 29 0 1 0 30 0 HF Cetaceans: Pygmy/dwarf sperm whale ...... 135 6 8 0 143 6 Dall’s porpoise ...... 10,869 452 746 24 11,615 476 Harbor porpoise ...... 12,557 449 2,622 86 15,179 535 Otariid Seals: Northern fur seal ...... 4,604 0 58 0 4,662 0 Guadalupe fur seal ...... 2,387 0 122 0 2,509 0 California sea lion ...... 1,140 0 147 0 1,287 0 Steller sea lion ...... 7,281 0 1,342 0 8,623 0 Phocid Seals: Northern elephant seal ...... 1,995 0 176 0 2,171 0 Harbor seal ...... 6,537 0 1,744 0 8,281 0
NMFS does not anticipate that serious We are proposing to authorize a small degree of PTS, not total deafness, injury or mortality would occur as a limited number of instances of Level A because of the constant movement of result of L–DEO’s planned survey, even harassment of nine species (low- and relative to each other of both the R/V in the absence of mitigation, and none high-frequency cetacean hearing groups Langseth and of the marine mammals in would be authorized. As discussed in only) and Level B harassment of 31 the project areas, as well as the fact that the Potential Effects section, non- marine mammal species. However, we the vessel is not expected to remain in auditory physical effects, stranding, and believe that any PTS incurred in marine any one area in which individual vessel strike are not expected to occur. mammals as a result of the planned marine mammals would be expected to activity would be in the form of only a concentrate for an extended period of
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time (i.e., since the duration of exposure the Depoe Bay and Cape Blanco and avoidance of the affected area and any to loud sounds will be relatively short) Orford Reef gray whale feeding BIAs off injury or mortality of prey species and, further, would be unlikely to affect Oregon are each used between June and would be localized around the survey the fitness of any individuals. Also, as November. There are also two and not of a degree that would adversely described above, we expect that marine humpback whale feeding BIAs within impact marine mammal foraging. The mammals would be likely to move away the survey area: the Stonewall and duration of fish avoidance of a given from a sound source that represents an Heceta Bank humpback whale feeding area after survey effort stops is aversive stimulus, especially at levels BIA off central Oregon and the northern unknown, but a rapid return to normal that would be expected to result in PTS, Washington BIA off the Washington recruitment, distribution and behavior given sufficient notice of the R/V Olympic Peninsula are each used is expected. Given the short operational Langseth’s approach due to the vessel’s between May and November. seismic time near or traversing BIAs, as relatively low speed when conducting For the humpback whale feeding and well as the ability of cetaceans and prey seismic surveys. We expect that the gray whale feeding and northbound species to move away from acoustic majority of takes would be in the form migration BIAs, L–DEO’s proposed sources, NMFS expects that there would of short-term Level B behavioral survey beginning in June 2020 could be, at worst, minimal impacts to animals harassment in the form of temporary overlap with a period where BIAs and habitat within the designated BIAs. avoidance of the area or decreased represent an important habitat. Critical habitat has been established foraging (if such activity were However, only a portion of seismic on the U.S. West Coast for the eastern occurring), reactions that are considered survey days would actually occur in or DPS of Steller sea lions (58 FR 45269; to be of low severity and with no lasting near these BIAs, and all survey efforts August 27, 1993) and in inland waters biological consequences (e.g., Southall would be completed by mid-July, still in of Washington for Southern Resident et al., 2007, Ellison et al., 2012). the early window of primary use for killer whales (71 FR 69054; November Potential impacts to marine mammal these BIAs. Gray whales are most 29, 2006). Critical habitat for the Mexico habitat were discussed previously in commonly seen migrating northward and Central America DPSs of humpback this document (see Potential Effects of between March and May and southward whales has been proposed along the the Specified Activity on Marine between November and January. As U.S. West Coast (84 FR 54354; October Mammals and their Habitat). Marine proposed, there is no possibility that L– 9, 2019), and NMFS has proposed mammal habitat may be impacted by DEO’s survey impacts the southern expanding Southern Resident killer elevated sound levels, but these impacts migration, and presence of northern whale critical habitat to include coastal would be temporary. Prey species are migrating individuals should be below waters of Washington, Oregon, and mobile and are broadly distributed peak during survey operations California (84 FR 49214; September 19, throughout the project areas; therefore, beginning in June 2020. 2019). Only a portion of L–DEO’s marine mammals that may be Although migrating gray whales may proposed seismic survey will occur in temporarily displaced during survey slightly alter their course in response to or near these critical habitats. activities are expected to be able to the survey, the exposure would not Critical habitat for Steller sea lions resume foraging once they have moved substantially impact their migratory has been established at two rookeries on away from areas with disturbing levels behavior (Malme et al., 1984; Malme the Oregon coast, at Rogue Reef of underwater noise. Because of the and Miles 1985; Richardson et al., (Pyramid Rock) and Orford Reef (Long relatively short duration (37 days) and 1995), and Yazvenko et al. (2007b) Brown Rock and Seal Rock). The critical temporary nature of the disturbance, the reported no apparent changes in the habitat area includes aquatic zones that availability of similar habitat and frequency of feeding activity in Western extend 0.9 km seaward and air zones resources in the surrounding area, the gray whales exposed to airgun sounds in extending 0.9 km above these rookeries impacts to marine mammals and the their feeding grounds near Sakhalin (NMFS 1993). Steller sea lions occupy food sources that they utilize are not Island. Goldbogen et al. (2013) found rookeries and pup from late-May expected to cause significant or long- blue whales feeding on highly through early-July (NMFS 2008), which term consequences for individual concentrated prey in shallow depths coincides with L–DEO’s proposed marine mammals or their populations. (such as the conditions expected within survey. The Orford Reef and Rogue Reef The tracklines of this survey either humpback feeding BIAs) were less critical habitats are located 7 km and 9 traverse or are proximal to BIAs for likely to respond and cease foraging km from the nearest proposed seismic humpback and gray whales (Ferguson et than whales feeding on deep, dispersed transect line, respectively. Impacts to al., 2015). The entire U.S. West Coast prey when exposed to simulated sonar Steller sea lions within these areas, and within 47 km of the coast is a BIA for sources, suggesting that the benefits of throughout the survey area, are expected migrating gray whale potential presence feeding for humpbacks foraging on high- to be limited to short-term behavioral from January to July and October to density prey may outweigh perceived disturbance, with no lasting biological December. The BIA for northbound gray harm from the acoustic stimulus, such consequences. whale migration is broken into two as the seismic survey (Southall et al., Critical habitat for the threatened phases, Phase A (within 8 km of shore) 2016). Additionally, L–DEO will shut Mexico DPS and endangered Central and Phase B (within 5 km of shore), down the airgun array upon observation America DPS humpback whales has which are active from January to July of an aggregation of six or more large been proposed along the U.S. West and March to July, respectively. The whales, which would reduce impacts to Coast (84 FR 54354; October 9, 2019). BIA for southbound migration includes cooperatively foraging animals. For all The proposed critical habitat waters within 10 km of shore and is habitats, no physical impacts to BIA encompasses the humpback whale active from October to March. There are habitat are anticipated from seismic feeding BIAs described above and four gray whale feeding BIAs within the activities. While SPLs of sufficient generally includes waters between the proposed survey area: the Grays Harbor strength have been known to cause 50-m isobath and the 1,200-m isobath, gray whale feeding BIA is used between injury to fish and fish and invertebrate though some areas of the proposed April and November; the Northwest mortality, in feeding habitats, the most critical habitat extend further offshore. Washington gray whale feeding BIA is likely impact to prey species from NMFS determined that prey within used between May and November; and survey activities would be temporary humpback whale feeding areas are
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essential to the conservation of each of proposed expanding Southern Resident the near-constant vessel presence in the three DPSs of humpback whales for critical habitat to include waters inland waters. which critical habitat was proposed between the 6.1-m and 200-m depth Approximately 23 percent of L–DEO’s (Mexico, Central America, and Western contours from the U.S. international total tracklines occur within the 200-m North Pacific DPSs). Critical habitat was border with Canada south to Point Sur, isobath along Washington and Oregon. therefore proposed in consideration of California (84 FR 49214; September 19, L–DEO would be required to shut down importance that the whales not only 2019). The proposed expanded critical seismic airguns immediately upon have reliable access to prey within their habitat areas were identified in visual observation or acoustic detection feeding areas, but that prey are of a consideration of physical and biological of killer whales of any ecotype at any sufficient density to support feeding and features essential to conservation of distance to minimize potential the build-up of energy reserves. Southern Resident killer whales exposures of Southern Resident killer Although humpback whales are (essential features): (1) Water quality to whales, and will operate within the 200- generalist predators and prey support growth and development; (2) m isobath in daylight hours only, to increase the ability to visually detect availability can very seasonally and Prey species of sufficient quantity, killer whales and implement spatially, substantial data indicate that quality, and availability to support shutdowns. Southern Resident killer the humpback whales’ diet is individual growth, reproduction, and consistently dominated by euphausiid whales exposed to elevated sound levels development, as well as overall species (of genus Euphausia, from the R/V Langseth and the airgun population growth; and (3) Passage Thysanoessa, Nyctiphanes, and array may reduce foraging time, but the conditions to allow for migration, Nematoscelis) and small pelagic fishes, amount of tracklines that overlap with such as northern anchovy (Engraulis resting, and foraging. NMFS did not the areas of highest estimated densities mordax), Pacific herring (Clupea identify in-water sound levels as a of Southern Resident killer whales (see pallasii), Pacific sardine (Sardinops separate essential feature of existing or Figures 7–9 and 7–11 in the U.S. Navy’s sagax), and capelin (Mallotus villosus) proposed expanded critical habitat MSDD (U.S. Navy 2019)) is low relative (Nemoto 1957, 1959; Klumov 1963; Rice areas, though anthropogenic sound is to the total survey effort. Approximately Krieger and Wing 1984; Baker 1985; recognized as one of the primary threats 360 km of survey tracklines occur Kieckhefer 1992; Clapham et al., 1997; to Southern Resident killer whales within the areas of highest Southern Neilson et al., 2015). While there are (NMFS 2019). Exposure to vessel noise Resident killer whale density (the three possible impacts of seismic activity on and presence of whale watching boats highest density ranges for each pod), plankton and fish species (e.g., can significantly affect the foraging which represents approximately 5 McCauley et al., 2017; Hastings and behavior of Southern Resident killer percent of the total survey tracklines, or Popper 2005), the areas expected to be whales (Williams et al., 2006; Lusseau et just under two days of survey affected by L–DEO’s activities are small al., 2009; Giles and Cendak 2010; operations. If Southern Resident killer relative to the greater habitat areas Senigaglia et al., 2016). Nutritional whales are encountered during the available. stress has also been identified as a survey in these areas and reduce Additionally, humpback whales primary cause of Southern Resident foraging effort in response, the relatively feeding on high-density prey may be killer whale decline (Ayres et al., 2012; small amount of time of altered behavior less likely to cease foraging when the Wasser et al., 2017), suggesting that would not likely affect their overall benefit of energy intake outweighs the reduced foraging effort may have a foraging ability. While Southern perceived harm from acoustic stimulus greater impact than behavioral Resident killer whales may be (Southall et al., 2016). Therefore, this disturbance alone. However, these encountered outside of these areas of seismic activity is not expected to have studies have primarily focused on highest density, the likelihood is a lasting physical impact on humpback effects of whale watch vessels operating significantly decreased and thus the whale proposed critical habitat, prey in close proximity to Southern Resident likelihood of impacts to foraging is within it, or overall humpback whale killer whales, and commercial shipping decreased. Short-term impacts to fitness. Any impact would be a traffic in the Salish Sea (i.e., the inland foraging ability are not likely to result in temporary increase in sound levels waters of Washington and British significant or lasting consequences for individual Southern Resident killer when the survey is occurring in or near Columbia). Commercial whale watch whales or the population as a whole the critical habitat and resulting and private recreational vessels temporary avoidance of prey or marine (Ayres et al., 2012). Due to the mobile operating in the waters around the San mammals themselves due these elevated nature of the survey, animals would not Juan Islands in summer months number sound levels. As stated above, L–DEO be exposed to elevated sounds for an in the dozens (Erbe 2002), and at least will shut down the airgun array upon extended period, and the proposed 400 piloted vessels (commercial vessels observation of an aggregation of six or critical habitat contains a large area of over 350 gross tons and pleasure craft more large whales, which would reduce suitable habitat that would allow direct impacts to groups of humpback over 500 gross tons that are required to Southern Resident killer whales to whales that may be cooperatively be guided in and out of the Port of forage away from the survey. Noren et feeding in the area. Vancouver by British Columbia Coast al. (2016) reported that although Pilots) transit through Haro Strait each resident killer whales increase energy Southern Resident Killer Whales month (Joy et al., 2002). Concentration expenditure in response to vessel In acknowledgment of our concern of vessel traffic on the outer coast, presence, the increase is considered to regarding the status of Southern where the proposed survey area occurs, be negligible. Resident killer whales, including low is much lower than in the inland waters No permanent hearing impairment abundance and decreasing trend, we (Cominelli et al., 2018), suggesting that (Level A harassment) is anticipated or address impacts to this stock separately effects from vessel noise may be lower proposed to be authorized. Authorized in this section. than in inland waters. Increased noise takes of Southern Resident killer whales L–DEO’s proposed tracklines do not levels from the proposed survey in any would be limited to Level B harassment overlap with existing Southern Resident specific area would be short-term due to in the form of behavioral disturbance. killer whale habitat, but NMFS has the mobile nature of the survey, unlike We anticipate 45 instances of Level B
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harassment of Southern Resident killer In summary and as described above, and their habitat, and taking into whales, which we expect would likely the following factors primarily support consideration the implementation of the occur to a smaller subset of the our preliminary determination that the proposed mitigation and monitoring population on only a few days. Limited, impacts resulting from this activity are measures, NMFS preliminarily finds short term behavioral disturbance of the not expected to adversely affect the that the total marine mammal take from nature expected here would not be species or stock through effects on the proposed activity will have a expected to result in fitness-level effects annual rates of recruitment or survival: negligible impact on all affected marine to individual Southern Resident killer • No serious injury or mortality is mammal species or stocks. whales or the population as a whole. anticipated or proposed to be authorized; Small Numbers Negligible Impact Conclusions • The proposed activity is temporary As noted above, only small numbers The proposed survey would be of and of relatively short duration (37 of incidental take may be authorized short duration (37 days of seismic days); under Sections 101(a)(5)(A) and (D) of operations), and the acoustic ‘‘footprint’’ • The anticipated impacts of the the MMPA for specified activities other of the proposed survey would be small proposed activity on marine mammals than military readiness activities. The relative to the ranges of the marine would primarily be temporary MMPA does not define small numbers mammals that would potentially be behavioral changes due to avoidance of and so, in practice, where estimated affected. Sound levels would increase in the area around the survey vessel; numbers are available, NMFS compares the marine environment in a relatively • The number of instances of the number of individuals taken to the small area surrounding the vessel potential PTS that may occur are most appropriate estimation of compared to the range of the marine expected to be very small in number. abundance of the relevant species or mammals within the proposed survey Instances of potential PTS that are stock in our determination of whether area. Short term exposures to survey incurred in marine mammals are an authorization is limited to small operations are not likely to significantly expected to be of a low level, due to numbers of marine mammals. disrupt marine mammal behavior, and constant movement of the vessel and of Additionally, other qualitative factors the potential for longer-term avoidance the marine mammals in the area, and may be considered in the analysis, such of important areas is limited. the nature of the survey design (not as the temporal or spatial scale of the The proposed mitigation measures are concentrated in areas of high marine activities. expected to reduce the number and/or mammal concentration); There are several stocks for which the severity of takes by allowing for • The availability of alternate areas of estimated instances of take appear high detection of marine mammals in the similar habitat value for marine when compared to the stock abundance vicinity of the vessel by visual and mammals to temporarily vacate the (Table 10), including the Southern acoustic observers, and by minimizing survey area during the proposed survey Resident killer whale stock, the the severity of any potential exposures to avoid exposure to sounds from the California/Oregon/Washington Dall’s via shutdowns of the airgun array. activity; porpoise stock, and the Northern Based on previous monitoring reports • The potential adverse effects on fish California/Southern Oregon and for substantially similar activities that or invertebrate species that serve as prey Northern Oregon/Washington Coast have been previously authorized by species for marine mammals from the harbor porpoise stocks. However, when NMFS, we expect that the proposed proposed survey would be temporary other qualitative factors are used to mitigation will be effective in and spatially limited, and impacts to inform an assessment of the likely preventing, at least to some extent, marine mammal foraging would be number of individual marine mammals potential PTS in marine mammals that minimal; and taken, the resulting numbers are may otherwise occur in the absence of • The proposed mitigation measures, appropriately considered small. We the proposed mitigation (although all including visual and acoustic discuss these in further detail below. authorized PTS has been accounted for monitoring, shutdowns, and enhanced For all other stocks (aside from the in this analysis). Further, for Southern measures for areas of biological four referenced above and described Resident Killer Whales (as described importance (e.g., additional monitoring below), the proposed take is less than above), additional mitigation (e.g., vessel, daylight operations only) are one-third of the best available stock second monitoring vessel, daylight only expected to minimize potential impacts abundance (recognizing that some of surveys) is expected to increase the to marine mammals (both amount and those takes may be repeats of the same ability of PSOs to detect killer whales severity). individual, thus rendering the actual and shut down the airgun array to • Additionally as described above for percentage even lower). reduce the instances and severity of Southern Resident killer whales The expected take of Southern behavioral disturbance. specifically, anticipated impacts are Resident killer whales, as a proportion NMFS concludes that exposures to limited to few days of behavioral of the population abundance, is 57.33 marine mammal species and stocks due disturbance for any one individual and percent, if all takes are assumed to occur to L–DEO’s proposed survey would additional mitigation (e.g., additional for unique individuals. In their NWTT result in only short-term (temporary and monitoring vessel, survey timing, Phase III MSDD, the U.S. Navy created short in duration) effects to individuals shutdowns) are expected to ensure that density estimates of Southern Resident exposed, over relatively small areas of both the numbers and severity of killer whales in their Offshore Study the affected animals’ ranges. Animals impacts to this stock are minimized, Area (U.S. Navy 2019). These density may temporarily avoid the immediate and, therefore the proposed estimates were developed with the area, but are not expected to authorization of Southern Resident assumption that all members of the permanently abandon the area. Major killer whale take is not expected impact Southern Resident population were shifts in habitat use, distribution, or the fitness of any individuals, much less within the Study Area (i.e., no Southern foraging success are not expected. rates of recruitment or survival. Resident killer whales were assumed to NMFS does not anticipate the proposed Based on the analysis contained be in the inland waters of the Salish take estimates to impact annual rates of herein of the likely effects of the Sea). In reality, Southern Resident killer recruitment or survival. specified activity on marine mammals whales have historically spent much of
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their time in the Salish Sea from spring of the estimated takes are assumed to be IHAs, NMFS consults internally through fall to forage on Fraser River from the Northern Oregon/Washington whenever we propose to authorize take Chinook salmon (Shields et al., 2017) Coast stock. The estimated one-third of for endangered or threatened species. and it is likely that some or all of the total takes assigned to the Northern NMFS is proposing to authorize take population may be in inland waters California/Southern Oregon stock (4,335 of blue whales, fin whales, sei whales, during the proposed survey. Therefore, total Level A and Level B takes) sperm whales, Central America DPS we expect that there will be multiple represent 12.12 percent of the stock humpback whales, Mexico DPS takes of a smaller number of individuals abundance, which NMFS considers to humpback whales, Southern Resident within the action area, such that the be small relative to the stock abundance. killer whale DPS, and Guadalupe fur number of individuals taken will be less In addition, the proposed survey area seal, which are listed under the ESA. than one-third of the population. represents a small portion of the stock’s The NMFS Office of Protected The expected take of the California/ range, and it is likely that there will be Resources (OPR) Permits and Oregon/Washington stock of Dall’s multiple takes of a small portion of Conservation Division has requested porpoises, as a proportion of the individuals, further reducing the initiation of Section 7 consultation with population abundance, is 40.8 percent, number of individuals exposed. The the NMFS OPR ESA Interagency if all takes are assumed to occur for estimated two-thirds of total takes Cooperation Division for the issuance of unique individuals. In reality, it is assigned to the Northern Oregon/ this IHA. NMFS will conclude the ESA unlikely that all takes would occur to Washington Coast stock (8,671 takes) consultation prior to reaching a different individuals. L–DEO’s proposed represent 40.35 percent of the stock determination regarding the proposed survey area represents a small portion of abundance, which is still considered issuance of the authorization. the stock’s overall range (Caretta et al., high relative to stock abundance. Proposed Authorization 2017), and it is more likely that there However, the Northern Oregon/ will be multiple takes of a smaller Washington Coast stock abundance As a result of these preliminary number of individuals within the action estimate does not include animals in determinations, NMFS proposes to issue area. In addition, Best et al. (2015) Canadian waters (Caretta et al., 2017). an IHA to L–DEO for conducting a estimated the population of Dall’s Best et al. (2015) estimated a population marine geophysical survey in the porpoise in British Columbia to be 5,303 abundance of 8,091 harbor porpoises in northeast Pacific Ocean beginning in porpoises based on systematic line- British Columbia. The estimated takes of June 2020, provided the previously transect surveys of the Strait of Georgia, animals in the northern portion of the mentioned mitigation, monitoring, and Johnstone Strait, Queen Charlotte survey area (north of Lincoln City) reporting requirements are incorporated. Sound, Hecate Strait, and Dixon represent 29.32 percent of the combined A draft of the proposed IHA can be Entrance between 2004 and 2007. In British Columbia and Northern Oregon/ found at https:// consideration of the greater abundance Washington Coast abundance estimates, www.fisheries.noaa.gov/permit/ estimate combining the U.S. stock and which NMFS considers to be small incidental-take-authorizations-under- animals in British Columbia, and the relative to estimated abundance. marine-mammal-protection-act. likelihood of repeated takes of Based on the analysis contained Request for Public Comments individuals, it is unlikely that more than herein of the proposed activity one-third of the stock would be exposed (including the proposed mitigation and We request comment on our analyses, to the seismic survey. monitoring measures) and the the proposed authorization, and any When assuming all takes of harbor anticipated take of marine mammals, other aspect of this Notice of Proposed porpoise would occur to either the NMFS preliminarily finds that small IHA for the proposed geophysical Northern Oregon/Washington Coast or numbers of marine mammals will be survey. We also request at this time Northern California/Southern Oregon taken relative to the population size of comment on the potential Renewal of stocks, the take appears high relative to the affected species or stocks. this proposed IHA as described in the stock abundance (60.53 and 36.36 paragraph below. Please include with percent, respectively). In reality, takes Unmitigable Adverse Impact Analysis your comments any supporting data or will occur to both stocks, and therefore, and Determination literature citations to help inform the number of takes of each stock will There are no relevant subsistence uses decisions on the request for this IHA or be much lower. NMFS has no of the affected marine mammal stocks or a subsequent Renewal IHA. commonly used method to estimate the species implicated by this action. On a case-by-case basis, NMFS may relative proportion of each stock that Therefore, NMFS has determined that issue a one-year Renewal IHA following would experience take, but here we the total taking of affected species or notice to the public providing an propose to apportion the takes between stocks would not have an unmitigable additional 15 days for public comments the two stocks based on the stock adverse impact on the availability of when (1) up to another year of identical, boundary (Lincoln City, Oregon) and the such species or stocks for taking for or nearly identical, activities as approximate proportion of the survey subsistence purposes. described in the Specified Activities area that will occur on either side of the section of this notice is planned or (2) stock boundary. North of Lincoln City, Endangered Species Act (ESA) the activities as described in the Oregon, harbor porpoises belong to the Section 7(a)(2) of the Endangered Specified Activities section of this Northern Oregon/Washington Coast Species Act of 1973 (ESA: 16 U.S.C. notice would not be completed by the stock, and south of Lincoln City, harbor 1531 et seq.) requires that each Federal time the IHA expires and a Renewal porpoises belong to the Northern agency insure that any action it would allow for completion of the California/Southern Oregon stock. authorizes, funds, or carries out is not activities beyond that described in the Approximately one-third of the likely to jeopardize the continued Dates and Duration section of this proposed survey occurs south of existence of any endangered or notice, provided all of the following Lincoln City, therefore one-third of the threatened species or result in the conditions are met: total estimated takes are assumed to be destruction or adverse modification of • A request for renewal is received no from the Northern California/Southern designated critical habitat. To ensure later than 60 days prior to the needed Oregon stock. The remaining two-thirds ESA compliance for the issuance of Renewal IHA effective date (recognizing
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that the Renewal IHA expiration date mitigation and monitoring pertinent information, NMFS cannot extend beyond one year from requirements, or take estimates (with determines that there are no more than expiration of the initial IHA); the exception of reducing the type or minor changes in the activities, the • The request for renewal must amount of take); and mitigation and monitoring measures include the following: (2) A preliminary monitoring report will remain the same and appropriate, showing the results of the required and the findings in the initial IHA (1) An explanation that the activities remain valid. to be conducted under the requested monitoring to date and an explanation Renewal IHA are identical to the showing that the monitoring results do Dated: April 1, 2020. activities analyzed under the initial not indicate impacts of a scale or nature Donna S. Wieting, IHA, are a subset of the activities, or not previously analyzed or authorized. Director, Office of Protected Resources, include changes so minor (e.g., • Upon review of the request for National Marine Fisheries Service. reduction in pile size) that the changes Renewal, the status of the affected [FR Doc. 2020–07289 Filed 4–6–20; 8:45 am] do not affect the previous analyses, species or stocks, and any other BILLING CODE 3510–22–P
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Part III
The President
Memorandum of April 2, 2020—Providing an Order of Succession Within the Pension Benefit Guaranty Corporation Memorandum of April 2, 2020—Providing Federal Support for Governors’ Use of the National Guard To Respond to COVID–19
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Federal Register Presidential Documents Vol. 85, No. 67
Tuesday, April 7, 2020
Title 3— Memorandum of April 2, 2020
The President Providing an Order of Succession Within the Pension Benefit Guaranty Corporation
Memorandum for the Director of the Pension Benefit Guaranty Corpora- tion
By the authority vested in me as President by the Constitution and the laws of the United States of America, including the Federal Vacancies Reform Act of 1998, as amended, 5 U.S.C. 3345 et seq. (the ‘‘Act’’), it is hereby ordered that: Section 1. Order of Succession. Subject to the provisions of section 2 of this memorandum and to the limitations set forth in the Act, the following officials of the Pension Benefit Guaranty Corporation, in the order listed, shall act as and perform the functions and duties of the office of the Director of the Pension Benefit Guaranty Corporation (Director) during any period in which the Director has died, resigned, or otherwise become unable to perform the functions and duties of the office of Director: (a) Chief Financial Officer; (b) Chief Management Officer; and (c) General Counsel. Sec. 2. Exceptions. (a) No individual who is serving in an office listed in section 1 of this memorandum in an acting capacity, by virtue of so serving, shall act as Director pursuant to this memorandum. (b) No individual listed in section 1 of this memorandum shall act as Director unless that individual is otherwise eligible to so serve under the Act. (c) Notwithstanding the provisions of this memorandum, the President retains discretion, to the extent permitted by law, to depart from this memo- randum in designating an acting Director. Sec. 3. Revocation. The Presidential Memorandum of February 1, 2013 (Des- ignation of Officers of the Pension Benefit Guaranty Corporation to Act as Director of the Pension Benefit Guaranty Corporation), is hereby revoked. Sec. 4. General Provisions. (a) Nothing in this memorandum shall be con- strued to impair or otherwise affect: (i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This memorandum shall be implemented consistent with applicable law and subject to the availability of appropriations. (c) This memorandum is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person.
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Sec. 5. Publication. You are authorized and directed to publish this memo- randum in the Federal Register.
THE WHITE HOUSE, Washington, April 2, 2020
[FR Doc. 2020–07452 Filed 4–6–20; 11:15 am] Billing code 3295–F0–P
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Memorandum of April 2, 2020 Providing Federal Support for Governors’ Use of the Na- tional Guard To Respond to COVID–19
Memorandum for the Secretary of Defense [and] the Secretary of Home- land Security
By the authority vested in me as President by the Constitution and the laws of the United States of America, including the Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. 5121–5207 (the ‘‘Stafford Act’’), and section 502 of title 32, United States Code, it is hereby ordered as follows: Section 1. Policy. It is the policy of the United States to take measures to assist State and territorial Governors under the Stafford Act in their responses to all threats and hazards to the American people in their respective States and territories. Considering the profound and unique public health risks posed by the ongoing outbreak of COVID–19, the disease caused by the novel (new) coronavirus known as SARS–CoV–2 (‘‘the virus’’), the need for close cooperation and mutual assistance between the Federal Government and the States is greater than at any time in recent history. In recognizing this serious public health risk, I noted that on March 11, 2020, the World Health Organization announced that the COVID–19 outbreak can be character- ized as a pandemic. On March 13, 2020, I declared a national emergency recognizing the threat that SARS–CoV–2 poses to the Nation’s healthcare systems. I also determined that same day that the COVID–19 outbreak con- stituted an emergency, of nationwide scope, pursuant to section 501(b) of the Stafford Act (42 U.S.C. 5191(b)). All States have activated their Emergency Operations Centers and are working to fight the spread of the virus and attend to those who have symptoms or who are already infected with COVID– 19. To provide maximum support to the Governors of the States of Georgia, Hawaii, Indiana, Missouri, New Hampshire, New Mexico, Ohio, Rhode Island, Tennessee, and Texas and the territory of the U.S. Virgin Islands as they make decisions about the responses required to address local conditions in each of their respective jurisdictions and as they request Federal support under the Stafford Act, I am taking the actions set forth in sections 2 and 3 of this memorandum: Sec. 2. One Hundred Percent Federal Cost Share. To maximize assistance to the Governors of the States of Georgia, Hawaii, Indiana, Missouri, New Hampshire, New Mexico, Ohio, Rhode Island, Tennessee, and Texas and the territory of the U.S. Virgin Islands to facilitate Federal support with respect to the use of National Guard units under State control, I am directing the Federal Emergency Management Agency (FEMA) of the Department of Homeland Security to fund 100 percent of the emergency assistance activities associated with preventing, mitigating, and responding to the threat to public health and safety posed by the virus that these States and this territory undertake using their National Guard forces, as authorized by sections 403 (42 U.S.C. 5170b) and 503 (42 U.S.C. 5193) of the Stafford Act. Sec. 3. Support of Operations or Missions to Prevent and Respond to the Spread of COVID–19. I am directing the Secretary of Defense, to the maximum extent feasible and consistent with mission requirements (including geo- graphic proximity), to request pursuant to 32 U.S.C. 502(f) that the Governors of the States of Georgia, Hawaii, Indiana, Missouri, New Hampshire, New Mexico, Ohio, Rhode Island, Tennessee, and Texas and the territory of
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the U.S. Virgin Islands order National Guard forces to perform duty to fulfill mission assignments, on a fully reimbursable basis, that FEMA issues to the Department of Defense for the purpose of supporting their respective State, territorial, and local emergency assistance efforts under the Stafford Act. Sec. 4. Termination. The 100 percent Federal cost share provided for in this memorandum shall terminate 30 days from the date of this memorandum. Sec. 5. General Provisions. (a) Nothing in this memorandum shall be con- strued to impair or otherwise affect: (i) the authority granted by law to an executive department or agency, or the head thereof; or (ii) the functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. (b) This memorandum shall be implemented consistent with applicable law and subject to the availability of appropriations. (c) This memorandum is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person. (d) The secretary of Defense is authorized and directed to publish this memorandum in the Federal Register.
THE WHITE HOUSE, Washington, April 2, 2020
[FR Doc. 2020–07453 Filed 4–6–20; 11:15 am] Billing code 3295–F0–P
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Reader Aids Federal Register Vol. 85, No. 67 Tuesday, April 7, 2020
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