Vol. 84 Wednesday, No. 171 September 4, 2019

Pages 46419–46652

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 84, No. 171

Wednesday, September 4, 2019

Antitrust Division NOTICES NOTICES Meetings: Changes under the National Cooperative Research and Environmental Financial Advisory Board, 46522 Production Act: Environmental Modeling, 46521–46522 Border Security Technology Consortium, 46567 Product Cancellation Order for Certain Pesticide Cable Television Laboratories, Inc., 46567 Registrations; Correction, 46521 Cooperative Research Group on Ros-Industrial Proposed CERCLA Cost Recovery Settlement: Consortium Americas, 46565 Lightman Drum Co. Superfund Site, Camden County, NJ, Countering Weapons of Mass Destruction, 46565 46520–46521 National Armaments Consortium, 46565–46566 Proposed Consent Decree: Space Enterprise Consortium, 46566–46567 Clean Air Act Citizen Suit, 46519–46520

Centers for Disease Control and Prevention Federal Aviation Administration NOTICES RULES Agency Information Collection Activities; Proposals, Airworthiness Directives Submissions, and Approvals, 46532–46537 The Boeing Company Airplanes, 46426–46429 Airworthiness Directives: Coast Guard Airbus Helicopters Deutschland GmbH Helicopters, PROPOSED RULES 46429–46432 Port Access Route Study: Bombardier, Inc., Airplanes, 46434–46437 Alaskan Arctic Coast, 46501 The Boeing Company Airplanes, 46432–46434 Safety Zone: Establishment of Class E Airspace: North Washington Street Bridge Replacement Project, Endicott, NY; Correction, 46438 Charles River, Boston, MA, 46498–46501 PROPOSED RULES Airworthiness Directives; Commerce Department The Boeing Company Airplanes, 46496–46498 See International Trade Administration NOTICES See National Oceanic and Atmospheric Administration Agency Information Collection Activities; Proposals, Submissions, and Approvals: Commodity Futures Trading Commission Flight Operations Quality Assurance Program, 46604 NOTICES Meetings; Sunshine Act, 46503 Federal Communications Commission NOTICES Comptroller of the Currency Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 46522–46524 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Federal Deposit Insurance Corporation Joint Standards for Assessing the Diversity Policies and PROPOSED RULES Practices of Entities Regulated by the Agencies and Interest Rate Restrictions on Institutions that are Less than Diversity Self-Assessment Template for OCC- Well Capitalized, 46470–46495 Regulated Entities, 46604–46606 Federal Energy Regulatory Commission Education Department RULES NOTICES Formal Requirements for Filings in Proceedings before the Performance of Accrediting Agencies under Review by the Commission, 46438–46440 Secretary of Education, 46503–46504 NOTICES Agency Information Collection Activities; Proposals, Energy Department Submissions, and Approvals, 46506–46511 See Federal Energy Regulatory Commission Applications: PROPOSED RULES North East Wisconsin Hydro, LLC, 46505–46506 Energy Conservation Program: Combined Filings, 46508, 46511–46512 Test Procedures for Cooking Products, 46469–46470 Environmental Assessments; Availability, etc.: NOTICES Acadiana Project; Kinder Morgan Louisiana Pipeline, Meetings: LLC, 46514–46516 Environmental Management Site-Specific Advisory Louisiana Xpress Project; Columbia Gulf Transmission, Board, Savannah River Site, 46504–46505 LLC, 46512–46514 Filing: Environmental Protection Agency Western Area Power Administration, 46508–46509 PROPOSED RULES Initial Market-Based Rate Filings Including Requests for National Emission Standards for Hazardous Air Pollutants: Blanket Section 204 Authorizations: Miscellaneous Coating Manufacturing Residual Risk and Cabazon Wind Partners, LLC, 46508 Technology Review, 46610–46651 Palmer Solar, LLC, 46518

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Rock River I, LLC, 46509 Health Resources and Services Administration Rosewater Wind Farm, LLC, 46517 NOTICES Whitewater Hill Wind Partners, LLC, 46505 Meetings: License Application: Advisory Committee on Training in Primary Care and Ketchikan Public Utilities, 46517–46518 Dentistry, 46548 Permit Applications: Lock+TM Hydro Friends Fund XV, LLC, 46516–46517 Homeland Security Department Lock+TM Hydro Friends Fund XVI, LLC, 46518–46519 See Coast Guard RULES Minimum Standards for Driver’s Licenses and Identification Federal Reserve System Cards Acceptable by Federal Agencies for Official NOTICES Purposes: Change in Bank Control: Implementation of the REAL ID Act Modification for Acquisitions of Shares of a Bank or Bank Holding Freely Associated States Act, 46423–46426 Company, 46525 PROPOSED RULES Formations of, Acquisitions by, and Mergers of Bank Registration Fee Requirement for Petitioners Seeking to File Holding Companies, 46525 H–1B Petitions on Behalf of Cap Subject Aliens, 46460–46469 NOTICES Federal Retirement Thrift Investment Board Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals: Additional Withdrawal Options, 46419–46423 Generic Clearance for the Collection of Certain Information on Immigration and Foreign Travel Federal Trade Commission Forms, 46552–46554 NOTICES Generic Clearance for the Collection of Social Media Early Termination of the Waiting Period under the Information on Immigration and Foreign Travel Premerger Notification Rules, 46525–46532 Forms, 46557–46561 CISA Reporting Forms, 46554–46556 Designation of REAL ID Identity Documents for citizens of Fish and Wildlife Service the Freely Associated States: NOTICES Unexpired Foreign Passport with an approved Form I–94, Endangered and Threatened Species: Documenting the Applicant’s Most Recent Admission Initiation of 5-Year Reviews of Seven Northeastern to the United States, 46556–46557 Species, 46562–46563 Interior Department Food and Drug Administration See Fish and Wildlife Service NOTICES See National Park Service Agency Information Collection Activities; Proposals, Internal Revenue Service Submissions, and Approvals: RULES Abbreviated New Animal Drug Applications, 46543– Partnership Representative under the Centralized 46544 Partnership Audit Regime and Election to Apply the Current Good Manufacturing Practices for Positron Centralized Partnership Audit Regime, 46440 Emission Tomography Drugs, 46537–46543 Procedures for the Safe and Sanitary Processing and International Trade Administration Importing of Fish and Fishery Products, 46544– NOTICES 46546 Antidumping or Countervailing Duty Investigations, Orders, Meetings: or Reviews: General Hospital and Personal Use Panel of the Medical Utility Scale Wind Towers from the People’s Republic of Devices Advisory Committee, 46546–46548 China, 46502 Rescission of Countervailing Duty Administrative Review; Foreign Assets Control Office 2017–2018: RULES Carbon and Alloy Steel Wire Rod from the Republic of Sanctions Regulations: Turkey, 46502–46503 Nicaragua, 46440–46448 NOTICES International Trade Commission Blocking or Unblocking of Persons and Properties, 46606– NOTICES 46608 Investigations; Determinations, Modifications, and Rulings, etc.: Certain Filament Light-Emitting Diodes and Products Health and Human Services Department Containing Same, 46564–46565 See Centers for Disease Control and Prevention See Food and Drug Administration Justice Department See Health Resources and Services Administration See Antitrust Division See National Institutes of Health NOTICES National Archives and Records Administration Meetings: NOTICES National Clinical Care Commission, 46549 Records Schedules: National Vaccine Advisory Committee, 46549–46550 Availability and Request for Comments, 46567–46568

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National Drug Control Policy Office New York Stock Exchange, LLC, 46588–46593 NOTICES NYSE Arca, Inc., 46593–46600 Appointment of Members of Senior Executive Service The Nasdaq Stock Market, LLC, 46570–46573, 46580– Performance Review Board, 46568 46585

National Institutes of Health Small Business Administration NOTICES NOTICES Meetings: Disaster Declaration: Center for Scientific Review, 46551 Louisiana, 46601 National Cancer Institute, 46551 Wisconsin, 46600–46601 National Institute of Allergy and Infectious Diseases, 46550 Surface Transportation Board National Institute of General Medical Sciences, 46551 NOTICES National Institute on Aging, 46551–46552 Adverse Abandonment: New York State Department of Environmental National Oceanic and Atmospheric Administration Conservation; Saratoga and North Creek Railway in RULES Town of Johnsburg, NY, 46601–46602 Fisheries of the Exclusive Economic Zone off Alaska: Rail Fuel Surcharges (Safe Harbor), 46602–46604 Pacific Cod by Catcher Vessels using Hook-and-Line Gear in the Western Regulatory Area of the Gulf of Alaska; Transportation Department Closure, 46458–46459 See Federal Aviation Administration Pacific Cod by Trawl Catcher Vessels in the Central Regulatory Area of the Gulf of Alaska; Closure, Treasury Department 46457–46458 See Comptroller of the Currency See Foreign Assets Control Office National Park Service See Internal Revenue Service NOTICES Requests for Nominations: Veterans Affairs Department Gateway National Recreation Area Fort Hancock 21st RULES Century Advisory Committee, 46563–46564 Acquisition Regulations: Contracting by Negotiation; Service Contracting, 46448– Nuclear Regulatory Commission 46457 NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals: Separate Parts In This Issue Special Nuclear Material and Source Material Physical Inventory Summary Report, etc., 46568–46570 Part II Environmental Protection Agency, 46610–46651 Peace Corps NOTICES Agency Information Collection Activities; Proposals, Reader Aids Submissions, and Approvals, 46570 Consult the Reader Aids section at the end of this issue for Securities and Exchange Commission phone numbers, online resources, finding aids, and notice NOTICES of recently enacted public laws. Self-Regulatory Organizations; Proposed Rule Changes: To subscribe to the Federal Register Table of Contents ICE Clear Credit, LLC, 46588 electronic mailing list, go to https://public.govdelivery.com/ ICE Clear Europe, Ltd., 46573–46578 accounts/USGPOOFR/subscriber/new, enter your e-mail MIAX PEARL, LLC, 46586–46588 address, then follow the instructions to join, leave, or Nasdaq PHLX, LLC, 46578–46580 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.

5 CFR 1650...... 46419 1651...... 46419 6 CFR 37...... 46423 8 CFR Proposed Rules: 103...... 46040 10 CFR Proposed Rules: 430...... 46469 12 CFR Proposed Rules: 337...... 46470 14 CFR 39 (4 documents) ...... 46426, 46429, 46432, 46434 71...... 46438 Proposed Rules: 39...... 46496 18 CFR 385...... 46438 26 CFR 301...... 46440 31 CFR 582...... 46440 33 CFR Proposed Rules: 165...... 46498 167...... 46501 40 CFR Proposed Rules: 63...... 46610 48 CFR 801...... 46448 815...... 46448 816...... 46448 837...... 46448 849...... 46448 852...... 46448 871...... 46448 50 CFR 679 (2 documents) ...... 46457, 46458

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Rules and Regulations Federal Register Vol. 84, No. 171

Wednesday, September 4, 2019

This section of the FEDERAL REGISTER below, the comments received relate to accounts, an option that the FRTIB did contains regulatory documents having general changes that are prohibited by FERSA or consider. Because the volume of applicability and legal effect, most of which other laws or unduly burdensome to withdrawal transactions processed by are keyed to and codified in the Code of implement from an administrative the TSP is so large, its withdrawal Federal Regulations, which is published under perspective; therefore, the FRTIB is election form processing is highly 50 titles pursuant to 44 U.S.C. 1510. publishing the proposed rule as final automated. As a result, the complexity The Code of Federal Regulations is sold by without change. involved in updating withdrawal the Superintendent of Documents. Six individuals requested the ability election forms and the associated to convert a traditional balance to a Roth programming to permit fund-specific balance within the TSP. The FRTIB has, withdrawals renders this option FEDERAL RETIREMENT THRIFT in the past, considered allowing in-plan impracticable at this time. INVESTMENT BOARD Roth conversions and ultimately One commentator asked that post- concluded that the tax complexities separation withdrawals be exempt from 5 CFR Parts 1650 and 1651 involved and, in particular, the the 10 percent additional early distribution tax regardless of the Additional Withdrawal Options potential irreversible financial pitfalls for participants, weighed against doing participant’s age. The Internal Revenue AGENCY: Federal Retirement Thrift so. Revisiting this decision was outside Code governs when this penalty will Investment Board. the scope of implementing the changes apply. Under 26 U.S.C. 72(t)(1), the 10 ACTION: Final rule. permitted by the Act. percent additional early distribution Two commentators expressed concern generally applies to any post-separation SUMMARY: The Federal Retirement Thrift about the amount of paperwork required withdrawal taken by a TSP participant Investment Board (‘‘FRTIB’’) is by the spousal consent rules applicable before he or she reaches age 591⁄2. amending its regulations to provide TSP to married Federal Employees’ Finally, one individual expressed participants with additional withdrawal Retirement System (FERS) and frustration that the changes do not options and flexibility. uniformed services participants, permit a participant to make a single DATES: This rule is effective September particularly with respect to changes to withdrawal election from his or her 15, 2019. installment payments. Spousal consent traditional balance and Roth balance in FOR FURTHER INFORMATION CONTACT: is statutorily required by 5 U.S.C. a percentage other than pro rata. The Austen Townsend, (202) 864–8647. 8435(a)(1)(B) any time a married FERS FRTIB considered allowing this but determined that doing so was unfeasible SUPPLEMENTARY INFORMATION: The or uniformed services participant (1) from an administrative perspective. A FRTIB administers the Thrift Savings elects a TSP withdrawal in any form participant will still be able to Plan (TSP), which was established by other than a joint life annuity with a 50 accomplish the end goal by making two the Federal Employees’ Retirement percent survivor benefit, level separate withdrawal elections—one System Act of 1986 (FERSA), Public payments, and no cash refund; or (2) from his or her traditional balance only Law 99–335, 100 Stat. 514. The TSP changes a withdrawal election, which and one from his or her Roth balance provisions of FERSA are codified, as includes a change to the amount or only. amended, largely at 5 U.S.C. 8351 and frequency of previously elected 8401–79. The TSP is a tax-deferred installment payments. Allowing a Regulatory Flexibility Act retirement savings plan for federal participant to make changes to the I certify that this regulation will not civilian employees and members of the amount or frequency of his or her have a significant economic impact on uniformed services. The TSP is similar installment payments without spousal a substantial number of small entities. to cash or deferred arrangements consent would undermine the This regulation will affect Federal established for private-sector employees protection the spousal consent rule is employees, members of the uniformed under section 401(k) of the Internal designed to provide by allowing a services who participate in the TSP, and Revenue Code (26 U.S.C. 401(k)). participant to effectively drain his or her beneficiary participants. The TSP Modernization Act of 2017 account balance via a small number of (the ‘‘Act’’), Public Law 115–84 (131 large installment payments without his Paperwork Reduction Act Stat. 1272), signed into law on or her spouse’s knowledge. I certify that these regulations do not November 17, 2017, permits the TSP to Two individuals requested that, in require additional reporting under the offer participants additional withdrawal addition to allowing withdrawals from a criteria of the Paperwork Reduction Act. options and flexibility. In addition, the traditional balance only or Roth balance Act eliminates the requirement that a only, a participant be allowed to elect to Unfunded Mandates Reform Act of TSP participant who has reached age withdraw amounts from his or her tax- 1995 701⁄2 and is separated from federal exempt balance only. A participant’s Pursuant to the Unfunded Mandates service make a full withdrawal election tax-exempt balance does not constitute Reform Act of 1995, 2 U.S.C. 602, 632, with respect to his or her TSP account. a separate contract under 26 U.S.C. 653, and 1501–1571, the effects of this On June 10, 2019, the FRTIB 72(d) and, therefore, the FRTIB is regulation on state, local, and tribal published a proposed rule with request prohibited by the Internal Revenue Code governments and the private sector have for comments in the Federal Register from offering this option. been assessed. This regulation will not (84 FR 26769). The FRTIB received one Two commentators suggested that compel the expenditure in any one year or more comments from eighteen participants be allowed to make fund- of $100 million or more by state, local, individuals. As described in more detail specific withdrawals from their TSP and tribal governments, in the aggregate,

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or by the private sector. Therefore, a § 1650.2 Eligibility and general rules for a installment payments, a life annuity, or statement under 2 U.S.C. 1532 is not TSP withdrawal. any combination of these options. required. (a) A participant who is separated * * * * * Submission to Congress and the from Government service can elect to (c) Provided that the participant has General Accounting Office withdraw all or a portion of his or her not submitted a post-employment account balance by one or a withdrawal election prior to the date the Pursuant to 5 U.S.C. 810(a)(1)(A), the combination of the withdrawal methods automatic payment is processed, if a Agency submitted a report containing described in subpart B of this part. participant’s vested account balance is this rule and other required information (b) A post-employment withdrawal less than $200 when he or she separates to the U.S. Senate, the U.S. House of will not be paid unless TSP records from Government service, the TSP will Representatives, and the Comptroller indicate that the participant is separated automatically pay the balance in a General of the United States before from Government service. The TSP will, single payment to the participant at his publication of this rule in the Federal when possible, cancel a pending post- or her TSP address of record. The Register. This rule is not a major rule as employment withdrawal election upon participant will not be eligible for any defined at 5 U.S.C. 804(2). receiving information from an other payment option or be allowed to List of Subjects employing agency that a participant is remain in the TSP. no longer separated. (d) Only one post-employment Claims, Government employees, withdrawal election per account will be Pensions, Retirement. * * * * * (f) A participant can elect to have any processed in any 30-calendar-day 5 CFR Part 1650 portion of a single or installment period. ■ 5. Revise § 1650.12 to read as follows: Alimony, Claims, Government payment that is not transferred to an employees, Pensions, Retirement. eligible employer plan, traditional IRA, § 1650.12 Single payment. or Roth IRA deposited directly, by 5 CFR Part 1651 electronic funds transfer (EFT), into a Provided that, in the case of a partial savings or checking account at a withdrawal, the amount elected is not Claims, Government employees, less than $1,000, a participant can elect Pensions, Retirement. financial institution in the United States. to withdraw all or a portion of his or her account balance in a single payment. Ravindra Deo, (g) If a participant has a civilian TSP ■ Executive Director, Federal Retirement Thrift account and a uniformed services TSP 6. Revise § 1650.13 to read as follows: Investment Board. account, the rules in this part apply to § 1650.13 Installment payments. For the reasons stated in the each account separately. For example, (a) A participant can elect to preamble, the FRTIB amends 5 CFR the participant is eligible to make four withdraw all or a portion of the account Chapter VI as follows: age-based in-service withdrawals from balance in a series of substantially equal the civilian account and four age-based PART 1650—METHODS OF installment payments, to be paid on a in-service withdrawals from the monthly, quarterly, or annual basis in WITHDRAWING FUNDS FROM THE uniformed services account per calendar THRIFT SAVINGS PLAN one of the following manners: year. A separate withdrawal request (1) A specific dollar amount. The must be made for each account. ■ 1. The authority citation continues to amount elected must be at least $25 per read as follows: (h) A participant may elect to have his installment; if the amount elected is less or her withdrawal distributed from the than $25 per installment, the request Authority: 5 U.S.C. 8351, 8432d, 8433, participant’s traditional balance only, 8434, 8435, 8474(b)(5) and 8474(c)(1). will be rejected. Payments will be made Roth balance only, or pro rata from the in the amount requested each ■ 2. Amend § 1650.1 in paragraph (b) by participant’s traditional and Roth installment period. adding in alphabetical order definitions balances. Any distribution from the (2) An installment payment amount for ‘‘Required beginning date’’ and traditional balance will be prorated calculated based on life expectancy. ‘‘Required minimum distribution’’ to between the tax-deferred balance and Payments based on life expectancy are read as follows: any tax-exempt balance. Any determined using the factors set forth in distribution from the Roth balance will § 1650.1 Definitions. the Internal Revenue Service life be prorated between contributions in expectancy tables codified at 26 CFR * * * * * the Roth balance and earnings in the 1.401(a)(9)–9, Q&A 1 and 2. The (b) * * * Roth balance. In addition, all installment payment amount is Required beginning date means April withdrawals will be distributed pro rata calculated by dividing the account 1 of the year following the year in which from all TSP Funds in which the balance by the factor from the IRS life 1 the participant reaches 70 ⁄2 years of participant’s account is invested. All expectancy tables based upon the age or separates from Government prorated amounts will be based on the participant’s age as of his or her service, whichever is later. balances in each TSP Fund or source of birthday in the year payments are to Required minimum distribution contributions on the day the withdrawal begin. This amount is then divided by means the amount required to be is processed. the number of installment payments to distributed to a participant beginning on ■ 4. Amend § 1650.11 by revising be made per calendar year to yield the the required beginning date and every paragraphs (a) and (c) and adding installment payment amount. In year thereafter pursuant to Internal paragraph (d) to read as follows: subsequent years, the installment Revenue Code section 401(a)(9) and the payment amount is recalculated each regulations promulgated thereunder, as § 1650.11 Withdrawal elections. January by dividing the prior December applicable. (a) Subject to the restrictions in this 31 account balance by the factor in the ■ 3. Amend § 1650.2 by revising subpart, participants may elect to IRS life expectancy tables based upon paragraphs (a), (b), (f), (g), and (h) to withdraw all or a portion of their TSP the participant’s age as of his or her read as follows: accounts in a single payment, a series of birthday in the year payments will be

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made. There is no minimum amount for (b) If a participant has a traditional amount on or before the applicable date an installment payment calculated balance and a Roth balance and elects described in paragraph (a) of this based on this method. to use all or a portion of his or her total section. (b) A participant receiving installment account balance to purchase a life (d) The TSP will disburse required payments calculated based upon life annuity, the TSP must purchase two minimum distributions described in expectancy can make one election, at separate annuity contracts for the paragraph (c) of this section pro rata any time, to change to a fixed dollar participant: One from the portion of the from the participant’s traditional installment payment. A participant can withdrawal distributed from his or her balance and the participant’s Roth change the amount of his or her fixed traditional balance and one from the balance. payments at any time as described in portion of the withdrawal distributed (e) The rules set forth in paragraphs § 1650.17(c). A participant who is from his or her Roth balance. (a) through (d) of this section shall receiving installment payments based (c) A participant cannot elect to apply to a separated participant who on a fixed dollar amount, however, purchase an annuity contract with less reclaims an account balance that was cannot elect to change to an amount than $3,500. declared abandoned. calculated based on life expectancy. (d) Unless an amount must be paid ■ 10. Amend § 1650.17 by revising (c) If a participant elects to receive directly to the participant to satisfy any paragraphs (a) and (c) to read as follows: installments pro rata from his or her applicable minimum distribution § 1650.17 Changes and cancellation of a traditional and Roth balances, requirement of the Internal Revenue withdrawal request. installment payments will be made until Code, the TSP will purchase the annuity the participant’s entire account balance (a) Before processing. A pending contract(s) from the TSP’s annuity withdrawal request can be cancelled if is expended, unless the participant vendor using the participant’s entire elects to change or stop installment the cancellation is received and can be account balance or the portion processed before the TSP processes the payments as described in in specified. In the event that a minimum withdrawal request. However, the TSP § 1650.17(c). If a participant elects to distribution is required by section processes withdrawal requests each receive installment payments from his 401(a)(9) of the Internal Revenue Code business day and those that are entered or her traditional balance only or Roth before the date of the first annuity into the record keeping system by 12:00 balance only, installment payments will payment, the TSP will compute that noon eastern time will ordinarily be automatically continue from the non- amount prior to purchasing the annuity processed that night; those entered after elected balance once the elected balance contract(s), and pay it directly to the 12:00 noon eastern time will be has been expended, unless the participant. processed the next business day. participant elects to change or stop * * * * * Consequently, a cancellation request installment payments as described in (h) For each withdrawal election in must be received and entered into the § 1650.17(c). which the participant elects to purchase system before the cut-off for the day the (d) A participant receiving installment an annuity with some or all of the payments, regardless of the calculation withdrawal request is submitted for amount withdrawn, if the TSP must processing in order to be effective to method, can elect at any time to receive purchase two annuity contracts, the the remainder or part of his or her cancel the withdrawal. type of annuity, the annuity features, * * * * * account balance in a single payment. and the joint annuitant (if applicable) (e) A participant may only have one (c) Change in installment payments. If selected by the participant will apply to installment payment series in place at a a participant is receiving a series of both annuities purchased. For each time. installment payments, with appropriate withdrawal election, a participant (f) A participant receiving installment supporting documentation as required cannot elect more than one type of payments may change the investment of by the TSP record keeper, the annuity by which to receive a his or her account balance among the participant can change at any time: The withdrawal, or portion thereof, from any TSP investment funds as provided in 5 payment amount or frequency one account. CFR part 1601. (including stopping installment (g) Upon receiving information from § 1650.15 [Removed] payments), the address to which the an employing agency that a participant payments are mailed, the amount of ■ receiving installment payments is no 8. Remove § 1650.15. federal tax withholding, whether or not longer separated, the TSP will cancel all ■ 9. Revise § 1650.16 to read as follows: a payment will be transferred (if permitted) and the portion to be pending and future installment § 1650.16 Required minimum distributions. payments. transferred, the method by which direct ■ (a) A separated participant must payments to the participant are being 7. Amend § 1650.14 by: receive required minimum distributions ■ a. Revising paragraphs (a) and (b); sent (EFT or check), the identity of the ■ b. Removing paragraph (c); from his or her account commencing no financial institution to which payments ■ c. Redesignating paragraphs (d) later than the required beginning date are transferred or sent by EFT, or the through (l) as paragraphs (c) through (k); and, for each year thereafter, no later identity of the EFT account. and than December 31. ■ 11. Revise § 1650.21 to read as ■ d. Revising newly redesignated (b) A separated participant may elect follows: paragraphs (c), (d), and (h). to withdraw from his or her account or The revisions read as follows: to begin receiving payments before the § 1650.21 Information provided by required beginning date, but is not employing agency or service. § 1650.14 Annuities. required to do so. When a TSP participant separates (a) A participant electing a post- (c) In the event that a separated from Government service, his or her employment withdrawal can use all or participant does not withdraw from his employing agency or service must report a portion of his or her total account or her account an amount sufficient to the separation and the date of separation balance, traditional balance only, or satisfy his or her required minimum to the TSP record keeper. Until the TSP Roth balance only to purchase a life distribution for the year, the TSP will record keeper receives this information annuity. automatically distribute the necessary from the employing agency or service, it

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will not pay a post-employment (c) A participant is permitted four age- submit to the TSP record keeper a withdrawal. based withdrawals per calendar year for properly-completed paper TSP hardship ■ 12. Revise § 1650.23 to read as an account. Only one age-based withdrawal request form. follows: withdrawal election per account will be * * * * * processed in any 30-calendar-day- ■ 19. Revise § 1650.61 to read as § 1650.23 Accounts of less than $200. period. follows: Upon receiving information from the ■ 16. Revise § 1650.33 to read as employing agency that a participant has follows: § 1650.61 Spousal rights applicable to been separated for more than 31 days post-employment withdrawals. and that any outstanding loans have § 1650.33 Contributing to the TSP after an (a) The spousal rights described in been closed, provided the participant in-service withdrawal. this section apply to total post- has not made a withdrawal election (a) Age-Based In-Service Withdrawals. employment withdrawals when the before the distribution is processed, if A participant’s TSP contribution married participant’s vested TSP the account balance is $5.00 or more but election will not be affected by an age- account balance exceeds $3,500, to less than $200, the TSP record keeper based in-service withdrawal; therefore, partial post-employment withdrawals will automatically distribute the entire his or her TSP contributions will without regard to the amount of the amount of his or her account balance. continue without interruption. participant’s account balance, and to The TSP will not pay this amount by (b) Financial Hardship In-Service any change in the amount or frequency EFT. The participant may not elect to Withdrawals. (1) A participant who of an existing installment payment leave this amount in the TSP, nor will obtains a financial hardship in-service series, including a change from the TSP transfer any automatically withdrawal prior to September 15, 2019, payments calculated based on life distributed amount to an eligible may not contribute to the TSP until the expectancy to payments based on a employer plan, traditional IRA, or Roth earlier of: fixed-dollar amount. IRA. However, the participant may elect (i) The end of the six-month period (b) Unless the participant was granted to roll over this payment into an eligible after the withdrawal is processed, or an exception under this subpart to the employer plan, traditional IRA, or Roth (ii) September 15, 2019. spousal notification requirement within IRA to the extent the roll over is (2) Therefore, the participant’s 90 days of the date the withdrawal permitted by the Internal Revenue Code. employing agency will discontinue his request is processed by the TSP, the ■ or her contributions (and any applicable spouse of a CSRS participant is entitled 13. Revise § 1650.24 to read as Agency Matching Contributions) for the to notice when the participant applies follows: applicable period after the agency is for a post-employment withdrawal or § 1650.24 How to obtain a post- notified by the TSP; in the case of a makes a change to the amount or employment withdrawal. FERS or BRS participant, Agency frequency of an existing installment To request a post-employment Automatic (1%) Contributions will payment series. The participant must withdrawal, a participant must use the continue. A participant whose TSP provide the TSP record keeper with the TSP website to initiate a request or contributions are discontinued by his or spouse’s correct address. The TSP submit to the TSP record keeper a her agency after a financial hardship record keeper will send the required properly completed paper TSP post- withdrawal can resume contributions notice by first class mail to the spouse employment withdrawal request form. any time after expiration of the at the most recent address provided by ■ 14. Amend § 1650.25 by revising applicable period by submitting a new the participant. (c) The spouse of a FERS or paragraph (a) to read as follows: TSP contribution election. Contributions will not resume uniformed services participant has a § 1650.25 Transfers from the TSP. automatically. right to a joint and survivor annuity (a) The TSP will, at the participant’s (3) A participant’s TSP contribution with a 50 percent survivor benefit, level election, transfer all or any portion of an election will not be affected by a payments, and no cash refund based on eligible rollover distribution (as defined financial hardship in-service the participant’s entire account balance by section 402(c)(4) of the Internal withdrawal obtained on or after when the participant elects a total post- Revenue Code) directly to an eligible September 15, 2019; therefore, his or her employment withdrawal. employer plan or an IRA. TSP contributions will continue without (1) The participant may make a interruption. different total withdrawal election only * * * * * ■ 17. Revise § 1650.41 to read as if his or her spouse consents to that ■ 15. Amend § 1650.31 by revising follows: election and waives the right to this paragraphs (a) and (c) and removing annuity. paragraph (d). § 1650.41 How to obtain an age-based (2) A participant’s spouse must The revisions read as follows: withdrawal. consent to any partial withdrawal § 1650.31 Age-based withdrawals. To request an age-based withdrawal, a election (other than an election to participant must use the TSP website to purchase this type of an annuity with (a) A participant who has reached age initiate a request or submit to the TSP such amount) and waive his or her right 1 59 ⁄2 and who has not separated from record keeper a properly-completed to this annuity with respect the amount Government service is eligible to paper TSP age-based withdrawal request withdrawn. withdraw all or a portion of his or her form. (3) A spouse must consent to any vested TSP account balance in a single ■ 18. Amend § 1650.42 by revising change in the amount or frequency of an payment. Unless the withdrawal request paragraph (a) to read as follows: existing installment payment series and is for the entire vested account balance, waive his or her right to this annuity the entire vested traditional balance, or § 1650.42 How to obtain a hardship with respect to the applicable amount. the entire vested Roth balance, the withdrawal. Spousal consent is not required to stop amount of an age-based withdrawal (a) To request a financial hardship installment payments. request must be at least $1,000. withdrawal, a participant must use the (4) Unless the TSP granted the * * * * * TSP website to initiate a request or participant an exception under this

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subpart to the spousal notification spouse’s consent is irrevocable for that traditional balance and the beneficiary requirement within 90 days of the date withdrawal. participant’s Roth balance. the withdrawal form is processed by the * * * * * TSP, to show that the spouse has PART 1651—DEATH BENEFITS [FR Doc. 2019–19029 Filed 9–3–19; 8:45 am] consented to a different total or partial BILLING CODE 6760–01–P withdrawal election or installment ■ 21. The authority citation continues to payment change and waived the right to read as follows: this annuity with respect to the Authority: 5 U.S.C. 8424(d), 8432d, 8432(j), DEPARTMENT OF HOMELAND applicable amount, the participant must 8433(e), 8435(c)(2), 8474(b)(5) and 8474(c)(1). SECURITY submit to the TSP record keeper a ■ 22. Amend § 1651.1 in paragraph (b) properly completed withdrawal request Office of the Secretary form, signed by his or her spouse in the by adding in alphabetical order definitions for ‘‘Required beginning presence of a notary. If the TSP granted 6 CFR Part 37 the participant an exception to the date’’ and ‘‘Required minimum signature requirement, the participant distribution’’ to read as follows: RIN 1601–AA91 should enclose a copy of the TSP’s § 1651.1 Definitions. Minimum Standards for Driver’s approval letter with the withdrawal * * * * * Licenses and Identification Cards form. Acceptable by Federal Agencies for (5) The spouse’s consent and waiver (b) * * * Official Purposes; Implementation of is irrevocable for the applicable Required beginning date means: withdrawal or installment payment the REAL ID Act Modification for Freely (1) The end of the calendar year Associated States Act change once the TSP record keeper has immediately following the calendar year received it. in which the participant died; or AGENCY: Office of the Secretary, DHS. ■ 20. Amend § 1650.62 by revising (2) The end of the calendar year in ACTION: Final rule. paragraphs (b) and (c) to read as follows: which the participant would have SUMMARY: This final rule implements attained age 701⁄2, whichever is later. § 1650.62 Spousal rights applicable to in- the REAL ID Act Modification for Freely service withdrawals. Required minimum distribution Associated States Act by amending the means the amount required to be * * * * * regulatory definition of ‘‘temporary distributed to a beneficiary participant (b) Unless the participant was granted lawful status.’’ With this change, beginning on the required beginning an exception under this subpart to the citizens of the Freely Associated States date and every year thereafter pursuant spousal notification requirement within residing in the United States are eligible to Internal Revenue Code section 90 days of the date on which the for full-term REAL ID licenses and 401(a)(9) and the regulations withdrawal request is processed by the identification cards, provided they promulgated thereunder, as applicable. TSP, the spouse of a CSRS participant satisfy the other requirements of the is entitled to notice when the * * * * * REAL ID Act and regulations. participant applies for an in-service ■ 23. Amend § 1651.19 by revising DATES: withdrawal. If the TSP granted the Effective September 4, 2019. paragraph (c) to read as follows: participant an exception to the notice FOR FURTHER INFORMATION CONTACT: requirement, the participant should § 1651.19 Beneficiary participant Steve Yonkers, Director, Identity and enclose a copy of the TSP’s approval accounts. Credentialing/REAL ID Program, U.S. Department of Homeland Security letter with the withdrawal form. The * * * * * participant must provide the TSP record Office of Policy, Strategy, and Plans, (c) Required minimum distributions. Washington, DC 20528, (202) 447–3274. keeper with the spouse’s correct (1) A beneficiary participant must SUPPLEMENTARY INFORMATION: address. The TSP record keeper will receive required minimum distributions send the required notice by first class from his or her beneficiary participant I. Background mail to the spouse at the most recent account commencing no later than the The REAL ID Act of 2005 1 and its address provided by the participant. required beginning date and, for each (c) Unless the participant was granted implementing Department of Homeland year thereafter, no later than December an exception under this subpart to the Security (DHS) regulations 2 authorize 31. signature requirement within 90 days of REAL ID compliant states to issue the date the withdrawal form is (2) A beneficiary participant may elect temporary or limited-term REAL ID processed by the TSP, before obtaining to withdraw from his or her account or compliant driver’s licenses and an in-service withdrawal, a participant to begin receiving payments before the identification cards to certain who is covered by FERS or who is a required beginning date, but is not nonimmigrant aliens who satisfy other member of the uniformed services must required to do so. REAL ID eligibility requirements. These obtain the consent of his or her spouse (3) In the event that a beneficiary temporary driver’s licenses or and waiver of the spouse’s right to a participant does not withdraw from his identification cards cannot be issued joint and survivor annuity described in or her beneficiary participant account with a validity period longer than the § 1650.61(c) with respect to the an amount sufficient to satisfy his or her alien’s authorized period of stay in the applicable amount. To show the required minimum distribution for the United States or, if there is no definite spouse’s consent and waiver, a year, the TSP will automatically end to the period of authorized stay, a participant must submit to the TSP distribute the necessary amount on or period of one year.3 record keeper a properly completed before the applicable date described in withdrawal request form, signed by his paragraph (c)(1) of this section. 1 Emergency Supplemental Appropriations Act for Defense, the Global War on Terror, and Tsunami or her spouse in the presence of a (4) The TSP will disburse required Relief, 2005, Public Law 109–13, 119 Stat. 231, 302, notary. Once a form containing the minimum distributions described in Div. B (codified at 49 U.S.C. 30301 note). spouse’s consent and waiver has been paragraph (c)(3) of this section pro rata 2 6 CFR part 37. submitted to the TSP record keeper, the from the beneficiary participant’s 3 REAL ID Act § 202(c)(2)(c)(ii); 6 CFR 37.21(b)(1).

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Under the Compacts of Free satisfy the other requirements of the legislative history accompanying the Association between the United States REAL ID Act and regulations. REAL ID Act Modification for Freely and the Republic of the Marshall II. The REAL ID Act Modification for Associated States Act, the inability to Islands, the Federated States of Freely Associated States Act acquire full-term licenses impacts Micronesia, and the Republic of Palau certain opportunities for FAS citizens (collectively referred to as the Freely The REAL ID Act prohibits federal including opportunities for jobs, Associated States, or FAS), citizens of agencies from accepting a State-issued housing, transportation, and education, the Freely Associated States are eligible driver’s license or identification card for notwithstanding the fact that these to be admitted to the United States as any official purpose unless the license individuals may reside in the United or card is issued by a State that meets nonimmigrants without a visa, and live States for lengthy periods.7 and work in the United States the requirements set forth in the REAL indefinitely.4 Because FAS citizens are ID Act.6 Under Section 201(3) of the To address this issue, the REAL ID authorized to have an indefinite period REAL ID Act, official purpose as defined Act Modification for Freely Associated of authorized stay in the United States in the REAL ID Act includes accessing States Act amends the REAL ID Act to (known as ‘‘duration of status’’ or ‘‘D/ federal facilities, boarding federally authorize States to issue REAL ID S’’)—but FAS citizens are not U.S. regulated commercial aircraft, entering driver’s licenses or identification cards citizens—States that issue temporary nuclear power plants, and any other to citizens of the Republic of the driver’s licenses or identification cards purpose as determined by the Secretary Marshall Islands, the Federated States of to FAS citizens generally subject those of Homeland Security. Section 202(c) of Micronesia, and the Republic of Palau FAS citizens’ driver’s licenses or the REAL ID Act requires an applicant who are admitted to the United States identification cards to the one-year for a driver’s license or identification as nonimmigrants under the Compacts temporary license limitation. FAS card to present, and for the State to of Free Association, for the maximum citizens who present a USCIS Form I– verify, documentation and information period of validity authorized by Section 766 Employment Authorization evidencing the applicant’s identity, date 202(d) of the REAL ID Act, which is up Document (EAD) to establish identity of birth, social security number or to eight years. This final rule updates may obtain a REAL ID compliant verification that the person is not the REAL ID regulation to reflect this driver’s license or identification card eligible for a social security number, statutory change. Specifically, this final with a validity period as long as the address of principal residence, and U.S. rule amends the definition of citizenship or lawful status. Id. Certain validity period of the EAD, which in the ‘‘temporary lawful status’’ at 6 CFR 37.3 aliens including those who are in a case of FAS citizens is up to five years. to specifically exclude individuals valid nonimmigrant status, who have The REAL ID Act Modification for admitted as nonimmigrants under the Freely Associated States Act, Public pending applications for asylum, who Compacts of Free Association between Law 115–323, signed into law on have pending or approved applications the United States and the Republic of December 17, 2018, addresses this issue for temporary protected status, who by amending the REAL ID Act to have approved deferred action status, or the Marshall Islands, the Federated authorize states to issue to FAS citizens who have pending applications for States of Micronesia, and the Republic 8 residing indefinitely in the United adjustment to permanent residence or of Palau. As a result, these individuals States full-term REAL ID driver’s conditional permanent residence, may are no longer subject to 6 CFR 37.21, licenses or identification cards.5 This only receive a temporary REAL ID prescribing requirements for temporary final rule updates the REAL ID driver’s license or identification card. or limited-term licenses and regulations to reflect this statutory Id. Temporary driver’s licenses or identification cards for those with change by amending the regulatory identification cards can be valid either temporary lawful status. Therefore, definition of ‘‘temporary lawful status’’ until the expiration of the applicant’s these individuals are eligible to receive to specifically exclude individuals authorized stay in the United States or, full-term REAL ID licenses and admitted as nonimmigrants under the if there is no definite end to the period identification cards, provided they Compacts of Free Association between of authorized stay, a period of one year. satisfy the other REAL ID requirements the United States and the Republic of Id. including requirements to present the Marshall Islands, the Federated The Compacts of Free Association documentation establishing identity, States of Micronesia, and the Republic permit citizens of the Freely Associated date of birth, social security number, of Palau. With this change, citizens of States to be admitted as nonimmigrants address of principal residence, and the Freely Associated States residing in to the United States without a visa and lawful status.9 the United States are eligible for full- to live and work in the United States term REAL ID driver’s licenses and indefinitely. Because the Compacts of identification cards, provided they Free Association do not establish a 7 H.R. Rep. No. 115–945, at 2 (2018). specific time period for admission or 8 It is not necessary to amend the definition of 4 See Public Law 108–188 (48 U.S.C. 1921 note) duration of stay in the United States, ‘‘lawful status’’ in 6 CFR 37.3, because that (Republic of the Marshall Islands and Federated under current regulations FAS citizens definition already includes an alien ‘‘who has a States of Micronesia); Public Law 99–658 (48 U.S.C. residing in the United States can be valid nonimmigrant status in the United States,’’ 1931 and 1931 note) (Palau). eligible for a temporary REAL ID which includes (but is not limited to) 5 The REAL ID Act Modification for Freely nonimmigrants admitted under the Compacts of Associated States Act, Public Law 115–323, sec. driver’s license or identification card Free Association. 2(b). In addition to authorizing states to issue FAS that is valid only for one year, although 9 See 6 CFR 37.11. Note that an FAS passport with citizens full-term REAL ID licenses and as described above, the validity period Form I–94, but no visa, is not acceptable evidence identification cards, the Act amended the REAL ID can be as long as an EAD validity period of identity under the REAL ID regulations. Id. at definition of ‘‘state’’ by striking the reference to the § 37.11(c)(1). The immigration document available ‘‘Trust Territory of the Pacific Islands’’ which no of up to five years. According to the longer exists. As DHS regulations already correctly to FAS nonimmigrants admitted under the do not include the Trust Territory of the Pacific 6 The Emergency Supplemental Appropriations Compacts of Free Association that is acceptable Islands in the definition of ‘‘State,’’ no change to the Act for Defense, the Global War on Terror, and evidence of identity for REAL ID Act purposes is regulations is necessary to reflect that amendment. Tsunami Relief, 2005, Public Law 109–13, 119 Stat. the unexpired employment authorization document See 6 CFR 37.3. 231, 302, Div. B (codified at 49 U.S.C. 30301 note). (EAD). Id. at § 37.11(c)(1)(v).

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III. Regulatory Analyses grants, user fees, or loan programs or the E. Executive Order 12132 (Federalism) rights or obligations of recipients A. Administrative Procedure Act thereof; or (4) raise novel legal or policy A rule has implications for federalism The Administrative Procedure Act issues arising out of legal mandates, the under Executive Order 13132, (APA) provides that an agency may President’s priorities, or the principles ‘‘Federalism,’’ if it has a substantial dispense with notice and comment set forth in the Executive Order. direct effect on State or local rulemaking procedures when an agency, Executive Order 13771 on Reducing governments and would either preempt for ‘‘good cause,’’ finds that those Regulation and Controlling Regulatory State law or impose a substantial direct procedures are ‘‘impracticable, Costs directs agencies to reduce cost of compliance on them. We have unnecessary, or contrary to the public regulation and control regulatory costs analyzed this rule under that Order and interest.’’ See 5 U.S.C. 553(b)(B). DHS and provides that for every one new have determined that it does not have finds that notice and comment regulation issued, at least two prior these implications for federalism. rulemaking in this instance is regulations be identified for elimination, F. Unfunded Mandates Reform Act impracticable, unnecessary, and and that the cost of planned regulations contrary to the public interest. The be prudently managed and controlled The Unfunded Mandates Reform Act amendment to the REAL ID regulation through a budgeting process. of 1995 (2 U.S.C. 1531 to 1538) requires made by this final rule implements the This rule does not constitute a REAL ID Act Modification for Freely Federal agencies to assess the effects of ‘‘significant regulatory action’’ under their discretionary regulatory actions. In Associated States Act by authorizing Executive Order 12866, as States to issue full-term REAL ID particular, the Unfunded Mandates supplemented by Executive Order Reform Act addresses actions that may licenses or identification to FAS 13563, and therefore does not require citizens. The amendment conforms the result in the expenditure by a State, review by the Office of Management and local, or Tribal government, in the regulations to the statute and does not Budget (OMB). As this rule is not a alter other REAL ID requirements aggregate, or by the private section of significant regulatory action it is not necessary for citizens of the Freely $100 million (adjusted for inflation) or subject to the requirements of Executive Associated States to obtain REAL ID more in any one year. This final rule Order 13771. driver’s licenses or identification cards, will not result in such an expenditure. including requirements to present As previously discussed, citizens of G. Executive Order 13175 (Tribal documentation establishing identity, the FAS residing in the United States Consultation) date of birth, social security number, are eligible for a temporary driver’s license under the REAL ID Act. This address of principal residence, and This rule does not have Tribal lawful status. FAS citizens seeking to rule will allow citizens of the FAS residing in the United States to be Implications under Executive Order obtain a full-term driver’s license or 13175, ‘‘Consultation and Coordination identification card must still satisfy eligible for full-term REAL ID licenses and identification cards. These full-term with Indian Tribal Governments,’’ these and other REAL ID requirements. because it does not have a substantial Additionally, because the bill was licenses could last up to eight years. FAS citizens should benefit from this direct effect on one or more Indian signed into law, citizens of the Republic Tribes, on the relationship between the of the Marshall Islands, the Federated rule. The inability to acquire full-term licenses impacts certain opportunities Federal Government and Indian Tribes, States of Micronesia, and the Republic or on the distribution of power and of Palau residing in the United States for FAS citizens including opportunities responsibilities between the Federal will likely seek to start immediately for jobs, housing, transportation, and Government and Indian Tribes. obtaining full-term State driver’s education, notwithstanding the fact that licenses and identification cards. Based these individuals may reside in the H. Executive Order 13211 (Energy 10 on the above, DHS finds that notice and United States for lengthy periods. Impact Analysis) comment rulemaking in this instance C. Regulatory Flexibility Act would be impracticable, unnecessary, DHS has analyzed this rule under and contrary to the public interest. The Regulatory Flexibility Act of Executive Order 13211, ‘‘Actions For the same reasons, DHS also finds 1980, 5 U.S.C. 601–612, as amended by Concerning Regulations that good cause to make this rule effective the Small Business Regulatory Significantly Affect Energy Supply immediately upon publication in the Enforcement Fairness Act of 1996 (Pub. Distribution, or Use.’’ DHS has Federal Register. See 5 U.S.C. 553(d)(3). L. 104–121), requires Federal agencies determined that it is not a ‘‘significant to consider the potential impact of energy action’’ under that Order and is B. Executive Orders 12866, 13563, and regulations on small businesses, small not likely to have a significant adverse 13771 government jurisdictions, and small effect on the supply, distribution, or use Executive Order 12866 defines organizations during the development of of energy. Therefore, it does not require ‘‘significant regulatory action’’ as one their rules. This final rule, however, a Statement of Energy Effects under that is likely to result in a rule that may makes changes for which notice and Executive Order 13211. (1) have an annual effect on the comment are not necessary. economy of $100 million or more or Accordingly, DHS is not required to List of Subjects in 6 CFR Part 37 adversely affect in a material way the prepare a regulatory flexibility analysis. economy, a sector of the economy, See 5 U.S.C. 603, 604. Document security, driver’s licenses, identification cards, incorporation by productivity, competition, jobs, the D. Paperwork Reduction Act environment, public health or safety, or reference, motor vehicle State, local, or Tribal governments or This rule calls for no new collection administrations, physical security. communities; (2) create a serious of information under the Paperwork The Amendments inconsistency or otherwise interfere Reduction Act of 1995 (44 U.S.C. 3501– with an action taken or planned by 3520). For the reasons set forth above, the another agency; (3) materially alter the Department of Homeland Security budgetary impact of entitlements, 10 H.R. Rep. No. 115–945, at 2 (2018). amends 6 CFR part 37 as follows:

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PART 37—REAL ID DRIVER’S found cracked. This new AD requires, Discussion LICENSES AND IDENTIFICATION depending on airplane configuration, The FAA issued a notice of proposed CARDS replacing the vertical stiffeners at LBL rulemaking (NPRM) to amend 14 CFR and RBL 6.15 on the rear spar of the part 39 to supersede AD 2005–20–01, ■ 1. The authority citation for part 37 wing center section, installing angle and Amendment 39–14294 (70 FR 56358, continues to read as follows: bonding jumpers, installing brackets, September 27, 2005) (‘‘AD 2005–20– Authority: 49 U.S.C. 30301 note; 6 U.S.C. applying sealant, and applying paint. 01’’). AD 2005–20–01 applied to all The 111, 112. This AD was prompted by reports of Boeing Company Model 737–100, –200, cracks found in the left and right side ■ 2. In § 37.3, revise the definition of –200C, –300, –400, and –500 series keel beam upper chords when replacing ‘‘Temporary lawful status’’ to read as airplanes. The NPRM published in the vertical stiffeners. This AD was also follows: Federal Register on April 1, 2019 (84 FR prompted by possible degradation of the 12143). The NPRM was prompted by § 37.3 Definitions. fault current bonding path that could reports of cracks found in the left and * * * * * introduce an ignition source in the fuel right side keel beam upper chords when Temporary lawful status: A person in tank in the event of a fault current being replacing vertical stiffeners. In addition, temporary lawful status is a person who: imparted onto the fuel tank structure. the FAA has determined that the Has a valid nonimmigrant status in the The FAA is issuing this AD to address replacement stiffener installation United States (other than a person the unsafe condition on these products. degraded the fault current bonding path admitted as a nonimmigrant under the DATES: This AD is effective October 9, that could introduce an ignition source Compacts of Free Association between 2019. in the fuel tank in the event of fault the United States and the Republic of The Director of the Federal Register current being imparted onto the fuel the Marshall Islands, the Federated approved the incorporation by reference tank structure. The NPRM proposed to States of Micronesia, or the Republic of of a certain publication listed in this AD require, depending on airplane Palau); has a pending application for as of October 9, 2019. configuration, replacing the vertical asylum in the United States; has a ADDRESSES: For service information stiffeners at LBL and RBL 6.15 on the pending or approved application for identified in this final rule, contact rear spar of the wing center section, temporary protected status (TPS) in the Boeing Commercial Airplanes, installing angle and bonding jumpers, United States; has approved deferred Attention: Contractual & Data Services installing brackets, applying sealant, action status; or has a pending (C&DS), 2600 Westminster Blvd., MC and applying paint. The FAA is issuing application for LPR or conditional 110–SK57, Seal Beach, CA 90740–5600; this AD to address cracks in vertical permanent resident status. telephone 562–797–1717; internet stiffeners at LBL and RBL 6.15, which * * * * * https://www.myboeingfleet.com. You could result in damage to the keel beam structure and consequently reduce the David Pekoske, may view this service information at the FAA, Transport Standards Branch, 2200 capability of the airplane to sustain Senior Official Performing the Duties of the flight loads. The FAA is also issuing this Deputy Secretary. South 216th St., Des Moines, WA. For information on the availability of this AD to address a potential ignition [FR Doc. 2019–19023 Filed 9–3–19; 8:45 am] material at the FAA, call 206–231–3195. source in the fuel tank due to BILLING CODE P It is also available on the internet at insufficient bonding, which could lead http://www.regulations.gov by searching to a fuel tank explosion and subsequent for and locating Docket No. FAA–2019– loss of the airplane. DEPARTMENT OF TRANSPORTATION 0187. Comments Federal Aviation Administration Examining the AD Docket The FAA gave the public the opportunity to participate in developing 14 CFR Part 39 You may examine the AD docket on the internet at http:// this AD. The following presents the [Docket No. FAA–2019–0187; Product www.regulations.gov by searching for comments received on the NPRM and Identifier 2018–NM–172–AD; Amendment and locating Docket No. FAA–2019– the FAA’s response to each comment. 39–19715; AD 2019–16–12] 0187; or in person at Docket Operations The FAA received one comment that was outside the scope of this RIN 2120–AA64 between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. rulemaking. Airworthiness Directives; The Boeing The AD docket contains this final rule, Effect of Winglets on Accomplishment Company Airplanes the regulatory evaluation, any of the Proposed Actions comments received, and other AGENCY: Federal Aviation information. The address for Docket Aviation Partners Boeing stated that Administration (FAA), DOT. Operations is U.S. Department of accomplishing Supplemental Type ACTION: Final rule. Transportation, Docket Operations, M– Certificate (STC) ST01219SE does not 30, West Building Ground Floor, Room affect compliance with the proposed SUMMARY: The FAA is superseding W12–140, 1200 New Jersey Avenue SE, actions. Airworthiness Directive (AD) 2005–20– Washington, DC 20590. The FAA concurs with the 01, which applied to all The Boeing commenter. The FAA has redesignated Company Model 737–100, –200, –200C, FOR FURTHER INFORMATION CONTACT: paragraph (c) of the proposed AD as –300, –400, and –500 series airplanes. Peter Jarzomb, Aerospace Engineer, paragraph (c)(1) of this AD and added AD 2005–20–01 required repetitive Airframe Section, FAA, Los Angeles paragraph (c)(2) to this AD to state that inspections of the vertical stiffeners at ACO Branch, 3960 Paramount installation of STC ST01219SE does not left buttock line (LBL) and right buttock Boulevard, Lakewood, CA 90712–4137; affect the ability to accomplish the line (RBL) 6.15 for cracks; and phone: 562–627–5234; fax: 562–627– actions required by this AD. Therefore, replacement of both stiffeners with new, 5210; email: [email protected]. for airplanes on which STC ST01219SE improved stiffeners if any stiffener is SUPPLEMENTARY INFORMATION: is installed, a ‘‘change in product’’

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alternative method of compliance FAA disagrees with the commenter’s The FAA agrees with the commenter’s (AMOC) approval request is not request to revise the proposed credit request for the reasons provided by the necessary to comply with the provision. After further review of commenter. The FAA has revised the requirement of 14 CFR 39.17. Boeing Alert Service Bulletin 737– SUMMARY section of this final rule to 57A1269, Revision 2, dated October 11, include the sentence ‘‘In addition, the Request To Correct Service Information Reference 2018, and clarification from the FAA has determined that the commenter regarding the request, the replacement stiffener installation Boeing requested that the ‘‘Actions FAA has determined that credit for degraded the fault current bonding path Since AD 2005–20–01 was Issued’’ previously accomplished actions is not that could introduce an ignition source section of the NPRM be revised so that needed in this AD because the in the fuel tank in the event of a fault the reference to ‘‘Boeing Alert Service effectivity of Boeing Alert Service current being imparted onto the fuel Bulletin 737–57A1339 RB’’ is changed Bulletin 737–57A1269, Revision 2, tank structure.’’ As previously stated, to ‘‘Boeing Alert Requirements Bulletin dated October 11, 2018, addresses the ‘‘Actions Since AD 2005–20–01’’ 737–57A1339 RB’’. The commenter airplanes on which actions have already section does not reappear in this final pointed out that the ‘‘RB’’ designation is been done using the procedures rule, so no further change is necessary for a Boeing requirements bulletin and described in earlier revisions of the in that regard. not a Boeing service bulletin. The service information. Therefore the FAA Conclusion commenter also noted that this change has removed the credit provision from would be consistent with how this this AD, and has redesignated the The FAA reviewed the relevant data, service information is referred to in the subsequent paragraphs accordingly. considered the comments received, and ‘‘Differences Between This Proposed AD determined that air safety and the and the Service Information’’ section of Request To Clarify Unsafe Condition public interest require adopting this AD the NPRM. Boeing requested that the SUMMARY with the changes described previously, The FAA agrees with commenter’s section of the NPRM be revised to and minor editorial changes. The FAA request for the reason provided by the clarify the unsafe condition regarding has determined that these minor commenter. Since the ‘‘Actions Since the electrical fault current bonding path. changes: AD 2005–20–01 was Issued’’ section of The commenter specifically requested • Are consistent with the intent that the preamble does not reappear in this that the sentence ‘‘In addition, we have was proposed in the NPRM for final rule, no change to this final rule is determined that the replacement addressing the unsafe condition; and necessary. stiffener installation degraded the fault • Do not add any additional burden Request for Clarification of Credit for current bonding path and could upon the public than was already Previous Actions introduce an ignition source in the fuel proposed in the NPRM. Boeing requested that the tank in the event of an electrical hot The FAA also determined that these introductory text of paragraph (k) of the short or lightning strike,’’ to ‘‘In changes will not increase the economic proposed AD, ‘‘Credit for Previous addition, we have determined that the burden on any operator or increase the Actions,’’ be revised to clarify that the replacement stiffener installation scope of this AD. unsafe condition caused by possible degraded the fault current bonding path and could introduce an ignition source Related Service Information Under 1 degradation of the fault current bonding CFR Part 51 path must be corrected in accordance in the fuel tank in the event of a fault with the Accomplishment Instructions current being imparted onto the fuel The FAA reviewed Boeing Alert of Boeing Alert Service Bulletin 737– tank structure.’’ The commenter also Service Bulletin 737–57A1269, Revision 57A1269, Revision 2, dated October 11, requested that this change be made to 2, dated October 11, 2018. This service 2018. The commenter stated that it the ‘‘Actions Since AD 2005–20–01 was information describes procedures for wanted to emphasize that credit is only Issued’’ section of the NPRM. replacing the vertical stiffeners at LBL provided for stiffeners replaced using The commenter explained that an and RBL 6.15 on the rear spar of the the service information specified in ignition source threat can originate from wing center section with new, improved paragraphs (k)(1) and (2) of the a fault current that develops from a stiffeners, installing angle and bonding proposed AD and that doing the short circuit internal to auxiliary jumpers, installing brackets, applying procedures in the service information hydraulic pumps installed on or sealant, and applying paint. specified in paragraph (k)(1) or (2) of the attached to the aft spar. Furthermore, This service information is reasonably proposed AD does not resolve the the commenter noted that electrical hot available because the interested parties unsafe electrical bonding condition. shorts (normally associated with have access to it through their normal The FAA agrees with the commenter’s clamped wire bundles, which are course of business or by the means statement that the unsafe electrical attached to fuel tank walls via identified in the ADDRESSES section. bonding condition can only be cushioned clamps and brackets) and addressed by doing the actions lightning strike ignition threats are not Costs of Compliance described in the Accomplishment applicable to the installation defined in The FAA estimates that this AD Instructions of Boeing Alert Service Boeing Alert Service Bulletin 737– affects 171 airplanes of U.S. registry. Bulletin 737–57A1269, Revision 2, 57A1269, Revision 2, dated October 11, The FAA estimates the following costs dated October 11, 2018. However, the 2018. to comply with this AD:

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ESTIMATED COSTS

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

Stiffener replacement, angle and bonding jumper Up to 257 work-hours × $14,730 Up to $36,575 ...... Up to $6,254,325. installation, bracket installation, and sealant $85 per hour = Up to and paint application. $21,845.

Authority for This Rulemaking under the criteria of the Regulatory (e) Unsafe Condition Title 49 of the United States Code Flexibility Act. This AD was prompted by reports of cracks in the aft vertical stiffeners at left buttock line specifies the FAA’s authority to issue List of Subjects in 14 CFR Part 39 (LBL) and right buttock line (RBL) 6.15 on rules on aviation safety. Subtitle I, the rear spar of the wing center section and Section 106, describes the authority of Air transportation, Aircraft, Aviation safety, Incorporation by reference, of cracks found in the left and right side keel the FAA Administrator. Subtitle VII, upper chords when replacing vertical Aviation Programs, describes in more Safety. stiffeners. This AD was also prompted by detail the scope of the Agency’s Adoption of the Amendment possible degradation of the fault current authority. bonding path due to the replacement vertical Accordingly, under the authority stiffener installation. The FAA is issuing this The FAA is issuing this rulemaking delegated to me by the Administrator, AD to address cracks in vertical stiffeners at under the authority described in the FAA amends 14 CFR part 39 as LBL and RBL 6.15, which could result in Subtitle VII, Part A, Subpart III, Section follows: damage to the keel beam structure and 44701, ‘‘General requirements.’’ Under consequently reduce the capability of the that section, Congress charges the FAA PART 39—AIRWORTHINESS airplane to sustain flight loads. The FAA is with promoting safe flight of civil DIRECTIVES also issuing this AD to address a potential aircraft in air commerce by prescribing ignition source in the fuel tank due to insufficient bonding, which could lead to a regulations for practices, methods, and ■ 1. The authority citation for part 39 fuel tank explosion and subsequent loss of procedures the Administrator finds continues to read as follows: the airplane. necessary for safety in air commerce. Authority: 49 U.S.C. 106(g), 40113, 44701. This regulation is within the scope of (f) Compliance that authority because it addresses an § 39.13 [Amended] Comply with this AD within the unsafe condition that is likely to exist or compliance times specified, unless already ■ develop on products identified in this 2. The FAA amends § 39.13 by done. rulemaking action. removing Airworthiness Directive (AD) 2005–20–01, Amendment 39–14294 (70 (g) Required Actions for Groups 1 and 3 This AD is issued in accordance with Through 8 Airplanes authority delegated by the Executive FR 56358, September 27, 2005), and adding the following new AD: For airplanes identified as Groups 1 and 3 Director, Aircraft Certification Service, through 8 in Boeing Alert Service Bulletin as authorized by FAA Order 8000.51C. 2019–16–12 The Boeing Company: 737–57A1269, Revision 2, dated October 11, In accordance with that order, issuance Amendment 39–19715; Docket No. 2018: Except as specified by paragraph (j) of of ADs is normally a function of the FAA–2019–0187; Product Identifier this AD, at the applicable times specified in Compliance and Airworthiness 2018–NM–172–AD. paragraph 1.E., ‘‘Compliance,’’ of Boeing Alert Service Bulletin 737–57A1269, (a) Effective Date Division, but during this transition Revision 2, dated October 11, 2018, do all period, the Executive Director has This AD is effective October 9, 2019. applicable actions, identified in, and in delegated the authority to issue ADs (b) Affected ADs accordance with, the Accomplishment applicable to transport category Instructions of Boeing Alert Service Bulletin airplanes and associated appliances to This AD replaces AD 2005–20–01, 737–57A1269, Revision 2, dated October 11, the Director of the System Oversight Amendment 39–14294 (70 FR 56358, 2018. Depending on the airplane Division. September 27, 2005) (‘‘AD 2005–20–01’’). configuration, applicable actions include This AD terminates certain requirements of replacing the vertical stiffeners at LBL and Regulatory Findings AD 2018–10–12, Amendment 39–19288 (83 RBL 6.15 on the rear spar of the wing center FR 23775, May 23, 2018) (‘‘AD 2018–10– section, installing angle and bonding The FAA has determined that this AD 12’’). jumpers, installing brackets, applying will not have federalism implications sealant, and applying paint. under Executive Order 13132. This AD (c) Applicability will not have a substantial direct effect (1) This AD applies to all The Boeing (h) Required Actions for Group 2 Airplanes on the States, on the relationship Company Model 737–100, –200, –200C, For airplanes identified as Group 2 in between the national government and –300, –400, and –500 series airplanes, Boeing Alert Service Bulletin 737–57A1269, certificated in any category. the States, or on the distribution of Revision 2, dated October 11, 2018: Within (2) Installation of Supplemental Type 120 days after the effective date of this AD, power and responsibilities among the Certificate (STC) ST01219SE does not affect do actions to correct the unsafe condition, various levels of government. the ability to accomplish the actions required using a method approved in accordance with For the reasons discussed above, I by this AD. Therefore, for airplanes on which the procedures specified in paragraph (k) of certify that this AD: STC ST01219SE is installed, a ‘‘change in this AD. (1) Is not a ‘‘significant regulatory product’’ alternative method of compliance (AMOC) approval request is not necessary to (i) Terminating Action for Repetitive action’’ under Executive Order 12866, Inspections of Aft Vertical Stiffener (2) Will not affect intrastate aviation comply with the requirements of 14 CFR 39.17. Required by AD 2018–10–12 in Alaska, and Accomplishment of the stiffener (3) Will not have a significant (d) Subject replacement required by paragraph (g) of this economic impact, positive or negative, Air Transport Association (ATA) of AD terminates only the repetitive inspections on a substantial number of small entities America Code 57, Wings. of the aft vertical stiffeners required by

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paragraph (h) of AD 2018–10–12 for that Airplanes, Attention: Contractual & Data which contained the requirements of airplane only. All other requirements of Services (C&DS), 2600 Westminster Blvd., this amendment. paragraph (h) of AD 2018–10–12 remain in MC 110–SK57, Seal Beach, CA 90740–5600; effect. telephone 562–797–1717; internet https:// The Director of the Federal Register www.myboeingfleet.com. approved the incorporation by reference (j) Exceptions to Service Information (4) You may view this service information of a certain publication identified in this Specifications at the FAA, Transport Standards Branch, AD as of September 19, 2019. (1) For purposes of determining 2200 South 216th St., Des Moines, WA. For The FAA must receive comments on compliance with the requirements of this AD: information on the availability of this this AD by October 21, 2019. Where Boeing Alert Service Bulletin 737– material at the FAA, call 206–231–3195. 57A1269, Revision 2, dated October 11, 2018, (5) You may view this service information ADDRESSES: You may send comments, uses the phrase ‘‘the Revision 2 date of this that is incorporated by reference at the using the procedures found in 14 CFR service bulletin,’’ this AD requires using ‘‘the National Archives and Records 11.43 and 11.45, by any of the following effective date of this AD.’’ Administration (NARA). For information on methods: (2) Where Boeing Alert Service Bulletin the availability of this material at NARA, call • 737–57A1269, Revision 2, dated October 11, Federal eRulemaking Portal: Go to 202–741–6030, or go to: http:// http://www.regulations.gov. Follow the 2018, specifies contacting Boeing for repair www.archives.gov/federal-register/cfr/ibr- instructions: This AD requires doing the locations.html. instructions for submitting comments. repair before further flight using a method • Fax: 202–493–2251. Issued in Des Moines, Washington, on approved in accordance with the procedures • Mail: U.S. Department of specified in paragraph (k) of this AD. August 15, 2019. Michael Kaszycki, Transportation, Docket Operations, M– (k) Alternative Methods of Compliance 30, West Building Ground Floor, Room (AMOCs) Acting Director, System Oversight Division, Aircraft Certification Service. W12–140, 1200 New Jersey Avenue SE, (1) The Manager, Los Angeles ACO Branch, Washington, DC 20590. FAA, has the authority to approve AMOCs [FR Doc. 2019–19012 Filed 9–3–19; 8:45 am] • BILLING CODE 4910–13–P Hand Delivery: Deliver to Mail for this AD, if requested using the procedures address above between 9 a.m. and 5 found in 14 CFR 39.19. In accordance with 14 CFR 39.19, send your request to your p.m., Monday through Friday, except principal inspector or local Flight Standards DEPARTMENT OF TRANSPORTATION Federal holidays. District Office, as appropriate. If sending For service information identified in information directly to the manager of the Federal Aviation Administration this final rule, contact Air Methods certification office, send it to the attention of Corporation, 5500 South Quebec Street, the person identified in paragraph (l) of this 14 CFR Part 39 Suite 300, Greenwood Village, CO AD. Information may be emailed to: 9-ANM- 80111; telephone 303–792–7557 or at [email protected]. [Docket No. FAA–2019–0643; Product http://www.unitedrotorcraft.com/. You (2) Before using any approved AMOC, Identifier 2019–SW–013–AD; Amendment notify your appropriate principal inspector, 39–19719; AD 2019–10–51] may view this service information at the or lacking a principal inspector, the manager FAA, Office of the Regional Counsel, of the local flight standards district office/ RIN 2120–AA64 Southwest Region, 10101 Hillwood certificate holding district office. Pkwy, Room 6N–321, Fort Worth, TX (3) An AMOC that provides an acceptable Airworthiness Directives; Airbus 76177. For information on the level of safety may be used for any repair, Helicopters Deutschland GmbH availability of this material at the FAA, modification, or alteration required by this Helicopters call 817–222–5110. It is also available AD if it is approved by The Boeing Company Organization Designation Authorization on the internet at http:// AGENCY: Federal Aviation www.regulations.gov by searching for (ODA) that has been authorized by the Administration (FAA), DOT. Manager, Los Angeles ACO Branch, FAA, to and locating Docket No. FAA–2019– make those findings. To be approved, the ACTION: Final rule; request for 0643. repair method, modification deviation, or comments. alteration deviation must meet the Examining the AD Docket SUMMARY: The FAA is publishing a new certification basis of the airplane, and the You may examine the AD docket on approval must specifically refer to this AD. airworthiness directive (AD) for all the internet at http:// Airbus Helicopters Deutschland GmbH (l) Related Information www.regulations.gov by searching for Helicopters (Airbus) Model MBB–BK and locating Docket No. FAA–2019– For more information about this AD, 117 C–2 helicopters. Emergency AD contact Peter Jarzomb, Aerospace Engineer, 0643; or in person at Docket Operations 2019–10–51 was sent previously to all Airframe Section, FAA, Los Angeles ACO between 9 a.m. and 5 p.m., Monday known U.S. owners and operators of Branch, 3960 Paramount Boulevard, through Friday, except Federal holidays. these helicopters. This AD requires, for Lakewood, CA 90712–4137; phone: 562–627– The AD docket contains this final rule, certain helicopters, inspecting the 5234; fax: 562–627–5210; email: the regulatory evaluation, any [email protected]. fuselage frame and providing certain comments received, and other information to the FAA. This AD also (m) Material Incorporated by Reference information. The street address for prohibits installing certain components (1) The Director of the Federal Register Docket Operations is listed above. as part of Supplemental Type Certificate approved the incorporation by reference Comments will be available in the AD (STC) SR00592DE on any helicopter. (IBR) of the service information listed in this docket shortly after receipt. paragraph under 5 U.S.C. 552(a) and 1 CFR This AD was prompted by reports of part 51. fatigue cracks in the fuselage frame. The FOR FURTHER INFORMATION CONTACT: (2) You must use this service information FAA is issuing this AD to address the Cynthia Bradley, Aviation Safety as applicable to do the actions required by unsafe condition on these products. Engineer, Denver ACO Branch, this AD, unless the AD specifies otherwise. DATES: This AD is effective September Compliance & Airworthiness Division, (i) Boeing Alert Service Bulletin 737– FAA, 26805 East 68th Ave., Room 214, 57A1269, Revision 2, dated October 11, 2018. 19, 2019 to all persons except those persons to whom it was made Denver, CO 80249; telephone (303) 342– (ii) [Reserved] 1082; email [email protected]. (3) For service information identified in immediately effective by Emergency AD this AD, contact Boeing Commercial 2019–10–51, issued on May 16, 2019, SUPPLEMENTARY INFORMATION:

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Discussion for cracks and loose rivets, and making An unsafe condition exists that On May 16, 2019, the FAA issued repairs if necessary or reinstalling the required the immediate adoption of Emergency AD 2019–10–51, which inboard web of the box beam and the Emergency AD 2019–10–51, issued on requires for certain serial-numbered cabin interior panels with the medical May 16, 2019, to all known U.S. owners helicopters, inspecting the fuselage wall rack to remain removed and and operators of these helicopters. The frame before further flight and providing • Within 10 hours TIS after the FAA found that the risk to the flying certain information to the FAA within required inspections, providing the public justified waiving notice and 10 hours time-in-service (TIS) after the inspection results, photographs of comment prior to adoption of this rule required inspections. This AD also inspected areas, total helicopter hours because an unsafe condition existed prohibits installing certain components TIS since installation of STC which required corrective actions before as part of STC SR00592DE on any SR00592DE, and the helicopter serial further flight. These conditions still helicopter. Emergency AD 2019–10–51 number to the FAA. exist and the AD is hereby published in was sent previously to all known U.S. This AD also prohibits installing on the Federal Register as an amendment owners and operators of these any helicopter recessed medical wall to section 39.13 of the Federal Aviation helicopters. This action was prompted assembly part number (P/N) 778–1400– Regulations (14 CFR 39.13) to make it by reports of fatigue cracks in the 001, wall mount fittings P/N 900–9959– effective to all persons. Accordingly, fuselage frame, through the left-hand 001, aft medical wall doubler P/N 900– notice and opportunity for prior public door frame webs and frame cap at 9989, and medical wall long doubler P/ comment are impracticable and contrary station 4135. These cracks occurred on N 900–6021 at stations 4135 and to public interest pursuant to 5 U.S.C. certain serial numbered helicopters with 4963.19 as part of STC SR00592DE. 553(b)(3)(B). In addition, for the reason STC SR00592DE installed. The cracks stated above, the FAA finds that good initiated under the doubler that Differences Between This AD and the cause exists pursuant to 5 U.S.C. 553(d) reinforces the door frame where Service Information for making this amendment effective in recessed medical wall fittings are This AD requires the inspections less than 30 days. attached. In one case, the crack under before further flight, whereas the ASB Comments Invited the doubler propagated through the specifies within 10 flight hours. This This AD is a final rule that involves inboard frame cap and onto the inboard AD requires a single inspection before requirements affecting flight safety and web. This condition, if not corrected, further flight, whereas the ASB specifies was not preceded by notice and an could result in excessive vibration, an repetitive inspections every 200 hours opportunity for public comment. in-flight breakup, and subsequent loss of TIS following the initial inspection. However, the FAA invites you to send control of the helicopter. Although the This AD does not require contacting Air any written data, views, or arguments exact cause of this unsafe condition is Methods for disposition on the about this final rule. Send your still being investigated, the FAA has discovery of cracks, whereas the ASB comments to an address listed under the determined that the cracks are a result does. ADDRESSES section. Include the docket of the recessed medical wall rack number FAA–2019–0643 and Product installation. Interim Action Identifier 2019–SW–013–AD at the Related Service Information Under 1 The FAA considers this AD interim beginning of your comments. The FAA CFR Part 51 action. The inspection reports that are specifically invites comments on the required by this AD will enable the FAA overall regulatory, economic, The FAA reviewed Air Methods Alert to obtain better insight into the cause of Service Bulletin ASB19–03, Revision IR, environmental, and energy aspects of the cracking and eventually to develop this final rule. The FAA will consider dated May 6, 2019 (ASB). The ASB final action to address the unsafe requires removing the recessed medical all comments received by the closing condition. Once final action has been wall rack and describes procedures for date and may amend this final rule identified, the FAA might consider inspecting the door frame at the forward because of those comments. further rulemaking. Also, the FAA is medical wall rack doubler for cracks. If The FAA will post all comments currently considering requiring cracks are discovered, the ASB specifies received, without change, to http:// repetitive inspections of the frame. that the aircraft is grounded until www.regulations.gov, including any However, the planned compliance time repairs are made. This service personal information you provide. The for those inspections would allow information is reasonably available FAA will also post a report enough time to provide notice and because the interested parties have summarizing each substantive verbal opportunity for prior public comment access to it through their normal course contact received about this final rule. on the merits of the repetitive of business or by the means identified inspections. Costs of Compliance in the ADDRESSES section. The FAA estimates that this AD FAA’s Justification and Determination FAA’s Determination affects 10 helicopters of U.S. registry of the Effective Date The FAA is issuing this AD after and estimates the following costs to evaluating all the relevant information Section 553(b)(3)(B) of the comply with this AD. Labor costs are and determining the unsafe condition Administrative Procedure Act (APA) (5 estimated at $85 per work-hour. described previously is likely to exist or U.S.C.) authorizes agencies to dispense Removing the recessed medical wall develop in other products of this same with notice and comment procedures rack takes about 0.25 work-hour, type design. for rules when the agency, for ‘‘good inspecting for cracks and loose rivets cause,’’ finds that those procedures are takes about 8 work-hours, and reporting AD Requirements ‘‘impracticable, unnecessary, or contrary the required information takes about 1 This AD requires the following for to the public interest.’’ Under this work-hour for an estimated cost of $786 certain serial-numbered helicopters: section, an agency, upon finding good per helicopter and $7,860 for the • Before further flight, removing the cause, may issue a final rule without affected U.S. fleet. Thirty-three blind recessed medical wall rack, inspecting seeking comment prior to the rivets at about $1.50 each are required the fuselage frame box beam structure rulemaking. to reinstall the inboard web if there are

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no cracks for a total cost of $50. Loose responsibilities among the various through 4.3., of Air Methods Alert Service fitting/doubler rivets cost about $1.50 levels of government. Bulletin ASB19–03, Revision IR, dated May each. The FAA has no way of estimating For the reasons discussed above, I 6, 2019 (ASB). the cost to repair any cracked structure. certify that this AD: (ii) Inspect the fuselage frame box beam (1) Is not a ‘‘significant regulatory structure for cracks and loose rivets at station Paperwork Reduction Act action’’ under Executive Order 12866, 4135 in accordance with Part 2, paragraphs 5.1 through 5.4., of the ASB, except you are A federal agency may not conduct or and not required to contact Air Methods for sponsor, and a person is not required to (2) Will not affect intrastate aviation disposition if cracks are found. Instead, if respond to, nor shall a person be subject in Alaska. there is a crack, repair using a method to a penalty for failure to comply with List of Subjects in 14 CFR Part 39 approved by the Manager, Denver ACO a collection of information subject to the Branch, Compliance & Airworthiness requirements of the Paperwork Air transportation, Aircraft, Aviation Division, FAA, 26805 East 68th Ave., Room Reduction Act unless that collection of safety, Incorporation by reference, 214, Denver, CO 80249; telephone (303) 342– information displays a currently valid Safety. 1081; email: 9 [email protected]. Replace any loose rivets. OMB Control Number. The OMB Adoption of the Amendment Control Number for this information (iii) If there are no cracks, reinstall the inboard web of the box beam and the cabin collection is 2120–0056. Public Accordingly, under the authority delegated to me by the Administrator, interior panels in accordance with Part 2, reporting for this collection of paragraphs 5.5. and 5.6. of the ASB. Do not information is estimated to be the FAA amends 14 CFR part 39 as follows: reinstall the recessed medical wall rack. approximately 1 hour per response, (2) For helicopters with serial numbers including the time for reviewing PART 39—AIRWORTHINESS 9069, 9185, 9255, 9377, 9389, 9403, 9411, 9457, 9529, or 9637, within 10 hours time- instructions, searching existing data DIRECTIVES sources, gathering and maintaining the in-service (TIS) after the required data needed, completing and reviewing ■ 1. The authority citation for part 39 inspections, provide the inspection results, the collection of information. All photographs of inspected areas, total continues to read as follows: helicopter hours TIS since installation of responses to this collection of Authority: 49 U.S.C. 106(g), 40113, 44701. Supplemental Type Certificate (STC) information are mandatory. Send SR00592DE, and helicopter serial number to comments regarding this burden § 39.13 [Amended] the attention of the person identified in estimate or any other aspect of this ■ 2. The FAA amends § 39.13 by adding paragraph (j) of this AD. This information is collection of information, including the following new airworthiness required even if there are no cracks. suggestions for reducing this burden to: directive (AD): (3) For all helicopters, after the effective Information Collection Clearance date of this AD, do not install on any Officer, Federal Aviation 2019–10–51 Airbus Helicopters helicopter recessed medical wall assembly Administration, 10101 Hillwood Deutschland GmbH: Amendment 39– part number (P/N) 778–1400–001, wall 19719; Docket No. FAA–2019–0643; mount fittings P/N 900–9959–001, aft Parkway, Fort Worth, TX 76177–1524. Product Identifier 2019–SW–013–AD. medical wall doubler P/N 900–9989, and medical wall long doubler P/N 900–6021 at Authority for This Rulemaking (a) Effective Date stations 4135 and 4963.19 as part of STC Title 49 of the United States Code This AD is effective September 19, 2019 to SR00592DE. specifies the FAA’s authority to issue all persons except those persons to whom it rules on aviation safety. Subtitle I, was made immediately effective by (h) Paperwork Reduction Act Burden section 106, describes the authority of Emergency AD 2019–10–51, issued on May Statement the FAA Administrator. Subtitle VII: 16, 2019, which contained the requirements A federal agency may not conduct or Aviation Programs describes in more of this amendment. sponsor, and a person is not required to detail the scope of the Agency’s (b) Affected ADs respond to, nor shall a person be subject to a penalty for failure to comply with a authority. None. collection of information subject to the The FAA is issuing this rulemaking (c) Applicability requirements of the Paperwork Reduction under the authority described in Act unless that collection of information Subtitle VII, Part A, Subpart III, Section This AD applies to Airbus Helicopters displays a currently valid OMB Control Deutschland GmbH Model MBB–BK 117 C– 44701: General requirements. Under Number. The OMB Control Number for this 2 helicopters, certificated in any category. that section, Congress charges the FAA information collection is 2120–0056. Public with promoting safe flight of civil (d) Subject reporting for this collection of information is aircraft in air commerce by prescribing Joint Aircraft System Component (JASC) of estimated to be approximately 1 hour per regulations for practices, methods, and America Code: 5311, Fuselage main frame. response, including the time for reviewing procedures the Administrator finds instructions, searching existing data sources, (e) Unsafe Condition gathering and maintaining the data needed, necessary for safety in air commerce. completing and reviewing the collection of This regulation is within the scope of This AD was prompted by reports of fatigue cracks in a fuselage frame. The FAA information. All responses to this collection that authority because it addresses an is issuing this AD to correct the unsafe of information are mandatory. Send unsafe condition that is likely to exist or condition on these helicopters. comments regarding this burden estimate or develop on products identified in this any other aspect of this collection of rulemaking action. (f) Compliance information, including suggestions for Comply with this AD within the reducing this burden to: Information Regulatory Findings compliance times specified, unless already Collection Clearance Officer, Federal This AD will not have federalism done. Aviation Administration, 10101 Hillwood Parkway, Fort Worth, TX 76177–1524. implications under Executive Order (g) Required Actions 13132. This AD will not have a (1) For helicopters with serial numbers (i) Alternative Methods of Compliance substantial direct effect on the States, on 9069, 9185, 9255, 9377, 9389, 9403, 9411, (AMOCs) the relationship between the national 9457, 9529, or 9637, before further flight: (1) The Manager, Denver ACO Branch, government and the States, or on the (i) Remove the recessed medical wall rack FAA, has the authority to approve AMOCs distribution of power and in accordance with Part 1, paragraphs 4.1. for this AD, if requested using the procedures

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found in 14 CFR 39.19. In accordance with DEPARTMENT OF TRANSPORTATION For information on the availability of 14 CFR 39.19, send your request to your this material at the FAA, call 206–231– principal inspector or local Flight Standards Federal Aviation Administration 3195. It is also available on the internet District Office, as appropriate. If sending at http://www.regulations.gov by information directly to the manager of the 14 CFR Part 39 searching for and locating Docket No. certification office, send it to the attention of [Docket No. FAA–2019–0608; Product FAA–2019–0608. the person identified in paragraph (j) of this Identifier 2019–NM–084–AD; Amendment Examining the AD Docket AD and notify the Denver ACO Branch of the 39–19713; AD 2019–16–10] request by email at: 9-Denver-Aircraft-Cert@ You may examine the AD docket on faa.gov. RIN 2120–AA64 the internet at http:// (2) Before using any approved AMOC, www.regulations.gov by searching for notify your appropriate principal inspector, Airworthiness Directives; The Boeing and locating Docket No. FAA–2019– or lacking a principal inspector, the manager Company Airplanes 0608; or in person at the Docket of the local flight standards district office/ AGENCY: Federal Aviation Management Facility between 9 a.m. certificate holding district office. Administration (FAA), DOT. and 5 p.m., Monday through Friday, except Federal holidays. The AD docket (j) Related Information ACTION: Final rule; request for contains this final rule, the regulatory comments. For more information about this AD, evaluation, any comments received, and contact Cynthia Bradley, Aviation Safety SUMMARY: The FAA is adopting an other information. The street address for Engineer, Denver ACO Branch, Compliance & airworthiness directive (AD) for certain Docket Operations is listed above. Airworthiness Division, FAA, 26805 East The Boeing Company Model 787–8 Comments will be available in the AD 68th Ave., Room 214, Denver, CO 80249; docket shortly after receipt. telephone (303) 342–1082; email airplanes. This AD requires a one-time FOR FURTHER INFORMATION CONTACT: Greg [email protected]. inspection of the horizontal stabilizer pivot pin assemblies for misalignment Rutar, Aerospace Engineer, Airframe (k) Material Incorporated by Reference and incorrect gapping, and applicable Section, FAA, Seattle ACO Branch, 2200 (1) The Director of the Federal Register on-condition actions. This AD was South 216th St., Des Moines, WA 98198; approved the incorporation by reference prompted by a report of possible phone and fax: 206–231–3529; email: (IBR) of the service information listed in this misalignment of the horizontal stabilizer [email protected]. paragraph under 5 U.S.C. 552(a) and 1 CFR pivot pin lock ring, outer pivot pin, and SUPPLEMENTARY INFORMATION: part 51. outboard spacer at final assembly. The Discussion (2) You must use this service information FAA is issuing this AD to address the as applicable to do the actions required by unsafe condition on these products. The FAA has received a report indicating possible misalignment of the this AD, unless the AD specifies otherwise. DATES: This AD is effective September horizontal stabilizer pivot pin lock ring, (i) Air Methods Alert Service Bulletin 19, 2019. outer pivot pin, and outboard spacer at ASB19–03, Revision IR, dated May 6, 2019. The Director of the Federal Register final assembly. One operator reported a (ii) [Reserved] approved the incorporation by reference left side pivot pin assembly that did not (3) For Air Methods service information of a certain publication listed in this AD have a visible gap between the outboard identified in this AD, contact Air Methods as of September 19, 2019. nut and trap fitting. The pivot pin Corporation, 5500 South Quebec Street, Suite The FAA must receive comments on outboard spacer was not set correctly 300, Greenwood Village, CO 80111; this AD by October 21, 2019. telephone 303–792–7557 or at http:// flush against the horizontal stabilizer ADDRESSES: You may send comments, www.unitedrotorcraft.com/. pivot bearing and outboard washer due using the procedures found in 14 CFR (4) You may view this service information to a misaligned pivot pin lock ring. It at FAA, Office of the Regional Counsel, 11.43 and 11.45, by any of the following was determined that only certain methods: airplanes were possibly delivered with Southwest Region, 10101 Hillwood Pkwy, • Room 6N–321, Fort Worth, TX 76177. For Federal eRulemaking Portal: Go to this condition. This condition, if not information on the availability of this http://www.regulations.gov. Follow the addressed, could result in decreased material at the FAA, call 817–222–5110. instructions for submitting comments. lateral load capacity, the loss of pivot • Fax: 202–493–2251. pin retention parts, and consequent loss (5) You may view this service information • that is incorporated by reference at the Mail: U.S. Department of of the horizontal stabilizer and loss of National Archives and Records Transportation, Docket Operations, M– control of the airplane. Administration (NARA). For information on 30, West Building Ground Floor, Room W12–140, 1200 New Jersey Avenue SE, Related Service Information Under 1 the availability of this material at NARA, call CFR Part 51 202–741–6030, or go to: http:// Washington, DC 20590. • www.archives.gov/federal-register/cfr/ibr- Hand Delivery: Deliver to Mail The FAA reviewed Boeing Alert locations.html. address above between 9 a.m. and 5 Requirements Bulletin B787–81205– p.m., Monday through Friday, except SB550009–00 RB, Issue 001, dated April Issued in Fort Worth, Texas, on August 19, Federal holidays. 2, 2019. This service information 2019. For service information identified in describes procedures for a one-time Lance T. Gant, this AD, contact Boeing Commercial detailed inspection of the horizontal Director, Compliance & Airworthiness Airplanes, Attention: Contractual & Data stabilizer pivot pin assemblies for Division, Aircraft Certification Service. Services (C&DS), 2600 Westminster misalignment and incorrect gapping, [FR Doc. 2019–18708 Filed 9–3–19; 8:45 am] Blvd., MC 110–SK57, Seal Beach, CA and applicable on-condition actions. BILLING CODE 4910–13–P 90740–5600; telephone 562–797–1717; On-condition actions include replacing internet https:// any incorrectly installed horizontal www.myboeingfleet.com. You may view stabilizer pivot pin assembly. This this referenced service information at service information is reasonably the FAA, Transport Standards Branch, available because the interested parties 2200 South 216th St., Des Moines, WA. have access to it through their normal

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course of business or by the means and locating Docket No. FAA–2019– Identifier 2019–NM–084–AD at the identified in the ADDRESSES section. 0608. beginning of your comments. The FAA specifically invites comments on the FAA’s Justification and Determination FAA’s Determination overall regulatory, economic, of the Effective Date The FAA is issuing this AD because environmental, and energy aspects of we evaluated all the relevant There are currently no domestic this final rule. The FAA will consider information and determined the unsafe operators of this product. Therefore, the all comments received by the closing condition described previously is likely FAA finds that notice and opportunity date and may amend this final rule to exist or develop in other products of for prior public comment are because of those comments. the same type design. unnecessary and that good cause exists The FAA will post all comments for making this amendment effective in received, without change, to http:// AD Requirements less than 30 days. www.regulations.gov, including any Comments Invited personal information you provide. The This AD requires accomplishment of FAA will also post a report the actions identified in Boeing Alert This AD is a final rule that involves summarizing each substantive verbal Requirements Bulletin B787–81205– requirements affecting flight safety and contact received about this final rule. SB550009–00 RB, Issue 001, dated April was not preceded by notice and an 2, 2019, described previously, except for opportunity for public comment. Costs of Compliance any differences identified as exceptions However, the FAA invites you to send Currently, there are no affected U.S.- in the regulatory text of this AD. any written data, views, or arguments registered airplanes. If an affected For information on the procedures about this final rule. Send your airplane is imported and placed on the and compliance times, see this service comments to an address listed under the U.S. Register in the future, the FAA information at http:// ADDRESSES section. Include the docket provides the following cost estimates to www.regulations.gov by searching for number FAA–2019–0608 and Product comply with this AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

Cost per Action Labor cost Parts cost product

Inspection ...... 2 work-hours × $85 per hour = $170 ...... $0 $170

The FAA estimates the following the results of any required actions. The number of aircraft that might need these costs to do any necessary on-condition FAA has no way of determining the on-condition actions: actions that would be required based on

ESTIMATED COSTS OF ON-CONDITION ACTIONS

Cost per Action Labor cost Parts cost product

Replacement ...... 12 work-hours × $85 per hour = $1,020 Negligible ...... $1,020

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

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List of Subjects in 14 CFR Part 39 Note 1 to paragraph (g): Guidance for MC 110–SK57, Seal Beach, CA 90740–5600; accomplishing the actions required by this telephone 562–797–1717; internet https:// Air transportation, Aircraft, Aviation AD can be found in Boeing Alert Service www.myboeingfleet.com. safety, Incorporation by reference, Bulletin B787–81205–SB550009–00, dated (4) You may view this service information Safety. April 2, 2019, which is referred to in Boeing at the FAA, Transport Standards Branch, Adoption of the Amendment Alert Requirements Bulletin B787–81205– 2200 South 216th St., Des Moines, WA. For SB550009–00 RB, Issue 001, dated April 2, information on the availability of this Accordingly, under the authority 2019. material at the FAA, call 206–231–3195. (5) You may view this service information delegated to me by the Administrator, (h) Exception to Service Information that is incorporated by reference at the the FAA amends 14 CFR part 39 as Specifications follows: National Archives and Records For purposes of determining compliance Administration (NARA). For information on PART 39—AIRWORTHINESS with the requirements of this AD: Where the availability of this material at NARA, call Boeing Alert Requirements Bulletin B787– DIRECTIVES 202–741–6030, or go to: http:// 81205–SB550009–00 RB, Issue 001, dated www.archives.gov/federal-register/cfr/ibr- ■ April 2, 2019, uses the phrase ‘‘the Issue 001 locations.html. 1. The authority citation for part 39 date of Requirements Bulletin B787–81205– continues to read as follows: SB550009–00 RB,’’ this AD requires using Issued in Des Moines, Washington, on Authority: 49 U.S.C. 106(g), 40113, 44701. ‘‘the effective date of this AD.’’ August 16, 2019. Michael Kaszycki, § 39.13 [Amended] (i) Alternative Methods of Compliance (AMOCs) Acting Director, System Oversight Division, ■ 2. The FAA amends § 39.13 by adding Aircraft Certification Service. (1) The Manager, Seattle ACO Branch, the following new airworthiness FAA, has the authority to approve AMOCs [FR Doc. 2019–19013 Filed 9–3–19; 8:45 am] directive (AD): for this AD, if requested using the procedures BILLING CODE 4910–13–P 2019–16–10 The Boeing Company: found in 14 CFR 39.19. In accordance with Amendment 39–19713; Docket No. 14 CFR 39.19, send your request to your FAA–2019–0608; Product Identifier principal inspector or local Flight Standards DEPARTMENT OF TRANSPORTATION 2019–NM–084–AD. District Office, as appropriate. If sending information directly to the manager of the Federal Aviation Administration (a) Effective Date certification office, send it to the attention of This AD is effective September 19, 2019. the person identified in paragraph (j) of this 14 CFR Part 39 AD. Information may be emailed to: 9-ANM- (b) Affected ADs [email protected]. [Docket No. FAA–2019–0322; Product None. (2) Before using any approved AMOC, Identifier 2019–NM–039–AD; Amendment notify your appropriate principal inspector, 39–19712; AD 2019–16–09] (c) Applicability or lacking a principal inspector, the manager This AD applies to The Boeing Company of the local flight standards district office/ RIN 2120–AA64 Model 787–8 airplanes, certificated in any certificate holding district office. category, as identified in Boeing Alert (3) An AMOC that provides an acceptable Airworthiness Directives; Bombardier, Requirements Bulletin B787–81205– level of safety may be used for any repair, Inc., Airplanes SB550009–00 RB, Issue 001, dated April 2, modification, or alteration required by this 2019. AD if it is approved by The Boeing Company AGENCY: Federal Aviation Organization Designation Authorization Administration (FAA), Department of (d) Subject (ODA) that has been authorized by the Transportation (DOT). Air Transport Association (ATA) of Manager, Seattle ACO Branch, FAA, to make ACTION: Final rule. America Code 55, Stabilizers. those findings. To be approved, the repair (e) Unsafe Condition method, modification deviation, or alteration SUMMARY: The FAA is adopting a new deviation must meet the certification basis of airworthiness directive (AD) for certain This AD was prompted by a report of the airplane, and the approval must possible misalignment of the horizontal specifically refer to this AD. Bombardier, Inc., Model DHC–8–400 stabilizer pivot pin lock ring, outer pivot pin, series airplanes. This AD was prompted and outboard spacer at final assembly. The (j) Related Information by reports of cracked elevator power FAA is issuing this AD to address incorrect For more information about this AD, control unit (PCU) brackets on the installation of the horizontal stabilizer pivot contact Greg Rutar, Aerospace Engineer, horizontal stabilizer rear spar and pin assemblies, which could result in Airframe Section, FAA, Seattle ACO Branch, cracking on the elevator front spar. This decreased lateral load capacity, the loss of 2200 South 216th St., Des Moines, WA AD requires one-time inspections for pivot pin retention parts, and consequent 98198; phone and fax: 206–231–3529; email: cracks and damage of the elevator PCU loss of the horizontal stabilizer and loss of [email protected]. control of the airplane. brackets and surrounding area, (k) Material Incorporated by Reference horizontal stabilizer rear spar, and (f) Compliance (1) The Director of the Federal Register elevator front spar, and related Comply with this AD within the approved the incorporation by reference investigative and corrective actions if compliance times specified, unless already (IBR) of the service information listed in this necessary. The FAA is issuing this AD done. paragraph under 5 U.S.C. 552(a) and 1 CFR to address the unsafe condition on these part 51. products. (g) Required Actions (2) You must use this service information Except as specified by paragraph (h) of this as applicable to do the actions required by DATES: This AD is effective October 9, AD: At the applicable times specified in the this AD, unless the AD specifies otherwise. 2019. ‘‘Compliance’’ paragraph of Boeing Alert (i) Boeing Alert Requirements Bulletin The Director of the Federal Register Requirements Bulletin B787–81205– B787–81205–SB550009–00 RB, Issue 001, approved the incorporation by reference SB550009–00 RB, Issue 001, dated April 2, dated April 2, 2019. of a certain publication listed in this AD 2019, do all applicable actions identified in, (ii) [Reserved] as of October 9, 2019. and in accordance with, the Accomplishment (3) For service information identified in Instructions of Boeing Alert Requirements this AD, contact Boeing Commercial ADDRESSES: For service information Bulletin B787–81205–SB550009–00 RB, Issue Airplanes, Attention: Contractual & Data identified in this final rule, contact De 001, dated April 2, 2019. Services (C&DS), 2600 Westminster Blvd., Havilland Aircraft of Canada Ltd., Q-

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Series Technical Help Desk, 123 Garratt airplane pitch control if both elevators Part C, ‘‘Close Out,’’ do not directly Boulevard, Toronto, Ontario M3K 1Y5, are affected. correct the unsafe condition. Horizon Canada; phone: 416–375–4000; fax: Transport Canada Civil Aviation Air stated that incorporating these two 416–375–4539; email: thd@ (TCCA), which is the aviation authority sections as a requirement in the AD dehavilland.com; internet: https:// for Canada, has issued Canadian AD restricts an operator’s ability to dehavilland.com. You may view this CF–2018–34, dated December 17, 2018 accomplish other maintenance in service information at the FAA, (referred to after this as the Mandatory conjunction with the required actions to Transport Standards Branch, 2200 Continuing Airworthiness Information, correct the unsafe condition. South 216th St., Des Moines, WA. For or ‘‘the MCAI’’), to correct an unsafe The FAA agrees with the commenter’s information on the availability of this condition for certain Bombardier, Inc., request to exclude the ‘‘Job Set-up’’ and material at the FAA, call 206–231–3195. Model DHC–8–400 series airplanes. The ‘‘Close Out’’ sections of Bombardier It is also available on the internet at MCAI states: Service Bulletin 84–55–09, dated June 7, http://www.regulations.gov by searching There have been five in-service reports of 2018. The FAA has revised the for and locating Docket No. FAA–2019– cracked elevator power control unit (PCU) introductory text of paragraph (g) of this 0322. brackets on the horizontal stabilizer rear spar, AD to require accomplishment of and two reports of cracking on the elevator Examining the AD Docket Section 3.B, Part A, of the front spar. In one case, the PCU bracket Accomplishment Instructions of You may examine the AD docket on cracking led to detachment of the bracket Bombardier Service Bulletin 84–55–09, the internet at http:// during pushback. An investigation found that dated June 7, 2018, and the FAA has www.regulations.gov by searching for the force-fight loads induced by elevator PCUs not rigged to the required tolerance is revised paragraph (g)(1) of this AD to and locating Docket No. FAA–2019– the common factor in cracking of both the require accomplishment of Section 3.B, 0322; or in person at Docket Operations elevator PCU bracket and of the elevator front Part B, of the Accomplishment between 9 a.m. and 5 p.m., Monday spar. A secondary contributor to the elevator Instructions of Bombardier Service through Friday, except Federal holidays. PCU bracket cracking is the bracket flange Bulletin 84–55–09, dated June 7, 2018. The AD docket contains this final rule, preload that may be induced during Request To Revise Company Name and the regulatory evaluation, any production installation. Failure of an elevator Email Address comments received, and other PCU bracket or progression of the elevator information. The address for Docket front spar cracking into two segments may Horizon Air requested that the FAA Operations is U.S. Department of cause the affected elevator to jam. Failure of update the contact information for an elevator bracket on both elevators, or Transportation, Docket Operations, M– progression of elevator front spar cracking reporting in the introductory text of 30, West Building Ground Floor, Room into two segments on both elevators, could paragraph (h) of the proposed AD. W12–140, 1200 New Jersey Avenue SE, cause a loss of aeroplane pitch control. Horizon Air pointed out that De Washington, DC 20590. This [Canadian] AD mandates a one-time Havilland Aircraft of Canada Ltd is now inspection of the elevator PCU brackets, the FOR FURTHER INFORMATION CONTACT: the design approval holder (DAH) for horizontal stabilizer rear spar and elevator the Q400 aircraft. Andrea Jimenez, Aerospace Engineer, front spar with reporting of inspection Airframe and Propulsion Section, FAA, The FAA agrees with the commenter’s findings. Any brackets found cracked are to request. The FAA has updated the New York ACO Branch, 1600 Stewart be replaced with new brackets with Avenue, Suite 410, Westbury, NY improved strength. For any spar found address information accordingly in this 11590; telephone 516–228–7330; fax cracked, obtain instructions to repair the spar final rule. 516–794–5531; email 9-avs-nyaco-cos@ from Bombardier and repair the spar As a note, there is a difference faa.gov. accordingly. Additional corrective action between the commercial designation may be considered depending on the results and the model designation on the U.S. SUPPLEMENTARY INFORMATION: of the inspections findings. type certificate data sheet (TCDS). Discussion You may examine the MCAI in the ‘‘Q400’’ is the commercial designation, AD docket on the internet at http:// while Bombardier, Inc., Model DHC–8– The FAA issued a notice of proposed www.regulations.gov by searching for 400 is the designation on the TCDS. The rulemaking (NPRM) to amend 14 CFR and locating Docket No. FAA–2019– FAA uses the model designation on the part 39 by adding an AD that would 0322. TCDS to define the applicability in ADs apply to certain Bombardier, Inc., Model and, as a result, have not changed the DHC–8–400 series airplanes. The NPRM Comments applicability of this AD. The FAA is in published in the Federal Register on The FAA gave the public the the process of changing the TCDS to May 14, 2019 (84 FR 21268). The NPRM opportunity to participate in developing reflect the name change for these was prompted by reports of cracked this final rule. The following presents models. The FAA will use the name elevator PCU brackets on the horizontal the comments received on the NPRM identified in the current TCDS so as not stabilizer rear spar and cracking on the and the FAA’s response to each to delay issuance of the final rule. Once elevator front spar. The NPRM proposed comment. the TCDS has been changed, the FAA to require one-time inspections for will use the new name in subsequent cracks and damage of the elevator PCU Request To Remove Certain Service ADs. brackets and surrounding area, Information Procedures Conclusion horizontal stabilizer rear spar, and Horizon Air requested that the FAA elevator front spar, and related change the language in the introductory The FAA reviewed the relevant data, investigative and corrective actions if text of paragraph (g) of the proposed AD considered the comments received, and necessary. from mandating ‘‘the Accomplishment determined that air safety and the The FAA is issuing this AD to address Instructions’’ in the service information public interest require adopting this failure of an elevator PCU bracket or to mandating only the section that final rule with the changes described fracture of the front spar into two corrects the unsafe condition. Horizon previously and minor editorial changes. segments; either structural failure may Air stated that the Accomplishment The FAA has determined that these cause a jam in one elevator or a loss of Instructions, Part A, ‘‘Job Set-up,’’ and minor changes:

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• Are consistent with the intent that This service information describes brackets and repair of the horizontal was proposed in the NPRM for procedures for one-time detailed visual stabilizer rear spar and elevator front addressing the unsafe condition; and and fluorescent penetrant inspections spar. • Do not add any additional burden for cracks and damage of the elevator This service information is reasonably upon the public than was already PCU brackets (including the available because the interested parties proposed in the NPRM. surrounding area), horizontal stabilizer have access to it through their normal The FAA also determined that these rear spar, and elevator front spar, and course of business or by the means changes will not increase the economic related investigative and corrective identified in the ADDRESSES section. burden on any operator or increase the actions if necessary. The related scope of this final rule. Costs of Compliance investigative action is an eddy current Related Service Information Under 1 inspection for cracking of certain mating The FAA estimates that this AD CFR Part 51 holes of the horizontal stabilizer rear affects 54 airplanes of U.S. registry. The Bombardier has issued Service spar. Corrective actions include FAA estimates the following costs to Bulletin 84–55–09, dated June 7, 2018. replacement of the elevator PCU comply with this AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS *

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

13 work-hours × $85 per hour = $1,105 ...... $0 $1,105 $59,670 * Table does not include estimated costs for reporting.

The FAA estimates that it would take FAA estimates the cost of reporting the actions that would be required based on about 1 work-hour per product to inspection results on U.S. operators to the results of any required actions. The comply with the reporting requirement be $4,590, or $85 per product. FAA has no way of determining the in this AD. The average labor rate is $85 The FAA estimates the following number of aircraft that might need these per hour. Based on these figures, the costs to do any necessary on-condition on-condition actions:

ESTIMATED COSTS OF ON-CONDITION ACTIONS

Cost Labor cost Parts cost per product

18 work-hours × $85 per hour = $1,530 ...... $0 $1,530

Paperwork Reduction Act rules on aviation safety. Subtitle I, applicable to transport category section 106, describes the authority of airplanes and associated appliances to A federal agency may not conduct or the FAA Administrator. Subtitle VII: the Director of the System Oversight sponsor, and a person is not required to Aviation Programs, describes in more Division. respond to, nor shall a person be subject detail the scope of the Agency’s Regulatory Findings to penalty for failure to comply with a authority. collection of information subject to the The FAA is issuing this rulemaking This AD will not have federalism requirements of the Paperwork under the authority described in implications under Executive Order Reduction Act unless that collection of Subtitle VII, Part A, Subpart III, Section 13132. This AD will not have a information displays a current valid 44701: ‘‘General requirements.’’ Under substantial direct effect on the States, on OMB control number. The control that section, Congress charges the FAA the relationship between the national number for the collection of information with promoting safe flight of civil government and the States, or on the required by this AD is 2120–0056. The aircraft in air commerce by prescribing distribution of power and paperwork cost associated with this AD regulations for practices, methods, and responsibilities among the various has been detailed in the Costs of procedures the Administrator finds levels of government. Compliance section of this document necessary for safety in air commerce. For the reasons discussed above, I and includes time for reviewing This regulation is within the scope of certify that this AD: instructions, as well as completing and that authority because it addresses an (1) Is not a ‘‘significant regulatory reviewing the collection of information. unsafe condition that is likely to exist or action’’ under Executive Order 12866, Therefore, all reporting associated with develop on products identified in this (2) Will not affect intrastate aviation this AD is mandatory. Comments rulemaking action. in Alaska, and concerning the accuracy of this burden This AD is issued in accordance with (3) Will not have a significant and suggestions for reducing the burden authority delegated by the Executive economic impact, positive or negative, should be directed to the FAA at 800 Director, Aircraft Certification Service, on a substantial number of small entities Independence Ave. SW, Washington, as authorized by FAA Order 8000.51C. under the criteria of the Regulatory DC 20591, ATTN: Information In accordance with that order, issuance Flexibility Act. Collection Clearance Officer, AES–200. of ADs is normally a function of the Compliance and Airworthiness List of Subjects in 14 CFR Part 39 Authority for This Rulemaking Division, but during this transition Air transportation, Aircraft, Aviation Title 49 of the United States Code period, the Executive Director has safety, Incorporation by reference, specifies the FAA’s authority to issue delegated the authority to issue ADs Safety.

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Adoption of the Amendment corrective actions, in accordance with Control Number for this information Section 3.B, Part B, of the Accomplishment collection is 2120–0056. Public reporting for Accordingly, under the authority Instructions of Bombardier Service Bulletin this collection of information is estimated to delegated to me by the Administrator, 84–55–09, dated June 7, 2018. be approximately 1 hour per response, the FAA amends 14 CFR part 39 as (2) If any crack or damage is detected on including the time for reviewing instructions, follows: any horizontal stabilizer rear spar or elevator completing and reviewing the collection of front spar: Before further flight, repair using information. All responses to this collection PART 39—AIRWORTHINESS a method approved by the Manager, New of information are mandatory. Comments DIRECTIVES York ACO Branch, FAA; or Transport Canada Civil Aviation (TCCA); or Bombardier, Inc.’s concerning the accuracy of this burden and ■ 1. The authority citation for part 39 TCCA Design Approval Organization (DAO). suggestions for reducing the burden should continues to read as follows: If approved by the DAO, the approval must be directed to the FAA at: 800 Independence include the DAO-authorized signature. Ave. SW, Washington, DC 20591, Attn: Authority: 49 U.S.C. 106(g), 40113, 44701. Information Collection Clearance Officer, (h) Reporting § 39.13 [Amended] AES–200. At the applicable time specified in ■ 2. The FAA amends § 39.13 by adding paragraph (h)(1) or (2) of this AD: Report the (j) Related Information the following new airworthiness results of the inspections required by (1) Refer to Mandatory Continuing directive (AD): paragraph (g) of this AD to the De Havilland Airworthiness Information (MCAI) Canadian CMDB Focal by fax 1–416–375–4538 or email 2019–16–09 Bombardier, Inc.: AD CF–2018–34, dated December 17, 2018, at [email protected], in for related information. This MCAI may be Amendment 39–19712; Docket No. accordance with the instructions of found in the AD docket on the internet at FAA–2019–0322; Product Identifier Bombardier Service Bulletin 84–55–09, dated http://www.regulations.gov by searching for 2019–NM–039–AD. June 7, 2018. If operators have reported and locating Docket No. FAA–2019–0322. (a) Effective Date findings as part of obtaining any corrective actions approved by Bombardier, Inc.’s TCCA (2) For more information about this AD, This AD is effective October 8, 2019. DAO, operators are not required to report contact Andrea Jimenez, Aerospace Engineer, (b) Affected ADs those findings as specified in this paragraph. Airframe and Propulsion Section, FAA, New York ACO Branch, 1600 Stewart Avenue, None. (1) If the inspections were done on or after the effective date of this AD: Submit the Suite 410, Westbury, NY 11590; telephone (c) Applicability report within 30 days after the inspections. 516–228–7330; fax 516–794–5531; email 9- This AD applies to Bombardier, Inc., (2) If the inspections were done before the [email protected]. Model DHC–8–400, -401, and -402 airplanes, effective date of this AD: Submit the report (k) Material Incorporated by Reference certificated in any category, serial numbers within 30 days after the effective date of this 4001 through 4580 inclusive. AD. (1) The Director of the Federal Register approved the incorporation by reference (d) Subject (i) Other FAA AD Provisions (IBR) of the service information listed in this The following provisions also apply to this Air Transport Association (ATA) of paragraph under 5 U.S.C. 552(a) and 1 CFR America Code 27, Flight controls. AD: (1) Alternative Methods of Compliance part 51. (e) Reason (AMOCs): The Manager, New York ACO (2) You must use this service information as applicable to do the actions required by This AD was prompted by reports of Branch, FAA, has the authority to approve cracked elevator power control unit (PCU) AMOCs for this AD, if requested using the this AD, unless this AD specifies otherwise. brackets on the horizontal stabilizer rear spar procedures found in 14 CFR 39.19. In (i) Bombardier Service Bulletin 84–55–09, and cracking on the elevator front spar. The accordance with 14 CFR 39.19, send your dated June 7, 2018. FAA is issuing this AD to address this request to your principal inspector or local (ii) [Reserved] condition, which, if not detected and Flight Standards District Office, as (3) For service information identified in corrected, may cause failure of an elevator appropriate. If sending information directly this AD, contact De Havilland Aircraft of PCU bracket or fracture the front spar into to the manager of the certification office, Canada Ltd., Q-Series Technical Help Desk, two segments; either structural failure may send it to ATTN: Program Manager, 123 Garratt Boulevard, Toronto, Ontario M3K cause a jam in one elevator or a loss of Continuing Operational Safety, FAA, New 1Y5, Canada; phone: 416–375–4000; fax: airplane pitch control if both elevators are York ACO Branch, 1600 Stewart Avenue, 416–375–4539; email: [email protected]; Suite 410, Westbury, NY 11590; telephone affected. internet: https://dehavilland.com. 516–228–7300; fax 516–794–5531. Before (4) You may view this service information (f) Compliance using any approved AMOC, notify your at the FAA, Transport Standards Branch, Comply with this AD within the appropriate principal inspector, or lacking a 2200 South 216th St., Des Moines, WA. For compliance times specified, unless already principal inspector, the manager of the local done. flight standards district office/certificate information on the availability of this holding district office. material at the FAA, call 206–231–3195. (g) Inspections (2) Contacting the Manufacturer: For any (5) You may view this service information No earlier than 7,500 total accumulated requirement in this AD to obtain corrective that is incorporated by reference at the flight hours, but before accumulating 8,000 actions from a manufacturer, the action must National Archives and Records flight hours after the effective date of this AD: be accomplished using a method approved Administration (NARA). For information on Perform detailed visual and fluorescent by the Manager, New York ACO Branch, the availability of this material at NARA, call penetrant inspections for cracks and damage FAA; TCCA; or Bombardier, Inc.’s TCCA 202–741–6030, or go to: http:// of the elevator PCU brackets, horizontal DAO. If approved by the DAO, the approval www.archives.gov/federal-register/cfr/ibr- stabilizer rear spar, and elevator front spar, must include the DAO-authorized signature. locations.html. in accordance with Section 3.B, Part A, of the (3) Reporting Requirements: A federal Accomplishment Instructions of Bombardier agency may not conduct or sponsor, and a Issued in Des Moines, Washington, on Service Bulletin 84–55–09, dated June 7, person is not required to respond to, nor August 15, 2019. 2018. shall a person be subject to a penalty for Michael Kaszycki, (1) If any crack is detected on any elevator failure to comply with a collection of Acting Director, System Oversight Division, PCU bracket, and no crack or damage is information subject to the requirements of Aircraft Certification Service. found on either spar: Before further flight, the Paperwork Reduction Act unless that replace the elevator PCU bracket with a new collection of information displays a current [FR Doc. 2019–18965 Filed 9–3–19; 8:45 am] bracket, and do all related investigative and valid OMB Control Number. The OMB BILLING CODE 4910–13–P

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DEPARTMENT OF TRANSPORTATION Reporting Points, dated August 13, Christopher Cook, Office of the 2018, and effective September 15, 2018. Secretary, 888 First Street NE, Federal Aviation Administration FAA Order 7400.11C is publicly Washington, DC 20426, (202) 502–8102, available as listed in the ADDRESSES [email protected]. 14 CFR Part 71 section of this document. FAA Order Mark Hershfield, Office of the General [Docket No. FAA–2019–0347; Airspace 7400.11C lists Class A, B, C, D, and E Counsel, 888 First Street NE, Docket No. 19–AEA–6] airspace areas, air traffic service routes, Washington, DC 20426, (202) 502–8597, and reporting points. [email protected]./ RIN 2120–AA66 SUPPLEMENTARY INFORMATION: Correction to Final Rule Establishment of Class E Airspace; I. Introduction ■ Endicott, NY; Correction Accordingly, pursuant to the authority delegated to me, in the Federal Register 1. The Federal Energy Regulatory AGENCY: Federal Aviation of July 23, 2019 (84 FR 35290) FR Doc. Commission (Commission or FERC) Administration (FAA), DOT. 2019–15525, the establishment of Class amends its regulations concerning the ACTION E Airspace for Tri-Cities, Endicott, NY process for submitting hardcopy filings : Final rule; correction. 1 2 is corrected as follows: and submissions to the Commission. SUMMARY: This action corrects a final Specifically, this final rule revises 18 rule published in the Federal Register § 71.1 [Amended] CFR 385.2001(a) to require that on July 23, 2019, establishing Class E deliveries of filings and submissions airspace for Tri-Cities Airport, Endicott, AEA NY E5 Endicott, NY [Corrected] other than by the United States Postal NY, by correcting the airport’s name in Tri-Cities Airport, NY Service (USPS) are to be sent to an off- ° ′ ″ ° ′ ″ the legal description. The ‘dash’ was (Lat. 42 4 43 N, long. 76 5 47 W) site facility for security screening and inadvertently omitted from the airport That airspace extending upward from 700 processing.3 The regulations still permit name in the body of the legal feet above the surface within an 8-mile radius USPS mail to be sent directly to the description. of Tri-Cities Airport. Commission’s headquarters. DATES: Effective 0901 UTC, October 10, Issued in College Park, Georgia, on August II. Background 2019. The Director of the Federal 26, 2019. 2. The Government Accounting Office Register approves this incorporation by Shawn Reddinger, (GAO) has issued a report indicating reference action under Title 1 Code of Acting Manager, Operations Support Group, that, since the fall of 2001, the rate of Federal Regulations part 51, subject to Eastern Service Center, Air Traffic incidents involving threats via the mail the annual revision of FAA Order Organization. has increased ‘‘due in part to hoaxes 7400.11 and publication of conforming [FR Doc. 2019–18969 Filed 9–3–19; 8:45 am] and concerns about leakages from mail amendments. BILLING CODE 4910–13–P that had previously been routinely FOR FURTHER INFORMATION CONTACT: John handled.’’ 4 More recently, in October Fornito, Operations Support Group, 2018, package bombs sent to politicians Eastern Service Center, Federal Aviation DEPARTMENT OF ENERGY and newsrooms prompted many Administration, 1701 Columbia Ave, organizations to assess mail screening College Park, GA 30337; telephone (404) Federal Energy Regulatory and security procedures to reduce 305–6364. Commission vulnerabilities.5 The GAO report SUPPLEMENTARY INFORMATION: concluded that ‘‘[m]ail continues to be 18 CFR Part 385 a potential venue’’ for threats and that History [Docket No. RM19–18–000; Order No. 862] ‘‘[p]reparation involves having the The FAA published a final rule in the procedures, plans, and training in Federal Register (84 FR 35290, July 23, Formal Requirements for Filings in place.’’ 6 Further, the U.S. Department of 2019) for Doc. No. FAA–2019–0347, Proceedings Before the Commission Homeland Security (DHS) recommends establishing Class E airspace extending that deliveries submitted to agencies AGENCY: upward from 700 feet or more above the Federal Energy Regulatory should be ‘‘received, screened, sorted, surface at Tri-Cities Airport, Endicott, Commission, Department of Energy. NY. Subsequent to publication, the FAA ACTION: Final rule. 1 While the current version of 18 CFR 385.2001 found that the dash was omitted from addresses filings submitted to the Commission, the SUMMARY: The Federal Energy revisions herein clarify that the subsection applies Tri-Cities Airport in the body of the Regulatory Commission (Commission or to other forms of correspondence sent to the legal description. This action corrects FERC) amends its regulations Commission. the error. 2 See 18 CFR 385.2001. concerning the process for delivering Class E airspace designations are 3 Non-USPS carriers include, for example, FedEx, filings and submissions to the published in paragraph 6005 of FAA DHL, and United Parcel Service. Commission. Specifically, the 4 Order 7400.11C dated August 13, 2018, See U.S. Government Accountability Office, Commission’s regulations are revised to Mail Security: Incidents at DOD Mail Facilities and effective September 15, 2018, which require that filings and submissions to Exposed Problems That Require Further Actions is incorporated by reference in 14 CFR be delivered to the Commission, other (Sept. 2006), at 5, https://www.gao.gov/assets/260/ part 71.1. The Class E airspace 251532.pdf [GAO Report]. than by the United States Postal Service 5 designations listed in this document See Gregory Korte, John Bacon, and Jorge L. (USPS), are instead to be sent to the will be published subsequently in the Ortiz, Suspicious Packages Prompt Nationwide Commission’s off-site security screening Security Response, USA Today (Oct. 24, 2018), Order. facility. The regulations still permit https://www.usatoday.com/story/news/nation/ 2018/10/24/suspicious-packages-mail-security- Availability and Summary of USPS mail to be sent directly to the response-obama-clinton-holder-soros-cnn/ Documents for Incorporation by Commission’s headquarters. 1751077002/ (Last visited July 17, 2019). Reference DATES: This rule is effective November 6 GAO Report at 41; see also 41 CFR 102– 192.70(a) (providing that agencies should have a This document amends FAA Order 4, 2019. mail security policy that applies to their mail 7400.11C, Airspace Designations and FOR FURTHER INFORMATION CONTACT: management programs).

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and prepared for delivery’’ at an offsite 6. The revisions adopted here will not significant adverse effect on the human facility.7 affect the public’s ability to make timely environment.15 3. The Commission has reviewed its filings. As an initial matter, this final 10. Part 380 of the Commission’s protocols on hardcopy/hand-delivered rule does not change the process for regulations lists exemptions to the submissions to the agency. The submitting electronic filings with the requirement to draft an Environmental Commission’s regulations currently Commission. Unless a hardcopy filing Analysis or Environmental Impact provide that filers should send hard- or submission is required, the public is Statement. Included is an exemption for copy submissions directly to the strongly encouraged to submit filings procedural, ministerial, or internal Commission’s principal office, which is and submissions electronically, through administrative actions.16 located at 888 First Street NE, Accordingly, the Commission’s eFiling application, at this rulemaking is exempt from the Washington, DC 20426.8 Upon review, https://www.ferc.gov/.12 For deliveries the Commission has determined that requirement to draft such documents and documents sent through means under that provision. sending hard-copy/hand-delivered other than USPS, those filings and submissions to an off-site facility for submissions will be considered VI. Regulatory Flexibility Act security screening and processing, prior ‘‘received’’ by the off-site facility. The to being delivered to the Commission’s off-site facility will log all deliveries 11. The Regulatory Flexibility Act of principal office, would better protect the when received and will provide the 1980 (RFA) 17 generally requires a safety of the Commission, its employees, Commission with the log so that the description and analysis of final rules and the public. documents may be stamped that will have a significant economic impact on a substantial number of small III. Discussion appropriately and recorded by the Commission as received on that date, entities. This final rule concerns a 4. The purpose of this final rule is to consistent with the date and time on the modification of current Commission protect the general public and log. regulations and practices. The Commission employees from potential 7. The Commission’s principal office Commission certifies that it will not security risks related to hardcopy/hand- for business and its headquarters have a significant economic impact delivered submissions. Revising the address will remain 888 First Street NE, upon participants in Commission Commission’s procedures to have Washington, DC 20426.13 After this rule proceedings. An analysis under the RFA hardcopy/hand-delivered submissions becomes effective, however, is therefore not required. delivered to an off-site facility for Commission staff at headquarters will security screening, before delivery to the VII. Document Availability no longer accept deliveries and Commission, acknowledges the findings hardcopy filings sent through carriers in the GAO Report and comports with 12. In addition to publishing the full the recommendation from DHS.9 other than USPS. As noted above, for text of this document in the Federal 5. Accordingly, this final rule amends security reasons, deliveries to the Register, the Commission provides all the Commission’s regulations to provide Commission’s headquarters other than interested persons an opportunity to that members of the public are required by USPS will be rejected. Such filings view and/or print the contents of this to send hardcopy submissions, other and submissions would not be document via the internet through the than those sent through USPS, to an off- considered received until re-submitted Commission’s Home Page (http:// site facility at 12225 Wilkins Avenue, in accordance with the revisions www.ferc.gov) and in the Commission’s Rockville, Maryland 20852. Hand- adopted herein. Public Reference Room during normal deliveries can be provided to the off-site IV. Information Collection Statement business hours (8:30 a.m. to 5:00 p.m. facility in-person (by the filing entity or Eastern time) at 888 First Street NE, its designee) during the hours of 7:00 8. The Office of Management and Room 2A, Washington, DC 20426. Budget (OMB) approves certain a.m. to 3:30 p.m.10 The off-site facility 13. From the Commission’s Home information collection requirements will sort, screen, and prepare the filings Page on the internet, this information is imposed by agency rule.14 However, and submissions for delivery to the available on eLibrary. The full text of this final rule does not contain any Commission. Filings and submissions this document is available on eLibrary additional information collection sent though USPS can continue to be in PDF and Microsoft Word format for requirements. Therefore, compliance mailed to the Commission’s principal viewing, printing, and/or downloading. with OMB’s regulations is not required. office in Washington, DC because USPS To access this document in eLibrary, has existing ‘‘security, screening, and V. Environmental Analysis type the docket number excluding the control processes’’ that comply with 9. The Commission is required to last three digits of this document in the DHS best practices.11 prepare an Environmental Assessment docket number field. 14. User assistance is available for 7 See U.S. Department of Homeland Security, Best or an Environmental Impact Statement Practices for Managing Mail Screening and for any action that may have a eLibrary and the Commission’s website Handling Processes: A Guide for the Public and during normal business hours from Private Sectors, at 17 (Sept. 2012) https:// comprehensive approach to protecting the mail FERC Online Support at (202) 502–6652 www.dhs.gov/sites/default/files/publications/isc- system by utilizing a targeted strategy of specialized (toll free at 1–866–208–3676) or email at mail-handling-screening-nonfouo-sept-2012- technology, screening protocols and employee 508.pdf. [DHS Best Practices]. training.’’). [email protected], or the 8 See 18 CFR 385.2001(a). 12 See 18 CFR 385.2001(a)(1)(iii). Other agencies Public Reference Room at (202) 502– 9 See DHS Best Practices at 17. have also urged the public to use electronic filing. 8371, TTY (202) 502–8659. Email the 10 The current regulations provide that all filings See 17 CFR 232.14 (providing that the Securities Public Reference Room at should be made to the Commission’s headquarters. and Exchange Commission will not accept paper [email protected]. Filings that are directed to the regional offices filings for certain submission unless an exemption should continue to be submitted in accordance with is provided). current procedures or as directed. 13 42 U.S.C. 7171(h) (providing that ‘‘[t]he 15 Regulations Implementing the National 11 DHS Best Practices at 11; see also Alex principal office of the Commission shall be in or Environmental Policy Act, Order No. 486, 52 FR Dobuzinskis, Screening for Poisons, Explosives in near the District of Columbia, where its general 47897, FERC Stats. & Regs. ¶ 30,783 (Dec. 17, 1987). Mail a Daily Reality After U.S. Threats, Reuters sessions shall be held . . .’’). 16 18 CFR 380.4(a)(1). (Oct. 3, 2018) (USPS ‘‘has developed a 14 5 CFR 1320.12. 17 5 U.S.C. 601–12.

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VIII. Effective Date DEPARTMENT OF THE TREASURY PART 301—PROCEDURE AND 15. The Commission is issuing this ADMINISTRATION Internal Revenue Service rule as a final rule without a period for ■ Paragraph 1. The authority citation public comment. Under 5 U.S.C. 26 CFR Part 301 for part 301 continues to read in part as 553(b)(3)(A), notice-and-comment follows: rulemaking procedures are unnecessary for ‘‘rules of agency organization, [TD 9839] Authority: 26 U.S.C. 7805. procedure, or practice.’’ This rule is * * * * * therefore exempt from notice-and- RIN 1545–BN33 ■ Par. 2. Section 301.6223–1 is comment rulemaking procedures, amended by revising the fifth sentence because it concerns the Commission’s Partnership Representative Under the of paragraph (e)(1) to read as follows: mail procedures and practices. In Centralized Partnership Audit Regime particular, the rule is directed at and Election To Apply the Centralized § 301.6223–1 Partnership representative. improving the safety of the Commission, Partnership Audit Regime; Correcting * * * * * its employees, and the public, not Amendment (e) * * * toward a determination of the rights or (1) * * * No later than 30 days after interests of affected parties. The rule AGENCY: Internal Revenue Service (IRS), the IRS receives a written notification of will not significantly affect regulated Treasury. revocation submitted at the time entities or the general public. ACTION: Correcting amendments. described in paragraph (e)(2)(i) of this 16. This rule is effective November 4, section, the IRS will send written 2019. SUMMARY: This document contains confirmation of receipt of the written notification to the partnership, the List of subjects in 18 CFR Part 385 corrections to Treasury Decision 9839, which was published in the Federal revoked partnership representative or, Administrative practice and Register for Thursday, August 9, 2018. in the case of a revocation of only the procedure, Electric power. Penalties, Treasury Decision 9839 contains final appointment of a designated individual, Pipelines, Reporting and recordkeeping regulations regarding the designation to the revoked designated individual, requirements. and authority of the partnership and to the newly designated partnership By the Commission. representative under the centralized representative. * * * Issued: August 28, 2019. partnership audit regime, which was * * * * * Kimberly D. Bose, enacted into law on November 2, 2015 Martin V. Franks, Secretary. by section 1101 of the Bipartisan Budget Act of 2015 (BBA). Chief, Publications and Regulations Branch, In consideration of the foregoing, the Legal Processing Division, Associate Chief Commission amends part 385, chapter I, DATES: These regulations are effective Counsel, (Procedure and Administration). title 18, Code of Federal Regulations, as September 4, 2019 and applicable [FR Doc. 2019–19059 Filed 9–3–19; 8:45 am] follows: August 9, 2018. BILLING CODE 4830–01–P FOR FURTHER INFORMATION CONTACT: PART 385—RULES OF PRACTICE AND Joy PROCEDURE E. Gerdy Zogby of the Office of Associate Chief Counsel (Procedure and DEPARTMENT OF THE TREASURY ■ 1. The authority citation for part 385 Administration), (202) 317–4927 (not Office of Foreign Assets Control continues to read as follows: toll-free numbers). Authority: 5 U.S.C. 551–557; 15 U.S.C. SUPPLEMENTARY INFORMATION: 31 CFR Part 582 717–717w, 3301–3432; 16 U.S.C. 791a–825v, 2601–2645; 28 U.S.C. 2461; 31 U.S.C 3701, Background Nicaragua Sanctions Regulations 9701; 42 U.S.C. 7101–7352, 16441, 16451– The final regulations (TD 9839) that 16463; 49 U.S.C. 60502; 49 App. U.S.C. 1–85 AGENCY: Office of Foreign Assets (1988); 28 U.S.C. 2461 note (1990); 28 U.S.C. are the subject of this correction are Control, Treasury. 2461 note (2015). under section 1101 of the Internal ACTION: Final rule. ■ 2. In § 385.2001, the section heading Revenue Code. SUMMARY: and paragraphs (a)(1)(i) and (ii) are Need for Correction The Department of the revised to read as follows: Treasury’s Office of Foreign Assets As published August 9, 2018 (83 FR Control (OFAC) is adding regulations to § 385.2001 Filings and Other Submissions. 39331), the final regulation and removal implement Executive Order 13851 of (a) * * * of temporary regulations (TD 9839; FR November 27, 2018 (‘‘Blocking Property (1) * * * Doc. 2018–17002) contained errors that of Certain Persons Contributing to the (i) Mailing the document through the may prove misleading and therefore Situation in Nicaragua’’). OFAC intends United States Postal Service to the need to be corrected. to supplement these regulations with a Secretary, Federal Energy Regulatory more comprehensive set of regulations, Commission, 888 First Street NE, List of Subjects in 26 CFR Part 301 which may include additional Washington, DC 20426; Employment taxes, Estate taxes, interpretive and definitional guidance, (ii) Delivering the document by any Excise taxes, Gift taxes, Income taxes, general licenses, and statements of source other than United States Postal Penalties, Reporting and recordkeeping licensing policy. Service to the Federal Energy Regulatory requirements. DATES: Effective: September 4, 2019. Commission, 12225 Wilkins Avenue, FOR FURTHER INFORMATION CONTACT: Rockville, Maryland 20852; or Correction of Publication OFAC: Assistant Director for Licensing, * * * * * Accordingly, 26 CFR part 301 is tel.: 202–622–2480; Assistant Director [FR Doc. 2019–18950 Filed 9–3–19; 8:45 am] corrected by making the following for Regulatory Affairs, tel.: 202–622– BILLING CODE 6717–01–P correcting amendments: 4855; or Assistant Director for Sanctions

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Compliance & Evaluation, tel.: 202–622– rule, the Regulatory Flexibility Act (5 582.403 Termination and acquisition of an 2490. U.S.C. 601–612) does not apply. interest in blocked property. 582.404 Transactions ordinarily incident to SUPPLEMENTARY INFORMATION: Paperwork Reduction Act a licensed transaction. Electronic Availability The collections of information related 582.405 Setoffs prohibited. to the Regulations are contained in 31 582.406 Entities owned by one or more This document and additional persons whose property and interests in information concerning OFAC are CFR part 501 (the ‘‘Reporting, property are blocked. available on OFAC’s website Procedures and Penalties Regulations’’). (www.treasury.gov/ofac). Pursuant to the Paperwork Reduction Subpart E—Licenses, Authorizations, and Act of 1995 (44 U.S.C. 3507), those Statements of Licensing Policy Background collections of information have been 582.501 General and specific licensing On November 27, 2018, the President, approved by the Office of Management procedures. invoking the authority of, inter alia, the and Budget under control number 1505– 582.502 [Reserved] International Emergency Economic 582.503 Exclusion from licenses. 0164. An agency may not conduct or 582.504 Payments and transfers to blocked Powers Act (50 U.S.C. 1701–1706) sponsor, and a person is not required to accounts in U.S. financial institutions. (IEEPA), issued Executive Order 13851 respond to, a collection of information 582.505 Entries in certain accounts for (83 FR 61505, November 29, 2018) (E.O. unless the collection of information normal service charges. 13851). displays a valid control number. 582.506 Provision of certain legal services. In E.O. 13851, the President 582.507 Payments for legal services from determined that the situation in List of Subjects in 31 CFR Part 582 funds originating outside the United Nicaragua, including the violent Administrative practice and States. response by the Government of procedure, Banks, banking, Blocking of 582.508 Emergency medical services. Nicaragua to the protests that began on assets, Nicaragua, Penalties, Reporting Subpart F—Reports April 18, 2018, and the Ortega regime’s and recordkeeping requirements, 582.601 Records and reports. systematic dismantling and Sanctions. undermining of democratic institutions ■ For the reasons set forth in the Subpart G—Penalties and Findings of Violation and the rule of law, its use of preamble, the Department of the indiscriminate violence and repressive Treasury’s Office of Foreign Assets 582.701 Penalties and Findings of tactics against civilians, and its Control adds part 582 to 31 CFR chapter Violation. corruption leading to the destabilization V to read as follows: Subpart H—Procedures of Nicaragua’s economy, constitute an 582.801 Procedures. unusual and extraordinary threat to the PART 582—NICARAGUA SANCTIONS 582.802 Delegation of certain authorities of national security and foreign policy of REGULATIONS the Secretary of the Treasury. the United States, and declared a national emergency to deal with that Subpart A—Relation of this Part to Other Subpart I—Paperwork Reduction Act Laws and Regulations threat. 582.901 Paperwork Reduction Act notice. Sec. OFAC is issuing the Nicaragua Appendix A to Part 582—Executive Order Sanctions Regulations, 31 CFR part 582 582.101 Relation of this part to other laws and regulations. 13851 of November 27, 2018 (the ‘‘Regulations’’), to implement E.O. 13851, pursuant to authorities delegated Subpart B—Prohibitions Authority: 3 U.S.C. 301; 31 U.S.C. 321(b); to the Secretary of the Treasury in E.O. 582.201 Prohibited transactions. 50 U.S.C. 1601–1651, 1701–1706; Pub. L. 13851. A copy of E.O. 13851 appears in 582.202 Effect of transfers violating the 101–410, 104 Stat. 890 (28 U.S.C. 2461 note); Pub. L. 110–96, 121 Stat. 1011 (50 U.S.C. appendix A to this part. provisions of this part. 582.203 Holding of funds in interest- 1705 note); E.O. 13851, 83 FR 61505, The Regulations are being published November 29, 2018. in abbreviated form at this time for the bearing accounts; investment and purpose of providing immediate reinvestment. 582.204 Expenses of maintaining blocked tangible property; Subpart A—Relation of This Part to guidance to the public. OFAC intends to liquidation of blocked property. Other Laws and Regulations supplement this part 582 with a more 582.205 Exempt transactions. comprehensive set of regulations, which § 582.101 Relation of this part to other may include additional interpretive and Subpart C—General Definitions laws and regulations. definitional guidance, general licenses, 582.300 Applicability of definitions. This part is separate from, and and statements of licensing policy. The 582.301 Blocked account; blocked property. independent of, the other parts of this appendix to the Regulations will be 582.302 Effective date. chapter, with the exception of part 501 removed when OFAC supplements this 582.303 Entity. of this chapter, the recordkeeping and 582.304 Financial, material, or part with a more comprehensive set of reporting requirements and license technological support. application and other procedures of regulations. 582.305 Information or informational which apply to this part. Actions taken Public Participation materials. 582.306 Interest. pursuant to part 501 of this chapter with Because the Regulations involve a 582.307 Licenses; general and specific. respect to the prohibitions contained in foreign affairs function, the provisions 582.308 OFAC. this part are considered actions taken of Executive Order 12866 and the 582.309 Person. pursuant to this part. Differing foreign Administrative Procedure Act (5 U.S.C. 582.310 Property; property interest. policy and national security 553) requiring notice of proposed 582.311 Transfer. circumstances may result in differing rulemaking, opportunity for public 582.312 United States. interpretations of similar language participation, and delay in effective 582.313 United States person; U.S. person. among the parts of this chapter. No 582.314 U.S. financial institution. date, as well as the provisions of license or authorization contained in or Executive Order 13771, are Subpart D—Interpretations issued pursuant to those other parts inapplicable. Because no notice of 582.401 [Reserved] authorizes any transaction prohibited by proposed rulemaking is required for this 582.402 Effect of amendment. this part. No license or authorization

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contained in or issued pursuant to any involves any property or interest in (ii) Such transfer was not licensed or other provision of law or regulation property blocked pursuant to § 582.201, authorized by OFAC; or authorizes any transaction prohibited by is null and void and shall not be the (iii) If a license did purport to cover this part. No license or authorization basis for the assertion or recognition of the transfer, such license had been contained in or issued pursuant to this any interest in or right, remedy, power, obtained by misrepresentation of a third part relieves the involved parties from or privilege with respect to such party or withholding of material facts or complying with any other applicable property or interest in property. was otherwise fraudulently obtained. laws or regulations. (b) No transfer before the effective (e) The filing of a report in accordance date shall be the basis for the assertion Note 1 to § 582.101: This part has been with the provisions of paragraph (d)(3) published in abbreviated form for the or recognition of any right, remedy, of this section shall not be deemed purpose of providing immediate guidance to power, or privilege with respect to, or evidence that the terms of paragraphs the public. OFAC intends to supplement this any interest in, any property or interest (d)(1) and (2) of this section have been part with a more comprehensive set of in property blocked pursuant to satisfied. regulations, which may include additional § 582.201, unless the person who holds (f) Unless licensed pursuant to this interpretive and definitional guidance, or maintains such property, prior to that part, any attachment, judgment, decree, general licenses, and statements of licensing date, had written notice of the transfer lien, execution, garnishment, or other policy. or by any written evidence had judicial process is null and void with recognized such transfer. respect to any property or interest in Subpart B—Prohibitions (c) Unless otherwise provided, a property blocked pursuant to § 582.201. license or other authorization issued by § 582.201 Prohibited transactions. OFAC before, during, or after a transfer § 582.203 Holding of funds in interest- All transactions prohibited pursuant shall validate such transfer or make it bearing accounts; investment and to Executive Order 13851 of November enforceable to the same extent that it reinvestment. 27, 2018 are also prohibited pursuant to would be valid or enforceable but for (a) Except as provided in paragraph this part. the provisions of this part and any (e) or (f) of this section, or as otherwise Note 1 to § 582.201: The names of persons regulation, order, directive, ruling, directed or authorized by OFAC, any designated pursuant to Executive Order instruction, or license issued pursuant U.S. person holding funds, such as 13851, whose property and interests in to this part. currency, bank deposits, or liquidated property therefore are blocked pursuant to (d) Transfers of property that financial obligations, subject to this section, are published in the Federal otherwise would be null and void or § 582.201 shall hold or place such funds Register and incorporated into OFAC’s in a blocked interest-bearing account Specially Designated Nationals and Blocked unenforceable by virtue of the Persons List (SDN List) with the identifier provisions of this section shall not be located in the United States. ‘‘[NICARAGUA].’’ The SDN List is accessible deemed to be null and void or (b)(1) For purposes of this section, the through the following page on OFAC’s unenforceable as to any person with term blocked interest-bearing account website: www.treasury.gov/sdn. Additional whom such property is or was held or means a blocked account: information pertaining to the SDN List can be maintained (and as to such person only) (i) In a federally insured U.S. bank, found in appendix A to this chapter. See in cases in which such person is able to thrift institution, or credit union, § 582.406 concerning entities that may not be establish to the satisfaction of OFAC provided the funds are earning interest listed on the SDN List but whose property each of the following: at rates that are commercially and interests in property are nevertheless reasonable; or blocked pursuant to this section. (1) Such transfer did not represent a willful violation of the provisions of this (ii) With a broker or dealer registered Note 2 to § 582.201: The International part by the person with whom such with the Securities and Exchange Emergency Economic Powers Act (50 U.S.C. property is or was held or maintained Commission under the Securities 1701–1706), in Section 203 (50 U.S.C. 1702), (and as to such person only); Exchange Act of 1934 (15 U.S.C. 78a et authorizes the blocking of property and (2) The person with whom such seq.), provided the funds are invested in interests in property of a person during the property is or was held or maintained a money market fund or in U.S. pendency of an investigation. The names of did not have reasonable cause to know Treasury bills. persons whose property and interests in (2) Funds held or placed in a blocked property are blocked pending investigation or suspect, in view of all the facts and pursuant to this section also are published in circumstances known or available to account pursuant to paragraph (a) of this the Federal Register and incorporated into such person, that such transfer required section may not be invested in the SDN List with the identifier ‘‘[BPI– a license or authorization issued instruments the maturity of which NICARAGUA]’’. pursuant to this part and was not so exceeds 180 days. licensed or authorized, or, if a license or (c) For purposes of this section, a rate Note 3 to § 582.201: Sections 501.806 and authorization did purport to cover the is commercially reasonable if it is the 501.807 of this chapter describe the rate currently offered to other depositors procedures to be followed by persons transfer, that such license or seeking, respectively, the unblocking of authorization had been obtained by on deposits or instruments of funds that they believe were blocked due to misrepresentation of a third party or comparable size and maturity. mistaken identity, and administrative withholding of material facts or was (d) For purposes of this section, if reconsideration of their status as persons otherwise fraudulently obtained; and interest is credited to a separate blocked whose property and interests in property are (3) The person with whom such account or subaccount, the name of the blocked pursuant to this section. property is or was held or maintained account party on each account must be filed with OFAC a report setting forth in the same. § 582.202 Effect of transfers violating the full the circumstances relating to such (e) Blocked funds held in instruments provisions of this part. transfer promptly upon discovery that: the maturity of which exceeds 180 days (a) Any transfer after the effective date (i) Such transfer was in violation of at the time the funds become subject to that is in violation of any provision of the provisions of this part or any § 582.201 may continue to be held until this part or of any regulation, order, regulation, ruling, instruction, license, maturity in the original instrument, directive, ruling, instruction, or license or other directive or authorization provided any interest, earnings, or other issued pursuant to this part, and that issued pursuant to this part; proceeds derived therefrom are paid

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into a blocked interest-bearing account (2) This section does not exempt from name of a person whose property and in accordance with paragraph (a) or (f) regulation transactions related to interests in property are blocked of this section. information or informational materials pursuant to § 582.201, or in which such (f) Blocked funds held in accounts or not fully created and in existence at the person has an interest, and with respect instruments outside the United States at date of the transactions, or to the to which payments, transfers, the time the funds become subject to substantive or artistic alteration or exportations, withdrawals, or other § 582.201 may continue to be held in the enhancement of information or dealings may not be made or effected same type of accounts or instruments, informational materials, or to the except pursuant to a license or other provided the funds earn interest at rates provision of marketing and business authorization from OFAC expressly that are commercially reasonable. consulting services. Such prohibited authorizing such action. (g) This section does not create an transactions include payment of Note 1 to § 582.301: See § 582.406 affirmative obligation for the holder of advances for information or concerning the blocked status of property blocked tangible property, such as real informational materials not yet created and interests in property of an entity that is or personal property, or of other blocked and completed (with the exception of directly or indirectly owned, whether property, such as debt or equity prepaid subscriptions for widely individually or in the aggregate, 50 percent securities, to sell or liquidate such circulated magazines and other or more by one or more persons whose property. However, OFAC may issue periodical publications); provision of property and interests in property are licenses permitting or directing such services to market, produce or co- blocked pursuant to § 582.201. sales or liquidation in appropriate cases. produce, create, or assist in the creation (h) Funds subject to this section may of information or informational § 582.302 Effective date. not be held, invested, or reinvested in materials; and payment of royalties with (a) The term effective date refers to a manner that provides financial or respect to income received for the effective date of the applicable economic benefit or access to any enhancements or alterations made by prohibitions and directives contained in person whose property and interests in U.S. persons to such information or this part, and with respect to a person property are blocked pursuant to informational materials. whose property and interests in § 582.201, nor may their holder (3) This section does not exempt property are otherwise blocked pursuant cooperate in or facilitate the pledging or transactions incident to the exportation to § 582.201, the earlier of the date of other attempted use as collateral of of software subject to the Export actual or constructive notice that such blocked funds or other assets. Administration Regulations, 15 CFR person’s property and interests in parts 730 through 774, or to the property are blocked. § 582.204 Expenses of maintaining blocked tangible property; liquidation of exportation of goods (including (b) For the purposes of this section, blocked property. software) or technology for use in the constructive notice is the date that a transmission of any data, or to the (a) Except as otherwise authorized, notice of the blocking of the relevant provision, sale, or leasing of capacity on and notwithstanding the existence of person’s property and interests in telecommunications transmission any rights or obligations conferred or property is published in the Federal facilities (such as satellite or terrestrial imposed by any international agreement Register. network connectivity) for use in the or contract entered into or any license transmission of any data. The § 582.303 Entity. or permit granted prior to the effective exportation of such items or services date, all expenses incident to the The term entity means a partnership, and the provision, sale, or leasing of maintenance of tangible property association, trust, joint venture, such capacity or facilities to a person blocked pursuant to § 582.201 shall be corporation, group, subgroup, or other whose property and interests in the responsibility of the owners or organization. property are blocked pursuant to operators of such property, which § 582.201 are prohibited. § 582.304 Financial, material, or expenses shall not be met from blocked (c) Travel. The prohibitions contained technological support. funds. in this part do not apply to transactions (b) Property blocked pursuant to The term financial, material, or ordinarily incident to travel to or from § 582.201 may, in the discretion of technological support means any any country, including importation or OFAC, be sold or liquidated and the net property, tangible or intangible, exportation of accompanied baggage for proceeds placed in a blocked interest- including currency, financial personal use, maintenance within any bearing account in the name of the instruments, securities, or any other country including payment of living owner of the property. transmission of value; weapons or expenses and acquisition of goods or related materiel; chemical or biological § 582.205 Exempt transactions. services for personal use, and agents; explosives; false documentation (a) Personal communications. The arrangement or facilitation of such or identification; communications prohibitions contained in this part do travel including nonscheduled air, sea, equipment; computers; electronic or not apply to any postal, telegraphic, or land voyages. other devices or equipment; telephonic, or other personal technologies; lodging; safe houses; Subpart C—General Definitions communication that does not involve facilities; vehicles or other means of the transfer of anything of value. § 582.300 Applicability of definitions. transportation; or goods. (b) Information or informational The definitions in this subpart apply ‘‘Technologies’’ as used in this materials. (1) The prohibitions throughout the entire part. definition means specific information contained in this part do not apply to necessary for the development, the importation from any country and § 582.301 Blocked account; blocked production, or use of a product, the exportation to any country of any property. including related technical data such as information or informational materials, The terms blocked account and blueprints, plans, diagrams, models, as defined in § 582.305, whether blocked property shall mean any formulae, tables, engineering designs commercial or otherwise, regardless of account or property subject to the and specifications, manuals, or other format or medium of transmission. prohibitions in § 582.201 held in the recorded instructions.

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§ 582.305 Information or informational debentures, stocks, bonds, coupons, any § 582.312 United States. materials. other financial instruments, bankers The term United States means the (a)(1) The term information or acceptances, mortgages, pledges, liens United States, its territories and informational materials includes or other rights in the nature of security, possessions, and all areas under the publications, films, posters, phonograph warehouse receipts, bills of lading, trust jurisdiction or authority thereof. records, photographs, microfilms, receipts, bills of sale, any other microfiche, tapes, compact disks, CD evidences of title, ownership, or § 582.313 United States person; U.S. ROMs, artworks, and news wire feeds. indebtedness, letters of credit and any person. (2) To be considered information or documents relating to any rights or The term United States person or U.S. informational materials, artworks must obligations thereunder, powers of person means any United States citizen, be classified under heading 9701, 9702, attorney, goods, wares, merchandise, permanent resident alien, entity or 9703 of the Harmonized Tariff chattels, stocks on hand, ships, goods on Schedule of the United States. ships, real estate mortgages, deeds of organized under the laws of the United (b) The term information or trust, vendors’ sales agreements, land States or any jurisdiction within the informational materials, with respect to contracts, leaseholds, ground rents, real United States (including foreign exports, does not include items: estate and any other interest therein, branches), or any person in the United (1) That were, as of April 30, 1994, or options, negotiable instruments, trade States. that thereafter become, controlled for acceptances, royalties, book accounts, export pursuant to section 5 of the § 582.314 U.S. financial institution. accounts payable, judgments, patents, Export Administration Act of 1979, 50 trademarks or copyrights, insurance The term U.S. financial institution U.S.C. App. 2401–2420 (1979) (EAA), or means any U.S. entity (including its section 6 of the EAA to the extent that policies, safe deposit boxes and their contents, annuities, pooling agreements, foreign branches) that is engaged in the such controls promote the business of accepting deposits, making, nonproliferation or antiterrorism services of any nature whatsoever, granting, transferring, holding, or policies of the United States; or contracts of any nature whatsoever, and (2) With respect to which acts are any other property, real, personal, or brokering loans or other extensions of prohibited by 18 U.S.C. chapter 37. mixed, tangible or intangible, or interest credit, or purchasing or selling foreign or interests therein, present, future, or exchange, securities, commodity futures § 582.306 Interest. contingent. or options, or procuring purchasers and Except as otherwise provided in this sellers thereof, as principal or agent. It part, the term interest, when used with § 582.311 Transfer. includes depository institutions, banks, respect to property (e.g., ‘‘an interest in The term transfer means any actual or savings banks, trust companies, property’’), means an interest of any purported act or transaction, whether or securities brokers and dealers, futures nature whatsoever, direct or indirect. not evidenced by writing, and whether and options brokers and dealers, forward contract and foreign exchange § 582.307 Licenses; general and specific. or not done or performed within the United States, the purpose, intent, or merchants, securities and commodities (a) Except as otherwise provided in effect of which is to create, surrender, exchanges, clearing corporations, this part, the term license means any release, convey, transfer, or alter, investment companies, employee license or authorization contained in or directly or indirectly, any right, remedy, benefit plans, and U.S. holding issued pursuant to this part. companies, U.S. affiliates, or U.S. (b) The term general license means power, privilege, or interest with respect subsidiaries of any of the foregoing. This any license or authorization the terms of to any property. Without limitation on term includes those branches, offices, which are set forth in subpart E of this the foregoing, it shall include the part or made available on OFAC’s making, execution, or delivery of any and agencies of foreign financial website: www.treasury.gov/ofac. assignment, power, conveyance, check, institutions that are located in the (c) The term specific license means declaration, deed, deed of trust, power United States, but not such institutions’ any license or authorization issued of attorney, power of appointment, bill foreign branches, offices, or agencies. pursuant to this part but not set forth in of sale, mortgage, receipt, agreement, Subpart D—Interpretations subpart E of this part or made available contract, certificate, gift, sale, affidavit, or statement; the making of any on OFAC’s website: www.treasury.gov/ § 582.401 [Reserved] ofac. payment; the setting off of any obligation or credit; the appointment of § 582.402 Effect of amendment. Note 1 to § 582.307: See § 501.801 of this any agent, trustee, or fiduciary; the chapter on licensing procedures. creation or transfer of any lien; the Unless otherwise specifically provided, any amendment, § 582.308 OFAC. issuance, docketing, filing, or levy of or under any judgment, decree, modification, or revocation of any The term OFAC means the attachment, injunction, execution, or provision in or appendix to this part or Department of the Treasury’s Office of other judicial or administrative process chapter or of any order, regulation, Foreign Assets Control. or order, or the service of any ruling, instruction, or license issued by § 582.309 Person. garnishment; the acquisition of any OFAC does not affect any act done or omitted, or any civil or criminal The term person means an individual interest of any nature whatsoever by or entity. reason of a judgment or decree of any proceeding commenced or pending, foreign country; the fulfillment of any prior to such amendment, modification, § 582.310 Property; property interest. condition; the exercise of any power of or revocation. All penalties, forfeitures, The terms property and property appointment, power of attorney, or and liabilities under any such order, interest include money, checks, drafts, other power; or the acquisition, regulation, ruling, instruction, or license bullion, bank deposits, savings disposition, transportation, importation, continue and may be enforced as if such accounts, debts, indebtedness, exportation, or withdrawal of any amendment, modification, or revocation obligations, notes, guarantees, security. had not been made.

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§ 582.403 Termination and acquisition of OFAC’s Specially Designated Nationals service charges owed it by the owner of an interest in blocked property. and Blocked Persons List (SDN List). that blocked account. (a) Whenever a transaction licensed or (b) As used in this section, the term authorized by or pursuant to this part Subpart E—Licenses, Authorizations, normal service charges shall include results in the transfer of property and Statements of Licensing Policy charges in payment or reimbursement (including any property interest) away for interest due; cable, telegraph, § 582.501 General and specific licensing from a person whose property and procedures. internet, or telephone charges; postage interests in property are blocked costs; custody fees; small adjustment For provisions relating to licensing pursuant to § 582.201, such property charges to correct bookkeeping errors; procedures, see part 501, subpart E, of shall no longer be deemed to be and, but not by way of limitation, this chapter. Licensing actions taken property blocked pursuant to § 582.201, minimum balance charges, notary and pursuant to part 501 of this chapter with unless there exists in the property protest fees, and charges for reference respect to the prohibitions contained in another interest that is blocked pursuant books, photocopies, credit reports, this part are considered actions taken to § 582.201, the transfer of which has transcripts of statements, registered pursuant to this part. General licenses not been effected pursuant to license or mail, insurance, stationery and supplies, and statements of licensing policy other authorization. and other similar items. (b) Unless otherwise specifically relating to this part also may be provided in a license or authorization available through the Nicaragua § 582.506 Provision of certain legal issued pursuant to this part, if property sanctions page on OFAC’s website: services. (including any property interest) is www.treasury.gov/ofac. (a) The provision of the following legal services to or on behalf of persons transferred or attempted to be § 582.502 [Reserved] transferred to a person whose property whose property and interests in and interests in property are blocked § 582.503 Exclusion from licenses. property are blocked pursuant to pursuant to § 582.201, such property OFAC reserves the right to exclude § 582.201 or any further Executive shall be deemed to be property in which any person, property, transaction, or orders relating to the national such person has an interest and class thereof from the operation of any emergency declared in Executive Order therefore blocked. license or from the privileges conferred 13851 of November 27, 2018, is by any license. OFAC also reserves the authorized, provided that any receipt of § 582.404 Transactions ordinarily incident payment of professional fees and to a licensed transaction. right to restrict the applicability of any reimbursement of incurred expenses Any transaction ordinarily incident to license to particular persons, property, transactions, or classes thereof. Such must be authorized pursuant to a licensed transaction and necessary to § 582.507, which authorizes certain give effect thereto is also authorized, actions are binding upon actual or constructive notice of the exclusions or payments for legal services from funds except: originating outside the United States; (a) An ordinarily incident transaction, restrictions. via specific license; or otherwise not explicitly authorized within the § 582.504 Payments and transfers to pursuant to this part: terms of the license, by or with a person blocked accounts in U.S. financial (1) Provision of legal advice and whose property and interests in institutions. counseling on the requirements of and property are blocked pursuant to Any payment of funds or transfer of compliance with the laws of the United § 582.201; or credit in which a person whose property States or any jurisdiction within the (b) An ordinarily incident transaction, and interests in property are blocked United States, provided that such advice not explicitly authorized within the pursuant to § 582.201 has any interest and counseling are not provided to terms of the license, involving a debit to that comes within the possession or facilitate transactions in violation of this a blocked account or a transfer of control of a U.S. financial institution part; blocked property. must be blocked in an account on the (2) Representation of persons named § 582.405 Setoffs prohibited. books of that financial institution. A as defendants in or otherwise made A setoff against blocked property transfer of funds or credit by a U.S. parties to legal, arbitration, or (including a blocked account), whether financial institution between blocked administrative proceedings before any by a U.S. bank or other U.S. person, is accounts in its branches or offices is U.S. federal, state, or local court or a prohibited transfer under § 582.201 if authorized, provided that no transfer is agency; effected after the effective date. made from an account within the (3) Initiation and conduct of legal, United States to an account held outside arbitration, or administrative § 582.406 Entities owned by one or more the United States, and further provided proceedings before any U.S. Federal, persons whose property and interests in that a transfer from a blocked account State, or local court or agency; property are blocked. may be made only to another blocked (4) Representation of persons before Persons whose property and interests account held in the same name. any U.S. federal, state, or local court or in property are blocked pursuant to Note 1 to § 582.504: See § 501.603 of this agency with respect to the imposition, § 582.201 have an interest in all chapter for mandatory reporting administration, or enforcement of U.S. property and interests in property of an requirements regarding financial transfers. sanctions against such persons; and entity in which such persons directly or See also § 582.203 concerning the obligation (5) Provision of legal services in any indirectly own, whether individually or to hold blocked funds in interest-bearing other context in which prevailing U.S. in the aggregate, a 50 percent or greater accounts. law requires access to legal counsel at interest. The property and interests in public expense. property of such an entity, therefore, are § 582.505 Entries in certain accounts for (b) The provision of any other legal blocked, and such an entity is a person normal service charges. services to or on behalf of persons whose property and interests in (a) A U.S. financial institution is whose property and interests in property are blocked pursuant to authorized to debit any blocked account property are blocked pursuant to § 582.201, regardless of whether the held at that financial institution in § 582.201 or any further Executive name of the entity is incorporated into payment or reimbursement for normal orders relating to the national

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emergency declared in Executive Order (i) A source within the United States; subpart C, of this chapter. 13851 of November 27, 2018, not (ii) Any source, wherever located, Recordkeeping and reporting otherwise authorized in this part, within the possession or control of a requirements imposed by part 501 of requires the issuance of a specific U.S. person; or this chapter with respect to the license. (iii) Any individual or entity, other prohibitions contained in this part are (c) U.S. persons do not need to obtain than the person on whose behalf the considered requirements arising specific authorization to provide related legal services authorized pursuant to pursuant to this part. services, such as making filings and § 582.506(a) are to be provided, whose providing other administrative services, property and interests in property are Subpart G—Penalties and Findings of that are ordinarily incident to the blocked pursuant to any part of this Violation provision of services authorized by this chapter or any Executive order or § 582.701 Penalties and Findings of section. Additionally, U.S. persons who statute. Violation. provide services authorized by this (2) Nothing in this paragraph (a) (a) The penalties available under section do not need to obtain specific authorizes payments for legal services section 206 of the International authorization to contract for related using funds in which any other person Emergency Economic Powers Act (50 services that are ordinarily incident to whose property and interests in U.S.C. 1701–1706) (IEEPA), as adjusted the provision of those legal services, property are blocked pursuant to annually pursuant to the Federal Civil such as those provided by private § 582.201, any other part of this chapter, Penalties Inflation Adjustment Act of investigators or expert witnesses, or to or any Executive order has an interest. 1990 (Pub. L. 101–410, as amended, 28 pay for such services. See § 582.404. (b) Reports. (1) U.S. persons who U.S.C. 2461 note) or, in the case of (d) Entry into a settlement agreement receive payments pursuant to paragraph criminal violations, as adjusted or the enforcement of any lien, (a) of this section must submit annual pursuant to 18 U.S.C. 3571, are judgment, arbitral award, decree, or reports no later than 30 days following applicable to violations of the other order through execution, the end of the calendar year during provisions of this part. garnishment, or other judicial process which the payments were received (b) OFAC has the authority, pursuant purporting to transfer or otherwise alter providing information on the funds to IEEPA, to issue Pre-Penalty Notices, or affect property or interests in received. Such reports shall specify: Penalty Notices, and Findings of property blocked pursuant to § 582.201 (i) The individual or entity from Violation; impose monetary penalties; or any further Executive orders relating whom the funds originated and the engage in settlement discussions and to the national emergency declared in amount of funds received; and enter into settlements; refer matters to Executive Order 13851 of November 27, (ii) If applicable: the United States Department of Justice 2018 is prohibited unless licensed (A) The names of any individuals or for administrative collection; and, in pursuant to this part. entities providing related services to the appropriate circumstances, refer matters Note 1 to § 582.506: Pursuant to part 501, U.S. person receiving payment in to appropriate law enforcement agencies subpart E, of this chapter, U.S. persons connection with authorized legal for criminal investigation and/or seeking administrative reconsideration or services, such as private investigators or prosecution. For more information, see judicial review of their designation or the expert witnesses; appendix A to part 501 of this chapter, blocking of their property and interests in (B) A general description of the which provides a general framework for property may apply for a specific license services provided; and the enforcement of all economic from OFAC to authorize the release of certain (C) The amount of funds paid in blocked funds for the payment of sanctions programs administered by professional fees and reimbursement of connection with such services. OFAC, including enforcement-related incurred expenses for the provision of such (2) The reports, which must reference definitions, types of responses to legal services where alternative funding this section, are to be submitted to apparent violations, general factors sources are not available. For more OFAC using one of the following affecting administrative actions, civil information, see OFAC’s Guidance on the methods: penalties for failure to comply with a Release of Limited Amounts of Blocked (i) Email (preferred method): requirement to furnish information or Funds for Payment of Legal Fees and Costs OFAC.Regulations.Reports@ Incurred in Challenging the Blocking of U.S. keep records, and other general civil treasury.gov; or penalties information. Persons in Administrative or Civil (ii) U.S. mail: OFAC Regulations Proceedings, which is available on OFAC’s website at: www.treasury.gov/ofac. Reports, Office of Foreign Assets Subpart H—Procedures Control, U.S. Department of the Treasury, 1500 Pennsylvania Avenue § 582.801 Procedures. § 582.507 Payments for legal services from For license application procedures funds originating outside the United States. NW, Freedman’s Bank Building, Washington, DC 20220. and procedures relating to amendments, (a) Professional fees and incurred modifications, or revocations of expenses. (1) Receipt of payment of § 582.508 Emergency medical services. licenses; administrative decisions; professional fees and reimbursement of The provision and receipt of rulemaking; and requests for documents incurred expenses for the provision of nonscheduled emergency medical pursuant to the Freedom of Information legal services authorized pursuant to services that are otherwise prohibited by and Privacy Acts (5 U.S.C. 552 and § 582.506(a) to or on behalf of any this part or any further Executive orders 552a), see part 501, subpart E, of this person whose property and interests in relating to the national emergency chapter. property are blocked pursuant to declared in Executive Order 13851 of § 582.201 or any further Executive November 27, 2018 are authorized. § 582.802 Delegation of certain authorities orders relating to the national by the Secretary of the Treasury. emergency declared in Executive Order Subpart F—Reports Any action that the Secretary of the 13851, of November 27, 2018 is Treasury is authorized to take pursuant authorized from funds originating § 582.601 Records and reports. to Executive Order 13851 of November outside the United States, provided that For provisions relating to required 27, 2018, and any further Executive the funds do not originate from: records and reports, see part 501, orders relating to the national

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emergency declared therein, may be (C) actions or policies that threaten the or for the benefit of any person whose taken by the Director of OFAC or by any peace, security, or stability of Nicaragua; property and interests in property are other person to whom the Secretary of (D) any transaction or series of transactions blocked pursuant to this order; and the Treasury has delegated authority so involving deceptive practices or corruption (b) the receipt of any contribution or by, on behalf of, or otherwise related to the provision of funds, goods, or services from to act. Government of Nicaragua or a current or any such person. former official of the Government of Sec. 5. (a) Any transaction that evades or Subpart I—Paperwork Reduction Act Nicaragua, such as the misappropriation of avoids, has the purpose of evading or avoiding, causes a violation of, or attempts to § 582.901 Paperwork Reduction Act notice. public assets or expropriation of private assets for personal gain or political purposes, violate any of the prohibitions set forth in For approval by the Office of corruption related to government contracts, this order is prohibited. Management and Budget (OMB) under or bribery; (b) Any conspiracy formed to violate any of the prohibitions set forth in this order is the Paperwork Reduction Act of 1995 (ii) to be a leader or official of an entity that has, or whose members have, engaged in any prohibited. (44 U.S.C. 3507) of information activity described in subsection (a)(i) of this Sec. 6. For the purposes of this order: collections relating to recordkeeping section or of an entity whose property and (a) The term ‘‘person’’ means an individual and reporting requirements, licensing interests in property are blocked pursuant to or entity; procedures, and other procedures, see this order; (b) the term ‘‘entity’’ means a partnership, § 501.901 of this chapter. An agency (iii) to be an official of the Government of association, trust, joint venture, corporation, may not conduct or sponsor, and a Nicaragua or to have served as an official of group, subgroup, or other organization; person is not required to respond to, a the Government of Nicaragua at any time on (c) the term ‘‘United States person’’ means or after January 10, 2007; any United States citizen, permanent resident collection of information unless it alien, entity organized under the laws of the displays a valid control number (iv) to have materially assisted, sponsored, or provided financial, material, or United States or any jurisdiction within the assigned by OMB. technological support for, or goods or United States (including foreign branches), or services in support of: any person in the United States; and Appendix A to Part 582—Executive (d) the term ‘‘Government of Nicaragua’’ Order 13851 (A) Any activities described in subsection (a)(i) of this section; or means the Government of Nicaragua, any Executive Order 13851 of November 27, 2018 (B) any person whose property and political subdivision, agency, or interests in property are blocked pursuant to instrumentality thereof, including the Central Blocking Property of Certain Persons this order; or Bank of Nicaragua, and any person owned or Contributing to the Situation in Nicaragua controlled by, or acting for or on behalf of, (v) to be owned or controlled by, or to have the Government of Nicaragua. By the authority vested in me as President acted or purported to act for or on behalf of, Sec. 7. For those persons whose property by the Constitution and the laws of the directly or indirectly, any person whose and interests in property are blocked United States of America, including the property and interests in property are pursuant to this order who might have a International Emergency Economic Powers blocked pursuant to this order. constitutional presence in the United States, Act (50 U.S.C. 1701 et seq.) (IEEPA), the (b) The prohibitions in subsection (a) of I find that because of the ability to transfer National Emergencies Act (50 U.S.C. 1601 et this section apply except to the extent funds or other assets instantaneously, prior seq.) (NEA), section 212(f) of the Immigration provided by statutes, or in regulations, notice to such persons of measures to be and Nationality Act of 1952 (8 U.S.C. orders, directives, or licenses that may be taken pursuant to this order would render 1182(f)), and section 301 of title 3, United issued pursuant to this order, and those measures ineffectual. I therefore States Code, notwithstanding any contract entered into or determine that for these measures to be I, DONALD J. TRUMP, President of the any license or permit granted prior to the effective in addressing the national United States of America, find that the date of this order. emergency declared in this order, there need situation in Nicaragua, including the violent Sec. 2. The unrestricted immigrant and be no prior notice of a listing or response by the Government of Nicaragua to nonimmigrant entry into the United States of determination made pursuant to section 1 of the protests that began on April 18, 2018, and aliens determined to meet one or more of the this order. the Ortega regime’s systematic dismantling criteria in section 1 of this order would be Sec. 8. The Secretary of the Treasury, in and undermining of democratic institutions detrimental to the interests of the United consultation with the Secretary of State, is and the rule of law, its use of indiscriminate States, and the entry of such persons into the hereby authorized to take such actions, violence and repressive tactics against United States, as immigrants or including promulgating rules and civilians, as well as its corruption leading to nonimmigrants, is hereby suspended, except regulations, and to employ all powers the destabilization of Nicaragua’s economy, where the Secretary of State determines that granted to the President by IEEPA as may be constitutes an unusual and extraordinary the person’s entry is in the national interest necessary to implement this order. The threat to the national security and foreign of the United States. Such persons shall be Secretary of the Treasury may, consistent policy of the United States, and I hereby treated as persons covered by section 1 of with applicable law, redelegate any of these declare a national emergency to deal with Proclamation 8693 of July 24, 2011 functions within the Department of the that threat. I hereby determine and order: (Suspension of Entry of Aliens Subject to Treasury. All agencies of the United States Section 1. (a) All property and interests in United Nations Security Council Travel Bans Government shall take all appropriate property that are in the United States, that and International Emergency Economic measures within their authority to carry out hereafter come within the United States, or Powers Act Sanctions). the provisions of this order. that are or hereafter come within the Sec. 3. I hereby determine that the making Sec. 9. The Secretary of the Treasury, in possession or control of any United States of donations of the type of articles specified consultation with the Secretary of State, is person of the following persons are blocked in section 203(b)(2) of IEEPA (50 U.S.C. hereby authorized to submit the recurring and may not be transferred, paid, exported, 1702(b)(2)) by, to, or for the benefit of any and final reports to the Congress on the withdrawn, or otherwise dealt in: Any person person whose property and interests in national emergency declared in this order, determined by the Secretary of the Treasury, property are blocked pursuant to section 1 of consistent with section 401(c) of the NEA (50 in consultation with the Secretary of State: this order would seriously impair my ability U.S.C. 1641(c)) and section 204(c) of IEEPA (i) To be responsible for or complicit in, or to deal with the national emergency declared (50 U.S.C. 1703(c)). to have directly or indirectly engaged or in this order, and I hereby prohibit such Sec. 10. (a) Nothing in this order shall be attempted to engage in, any of the following: donations as provided by section 1 of this construed to impair or otherwise affect: (A) Serious human rights abuse in order. (i) The authority granted by law to an Nicaragua; Sec. 4. The prohibitions in section 1 of this executive department or agency, or the head (B) actions or policies that undermine order include: thereof; or democratic processes or institutions in (a) The making of any contribution or (ii) the functions of the Director of the Nicaragua; provision of funds, goods, or services by, to, Office of Management and Budget relating to

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budgetary, administrative, or legislative Vocational Rehabilitation and 70, Requirements—supplement for proposals. Employment Programs. mortuary services, which prescribes (b) This order shall be implemented DATES: This rule is effective on October clause 852.216–76, Requirements— consistent with applicable law and subject to Supplement for Mortuary Services, for the availability of appropriations. 4, 2019. (c) This order is not intended to, and does FOR FURTHER INFORMATION CONTACT: Mr. all contracts for mortuary services. not, create any right or benefit, substantive or Rafael N. Taylor, Senior Procurement Under part 837, this final rule procedural, enforceable at law or in equity by Analyst, Procurement Policy and removes section 837.103, Contracting any party against the United States, its Warrant Management Services, 003A2A, officer responsibility, as this internal departments, agencies, or entities, its officers, 425 I Street NW, Washington, DC 20001, procedural guidance is more suitable for employees, or agents, or any other person. (202) 382–2787. (This is not a toll-free the VAAM. This rule also removes the Donald J. Trump, number.) title and text at section 837.110, THE WHITE HOUSE, Solicitation provisions and contract SUPPLEMENTARY INFORMATION: November 27, 2018. On clauses, since FAR 52.237–2, Protection September 7, 2018, VA published a Andrea Gacki, of Government Buildings, Equipment proposed rule in the Federal Register and Vegetation, and 852.228–71, Director, Office of Foreign Assets Control. (83 FR 45384) which announced VA’s Indemnification and Insurance, outline Approved: intent to amend regulations for VAAR contractor liabilities and required Sigal P. Mandelker, Case RIN 2900–AQ20—VA Acquisition insurance levels and provides sufficient Under Secretary, Office of Terrorism and Regulation: Contracting by Negotiation; coverage in this area. Financial Intelligence, Department of the Service Contracting. VA provided a 60- This final rule amends section Treasury. day comment period for the public to 837.110–70, Services provided to [FR Doc. 2019–19049 Filed 9–3–19; 8:45 am] respond to the proposed rule and eligible beneficiaries, by retitling it ‘‘VA BILLING CODE 4810–AL–P submit comments. The comment period solicitation provisions and contract for the proposed rule ended on clauses,’’ by removing the prescription November 6, 2018 and VA received for the clause, 852.271–70, Non- DEPARTMENT OF VETERANS three comments from one commenter. Discrimination in Services Provided to AFFAIRS This rule adopts as a final rule, with Beneficiaries, and by adding the changes, the proposed rule published in prescriptions for the new clauses 48 CFR Parts 801, 815, 816, 837, 849, the Federal Register on September 7, 852.237–74, Non-Discrimination in 852, and 871 2018, with minor formatting and/or Service Delivery, and 852.237–75, Key grammatical edits, as well as the non- Personnel. This final rule removes RIN 2900–AQ20 substantive changes described below. subpart 837.2, Advisory and Assistance VA reviewed and considered the VA Acquisition Regulation: Services, since it duplicates coverage in comments raised by the one commenter Contracting by Negotiation; Service FAR. in the development of this final rule. A Contracting This rule amends section 837.403, discussion of the issues raised in the Contract clause, to redesignate it as AGENCY: Department of Veterans Affairs. comments as well as the changes made section 837.403–70, VA contract ACTION: Final rule. to the rule as a result of those clauses, and adds prescriptions for three comments, and the technical non- new clauses that address protection of SUMMARY: The Department of Veterans substantive changes to the final rule are children under contracts providing Affairs (VA) is amending and updating provided as follows: child care services as required by FAR its VA Acquisition Regulation (VAAR) In particular, this final rule revises the 37.103(d): 852.237–71, Nonsmoking in phased increments to revise or table at 801.106 to reflect the addition Policy for Children Services; 852.237– remove any policy superseded by of new VAAR clause 852.237–73, Crime 72, Crime Control Act—Reporting of changes in the Federal Acquisition Control Act—Requirement for Child Abuse; and 852.237–73, Crime Regulation (FAR), to remove procedural Background Checks and the Control Act—Requirement for guidance internal to VA into the VA corresponding new OMB control Background Checks. Acquisition Manual (VAAM), and to number 2900–0863. This final rule also Under subpart 837.70, Mortuary incorporate any new agency specific removes 815.303, Responsibilities, and Services, this rule adds section regulations or policies. These changes 815.304, Evaluation factors and 837.7000, Scope, which cites the seek to streamline and align the VAAR significant subfactors, and moves them statutory basis for the mortuary service with the FAR and remove outdated and to the VAAM as they contain procedural benefits covered. This final rule also duplicative requirements and reduce guidance that is internal to the VA. removes sections 837.7002, List of burden on contractors. The VAAM This rule adds a new section, 815.370, qualified funeral directors; 837.7003, incorporates portions of the removed Only one offer. The inclusion of this Funeral authorization; 837.7004, VAAR as well as other internal agency policy gives the contracting officer the Administrative necessity; and 837.7005, acquisition policy. VA will rewrite ability to re-solicit for an action if they Unclaimed remains—all other cases, certain parts of the VAAR and VAAM, only receive one offer and if the because this material was based on and as VAAR parts are rewritten, VA solicitation gave offerors less than 30 internal VA guidance that has been will publish them in the Federal days to submit a proposal. This final rescinded. Register. In particular, this rulemaking rule removes subpart 815.4, Contract This final rule adds subpart 849.5, revises VAAR concerning Contracting Pricing, as it contains procedural Contract Termination Clauses, section by Negotiation and Service Contracting, guidance that is internal to the VA and 849.504, Termination of fixed-price as well as affected parts covering the the content has been moved to the contracts for default (no text), and Department of Veterans Affairs VAAM. section 849.504–70, Termination of Acquisition Regulation System, Types This final rule removes subpart 815.6, mortuary services, to prescribe a new of Contracts, Termination of Contracts, Unsolicited Proposals, as it contains clause 852.249–70, Termination for Solicitation Provisions and Contract procedural guidance. This rulemaking Default—Supplement for Mortuary Clauses, and Loan Guaranty and adds subpart 816.5 and section 816.506– Services. Under subpart 852.2, this

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regulatory action amends clause officers, will benefit from the clarity this the intent of the evaluation preference is 852.215–70, Service-Disabled Veteran- rulemaking provides. to provide additional preference to Owned and Veteran-Owned Small VA concurs with the commenter in veteran-owned small businesses when a Business Evaluation Factors to add that a set-aside or any of the other procurement is performed outside of the language to comply with the statute exemptions should not be subject to authority under 38 U.S.C. 8127. This is requiring any business concern additional competition if the contracting in recognition of the requirement in 38 determined by VA to have willfully and officer determines the price is fair and U.S.C. 8128(a) that small business intentionally misrepresented a reasonable. Therefore, we will retain the concerns ‘‘owned and controlled by company’s SDVOSB/VOSB status to be paragraph, but will modify the veterans’’ have a priority over other subject to debarment for a period of not statement related to additional small businesses. 38 U.S.C. 8128(a) does less than five years. competition in the first part of the not make a distinction between This final rule amends 852.215–71, sentence. Paragraph (b) will read: SDVOSB or VOSB. Therefore, the Evaluation Factor Commitments, by ‘‘(b) The applicability of an exception proposed language will remain adding language requiring that any in paragraph (a) of this section does not unchanged. business concern determined by VA to eliminate the need for the contracting In addition, this final rule also have willfully and intentionally officer to ensure adequate time for includes two technical non-substantive misrepresented a company’s SDVOSB/ competition is allotted or that the price changes to the proposed rule at section VOSB status be subject to debarment for is fair and reasonable.’’ 815.370–4(a)(2) and (a)(3) which will be The commenter believes that the a period of not less than five years. finalized in this final rule as described SDVOSB/VOSB evaluation preference at This final rule adds clause 852.215– below. It updates language to comport 15.304 should be applied in all 72, Notice of Intent to Re-Solicit, which with the FAR that was issued as FAR instances a set-aside is not performed, informs offerors that in the event that Class Deviations and does not even on a lowest price technically only one offer is received in response to significantly change the intent or acceptable (LPTA) contract action. The a solicitation that allows offerors fewer meaning of the originally proposed commenter also recommends that when than 30 days to submit their proposal, language. the Contracting Officer may cancel the applying the full and partial credit for solicitation and re-solicit for an SDVOSBs and VOSBs under subsection Technical Non-Substantive Changes to additional period of at least 30 days in (b) in a procurement where price is the the Proposed Rule accordance with 815.370–2. only factor or that uses a lowest price Under section 815.370–4, Exceptions, This rulemaking adds clause 852.216– technically acceptable source selection 76, Requirements—Supplement for process as described in FAR 15.101–2, in this final rule, two technical Mortuary Services, for all requirements the contracting officer must deem the corrections are made to the proposed contracts for mortuary services. Under price offered by a verified SDVOSB to rule language— part 871, this rule revises section be 10% lower than its proposed price 1. At paragraph (a)(2), the exception is 871.212, to redesignate the first for evaluation purposes, and the price corrected to remove ‘‘humanitarian or paragraph as (a); to remove the offered by a verified VOSB to be 5% peacekeeping’’ and to add the word prescription of clause 852.271–70, Non- lower than its proposed price for ‘‘cyber’’ as one of the exceptions Discrimination in Services Provided to evaluation purposes. permitted for acquisitions to facilitate Beneficiaries; to renumber the VA appreciates the comment. defense against or recovery from, and to remaining paragraphs as (1) through (4); However, the commenter recommends add the phrase at the end of the and to add new paragraph (b) to refer VA apply a price evaluation preference. sentence, ‘‘or to support response to an the contracting officer to section VA does not possess statutory authority emergency or major disaster.’’ 837.110–70(a) for the prescription of the for a price evaluation preference. ‘‘Humanitarian or peacekeeping’’ is new clause 852.237–74, Non- Therefore, no changes to the proposed removed as VA supports emergencies or Discrimination in Service Delivery. rule will be made. major disasters and recovery therefrom. VA provided a 60-day comment Beyond the contracting priority to be This update comports with two FAR period for the public to respond to the used when setting a contract or order Class Deviations that adds new proposed rule. The comment period for aside, the commenter further believes definitions for ‘‘Emergency,’’ and the proposed rule ended on November that VA also must give an evaluation ‘‘Major Disaster,’’ as well as adds 6, 2018 and VA received comments preference to SDVOSBs and VOSBs, ‘‘cyber’’ to the list of actions to facilitate from one commenter. The issues raised with greater evaluation preference for defense against or recovery from when in the comments as well as the changes SDVOSBs, then VOSBs, then all other referring to the updated ‘‘micro- made to the proposed rule on the basis small businesses consistent with purchase threshold’’ and ‘‘simplified of those comments are provided as Veterans First. In this regard, the acquisition threshold’’ amounts follows: commenter is recommending that VA authorized by an existing FAR Class The commenter believes VAAR should revise the proposed language at Deviation and for which a FAR case is 815.370–4(b) could be misread to VAAR 815.304–71(a), which currently in progress. Therefore, 815.370–4, suggest that, even when the exception says that contracting officers shall insert Exceptions, paragraph (a)(2) would now applies, the contracting officer must still VAAR 852.215–70, SDVOSB and VOSB read: ‘‘(2) Acquisitions in support of consider maximizing competition when Evaluation Factors, ‘‘in competitively emergency operations, or to facilitate only one offer has been received— negotiated solicitations that are not set defense against or recovery from cyber, which in many cases would mean aside for SDVOSBs or VOSBs.’’ 83 FR at nuclear, biological, chemical, or considering whether to re-solicit the 45379. The commenter recommends radiological attack; or to support requirement. The commenter commends that this should be revised to exclude response to an emergency or major VA for its thoughtful development of only SDVOSB set-asides. disaster;’’. this rule and of the agency’s overarching VA appreciates the comment. It is VA 2. Under paragraph (a)(3), the goal of revising and streamlining the policy that SDVOSBs have priority over reference to ‘‘VAAR 19’’ is updated to VAAR, stating that SDVOSBs and VOSBs when contracting under the reflect a more accurate citation of VOSBs, as well as VA contracting authority of 38 U.S.C. 8127(i). However, ‘‘VAAR subpart 819.70.’’

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Under section 837.7001, Solicitations safety, or State, local, or tribal 0590. This final rule revises 837.403 to provisions and contract clauses, one Governments or communities; (2) Create renumber it as 837.403–70, to retitle it technical change is made to the a serious inconsistency or otherwise as ‘‘VA contract clauses,’’ and to proposed rule language— interfere with an action taken or renumber the clause as 852.237–70 Under paragraph (b), the text is planned by another agency; (3) while retaining the title, revised to remove a reference to ALT VI Materially alter the budgetary impact of ‘‘Indemnification and Medical Liability for the clause FAR 52.216–21, entitlements, grants, user fees, or loan Insurance.’’ Requirements. Paragraph (b) now reads programs or the rights and obligations of Clause 852.237–70 is used in lieu of as follows: ‘‘The contracting officer shall recipients thereof; or (4) Raise novel FAR clause 52.237–7, Indemnification insert in addition to FAR 52.216–21, legal or policy issues arising out of legal and Medical Liability Insurance, in Requirements, the following VA clauses mandates, the President’s priorities, or solicitations and contracts for the in all mortuary service solicitations and the principles set forth in this Executive acquisition of non-personal health care contracts:’’ The rest of paragraph (b) and Order.’’ services. It requires the apparent section 837.7001 remain unchanged as a The Office of Information and successful bidder/offeror, upon the result of this rulemaking. Regulatory Affairs has determined that request of the contracting officer, prior this rule is not a significant regulatory to contract award, to furnish evidence of Effect of Rulemaking action under Executive Order 12866. insurability of the offeror and/or all Title 48, Federal Acquisition VA’s impact analysis can be found as health-care providers who will perform Regulations System, Chapter 8, a supporting document at http:// under the contract. In addition, the Department of Veterans Affairs, of the www.regulations.gov, usually within 48 clause requires the contractor, prior to Code of Federal Regulations, as hours after the rulemaking document is commencement of services under the proposed to be revised by this published. Additionally, a copy of the contract, to provide Certificates of rulemaking, would represent VA’s rulemaking and its impact analysis are Insurance or insurance policies implementation of its legal authority available on VA’s website at http:// evidencing that the firm possesses the and publication of the Department of www.va.gov/orpm by following the link types and amounts of insurance Veterans Affairs Acquisition Regulation for VA Regulations Published from FY required by the solicitation. This final (VAAR) for the cited applicable parts. 2004 Through Fiscal Year to Date. This rule modifies the collection to require Other than future amendments to this final rule is not an E.O. 13771 regulatory the contractor to notify the contracting rule or governing statutes for the cited action because this rule is not officer within five days of becoming applicable parts, or as otherwise significant under E.O. 12866. aware of a change in insurance authorized by approved deviations or Paperwork Reduction Act providers during the performance waivers in accordance with FAR subpart period of this contract for all health-care 1.4, Deviations from the FAR, and as The Paperwork Reduction Act of 1995 providers performing under this implemented by VAAR subpart 801.4, (at 44 U.S.C. 3507) requires that VA contract, and to provide to the Deviations from the FAR or VAAR, no consider the impact of paperwork and contracting officer evidence of such contrary guidance or procedures would other information collection burdens insurance for any subcontractor at least be authorized. All existing or imposed on the public. Under 44 U.S.C. five days before commencement of work subsequent VA guidance would be read 3507(a), an agency may not collect or by that subcontractor. to conform with the rulemaking if sponsor the collection of information, Description of need for information possible or, if not possible, such nor may it impose an information and proposed use of information: guidance would be superseded by this collection requirement unless it The information is required in order rulemaking as pertains to the cited displays a currently valid OMB control to protect VA by ensuring that the firm applicable VAAR parts. number. See also 5 CFR 1320.8(b)(3)(vi). to which award may be made and the Executive Orders 12866, 13563 and This final rule amends one information individuals who may provide health 13771 collection requirement and imposes one care services under the contract are new information collection requirement. insurable and that, following award, the Executive Orders (E.O.s) 12866 and Accordingly, under 44 U.S.C. 3507(d), contractor and its employees will 13563 direct agencies to assess all costs VA has submitted a copy of this continue to possess the types and and benefits of available regulatory rulemaking action to OMB for its amounts of insurance required by the alternatives and, if regulation is review. solicitation. It helps ensure that VA will necessary, to select regulatory Under the Paperwork Reduction Act not be held liable for any negligent acts approaches that maximize net benefits (PRA) of 1995 (44 U.S.C. 3501–3521), a of the contractor or its employees and (including potential economic, current collection of information, OMB ensures that VA and VA beneficiaries environmental, public health and safety No. 2900–0590, that will now be will be protected by adequate insurance effects, distributive impacts, and contained in part 837 at section coverage. The clause number is changed equity). E.O. 13563 emphasizes the 837.403–70 and in part 852 at section to 852.237–70 to conform to the FAR importance of quantifying both costs 852.237–70, was revised as set forth in guidance for numbering of clauses. The and benefits of reducing costs, of the SUPPLEMENTARY INFORMATION portion burden imposed by this collection harmonizing rules, and of promoting of this final rule. The clause number remains unchanged as follows: flexibility. E.O. 12866, Regulatory that appears in the table at 801.106 is Estimated number of respondents Planning and Review defines also revised accordingly. annually: 1,500. ‘‘significant regulatory action’’ to mean Summary of collection of information: Estimated frequency of responses: any regulatory action that is likely to This final rule contains provisions One response for each contract to be result in a rule that may: ‘‘(1) Have an constituting an existing information awarded. annual effect on the economy of $100 collection at 48 CFR 837.403 and Estimated average burden per million or more or adversely affect in a 852.237–7, under the provisions of the collection: 30 minutes. material way the economy, a sector of Paperwork Reduction Act of 1995 (44 Estimate of the total annual hour the economy, productivity, competition, U.S.C. 3501–3521) and has been burden of the collection of information: jobs, the environment, public health or assigned OMB control number 2900– 750 hours.

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Annual cost to all respondents: Estimated number of respondents private sector, of $100 million or more $15,000 (at $20 per hour, based on our annually: 150. (adjusted annually for inflation) in any belief that the majority of the labor effort Estimated frequency of responses: 10 one year. This final rule will have no would be clerical similar to GS–5). per contract awarded. such effect on State, local, and tribal Under the Paperwork Reduction Act Estimated average burden per Governments or on the private sector. of 1995 (44 U.S.C. 3501–3521), a new collection: 1 hour. collection of information is prescribed, Estimate of the total annual hour Congressional Review Act burden of the collection of information: under OMB No. 2900–0863, that is Pursuant to the Congressional Review contained in Part 837 at section 1,500 hours. Annual cost to all respondents: Act (5 U.S.C. 801 et seq.), the Office of 837.403–70 (d) and Part 852 at clause Information and Regulatory Affairs 852.237–73, as set forth in the $74,550 ($49.70 rate including fringe benefits and assuming Bureau of Labor designated this rule as not a major rule, SUPPLEMENTARY INFORMATION portion of as defined by 5 U.S.C. 804(2). this final rule. The clause number and Statistics wage code 11–3011, the OMB clearance number are added to Administrative Services Managers.) List of Subjects the table at 801.106. This clause enables the VA to be in compliance with the Crime Control Act 48 CFR Part 801 Summary of collection of information: of 1990 and to protect children that are Under the Crime Control Act of 1990 within its health care systems. Administrative practice and (42 U.S.C. 13041), each agency of the Notice regarding this information procedure. Federal Government, and every facility collection requirement was posted to 48 CFR Parts 815, 816, 837, and 849 operated by the Federal Government, or the Federal Register via the preamble of operated under contract with the Proposed Rule RIN 2900–AQ20 on Government procurement. Federal Government, that hires, or September 7, 2018 (83 FR 45374) with contracts for hire, individuals involved comment period closing date of 48 CFR Part 852 with the provision of child care services November 6, 2018. VA didn’t receive to children under the age of 18 shall Government procurement, Reporting any public comments related to this and recordkeeping requirements. assure that all existing and newly-hired information collection. As a result, OMB employees undergo a criminal history issued a tentative control number 2900– 48 CFR Part 871 background check. 0863 to this new information collection New VAAR clause 852.237–73, Crime to be used for final rule publication. Government procurement, Loan Control Act—Requirement for After the publication of this final rule, programs—social programs, Loan Background Checks, is required in all VA will resubmit this information programs—veterans, Reporting and solicitations, contracts, and orders that collection (2900–0863) to OMB for its recordkeeping requirements, Vocational involve providing child care services to final approval. rehabilitation. children under the age of 18, including social services, health and mental health Regulatory Flexibility Act Signing Authority care, child-(day) care, education This final rule does not have a The Secretary of Veterans Affairs, or (whether or not directly involved in significant economic impact on a designee, approved this document and teaching), and rehabilitative programs substantial number of small entities as authorized the undersigned to sign and covered under the statute. they are defined in the Regulatory submit the document to the Office of the Description of need for information Flexibility Act, 5 U.S.C. 601–612. The Federal Register for publication and use of information: overall impact of the rule is of benefit electronically as an official document of The contract clause requires the to small businesses owned by Veterans the Department of Veterans Affairs. contractor to perform the background or service-disabled Veterans as the Robert L. Wilkie, Secretary, Department checks on behalf of VA to assure the VAAR is being updated to remove of Veterans Affairs, approved this safety of children under the age of 18 extraneous procedural information that document on July 25, 2019, for that are recipients of services under a applies only to VA’s internal operating publication. VA program. It is intended to assure processes or procedures. VA estimates their safety by avoiding hiring no cost impact to individual business Dated: August 14, 2019. individuals with a history of criminal will result from these rule updates. On Consuela Benjamin, acts and especially acts of child abuse. this basis, the final rule does not have Regulations Development Coordinator, Office The following estimated annual burden a significant economic impact on a of Regulation Policy & Management, Office has been revised and reduced from that substantial number of small entities as of the Secretary, Department of Veterans in the proposed rule based on contract they are defined in the Regulatory Affairs. data from the last three fiscal years Flexibility Act, 5 U.S.C. 601–612. For the reasons set out in the which reflect a pool of awarded Therefore, under 5 U.S.C. 605(b), this preamble, VA revises 48 CFR parts 801, contracts which include child care regulatory action is exempt from the 815, 816, 837, 849, 852 and 871 as services to arrive at a revised estimated initial and final regulatory flexibility follows: annual burden amount. In the proposed analysis requirements of sections 603 rule, the estimated number of and 604. PART 801—DEPARTMENT OF respondents annually were based on VETERANS AFFAIRS ACQUISITION health service contracts awarded, Unfunded Mandates REGULATION SYSTEM whereas in this final rule, the estimated The Unfunded Mandates Reform Act number of respondents was calculated of 1995 requires, at 2 U.S.C. 1532, that ■ based on contracts awarded under agencies prepare an assessment of 1. The authority citation for part 801 NAICS codes associated with child care anticipated costs and benefits before continues to read as follows: services. An average of 10 responses per issuing any rule that may result in the Authority: 40 U.S.C. 121(c); 41 U.S.C. contract is a reasonable estimate for an expenditure by State, local, and tribal 1121; 42 U.S.C. 1303; 41 U.S.C. 1702; and 48 awarded child care services contract. Governments, in the aggregate, or by the CFR 1.301–1.304.

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Subpart 801.1—Purpose, Authority, 801.106 OMB approval under the Issuance Paperwork Reduction Act. * * * * * ■ 2. Revise the table in section 801.106 to read as follows:

48 CFR part or section 48 CFR part or section where identified and described Current OMB where Current OMB control No. identified No. and described

809.106–1 ...... 2900–0418 852.228–71 2900–0590 809.504(d) ...... 2900–0418 852.232–70– 2900–0422 852.232–71 813 ...... 2900–0393 852.236–72 2900–0422 832.202–4 ...... 2900–0688 852.236–79 2900–0208 836.606–71 ...... 2900–0208 852.236–80 2900–0422 (Alt. I) 852.207–70 ...... 2900–0590 852.236–88 2900–0422 852.209–70 ...... 2900–0418 852.237–70 2900–0590 852.211–70 ...... 2900–0587 852.237–73 2900–0863 852.211–72 ...... 2900–0586 852.246–76 2900–0589 852.270–3 2900–0589

PART 815—CONTRACTING BY 815.304–71 Solicitation provision and days for receipt of proposals, the NEGOTIATION clause. contracting officer should— (a) The contracting officer shall insert (a) Consult with the requiring activity ■ 3. The authority citation for part 815 the clause at 852.215–70, Service- as to whether the requirements is revised to read as follows: Disabled Veteran-Owned Small document should be revised in order to Business and Veteran-Owned Small promote more competition (see FAR Authority: 38 U.S.C. 8127 and 8128; 40 Business Evaluation Factors, in 6.502(b) and 11.002); and U.S.C. 121(c); 41 U.S.C. 1121(c)(3); 41 U.S.C. competitively negotiated solicitations (b) Consider re-soliciting, allowing an 1702; and 48 CFR 1.301 through 1.304. and contracts that are not set aside for additional period of at least 30 days for receipt of proposals. Subpart 815.3—Source Selection SDVOSBs or VOSBs. (b) The contracting officer shall insert ■ 11. Section 815.370–3 is added to read 815.303 [Removed] the clause at 852.215–71, Evaluation as follows: Factor Commitments, in solicitations 815.370–3 Fair and reasonable price. ■ 4. Section 815.303 is removed. and contracts that include VAAR clause (a) If there was ‘‘reasonable 852.215–70, Service-Disabled Veteran- 815.304 [Removed] expectation that two or more offerors, Owned Small Business and Veteran- competing independently, would ■ Owned Small Business Evaluation 5. Section 815.304 is removed. submit priced offers’’ but only one offer Factors. ■ 6. Section 815.304–70 is revised to is received, this circumstance does not ■ read as follows: 8. Section 815.370 is added to read as constitute adequate price competition follows: unless an official at a level above the 815.304–70 Evaluation factor 815.370 Only one offer. contracting officer approves the commitments. determination that the price is ■ 9. Section 815.370–1 is added to read Contracting officers shall— reasonable (see FAR 15.403–1(c)(1)(ii)). as follows: (b) Except as provided in 815.370– (a) Include the clause at 852.215–70, 4(a), if only one offer is received when 815.370–1 Policy. Service-Disabled Veteran-Owned Small competitive procedures were used and Business and Veteran-Owned Small It is VA policy, if only one offer is the solicitation allowed at least 30 days Business Evaluation Factors, in received in response to a competitive for receipt of proposals (unless the 30- negotiated solicitations and contracts solicitation, to— day requirement is not applicable in giving preference to offers received from (a) Take action to promote accordance with 815.370–4(a)(3)), the VOSBs and additional preference to competition (see 815.370–2); and contracting officer shall— offers received from SDVOSBs; (b) Ensure that the price is fair and (1) Determine through cost or price (b) Use past performance in meeting reasonable (see 815.370–3) and comply analysis that the offered price is fair and SDVOSB subcontracting goals as a non- with the statutory requirement for reasonable and that adequate price price evaluation factor in making award certified cost or pricing data (see FAR competition exists (with approval of the determination; and 15.403–4). determination at a level above the (c) Use the proposed inclusion of ■ 10. Section 815.370–2 is added to read contracting officer) or another exception SDVOSBs or VOSBs as subcontractors as follows: to the requirement for certified cost or pricing data applies (see FAR 15.403– as an evaluation factor when 815.370–2 Promote competition. competitively negotiating the award of 1(c) and 15.403–4). In these Except as provided in 815.370–4, if contracts or task or delivery orders. circumstances, no further cost or pricing only one offer is received when data is required; or ■ 7. Section 815.304–71 is revised to competitive procedures were used and (2)(i) Obtain from the offeror cost or read as follows: the solicitation allowed fewer than 30 pricing data necessary to determine a

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fair and reasonable price and comply Subpart 815.6 [Removed and Subpart 837.2 [Removed and with the requirement for certified cost Reserved] Reserved] or pricing data at FAR 15.403–4. For ■ acquisitions that exceed the cost or ■ 15. Subpart 815.6, consisting of 22. Subpart 837.2, consisting of pricing data threshold, if no exception sections 815.604, 815.606, and 815.606– section 837.203, is removed and at FAR 15.403–1(b) applies, the cost or 1, is removed and reserved. reserved. pricing data shall be certified; and Subpart 837.4—Nonpersonal Health (ii) Enter into negotiations with the PART 816—TYPES OF CONTRACTS Care Services offeror as necessary to establish a fair and reasonable price. The negotiated ■ 16. The authority citation for part 816 837.403 [Redesignated as 837.403–70 and price should not exceed the offered is revised to read as follows: Amended] price. Authority: 40 U.S.C. 121(c); 41 U.S.C. ■ 23. Section 837.403 is redesignated as ■ 12. Section 815.370–4 is added to read 1121(c)(3); 41 U.S.C. 1702; and 48 CFR 1.301 837.403–70 and the newly redesignated as follows: through 1.304. section is revised to read as follows: 815.370–4 Exceptions. Subpart 816.5—Indefinite-Delivery 837.403–70 VA contract clauses. (a) The requirements at 815.370–2 do Contracts (a) The contracting officer shall insert not apply to— the clause at 852.237–70, (1) Acquisitions at or below the ■ 17. Section 816.506–70 is added to Indemnification and Medical Liability simplified acquisition threshold; read as follows: Insurance, in lieu of FAR clause 52.237– (2) Acquisitions in support of 7, in solicitations and contracts for emergency, humanitarian or 816.506–70 Requirements—supplement nonpersonal health care services, peacekeeping operations, or to facilitate for mortuary services. including contracts awarded under the defense against or recovery from cyber, Insert the clause 852.216–76, authority of 38 U.S.C. 7409, 38 U.S.C. nuclear, biological, chemical, or Requirements—Supplement for 8151–8153, and part 873. The radiological attack; or to support Mortuary Services, in contracts for contracting officer may include the response to an emergency or major mortuary services containing FAR clause in bilateral purchase orders for disaster; clause 52.216–21, Requirements. The nonpersonal health care services (3) Small business set-asides under contracting officer shall insert activities awarded under the procedures in FAR FAR subpart 19.5, set-asides offered and authorized to place orders in paragraph part 13 and part 813. accepted into the 8(a) Program under (e) of the clause. (b) The contracting officer shall insert FAR subpart 19.8, or set-asides under the clause at 852.237–71, Nonsmoking the HUBZone Program (see FAR PART 837—SERVICE CONTRACTING Policy for Children’s Services, in 19.1305(c)), the VA Small Business solicitations, contracts, and orders that Program (see VAAR subpart 819.70), or ■ 18. The authority citation for part 837 involve health or daycare services that the Women-Owned Small Business is revised to read as follows: are provided to children under the age Program (see FAR 19.1505(d)); of 18 on a routine or regular basis Authority: Pub. L. 101–647; 20 U.S.C. (4) Acquisitions of basic or applied pursuant to the Nonsmoking Policy for 7181–7183; 40 U.S.C. 121(c); 41 U.S.C. Children’s Services (20 U.S.C. 6081– research or development, as specified in 1121(c)(3); 41 U.S.C. 1702; and 48 CFR 1.301 6084). FAR 35.016(a), that use a broad agency through 1.304. announcement; or (c) The contracting officer shall insert (5) Acquisitions of architect-engineer Subpart 837.1—Service Contracts— the clause at 852.237–72, Crime Control services (see FAR 36.601–2). General Act—Reporting of Child Abuse, in (b) The applicability of an exception solicitations, contracts, and orders that in paragraph (a) of this section does not 837.103 [Removed] require performance on Federal land or in a federally operated (or contracted) eliminate the need for the contracting ■ 19. Section 837.103 is removed. officer to ensure adequate time for facility and involve the professions/ competition is allotted or that the price 837.110 [Removed] activities performed by persons is fair and reasonable. specified in the Crime Control Act of ■ 20. Section 837.110 is removed. 1990 (42 U.S.C. 13031) including, but ■ 13. Section 815.370–5 is added to read not limited to, teachers, social workers, ■ as follows: 21. Section 837.110–70 is revised to physicians, nurses, dentists, health care read as follows: 815.370–5 Solicitation provision. practitioners, optometrists, psychologists, emergency medical Use the provision at 852.215–72, 837.110–70 VA solicitation provisions and technicians, alcohol or drug treatment Notice of Intent to Re-solicit, in contract clauses. personnel, child care workers and competitive solicitations, including (a) Contracting officers shall include administrators, emergency medical solicitations using FAR part 12 the clause at 852.237–74, Non- technicians and ambulance drivers. procedures for the acquisition of Discrimination in Service Delivery, in (d) The contracting officer shall insert commercial items that will be solicited all solicitations and contracts covering the clause at 852.237–73, Crime Control for fewer than 30 days, unless an services provided to eligible Act—Requirement for Background exception at 815.370–4 applies. beneficiaries. Checks, in solicitations, contracts, and Subpart 815.4 [Removed and (b) The contracting officer shall insert orders that involve providing child care Reserved] the clause at 852.237–75, Key services to children under the age of 18, Personnel, in solicitations and contracts including social services, health and ■ 14. Subpart 815.4, consisting of when the contracting officer will require mental health care, child- (day) care, sections 815.404, 815.404–1, and the contractor to designate contractor education (whether or not directly 815.404–2, is removed and reserved. key personnel. involved in teaching), and rehabilitative

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programs covered under the Crime ■ 31. Subpart 849.5 is added to read as subcontractors must be registered and Control Act of 1990 (42 U.S.C. 13041). follows: verified in the VIP database. (d) Pursuant to 38 U.S.C. 8127(g), any Subpart 837.70—Mortuary Services Subpart 849.5—Contract Termination business concern that is determined by VA Clauses to have willfully and intentionally ■ 24. Section 837.7000 is added to read misrepresented a company’s SDVOSB/VOSB as follows: 849.504 Termination of fixed-price status is subject to debarment for a period of contracts for default. not less than five years. This includes the 837.7000 Scope. debarment of all principals in the business. This subpart applies to mortuary 849.504–70 Termination of mortuary (End of clause) services. (funeral and burial) services for ■ Use the clause at 852.249–70, 34. Section 852.15–71 is revised to beneficiaries of VA as provided in 38 read as follows: U.S.C. 2302, 2303, and 2308 when it is Termination for Default—Supplement determined that a contract would be the for Mortuary Services, in all 852.215–71 Evaluation Factor most efficient and effective method. solicitations and contracts for mortuary Commitments. services. This clause is to be used with Contract payment terms for use of the As prescribed in 815.304–71(b), insert FAR clause 52.249–8, Default (Fixed- purchase card as a method of payment the following clause: should also be considered. Price Supply and Service). ■ 25. Section 837.7001 is revised to read Evaluation Factor Commitments (OCT PART 852—SOLICITATION 2019) as follows: PROVISIONS AND CONTRACT CLAUSES (a) The offeror agrees, if awarded a 837.7001 Solicitation provisions and contract, to use the service-disabled veteran- contract clauses. ■ 32. The authority citation for part 852 owned small businesses (SDVOSBs) or (a) The contracting officer shall insert veteran-owned small businesses (VOSBs) the basic or the alternate of the is revised to read as follows: proposed as subcontractors in accordance provision at 852.237–76, Award to Authority: Pub. L.101–647; 20 U.S.C. with 852.215–70, Service-Disabled Veteran- Single Offeror, in solicitations and 7181–7183; 38 U.S.C. 8127–8128, and 8151– Owned and Veteran-Owned Small Business contracts for mortuary services as 8153; 40 U.S.C. 121(c); 41 U.S.C. 1121(c)(3); Evaluation Factors, or to substitute one or follows: 41 U.S.C. 1303; 41 U.S.C 1702; and 48 CFR more SDVOSBs or VOSBs for subcontract 1.301 through 1.304. work of the same or similar value. (1) Insert the provision in all sealed (b) Pursuant to 38 U.S.C. 8127(g), any bid solicitations for mortuary services; Subpart 852.2—Texts of Provisions business concern that is determined by VA and and Clauses to have willfully and intentionally (2) Insert the basic provision with its misrepresented a company’s SDVOSB/VOSB alternate I in all negotiated solicitations ■ 33. Section 852.215–70 is revised to status is subject to debarment for a period of for mortuary services. read as follows: not less than five years. This includes the (b) The contracting officer shall insert debarment of all principals in the business. in addition to FAR 52.216–21, 852.215–70 Service-Disabled Veteran- (End of clause) Owned and Veteran-Owned Small Business Requirements, the following VA clauses ■ Evaluation Factors. 35. Section 852.215–72 is added to in all mortuary service solicitations and read as follows: contracts: As prescribed in 815.304–71(a), insert (1) 852.237–77, Area of Performance. the following clause: 852.215–72 Notice of Intent to Re-Solicit. (2) 852.237–78, Performance and Service-Disabled Veteran-Owned and As prescribed at 815.370–5, use the Delivery. (3) 852.237–79, Subcontracting. Veteran-Owned Small Business following provision: Evaluation Factors (OCT 2019) (4) 852.237–80, Health Department Notice of Intent to Re-Solicit (OCT and Transport Permits. (a) In an effort to achieve socioeconomic 2019) (c) See also 816.506–70 and 849.504– small business goals, VA shall evaluate 70 for additional clauses for use in offerors based on their service-disabled This solicitation provides offerors fewer than 30 days to submit proposals. In the contracts for mortuary services. veteran-owned or veteran-owned small business status and their proposed use of event that only one offer is received in 837.7002 [Removed] eligible service-disabled veteran-owned small response to this solicitation, the Contracting Officer may cancel the solicitation and re- ■ 26. Section 837.7002 is removed. businesses (SDVOSBs) and veteran-owned small businesses (VOSBs) as subcontractors. solicit for an additional period of at least 30 days in accordance with 815.370–2. 837.7003 [Removed] (b) Eligible service-disabled veteran-owned small businesses offerors will receive full (End of provision) ■ 27. Section 837.7003 is removed. credit, and offerors qualifying as veteran- ■ 36. Section 852.216–71 is amended by owned small businesses will receive partial 837.7004 [Removed] credit for the Service-Disabled Veteran- revising the section heading and clause ■ 28. Section 837.7004 is removed. Owned and Veteran-Owned Small Business heading to read as follows: Status evaluation factor. To receive credit, an 837.7005 [Removed] 852.216–71 Economic Price Adjustment of offeror must be registered and verified in the Contract Price(s) Based on a Price Index. ■ 29. Section 837.7005 is removed. Vendor Information Pages (VIP) database. (c) Non-Veteran offerors proposing to use * * * * * PART 849—TERMINATION OF SDVOSBs or VOSBs as subcontractors will Economic Price Adjustment of Contract CONTRACTS receive some consideration under this evaluation factor. Offerors must state in their Price(s) Based on a Price Index (MAR 2018) ■ 30. The authority citation for part 849 proposals the names of the SDVOSBs and VOSBs with whom they intend to * * * * * is revised to read as follows: subcontract and provide a brief description of Authority: 40 U.S.C. 121(c); 41 U.S.C. the proposed subcontracts and the ■ 37. Section 852.216–72 is amended by 1121(c)(3); 41 U.S.C. 1702; and 48 CFR 1.301 approximate dollar values of the proposed revising the section heading and clause through 1.304. subcontracts. In addition, the proposed heading to read as follows:

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852.216–72 Proportional Economic Price instances where the body is removed from contract to maintain, during the term of this Adjustment of Contract Price(s) Based on a the area for medical, scientific, or other contract, professional liability insurance Price Index. reason. issued by a responsible insurance carrier of * * * * * (d) In an epidemic or other emergency, the not less than the following amount(s) per contracting activity may obtain services specialty per occurrence: [Contracting Proportional Economic Price beyond the capacity of the Contractor’s Officer’s Note: Insert the dollar amount Adjustment of Contract Price(S) Based facilities from other sources. value(s) of standard coverage(s) prevailing on a Price Index (MAR 2018) (e) Contracting Officers of the following within the local community as to the specific activities may order services and supplies * * * * * medical specialty, or specialties, concerned, under this contract: or such higher amount as the Contracting ■ 38. Section 852.216–73 is amended by lllllllllllllllllllll Officer deems necessary to protect the revising the section heading and clause lllllllllllllllllllll Government’s interests.] However, if the heading to read as follows: (End of clause) Contractor is an entity or a subdivision of a ■ 42. Section 852.228–71 is amended by State that either provides for self-insurance 852.216–73 Economic Price Adjustment— or limits the liability or the amount of State Nursing Home Care for Veterans. revising the section heading and clause heading to read as follows: insurance purchased by State entities, then * * * * * the insurance requirement of this contract Economic Price Adjustment—State 852.228–71 Indemnification and Insurance. shall be fulfilled by incorporating the * * * * * provisions of the applicable State law. Nursing Home Care for Veterans (Mar (b) An apparently successful offeror, upon 2018) Indemnification and Insurance (Mar request of the Contracting Officer, shall, prior * * * * * 2018) to contract award, furnish evidence of the ■ 39. Section 852.216–74 is amended by insurability of the offeror and/or of all health- * * * * * care providers who will perform under this revising the section heading and clause ■ 43. Section 852.228–73 is amended by contract. The submission shall provide heading to read as follows: revising the section heading and clause evidence of insurability concerning the 852.216–74 Economic Price Adjustment— heading to read as follows: medical liability insurance required by Medicaid Labor Rates. paragraph (a) of this clause or the provisions 852.228–73 Indemnification of of State law as to self-insurance, or * * * * * Contractor—Hazardous Research Projects.l limitations on liability or insurance. Economic Price Adjustment—Medicaid * * * * * (c) The Contractor shall, prior to Labor Rates (Mar 2018) commencement of services under the Indemnification of Contractor— contract, provide to the Contracting Officer * * * * * Hazardous Research Projects (Mar Certificates of Insurance or insurance policies ■ 40. Section 852.216–75 is amended by 2018) evidencing the required insurance coverage revising the section heading and clause * * * * * and an endorsement stating that any heading to read as follows: cancellation or material change adversely 852.237–70 [Removed] affecting the Government’s interest shall not 852.216–75 Economic Price Adjustment– be effective until 30 days after the insurer or ■ Fuel Surcharge. 44. Section 852.237–70 is removed. the Contractor gives written notice to the * * * * * 852.237–7 [Redesignated as 852.237–70 Contracting Officer. Certificates or policies and Amended] shall be provided for the Contractor and/or Economic Price Adjustment—Fuel each health-care provider who will perform Surcharge (Mar 2018) ■ 45. Section 852.237–7 is redesignated under this contract. as section 852.237–70 and the newly (d) The Contractor shall notify the * * * * * redesignated section is revised to read Contracting Officer within 5 days of ■ 41. Section 852.216–76 is added to as follows: becoming aware of a change in insurance read as follows: providers during the performance period of 852.237–70 Indemnification and Medical this contract for all health-care providers 852.216–76 Requirements—Supplement Liability Insurance. performing under this contract. The for Mortuary Services. As prescribed in 837.403–70(a), insert notification shall provide evidence that the As prescribed in 816.506–70, insert the following clause: Contractor and/or health-care providers will the following clause: meet all the requirements of this clause, Indemnification and Medical Liability including those concerning liability Requirements—Supplement for Insurance (Oct 2019) insurance and endorsements. These Mortuary Services (Oct 2019) (a) It is expressly agreed and understood requirements may be met either under the (a) Except as provided in paragraphs (c) that this is a non-personal services contract, new policy, or a combination of old and new and (d) of this clause, the Government will as defined in Federal Acquisition Regulation policies, if applicable. order from the Contractor all of its (FAR) 37.101, under which the professional (e) The Contractor shall insert the requirements in the area of performance for services rendered by the Contractor or its substance of this clause, including this the supplies and services listed in the health-care providers are rendered in its paragraph (e), in all subcontracts for health- schedule of this contract. capacity as an independent contractor. The care services under this contract. The (b) Each order will be issued as a delivery Government may evaluate the quality of Contractor shall be responsible for order and will list— professional and administrative services compliance by any subcontractor or lower- (1) The supplies or services being ordered; provided but retains no control over tier subcontractor with the provisions set (2) The quantities to be furnished; professional aspects of the services rendered forth in paragraph (a) of this clause. At least (3) Delivery or performance dates; including, by example, the Contractor’s or its 5 days before the commencement of work by (4) Place of delivery or performance; health-care providers’ professional medical any subcontractor, the Contractor shall (5) Packing and shipping instructions; judgment, diagnosis, or specific medical furnish to the Contracting Officer evidence of (6) The address to send invoices; and treatments. The Contractor and its health- such insurance. (7) The funds from which payment will be care providers shall be liable for their (End of clause) made. liability-producing acts or omissions. The (c) The Government may elect not to order Contractor shall maintain or require all ■ 46. Section 852.237–71 is added to supplies and services under this contract in health-care providers performing under this read as follows:

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852.237–71 Nonsmoking Policy for Crime Control Act—Requirement for the Contractor voluntarily diverting any of Children’s Services. Background Checks (Oct 2019) the specified individuals to other programs or contracts the Contractor shall notify the As prescribed in 837.403–70(b), insert (a) Public Law 101–647, also known as the Contracting Officer and shall submit a the following clause: Crime Control Act of 1990 (Act), requires that justification for the diversion or replacement all individuals involved with the provision of and a request to replace the individual. The Nonsmoking Policy for Children’s child care services, as defined in the Act, to Services (Oct 2019) request must identify the proposed children under the age of 18 undergo a replacement and provide an explanation of (a) Smoking in facilities where certain criminal background check. how the replacement’s skills, experience, and federally funded children’s services are (b) The Contracting Officer will provide the credentials meet or exceed the requirements provided shall be prohibited. The Pro- necessary information to the Contractor of the contract. If the employee of the Children Act of 2001 (20 U.S.C. 7181–7183) regarding the process for obtaining the Contractor is terminated for cause or prohibits smoking within any indoor facility background check. The Contractor may hire separates from the contractor voluntarily (or portion thereof), whether owned, leased, a staff person provisionally prior to the with less than thirty days notice, the or contracted for, that is used for the routine completion of a background check, if at all Contractor shall provide the maximum notice or regular provision of health or day care times prior to the receipt of the background practicable under the circumstances. The services that are provided to children under check during which children are in the care Contractor shall not divert, replace, or the age of 18. The statutory prohibition also of the newly-hired person, the person is announce any such change to key personnel applies to indoor facilities that are within the sight and under the supervision of without the written consent of the constructed, operated, or maintained with a previously investigated staff person. Contracting Officer. The contract will be Federal funds. (c) The Contractor shall comply with the modified to add or delete key personnel as (b) By acceptance of this contract or order, requirements of the Act. The Act also applies necessary to reflect the agreement of the the Contractor agrees to comply with the to all applicable subcontracts awarded under parties. requirements of the Act. The Act also applies the contract. Accordingly, the Contractor (End of clause) shall ensure that each of its employees, and to all subcontracts awarded under this ■ any subcontractor staff, is made aware of, 51. Section 852.237–76 is added to contract for the specified children’s services. read as follows: Accordingly, the Contractor shall ensure that understands, and complies with the provisions of the Act. each of its employees, and any subcontractor 852.237–76 Award to Single Offeror. (End of clause) staff, is made aware of, understands, and As prescribed in 837.7001(a)(1), insert ■ complies with the provisions of the Act. 49. Section 852.237–74 is added to the following provision: Failure to comply with the Act may result in read as follows: the imposition of a civil monetary penalty in Award to Single Offeror (Oct 2019) an amount not to exceed $1,000 for each 852.237–74 Non-Discrimination in Service violation and/or the imposition of an Delivery. (a) Award shall be made to a single offeror. administrative compliance order on the As prescribed in 837.110–70(a), the (b) Offerors shall include unit prices for each item. Failure to include unit prices for responsible entity. Each day a violation Contracting Officer shall insert the continues constitutes a separate violation. each item will be cause for rejection of the following clause in solicitations and entire offer. (End of clause) contracts: (c) The Government will evaluate offers on ■ 47. Section 852.237–72 is added to Non-Discrimination in Service Delivery the basis of the estimated quantities shown. read as follows: (d) Award will be made to that responsive, (Oct 2019) responsible offeror whose total aggregate 852.237–72 Crime Control Act—Reporting It is the policy of the Department of offer is the lowest price to the Government. of Child Abuse. Veterans Affairs that no person otherwise (End of provision) eligible will be excluded from participation As prescribed in 837.403–70(c), insert Alternate I (OCT 2019). As prescribed the following clause: in, denied the benefits of, or subjected to discrimination in the administration of VA in 837.7001(a)(2), insert the following Crime Control Act—Reporting of Child programs and services based on non-merit paragraph (d) in lieu of paragraph (d) of Abuse (Oct 2019) factors such as race, color, national origin, the basic provision: religion, sex, gender identity, sexual (d) Award will be made to that (a) Public Law 101–647, also known as the orientation, or disability (physical or mental). responsive, responsible offeror whose Crime Control Act of 1990 (Act), imposes By acceptance of this contract, the Contractor total aggregate offer is in the best responsibilities on certain individuals who, agrees to comply with this policy in while engaged in a professional capacity or interest of the Government. supporting the program and in performing ■ 52. Section 852.237–77 is added to activity, as defined in the Act, on Federal the services called for under this contract. land or in a federally-operated (or contracted) The Contractor shall include this clause in all read as follows: facility, learn of facts that give the individual subcontracts awarded under this contract for 852.237–77 Area of Performance. reason to suspect that a child has suffered an supporting or performing the specified incident of child abuse. program and services. Accordingly, the As prescribed in 837.7001(b)(1), insert (b) The Contractor shall comply with the Contractor shall ensure that each of its the following clause: requirements of the Act. The Act also applies employees, and any subcontractor staff, is Area of Performance (Oct 2019) to all applicable subcontracts awarded under made aware of, understands, and complies this contract. Accordingly, the Contractor with this policy. (a) The area of performance is as specified shall ensure that each of its employees, and (End of clause) in the contract. any subcontractor staff, is made aware of, ■ (b) The Contractor shall take possession of understands, and complies with the 50. Section 852.237–75 is added to the remains at the place where they are provisions of the Act. read as follows: located, transport them to the Contractor’s (End of clause) 852.237–75 Key Personnel. place of preparation, and later transport them ■ 48. Section 852.237–73 is added to to a place designated by the Contracting As prescribed in 837.110–70(b), insert Officer. read as follows: the following clause: (c) The Contractor will not be reimbursed 852.237–73 Crime Control Act— Key Personnel (Oct 2019) for transportation when both the place where Requirement for Background Checks. the remains were located and the delivery The key personnel specified in this point are within the area of performance. As prescribed in 837.403–70(d), insert contract are considered to be essential to (d) If remains are located outside the area the following clause: work performance. At least 30 days prior to of performance, the Contracting Officer may

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place an order with the Contractor under this all necessary health department permits are solicitations and contracts for vocational contract or may obtain the services in order for disposition of the remains. rehabilitation and employment services elsewhere. If the Contracting Officer requires (End of clause) as they pertain to training and the Contractor to transport the remains into ■ 56. Section 852.249–70 is added to rehabilitation services and contracts for the area of performance, the Contractor shall be paid the amount per mile in the schedule read as follows: counseling services: (1) 852.271–72, Time Spent by for the number of miles required to transport 852.249–70 Termination for Default— the remains by a reasonable route from the Supplement for Mortuary Services. Counselee in Counseling Process. point where located to the boundary of the (2) 852.271–73, Use and Publication As prescribed in 849.504–70, insert area of performance. of Counseling Results. (e) The Contracting Officer may require the the following clause: (3) 852.271–74, Inspection. Contractor to deliver remains to any point Termination for Default—Supplement (4) 852.271–75, Extension of Contract within 100 miles of the area of performance. for Mortuary Services (Oct 2019) Period. In this case, the Contractor shall be paid the (b) See 837.110–70(a) for clause amount per mile in the schedule for the The clause entitled ‘‘Default’’ in FAR number of miles required to transport the 52.249–8, is supplemented as follows: 852.237–74, Non-Discrimination in remains by a reasonable route from the The Contracting Officer may terminate this Service Delivery. boundary of the area of performance to the contract for default by written notice without [FR Doc. 2019–17824 Filed 9–3–19; 8:45 am] delivery point. the ten-day notice required by paragraph BILLING CODE 8320–01–P (a)(2) of the Default clause if— (End of clause) (a) The Contractor, through circumstances ■ 53. Section 852.237–78 is added to reasonably within its control or that of its read as follows: employees, performs any act under or in DEPARTMENT OF COMMERCE connection with this contract, or fails in the 852.237–78 Performance and Delivery. performance of any service under this National Oceanic and Atmospheric As prescribed in 837.7001(b)(2), insert contract and the act or failures may Administration the following clause: reasonably be considered to reflect discredit upon the Department of Veteran Affairs in 50 CFR Part 679 Performance and Delivery (Oct 2019) fulfilling its responsibility for proper care of remains; [Docket No. 180831813–9170–02] (a) The Contractor shall furnish the (b) The Contractor, or its employees, material ordered and perform the services solicits relatives or friends of the deceased to RIN 0648–XY018 specified as promptly as possible, but not purchase supplies or services not under this later than 36 hours after receiving contract. (The Contractor may furnish Fisheries of the Exclusive Economic notification to remove the remains, excluding supplies or arrange for services not under Zone Off Alaska; Pacific Cod by Trawl the time necessary for the Government to this contract, only if representatives of the Catcher Vessels in the Central inspect and check results of preparation. deceased voluntarily request, select, and pay Regulatory Area of the Gulf of Alaska (b) The Government may, at no additional for them.); charge, require the Contractor to hold the (c) The services or any part of the services AGENCY: National Marine Fisheries remains for an additional period not to are performed by anyone other than the Service (NMFS), National Oceanic and exceed 72 hours from the time the remains Contractor or the Contractor’s employees Atmospheric Administration (NOAA), are casketed and final inspection is without the written authorization of the completed. Contracting Officer; Commerce. (End of clause) (d) The Contractor refuses to perform the ACTION: Temporary rule; closure. ■ services required for any particular remains; 54. Section 852.237–79 is added to or SUMMARY: NMFS is prohibiting directed read as follows: (e) The Contractor mentions or otherwise fishing for Pacific cod by catcher vessels 852.237–79 Subcontracting. uses this contract in its advertising in any using trawl gear in the Central way. Regulatory Area of the Gulf of Alaska As prescribed in 837.7001(b)(3), insert (End of clause) (GOA). This action is necessary to the following clause: prevent exceeding the annual allowance 852.271–70 [Removed and Reserved] Subcontracting (Oct 2019) of the 2019 Pacific cod total allowable ■ 57. Section 852.271–70 is removed catch apportioned to trawl catcher The Contractor shall not subcontract any and reserved. work under this contract without the vessels in the Central Regulatory Area of the GOA. Contracting Officer’s written approval. This PART 871—LOAN GUARANTY AND clause does not apply to contracts of VOCATIONAL REHABILITATION AND DATES: Effective 1200 hours, Alaska employment between the Contractor and its EMPLOYMENT PROGRAMS local time (A.l.t.), September 1, 2019, personnel. through 2400 hours, A.l.t., December 31, (End of clause) ■ 58. The authority citation for part 871 2019. ■ 55. Section 852.237–80 is added to continues to read as follows: FOR FURTHER INFORMATION CONTACT: read as follows: Authority: 40 U.S.C. 121(c); 41 U.S.C. Obren Davis, 907–586–7228. 1121(c)(3); 41 U.S.C. 1702; and 48 CFR SUPPLEMENTARY INFORMATION: NMFS 852.237–80 Health Department and 1.301–1.304. Transport Permits. manages the groundfish fishery in the GOA exclusive economic zone As prescribed in 837.7001(b)(4), insert Subpart 871.2—Vocational according to the Fishery Management the following clause: Rehabilitation and Employment Plan for Groundfish of the Gulf of Service Health Department and Transport Alaska (FMP) prepared by the North Permits (Oct 2019) ■ 59. Section 871.212 is revised to read Pacific Fishery Management Council The Contractor shall meet all State and as follows: under authority of the Magnuson- local licensing requirements and obtain and Stevens Fishery Conservation and furnish all necessary health department and 871.212 Contract clauses. Management Act. Regulations governing shipping permits at no additional cost to the (a) Contracting officers shall use the fishing by U.S. vessels in accordance Government. The Contractor shall ensure that following clauses, as appropriate, in with the FMP appear at subpart H of 50

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CFR part 600 and 50 CFR part 679. The AA also finds good cause to with the FMP appear at subpart H of 50 Regulations governing sideboard waive the 30-day delay in the effective CFR part 600 and 50 CFR part 679. protections for GOA groundfish date of this action under 5 U.S.C. Regulations governing sideboard fisheries appear at subpart B of 50 CFR 553(d)(3). This finding is based upon protections for GOA groundfish part 680. the reasons provided above for waiver of fisheries appear at subpart B of 50 CFR The annual allowance of the 2019 prior notice and opportunity for public part 680. Pacific cod total allowable catch (TAC) comment. The 2019 Pacific cod total allowable apportioned to trawl catcher vessels in This action is required by § 679.20 catch (TAC) apportioned to catcher the Central Regulatory Area of the GOA and is exempt from review under vessels using hook-and-line gear in the not participating in the cooperative Executive Order 12866. Western Regulatory Area of the GOA is fishery of the Rockfish Program is 2,148 Authority: 16 U.S.C. 1801 et seq. 73 metric tons (mt), as established by metric tons (mt), as established by the the final 2019 and 2020 harvest Dated: August 29, 2019. final 2019 and 2020 harvest specifications for groundfish of the GOA specifications for groundfish of the GOA Jennifer M. Wallace, (84 FR 9416, March 14, 2019). (84 FR 9416, March 14, 2019). Acting Director, Office of Sustainable In accordance with § 679.20(d)(1)(i), Fisheries, National Marine Fisheries Service. In accordance with § 679.20(d)(1)(i), the Administrator, Alaska Region, the Administrator, Alaska Region, [FR Doc. 2019–19045 Filed 8–29–19; 4:15 pm] NMFS (Regional Administrator) has NMFS (Regional Administrator) has BILLING CODE 3510–22–P determined that the 2019 Pacific cod determined that the annual allowance of TAC apportioned to catcher vessels the 2019 Pacific cod TAC apportioned using hook-and-line gear in the Western to trawl catcher vessels in the Central DEPARTMENT OF COMMERCE Regulatory Area of the GOA will soon Regulatory Area of the GOA is necessary be reached. Therefore, the Regional to account for the incidental catch in National Oceanic and Atmospheric Administrator is establishing a directed other anticipated fisheries. Therefore, Administration fishing allowance of 20 mt and is setting the Regional Administrator is aside the remaining 53 mt as bycatch to establishing a directed fishing 50 CFR Part 679 support other anticipated groundfish allowance of 0 mt and is setting aside [Docket No. 180831813–9170–02] the remaining 2,148 mt as bycatch to fisheries. In accordance with support other anticipated groundfish RIN 0648–XY014 § 679.20(d)(1)(iii), the Regional fisheries. In accordance with Administrator finds that this directed § 679.20(d)(1)(iii), the Regional Fisheries of the Exclusive Economic fishing allowance has been reached. Administrator finds that this directed Zone Off Alaska; Pacific Cod by Consequently, NMFS is prohibiting fishing allowance has been reached. Catcher Vessels Using Hook-and-Line directed fishing for Pacific cod by Consequently, NMFS is prohibiting Gear in the Western Regulatory Area of catcher vessels using hook-and-line gear directed fishing for Pacific cod by the Gulf of Alaska in the Western Regulatory Area of the GOA. While this closure is effective the catcher vessels using trawl gear in the AGENCY: National Marine Fisheries maximum retainable amounts at Central Regulatory Area of the GOA. Service (NMFS), National Oceanic and While this closure is effective the § 679.20(e) and (f) apply at any time Atmospheric Administration (NOAA), during a trip. maximum retainable amounts at Commerce. § 679.20(e) and (f) apply at any time ACTION: Temporary rule; closure. Classification during a trip. This closure does not This action responds to the best apply to fishing by vessels participating SUMMARY: NMFS is prohibiting directed in the cooperative fishery of the fishing for Pacific cod by catcher vessels available information recently obtained Rockfish Program for the Central GOA. using hook-and-line gear in the Western from the fishery. The Assistant Administrator for Fisheries, NOAA Classification Regulatory Area of the Gulf of Alaska (GOA). This action is necessary to (AA), finds good cause to waive the This action responds to the best prevent exceeding the 2019 Pacific cod requirement to provide prior notice and available information recently obtained total allowable catch apportioned to opportunity for public comment from the fishery. The Assistant catcher vessels using hook-and-line gear pursuant to the authority set forth at 5 Administrator for Fisheries, NOAA in the Western Regulatory Area of the U.S.C. 553(b)(B) as such requirement is (AA), finds good cause to waive the GOA. impracticable and contrary to the public requirement to provide prior notice and interest. This requirement is opportunity for public comment DATES: Effective 1200 hours, Alaska impracticable and contrary to the public pursuant to the authority set forth at 5 local time (A.l.t.), September 1, 2019, interest as it would prevent NMFS from U.S.C. 553(b)(B) as such requirement is through 2400 hours, A.l.t., December 31, responding to the most recent fisheries impracticable and contrary to the public 2019. data in a timely fashion and would interest. This requirement is FOR FURTHER INFORMATION CONTACT: delay the directed fishing closure of impracticable and contrary to the public Obren Davis, 907–586–7228. Pacific cod by catcher vessels using interest as it would prevent NMFS from SUPPLEMENTARY INFORMATION: NMFS hook-and-line gear in the Western responding to the most recent fisheries manages the groundfish fishery in the Regulatory Area of the GOA. NMFS was data in a timely fashion and would GOA exclusive economic zone unable to publish a notice providing delay the directed fishing closure of according to the Fishery Management time for public comment because the Pacific cod by catcher vessels using Plan for Groundfish of the Gulf of most recent, relevant data only became trawl gear in the Central Regulatory Alaska (FMP) prepared by the North available as of August 28, 2019. Area of the GOA. NMFS was unable to Pacific Fishery Management Council The AA also finds good cause to publish a notice providing time for under authority of the Magnuson- waive the 30-day delay in the effective public comment because the most Stevens Fishery Conservation and date of this action under 5 U.S.C. recent, relevant data only became Management Act. Regulations governing 553(d)(3). This finding is based upon available as of August 28, 2019. fishing by U.S. vessels in accordance the reasons provided above for waiver of

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prior notice and opportunity for public This action is required by § 679.20 Dated: August 29, 2019. comment. and is exempt from review under Jennifer M. Wallace, Executive Order 12866. Acting Director, Office of Sustainable Authority: 16 U.S.C. 1801 et seq. Fisheries, National Marine Fisheries Service. [FR Doc. 2019–19046 Filed 8–29–19; 4:15 pm] BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 84, No. 171

Wednesday, September 4, 2019

This section of the FEDERAL REGISTER are hand delivered or couriered. In link in the footer of http:// contains notices to the public of the proposed addition, we will not accept any www.regulations.gov. issuance of rules and regulations. The comments that are on removable media Docket: For access to the docket, go to purpose of these notices is to give interested (e.g. thumb drives, CDs, etc.). All http://www.regulations.gov and enter persons an opportunity to participate in the comments that are mailed must be this rulemaking’s eDocket number: rule making prior to the adoption of the final USCIS–2019–0006. rules. addressed as specifically written above. FOR FURTHER INFORMATION CONTACT: II. Background Brian J. Hunt, Acting Chief, Business & DHS is proposing to amend its DEPARTMENT OF HOMELAND Foreign Workers Division, Office of regulations to charge potential SECURITY Policy & Strategy, U.S. Citizenship and petitioners a fee for each registration Immigration Services, Department of submitted for the H–1B cap selection 8 CFR Part 103 Homeland Security, 20 Massachusetts process. Proposed 8 CFR Avenue NW, Washington, DC 20529– [CIS No. 2645–19; DHS Docket No. USCIS– 103.7(b)(1)(i)(NNN). On January 31, 2140, telephone (202) 272–8377. 2019–0006] 2019, DHS published a final rule SUPPLEMENTARY INFORMATION: requiring petitioners seeking to file H– RIN 1615–AC36 Table of Contents 1B cap-subject petitions, including those eligible for the advanced degree Registration Fee Requirement for I. Public Participation Petitioners Seeking To File H–1B exemption, to first electronically register II. Background with USCIS during a designated Petitions on Behalf of Cap Subject III. Legal Authority Aliens IV. Proposed Fee registration period, unless the V. Statutory and Regulatory Reviews requirement is suspended (‘‘H–1B AGENCY: U.S. Citizenship and A. Executive Orders 12866 and 13563 registration final rule’’).1 The H–1B Immigration Services, DHS. (Regulatory Planning and Review) registration final rule amended DHS ACTION: Notice of proposed rulemaking. B. Regulatory Flexibility Act regulations to codify the new C. Other Regulatory Requirements registration requirement. See 8 CFR SUMMARY: The Department of Homeland D. Expedited Comment Period 214.2(h)(8)(iii)(A)(1). USCIS stated in Security (DHS) is proposing to amend E. Paperwork Reduction Act the H–1B registration final rule that it its regulations to require petitioners I. Public Participation was suspending the registration seeking to file H–1B cap-subject requirement for the fiscal year 2020 cap petitions to pay a $10 fee for each DHS invites all interested parties to season to complete required user testing registration they submit to U.S. participate in this rulemaking by of the new H–1B registration system and Citizenship and Immigration Services submitting written data, views, or otherwise ensure the system and (USCIS) for the H–1B cap selection arguments on all aspects of this process work correctly. process. proposed rule. Comments providing the Once USCIS implements the system most assistance to DHS will reference a and requires registration, USCIS will not DATES: Written comments must be specific portion of the proposed rule, consider an H–1B cap-subject petition to submitted on this rule on or before explain the reason for any be properly filed unless it is based on October 4, 2019. Comments on the recommended change, and include data, a valid registration selection for the Paperwork Reduction Act section of this information, or authority that supports applicable fiscal year. See 8 CFR rule (the information collections the recommended change. 214.2(h)(8)(iii)(A)(1) and (h)(8)(iii)(D). discussed therein) must be received on Instructions: All submissions should USCIS will reject or deny H–1B cap- or before November 4, 2019. include the agency name and DHS subject petitions that are not properly ADDRESSES: You may submit comments, Docket No. USCIS–2019–0006 for this filed. 8 CFR 214.2(h)(8)(iii)(D). identified by DHS Docket No. USCIS– rulemaking. Providing comments is 2019–0006, by one of the following entirely voluntary. Regardless of how III. Legal Authority methods: comments are submitted to DHS, all The Immigration and Nationality Act • Federal eRulemaking Portal: http:// submissions will be posted, without (INA) authorizes DHS to establish and www.regulations.gov. Follow this site’s change, to the Federal eRulemaking collect fees for adjudication and instructions for submitting comments. Portal at http://www.regulations.gov and naturalization services to ‘‘ensure • Mail: Samantha Deshommes, Chief, will include any personal information recovery of the full costs of providing all Regulatory Coordination Division, provided by commenters. Because the such services, including the costs of Office of Policy and Strategy, U.S. information submitted will be publicly similar services provided without Citizenship and Immigration Services, available, commenters should consider charge to asylum applicants or other Department of Homeland Security, 20 limiting the amount of personal immigrants.’’ INA section 286(m), 8 Massachusetts Avenue NW, Mailstop information provided in each U.S.C. 1356(m). Through the collection #2140, Washington, DC 20529–2140. To submission. DHS may withhold of fees established under that authority, ensure proper handling, please information provided in comments from USCIS is primarily funded by reference DHS Docket No. USCIS–2019– public viewing if it determines that such immigration and naturalization fees 0006 in your correspondence. Mail must information is offensive or may affect charged to applicants, petitioners, and be postmarked by the comment the privacy of an individual. For other requestors. See INA sections submission deadline. Please note that additional information, please read the we will not accept any comments that Privacy Act notice available through the 1 See 84 FR 888 (Jan. 31, 2019).

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286(m) and (n), 8 U.S.C. 1356(m) and specific policy objectives.4 However, to the government. DHS estimated that (n); 8 CFR 103.7(b)(1)(i) (USCIS fees). when DHS creates new USCIS programs H–1B registration will save an estimated Fees collected from individuals and through separate rulemakings that $1.6 million annually when it is entities filing immigration benefit require adjudication resources, a fee is required.5 USCIS will, however, have to requests are deposited into the necessary to recover the costs of those expend a total of about $1.5 million on Immigration Examinations Fee Account resources even where the exact costs are the initial development of the (IEFA) and used to fund the cost of difficult to estimate until the program is registration website. This cost to the processing immigration benefit operational. For example, DHS created government is considered a one-time requests.2 Consistent with that authority the Application for Provisional cost. At the time, DHS recognized that and USCIS’s reliance on fees for its Unlawful Presence Waiver, Form I– there may be a need to recover the costs funding, DHS is proposing a fee for 601A, and established the filing fee for of processing registrations as well as submitting H–1B registrations. the Form I–601A as the same fee as recover costs of building, operating, and USCIS Form I–601, Application for maintaining the registration system or IV. Proposed Fee Waiver of Ground of Inadmissibility, costs from refining the registration DHS is proposing a $10 fee for each because the adjudication time required system in the future. See 84 FR 888, registration submitted to register for the for both forms was thought to be the 903. DHS was not able to estimate these H–1B cap selection process. Proposed 8 same. See, e.g., 77 FR 19902–01, at additional maintenance costs. Even if CFR 103.7(b)(1)(i)(NNN). DHS 19910 (Apr. 2, 2012). The actual burden USCIS were not to collect the fee regulations require petitioners seeking of the Form I–601A adjudication was proposed in this rule, it would to file H–1B petitions subject to the unknown because the program had not anticipate a net savings from the regular cap, including those eligible for been implemented. Similarly, when removal of costs associated with the the advanced degree exemption, to first DHS established the fee for the management of the large volume of electronically register with USCIS Application for Entrepreneur Parole, paper filings. USCIS continues to during a designated registration period, Form I–941, to recover the anticipated anticipate those cost savings. Regardless unless the registration requirement is processing costs to USCIS, the fee was of the net benefits provided by the suspended. See 8 CFR based on burden estimates and registration system over the current 214.2(h)(8)(iii)(A)(1). When registration workload forecast provided by USCIS’ process, USCIS will still incur costs is required, an H–1B cap-subject subject matter experts. See, 81 FR directly from operating the registration petition must be based on a selected 60130–68, at 60159 fn. 93 (Aug. 31, system. USCIS expects this $10 fee to registration for the named beneficiary 2016) (providing that the fee would be help offset the startup costs, such as for the applicable fiscal year to be adjusted in the future based on the building the information technology considered properly filed. 8 CFR actual average completion rate). DHS is platform. USCIS will not achieve the 214.2(h)(8)(iii)(A)(1) and (h)(8)(iii)(D). also not establishing the H–1B expected savings from the registration Because USCIS operations are funded registration fee using the same method requirement during the implementation by fees collected for adjudication and that it uses to establish the overall period, but USCIS will realize those naturalization services, and USCIS must USCIS fee schedule because, as with savings in later years. expend resources to implement and any totally new program, the costs of the The H–1B registration final rule also maintain the registration system, DHS is registration program are difficult to estimated that the H–1B registration proposing a fee for submitting H–1B project. Infrastructure investments process will result in an average registrations to recover those costs. generally, including information undiscounted cost savings for all Generally, DHS sets USCIS fees based technology platforms, usually serve unselected petitioners ranging from on the revenue needed to recover the multiple programs and functions across $42.7 million to $66.8 million annually, full cost of all USCIS operations, absent all business needs for USCIS. Those depending on who petitioners use to any known Congressional types of investments are not tracked as submit the registration.6 In contrast, the appropriations. See generally 81 FR costs of a specific benefit request. In this H–1B registration final rule determined 73292 (Oct. 24, 2016). DHS establishes case, the H–1B Registration system will there would not be cost savings for not be a totally separate system and will IEFA fees by using a USCIS activity- petitioners whose registrations were be established within a platform that based cost model for assigning all selected; rather these petitioners would supports other USCIS functions. projected IEFA costs to specific benefit experience new opportunity costs Nevertheless, as explained below, DHS requests in a manner reasonably ranging from between $6.2 million to knows that the registration program will consistent with OMB Circular A–25. See $10.3 million annually due to the require USCIS to incur certain costs and OMB Circular A–25, User Charges registration requirement.7 In this burdens for iterative development, (Revised), para. 6, 58 FR 38142 (July 15, proposed rule’s Executive Order (E.O.) correcting problems, handling help desk 1993). USCIS costs that are not 12866 analysis, DHS estimates that the calls, and adding or maintaining attributed to a specific adjudication and proposed $10 registration fee infrastructure. Therefore, DHS is naturalization service are distributed requirement would impose annual costs authorized by INA section 286(m), 8 among all fees.3 DHS then makes to registrants ranging from $2.3 million U.S.C. 1356(m), to recover these costs additional adjustments to effectuate to $2.6 million, depending on who through a fee. petitioners use to submit the The H–1B registration final rule 2 See 81 FR 26904, 26905 (May 4, 2016). estimated that the H–1B registration 3 The USCIS model for IEFA fee calculations 5 See 84 FR 888, 890. distributes indirect costs. Costs that are not process will be an overall cost savings 6 Unselected petitioners are those who submitted assigned to specific fee-paying immigration benefit registrations but whose petitions were not selected requests are reallocated to other fee-paying 4 DHS may reasonably adjust fees based on value toward the regular cap or toward the advanced immigration benefit requests outside the model. For judgments and public policy reasons where a degree exemption. See 84 FR at 940. Note: example, the model determines the direct and rational basis for the methodology is propounded in Following publication of the H–1B registration final indirect costs for refugee workload. The costs the rulemaking. See FCC v. Fox Television Stations, rule, USCIS recognized a calculation error. The cost associated with services provided for free, such as Inc., 556 U.S. 502, 515 (2009); Motor Vehicle Mfrs. figures referenced in the paragraph above are the the refugee workload, are reallocated outside the Ass’n v. State Farm Mut. Auto. Ins. Co., 463 U.S. corrected cost savings. model to fee-paying immigration benefit requests. 29 (1983). 7 See 84 FR at 938.

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registration. The total costs to would be recurring costs every year, other IEFA fee revenue. While DHS does petitioners for each registration would such as information technology not know if the proposed $10 fee will range from $15.63 to $30.80 for a purchases, maintenance, and fully fund the recurring costs of H–1B registration, depending on who the administrative costs. Administrative registration, we believe that proposing a petitioner uses to submit the costs will include costs to implement small fee is better than funding the registration. Therefore, DHS the requirement that USCIS select a reoccurring costs with revenue from acknowledges that the proposed $10 fee sufficient number of registrations, based other fees. for H–1B registrations would result in a on USCIS projections, for beneficiaries The U.S. Government Accountability marginal increase in costs for selected on whose behalf petitions will be filed Office (GAO), an independent, petitioners, and that the costs for such under the H–1B regular cap or those nonpartisan agency that works for petitioners estimated in the H–1B who may be eligible for the advanced Congress, describes equity of federal registration final rule would now range degree exemption from the submitted user fees 17 as a balancing act between from $8.5 million to $12.9 million,8 registrations. The selection process also two principles: depending on who petitioners use to includes administrative costs associated • Beneficiary-pays; and submit the registration. Likewise, the with monitoring the system for potential • Ability-to-pay. costs savings for unselected petitioners fraud and abuse (e.g. monitoring the Under the beneficiary-pays principle, estimated in the H–1B registration final system to determine if employers are the beneficiaries of a service pay for the rule would decrease and now range submitting many registrations but filing cost of providing that service. If the from $40.4 million to $64.2 million.9 petitions based on selected registrations general public benefits from the service, However, the H–1B registration process, at a significantly lower rate, which then taxes should pay for it. If a small even with the costs associated with the could reflect gaming of the system to subset of people benefit, then users proposed registration fee requirement,10 unfairly improve their odds of being should pay a fee for it. See GAO–08– would still result in net estimated cost selected). The selection processes for 386SP at pg. 7–12. savings for all unselected petitioners. the regular cap and the advanced degree Under the ability-to-pay principle, Again, there are expected to be both exemption may occur multiple times in those who are more capable of bearing initial start-up costs and recurring costs a fiscal year, depending on how many the burden of fees should pay more for associated with the registration process. of the selected registrants file the service than those with less ability DHS intends for the registration system petitions.13 The proposed $10 fee would to pay. IEFA fee exemptions, fee to be ready prior to the initial recover these reoccurring costs that waivers, and reduced fees for low implementation of the H–1B registration were not included in the H–1B income households adhere to this process, which may be as soon as the H– registration final rule. principle. See generally 8 CFR 1B cap filing season for FY 2021.11 USCIS lacks sufficient data to 103.7(b)(1), (c) (USCIS fees, exemptions These initial costs will be funded by estimate reoccurring costs for such and waivers). Applicants, petitioners, IEFA revenue from other fees. These items as associated employee salaries, and requesters who pay a fee cover the initial costs will be sunk costs that will benefits and training, hardware updates, cost of processing requests that are fee- 14 not reoccur annually.12 and software maintenance. Therefore, exempt, fee-waived, or fee-reduced. In addition to the estimated costs in DHS is proposing a $10 fee that would DHS believes the proposed $10 the H–1B registration final rule, there provide revenue to mitigate potential registration fee adheres to both of these 15 fiscal effects on USCIS. DHS estimated user fee principles. Because this fee is 8 Calculations: $6.2 million (cost to selected 192,918 H–1B cap-subject registrations designed to offset costs occurring with 16 petitioner, lower bound) + $2.3 million (total costs annually. The proposed $10 fee the new H–1B registration process, of added registration fee, lower bound) = $8.5 accordingly would generate $1,929,180 applying this fee at the point-of- million (cost for selected petitioner with added $10 in revenue. This registration revenue registration fee, lower bound). $10.3 million (cost registration on a per registration basis to selected petitioner, upper bound) + $2.6 million would avoid funding the process with ensures that the fee is incurred by users (total costs of added registration fee, upper bound) specifically benefitting from the use of = $12.9 million (cost for selected petitioner with 13 The H–1B registration final rule recognizes that the registration system—the beneficiary added $10 registration fee, upper bound). some selected registrants might not ultimately file 9 Calculations: $42.7 million (savings to petitions. See 84 FR 888, 906. The final rule, pays principle. DHS also believes that a unselected petitioner, lower bound)¥$2.3 million therefore, provides that unselected registrations will $10 registration fee adheres to the (total costs of added registration fee, lower bound) remain on reserve in the system for the applicable ability-to-pay-principle because H–1B = $40.4 million (savings for unselected petitioner fiscal year. See 8 CFR 214.2(h)(8)(iii)(A)(7). If USCIS petitioners have demonstrated an ability with added $10 registration fee, lower bound). determines that it needs to increase the number of $66.8 million (savings to unselected petitioner, registrations projected to meet the H–1B regular cap and willingness to incur significant upper bound)¥$2.6 million (total costs of added or advanced degree exemption allocation, and filing fees to petition for H–1B registration fee, upper bound) = $64.2 million select additional registrations, USCIS would select nonimmigrant workers. H–1B (savings for unselected petitioner with added $10 from among the registrations that are on reserve a petitioners currently pay a $460 filing registration fee, upper bound). sufficient number to meet the revised projection(s) 10 As explained later in the preamble, based on or re-open the registration period if additional fee per petition. In addition to the filing 2016 filings, every unique petitioning employer registrations are needed to meet the revised fee, certain H–1B petitions may have to files requests for an average of slightly less than 5 projection(s). Id. pay up to $6,000 in statutory fees. DHS H–1B cap-subject workers. The average petitioning 14 The H–1B registration process was recently does not have the authority to adjust the employer therefore would incur fee costs of established. See 84 FR 888 (Jan. 31, 2019). While approximately $50 as a result of this proposed rule. the rule went into effect on April 1, 2019, the amount of these statutory fees. USCIS 11 In the H–1B Registration final rule, DHS implementation of the registration process has been does not keep most of the revenue. CBP indicated that it is suspending the H–1B registration suspended for FY 2020 to allow USCIS to make receives 50 percent of the $4,000 9–11 process for FY 2020, and indicated that it will modifications and fully test the electronic H–1B Response and Biometric Entry-Exit fee publish a notice in the Federal Register in advance registration system. and the remaining 50 percent is of the cap season in which it will first implement 15 Commenters on the proposed rule stated that the H–1B registration process. 84 FR at 889. they were concerned that the system would be deposited into the General Fund of the 12 In the H–1B Registration final rule, DHS flooded by frivolous registrations. See 84 FR 899. indicated that USCIS will have to expend a total of Thus, while the purpose of the fee is to recover the 17 U.S. Government Accountability Office, about $1.5 million in the initial development of the costs of the system, the registration fee may have Federal User Fees: A Design Guide (May 29, 2008), registration website. This cost to the government is an added benefit of deterring frivolous registrations. available from https://www.gao.gov/products/GAO- considered a one-time cost. See 84 FR 888. 16 See 84 FR at 925. 08-386SP, visited Mar. 14, 2019.

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Treasury. USCIS retains 5 percent of the necessary, to select regulatory the proposed registration fee is $1,500 or $750 American approaches that maximize net benefits finalized, DHS would consider the costs Competitiveness and Workforce (including potential economic, associated with the system as required Improvement Act (ACWIA) fee. The environmental, public health and safety during biennial fee reviews and adjust remainder goes to the Department of effects, distributive impacts, and the registration fee accordingly via Labor and the National Science equity). Executive Order 13563 notice-and-comment rulemaking. Foundation. USCIS keeps one third of emphasizes the importance of the $500 Fraud Detection and quantifying both costs and benefits, of 2. Analysis of Costs and Benefits Prevention fee, while the remainder is reducing costs, of harmonizing rules, When registration is required, all split between the Department of State and of promoting flexibility. petitioners seeking to file an H–1B cap- and the Department of Labor. These The Office of Information and subject petition, including those eligible statutory fees are in addition to the Regulatory Affairs (OIRA) has for the advanced degree exemption, current Form I–129 fee of $460 and designated this rule a ‘‘significant must first electronically register with optional premium processing fee of regulatory action’’—although not an USCIS during a designated registration $1,410.18 Given the significant amount economically significant regulatory period. A separate registration must be of fees H–1B petitioners already incur, action—under section 3(f) of Executive submitted for each worker on whose DHS believes that the proposed $10 Order 12866. Accordingly, OIRA has behalf a petitioner seeks to file an H–1B registration fee is de minimis and reviewed this rule. cap-subject petition. Only those consistent with the ability-to-pay- 1. Summary petitioners whose registrations are principle. DHS acknowledges that if the DHS is proposing to amend its selected will be eligible to file an H–1B proposed $10 fee is more than the cost regulations to require a fee for each cap-subject petition during an to administer the registration process, registration submitted to register for the associated filing period for the then the fee would not adhere to the H–1B cap selection process. DHS is applicable fiscal year. Under this beneficiary-pays principle. In that case, proposing a fee of $10 per registration proposed rule, each registration would the proposed $10 fee would subsidize to recover some of the costs that are require the $10 proposed registration other IEFA fees. Once the process is in associated with implementing and fee, which would be due and payable at place, USCIS will monitor registration maintaining the H–1B cap registration the time of registration submission. A volume and level of effort associated system. USCIS has suspended the registration would not be considered as with registration selection. In registration requirement for the FY 2020 properly submitted until the fee is 19 accordance with the requirements and H–1B cap selection process. DHS paid. In the analysis accompanying principles of the Chief Financial recognizes that the registration the H–1B registration final rule, DHS Officers Act (CFO Act) of 1990, 31 requirement was established to provide estimated that 192,918 H–1B cap-subject U.S.C. 901–03 and Office of efficiency savings to both USCIS and H– registrations will be submitted annually Management and Budget (OMB) 1B cap-subject petitioners associated based on 5-year historical average Form 20 Circular A–25, USCIS conducts biennial with the current paper-based petitioning I–129 petition filings. That estimate reviews of the non-statutory fees process. In the H–1B registration final will form the baseline for the analysis of deposited into the IEFA and proposes rule, DHS estimated significant cost costs associated with the $10 savings for both USCIS and those H–1B fee adjustments if necessary to ensure registration fee being proposed. As DHS petitioners. DHS stands by that analysis full cost recovery. If a registration fee is acknowledged in the H–1B registration and believes that USCIS would still reap finalized as proposed, USCIS would final rule, the use of this historical significant efficiency and cost savings evaluate the data on the registration fee average to form the baseline estimate when comparing an electronic during future biennial fee reviews to does not factor in the possibility that the registration process relative to the determine whether a fee adjustment is registration’s lower barrier to entry current paper filing process. DHS necessary to ensure full cost recovery. could result in increasing the number of acknowledges that the $10 registration registrations that USCIS receives.21 To V. Statutory and Regulatory Reviews fee would reduce some of the estimated account for this possibility, this analysis cost savings for unselected H–1B cap- A. Executive Orders 12866 (Regulatory will present a range analysis of annual subject petitioners as described in the Planning and Review), and 13563 costs up through an escalator of 30 H–1B registration final rule. As (Improving Regulation and Regulatory percent increase over the baseline discussed in the Regulatory Review Review) estimate. section, DHS does not believe that the Table 1 presents the annual, Executive Orders 12866 and 13563 proposed registration fee would undiscounted, aggregate costs associated direct agencies to assess the costs, significantly factor into the decision- with the proposed $10 registration fee benefits, and transfers of available making of potential H–1B petitioners, using a range of escalations over the alternatives, and if regulation is nor does DHS believe that the proposed baseline estimate of registrations. fee would be perceived as being cost- 18 See USCIS, H and L Filing Fees for Form I–129, prohibitive by these potential H–1B Petition for a Nonimmigrant Worker, https:// 19 See 8 CFR 103.2(a)(1) and 8 CFR www.uscis.gov/forms/h-and-l-filing-fees-form-i-129- petitioners. After the registration 214.2(h)(8)(iii)(A)(1). petition-nonimmigrant-worker (last updated/ requirement is implemented and 20 See 84 FR at 925. reviewed Feb. 20, 2018). reviewed over the coming years, and if 21 Id.

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TABLE 1—UNDISCOUNTED AGGREGATE COST ESTIMATES BY PROJECTED REGISTRATIONS

Number of Annual cost— registrations undiscounted

Baseline ...... 192,918 $1,929,180 Baseline Plus 10% ...... 212,210 2,122,100 Baseline Plus 20% ...... 231,502 2,315,020 Baseline Plus 30% ...... 250,793 2,507,930

USCIS is required to review the cost worker benefits when estimating the billing rate for an outsourced lawyer.29 of its operations on a biennial basis and opportunity cost of time by calculating The monetized equivalent time burden recommend fee adjustments as a benefits-to-wage multiplier using the for 7 minutes (0.12 hours) is $5.63,30 necessary. USCIS may adjust the filing Department of Labor, BLS report $12.15,31 and $20.80 32 for an HR fees for immigration benefits and detailing the average employer costs for specialist, in-house lawyer, and services through notice-and-comment employee compensation for all civilian outsourced lawyer, respectively. rulemaking. DHS used a 5-year period of workers in major occupational groups Based on a review of historical filings, analysis to account for a potential time and industries. DHS estimates that the USCIS determined that approximately lag of the fee review and the actual benefits-to-wage multiplier is 1.46 and, 75 percent of H–1B cap-subject petitions adjustment that occurs during the therefore, is able to estimate the full are filed by an attorney or accredited rulemaking cycle. Therefore, it is opportunity cost per applicant, 33 reasonable to conclude that a 5-year including employee wages and salaries representative. This analysis will period would be a sufficient period for and the full cost of benefits such as paid carry that finding forward in estimating DHS to base the analysis of the leave, insurance, and retirement.25 DHS the time burden costs for complying estimated impact of this proposed multiplied the average hourly U.S. wage with the proposed registration fee registration fee. rate for HR specialists and lawyers by requirement. In other words, the In addition to the $10 registration fee, 1.46 to account for the full cost of analysis of time burden costs presented USCIS projects there would be a 7- employee benefits and overhead, for a assumes that 25 percent of the minute additional time burden total of $46.88 26 per hour for an HR registrations will be completed by an associated with reading the instructions specialist and $101.24 27 per hour for an HR specialist or representative, and 75 and completing the electronic fee in-house lawyer. DHS recognizes that a percent of the registrations will be payment. In the H–1B registration final firm may choose, but is not required, to completed by an attorney, either in- rule, DHS monetized time burdens outsource the preparation of these house or outsourced. Table 2 presents based on who is expected to submit the petitions and, therefore, has presented the annual, undiscounted, time burden registration: A human resource (HR) two wage rates for lawyers. To or opportunity costs associated with specialist; an in-house lawyer; or an determine the full opportunity costs if a paying the registration fee outsourced lawyer.22 The relevant wage firm hired an outsourced lawyer, DHS electronically, assuming 7 minutes of is currently $32.11 23 per hour for an HR multiplied the average hourly U.S. wage time burden, over a range of estimated specialist and $69.34 24 per hour for an rate for lawyers by 2.5 for a total of numbers of registrations and according in-house lawyer. DHS accounts for $173.35 28 to approximate an hourly to who submits the H–1B registration.

TABLE 2—ANNUAL TIME BURDEN COST (UNDISCOUNTED) BY PROJECTED REGISTRATIONS & TYPE OF SUBMITTER, ROUNDED

Number of In-house Outsourced HR Specialist 34 registrations lawyer 35 lawyer 36

Baseline ...... 192,918 $271,532 $1,757,965 $3,009,521 Baseline Plus 10% ...... 212,210 298,686 1,933,764 3,310,476 Baseline Plus 20% ...... 231,502 325,839 2,109,562 3,611,431 Baseline Plus 30% ...... 250,793 352,991 2,285,351 3,912,371

22 See 84 FR at 929. archives/ecec_12142018.pdf (viewed March 8, sound for using 2.5 as a multiplier for outsourced 23 Bureau of Labor Statistics, U.S. Department of 2019). The ECEC measures the average cost to labor wages in this rule. Labor, ‘‘Occupational Employment Statistics, May employers for wages and salaries and benefits per 30 Calculation: $46.88 hourly wage rate for HR 2018, Human Resources Specialist’’: https:// employee hour worked. specialist * 0.12 hours = $5.63. www.bls.gov/oes/2018/may/oes131071.htm. Visited 26 Calculation: $32.11 * 1.46 = $46.88 total wage 31 Calculation: $101.24 hourly wage rate for in- April 26, 2019. rate for HR specialist. house lawyer * 0.12 hours = $12.15. 24 Bureau of Labor Statistics, U.S. Department of 27 Calculation: $69.34 * 1.46 = $101.24 total wage 32 Calculation: $173.35 hourly wage rate for Labor, ‘‘Occupational Employment Statistics, May rate for in-house lawyer. outsourced lawyer * 0.12 hours = $20.80. 2017, Lawyers’’: https://www.bls.gov/oes/2018/ 28 33 may/oes231011.htm. Visited April 26, 2019. Calculation: $69.34 * 2.5 = $173.35 total wage See 84 FR at 925. rate for an outsourced lawyer. 34 25 The benefits-to-wage multiplier is calculated as Calculation: Number of Registrations * 25 29 follows: (Total Employee Compensation per hour)/ See 83 FR at 24914 (May 31, 2018). The DHS percent * $5.63 (figures presented in the table are (Wages and Salaries per hour). See Economic News analysis in, ‘‘Exercise of Time-Limited Authority To rounded to the nearest dollar). Release, U.S. Dep’t of Labor, Bureau of Labor Increase the Fiscal Year 2018 Numerical Limitation 35 Calculation: Number of Registrations * 75 Statistics, Table 1. Employer costs per hour worked for the H–2B Temporary Nonagricultural Worker percent * $12.15 (figures presented in the table are for employee compensation and costs as a percent Program’’ used a multiplier of 2.5 to convert in- rounded to the nearest dollar). of total compensation: Civilian workers, by major house attorney wages to the cost of outsourced 36 Calculation: Number of Registrations * 75 occupational and industry group (September 2018), attorney wages. DHS believes the methodology used percent * $20.80 (figures presented in the table are available at https://www.bls.gov/news.release/ in the Final Small Entity Impact Analysis remains rounded to the nearest dollar).

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Note that the cost estimates in Table fee payment could be bundled. The DHS filing one petition, is likely overstated 2 are overstated because they do not analysis in the H–1B registration final by approximately 80 percent. Estimates account for the scenario of fewer unique rule found that, on average, each that are more likely to reflect the current entities submitting registrations for employer submitted five petitions.37 business behavior of five petitions per multiple workers. DHS assumes that in Thus, the estimate of undiscounted employer, are presented in Table 3. those cases, the registration submissions costs in Table 2, which is based on the would be done at the same time so the assumption of one petitioning employer

TABLE 3—ANNUAL TIME BURDEN COST (UNDISCOUNTED) BY PROJECTED REGISTRATIONS & TYPE OF SUBMITTER, LESS 80%

Number of In-house Outsourced registrations HR Specialist lawyer lawyer

Baseline ...... 192,918 $54,306 $351,593 $601,904 Baseline Plus 10% ...... 212,210 59,737 386,753 662,095 Baseline Plus 20% ...... 231,502 65,168 421,912 722,286 Baseline Plus 30% ...... 250,793 70,598 457,070 782,474

Therefore, the total, undiscounted, proportional costs presented in Table 1 outsourced) with the estimated costs for aggregate annual costs of both the (i.e. assume 25% of registrations are entities submitting registrations in Table proposed fee and time burden costs are completed by HR specialist and 75 3. presented in Table 4. The figures in percent of registrations are completed Table 4 are found by adding the by lawyers either in-house or

TABLE 4—AGGREGATE COST (UNDISCOUNTED) BY PROJECTED REGISTRATIONS & TYPE OF SUBMITTER

HR specialist In-house lawyer Outsourced lawyer Number of (table 3 + 25% (table 3 + 75% (table 3 + 75% registrations of table 1) of table 1) of table 1)

Baseline ...... 192,918 $536,601 $1,798,478 $2,048,789 Baseline Plus 10% ...... 212,210 590,262 1,978,328 2,253,670 Baseline Plus 20% ...... 231,502 643,923 2,158,177 2,458,551 Baseline Plus 30% ...... 250,793 697,581 2,338,018 2,663,422

The lower bound aggregate cost complete the registration. The upper lower bound and upper bound aggregate estimate of complying with the bound aggregate cost estimate is found cost estimates over the projected proposed registration fee requirement is by summing the estimated cost of using number of registrations for a 5-year found by summing the estimated cost of an HR specialist with the cost estimate period, discounted at 3 and 7 percent. using an HR specialist with the cost of using outsourced lawyers to complete estimate of using in-house lawyers to the registration. Table 5 presents the

TABLE 5—TRANSFER COST ESTIMATES BY PROJECTED REGISTRATIONS OVER 5-YEAR PERIOD, DISCOUNTED AT 3% AND 7%

5-year 5-year discounted discounted Number of costs, 3%, costs, 7%, registrations ($ millions) ($ millions) Lower bound Upper bound Lower bound Upper bound

Baseline ...... 192,918 $10.7 $11.8 $9.6 $10.6 Baseline Plus 10% ...... 212,210 11.8 13.0 105.0 11.7 Baseline Plus 20% ...... 231,502 12.8 14.2 11.5 12.7 Baseline Plus 30% ...... 250,793 13.9 15.4 12.4 13.8

As discussed previously, while this not anticipate this proposed registration petitioner uses to submit the proposed fee may not recover the full fee to represent a significant business registration. Even with this proposed costs associated with implementing and expense for those employers that seek to registration fee requirement, as maintaining the H–1B registration employ cap-subject H–1B workers. The discussed previously in the preamble, system, it would allow for USCIS to total costs for each registration would the registration process is still recover some of the costs, thus lessening range from $15.63 to $30.80 for a anticipated to result in a net benefit the fiscal impact to USCIS. DHS does registration, depending on who the

37 See 84 FR at 948 (January 31, 2019) for the FY Of the 95,839 petitions selected, there were only 20,046 unique entities that filed those petitions. 2016 cohort of H–1B cap-subject petitions selected. Calculation: 95,839/20,046 = 4.78.

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relative to the paper-based petition governmental jurisdictions with RFA, this proposed rule would impact process. populations of less than 50,000. An a ‘‘substantial’’ number of small entities. This proposed fee may also provide ‘‘individual’’ is not defined by the RFA To determine whether the impact of some unquantified benefits to the extent as a small entity and costs to an the proposed registration filing fee that the fee may deter frivolous individual from a rule are not would be ‘‘significant,’’ DHS must registrations. DHS makes no considered for RFA purposes. In consider the estimated fee impacts of conclusions on the impact that a $10 fee addition, the courts have held that the individual petitioning small entities. In would have on the number of RFA requires an agency to perform a the H–1B registration final rule, DHS registrations and has no way to estimate regulatory flexibility analysis of small found that the majority of petitioning such an impact. As stated in the H–1B entity impacts only when a rule directly employers tended to submit petitions registration final rule, however, regulates small entities. Consequently, for multiple employees. Based on a commenters on the H–1B registration any indirect impacts from a rule to a review of filings received in 2016, DHS proposed rule expressed various small entity are not considered as costs determined that for every one unique concerns about potential ‘‘flooding’’ of for RFA purposes. petitioning employer, there were an 39 the registration system. While there is This proposed rule would have direct average of 4.78 petitions submitted. For purposes of this analysis, DHS is no way to estimate if a small fee would impacts to those entities that petition on rounding that figure up to form a further deter such acts, beyond the behalf of H–1B cap-subject workers. baseline assumption that for every one measures identified in the H–1B Generally, H–1B petitions are filed by a petitioning employer, a total of five H– registration final rule (e.g., the sponsoring employer; by proxy, once 1B cap-subject workers are requested. attestation requirement), DHS believes the online registration requirement is that it is reasonable to conclude that the Therefore, it is reasonable to conclude implemented, registrations would existence of a $10 fee would reduce the that on average each petitioning likewise be submitted by a sponsoring likelihood that frivolous registrations employer that is a small entity would employer or their authorized would be submitted to flood or face a total fee impact of $50, plus a representative. The employer intending otherwise game the registration system. one-time monetized time burden impact to petition for an H–1B cap-subject In any event, such a benefit would only ranging from $5.58 to $20.47, as a result worker would incur the registration fee be tangential to the fee’s primary of this proposed H–1B registration fee.40 costs of $10 per registration as purpose of recovering USCIS costs. In that same statistically valid sample proposed. Therefore, DHS examines the study, DHS was able to determine the B. Regulatory Flexibility Act direct impact of this proposed rule on top 10 industries that petitioned for cap- The Regulatory Flexibility Act of 1980 small entities in the analysis that subject H–1B workers.41 The industry (RFA), 5 U.S.C. 601–612, as amended by follows. data, using the North American Industry the Small Business Regulatory DHS estimated that approximately 78 Classification System (NAICS), is self- Enforcement Fairness Act of 1996, percent of selected H–1B petitioners reported on USCIS Form I–129, Petition Public Law 104–121 (March 29, 1996), were small entities after conducting an for Nonimmigrant Worker, which requires Federal agencies to consider analysis of a statistically significant petitioning employers use to petition for the potential impact of regulations on sample.38 Therefore, DHS believes it is H–1B workers. Table 6 shows a list of small entities during the development of reasonable to carry this finding through the top 10 NAICS industries that their rules. The term ‘‘small entities’’ and assume that approximately 78 submitted H–1B cap-subject petitions in comprises of small businesses, not-for- percent, a majority, of H–1B the sample study, and the profit organizations that are not registrations would be submitted by corresponding size standard according dominant in their fields, and small entities. Thus, for purposes of the to the SBA.

TABLE 6—TOP 10 NAICS INDUSTRIES SUBMITTING FORM I–129, SMALL ENTITY ANALYSIS RESULTS

Size Size NAICS NAICS standards in standards in Rank code U.S. industry title millions of number of dollars employees

1 ...... 541511 Custom Computer Programming Services ...... $27.5 ...... 2 ...... 541512 Computer Systems Design Services ...... 27.5 ...... 3 ...... 561499 All Other Business Support Services ...... 15.0 ...... 4 ...... 541330 Engineering Services...... 15.0 ...... 5 ...... 511210 Software Publishers...... 38.5 ...... 6 ...... 541611 Administrative Management and General Management Consulting Services ..... 15.0 ...... 7 ...... 334413 Semiconductor and Related Device Manufacturing ...... 1,250 8 ...... 541618 Other Management Consulting Services ...... 15.0 ...... 9 ...... 541690 Other Scientific and Technical Consulting Services ...... 15.0 ...... 10 ...... 325412 Pharmaceutical Preparation Manufacturing ...... 1,250 Source: USCIS analysis based on small business size standards. Note: The Small Business Administration (SBA) has developed size standards to carry out the purposes of the Small Business Act and those size standards can be found in 13 CFR, section 121.201.

38 See 84 FR at 948–49. H–1B cap-subject petitions that were selected. entered into the registration) = $50 total fee impact 39 See 84 FR at 948, explaining that, for the FY Calculation: 95,839/20,046 = 4.78. for employers. 40 × 2016 cohort, 20,046 unique entities filed the 95,839 Calculation: $10 (proposed registration fee) 5 41 See 84 FR at 950. registrations (one for each H–1B worker being

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SBA’s monetary size standard is based this proposal would not cause a rule as necessary while the additional on the average annual receipts of the significant impact to a substantial comments on the registration system business entity. As discussed number of small entities. and information collections continue to previously, DHS has determined that be received. C. Other Regulatory Requirements the majority of H–1B petitioning E. Paperwork Reduction Act employers would be classified as This proposed rule is not a ‘‘major ‘‘small’’ for purposes of the RFA. rule’’ as defined by the Congressional Under the Paperwork Reduction Act However, comparing the expected total Review Act, 5 U.S.C. 804(2), and thus is of 1995, 44 U.S.C. 3501–3512, all fee impact of $55.58 on the low-end for not subject to a 60-day delay in the rule agencies are required to submit to OMB, every small entity (assuming each entity becoming effective. This action is not for review and approval, any reporting submits approximately five subject to the written statement requirements inherent in a rule. DHS registrations) results in a negligible cost requirements of the Unfunded Mandates and USCIS invite the general public and impact relative to average annual Reform Act of 1995 (UMRA) (Pub. L. other Federal agencies to comment on receipts. In fact, for a cost of $55.58, a 104–4). Nor does it require prior the impact to the proposed collection of company would need to have annual consultation with State, local, and tribal information. In accordance with the receipts of only $5,558 for the cost of government officials as specified by PRA, the information collection notice the fee to equal 1% of the annual Executive Orders 13132 or 13175. This is published in the Federal Register to receipts. If a company used an proposed rule also does not require an obtain comments regarding the outsourced lawyer to petition for a visa Environmental Assessment (EA) or proposed edits to the respective at a cost of $152.35 ($30.47 filing fee Environmental Impact Statement (EIS). information collections. DHS is revising plus time burden costs × 5 registrations) 40 CFR 1507.3(b)(2)(ii) and 1508.4. This the information collections for two the company would need to have action would not affect the quality of USCIS currently approved OMB control annual receipts of only $15,235 for the the human environment and fits within numbers as follows. cost of the fee to equal 1% of the annual Categorical Exclusion number A3(d) in H–1B Registration Tool receipts. Dir. 023–01 Rev. 01, Appendix A, Table SBA guidance on additional measures 1, for rules that interpret or amend an DHS and USCIS are revising this to determine whether a rule would have existing regulation without changing its information collection to report a a significant impact suggest comparing environmental effect. change in the estimated annual cost to the compliance cost to the labor costs.42 D. Expedited Comment Period the Federal government as a result of the In that guidance, SBA states that an Section 6(a)(1) of E.O. 12866 requires proposed rule. Additionally, the impact could be significant if the an agency to afford the public a information collection instrument has compliance cost ‘‘exceeds 5 percent of meaningful opportunity to comment on been revised to include language about the labor costs of the entities in that any proposed regulation, which in most the proposed fee. 43 sector.’’ In the annual report to cases should include a comment period Comments are encouraged on the Congress on the characteristics of H–1B of not less than 60 days. DHS has found proposed revisions to the information workers for fiscal year 2017, USCIS it necessary to provide a 30-day collection instruments and will be determined the median annual comment period for this proposed rule. accepted for 60 days from the compensation for initial employment USCIS intends for the fee proposed in publication date of the proposed rule. across all occupations was $75,000.44 this rule to be in place before the H–1B All submissions received must include Furthermore, the median annual registration process is initially the OMB Control Number 1615–0144 in compensation for initial employment implemented, which may be as soon as the body of the letter and the agency across known occupations ranged from the H–1B cap filing season for FY name. To avoid duplicate submissions, a low of $42,000 to a high of $160,000.45 2021.46 The requirements for please use only one of the methods This proposed rule is estimated to result developing, publishing and responding under the ADDRESSES and Public in compliance costs that represent much to comments on a rulemaking will Participation section of this rule to less than 5 percent of the H–1B labor require much of the time that DHS submit comments. Comments on this costs. needs to put the fee and registration information collection should address Based on these findings, DHS certifies process in place, and the additional 30- one or more of the following four points: that while this proposed rule could days of comment period would put DHS (1) Evaluate whether the collection of impact a substantial number of small at risk of not having the fee in place information is necessary for the proper entities, the impact that would arise before the registration period begins. performance of the functions of the from the proposed $10 registration fee The population affected by this rule is agency, including whether the would not result in a significant impact. not vast, and the issues addressed by it information will have practical utility; Therefore, the Secretary certifies that are relatively insular. Therefore, DHS (2) Evaluate the accuracy of the has concluded that the need for the agency’s estimate of the burden of the 42 See U.S. Small Business Administration, A certainty in having the fee established or collection of information, including the Guide for Government Agencies: How to Comply with the Regulatory Flexibility Act, The RFA not, justifies a 30-day comment period. validity of the methodology and threshold analysis: Can we certify? at Pg. 19, As discussed in the following section, assumptions used; https://www.sba.gov/sites/default/files/advocacy/ as required by 5 CFR 1320.8(d)(1), DHS (3) Enhance the quality, utility, and How-to-Comply-with-the-RFA-WEB.pdf. Visited is providing a 60-day public comment clarity of the information to be Apr. 16, 2019. period for the revisions to the approved 43 collected; and Id. collection of information that would be 44 See U.S. Citizenship and Immigration Services, (4) Minimize the burden of the Characteristics of H–1B Specialty Occupation required by this rule. DHS will read, collection of information on those who Workers, Fiscal Year 2017 Annual Report to consider, draft responses, and revise the are to respond, including through the Congress, at Table 11, https://www.uscis.gov/sites/ use of appropriate automated, default/files/reports-studies/Characteristics-of- 46 USCIS will announce the start of the initial electronic, mechanical, or other Specialty-Occupation-Workers-H-1B-Fiscal-Year- registration period at least 30 calendar days in 2017.pdf. Visited Apr. 16, 2019. advance of such date. See 84 FR at 898–99. 8 CFR technological collection techniques or 45 Id. 214.2(h)(8)(iii)(A)(3). other forms of information technology,

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e.g., permitting electronic submission of the body of the letter and the agency registration fees will be processed responses. name. To avoid duplicate submissions, through the pay.gov online portal. Overview of information collection: please use only one of the methods (5) An estimate of the total number of (1) Type of Information Collection: under the ADDRESSES and I. Public respondents and the amount of time Revision of a Currently Approved Participation section of this rule to estimated for an average respondent to Collection. submit comments. Comments on this respond: The estimated total number of (2) Title of the Form/Collection: H–1B information collection should address respondents for the information Registration Tool. one or more of the following four points: collection USCIS Electronic Payment (3) Agency form number, if any, and (1) Evaluate whether the collection of Processing, where respondents are the applicable component of the DHS information is necessary for the proper individuals or households, is 1,805,284 sponsoring the collection: No Agency performance of the functions of the and the estimated hour burden per Form Number; USCIS. agency, including whether the response is 0.12 hours; the estimated (4) Affected public who will be asked information will have practical utility; total number of respondents for the or required to respond, as well as a brief (2) Evaluate the accuracy of the information collection Form G–1450 is abstract: Primary: Business or other for- agency’s estimate of the burden of the 1,017,839 and the estimated hour profit. USCIS uses the data collected on collection of information, including the burden per response is 0.12 hours; the this form to determine which employers validity of the methodology and estimated total number of respondents will be informed that they may submit assumptions used; for the information collection USCIS a USCIS Form I–129, Petition for a (3) Enhance the quality, utility, and Electronic Payment Processing, where Nonimmigrant Worker, to petition for a clarity of the information to be respondents are businesses or other beneficiary in the H–1B classification. collected; and small entities, is 658,548 and the (5) An estimate of the total number of (4) Minimize the burden of the estimated hour burden per response is respondents and the amount of time collection of information on those who 0.12 hours. estimated for an average respondent to are to respond, including through the (6) An estimate of the total public respond: The estimated total number of use of appropriate automated, burden (in hours) associated with the respondents for the information electronic, mechanical, or other collection: The total estimated annual collection H–1B Registration Tool is technological collection techniques or hour burden associated with this 192,918 and the estimated hour burden other forms of information technology, collection is 417,800.52 hours. per response is 0.5 hours. Any e.g., permitting electronic submission of (7) An estimate of the total public additional time burden for fee payment responses. burden (in cost) associated with the processing is captured in the Overview of information collection: collection: The estimated total annual information collection USCIS Electronic (1) Type of Information Collection: cost burden associated with the Fee Payment Processing (OMB 1615– Revision of a Currently Approved collection of information associated 0131). Collection. with this rulemaking, including (6) An estimate of the total public (2) Title of the Form/Collection: purchases of equipment or services to burden (in hours) associated with the USCIS Electronic Payment Processing. achieve regulatory compliance, collection: The total estimated annual (3) Agency form number, if any, and providing information to, or keeping 48 hour burden associated with this the applicable component of the DHS records for the government are $0. collection is 96,459 hours. sponsoring the collection: G–1450; There is no cost to respondents for (7) An estimate of the total public USCIS. paying a fee to USCIS. burden (in cost) associated with the (4) Affected public who will be asked List of Subjects in 8 CFR Part 103 collection: The estimated total cost or required to respond, as well as a brief Administrative practice and burden for purchases of equipment or abstract: Primary: Business or other for- procedure, Authority delegations services to achieve compliance with the profit. USCIS allows for credit card (Government agencies), Freedom of information collection requirements of payments via Form G–1450 and via the information, Immigration, Privacy, this rule (not including providing pay.gov online portal. Form G–1450 Reporting and recordkeeping information to or keeping records for the facilitates credit card payments for requirements. government, or kept as part of paper-filed benefit requests submitted Accordingly, DHS is proposing to customary and usual business or private through the USCIS Lockbox. Credit card 47 amend chapter I of title 8 of the Code practices), are $0. There are no capital, information is collected on Form G– of Federal Regulations as follows: start-up, operational or maintenance 1450 to allow USCIS to track payment costs to respondents associated with of the fee necessitated by the this collection of information. PART 103—IMMIGRATION BENEFITS; respondent’s activity with USCIS, and BIOMETRIC REQUIREMENTS; USCIS Electronic Payment Processing to reconcile the payment received in the AVAILABILITY OF RECORDS Treasury, Financial Management DHS is revising this information Service, Federal Financial Management ■ collection to add an estimated 192,918 1. The authority citation for part 103 System (FFMS) with the respondent’s new respondents that would be required continues to read as follows: file. Credit card payments for to utilize it to pay their H–1B Authority: 5 U.S.C. 301, 552, 552a; 8 electronically filed benefit requests are Registration fee. U.S.C. 1101, 1103, 1304, 1356, 1356b, 1372; handled through the pay.gov online Comments are encouraged and will be 31 U.S.C. 9701; Pub. L. 107–296, 116 Stat. portal. USCIS does not receive credit accepted for 60 days from the 2135 (6 U.S.C. 1 et seq.); E.O. 12356, 47 FR card information for respondents using 14874, 15557, 3 CFR, 1982 Comp., p. 166; 8 publication date of the proposed rule. the pay.gov portal. USCIS only receives CFR part 2; Pub. L. 112–54, 125 Stat 550. All submissions received must include confirmation of payment and tracking the OMB Control Number 1615–0131 in details to allow matching of the 48 As stated elsewhere in this rule, the estimated opportunity cost for registrants to provide the 47 As stated elsewhere in this rule, the annual payment with the benefit request filed. information necessary to pay the proposed fee transfer cost for registrants associated with the H–1B registrations can only be could range from $215,000 to $789,000 depending proposed $10 fee is $1,929,180. submitted electronically, so all H–1B on who submits the payment.

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■ 2. Section 103.7 is amended by adding extended. DOE will accept comments, See section V, ‘‘Public Participation,’’ paragraph (b)(1)(i)(NNN) to read as data, and information regarding this of the NOPR published on August 9, follows: proposed rulemaking received no later 2019, for additional information on than October 22, 2019. submitting comments. Id. § 103.7 Fees. ADDRESSES: The public meeting will be A. Participation in the Webinar * * * * * held at the U.S. Department of Energy, The time and date of the webinar are (b) * * * Forrestal Building, Room BE–089, 1000 listed in the DATES section at the (1) * * * Independence Avenue SW, Washington, beginning of this document. Webinar (i) * * * DC 20585. (NNN) Registration requirement for registration information, participant Docket: The docket for this activity, petitioners seeking to file H–1B petitions instructions, and information about the which includes Federal Register on behalf of cap-subject aliens. For each capabilities available to webinar notices, comments, and other registration submitted to register for the participants will be published on DOE’s supporting documents/materials, is H–1B cap or advanced degree website: https://www.energy.gov/eere/ available for review at http:// exemption selection process: $10. This buildings/how-participate-or-comment. www.regulations.gov. All documents in fee will not be refunded if the Participants are responsible for ensuring the docket are listed in the http:// registration is not selected or is their systems are compatible with the www.regulations.gov index. However, withdrawn. webinar software. some documents listed in the index, * * * * * such as those containing information B. Attendance at Public Meeting Kevin K. McAleenan, that is exempt from public disclosure, The time, date, and location of the Acting Secretary. may not be publicly available. public meeting are listed in the DATES The docket web page can be found at [FR Doc. 2019–18962 Filed 9–3–19; 8:45 am] and ADDRESSES sections at the beginning https://www.regulations.gov/ BILLING CODE 9111–97–P of this document. If you plan to attend docket?D=EERE-2018-BT-TP-0004. The the public meeting, please notify the docket web page contains instructions Appliance and Equipment Standards on how to access all documents, DEPARTMENT OF ENERGY Program staff at (202) 287–1445 or by including public comments, in the email: Appliance_Standards_Public_ 10 CFR Part 430 docket. [email protected]. FOR FURTHER INFORMATION CONTACT: Please note that foreign nationals [EERE–2018–BT–TP–0004] Celia Sher, U.S. Department of Energy, visiting DOE Headquarters are subject to RIN 1904–AE36 Office of the General Counsel, GC–33, advance security screening procedures 1000 Independence Avenue SW, which require advance notice prior to Energy Conservation Program: Test Washington, DC 20585–0121. attendance at the public meeting. If a Procedures for Cooking Products Telephone: (202) 287–6122. Email: foreign national wishes to participate in the public meeting, please inform DOE AGENCY: Office of Energy Efficiency and [email protected]. For further information on how to of this fact as soon as possible by Renewable Energy, Department of contacting Ms. Regina Washington at Energy. submit a comment, review other public comments and the docket, or regarding (202) 586–1214 or by email: ACTION: Notice of public meeting and a public meeting, contact the Appliance [email protected] so that extension of public comment period. and Equipment Standards Program staff the necessary procedures can be at (202) 287–1445 or by email: completed. SUMMARY: On August 9, 2019, the U.S. DOE requires visitors to have laptops ApplianceStandardsQuestions@ Department of Energy (‘‘DOE’’) and other devices, such as tablets, ee.doe.gov. published in the Federal Register a checked upon entry into the building. notice of proposed rulemaking SUPPLEMENTARY INFORMATION: On August Any person wishing to bring these (‘‘NOPR’’) to withdraw the test 9, 2019, the U.S. Department of Energy devices into the Forrestal Building will procedure for conventional cooking (‘‘DOE’’) published in the Federal be required to obtain a property pass. tops. The August 9, 2019 NOPR Register a notice of proposed Visitors should avoid bringing these announced that the details of a public rulemaking (‘‘NOPR’’) and request for devices, or allow an extra 45 minutes to meeting would be provided in a comment to withdraw the test check in. Please report to the visitor’s subsequent notice published in the procedure for conventional cooking desk to have devices checked before Federal Register and stated that public tops. 84 FR 39211 The August 9, 2019 proceeding through security. comments will be accepted until NOPR stated that the details of a public Due to the REAL ID Act implemented October 8, 2019. DOE is announcing meeting would be provided in a by the Department of Homeland that a public meeting will be held on subsequent notice published in the Security (‘‘DHS’’), there have been October 9, 2019, which will also be Federal Register and that public recent changes regarding ID available as a webinar. Given the date of comments will be accepted until requirements for individuals wishing to the meeting, DOE is extending the October 8, 2019. enter Federal buildings from specific public comment period for submitting This notice announces that DOE will states and U.S. territories. DHS comments and data on the NOPR by 14 hold a public meeting to discuss the maintains an updated website days to October 22, 2019. proposed withdrawal of the identifying the State and territory DATES: Meeting: DOE will hold a public conventional cooking tops test driver’s licenses that currently are meeting on Wednesday, October 9, procedures on October 9, 2019. The acceptable for entry into DOE facilities 2019, from 10:00 a.m. to 3:00 p.m. The public meeting will also be available as at https://www.dhs.gov/real-id- meeting will also be broadcast as a a webinar. This notice extends the enforcement-brief. Acceptable alternate webinar. In addition, the comment public comment period for submitting forms of Photo-ID include a U.S. period for the NOPR published on comments and data on the NOPR by 14 Passport or Passport Card; an Enhanced August 9, 2019 (84 FR 39211), is days to October 22, 2019. Driver’s License or Enhanced ID-Card

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issued by States and territories to clarify their statements briefly and total domestic deposits, or the proposed identified on the DHS website comment on statements made by others. national rate plus 75 basis points. The (Enhanced licenses issued by these Participants should be prepared to proposed rule would also greatly states are clearly marked Enhanced or answer questions by DOE and by other simplify the current local rate cap Enhanced Driver’s License); a military participants concerning these issues. calculation and process by allowing less ID; or other Federal government issued DOE representatives may also ask than well capitalized institutions to Photo-ID card. questions of participants concerning offer up to 90 percent of the highest rate C. Procedure for Submitting Prepared other matters relevant to this paid on a particular deposit product in General Statements for Distribution rulemaking. The official conducting the the institution’s local market area. public meeting will accept additional DATES: Any person who has plans to present Comments will be accepted until comments or questions from those November 4, 2019. a prepared general statement may attending, as time permits. The request that copies of his or her presiding official will announce any ADDRESSES: You may submit comments statement be made available at the further procedural rules or modification on the notice of proposed rulemaking public meeting. Such persons may of the above procedures that may be using any of the following methods: • submit requests, along with an advance needed for the proper conduct of the Agency website: https:// electronic copy of their statement in public meeting. www.fdic.gov/regulations/laws/federal/. PDF (preferred), Microsoft Word or A transcript of the public meeting will Follow the instructions for submitting Excel, WordPerfect, or text (ASCII) file be included in the docket, which can be comments on the agency website. format, to the appropriate address viewed as described in the Docket • Email: [email protected]. Include shown in the ADDRESSES section at the section at the beginning of this RIN 3064–AF02 on the subject line of beginning of this document. The request document. In addition, any person may the message. and advance copy of statements must be buy a copy of the transcript from the • Mail: Robert E. Feldman, Executive received at least one week before the transcribing reporter. Secretary, Attention: Comments, Federal public meeting and may be emailed, Deposit Insurance Corporation, 550 17th hand-delivered, or sent by mail. DOE Signed in Washington, DC, on August 27, 2019. Street NW, Washington, DC 20429. prefers to receive requests and advance • Hand Delivery: Comments may be copies via email. Please include a Alexander N. Fitzsimmons, Acting Deputy Assistant Secretary for Energy hand delivered to the guard station at telephone number to enable DOE staff to the rear of the 550 17th Street NW make a follow-up contact, if needed. Efficiency, Energy Efficiency and Renewable Energy. building (located on F Street) on D. Conduct of Public Meeting [FR Doc. 2019–19051 Filed 9–3–19; 8:45 am] business days between 7 a.m. and 5 p.m. • DOE will designate a DOE official to BILLING CODE 6450–01–P Federal eRulemaking Portal: http:// preside at the public meeting and may www.regulations.gov. Follow the also use a professional facilitator to aid instructions for submitting comments. • discussion. The meeting will not be a FEDERAL DEPOSIT INSURANCE Public Inspection: All comments judicial or evidentiary-type public CORPORATION received, including any personal hearing, but DOE will conduct it in information provided, will be posted accordance with section 336 of the 12 CFR Part 337 generally without change to https:// Energy Policy and Conservation Act, as www.fdic.gov/regulations/laws/federal. RIN 3064–AF02 amended (42 U.S.C. 6306). A court Paper copies of public comments may reporter will be present to record the Interest Rate Restrictions on be ordered from the FDIC Public proceedings and prepare a transcript. Institutions That Are Less Than Well Information Center, 3501 North Fairfax DOE reserves the right to schedule the Capitalized Drive, Room E–1002, Arlington, VA order of presentations and to establish 22226, or by telephone at (877) 275– the procedures governing the conduct of AGENCY: Federal Deposit Insurance 3342 or (703) 562–2200. the public meeting. After the public Corporation (FDIC). FOR FURTHER INFORMATION CONTACT: meeting and until the end of the ACTION: Notice of proposed rulemaking. Legal Division: Vivek V. Khare, Counsel, comment period, interested parties may (202) 898–6847, [email protected]; submit further comments on the SUMMARY: The FDIC is seeking comment Thomas Hearn, Counsel, (202) 898– proceedings and any aspect of the on proposed revisions to its regulations 6967, [email protected]; Division of rulemaking. relating to interest rate restrictions that Risk Management Supervision: Thomas The public meeting will be conducted apply to less than well capitalized F. Lyons, Chief, Policy and Program in an informal, conference style. DOE insured depository institutions. Under Development, (202) 898–6850, tlyons@ will present summaries of comments the proposed rule, the FDIC would fdic.gov; Judy Gross, Senior Policy received before the public meeting, amend the methodology for calculating Analyst, (202) 898–7047, jugross@ allow time for prepared general the national rate and national rate cap fdic.gov. statements by participants, and for specific deposit products. The encourage all interested parties to share national rate would be the weighted SUPPLEMENTARY INFORMATION: their views on issues affecting this average of rates paid by all insured Policy Objectives rulemaking. Each participant will be depository institutions on a given allowed to make a general statement deposit product, for which data are On December 18, 2018, the FDIC (within time limits determined by DOE), available, where the weights are each Board adopted an advance notice of before the discussion of specific topics. institution’s market share of domestic proposed rulemaking (ANPR) to obtain DOE will permit, as time permits, other deposits. The national rate cap for input from the public on its brokered participants to comment briefly on any particular products would be set at the deposit and interest rate regulations in general statements. higher of the 95th percentile of rates light of significant changes in At the end of all prepared statements paid by insured depository institutions technology, business models, the on a topic, DOE will permit participants weighted by each institution’s share of economic environment, and products

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since the regulations were adopted.1 As ‘‘troubled institutions’’ (i.e., area.’’ 9 In other words, the depository described in the ANPR, interest rates undercapitalized banks) to any insured institution itself is a ‘‘deposit broker’’ if have been rising, however the national depository institution that is not well it offers rates significantly higher than rate that is used to calculate rate caps capitalized. the prevailing rates in its own ‘‘normal applicable to less than well capitalized market area.’’ Without a waiver, the Statutory Provisions Related to the banks has stayed low because of market institution cannot accept deposits from Interest Rate Restrictions dynamics, including the introduction of a ‘‘deposit broker.’’ Thus, the institution new deposit products and features. In Under section 29, well capitalized cannot accept these deposits from itself. an effort to ensure that the national rate institutions are not restricted in paying In this indirect manner, the statute cap is reflective of the prevailing rates any rate of interest on any deposit. prohibits institutions in this category offered by institutions, the FDIC sought However, the statute imposes interest from offering rates significantly higher comment on all aspects of its regulatory rate restrictions on categories of insured than the prevailing rates in the approach relating to the interest rate depository institutions that are less than institution’s ‘‘normal market area.’’ restrictions, and specifically asked for well capitalized. These categories are (1) Undercapitalized institutions. In this comment on potential changes to the adequately capitalized institutions with category, institutions may not solicit methodology used to calculate the waivers to accept brokered deposits deposits by offering rates ‘‘that are national rate. The policy objective of (including reciprocal deposits excluded significantly higher than the prevailing this NPR is to seek comment on a from being considered brokered rates of interest on insured deposits (1) proposal that attempts to ensure that deposits); 4 (2) adequately capitalized in such institution’s normal market area; deposit interest rate caps appropriately institutions without waivers to accept or (2) in the market area in which such reflect the prevailing deposit interest brokered deposits; 5 and (3) deposits would otherwise be rate environment, while continuing to undercapitalized institutions.6 The accepted.’’ 10 ensure that less than well capitalized statutory restrictions for each category institutions do not solicit deposits by are described in detail below. II. Regulatory Approach offering interest rates that significantly Adequately capitalized institutions The FDIC has implemented the exceed prevailing rates on comparable with waivers to accept brokered statutory interest rate restrictions deposit products. The FDIC anticipates deposits. Institutions in this category through two rulemakings.11 While the that another NPR that addresses policy may not pay a rate of interest on statutory provisions noted above set issues related to brokered deposits more deposits that ‘‘significantly exceeds’’ the forth a basic framework based upon generally will be issued at a later date. following: ‘‘(1) The rate paid on deposits capital categories, they do not provide of similar maturity in such institution’s certain key details, such as definitions I. Background normal market area for deposits of the terms ‘‘significantly exceeds,’’ Section 224 of the Financial accepted in the institution’s normal ‘‘significantly higher,’’ ‘‘market,’’ and Institutions Reform, Recovery, and market area; or (2) the national rate paid ‘‘national rate.’’ As a result, the FDIC Enforcement Act of 1989 (FIRREA) on deposits of comparable maturity, as defined these key terms via rulemaking added section 29 to the Federal Deposit established by the [FDIC], for deposits in 1992. Both the ‘‘national rate’’ Insurance (FDI) Act titled ‘‘Brokered accepted outside the institution’s calculation and the application of the Deposits.’’ The law originally restricted normal market area.’’ 7 interest rate restrictions were updated in ‘‘troubled’’ insured depository Adequately capitalized institutions a 2009 rulemaking. institutions without a waiver from (1) without waivers to accept brokered ‘‘Significantly Exceeds’’ or accepting deposits from a deposit broker deposits. In this category, institutions ‘‘Significantly Higher.’’ 12 Through both and (2) soliciting deposits by offering may not offer rates that ‘‘are the 1992 and the 2009 rulemakings, the rates of interest on deposits that are significantly higher than the prevailing FDIC has interpreted that a rate of significantly higher than the prevailing rates of interest on deposits offered by interest ‘‘significantly exceeds’’ another rates of interest on deposits offered by other insured depository institutions in rate, or is ‘‘significantly higher’’ than other insured depository institutions such depository institution’s normal another rate, if the first rate exceeds the (‘‘institutions’’ or ‘‘banks’’) having the market area.’’ 8 For institutions in this second rate by more than 75 basis same type of charter in such depository category, the statute restricts interest points.13 In adopting this standard in institution’s normal market area.2 rates in an indirect manner. Rather than 1992, and subsequently retaining it in Section 29 defined a ‘‘troubled simply setting forth an interest rate 2009, the FDIC offered the following institution’’ as an undercapitalized restriction for adequately capitalized explanation: ‘‘Based upon the FDIC’s institution. Congress took further action institutions without a waiver to accept experience with the brokered deposit two years later by enacting the Federal brokered deposits, the statute defines prohibitions to date, it is believed that Deposit Insurance Corporation the term ‘‘deposit broker’’ to include this number will allow insured Improvement Act of 1991 (FDICIA). As ‘‘any insured depository institution that depository institutions subject to the part of FDICIA, Congress made several is not well capitalized . . . which amendments to align section 29 of the engages, directly or indirectly, in the 9 Id. FDI Act with the prompt corrective solicitation of deposits by offering rates 10 12 U.S.C. 1831f(h). action (PCA) framework.3 One of these of interest which are significantly higher 11 57 FR 23933 (1992); 74 FR 26516 (2009). amendments broadened the than the prevailing rates of interest on 12 The FDIC has not viewed the slight verbal applicability of section 29 from variations in these provisions as reflecting a deposits offered by other insured legislative intent that they have different meaning depository institutions in such and so the agency has, through rulemaking, 1 The ANPR was published for comment in the depository institution’s normal market construed the same meaning for these two phrases. Federal Register on February 6, 2019. (84 FR 2366) 13 12 CFR 337.6(b)(2)(ii), (b)(3)(ii) and (b)(4). The 2 Public Law 101–73, August 9, 1989, 103 Stat. FDIC first defined ‘‘significantly higher’’ as 50 basis 4 12 U.S.C. 1831f(e). 183. points. 55 FR 39135 (1990). As part of the 1992 5 3 The PCA capital thresholds are: (1) Well 12 U.S.C. 1831f(g)(3). rulemaking, commenters suggested that the FDIC capitalized; (2) adequately capitalized; (3) 6 12 U.S.C. 1831f(h). define ‘‘significantly higher’’ as 100 basis points. In undercapitalized; (4) significantly undercapitalized; 7 12 U.S.C. 1831f(e). response, the FDIC defined ‘‘significantly higher’’ as and (5) critically undercapitalized. 8 12 U.S.C. 1831f(g)(3). 75 basis points.

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interest rate ceilings . . . to compete for insured depository institutions and particular market is higher than the funds within markets, and yet constrain branches for which data are national rate.23 If the FDIC agrees with their ability to attract funds by paying available.’’ 18 At that time, the FDIC this evidence,24 the institution would be rates significantly higher than prevailing noted that the ‘‘national rate’’ permitted to pay as much as 75 basis rates.’’ 14 methodology represents an objective points above the local prevailing rate for ‘‘Market.’’ In the FDIC’s regulations, average of rates paid by all reporting deposits solicited in its local market as implemented through both the 1992 insured depository institutions for areas. For deposits that are solicited on and 2009 rulemaking, the term ‘‘market’’ particular products. the internet or otherwise outside its is ‘‘any readily defined geographical local market, the institution would have The ‘‘Prevailing Rate’’ area in which the rates offered by any to offer rates that do not exceed the one insured depository institution The FDIC has recognized, as part of its national rate cap. In evaluating this soliciting deposits in that area may regulation on interest rate restrictions, evidence, the FDIC may use segmented affect the rates offered by other insured that competition for deposit pricing has market rate information (for example, depository institutions in the same become increasingly national in scope. evidence by State, county or area.’’ 15 The FDIC determines an Therefore, through the 2009 rulemaking, metropolitan statistical area). Also, the institution’s market area on a case-by- the FDIC presumes that the prevailing FDIC may consider evidence as to the case basis.16 rate in an institution’s market areas is rates offered by credit unions but only The ‘‘National Rate.’’ As part of the the FDIC-defined national rate.19 if the insured depository institution 1992 rulemaking, the ‘‘national rate’’ Application of the Interest Rate competes directly with the credit unions was defined as follows: ‘‘(1) 120 percent Restrictions in the particular market. of the current yield on similar maturity U.S. Treasury obligations; or (2) In the A bank that is not well capitalized III. Need for Further Rulemaking case of any deposit at least half of which generally may not offer deposit rates The current interest rate cap is uninsured, 130 percent of such more than 75 basis points above the regulations became effective in 2010 applicable yield.’’ In defining the national rate for deposits of similar size and were adopted to modify the 20 ‘‘national rate’’ in this manner, the FDIC and maturity. previous national rate cap (based on understood that the spread between As noted above, the national rate is U.S. Treasury securities) that had Treasury securities and depository defined as a simple average of rates paid become overly restrictive. Chart 1 below institution deposits can fluctuate by all insured depository institutions reflects the current national rate cap and substantially over time but relied upon and branches that offer and publish the average of the top ten rates paid for the fact that such a definition is rates for specific products. These a 12-month CD between 2010 and the ‘‘objective and simple to administer.’’ 17 products include non-jumbo and jumbo present.25 Chart 1 illustrates that By using percentages (120 percent, or CDs of various maturities, as well as between 2010 and approximately the 130 percent for wholesale deposits, of savings, checking and money market 21 second quarter of 2015, rates on the yield on U.S. Treasury obligations) deposit accounts (MMDAs). The FDIC deposits were quite low, even for the instead of a fixed number of basis receives interest rate data on various top rate payers. The current regulation’s points, the FDIC hoped to ‘‘allow for deposit products from a private data methodology for calculating the national greater flexibility should the spread to aggregator on a weekly basis. The data rate, to which 75 basis points is added Treasury securities widen in a rising aggregator computes the simple averages to arrive at the national rate cap, interest rate environment.’’ for the various deposit products as well resulted in a national rate cap that Additionally, at the time of the 1992 as the corresponding national rate cap allowed less than well capitalized rulemaking, the FDIC did not have by adding 75 basis points to each simple institutions to easily compete with even readily available data on actual deposit average. The FDIC then publishes on a the highest rates paid on the 12-month rates paid and used Treasury rates as a weekly basis the national rate simple CD. proxy. averages and corresponding national 22 Prior to the 2009 rulemaking, yields rate caps on its website. 23 If the posted national rates differ from 12 CFR 337.6(f). on Treasury securities began to 24 The procedures for seeking such a plummet, driven by global economic the actual rates in a bank’s local market determination are set forth in FIL–69–2009 uncertainties, which resulted in a area, the bank may present evidence to (December 4, 2009). As explained in the FIL, an the FDIC that the prevailing rate in a insured depository institution can request a local ‘‘national rate’’ that was lower than rate determination by sending a letter to the deposit rates offered by many applicable FDIC regional office. The institution 18 institutions. As part of the 2009 74 FR 26516 (2009). should specify its market area(s). After receiving the 19 rulemaking, with the benefit of having 74 FR 26516 at 26519 (2009). request, the FDIC will make a determination as to 20 12 CFR 337.6(b)(2)(ii)(B). Well capitalized whether the bank’s market area is a high-rate area. data on offered rates available on a banks are not subject to the interest rate restrictions If the FDIC agrees that the bank is operating in a substantially real-time basis, the FDIC in § 337.6. However, a quantitatively ‘‘well high-rate area, the bank would need to calculate redefined the ‘‘national rate’’ as ‘‘a capitalized’’ bank subject to a written agreement, and retain evidence of the prevailing rates for simple average of rates paid by all order to cease and desist, capital directive, or specific deposits in its local market area. The prompt corrective action directive which includes question and answer attachment was revised in a capital maintenance provision, is reclassified as November 1, 2011. 14 57 FR 23933, 23939 (1992); 74 FR 26516, 26520 adequately capitalized for § 337.6 purposes. 25 The average of the top ten rates paid for 12 (2009). 21 Jumbo accounts are accounts with deposits month CDs is meant to illustrate a competitive 15 57 FR 23933 (1992) and 74 FR 26516 (2009). greater or equal to $100,000. offering rate for wholesale insured deposits and 16 12 CFR 337.6(f). 22 Available at: https://www.fdic.gov/regulations/ show the general direction of the movement of the 17 57 FR 23933, 23938 (June 5, 1992). resources/rates/. market for deposit rates.

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Since July 2015, however, market such as rewards checking, higher rates may be inconsistent with the statutory conditions have changed so the current on odd-term maturities, negotiated rates, requirement that a firm is prohibited national rate methodology results in a and cash bonuses, that are not included from offering a rate that ‘‘significantly national rate for the 12-month CD that, in the calculation of the posted national exceeds’’ or is ‘‘significantly higher’’ when 75 basis points are added, rate. than the prevailing rate. This could produces a national rate cap that has Because of these developments, the unnecessarily harm the institution and remained relatively unchanged and majority of the institutions subject to the its customers, especially when liquidity could restrict less than well capitalized interest rate caps have been granted planning is essential for safety and institutions from competing for market- approval to use the local rate cap for soundness. At the same time, however, rate funding. Market conditions have deposits obtained locally. The national the statute imposes interest rate caused similar changes in the rates of rate cap, however, remains applicable to restrictions on weak institutions. It has other deposit products compared to the deposits that these institutions obtained been the FDIC’s experience that while applicable rate cap, although the timing from outside their respective normal some banks recover from problems, of when such changes occurred varied market area, including through the others use high-rate funding and other from product to product. Interest rates internet. available funds, not to recover, but to have been relatively low since the Setting the national rate cap at a too delay insolvency—a strategy that could financial crisis that began in 2007. low of a level could prohibit less than lead to increased losses for the deposit Towards the end of 2015, however, well capitalized banks from competing insurance fund.26 some banks began to increase rates paid for deposits and create an unintentional Consequently, the FDIC is proposing on deposits as the Federal Reserve liquidity strain on those banks to modify its regulations to provide a increased its federal funds rate targets. competing in national markets. For more balanced, reflective, and dynamic During this time, and up to the present example, a national rate cap that is too national and local rate cap that will day, the largest banks have been, on low could destabilize a less than well ensure that less than well capitalized average, slower to raise interest rates on capitalized bank just as it is working on institutions have the flexibility to access deposits (as published). This has held improving its financial condition. market-rate funding, yet prevent them down the simple average of rates offered Preventing such institutions from being across all branches. Additionally, competitive for deposits, when they are 26 See e.g., OIG Failed Bank Review for Proficio institutions, including the largest banks, most in need of predictable liquidity, Bank, February 2018, FBR–18–001, (https:// have recently been offering more can create severe funding problems. www.fdicoig.gov/sites/default/files/publications/ deposit products with special features, Additionally, a rate cap that is too low FBR-18-001.pdf).

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from offering a rate that significantly disadvantage in raising deposit funding • Community banks should be able to exceeds the prevailing rate for a at the current rate caps. use a more tailored local market rate particular product, in accordance with Several commenters also raised that includes online rates, specials, and Section 29. concerns over examiners’ use of the promotional rates. national rate cap as a proxy for ‘‘high Additionally, other commenters Issues Raised by Commenters risk’’ deposits for well capitalized asserted that the interest rate restrictions In response to the ANPR on brokered banks. The FDIC has responded to these should be eliminated and replaced with deposits and interest rate restrictions, concerns by revising its Risk growth restrictions on banks that are the FDIC received over 130 comments Management Supervision Manual of undercapitalized or have serious asset from individuals, banking organizations, Examination Policies and clarifying to quality issues. non-profits, as well as industry and examiners that rate caps apply only to In response to the issues raised by trade groups, representing banks, institutions that are less than well commenters, the FDIC seeks public insurance companies, and the broader capitalized.27 comments on a proposal to amend the financial services industry. Of the total One commenter believed that it interest rate caps. The purpose of the comments, 59 related to the FDIC’s rules would be inconsistent with proposed rule would be to ensure that on the interest rate restrictions. Congressional intent for the FDIC to take the rate caps are more dynamic in that The majority of these commenters action to modify interest rate they remain reflective of the prevailing expressed concerns about the current restrictions in a manner that would rates offered through all stages of the national rate calculation and raised the allow less than well capitalized banks to economic and interest rate cycles. same issues highlighted by the FDIC as accept high-rate deposits. Additionally, the proposed rule is intended to allow less than well part of the ANPR. Most commenters Recommendations Provided by capitalized insured depository were of the view that the current Commenters institutions subject to the interest rate national rate cap is too low. One reason Many commenters provided cited by commenters was that the largest caps to reasonably compete for funds recommendations for changing the within markets, and yet, in accordance banks with the most branches have a national rate and national rate cap disproportional effect on the national with Section 29, constrain them from methodology. Commenters suggested offering a rate that significantly exceeds rate. These institutions have been slow the following changes: to increase published rates even as • the prevailing rate for a particular The national rate calculation should product. interest rates offered by community include all comparable deposit rates, banks and online-focused banks have including, for example, promotional CD IV. Proposed Rule begun to rise significantly in products (e.g., ‘‘off-tenor’’ terms), The proposal would amend the comparison. Many of these commenters specials offered (e.g., cash incentives), national rate and both the national rate suggested that this skewing effect is rewards checking products, and cap and the local rate cap. The proposal compounded by minimizing the products that are available only in the would also provide a new simplified significance of online-focused banks, online marketplace. process for institutions that seek to offer • which have few or no branches but tend The national rate calculation should a local market rate that exceeds the to pay the highest rates. Commenters include one entry per bank charter national rate cap. also noted that the national rate is low rather than the current approach that because published rates (1) tend to be calculates the simple average of National Rate lower than the actual interest paid on published rates by all branches. The proposed national rate would be deposits after negotiation and (2) may • The national rate should be based the weighted average of rates paid by all not accurately reflect certain on fixed income instruments such as insured depository institutions on a promotional or cash bonus products. U.S. Treasury yields or the Federal given deposit product, for which data Some commenters stated that because Home Loan Bank advance rate. Some of are available, where the weights are the of technological advances (e.g., internet these commenters suggested that the institution’s market share of domestic and smartphones) any depositor can current national rate cap should allow deposits. Through this proposal, the shop nationwide for the best yield, so institutions to choose between the FDIC would continue to interpret the all institutions compete in the national higher of the national rate cap set in the ‘‘prevailing rates of interest . . . in an market. As a result of this new way to 1992 and the 2009 rulemaking. This institution’s normal market area’’ to be access deposits, along with the variety would allow less than well capitalized the national rate, as defined by of available deposit products, institutions to offer rates at the higher of regulation. The key difference between commenters suggested that no single (1) 120, or 130 percent for wholesale the proposed national rate and the formula or set of formulas would be able deposits, of the U.S. Treasury yields current national rate is that the to accurately define the prevailing rate plus 75 basis points and (2) the current calculation of the proposed national rate in an institution’s normal market area, national rate cap (simple average of all would be a weighted average based on although commenters expressed a desire branches plus 75 basis points). an institution’s share of total domestic • for a more dynamic approach. One The national rate calculation should deposits, while the current methodology commenter stated that there will always be based on an average of the top listing is based on an institution’s number of be constant evolution in the types of service rates. branches. interest paid to depositors, and new In determining the proposed national entrants will continue to develop 27 https://www.fdic.gov/regulations/safety/ rate, the FDIC would calculate an different products. manual/section6-1.pdf. For safe and sound operation, it is important for the management of any average rate per institution for each A number of commenters stated that institution to assess and monitor the characteristics specific deposit product that the the interest rate restrictions are of its entire funding base, to understanding of the institution offers, and for which data is penalizing less than well capitalized stability of all funding sources, and to identify available, including CDs of various potential funding shortfalls and sources that in a institutions and increase the likelihood stress event may become unavailable or cost tenors, as well as savings accounts, of a liquidity failure because such prohibitive. The FDIC is evaluating whether any checking accounts and MMDAs. The institutions would be at a competitive further changes to the Manual are warranted. national rate for a specific deposit

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product would then be calculated by presents data for a hypothetical deposit national rate under the current multiplying each bank’s rate by its product. The national rate for this methodology weighted by branches to amount of domestic deposits, summing hypothetical deposit product would be the proposed methodology weighted by these values, and dividing by the total 1.56 percent, the average of the rates deposits. amount of domestic deposits held by offered by these banks, weighted by Calculation of the average using the such institutions. Table 1 below domestic deposits. Chart 2 compares the weighted methodology:

TABLE 1

Share of Total industry Rate Bank deposits deposits (%) (%)

Bank A ...... 4,000 2.00 2.30 Bank B ...... 3,000 1.50 2.25 Bank C ...... 21,000 10.50 2.15 Bank D ...... 4,000 2.00 2.05 Bank E ...... 23,000 11.50 2.00 Bank F ...... 12,000 6.00 1.99 Bank G ...... 6,000 3.00 1.75 Bank H ...... 76,000 38.00 1.45 Bank I ...... 32,000 16.00 1.40 Bank J ...... 3,000 1.50 1.00 Bank K ...... 9,000 4.50 0.45 Bank L ...... 2,000 1.00 0.25 Bank M ...... 5,000 2.50 0.15

Total ...... 200,000 100.00 N/A

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National Rate Cap definition, the rates that exceed this is available, including CDs of various The proposal would interpret that a component of the national cap would be tenors, as well as savings, checking and rate of interest ‘‘significantly exceeds’’ part of the top 5 percent of rates offered, MMDAs. These rates would be sorted by the prevailing rate, or is ‘‘significantly weighted by domestic deposit share. In rate offered on the given deposit higher’’ than the prevailing rate, if the other words, setting the threshold at the product from highest to lowest. An rate of interest exceeds the national rate 95th percentile would allow institutions institution’s percentile would be cap. The national rate cap would be set subject to the interest rate restrictions to determined by taking the sums of the to the higher of (1) the rate offered at the compete with all but the top five amounts of domestic deposits held by 95th percentile of rates weighted by percent of offered rates, weighted by the institution and by all the institutions domestic deposit share or (2) the domestic deposit share. This standard is offering a lower rate, dividing that value proposed national rate plus 75 basis intended to set a reasonable proxy for by the total domestic deposits held by points. The FDIC would compute the rates that ‘‘significantly exceed’’ the all institutions for which data is permissible national rate cap applicable prevailing rate in that the rate would available. The rate offered by the bank for different deposit products and allow less than well capitalized whose percentile was the first at or maturities on a monthly basis, and institutions to access market-rate above the 95th percentile would be the would plan to publish such information funding. At the same time, it would rate at the 95th percentile. on the FDIC’s website on a monthly constrain them from being at the very In Table 2 below, Bank C is the first basis.28 top of the market. institution offering a rate at or above the Rates offered at the 95th Percentile. To determine the rate being offered at 95th percentile. Therefore, Bank C’s rate Through this proposal, one method for the 95th percentile, the FDIC would of 2.15 percent would be the national the national rate cap would be the rate calculate an average rate per institution rate cap for this hypothetical deposit offered at the 95th percentile of rates for each specific deposit product that product under the 95th percentile weighted by domestic deposit share. By the institution offers, and for which data method.

28 FDIC would retain discretion to publish more or less frequently, if needed.

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TABLE 2

Share of Total industry Cummulative Percentile Rate Bank deposits deposits deposits (%) (%) (%)

Bank A ...... 4,000 2.00 200,000 100.0 2.30 Bank B ...... 3,000 1.5 196,000 98.0 2.25 Bank C ...... 21,000 10.5 193,000 96.5 2.15 Bank D ...... 4,000 2.0 172,000 86.0 2.05 Bank E ...... 23,000 11.5 168,000 84.0 2.00 Bank F ...... 12,000 6.0 145,000 72.5 1.99 Bank G ...... 6,000 3.0 133,000 66.5 1.75 Bank H ...... 76,000 38.0 127,000 63.5 1.45 Bank I ...... 32,000 16.0 51,000 25.5 1.40 Bank J ...... 3,000 1.5 19,000 9.5 1.00 Bank K ...... 9,000 4.5 16,000 8.0 0.45 Bank L ...... 2,000 1.0 7,000 3.5 0.25 Bank M ...... 5,000 2.5 5,000 2.5 0.15

National Rate Plus 75 Basis Points. national rate cap by providing a more national rate cap available on the FDIC’s Through this proposal, the second dynamic calculation. This is because the website. method for the national rate cap distribution of rates offered often There may also be other factors (e.g., methodology would be the proposed reflects a large mass of rates at the low geopolitical changes, changes to the national rate plus 75 basis points. This end of the market and fewer rates federal funds rate) that could have an method for the national rate cap would offered at the high end of the market. As impact on the rates being offered and build upon the long-standing many commenters noted, this may cause fluctuations in the national application that an amount that is 75 distribution has caused the current rate cap, given the proposed weighting basis points above the average rates national rate caps (calculated using a by deposit share. Moreover, it is offered on a particular product is an simple average) to remain low even as possible that one institution, or a few appropriate proxy for a rate that more institutions begin to pay higher ‘‘significantly exceeds’’ or is institutions, with a large deposit share rates. Because one component of the could affect the national rate cap by ‘‘significantly higher’’ than the proposed national rate cap would be prevailing rate. The 75 basis point add- withdrawing a product from the market based on rates paid at the 95th or by introducing a product into the on to this national rate cap would also percentile, the effect of having a large provide needed flexibility during low- market. While such fluctuations, caused mass of rates at the low end of the by factors other than data limitations, rate environments, or when the rate market would not be as pronounced. paid at the 95th percentile is low due to would be reflective of changes in the a convergence of rates being offered by There are, however, potential data market, these changes could cause banks with relatively large deposit limitations with this proposed downward volatility in the national rate shares for particular products. In such methodology. The data gathered from cap. In order to address the effect of this cases, the 95th percentile may not third party sources is based upon potential downward volatility, the FDIC represent a rate that ‘‘significantly information provided directly by proposes that, for institutions that are exceeds’’ or is ‘‘significantly higher’’ institutions or made available via public subject to the interest rate restrictions, than the prevailing rate for particular sources. As such, some rates being any subsequent published national rate deposit products. offered for certain products are left cap, that is lower than the previously unreported or unpublished and Proposed Methodology published national rate cap, take effect therefore may not be captured as part of 3 days after publication. The previously Weighting the national rate and the the data set used to determine the posted national rate cap would remain national rate cap by domestic deposits national rate caps. If a rate offered by an in effect during this 3-day period. is more representative of the amount of institution that has a sizeable market Furthermore, in the event of a deposits placed at offered rates than share of total domestic deposits is not substantial unexpected decrease in the weighting by branches (which is a included in the data sources, then the national rate cap, the FDIC would have feature of the current method), national rate cap may not be truly the discretion to delay the date on particularly for internet-only banks that reflective of the market. In addition, if which that national rate cap takes effect. have a large share of deposits but few the data is not consistently reported or Until the subsequent national rate cap branches and tend to pay higher rates. captured, the national rate cap could be takes effect, the previously published Moreover, the use of percentiles subject to fluctuations from month to national rate cap would remain in effect. decreases the effects of institutions that month due to the methodology’s use of may be viewed as pushing down the weighting. To ensure that all reported Table 3 below compares the current average by offering very low published rates are incorporated in the national and proposed national rate cap based rates, but at the same time may offer rate cap, the FDIC would review the upon the various deposit maturities special features, such as cash bonuses or data it receives to ensure that all rate using data from May 20, 2019,30 and negotiated rates, that result in an information that has been provided is provides the applicable rate cap that is effective higher interest expense paid to incorporated 29 before making the based upon the higher of the two depositors than is reflected in the proposed national rate caps. published rates. 29 To the extent possible, staff plans to review the Additionally, utilizing a percentile data for omissions that may have a significant 30 Historical data are only available through the methodology would improve the current impact on the national rate and national rate cap. end of May 2019.

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TABLE 3—COMPARISON OF THE CURRENT NATIONAL RATE CAP AND THE PROPOSED NATIONAL RATE CAP FOR VARIOUS DEPOSIT PRODUCTS (AS OF MAY 20, 2019)

Current national Proposed national Deposit products rate cap rate cap

Interest Checking ...... 0.81 0.80* Savings ...... 0.84 1.05 MMDA ...... 0.93 1.20 1 month CD ...... 0.87 0.85* 3 month CD ...... 0.97 0.94* 6 month CD ...... 1.16 1.21 12 month CD ...... 1.40 2.70 24 month CD ...... 1.59 2.65 36 month CD ...... 1.72 2.75 48 month CD ...... 1.82 2.80 60 month CD ...... 1.98 3.00 * For these products, the Proposed Rate Cap as of May 20, 2019, would be based on the weighted mean plus 75 basis points methodology as of March 2019. Source: FDIC and RateWatch.

As part of this proposal, the FDIC rates among the banks with the largest that requires the local rate cap to be the would continue to publish the national deposit shares for particular deposit average of the rates offered by all rate cap for the on-tenor maturities products (as currently seen with the competing institutions, which can noted above in Table 3.31 If an interest checking product and the one include credit unions, for a particular institution seeks to offer a product with and three month CDs), then the national product plus 75 basis points. an off-tenor maturity for which a rate is rate plus 75 basis points would provide As part of this proposal, the FDIC not published by the FDIC, then the flexibility for institutions to remain would define an institution’s market institution would be required to use the competitive, while still satisfying the area as any readily defined geographical rate offered on the next lowest on-tenor statutory interest rate restrictions area, which may include the State, maturity for that product as the applicable to less than well capitalized county or metropolitan statistical area, applicable national rate cap. For institutions. in which the insured depository example, an institution seeking to offer Local Rate Cap institution solicits depositors by offering a 26-month CD product must use the rates on a particular deposit product. rate offered for the 24-month CD Since the 2009 rulemaking, Less than well capitalized institutions product as the institution’s national rate competition for deposits among insured that solicit deposit products outside of cap. depository institutions continues to their local market area, such as online Historical Data. In determining the grow increasingly digital and therefore listing services, would not be allowed to appropriateness of the proposed national in scope. Today, a consumer in offer rates on those nationally-sourced methodology for the national rate and any market, including rural markets, can deposit products in excess of the national rate cap, the FDIC reviewed access rates and shop for deposit national rate cap, and therefore would and considered the proposed national products by checking a variety of not be eligible for a local rate cap rate cap’s progression over time relative websites. In light of this evolution, the determination for those products. to the current and previous rate caps proposal would continue to presume An institution’s local market rate cap and top rates from a listing service. that the national rate cap applies to rates would be based upon the rate offered on Appendix 1 of this document provides offered on all deposits by less than well a particular deposit product type and charts with historical data for the capitalized institutions. However, maturity period by an insured various maturities. The charts illustrate because the FDIC’s experience suggests depository institution or credit union that the proposed national rate cap set some institutions still do compete for that is accepting deposits at a physical to the rate offered at the 95th percentile particular products within their local location within the institution’s local would be more reactive to and reflective market areas, the proposal would market area. If a less than well of the fluctuations in the interest rate continue to provide a local rate cap capitalized institution seeks to offer a market than the current national rate process. product with an off-tenor maturity that cap for many of the maturities, Specifically, the proposal would is not offered by competing institutions particularly those with tenors of 6 allow less than well capitalized within its local market area, then the months or more and MMDAs. To the institutions to provide evidence that any institution would use the rate offered on extent that the rate offered at the 95th bank and credit union in its local the next lowest on-tenor maturity for percentile is flat, and does not react to market offers a rate on particular deposit that product when determining its local the top payers due to a convergence of product in excess of the national rate market rate cap. For example, a less cap. If sufficient evidence is provided, than well capitalized institution seeking 31 On-tenor maturities include the following term then the less than well capitalized to offer a 26-month CD product would periods: 1-month, 3-month, 6-month, 12-month, 24- institution would be allowed to offer 90 use the rate offered for a competitor’s month, 36-month, 48-month, and 60-month. All other term periods are considered off-tenor percent of the competing institution’s 26-month product. In this way, an maturities for purposes of the interest rate rate on the particular product. This institution would be able to take into restrictions. would replace the current methodology consideration rates offered on off-tenor

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maturity products in calculating a local that it is competing against an account would continue to not be rate cap. If a 26-month product was not institution or credit union that is subject to the interest rate restrictions so being offered by a competitor, then the offering a rate in its local market area in long as no additional funds were institution would use the rate offered on excess of the national rate cap. As accepted. Interest rate restrictions also a 24-month CD product to calculate the described above, the institution would generally apply to any new non- institution’s local market rate cap. then be allowed to offer 90 percent of maturity deposit accounts opened after A less than well capitalized the rate offered by a competitor in the the institution falls to below well institution would not be permitted to institution’s local market area. The capitalized. calculate its local rate cap based on rates institution would be expected to The term ‘‘accept’’ is also used in that are tied to a deposit balance. For calculate the local rate cap monthly, PCA-triggered restrictions related to example, if a competing institution maintain records of the rate calculations brokered deposits and employee benefit offers different interest rates for for at least two examination cycles and, plan deposits.33 The FDIC plans to different deposit balances for the same upon the FDIC’s request, provide the address in a future rulemaking when deposit maturity, the institution may documentation to the appropriate FDIC deposits are ‘‘accepted’’ for purposes of not pick the highest rate from the regional office and to examination staff these PCA-related restrictions, both for competing institution’s rates. The less during any subsequent examinations. non-maturity deposits, such as than well capitalized institution should The proposal to amend the local rate transaction accounts and MMDAs, as average the competing institution’s cap is intended to streamline the current well as for certificates of deposits and interest rates for each size deposit local rate cap process and provide other time deposits. within each maturity period.32 In additional flexibility for less than well addition, a less than well capitalized capitalized institutions to compete with V. Alternatives institution would be permitted to use local competition offering rates in Below are alternatives that were published rates only, rather than excess of the national rate cap. This considered, and on which the FDIC is adjusting a competing institution’s rates proposal would also address a popular seeking comment, as part of this to reflect special features, such as cash promotional method of attracting new proposed rulemaking. incentives being offered by that maturity deposits by offering higher competing institution, when calculating rates on off-tenor products. Higher of Two Previous Rate Caps its local market rate cap. Treatment of Non-Maturity Deposits for Similarly, for time deposits, the FDIC As an alternative to replacing the 75 Purposes of the Interest Rate would view lack of limits on basis points as the threshold for Restrictions withdrawals as a special feature. For ‘‘significantly exceeds’’ and the current example, if an institution is reviewing a For purposes of the interest rate simple average methodology for the competitor’s rates on a CD with a five restrictions, the FDIC has from time to national rate, the FDIC considered year stated maturity but only a one- time looked at the question of when retaining the current threshold but month limit on withdrawals (or non-maturity deposits in an existing modifying it so that, for a particular considering offering such a product account are considered ‘‘accepted’’ or deposit product, the national rate cap itself), the FDIC would look to the ‘‘solicited.’’ The FDIC, through this would be 75 basis points added to the substance of the product, which is more proposal, is considering an higher of: (1) The current simple average akin to a one-month CD, when interpretation under which non- calculation; or (2) the methodology used considering a less than well capitalized maturity deposits are viewed as by the FDIC between 1992 and 2009, institution’s request for a local rate ‘‘accepted’’ and ‘‘solicited’’ for purposes i.e., 120 percent or, 130 percent for determination. of the interest rate restrictions at the wholesale deposits, of the applicable The proposal would also eliminate time any new non-maturity deposits are Treasury security rate, plus 75 basis the current two-step process where less placed at an institution. points. than well capitalized institutions Under this proposed interpretation, Several commenters suggested that request a high rate determination from balances in a money market demand the FDIC allow institutions to pay the the FDIC and, if approved, calculate the account or other savings account, as higher of the previous national rate cap, prevailing rate within local markets. well as transaction accounts, at the time which tracks the yields on comparable Instead, a less than well capitalized an institution falls below well Treasury securities plus 75 basis points, institution would need to notify its capitalized would not be subject to the or the current national rate cap. Chart 3 appropriate FDIC regional office that it interest rate restrictions. However, if below shows the national rate cap based intends to offer a rate that is above the funds were deposited to such an on Treasury securities from 1996 national rate cap and provide evidence account after the institution became less through the present. The chart also than well capitalized, the entire balance shows the current rate cap from 2009 32 For example, a competing institution may offer, of the account would be subject to the forward, as well as the average of top on the same deposit product, 1 percent interest for interest rate restrictions. If, however, the rates from a listing service from 1996 to a minimum deposit of $10,000 and 2 percent same customer deposited funds into a the present. interest for a minimum deposit of $100,000. In such BILLING CODE 6714–01–P a case, for purposes of the local rate cap, the new account and the balance in that competing institution’s interest rate would be 1.5 account was subject to the interest rate percent. restrictions, the balance in the initial 33 See 12 U.S.C. 1821(a)(1)(D) and 1831f(a).

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BILLING CODE 6714–01–C current national rate calculations to deposit rates. Also, U.S. Treasury Chart 3 illustrates the difficulties in capture deposit market conditions, it is securities do not have the necessary determining a prevailing market rate apparent that neither measure works in range of maturities that are prevalent that accurately reflects the true market all interest rate environments. Given with deposit products, particularly with value of different deposit products in that the method used to calculate the the recent popularity of non-maturity changing economic environments. The national rate cap tied to U.S. Treasury deposits.34 Moreover, there are certain method used to calculate the previous securities works well under certain rate environments in which neither national rate cap (using U.S. Treasury economic conditions (high-rate or alternative might be expected to yield a securities) worked well for many years rising-rate environments), and the rate that ‘‘significantly exceeds’’ or is because rates on Treasury obligations current method of calculating the ‘‘significantly higher’’ than the tracked closely the rates on deposits. In national rate cap works well under other prevailing rate, such as a high rate 2008, however, the rates on Treasury economic conditions (falling-rate environment in which Treasury yields obligations dropped dramatically environment), the FDIC considered dropped precipitously while deposit because of a flight to quality during the setting the national rate cap applicable rates remained constant. financial crisis. Consequently, the yields to less than well capitalized institutions on U.S. Treasuries fell faster than Average of the Top-Payers at the higher of the previous and current deposit rates and no longer tracked the rate caps. The FDIC also considered Some commenters suggested that the rates available on deposits, thereby whether the U.S. Treasury securities FDIC use an average of the top rates prompting the FDIC to change the paid as the national rate cap. As an national rate to the current simple index would warrant a multiplier plus 75 basis points, as previously provided. example, the FDIC could set the average approach. The current approach national rate cap based upon the average The FDIC believes that this alternative provided institutions much needed of the top-25 rates offered (by product would be simple to administer and relief during the post-crisis years up type). Under this approach, the FDIC provide immediate and continuous until 2015 when, as described above, would interpret that a less than well relief to institutions subject to the rates started increasing and the national capitalized institution ‘‘significantly interest rate restrictions. Using a fixed rate cap lagged behind. At the same exceeds the prevailing rate in its normal income product such as U.S. Treasury time, however, because the current market area’’ if it offers a rate that is securities would also mitigate potential methodology was so permissive, it above the average of the top rates data limitations in determining a effectively made the interest rate offered in the country. This approach national rate based solely upon rates restrictions non-constraining for less would be simple to administer and the than well capitalized institutions for reported to third-party sources. several years. However, U.S. Treasury securities are 34 One option considered is to use the overnight Today, with the benefit of having data not deposit rates and, as indicated by Federal Funds rate in place of U.S. Treasury to review the ability of previous and the chart above, do not always track securities for the non-maturity deposit products.

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FDIC would be able to provide real-time Incorporate Specials and Promotions products, particularly for maturity rate caps because it would no longer Into the Current National Rate deposits. Calculation need to maintain and review the One Vote per Institution extensive data it receives from third party data providers to calculate Several commenters suggested that Commenters also recommended that the FDIC change its methodology in averages. published rates be limited to the highest calculating the current national rate and rate offered by each depository At the same time, setting the include additional inputs for the institution. According to commenters, ‘‘prevailing rate’’ based upon rates published rates, such as special this would prevent a skewing effect on offered at the top of the market might be negotiated rates or other monetary the national rate by the largest viewed as inconsistent with the FDIC’s bonus offers. Calculating the national institutions with the most branches. In historical interpretation that the rate with these special features is considering this alternative, the FDIC ‘‘prevailing rates’’ offered should problematic. Foremost, information analyzed the impact of this change. The include rates offered by all participants regarding special features is not chart below compares, for the 12-month in the market. The subset of banks consistently provided by institutions to CD, the current national rate cap (using paying the highest rate may have a small private publications. Additionally, the all branches) and the national rate rap market share and have little to no data provided by institutions on Call using the highest rate offered by each influence over competitive rates paid in Reports is limited to a very broad IDI (in other words, each institution gets the market. Further, this same small category of interest expense on non- ‘‘one vote’’). The differences in rates subset of banks could be significant maturity deposits and maturity deposits range from 15 to 52 basis points, with outliers from the rates offered by the on only a quarterly basis. Institutions do a range of 25 basis points between 2012 market. not provide details on the interest through 2017, as illustrated in Chart 4 expense related to the variety of deposit below.

In the FDIC’s view, the one-bank, one- currently being offered. Moreover, the and the market rates. Therefore, vote approach, almost by definition FDIC believes that institutions with including branches or weighting by would result in a national rate that may multiple branches and more deposits market share is a more reflective way to not be reflective of market rates have a greater impact on competition calculate the national rate.

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Federal Home Loan Bank Borrowing deposit interest rates that were less than On the other hand, by generally Rate both the current and the proposed increasing the rate caps, the proposed Many commenters suggested that the national rate caps. Five of these 17 rule may increase the possibility, as FDIC amend the current national rate institutions paid interest rates on a compared to the current national rate calculation and use the Federal Home number of deposit products that cap, that a less than well capitalized Loan Bank (FLHB) borrowing rate for exceeded the current national rate cap institution could continue to fund each maturity. The FDIC chose not to but were less than the proposed national imprudent operations by soliciting propose the FHLB borrowing rate for rate cap. A few deposit products at three insured deposits at high interest rates. several reasons. The FHLB borrowing of the banks paid rates exceeding both Since the proposal sets the national rate rate is not based upon rates offered by the current and proposed national rate cap at the greater of the deposit institutions,35 but is instead based upon caps. weighted average rate plus 75 basis the cost of funds for FHLB member Deposit interest rates paid by less points, or the 95th percentile of deposit institutions and requires that FHLBs than well capitalized banks that exceed weighted interest rates, two types of obtain and maintain collateral from the current national rate cap reflect interest rate environments should be their members to secure the advance. situations where banks avail themselves distinguished. Collateral requirements and borrowing of the local rate cap process. By When interest rates are low and the interest rates may also vary based on an generally increasing the level of the rates paid by institutions are distributed insured depository institution’s national interest rate caps in the current over a relatively narrow band, the financial condition. Moreover, FHLB interest rate environment, the proposal ‘‘average plus 75 basis points’’ prong of advances, unlike deposit products, are can be expected to reduce the need for the rule would likely determine the cap. not insured and not guaranteed by the less than well capitalized banks to avail The operation of the cap in these low U.S. government. In addition, there are themselves of the local rate cap process. interest rate environments would be 11 different FHLB districts, all that This is expected to simplify liquidity similar to the current cap, which defines establish their own rates that may vary planning for these institutions. ‘‘significantly exceeds’’ by reference to a between districts. As such, the FHLB In some future less favorable 75 basis point difference. In higher or borrowing rate would be an imprecise economic and banking environment, rising interest rate environments, in indicator of rates offered on deposits by where the number of less than well which the deposit interest rates paid by insured depository institutions. capitalized banks increases institutions are widely dispersed, the VI. Expected Effects substantially, the effects of the rule ‘‘95th percentile’’ prong of the rule would become more meaningful. would be more likely to determine the The interest rate restrictions apply to Conceptually, under the proposed cap. In these environments, the proposal an insured depository institution that is rule, the national rate cap would appear would in effect limit the interest rate less than well capitalized under the more responsive to, and reflective of, paid by a less than well capitalized Prompt Corrective Action (PCA) capital institution to less than the top five regime. An institution may be less than changes in the interest rate environment than is the current national rate cap. percent of deposit weighted rates on well capitalized either because: (1) Its comparable deposit products. This capital ratios fall below those set by the This would likely reduce the potential for severe liquidity problems or ensures that the national rate cap will federal banking agencies for an remain within a defined percentile band institution to be deemed well liquidity failures at viable banks to arise solely as a result of the operation of the of the distribution of prevailing interest capitalized; or (2) it otherwise meets the rates. capital requirements for the well cap. The FDIC believes this aspect of the capitalized category, but is subject to a rule is important, although difficult to The FDIC is interested in commenters written agreement, order, capital quantify given uncertainties about both views on the impact of the proposed directive, or prompt corrective action the future interest rate environment and rule in less favorable economic directive issued by its primary regulator the future condition of banks. environments, as regard to the objective that requires the institution to meet and Having a national interest rate cap of avoiding liquidity problems and maintain a specific capital level for any that is more reflective of the interest rate liquidity failures of viable institutions, capital measure.36 environment may also result in lower and the objective of ensuring that less Currently, very few insured losses to the DIF. In the last financial than well capitalized institutions do not depository institutions are less than crisis, the FDIC encouraged mergers and solicit deposits at interest rates well capitalized. As of March 30, 2019, problem asset reduction for problems significantly exceeding prevailing there were 5,362 FDIC-insured banks while they were opened as well interest rates on comparable deposit institutions. Of these, 22 had capital as innovations in franchise marketing products. 38 ratios that put them in a PCA category for failed bank assets. Inappropriately Appendix 1 lower than well capitalized and hence, restricting banks from competing for potentially, affected by the proposed deposits could result in expedited Historical charts illustrating the rule.37 The FDIC reviewed deposit failures and less time for less than well proposed national rate cap, the top rates interest rate information for a sample of capitalized institutions to solve their offered, and the previous and current 17 of these institutions for which data problems either through asset sales or national rate caps, where applicable, were available. Twelve of the 17 paid mergers. since 2005.

35 Section 29 of the FDI Act restricts less than 36 FDIC—12 CFR 324.403(b)(1)(v); Board of have been administratively classified as less than well capitalized institutions from offering a rate of Governors of the Federal Reserve System—12 CFR well capitalized. interest that is significantly higher than the 208.43(b)(1)(v); Office of the Comptroller of the 38 Federal Deposit Insurance Corp., Crisis and prevailing rates of interest on deposits offered by Currency—12 CFR 6.4(c)(1)(v). Response: An FDIC History, 2008–2013 (2017), pp. other insured depository institutions. 12 U.S.C. 37 The 22 institutions do not include any 134, 175 (https://www.fdic.gov/bank/historical/ 1831f(g)(3). quantitatively well capitalized institutions that may crisis/crisis-complete.pdf).

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I. Request for Comment Treasury securities in its calculation for potential volatility on less than well the national rate cap, is there a fixed capitalized institutions that are subject The FDIC invites comment from all income product that could be used in to the interest rate restrictions? members of the public regarding all place of U.S. Treasury securities as a aspects of the proposal, including the Question 6. Data limitations do not proxy for the national rate cap for non- alternatives considered. This request for allow consistent means to include maturity deposit products? certain special promotions, like cash comment is limited to this proposal. Question 4. The proposed national bonuses, to be included in the proposed The FDIC will carefully consider all rate and rate cap are weighted by national rate calculations. Is it comments that relate to the proposal. In deposit share, which gives relatively appropriate to incorporate specials and particular, the FDIC invite comment on more influence to internet-only promotions? Is there another way to the following questions: institutions that have large deposit Question 1. Does the proposed shares than the current all-branch capture these promotions or deposit calculation of the rate caps enable less approach. Is this weighting system products that pay interest based upon than well capitalized institutions to appropriate? an index or are triggered at some future compete for deposits while satisfying Question 5. To address potential date (e.g., step-up rates)? section 29? If not, please explain why. downward volatility in the national rate Question 7. The proposed national Question 2. The FDIC proposes to cap, the FDIC is proposing that, for rate plus 75 basis points is being update the national rate cap information institutions that are subject to the proposed as an option for products every month, with discretion to update interest rate restrictions, any subsequent whose rates converge, as seen with a the rate cap more or less frequently. published national rate cap, that is few deposit products. While this Currently, the FDIC updates this lower than the previously published appears to be a useful alternative for a information on a weekly basis. Should national rate cap, take effect 3 days after few products in the current rate national rate calculations be provided publication. In certain circumstances, environment, it might be less more or less frequently than every the FDIC would also have discretion to appropriate in other rate environments. month, as proposed? delay the date on which a national rate For example, this alternative could yield Question 3. U.S. Treasury securities cap takes effect. Is this a reasonable a rate cap that does not ‘‘significantly do not have maturities that are approach to address the effects of exceed’’ the prevailing rate in a high comparable to non-maturity deposit potential downward volatility in the rate environment. Are there better products (e.g., money market or interest national rate cap? Are there other ways options for setting a proxy to determine checking). If the FDIC were to use U.S. to address or reduce the effect of what it means to ‘‘significantly exceed’’

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a prevailing market rate when rates • Has the FDIC organized the material would also modify the current local rate converge? to suit your needs? If not, how could the cap calculation and process. Question 8. Should the local rate be material be better organized? Specifically, the proposal defines the • exclusively limited to institutions with Are the requirements in the national rate for a deposit product as the a smaller geographical footprint? If so, proposed regulation clearly stated? If average rate for that product, where the how should eligibility be determined? not, how could the regulation be stated average is weighted by domestic deposit more clearly? share. The proposed national rate cap is Question 9. If there is significant • Does the proposed regulation movement downwards in the national the higher of (1) the rate offered at the contain language or jargon that is 95th percentile of rates weighted by rate cap from one publication period to unclear? If so, which language requires the next, do institutions need additional domestic deposit share or (2) the clarification? proposed national rate plus 75 basis time to lower interest rates on particular • Would a different format (grouping products in an effort to be in points. and order of sections, use of headings, Because the FDIC’s experience compliance with the rate caps? If so, paragraphing) make the regulation what is an appropriate amount of time? suggests some institutions compete for easier to understand? particular products within their local Question 10. internet institutions are C. Regulatory Flexibility Act market area, the proposal would not included in the local deposit rate continue to provide a local rate cap The Regulatory Flexibility Act (RFA) calculation. Is this a reasonable process. approach? If the FDIC allowed requires that, in connection with a Specifically, the proposal would institutions to use internet competitors proposed rule, an agency prepare and allow less than well capitalized make available for public comment an in their local rate calculations, how institutions to provide evidence that any initial regulatory flexibility analysis that would they choose such competitors bank or credit union in its local market describes the impact of the proposed and which ones should be chosen? offers a rate on particular deposit rule on small entities.40 However, a Question 11. For purposes of the rate product in excess of the national rate regulatory flexibility analysis is not restrictions, the FDIC is considering an cap. If sufficient evidence is provided, required if the agency certifies that the interpretation under which balances in then the less than well capitalized proposed rule will not have a significant non-maturity deposit accounts at the institution would be allowed to offer 90 economic impact on a substantial time the institution becomes less than percent of the competing institution’s number of small entities, and publishes well capitalized are not subject to the rate on the particular product. For the its certification and a short explanatory interest rate restrictions, but the balance reasons discussed below, the FDIC would be if new funds were deposited statement in the Federal Register together with the proposed rule. The certifies that the proposed rule will not into such accounts. Is this interpretation have a significant economic effect on a appropriate? Would there be substantial Small Business Administration (SBA) has defined ‘‘small entities’’ to include substantial number of small entities. operational difficulties for institutions Based on March 31, 2019, Call Report to monitor additions to these existing banking organizations with total assets of less than or equal to $550 million that data, the FDIC insures 5,362 depository accounts in order to determine when institutions, of which 3,920 are they would be subject to the interest rate are independently owned and operated or owned by a holding company with considered small entities for the restrictions? 42 less than or equal to $550 million in purposes of RFA. As of March 31, VI. Administrative Law Matters total assets.41 2019, 20 small, FDIC-insured depository Generally, the FDIC considers a institutions were less than well A. Paperwork Reduction Act 43 significant effect to be a quantified effect capitalized. This represents less than In accordance with the requirements in excess of 5 percent of total annual two-fifths of one percent of all FDIC- of the Paperwork Reduction Act (PRA) salaries and benefits per institution, or insured institutions as of March 31, of 1995, 44 U.S.C. 3501–3521, the FDIC 2.5 percent of total noninterest 2019, and approximately one-half of one may not conduct or sponsor, and the expenses. The FDIC believes that effects percent of small, FDIC-insured respondent is not required to respond in excess of these thresholds typically institutions. For 17 small institutions to, an information collection unless it represent significant effects for FDIC- that were less than well capitalized as displays a currently valid Office of insured institutions. of March 31, 2019, and that reported Management and Budget (OMB) control The FDIC is proposing revisions to its rates to a private data aggregator, FDIC number. This proposed rule does not regulations relating to interest rate analysts compared the national rate caps create a new or revise an existing restrictions that apply to less than well calculated under the current information collection. Therefore, no capitalized insured depository methodology with the national rate caps Paperwork Reduction Act clearance institutions, by amending the which would have been in effect under submission to OMB will be made. methodology for calculating the national the proposal during the month of March rate and national rate cap. The proposal across 11 deposit products.44 As B. Solicitation of Comments on Use of Plain Language 40 5 U.S.C. 601 et seq. 42 March 31, 2019, FFIEC Call Report. 41 The SBA defines a small banking organization 43 Id. The 20 institutions do not include any Section 722 of the Gramm-Leach as having $550 million or less in assets, where ‘‘a quantitatively well capitalized institutions that may Bliley Act,39 requires the Federal financial institution’s assets are determined by have been administratively classified as less than banking agencies to use plain language averaging the assets reported on its four quarterly well capitalized. in all proposed and final rules financial statements for the preceding year.’’ See 13 44 The 11 products are savings accounts, interest CFR 121.201 (as amended, effective December 2, checking accounts, money market deposit accounts, published after January 1, 2000. The 2014). ‘‘SBA counts the receipts, employees, or 1-month, 3-month, 6-month, 12-month, 24-month, FDIC invites your comments on how to other measure of size of the concern whose size is 36-month, 48-month, and 60-month CDs. Jumbo make this revised proposal easier to at issue and all of its domestic and foreign and non-jumbo rate caps reported for the week of understand. For example: affiliates.’’ See 13 CFR 121.103. Following these March 4, 2019, were averaged for each of the 11 regulations, the FDIC uses a covered entity’s products to calculate a single rate cap per product affiliated and acquired assets, averaged over the under the current methodology. (https:// 39 Public Law 106–102, 113 Stat. 1338, 1471 (Nov. preceding four quarters, to determine whether the www.fdic.gov/regulations/resources/rates/ 12, 1999). covered entity is ‘‘small’’ for the purposes of RFA. historical/2019-03-04.html).

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described in more detail below, the points above the national rate cap for institutions, consider, consistent with analysis shows that the proposed the 48-month CD product. principles of safety and soundness and national rate caps are less restrictive Across all deposit products offered at the public interest, any administrative than the current national rate caps, and rates above the national rate caps burdens that such regulations would would reduce the likelihood that less calculated under the proposed place on depository institutions, than well capitalized institutions would methodology, the rates offered were 7 including small depository institutions, need to avail themselves of the local rate basis points above the national rate caps and customers of depository cap determination process. on average. institutions, as well as the benefits of Five of the 17 (just under 30 percent) No less than well capitalized small such regulations.46 In addition, new less than well capitalized institutions institution reported offering a rate above regulations that impose additional for which data were available reported the national rate caps calculated under reporting, disclosures, or other new offering rates above the national rate the current or proposed methodology for requirements on insured depository caps calculated under the current savings, interest checking, MMDA, or 1- institutions generally must take effect methodology for seven out of the 11 month CD products during the on the first day of a calendar quarter products considered.45 Under the timeframe considered. that begins on or after the date on which proposed methodology, three The number of small, less than well the regulations are published in final institutions reported rates above the capitalized institutions with offered form. national rate caps on two products. rates above the national rate caps falls Because the proposal would not Thus, the number of deposit products from five under the current impose additional reporting, disclosure, with rates constrained by the national methodology to three under the or other requirements on IDIs, section rate cap is reduced for all five proposed methodology. Thus, the 302 of the RCDRIA therefore does not institutions, and two of those number of small less than well apply. Nevertheless, the requirements of institutions would be relieved of the capitalized institutions that need to rely RCDRIA will be considered as part of need to avail themselves of the local rate on a local rate cap is expected to fall. the overall rulemaking process. In The FDIC cannot more precisely cap determination process. addition, the FDIC also invites any other quantify the effects of the proposed rule For the 3-month, 6-month, 36-month, comments that further will inform the relative to the current methodology and 48-month CD products, two less FDIC’s consideration of RCDRIA. than well capitalized small institutions because it lacks data on the dollar reported offering rates above the amounts placed in deposit products List of Subjects in 12 CFR Part 337 national rate caps calculated under the broken down by the rates offered. Banks, Banking, Reporting and current methodology. On average, the However, few small institutions are less recordkeeping requirements, Savings reported offering rates were 6, 13, 29, than well capitalized, and most of those associations, Securities. and 58 basis points above the national small, less than well capitalized rate caps, respectively. institutions for which data were Authority and Issuance Three institutions reported offering available reported rates across the 11 For the reasons stated in the rates above the national rate caps deposit products considered that were preamble, the FDIC proposes to amend calculated under the current below the national rate caps as 12 CFR part 337 as follows: methodology for the 12-month and 24- calculated under both the current and month CD products, and four reported proposed methodologies. For the few PART 337—UNSAFE AND UNSOUND offering rates above the national rate less than well capitalized institutions as BANKING PRACTICES caps as currently calculated for the 60- of March 31, 2019 whose deposit month CD product. Rates offered on the interest rates are constrained by the ■ 1. The authority for 12 CFR part 337 12-month and 24-month CD products current national rate cap but not the continues to read: were 37 and 45 basis points above the proposed rate cap, the effect of the rule Authority: 12 U.S.C. 375a(4), 375b, national rate caps, on average. Rates would be burden reducing in the sense 1463(a)(1),1816, 1818(a), 1818(b), 1819, offered on the 60-month CD product of reducing the need for local rate cap 1820(d), 1828(j)(2), 1831, 1831f, 5412. averaged 26 basis points above the determinations. ■ 2. Amend § 337.6 as follows: national rate cap for that product. Based on the foregoing information, ■ a. Revise paragraphs (a) introductory Across all deposit products offered at the FDIC certifies that the proposed rule text and (a)(3)(i) through (iii); rates above the national rate caps will not significantly affect a substantial ■ b. Remove paragraph (a)(5)(iii); calculated under the current number of small entities. The FDIC ■ c. Remove paragraphs (b)(2)(ii) and methodology, the rates offered were 30 welcomes comments on its analysis. (b)(3)(ii) and redesignate paragraphs basis points above the national rate caps Specifically, what data would help the (b)(2)(i) and (b)(3)(i) as paragraphs (b)(2) on average. FDIC better quantify the effects of the and (3); and Had the national rate caps in effect at proposal compared with the current ■ d. Remove paragraph (f). the time been calculated under the methodology? The revisions read as follows: proposed methodology, then two less than well capitalized small institutions D. Riegle Community Development and § 337.6 Brokered deposits. would have reported offering rates that Regulatory Improvement Act (a) Definitions. For the purposes of averaged 11 basis points above the Section 302 of the Riegle Community this section and § 337.7, the following national rate cap for the 3-month CD Development and Regulatory definitions apply: product, and one institution would have Improvement Act of 1994 (RCDRIA), 12 * * * * * reported offering a rate three basis U.S.C. 4701, requires that each Federal (3) * * * banking agency, in determining the (i) For purposes of section 29 of the 45 This is not meant to suggest that these effective date and administrative Federal Deposit Insurance Act, this institutions are not in compliance with the national compliance requirements for new section, and § 337.7, the terms well rate caps, but rather that they have sought and received local rate determinations that allow them regulations that impose additional capitalized, adequately capitalized, and to offer certain products at rates above the national reporting, disclosure, or other caps. requirements on insured depository 46 12 U.S.C. 4802.

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undercapitalized,11 shall have the same percentile by insured depository should follow the notice provisions in meaning for each insured depository institutions, for which data is available, paragraph (d) of this section. institution as provided under weighted by each institution’s share of (d) Notice related to local market rate regulations implementing section 38 of total domestic deposits; or cap applicability. An insured depository the Federal Deposit Insurance Act (ii) The national rate plus 75 basis institution that seeks to pay a rate of issued by the appropriate federal points. interest up to its local market rate cap banking agency for that institution.12 (3) Local market rate cap. 90 percent shall provide notice and evidence of the (ii) If the appropriate federal banking of the highest interest rate paid on a highest rate paid on a particular deposit agency reclassifies a well capitalized particular deposit product in the product in the institution’s local market insured depository institution as institution’s local market area. An adequately capitalized pursuant to institution’s local market rate cap shall area to the appropriate regional director. section 38 of the Federal Deposit be based upon the rate offered on a The institution shall update its evidence Insurance Act, the institution so particular product type and maturity and calculations periodically, as reclassified shall be subject to the period by an insured depository requested by the appropriate regional provisions applicable to such lower institution or credit union that is director, and make such information capital category under this section and accepting deposits at a physical location available for inspection by examination § 337.7. within the institution’s local market staff. (iii) An insured depository institution area. (e) Offering products with off-tenor shall be deemed to be within a given (4) Local market area. An institution’s capital category for purposes of this maturities. If an institution seeks to local market area is any readily defined accept or solicit by offering a product section and § 337.7 as of the date the geographical area, which may include institution is notified of, or is deemed with an off-tenor maturity for which the the State, county or metropolitan Corporation does not publish the to have notice of, its capital category, statistical area, in which the insured under regulations implementing section national rate cap or that is not accepted depository institution solicits depositors 38 of the Federal Deposit Insurance Act or solicited by competing institutions by offering rates on a particular deposit issued by the appropriate federal within its local market area, then the product. banking agency for that institution.13 institution will be required to use the (5) On-tenor and off-tenor maturities. rate accepted or solicited on the next * * * * * On-tenor maturities include the ■ lowest on-tenor maturity for that 3. Add § 337.7 to read as follows: following term periods: 1-month, 3- product when determining its § 337.7 Interest rate restrictions. month, 6-month, 12-month, 24-month, 36-month, 48-month, and 60-month. All applicable national or local market rate (a) Definitions—(1) National rate. The cap. For example, an institution seeking weighted average of rates paid by all other term periods are considered off- tenor maturities for purposes of this to accept or solicit a 26-month insured depository institutions on a certificate of deposit must use the rate given deposit product, for which data section. offered for a 24-month certificate of are available, where the weights are (b) Computation and publication of deposit to determine the institution’s each institution’s market share of national rate cap—(1) Computation. domestic deposits. The Corporation will compute the applicable national or local market rate (2) National rate cap. The higher of: national rate cap for different deposit cap. (i) The interest rate offered on a products and maturities, as determined (f) Discretion to delay effect of particular deposit product at the 95th by the Corporation based on available published national rate cap. In the and reported data. event of a substantial unexpected 11 The term undercapitalized includes any (2) Publication. The Corporation will decrease in the published national rate institution that is significantly undercapitalized or publish the national rate cap monthly, critically undercapitalized under regulations cap from one month to the next, the implementing section 38 of the Federal Deposit but reserves the discretion to publish Corporation may, in its discretion, delay Insurance Act and issued by the appropriate federal more or less frequently, if needed, on the date on which the published banking agency for that institution. the Corporation’s website. Except as national rate cap takes effect. The 12 For the most part, the capital measure terms are provided in paragraph (e) of this previously published national rate cap defined in the following regulations: FDIC—12 CFR section, for institutions that are less part 324, subpart H; Board of Governors of the will remain in effect until the effective than well capitalized at the time of Federal Reserve System—12 CFR part 208; and date, as determined by the Corporation, Office of the Comptroller of the Currency—12 CFR publication, a national rate cap that is part 6. lower than the previously published of the subsequent published national 13 The regulations implementing section 38 of the rate cap. Federal Deposit Insurance Act and issued by the national rate cap will take effect 3 days federal banking agencies generally provide that an after publication. The previously Federal Deposit Insurance Corporation. insured depository institution is deemed to have published national rate cap will remain By order of the Board of Directors. been notified of its capital levels and its capital in effect during this 3-day period. Dated at Washington, DC, on August 20, category as of the most recent date: (1) A Consolidated Report of Condition and Income is (c) Application—(1) Well capitalized 2019. required to be filed with the appropriate federal institutions. A well capitalized Robert E. Feldman, banking agency; (2) A final report of examination institution may pay interest without is delivered to the institution; or (3) Written notice Executive Secretary. is provided by the appropriate federal banking restriction under this section. [FR Doc. 2019–18360 Filed 9–3–19; 8:45 am] agency to the institution of its capital category for (2) Institutions that are not well BILLING CODE 6714–01–P purposes of section 38 of the Federal Deposit capitalized. An institution that is not Insurance Act and implementing regulations or that well capitalized may not accept or the institution’s capital category has changed. Provisions specifying the effective date of solicit deposits by offering a rate of determination of capital category are generally interest on any deposit which exceeds published in the following regulations: FDIC—12 the national rate cap. A less than well CFR 324.402; Board of Governors of the Federal capitalized institution that seeks to pay Reserve System—12 CFR part 208, subpart D; and Office of the Comptroller of the Currency—12 CFR a rate above the national rate cap but not 6.3. exceeding its local market rate cap,

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DEPARTMENT OF TRANSPORTATION 2200 South 216th St., Des Moines, WA. cracks are typically too small initially to For information on the availability of be reliably detected with normal Federal Aviation Administration this material at the FAA, call 206–231– inspection methods. Without 3195. It is also available on the internet intervention, these cracks will grow, 14 CFR Part 39 at http://www.regulations.gov by and eventually compromise the [Docket No. FAA–2019–0670; Product searching for and locating Docket No. structural integrity of the airplane. This Identifier 2019–NM–104–AD] FAA–2019–0670. condition is known as WFD. It is associated with general degradation of Examining the AD Docket RIN 2120–AA64 large areas of structure with similar You may examine the AD docket on structural details and stress levels. As Airworthiness Directives; The Boeing the internet at http:// an airplane ages, WFD will likely occur, Company Airplanes www.regulations.gov by searching for and will certainly occur if the airplane AGENCY: Federal Aviation and locating Docket No. FAA–2019– is operated long enough without any Administration (FAA), DOT. 0670; or in person at Docket Operations intervention. between 9 a.m. and 5 p.m., Monday ACTION: Notice of proposed rulemaking The FAA’s WFD final rule (75 FR through Friday, except Federal holidays. (NPRM). 69746, November 15, 2010) became The AD docket contains this NPRM, the effective on January 14, 2011. The WFD SUMMARY: The FAA proposes to adopt a regulatory evaluation, any comments rule requires certain actions to prevent new airworthiness directive (AD) for received, and other information. The structural failure due to WFD certain The Boeing Company Model street address for Docket Operations is throughout the operational life of 737–200, –200C, –300, –400, and –500 listed above. Comments will be certain existing transport category series airplanes. This proposed AD was available in the AD docket shortly after airplanes and all of these airplanes that prompted by an evaluation by the receipt. will be certificated in the future. For design approval holder (DAH) FOR FURTHER INFORMATION CONTACT: existing and future airplanes subject to indicating that the lower skin of the James Guo, Aerospace Engineer, the WFD rule, the rule requires that fuselage skin lap splices along the lower Airframe Section, FAA, Los Angeles DAHs establish a limit of validity (LOV) fastener row of a certain stringer lap ACO Branch, 3960 Paramount of the engineering data that support the splice on certain body station skin Boulevard, Lakewood, CA 90712–4137; structural maintenance program. panels is subject to widespread fatigue phone: 562–627–5357; fax: 562–627– Operators affected by the WFD rule may damage (WFD). This proposed AD 5210; email: [email protected]. not fly an airplane beyond its LOV, would require inspections of the lower SUPPLEMENTARY INFORMATION: unless an extended LOV is approved. The WFD rule (75 FR 69746, skin of the fuselage skin lap splices Comments Invited along the lower fastener row of a lap November 15, 2010) does not require splice on certain body station skin The FAA invites you to send any identifying and developing maintenance panels and applicable on-condition written relevant data, views, or actions if the DAHs can show that such actions. The FAA is proposing this AD arguments about this proposal. Send actions are not necessary to prevent to address the unsafe condition on these your comments to an address listed WFD before the airplane reaches the products. under the ADDRESSES section. Include LOV. Many LOVs, however, do depend ‘‘Docket No. FAA–2019–0670; Product on accomplishment of future DATES: The FAA must receive comments Identifier 2019–NM–104–AD’’ at the maintenance actions. As stated in the on this proposed AD by October 21, beginning of your comments. The FAA WFD rule, any maintenance actions 2019. specifically invites comments on the necessary to reach the LOV will be ADDRESSES: You may send comments, overall regulatory, economic, mandated by airworthiness directives using the procedures found in 14 CFR environmental, and energy aspects of through separate rulemaking actions. 11.43 and 11.45, by any of the following this NPRM. The FAA will consider all In the context of WFD, this action is methods: comments received by the closing date necessary to enable DAHs to propose • Federal eRulemaking Portal: Go to and may amend this NPRM because of LOVs that allow operators the longest http://www.regulations.gov. Follow the those comments. operational lives for their airplanes, and instructions for submitting comments. The FAA will post all comments still ensure that WFD will not occur. • Fax: 202–493–2251. received, without change, to http:// This approach allows for an • Mail: U.S. Department of www.regulations.gov, including any implementation strategy that provides Transportation, Docket Operations, M– personal information you provide. The flexibility to DAHs in determining the 30, West Building Ground Floor, Room FAA will also post a report timing of service information W12–140, 1200 New Jersey Avenue SE, summarizing each substantive verbal development (with FAA approval), Washington, DC 20590. contacts received about this proposed while providing operators with certainty • Hand Delivery: Deliver to Mail AD. regarding the LOV applicable to their address above between 9 a.m. and 5 airplanes. p.m., Monday through Friday, except Discussion The FAA has received a report Federal holidays. Fatigue damage can occur locally, in indicating that an operator of a Model For service information identified in small areas or structural design details, 737–300 airplane discovered a crack in this NPRM, contact Boeing Commercial or globally, in widespread areas. the skin at a chem-milled step at body Airplanes, Attention: Contractual & Data Multiple-site damage is widespread station (STA) 727B+10, just above Services (C&DS), 2600 Westminster damage that occurs in a large structural stringer (S)-14R. The airplane had Blvd., MC 110–SK57, Seal Beach, CA element such as a single rivet line of a accumulated 88,805 flight hours and 90740–5600; phone: 562–797–1717; lap splice joining two large skin panels. 65,804 flight cycles at the time the crack internet: https:// Widespread damage can also occur in was found. Upon further inspection in www.myboeingfleet.com. You may view multiple elements such as adjacent the local area using high frequency eddy this referenced service information at frames or stringers. Multiple-site current (HFEC) hole probe inspection, the FAA, Transport Standards Branch, damage and multiple-element damage multiple fastener hole cracks were

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found in the S–14 lap splice lower row skin lap splices along the lower fastener Proposed AD Requirements in the lower skin between STA 727A row of the S–14 lap splice at specified and STA 727E. The lower skin at S–14 locations on the STA 727 to STA 908 This proposed AD would require is structure that may be susceptible to skin panel in areas not inspected by accomplishment of the actions WFD and may also have scratches that other service bulletins, and applicable identified in Boeing Alert Requirements can propagate into cracks. The scratch on-condition actions. On-condition Bulletin 737–53A1382 RB, dated May 6, cracks may interact with fatigue actions include open hole HFEC 2019, described previously, except for cracking. This condition, if not inspections for cracks, and repair. any differences identified as exceptions addressed, could result in rapid This service information is reasonably in the regulatory text of this proposed decompression or loss of structural available because the interested parties AD. integrity of the airplane. have access to it through their normal For information on the procedures course of business or by the means and compliance times, see this service Related Service Information Under 1 identified in the ADDRESSES section. information at http:// CFR Part 51 www.regulations.gov by searching for The FAA reviewed Boeing Alert FAA’s Determination and locating Docket No. FAA–2019– Requirements Bulletin 737–53A1382 The FAA is proposing this AD 0670. RB, dated May 6, 2019. The service because the agency evaluated all the Costs of Compliance information describes procedures for relevant information and determined detailed inspections for previous the unsafe condition described The FAA estimates that this proposed repairs, and repetitive dual frequency previously is likely to exist or develop AD affects 158 airplanes of U.S. registry. eddy current (DFEC) inspections for in other products of the same type The FAA estimates the following costs cracks of the lower skin of the fuselage design. to comply with this proposed AD:

ESTIMATED COSTS FOR REQUIRED ACTIONS

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

DFEC Inspections of S–14 18 work-hours × $85 per hour $0 $1,530 per inspection ...... $241,740 per inspection. Lap Splices. = $1,530 per inspection.

The FAA estimates the following inspections that would be required. The number of aircraft that might need these costs to do any necessary on-condition FAA has no way of determining the on-condition actions:

ESTIMATED COSTS OF ON-CONDITION ACTIONS

Cost per Labor cost Parts cost product

97 work-hours × $85 per hour = $8,245 ...... $0 $8,245

The FAA has received no definitive unsafe condition that is likely to exist or on the distribution of power and data that would enable us to provide develop on products identified in this responsibilities among the various cost estimates for the on-condition rulemaking action. levels of government. repairs specified in this proposed AD. This proposed AD is issued in For the reasons discussed above, I Authority for This Rulemaking accordance with authority delegated by certify this proposed regulation: the Executive Director, Aircraft 1. Is not a ‘‘significant regulatory Title 49 of the United States Code Certification Service, as authorized by action’’ under Executive Order 12866, specifies the FAA’s authority to issue FAA Order 8000.51C. In accordance 2. Will not affect intrastate aviation in rules on aviation safety. Subtitle I, with that order, issuance of ADs is Alaska, and section 106, describes the authority of normally a function of the Compliance the FAA Administrator. Subtitle VII: and Airworthiness Division, but during 3. Will not have a significant Aviation Programs, describes in more this transition period, the Executive economic impact, positive or negative, detail the scope of the Agency’s Director has delegated the authority to on a substantial number of small entities authority. issue ADs applicable to transport under the criteria of the Regulatory The FAA is issuing this rulemaking category airplanes and associated Flexibility Act. under the authority described in appliances to the Director of the System List of Subjects in 14 CFR Part 39 Subtitle VII, Part A, Subpart III, Section Oversight Division. Air transportation, Aircraft, Aviation 44701: General requirements. Under Regulatory Findings that section, Congress charges the FAA safety, Incorporation by reference, with promoting safe flight of civil The FAA determined that this Safety. aircraft in air commerce by prescribing proposed AD would not have federalism The Proposed Amendment regulations for practices, methods, and implications under Executive Order procedures the Administrator finds 13132. This proposed AD would not Accordingly, under the authority necessary for safety in air commerce. have a substantial direct effect on the delegated to me by the Administrator, This regulation is within the scope of States, on the relationship between the the FAA proposes to amend 14 CFR part that authority because it addresses an national Government and the States, or 39 as follows:

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PART 39—AIRWORTHINESS 737–53A1382 RB, dated May 6, 2019 uses the Issued in Des Moines, Washington, on DIRECTIVES phrase ‘‘the original issue date of August 23, 2019. Requirements Bulletin 737–53A1382 RB,’’ Suzanne Masterson, ■ 1. The authority citation for part 39 this AD requires using ‘‘the effective date of Acting Director, System Oversight Division, continues to read as follows: this AD.’’ Aircraft Certification Service. (2) Where Boeing Alert Requirements Authority: 49 U.S.C. 106(g), 40113, 44701. Bulletin 737–53A1382 RB, dated May 6, [FR Doc. 2019–18980 Filed 9–3–19; 8:45 am] BILLING CODE 4910–13–P § 39.13 [Amended] 2019, specifies contacting Boeing for repair instructions or for alternative inspections: ■ 2. The FAA amends § 39.13 by adding This AD requires doing the repair, or doing the following new airworthiness the alternative inspections and applicable on- directive (AD): condition actions using a method approved DEPARTMENT OF HOMELAND The Boeing Company: Docket No. FAA– in accordance with the procedures specified SECURITY 2019–0670; Product Identifier 2019– in paragraph (j) of this AD. Coast Guard NM–104–AD. (i) Terminating Action (a) Comments Due Date Certain skin panel replacements identified 33 CFR Part 165 The FAA must receive comments by as terminating action in Boeing Alert October 21, 2019. Requirements Bulletin 737–53A1382 RB, Docket Number USCG–2019–0606] dated May 6, 2019, terminate the inspections (b) Affected ADs in the corresponding locations required by RIN 1625–AA00 None. this AD. (c) Applicability (j) Alternative Methods of Compliance Safety Zone, North Washington Street This AD applies to The Boeing Company (AMOCs) Bridge Replacement Project, Charles Model 737–200, –200C, –300, –400, and –500 (1) The Manager, Los Angeles ACO Branch, River, Boston, MA series airplanes, certificated in any category, FAA, has the authority to approve AMOCs AGENCY: Coast Guard, DHS. as identified in Boeing Alert Requirements for this AD, if requested using the procedures Bulletin 737–53A1382 RB, dated May 6, found in 14 CFR 39.19. In accordance with ACTION: Notice of proposed rulemaking. 2019. 14 CFR 39.19, send your request to your SUMMARY: The Coast Guard proposes to (d) Subject principal inspector or local Flight Standards District Office, as appropriate. If sending establish a temporary safety zone for the Air Transport Association (ATA) of navigable waters within 100 yards of the America Code 53, Fuselage. information directly to the manager of the certification office, send it to the attention of North Washington Street Bridge, Charles (e) Unsafe Condition the person identified in paragraph (k)(1) of River, Boston, Massachusetts, from This AD was prompted by an evaluation by this AD. Information may be emailed to: 9- December 1, 2019 through December 31, the design approval holder (DAH) indicating [email protected]. 2023. The temporary safety zone is that the lower skin of the fuselage skin lap (2) Before using any approved AMOC, necessary to protect personnel, vessels, splices along the lower fastener row of the notify your appropriate principal inspector, and the marine environment from stringer (S)-14 lap splice on certain body or lacking a principal inspector, the manager potential hazards created during the station skin panels is subject to widespread of the local flight standards district office/ replacement project of the North certificate holding district office. fatigue damage (WFD). The FAA is issuing Washington Street Bridge. When this AD to address scratch cracks and fatigue (3) An AMOC that provides an acceptable cracking which may interact and could result level of safety may be used for any repair, enforced, this proposed rule would in rapid decompression or loss of structural modification, or alteration required by this prohibit vessels and persons from being integrity of the airplane. AD if it is approved by The Boeing Company in the safety zone unless authorized by Organization Designation Authorization the Captain of the Port Boston or a (f) Compliance (ODA) that has been authorized by the designated representative. We invite Comply with this AD within the Manager, Los Angeles ACO Branch, FAA, to your comments on this proposed compliance times specified, unless already make those findings. To be approved, the rulemaking. done. repair method, modification deviation, or alteration deviation must meet the DATES: Comments and related material (g) Required Actions certification basis of the airplane, and the must be received by the Coast Guard on Except as specified by paragraph (h) of this approval must specifically refer to this AD. or before October 4, 2019. AD: At the applicable times specified in the ADDRESSES: ‘‘Compliance’’ paragraph of Boeing Alert (k) Related Information You may submit comments Requirements Bulletin 737–53A1382 RB, (1) For more information about this AD, identified by docket number USCG– dated May 6, 2019, do all applicable actions contact James Guo, Aerospace Engineer, 2019–0606 using the Federal identified in, and in accordance with, the Airframe Section, FAA, Los Angeles ACO eRulemaking Portal at http:// Accomplishment Instructions of Boeing Alert Branch, 3960 Paramount Boulevard, www.regulations.gov. See the ‘‘Public Requirements Bulletin 737–53A1382 RB, Lakewood, CA 90712–4137; phone: 562–627– Participation and Request for dated May 6, 2019. 5357; fax: 562–627–5210; email: james.guo@ Comments’’ portion of the Note 1 to paragraph (g): Guidance for faa.gov. SUPPLEMENTARY INFORMATION section for accomplishing the actions required by this (2) For service information identified in further instructions on submitting AD can be found in Boeing Alert Service this AD, contact Boeing Commercial comments. Bulletin 737–53A1382, dated May 6, 2019, Airplanes, Attention: Contractual & Data which is referred to in Boeing Alert Services (C&DS), 2600 Westminster Blvd., FOR FURTHER INFORMATION CONTACT: If Requirements Bulletin 737–53A1382 RB, MC 110–SK57, Seal Beach, CA 90740–5600; you have questions about this proposed dated May 6, 2019. phone: 562–797–1717; internet: https:// rulemaking, call or email Mark Cutter, www.myboeingfleet.com. You may view this Waterways Management Division, U.S. (h) Exceptions to Service Information referenced service information at the FAA, Specifications Coast Guard Sector Boston, telephone Transport Standards Branch, 2200 South 617–223–4000, email Mark.E.Cutter@ (1) For purposes of determining 216th St., Des Moines, WA. For information uscg.mil. compliance with the requirements of this AD: on the availability of this material at the Where Boeing Alert Requirements Bulletin FAA, call 206–231–3195. SUPPLEMENTARY INFORMATION:

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I. Table of Abbreviations marine environment from potential needs to be enforced. However, CFR Code of Federal Regulations hazards created during the replacement MassDOT and the contractor are making COTP Captain of the Port project of the North Washington Street all attempts to schedule these needed DHS Department of Homeland Security Bridge, Charles River, Boston, closures during the winter months when FR Federal Register Massachusetts. The Coast Guard is the Charles River is iced over or during NPRM Notice of proposed rulemaking proposing this rulemaking under the fall and spring when boating traffic NAD 83 North American Datum 1983 authority in 46 U.S.C. 70034 (previously is minimal. We expect the adverse § Section 33 U.S.C. 1231). economic impact of this proposed rule U.S.C. United States Code to be minimal. We will provide ample III. Discussion of Proposed Rule MassDOT Massachusetts Department of notice of the safety zone effective dates Transportation The Coast Guard is proposing to and vessels will be able to enter the II. Background, Purpose, and Legal establish a safety zone starting at 12:01 safety zone when construction Basis a.m. on December 1, 2019, to 11:59 p.m. equipment is not occupying the on December 31, 2023. The safety zone channel. Although this regulation may Massachusetts Department of would cover all navigable waters within have some adverse impact on the Transportation (MassDOT) notified 100 yards of the North Washington public, the potential impact will be Sector Boston that there will be times in Street Bridge, Charles River, Boston, minimal because the boating season for which the navigable channels Massachusetts. The safety zone will vessels on the Charles River usually underneath the North Washington Street only be enforced during periods when begins in early May and concludes in Bridge, Charles River, Boston, work barges and cranes will be placed October. If a summer time closure is Massachusetts, will need to be closed in the navigable channel or when other needed, with the exception of an for the removal of the old bridge spans, hazards to navigation exist. Any closure emergency, we will coordinate with demolition of the swing span pier is expected to last less than two weeks. MassDOT, the contractor, and the foundation, construction of the The duration of the zone is intended to Harbormaster to ensure that all abutment, and replacement of the span. ensure the safety of vessels, the alternatives are explored, the duration is The exact times are currently unknown. maritime public, construction workers, of the shortest possible timeframe, and However, every effort is being made by and the marine environment during a minimum of two weeks notification the MassDOT and contractor to periods of replacement of the North has been given to the boating public via schedule these closures during the Washington Street Bridge, over the main Local Notice to Mariners, Safety Marine winter months when the Charles River channel at the entrance of the Charles Information Broadcast via marine is iced over or during the fall and spring River, Boston, Massachusetts. During channel 16 (VHF–FM) and through the when boating traffic is minimal. the enforcement period, all vessels and Massachusetts Boating & Yacht Clubs The replacement project started in the persons must obtain permission from Associations network. summer of 2018 and is expected to be the COTP Boston or a designated B. Impact on Small Entities completed in the spring of 2023. The representative before entering the safety COTP Boston determined that the zone. The Regulatory Flexibility Act of potential hazards associated with the 1980, 5 U.S.C. 601–612, as amended, removal of the old bridge spans, IV. Regulatory Analyses requires Federal agencies to consider demolition of the swing span pier We developed this proposed rule after the potential impact of regulations on foundation, construction of the considering numerous statutes and small entities during rulemaking. The abutment, and replacement of the span Executive orders related to rulemaking. term ‘‘small entities’’ comprises small will be a safety concern for anyone Below we summarize our analyses businesses, not-for-profit organizations within the work area. The proposed based on a number of these statutes and that are independently owned and temporary safety zone would be Executive orders and we discuss First operated and are not dominant in their enforced during the removal of the old Amendment rights of protestors. fields, and governmental jurisdictions bridge spans, demolition of the swing with populations of less than 50,000. A. Regulatory Planning and Review span pier foundation, construction of The Coast Guard certifies under 5 U.S.C. the abutment, and replacement of the Executive Orders 12866 and 13563 605(b) that this proposed rule will not span or when other hazards to direct agencies to assess the costs and have a significant economic impact on navigation arise. No vessel or person benefits of available regulatory a substantial number of small entities. will be permitted to enter the proposed alternatives and, if regulation is While some owners or operators of temporary safety zone without obtaining necessary, to select regulatory vessels intending to transit this safety permission from the COTP or a approaches that maximize net benefits. zone may be small entities, for the designated representative. Executive Order 13771 directs agencies reasons stated in section IV.A above, The Coast Guard will notify the to control regulatory costs through a this proposed rule will not have a public of closures through the budgeting process. This proposed rule significant economic impact on any Massachusetts Bay Harbor Safety has not been designated a ‘‘significant vessel owner or operator. Committee meetings, Boston’s Port regulatory action,’’ under Executive If you think that your business, Operators Group meetings, Local Notice Order 12866. Accordingly, the proposed organization, or governmental to Mariners, and through the rule has not been reviewed by the Office jurisdiction qualifies as a small entity Massachusetts Boating & Yacht Clubs of Management and Budget (OMB), and and that this rule would have a Associations network. The Coast Guard pursuant to OMB guidance it is exempt significant economic impact on it, will issue a Safety Marine Information from the requirements of Executive please submit a comment (see Broadcast (SMIB) via marine channel 16 Order 13771. ADDRESSES) explaining why you think it (VHF–FM) seven days in advance of the This regulatory action determination qualifies and how and to what degree commencement of the proposed safety is based on the size, location, duration, this rule would economically affect it. zone. and time of year of the safety zone. Under section 213(a) of the Small The purpose of this rulemaking is to There may be a time during the boating Business Regulatory Enforcement protect personnel, vessels, and the summer season that the safety zone Fairness Act of 1996 (Pub. L. 104–121),

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we want to assist small entities in F. Environment docket number for this rulemaking, understanding this rule. If the rule We have analyzed this proposed rule indicate the specific section of this would affect your small business, under Department of Homeland document to which each comment organization, or governmental Security Directive 023–01 and applies, and provide a reason for each jurisdiction and you have questions Environmental Planning COMDTINST suggestion or recommendation. concerning its provisions or options for 5090.1 (series), which guide the Coast We encourage you to submit compliance, please contact the person Guard in complying with the National comments through the Federal listed in the FOR FURTHER INFORMATION Environmental Policy Act of 1969 (42 eRulemaking Portal at http:// CONTACT section. The Coast Guard will U.S.C. 4321–4370f), and have made a www.regulations.gov. If your material not retaliate against small entities that preliminary determination that this cannot be submitted using http:// question or complain about this action is one of a category of actions that www.regulations.gov, contact the person FOR FURTHER INFORMATION proposed rule or any policy or action of do not individually or cumulatively in the the Coast Guard. have a significant effect on the human CONTACT section of this document for environment. This proposed rule alternate instructions. C. Collection of Information We accept anonymous comments. All involves the establishment of a comments received will be posted This proposed rule would not call for temporary safety zone for the navigable without change to http:// a new collection of information under waters within 100 yards of the North www.regulations.gov and will include the Paperwork Reduction Act of 1995 Washington Street Bridge, Charles any personal information you have (44 U.S.C. 3501–3520). River, Boston, Massachusetts, from provided. For more about privacy and December 1, 2019 through December 31, D. Federalism and Indian Tribal the docket, visit http:// 2023 for the replacement of the bridge. Governments www.regulations.gov/privacyNotice. The safety zone will only be enforced Documents mentioned in this NPRM A rule has implications for federalism during periods when work barges and as being available in the docket, and all under Executive Order 13132 cranes will be placed in the navigable public comments, will be in our online (Federalism), if it has a substantial channel or when other hazards to docket at http://www.regulations.gov direct effect on the States, on the navigation arise. As discussed in our and can be viewed by following that relationship between the national pre-construction meeting, any closure is website’s instructions. Additionally, if government and the States, or on the expected to be of less than a two-week you go to the online docket and sign up distribution of power and duration and all attempts are being for email alerts, you will be notified responsibilities among the various made by MassDOT and contractor to when comments are posted or a final levels of government. We have analyzed schedule these closures during winter rule is published. this proposed rule under that Order and months when there is no boating traffic have determined that it is consistent or during the spring and fall season List of Subjects in 33 CFR Part 165 with the fundamental federalism when boating traffic is minimal. Marine safety, Navigation (water), principles and preemption requirements Normally, such actions are categorically described in Executive Order 13132. Reporting and record keeping excluded from further review under requirements, Waterways. Also, this proposed rule does not have paragraph L60(a) of Table 3–1 of U.S. For the reasons discussed in the tribal implications under Executive Coast Guard Environmental Planning preamble, the Coast Guard proposes to Order 13175, Consultation and Implementing Procedures 5090.1. A amend 33 CFR part 165 as follows: Coordination with Indian Tribal preliminary Record of Environmental Governments, because it would not have Consideration supporting this PART 165—REGULATED NAVIGATION a substantial direct effect on one or determination is available in the docket AREAS AND LIMITED ACCESS AREAS more Indian tribes, on the relationship where indicated under ADDRESSES. We between the Federal Government and seek any comments or information that ■ 1. The authority citation for part 165 Indian tribes, or on the distribution of may lead to the discovery of a continues to read as follows: power and responsibilities between the significant environmental impact from Authority: 46 U.S.C. 70034, 70051; 33 CFR Federal Government and Indian tribes. this proposed rule. 1.05–1, 6.04–1, 6.04–6, and 160.5; If you believe this proposed rule has G. Protest Activities Department of Homeland Security Delegation implications for federalism or Indian No. 0170.1. tribes, please contact the person listed The Coast Guard respects the First ■ 2. Add § 165.T01–0606 to read as in the FOR FURTHER INFORMATION Amendment rights of protesters. follows: CONTACT section. Protesters are asked to contact the E. Unfunded Mandates Reform Act person listed in the FOR FURTHER § 165.T01–0606 Safety Zone, North INFORMATION CONTACT section to Washington Street Bridge Replacement The Unfunded Mandates Reform Act coordinate protest activities so that your Project—Charles River, Boston, MA of 1995 (2 U.S.C. 1531–1538) requires message can be received without (a) Location. The following area is a Federal agencies to assess the effects of jeopardizing the safety or security of safety zone: All navigable waters within their discretionary regulatory actions. In people, places, or vessels. 100 yards of the North Washington particular, the Act addresses actions Street Bridge, Charles River, Boston, V. Public Participation and Request for that may result in the expenditure by a Massachusetts. Comments State, local, or tribal government, in the (b) Enforcement Periods. This rule is aggregate, or by the private sector of We view public participation as enforceable from 12:01 a.m. on $100,000,000 (adjusted for inflation) or essential to effective rulemaking, and December 1, 2019, to 11:59 p.m. on more in any one year. Though this will consider all comments and material December 31, 2023. proposed rule would not result in such received during the comment period. (c) Definitions. As used in this an expenditure, we do discuss the Your comment can help shape the section: effects of this rule elsewhere in this outcome of this rulemaking. If you (1) Designated representative means preamble. submit a comment, please include the any Coast Guard commissioned,

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warrant, petty officer, or any federal, Dated: August 28, 2019. cannot be submitted using https:// state, or local law enforcement officer Eric. J. Doucette, www.regulations.gov, contact the person who has been designated by the Captain Captain, U.S. Coast Guard, Captain of the in the FOR FURTHER INFORMATION of the Port (COTP) Boston, to act on his Port Boston. CONTACT section of this document for or her behalf. The designated [FR Doc. 2019–19048 Filed 9–3–19; 8:45 am] alternate instructions. representative may be on an official BILLING CODE 9110–04–P FOR FURTHER INFORMATION CONTACT: If patrol vessel or may be on shore and you have questions about this notice, will communicate with vessels via please contact LCDR Michael Newell, VHF–FM radio or loudhailer. In DEPARTMENT OF HOMELAND Seventeenth Coast Guard District (dpw), SECURITY addition, members of the Coast Guard at telephone number (907) 463–2263 or Auxiliary may be present to inform Coast Guard email [email protected], or vessel operators of this regulation. Mr. David Seris, Seventeenth Coast Guard District (dpw), at telephone (2) Official patrol vessels means any 33 CFR Part 167 number (907) 463–2267 or email to Coast Guard, Coast Guard Auxiliary, [USCG–2018–1058] [email protected], or LT state, or local law enforcement vessels Stephanie Bugyis, Seventeenth Coast assigned or approved by the COTP Extension of Comment Period for the Guard District (dpw), at telephone Boston to enforce this section. Port Access Route Study: Alaskan number (907) 463–2265 or email to (d) Regulations. When this safety zone Arctic Coast [email protected]. is enforced, the following regulations, AGENCY: Coast Guard, DHS. SUPPLEMENTARY INFORMATION: On along with those contained in 33 CFR ACTION: Notice of extension of comment December 21, 2018, the Coast Guard 165.23 apply: period. published a notice of study and request (1) No person or vessel may enter or for comments for the Port Access Route SUMMARY: The United States Coast remain in this safety zone without the Study: Alaskan Artic Coast (83 FR Guard is extending the comment period 65701). The comment period in that permission of the COTP Boston or the for the notice of study and request for document closed September 1, 2019. In COTP’s designated representatives. comments for the Port Access Route this action, the Coast Guard is providing However, any person or vessel Study: Alaskan Arctic Coast that we notice that the public comment period permitted to enter the safety zone must published on December 21, 2018. This is extended until January 30, 2020. comply with the directions and orders action will provide the public with Documents mentioned in this notice, of the COTP Boston or a designated additional time and opportunity to and all public comments, are in our representative. provide the Coast Guard with online docket at https:// information regarding the Port Access (2) To obtain permission required by www.regulations.gov and can be viewed Route Study: Alaskan Arctic Coast. The this regulation, individuals may reach by searching the docket number comment period is extended until the COTP Boston or a COTP-designated ‘‘USCG–2018–1058’’. January 30, 2020. representative via Channel 16 (VHF– This notice is issued under authority DATES: Comments and related material FM) or 617–223–5757 (Sector Boston of 33 U.S.C. 1223(c) and 5 U.S.C. 552. Command Center). must be received by the Coast Guard on or before January 30, 2020. Dated: August 29, 2019. (3) Penalties. Those who violate this ADDRESSES: You may submit comments Matthew T. Bell, Jr., section are subject to the penalties set identified by docket number USCG– Rear Admiral, U.S. Coast Guard, Commander, forth in 33 U.S.C. 1232. 2018–1058 using the Federal Seventeenth Coast Guard District. eRulemaking Portal at https:// [FR Doc. 2019–19080 Filed 9–3–19; 8:45 am] www.regulations.gov. If your material BILLING CODE 4910–15–P

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Notices Federal Register Vol. 84, No. 171

Wednesday, September 4, 2019

This section of the FEDERAL REGISTER administrative review of this Notification to Importers 2 contains documents other than rules or antidumping duty order. This notice also serves as a final proposed rules that are applicable to the public. Notices of hearings and investigations, Pursuant to this request, and in reminder to importers for whom this committee meetings, agency decisions and accordance with 19 CFR review is being rescinded of their rulings, delegations of authority, filing of 351.225(c)(1)(i), on May 2, 2019, responsibility under 19 CFR petitions and applications and agency Commerce published a notice of 351.402(f)(2) to file a certificate statements of organization and functions are initiation of an administrative review of regarding the reimbursement of examples of documents appearing in this the antidumping duty order on wind antidumping duties prior to liquidation section. towers from China.3 On May 16, 2019, of the relevant entries during this the petitioner timely withdrew its review period. Failure to comply with request for an administrative review of this requirement could result in the DEPARTMENT OF COMMERCE all 56 companies for which it had Secretary’s presumption that requested a review.4 No other party International Trade Administration reimbursement of the antidumping requested a review. duties occurred and the subsequent assessment of double antidumping Rescission of Review [A–570–981] duties. Utility Scale Wind Towers From the Pursuant to 19 CFR 351.213(d)(1), Notification Regarding Administrative People’s Republic of China: Notice of Commerce will rescind an Protective Orders administrative review, in whole or in Rescission of Antidumping Duty This notice also serves as a reminder Administrative Review; 2018–2019 part, if the party that requested a review withdraws the request within 90 days of to parties subject to administrative AGENCY: Enforcement and Compliance, the publication date of the notice of protective orders (APO) of their International Trade Administration, initiation of the requested review. As responsibility concerning the return or Department of Commerce. noted above, the petitioner withdrew its destruction of proprietary information disclosed under APO in accordance SUMMARY: The Department of Commerce request for review within 90 days of the (Commerce) is rescinding its publication date of the Initiation Notice. with 19 CFR 351.305, which continues administrative review of utility scale No other parties requested an to govern business proprietary wind towers (wind towers) from the administrative review of the order. information in this segment of the People’s Republic of China (China) for Therefore, in accordance with 19 CFR proceeding. Timely written notification the period of review (POR) February 1, 351.213(d)(1), we are rescinding this of the return/destruction of APO 2018, through January 31, 2019, based review on wind towers from China materials or conversion to judicial on the withdrawal of the request for covering the period February 1, 2018, protective order is hereby requested. review. through January 31, 2019, in its entirety. Failure to comply with the regulations and terms of an APO is a violation DATES: Applicable September 4, 2019. Assessment which is subject to sanction. FOR FURTHER INFORMATION CONTACT: This notice is published in Commerce will instruct U.S. Customs Maisha Cryor, AD/CVD Operations, accordance with section 777(i)(1) of the and Border Protection (CBP) to assess Act, and 19 CFR 351.213(d)(4). Office IV, Enforcement and Compliance, antidumping duties on all appropriate International Trade Administration, entries of wind towers from China. Dated: August 23, 2019. U.S. Department of Commerce, 1401 Antidumping duties shall be assessed at James Maeder, Constitution Avenue NW, Washington, rates equal to the cash deposit of Deputy Assistant Secretary for Antidumping DC 20230; telephone: (202) 482–5831. estimated antidumping duties required and Countervailing Duty Operations. SUPPLEMENTARY INFORMATION: at the time of entry, or withdrawal from [FR Doc. 2019–18934 Filed 9–3–19; 8:45 am] Background warehouse, for consumption in BILLING CODE 3510–DS–P accordance with 19 CFR On February 8, 2019, Commerce 351.212(c)(1)(i). Commerce intends to published in the Federal Register a issue appropriate assessment DEPARTMENT OF COMMERCE notice of opportunity to request an instructions to CBP 15 days after the administrative review of the date of publication of this notice of International Trade Administration antidumping duty order on wind towers rescission of administrative review in [C–489–832] from China for the above POR.1 On the Federal Register. February 26, 2019, in accordance with Carbon and Alloy Steel Wire Rod From section 751(a) of the Tariff Act of 1930, 2 See Letter from the petitioner, ‘‘Utility Scale the Republic of Turkey: Rescission of as amended (the Act), and 19 CFR Wind Towers from the People’s Republic of China: Countervailing Duty Administrative 351.213(b), Commerce received a timely Request for Administrative Review,’’ dated Review; 2017–2018 request from the Wind Tower Trade February 26, 2019. 3 AGENCY: Coalition (the petitioner) to conduct an See Initiation of Antidumping and Enforcement and Compliance, Countervailing Duty Administrative Reviews, 84 FR International Trade Administration, 18777 (May 2, 2019) (Initiation Notice). 1 4 Department of Commerce. See Antidumping or Countervailing Duty Order, See Letter from the petitioner, ‘‘Utility Scale SUMMARY: Finding, or Suspended Investigation; Opportunity Wind Towers from the People’s Republic of China: The Department of Commerce to Request Administrative Review, 84 FR 2816 Withdrawal of Request for Administrative Review,’’ (Commerce) is rescinding the (February 8, 2019). dated May 16, 2019. administrative review of the

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countervailing duty (CVD) order on CVD duties on all appropriate entries of now be held at 10:00 a.m. on Friday, carbon and alloy steel wire rod (wire wire rod from Turkey. CVD duties shall September 6, 2019. rod) from the Republic of Turkey be assessed at rates equal to the cash CONTACT PERSON FOR MORE INFORMATION: (Turkey). deposit of estimated CVD duties Christopher Kirkpatrick, 202–418–5964. required at the time of entry, or DATES: Applicable September 4, 2019. Authority: 5 U.S.C. 552b. FOR FURTHER INFORMATION CONTACT: withdrawal from warehouse, for Dated: August 30, 2019. Justin Neuman, AD/CVD Operations, consumption, in accordance with 19 Christopher Kirkpatrick, Office V, Enforcement and Compliance, CFR 351.212(c)(1)(i). Commerce intends International Trade Administration, to issue appropriate assessment Secretary of the Commission. U.S. Department of Commerce, 1401 instructions to CBP 15 days after the [FR Doc. 2019–19155 Filed 8–30–19; 4:15 pm] Constitution Avenue NW, Washington, date of publication of this notice in the BILLING CODE 6351–01–P DC 20230; telephone: (202) 482–0486. Federal Register. SUPPLEMENTARY INFORMATION: Notification to Importers DEPARTMENT OF EDUCATION Background This notice serves as a reminder to On May 23, 2019, Commerce importers of their responsibility under Performance of Accrediting Agencies published in the Federal Register a 19 CFR 351.402(f)(2) to file a certificate Under Review by the Secretary of notice of opportunity to request an regarding the reimbursement of CVD Education administrative review of the CVD order duties prior to liquidation of the AGENCY: U.S. Department of Education, on wire rod from Turkey for the period relevant entries during this review Accreditation Group, Office of September 5, 2017 through December period. Failure to comply with this 31, 2018.1 On May 31, 2019, Icdas Celik requirement could result in Commerce’s Postsecondary Education. Enerji Tersane ve Ulasim Sanayi A.S. presumption that reimbursement of ACTION: Call for written third-party (Icdas), a producer and exporter of wire CVD duties occurred and the comments. rod, filed a timely request for review, in subsequent assessment of doubled CVD SUMMARY: This notice provides accordance with section 751(a) of the duties. information to members of the public on Tariff Act of 1930, as amended (the Act), Notification Regarding Administrative submitting written comments for and 19 CFR 351.213(b).2 Pursuant to Protective Orders accrediting agencies currently this request, and in accordance with undergoing review for purposes of section 751(a) of the Act and 19 CFR This notice also serves as a reminder recognition by the U.S. Secretary of 351.221(c)(1)(i), we initiated an to all parties subject to administrative Education. administrative review of Icdas.3 On protective order (APO) of their August 2, 2019, Icdas filed a timely responsibility concerning the FOR FURTHER INFORMATION CONTACT: withdrawal of request for the disposition of proprietary information Herman Bounds, Director, Accreditation administrative review.4 disclosed under APO in accordance Group, Office of Postsecondary with 19 CFR 351.305. Timely written Education, U.S. Department of Rescission of Review notification of the return/destruction of Education, 400 Maryland Avenue SW, Pursuant to 19 CFR 351.213(d)(1), the APO materials or conversion to judicial Room 270–01, Washington, DC 20202, Secretary will rescind an administrative protective order is hereby requested. telephone: (202) 453–7615, or email: review, in whole or in part, if the party Failure to comply with the regulations [email protected]. and terms of an APO is a violation that requested the review withdraws the SUPPLEMENTARY INFORMATION: This which is subject to sanction. request within 90 days of the date of solicitation of third-party comments This notice is issued and published in publication of the notice of initiation of concerning the performance of accordance with sections 751(a)(1) and the requested review. As noted above, accrediting agencies under review by 777(i)(1) of the Act, and 19 CFR Icdas, the only party to file a request for the Secretary of Education is required 351.213(d)(4). review, withdrew its request by the 90- by § 496(n)(1)(A) of the Higher day deadline. Accordingly, we are Dated: August 28, 2019. Education Act (HEA) of 1965, as rescinding the administrative review of James Maeder, amended. These accrediting agencies the CVD order on wire rod from Turkey Deputy Assistant Secretary for Antidumping will be on the agenda for the Winter for the period September 5, 2017 and Countervailing Duty Operations. 2020 National Advisory Committee on through December 31, 2018. [FR Doc. 2019–19032 Filed 9–3–19; 8:45 am] Institutional Quality and Integrity Assessment BILLING CODE 3510–DS–P meeting. The meeting date has not been Commerce will instruct U.S. Customs determined but will be announced in a and Border Protection (CBP) to assess separate Federal Register notice. Agencies Under Review and COMMODITY FUTURES TRADING 1 See Carbon and Alloy Steel Wire Rod From Evaluation: Below is a list of agencies Turkey: Correction to Notice of Opportunity To COMMISSION currently undergoing review and Request Administrative Review, 84 FR 23760 (May evaluation by the Department’s Office of 23, 2019). Sunshine Act Meetings Postsecondary Education Accreditation 2 See Letter from Icdas, ‘‘Carbon & Alloy Steel Group, including each agency’s current Wire Rod from the Republic of Turkey; Icdas’s FEDERAL REGISTER CITATION OF PREVIOUS and requested scopes of recognition: Request for Administrative Review,’’ dated May 31, ANNOUNCEMENT: 84 FR 44603, August 2019. 26, 2019. Application for Initial Recognition 3 See Initiation of Antidumping and Countervailing Duty Administrative Reviews, 84 FR PREVIOUSLY ANNOUNCED TIME AND DATE OF 1. National Nurse Practitioner 33739 (July 15, 2019). THE MEETING: 10:00 a.m., Wednesday, Residency and Fellowship Training 4 See Letter from Icdas, ‘‘Carbon & Alloy Steel September 4, 2019. Wire Rod from the Republic of Turkey; Icdas’s Consortium. Requested Scope of Withdrawal of Request for Countervailing Duty CHANGES IN THE MEETING: The date of the Recognition: The accreditation of Administrative Review,’’ dated August 2, 2019. meeting has changed. This meeting will postgraduate residency and fellowship

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nurse practitioner (NP) postgraduate Comments: (agency name).’’ The email Authority: 20 U.S.C. 1011c. training programs in the United States. must include the name(s), title, Robert L. King, This recognition also extends to the organization/affiliation, mailing Assistant Secretary for Postsecondary agency’s Appeals Panel. address, email address, and telephone Education. number of the person(s) making the Applications for Renewal of [FR Doc. 2019–19025 Filed 9–3–19; 8:45 am] comment. Comments should be Recognition BILLING CODE P submitted as a Microsoft Word 1. New York State Board of Regents, document or in a medium compatible State Education Department, Office of with Microsoft Word (not a PDF file) the Professions (Public Postsecondary that is attached to an electronic mail DEPARTMENT OF ENERGY Vocational Education, Practical message (email) or provided in the body Environmental Management Site- Nursing). of an email message. Comments about 2. Pennsylvania State Board of Specific Advisory Board, Savannah an agency that has submitted a River Site; Meeting Vocational Education, Bureau of Career compliance report scheduled for review and Technical Education. by the Department must relate to the AGENCY: Office of Environmental 3. Kansas State Board of Nursing. criteria for recognition cited in the Management, Department of Energy. 4. Maryland Board of Nursing. senior Department official’s letter that ACTION: Notice of open meeting. Application for an Expansion of Scope requested the report, or in the Secretary’s appeal decision, if any. SUMMARY: This notice announces a 1. The Association for Biblical Higher meeting of the Environmental Education, Commission on Comments about an agency that has submitted a petition for renewal of Management Site-Specific Advisory Accreditation. Scope of Recognition: Board (EM SSAB), Savannah River Site. The accreditation and preaccreditation recognition must relate to the agency’s compliance with the Criteria for the The Federal Advisory Committee Act (‘‘Candidate for Accreditation’’), at the requires that public notice of this undergraduate level, of institutions of Recognition of Accrediting Agencies, or the Criteria and Procedures for meeting be announced in the Federal biblical higher education in the United Register. States offering both campus-based and Recognition of State Agencies for the distance education instructional Approval of Vocational and Nurse DATES: Monday, September 23, 2019, programs. Requested Scope of Education as appropriate, which are 1:00 p.m.–5:00 p.m.; Tuesday, Recognition: The accreditation and available at http://www.ed.gov/admins/ September 24, 2019, 9:00 a.m.–5:00 p.m. preaccreditation (‘‘Candidate Status’’) of finaid/accred/index.html. ADDRESSES: Francis Marion, 387 King institutions of biblical higher education Only written material submitted by Street, Charleston, SC 29403. in the United States offering the deadline to the email address listed FOR FURTHER INFORMATION CONTACT: undergraduate certificates, associate in this notice, and in accordance with Amy Boyette, Office of External Affairs, degrees, baccalaureate degrees, graduate these instructions, become part of the U.S. Department of Energy, Savannah certificates, and master’s degrees, official record concerning agencies River Operations Office, P.O. Box A, including the accreditation of scheduled for review and are considered Aiken, SC 29802; Phone: (803) 952– educational programs offered via by the Department and NACIQI in their 6120. distance education. deliberations. SUPPLEMENTARY INFORMATION: Purpose of Application for Granting of Academic A later Federal Register notice will the Board: The purpose of the Board is (Masters and Doctoral) Degrees by describe how to register to provide oral to make recommendations to DOE–EM Federal Agencies and Institutions comments at the Winter 2020 meeting and site management in the areas of regarding the recognition of a specific 1. National Intelligence University: environmental restoration, waste accrediting agency or State approval management, and related activities. Undergoing Substantive Change agency. (Reorganization/Command Change). Tentative Agenda Electronic Access to this Document: Compliance Report The official version of this document is Monday, September 23, 2019 1. The Oklahoma Board of Career and the document published in the Federal Opening, Chair Update, and Agenda Technology Education (OBCTE) Register. Free internet access to the Review compliance report includes findings of official edition of the Federal Register Agency Updates noncompliance with the criteria in 34 and the Code of Federal Regulations is Administrative & Outreach Committee Code of Federal Regulations (CFR) § 603 available via the Federal Digital System Update identified in the May 9, 2018 letter from at: www.gpo.gov/fdsys. At this site you Facilities Disposition & Site the senior Department official following can view this document, as well as all Remediation Committee Update the February 7, 2018 NACIQI meeting other documents of this Department Nuclear Materials Committee Update available at: https://opeweb.ed.gov/ published in the Federal Register, in Strategic & Legacy Management aslweb/finalstaffreports.cfm. text or Adobe Portable Document Committee Update Format (PDF). To use PDF, you must Submission of Written Comments Waste Management Committee Update have Adobe Acrobat Reader, which is Break Regarding a Specific Accrediting available free at the site. You may also Presentation: Solar Power Study Update Agency or State Approval Agency access documents of the Department Draft Recommendations Under Review published in the Federal Register by Public Comments Written comments about the using the article search feature at: Recess recognition of a specific accrediting or www.federalregister.gov. Specifically, State agency must be received by through the advanced search feature at Tuesday, September 24, 2019 October 3, 2019, in the this site, you can limit your search to Reconvene [email protected] mailbox documents published by the Agenda Review and include the subject line ‘‘Written Department. Presentations:

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• Liquid Waste Operations Update Partners, LLC’s application for market- DEPARTMENT OF ENERGY • Liquid Waste Regulatory Update based rate authority, with an Lunch Break accompanying rate tariff, noting that Federal Energy Regulatory Presentations: Commission • such application includes a request for Saltstone Reliability blanket authorization, under 18 CFR • Salt Waste Processing Facility Update [Project No. 2744–050] • Tank Closure Cesium Removal part 34, of future issuances of securities (TCCR) Program Update and assumptions of liability. North East Wisconsin Hydro, LLC; • Federal Advisory Committee Act Any person desiring to intervene or to Notice of Drawdown, Temporary Public Comments protest should file with the Federal Variance and Soliciting Comments Voting Energy Regulatory Commission, 888 Take notice that the following Adjourn First Street NE, Washington, DC 20426, hydroelectric application has been filed Public Participation: The meeting is in accordance with Rules 211 and 214 with the Commission and is available open to the public. The EM SSAB, of the Commission’s Rules of Practice for public inspection: Savannah River Site, welcomes the and Procedure (18 CFR 385.211 and a. Application Type: Drawdown of the attendance of the public at its advisory 385.214). Anyone filing a motion to Park Mill Power Canal. committee meetings and will make intervene or protest must serve a copy b. Project No.: 2744–050. every effort to accommodate persons of that document on the Applicant. c. Date Filed: August 5, 2019. with physical disabilities or special d. Applicant: North East Wisconsin needs. If you require special Notice is hereby given that the Hydro, LLC. accommodations due to a disability, deadline for filing protests with regard e. Name of Project: Menominee and please contact Amy Boyette at least to the applicant’s request for blanket Park Mill Hydroelectric Project. seven days in advance of the meeting at authorization, under 18 CFR part 34, of f. Location: The project is located on the telephone number listed above. future issuances of securities and the Menominee River in Menominee Written statements may be filed with assumptions of liability, is September 4, County, Michigan, and Marinette the Board either before or after the 2019. County, Wisconsin. meeting. Individuals who wish to make The Commission encourages g. Filed Pursuant to: Federal Power oral statements pertaining to agenda electronic submission of protests and Act, 16 U.S.C. 791 (a)–825(r). items should contact Amy Boyette’s interventions in lieu of paper, using the h. Applicant Contact: Mr. Michael office at the address or telephone listed FERC Online links at http:// Scarzello, North East Wisconsin Hydro, above. Requests must be received five www.ferc.gov. To facilitate electronic LLC, c/o Eagle Creek Renewable Energy, days prior to the meeting and reasonable service, persons with internet access 116 North State Street, P.O. Box 167, provision will be made to include the who will eFile a document and/or be Neshkoro, WI 54960–0167, (973) 998– presentation in the agenda. The Deputy listed as a contact for an intervenor 8400. Designated Federal Officer is i. FERC Contact: Aneela Mousam, must create and validate an empowered to conduct the meeting in a (202) 502–8357, aneela.mousam@ eRegistration account using the fashion that will facilitate the orderly ferc.gov. conduct of business. Individuals eRegistration link. Select the eFiling j. Deadline for filing comments is 15 wishing to make public comments will link to log on and submit the days from the issuance date of this be provided a maximum of five minutes intervention or protests. notice by the Commission. to present their comments. Persons unable to file electronically The Commission strongly encourages Minutes: Minutes will be available by should submit an original and 5 copies electronic filing. Please file comments, writing or calling Amy Boyette at the of the intervention or protest to the motions to intervene, and protests using address or telephone number listed Federal Energy Regulatory Commission, the Commission’s eFiling system at above. Minutes will also be available at 888 First Street NE, Washington, DC http://www.ferc.gov/docs-filing/ the following website: http:// 20426. efiling.asp. Commenters can submit cab.srs.gov/srs-cab.html. brief comments up to 6,000 characters, The filings in the above-referenced without prior registration, using the Signed in Washington, DC, on August 27, proceeding are accessible in the eComment system at http:// 2019. Commission’s eLibrary system by www.ferc.gov/docs-filing/ LaTanya Butler, clicking on the appropriate link in the Deputy Committee Management Officer. ecomment.asp. You must include your above list. They are also available for name and contact information at the end [FR Doc. 2019–18952 Filed 9–3–19; 8:45 am] electronic review in the Commission’s of your comments. For assistance, BILLING CODE 6450–01–P Public Reference Room in Washington, please contact FERC Online Support at DC. There is an eSubscription link on [email protected], (866) the website that enables subscribers to DEPARTMENT OF ENERGY 208–3676 (toll free), or (202) 502–8659 receive email notification when a (TTY). In lieu of electronic filing, please Federal Energy Regulatory document is added to a subscribed send a paper copy to: Secretary, Federal Commission docket(s). For assistance with any FERC Energy Regulatory Commission, 888 Online service, please email First Street NE, Washington, DC 20426. [Docket No. ER02–2309–000] [email protected]. or call The first page of any filing should (866) 208–3676 (toll free). For TTY, call Whitewater Hill Wind Partners, LLC; include docket number P–2744–050. (202) 502–8659. Supplemental Notice That Initial Comments emailed to Commission staff Market-Based Rate Filing Includes Dated: August 28, 2019. are not considered part of the Commission record. Request for Blanket Section 204 Nathaniel J. Davis, Sr., Authorization k. Description of Request: The Deputy Secretary. licensee is requesting to conduct a This is a supplemental notice in the [FR Doc. 2019–19041 Filed 9–3–19; 8:45 am] drawdown of the Park Mill Power Canal above-referenced Whitewater Hill Wind BILLING CODE 6717–01–P as soon as possible, while it finalizes the

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Drawdown Plan required by Article 404 Dated: August 19, 2019. Type of Request: Three-year extension of the license. The licensee must lower Kimberly D. Bose, of the FERC–516A information the water surface elevation of the Secretary. collection requirements with no changes project’s 2,400-foot-long power canal by [FR Doc. 2019–19068 Filed 9–3–19; 8:45 am] to the current reporting requirements. Abstract: Under Sections 205 and 206 approximately 18 feet to complete BILLING CODE 6717–01–P turbine maintenance/repairs on several of the Federal Power Act (FPA) the units currently out of service. The Commission is charged with ensuring license proposes a drawdown rate of 1.0 DEPARTMENT OF ENERGY just and reasonable electric transmission feet per 24-hour with no more than 0.5 rates and charges as well as ensuring feet drop in any 8-hour period. The Federal Energy Regulatory that jurisdictional providers do not drawdown, repair and refill is estimated Commission subject any person to any undue to span nine week. The licensee has prejudice or disadvantage. [Docket No. IC19–40–000] consulted with the Wisconsin and The lack of consistent and readily Michigan Departments of Natural Commission Information Collection accessible terms and conditions for Resources, and the U.S. Fish and Activities (FERC–516A); Comment connecting resources to the grid led to Wildlife Service. Request; Extension a large number of disputes between l. Locations of the Application: A jurisdictional transmission providers copy of the application is available for AGENCY: Federal Energy Regulatory and small generators in the late 1990s inspection and reproduction at the Commission, Department of Energy. and early 2000s. In response, the Commission’s Public Reference Room, ACTION: Notice of information collection Commission directed transmission located at 888 First Street NE, Room 2A, and request for comments. providers to include Commission- Washington, DC 20426, or by calling approved, standard, pro-forma (202) 502–8371. This filing may also be SUMMARY: In compliance with the interconnection procedures (small viewed on the Commission’s website at requirements of the Paperwork generator interconnection procedures or http://www.ferc.gov/docs-filing/ Reduction Act of 1995, the Federal SGIP) and a single uniformly applicable elibrary.asp. Enter the docket number Energy Regulatory Commission interconnection agreement (small excluding the last three digits in the (Commission or FERC) is soliciting generator interconnection agreement or docket number field to access the public comment on the currently SGIA) in their open-access transmission document. You may also register online approved information collection, FERC– tariffs (OATTs). The requirement to at http://www.ferc.gov/docs-filing/ 516A, Small Generator Interconnection create and file these documents was esubscription.asp to be notified via Agreements. instituted August 2005 by Commission email of new filings and issuances DATES: Comments on the collection of Order No. 2006 and is codified in 18 related to this or other pending projects. information are due November 4, 2019. CFR 35.28(f). This requirement set and For assistance, call 1–866–208–3676 or maintained a standard in OATTs for ADDRESSES: You may submit comments email [email protected], for consistent consideration and processing (identified by Docket No. IC19–40–000) TTY, call (202) 502–8659. A copy is also of interconnection requests by by either of the following methods: available for inspection and transmission providers. • eFiling at Commission’s Website: reproduction at the address in item (h) Since the issuance of Order No. 2006, http://www.ferc.gov/docs-filing/ above. many aspects of the energy industry efiling.asp. m. Individuals desiring to be included • have changed including the growth of on the Commission’s mailing list should Mail/Hand Delivery/Courier: small generator interconnection requests so indicate by writing to the Secretary Federal Energy Regulatory Commission, and the growth in solar photovoltaic of the Commission. Secretary of the Commission, 888 First (PV) installations. These changes have n. Comments: Anyone may submit Street NE, Washington, DC 20426. been driven, in part, by state renewable comments in accordance with the Instructions: All submissions must be energy goals and policies. For example, requirements of Rules of Practice and formatted and filed in accordance with approximately 3,300 MW of grid- Procedure, 18 CFR 385.210, .211, .214. submission guidelines at: http:// connected PV capacity were installed in Any comments must be received on or www.ferc.gov/help/submission- the U.S. in 2012 compared to 79 MW in before the specified comment date for guide.asp. For user assistance contact 2005, the year Order No. 2006 was the particular application. FERC Online Support by email at issued. o. Filing and Service of Documents: [email protected], or by phone In February 2012, pursuant to Any filing must (1) bear in all capital at: (866) 208–3676 (toll-free), or (202) Sections 205 and 206 of the FPA and letters the title COMMENTS, as 502–8659 for TTY. Rule 207 of the Commission’s Rules of applicable; (2) set forth in the heading Docket: Users interested in receiving Practice and Procedures, and noting that the name of the applicant and the automatic notification of activity in this the Commission encouraged project number of the application to docket or in viewing/downloading stakeholders to submit proposed which the filing responds; (3) furnish comments and issuances in this docket revisions to the regulations set forth in the name, address, and telephone may do so at http://www.ferc.gov/docs- Order No. 2006, the Solar Energy number of the person commenting; and filing/docs-filing.asp. Industries Association (SEIA) filed a (4) otherwise comply with the FOR FURTHER INFORMATION CONTACT: Petition to Initiate Rulemaking requirements of 18 CFR 385.2001 Ellen Brown may be reached by email (Petition). The Petition requested the through 385.2005. All comments must at [email protected], telephone Commission revise the pro forma SGIA set forth their evidentiary basis. A copy at (202) 502–8663, and fax at (202) 273– and SGIP set forth in Order No. 2006. of all other filings in reference to this 0873. SEIA asserted that the pro forma SGIP application must be accompanied by SUPPLEMENTARY INFORMATION: and SGIA as applied to small solar proof of service on all persons listed in Title: FERC–516A, Standardization of generation were no longer just and the service list prepared by the Small Generator Interconnection reasonable, had become unduly Commission in this proceeding, in Agreements and Procedures. discriminatory, and presented accordance with 18 CFR 385.2010. OMB Control No.: 1902–0203. unreasonable barriers to market entry.

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SEIA noted that its Petition would apply about system conditions at a possible forma SGIP and the pro forma SGIA to exclusively to solar electric generation Point of Interconnection; (2) revised the specifically include energy storage due to its unique characteristics. 2 megawatt (MW) threshold for devices; and (6) clarified certain In 2012 the Commission issued a participation in the Fast Track Process sections of the pro forma SGIP and the Notice of Petition for Rulemaking in included in section 2 of the pro forma pro forma SGIA. Docket No. RM12–10–000 and began a SGIP; (3) revised the customer options With these modifications, the public process to explore SEIA’s meeting and the supplemental review Commission concluded that the package Petition through the Commission’s following failure of the Fast Track of reforms adopted in Order No. 792 formal notice and comment process as screens so that the supplemental review will reduce the time and cost to process well as technical conferences. is performed at the discretion of the small generator interconnection requests In November 2013, the Commission Interconnection Customer and includes for Interconnection Customers and issued Order No. 792 to amend the pro minimum load and other screens to Transmission Providers, maintain forma Small Generator Interconnection determine if a Small Generating Facility reliability, increase energy supply, and Procedures and pro forma Small may be interconnected safely and remove barriers to the development of Generator Interconnection Agreement. reliably; (4) revised the pro forma SGIP new energy resources. Order No. 792: (1) Incorporates Facilities Study Agreement to allow the Type of Respondents: Jurisdictional provisions that provide an Interconnection Customer the transmission service providers. Interconnection Customer with the opportunity to provide written Estimate of Annual Burden: 1 The option of requesting from the comments to the Transmission Provider Commission estimates the annual public Transmission Provider a pre-application on the upgrades required for reporting burden for the information report providing existing information interconnection; (5) revised the pro collection as:

FERC–516A—STANDARDIZATION OF SMALL GENERATOR INTERCONNECTION AGREEMENTS AND PROCEDURES

Annual Average Total annual burden Cost per Number of number of Total number burden Requirements 2 respondents responses hours & total annual respondent annually per of responses & cost per cost ($) 3 respondent response

(1) (2) (1) * (2) = (3) (4) (3) * (4) = (5) (5) ÷ (1)

Maintenance of Documents— Transmission Providers...... 46 1 46 1 46 84.38 $84.38 $3,881 Filing of Agreements—Trans- mission Providers ...... 95 1 95 25 2,375 2,109.50 $2,109.50 $200,403 Pre-Application Report—Inter- connection Customers 4 ...... 800 1 800 1 800 84.38 $84.38 $67,504 Pre-Application Report—Trans- mission Providers ...... 142 5.63 800 2.5 2,000 1,188.45 $210.95 $168,760 Supplemental Review—Inter- connection Customers ...... 500 1 500 0.5 250 42.19 $42.19 $21,095 Supplemental Review—Trans- mission Providers ...... 142 3.52 500 20 10,000 5,942.25 $1,687.60 $843,800 Review of Required Up- grades—Interconnection Customers ...... 250 1 250 1 250 84.38 $84.38 $21,095 Review of Required Up- grades—Transmission Pro- viders ...... 142 1.76 250 2 500 297.11 $168.76 $42,190

Total ...... 3,241 ...... 16,221 ...... $1,368,728 2 All requirements for transmission providers are mandatory. All requirements for interconnection customers are voluntary. 3 The estimates for cost per response are derived using the following formula: Average Burden Hours per Response * $84.38 per Hour = Aver- age Cost per Response. This figure is the average of the salary plus benefits for an attorney, electrical engineer, and administrative staff: Attor- ney (Occupation Code: 23–0000): $142.86/hour, Electrical Engineer (Occupation Code: 17–2071): $68.17/hour, Office and Administrative Sup- port (Occupation Code: 43–0000): $42.11/hour. The wages are derived from the Bureau of Labor and Statistics at http://bls.gov/oes/current/ naics3_221000.htm and the benefits figure from http://www.bls.gov/news.release/ecec.nr0.htm. 4 We assume each request for a pre-application report corresponds with one Interconnection Customer.

1 The Commission defines burden as the total provide information to or for a Federal agency. For information collection burden, reference 5 Code of time, effort, or financial resources expended by further explanation of what is included in the Federal Regulations 1320.3. persons to generate, maintain, retain, or disclose or

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Comments: Comments are invited on: who will eFile a document and/or be Description: § 4(d) Rate Filing: Fuel (1) Whether the collection of listed as a contact for an intervenor Filing Out of Cycle on 8–27–19 to be information is necessary for the proper must create and validate an effective 10/1/2019. performance of the functions of the eRegistration account using the Filed Date: 8/27/19. Commission, including whether the eRegistration link. Select the eFiling Accession Number: 20190827–5054. information will have practical utility; link to log on and submit the Comments Due: 5 p.m. ET 9/9/19. (2) the accuracy of the agency’s estimate intervention or protests. The filings are accessible in the of the burden and cost of the collection Persons unable to file electronically Commission’s eLibrary system by of information, including the validity of should submit an original and 5 copies clicking on the links or querying the the methodology and assumptions used; of the intervention or protest to the docket number. (3) ways to enhance the quality, utility Federal Energy Regulatory Commission, Any person desiring to intervene or and clarity of the information collection; 888 First Street NE, Washington, DC protest in any of the above proceedings and (4) ways to minimize the burden of 20426. must file in accordance with Rules 211 the collection of information on those The filings in the above-referenced and 214 of the Commission’s who are to respond, including the use proceeding are accessible in the Regulations (18 CFR 385.211 and of automated collection techniques or Commission’s eLibrary system by 385.214) on or before 5:00 p.m. Eastern other forms of information technology. clicking on the appropriate link in the time on the specified comment date. Dated: August 28, 2019. above list. They are also available for Protests may be considered, but Nathaniel J. Davis, Sr., electronic review in the Commission’s intervention is necessary to become a Public Reference Room in Washington, Deputy Secretary. party to the proceeding. DC. There is an eSubscription link on eFiling is encouraged. More detailed [FR Doc. 2019–19044 Filed 9–3–19; 8:45 am] the website that enables subscribers to information relating to filing BILLING CODE 6717–01–P receive email notification when a requirements, interventions, protests, document is added to a subscribed service, and qualifying facilities filings docket(s). For assistance with any FERC DEPARTMENT OF ENERGY can be found at: http://www.ferc.gov/ Online service, please email docs-filing/efiling/filing-req.pdf. For Federal Energy Regulatory [email protected] or call other information, call (866) 208–3676 Commission (866) 208–3676 (toll free). For TTY, call (toll free). For TTY, call (202) 502–8659. (202) 502–8659. [Docket No. ER02–1695–000] Dated: August 28, 2019. Dated: August 28, 2019. Nathaniel J. Davis, Sr., Cabazon Wind Partners, LLC; Nathaniel J. Davis, Sr., Deputy Secretary. Supplemental Notice That Initial Deputy Secretary. [FR Doc. 2019–19037 Filed 9–3–19; 8:45 am] Market-Based Rate Filing Includes [FR Doc. 2019–19040 Filed 9–3–19; 8:45 am] BILLING CODE 6717–01–P Request for Blanket Section 204 BILLING CODE 6717–01–P Authorization DEPARTMENT OF ENERGY This is a supplemental notice in the DEPARTMENT OF ENERGY above-referenced Cabazon Wind Federal Energy Regulatory Partners, LLC’s application for market- Federal Energy Regulatory Commission based rate authority, with an Commission accompanying rate tariff, noting that [Docket No. EF19–6–000] Combined Notice of Filings such application includes a request for Western Area Power Administration; blanket authorization, under 18 CFR Notice of Filing part 34, of future issuances of securities Take notice that the Commission has received the following Natural Gas and assumptions of liability. Take notice that on August 20, 2019, Pipeline Rate and Refund Report filings: Any person desiring to intervene or to Western Area Power Administration protest should file with the Federal Filings Instituting Proceedings submitted tariff filing per: Rate Service Energy Regulatory Commission, 888 for the Central Arizona Project Docket Numbers: RP19–1060–002. First Street NE, Washington, DC 20426, Transmission Services—Western Area Applicants: WBI Energy in accordance with Rules 211 and 214 Power Administration-Rate Order No. Transmission, Inc. of the Commission’s Rules of Practice WAPA–172 to be effective August 2, Description: Compliance filing 2019 and Procedure (18 CFR 385.211 and 2019. Correction Compliance Filing with 385.214). Anyone filing a motion to Any person desiring to intervene or to Order 587–Y to be effective 8/1/2019. intervene or protest must serve a copy protest this filing must file in Filed Date: 8/27/19. of that document on the Applicant. accordance with Rules 211 and 214 of Accession Number: 20190827–5063. Notice is hereby given that the the Commission’s Rules of Practice and Comments Due: 5 p.m. ET 9/9/19. deadline for filing protests with regard Procedure (18 CFR 385.211, 385.214). to the applicant’s request for blanket Docket Numbers: RP19–1486–000. Protests will be considered by the authorization, under 18 CFR part 34, of Applicants: Algonquin Gas Commission in determining the future issuances of securities and Transmission, LLC. appropriate action to be taken, but will assumptions of liability, is September 4, Description: § 4(d) Rate Filing: not serve to make protestants parties to 2019. Negotiated Rate—BUG to Energy Plus the proceeding. Any person wishing to The Commission encourages 799755 to be effective 9/1/2019. become a party must file a notice of electronic submission of protests and Filed Date: 8/27/19. intervention or motion to intervene, as interventions in lieu of paper, using the Accession Number: 20190827–5027. appropriate. Such notices, motions, or FERC Online links at http:// Comments Due: 5 p.m. ET 9/9/19. protests must be filed on or before the www.ferc.gov. To facilitate electronic Docket Numbers: RP19–1487–000. comment date. On or before the service, persons with internet access Applicants: ETC Tiger Pipeline, LLC. comment date, it is not necessary to

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serve motions to intervene or protests future issuances of securities and collection requirements. Any interested on persons other than the Applicant. assumptions of liability, is September 4, person may file comments directly with The Commission encourages 2019. OMB and should address a copy of electronic submission of protests and The Commission encourages those comments to the Commission as interventions in lieu of paper using the electronic submission of protests and explained below. The Commission ‘‘eFiling’’ link at http://www.ferc.gov. interventions in lieu of paper, using the previously published a Notice in the Persons unable to file electronically FERC Online links at http:// Federal Register on June 27, 2019, should submit an original and 5 copies www.ferc.gov. To facilitate electronic requesting public comments. The of the protest or intervention to the service, persons with internet access Commission received no comments and Federal Energy Regulatory Commission, who will eFile a document and/or be is making this notation in its submittal 888 First Street NE, Washington, DC listed as a contact for an intervenor to OMB. 20426. must create and validate an DATES: Comments on the collection of This filing is accessible on-line at eRegistration account using the information are due by October 4, 2019. http://www.ferc.gov, using the eLibrary eRegistration link. Select the eFiling ADDRESSES: Comments filed with OMB, link and is available for review in the link to log on and submit the identified by the OMB Control No. Commission’s Public Reference Room in intervention or protests. 1902–0098, should be sent via email to Washington, DC. There is an Persons unable to file electronically the Office of Information and Regulatory eSubscription link on the website that should submit an original and 5 copies Affairs: [email protected]. enables subscribers to receive email of the intervention or protest to the Attention: Federal Energy Regulatory notification when a document is added Federal Energy Regulatory Commission, Commission Desk Officer. to a subscribed docket(s). For assistance 888 First Street NE, Washington, DC A copy of the comments should also with any FERC Online service, please 20426. be sent to the Commission, in Docket email [email protected], or The filings in the above-referenced No. IC19–28–000, by either of the call (866) 208–3676 (toll free). For TTY, proceeding are accessible in the following methods: call (202) 502–8659. Commission’s eLibrary system by • eFiling at Commission’s Website: Comment Date: 5:00 p.m. Eastern clicking on the appropriate link in the http://www.ferc.gov/docs-filing/ Time on September 19, 2019. above list. They are also available for efiling.asp. electronic review in the Commission’s Dated: August 28, 2019. • Mail/Hand Delivery/Courier: Nathaniel J. Davis, Sr., Public Reference Room in Washington, DC. There is an eSubscription link on Federal Energy Regulatory Commission, Deputy Secretary. the website that enables subscribers to Secretary of the Commission, 888 First [FR Doc. 2019–19038 Filed 9–3–19; 8:45 am] receive email notification when a Street NE, Washington, DC 20426. BILLING CODE 6717–01–P document is added to a subscribed Instructions: All submissions must be docket(s). For assistance with any FERC formatted and filed in accordance with Online service, please email submission guidelines at: http:// DEPARTMENT OF ENERGY [email protected] or call www.ferc.gov/help/submission- guide.asp. For user assistance contact Federal Energy Regulatory (866) 208–3676 (toll free). For TTY, call (202) 502–8659. FERC Online Support by email at Commission [email protected], or by phone Dated: August 28, 2019. [Docket No. ER01–2742–000] at: (866) 208–3676 (toll-free), or (202) Nathaniel J. Davis, Sr., 502–8659 for TTY. Rock River I, LLC; Supplemental Deputy Secretary. Docket: Users interested in receiving Notice That Initial Market-Based Rate [FR Doc. 2019–19039 Filed 9–3–19; 8:45 am] automatic notification of activity in this Filing Includes Request for Blanket BILLING CODE 6717–01–P docket or in viewing/downloading Section 204 Authorization comments and issuances in this docket may do so at http://www.ferc.gov/docs- This is a supplemental notice in the DEPARTMENT OF ENERGY filing/docs-filing.asp. above-referenced Rock River I, LLC’s FOR FURTHER INFORMATION CONTACT: application for market-based rate Federal Energy Regulatory Ellen Brown may be reached by email authority, with an accompanying rate Commission tariff, noting that such application at [email protected], by includes a request for blanket [Docket No. IC19–28–000] telephone at (202) 502–8663, and by fax at (202) 273–0873. authorization, under 18 CFR part 34, of Commission Information Collection future issuances of securities and SUPPLEMENTARY INFORMATION: Activities (FERC–555); Comment Title: FERC–555 (Preservation of assumptions of liability. Request Any person desiring to intervene or to Records for Public Utilities and protest should file with the Federal AGENCY: Federal Energy Regulatory Licensees, Natural Gas and Oil Pipeline Energy Regulatory Commission, 888 Commission, Department of Energy. Companies). First Street NE, Washington, DC 20426, ACTION: Comment request. OMB Control No.: 1902–0098. in accordance with Rules 211 and 214 Abstract: The Commission collects of the Commission’s Rules of Practice SUMMARY: In compliance with the the information under the requirements and Procedure (18 CFR 385.211 and requirements of the Paperwork of FERC–555 (Records Retention 385.214). Anyone filing a motion to Reduction Act of 1995, the Federal Requirements) to carry out its intervene or protest must serve a copy Energy Regulatory Commission responsibilities in implementing the of that document on the Applicant. (Commission or FERC) is submitting its statutory provisions of Sections 301, 304 Notice is hereby given that the information collection FERC–729 and 309 of the Federal Power Act deadline for filing protests with regard (Electric Transmission Facilities) to the (FPA),1 Sections 8, 10 and 16 of the to the applicant’s request for blanket Office of Management and Budget authorization, under 18 CFR part 34, of (OMB) for review of the information 1 16 U.S.C. 825, 825c and 825h.

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Natural Gas Act (NGA),2 and Section 20 records for special analyses when included revising the general of the Interstate Commerce Act (ICA).3 necessary. instructions, and shortening various The regulations for preservation of On January 8, 1999 the Commission records retention periods. The objective records establish retention periods, issued AI99–2–000, an Accounting of the final rule was to reduce or necessary guidelines, and requirements Issuance providing guidance on records eliminate burdensome and unnecessary for retention of applicable records. storage media. More specifically, the regulatory requirements. These requirements apply to the Commission gave each jurisdictional The Commission is not making any regulated public utilities, natural gas company the flexibility to select its own additional changes to the record and oil pipeline companies subject to storage media. The storage media retention requirements specified under the Commission’s jurisdiction. selected must have a life expectancy FERC–555. The Commission Regulated entities use these records as equal to the applicable record period implements these filing requirements in the basis for required rate filings and unless the quality of the data transferred the Code of Federal Regulations (CFR) reports to the Commission. from one media to another with no loss under 18 CFR parts 125, 225, and 356. Additionally, the Commission’s audit of data would exceed the record period. Type of Respondent: Electric utilities, staff will use the records during On January 27, 2000, the Commission natural gas pipelines, and oil pipelines. compliance reviews. The Commission’s issued a final rule amending its records Estimate of Annual Burden: 4 The enforcement staff will also use the retention regulations for public utilities Commission estimates the annual public information during investigations. and licensees as well as natural gas and reporting burden for the information Finally, the Commission will use the oil pipeline companies. These changes collection as:

FERC–555—PRESERVATION OF RECORDS FOR PUBLIC UTILITIES AND LICENSE, NATURAL GAS AND OIL PIPELINE COMPANIES

Annual Number of number of Total number Average burden hrs. Total annual burden hours responses of 5 respondents per responses and cost per response and total annual cost respondent

(1) (2) (1) * (2) = (3) (4) (3) * (4) = (5)

509 ...... 1 509 5,218.14 hrs.; $417,451 ...... 2,656,034 hrs.; $212,482,720.

Additional Background. Based on the one small. Because of this very limited For example, the first table below data submitted by jurisdictional filers in data, it should not be inferred that the indicates that a large electric utility has 2010, we provide more detail regarding average burden and cost indicated for an annual revenue more than ten times how we generated burden and cost each entity size are representative of the greater than a large gas pipeline. estimates. We divided the entities into burden for all entities in that size The first table shows the estimated three size categories based on annual category and industry. We performed size categories by industry, and the revenue reported on FERC’s financial the analysis in this way in order to come forms (Form 1, Form 2/2A and Form 6).6 up with a better average to apply across second table shows the burden and cost As indicated in the appendix, we only all the industries. It should also be based on size (combining the 3 received useful responses from five noted that it is difficult to compare industries). entities: Three large, one medium, and across industries based on entity size.

Industry and size classification Annual revenue

ELECTRIC: Large ...... >$1.15 Billion. Medium ...... $310 Million to $1.15 Billion. Small ...... <310 Million. GAS: Large ...... >$100 Million. Medium ...... $10 Million to $100 Million. Small ...... <$10 Million. OIL: Large ...... >$50 Million. Medium ...... $5 Million to $50 Million. Small ...... <$5 Million.

2 15 U.S.C. 717–717w. burden, refer to Title 5 Code of Federal Regulations salary of $167,091/year). Commission staff is using 3 49 U.S.C. 20. 1320.3. the FERC average salary because we consider any 4 ‘‘Burden’’ is the total time, effort, or financial 5 The estimates for cost per response are derived record retention requirements completed in resources expended by persons to generate, using the following formula: Average Burden Hours response to the FERC–555 to be compensated at maintain, retain, or disclose or provide information per Response * $80/hour = Average cost/response. rates similar to the work of FERC employees. to or for a Federal agency. For further explanation The figure is the 2019 FERC average hourly cost (for 6 The size thresholds are estimates based on staff of what is included in the information collection wages and benefits) of $80 (and an average annual judgment.

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Size Number of Average hours Total burden entities per entity hours 7

(1) (2) (1) * (2)

Large ...... 174 11,475 1,996,658 Medium ...... 166 2,371 393,619 Small ...... 169 1,571 265,572

The total estimated annual cost Comments Due: 5 p.m. ET 9/18/19. Filed Date: 8/28/19. burden to respondents is $212,482,720, Docket Numbers: EC19–129–000. Accession Number: 20190828–5037. which includes $127,433,401 for non- Applicants: Ambit Northeast, LLC. Comments Due: 5 p.m. ET 9/18/19. labor record storage costs and Description: Application for Docket Numbers: ER19–2155–001. $85,049,319 for employee costs. The Authorization Under Section 203 of the Applicants: Portland Power, LLC. average cost per respondent is $417,451, Federal Power Act, et al. of Ambit Description: Compliance filing: which includes $250,360 for non-labor Northeast, LLC. Portland Power Compliance Filing to be record storage costs and $167,091 for Filed Date: 8/28/19. effective 9/1/2019. employee costs. All of these cost figures Accession Number: 20190828–5139. Filed Date: 8/28/19. are based on staff analysis of the data we Comments Due: 5 p.m. ET 9/18/19. Accession Number: 20190828–5038. received in 2019. Take notice that the Commission Comments Due: 5 p.m. ET 9/18/19. Comments: Comments are invited on: received the following electric rate Docket Numbers: ER19–2156–001. (1) Whether the collection of filings: Applicants: Warren Generation, LLC. information is necessary for the proper Docket Numbers: ER19–1762–001. Description: Compliance filing: performance of the functions of the Applicants: Electric Energy, Inc. Warren Generation Compliance Filing to Commission, including whether the Description: Compliance filing: be effective 9/1/2019. information will have practical utility; Compliance to 2019 Att M and Att N to Filed Date: 8/28/19. (2) the accuracy of the agency’s estimate be effective 4/30/2019. Accession Number: 20190828–5039. of the burden and cost of the collection Filed Date: 8/28/19. Comments Due: 5 p.m. ET 9/18/19. of information, including the validity of Accession Number: 20190828–5063. Docket Numbers: ER19–2157–001. the methodology and assumptions used; Comments Due: 5 p.m. ET 9/18/19. Applicants: Mountain Power, LLC. (3) ways to enhance the quality, utility Docket Numbers: ER19–2150–001. Description: Compliance filing: and clarity of the information collection; Applicants: Shawville Power, LLC. Mountain Power Compliance Filing to and (4) ways to minimize the burden of Description: Compliance filing: be effective 9/1/2019. the collection of information on those Shawville Power LLC Compliance Filed Date: 8/28/19. who are to respond, including the use Filing to be effective 9/1/2019. Accession Number: 20190828–5040. of automated collection techniques or Filed Date: 8/28/19. Comments Due: 5 p.m. ET 9/18/19. other forms of information technology. Accession Number: 20190828–5032. Comments Due: 5 p.m. ET 9/18/19. Docket Numbers: ER19–2158–001. Dated: August 28, 2019. Applicants: Orrtanna Power, LLC. Nathaniel J. Davis, Sr., Docket Numbers: ER19–2151–001. Description: Compliance filing: Applicants: New Castle Power, LLC. Deputy Secretary. Orrtanna Power Compliance Filing to be Description: Compliance filing: New effective 9/1/2019. [FR Doc. 2019–19043 Filed 9–3–19; 8:45 am] Castle Power Compliance Filing to be Filed Date: 8/28/19. BILLING CODE 6717–01–P effective 9/1/2019. Accession Number: 20190828–5041. Filed Date: 8/28/19. Comments Due: 5 p.m. ET 9/18/19. Accession Number: 20190828–5033. DEPARTMENT OF ENERGY Comments Due: 5 p.m. ET 9/18/19. Docket Numbers: ER19–2159–001. Docket Numbers: ER19–2152–001. Applicants: Shawnee Power, LLC. Federal Energy Regulatory Description: Compliance filing: Commission Applicants: Brunot Island Power, LLC. Shawnee Power Compliance Filing to be effective 9/1/2019. Combined Notice of Filings #1 Description: Compliance filing: Brunot Island Power Compliance Filing Filed Date: 8/28/19. Take notice that the Commission to be effective 9/1/2019. Accession Number: 20190828–5042. received the following electric corporate Filed Date: 8/28/19. Comments Due: 5 p.m. ET 9/18/19. filings: Accession Number: 20190828–5035. Docket Numbers: ER19–2160–001. Docket Numbers: EC19–113–000. Comments Due: 5 p.m. ET 9/18/19. Applicants: Titus Power, LLC. Applicants: Golden State Water Docket Numbers: ER19–2153–001. Description: Compliance filing: Titus Company. Applicants: Gilbert Power, LLC. Power Compliance Filing to be effective Description: Supplement to July 12, Description: Compliance filing: 9/1/2019. 2019 Application for Authorization Gilbert Power Compliance Filing to be Filed Date: 8/28/19. Under Section 203 of the Federal Power effective 9/1/2019. Accession Number: 20190828–5043. Act [Revised Exhibit N] of Golden State Filed Date: 8/28/19. Comments Due: 5 p.m. ET 9/18/19. Water Company. Accession Number: 20190828–5036. Docket Numbers: ER19–2161–001. Filed Date: 8/28/19. Comments Due: 5 p.m. ET 9/18/19. Applicants: Hamilton Power, LLC. Accession Number: 20190828–5072. Docket Numbers: ER19–2154–001. Description: Compliance filing: Applicants: Sayreville Power, LLC. Hamilton Power Compliance Filing to 7 Due to rounding during the analysis and calculations, the total in this column does not sum Description: Compliance filing: be effective 9/1/2019. to the exact figure reported shown in the summary Sayreville Power Compliance Filing to Filed Date: 8/28/19. burden table. be effective 9/1/2019. Accession Number: 20190828–5047.

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Comments Due: 5 p.m. ET 9/18/19. Response Agreement with PUD No. 1 clicking on the links or querying the Docket Numbers: ER19–2162–001. Chelan Co. to be effective 12/1/2019. docket number. Applicants: Blossburg Power, LLC. Filed Date: 8/27/19. Any person desiring to intervene or Description: Compliance filing: Accession Number: 20190827–5119. protest in any of the above proceedings Blossburg Power Compliance Filing to Comments Due: 5 p.m. ET 9/17/19. must file in accordance with Rules 211 be effective 9/1/2019. Docket Numbers: ER19–2691–000. and 214 of the Commission’s Filed Date: 8/28/19. Applicants: Southern California Regulations (18 CFR 385.211 and Accession Number: 20190828–5052. Edison Company. 385.214) on or before 5:00 p.m. Eastern Comments Due: 5 p.m. ET 9/18/19. Description: § 205(d) Rate Filing: GIA time on the specified comment date. Docket Numbers: ER19–2163–001. and Distribution Service Agmt Protests may be considered, but Applicants: Hunterstown Power, LLC. SCEBESS–021 Project to be effective 8/ intervention is necessary to become a Description: Compliance filing: 29/2019. party to the proceeding. Hunterstown Power Compliance Filing Filed Date: 8/28/19. eFiling is encouraged. More detailed to be effective 9/1/2019. Accession Number: 20190828–5001. information relating to filing Filed Date: 8/28/19. Comments Due: 5 p.m. ET 9/18/19. requirements, interventions, protests, Accession Number: 20190828–5053. Docket Numbers: ER19–2692–000. service, and qualifying facilities filings Comments Due: 5 p.m. ET 9/18/19. Applicants: California Independent can be found at: http://www.ferc.gov/ Docket Numbers: ER19–2164–001. System Operator Corporation. docs-filing/efiling/filing-req.pdf. For Applicants: Tolna Power, LLC. Description: § 205(d) Rate Filing: other information, call (866) 208–3676 Description: Compliance filing: Tolna 2019–08–28 Transferred Frequency (toll free). For TTY, call (202) 502–8659. Power Compliance Filing to be effective Response Agreement with Bonneville Dated: August 28, 2019. 9/1/2019. Power Admin to be effective 12/1/2019. Nathaniel J. Davis, Sr., Filed Date: 8/28/19. Filed Date: 8/28/19. Deputy Secretary. Accession Number: 20190828–5057. Accession Number: 20190828–5098. [FR Doc. 2019–19036 Filed 9–3–19; 8:45 am] Comments Due: 5 p.m. ET 9/18/19. Comments Due: 5 p.m. ET 9/18/19. BILLING CODE 6717–01–P Docket Numbers: ER19–2505–001. Docket Numbers: ER19–2693–000. Applicants: Southern California Applicants: California Independent Edison Company. System Operator Corporation. DEPARTMENT OF ENERGY Description: Tariff Amendment: Refile Description: § 205(d) Rate Filing: WDAT Energy Storage to be effective 2019–08–28 Transferred Frequency Federal Energy Regulatory 10/30/2019. Response Agreement with City of Commission Filed Date: 8/28/19. Seattle to be effective 12/1/2019. Docket No. CP19–488–000] Accession Number: 20190828–5130. Filed Date: 8/28/19. Comments Due: 5 p.m. ET 9/18/19. Accession Number: 20190828–5103. Columbia Gulf Transmission, LLC; Docket Numbers: ER19–2687–000. Comments Due: 5 p.m. ET 9/18/19. Notice of Intent To Prepare an Applicants: California Independent Docket Numbers: ER19–2694–000. Environmental Assessment for the System Operator Corporation. Applicants: California Independent Proposed Louisiana Xpress Project, Description: § 205(d) Rate Filing: System Operator Corporation. Request for Comments on 2019–08–27 Transferred Frequency Description: § 205(d) Rate Filing: Environmental Issues, and Notice of Response Agreement with Tacoma 2019–08–28 Transferred Frequency Public Scoping Session Power to be effective 12/1/2019. Response Agreement with Powerex to Filed Date: 8/27/19. be effective 12/1/2019. The staff of the Federal Energy Accession Number: 20190827–5101. Filed Date: 8/28/19. Regulatory Commission (FERC or Comments Due: 5 p.m. ET 9/17/19. Accession Number: 20190828–5105. Commission) will prepare an Docket Numbers: ER19–2688–000. Comments Due: 5 p.m. ET 9/18/19. environmental assessment (EA) that will Applicants: PJM Interconnection, discuss the environmental impacts of L.L.C. Docket Numbers: ER19–2695–000. the Louisiana Xpress Project involving Description: § 205(d) Rate Filing: Applicants: Southwest Power Pool, construction and operation of facilities Original WMPA SA No. 5459; Queue Inc. by Columbia Gulf Transmission, LLC No. AE1–041 to be effective 7/29/2019. Description: § 205(d) Rate Filing: (Columbia Gulf) in Evangeline, East Filed Date: 8/27/19. Revisions to Clarify Trading Hub Carroll, Catahoula, and Rapides Accession Number: 20190827–5106. Modification Process Language to be Parishes, Louisiana. The Commission Comments Due: 5 p.m. ET 9/17/19. effective 10/28/2019. will use this EA in its decision-making Docket Numbers: ER19–2689–000. Filed Date: 8/28/19. process to determine whether the Applicants: California Independent Accession Number: 20190828–5108. project is in the public convenience and System Operator Corporation. Comments Due: 5 p.m. ET 9/18/19. necessity. Description: § 205(d) Rate Filing: Docket Numbers: ER19–2696–000. This notice announces the opening of 2019–08–27 Transferred Frequency Applicants: PJM Interconnection, the scoping process the Commission Response Agreement with PUD No. 2 L.L.C. will use to gather input from the public Grant Co. to be effective 12/1/2019. Description: § 205(d) Rate Filing: and interested agencies about issues Filed Date: 8/27/19. Amendment to ISA, SA No. 5159 and regarding the project. The National Accession Number: 20190827–5117. ICSA, SA No. 5189; Queue No. AB2–040 Environmental Policy Act (NEPA) Comments Due: 5 p.m. ET 9/17/19. (amend) to be effective 8/8/2018. requires the Commission to take into Docket Numbers: ER19–2690–000. Filed Date: 8/28/19. account the environmental impacts that Applicants: California Independent Accession Number: 20190828–5116. could result from its action whenever it System Operator Corporation. Comments Due: 5 p.m. ET 9/18/19. considers the issuance of a Certificate of Description: § 205(d) Rate Filing: The filings are accessible in the Public Convenience and Necessity. 2019–08–27 Transferred Frequency Commission’s eLibrary system by NEPA also requires the Commission to

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discover concerns the public may have www.ferc.gov/resources/guides/gas/ specific environmental issues and about proposals. This process is referred gas.pdf. concerns that should be considered in to as ‘‘scoping.’’ The main goal of the the EA. Individual verbal comments Public Participation scoping process is to focus the analysis will be taken on a one-on-one basis with in the EA on the important The Commission offers a free service a court reporter. This format is designed environmental issues. By this notice, the called eSubscription which makes it to receive the maximum amount of Commission requests public comments easy to stay informed of all issuances verbal comments, in a convenient way on the scope of issues to address in the and submittals regarding the docket/ during the timeframe allotted. EA. To ensure that your comments are project to which you subscribe. These The scoping session is scheduled timely and properly recorded, please instant email notifications are the fastest from 4:00 p.m. to 8:00 p.m. CST. You submit your comments so that the way to receive notification and provide may arrive at any time after 4:00 p.m. Commission receives them in a link to the document files which can There will not be a formal presentation Washington, DC on or before 5:00 p.m. reduce the amount of time you spend by Commission staff when the session Eastern Time on September 27, 2019. researching proceedings. To sign up go opens. If you wish to speak, the You can make a difference by to www.ferc.gov/docs-filing/ Commission staff will hand out submitting your specific comments or esubscription.asp. numbers in the order of your arrival. concerns about the project. Your For your convenience, there are four Comments will be taken until 8:00 p.m. comments should focus on the potential methods you can use to submit your However, if no additional numbers have environmental effects, reasonable comments to the Commission. The been handed out and all individuals alternatives, and measures to avoid or Commission encourages electronic filing who wish to provide comments have lessen environmental impacts. Your of comments and has staff available to had an opportunity to do so, staff may input will help the Commission staff assist you at (866) 208–3676 or conclude the session at 7:00 p.m. Please determine what issues they need to [email protected]. Please see appendix 1 for additional evaluate in the EA. Commission staff carefully follow these instructions so information on the session format and will consider all filed comments during that your comments are properly conduct.1 the preparation of the EA. recorded. Your scoping comments will be If you sent comments on the project (1) You can file your comments recorded by a court reporter (with FERC to the Commission before the opening of electronically using the eComment staff or representative present) and the docket on July 15, 2019, you will feature, which is located on the become part of the public record for need to file those comments in Docket Commission’s website (www.ferc.gov) these proceedings. Transcripts will be No. CP19–488–000 to ensure they are under the link to Documents and publicly available on FERC’s eLibrary considered as part of this proceeding. Filings. Using eComment is an easy system (see the last page of this notice This notice is being sent to the method for submitting brief, text-only for instructions on using eLibrary). If a Commission’s current environmental comments on a project; significant number of people are mailing lists for the project. State and (2) You can file your comments interested in providing verbal comments local government representatives should electronically by using the eFiling notify their constituents of the proposed in the one-on-one settings, a time limit feature, which is also on the of 5 minutes may be implemented for project and encourage them to comment Commission’s website (www.ferc.gov) on their areas of concern. each commentor. under the link to Documents and It is important to note that the If you are a landowner receiving this Filings. With eFiling, you can provide notice, a pipeline company Commission provides equal comments in a variety of formats by consideration to all comments received, representative may contact you about attaching them as a file with your the acquisition of an easement to whether filed in written form or submission. New eFiling users must provided verbally at a scoping session. construct, operate, and maintain the first create an account by clicking on proposed facilities. The company would Although there will not be a formal ‘‘eRegister.’’ You will be asked to select presentation, Commission staff will be seek to negotiate a mutually acceptable the type of filing you are making; a easement agreement. You are not available throughout the scoping session comment on a particular project is to answer your questions about the required to enter into an agreement. considered a ‘‘Comment on a Filing’’; or However, if the Commission approves environmental review process. (3) You can file a paper copy of your Representatives from Columbia Gulf the project, that approval conveys with comments by mailing them to the it the right of eminent domain. will also be present to answer project- following address. Be sure to reference specific questions. Therefore, if you and the company do the project docket number (CP19–488– not reach an easement agreement, the 000) with your submission: Kimberly D. Summary of the Proposed Project pipeline company could initiate Bose, Secretary, Federal Energy Columbia Gulf proposes to construct condemnation proceedings in court. In Regulatory Commission, 888 First Street such instances, compensation would be and operate three new greenfield NE, Room 1A, Washington, DC 20426; compressor stations, and modify one determined by a judge in accordance (4) In lieu of sending written with state law. existing compressor station. According comments, the Commission invites you to Columbia Gulf, its project would Columbia Gulf provided landowners to attend the public scoping session its with a fact sheet prepared by the FERC provide open access firm transportation staff will conduct in the project area, from a primary receipt point at entitled ‘‘An Interstate Natural Gas scheduled as follows: Facility On My Land? What Do I Need 1 The appendices referenced in this notice will Date and time Location To Know?’’ This fact sheet addresses a not appear in the Federal Register. Copies of the number of typically asked questions, Wednesday, Holiday Inn, 701 4th St., Alexan- appendices were sent to all those receiving this including the use of eminent domain September 11, dria, LA, 71301, 318–541– notice in the mail and are available at www.ferc.gov and how to participate in the 2019, 4–8 p.m. 8333. using the link called ‘‘eLibrary’’ or from the Commission’s Public Reference Room, 888 First Commission’s proceedings. It is also Street NE, Washington, DC 20426, or call (202) 502– available for viewing on the FERC The primary goal of the scoping 8371. For instructions on connecting to eLibrary, website (www.ferc.gov) at https:// session is to have you identify the refer to the last page of this notice.

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Columbia Gulf’s Mainline Pool to a instant email notification when the EA mailing list as the analysis proceeds to primary delivery point at an is issued. The EA may be issued for an ensure that Commission notices related interconnection with KMLP in allotted public comment period. to this environmental review are sent to Evangeline Parish, Louisiana. Commission staff will consider all all individuals, organizations, and Each new compressor station comments on the EA before making government entities interested in and/or (Shelburn Compressor Station in East recommendations to the Commission. potentially affected by the proposed Carroll Parish, Red Mountain To ensure Commission staff have the project. Compressor Station in Catahoula Parish, opportunity to address your comments, If the Commission issues the EA for and Chicot Compressor Station in please carefully follow the instructions an allotted public comment period, a Evangeline Parish) would include two in the Public Participation section, Notice of Availability of the EA will be 23,470 horsepower (hp) Solar Turbine beginning on page 2. sent to the environmental mailing list Titan 130 natural gas turbine driven With this notice, the Commission is and will provide instructions to access compressors (totaling 46,940 hp), filter/ asking agencies with jurisdiction by law the electronic document on the FERC’s separators, gas cooling bays, 48-inch- and/or special expertise with respect to website (www.ferc.gov). If you need to diameter suction and 42-inch-diameter the environmental issues of the project make changes to your name/address, or discharge piping, and related to formally cooperate in the preparation if you would like to remove your name appurtenant facilities. of the EA.3 Agencies that would like to from the mailing list, please return the Modifications to the existing request cooperating agency status attached ‘‘Mailing List Update Form’’ Alexandria Compressor Station in should follow the instructions for filing (appendix 3). Rapides Parish would include comments provided under the Public Additional Information additional cooling bays with associated Participation section of this notice. piping and appurtenant facilities. Consultation Under Section 106 of the Additional information about the The general location of the Louisiana National Historic Preservation Act project is available from the Xpress Project facilities is shown in Commission’s Office of External Affairs, appendix 2. In accordance with the Advisory at (866) 208–FERC, or on the FERC Council on Historic Preservation’s website at www.ferc.gov using the Land Requirements for Construction implementing regulations for section eLibrary link. Click on the eLibrary link, Construction of the proposed facilities 106 of the National Historic click on General Search and enter the would disturb about 167.4 acres of land Preservation Act, the Commission is docket number in the Docket Number for the aboveground facilities. Following using this notice to initiate consultation field, excluding the last three digits (i.e., construction, Columbia Gulf would with the applicable State Historic CP19–488). Be sure you have selected maintain about 35.8 acres for permanent Preservation Office, and to solicit their an appropriate date range. For views and those of other government operation of the project’s facilities; the assistance, please contact FERC Online agencies, interested Indian tribes, and remaining acreage would be restored Support at [email protected] the public on the project’s potential and revert to former uses. or (866) 208–3676, or for TTY, contact effects on historic properties.4 The EA (202) 502–8659. The eLibrary link also The EA Process for these project will document findings provides access to the texts of all formal on the impacts on historic properties The EA will discuss impacts that documents issued by the Commission, and summarize the status of could occur as a result of the such as orders, notices, and consultations under section 106. construction and operation of the rulemakings. proposed project under these general Environmental Mailing List Public sessions or site visits will be headings: The environmental mailing list posted on the Commission’s calendar • Geology and soils; includes federal, state, and local located at www.ferc.gov/EventCalendar/ • water resources and wetlands; government representatives and EventsList.aspx along with other related • vegetation and wildlife; agencies; elected officials; information. • threatened and endangered species; • cultural resources; environmental and public interest Dated: August 28, 2019. • socioeconomics; groups; Native American Tribes; other Kimberly D. Bose, • land use; interested parties, newspapers and local Secretary. • air quality and noise; libraries. This list also includes all [FR Doc. 2019–19066 Filed 9–3–19; 8:45 am] affected landowners (as defined in the • public safety; and BILLING CODE 6717–01–P • cumulative impacts. Commission’s regulations) who are Commission staff will also evaluate potential right-of-way grantors, whose reasonable alternatives to the proposed property may be used temporarily for DEPARTMENT OF ENERGY project or portions of the project, and project purposes, or who own homes make recommendations on how to within certain distances of aboveground Federal Energy Regulatory lessen or avoid impacts on the various facilities, and anyone who submits Commission comments on the project. Commission resource areas. [Docket No. CP19–484–000] The EA will present Commission staff will update the environmental staffs’ independent analysis of the Kinder Morgan Louisiana Pipeline, issues. The EA will be available in 3 The Council on Environmental Quality regulations addressing cooperating agency LLC; Notice of Intent To Prepare an electronic format in the public record responsibilities are at Title 40, Code of Federal Environmental Assessment for the through eLibrary 2 and the Regulations, Part 1501.6. Proposed Acadiana Project and Commission’s website (https:// 4 The Advisory Council on Historic Preservation’s Request for Comments on www.ferc.gov/industries/gas/enviro/ regulations are at Title 36, Code of Federal Environmental Issues Regulations, Part 800. Those regulations define eis.asp). If eSubscribed, you will receive historic properties as any prehistoric or historic district, site, building, structure, or object included The staff of the Federal Energy 2 For instructions on connecting to eLibrary, refer in or eligible for inclusion in the National Register Regulatory Commission (FERC or to the last page of this notice. of Historic Places. Commission) will prepare an

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environmental assessment (EA) that will easement agreement. You are not comment on a particular project is discuss the environmental impacts of required to enter into an agreement. considered a ‘‘Comment on a Filing;’’ or the Acadiana Project involving However, if the Commission approves (3) You can file a paper copy of your construction and operation of facilities the project, that approval conveys with comments by mailing them to the by Kinder Morgan Louisiana Pipeline, it the right of eminent domain. following address. Be sure to reference LLC (KMLP) in Acadia and Evangeline Therefore, if you and the company do the project docket number (CP19–484– Parishes, Louisiana. The Commission not reach an easement agreement, the 000) with your submission: Kimberly D. will use this EA in its decision-making pipeline company could initiate Bose, Secretary, Federal Energy process to determine whether the condemnation proceedings in court. In Regulatory Commission, 888 First Street project is in the public convenience and such instances, compensation would be NE, Room 1A, Washington, DC 20426. necessity. determined by a judge in accordance Summary of the Proposed Project This notice announces the opening of with state law. the scoping process the Commission KMLP provided landowners with a KMLP proposes to construct and will use to gather input from the public fact sheet prepared by the FERC entitled operate three new natural gas-fired and interested agencies about issues ‘‘An Interstate Natural Gas Facility On compressor units at its existing compressor station, make modifications regarding the project. The National My Land? What Do I Need To Know?’’ to meter piping and new control valves Environmental Policy Act (NEPA) This fact sheet addresses a number of at its existing meter station, as well as requires the Commission to take into typically asked questions, including the install auxiliary facilities at both account the environmental impacts that use of eminent domain and how to locations. The Acadiana Project would could result from its action whenever it participate in the Commission’s increase the north-south natural gas considers the issuance of a Certificate of proceedings. It is also available for delivery capacity on its pipeline system Public Convenience and Necessity. viewing on the FERC website by approximately 894,000 dekatherms NEPA also requires the Commission to (www.ferc.gov) at https://www.ferc.gov/ per day. According to KMLP, its project discover concerns the public may have resources/guides/gas/gas.pdf. about proposals. This process is referred would meet the needs of Sabine Pass to as ‘‘scoping.’’ The main goal of the Public Participation Liquefaction, LLC at its liquefied natural gas export terminal in Cameron Parish, scoping process is to focus the analysis The Commission offers a free service in the EA on the important Louisiana. called eSubscription which makes it The Acadiana Project would consist environmental issues. By this notice, the easy to stay informed of all issuances Commission requests public comments of the installation of the following and submittals regarding the docket/ facilities: on the scope of issues to address in the project to which you subscribe. These • EA. To ensure that your comments are Three new 31,900 horsepower Solar instant email notifications are the fastest Titan 250 natural gas-fired turbine timely and properly recorded, please way to receive notification and provide submit your comments so that the driven compressor units at KMLP’s a link to the document files which can existing Compressor Station 760, in Commission receives them in reduce the amount of time you spend Washington, DC on or before 5:00 p.m. Acadia Parish, Louisiana. Additionally, researching proceedings. To sign up go KMLP would install natural gas cooling Eastern Time on September 27, 2019. to www.ferc.gov/docs-filing/ You can make a difference by equipment, two compressor buildings, esubscription.asp. submitting your specific comments or two master control buildings, a concerns about the project. Your For your convenience, there are three switchgear building, two emergency comments should focus on the potential methods you can use to submit your generators (requiring an extension of the environmental effects, reasonable comments to the Commission. The existing auxiliary building), filter alternatives, and measures to avoid or Commission encourages electronic filing separators, fuel gas skids, fuel gas lessen environmental impacts. Your of comments and has staff available to heaters, and re-wheel the two existing input will help the Commission staff assist you at (866) 208–3676 or compressor units at Compressor Station determine what issues they need to [email protected]. Please 760; and • evaluate in the EA. Commission staff carefully follow these instructions so Piping modifications and new will consider all filed comments during that your comments are properly control valves at KMLP’s existing the preparation of the EA. recorded. Columbia Gulf Transmission, LLC Meter If you sent comments on the project (1) You can file your comments Station in Evangeline Parish, Louisiana. to the Commission before the opening of electronically using the eComment The general location of the Acadiana the docket on June 28, 2019, you will feature, which is located on the Project facilities is shown in appendix 1 need to file those comments in Docket Commission’s website (www.ferc.gov) 1. No. CP19–484–000 to ensure they are under the link to Documents and Land Requirements for Construction considered as part of this proceeding. Filings. Using eComment is an easy This notice is being sent to the method for submitting brief, text-only Construction of the proposed facilities Commission’s current environmental comments on a project; would disturb about 88.5 acres of land mailing list for the project. State and (2) You can file your comments for all project facilities. Following local government representatives should electronically by using the eFiling construction, KMLP would maintain notify their constituents of the proposed feature, which is also on the about 3.14 acres for permanent project and encourage them to comment Commission’s website (www.ferc.gov) operation of the project’s facilities; the on their areas of concern. under the link to Documents and 1 The appendices referenced in this notice will If you are a landowner receiving this Filings. With eFiling, you can provide not appear in the Federal Register. Copies of notice, a pipeline company comments in a variety of formats by appendices were sent to all those receiving this representative may contact you about attaching them as a file with your notice in the mail and are available at www.ferc.gov the acquisition of an easement to submission. New eFiling users must using the link called ‘‘eLibrary’’ or from the Commission’s Public Reference Room, 888 First construct, operate, and maintain the first create an account by clicking on Street NE, Washington, DC 20426, or call (202) 502– proposed facilities. The company would ‘‘eRegister.’’ You will be asked to select 8371. For instructions on connecting to eLibrary, seek to negotiate a mutually acceptable the type of filing you are making; a refer to the last page of this notice.

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remaining acreage would be restored using this notice to initiate consultation assistance, please contact FERC Online and revert to former uses. About 21.2 with the applicable State Historic Support at [email protected] acres of the project would occur within Preservation Office, and to solicit their or (866) 208–3676, or for TTY, contact KMLP’s existing facilities. views and those of other government (202) 502–8659. The eLibrary link also agencies, interested Indian tribes, and provides access to the texts of all formal The EA Process the public on the project’s potential documents issued by the Commission, The EA will discuss impacts that effects on historic properties.4 The EA such as orders, notices, and could occur as a result of the for the project will document findings rulemakings. construction and operation of the on the impacts on historic properties Public sessions or site visits will be proposed project under these general and summarize the status of posted on the Commission’s calendar headings: consultations under section 106. located at www.ferc.gov/EventCalendar/ • Geology and soils; EventsList.aspx along with other related • Environmental Mailing List water resources and wetlands; information. • vegetation and wildlife; The environmental mailing list • threatened and endangered species; includes federal, state, and local Dated: August 28, 2019. • cultural resources; government representatives and Kimberly D. Bose, • land use; agencies; elected officials; Secretary. • air quality and noise; environmental and public interest [FR Doc. 2019–19063 Filed 9–3–19; 8:45 am] • public safety; and groups; Native American Tribes; other BILLING CODE 6717–01–P • cumulative impacts. interested parties, and local libraries Commission staff will also evaluate and newspapers. This list also includes reasonable alternatives to the proposed all affected landowners (as defined in DEPARTMENT OF ENERGY project or portions of the project, and the Commission’s regulations) who are make recommendations on how to potential right-of-way grantors, whose Federal Energy Regulatory lessen or avoid impacts on the various property may be used temporarily for Commission resource areas. project purposes, or who own homes The EA will present Commission within certain distances of aboveground [Project No. 14968–000] staffs’ independent analysis of the facilities, and anyone who submits issues. The EA will be available in comments on the project. Commission Notice of Preliminary Permit electronic format in the public record Application Accepted for Filing and 2 staff will update the environmental through eLibrary and the mailing list as the analysis proceeds to Soliciting Comments, Motions To Commission’s website (https:// ensure that Commission notices related Intervene, and Competing TM www.ferc.gov/industries/gas/enviro/ to this environmental review are sent to Applications: Lock+ Hydro Friends eis.asp). If eSubscribed, you will receive all individuals, organizations, and Fund XV, LLC instant email notification when the EA government entities interested in and/or On March 1, 2019, Lock+TM Hydro is issued. The EA may be issued for an potentially affected by the proposed allotted public comment period. Friends Fund XV, LLC, filed an project. application for a preliminary permit, Commission staff will consider all If the Commission issues the EA for pursuant to section 4(f) of the Federal comments on the EA before making an allotted public comment period, a Power Act (FPA), proposing to study the recommendations to the Commission. Notice of Availability of the EA will be feasibility of the Francis Walter Dam To ensure Commission staff have the sent to the environmental mailing list Hydropower Project to be located at the opportunity to address your comments, and will provide instructions to access U.S. Army Corps of Engineers’ (Corps) please carefully follow the instructions the electronic document on the FERC’s Francis Walter Dam on the Lehigh River in the Public Participation section, website (www.ferc.gov). If you need to in Luzerne County, Pennsylvania. The beginning on page 2. make changes to your name/address, or sole purpose of a preliminary permit, if With this notice, the Commission is if you would like to remove your name issued, is to grant the permit holder asking agencies with jurisdiction by law from the mailing list, please return the priority to file a license application and/or special expertise with respect to attached ‘‘Mailing List Update Form’’ during the permit term. A preliminary the environmental issues of the project (appendix 2). to formally cooperate in the preparation permit does not authorize the permit of the EA.3 Agencies that would like to Additional Information holder to perform any land-disturbing request cooperating agency status Additional information about the activities or otherwise enter upon lands should follow the instructions for filing project is available from the or waters owned by others without the comments provided under the Public Commission’s Office of External Affairs, owners’ express permission. Participation section of this notice. at (866) 208–FERC, or on the FERC The proposed project would consist of website at www.ferc.gov using the the following: (1) A new 30-foot-wide, Consultation Under Section 106 of the 30-foot-deep, 160-foot-tall modular National Historic Preservation Act eLibrary link. Click on the eLibrary link, click on General Search and enter the frame structure to be installed at the In accordance with the Advisory docket number in the Docket Number intake for the outlet pipe adjacent to the Council on Historic Preservation’s field, excluding the last three digits (i.e., outlet tower, containing two turbine- implementing regulations for section CP19–484). Be sure you have selected generator units with a rated capacity of 106 of the National Historic an appropriate date range. For 2,400 kilowatts each; (2) a new Preservation Act, the Commission is switchgear and control room located in 4 The Advisory Council on Historic Preservation’s the modular structure; and (3) a new 13- 2 For instructions on connecting to eLibrary, refer regulations are at Title 36, Code of Federal kilovolt transmission line connecting to the last page of this notice. Regulations, Part 800. Those regulations define the modular structure with a nearby 3 The Council on Environmental Quality historic properties as any prehistoric or historic regulations addressing cooperating agency district, site, building, structure, or object included existing electrical grid. The proposed responsibilities are at Title 40, Code of Federal in or eligible for inclusion in the National Register project would have an annual Regulations, Part 1501.6. of Historic Places. generation of 20,000 megawatt-hours.

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Applicant Contact: Wayne Crouse, tariff, noting that such application DEPARTMENT OF ENERGY Lock+TM Hydro Friends Fund XV, LLC, includes a request for blanket PO Box 43796, Birmingham, AL 35243; authorization, under 18 CFR part 34, of Federal Energy Regulatory phone: 877–556–6566, ext. 709. future issuances of securities and Commission FERC Contact: Monir Chowdhury; assumptions of liability. [Project No. 1922–052] phone: (202) 502–6736. Any person desiring to intervene or to Deadline for filing comments, motions Ketchikan Public Utilities; Notice of protest should file with the Federal to intervene, competing applications Intent To File License Application, Energy Regulatory Commission, 888 (without notices of intent), or notices of Filing of Pre-Application Document, intent to file competing applications: 60 First Street NE, Washington, DC 20426, Approving Use of the Traditional days from the issuance of this notice. in accordance with Rules 211 and 214 Licensing Process Competing applications and notices of of the Commission’s Rules of Practice intent must meet the requirements of 18 and Procedure (18 CFR 385.211 and a. Type of Filing: Notice of Intent to CFR 4.36. 385.214). Anyone filing a motion to File License Application and Request to The Commission strongly encourages intervene or protest must serve a copy Use the Traditional Licensing Process. of that document on the Applicant. b. Project No.: 1922–052. electronic filing. Please file comments, c. Date Filed: July 16, 2019. motions to intervene, notices of intent, Notice is hereby given that the d. Submitted By: Ketchikan Public and competing applications using the deadline for filing protests with regard Utilities (KPU). Commission’s eFiling system at http:// to the applicant’s request for blanket e. Name of Project: Beaver Falls www.ferc.gov/docs-filing/efiling.asp. authorization, under 18 CFR part 34, of Hydroelectric Project. Commenters can submit brief comments future issuances of securities and f. Location: On Beaver Falls Creek in up to 6,000 characters, without prior assumptions of liability, is September 9, Ketchikan Gateway Borough, Alaska. registration, using the eComment system 2019. The project occupies 478.4 acres of at http://www.ferc.gov/docs-filing/ United States lands administered by ecomment.asp. You must include your The Commission encourages U.S. Forest Service. name and contact information at the end electronic submission of protests and g. Filed Pursuant to: 18 CFR 5.3 of the of your comments. For assistance, interventions in lieu of paper, using the Commission’s regulations. please contact FERC Online Support at FERC Online links at http:// h. Potential Applicant Contact: [email protected], (866) www.ferc.gov. To facilitate electronic Jennifer Holstrom, Senior Project 208–3676 (toll free), or (202) 502–8659 service, persons with internet access Engineer, Ketchikan Public Utilities, (TTY). In lieu of electronic filing, please who will eFile a document and/or be 1065 Fair Street, Ketchikan, Alaska send a paper copy to: Secretary, Federal listed as a contact for an intervenor 99901; (907) 228–4733; or email at Energy Regulatory Commission, 888 must create and validate an [email protected]. First Street NE, Washington, DC 20426. eRegistration account using the i. FERC Contact: Julia Kolberg at (202) The first page of any filing should eRegistration link. Select the eFiling 502–8261; or email at julia.kolberg@ include docket number P–14968–000. link to log on and submit the ferc.gov. j. Ketchikan Public Utilities filed its More information about this project, intervention or protests. including a copy of the application, can request to use the Traditional Licensing Persons unable to file electronically be viewed or printed on the eLibrary Process on July 16, 2019. KPU provided link of the Commission’s website at should submit an original and 5 copies public notice of its request on July 13, http://www.ferc.gov/docs-filing/ of the intervention or protest to the 2019. In a letter dated August 19, 2019, elibrary.asp. Enter the docket number Federal Energy Regulatory Commission, the Director of the Division of (P–14968) in the docket number field to 888 First Street NE, Washington, DC Hydropower Licensing approved BCB’s access the document. For assistance, 20426. request to use the Traditional Licensing contact FERC Online Support. The filings in the above-referenced Process. k. With this notice, we are initiating Dated: August 28, 2019 proceeding are accessible in the informal consultation with the U.S. Fish Kimberly D. Bose, Commission’s eLibrary system by and Wildlife Service under section 7 of Secretary. clicking on the appropriate link in the the Endangered Species Act and the [FR Doc. 2019–19070 Filed 9–3–19; 8:45 am] above list. They are also available for joint agency regulations thereunder at electronic review in the Commission’s BILLING CODE 6717–01–P 50 CFR, Part 402. We are also initiating Public Reference Room in Washington, consultation with the Alaska State DC. There is an eSubscription link on Historic Preservation Office, as required DEPARTMENT OF ENERGY the website that enables subscribers to by section 106, National Historic receive email notification when a Preservation Act, and the implementing Federal Energy Regulatory document is added to a subscribed regulations of the Advisory Council on Commission docket(s). For assistance with any FERC Historic Preservation at 36 CFR 800.2. l. With this notice, we are designating Docket No. ER19–2626–000] Online service, please email [email protected]. or call KPU as the Commission’s non-federal Rosewater Wind Farm LLC; (866) 208–3676 (toll free). For TTY, call representative for carrying out informal Supplemental Notice That Initial (202) 502–8659. consultation pursuant to section 7 of the Market-Based Rate Filing Includes Endangered Species Act; and Dated: August 20, 2019. Request for Blanket Section 204 consultation pursuant to section 106 of Authorization Nathaniel J. Davis, Sr., the National Historic Preservation Act. Deputy Secretary. m. KPU filed a Pre-Application This is a supplemental notice in the [FR Doc. 2019–18970 Filed 9–3–19; 8:45 am] Document (PAD; including a proposed above-referenced Rosewater Wind Farm process plan and schedule) with the BILLING CODE 6717–01–P LLC’s application for market-based rate Commission, pursuant to 18 CFR 5.6 of authority, with an accompanying rate the Commission’s regulations.

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n. A copy of the PAD is available for intervene or protest must serve a copy feasibility of the Crooked Creek Dam review at the Commission in the Public of that document on the Applicant. Hydropower Project to be located at the Reference Room or may be viewed on Notice is hereby given that the U.S. Army Corps of Engineers’ (Corps) the Commission’s website (http:// deadline for filing protests with regard Crooked Creek Dam on Crooked Creek www.ferc.gov), using the ‘‘eLibrary’’ to the applicant’s request for blanket in Armstrong County, Pennsylvania. link. Enter the docket number, authorization, under 18 CFR part 34, of The sole purpose of a preliminary excluding the last three digits in the future issuances of securities and permit, if issued, is to grant the permit docket number field to access the assumptions of liability, is September holder priority to file a license document. For assistance, contact FERC 17, 2019. application during the permit term. A Online Support at The Commission encourages preliminary permit does not authorize [email protected], (866) electronic submission of protests and the permit holder to perform any land- 208–3676 (toll free), or (202) 502–8659 interventions in lieu of paper, using the disturbing activities or otherwise enter (TTY). A copy is also available for FERC Online links at http:// upon lands or waters owned by others inspection and reproduction at the www.ferc.gov. To facilitate electronic without the owners’ express permission. address in paragraph h. service, persons with internet access The proposed project would consist of o. The licensee states its unequivocal who will eFile a document and/or be the following: (1) A new 30-foot-wide, intent to submit an application for a listed as a contact for an intervenor 30-foot-deep, 160-foot-tall modular new license for Project No. 1922. must create and validate an frame structure to be installed at the Pursuant to 18 CFR 16.8, 16.9, and 16.10 eRegistration account using the intake for the outlet pipe adjacent to the each application for a new license and eRegistration link. Select the eFiling outlet tower, containing two turbine- any competing license applications link to log on and submit the generator units with a rated capacity of must be filed with the Commission at intervention or protests. 1,450 kilowatts each; (2) a new least 24 months prior to the expiration Persons unable to file electronically switchgear and control room located in of the existing license. All applications should submit an original and 5 copies the modular structure; and (3) a new 13- for license for this project must be filed of the intervention or protest to the kilovolt transmission line connecting by October 31, 2022. Federal Energy Regulatory Commission, the modular structure with a nearby p. Register online at http:// 888 First Street NE, Washington, DC existing electrical grid. The proposed www.ferc.gov/docs-filing/ 20426. project would have an annual esubscription.asp to be notified via The filings in the above-referenced generation of 12,750 megawatt-hours. Applicant Contact: Wayne Crouse, email of new filing and issuances proceeding are accessible in the TM related to this or other pending projects. Commission’s eLibrary system by Lock+ Hydro Friends Fund XVI, LLC, For assistance, contact FERC Online clicking on the appropriate link in the PO Box 43796, Birmingham, AL 35243; phone: 877–556–6566, ext. 709. Support. above list. They are also available for FERC Contact: Monir Chowdhury; electronic review in the Commission’s Dated: August 19, 2019. phone: (202) 502–6736. Kimberly D. Bose, Public Reference Room in Washington, Deadline for filing comments, motions DC. There is an eSubscription link on Secretary. to intervene, competing applications the website that enables subscribers to (without notices of intent), or notices of [FR Doc. 2019–19064 Filed 9–3–19; 8:45 am] receive email notification when a BILLING CODE 6717–01–P intent to file competing applications: 60 document is added to a subscribed days from the issuance of this notice. docket(s). For assistance with any FERC Competing applications and notices of Online service, please email DEPARTMENT OF ENERGY intent must meet the requirements of 18 [email protected]. or call CFR 4.36. Federal Energy Regulatory (866) 208–3676 (toll free). For TTY, call The Commission strongly encourages Commission (202) 502–8659. electronic filing. Please file comments, Dated: August 28, 2019. motions to intervene, notices of intent, [Docket No. ER19–2684–000] Nathaniel J. Davis, Sr., and competing applications using the Palmer Solar, LLC; Supplemental Deputy Secretary. Commission’s eFiling system at http:// Notice That Initial Market-Based Rate [FR Doc. 2019–19042 Filed 9–3–19; 8:45 am] www.ferc.gov/docs-filing/efiling.asp. Commenters can submit brief comments Filing Includes Request for Blanket BILLING CODE 6717–01–P Section 204 Authorization up to 6,000 characters, without prior registration, using the eComment system This is a supplemental notice in the DEPARTMENT OF ENERGY at http://www.ferc.gov/docs-filing/ above-referenced Palmer Solar, LLC’s ecomment.asp. You must include your application for market-based rate Federal Energy Regulatory name and contact information at the end authority, with an accompanying rate Commission of your comments. For assistance, tariff, noting that such application please contact FERC Online Support at [Project No. 14969–000] includes a request for blanket [email protected], (866) authorization, under 18 CFR part 34, of Lock+TM Hydro Friends Fund XVI, LLC; 208–3676 (toll free), or (202) 502–8659 future issuances of securities and Notice of Preliminary Permit (TTY). In lieu of electronic filing, please assumptions of liability. Application Accepted for Filing and send a paper copy to: Secretary, Federal Any person desiring to intervene or to Soliciting Comments, Motions To Energy Regulatory Commission, 888 protest should file with the Federal Intervene, and Competing Applications First Street NE, Washington, DC 20426. Energy Regulatory Commission, 888 The first page of any filing should First Street NE, Washington, DC 20426, On March 1, 2019, Lock+TM Hydro include docket number P–14969–000. in accordance with Rules 211 and 214 Friends Fund XVI, LLC, filed an More information about this project, of the Commission’s Rules of Practice application for a preliminary permit, including a copy of the application, can and Procedure (18 CFR 385.211 and pursuant to section 4(f) of the Federal be viewed or printed on the eLibrary 385.214). Anyone filing a motion to Power Act (FPA), proposing to study the link of the Commission’s website at

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http://www.ferc.gov/docs-filing/ public docket. Do not submit Interstate Air Quality Control Region; elibrary.asp. Enter the docket number electronically any information you Alton Township, Illinois; Williamson (P–14969) in the docket number field to consider to be Confidential Business County, Illinois; Anne Arundel County access the document. For assistance, Information (CBI) or other information and Baltimore County, Maryland; and contact FERC Online Support. whose disclosure is restricted by statute. St. Clair, Michigan SO2 nonattainment Dated: August 28, 2019. Multimedia submissions (audio, video, areas. The EPA has already taken final Kimberly D. Bose, etc.) must be accompanied by a written comment. The written comment is action to approve the submitted SO2 Secretary. considered the official comment and SIPs or elements thereof for the [FR Doc. 2019–19065 Filed 9–3–19; 8:45 am] should include discussion of all points Indianapolis, Indiana; Terre Haute, BILLING CODE 6717–01–P you wish to make. The EPA will Indiana; Jackson County, Missouri; Lake generally not consider comments or County, Ohio; Miami, Arizona; comment contents located outside of the Marshall, West Virginia; and Jefferson ENVIRONMENTAL PROTECTION primary submission (i.e., on the web, County, Kentucky SO2 nonattainment AGENCY cloud, or other file sharing system). For areas. See, 84 FR 10692 (March 22, 2019), 84 FR 3703 (February 13, 2019); [EPA–HQ–OGC–2019–0411; 9999–30–OGC] additional submission methods, please contact the person identified in the FOR 84 FR 3986 (February 14, 2019); 84 FR Proposed Consent Decree, Clean Air FURTHER INFORMATION CONTACT section. 8813 (March 12, 2019); 80 FR 45613 Act Citizen Suit For the full EPA public comment policy, (July 31, 2015); and 84 FR 30920 (June information about CBI or multimedia 28, 2019). EPA has also found that SO2 AGENCY: Environmental Protection submissions, and general guidance on SIP submitted for the Alton Township, Agency (EPA) making effective comments, please visit Illinois nonattainment area is complete. ACTION: Notice of proposed consent https://www.epa.gov/dockets/ See, letter from EPA Region 5 Director decree; request for public comment. commenting-epa-dockets. of Air and Radiation Division to Director of Illinois Environmental FOR FURTHER INFORMATION CONTACT: SUMMARY: In accordance with section Protection Agency (June 5, 2019). In Mike Thrift, Air and Radiation Law 113(g) of the Clean Air Act, as amended addition, EPA previously approved Office, Office of General Counsel, U.S. (‘‘CAA’’ or the ‘‘Act’’), notice is given of some submitted elements for the New Environmental Protection Agency, c/o a proposed consent decree in Center for Jersey portion of the Northeast U.S. Environmental Protection Agency Biological Diversity, et al., v. Wheeler, Pennsylvania-Upper Delaware Valley San Diego Border Office, 610 W Ash No. 4:18–cv–03544 (N.D. Cal.). On June Interstate Air Quality Control Region. 61 Street, Suite 905, San Diego, CA, 92101; 4, 2018, the Center for Biological FR 38591 (July 25, 1996), and 82 FR telephone: (619) 321–1960; email Diversity, Center for Environmental 44099 (September 21, 2017); see also, Health, and Sierra Club filed a address: [email protected]. letter from Director of New Jersey complaint in the United States District SUPPLEMENTARY INFORMATION: Department of Environmental Court for the Northern District of I. Additional Information About the Protection, Division of Air Quality to California, and filed an amended Proposed Consent Decree Chief, Air Programs Branch, EPA Region complaint on December 17, 2018, 2 (July 23, 2019). On August 21, 2019, alleging that the Administrator of the The consent decree would resolve a EPA published a final Clean Data United States Environmental Protection lawsuit filed by the Center for Biological Determination for the New Jersey Agency (‘‘EPA’’) failed to perform non- Diversity, Center for Environmental portion of the Northeast Pennsylvania- discretionary duties to take final action Health and Sierra Club seeking to Upper Delaware Valley Interstate Air to approve or disapprove, in whole or in compel the Administrator to take action Quality Control Region, concluding that under the Clean Air Act to approve or part, certain state implementation plans the area had attained the 1971 SO2 (‘‘SIPs’’) submitted to meet attainment disapprove several submitted SO2 SIPs NAAQS and thereby suspending the requirements under the 2010 primary under CAA sections 110(k)(2)–(4), and State’s obligation to submit a to issue findings of failure to submit SO2 sulfur dioxide (‘‘SO2’’) national ambient nonattainment SIP for the area. 84 FR air quality standard (‘‘NAAQS’’), and to SIPs for several areas under CAA 43504 (August 21, 2019). Therefore, the make findings of failure to submit SIPs section 110(k)(1)(B). Specifically, the lawsuit’s claims regarding these areas for certain areas for the 1971 or 2010 lawsuit seeks to compel EPA action are moot. under CAA section 110(k)(2)–(4) on SO2 primary SO2 NAAQS. The proposed Under the terms of the proposed consent decree would establish SIPs submitted for the Indianapolis, consent decree, EPA shall take actions deadlines for EPA to take specified Indiana; Morgan County, Indiana; regarding the remaining areas by the actions. Southwest Indiana; Terre Haute, deadlines established in the proposed Indiana; Muscatine, Iowa; Detroit, consent decree, unless EPA or the DATES: Written comments on the Michigan; Jackson County, Missouri; relevant state takes action that would proposed consent decree must be Lake County, Ohio; Muskingum River, automatically terminate EPA’s received by October 4, 2019. Ohio; Steubenville, Ohio-West Virginia; obligations for individual areas under ADDRESSES: Submit your comments, Rhinelander, Wisconsin; Hayden, the proposed consent decree. identified by Docket ID number EPA– Arizona; Miami, Arizona; Jefferson For a period of thirty (30) days HQ–OGC–2019–0411, online at County, Kentucky; Allegheny, following the date of publication of this www.regulations.gov (EPA’s preferred Pennsylvania; Beaver, Pennsylvania; notice, the Agency will accept written method). For comments submitted at Indiana, Pennsylvania; and Marshall, comments relating to the proposed www.regulations.gov, follow the online West Virginia SO2 nonattainment areas. consent decree from persons who are instructions for submitting comments. The lawsuit also seeks to compel EPA not named as parties or intervenors to Once submitted, comments cannot be action under CAA section 110(k)(1)(B) the litigation in question. EPA or the edited or removed from to find failure to submit SO2 SIPs for the Department of Justice may withdraw or www.regulations.gov. The EPA may New Jersey portion of the Northeast withhold consent to the proposed publish any comment received to its Pennsylvania-Upper Delaware Valley consent decree if the comments disclose

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facts or considerations that indicate that Please ensure that your comments are SUMMARY: In accordance with the such consent is inappropriate, submitted within the specified comment Comprehensive Environmental improper, inadequate, or inconsistent period. Comments received after the Response, Compensation, and Liability with the requirements of the Act. close of the comment period will be Act of 1980, as amended (‘‘CERCLA’’), marked ‘‘late.’’ EPA is not required to notice is hereby given by the U.S. II. Additional Information About consider late comments. Environmental Protection Agency Commenting on the Proposed Consent If you submit an electronic comment, (‘‘EPA’’), Region 2, of a proposed cost Decree EPA recommends that you include your recovery settlement agreement pursuant A. How can I get a copy of the consent name, mailing address, and an email to CERCLA between EPA and Air decree? address or other contact information in Products and Chemicals, Inc.; Alco the body of your comment and with any Industries Inc.; Bayer CropScience, Inc.; The official public docket for this disk or CD ROM you submit. This Colonial Heights Packaging Inc.; action (identified by Docket ID No. ensures that you can be identified as the Continental Holdings Inc.; Croda Inks EPA–HQ–OGC–2019–0411) contains a submitter of the comment and allows Corp.; Forenco, Inc.; Henkel US copy of the proposed consent decree. EPA to contact you in case EPA cannot Operations Corporation, for itself and on The official public docket is available read your comment due to technical behalf of Amchem Products, Inc,; for public viewing at the Office of difficulties or needs further information LANXESS Sybron Chemicals, Inc.; Environmental Information (OEI) Docket on the substance of your comment. Any Reynolds Metals Company, LLC; The in the EPA Docket Center, EPA West, identifying or contact information Hillshire Brands Company; Sonoco Room 3334, 1301 Constitution Ave. NW, provided in the body of a comment will Products Company; Stepan Company; Washington, DC. The EPA Docket be included as part of the comment that Union Carbide Corporation; and USG Center Public Reading Room is open is placed in the official public docket, Corporation (‘‘Settling Parties’’) from 8:30 a.m. to 4:30 p.m., Monday and made available in EPA’s electronic regarding the Lightman Drum Company through Friday, excluding legal public docket. If EPA cannot read your Superfund Site, Winslow Township, holidays. The telephone number for the comment due to technical difficulties Camden County, New Jersey (‘‘Site’’). Public Reading Room is (202) 566–1744, and cannot contact you for clarification, Pursuant to the proposed cost recovery and the telephone number for the OEI EPA may not be able to consider your settlement agreement, the Settling Docket is (202) 566–1752. comment. Parties will pay $13,526.88 to resolve An electronic version of the public Use of the www.regulations.gov the Settling Parties’ civil liability under docket is available through website to submit comments to EPA Section 107(a) of CERCLA for past www.regulations.gov. You may use electronically is EPA’s preferred method response costs and will pay future www.regulations.gov to submit or view for receiving comments. The electronic response costs for the Site. public comments, access the index public docket system is an ‘‘anonymous DATES: Comments must be submitted on listing of the contents of the official access’’ system, which means EPA will or before October 4, 2019. public docket, and access those not know your identity, email address, documents in the public docket that are ADDRESSES: The proposed settlement or other contact information unless you agreement is available for public available electronically. Once in the provide it in the body of your comment. system, key in the appropriate docket inspection at EPA’s Region 2 offices. To In contrast to EPA’s electronic public request a copy of the proposed identification number then select docket, EPA’s electronic mail (email) ‘‘search.’’ settlement agreement, please contact the system is not an ‘‘anonymous access’’ EPA employee identified in the FOR It is important to note that EPA’s system. If you send an email comment policy is that public comments, whether FURTHER INFORMATION CONTACT section directly to the Docket without going below. submitted electronically or in paper, through www.regulations.gov, your will be made available for public email address is automatically captured FOR FURTHER INFORMATION CONTACT: viewing online at www.regulations.gov and included as part of the comment Amelia Wagner, Assistant Regional without change, unless the comment that is placed in the official public Counsel, U.S. Environmental Protection contains copyrighted material, CBI, or docket, and made available in EPA’s Agency, Region 2, Office of Regional other information whose disclosure is electronic public docket. Counsel, 290 Broadway–17th Floor, New York, New York 10007–1866. restricted by statute. Information Dated: August 26, 2019. claimed as CBI and other information Email: [email protected]. Gautam Srinivasan, whose disclosure is restricted by statute Telephone: (212) 637–3141. is not included in the official public Acting Associate General Counsel. SUPPLEMENTARY INFORMATION: For 30 docket or in the electronic public [FR Doc. 2019–19100 Filed 9–3–19; 8:45 am] days following the date of publication of docket. EPA’s policy is that copyrighted BILLING CODE 6560–50–P this notice, EPA will receive written material, including copyrighted material comments concerning the proposed cost contained in a public comment, will not recovery settlement agreement. ENVIRONMENTAL PROTECTION be placed in EPA’s electronic public Comments to the proposed settlement AGENCY docket but will be available only in agreement should reference the printed, paper form in the official public [FRL–9999–25–Region 2] Lightman Drum Company Superfund docket. Although not all docket Site, U.S. EPA Index No. CERCLA–02– materials may be available Proposed CERCLA Cost Recovery 2019–2004. EPA will consider all electronically, you may still access any Settlement Regarding the Lightman comments received during the 30-day of the publicly available docket Drum Company Superfund Site, public comment period and may modify materials through the EPA Docket Camden County, New Jersey or withdraw its consent to the Center. AGENCY: Environmental Protection settlement agreement if comments B. How and to whom do I submit Agency (EPA). received disclose facts or considerations comments? that indicate that the proposed ACTION: Notice; request for public You may submit comments as settlement agreement is inappropriate, comment. provided in the ADDRESSES section. improper, or inadequate. EPA’s

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response to comments will be available EPA–HQ–OPP–2019–0091, is available DATES: for public inspection at EPA’s Region 2 at http://www.regulations.gov or at the Meeting: The meeting will be held on offices located at 290 Broadway, New Office of Pesticide Programs Regulatory October 16, 2019 from 9:00 a.m. to 4:30 York, NY 10007–1866. Public Docket (OPP Docket) in the p.m. Dated: August 6, 2019. Environmental Protection Agency Requests to participate: Requests to participate in the meeting must be made Pat Evangelista, Docket Center (EPA/DC), West William Jefferson Clinton Bldg., Rm. 3334, 1301 or received on or before September 23, Acting Director, Superfund and Emergency 2019. Management Division, Region 2. Constitution Ave. NW, Washington, DC 20460–0001. The Public Reading Room Requests for special accommodation: [FR Doc. 2019–19098 Filed 9–3–19; 8:45 am] is open from 8:30 a.m. to 4:30 p.m., Requests for accommodation of a BILLING CODE 6560–50–P Monday through Friday, excluding legal disability should be submitted at least holidays. The telephone number for the 10 days prior to the meeting to give EPA as much time as possible to process ENVIRONMENTAL PROTECTION Public Reading Room is (202) 566–1744, your request. AGENCY and the telephone number for the OPP Docket is (703) 305–5805. Please review ADDRESSES: [EPA–HQ–OPP–2019–0091; FRL–9998–99] the visitor instructions and additional Meeting: The meeting will be held at information about the docket available the Environmental Protection Agency, Product Cancellation Order for Certain at http://www.epa.gov/dockets. Office of Pesticide Programs (OPP), One Pesticide Registrations; Correction Potomac Yard (South Building), First II. What does this correction do? AGENCY: Environmental Protection Floor Conference Center (S–1200), 2777 Agency (EPA). EPA is correcting the cancellation S. Crystal Drive, Arlington, VA 22202. ACTION: Notice. order issued in the Federal Register of Requests to participate and requests August 14, 2019 (84 FR 40405; FRL– for special accommodations: Submit SUMMARY: EPA issued a cancellation 9996–70), by removing three entries in requests to participate in the meeting order in the Federal Register of August Table 1, of Unit II., because the and requests for special 14, 2019, concerning the cancellations registrant of those registrations accommodations to the person listed voluntarily requested by the registrants inadvertently requested the voluntary under FOR FURTHER INFORMATION and accepted by the Agency. This notice cancellations. As such, this correction CONTACT by the deadline identified in is being issued to correct the removes registration numbers 1043–87, the DATES section. cancellation order in Table 1, of Unit II., 1043–91 and 1043–92 from the FOR FURTHER INFORMATION CONTACT: to remove three entries that the cancellation order. Rebecca Lazarus or Zoe Ruge, registrant inadvertently requested be On page 40405, in Table 1, of Unit II., Environmental Fate and Effects Division cancelled. please remove the entries for (7507P), Office of Pesticide Programs, DATES: The Federal Register of August registration numbers 1043–87, 1043–91 Environmental Protection Agency, 1200 14, 2019, announced the order to and 1043–92. Pennsylvania Ave. NW, Washington, DC voluntarily cancel three registrations in Authority: 7 U.S.C. 136 et seq. 20460–0001; telephone number: (703) Table 1, of Unit II., that the registrant 347–0520 and (703) 347–0111; fax Dated: August 26, 2019. inadvertently requested. number: (703) 305–0204; email address: Hamaad A. Syed, FOR FURTHER INFORMATION CONTACT: [email protected] and ruge.zoe@ Christopher Green, Information Acting Director, Information Technology and epa.gov. Resource Management Division, Office of SUPPLEMENTARY INFORMATION: Technology and Resources Management Pesticide Programs. Division (7502P), Office of Pesticide [FR Doc. 2019–19031 Filed 9–3–19; 8:45 am] I. General Information Programs, Environmental Protection Agency, 1200 Pennsylvania Ave. NW, BILLING CODE 6560–50–P A. Does this action apply to me? Washington, DC 20460–0001; telephone You may be potentially affected by number: (703) 347–0367; email address: ENVIRONMENTAL PROTECTION this action if you are required to [email protected]. AGENCY conduct testing of chemical substances SUPPLEMENTARY INFORMATION: under the Toxic Substances Control Act [EPA–HQ–OPP–2009–0879; FRL–9998–60] I. General Information (TSCA), the Federal Food, Drug, and Cosmetic Act (FFDCA), or the Federal A. Does this action apply to me? Environmental Modeling Public Meeting; Notice of Public Meeting Insecticide, Fungicide, and Rodenticide This action is directed to the public Act (FIFRA). Since other entities may in general, and may be of interest to a AGENCY: Environmental Protection also be interested, the Agency has not wide range of stakeholders including Agency (EPA). attempted to describe all the specific environmental, human health, and ACTION: Notice. entities that may be affected by this agricultural advocates; the chemical action. The following list of North industry; pesticide users; and members SUMMARY: An Environmental Modeling American Industrial Classification of the public interested in the sale, Public Meeting (EMPM) will be held on System (NAICS) codes is not intended distribution, or use of pesticides. Since Wednesday October 16, 2019. This to be exhaustive, but rather provides a others also may be interested, the Notice announces the location and time guide to help readers determine whether Agency has not attempted to describe all for the meeting and provides tentative this document applies to them. the specific entities that may be affected agenda topics. The EMPM provides a Potentially affected entities may by this action. public forum for EPA and its include: stakeholders to discuss current issues • Agriculture, Forestry, Fishing and B. How can I get copies of this document related to modeling pesticide fate, Hunting NAICS code 11. and other related information? transport, exposure, and ecotoxicity for • Utilities NAICS code 22. The docket for this action, identified pesticide risk assessments in a • Professional, Scientific and by docket identification (ID) number regulatory context. Technical NAICS code 54.

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B. How can I get copies of this document ENVIRONMENTAL PROTECTION FEDERAL COMMUNICATIONS and other related information? AGENCY COMMISSION The docket for this action, identified [OMB 3060–1227] by docket identification (ID) number [FRL 9999–10–OW] EPA–HQ–OPP–2009–0879, is available Information Collection Being Reviewed at http://www.regulations.gov or at the Open Meeting of the Environmental by the Federal Communications Office of Pesticide Programs Regulatory Financial Advisory Board Commission Under Delegated Public Docket (OPP Docket) in the Authority Environmental Protection Agency AGENCY: Environmental Protection Agency (EPA). AGENCY: Federal Communications Docket Center (EPA/DC), West William Commission. Jefferson Clinton Bldg., Rm. 3334, 1301 ACTION: Notice of open meeting. Constitution Ave. NW, Washington, DC ACTION: Notice and request for 20460–0001. The Public Reading Room comments. SUMMARY: The Environmental Protection is open from 8:30 a.m. to 4:30 p.m., Agency’s (EPA) Environmental SUMMARY: As part of its continuing effort Monday through Friday, excluding legal Financial Advisory Board (EFAB) will to reduce paperwork burdens, and as holidays. The telephone number for the required by the Paperwork Reduction Public Reading Room is (202) 566–1744, hold a public meeting on October 16– 18, 2019 in the Kansas City, Missouri Act (PRA) of 1995, the Federal and the telephone number for the OPP Communications Commission (FCC or Docket is (703) 305–5805. Please review metropolitan area. The EFAB is an EPA advisory committee chartered under the Commission) invites the general public the visitor instructions and additional and other Federal agencies to take this Federal Advisory Committee Act to information about the docket available opportunity to comment on the provide advice and recommendations to at http://www.epa.gov/dockets. following information collections. EPA on creative approaches to funding II. Background Comments are requested concerning: environmental programs, projects, and Whether the proposed collection of On a biannual interval, an EMPM is activities. information is necessary for the proper held for presentation and discussion of The purpose of this meeting is to performance of the functions of the current issues related to modeling discuss recommendations from EFAB Commission, including whether the pesticide fate, transport, and exposure work products; to discuss changes to the information shall have practical utility; for risk assessment in a regulatory EFAB’s process of selecting new topics the accuracy of the Commission’s context. Meeting dates and abstract and developing recommendations; and burden estimate; ways to enhance the requests are announced through the to discuss stormwater funding and quality, utility, and clarity of the ‘‘empmlist’’ forum on the LYRIS list information collected; ways to minimize _ financing. The meeting is open to the server at https://lists.epa.gov/read/all public; however, seating is limited. All the burden of the collection of forums/. members of the public who wish to information on the respondents, III. How can I request to participate in attend the meeting must register in including the use of automated this meeting? advance, no later than Monday, collection techniques or other forms of information technology; and ways to You may submit a request to September 30, 2019 at https:// epaefaboctober2019.eventbrite.com. further reduce the information participate in this meeting to the person collection burden on small business listed under FOR FURTHER INFORMATION DATES: A workgroup of the board, the concerns with fewer than 25 employees. CONTACT by the deadline identified in Stormwater Infrastructure Taskforce/ The FCC may not conduct or sponsor the DATES section. Do not submit any Workgroup will meet on Wednesday, a collection of information unless it information in your request that is October 16, 2019 from 9 a.m.–5 p.m. displays a currently valid OMB control considered CBI. The full board meeting will be held number. No person shall be subject to IV. Tentative Theme for the Meeting Thursday, October 17, 2019 from 9 any penalty for failing to comply with a collection of information subject to the The 2019 Fall EMPM will provide a a.m.–5 p.m. and Friday, October 18, 2019 from 9 a.m.–12 p.m. PRA that does not display a valid OMB forum for presentations on control number. incorporation of pesticide usage data ADDRESSES: The Fontaine—A Kansas DATES: Written PRA comments should into environmental exposure and City Hotel, 901 W. 48th Place, Kansas be submitted on or before November 4, ecological risk assessments. Potential City, MO 64112. 2019. If you anticipate that you will be topics include sources of usage data submitting comments but find it (relating to the actual application of FOR FURTHER INFORMATION CONTACT: For difficult to do so within the period of pesticides, in terms of the quantity information on access or services for time allowed by this notice, you should applied or units treated), spatial individuals with disabilities, or to advise the contact listed below as soon applications of usage data, model request accommodations for a disability, as possible. parameterization, extrapolation of please contact Tara Johnson at (202) available usage data to fill gaps, and 564–6186 or [email protected] at ADDRESSES: Direct all PRA comments to temporal variability of usage. Updates least 10 business days prior to the Cathy Williams, FCC, via email PRA@ on ongoing topics will also be provided. meeting to allow as much time as fcc.gov and to [email protected]. FOR FURTHER INFORMATION CONTACT: For Authority: 7 U.S.C. 136 et seq. possible to process your request. additional information about the Dated: August 21, 2019. Dated: August 22, 2019. information collection, contact Cathy Marietta Echeverria, Andrew Sawyers, Williams at (202) 418–2918. Director, Environmental Fate and Effects Director, Office of Wastewater Management, SUPPLEMENTARY INFORMATION: Division, Office of Pesticide Programs. Office of Water. OMB Control Number: 3060–1227. [FR Doc. 2019–19067 Filed 9–3–19; 8:45 am] [FR Doc. 2019–19093 Filed 9–3–19; 8:45 am] Title: Sections 80.233, Technical BILLING CODE 6560–50–P BILLING CODE 6560–50–P requirements for Automatic

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Identification System Search and international technical standards and advise the contact listed below as soon Rescue Transmitter (AIS–SART) insure compliance with applicable as possible. equipment, 80.1061 Special rules. If this information were not ADDRESSES: Direct all PRA comments to requirements for 406.0–406.1 MHz available, operation of marine safety Cathy Williams, FCC, via email PRA@ EPIRB stations, 95.2987 Additional PLB equipment could be hindered fcc.gov and to [email protected]. and MSLD certification requirements threatening the ability of rescue FOR FURTHER INFORMATION CONTACT: For Form Number: N/A. personnel to locate vessels in distress. additional information about the Type of Review: Extension of a Federal Communications Commission. information collection, contact Cathy currently approved collection. Respondents: Business or other for- Marlene Dortch, Williams at (202) 418–2918. profit entities. Secretary. SUPPLEMENTARY INFORMATION: Number of Respondents and [FR Doc. 2019–19026 Filed 9–3–19; 8:45 am] OMB Control No.: 3060–0262. Responses: 80 respondents; 80 BILLING CODE 6712–01–P Title: Section 90.179, Shared Use of responses. Radio Stations. Estimated Time per Response: 1 hour. Form No.: N/A. Frequency of Response: Third party FEDERAL COMMUNICATIONS Type of Review: Extension of a disclosure requirement and on-occasion COMMISSION currently approved collection. reporting requirement. [OMB 3060–0262] Respondents: Business or other for- Obligation to Respond: Required to profit, non-for-profit institutions, and obtain or retain benefits. The statutory Information Collection Being Reviewed state, local and tribal government. authority for this collection of by the Federal Communications Number of Respondents and information is contained in 47 U.S.C. Commission Responses: 43,000 respondents, 43,000 154, 303 unless otherwise noted. responses. Total Annual Burden: 80 hours. AGENCY: Federal Communications Estimated Time per Response: .25 up Total Annual Cost: No cost. Commission. to .75 hours. Nature and Extent of Confidentiality: ACTION: Notice and request for Frequency of Response: There is no need for confidentiality with comments. Recordkeeping requirement and On this collection of information. occasion reporting requirement. Privacy Act Impact Assessment: No SUMMARY: As part of its continuing effort Obligation To Respond: Required to impact(s). to reduce paperwork burdens, and as obtain or retain benefits. The statutory Needs and Uses: The information required by the Paperwork Reduction authority for this collection is contained collections contained in these rule Act (PRA) of 1995, the Federal in 47 U.S.C. 154(i), 161, 303(g), 303(r) sections require manufacturers of Communications Commission (FCC or and 332(c)(7). certain emergency radio beacons to Commission) invites the general public Total Annual Burden: 43,000 hours. include supplemental information with and other Federal agencies to take this Annual Cost Burden: None. their equipment certification opportunity to comment on the Privacy Act Impact Assessment: No application which are due to the following information collections. impact(s). information collection requirements. Comments are requested concerning: Nature and Extent of Confidentiality: Manufacturers of Automatic Whether the proposed collection of There is no need for confidentiality with Identification System Search and information is necessary for the proper this collection of information. Rescue Transmitters (AIS–SARTS), 406 performance of the functions of the Needs and Uses: The Commission MHz Emergency Position Indicating Commission, including whether the was directed by the United States RadioBeacons (EPIRBs), and Maritime information shall have practical utility; Congress, in the Balanced Budget Act of Survivor Locating Device (MSLDs) must the accuracy of the Commission’s 1997, to dedicate 2.4 MHz of provide a copy of letter from the U.S. burden estimate; ways to enhance the electromagnetic spectrum in the 746– Coast Guard stating their device satisfies quality, utility, and clarity of the 806 MHz band for public safety services. technical requirements specified in the information collected; ways to minimize Section 90.179 requires that Part 90 IEC 61097–17 technical standard for the burden of the collection of licensees that share use of their private AIS–SARTs, or Radio Technical information on the respondents, land mobile radio facility on non-profit, Commission for Maritime Services including the use of automated cost-sharing basis to prepare and keep a (RTCM) Standard 11000 for 406 MHz collection techniques or other forms of written sharing agreement as part of the EPIRBs, or RTCM Standard 11901 for information technology; and ways to station records. Regardless of the MSLDs. They must also provide a copy further reduce the information method of sharing, an up-to-date list of or the technical test data, and the collection burden on small business persons who are sharing the station and instruction manual(s). For 406 MHz concerns with fewer than 25 employees. the basis of their eligibility under Part PLBs manufacturers must include The FCC may not conduct or sponsor 90 must be maintained. The documentation from COSPAS/SARSAT a collection of information unless it requirement is necessary to identify recognized test facility that the PLB displays a currently valid OMB control users of the system should interference satisfies the technical requirements number. No person shall be subject to problems develop. This information is specified in COSPAS–SARSAT any penalty for failing to comply with used by the Commission to investigate Standard C/S T.001 and COSPAS– a collection of information subject to the interference complaints and resolve SARSAT Standard C/S T.007 standards PRA that does not display a valid OMB interference and operational complaints and documentation from an control number. that may arise among the users. independent test facility stating that the DATES: Written PRA comments should PLB complies RTCM Standard 11010.2. be submitted on or before November 4, Federal Communications Commission. The information is used by 2019. If you anticipate that you will be Marlene Dortch, Telecommunications Certification submitting comments but find it Secretary. Bodies (TCBs) to determine if the difficult to do so within the period of [FR Doc. 2019–19028 Filed 9–3–19; 8:45 am] devices meets the necessary time allowed by this notice, you should BILLING CODE 6712–01–P

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FEDERAL COMMUNICATIONS Title: FCC Form 2100, Application for rescheduled, the date and time the COMMISSION Media Bureau Audio and Video Service program was re-aired. Authorization, Schedule H. On July 10, 2019, the Commission [OMB 3060–0754] Form Number: FCC Form 2100, adopted a Report and Order in MB Schedule H. Docket Nos. 18–202 and 17–105, FCC Information Collection Being Reviewed Type of Review: Revision of a 19–67, In the Matter of Children’s by the Federal Communications currently approved collection. Television Programming Rules; Respondents: Business or other for Commission Modernization of Media Regulation profit entities. Initiative, which modernizes the AGENCY: Federal Communications Number of Respondents: 1,758 children’s television programming rules Commission. respondents; 1,758 responses. Estimated Time per Response: 10 in light of changes to the media ACTION: Notice and request for landscape that have occurred since the comments. hours. Frequency of Response: rules were first adopted. Among other revisions, the Report and Order revises SUMMARY: As part of its continuing effort Recordkeeping requirement: Annual reporting requirement. the children’s television programming to reduce paperwork burdens, and as rules to expand the Core Programming required by the Paperwork Reduction Obligation to Respond: Required to obtain or retain benefits. Statutory hours to 6:00 a.m. to 10:00 p.m.; modify Act (PRA) of 1995, the Federal the safe harbor processing guidelines for Communications Commission (FCC or authority for this collection of information is contained in Sections determining compliance with the the Commission) invites the general children’s programming rules; require public and other Federal agencies to 154(i) and 303 of the Communications Act of 1934, as amended. that broadcast stations air the take this opportunity to comment on the substantial majority of their Core following information collection. Total Annual Burden: 17,580 hours. Total Annual Cost: $1,054,800. Programming on their primary program Comments are requested concerning: Privacy Impact Assessment: No streams, but permit broadcast stations to Whether the proposed collection of impact(s). air up to 13 hours per quarter of information is necessary for the proper Nature and Extent of Confidentiality: regularly scheduled weekly performance of the functions of the There is no need for confidentiality with programming on a multicast stream; Commission, including whether the respect to this collection of information. eliminate the additional processing information shall have practical utility; Needs and Uses: Commercial full- guideline applicable to stations that the accuracy of the Commission’s power and Class A television broadcast multicast; and modify the rules burden estimate; ways to enhance the stations are required to file FCC Form governing preemption of Core quality, utility, and clarity of the 2100, Schedule H (formerly FCC Form Programming. In addition, the Report information collected; ways to minimize 398) (Children’s Television and Order revises the children’s the burden of the collection of Programming Report) within 30 days television programming reporting information on the respondents, after the end of each calendar year. FCC requirements by requiring that including the use of automated Form 2100, Schedule H is a Children’s Television Programming collection techniques or other forms of standardized form that: (a) Provides a Reports (FCC Form 2100, Schedule H) information technology; and ways to consistent format for reporting the be filed on an annual rather than further reduce the information children’s educational television quarterly basis, within 30 days after the collection burden on small business programming aired by licensees to meet end of the calendar year; eliminating the concerns with fewer than 25 employees. their obligation under the Children’s requirements that the reports include The FCC may not conduct or sponsor Television Act of 1990 (CTA), and (b) information describing the educational a collection of information unless it facilitates efforts by the public and the and informational purpose of each Core displays a currently valid control FCC to monitor compliance with the Program aired during the current number. No person shall be subject to CTA. reporting period and each Core Program any penalty for failing to comply with Commercial full-power and Class A that the licensee expects to air during a collection of information subject to the television stations are required to the next reporting period; eliminating PRA that does not display a valid Office complete FCC Form 2100, Schedule H the requirement to identify the program of Management and Budget (OMB) within 30 days after the end of each guide publishers who were sent control number. calendar year and file the form with the information regarding the licensee’s DATES: Written PRA comments should Commission. The Commission places Core Programs; and streamlining the be submitted on or before November 4, the form in the station’s online public form by eliminating certain fields. The 2019. If you anticipate that you will be inspection file maintained on the Report and Order also eliminates the submitting comments, but find it Commission’s database (www.fcc.gov). requirement to publicize the Children’s difficult to do so within the period of Stations use FCC Form 2100, Schedule Television Programming Reports. The time allowed by this notice, you should H to report, among other things, the Report and Order directs the Media advise the contact listed below as soon Core Programming (i.e., children’s Bureau to make modifications to FCC as possible. educational and informational Form 2100, Schedule H as needed to ADDRESSES: Direct all PRA comments to programming) the station aired the conform the form with the revisions to Cathy Williams, FCC, via email PRA@ previous calendar year. FCC Form 2100, the children’s programming rules, fcc.gov and to [email protected]. Schedule H also includes a ‘‘Preemption including the changes to the processing Report’’ that must be completed for each guidelines and preemption policies. FOR FURTHER INFORMATION CONTACT: For Core Program that was preempted Federal Communications Commission. additional information about the during the year. This ‘‘Preemption information collection, contact Cathy Report’’ requests information on the Marlene Dortch, Williams at (202) 418–2918. reason for the preemption, the date of Secretary, Office of the Secretary. SUPPLEMENTARY INFORMATION: each preemption, the reason for the [FR Doc. 2019–19027 Filed 9–3–19; 8:45 am] OMB Control Number: 3060–0754. preemption and, if the program was BILLING CODE 6712–01–P

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FEDERAL RESERVE SYSTEM FEDERAL RESERVE SYSTEM 1. JGS, Jr. Family Holding Corporation, Salt Lake City, Utah; to Change in Bank Control Notices; Formations of, Acquisitions by, and become a bank holding company by Acquisitions of Shares of a Bank or Mergers of Bank Holding Companies acquiring 60.86 percent of Home Credit Bank Holding Company The companies listed in this notice Corporation, and thereby indirectly The notificants listed below have have applied to the Board for approval, acquiring Home Savings Bank, both of applied under the Change in Bank pursuant to the Bank Holding Company Salt Lake City, Utah. Control Act (12 U.S.C. 1817(j)) and Act of 1956 (12 U.S.C. 1841 et seq.) 2. DCB Family Holding Corporation, § 225.41 of the Board’s Regulation Y (12 (BHC Act), Regulation Y (12 CFR part Salt Lake City, Utah; to become a bank CFR 225.41) to acquire shares of a bank 225), and all other applicable statutes holding company by acquiring 27.64 or bank holding company. The factors and regulations to become a bank percent of Home Credit Corporation, that are considered in acting on the holding company and/or to acquire the and thereby indirectly acquiring Home notices are set forth in paragraph 7 of assets or the ownership of, control of, or Savings Bank, both of Salt Lake City, the Act (12 U.S.C. 1817(j)(7)). the power to vote shares of a bank or Utah. The notices are available for bank holding company and all of the Board of Governors of the Federal Reserve immediate inspection at the Federal banks and nonbanking companies System, August 29, 2019. Reserve Bank indicated. The notices owned by the bank holding company, Yao-Chin Chao, also will be available for inspection at including the companies listed below. Assistant Secretary of the Board. the offices of the Board of Governors. The applications listed below, as well Interested persons may express their as other related filings required by the [FR Doc. 2019–19052 Filed 9–3–19; 8:45 am] views in writing to the Reserve Bank Board, are available for immediate BILLING CODE 6210–01–P indicated for that notice or to the offices inspection at the Federal Reserve Bank of the Board of Governors. Comments indicated. The applications will also be must be received not later than available for inspection at the offices of September 18, 2019. the Board of Governors. Interested FEDERAL TRADE COMMISSION A. Federal Reserve Bank of Dallas persons may express their views in (Robert L. Triplett III, Senior Vice Granting of Requests for Early writing on the standards enumerated in Termination of the Waiting Period President) 2200 North Pearl Street, the BHC Act (12 U.S.C. 1842(c)). If the Dallas, Texas 75201–2272: Under the Premerger Notification proposal also involves the acquisition of Rules 1. Donna Richards Foster, Darla a nonbanking company, the review also Janice Richards, and Debbie R. includes whether the acquisition of the Section 7A of the Clayton Act, 15 Leinenbach, all of Throckmorton, Texas; nonbanking company complies with the as a group acting in concert, to retain U.S.C. 18a, as added by Title II of the standards in section 4 of the BHC Act Hart-Scott- Rodino Antitrust voting shares of Woodson Bancshares, (12 U.S.C. 1843). Unless otherwise Inc., and thereby indirectly retain shares Improvements Act of 1976, requires noted, nonbanking activities will be of First State Bank, both of Graham, persons contemplating certain mergers conducted throughout the United States. or acquisitions to give the Federal Trade Texas. Unless otherwise noted, comments 2. Edwin M. Payne, Pharr, Texas; to Commission and the Assistant Attorney regarding each of these applications retain voting shares of Greater State General advance notice and to wait must be received at the Reserve Bank Bancshares Corp., and thereby designated periods before indicated or the offices of the Board of indirectly retain shares of Greater State consummation of such plans. Section Governors not later than September 30, Bank, both of McAllen, Texas. 7A(b)(2) of the Act permits the agencies, 2019. B. Federal Reserve Bank of Kansas in individual cases, to terminate this A. Federal Reserve Bank of Atlanta City (Dennis Denney, Assistant Vice waiting period prior to its expiration (Kathryn Haney, Assistant Vice President) 1 Memorial Drive, Kansas and requires that notice of this action be President) 1000 Peachtree Street NE, City, Missouri 64198–0001: published in the Federal Register. 1. Jerry R. and Dorothy J. Cater Atlanta, Georgia 30309. Comments can The following transactions were Children’s Trust U/T/A dated November also be sent electronically to granted early termination—on the dates 29, 1989 (‘‘Trust’’), and Robert M. Cater [email protected]: indicated—of the waiting period and Craig H. Plaster, both of Moberly, 1. First Guaranty Bancshares, Inc., provided by law and the premerger Missouri, as trustees of the Trust; to Hammond, Louisiana, and Smith & notification rules. The listing for each acquire voting shares of RMB Hood Holding Company, L.L.C., Amite, transaction includes the transaction Bancshares, Inc., and thereby indirectly Louisiana; to acquire 100 percent of the number and the parties to the acquire shares of Regional Missouri voting shares of Union Bancshares, transaction. The grants were made by Bank, both of Marceline, Missouri. Incorporated, and thereby indirectly acquire The Union Bank, both of the Federal Trade Commission and the Board of Governors of the Federal Reserve Marksville, Louisiana. Assistant Attorney General for the System, August 29, 2019. B. Federal Reserve Bank of San Antitrust Division of the Department of Yao-Chin Chao, Francisco (Gerald C. Tsai, Director, Justice. Neither agency intends to take Assistant Secretary of the Board. Applications and Enforcement) 101 any action with respect to these [FR Doc. 2019–19057 Filed 9–3–19; 8:45 am] Market Street, San Francisco, California proposed acquisitions during the BILLING CODE P 94105–1579: applicable waiting period.

EARLY TERMINATIONS GRANTED MAY 1, 2019 THRU MAY 31, 2019

05/01/2019

20191137 ...... G Ford Motor Company; Rivian Automotive, Inc.; Ford Motor Company.

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EARLY TERMINATIONS GRANTED MAY 1, 2019 THRU MAY 31, 2019—Continued 05/02/2019

20191165 ...... G Wind Point Partners VIII–A, L.P.; Mason Wells Buyout Fund III, LP; Wind Point Partners VIII–A, L.P. 20191176 ...... G 1982 Smith Children’s Trust; Klondike Holdings, LLC; 1982 Smith Children’s Trust. 20191177 ...... G 1982 Hemingway Family Trust; Klondike Holdings, LLC; 1982 Hemingway Family Trust. 20191199 ...... G Starwood Energy Infrastructure Fund III U.S. Investor, L.P.; Volt Parent, LP; Starwood Energy Infrastructure Fund III U.S. Investor, L.P. 20191201 ...... G KKR Americas Fund XII, L.P.; Oregon Dental Service; KKR Americas Fund XII, L.P.

05/03/2019

20190383 ...... G International Business Machines Corporation; Red Hat, Inc.; International Business Machines Corporation. 20191203 ...... G Macquarie Group Limited; The Independent Order of Foresters; Macquarie Group Limited. 20191207 ...... G salesforce.com, inc.; MapAnything, Inc.; salesforce.com, inc. 20191208 ...... G Best Buy Co., Inc.; Critical Signal Technologies, Inc.; Best Buy Co., Inc. 20191209 ...... G Seminole HR Holdings, LLC; Mr. Daniel B. Gilbert; Seminole HR Holdings, LLC. 20191211 ...... G Unilever N.V.; Olly Public Benefit Corporation; Unilever N.V. 20191213 ...... G Siris Partners IV, L.P.; Electronics For Imaging, Inc.; Siris Partners IV, L.P. 20191214 ...... G Mitsubishi Heavy Industries, Ltd.; Wijnand Nicolaas Pon; Mitsubishi Heavy Industries, Ltd. 20191215 ...... G AP IX First Street Holdings, L.P.; Smart & Final Stores, Inc.; AP IX First Street Holdings, L.P. 20191219 ...... G Butterfly Generis Co-Invest, LP; Campbell Soup Company; Butterfly Generis Co-Invest, LP. 20191220 ...... G Tailwind Capital Partners III, L.P.; Linsalata Capital Partners Fund VI, L.P.; Tailwind Capital Partners III, L.P. 20191223 ...... G DCP Capital Partners, L.P.; American Industrial Partners Capital Fund V, L.P.; DCP Capital Partners, L.P. 20191228 ...... G William K. Reagan; GTCR Fund XI/B LP; William K. Reagan.

05/07/2019

20190924 ...... G Warburg Pincus Private Equity XII, L.P.; Dr. David Stern; Warburg Pincus Private Equity XII, L.P. 20191227 ...... G MiddleGround Partners I, L.P.; Gary Wendorff; MiddleGround Partners I, L.P.

05/08/2019

20190958 ...... G Thoma Bravo Discover Fund II, L.P.; Louis C. Werderich; Thoma Bravo Discover Fund II, L.P. 20191216 ...... G Goldman Sachs Renewable Power LLC; Macquarie Infrastructure Corporation; Goldman Sachs Renewable Power LLC. 20191218 ...... G Temasek Holdings (Private) Limited; MIP Penn Terminals Holdings, LLC; Temasek Holdings (Private) Limited.

05/09/2019

20191103 ...... G Halmont Properties Corporation; Oaktree Capital Group Holdings, L.P.; Halmont Properties Corporation. 20191166 ...... G Green Equity Investors Side VII, L.P.; Catalent, Inc.; Green Equity Investors Side VII, L.P. 20191167 ...... G Green Equity Investors VII, L.P.; Catalent, Inc.; Green Equity Investors VII, L.P. 20191170 ...... G Catalent, Inc.; Paragon Bioservices, Inc.; Catalent, Inc. 20191204 ...... G salesforce.com, Inc.; salesforce.org; salesforce.com, Inc. 20191221 ...... G Generate Capital, Inc.; AMP Americas, LLC; Generate Capital, Inc. 20191222 ...... G Jacobs Engineering Group Inc.; The KeyW Holding Corporation; Jacobs Engineering Group Inc.

05/13/2019

20191232 ...... G Shanghai RAAS Blood Products Co., Ltd.; Grifols, S.A.; Shanghai RAAS Blood Products Co., Ltd. 20191235 ...... G DIF Infrastructure V Cooperatief U.A.; Macquarie Infrastructure Corporation; DIF Infrastructure V Cooperatief U.A. 20191237 ...... G Marquee Brands Partners, LP; Sequential Brands Group, Inc.; Marquee Brands Partners, LP. 20191238 ...... G John Bean Technologies Corporation; Robert J. Hargreaves; John Bean Technologies Corporation. 20191239 ...... G John Bean Technologies Corporation; Stephen M. Malone; John Bean Technologies Corporation. 20191242 ...... G PAI Europe VII–1 SCSp; Elior Group SA; PAI Europe VII–1 SCSp. 20191243 ...... G Deutsche Borse AG; Axioma, Inc.; Deutsche Borse AG. 20191247 ...... G The Resolute Fund IV, L.P.; Dr. Babak Daneshrad; The Resolute Fund IV, L.P. 20191252 ...... G Peppertree Capital Fund VII QP, LP; William G. Davis; Peppertree Capital Fund VII QP, LP. 20191253 ...... G Yeung Family Trust V; Safanad Limited; Yeung Family Trust V. 20191258 ...... G John Laing Group plc; ENGIE S.A.; John Laing Group plc. 20191262 ...... G Bain Capital Fund XII, L.P.; Audax Private Equity Fund V–A, L.P.; Bain Capital Fund XII, L.P. 20191263 ...... G PayPal Holdings, Inc.; Uber Technologies, Inc.; PayPal Holdings, Inc. 20191264 ...... G Marathon Petroleum Corporation; James D. Newman; Marathon Petroleum Corporation. 20191265 ...... G Marathon Petroleum Corporation; Michael F. Newman; Marathon Petroleum Corporation. 20191272 ...... G H.I.G. Capital Partners V, L.P.; Riveron Holdings, LP; H.I.G. Capital Partners V, L.P.

05/14/2019

20191268 ...... G True Wind Capital, L.P.; Zix Corporation; True Wind Capital, L.P.

05/15/2019

20191230 ...... G New Lux SCSp; iContracts, Inc.; New Lux SCSp.

05/17/2019

20191026 ...... G Black Ridge Acquisition Corp.; Ourgame International Holdings Limited; Black Ridge Acquisition Corp.

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EARLY TERMINATIONS GRANTED MAY 1, 2019 THRU MAY 31, 2019—Continued 20191234 ...... G HCA Healthcare, Inc.; Isleworth Partners, Inc.; HCA Healthcare, Inc. 20191270 ...... G Post Holdings, Inc.; TreeHouse Foods, Inc.; Post Holdings, Inc. 20191276 ...... G Principal Financial Group, Inc.; Wells Fargo & Company; Principal Financial Group, Inc. 20191277 ...... G Sealed Air Corporation; APS Holding Company, Inc.; Sealed Air Corporation. 20191278 ...... G Jeffrey O. Spiegel; Pou Chen Corporation; Jeffrey O. Spiegel. 20191279 ...... G Astorg VI SLP; Merz Holding GmbH & Co. KG; Astorg VI SLP. 20191283 ...... G Thoma Bravo Fund XIII–A, L.P.; KKR North America Fund XI, L.P.; Thoma Bravo Fund XIII–A, L.P. 20191286 ...... G Rocket Internet Capital Partners (Euro) SCS; JRSK, Inc.; Rocket Internet Capital Partners (Euro) SCS. 20191287 ...... G Rocket Internet Capital Partners SCS; JRSK, Inc.; Rocket Internet Capital Partners SCS. 20191289 ...... G Cable One, Inc.; Fidelity Communications Co.; Cable One, Inc. 20191290 ...... G Gauge Capital II, L.P.; Genossenschaft Constanter; Gauge Capital II, L.P. 20191292 ...... G Kali P. Chaudhuri, trustee; Verity Health System of California, Inc.; Kali P. Chaudhuri, trustee. 20191295 ...... G Xilinx, Inc.; Solarflare Communications, Inc.; Xilinx, Inc. 20191299 ...... G Genstar Capital Partners IX, L.P.; Pegasus Global Enterprise Holdings, LLC; Genstar Capital Partners IX, L.P. 20191300 ...... G Clearlake Capital Partners V, L.P.; Dude Solutions Holdings, Inc.; Clearlake Capital Partners V, L.P. 20191303 ...... G General Atlantic Partners 100, L.P.; Alkami Technology, Inc.; General Atlantic Partners 100, L.P. 20191309 ...... G Confluent Health Holdings L.P.; Confluent Health, LLC; Confluent Health Holdings L.P. 20191310 ...... G H.I.G. Capital Partners V, L.P.; Centerbridge Credit Partners Master, L.P.; H.I.G. Capital Partners V, L.P.

05/20/2019

20191301 ...... G Francisco Partners V, L.P.; Perforce Software Investment Holdings, L.P.; Francisco Partners V, L.P. 20191304 ...... G Francisco Partners V–A, L.P.; Perforce Software Investment Holdings, L.P.; Francisco Partners V–A, L.P. 20191307 ...... G Glencore plc; PolyMet Mining Corp; Glencore plc. 20191312 ...... G Mountaingate Capital Fund I, L.P.; Meritdirect LLC; Mountaingate Capital Fund I, L.P.

05/21/2019

20191259 ...... G Genossenschaft Constanter; Daniel S. O’Connell; Genossenschaft Constanter.

05/22/2019

20191250 ...... G RWE Aktiengesellschaft; E.ON SE; RWE Aktiengesellschaft. 20191260 ...... G Longleaf Partners Funds Trust; CNX Resources Corporation; Longleaf Partners Funds Trust. 20191273 ...... G Blackstone Energy Partners II Q L.P.; PDC Energy, Inc.; Blackstone Energy Partners II Q L.P. 20191275 ...... G The Lundbeck Foundation; CHP III, L.P.; The Lundbeck Foundation. 20191282 ...... G WaterBridge Holdings LLC; PDC Energy, Inc.; WaterBridge Holdings LLC. 20191293 ...... G DSV A/S; Panalpina Welttransport (Holding) AG; DSV A/S.

05/31/2019

20191249 ...... G E.ON SE; RWE Aktiengesellschaft; E.ON SE. 20191255 ...... G Murphy Oil Corporation; Gerald A. Boelte; Murphy Oil Corporation. 20191261 ...... G Publicis Groupe S.A.; Alliance Data Systems Corporation; Publicis Groupe S.A. 20191288 ...... G Rocket Internet SE; JRSK, Inc.; Rocket Internet SE. 20191297 ...... G KWOR Holdings, L.P.; Aquiline Worley Parent LLC; KWOR Holdings, L.P. 20191315 ...... G KPS Special Situations Fund IV, LP; Brunswick Corporation; KPS Special Situations Fund IV, LP. 20191316 ...... G Serent Capital III, L.P.; Collections Acquisition Company, Inc. d/b/a Payliance, Inc.; Serent Capital III, L.P. 20191317 ...... G Samuel A. Calagione III; C. James Koch; Samuel A. Calagione III. 20191318 ...... G C. James Koch; Samuel A. Calagione III; C. James Koch. 20191326 ...... G Francisco Partners III (Cayman), L.P.; Greg E. Lindberg; Francisco Partners III (Cayman), L.P. 20191331 ...... G KKR Americas Fund XII, L.P.; Vector Capital II/III Extension, L.P.; KKR Americas Fund XII, L.P. 20191334 ...... G William G. Davis; LCM Investments Holdings II, LLC; William G. Davis. 20191335 ...... G Perrigo Company plc; Susan R. Kiphart; Perrigo Company plc. 20191336 ...... G Shell Midstream Partners, L.P; Colonial Pipeline Company; Shell Midstream Partners, L.P. 20191337 ...... G Shell Midstream Partners, L.P; Explorer Pipeline Company; Shell Midstream Partners, L.P. 20191338 ...... G Relo Group Inc.; Halmont Properties Corporation; Relo Group Inc. 20191339 ...... G American Express Company; Benjamin Leventhal; American Express Company. 20191341 ...... G LG Household & Health Care Ltd.; Cleveland NA Investor LLC; LG Household & Health Care Ltd. 20191342 ...... G Horizon Group Holdings, L.P.; Oak Hill Capital Partners III, L.P.; Horizon Group Holdings, L.P. 20191353 ...... G Midstates Petroleum Company, Inc.; Amplify Energy Corp.; Midstates Petroleum Company, Inc. 20191356 ...... G MIP IV (ECI) AIV, L.P.; COSCO Shipping Holdings Co., Ltd.; MIP IV (ECI) AIV, L.P.

FOR FURTHER INFORMATION CONTACT: By direction of the Commission. FEDERAL TRADE COMMISSION Theresa Kingsberry, Program Support April J. Tabor, Specialist, Federal Trade Commission Acting Secretary. Granting of Requests for Early Premerger Notification Office, Bureau of Termination of the Waiting Period [FR Doc. 2019–19009 Filed 9–3–19; 8:45 am] Under the Premerger Notification Competition, Room CC–5301, BILLING CODE 6750–01–P Washington, DC 20024, (202) 326–3100. Rules Section 7A of the Clayton Act, 15 U.S.C. 18a, as added by Title II of the

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Hart-Scott- Rodino Antitrust in individual cases, to terminate this number and the parties to the Improvements Act of 1976, requires waiting period prior to its expiration transaction. The grants were made by persons contemplating certain mergers and requires that notice of this action be the Federal Trade Commission and the or acquisitions to give the Federal Trade published in the Federal Register. Assistant Attorney General for the Commission and the Assistant Attorney The following transactions were Antitrust Division of the Department of General advance notice and to wait granted early termination—on the dates Justice. Neither agency intends to take designated periods before indicated—of the waiting period any action with respect to these consummation of such plans. Section provided by law and the premerger proposed acquisitions during the 7A(b)(2) of the Act permits the agencies, notification rules. The listing for each applicable waiting period. transaction includes the transaction

EARLY TERMINATIONS GRANTED JULY 1, 2019 THRU JULY 31, 2019

07/01/2019

20191450 ...... G DC Capital Partners Fund II, L.P.; Pond Holdings, Inc.; DC Capital Partners Fund II, L.P.

20191539 ...... G Solaris Midstream Holdings, LLC; Concho Resources Inc.; Solaris Midstream Holdings, LLC. 20191546 ...... G Nordic Capital IX Beta, L.P.; Deepak Abbhi; Nordic Capital IX Beta, L.P.

07/03/2019

20191554 ...... G James M. Moran Intervivos Trust Number Two; Trilantic Capital Partners V (North America) L.P.; James M. Moran Intervivos Trust Number Two.

07/05/2019

20191538 ...... G Anthem, Inc.; BVO Holdings, LLC; Anthem, Inc.

07/08/2019

20191557 ...... G Eastdil Secured Holdings LLC; Wells Fargo & Company; Eastdil Secured Holdings LLC. 20191562 ...... G Vera Bradley, Inc.; Paul Goodman; Vera Bradley, Inc. 20191567 ...... G THL Equity Fund VIII Investors (Automate), L.P.; EQT VII (No. 1) LP; THL Equity Fund VIII Investors (Automate), L.P. 20191571 ...... G Mondelez International, Inc.; New Perfect Bar Corporation; Mondelez International, Inc. 20191576 ...... G Rond Point Immobilier SAS; Medidata Solutions, Inc.; Rond Point Immobilier SAS. 20191577 ...... G Appointive Distributing Trust A c/u Samuel C. Johnson 1988; Sun Bum Holdings, LLC; Appointive Distributing Trust A c/u Samuel C. Johnson 1988. 20191586 ...... G PPC Fund II LP; Wind Point Partners VIII–A, L.P.; PPC Fund II LP. 20191587 ...... G Anna Reilly; Lamar Advertising Company; Anna Reilly. 20191590 ...... G New Enterprise Associates 16, L.P.; Banjo, Inc.; New Enterprise Associates 16, L.P. 20191607 ...... G Mitsubishi Corporation; Chiyoda Corporation; Mitsubishi Corporation.

07/10/2019

20191534 ...... G Intel Corporation; Barefoot Networks, Inc.; Intel Corporation. 20191579 ...... G Aurora Equity Partners V L.P.; SGS SA; Aurora Equity Partners V L.P. 20191588 ...... G TPG Pace Holdings Corp.; Accel Entertainment, Inc.; TPG Pace Holdings Corp. 20191595 ...... G Partners Group Access 1098, L.P.; Blue River PetCare, L.L.C.; Partners Group Access 1098, L.P. 20191596 ...... G dormakaba Holding AG; James Bret Armatas; dormakaba Holding AG. 20191597 ...... G Mr. Patrick Drahi; Sotheby’s; Mr. Patrick Drahi. 20191600 ...... G Ashford Inc.; Archie Bennett, Jr.; Ashford Inc. 20191601 ...... G Ashford Inc.; Monty J. Bennett; Ashford Inc. 20191602 ...... G Monty J. Bennett; Ashford Inc.; Monty J. Bennett. 20191603 ...... G Archie Bennett, Jr.; Ashford Inc.; Archie Bennett, Jr. 20191611 ...... G Trian Partners Co-Investment Opportunities Fund, LLC; Ferguson plc; Trian Partners Co-Investment Opportunities Fund, LLC.

07/11/2019

20191517 ...... G NXP Semiconductors N.V.; Marvell Technology Group Ltd.; NXP Semiconductors N.V. 20191572 ...... G Zoonie, LLC; Summit Medical Group, P.A.; Zoonie, LLC.

20191573 ...... G WP CityMD Topco LLC; Summit Medical Group, P.A.; WP CityMD Topco LLC. 20191574 ...... G WP CityMD Topco LLC; Zoonie, LLC; WP CityMD Topco LLC.

07/12/2019

20191614 ...... G Sharon Credit Union; Crescent Credit Union; Sharon Credit Union. 20191619 ...... G New Residential Investment Corp.; Ditech Holding Corporation; New Residential Investment Corp. 20191620 ...... G Ruby Topco LLC; Kaman Corporation; Ruby Topco LLC. 20191621 ...... G Archrock, Inc.; Jeffery D. Hildebrand; Archrock, Inc. 20191623 ...... G Lovell Minnick Equity Partners V LP; New Omaha Holdings, L.P.; Lovell Minnick Equity Partners V LP. 20191625 ...... G Jeffery D. Hildebrand; Archrock, Inc.; Jeffery D. Hildebrand. 20191629 ...... G Basilisk Holdings, Inc; Carswell Family Irrevocable Trust; Basilisk Holdings, Inc. 20191631 ...... G First Financial Bancorp.; Bannockburn Global Forex, LLC; First Financial Bancorp.

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EARLY TERMINATIONS GRANTED JULY 1, 2019 THRU JULY 31, 2019—Continued 20191633 ...... G Canyon State Credit Union; Deer Valley Credit Union; Canyon State Credit Union. 20191634 ...... G 2003 TIL Settlement; Capital Confirmation, Inc.; 2003 TIL Settlement. 20191635 ...... G Nidec Corporation; Omron Corporation; Nidec Corporation.

07/15/2019

20191632 ...... G AIF IX (PMC Equity AIV), L.P.; Cox Family Voting Trust u/a/d 7/26/13; AIF IX (PMC Equity AIV), L.P. 20191641 ...... G Cox Family Voting Trust u/a/d 7/26/13; AIF IX (PMC Equity AIV), L.P.; Cox Family Voting Trust u/a/d 7/26/13. 20191645 ...... G EQT VII (No. 1) Limited Partnership; Acumatica International, Ltd.; EQT VII (No. 1) Limited Partnership. 20191647 ...... G Aurora Equity Partners V L.P.; Lawrence Gordon; Aurora Equity Partners V L.P. 20191649 ...... G US Ecology, Inc.; JFL AIV Investors III–JA, L.P.; U.S. Ecology, Inc.

07/16/2019

20191563 ...... G The Veritas Capital Fund V, L.P.; David H. Kellogg & Twila B. Kellogg; The Veritas Capital Fund V, L.P. 20191643 ...... G Extreme Networks, Inc.; Aerohive Networks, Inc.; Extreme Networks, Inc. 20191651 ...... G JFL AIV Investors III–JA, L.P.; US Ecology, Inc.; JFL AIV Investors III–JA, L.P. 20191653 ...... G Reyes Holdings, L.L.C.; David B. Ingram and Sarah L. Ingram; Reyes Holdings, L.L.C.

07/17/2019

20190772 ...... G New Omaha Holdings L.P.; Fiserv, Inc.; New Omaha Holdings L.P. 20190773 ...... G Fiserv Inc.; New Omaha Holdings L.P.; Fiserv Inc. 20191344 ...... G The Greenbrier Companies, Inc.; ITE Rail Fund L.P.; The Greenbrier Companies, Inc. 20191561 ...... G AP IX Sherwood Holdings, L.P.; Shutterfly, Inc.; AP IX Sherwood Holdings, L.P. 20191648 ...... G Arsenal Capital Partners V LP; Dhu C. and Mary Ellen Thompson; Arsenal Capital Partners V LP.

07/18/2019

20191598 ...... G Keane Group, Inc.; C&J Energy Services, Inc.; Keane Group, Inc. 20191612 ...... G BDT Sunrise Holdings LLC; Tres Aguilas Enterprises LLC; BDT Sunrise Holdings LLC. 20191622 ...... G Frontier Cooperative Company; Midwest Farmers Cooperative; Frontier Cooperative Company. 20191642 ...... G Quad-C Partners IX, L.P.; The Resolute Fund III, L.P.; Quad-C Partners IX, L.P.

07/19/2019

20191650 ...... G Elliott International Limited; Insight Venture Partners VIII, L.P.; Elliott International Limited. 20191652 ...... G Tenex Capital Partners II, L.P.; Big Bolt Corporation; Tenex Capital Partners II, L.P. 20191656 ...... G KENE Holdings, L.P.; General Atlantic Partners AIV–1 B, L.P.; KENE Holdings, L.P. 20191657 ...... G NexPhase Capital Fund III, L.P.; New Harbor Capital Fund, LP; NexPhase Capital Fund III, L.P. 20191658 ...... G Nippon Telegraph & Telephone Corporation; Great Hill Equity Partners IV, LP; Nippon Telegraph & Telephone Corpora- tion. 20191670 ...... G AMETEK, Inc.; Pacific Design Technologies, LLC; AMETEK, Inc. 20191675 ...... G Harry B. Matthews, Jr., Revocable Trust; SCR-Sibelco N.V.; Harry B. Matthews, Jr., Revocable Trust. 20191679 ...... G Giant Network Group Co., Ltd.; Seriously Holding Corp.; Giant Network Group Co., Ltd.

07/23/2019

20191460 ...... G Marvell Technology Group Ltd.; Mubadala Investment Company PJSC; Marvell Technology Group Ltd. 20191585 ...... G Century Casinos, Inc.; Eldorado Resorts, Inc.; Century Casinos, Inc.

07/26/2019

20191682 ...... G Stanley C. Middleman; Joseph C. Lewis; Stanley C. Middleman. 20191685 ...... G Insight Enterprises, Inc.; PCM, Inc.; Insight Enterprises, Inc. 20191686 ...... G Sekisui Chemical Co., Ltd.; AIM Aerospace Holdings, LLC; Sekisui Chemical Co., Ltd. 20191694 ...... G UGI Corporation; TC Energy Corporation; UGI Corporation. 20191695 ...... G General Atlantic Partners AIV–1 B, L.P.; Elevate Brandpartners, L.P.; General Atlantic Partners AIV–1 B, L.P. 20191696 ...... G FS Investment Corporation II; FS Investment Corporation III; FS Investment Corporation II. 20191697 ...... G FS Investment Corporation II; FS Investment Corporation IV; FS Investment Corporation II. 20191698 ...... G FS Investment Corporation II; Corporate Capital Trust II; FS Investment Corporation II. 20191701 ...... G Albert H. Nahmad; Brian G. Peirce; Albert H. Nahmad. 20191702 ...... G ABRY Partners IX, L.P.; KAMC Holdings, Inc.; ABRY Partners IX, L.P. 20191703 ...... G Permira VI L.P. 1; Yael Aflalo; Permira VI L.P. 1.

07/29/2019

20191661 ...... G CCP III AIV IV, L.P.; Catalyst Institute, Inc.; CCP III AIV IV, L.P. 20191665 ...... G HealthEquity, Inc.; WageWorks, Inc.; HealthEquity, Inc. 20191690 ...... G DeOro Foods LLC; JHT Family 2009 Trust; DeOro Foods LLC. 20191691 ...... G Nexus Special Situations II, L.P.; FTD Companies, Inc.; Nexus Special Situations II, L.P. 20191700 ...... G TCV X L.P.; Amalco; TCV X L.P. 20191712 ...... G Lindsay Goldberg IV L.P.; Creation Technologies Inc.; Lindsay Goldberg IV L.P.

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EARLY TERMINATIONS GRANTED JULY 1, 2019 THRU JULY 31, 2019—Continued 07/30/2019

20190482 ...... S Amas Holding SPF; Quaker Chemical Corporation; Amas Holding SPF.

07/31/2019

20191424 ...... G DC Front Range Holdings I, LP; Zayo Group Holdings, Inc.; DC Front Range Holdings I, LP. 20191425 ...... G EQT Infrastructure IV (B) SCSp; Zayo Group Holdings, Inc.; EQT Infrastructure IV (B) SCSp. 20191529 ...... G Infineon Technologies AG; Cypress Semiconductor Corporation; Infineon Technologies AG. 20191616 ...... G Linden Capital Partners IV–A LP; CMI Holdings L.P.; Linden Capital Partners IV–A LP.

FOR FURTHER INFORMATION CONTACT: Federal Trade Commission waiting period prior to its expiration Theresa Kingsberry, Program Support and requires that notice of this action be Specialist, Federal Trade Commission Granting of Requests for Early published in the Federal Register. Termination of the Waiting Period Premerger Notification Office, Bureau of The following transactions were Under the Premerger Notification Competition, Room CC–5301, granted early termination—on the dates Rules Washington, DC 20024, (202) 326–3100. indicated—of the waiting period By direction of the Commission. Section 7A of the Clayton Act, 15 provided by law and the premerger notification rules. The listing for each April J. Tabor, U.S.C. 18a, as added by Title II of the Hart-Scott- Rodino Antitrust transaction includes the transaction Acting Secretary. Improvements Act of 1976, requires number and the parties to the [FR Doc. 2019–19014 Filed 9–3–19; 8:45 am] persons contemplating certain mergers transaction. The grants were made by BILLING CODE 6750–01–P or acquisitions to give the Federal Trade the Federal Trade Commission and the Commission and the Assistant Attorney Assistant Attorney General for the General advance notice and to wait Antitrust Division of the Department of designated periods before Justice. Neither agency intends to take consummation of such plans. Section any action with respect to these 7A(b)(2) of the Act permits the agencies, proposed acquisitions during the in individual cases, to terminate this applicable waiting period.

EARLY TERMINATIONS GRANTED JUNE 1, 2019 THRU JUNE 30, 2019

06/03/2019

20191340 ...... G Mitsubishi Electric Corporation; Russell L. Agrusa; Mitsubishi Electric Corporation. 20191359 ...... G Ding Shui Po; Song Soo Park; Ding Shui Po. 20191362 ...... G New Mountain Partners V, L.P.; W20 Holdings, LP; New Mountain Partners V, L.P. 20191370 ...... G Chart Industries, Inc.; Harsco Corporation; Chart Industries, Inc. 20191371 ...... G Harsco Corporation; Compass Diversified Holdings; Harsco Corporation. 20191372 ...... G Hitachi, Ltd.; Crestview Partners III, L.P.; Hitachi, Ltd. 20191384 ...... G Occidental Petroleum Corporation; Anadarko Petroleum Corporation; Occidental Petroleum Corporation. 20191387 ...... G RCP Artemis Co-Invest, L.P.; Lightyear Fund III, L.P.; RCP Artemis Co-Invest, L.P. 20191389 ...... G Stone Canyon Industries Holdings LLC; Centerbridge Capital Partners II, L.P.; Stone Canyon Industries Holdings LLC. 20191391 ...... G Franciscan Missionaries of Our Lady Health System, Inc.; St. Dominic Health Services, Inc.; Franciscan Missionaries of Our Lady Health System, Inc. 20191395 ...... G Summit Partners Growth Equity Fund IX–A, L.P.; Andrew Bialecki; Summit Partners Growth Equity Fund IX–A, L.P. 20191405 ...... G KIA X (Watchtower), L.P.; Lovell Minnick Equity Partners IV LP; KIA X (Watchtower), L.P.

06/04/2019

20181978 ...... G Amcor Limited; Bemis Company, Inc.; Amcor Limited. 20190985 ...... G Marfrig Global Foods S.A.; Sysco Corporation; Marfrig Global Foods S.A. 20191369 ...... G Elliott International Limited; Affinion Group Holdings, Inc.; Elliott International Limited. 20191390 ...... G Equinor ASA; Royal Dutch Shell plc; Equinor ASA.

06/05/2019

20191323 ...... G Benjamin Horowitz; Okta, Inc; Benjamin Horowitz. 20191396 ...... G Eagle Parent Holdings, LLC; Amber Road, Inc.; Eagle Parent Holdings, LLC.

06/07/2019

20191406 ...... G Thoma Bravo Discover Fund II Global L.P.; Wells Fargo & Company; Thoma Bravo Discover Fund II Global L.P. 20191409 ...... G FirstService Corporation; Delos Investment Fund, L.P.; FirstService Corporation. 20191410 ...... G JPMorgan Chase & Co.; InstaMed Holdings, Inc.; JPMorgan Chase & Co. 20191413 ...... G Informa plc; IHS Markit Ltd.; Informa plc. 20191416 ...... G Vista Equity Partners Fund VII–A, L.P.; Trident VI, L.P.; Vista Equity Partners Fund VII–A, L.P. 20191426 ...... G Wells Fargo & Company; Mark S. Moussa; Wells Fargo & Company. 20191440 ...... G Evolent Health, Inc.; University Health Care, Inc.; Evolent Health, Inc.

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EARLY TERMINATIONS GRANTED JUNE 1, 2019 THRU JUNE 30, 2019—Continued 06/10/2019

20191415 ...... G Milliken & Company; Versa Capital Fund I, L.P.; Milliken & Company. 20191419 ...... G Amit Bhandari; Karman D. Parker; Amit Bhandari.

06/11/2019

20191328 ...... G Hellman & Friedman Capital Partners VIII, L.P.; Control4 Corporation; Hellman & Friedman Capital Partners VIII, L.P. 20191404 ...... G Roger S. Penske; Adam Buzz Warner; Roger S. Penske. 20191411 ...... G Trilantic Capital Partners VI (North America) L.P.; Oaktree Power Opportunities Fund III, L.P.; Trilantic Capital Partners VI (North America) L.P. 20191446 ...... G Fortive Corporation; IT Parent Holdco Ltd.; Fortive Corporation.

06/12/2019

20191325 ...... G Sinocare Inc.; Shenzhen Xinnuo Health Industry Investment Limited; Sinocare Inc. 20191436 ...... G CCP X No. 2 LP; Tarsus Group plc; CCP X No. 2 LP.

06/13/2019

20191423 ...... G KPS Special Situations Fund IV, LP; Colfax Corporation; KPS Special Situations Fund IV, LP.

06/14/2019

20191442 ...... G Pamlico Capital IV, L.P.; Dr. David W. Shoemaker; Pamlico Capital IV, L.P. 20191448 ...... G Joseph Mansueto; Ratings Acquisition Corp.; Joseph Mansueto. 20191454 ...... G Armistice Capital Offshore Fund Ltd.; Cerecor Inc.; Armistice Capital Offshore Fund Ltd. 20191455 ...... G Dr. Fritz Faulhaber GmbH & Co. KG; Ping Pan Faulhaber; Dr. Fritz Faulhaber GmbH & Co. KG. 20191456 ...... G CVC Capital Partners VII (A) L.P.; Frank Vitiello; CVC Capital Partners VII (A) L.P. 20191457 ...... G Pivotal Acquisition Corp.; CEOF II DE I AIV, L.P.; Pivotal Acquisition Corp. 20191459 ...... G Rhone Partners V L.P.; Schlumberger N.V. (Schlumberger Limited); Rhone Partners V L.P. 20191462 ...... G RF Parent, Inc.; Recorded Future, Inc.; RF Parent, Inc. 20191464 ...... G Golden Gate Capital Opportunity Fund, L.P.; Bon Secours Mercy Health; Golden Gate Capital Opportunity Fund, L.P. 20191465 ...... G Palo Alto Networks, Inc.; Twistlock Ltd.; Palo Alto Networks, Inc. 20191472 ...... G West Street Capital Partners VII, L.P.; MED ParentCo, LP; West Street Capital Partners VII, L.P. 20191475 ...... G Thomas H. Lee Parallel Fund VIII, L.P.; Francisco Partners III (Domestic AIV), L.P.; Thomas H. Lee Parallel Fund VIII, L.P. 20191477 ...... G GI Partners Fund V LP; Huskies Parent, Inc.; GI Partners Fund V LP. 20191478 ...... G The Goldman Sachs Group, Inc.; United Capital Financial Partners, Inc.; The Goldman Sachs Group, Inc. 20191479 ...... G Letterone Investment Holdings S.A.; ICG Europe Fund V No. 1 LP; Letterone Investment Holdings S.A. 20191480 ...... G Warburg Pincus Global Growth, L.P.; Olympus Growth Fund V, L.P.; Warburg Pincus Global Growth, L.P. 20191482 ...... G Leeds Equity Partners VI, L.P.; Rubicon Technology Partners II L.P.; Leeds Equity Partners VI, L.P. 20191484 ...... G Gesa Credit Union; Inspirus Credit Union; Gesa Credit Union. 20191485 ...... G Axel och Margaret Ax:son Johnsons stiftelse; David T. and Joanne S. Davis; Axel och Margaret Ax:son Johnsons stiftelse.

06/18/2019

20191469 ...... G Nagase & Co., Ltd.; Ronald Juergens; Nagase & Co., Ltd. 20191473 ...... G Valence ST LP; TCFI CP LLC; Valence ST LP.

06/19/2019

20191467 ...... G Green Equity Investors Side VII, L.P.; Dr. Abram Schumacher; Green Equity Investors Side VII, L.P. 20191468 ...... G Green Equity Investors Side VII, L.P.; Dr. Shikhar Saxena; Green Equity Investors Side VII, L.P.

06/20/2019

20191476 ...... G Genstar Capital Partners IX, L.P.; CS Parent LLC; Genstar Capital Partners IX, L.P.

06/21/2019

20191494 ...... G EQT VIII Co-Investment (D) SCSp; Nestle S.A.; EQT VIII Co-Investment (D) SCSp. 20191497 ...... G Searchlight Capital II OPT Co-Invest Partners, L.P.; Frontier Communications Corporation; Searchlight Capital II OPT Co- Invest Partners, L.P. 20191502 ...... G Gauge Capital II, L.P.; Schlesinger Holdings, Inc.; Gauge Capital II, L.P. 20191504 ...... G H&R Block, Inc.; Wave Financial Inc.; H&R Block, Inc. 20191511 ...... G SoftBank Vision Fund L.P.; Katerra Inc.; SoftBank Vision Fund L.P. 20191525 ...... G Michael S.Dell; Avi Networks, Inc.; Michael S. Dell.

06/25/2019

20191427 ...... G Trinity Ventures XII, L.P.; Auth0, Inc.; Trinity Ventures XII, L.P. 20191429 ...... G Serco Group plc; The Veritas Capital Fund V, L.P.; Serco Group plc. 20191433 ...... G TPG Growth IV, L.P.; AG Growth Capital Partners I, L.P.; TPG Growth IV, L.P. 20191470 ...... G LNK Partners III, L.P.; LTF Holdings, Inc.; LNK Partners III, L.P.

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EARLY TERMINATIONS GRANTED JUNE 1, 2019 THRU JUNE 30, 2019—Continued 20191483 ...... G Michael S. Dell; LTF Holdings, Inc.; Michael S. Dell. 20191495 ...... G CD Clean Energy and Infrastructure VII JV, LLC; William O. Perkins, III; CD Clean Energy and Infrastructure VII JV, LLC. 20191503 ...... G Aberdeen Standard Carlsbad LP; Stonepeak Infrastructure Fund (Orion AIV) LP; Aberdeen Standard Carlsbad LP. 20191510 ...... G Rubicon Technology Partners II, L.P.; The AES Corporation; Rubicon Technology Partners II, L.P. 20191519 ...... G Oaktree Opportunities Fund Xb AIF, L.P; Martin Midstream Partners L.P.; Oaktree Opportunities Fund Xb AIF, L.P. 20191520 ...... G Samurai Holdings, LLC; Blackstone Capital Partners VI–NQ/NF L.P.; Samurai Holdings, LLC.

06/26/2019

20191474 ...... G Global Payments Inc.; Total System Services, Inc.; Global Payments Inc. 20191513 ...... G Cedar Fair, L.P.; Bahn Consolidated, Inc.; Cedar Fair, L.P. 20191531 ...... G Azalea Parent Holdings LP; EQT VII (No. 1) Limited Partnership; Azalea Parent Holdings LP.

06/28/2019

20191226 ...... G Vista Equity Partners Fund VII–A, L.P.; VEPF IV AIV VIII, L.P.; Vista Equity Partners Fund VII–A, L.P.

20191493 ...... G Lovell Minnick Equity Partners IV LP; Piper Jaffray Companies; Lovell Minnick Equity Partners IV LP. 20191535 ...... G Accel-KKR Growth Capital Partners II, LP; Charles and Robin Deyo; Accel-KKR Growth Capital Partners II, LP. 20191542 ...... G Unilever N.V.; Tatcha LLC; Unilever N.V. 20191545 ...... G DCPF VI Oil and Gas Coinvestment Fund LP; Arkoma Drilling, L.P.; DCPF VI Oil and Gas Coinvestment Fund LP. 20191547 ...... G CPP Group Holdings LLC; Warburg Pincus Private Equity X, L.P.; CPP Group Holdings LLC. 20191548 ...... G Arkoma Drilling, L.P.; DCPF VI Oil and Gas Coinvestment Fund LP; Arkoma Drilling, L.P. 20191551 ...... G Stewart Butterfield; Slack Technologies, Inc.; Stewart Butterfield. 20191552 ...... G Accel-KKR Capital Partners V, LP; Sandata Holdings, Inc.; Accel-KKR Capital Partners V, LP. 20191555 ...... G Carlyle U.S. Equity Opportunity Fund II, L.P.; Alpine Investors V, LP; Carlyle U.S. Equity Opportunity Fund II, L.P.

FOR FURTHER INFORMATION CONTACT: proposed information collection project D74, Atlanta, Georgia 30329; phone: Theresa Kingsberry, Program Support titled CDC Oral Health Management 404–639–7570; Email: [email protected]. Specialist, Federal Trade Commission Information System. The collection aims SUPPLEMENTARY INFORMATION: Under the Premerger Notification Office, Bureau of to monitor the performance of states Paperwork Reduction Act of 1995 (PRA) Competition, Room CC–5301, funded to implement evidence-based (44 U.S.C. 3501–3520), Federal agencies Washington, DC 20024, (202) 326–3100. prevention strategies to improve oral must obtain approval from the Office of By direction of the Commission. health, determine and tailor technical Management and Budget (OMB) for each April J. Tabor, assistance to the states, and share collection of information they conduct quality improvement findings. Acting Secretary. or sponsor. In addition, the PRA also DATES: CDC must receive written requires Federal agencies to provide a [FR Doc. 2019–19008 Filed 9–3–19; 8:45 am] comments on or before November 4, 60-day notice in the Federal Register BILLING CODE 6750–01–P 2019. concerning each proposed collection of ADDRESSES: You may submit comments, information, including each new identified by Docket No. CDC–2019– proposed collection, each proposed DEPARTMENT OF HEALTH AND extension of existing collection of HUMAN SERVICES 0076 by any of the following methods: • Federal eRulemaking Portal: information, and each reinstatement of Centers for Disease Control and Regulations.gov. Follow the instructions previously approved information Prevention for submitting comments. collection before submitting the • Mail: Jeffrey M. Zirger, Information collection to the OMB for approval. To [60-Day-19–0739; Docket No. CDC–2019– comply with this requirement, we are 0076] Collection Review Office, Centers for Disease Control and Prevention, 1600 publishing this notice of a proposed data collection as described below. Proposed Data Collection Submitted Clifton Road NE, MS–D74, Atlanta, Georgia 30329. The OMB is particularly interested in for Public Comment and comments that will help: Recommendations Instructions: All submissions received must include the agency name and 1. Evaluate whether the proposed AGENCY: Centers for Disease Control and Docket Number. CDC will post, without collection of information is necessary Prevention (CDC), Department of Health change, all relevant comments to for the proper performance of the and Human Services (HHS). Regulations.gov. functions of the agency, including ACTION: Notice with comment period. whether the information will have Please note: Submit all comments through practical utility; SUMMARY: The Centers for Disease the Federal eRulemaking portal 2. Evaluate the accuracy of the Control and Prevention (CDC), as part of (regulations.gov) or by U.S. mail to the address listed above. agency’s estimate of the burden of the its continuing effort to reduce public proposed collection of information, burden and maximize the utility of FOR FURTHER INFORMATION CONTACT: To including the validity of the government information, invites the request more information on the methodology and assumptions used; general public and other Federal proposed project or to obtain a copy of 3. Enhance the quality, utility, and agencies the opportunity to comment on the information collection plan and clarity of the information to be a proposed and/or continuing instruments, contact Jeffrey M. Zirger, collected; and information collection, as required by Information Collection Review Office, 4. Minimize the burden of the the Paperwork Reduction Act of 1995. Centers for Disease Control and collection of information on those who This notice invites comment on a Prevention, 1600 Clifton Road NE, MS– are to respond, including through the

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use of appropriate automated, adolescents will have experienced CDC seeks to improve the oral health electronic, mechanical, or other dental decay. Approximately 51.7 of the nation by strengthening and technological collection techniques or million school hours annually are enhancing state programs to monitor other forms of information technology, missed due to a dental problem or visit. their population’s oral health status and e.g., permitting electronic submissions More than 40% of adults have felt behaviors; reducing oral health of responses. pain in their mouth in the last year and disparities among high-risk groups; and 5. Assess information collection costs. more than $6 billion in productivity is supporting the development of effective Proposed Project lost each year. Among dentate adults programs. The Division of Oral Health aged 65 years and older, 25% have lost CDC Oral Health Management provides $1.85 to $2.85 million in all their teeth. The nation spends $117.5 Information System (OMB Control No. funding per state to 20 state health billion annually on costs related to 0920–0739)—Revision—National Center programs through Cooperative dental care. Individuals and families for Chronic Disease Prevention and Agreement DP18–1810, State Actions to bear much of the burden, spending $30 Health Promotion (NCCDPHP), Centers Improve Oral Health Outcomes for five for Disease Control and Prevention billion out-of-pocket on dental services, years. (CDC). which ranks second only to prescription drug expenditures. This information collection aims to enable CDC to monitor states’ progress, Background and Brief Description Most oral diseases and conditions are tailor technical assistance, facilitate Tooth decay is one of the most preventable. Underutilized evidence- common chronic conditions among based preventive interventions exist to continuous quality improvement, and children. More than 23% of children prevent cavities and save money. They share findings. The request also revises ages 2–11 have untreated decay, which remain underutilized because the web-based platform to reduce the can cause pain and infection and may implementation barriers exist such as: collection burden on states for several lead to problems in eating, speaking, Lack of state basic capacity to support fields and monitor outcomes more and learning. Children from low-income oral health; costs associated with efficiently, and revises the burden to households are more than twice as sustaining preventive programs; low reflect all of the forms in the platform likely to have untreated tooth decay as awareness of effectiveness and safety of rather than only the reporting form. The children from high-income households. interventions; and lack of dental revision requests 1195 burden hours Similar disparities exist for racial/ethnic insurance and access to clinical and from the current 171 hours and extends minorities. By age 15, nearly 60% of all community preventive services. the request for an additional three years.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Total burden Type of respondents Form name respondents responses per response (in hours) respondent (in hours)

State Health Department ...... Action Plan ...... 20 1.33 12 319 Program Information ...... 20 1.33 1 27 Planning ...... 20 1.33 20 532 Annual Performance Report ...... 20 1.33 24 638 Financial Information ...... 20 1.33 .5 13 Resources ...... 20 1.33 2.25 60

Total Hours ...... 1,195

Jeffrey M. Zirger, Survey of Healthcare-Associated functions of the agency, including Lead, Information Collection Review Office, Infections and Antimicrobial Use in whether the information will have Office of Scientific Integrity, Office of Science, U.S. Acute Care Hospitals to the Office practical utility; Centers for Disease Control and Prevention. of Management and Budget (OMB) for (b) Evaluate the accuracy of the [FR Doc. 2019–19011 Filed 9–3–19; 8:45 am] review and approval. CDC previously agencies estimate of the burden of the BILLING CODE 4163–18–P published a ‘‘Proposed Data Collection proposed collection of information, Submitted for Public Comment and including the validity of the Recommendations’’ notice on June 10, methodology and assumptions used; DEPARTMENT OF HEALTH AND 2019 to obtain comments from the (c) Enhance the quality, utility, and HUMAN SERVICES public and affected agencies. CDC did clarity of the information to be not receive comments related to the collected; Centers for Disease Control and previous notice. This notice serves to Prevention (d) Minimize the burden of the allow an additional 30 days for public collection of information on those who [30Day–19–0852] and affected agency comments. are to respond, including, through the CDC will accept all comments for this use of appropriate automated, Agency Forms Undergoing Paperwork proposed information collection project. electronic, mechanical, or other Reduction Act Review The Office of Management and Budget technological collection techniques or In accordance with the Paperwork is particularly interested in comments other forms of information technology, Reduction Act of 1995, the Centers for that: e.g., permitting electronic submission of Disease Control and Prevention (CDC) (a) Evaluate whether the proposed responses; and has submitted the information collection of information is necessary (e) Assess information collection collection request titled Prevalence for the proper performance of the costs.

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To request additional information on Since 2009, CDC has conducted four patient-level data will be collected using the proposed project or to obtain a copy prevalence surveys (i.e., pilot survey in unique identification codes. EIP site of the information collection plan and 2009, limited-scale survey in 2010, and personnel will submit hospital and instruments, call (404) 639–7570 or two full-scale surveys in 2011 and 2015) patient-level data to CDC using a secure send an email to [email protected]. Direct in partnership with the CDC’s Emerging data management system. Based on written comments and/or suggestions Infections Program (EIP) sites. Findings experiences from previous surveys, the regarding the items contained in this from the most recent survey showed a time required to complete the notice to the Attention: CDC Desk reduction in the percentage of patients Healthcare Facility Assessment Form Officer, Office of Management and with healthcare-associated infections (HFA) and Patient Information Form Budget, 725 17th Street NW, compared with 2011. (PIF) is estimated to be 45 and 17 Washington, DC 20503 or by fax to (202) Minor adjustments to data collection minutes, respectively. To conduct the 395–5806. Provide written comments instruments since the previous 2016 full-scale survey in a three-year within 30 days of notice publication. OMB approval have been made. These approval period, 100 hospital adjustments were made to enhance Proposed Project respondents will complete the HFA 1x future analyses and utility of the survey and the PIF on average 63 × per year. data. These changes are non-substantive Prevalence Survey of Healthcare- The total estimated annualized public and are not expected to increase the Associated Infections and Antimicrobial burden is 1,860 hours, which represents public reporting burden. An Extension Use in U.S. Acute Care Hospitals (OMB no change from the 2016 OMB approval. of the prevalence survey’s existing OMB Control No. 0920–0852, Exp. 12/31/ approval is sought to allow a repeat HAI To assess changes in HAIs and AU 2019)—Extension—National Center for and AU Prevalence Survey to be over time, EIP sites will seek Emerging and Zoonotic Infectious performed in 2020. A repeat survey will participation from the same hospitals Diseases (NCEZID), Centers for Disease allow assessment of changes in HAI and that participated in prior surveys. These Control and Prevention (CDC). AU prevalence, pathogen distribution, hospitals were originally selected for Background and Brief Description and quality of antimicrobial prescribing. participation using a stratified random These data will also allow CDC and its sampling scheme based on the number Preventing healthcare-associated partners to continue to monitor HAI and of staffed acute care beds (i.e., small: infections (HAIs) and improving AU trends, to measure progress in <150 staffed beds; medium: 151–399 antimicrobial use (AU) are CDC and meeting national targets, and to further staffed beds; large: >400 staffed beds). national priorities. An essential step in refine prevention strategies. Each site will also have the option to reducing the occurrence of HAIs is to In the 2020 survey, data collection recruit additional hospitals for a total of estimate accurately the burden of these will occur within acute care general up to 30 in each site. As in previous infections in U.S. acute care hospitals hospitals of varying size in each of the surveys, hospital participation will and to describe the types of HAIs and 10 EIP sites (i.e., CA, CO, CT, GA, MD, remain voluntary. Within each causative pathogens. Periodic MN, NM, NY, OR, & TN). ICP in participating hospital, EIP site assessments of the magnitude and types participating hospitals may assist EIP personnel will establish patient sample of HAIs and AU occurring in all patient site personnel in collecting size targets based on the number of populations within acute care hospitals demographic and limited clinical data staffed acute care beds (e.g., up to 75 are needed to inform decisions by from the electronic or paper-based patients in small hospitals, 75 patients policy makers and hospital infection medical records of a sample of in medium hospitals, and 100 patients control personnel (ICP) regarding randomly selected patients on a single in large hospitals). The estimated appropriate targets and strategies for day in 2020. Patients will not be annual burden hours are 1860. There are HAI prevention and antimicrobial interviewed, and no direct interaction no costs to respondents other than their stewardship. with patients will occur. Hospital and time.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Total burden Type of respondents Form name respondents responses per response (in hours) respondent (in hours)

Hospital Staff (i.e., Infection Preventionist) ...... HFA * ...... 100 1 45/60 75 PIF ** ...... 100 63 17/60 1785 * HFA: Healthcare Facility Assessment. ** PIF: Patient Information Form.

Jeffrey M. Zirger, Acting Lead, Information Collection Review Office, Office of Scientific Integrity, Office of Science, Centers for Disease Control and Prevention. [FR Doc. 2019–19018 Filed 9–3–19; 8:45 am] BILLING CODE 4163–18–P

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DEPARTMENT OF HEALTH AND SUPPLEMENTARY INFORMATION: Under the biological, chemical, nuclear, HUMAN SERVICES Paperwork Reduction Act of 1995 (PRA) radiological) characterized by (44 U.S.C. 3501–3520), Federal agencies undetermined agents, undetermined Centers for Disease Control and must obtain approval from the Office of sources, undetermined transmission, or Prevention Management and Budget (OMB) for each undetermined risk factors. This generic [60Day–19–1011; Docket No. CDC–2019– collection of information they conduct clearance was approved for a three-year 0075] or sponsor. In addition, the PRA also extension, which expires on 1/31/2020. requires Federal agencies to provide a CDC seeks OMB approval for an Proposed Data Collection Submitted 60-day notice in the Federal Register extension of this generic clearance for a for Public Comment and concerning each proposed collection of three-year period. Recommendations information, including each new Supporting effective emergency proposed collection, each proposed epidemic investigations is one of the AGENCY: Centers for Disease Control and extension of existing collection of most important ways that CDC protects Prevention (CDC), Department of Health the health of the public. CDC is and Human Services (HHS). information, and each reinstatement of previously approved information frequently called upon to conduct EEIs ACTION: Notice with comment period. collection before submitting the at the request of local, state, or international health authorities seeking SUMMARY: The Centers for Disease collection to the OMB for approval. To Control and Prevention (CDC), as part of comply with this requirement, we are support to respond to urgent outbreaks its continuing effort to reduce public publishing this notice of a proposed or urgent public health-related events. burden and maximize the utility of data collection as described below. In response to external partner requests, government information, invites the The OMB is particularly interested in CDC provides necessary epidemiologic general public and other Federal comments that will help: support to identify the agents, sources, agencies the opportunity to comment on 1. Evaluate whether the proposed modes of transmission, or risk factors to a proposed and/or continuing collection of information is necessary effectively implement rapid prevention information collection, as required by for the proper performance of the and control measures to protect the the Paperwork Reduction Act of 1995. functions of the agency, including public’s health. Data collection is a This notice invites comment on a whether the information will have critical component of the epidemiologic request for extension of an approved practical utility; support provided by CDC; data are information collection titled Emergency 2. Evaluate the accuracy of the analyzed to determine the agents, Epidemic Investigation Data Collections agency’s estimate of the burden of the sources, modes of transmission, or risk (OMB Control No. 0920–1011). CDC will proposed collection of information, factors so that effective prevention and use the information collected to identify including the validity of the control measures can be implemented. prevention and control measures in methodology and assumptions used; During an unanticipated outbreak or response to outbreaks and other public 3. Enhance the quality, utility, and event, immediate action by CDC is health events. clarity of the information to be necessary to minimize or prevent public collected; and harm. The legal justification for EEIs are DATES: CDC must receive written 4. Minimize the burden of the found in the Public Health Service Act comments on or before November 4, collection of information on those who (42 U.S.C. Sec. 301 [241] (a)). 2019. are to respond, including through the Successful investigations are ADDRESSES: You may submit comments, use of appropriate automated, dependent on rapid and flexible data identified by Docket No. CDC–2019– electronic, mechanical, or other collection that evolves during the 0075 by any of the following methods: technological collection techniques or investigation and is customized to the • Federal eRulemaking Portal: other forms of information technology, unique circumstances of each outbreak Regulations.gov. Follow the instructions e.g., permitting electronic submissions or event. Data collection elements will for submitting comments. be those necessary to identify the • of responses. Mail: Jeffrey M. Zirger, Information 5. Assess information collection costs. agents, sources, mode of transmission, Collection Review Office, Centers for or risk factors. Examples of potential Disease Control and Prevention, 1600 Proposed Project data collection methods include Clifton Road NE, MS–D74, Atlanta, Emergency Epidemic Investigation telephone or face-to-face interview; Georgia 30329. Data Collections (OMB Control No. email, web or other type of electronic Instructions: All submissions received 0920–1011, Exp. 01/31/2020)— questionnaire; paper-and-pencil must include the agency name and Extension—Division of Scientific questionnaire; focus groups; medical Docket Number. CDC will post, without Education and Professional record review; laboratory record review; change, all relevant comments to Development (DSEPD), Center for collection of clinical samples; and Regulations.gov. Surveillance, Education, and Laboratory environmental assessment. Respondents Please note: Submit all comments Services (CSELS), Centers for Disease will vary depending on the nature of the through the Federal eRulemaking portal Control and Prevention (CDC). outbreak or event. Examples of potential (regulations.gov) or by U.S. mail to the respondents include health care address listed above. Background and Brief Description professionals, patients, laboratorians, FOR FURTHER INFORMATION CONTACT: To CDC previously conducted Emergency and the general public. Participation in request more information on the Epidemic Investigations (EEIs) under EEIs is voluntary and there are no proposed project or to obtain a copy of Office of Management and Budget anticipated costs to respondents other the information collection plan and (OMB) Control Number 0920–0008. In than their time. CDC will use the instruments, contact Jeffrey M. Zirger, 2013, CDC received OMB approval information gathered during EEIs to Information Collection Review Office, (OMB Control Number 0920–1011) for a rapidly identify and effectively Centers for Disease Control and new OMB generic clearance for a 3-year implement measures to minimize or Prevention, 1600 Clifton Road NE, MS– period to collect vital information prevent public harm. D74, Atlanta, Georgia 30329; phone: during EEIs in response to urgent CDC projects 60 EEIs in response to 404–639–7570; Email: [email protected]. outbreaks or events (i.e., natural, outbreaks or events characterized by

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undetermined agents, undetermined the average burden per response is 0.5 performed during the previous two sources, undetermined transmission, or hours and each respondent will be years. OMB approval is requested for undetermined risk factors annually. The asked to respond once. Therefore, the three years. There are no costs to projected average number of total estimated annual burden hours are respondents. respondents is 200 per EEI, for a total 6,000. These estimates are based on the of 12,000 respondents. CDC estimates reported burden for EEIs that have been

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Total Type of respondent Form name respondents responses per response burden hours respondent (in hours) (in hours)

Emergency Epidemic Investigation Emergency Epidemic Investigation 12,000 1 30/60 6,000 Participants. Data Collection Instruments.

Total ...... 6,000

Jeffrey M. Zirger, Session compared with other already previously approved information Lead, Information Collection Review Office, occurring introductory sessions. collection before submitting the Office of Scientific Integrity, Office of Science, DATES: CDC must receive written collection to the OMB for approval. To Centers for Disease Control and Prevention. comments on or before November 4, comply with this requirement, we are [FR Doc. 2019–19019 Filed 9–3–19; 8:45 am] 2019. publishing this notice of a proposed BILLING CODE 4163–18–P data collection as described below. ADDRESSES: You may submit comments, The OMB is particularly interested in identified by Docket No. CDC–2019– comments that will help: DEPARTMENT OF HEALTH AND 0074 by any of the following methods: • Federal eRulemaking Portal: 1. Evaluate whether the proposed HUMAN SERVICES Regulations.gov. Follow the instructions collection of information is necessary for submitting comments. for the proper performance of the Centers for Disease Control and • functions of the agency, including Prevention Mail: Jeffrey M. Zirger, Information Collection Review Office, Centers for whether the information will have [60Day–19–19BOI; Docket No. CDC–2019– Disease Control and Prevention, 1600 practical utility; 0074] Clifton Road NE, MS–D74, Atlanta, 2. Evaluate the accuracy of the Georgia 30329. agency’s estimate of the burden of the Proposed Data Collection Submitted Instructions: All submissions received proposed collection of information, for Public Comment and must include the agency name and including the validity of the Recommendations Docket Number. CDC will post, without methodology and assumptions used; change, all relevant comments to 3. Enhance the quality, utility, and AGENCY: Centers for Disease Control and Regulations.gov. clarity of the information to be Prevention (CDC), Department of Health collected; and and Human Services (HHS). Please note: Submit all comments through 4. Minimize the burden of the the Federal eRulemaking portal ACTION: Notice with comment period. (regulations.gov) or by U.S. mail to the collection of information on those who address listed above. are to respond, including through the SUMMARY: The Centers for Disease use of appropriate automated, Control and Prevention (CDC), as part of FOR FURTHER INFORMATION CONTACT: To electronic, mechanical, or other its continuing effort to reduce public request more information on the technological collection techniques or burden and maximize the utility of proposed project or to obtain a copy of other forms of information technology, government information, invites the the information collection plan and e.g., permitting electronic submissions general public and other Federal instruments, contact Jeffrey M. Zirger, of responses. agencies the opportunity to comment on Information Collection Review Office, 5. Assess information collection costs. a proposed and/or continuing Centers for Disease Control and information collection, as required by Prevention, 1600 Clifton Road NE, MS– Proposed Project the Paperwork Reduction Act of 1995. D74, Atlanta, Georgia 30329; phone: National Diabetes Prevention Program This notice invites comment on a 404–639–7118; Email: [email protected]. (DPP) Introductory Session Project— proposed information collection project SUPPLEMENTARY INFORMATION: Under the New—National Center for Chronic titled National Diabetes Prevention Paperwork Reduction Act of 1995 (PRA) Disease Prevention and Health Program (DPP) Introductory Session (44 U.S.C. 3501–3520), Federal agencies Promotion (NCCDPHP), Centers for Project. This information collection must obtain approval from the Office of Disease Control and Prevention (CDC). aims to help CDC determine the Management and Budget (OMB) for each prevalence and types of introductory collection of information they conduct Background and Brief Description sessions being offered as a recruitment or sponsor. In addition, the PRA also The Centers for Disease Control and strategy to increase enrollment in the requires Federal agencies to provide a Prevention’s (CDC) National Diabetes National Diabetes Prevention Program 60-day notice in the Federal Register Prevention Program Lifestyle Change lifestyle change program (National DPP concerning each proposed collection of Program (National DPP LCP) is focused LCP) (Phase 1: Introductory Session information, including each new on helping participants adopt healthier Landscape Assessment) and to evaluate proposed collection, each proposed behaviors (e.g., improving diet, a behaviorally-focused intervention extension of existing collection of increasing physical activity, reducing known as Be Your Best (BYB) Discovery information, and each reinstatement of stress) to prevent or delay the

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development of type 2 diabetes. This objectives of the Introductory Session hard copies to introductory session proposed project’s primary purposes are Landscape Assessment are to increase attendees. The BYB Discovery Session to (1) increase knowledge of recruitment knowledge of recruitment strategies Implementation Fidelity Checklist and strategies, specifically introductory (specifically introductory sessions) used the Registration and Attendance sessions, used by CDC-recognized by CDC-recognized organizations to Tracking Form will be designed in organizations to increase enrollment in increase enrollment in LCPs; Microsoft Excel and distributed to the National DPP LCP (Phase 1), and (2) understand how CDC-recognized participating LCP staff using secure FTP evaluate introductory sessions, organizations are using introductory upload for LCP personnel to complete specifically a CDC-developed sessions (including session content and electronically. behaviorally-informed introductory delivery); and inform the subsequent Information collected will be session known as the Be Your Best Phase 2 Introductory Session Evaluation analyzed to evaluate the effectiveness of (BYB) Discovery Session, on enrollment that will evaluate the BYB Discovery the BYB Discovery Session intervention compared with other types of Session compared with other types of in increasing enrollment in the National introductory sessions that organizations introductory sessions. DPP LCP compared with already currently use (Phase 2). For the Phase 2 Introductory Session occurring introductory sessions (i.e., CDC is requesting OMB approval to Evaluation, CDC is seeking approval to standard care), with a secondary aim of collect information needed for this disseminate the following data better understanding how it is evaluation. For Phase 1 of this project, collection tools: (1) Pre-Session Survey implemented and the context of its the Introductory Session Landscape (to be completed by up to 2,640 implementation. This data collection is Assessment, CDC is seeking approval to introductory session attendees), (2) Post- important because if the BYB Discovery disseminate a brief Landscape Session Survey (to be completed by up Session is determined to be an effective Assessment (survey) to all National DPP to 2,640 introductory session attendees), recruitment strategy compared with CDC-recognized organizations (3) Registration and Attendance other existing introductory sessions, it (approximately 1,700) and their affiliate Tracking Form (to be completed by up should be promoted to maximize the class locations (up to 540). The survey to 132 LCP staff), and (4) Discovery National DPP’s potential to reduce type will initially be disseminated Session Implementation Fidelity 2 diabetes incidence. CDC requests electronically (web-based survey), and Checklist (to be completed by up to 66 approval for 1,572 Burden Hours then a hard copy will be mailed to non- LCP staff). The Pre-Session and Post- annually. There are no costs to respondents. The overall evaluation Session Surveys will be distributed as respondents other than their time.

ESTIMATED ANNUALIZED BURDEN HOURS

Average Number of Number of burden per Total Type of respondents Form name respondents responses per response burden respondent (in hours) (in hours)

LCP Staff ...... Landscape Assessment ...... 2,240 1 15/60 560 Introductory Session Attendees (Indi- Pre-Session Survey ...... 2,640 1 10/60 440 viduals). Introductory Session Attendees (Indi- Post-Session Survey ...... 2,640 1 10/60 440 viduals). LCP Staff ...... Registration Attendance and Track- 132 1 15/60 33 ing Form. LCP Staff ...... BYB Discovery Session Implemen- 66 1 90/60 99 tation Fidelity Checklist.

Total ...... 1,572

Jeffrey M. Zirger, DEPARTMENT OF HEALTH AND information has been submitted to the Lead, Information Collection Review Office, HUMAN SERVICES Office of Management and Budget Office of Scientific Integrity, Office of Science, (OMB) for review and clearance under Centers for Disease Control and Prevention. Food and Drug Administration the Paperwork Reduction Act of 1995. [FR Doc. 2019–19017 Filed 9–3–19; 8:45 am] DATES: Fax written comments on the [Docket No. FDA–2013–N–0242] BILLING CODE 4163–18–P collection of information by October 4, 2019. Agency Information Collection Activities; Submission for Office of ADDRESSES: To ensure that comments on Management and Budget Review; the information collection are received, Comment Request; Current Good OMB recommends that written Manufacturing Practices for Positron comments be faxed to the Office of Emission Tomography Drugs Information and Regulatory Affairs, OMB, Attn: FDA Desk Officer, Fax: 202– AGENCY: Food and Drug Administration, 395–7285, or emailed to oira_ HHS. [email protected]. All ACTION: Notice. comments should be identified with the OMB control number 0910–0667. Also SUMMARY: The Food and Drug include the FDA docket number found Administration (FDA) is announcing in brackets in the heading of this that a proposed collection of document.

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FOR FURTHER INFORMATION CONTACT: We believe that PET production approximately 8 hours and that there Domini Bean, Office of Operations, facilities producing drugs under INDs will be approximately three corporate Food and Drug Administration, Three and RDRCs are already substantially firms performing these activities, with a White Flint North, 10A–12M, 11601 complying with the recordkeeping total recordkeeping burden of Landsdown St., North Bethesda, MD requirements of USP 32 Chapter 823 approximately 48 hours. The burden for 20852, 301–796–5733, PRAStaff@ (see section 121(b) of FDAMA). Some corporate firms to create component fda.hhs.gov. IND and RDRC PET facilities also specification data sheets would be SUPPLEMENTARY INFORMATION: In produce approved NDA (new drug approximately 2 hours with compliance with 44 U.S.C. 3507, FDA application) and abbreviated new drug approximately 3 corporate firms has submitted the following proposed application (ANDA) PET drugs. While performing these activities, with a total collection of information to OMB for we do not have sufficient information to recordkeeping burden of approximately review and clearance. estimate burdens for all IND and RDRC 150 hours for approximately 25 PET facilities, our estimates have component specification sheets for each Current Good Manufacturing Practice included those facilities that also firm. (CGMP) for Positron Emission produce NDA and ANDA PET drugs. Sections 212.20(c) and 212.71(a) and Tomography (PET) Drugs Those facilities are included under (b) require that PET drug firms establish OMB Control Number 0910–0667— academic and small firms. procedures for investigating Extension II. Recordkeeping Burden ‘‘deviations’’ and ‘‘out of specifications PET is a medical imaging modality failures’’ of products during A. One-Time Burden for Corporate involving the use of a unique type of manufacturing and testing that do not Firms radiopharmaceutical drug product. Our conform to specifications and to CGMP regulations at part 212 (21 CFR We estimate corporate firms will have conduct these investigations and record part 212) are intended to ensure that to employ one-time and ongoing annual them as needed. We estimate that it will PET drug products meet the recordkeeping. There are three major take approximately 8 hours for three requirements of the Federal Food, Drug, PET manufacturing corporations and corporate firms to establish one and Cosmetic Act (FD&C Act) regarding most of the quality, manufacturing, and procedure, with a total recordkeeping safety, identity, strength, quality, and testing procedures are developed at the burden of approximately 24 hours. purity. The CGMP requirements for PET corporate level and then issued to the Sections 212.20(c) and 212.90(a) drugs are issued under the provisions of individual sites located in various States require that written procedures the Food and Drug Administration across the country. There are an regarding distribution of PET drug Modernization Act of 1997 (FDAMA) estimated 115 such sites under three products be established and maintained. (Pub. L. 105–115). These CGMP major corporations. Thus, the burden We estimate that it will take requirements are designed according to has been calculated for 3 recordkeepers approximately 8 hours for each the unique characteristics of PET drugs, instead of 115 individual sites. corporate firm to establish written including their short half-lives, and the It would take approximately 8 hours procedures regarding distribution of fact that most PET drugs are produced for each corporate firm to create one PET drugs with a total of approximately at locations close to the patients to master batch record per drug, and an three records, with a total recordkeeping whom the drugs are administered. average of three PET drugs have been burden of approximately 24 hours. The CGMP regulations require the taken into consideration. We also Sections 212.20(c) and 212.100(a), (b), establishment of written procedures as estimate that approximately 3 firms will and (c) require that PET drug firms well as recordkeeping related to ongoing create and maintain approximately 27 establish and maintain written manufacturing of individual PET drugs, records associated with production and procedures for handling complaints and testing, and product release activities, quality testing for an average of 3 drugs, procedures for field alert reports (FARs). including any third-party disclosure with a total recordkeeping burden of We estimate that each corporate firm requirements for producing PET drugs. approximately 216 hours. will create three written procedures to To estimate time spent to comply with Sections 212.20(c), 212.30(b), establish complaints and FARs process the requirements, we relied on informal 212.50(d), and 212.60(f) (21 CFR and it will take approximately 24 hours communications with PET producers, 212.20(c), 212.30(b), 212.50(d), and for each corporate firm. A total of 72 FDA staff visits to PET facilities, our 212.60(f)) contain standard operating hours will be required to create 27 familiarity with PET and general procedures (SOPs) dealing with procedures by 3 corporate firms. pharmaceutical manufacturing practices equipment operation, maintenance, and B. One-Time Burden for Academia, with application and supplement cleaning, including maintenance of Small Firms, and Precursors submissions, and various reports FDA physical facilities. received from 2016 through 2018. It would take approximately 5 hours There is a total of 52 sites combined for each corporate firm to establish and for academic and small commercial I. Investigational and Research PET maintain procedures for equipment and firms, including some IND and RDRC Drugs facility maintenance. We estimate that sites. There are nine starting material/ Section 212.5(b) provides that for the 3 corporate firms will establish and precursors/sterile raw material investigational PET drugs produced maintain 39 procedures, with a total manufacturing entities who are required under an investigational new drug recordkeeping burden of approximately to follow selected regulations from part application (IND) and research PET 195 hours. 212, according to the PET drug drugs produced with approval of a Sections 212.20(c) and 212.40(a) and definition under section 121(a) of Radioactive Drug Research Committee (b) contain requirements on SOPs FDAMA and codified in section (RDRC), the requirement (FD&C Act) to regarding receiving, testing, and 201(ii)(1)(A) of the FD&C Act (21 U.S.C. follow CGMP is met by complying with accepting components. We estimate that 321(ii)(1)(A)). We will refer to them as the regulations under part 212 or the burden for corporate firms to create high-risk component manufacturing complying with United States procedures for acceptance of raw firms in the tables and other sections of Pharmacopeia (USP) 32 Chapter 823. materials and components would be this document.

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It would take approximately 8 hours approximately 24 hours for three new Section 212.90(b) requires that for each firm to perform the same quality procedure/master batch records, corporate firms maintain distribution activities as corporate firms regarding with a total recordkeeping burden of records. We estimate that it will take creating master batch records and approximately 216 hours for nine each firm approximately 15 minutes to manufacturing and quality procedures. records from three corporate create a distribution record for each We estimate that there will be a total of organizations. batch of PET drug products, with a total approximately 488 records, with a total We estimate that 115 individual burden of approximately 4,140 hours for recordkeeping burden of approximately corporate sites belonging to 3 major 144 released batches from 115 sites. 3,904 hours. corporate entities will create 164 It would take approximately 8 hours D. Annual Burden for Academia and records for equipment maintenance, Small Firms for each firm to create equipment and cleaning, calibration, and facilities facility related procedures as corporate maintenance records, with a total It is estimated that each firm will firms. We also estimate that there will recordkeeping burden of 9,430 hours. expend the same amount of time to be a total of approximately 793 records, Sections 212.20(c) and 212.40(a) and perform the same activities as corporate with a total recordkeeping burden of (b) also set out requirements for raw firms. Approximately 52 academia and approximately 6,344 hours. material and component shipments small firms will fill 1,248 batch and We also estimate that the burden for received at the manufacturing facility on production records, totaling 624 hours. each firm to create and maintain an ongoing basis. We estimate that the For any new master batch record or specification sheets would be burden for each firm to create incoming quality procedures we have estimated approximately 2 hours and that there raw material acceptance records for 2 156 total records (3 per site), with a total of 1,248 hours. will be a total of approximately 61 firms shipments per month and 30 minutes For calibration and cleaning records performing these activities, with a total per shipment will be 1,380 hours for like filling information in log books for recordkeeping burden of approximately 2,760 records from 115 sites. 3,050 hours. Furthermore, the burden each piece of equipment and Sections 212.60(g), 212.61(b), and for these firms to create and maintain documenting calibration records in each 212.70(d)(2) and (3) set out procedures for acceptance of raw PET production firm, we estimate requirements for documenting materials and components would be approximately 30 minutes on average laboratory testing results from each PET approximately 8 hours and that there for each piece of equipment for all drug manufactured referred to in will be a total of approximately 61 firms firms. The calibration efforts are once laboratory testing, including final performing these activities, with a total per year per equipment, with estimated release testing. Each firm must keep recordkeeping burden of approximately 10 pieces of equipment per site. We records of different tests for each of their 976 hours. estimate that 52 academic and small It would take approximately 8 hours products. We estimate that firms will record a total of 884 hours for for each firm to perform the same approximately 115 corporate sites will 34 records per site and a total of 1,768 activities as corporate firms. We document 144 records of cumulative records. estimate that there will be a total of quality control (QC) test results (one For §§ 212.20(c) and 212.40(a) and (b), approximately 61 records, with a total record with 5 to 6 tests included), with approximately 1,768 raw material and recordkeeping burden of approximately a total recordkeeping burden of component acceptance records will be 488 hours. approximately 8,280 hours. filled on an ongoing annual basis. We We estimate that 61 academia, small We estimate that each firm will take estimate that the burden for each firm to firms, and high-risk component approximately 1 hour to record out-of- create incoming raw material manufacturers will create about one specification (OOS) events and perform acceptance records for 12 shipments per procedure related to deviations and out investigations for each incident. We also year and 30 minutes per shipment will of specifications and that each firm will estimate an average of 2 ‘‘Out of be 312 hours for 624 records from 52 expend approximately 8 hours, for a Specification’’ investigations per firm, sites. total of 488 hours. Similarly, 488 hours with a total of 230 records for ‘‘OOS’’ We also estimate that approximately will be spent for procedures on investigations from 115 sites, which 52 academia and small firms will distribution of PET drugs. There will be results in a burden of 460 hours. This document 1,248 laboratory QC tests for 3 procedures created by each firm estimate includes any reprocessing or 24 batches of drugs, with a total related to customer complaints, recalls, special release events, which are very recordkeeping burden of approximately and FARs, with a total of 156 records rare. 624 hours. from 52 sites and a total of 1,248 hours. Section 212.100(b) and (c) requires We estimate that each firm will take that PET drug firms document how each approximately 1 hour each to record C. Annual Burden for Corporate Firms complaint is handled. We estimate that OOS and customer complaint events In this section, we considered 115 this will take approximately 2 hours for and perform investigations. We also individual corporate sites under the 3 each site to document and investigate estimate that an average of two ‘‘Out of major corporations in our estimates. one complaint. We estimated 2 Specification’’ and customer complaints These activities will be related to complaints per year per site, with a total and investigations per firm, with a total individual PET drugs manufactured at expended hour of 460 hours for 115 of 208 hours for each category. This each of the sites located across the individual sites. We believe the estimate estimate has included any reprocessing country. We estimate that it would take is appropriate since not all sites receive or special batch release events, which 30 minutes each to fill 144 batches complaints. have been rarely observed. (approximately 4 batches/month), for a We also estimate annual We also estimate annual total of 8,280 hours. In the second row recordkeeping for PET drug firms to recordkeeping for PET drug firms to of table 3, we have also estimated that perform quality assurance (QA) and perform QA and release of on an annual basis, some new batch release of manufactured PET drugs from manufactured PET drugs from 52 sites records or quality records may have to the 115 corporate sites to be 4,140 to be 312 hours, for a total of 24 batches be created for newly introduced or hours, for a total of 144 released batches per site released if estimating 15 existing drugs. It would take each firm estimating 15 minutes per batch. minutes per batch.

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Section 212.90(b) requires that for a total of 108 batches released, FARs notice to FDA electronically, with corporate firms maintain distribution estimating 15 minutes per batch. 2.5 hours per incident in total. records. We estimate that it will take We further estimate that it would take In the Federal Register of November approximately 15 minutes to create a each precursor 15 minutes to create and 30, 2018 (83 FR 61653), FDA published distribution record for each batch of maintain distribution records and that a 60-day notice requesting public PET drug products, with a total burden there will be approximately 108 records, comment on the proposed collection of of approximately 312 hours for 24 with a total recordkeeping burden of information. Three comments were batches per site. approximately 27 hours. received and are summarized here. One comment questioned the E. Annual Burden for High-Risk III. Process Verification necessity of this proposed collection. Component Manufacturers Section 212.50(f)(2) requires that any One comment suggested that FDA allow According to section 121(a) of process verification activities and both paper recordkeeping and FDAMA, the PET drug definition results be recorded. Process verification simplified electronic report submission. includes any non-radioactive or is usually performed as a one-time Two comments questioned some of radioactive reagents, kits, nuclidic activity before a product is approved or FDA’s burden collection estimates. Two generators, target materials, if any major manufacturing process or comments questioned whether Annual synthesizers, and so forth. FDA equipment changes are made. This effort Product Review (APR) is being required performs risk assessments of each to conduct process verification has been by the regulations. Two comments manufacturer and inspects such estimated under annual new creation of pertained to an inadvertent oversight in manufacturers. Sterile manufacturers master batch records and manufacturing section VI. Third-Party Disclosure. and complex labels fall under this and quality procedures in section II of FDA believes that this proposed category, including sterile raw material this document. collection is necessary in keeping with or reagent manufactures. We have IV. Conditional Final Releases the Agency’s mission of ensuring the estimated nine such facilities based on safety and efficacy of human drugs. inspections so far and have included Section 212.70(f) requires PET drug producers to document any conditional Regarding the estimates included, FDA them in this section. These has taken a generalized approach for manufacturers must comply with final releases of a product. We believe that conditional final releases will be these estimates, assuming that corporate selected sections of part 212 since they firms will take on certain burdens for all are not final PET drug manufacturers. uncommon, and we have them estimated under annual ‘‘OOS’’ facilities under their purview, rather We will refer to them as high-risk than calculating all burdens per facility, component manufacturers in general in investigations and final QA release efforts for each manufactured batch. and understanding that due to variation this document. among facilities the number of batches We estimate that it would take 9 high- V. Reprocessing Procedures and products being produced will vary. risk component manufacturers about 30 Sections 212.20(c) and 212.71(d) We have also only included estimates minutes to fill each manufacturing batch require PET drug producers to establish for tasks that are included within part records (12 per year) and that there will and document procedures for 212 and note that some of the comments be a total of approximately 108 records, reprocessing PET drugs. We rarely see referenced tasks, such as APR, that are with a total recordkeeping burden of any reprocessing option being submitted outside that scope. Electronic approximately 54 hours. for application of such drugs and, if recordkeeping is also outside the scope We also estimate that it will take nine reprocessing occurs, we have estimated of this regulation. Regarding the component manufacturers 30 minutes to such rare events under annual QA typographical error in section VI. Third fill and create equipment and facilities release efforts. Party Disclosure, on page 9350, we related records, with a total estimate that it will take PET drug recordkeeping burden of 72 hours. VI. Third-Party Disclosure Burden producers 2 hours to submit to FDA We estimate that 9 high-risk Section 212.70(e) requires that PET notices of sterility test failures. We component manufacturers will drug producers notify all receiving intended to estimate 2.5 hours as document 54 components, containers, facilities if a batch fails sterility tests. accurately shown in Table 6, page 9352. and closures for incoming acceptance FDA receives FARs reports based on In section VI of this document, we have tests, with a total recordkeeping burden confirmed sterility failures of released included this change. We appreciate of approximately 27 hours. PET drugs. Based on our experience of these comments and will continue to We estimate that 9 high-risk such reporting, we estimated a total of consider the burden estimate. If component manufacturers will 12 failures from all 167 sites (corporate, commenters believe certain estimates document 12 QC records related to 12 small firms, and academia). Therefore, are insufficient, we request comments batches, with a total recordkeeping we have estimated that 12 PET drug on specific estimates for these burden of approximately 54 hours. producers will file 2 reports to FDA and requirements and why alternative We also estimate annual send a notification to the affected estimates would be more accurate. recordkeeping for PET drug firms to clinical/receiving site per year. PET The estimated burden of the perform QA and release manufactured drug producers would transmit the information collection, therefore, is as PET drugs from 9 sites to be 27 hours, notice by email or Fax and submit the follows:

TABLE 1—ESTIMATED ONE-TIME RECORDKEEPING BURDEN FOR CORPORATE FIRMS 1

Number of Number of One-time Average Activity/type of respondent/21 CFR section records per burden per Total hours 2 recordkeepers recordkeeper records recordkeeper

Batch Production and Control Records (§§ 212.20(c) and (e) and 212.50(a) and (b)) ...... 3 9 27 8 216

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TABLE 1—ESTIMATED ONE-TIME RECORDKEEPING BURDEN FOR CORPORATE FIRMS 1—Continued

Number of Number of One-time Average Activity/type of respondent/21 CFR section records per burden per Total hours 2 recordkeepers recordkeeper records recordkeeper

Equipment and Facilities Records (SOP) (§§ 212.20(c), 212.30(b) 212.50(d), and 212.60(f)) ...... 3 13 39 5 195 Records of Components, Containers, and Closures (SOP) (§§ 212.20(c) and 212.40(a) and (b)) ...... 3 2 6 8 48 Records of Components, Containers, and Closures (speci- fications data sheets) (§§ 212.20(c) and 212.40(a) and (b)) ...... 3 25 75 2 150 Out-of-Specification Investigations (SOP) (§§ 212.20(c) and 212.71(a)) ...... 3 1 3 8 24 Distribution Records (SOP) (§§ 212.20(c) and 212.90(a)) .. 3 1 3 8 24 Complaints, Recalls (§§ 212.20(c) and 212.100(a)) ...... 3 3 9 8 72

Total ...... 729 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 Number rounded to the nearest whole number.

TABLE 2—ESTIMATED ONE-TIME RECORDKEEPING BURDEN FOR ACADEMIA, SMALL FIRMS, AND HIGH-RISK COMPONENT MANUFACTURERS 1

Number of Number of One-time Average Activity/type of respondent/21 CFR section records per burden per Total hours 2 recordkeepers recordkeeper records recordkeeper

Batch Production and Control Records (§§ 212.20(c) and (e) and 212.50(a) and (b)) ...... 61 8 488 8 3,904 Equipment and Facilities Records (SOP) (§§ 212.20(c), 212.30(b) 212.50(d), and 212.60(f)) ...... 61 13 793 8 6,344 Records of Components, Containers, and Closures (speci- fication only) (§§ 212.20(c) and 212.40(a) and (b)) ...... 61 25 1,525 2 3,050 Records of Components, Containers, and Closures (SOP) (§§ 212.20(c) and 212.40(a) and (b)) ...... 61 2 122 8 976 Out-of-Specification Investigations (SOP) (§§ 212.20(c) and 212.71(a))...... 61 1 61 8 488 Distribution Records (SOP) (§§ 212.20(c) and 212.90(a)) .. 61 1 61 8 488 Complaints, Recalls (§§ 212.20(c) and 212.100(a)) ...... 52 3 156 8 1,248

Total ...... 16,498 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 Number rounded to the nearest whole number.

TABLE 3—ESTIMATED ANNUAL RECORDKEEPING BURDEN FOR CORPORATE FIRMS 1

Number of Number of Total Average Activity/21 CFR section records per annual burden per Total hours 2 recordkeepers recordkeeper records recordkeeper

Batch Production (Creating Manufacturing Records (cre- ating batch-related records per year) (§§ 212.20(c) and (e) and 212.50(a) and (b)) ...... 115 144 16,560 * 0.50 8,280 Creating Any New Batch Records/Quality Records for New or Existing Drugs (§§ 212.20(c) and (e) and 212.50(a) and (b)) ...... 3 9 27 8 216 Equipment and Facilities Records (calibration and cleaning records systems) (§§ 212.30(b), 212.50(d), and 212.60(f)) ...... 115 164 18,860 *0.50 9,430 Records of Components, Containers, and Closures (§§ 212.20(c) and 212.40(a) and (b)) ...... 115 24 2,760 * 0.50 1,380 Laboratory Testing Records (record laboratory test results) (§§ 212.60(g), 212.61(b), and 212.70(d)(2) and (3)) ...... 115 144 16,560 * 0.50 8,280 Out-of-Specification Investigations (record events and in- vestigations) (§ 212.71(b)) ...... 115 2 230 2 460 Complaints (§§ 212.100(b) and (c)) ...... 115 2 230 2 460 QA and Release of Batches ...... 115 144 16,560 + 0.25 4,140 Distribution Records (§ 212.90(b)) ...... 115 144 16,560 + 0.25 4,140

Total ...... 36,786 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 Number rounded to the nearest whole number.

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* (30 minutes). + (15 minutes).

TABLE 4—ESTIMATED ANNUAL RECORDKEEPING BURDEN FOR ACADEMIA AND SMALL FIRMS 1

Number of Number of Total Average Activity/21 CFR section records per annual burden per Total hours 2 recordkeepers recordkeeper records recordkeeper

Batch Production (creating manufacturing records) (filling batch related records per year) (§§ 212.20(c) and (e) and 212.50(a) and (b)) ...... 52 24 1,248 * 0.50 624 Creating Any New Batch Records/Procedures for New Drugs (§§ 212.20(c) and (e) and 212.50(a) and (b)) ...... 52 3 156 8 1,248 Equipment and Facilities Records (calibration and cleaning records) (§§ 212.30(b), 212.50(d), and 212.60(f)) ...... 52 34 1,768 * 0.50 884 Records of Components, Containers, and Closures (in- coming acceptance tests) (§§ 212.20(c) and 212.40(a) and (b)) ...... 52 12 624 * 0.50 312 Laboratory Testing Records (QC test results) (§§ 212.60(g), 212.61(b) and 212.70(d)(2) and (3)) ...... 52 24 1,248 * 0.50 624 Out-of-Specification Investigations (record events and in- vestigations) (§ 212.71(b)) ...... 52 2 104 2 208 Complaints (Record events and investigations) (§§ 212.100(b) and (c)) ...... 52 2 104 2 208 QA and Release of Batches ...... 52 24 1,248 + 0.25 312 Distribution Records (§ 212.90(b)) ...... 52 24 1,248 + 0.25 312

Total ...... 4,732 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 Number rounded to the nearest whole number. * (30 minutes). + (15 minutes).

TABLE 5—ESTIMATED ANNUAL RECORDKEEPING BURDEN FOR HIGH RISK COMPONENT MANUFACTURERS 1

Number of Number of Total annual Average Activity/21 CFR section records per burden per Total hours 2 recordkeepers recordkeeper records recordkeeper

Batch Production (creating manufacturing records and batch related records per year) (§§ 212.20(c) and (e) and 212.50(a) and (b)) ...... 9 12 108 * 0.50 54 Equipment and Facilities Records (calibration and cleaning records systems) (§§ 212.30(b), 212.50(d), and 212.60(f)) ...... 9 16 144 *0.50 72 Records of Components, Containers, and Closures (in- coming acceptance test) (§§ 212.20(c) and 212.40(a) and (b)) ...... 9 6 54 * 0.50 27 Laboratory Testing Records (record QC test results) (§§ 212.60(g), 212.61(b) and 212.70(d)(2) and (3)) ...... 9 12 108 * 0.50 54 Out-of-Specification Investigations (Record events and in- vestigations) (§212.71(b)) ...... 9 1 9 1 9 QA and Release of Batches ...... 9 12 108 + 0.25 27 Distribution Records (§ 212.90(b)) ...... 9 12 108 + 0.25 27

Total ...... 270 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 Number rounded to the nearest whole number. * (30 minutes). + (15 minutes).

TABLE 6—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1

Number of Number of sterility disclosures Total annual Average Activity/21 CFR section failure per disclosures burden per Total hours incidents respondent disclosure

Sterility Test Failure Notices (§ 212.70(e)) ...... 12 2 3 36 2.5 90 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 There are two reports sent to FDA per incident and notification to receiving site.

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These burden estimates reflect collection of information to OMB for and that there are no ingredients in the adjustments since last OMB approval. review and clearance. formulation likely to cause adverse Previously we had based the estimated pharmacologic effects. We use the Abbreviated New Animal Drug number of respondents on the number information submitted by applicants in Applications—Section 512(b)(2) and the biowaiver request as the basis for of individual production sites, however (n)(1) of the Federal Food, Drug, and we believe using the number of Cosmetic Act (21 U.S.C. 360b(b)(2) and our decision whether to grant the registered organizations better reflects (n)(1)) request. the burden attributable to information Additionally, we have found that collection. This results in an overall OMB Control Number 0910–0669— various uses of veterinary master files decrease to the collection. Extension have increased the efficiency of the drug Dated: August 26, 2019. Under section 512(b)(2) of the Federal development and drug review processes Lowell J. Schiller, Food, Drug, and Cosmetic Act (FD&C for both us and the animal Principal Associate Commissioner for Policy. Act), any person may file an abbreviated pharmaceutical industry. A veterinary new animal drug application (ANADA) master file is a repository for submission [FR Doc. 2019–19030 Filed 9–3–19; 8:45 am] seeking approval of a generic copy of an to FDA’s Center for Veterinary Medicine BILLING CODE 4164–01–P approved new animal drug. The of confidential detailed information information required to be submitted as about facilities, processes, or articles DEPARTMENT OF HEALTH AND part of an ANADA is described in used in the manufacturing, processing, HUMAN SERVICES section 512(n)(1) of the FD&C Act. packaging, and storing of one or more Among other things, an ANADA is veterinary drugs. Veterinary master files Food and Drug Administration required to contain information to show are used by the animal pharmaceutical that the proposed generic drug is industry in support of information being Docket No. FDA–2019–N–1517] bioequivalent to, and has the same submitted for new animal drug Agency Information Collection labeling as, the approved new animal applications (NADAs), ANADAs, Activities; Submission for Office of drug. We allow applicants to submit a investigational new animal drug (INAD) complete ANADA or to submit Management and Budget Review; files, and generic investigational new information in support of an ANADA Comment Request; Abbreviated New animal drug (JINAD) files. In previous for phased review. Applicants may Animal Drug Applications information collection requests, we submit Form FDA 356v with a complete included the time necessary to compile AGENCY: Food and Drug Administration, ANADA or a phased-review submission and submit such information to HHS. to ensure efficient and accurate veterinary master files within the ACTION: Notice. processing of information. We use the burden estimates provided for information submitted, among other applications and amended applications SUMMARY: The Food and Drug things, to assess bioequivalence to the (for NADAs and INAD files) and Administration (FDA) is announcing originally approved drug and thus, the abbreviated applications and amended that a proposed collection of safety and effectiveness of the generic abbreviated applications (for ANADAs information has been submitted to the new animal drug. and JINAD files), respectively. We Office of Management and Budget We believe the demonstration of recently combined the time necessary to (OMB) for review and clearance under bioequivalence required by the statute compile and submit such information to the Paperwork Reduction Act of 1995. does not need to be established on the veterinary master files within the DATES: Fax written comments on the basis of in vivo studies (blood level burden estimates provided in the collection of information by October 4, bioequivalence or clinical endpoint collection of information supporting 2019. bioequivalence) for soluble powder oral new animal drug applications (OMB ADDRESSES: To ensure that comments on dosage form products and certain Type control number 0910–0032). A medicated articles. We are adding to the information collection are received, The reporting associated with this information collection applicant OMB recommends that written ANADAs and related submissions is requests to waive the requirement to comments be faxed to the Office of necessary to ensure that new animal establish bioequivalence through in vivo Information and Regulatory Affairs, drugs are in compliance with section studies (biowaiver requests) for soluble OMB, Attn: FDA Desk Officer, Fax: 202– 512(b)(2) of the FD&C Act. As noted, we powder oral dosage form products or 395–7285, or emailed to oira_ use the information submitted, among certain Type A medicated articles based [email protected]. All upon either of two methods. We will other things, to assess bioequivalence to comments should be identified with the consider granting a biowaiver request if the originally approved drug and thus, OMB control number 0910–0669. Also it can be shown that the generic soluble the safety and effectiveness of the include the FDA docket number found powder oral dosage form product or generic new animal drug. in brackets in the heading of this Type A medicated article contains the Description of Respondents: The document. same active and inactive ingredient(s) respondents for this collection of FOR FURTHER INFORMATION CONTACT: and is produced using the same information are veterinary JonnaLynn Capezzuto, Office of manufacturing processes as the pharmaceutical manufacturers. Operations, Food and Drug approved comparator product or article. In the Federal Register of April 18, Administration, Three White Flint Alternatively, we will consider granting 2019 (84 FR 16270), FDA published a North, 10A–12M, 11601 Landsdown St., a biowaiver request without direct 60-day notice requesting public North Bethesda, MD 20852, 301–796– comparison to the pioneer product’s comment on the proposed collection of 3794, [email protected]. formulation and manufacturing process information. No comments were SUPPLEMENTARY INFORMATION: In if it can be shown that the active received. compliance with 44 U.S.C. 3507, FDA pharmaceutical ingredient(s) (API) is the FDA estimates the burden of this has submitted the following proposed same as the pioneer product, is soluble, collection of information as follows:

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TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

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

ANADA ...... 356v 18 1 18 159 2,862 Phased Review with Administrative ANADA ...... 356v 3 5 15 31.8 477 Biowaiver request for soluble powder oral dosage form product, using same formulation/manufacturing process ap- proach ...... N/A 1 1 1 5 5 Biowaiver request for soluble powder oral dosage form product, using same API/solubility approach ...... N/A 5 1 5 10 50 Biowaiver request for Type A medicated article, using same formulation/manu- facturing process approach ...... N/A 2 1 2 5 10 Biowaiver request for Type A medicated article, using same API/solubility ap- proach ...... N/A 10 1 10 20 200

Total ...... 51 ...... 3,604 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

We base our estimates on our records DEPARTMENT OF HEALTH AND comments until 11:59 p.m. Eastern Time of generic drug applications. We HUMAN SERVICES at the end of November 4, 2019. estimate that we will receive 21 ANADA Comments received by mail/hand submissions per year over the next 3 Food and Drug Administration delivery/courier (for written/paper years and that 3 of those submissions [Docket No. FDA–2013–N–0879] submissions) will be considered timely will request phased review. We estimate if they are postmarked or the delivery that each applicant that uses the phased Agency Information Collection service acceptance receipt is on or review process will have approximately Activities; Proposed Collection; before that date. five phased reviews per application. We Comment Request; Procedures for the Electronic Submissions estimate that an applicant will take Safe and Sanitary Processing and Importing of Fish and Fishery Products Submit electronic comments in the approximately 159 hours to prepare following way: either an ANADA or the estimated five AGENCY: Food and Drug Administration, • Federal eRulemaking Portal: ANADA phased review submissions HHS. https://www.regulations.gov. Follow the and the administrative ANADA. Our ACTION: Notice. instructions for submitting comments. estimates of the burden of biowaiver Comments submitted electronically, requests for generic soluble powder oral SUMMARY: The Food and Drug including attachments, to https:// dosage form products and Type A Administration (FDA or Agency) is www.regulations.gov will be posted to medicated articles differ based on the announcing an opportunity for public the docket unchanged. Because your type of product and the basis for the comment on the proposed collection of comment will be made public, you are certain information by the Agency. request, as shown in table 1. We solely responsible for ensuring that your Under the Paperwork Reduction Act of estimate that an applicant will take comment does not include any 1995 (PRA), Federal Agencies are confidential information that you or a between 5 and 20 hours to prepare a required to publish notice in the third party may not wish to be posted, biowaiver request. Federal Register concerning each such as medical information, your or Based on a review of the information proposed collection of information, anyone else’s Social Security number, or including each proposed extension of an collection since our last request for confidential business information, such existing collection of information, and OMB approval, we have made no as a manufacturing process. Please note to allow 60 days for public comment in adjustments to our previous estimate of that if you include your name, contact response to the notice. This notice the number of respondents submitting information, or other information that solicits comments on information generic drug applications. However, as identifies you in the body of your collection associated with safe and discussed, the burden for this comments, that information will be sanitary processing and importing of information collection was increased by posted on https://www.regulations.gov. 265 hours and 18 responses since the fish and fishery products. • If you want to submit a comment last OMB approval. This is due to DATES: Submit either electronic or with confidential information that you adding to this collection burden hours written comments on the collection of do not wish to be made available to the and responses for biowaiver requests. information by November 4, 2019. public, submit the comment as a ADDRESSES: You may submit comments Dated: August 26, 2019. written/paper submission and in the as follows. Please note that late, manner detailed (see ‘‘Written/Paper Lowell J. Schiller, untimely filed comments will not be Submissions’’ and ‘‘Instructions’’). Principal Associate Commissioner for Policy. considered. Electronic comments must [FR Doc. 2019–19078 Filed 9–3–19; 8:45 am] be submitted on or before November 4, Written/Paper Submissions BILLING CODE 4164–01–P 2019. The https://www.regulations.gov Submit written/paper submissions as electronic filing system will accept follows:

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• Mail/Hand Delivery/Courier (for docket number, found in brackets in the processing of seafood. HACCP is a written/paper submissions): Dockets heading of this document, into the preventive system of hazard control Management Staff (HFA–305), Food and ‘‘Search’’ box and follow the prompts designed to help ensure the safety of Drug Administration, 5630 Fishers and/or go to the Dockets Management foods. The regulations were issued Lane, Rm. 1061, Rockville, MD 20852. Staff, 5630 Fishers Lane, Rm. 1061, under FDA’s statutory authority to • For written/paper comments Rockville, MD 20852. regulate food safety, including section submitted to the Dockets Management FOR FURTHER INFORMATION CONTACT: 402(a)(1) and (4) of the Federal Food, Staff, FDA will post your comment, as Domini Bean, Office of Operations, Drug, and Cosmetic Act (21 U.S.C. well as any attachments, except for Food and Drug Administration, Three 342(a)(1) and (4)). information submitted, marked and White Flint North, 10 a.m.–12 p.m., Certain provisions in part 123 require identified, as confidential, if submitted 11601 Landsdown St., North Bethesda, that processors and importers of seafood as detailed in ‘‘Instructions.’’ MD 20852, 301–796–5733, PRAStaff@ collect and record information. The Instructions: All submissions received fda.hhs.gov. HACCP records compiled and must include the Docket No. FDA– maintained by a seafood processor SUPPLEMENTARY INFORMATION: Under the 2013–N–0879 for ‘‘Agency Information primarily consist of the periodic PRA (44 U.S.C. 3501–3520), Federal Collection Activities; Proposed observations recorded at selected Agencies must obtain approval from the Collection; Comment Request; monitoring points during processing Office of Management and Budget Procedures for the Safe and Sanitary and packaging operations, as called for (OMB) for each collection of Processing and Importing of Fish and in a processor’s HACCP plan (e.g., the information they conduct or sponsor. Fishery Products.’’ Received comments, values for processing times, ‘‘Collection of information’’ is defined those filed in a timely manner (see temperatures, acidity, etc., as observed in 44 U.S.C. 3502(3) and 5 CFR ADDRESSES), will be placed in the docket at critical control points). The primary 1320.3(c) and includes Agency requests and, except for those submitted as purpose of HACCP records is to permit or requirements that members of the ‘‘Confidential Submissions,’’ publicly a processor to verify that products have public submit reports, keep records, or viewable at https://www.regulations.gov been produced within carefully provide information to a third party. or at the Dockets Management Staff established processing parameters Section 3506(c)(2)(A) of the PRA (44 between 9 a.m. and 4 p.m., Monday (critical limits) that ensure that hazards U.S.C. 3506(c)(2)(A)) requires Federal through Friday. have been avoided. • Confidential Submissions—To Agencies to provide a 60-day notice in HACCP records are normally submit a comment with confidential the Federal Register concerning each reviewed by appropriately trained information that you do not wish to be proposed collection of information, employees at the end of a production lot made publicly available, submit your including each proposed extension of an or at the end of a day or week of comments only as a written/paper existing collection of information, production to verify that control limits submission. You should submit two before submitting the collection to OMB have been maintained, or that copies total. One copy will include the for approval. To comply with this appropriate corrective actions were information you claim to be confidential requirement, FDA is publishing notice taken if the critical limits were not with a heading or cover note that states of the proposed collection of maintained. Such verification activities ‘‘THIS DOCUMENT CONTAINS information set forth in this document. are essential to ensure that the HACCP With respect to the following CONFIDENTIAL INFORMATION.’’ The system is working as planned. A review collection of information, FDA invites Agency will review this copy, including of these records during the conduct of comments on these topics: (1) Whether the claimed confidential information, in periodic plant inspections also permits the proposed collection of information its consideration of comments. The FDA to determine whether the products is necessary for the proper performance second copy, which will have the have been consistently processed in of FDA’s functions, including whether claimed confidential information conformance with appropriate HACCP the information will have practical redacted/blacked out, will be available food safety controls. for public viewing and posted on utility; (2) the accuracy of FDA’s Section 123.12 requires that importers https://www.regulations.gov. Submit estimate of the burden of the proposed of seafood products take affirmative both copies to the Dockets Management collection of information, including the steps and maintain records that verify Staff. If you do not wish your name and validity of the methodology and that the fish and fishery products they contact information to be made publicly assumptions used; (3) ways to enhance offer for import into the United States available, you can provide this the quality, utility, and clarity of the were processed in accordance with the information on the cover sheet and not information to be collected; and (4) HACCP and sanitation provisions set in the body of your comments and you ways to minimize the burden of the forth in part 123. These records are also must identify this information as collection of information on to be made available for review by FDA ‘‘confidential.’’ Any information marked respondents, including through the use as provided in § 123.12(c). as ‘‘confidential’’ will not be disclosed of automated collection techniques, The time and costs of these except in accordance with 21 CFR 10.20 when appropriate, and other forms of recordkeeping activities will vary and other applicable disclosure law. For information technology. considerably among processors and more information about FDA’s posting Procedures for the Safe and Sanitary importers of fish and fishery products, of comments to public dockets, see 80 Processing and Importing of Fish and depending on the type and number of FR 56469, September 18, 2015, or access Fishery Products—21 CFR Part 123 products involved, and on the nature of the information at: https://www.gpo.gov/ the equipment or instruments required fdsys/pkg/FR-2015-09-18/pdf/2015- OMB Control Number 0910–0354— to monitor critical control points. The 23389.pdf. Extension burden estimate in table 1 includes only Docket: For access to the docket to This information collection supports those collections of information under read background documents or the regulations in part 123 (21 CFR part the seafood HACCP regulations that are electronic and written/paper comments 123), which mandate the application of not already required under other received, go to https:// hazard analysis and critical control statutes and regulations. The estimate www.regulations.gov and insert the point (HACCP) principles to the also does not include collections of

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information that are a usual and Consequently, the estimates in table 1 information include processors and customary part of businesses’ normal account only for information collection importers of seafood. activities. For example, the tagging and and recording requirements attributable We estimate the burden of this labeling of molluscan shellfish (21 CFR to part 123. collection of information as follows: 1240.60) is a customary and usual Description of Respondents: practice among seafood processors. Respondents to this collection of

TABLE 1—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1

Total Average Number of Number of Total 2 annual burden per 21 CFR Section recordkeepers records per hours recordkeeper 3 records recordkeeping 4

123.6(a), (b), and (c); Prepare hazard analysis and HACCP plan...... 50 1 50 16 800 123.6(c)(5); Undertake and prepare records of correc- tive actions...... 15,000 4 60,000 0.30 18,000 (18 minutes) 123.8(a)(1) and (c); Reassess hazard analysis and HACCP plan...... 15,000 1 15,000 4 60,000 123.12(a)(2)(ii); Verify compliance of imports and pre- pare records of verification activities...... 4,100 80 328,000 0.20 65,600 (12 minutes) 123.6(c)(7); Document monitoring of critical control points...... 15,000 280 4,200,000 0.30 1,260,000 (18 minutes) 123.7(d); Undertake and prepare records of corrective actions due to a deviation from a critical limit...... 6,000 4 24,000 0.10 2,400 (6 minutes) 123.8(d); Maintain records of the calibration of proc- ess-monitoring instruments and the performing of any periodic end-product and in-process testing...... 15,000 47 705,000 0.10 70,500 (6 minutes) 123.11(c); Maintain sanitation control records...... 15,000 280 4,200,000 0.10 420,000 (6 minutes) 123.12(c); Maintain records that verify that the fish and fishery products they offer for import into the United States were processed in accordance with the HACCP and sanitation provisions set forth in part 123...... 4,100 80 328,000 0.10 32,800 (6 minutes) 123.12(a)(2); Prepare new written verification proce- dures to verify compliance of imports...... 41 1 41 4 164

Total ...... 1,930,264 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 These estimates include the information collection requirements in the following sections: § 123.16—Smoked Fish—process controls (see § 123.6(b)); § 123.28(a)—Source Controls—molluscan shellfish (see § 123.6(b)); § 123.28(c) and (d)—Records—molluscan shellfish (see § 123.6(c)(7). 3 Based on an estimated 280 working days per year. 4 Estimated average time per 8-hour work day unless one-time response.

Based on a review of the information are monitored and values recorded; and DEPARTMENT OF HEALTH AND collection since our last OMB approval, also on the extent that data recording HUMAN SERVICES we have made no adjustments to our time and cost are minimized by the use burden estimate. We base this hour of automated data logging technology. Food and Drug Administration burden estimate on our experience with The burden estimate does not include the application of HACCP principles in burden hours for activities that are a [Docket No. FDA–2019–N–3793] food processing. Further, the burdens usual and customary part of businesses’ General Hospital and Personal Use have been estimated using typical small normal activities. For example, the Panel of the Medical Devices Advisory seafood processing firms as a model tagging and labeling of molluscan Committee; Notice of Meeting; because these firms represent a shellfish (§ 1240.60) is a customary and Establishment of a Public Docket; significant proportion of the industry. usual practice among seafood Request for Comments The hour burden of HACCP processors. recordkeeping activities will vary AGENCY: Food and Drug Administration, considerably among processors and Dated: August 26, 2019. HHS. importers of fish and fishery products, Lowell J. Schiller, ACTION: Notice, establishment of a depending on the size of the facility and Principal Associate Commissioner for Policy. public docket; request for comments. complexity of the HACCP control [FR Doc. 2019–18987 Filed 9–3–19; 8:45 am] SUMMARY scheme (i.e., the number of products BILLING CODE 4164–01–P : The Food and Drug and the number of hazards controlled); Administration (FDA) announces a the daily frequency that control points forthcoming public advisory committee

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meeting of the General Hospital and • Federal eRulemaking Portal: ‘‘THIS DOCUMENT CONTAINS Personal Use Devices Panel of the https://www.regulations.gov. Follow the CONFIDENTIAL INFORMATION.’’ The Medical Devices Advisory Committee instructions for submitting comments. FDA will review this copy, including (the Committee). The general function of Comments submitted electronically, the claimed confidential information, in the Committee is to provide advice and including attachments, to https:// its consideration of comments. The recommendations to FDA on regulatory www.regulations.gov will be posted to second copy, which will have the issues. The meeting will be open to the the docket unchanged. Because your claimed confidential information public. FDA is establishing a docket for comment will be made public, you are redacted/blacked out, will be available public comment on this document. solely responsible for ensuring that your for public viewing and posted on DATES: The meeting will be held on comment does not include any https://www.regulations.gov. Submit November 6 and 7, 2019, from 8 a.m. to confidential information that you or a both copies to the Dockets Management 6 p.m. third party may not wish to be posted, Staff. If you do not wish your name and such as medical information, your or ADDRESSES: DoubleTree by Hilton, contact information to be made publicly anyone else’s Social Security number, or Washington DC North/Gaithersburg, available, you can provide this confidential business information, such Grand Ballroom, 620 Perry Pkwy., information on the cover sheet and not as a manufacturing process. Please note Gaithersburg, MD 20877. The hotel’s in the body of your comments and you that if you include your name, contact telephone number is 301–977–8900. must identify this information as information, or other information that https://doubletree3.hilton.com/en/ ‘‘confidential.’’ Any information marked identifies you in the body of your as ‘‘confidential’’ will not be disclosed hotels/maryland/doubletree-by-hilton- comments, that information will be washington-dc-north-gaithersburg- except in accordance with 21 CFR 10.20 posted on https://www.regulations.gov. and other applicable disclosure law. For GAIGWDT/index.html. Answers to • If you want to submit a comment commonly asked questions including more information about FDA’s posting with confidential information that you of comments to public dockets, see 80 information regarding special do not wish to be made available to the accommodations due to a disability, FR 56469, September 18, 2015, or access public, submit the comment as a the information at: https://www.gpo.gov/ visitor parking, and transportation may written/paper submission and in the be accessed at: https://www.fda.gov/ fdsys/pkg/FR-2015-09-18/pdf/2015- manner detailed (see ‘‘Written/Paper 23389.pdf. advisory-committees/about-advisory- Submission’’ and ‘‘Instructions’’). committees/common-questions-and- Docket: For access to the docket to answers-about-fda-advisory-committee- Written/Paper Submissions read background documents or the electronic and written/paper comments meetings. You may submit comments as Submit written/paper submissions as follows: received, go to https:// follows: www.regulations.gov and insert the FDA is establishing a docket for • Mail/Hand delivery/Courier (for docket number, found in brackets in the public comments on this meeting. The written/paper submissions): Dockets heading of this document, into the docket number is FDA–2019–N–3793. Management Staff (HFA–305), Food and ‘‘Search’’ box and follow the prompts The docket will close on December 6, Drug Administration, 5630 Fishers and/or or go to the Dockets Management 2019. Submit either electronic or Lane, Rm. 1061, Rockville, MD 20852. written comments on this public • For written/paper comments Staff, 5630 Fishers Lane, Rm. 1061, meeting to the docket by December 6, submitted to the Dockets Management Rockville, MD 20852. 2019. Please note that late, untimely Staff, FDA will post your comment, as FOR FURTHER INFORMATION CONTACT: filed comments will not be considered. well as any attachments, except for Patricio Garcia, Center for Devices and Electronic comments must be submitted information submitted, marked and Radiological Health (CDRH), Food and on or before December 6, 2019. The identified, as confidential, if submitted Drug Administration, 10903 New https://www.regulations.gov electronic as detailed in ‘‘Instructions.’’ Hampshire Ave., Bldg. 66 Rm. G610, filing system will accept comments Instructions: All submissions received Silver Spring, MD 20993–0002, until 11:59 p.m. Eastern Time at the end must include the Docket No. FDA– [email protected], (301) 796– of December 6, 2019. Comments 2019–N–3793 for ‘‘The General Hospital 6875, or FDA Advisory Committee received by mail/hand delivery/courier and Personal Use Devices Panel of the Information Line, 1–800–741–8138 (for written/paper submission) will be Medical Devices Advisory Committee; (301–443–0572 in the Washington, DC considered timely if they are Notice of Meeting; Establishment of a area). A notice in the Federal Register postmarked or the delivery service Public Docket; Request for Comments.’’ about last minute modifications that acceptance receipt is on or before that Received comments those filed in a impact a previously announced date. timely manner (see ADDRESSES), will be advisory committee meeting cannot Comments received on or before placed in the docket and, except for always be published quickly enough to October 21, 2019, will be provided to those submitted as ‘‘Confidential provide timely notice. Therefore, you the Committee. Comments received after Submissions,’’ publicly viewable at should always check the Agency’s that date will be taken into https://www.regulations.gov or at the website at https://www.fda.gov/ consideration by FDA. In the event that Dockets Management Staff between 9 advisory-committees and scroll down to the meeting is cancelled, FDA will a.m. and 4 p.m., Monday through the appropriate advisory committee continue to evaluate any relevant Friday. meeting link, or call the advisory applications or information, and • Confidential Submissions—To committee information line to learn consider any comments submitted to the submit a comment with confidential about possible modifications before docket, as appropriate. information that you do not wish to be coming to the meeting. You may submit comments as made publicly available, submit your SUPPLEMENTARY INFORMATION: follows: comments only as a written/paper Agenda: On November 6 and 7, 2019, submission. You should submit two the committee will discuss the topic of Electronic Submissions copies total. One copy will include the industrial ethylene oxide (EtO) Submit electronic comments in the information you claim to be confidential sterilization of medical devices and its following way: with a heading or cover note that states role in maintaining public health as

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well as the risks of infection with statement of the general nature of the and Dentistry (ACTPCMD) has reprocessed duodenoscopes. Subject evidence or arguments they wish to scheduled a public meeting. Information matter of the panel meeting will include present, the names and addresses of about ACTPCMD and the agenda for this potential methods and expert proposed participants, and an meeting can be found on the ACTPCMD assessment of how to reduce EtO indication of the approximate time website at: https://www.hrsa.gov/ emissions to the environment from requested to make their presentation on advisory-committees/primarycare- medical device sterilization processes or before October 16, 2019. Time dentist/index.html. without compromising assurance of allotted for each presentation may be DATES: October 31, 2019, 10:00 a.m.– sterility or effective processing of limited. If the number of registrants 5:00 p.m. Eastern Time. medical devices. The panel will also requesting to speak is greater than can ADDRESSES: This meeting will be held discuss recommendations to reduce the be reasonably accommodated during the by webinar. risk of infection from reprocessed scheduled open public hearing session, • Webinar link: https:// duodenoscopes. FDA may conduct a lottery to determine hrsa.connectsolutions.com/ACTPCMD. FDA intends to make background the speakers for the scheduled open • Conference Call in number: (888) material available to the public no later public hearing session. The contact 455–0640; Passcode: HRSA COUNCIL than 2 business days before the meeting. person will notify interested persons (voice response). If FDA is unable to post the background regarding their request to speak by FOR FURTHER INFORMATION CONTACT: material on its website prior to the October 17, 2019. Kennita Carter, MD, Senior Advisor and meeting, the background material will Persons attending FDA’s advisory Designated Federal Official, Division of be publicly available at the location of committee meetings are advised that Medicine and Dentistry, HRSA, 5600 the advisory committee meeting and the FDA is not responsible for providing Fishers Lane, Rockville, Maryland background material will be posted on access to electrical outlets. 20857; phone (301) 945–3505; or email For press inquiries, please contact the FDA’s website after the meeting. [email protected]. Background material will be available at Office of Media Affairs at fdaoma@ SUPPLEMENTARY INFORMATION: https://www.fda.gov/advisory- fda.hhs.gov or 301–796–4540. ACTPCMD provides advice and committees/advisory-committee- FDA welcomes the attendance of the recommendations to the Secretary of calendar. Scroll down to the public at its advisory committee HHS (Secretary) on policy, program appropriate advisory committee meeting meetings and will make every effort to development, and other matters of link. accommodate persons with disabilities . significance concerning the activities FDA plans to provide a live webcast If you require accommodations due to a under section 747 of Title VII of the of the November 6 and 7, 2019, meeting disability, please contact Artair Mallett, Public Health Service (PHS) Act, as it of the General Hospital and Personal at [email protected] or 301– existed upon the enactment of Section Use Devices Panel of the Medical 796–9638 at least 7 days in advance of 749 of the PHS Act in 1998. Devices Advisory Committee. While the meeting. At this meeting, ACTPCMD will CDRH is working to make webcasts FDA is committed to the orderly discuss matters concerning innovations available to the public for all advisory conduct of its advisory committee in training in primary care medicine committee meetings, there are instances meetings. Please visit our website at and dentistry as well as ACTPCMD’s where the webcast transmission is not https://www.fda.gov/advisory- upcoming report and recommendations. successful; staff will work to re-establish committees/about-advisory-committees/ Agenda items are subject to change as the transmission as soon as possible. public-conduct-during-fda-advisory- priorities dictate. Refer to the The link for the webcast is available at: committee-meetings. ACTPCMD website for any updated https://collaboration.fda.gov. Webcast Notice of this meeting is given under information concerning the meeting. An information, including the website the Federal Advisory Committee Act (5 agenda will be posted on the website at address for the webcast, are the U.S.C. app. 2). least 14 calendar days before the following, for their respective days: Dated: August 29, 2019. meeting. Members of the public will November 6, 2019: http:// Lowell J. Schiller, have the opportunity to provide fda.yorkcast.com/webcast/Play/ Principal Associate Commissioner for Policy. comments. Public participants may eeed34f9b1f448f9a1f6ad05a4b [FR Doc. 2019–19079 Filed 9–3–19; 8:45 am] submit written statements in advance of 98d7d1d BILLING CODE 4164–01–P the scheduled meeting. Oral comments November 7, 2019: http:// will be honored in the order they are fda.yorkcast.com/webcast/Play/ requested and may be limited as time 49c5a76d5d1c422d8da028441ab DEPARTMENT OF HEALTH AND allows. Requests to submit a written 557de1d HUMAN SERVICES statement or make oral comments to Procedure: Interested persons may ACTPCMD should be sent to Kennita Health Resources and Service present data, information, or views, Carter using the contact information Administration orally or in writing, on issues pending above at least three business days prior before the Committee. Written to the meeting. submissions may be made to the contact Meeting of the Advisory Committee on Training in Primary Care and Dentistry Individuals who plan to attend and person on or before October 22, 2019. need special assistance or another Oral presentations from the public will AGENCY: Health Resources and Service reasonable accommodation should be scheduled on November 6, 2019, Administration (HRSA), Department of notify Kennita Carter at the address and between approximately 1:30 p.m. and 2 Health and Human Services (HHS). phone number listed above at least 10 p.m. and from 3:50 p.m. to 4:20 p.m. ACTION: Notice. business days before the meeting. and on November 7, 2019, between approximately 1:20 p.m. and 1:50 p.m. SUMMARY: In accordance with the Maria G. Button, Those individuals interested in making Federal Advisory Committee Act, this Director, Division of the Executive Secretariat. formal oral presentations should notify notice announces that the Advisory [FR Doc. 2019–19035 Filed 9–3–19; 8:45 am] the contact person and submit a brief Committee on Training in Primary Care BILLING CODE 4165–15–P

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DEPARTMENT OF HEALTH AND result from issues related to insulin that DEPARTMENT OF HEALTH AND HUMAN SERVICES represent a significant disease burden in HUMAN SERVICES the United States, which may include Meeting of the National Clinical Care complications due to such diseases. Meeting of the National Vaccine Commission Advisory Committee The inaugural meeting of the AGENCY: Office of Disease Prevention Commission was held on October 31, AGENCY: Department of Health and and Health Promotion, Office of the 2018, during which non-federal Human Services, Office of the Secretary, Assistant Secretary for Health, Office of Commission members were sworn-in, Office of the Assistant Secretary for the Secretary, Department of Health and and various federal interagency efforts Health, Office of Infectious Disease Human Services. surrounding diabetes program were Policy. ACTION: Notice. presented. This virtual meeting will ACTION: Notice. consist of an update on the Data Call to SUMMARY: SUMMARY: As stipulated by the Federal The National Clinical Care federal agencies and Commission Commission (the Commission) will Advisory Committee Act, the discussion on key topics for secondary conduct a virtual meeting on September Department of Health and Human research in support of the Report to 27, 2019. The Commission is charged to Services is hereby giving notice that a evaluate and make recommendations to Congress. meeting is scheduled to be held for the the U.S. Department of Health and The final meeting agenda will be National Vaccine Advisory Committee Human Services (HHS) Secretary and available prior to the meeting at https:// (NVAC). The meeting will be open to Congress regarding improvements to the health.gov/hcq/national-clinical-care- the public; public comment sessions coordination and leveraging of federal commission.asp. will be held during the meeting. programs related to awareness and Public Participation at Meeting: The DATES: The meeting will be held on clinical care for complex metabolic or Commission invites public comment on September 17 and 18, 2019. The autoimmune diseases that result from issues related to the Commission’s meeting times and agenda will be issues related to insulin that represent a charge. There will be no opportunity for posted on the NVAC website at https:// significant disease burden in the United oral comments at this virtual meeting. www.hhs.gov/vaccines/nvac/meetings/ States, which may include Written comments are welcome index.html as soon as they become complications due to such diseases. throughout the entire development available. DATES: The meeting will take place on process of the Commission’s ADDRESSES: U.S. Department of Health September 27, 2019, from 2:00 p.m. to recommendation and may be emailed to and Human Services, Hubert H. approximately 5:30 p.m. Eastern Time [email protected], or by mail to the Humphrey Building, The Great Hall, (ET). following address: Public Commentary, 200 Independence Avenue SW, ADDRESSES: The meeting will be held National Clinical Care Commission, Washington, DC 20201. online via webinar. To register to attend 1101 Wootton Parkway, Suite LL–100, The meeting can also be accessed the meeting, please visit the registration Rockville, MD 20852. Written comments through a live webcast on both days of the meeting. For more information, visit website at https:// should not exceed three pages in length. kauffmaninc.adobeconnect.com/nccc_ https://www.hhs.gov/webforms/nvac/ sept_2019/event/event_info.html. To virtually attend the Commission index.html. meeting, individuals must pre-register at FOR FURTHER INFORMATION CONTACT: Pre-registration is required for Clydette Powell, Designated Federal the registration website at https:// members of the public who wish to kauffmaninc.adobeconnect.com/nccc_ attend the meeting and who wish to Officer, National Clinical Care _ _ Commission, U.S. Department of Health sept 2019/event/event info.html. participate in a public comment session. and Human Services, Office of the Individuals who need special Individuals who wish to attend the Assistant Secretary for Health, Office of assistance, such as sign language meeting and/or participate in a public Disease Prevention and Health interpretation or other reasonable comment session should register at Promotion, 1101 Wootton Parkway, accommodations, should indicate the https://www.hhs.gov/webforms/nvac/ index.html. Participants may also Suite LL–100, Rockville, MD 20852, special accommodation when register by emailing [email protected] or by telephone: 240–453–8239, Email: OHQ@ registering online or by notifying hhs.gov. Additional information may be calling (202) 795–7697 and providing Jennifer Gillissen at jennifer.gillissen@ their name, organization, and email obtained at https://health.gov/hcq/ kauffmaninc.com by September 20. national-clinical-care-commission.asp. address. Authority: The National Clinical Care SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: Ann The Commission is required under the National Clinical Care Commission Act Aikin, Acting Designated Federal National Clinical Care Commission Act (Pub. L. 115–80) requires the HHS Officer, Office of Infectious Disease (Pub. L. 115–80). The Commission is Secretary to establish the National Policy, U.S. Department of Health and Clinical Care Commission. The governed by provisions of the Federal Human Services, Room L001, Switzer Commission consists of representatives Advisory Committee Act (FACA), Public Building, 330 C Street SW, Washington, of specific federal agencies and non- Law 92–463, as amended (5 U.S.C., DC 20201. Phone: (202) 795–7697; federal individuals and entities who App.) which sets forth standards for the email: [email protected]. represent diverse disciplines and views. formation and use of federal advisory SUPPLEMENTARY INFORMATION: Pursuant The Commission will evaluate and committees. to Section 2101 of the Public Health make recommendations to the HHS Dated: August 20, 2019. Service Act (42 U.S.C. 300aa–1), the Secretary and Congress regarding Donald Wright, Secretary of Health and Human Services improvements to the coordination and was mandated to establish the National Deputy Assistant Secretary for Health. leveraging of federal programs related to Vaccine Program to achieve optimal awareness and clinical care for complex [FR Doc. 2019–18953 Filed 9–3–19; 8:45 am] prevention of human infectious diseases metabolic or autoimmune diseases that BILLING CODE 4150–32–P through immunization and to achieve

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optimal prevention against adverse DEPARTMENT OF HEALTH AND provisions set forth in sections reactions to vaccines. The NVAC was HUMAN SERVICES 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., established to provide advice and make as amended. The grant applications recommendations to the Director of the National Institutes of Health and/or contract proposals and the National Vaccine Program on matters National Institute of Allergy and discussions could disclose confidential related to the Program’s responsibilities. Infectious Diseases Notice of Closed trade secrets or commercial property The Assistant Secretary for Health Meeting such as patentable material, and serves as Director of the National personal information concerning Vaccine Program. Pursuant to section 10(d) of the individuals associated with the grant Federal Advisory Committee Act, as During the September 2019 NVAC applications and/or contract proposals, amended, notice is hereby given of the the disclosure of which would meeting, sessions will consist of following meeting. presentations on immunization equity, constitute a clearly unwarranted The meeting will be closed to the invasion of personal privacy. immunity, vaccines for small public in accordance with the populations and uncommon diseases, provisions set forth in sections Name of Committee: National Institute of and influenza safety monitoring, and 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Allergy and Infectious Diseases Special evidence-based tools for improving as amended. The grant applications and Emphasis Panel; NIAID 2019 Omnibus BAA influenza vaccination efforts. Please the discussions could disclose (HHS–NIH–NIAID–BAA2019–1) Research note that agenda items will be related to confidential trade secrets or commercial Area 003: Advanced Development of Vaccine the charges of the Committee and are property such as patentable material, Candidates for Antibiotic Resistant Bacteria. subject to change as priorities dictate. and personal information concerning Date: September 18, 2019. Information on the final meeting agenda individuals associated with the grant Time: 10:00 a.m. to 4:30 p.m. will be posted prior to the meeting on applications, the disclosure of which Agenda: To review and evaluate contract proposals. the NVAC website: https:// would constitute a clearly unwarranted Place: National Institutes of Health, 5601 www.hhs.gov/vaccines/nvac/meetings/ invasion of personal privacy. Fishers Lane, Rockville, MD 20892 index.html. Name of Committee: Microbiology, (Telephone Conference Call). Infectious Diseases and AIDS Initial Review Public attendance at the meeting is Contact Person: Reed Solomon Shabman, Group; Microbiology and Infectious Diseases limited to the available space. B Subcommittee MID–B Chartered Ph.D., Scientific Review Officer, Scientific Individuals who plan to attend in Committee. Review Program, DEA/NIAID/NIH/DHHS, person and need special assistance, Date: September 24–25, 2019. 5601 Fishers Lane, MSC–9823, Rockville, MD such as sign language interpretation or Time: 9:00 a.m. to 6:00 p.m. 20852, 301–761–6433, reed.shabman@ other reasonable accommodations, Agenda: To review and evaluate grant nih.gov. should notify the Office of Infectious applications. Name of Committee: National Institute of Place: Residence Inn Bethesda, 7335 Allergy and Infectious Diseases Special Disease Policy at the address/phone Wisconsin Avenue, Bethesda, MD 20814. number listed above at least one week Contact Person: Ellen S. Buczko, Ph.D., Emphasis Panel; NIAID SBIR Phase II prior to the meeting. For those unable to Scientific Review Officer, Scientific Review Clinical Trial Implementation Cooperative attend in person, a live webcast will be Program, Division of Extramural Activities, Agreement (U44), Clinical Trial available. More information on National Institutes of Health/NIAID, 6700B Implementation Cooperative Agreement Rockledge Drive, MSC 7616, Bethesda, MD (U01), and Clinical Trial Planning Grant registration and accessing the webcast 20892–7616, 301–451–2676, ebuczko1@ (R34). can be found at https://www.hhs.gov/ niaid.nih.gov. Date: September 24, 2019. vaccines/nvac/meetings/index.html. (Catalogue of Federal Domestic Assistance Time: 10:00 a.m. to 4:00 p.m. Members of the public will have the Program Nos. 93.855, Allergy, Immunology, Agenda: To review and evaluate grant opportunity to provide comments at the and Transplantation Research; 93.856, applications. Microbiology and Infectious Diseases Place: National Institutes of Health, 5601 NVAC meeting during the public Research, National Institutes of Health, HHS) comment periods designated on the Fishers Lane, Rockville, MD 20892 agenda. Public comments made during Dated: August 28, 2019. (Telephone Conference Call). the meeting will be limited to three Tyeshia M. Roberson, Contact Person: Yong Gao, Ph.D., Scientific minutes per person to ensure time is Program Analyst, Office of Federal Advisory Review Officer, Scientific Review Program, Committee Policy. allotted for all those wishing to speak. Division of Extramural Activities, Room Individuals are also welcome to submit [FR Doc. 2019–18960 Filed 9–3–19; 8:45 am] #3G13B, National Institutes of Health/NIAID, 5601 Fishers Lane, MSC 9823, Rockville, MD their written comments. Written BILLING CODE 4140–01–P 20892–7616, (240) 669–5048, gaoL2@ comments should not exceed three niaid.nih.gov. pages in length. Individuals submitting DEPARTMENT OF HEALTH AND (Catalogue of Federal Domestic Assistance written comments should email their HUMAN SERVICES Program Nos. 93.855, Allergy, Immunology, comments to the Office of Infectious and Transplantation Research; 93.856, National Institutes of Health Disease Policy ([email protected]) at least Microbiology and Infectious Diseases five business days prior to the meeting. National Institute of Allergy and Research, National Institutes of Health, HHS) Dated: August 16, 2019. Infectious Diseases Notice of Closed Dated: August 28, 2019. Ann Aikin, Meetings Tyeshia M. Roberson, Acting Designated Federal Officer, Office of Pursuant to section 10(d) of the Program Analyst, Office of Federal Advisory Infectious Disease and HIV/AIDS Policy. Federal Advisory Committee Act, as Committee Policy. [FR Doc. 2019–19201 Filed 9–3–19; 8:45 am] amended, notice is hereby given of the [FR Doc. 2019–18959 Filed 9–3–19; 8:45 am] BILLING CODE 4150–44–P following meetings. BILLING CODE 4140–01–P The meetings will be closed to the public in accordance with the

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DEPARTMENT OF HEALTH AND Dated: August 28, 2019. DEPARTMENT OF HEALTH AND HUMAN SERVICES Melanie J. Pantoja, HUMAN SERVICES Program Analyst, Office of Federal Advisory National Institutes of Health Committee Policy. National Institutes of Health National Cancer Institute Notice of [FR Doc. 2019–18956 Filed 9–3–19; 8:45 am] National Institute of General Medical Closed Meetings BILLING CODE 4140–01–P Sciences Notice of Closed Meeting

Pursuant to section 10(d) of the Pursuant to section 10(d) of the Federal Advisory Committee Act, as DEPARTMENT OF HEALTH AND Federal Advisory Committee Act, as amended, notice is hereby given of the HUMAN SERVICES amended, notice is hereby given of the following meetings. following meeting. National Institutes of Health The meeting will be closed to the The meetings will be closed to the public in accordance with the public in accordance with the Center for Scientific Review Notice of provisions set forth in sections provisions set forth in sections Closed Meeting 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and as amended. The grant applications and Pursuant to section 10(d) of the the discussions could disclose the discussions could disclose Federal Advisory Committee Act, as confidential trade secrets or commercial confidential trade secrets or commercial amended, notice is hereby given of the property such as patentable material, property such as patentable material, following meeting. and personal information concerning and personal information concerning individuals associated with the grant The meeting will be closed to the individuals associated with the grant applications, the disclosure of which public in accordance with the applications and/or contract proposals, would constitute a clearly unwarranted the disclosure of which would provisions set forth in sections invasion of personal privacy. constitute a clearly unwarranted 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and Name of Committee: National Institute of invasion of personal privacy. General Medical Sciences Special Emphasis the discussions could disclose Name of Committee: National Cancer Panel; Review of NIGMS INBRE Grant Institute Special Emphasis Panel; Cancer confidential trade secrets or commercial Applications. Informatics. property such as patentable material, Date: October 18, 2019. Date: November 7–8, 2019. and personal information concerning Time: 8:00 a.m. to 5:00 p.m. Time: 6:00 p.m. to 5:00 p.m. individuals associated with the grant Agenda: To review and evaluate grant Agenda: To review and evaluate grant applications, the disclosure of which applications. Place: Hyatt Regency Bethesda, One applications. would constitute a clearly unwarranted Place: Bethesda North Marriott Hotel & Bethesda Metro Center, 7400 Wisconsin Conference Center, Montgomery County invasion of personal privacy. Avenue, Bethesda, MD 20814. Conference Center Facility, 5701 Marinelli Name of Committee: Brain Disorders and Contact Person: Ruth Grossman, Ph.D., Road, North Bethesda, MD 20852. Clinical Neuroscience Integrated Review Scientific Review Officer, Office of Scientific Review, National Institute of General Medical Contact Person: Reed A. Graves, Ph.D., Group; Clinical Neuroplasticity and Scientific Review Officer, 9609 Medical Sciences, National Institutes of Health, 45 Neurotransmitters Study Section. Center Drive, Room 3AN18, Bethesda, MD Center Drive, Room 7W264, Division of Date: October 1–2, 2019. Extramural Activities, Research Technology 20892, (301) 435–2409, grossmanrs@ Time: 8:00 a.m. to 5:00 p.m. and Contract Review Branch, National mail.nih.gov. Cancer Institute, NIH, Rockville, MD 20850, Agenda: To review and evaluate grant (Catalogue of Federal Domestic Assistance (240) 276–6384, [email protected]. applications. Program Nos. 93.375, Minority Biomedical Place: Hyatt Regency Bethesda, One Name of Committee: National Cancer Research Support; 93.821, Cell Biology and Institute Initial Review Group; Subcommittee Bethesda Metro Center, 7400 Wisconsin Biophysics Research; 93.859, Pharmacology, I—Transition to Independence SEP. Avenue, Bethesda, MD 20814. Physiology, and Biological Chemistry Date: November 19, 2019. Contact Person: Suzan Nadi, Ph.D., Research; 93.862, Genetics and Time: 11:00 a.m. to 4:00 p.m. Scientific Review Officer, Center for Developmental Biology Research; 93.88, Agenda: To review and evaluate grant Scientific Review, National Institutes of Minority Access to Research Careers; 93.96, applications. Health, 6701 Rockledge Drive, Room 5217B, Special Minority Initiatives; 93.859, Biomedical Research and Research Training, Place: National Cancer Institute Shady MSC 7846, Bethesda, MD 20892, 301–435– National Institutes of Health, HHS) Grove, 9609 Medical Center Drive, Room 1259, [email protected]. 7W602, Rockville, MD 20850 (Telephone (Catalogue of Federal Domestic Assistance Dated: August 27, 2019. Conference Call). Miguelina Perez, Contact Person: Delia Tang, M.D., Program Nos. 93.306, Comparative Medicine; Scientific Review Officer, Research Programs 93.333, Clinical Research, 93.306, 93.333, Program Analyst, Office of Federal Advisory Review Branch, Division of Extramural 93.337, 93.393–93.396, 93.837–93.844, Committee Policy. Activities, National Cancer Institute. NIH, 93.846–93.878, 93.892, 93.893, National [FR Doc. 2019–18961 Filed 9–3–19; 8:45 am] 9609 Medical Center Drive, Room 7W602 Institutes of Health, HHS) BILLING CODE 4140–01–P MSC 9750, Bethesda, MD 20892, (240) 276– Dated: August 28, 2019. 6456, [email protected]. (Catalogue of Federal Domestic Assistance Tyeshia M. Roberson, DEPARTMENT OF HEALTH AND Program Nos. 93.392, Cancer Construction; Program Analyst, Office of Federal Advisory HUMAN SERVICES 93.393, Cancer Cause and Prevention Committee Policy. Research; 93.394, Cancer Detection and [FR Doc. 2019–18955 Filed 9–3–19; 8:45 am] National Institutes of Health Diagnosis Research; 93.395, Cancer BILLING CODE 4140–01–P Treatment Research; 93.396, Cancer Biology National Institute on Aging Notice of Research; 93.397, Cancer Centers Support; Closed Meeting 93.398, Cancer Research Manpower; 93.399, Cancer Control, National Institutes of Health, Pursuant to section 10(d) of the HHS) Federal Advisory Committee Act, as

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amended, notice is hereby given of the Name of Committee: National Institute on 2019. This process is conducted in following meeting. Aging Special Emphasis Panel; T35 Review. accordance with 5 CFR 1320.1. The meeting will be closed to the Date: October 28, 2019. Time: 12:00 p.m. to 4:00 p.m. ADDRESSES: You may submit comments, public in accordance with the Agenda: To review and evaluate grant identified by docket number Docket provisions set forth in sections applications. Number DHS–2019–0043, at: 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Place: National Institute on Aging, Æ Federal eRulemaking Portal: http:// as amended. The grant applications and Gateway Building, 7201 Wisconsin Avenue, www.regulations.gov. Please follow the the discussions could disclose Suite 2W200, Bethesda, MD 20892 instructions for submitting comments. confidential trade secrets or commercial (Telephone Conference Call). Contact Person: Birgit Neuhuber, Ph.D., The draft supporting statement for this property such as patentable material, new collection is posted in the docket and personal information concerning Scientific Review Officer, Scientific Review Branch, National Institute on Aging, 7201 for review. individuals associated with the grant Wisconsin Avenue, Gateway Building, Suite Instructions: All submissions received applications, the disclosure of which 2W200, Bethesda, MD 20892, 301–480–1266, must include the agency name and would constitute a clearly unwarranted [email protected]. docket number Docket Number DHS– invasion of personal privacy. (Catalogue of Federal Domestic Assistance 2019–0043. All comments received will Name of Committee: National Institute on Program Nos. 93.866, Aging Research, be posted without change to http:// National Institutes of Health, HHS) Aging Special Emphasis Panel; Biomarkers of www.regulations.gov, including any Aging. Dated: August 27, 2019. personal information provided. Date: September 19, 2019. Miguelina Perez, Time: 11:00 a.m. to 5:00 p.m. Docket: For access to the docket to Program Analyst, Office of Federal Advisory Agenda: To review and evaluate grant read background documents or Committee Policy. applications. comments received, go to http:// Place: National Institute on Aging, [FR Doc. 2019–18958 Filed 9–3–19; 8:45 am] www.regulations.gov. Gateway Building, 7201 Wisconsin Avenue, BILLING CODE 4140–01–P Suite 2W200, Bethesda, MD 20892 SUPPLEMENTARY INFORMATION: (Telephone Conference Call). Background Contact Person: Alicja L. Markowska, DEPARTMENT OF HOMELAND Executive Order (E.O.) 13780, Ph.D., Scientific Review Officer, Scientific SECURITY Review Branch, National Institute on Aging, ‘‘Protecting the Nation from Foreign National Institutes of Health, Gateway [Docket Number DHS–2019–0043] Terrorist Entry into the United States’’ Building 2C212, 7201 Wisconsin Avenue, requires the implementation of uniform Bethesda, MD 20892, 301.402.7706, Agency Information Collection vetting standards and the proper [email protected]. Activities: Generic Clearance for the collection of all information necessary (Catalogue of Federal Domestic Assistance Collection of Certain Information on for a rigorous evaluation of all grounds Program Nos. 93.866, Aging Research, Immigration and Foreign Travel Forms of inadmissibility or bases for the denial National Institutes of Health, HHS) AGENCY: Department of Homeland of immigration-related benefits. See 82 Dated: August 27, 2019. Security (DHS). FR 13209 (Mar. 9, 2017). The E.O. Miguelina Perez, ACTION: 60-Day notice and request for requires the Department of Homeland Program Analyst, Office of Federal Advisory comments; new collection, 1601–NEW. Security (DHS) to collect standard data Committee Policy. on immigration and foreign traveler [FR Doc. 2019–18957 Filed 9–3–19; 8:45 am] SUMMARY: The Department of Homeland forms and/or information collection BILLING CODE 4140–01–P Security (DHS) invites the general systems. This data will be collected public and other Federal agencies to from certain populations on comment upon this proposed new applications for entrance into the DEPARTMENT OF HEALTH AND collection of information. In accordance United States or immigration-related HUMAN SERVICES with the Paperwork Reduction Act of benefits and is necessary for identity 1995, the information collection notice verification, vetting and national National Institutes of Health is published in the Federal Register to security screening and inspection conducted by DHS. National Institute on Aging Notice of obtain comments regarding proposed Closed Meeting modifications to certain DHS This collection of information is immigration and foreign travel forms. necessary to comply with Section 5 of Pursuant to section 10(d) of the This collection of information is the E.O. to establish screening and Federal Advisory Committee Act, as necessary to comply with Section 5 of vetting standards and procedures to amended, notice is hereby given of the the Executive Order (E.O.) 13780, enable DHS to assess an alien’s following meeting. ‘‘Protecting the Nation from Foreign eligibility to travel to or be admitted to The meeting will be closed to the Terrorist Entry into the United States’’ the United States or to receive an public in accordance with the to establish screening and vetting immigration-related benefit from DHS. provisions set forth in sections standards and procedures to enable DHS This data collection also is used to 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., to assess an alien’s eligibility to travel validate an applicant’s identity as amended. The grant applications and to or be admitted to the United States information and to determine whether the discussions could disclose or to receive an immigration-related such travel or grant of a benefit poses a confidential trade secrets or commercial benefit from DHS. This data collection law enforcement or national security property such as patentable material, also is used to validate an applicant’s risk to the United States. and personal information concerning identity information and to determine DHS will collect biographic individuals associated with the grant whether such travel or grant of a benefit information on immigration and foreign applications and/or contract proposals, poses a law enforcement or national traveler information collection the disclosure of which would security risk to the United States. instruments and systems. DHS will constitute a clearly unwarranted DATES: Comments are encouraged and update its forms and systems to collect invasion of personal privacy. will be accepted until November 4, information from individuals who seek

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admissibility or other benefits when that 1. Country of issuance of data through this form is authorized information is not already collected. 2. Issue date by INA section 104(a) (8 U.S.C. 1104(a)). 3. Expiration date The authorities for the maintenance of New Information To Be Collected The following eight (8) data elements this system are found in: Title IV of the U.S. Government departments and are used to provide official Homeland Security Act of 2002, 6. agencies involved in screening and correspondence from CBP or USCIS to U.S.C. 201 et seq., the Immigration and vetting, to include DHS, identified 15 an applicant. They are also used as National Act, as amended, including data elements that would constitute a secondary data elements to confirm a sections 103 (8 U.S.C. 1103), 214 (8 new baseline threshold of data to be subject’s identity as it relates to the U.S.C. 1184), 215 (8 U.S.C. 1185), and collected for identity verification and submitted application and to DHS 221 (8 U.S.C. 1201); 8 CFR part 2; the national security vetting. For DHS, these historic records. They are also used Travel Promotion Act of 2009, Public data elements will be added to certain internally by CBP, USCIS, and screening Law 111–145, 22 U.S.C. 2131; and 8 immigration benefit request or traveler partners to confirm or disprove an CFR parts 212, 214, 215, and 273. forms where the information was not association between an applicant and DHS plans to collect the new data already collected. The 15 core data information of interest and the strength elements for nine programs elements are as follows: of that association in the context of the administered by U.S. Citizenship and The following six (6) data elements underlying information. Immigration Services (USCIS). The nine are biographic identifiers used to 8. Telephone Number(s) USCIS programs, and the applicable confirm both a subject’s identity as it 9. Email address(es) statutory and regulatory authorities to relates to the submitted application and 10. U.S. Address: Residence or collect the additional information area to DHS historic records. These Destination city as follows: biographic identifiers are also used 11. U.S. Address: Residence or USCIS has the following statutory and internally by U.S. Customs and Border Destination state regulatory authorities to collect Protection (CBP) and U.S. Citizenship 12. Foreign Address city additional biographic data information and Immigration Services (USCIS) and 13. Foreign Address state on the following forms: screening partners to confirm or 14. U.S. Point of Contact Name, if • OMB No. 1615–0052—Form N–400, disprove an association between an applicant is located outside of the Application for Naturalization: applicant and information of interest United States Collection of data through this form is and the strength of that association in 15. U.S. Point of Contact Telephone authorized by INA section 337 [8 U.S.C. the context of the underlying Number, if applicant is located 1448]; 8 U.S.C. 1421; 8 CFR 316.4 and information. outside of the United States 8 CFR 316.10. 1. Name • OMB No. 1615–0013—Form I–131, Programs Affected, OMB Control 2. Sex/Gender Application for Travel Document: Numbers and Legal Authorities for the 3. Date of Birth Collection of data through this form is Collections 4. City/Region and Country of Birth authorized by INA sections 103, 208, 5. Country/Countries of Citizenship DHS plans to collect the data 212, 223 and 244; 8 CFR 103.2(a) and 6. Country of Residence elements for three programs/forms (e); 8 CFR 208.6; 8 CFR 244.16; Section The following data element is a administered by U.S. Customs and 303 of Public Law 107–173. unique numeric identifier issued to a Border Protection (CBP). The three CBP • OMB No. 1615–0017—Form I–192, single individual that DHS uses to programs/forms, and the applicable Application for Advance Permission to confirm both a person’s identity and for statutory and regulatory authorities to Enter as a Nonimmigrant: Collection of DHS records. It is also used internally collect the additional information are as data through this form is authorized by by CBP, USCIS, and screening partners follows: INA 212 [8 U.S.C. 1182]. to find, confirm, or disprove an • OMB No. 1651–0111—Electronic • OMB No. 1615–0023—Form I–485, association between an applicant, the System for Travel Authorization Application to Register Permanent strength of that association, or to (ESTA): Collection of data through this Residence or Adjust status: Collection of provide other information about the form is authorized by Section 711 of data through this form is authorized by person that may be important in the The Secure Travel and Counterterrorism INA section 245, 8 U.S.C. 1255, Public adjudication. Applicants will be asked Partnership Act of 2007 (part of the Law 106–429, and section 902 of Public to provide current passport/travel/ Implementing Recommendations of the Law 105–277. national identity document information, 9/11 Commission Act of 2007, also • OMB No. 1615–0067—Form I–589, country of issuance; issue date and known as the ‘‘9/11 Act,’’ Pub. L. 110– Application for Asylum and for expiration date, as applicable. Other 53). The authorities for the maintenance Withholding of Removal: Collection of DHS forms request more information on of this system are found in: Title IV of data through this form is authorized by passports or travel documents to the Homeland Security Act of 2002, 6 INA sections 101(a)(42), 208(a) and (b), include expired documents and U.S.C. 201 et seq., the Immigration and and 241(b)(3) and 8 CFR 208.6 and passports containing a U.S. visa. The Nationality Act, as amended, including 1208.6. questions related to passport 8 U.S.C. 1187(a)(11) and (h)(3); 8 CFR • OMB No. 1615–0068—Form I–590, information requested depend on part 217; the Travel Promotion Act of Registration for Classification as benefit eligibility and national security 2009, Public Law 111–145, 22 U.S.C. Refugee: This information collection is needs. If additional information is 2131. authorized by INA section 207 (8 U.S.C. needed for this data element, DHS will • OMB No. 1651–0111—Form I–94W, 1157) for a person who seeks refugee revise the applicable OMB approved Nonimmigrant Visa Waiver Arrival/ classification and resettlement in the information collection under the form’s Departure Record: Collection of data United States. A refugee is defined in 8 control number and not add the through this form is authorized by 8 U.S.C. 1101(a)(42) and Section additional questions using this generic U.S.C. 1103, 1187 and 8 CFR 235.1, 264, 101(a)(42) of the Act. approval. and 1235.1. • OMB No. 1615–0037—Form I–730, 7. Passport/Travel Document or • OMB No. 1651–0139—Electronic Refugee/Asylee Relative Petition: This National ID Visa Update System (EVUS): Collection information collection is authorized by

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section 207(c)(2), and 208(c) of the INA • DHS Instruction 047–01–001, review and approval as required by the (8 U.S.C. 1157 and 1158) for an asylee ‘‘Privacy Policy and Compliance’’ (July Paperwork Reduction Act. This new or refugee to request accompanying or 25, 2011). collection is to meet the intent of E.O. following-to-join benefits for his or her • Privacy Policy Guidance 13780 (Section 5) to establish screening spouse and unmarried minor child(ren). Memorandum 2008–01/Privacy Policy and vetting standards to assess an • OMB No. 1615–0038—Form I–751, Directive 140–06, ‘‘The Fair Information alien’s eligibility to travel to, be Petition to Remove Conditions on Practice Principles: Framework for admitted to, or receive an immigration- Residence: Collection of data through Privacy Policy at the Department of related benefit from DHS. This this form is authorized by INA section Homeland Security.’’ (December 29, information will be used to validate an 216, 8 U.S.C. 1186(a); 8 CFR part 216. 2008). applicant’s identity and determine • • OMB No. 1615–0045—Form I–829, Privacy Policy Guidance whether entry to the U.S. or an Petition by Entrepreneur to Remove Memorandum 2017–01, DHS Privacy immigration benefit for an individual Conditions on Permanent Resident Policy Regarding Collection, Use, poses a law enforcement or national Status: Collection of data through this Retention, and Dissemination of security risk to the United States. form is authorized by INA section Personally Identifiable Information. DHS is particularly interested in 203(b)(5), 8 U.S.C. 1153, and INA (April 25, 2017). comments which: • Refugees and asylees are protected 1. Evaluate whether the proposed section 216(a),8 U.S.C. 1186(b)]. by the confidentiality provisions of 8 collection of information is necessary Applicant information is collected to CFR 208.6; 8 U.S.C. 1103. Aliens in TPS for the proper performance of the maintain a record of persons applying status have the confidentiality functions of the agency, including for specific immigration and other travel protections described in 8 CFR 244.16; whether the information will have benefits, and to determine whether 8 U.S.C. 1254a(c)(6). There are no practical utility; these applicants are eligible to receive confidentiality assurances for other 2. Evaluate the accuracy of the the benefits for which they are applying. aliens applying for the benefit. agency’s estimate of the burden of the The information provided through DHS • The system of record notices proposed collection of information, forms is also analyzed—along with associated with this information including the validity of the other information that the Secretary of collection are: methodology and assumptions used; Homeland Security determines is Æ DHS/USCIS/ICE/CBP–001—Alien 3. Enhance the quality, utility, and necessary, including information about File, Index, and National File Tracking clarity of the information to be other persons included on the DHS System of Records, September 18, 2017, collected; and forms —against various security and law 82 FR 43556 (all USCIS forms). 4. Minimize the burden of the enforcement databases to identify those Æ DHS/USCIS–007—Benefits collection of information on those who applicants who may pose a security risk Information System, October 19, 2016, are to respond, including through the to the United States. To obtain approval 81 FR 72069 (Forms N–400, I–131, I– use of appropriate automated, for a collection that meets the 192, I–485, I–590, I–730, I–751, I–829). electronic, mechanical, or other conditions of this generic clearance, a Æ DHS/USCIS–010—Asylum technological collection techniques or standardized form will be submitted to Information and Pre-Screening System other forms of information technology, OMB along with supporting of Records November 30, 2015, 80 FR e.g., permitting electronic submissions documentation (e.g., a copy of the 74781 (Form I–589). of responses. updated application form). OMB will Æ DHS/CBP–006—Automated grant approval only if the agency Targeting System, May 22, 2012, 77 FR Analysis demonstrates the collection of 30297 (Form I–192). Agency: Department of Homeland information complies with the specific Æ DHS/USCIS–017—Refugee Case Security DHS. circumstances laid out in this Processing and Security Screening Title: Generic Clearance for the supporting statement. Information System of Records October Collection of Certain Information on 19, 2016, 81 FR 72075 (Forms I–730). Immigration and Foreign Travel Forms. Confidentiality Æ DHS/CBP—Electronic Visa Update OMB Number: 1601–NEW. No assurance of confidentiality is System (EVUS) System of Records, Frequency: On Occasion. provided. All data submitted under this September 1, 2016, 81 FR 60371 (EVUS Affected Public: Individuals. Number of Respondents: 30,069,230. collection will be handled in Form); Final Rule for Privacy Exemptions, November 25, 2016, 81 FR Estimated Time per Respondent: .401. accordance with applicable U.S. laws Total Burden Hours: 12,058,798. and DHS policies regarding personally 85105. identifiable information. Æ DHS/CBP–009—Electronic System Melissa Bruce, • Public Law 107–347, ‘‘E- for Travel Authorization (ESTA), Executive Director, Business Management Government Act of 2002,’’ as amended, September 2, 2016, 81 FR 60713 (ESTA Office. Section 208 [44 U.S.C. 3501 note]. Form); Final Rule for Privacy Act [FR Doc. 2019–19020 Filed 9–3–19; 8:45 am] • Title 5, United States Code (U.S.C.), Exemptions, August 31, 2009 74 FR BILLING CODE 9110–9B–P Section 552a, ‘‘Records maintained on 45069. Æ DHS/CBP–016—Nonimmigrant individuals’’ [The Privacy Act of 1974, Information System March 13, 2015, 80 as amended]. DEPARTMENT OF HOMELAND • FR 13398 (Form I–94W). SECURITY Title 6, U.S.C., Section 142, Æ DHS/USCIS–015—Electronic ‘‘Privacy officer.’’ Immigration System-2 Account and [Docket No. CISA–2019–0013] • Title 44, U.S.C., Chapter 35, Case Management System of Records CISA Reporting Forms Subchapter II, ‘‘Information Security’’ April 5, 2013 78 FR 20673 (Form I–131). [The Federal Information Security This is a new generic clearance. This AGENCY: Cybersecurity Division (CSD), Modernization Act of 2014 (FISMA)]. request will be submitted to the Office Cybersecurity and Infrastructure • DHS Directive 047–01, ‘‘Privacy of Management and Budget, Office of Security Agency (CISA), Department of Policy and Compliance’’ (July 25, 2011). Information and Regulatory Affairs for Homeland Security (DHS).

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ACTION: 60-Day notice and request for cybersecurity and communications with CISA regarding information comments; revision, 1670–0037. integration center to function as ‘‘a security incidents involving the Federal civilian interface for the multi- information and information systems SUMMARY: DHS CISA CSD will submit directional and cross-sector sharing of (managed by a federal agency, the following Information Collection information related to cyber threat contractor, or other source) that support Request (ICR) to the Office of indicators, defensive measures, the operations and assets of the agency. Management and Budget (OMB) for cybersecurity risks, incidents, analysis, Additional entities report incident review and clearance in accordance and warnings for Federal and non- information to CISA voluntarily. with the Paperwork Reduction Act of Federal entities.’’ 6 U.S.C. 659(c)(1). The CISA’s website (at US–CERT.gov) is a 1995. Federal Information Security primary tool used by constituents to DATES: Comments are encouraged and Modernization Act of 2014 (FISMA) report incident information, access will be accepted until November 4, establishes a federal information information sharing products and 2019. security incident center, and requires services, and interact with CISA. the Department to operate it. 44 U.S.C. ADDRESSES: You may submit comments, Constituents, which may include 3556(a). identified by docket number CISA– anyone or any entity in the public, use The Cybersecurity and Infrastructure 2019–0013, by one of the following forms located on the website to Security Agency (CISA) operates the complete these activities. methods: federal information security incident • Federal eRulemaking Portal: http:// By accepting incident reports and center. Through this center, FISMA www.regulations.gov. Please follow the feedback, and interacting among federal requires the Department to provide instructions for submitting comments. agencies, industry, the research • Email: [email protected]. technical assistance and guidance on community, state and local detecting and handling security Please include docket number CISA– governments, and others to disseminate incidents, compile and analyze incident 2019–0013 in the subject line of the reasoned and actionable cyber security information that threatens information message. information to the public, CISA has • Mail: Written comments and security, inform agencies of current and provided a way for citizens, businesses, questions about this Information potential threats and vulnerabilities, and other institutions to communicate Collection Request should be forwarded and provide intelligence or other and coordinate directly with the Federal to DHS/CISA/CSD, ATTN: 1670–0037, information about cyber threats, Government about cybersecurity. The vulnerabilities, and incidents to 245 Murray Lane SW, Mail Stop 0613, information is collected via the agencies. 44 U.S.C. 3556(a). FISMA also Washington, DC 20598–0613. following forms: requires agencies to report information Instructions: All submissions received 1. The Incident Reporting Form, DHS security incidents, major incidents, and must include the words ‘‘Department of Cyber Threat Indicator and Defensive data breaches to the federal information Homeland Security’’ and the docket Measure Submission System and security incident center. 44 U.S.C. number for this action. Comments Malware Analysis Submission Form 3556(b) (information security incidents), received will be posted without enable end users to report incidents and 44 U.S.C. 3554(b)(7)(C)(iii)(III) (major alteration at http://www.regulations.gov, indicators as well as submit malware incidents); Public Law 113–283, 2(d) including any personal information (2014) (codified at 44 U.S.C. 3553, note artifacts associated with incidents to provided. CISA. This information is used by DHS Docket: For access to the docket and (Breaches)). The Cybersecurity Information Sharing Act of 2015 (CISA to conduct analyses and provide comments received, please go to warnings of system threats and www.regulations.gov and enter docket 2015) requires DHS, in consultation with interagency partners, to establish vulnerabilities, and to develop number CISA–2019–0013. mitigation strategies as appropriate. The Comments submitted in response to the Federal Government’s capability and process for receiving cyber threat primary purpose for the collection of this notice may be made available to the this information is to allow DHS to public through relevant websites. For indicators and defensive measures, and directs DHS to further share cyber threat contact requestors regarding their this reason, please do not include in request. your comments information of a indicators and defensive measures it receives with certain federal entities in 2. The Mail Lists Form enables end confidential nature, such as sensitive an automated and real-time manner. 6 users to subscribe to the National Cyber personal information or proprietary U.S.C. 1504(c). Awareness System’s mailing lists, information. If you send an email CISA is responsible for performing, which deliver the content of and links comment, your email address will be coordinating, and supporting response to CISA’s information sharing products. automatically captured and included as to information security incidents, which The user must provide an email address part of the comment that is placed in the may originate outside the Federal in order to subscribe or unsubscribe, public docket and made available on the community and affect users within it, or though both of these actions are internet. Please note that responses to originate within the Federal community optional. The primary purpose for the this public comment request containing and affect users outside of it. Often, collection of this information is to allow any routine notice about the therefore, the effective handling of DHS to contact requestors regarding confidentiality of the communication security incidents relies on information their request. will be treated as public comments that sharing among individual users, 3. The Cyber Security Evaluation Tool may be made available to the public industry, and the Federal Government, (CSET) Download Form, which requests notwithstanding the inclusion of the which may be facilitated by and through the name, email address, organization, routine notice. CISA. infrastructure sector, country, and FOR FURTHER INFORMATION CONTACT: Lisa Per the Federal Information Security intended use of those seeking to Barr at 703.705.6078 or at fed_ir_ Modernization Act of 2014, CISA download the CSET. All requested [email protected]. operates the Federal information fields are optional. The primary purpose SUPPLEMENTARY INFORMATION: Section security incident center for the United for the collection of this information is 2209 of the Homeland Security Act, as States federal government. Each federal to allow DHS to contact requestors amended, established a national agency is required to notify and consult regarding their request.

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In order to be responsive to an ever- 2. Evaluate the accuracy of the obtaining a REAL ID driver’s license or changing cybersecurity environment, agency’s estimate of the burden of the identification card for eligible citizens the forms may change to collect data proposed collection of information, of the Federated States of Micronesia, related to current capabilities or including the validity of the the Republic of Palau, and the Republic vulnerabilities. Standards, guidelines, methodology and assumptions used; of the Marshall Islands (collectively and requirements of the CISA are 3. Enhance the quality, utility, and known as the Freely Associated States, perpetually adapting to the volatile clarity of the information to be or FAS). cybersecurity environment. We must collected; and DATES: This designation takes effect retain the ability to update these forms 4. Minimize the burden of the September 4, 2019. as required, or we will be unable to collection of information on those who FOR FURTHER INFORMATION CONTACT: collect critical incident data in support are to respond, including through the Steve Yonkers, Director, Biometrics and of our mission. Without the necessary use of appropriate automated, Credentialing/REAL ID Program, tools and methods to collect this electronic, mechanical, or other Department of Homeland Security, information, we will be unable to technological collection techniques or Washington, DC 20528, telephone (202) effectively satisfy mission requirements other forms of information technology, 282–9708; email [email protected]. and support our stakeholders through e.g., permitting electronic submissions SUPPLEMENTARY INFORMATION: information collection, analysis, and of responses. exchange. The general scope and Title of Collection: CISA Reporting I. Background purpose of the forms will remain the Forms. A. The REAL ID Act same. OMB Control Number: 1670–0037. The REAL ID Act (the Act) was Incident reports are primarily Frequency: Annually. enacted in 2005 in response to a submitted using CISA’s Automated Affected Public: State, Local, Tribal, recommendation from the 9/11 Indicator Sharing program. Alternately, and Territorial Governments, Private Sector, and Academia. Commission to improve the security of information may be collected through forms of identification such as state- web-based electronic forms, email, or Number of Annualized Respondents: 139,125. issued driver’s licenses and telephone. Web form submission is also identification cards.1 The Act sets used as the collection method for the Estimated Time per Respondent: 0.3333 hours, 0.1667 hours, or 0.0167 minimum standards for the issuance other forms listed. These methods and production of state driver’s licenses enable individuals, private sector hours. Total Annualized Burden Hours: and identification cards in order for entities, personnel working at other federal agencies to accept those federal or state agencies, and 13,852 hours. Total Annualized Respondent documents for official purposes, which international entities, including include accessing Federal facilities, individuals, companies and other Opportunity Cost: $504,494. Total Annualized Respondent Out-of- boarding federally regulated commercial nations’ governments to submit aircraft, entering nuclear power plants, Pocket Cost: $0. information. and any other purposes the Secretary of Total Annualized Government Cost: This is a revision to an existing form. Homeland Security shall determine. The changes to the collection since the $2,100,032. B. The Compacts of Free Association previous OMB approval include: Scott Libby, Updating the name of the Agency from Deputy Chief Information Officer. The Compacts of Free Association NPPD to CISA, updating the Incident [FR Doc. 2019–19022 Filed 9–3–19; 8:45 am] (COFAs) between the United States and Reporting Form, removing the ICSJWG the Freely Associated States allow most BILLING CODE 9110–9P–P FORM, and updating the burden and citizens of the Federated States of cost estimates. Micronesia (FSM), the Republic of The Incident Reporting Form was DEPARTMENT OF HOMELAND Palau, and the Republic of the Marshall updated to add reporting options; and SECURITY Islands (RMI) to be admitted to the updated to improve user-friendliness by United States as nonimmigrants without having the form be directional. The RIN 1601–AA91 having to obtain a visa, and to changes include: Adding structured, indefinitely reside, work and study in distinct options for reporting incidents, Designation of REAL ID Identity the United States.2 major incidents, breaches, and events Documents for Citizens of the Freely Associated States; Unexpired Foreign C. REAL ID Act Modification for Freely under investigation; and adding fields to Associated States Act collect expanded information on topics Passport With an Approved Form I–94, including attack vectors, indicators of Documenting the Applicant’s Most In December 2018, President Trump compromise, communications from Recent Admission to the United States signed the REAL ID Act Modification for compromised systems, critical AGENCY Freely Associated States Act (REAL ID : Office of Strategy, Policy, and 3 infrastructure sectors, memory captures, Plans, Department of Homeland Modification Act). The REAL ID system and network logs, and Security (DHS). Modification Act authorizes states to unattributed cyber intrusions. issue full-term REAL ID-compliant ACTION: Notice designating identity driver’s licenses and identification cards This is a revised information documents for citizens of the Freely collection. Associated States applying for a REAL OMB is particularly interested in 1 The REAL ID Act of 2005—title II of division B ID driver’s license or identification card. of the Emergency Supplemental Appropriations Act comments that: for Defense, the Global War on Terror, and Tsunami 1. Evaluate whether the proposed SUMMARY: This notice announces that Relief, 2005, Public Law 109–13, 119 Stat. 231, 302 collection of information is necessary the Department of Homeland Security (May 11, 2005) (codified at 49 U.S.C. 30301 note). for the proper performance of the (DHS) is designating an unexpired 2 See Public Law 108–188 (48 U.S.C. 1921 note) (Republic of the Marshall Islands and Federated functions of the agency, including foreign passport and valid Form I–94 States of Micronesia); Public Law 99–658 (48 U.S.C. whether the information will have (Arrival-Departure Record) as acceptable 1931 and 1931 note) (Palau). practical utility; identity documentation for purposes of 3 Public Law 115–323.

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to FAS citizens admitted under the II. Designation of Identity Documents DEPARTMENT OF HOMELAND COFAs. Prior to the enactment of the for FAS Citizens SECURITY REAL ID Modification Act, FAS citizens were only eligible for temporary REAL The REAL ID regulations, at 6 CFR [Docket Number DHS–2019–0044] ID driver’s licenses and identification 37.11(c)(1)(x), authorize DHS to cards, valid during the period of the designate additional identity documents Agency Information Collection applicant’s authorized stay in the through a Federal Register notice. Activities: Generic Clearance for the United States or for one year where Pursuant to that authority, DHS is Collection of Social Media Information there is no definite end to the period of designating the following on Immigration and Foreign Travel authorized stay, which is the case for documentation as acceptable evidence Forms FAS citizens.4 The REAL ID of identity for purposes of 6 CFR AGENCY: Department of Homeland Modification Act amended the REAL ID 37.11(c)(1): Act to create a separate lawful status Security (DHS). A valid unexpired passport issued by category for FAS citizens to make them ACTION: 60-Day notice and request for eligible for full-term driver’s licenses the Republic of the Marshall Islands, the comments; new collection, 1600–NEW. and identification cards. It did not, Republic of Palau, or the Federated SUMMARY: however, address the regulatory States of Micronesia with an approved The Department of Homeland requirements regarding acceptable Form I–94,8 documenting the Security (DHS) invites the general documentation to establish identity for applicant’s most recent admission to the public and other Federal agencies to purposes of obtaining a REAL ID United States under the Compact of Free comment upon this proposed new compliant license or identification card. Association between the United States collection of information. In accordance and the nation that issued the passport. with the Paperwork Reduction Act of D. REAL ID Identity Documents for FAS 1995, the information collection notice Citizens DHS believes it is appropriate to is published in the Federal Register to designate this identity documentation The REAL ID regulations require obtain comments regarding proposed for FAS citizens given the unique applicants for REAL ID compliant modifications to certain DHS licenses or identification cards to relationship between the United States immigration and foreign travel forms. present at least one of several listed and the FAS and considering that to live This collection of information is documents for purposes of establishing and work for indefinite periods, FAS necessary to comply with Section 5 of identity.5 For nonimmigrants, these citizens are not required to obtain a visa the Executive Order (E.O.) 13780, documents could be either an unexpired or EAD, which are documents currently ‘‘Protecting the Nation from Foreign foreign passport with a valid unexpired required to establish identity for REAL Terrorist Entry into the United States’’ U.S. visa affixed, and an approved I–94 ID purposes. DHS also believes the to establish screening and vetting form; or an unexpired employment designation is consistent with the intent standards and procedures to enable DHS authorization document (EAD) issued of Congress to facilitate the issuance of to assess an alien’s eligibility to travel by DHS.6 REAL ID licenses and identification to or be admitted to the United States Under the Compacts of Free cards to FAS citizens as demonstrated or to receive an immigration-related Association between the United States by enactment of the REAL ID benefit from DHS. This data collection and the FAS, most FAS citizens are Modification Act. This accommodation also is used to validate an applicant’s eligible to be admitted to the United for FAS citizens also is consistent with identity information and to determine States as nonimmigrants without a visa, the spirit of the COFAs, although it is whether such travel or grant of a benefit and live and work in the United States not required under any provision of the poses a law enforcement or national indefinitely. As such, FAS citizens who COFAs. security risk to the United States. are lawfully living and working in the DATES: Comments are encouraged and United States under the terms of the David Pekoske, will be accepted until November 4, Compacts may not have a visa or EAD, Senior Official Performing the Duties of the 2019. This process is conducted in which would be necessary to satisfy the Deputy Secretary. accordance with 5 CFR 1320.1. identity requirements in order to obtain [FR Doc. 2019–19024 Filed 9–3–19; 8:45 am] ADDRESSES: You may submit comments, a REAL ID compliant license or BILLING CODE 9110–9M–P identified by docket number Docket # identification card.7 DHS–2019–0044, at: Æ Federal eRulemaking Portal: http:// 4 REAL ID Act § 202(c)(2)(C)(ii). 5 6 CFR 37(c)(1). www.regulations.gov. Please follow the 6 The source documents listed in 6 CFR instructions for submitting comments. 37.11(c)(1) are all acceptable, but most amended Compacts with the Federated States of The draft supporting statement for this nonimmigrants do not have access to the other Micronesia and the Republic of the Marshall new collection is posted in the docket source documents listed. They are limited to the Islands, an unexpired passport and I–94 options of an unexpired EAD, or an unexpired for review. foreign passport with a valid U.S. visa affixed with combination is acceptable evidence of identity and Instructions: All submissions received an approved Form I–94, per 6 CFR 37.11(c)(1)(v)– employment authorization. As a result, many FAS must include the agency name and (vi). Most nonimmigrants are not eligible for an citizens do not find it necessary to obtain an EAD docket number Docket #DHS–2019– EAD (because either they are not eligible to be in order to exercise their right to work in the United employed in the United States, or because they are States, although some may still find it more 0044. All comments received will be authorized for employment with a specific convenient to obtain and use an EAD for this posted without change to http:// employer incident to status and are not issued an purpose, since many employers are much more www.regulations.gov, including any EAD), but FAS nonimmigrants under the COFAs familiar with the EAD and/or the individual’s personal information provided. may apply for an EAD as evidence of their work passport may have expired. The Palau compact authorization in the United States. Docket: For access to the docket to does not include this provision, so as a practical 7 Citizens of all three FAS nations admitted under read background documents or the Compacts are authorized to work incident to matter, Palau citizens are more likely to need to comments received, go to http:// that status, i.e., they can obtain an EAD as evidence obtain an EAD in order to exercise their right to www.regulations.gov. of work authorization but do not need to obtain one work in the United States. in order to be authorized to work. Under the 8 See 8 CFR 1.4 for a definition of Form I–94. SUPPLEMENTARY INFORMATION:

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Background request to the public, is accessible and associated social media platforms Executive Order (E.O.) 13780, online to the public, is available to the used by the applicant during the past ‘‘Protecting the Nation from Foreign public by subscription or purchase, or is five years on certain immigration and Terrorist Entry into the United States’’ otherwise lawfully accessible to the foreign traveler collection instruments requires the implementation of uniform public without establishing a direct and systems identified in this vetting standards and the proper relationship (e.g., ‘‘friend’’, ‘‘follow’’, supporting statement, designated from 1 collection of all information necessary ‘‘connect’’). Social media takes many investigative and/or intelligence based 2 for a rigorous evaluation of all grounds different forms, including but not criteria. DHS is seeking this of inadmissibility or bases for the denial limited to web-based communities and information, covering the previous five of immigration-related benefits. See 82 hosted services, social networking sites, year period, to assist with identity FR 13209 (Mar. 9, 2017). The E.O. video and photo sharing sites, blogs, verification, and consistency with other requires the Department of Homeland virtual worlds, social bookmarking and U.S. Government data collections for Security (DHS) to collect standard data other emerging technologies. immigrant and non-immigrant visas. on immigration and foreign traveler This collection of information is DHS will not collect social media forms and/or information collection necessary to enable DHS to assess an passwords. DHS personnel will review systems. This data will be collected alien’s eligibility to travel to or be information on social media platforms from certain populations on admitted to the United States or to in a manner consistent with the privacy applications for entrance into the receive an immigration-related benefit settings the applicant has chosen to United States or immigration-related from DHS. DHS currently uses publicly adopt for those platforms. Only that benefits and is necessary for identity available social media information to information which the account holder verification, vetting and national support its vetting and adjudication has allowed to be shared publicly will security screening and inspection programs, and to supplement other be viewable by DHS. conducted by DHS. information and tools that DHS trained DHS is committed to upholding the This collection of information is personnel regularly use in the highest standards of conduct throughout necessary to comply with Section 5 of performance of their duties. This the Department. Existing DHS policy the E.O. to establish screening and process includes a labor-intensive step prohibits the consideration of race or vetting standards and procedures to to validate that the identified social ethnicity in our investigation, screening, enable DHS to assess an alien’s media is correctly associated with the and enforcement activities in all but the eligibility to travel to or be admitted to applicant. The collection of applicants’ most exceptional instances. This policy the United States or to receive an social media identifiers and associated is reaffirmed in manuals, policies, immigration-related benefit from DHS. platforms will assist DHS by reducing directives, and guidelines. This data collection also is used to the time needed to validate the CBP is committed to the fair, validate an applicant’s identity attribution of the publicly-available impartial and respectful treatment of all information and to determine whether posted information to the applicant and members of the trade and traveling such travel or grant of a benefit poses a prevent mis-associations. It will provide public, and has memorialized its law enforcement or national security trained DHS adjudication personnel commitment to nondiscrimination in risk to the United States. with more timely visibility of the existing policies, including the February DHS will collect biographic publicly available information on the 2014 CBP Policy on Nondiscrimination information on immigration and foreign platforms provided by the applicant. in Law Enforcement Activities and all traveler information collection Social media may help distinguish other Administered Programs. This instruments and systems. DHS will individuals of concern from applicants policy prohibits the consideration of update its forms and systems to collect whose information substantiates their race or ethnicity in law enforcement, information from individuals who seek eligibility for travel or an immigration investigation, and screening activities, admissibility or other benefits when that benefit. Social media can provide in all but the most exceptional information is not already collected. positive, confirmatory information to circumstances. verify identity and support a New Information To Be Collected beneficiary’s or traveler’s application, CBP’s Standards of Conduct further highlights CBP’s prohibition on bias- U.S. Government departments and petition, or claims. It can also be used to identify potential deception, fraud, or motivated conduct and explicitly agencies involved in screening and requires that ‘‘Employees will not act or vetting, to include DHS, identified the previously unidentified national security or law enforcement concerns, fail to act on an official matter in a collection of social media user manner which improperly takes into identifications (also known as such as when criminals and terrorists have provided otherwise unavailable consideration an individual’s race, usernames, identifiers, or ‘‘handles’’) color, age, sexual orientation, religion, and associated publicly available social information via social media, that identified their true intentions, sex, national origin, or disability . . .’’ media platforms used by the applicant The USCIS Policy Manual, Chapter 1, during the past five years, as important including support for terrorist organizations. provides guidance principles for for identity verification, immigration achieving its customer service policy and national security vetting. For DHS, DHS will collect social media user identifications (also known as goals.3 The policy provides that USCIS these data elements will be added to will: certain immigration benefit request or usernames, identifiers, or ‘‘handles’’) traveler forms where the information 1 Publicly available social media does not require 2 For the purposes of this supporting statement was not already collected. a user to purchase or otherwise pay for a and the associated DHS forms, ‘‘user For the purposes of this information subscription of use and does not require an identifications’’ are defined as usernames, handles, collection, DHS defines publicly invitation from a user to join or the establishment screen names, or other identifiers associated with available social media information as of a relationship (e.g., ‘‘friend,’’ ‘‘follow,’’ an individual’s online presence and social media ‘‘connect’’) to otherwise access information. profile. Passwords are not considered user any electronic social media information Publicly available social media may require a user identifications and will not be collected. that has been published or broadcast for to create an account in order to access services and 3 https://www.uscis.gov/policymanual/HTML/ public consumption, is available on related content. PolicyManual-Volume1-PartA-Chapter1.html.

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• Approach each case objectively and requested data may either delay or make YOUKU adjudicate each case in a thorough and it impossible for USCIS to determine an YOUTUBE fair manner. individual’s eligibility for the requested The platforms selected represent • Carefully administer every aspect of benefit. those which are among the most its immigration mission so that its Applicants for CBP and USCIS popular on a global basis. The platforms customers can hold in high regard the benefits must certify on the respective listed may be updated by the privileges and advantages of U.S. forms that the information submitted is Department by adding or removing immigration. true and correct to the best of the platforms in order to evolve the U.S. • Demonstrate respect for its applicant’s knowledge and belief. Government’s uniform vetting with customers. The following social media questions emerging communication technologies • Be responsive to customers’ will appear on electronic forms: and common usage; therefore, the list inquiries and provide information and Please enter information associated will change over time. These changes services that demonstrate courtesy and with your online presence over the past will be made on a periodic basis under cultural awareness. five years: this generic clearance. Platform changes • Through its service, be an example • Provider/Platform (dropdown bar will be submitted to OMB for approval of how to treat customers with respect, will provide multiple choices, including prior to inclusion. OMB will review to courtesy, and dignity. ‘‘Other’’, and ‘‘None’’ for those who do make sure that such suggested new • Administer the immigration laws, not use the platforms listed): platforms meet the description of regulations, and policies in a consistent • Social Media Identifier(s) over the public-facing social media handles manner. past five years (free text field for contained above. Consistent with the requirements of the applicant to enter information): Programs Affected, OMB Control Privacy Act, DHS does not maintain The forms will allow the applicant to records ‘‘describing how any [citizen of Numbers and Legal Authorities for the provide as many platforms and Collections the United States or alien lawfully identifiers as necessary. admitted for permanent residence] DHS plans to collect the data exercises rights guaranteed by the First Paper Forms elements for three programs/forms Amendment, unless expressly Please enter information associated administered by U.S. Customs and authorized by statute or by the with your online presence over the past Border Protection (CBP). The three CBP individual about whom the record is five years: programs/forms, and the applicable maintained or unless pertinent to and statutory and regulatory authorities to Provider/Platform: (a list will be provided collect the additional information are as within the scope of an authorized law including ‘‘Other’’, and ‘‘None’’ for those enforcement activity.’’ 5 U.S.C. follows: who do not use the platforms listed)llll • 552a(e)(7) llllll OMB No. 1651–0111—Electronic Although such collection of social Social Media Identifier(s): llllllll System for Travel Authorization media user identifications is (ESTA): Collection of data through this A sufficient amount of space on the ‘mandatory’ to complete the DHS forms, form is authorized by Section 711 of paper form will be provided to allow the it is not required to obtain or retain a The Secure Travel and Counterterrorism applicant appropriate room to provide benefit.4 However, for CBP’s ESTA, and Partnership Act of 2007 (part of the all necessary platforms/identifiers. EVUS forms, the applicant will be Implementing Recommendations of the The request for social media unable to submit the online application 9/11 Commission Act of 2007, also platforms, providers, and websites will if they do not provide a response to the known as the ‘‘9/11 Act,’’ Pub. L. 110– focus on those fora that the individual mandatory social media field. 53). The authorities for the maintenance uses to collaborate, share information Nonetheless, the applicant may proceed of this system are found in: Title IV of and interact with others.5 if they answer none or other. 8 CFR the Homeland Security Act of 2002, 6 The initial list of social media 103.2(a)(1) provides that forms must be U.S.C. 201 et seq., the Immigration and platforms featured on DHS forms will be completed in accordance with form Nationality Act, as amended, including as follows: instructions. CBP will continue to 8 U.S.C. 1187(a)(11) and (h)(3); 8 CFR adjudicate a form where social media ASK FM part 217; the Travel Promotion Act of information is not answered, but failure DOUBAN 2009, Public Law 111–145, 22 U.S.C. FACEBOOK 2131. to provide the requested data may either • delay or make it impossible for CBP to FLICKR OMB No. 1651–0111—Form I–94W determine an individual’s eligibility for INSTAGRAM Nonimmigrant Visa Waiver Arrival/ the requested benefit. LINKEDIN Departure Record: Collection of data For USCIS, the proposed information MYSPACE through this form is authorized by 8 collection for social media information PINTEREST U.S.C. 1103, 1187 and 8 CFR 235.1, 264, is not ‘‘mandatory’’ in the sense that an QZONE (QQ) and 1235.1. REDDIT • application will be denied or rejected OMB No. 1651–0139—Electronic SINA WEIBO based solely on the lack of a response. Visa Update System (EVUS): Collection TENCENT WEIBO USCIS will continue to adjudicate a of data through this form is authorized TUMBLER form where social media information is by INA section 104(a) (8 U.S.C. 1104(a)). TWITTER not answered, but failure to provide the The authorities for the maintenance of TWOO this system are found in: Title IV of the VINE 4 Pursuant to 5 CFR 1320.8(b)(3)(iv), agencies are Homeland Security Act of 2002, 6. required to ‘‘inform [ ] and provide reasonable VKONTAKTE (VK) U.S.C. 201 et seq., the Immigration and notice to the potential persons to whom the National Act, as amended, including collection of information is addressed of—Whether 5 Non-social media websites, such as those for sections 103 (8 U.S.C. 1103), 214 (8 responses to the collection of information are applicants to carry out financial transactions, voluntary, required to obtain or retain a benefit [ ], medical appointment and records, homeowner’s U.S.C. 1184), 215 (8 U.S.C. 1185), and or mandatory [ ]’’ pursuant to the authorities cited associations, travel, and tourism are not germane to 221 (8 U.S.C. 1201); 8 CFR part 2; the herein. this information collection. Travel Promotion Act of 2009, Public

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Law 111–145, 22 U.S.C. 2131; and 8 DHS plans to collect the new data Status: Collection of data through this CFR parts 212, 214, 215, and 273. elements for nine programs form is authorized by INA section CBP has the following statutory and administered by U.S. Citizenship and 203(b)(5), 8 U.S.C. 1153, and INA regulatory authorities, as an agency of Immigration Services (USCIS). The nine section 216(a), 8 U.S.C. 1186(b)]. the U.S. Government, to collect social USCIS programs, and the applicable USCIS, as a component of DHS, has the media information from applicants for statutory and regulatory authorities to following statutory and regulatory travel benefits: collect the additional information area authorities, to collect social media • CBP is responsible for preventing as follows: information from applicants for the entry of terrorists and instruments of USCIS has the following statutory and immigration benefits: terrorism into the United States, regulatory authorities to collect • 8 C.FR 204.5(m)(12) and securing the borders, and enforcing the additional biographic data information 214.2(r)(16) provide that, in the context immigration laws.6 To exercise its on the following forms: of adjudicating an immigrant or authority with respect to both inbound • OMB No. 1615–0052—Form N–400, nonimmigrant religious worker petition, and outbound border crossings of U.S. Application for Naturalization: USCIS may verify the supporting citizens and aliens alike, CBP gathers Collection of data through this form is evidence submitted by the petitioner information about individuals who may authorized by INA section 337 [8 U.S.C. ‘‘through any means determined seek entry into the United States. CBP’s 1448]; 8 U.S.C. 1421; 8 CFR 316.4 and appropriate by USCIS,’’ including by general law enforcement authorities 8 CFR 316.10. ‘‘review of any other records that the empower it to gather information, • OMB No. 1615–0013—Form I–131, USCIS considers pertinent to the including information found via social Application for Travel Document: integrity of the organization’’ with media, which is relevant to its Collection of data through this form is which the religious worker is affiliated. enforcement missions.7 For example, authorized by INA sections 103, 208, • 8 CFR 103.2(a)(1) requires that under the Immigration and Nationality 212, 223 and 244; 8 CFR 103.2(a) and every benefit request be executed and Act (INA) (Pub. L. 89–236), CBP (e); 8 CFR 208.6; 8 CFR 244.16; Section filed in accordance with the form Officers, Border Patrol Agents, and other 303 of Public Law 107–173. instructions and clarifies that ‘‘such immigration officers have authority to, • OMB No. 1615–0017—Form I–192, instructions are incorporated into the among other things, ‘‘take and consider Application for Advance Permission to regulations requiring its submission.’’ 10 evidence concerning the privilege of any Enter as a Nonimmigrant: Collection of DHS has additional statutory and person to enter, reenter, pass through, or data through this form is authorized by regulatory authorities to secure the reside in the United States; or INA 212 [8 U.S.C. 1182]. homeland and prevent terrorism, in • concerning any matter which is material OMB No. 1615–0023—Form I–485, addition to those cited above for CBP or relevant to the enforcement of the Application to Register Permanent and USCIS. These include: • [INA] and the administration of the Residence or Adjust status: Collection of The Homeland Security Act, 2002, data through this form is authorized by Public Law 107–296; immigration and naturalization • functions of the Department.’’ 8 INA section 245, 8 U.S.C. 1255, Public The Intelligence Reform and • Under this broad authority to take Law 106–429, and section 902 of Public Terrorism Prevention Act (IRTPA) of and consider ‘‘evidence,’’ CBP may use Law 105–277. 2004, Public Law 108–458; • • information obtained from social media OMB No. 1615–0067—Form I–589, Implementing Recommendations of where relevant to its immigration Application for Asylum and for the 9/11 Commission Act of 2007 (‘‘The Withholding of Removal: Collection of 9/11 Act’’), Public Law 110–53; and enforcement mission under Title 8 of • the U.S. Code. Further, should the facts data through this form is authorized by The Immigration and Nationality and circumstances of a particular INA sections 101(a)(42), 208(a) and (b), Act, as amended. Applicant information is collected to investigation so require, CBP may also and 241(b)(3) and 8 CFR 208.6 and maintain a record of persons applying use social media in connection with its 1208.6. • for specific immigration and other travel extensive customs enforcement OMB No. 1615–0068—Form I–590, benefits, and to determine whether authorities under title 19 of the U.S. Registration for Classification as these applicants are eligible to receive Code.9 Refugee: This information collection is authorized by INA section 207 (8 U.S.C. the benefits for which they are applying. The information provided through DHS 6 See Homeland Security Act 402, 6 U.S.C. 202, 1157) for a person who seeks refugee and 6 U.S.C. 211. classification and resettlement in the forms is also analyzed—along with 7 See, e.g., 8 U.S.C. 1357(b). United States. A refugee is defined in 8 other information that the Secretary of 8 8 CFR 287.5(a)(2); see also id. § 287.2 U.S.C. 1101(a)(42) and Section Homeland Security determines is (‘‘Whenever a special agent in charge, port director, 101(a)(42) of the Act. necessary, including information about or chief patrol agent has reason to believe that there • other persons included on the DHS has been a violation punishable under any criminal OMB No. 1615–0037—Form I–730, provision of the immigration and nationality laws Refugee/Asylee Relative Petition: This forms—against various security and law administered or enforced by the Department, he or information collection is authorized by enforcement databases to identify those she shall immediately initiate an investigation to section 207(c)(2), and 208(c) of the INA applicants who may pose a security risk determine all the pertinent facts and circumstances to the United States. To obtain approval and shall take such further action as he or she (8 U.S.C. 1157 and 1158) for an asylee deems necessary.’’). CBP Officers have the or refugee to request accompanying or for a collection that meets the responsibility to elicit sufficient information to following-to-join benefits for his or her determine whether an applicant is legally spouse and unmarried minor child(ren). 10 USCIS will modify the Applicant’s admissible or inadmissible. If an applicant refuses • OMB No. 1615–0038 –Form I–751, Certification section on the applicable USCIS forms to answer sufficiently for the Officer to find the and petitions to include the following text: ‘‘I also individual admissible, the individual will be Petition to Remove Conditions on authorize USCIS to use publicly available social inadmissible. Residence: Collection of data through media information for verification purposes and to 9 See, e.g., 19 U.S.C. 1436, 1592, & 1595. As noted this form is authorized by INA section determine my eligibility for the immigration benefit above with respect to the INA, CBP has authority 216, 8 U.S.C. 1186(a); 8 CFR part 216. that I seek. I further understand that USCIS is not to enforce these and other customs statutes; • requiring me to provide passwords; to log into a therefore, it may utilize social media when OMB No. 1615–0045—Form I–829, private account; or to take any action that would conducting authorized operations or investigations Petition by Entrepreneur to Remove disclose non-publicly available social media related to its customs enforcement mission. Conditions on Permanent Resident information.’’

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conditions of this generic clearance, a of Records November 30, 2015, 80 FR collection is necessary to meet the standardized form will be submitted to 74781 (Form I–589, Form I–730). intent of E.O. 13780 (Section 5) to OMB along with supporting Æ DHS/CBP–006 Automated establish screening and vetting documentation (e.g., a copy of the Targeting System, May 22, 2012, 77 FR standards to assess an alien’s eligibility updated application form). OMB will 30297 (Form I–192). to travel to, be admitted to, or receive Æ grant approval only if the agency DHS/USCIS/ICE/CBP–001 Alien an immigration-related benefit from demonstrates the collection of File, Index, and National File Tracking DHS. This information will be used to information complies with the specific System of Records, November 21, 2013, validate an applicant’s identity and circumstances laid out in this 78 FR 69864; DHS/USCIS–010 Asylum determine whether entry to the U.S. or supporting statement. Information and Pre-Screening System an immigration benefit for an individual of Records, November 30, 2015, 80 FR Confidentiality poses a law enforcement or national 74781. No assurance of confidentiality is Æ DHS/CBP–022 Electronic Visa security risk to the United States. provided. All data submitted under this Update System (EVUS) System of DHS is particularly interested in collection will be handled in Records, September 1, 2016, 81 FR comments which: accordance with applicable U.S. laws 60371 (EVUS Form); Final Rule for 1. Evaluate whether the proposed and DHS policies regarding personally Privacy Exemptions, November 25, collection of information is necessary identifiable information. 2016, 81 FR 85105. • Public Law 107–347, ‘‘E- Æ for the proper performance of the DHS/CBP–009 Electronic System functions of the agency, including Government Act of 2002,’’ as amended, for Travel Authorization (ESTA), whether the information will have Section 208 [44 U.S.C. 3501 note] September 2, 2016, 81 FR 60713 (ESTA • practical utility; Title 5, United States Code (U.S.C.), Form); Final Rule for Privacy Act Section 552a, ‘‘Records maintained on Exemptions, August 31, 2009 74 FR 2. Evaluate the accuracy of the individuals’’ [The Privacy Act of 1974, 45069. agency’s estimate of the burden of the as amended]. Æ • DHS/CBP–016 Nonimmigrant proposed collection of information, Title 6, U.S.C., Section 142, Information System March 13, 2015, 80 including the validity of the ‘‘Privacy officer.’’ FR 13398 (Form I–94W). methodology and assumptions used; • Title 44, U.S.C., Chapter 35, Applicable USCIS Privacy Impact 3. Enhance the quality, utility, and Subchapter II, ‘‘Information Security’’ Assessments (PIA): clarity of the information to be [The Federal Information Security Æ Refugee Case Processing PIA: Modernization Act of 2014 (FISMA)]. https://www.dhs.gov/publication/ collected; and • DHS Directive 047–01, ‘‘Privacy dhsuscispia-068-refugee-case- 4. Minimize the burden of the Policy and Compliance’’ (July 25, 2011). collection of information on those who • DHS Instruction 047–01–001, processing-and-security-vetting (July 21, are to respond, including through the ‘‘Privacy Policy and Compliance’’ (July 2017). Æ FDNS–DS: https://www.hsdl.org/ 25, 2011). use of appropriate automated, • ?view&did=793268, May 18, 2016. electronic, mechanical, or other Privacy Policy Guidance Æ Memorandum 2008–01/Privacy Policy FDNS Directorate: https:// technological collection techniques or Directive 140–06, ‘‘The Fair Information www.dhs.gov/sites/default/files/ other forms of information technology, publications/privacy-pia-uscis-fdns- e.g., permitting electronic submissions Practice Principles: Framework for _ Privacy Policy at the Department of november2016 0.pdf (December 16, of responses. Homeland Security.’’ (December 29, 2014). Æ Analysis 2008). Asylum Division: https:// • Privacy Policy Guidance www.dhs.gov/sites/default/files/ publications/privacy-pia-uscis-asylum- Agency: Department of Homeland Memorandum 2017–01, DHS Privacy _ Security DHS. Policy Regarding Collection, Use, july2017 0.pdf (July 21, 2017). Retention, and Dissemination of Applicable CBP Privacy Impact Title: Generic Clearance for the Assessments (PIA): Collection of Social Media Information Personally Identifiable Information. Æ (April 25, 2017). DHS/CBP/PIA–007 Electronic on Immigration and Foreign Travel • Refugees and asylees are protected System for Travel Authorization (ESTA): Forms. by the confidentiality provisions of 8 https://www.dhs.gov/publication/ electronic-system-travel-authorization. OMB Number: 1601–NEW. CFR 208.6; 8 U.S.C. 1103. Æ • Aliens in TPS status have the DHS/CBP/PIA–033 Electronic Frequency: On Occasion. confidentiality protections described in Visa Update System (EVUS): https:// Affected Public: Individuals. www.dhs.gov/publication/dhscbppia- 8 CFR 244.16; 8 U.S.C. 1254a(c)(6). Number of Respondents: 33.380,888. There are no confidentiality assurances 033-electronic-visa-update-system-evus. Æ for other aliens applying for the benefit. DHS//CBP/PIA–006 Automated Estimated Time Per Respondent: .083. • The system of record notices Targeting System (ATS): https:// Total Burden Hours: 12,374,078. associated with this information www.dhs.gov/publication/automated- collection are: targeting-system-ats-update. Melissa Bruce, Æ DHS/USCIS/ICE/CBP–001 Alien Æ DHS/CBP/PIA–016 I–94 website Executive Director, Business Management File, Index, and National File Tracking Application: https://www.dhs.gov/ Office. System of Records, September 18, 2017, publication/us-customs-and-border- [FR Doc. 2019–19021 Filed 9–3–19; 8:45 am] 82 FR 43556 (all USCIS forms). protection-form-i-94-automation. BILLING CODE 9110–9B–P Æ DHS/USCIS–007 Benefits This is a new generic clearance. This Information System, October 19, 2016, request will be submitted to the Office 81 FR 72069 (Forms N–400, I–131, I– of Management and Budget, Office of 192, I–485, I–590, I–730, I–751, I–829). Information and Regulatory Affairs for Æ DHS/USCIS–010 Asylum review and approval as required by the Information and Pre-Screening System Paperwork Reduction Act. This new

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DEPARTMENT OF THE INTERIOR ADDRESSES: For instructions on how and information that has become available where to submit information, see since the most recent status review for Fish and Wildlife Service Request for New Information and Table each species. 2—Contacts under SUPPLEMENTARY Why do we conduct 5-year reviews and [FWS–R5–ES–2019–N088; INFORMATION. FXES11130500000–190–FF05E00000] species status assessments? FOR FURTHER INFORMATION CONTACT: For Under the ESA, we maintain Lists of Endangered and Threatened Wildlife information regarding a particular Endangered and Threatened Wildlife and Plants; Initiation of 5-Year Reviews species, contact the appropriate person and Plants (which we collectively refer of Seven Northeastern Species or office listed in Table 2—Contacts in to as the List) in title 50 of the Code of SUPPLEMENTARY INFORMATION. For Federal Regulations at 50 CFR 17.11(h) AGENCY: Fish and Wildlife Service, general information, contact Martin (for wildlife) and 50 CFR 17.12(h) (for Interior. Miller, by U.S. mail at U.S. Fish and plants). Listed wildlife and plants can ACTION: Notice of initiation of reviews; Wildlife Service, 300 Westgate Center also be found at http://ecos.fws.gov/ request for information. Drive, Hadley, MA 01035; by telephone tess_public/pub/listedAnimals.jsp and at 413–253–8615; or by electronic mail http://ecos.fws.gov/tess_public/pub/ SUMMARY: _ We, the U.S. Fish and at martin [email protected]. listedPlants.jsp, respectively. Section Wildlife Service (Service), are initiating SUPPLEMENTARY INFORMATION: We, the 4(c)(2)(A) of the ESA requires us to 5-year reviews under the Endangered Service, are initiating 5-year reviews review each listed species’ status at least Species Act, as amended (ESA), for under the ESA (16 U.S.C. 1531 et seq.) once every 5 years. Our regulations at 50 seven northeastern species. A 5-year for seven northeastern species: The CFR 424.21 require that we publish a review is based on the best scientific endangered Appalachian monkeyface notice in the Federal Register and commercial data available at the (pearlymussel), Hay’s spring amphipod, announcing species under active time of the review. We are requesting Atlantic salmon (Gulf of Maine Distinct review. For additional information submission of any such information that Population Segment), and diamond about 5-year reviews, refer to our fact has become available since the previous darter and the threatened Virginia sheet at http://www.fws.gov/ 5-year review for each species. round-leafed birch, Virginia spiraea, and endangered/what-we-do/recovery- DATES: To ensure consideration, please swamp pink. overview.html. submit your written information by A 5-year review is based on the best October 4, 2019. However, we will scientific and commercial data available What species are under review? continue to accept new information at the time of the review. We are We are initiating 5-year status reviews about any listed species at any time. requesting submission of any such of the species in table 1.

TABLE 1—SPECIES UNDER REVIEW

Common name Scientific name Status Where listed Listing date and citation

Animals

Appalachian monkeyface .. Quadrula sparsa ...... Endangered ...... Wherever found ...... 41 FR 24062; 06/14/1976. Hay’s spring amphipod ...... Stygobromus hayi ...... Endangered ...... Wherever found ...... 47 FR 5425; 02/05/1982. Atlantic salmon ...... Salmo salar ...... Endangered ...... Gulf of Maine Distinct Pop- 74 FR 29344; 06/19/2009. ulation Segment.

Diamond darter ...... Crystallaria cincotta ...... Endangered ...... Wherever found ...... 78 FR 45074: 07/26/2013.

Plants

Virginia round-leaf birch .... Betula uber ...... Threatened ...... Wherever found ...... 59 FR 59173; 11/16/1994. Virginia spiraea ...... Spiraea virginiana ...... Threatened ...... Wherever found ...... 55 FR 24241; 06/15/1990. Swamp pink ...... Helonius bullata ...... Threatened ...... Wherever found ...... 53 FR 35076; 09/09/1988.

What information do we consider in distribution, demographics, and Any new information received will be our 5-year reviews and species status genetics; considered during the 5-year review and assessments? (3) Historical and current habitat will also be useful in evaluating ongoing A 5-year review considers all new conditions, including but not limited to recovery programs for the species. amount, distribution, and suitability; information available at the time of the Request for New Information review. In conducting the review, we (4) Historical and current threats, consider the best scientific and threat trends, and threat projections in To ensure that 5-year reviews are commercial data that have become relation to the five listing factors (as based on the best available scientific available since the most recent status defined in section 4(a)(1) of the ESA); and commercial information, we request (5) Conservation measures for the review. We are seeking new information new information from all sources. If you species that have been implemented or specifically regarding: submit information, please support it are planned; and (1) Species biology, including but not with documentation such as maps, (6) Other new information, data, or limited to life history and habitat bibliographic references, methods used requirements and impact tolerance corrections, including but not limited to to gather and analyze the data, and/or thresholds; taxonomic or nomenclatural changes, (2) Historical and current population identification of erroneous information copies of any pertinent publications, conditions, including but not limited to contained in the List, and improved reports, or letters by knowledgeable population abundance, trends, analytical methods. sources.

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How do I ask questions or provide Public Availability of Comments Materials received will be available information? Before including your address, phone for public inspection, by appointment, during normal business hours at the Please submit your questions, number, electronic mail address, or other personal identifying information offices where the information is comments, and materials to the in your submission, you should be submitted. appropriate contact in table 2. aware that your entire submission— Contacts Individuals who are hearing impaired or including your personal identifying speech impaired may call the Federal information—may be made publicly New information on the species Relay Service at 800–877–8339 for TTY available at any time. Although you can covered in this notice should be assistance. request that personal information be submitted by mail or electronic mail to withheld from public review, we cannot the appropriate contact person within guarantee that we will be able to do so. the timeframe provided in DATES.

TABLE 2—CONTACTS

Species Contact person, phone, email Contact address

Appalachian monkeyface ..... Rose Agbalog, 276–623–1233, [email protected] U.S. Fish and Wildlife Service, Southwestern Virginia Field Office, 330 Cummings Street, Abingdon, VA 24210. Hay’s spring amphipod ...... Julie Thompson, 410–573–4599, julie_thompson@ U.S. Fish and Wildlife Service, Chesapeake Bay Field fws.gov. Office, 177 Admiral Cochrane Drive, Annapolis, MD 21401. Atlantic salmon...... Peter Lamothe, 207–902–1556, peter_lamothe@ U.S. Fish and Wildlife Service, Maine Field Office, 306 fws.gov. Hatchery Road, East Orland, ME 04431. Diamond darter ...... Barbara Douglas, 304–636–6586, extension 19, bar- U.S. Fish and Wildlife Service, West Virginia Field Of- [email protected]. fice, 90 Vance Drive, Elkins, WV 26241. Virginia round-leaf birch ...... Sumalee Hoskin, 804–693–6694, sumalee_hoskin@ U.S. Fish and Wildlife Service, Virginia Field Office, fws.gov. 6669 Short Lane, Gloucester, VA 23061. Virginia spiraea ...... Jennifer Stanhope, 804–693–6694, jennifer_stanhope@ U.S. Fish and Wildlife Service, Virginia Field Office, fws.gov. 6669 Short Lane, Gloucester, VA 23061. Swamp pink ...... Alicia Protus, 609–383–3938, [email protected] .... U.S. Fish and Wildlife Service, New Jersey Field Office, 4 East Jimmie Leeds Road, Suite 4, Galloway, NJ 08205.

Authority DATES: Written nominations must be Unit of Gateway National Recreation received by October 4, 2019. Area in New Jersey. We publish this document under the The Committee consists of authority of the Endangered Species Act ADDRESSES: Nominations should be sent representatives from among, but not of 1973, as amended (16 U.S.C. 1531 et to Daphne Yun, U.S. Department of the limited to, the following interest groups seq.). Interior, National Park Service, Gateway to represent a range of interests National Recreation Area, Office of the Wendi Weber, concerned with the management of Fort Superintendent, 210 New York Avenue, Regional Director, Northeast Region. Hancock within the park and its impact Staten Island, New York 10305, or email on the local area: The natural resource [FR Doc. 2019–19056 Filed 9–3–19; 8:45 am] _ daphne [email protected]. community, the business community, BILLING CODE 4333–15–P FOR FURTHER INFORMATION CONTACT: the cultural resource community, the Daphne Yun, U.S. Department of the real estate community, the recreation DEPARTMENT OF THE INTERIOR Interior, National Park Service, Gateway community, the education community, National Recreation Area, Sandy Hook the scientific community, and National Park Service Unit, 26 Hudson Road, Highlands, New hospitality organizations. The Jersey 07732, or email at daphne_yun@ Committee will also include NPS–NERO–GATE–28230; PPNEGATEB0, nps.gov, or via telephone at (732) 872– representatives from the following PPMVSCS1Z.Y00000] 5908. municipalities: Borough of Highlands, Borough of Sea Bright, Borough of Request for Nominations for the SUPPLEMENTARY INFORMATION: The Rumson, Middletown Township, Gateway National Recreation Area Fort Gateway National Recreation Area Fort Monmouth County Freeholders, and Hancock 21st Century Advisory Hancock 21st Century Advisory Borough of Monmouth Beach. We are Committee Committee was established by authority currently seeking members to represent of the Secretary of the Interior under 54 all categories. AGENCY: National Park Service, Interior. U.S.C. 100906, and in accordance with Nominations should be typed and ACTION: Request for nominations. the Federal Advisory Committee Act (5 should include a resume providing an U.S.C. Appendix 2). The purpose of the adequate description of the nominee’s SUMMARY: The National Park Service, Committee is to advise the Secretary of qualifications, including information U.S. Department of the Interior, is the Interior, through the Director of the that would enable the Department of the requesting nominations for qualified National Park Service, on the Interior to make an informed decision persons to serve as members of the development of a reuse plan and on regarding meeting the membership Gateway National Recreation Area Fort matters relating to future uses of certain requirements of the Committee and Hancock 21st Century Advisory buildings at the Fort Hancock Historic permit the Department to contact a Committee. District, located within the Sandy Hook potential member. All documentation,

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including letters of recommendation, ADDRESSES: The complaint, except for filament LEDs and lighting products must be compiled and submitted in one any confidential information contained containing light bulbs containing complete package. All those interested therein, is available for inspection filament LEDs’’; in membership, including current during official business hours (8:45 a.m. (3) For the purpose of the members whose terms are expiring, to 5:15 p.m.) in the Office of the investigation so instituted, the following must follow the same nomination Secretary, U.S. International Trade are hereby named as parties upon which process. Members may not appoint Commission, 500 E Street SW, Room this notice of investigation shall be deputies or alternates. 112, Washington, DC 20436, telephone served: Members of the Committee serve (202) 205–2000. Hearing impaired (a) The complainant is: without compensation. However, while individuals are advised that information The Regents of the University of away from their homes or regular places on this matter can be obtained by California, 1111 Franklin Street, of business in the performance of contacting the Commission’s TDD Oakland, CA 94607. services for the Committee as approved terminal on (202) 205–1810. Persons (b) The respondents are the following by the NPS, members may be allowed with mobility impairments who will entities alleged to be in violation of travel expenses, including per diem in need special assistance in gaining access section 337, and are the parties upon lieu of subsistence, in the same manner to the Commission should contact the which the complaint is to be served: as persons employed intermittently in Office of the Secretary at (202) 205– Amazon.com, Inc., 410 Terry Avenue Government service are allowed such 2000. General information concerning North, Seattle, WA 98258. expenses under section 5703 of title 5 of the Commission may also be obtained Amazon.com Services, Inc., 410 Terry the United States Code. by accessing its internet server at Avenue North, Seattle, WA 98109. Authority: 54 U.S.C. 100906. https://www.usitc.gov. The public Bed Bath & Beyond Inc., 650 Liberty record for this investigation may be Avenue, Union, NJ 07083. Alma Ripps, viewed on the Commission’s electronic IKEA of Sweden AB, Tulpanvagen 8, Chief, Office of Policy. docket (EDIS) at https://edis.usitc.gov. Almhult 343 34, Sweden. [FR Doc. 2019–19062 Filed 9–3–19; 8:45 am] FOR FURTHER INFORMATION CONTACT: IKEA Supply AG, Gru¨ ssenweg 15, CH– BILLING CODE 4312–52–P Pathenia M. Proctor, The Office of 4133 Pratteln, Switzerland. Unfair Import Investigations, U.S. IKEA Distribution Services Inc., 420 International Trade Commission, Alan Wood Road, Conshohocken, PA INTERNATIONAL TRADE telephone (202) 205–2560. 19428. COMMISSION SUPPLEMENTARY INFORMATION: IKEA North America Services, LLC, 420 Alan Wood Road, Conshohocken, PA [Investigation No. 337–TA–1172] Authority: The authority for institution of this investigation is contained in section 337 19428. Target Corporation, 1000 Nicollet Mall, Certain Filament Light-Emitting Diodes of the Tariff Act of 1930, as amended, 19 Minneapolis, MN 55403. and Products Containing Same U.S.C. 1337, and in section 210.10 of the Commission’s Rules of Practice and Walmart Inc., 702 SW 8th Street, Institution of Investigation Procedure, 19 CFR 210.10 (2018). Bentonville, AR 72716. AGENCY: U.S. International Trade Scope of Investigation: Having (c) The Office of Unfair Import Commission. considered the complaint, the U.S. Investigations, U.S. International Trade ACTION: Notice. International Trade Commission, on Commission, 500 E Street SW, Suite August 28, 2019, ordered that— 401, Washington, DC 20436; and SUMMARY: Notice is hereby given that a (1) Pursuant to subsection (b) of (4) For the investigation so instituted, complaint was filed with the U.S. section 337 of the Tariff Act of 1930, as the Chief Administrative Law Judge, International Trade Commission on July amended, an investigation be instituted U.S. International Trade Commission, 30, 2019, under section 337 of the Tariff to determine whether there is a shall designate the presiding Act of 1930, as amended, on behalf of violation of subsection (a)(1)(B) of Administrative Law Judge. The Regents of the University of section 337 in the importation into the Responses to the complaint and the California of Oakland, California. The United States, the sale for importation, notice of investigation must be complaint alleges violations of section or the sale within the United States after submitted by the named respondents in 337 based upon the importation into the importation of certain products accordance with section 210.13 of the United States, the sale for importation, identified in paragraph (2) by reason of Commission’s Rules of Practice and and the sale within the United States infringement of one or more of claims 3, Procedure, 19 CFR 210.13. Pursuant to after importation of certain filament 5, 9, 12, 13, 15, 18, 28, 31, 33, 37, 40, 19 CFR 201.16(e) and 210.13(a), such light-emitting diodes and products 41, 43, 47, and 56 of the ’789 patent; responses will be considered by the containing same by reason of claims 1, 3, 4, 6, 8–10, 12, 13, 15, 16, Commission if received not later than 20 infringement of certain U.S. Patent No. 18, 20, 21, and 24 of the ’529 patent; days after the date of service by the 7,781,789 (‘‘the ’789 patent’’); U.S. claims 1, 2, 4, 5, 7–12, 14, 15, and 17– Commission of the complaint and the Patent No. 9,240,529 (‘‘the ’529 patent’’); 20 of the ’464 patent; and claims 1, 5– notice of investigation. Extensions of U.S. Patent No. 9,859,464 (‘‘the ’464 9, 13, 14, 18–22, and 26 of the ’916 time for submitting responses to the patent’’); and U.S. Patent No. 10,217,916 patent, and whether an industry in the complaint and the notice of (‘‘the ’916 patent’’). The complaint United States exists as required by investigation will not be granted unless further alleges that an industry in the subsection (a)(2) of section 337; good cause therefor is shown. United States exists as required by the (2) Pursuant to section 210.10(b)(1) of Failure of a respondent to file a timely applicable Federal Statute. the Commission’s Rules of Practice and response to each allegation in the The complainant requests that the Procedure, 19 CFR 210.10(b)(1), the complaint and in this notice may be Commission institute an investigation plain language description of the deemed to constitute a waiver of the and, after the investigation, issue a accused products or category of accused right to appear and contest the limited exclusion order, and cease and products, which defines the scope of the allegations of the complaint and this desist orders. investigation, is ‘‘light bulbs containing notice, and to authorize the

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administrative law judge and the LLC, Frederick, MD, have been added as Membership in this group research Commission, without further notice to parties to this venture. project remains open, and RIC-Americas the respondent, to find the facts to be as Also, EcoHealth Alliance, New York, intends to file additional written alleged in the complaint and this notice NY, has withdrawn as a party to this notifications disclosing all changes in and to enter an initial determination venture. membership. and a final determination containing No other changes have been made in On April 30, 2014, RIC-Americas filed such findings, and may result in the either the membership or planned its original notification pursuant to issuance of an exclusion order or a cease activity of the group research project. Section 6(a) of the Act. The Department and desist order or both directed against Membership in this group research of Justice published a notice in the the respondent. project remains open, and CWMD Federal Register pursuant to Section intends to file additional written 6(b) of the Act on June 9, 2014 (79 FR By order of the Commission. notifications disclosing all changes in 32999). Issued: August 28, 2019. membership. The last notification was filed with Lisa Barton, On January 31, 2018, CWMD filed its the Department on June 19, 2019. A Secretary to the Commission. original notification pursuant to Section notice was published in the Federal [FR Doc. 2019–18971 Filed 9–3–19; 8:45 am] 6(a) of the Act. The Department of Register pursuant to Section 6(b) of the BILLING CODE 7020–02–P Justice published a notice in the Federal Act on August 1, 2019 (84 FR 37680). Register pursuant to Section 6(b) of the Suzanne Morris, Act on March 12, 2018 (83 FR 10750). The last notification was filed with Chief, Premerger and Division Statistics Unit, DEPARTMENT OF JUSTICE Antitrust Division. the Department on April 24, 2019. A [FR Doc. 2019–19055 Filed 9–3–19; 8:45 am] Antitrust Division notice was published in the Federal Register pursuant to Section 6(b) of the BILLING CODE 4410–11–P Notice Pursuant to the National Act on June 17, 2019 (84 FR 28073). Cooperative Research and Production DEPARTMENT OF JUSTICE Act of 1993—Countering Weapons of Suzanne Morris, Mass Destruction Chief, Premerger and Division Statistics Unit, Antitrust Division. Antitrust Division Notice is hereby given that, on April [FR Doc. 2019–19075 Filed 9–3–19; 8:45 am] Notice Pursuant to the National 24, 2019, pursuant to Section 6(a) of the BILLING CODE 4410–11–P Cooperative Research and Production National Cooperative Research and Act of 1993—National Armaments Production Act of 1993, 15 U.S.C. 4301 Consortium et seq. (‘‘the Act’’), Countering Weapons DEPARTMENT OF JUSTICE of Mass Destruction (‘‘CWMD’’) has Notice is hereby given that, on April filed written notifications Antitrust Division 8, 2019, pursuant to Section 6(a) of the simultaneously with the Attorney National Cooperative Research and General and the Federal Trade Notice Pursuant to the National Production Act of 1993, 15 U.S.C. 4301 Commission disclosing changes in its Cooperative Research and Production et seq. (‘‘the Act’’), National Armaments membership. The notifications were Act of 1993—Cooperative Research Consortium (‘‘NAC’’) has filed written filed for the purpose of extending the Group on ROS-Industrial Consortium notifications simultaneously with the Act’s provisions limiting the recovery of Americas Attorney General and the Federal Trade antitrust plaintiffs to actual damages Notice is hereby given that, on August Commission disclosing changes in its under specified circumstances. 1, 2019, pursuant to Section 6(a) of the membership. The notifications were Specifically, Alpha Space Test and National Cooperative Research and filed for the purpose of extending the Research Alliance, LLC, Houston, TX; Production Act of 1993, 15 U.S.C. 4301 Act’s provisions limiting the recovery of AQUILA, Albuquerque, NM; Aurora et seq. (‘‘the Act’’), Southwest Research antitrust plaintiffs to actual damages Flight Sciences Corp., Manassas, VA; Institute—Cooperative Research Group under specified circumstances. Blueforce Development, Corp., on ROS-Industrial Consortium-Americas Specifically, 1st Edge LLC, Huntsville, Newburyport, MA; Draeger, Inc., (‘‘RIC-Americas’’) has filed written AL; 300 Below, Inc., Decatur, IL; 3rd Telford, PA; Field Forensics, Inc., Saint notifications simultaneously with the Millennium Group, LLC, Boxborough, Petersburg, FL; Interclypse, Inc., Attorney General and the Federal Trade MA; A.T. Kearney Public Sector and Annapolis Junction, MD; Kansas State Commission disclosing changes in its Defense Services, LLC, Arlington, VA; University, Manhattan, KS; Mirion membership. The notifications were ArmorWorks Enterprises, Inc., Technologies (Canberra) Inc., Oak filed for the purpose of extending the Chandler, AZ; Black River Systems Ridge, TN; Mirion Technologies (MGPI), Act’s provisions limiting the recovery of Company, Inc., Utica, NY; Converged Smyrna, GA; Nucsafe, Inc., Oak Ridge, antitrust plaintiffs to actual damages Security Solutions, LLC, Reston, VA; TN; Physical Optics Corporation, under specified circumstances. Corficient Engineering Solutions Inc., Torrence, CA; QRC, LLC dba QRC Specifically, Intel, Santa Clara, CA; Lake Hopatcong, NJ; Crossflow Technologies, Fredericksburg, VA; Mathworks, Inc., Natick, MA, and Technologies, Inc., Albertville, AL; DRS Rhodium Scientific, LLC, San Antonio, Canonical Group Limited, London, Network & Imaging Systems, LLC, TX; SpectraGenetics, Inc., Pittsburgh, ENGLAND, have been added as parties Huntsville, AL; Eastern Auto, Inc., PA; Spectrum Photonics, Honolulu, HI; to this venture. Farmingdale, NJ; Envention LLC, Subsystem Technologies, Inc., Also, BMW AG, Munich, GERMANY; Huntsville, AL; Frontier Technology Arlington, VA; Surface Optics EWI, Columbus, OH, and Vehicle Inc., Beavercreek, OH; General Corporation, San Diego, CA; SURVICE Technologies, Inc., Trenton, NJ, have Technology Systems LLC, Boston, MA; Engineering Company, LLC, Belcamp, withdrawn as parties to this venture. Hart Scientific Consulting International, MD; Teledyne Brown Engineering, Inc., No other changes have been made in Tucson, AZ; Heron Systems Huntsville, AL; Valitus Technologies, either the membership or planned Incorporated, California, MD; Hy-Tek Inc., Corona, CA; and WGS Systems, activity of the group research project. Manufacturing Company, Inc., Sugar

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Grove, IL; IBC Materials and Englewood, CO; Fantastic Data, LLC, membership. The notifications were Technologies, LTD, Lebanon, IN; San Francisco, CA; General Sciences, filed for the purpose of extending the ICAMR, Inc., dba BRIDG, Kissimme, FL; Inc., Souderton, PA; Jet Industrial Act’s provisions limiting the recovery of IMSAR LLC, Springville, UT; ISSAC Electronics, Oak Ridge, NJ; Magnesium antitrust plaintiffs to actual damages Corp., Colorado Springs, CO; ITT Elektron North American, Inc., under specified circumstances. Enidine, Inc., Orchard Park, NY; Lone Madison, IL; Megaray LLC, New York, Specifically, ABL Space Systems Star Aerospace, Inc., Addison, TX; NY; MegaWave Corporation, Devens, Company, El Segundo, CA; Apollo MartinFederal Consulting, LLC, MA; Optek Global Solutions, Inc., Los Fusion Inc., Mountain View, CA; AST & Huntsville, AL; Matrix Research, Inc., Angeles, CA; Projects Unlimited Inc., Defense LLC, College Park, MD; Dayton, OH; Pulse Aerospace, LLC, Dayton, OH; Maztech Industries, LLC, Atmospheric and Environmental Lawrence, KS; Pyrolink International, Irvine, CA; Metamagnetics Inc., Research Inc., Lexington, MA; AVIAN, Inc., Alexandria, VA; Resodyn Acoustic Westborough, MA; MSI Defence Inc., Lexington Park, MD; Busek Co. Systems US Inc., Rock Hill, SC; Mixers, Butte, MT; Rubix Strategies Inc., Natick, MA; CJ Manufacturing LLC, NextGen Federal Systems, LLC, LLC, Lawrence, MS; SkyBridge Tactical, Daytona Beach, FL; Cobham Colorado Morgantown, WV; Nu-Trek, Inc., San LLC, Tampa, FL; TERMA North Springs, Inc., Colorado Springs, CO; Diego, CA; OSS Suppressors, LLC, America Inc., Warner Robins, GA; The Murray, UT; Parker-Hannifin Samraksh Company, Dublin, OH; Trex Composite Technology Development, Corporation, Mayfield Heights, OH; Enterprises Corporation, San Diego, CA; Inc., Lafayette, CO; CONCEPTS NREC, Phase Electronics, Inc., Rockville, MD; Triumph Structures, Los Angeles, Inc. LLC, White River Junction, VT; Programs Management Analytics & (TSLA), City of Industry, CA; TROM Cummings Aerospace, Inc., Huntsville, Technologies, Inc., Norfolk, VA; Technologies, Potlach, ID; Troy AL; DRS Global Enterprise Solutions, QuantiTech, Inc., Huntsville, AL; Industries, Inc., West Springfield, MA; Inc., Dulles, VA; EC America, Inc., Regents of New Mexico State Vector ElectroMagnetics, LLC, McLean, VA; EXB Solutions, Inc., University—Physical Science Beavercreek, OH; and Volans-I, Inc., San Plymouth, MN; Exos Aerospace Systems Laboratory, Las Cruces, NM; ReLogic Francisco, CA, have withdrawn as & Technologies, Inc., Greenville, TX; Research, Inc., Huntsville, AL; Rolls parties to this venture. Genesis Engineering Solutions, Inc., Royce Corporation, Indianapolis, IN; No other changes have been made in Lanham, MD; John Hopkins University SAZE Technologies, LLC, Silver either the membership or planned Applied Physics Lab, Laurel, MD; Springs, CO; Scaled Power activity of the group research project. Koolock, Inc., Moffett Field, CA; KPMG Incorporated, San Francisco, CA; Membership in this group research LLP, McLean, VA; Kubos Corporation, Sciperio Inc., Orlando, FL; SemQuest project remains open, and NAC intends Denton, TX; MainStem LLC, Fulton, Incorporated, Colorado Springs, CO; to file additional written notifications MD; Malin Space Science Systems, Inc., Sierra Circuits, Inc. (dba Sierra Proto disclosing all changes in membership. San Diego, CA; MOTIV Space Systems, Express), Sunnyvale, CA; Soar On May 2, 2000, NAC filed its original Inc., Pasadena, CA; PatchPlus Technology, Inc., Ann Arbor, MI; Spear notification pursuant to Section 6(a) of Consulting, Inc., Medford, NJ; Phase Research, LLC, Nashua, NH; Strategic the Act. The Department of Justice Four, Inc., El Segundo, CA; PreTalen, Resilience Group, LLC, Stafford, VA; published a notice in the Federal Ltd., Beavercreek, OH; QMS Consulting, Register pursuant to Section 6(b) of the Summit Information Solutions, Inc., Washington, DC; Scientific Systems Glen Allen, VA; Swift Engineering, Inc., Act on June 30, 2000 (65 FR 40693). The last notification was filed with Company, Inc., Woburn, MA; Scorpius San Clemente, CA; Thales Defense & Space Launch Company, Torrance, CA; Security, Inc., Clarksburg, MD; The the Department on April 17, 2019. A notice was published in the Federal The Stratagem Group, Inc., Aurora, CO; Ultra-met Company, Urbana, OH; Torrey Tiger Innovations Incorporated, Pines Logic, Inc., San Diego, CA; Total Register pursuant to Section 6(b) of the Act on May 17, 2019 (84 FR 22519). Herndon, VA; and XTAR, LLC, Technology, Inc., Cherry Hill, NJ; Troy Ashburn, VA, have been added as 7, Inc., Huntsville, AL; UES, Inc., Suzanne Morris, parties to this venture. Beavercreek, OH; Universal Technology Chief, Premerger and Division Statistics Unit, Corporation, Dayton, OH; University of Antitrust Division. Also, Additive Rockets Corporation, La Jolla, CA, and Platron Manufacturing, Mississippi, University, MS; University [FR Doc. 2019–19073 Filed 9–3–19; 8:45 am] Pflugerville, TX, have withdrawn as of South Alabama, Mobile, AL; Vidrovr BILLING CODE 4410–11–P Inc., New York, NY; and Wyle parties to this venture. Laboratories, Inc., Huntsville, AL, have No other changes have been made in been added as parties to this venture. DEPARTMENT OF JUSTICE either the membership or planned Also, A.F. Technologies, Inc., *COM007*activity of the group research Arlington, TX; AECOM, Germantown, Antitrust Division project. Membership in this group MD; American Plastic Cartridge and Notice Pursuant to the National research project remains open, and Shell, LLC, Philadelphia, PA; Arizona Cooperative Research and Production SpEC intends to file additional written Engineering Technologies, Inc., Act Of 1993—Space Enterprise notifications disclosing all changes in Scottsdale, AZ; BANC3, Inc., Princeton, Consortium membership. NJ; Barber-Nichols Inc., Arvada, CO; On August 23, 2018, SpEC filed its Boston Engineering Corporation, Notice is hereby given that, on August original notification pursuant to Section Waltham, MA; Central Screw Products 5, 2019, pursuant to Section 6(a) of the 6(a) of the Act. The Department of dba Detroit Gun Works, Troy, MI; National Cooperative Research and Justice published a notice in the Federal ChemImage Biothreat, LLC DBA Production Act of 1993, 15 U.S.C. 4301 ChemImage Sensor Systems, Pittsburgh, et seq. (‘‘the Act’’), Space Enterprise Register pursuant to Section 6(b) of the PA; Custom MMIC Design Services Inc., Consortium (‘‘SpEC’’) has filed written Act on October 2, 2018 (83 FR 49576). Chelmsford, MA; Decilog, Inc., Melville, notifications simultaneously with the The last notification was filed with NY; Digital Solid State Propulsion LLC, Attorney General and the Federal Trade the Department on April 29, 2019. A Reno, NV; Dynamic Matter LLC, Commission disclosing changes in its notice was published in the Federal

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Register pursuant to Section 6(b) of the Register pursuant to section 6(b) of the NATIONAL ARCHIVES AND RECORDS Act on May 20, 2019 (84 FR 22897). Act on May 17, 2019 (84 FR 22520). ADMINISTRATION Suzanne Morris, Suzanne Morris, [NARA–19–0011; NARA–2019–036] Chief, Premerger and Division Statistics Unit Chief, Premerger and Division Statistics Unit, Records Schedules; Availability and Antitrust Division. Antitrust Division. Request for Comments [FR Doc. 2019–19074 Filed 9–3–19; 8:45 am] [FR Doc. 2019–19058 Filed 9–3–19; 8:45 am] BILLING CODE 4410–11–P BILLING CODE 4410–11–P AGENCY: National Archives and Records Administration. ACTION: Notice of availability of DEPARTMENT OF JUSTICE DEPARTMENT OF JUSTICE proposed records schedules; request for comments. Antitrust Division Antitrust Division SUMMARY: The National Archives and Notice Pursuant to the National Notice Pursuant to the National Records Administration (NARA) Cooperative Research and Production Cooperative Research and Production publishes notice of certain Federal Act of 1993—Border Security Act of 1993—Cable Television agency requests for records disposition Technology Consortium Laboratories, Inc. authority (records schedules). We publish notice in the Federal Register Notice is hereby given that, on July Notice is hereby given that, on August and on regulations.gov for records 25, 2019, pursuant to Section 6(a) of the 12, 2019, pursuant to Section 6(a) of the schedules in which agencies propose to National Cooperative Research and National Cooperative Research and dispose of records they no longer need Production Act of 1993, 15 U.S.C. 4301 Production Act of 1993, 15 U.S.C. 4301 to conduct agency business. We invite et seq. (‘‘the Act’’), Border Security et seq. (‘‘the Act’’), Cable Television public comments on such records Technology Consortium (‘‘BSTC’’) has Laboratories, Inc. (‘‘CableLabs’’) has schedules. filed written notifications filed written notifications DATES: NARA must receive comments simultaneously with the Attorney simultaneously with the Attorney by October 21, 2019. General and the Federal Trade General and the Federal Trade ADDRESSES: You may submit comments Commission disclosing changes in its Commission disclosing changes in its by either of the following methods. You membership. The notifications were membership. The notifications were must cite the control number, which filed for the purpose of extending the filed for the purpose of extending the appears on the records schedule in Act’s provisions limiting the recovery of Act’s provisions limiting the recovery of parentheses after the name of the agency antitrust plaintiffs to actual damages antitrust plaintiffs to actual damages that submitted the schedule. under specified circumstances. under specified circumstances. • Federal eRulemaking Portal: http:// Specifically, Next Tier Concepts, Inc. Specifically, Schurz Communications, www.regulations.gov. • (NT Concepts), Vienna, VA; Zolon Tech, Inc., Mishawaka, IN; and Millicom Mail: Records Appraisal and Inc., Herndon, VA; Artel, LLC, Herndon, International Cellular, S.A., Coral Agency Assistance (ACR); National VA; OneGlobe LLC, Ashburn, VA; Gables, FL, have been added as parties Archives and Records Administration; Anthem Engineering, LLC, Elkridge, to this venture. 8601 Adelphi Road; College Park, MD 20740–6001. MD; Perfect Sense, Inc., Reston, VA; and No other changes have been made in Cambridge International Systems, Inc., FOR FURTHER INFORMATION CONTACT: either the membership or planned Records Management Operations by Arlington, VA, have been added as activity of the group research project. parties to this venture. email at [email protected], by Membership in this group research mail at the address above, or by phone Also, TKK Electronics, LLC, project remains open, and CableLabs at 301–837–1799. Milwaukee, WI; Fairlead Integrated LLC, intends to file additional written SUPPLEMENTARY INFORMATION: Portsmouth, VA; Analogic Corporation, notifications disclosing all changes in Peabody, MA; and PwC Public Sector, membership. Public Comment Procedures McLean, VA, have withdrawn as parties On August 8, 1988, CableLabs filed its We are publishing notice of records to this venture. original notification pursuant to Section schedules in which agencies propose to No other changes have been made in 6(a) of the Act. The Department of dispose of records they no longer need either the membership or planned Justice published a notice in the Federal to conduct agency business. We invite activity of the group research project. Register pursuant to Section 6(b) of the public comments on these records Membership in this group research Act on September 7, 1988 (53 FR schedules, as required by 44 U.S.C. project remains open, and BSTC intends 34593). 3303a(a), and list the schedules at the end of this notice by agency and to file additional written notifications The last notification was filed with subdivision requesting disposition disclosing all changes in membership. the Department on February 14, 2019. A authority. On May 30, 2012, BSTC filed its notice was published in the Federal In addition, this notice lists the original notification pursuant to Section Register pursuant to Section 6(b) of the organizational unit(s) accumulating the 6(a) of the Act. The Department of Act on March 5, 2019 (84 FR 7935). records or states that the schedule has Justice published a notice in the Federal agency-wide applicability. It also Suzanne Morris, Register pursuant to Section 6(b) of the provides the control number assigned to Act on June 18, 2012 (77 FR 36292). Chief, Premerger and Division Statistics Unit, each schedule, which you will need if Antitrust Division. you submit comments on that schedule. The last notification was filed with [FR Doc. 2019–19076 Filed 9–3–19; 8:45 am] the Department on April 18, 2019. A We have uploaded the records BILLING CODE 4410–11–P schedules and accompanying appraisal notice was published in the Federal memoranda to the regulations.gov

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docket for this notice as ‘‘other’’ of an agency or one of its major 16. National Archives and Records documents. Each records schedule subdivisions. Most schedules, however, Administration, Research Services, Internal contains a full description of the records cover records of only one office or Disposal for RG 84 (N2–084–19–001). at the file unit level as well as their program or a few series of records. Many 17. Office of Personnel Management, Agency-wide, Combined Federal Campaign proposed disposition. The appraisal of these update previously approved (DAA–0478–2018–0004). memorandum for the schedule includes schedules, and some include records information about the records. proposed as permanent. Laurence Brewer, We will post comments, including Agencies may not destroy Federal Chief Records Officer for the U.S. any personal information and records without the approval of the Government. attachments, to the public docket Archivist of the United States. The [FR Doc. 2019–19033 Filed 9–3–19; 8:45 am] unchanged. Because comments are Archivist grants this approval only after BILLING CODE 7515–01–P public, you are responsible for ensuring thorough consideration of the records’ that you do not include any confidential administrative use by the agency of or other information that you or a third origin, the rights of the Government and OFFICE OF NATIONAL DRUG party may not wish to be publicly of private people directly affected by the CONTROL POLICY posted. If you want to submit a Government’s activities, and whether or comment with confidential information not the records have historical or other Appointment of Members of Senior or cannot otherwise use the value. Public review and comment on Executive Service Performance Review regulations.gov portal, you may contact these records schedules is part of the Board [email protected] for Archivist’s consideration process. instructions on submitting your AGENCY: Office of National Drug Control comment. Schedules Pending Policy (ONDCP). We will consider all comments 1. Department of Agriculture, Farm Service ACTION: Notice of appointments. submitted by the posted deadline and Agency, Acreage Determinations (DAA– consult as needed with the Federal 0145–2018–0003). SUMMARY: The following persons have agency seeking the disposition 2. Department of the Army, Agency-wide, been appointed to the ONDCP Senior authority. After considering comments, Donations Records (DAA–AU–2017–0021). Executive Service Performance Review we will post on regulations.gov a 3. Department of the Army, Agency-wide, Board: Ms. Martha Gagne´ (as Chair), Mr. ‘‘Consolidated Reply’’ summarizing the Event Registration System Master Files Kemp Chester, Mr. Michael Gottlieb, (DAA–AU–2017–0023). and Dr. Terry Zobeck. comments, responding to them, and 4. Department of Defense, Office of the noting any changes we have made to the Secretary of Defense, Staff Action Control FOR FURTHER INFORMATION CONTACT: proposed records schedule. We will and Coordination Portal (DAA–0330–2016– Please direct any questions to Michael then send the schedule for final 0008). Passante, Acting General Counsel, (202) approval by the Archivist of the United 5. Department of Health and Human 395–6709, Office of National Drug States. You may elect at regulations.gov Services, National Institutes of Health, Control Policy, Executive Office of the to receive updates on the docket, Research Safety and Protection Records President, Washington, DC 20503. including an alert when we post the (DAA–0443–2019–0004). Dated: August 29, 2019. Consolidated Reply, whether or not you 6. Department of Health and Human Services, Office of the Assistant Secretary for submit a comment. You may request Michael Passante, Preparedness and Response, Recovery Acting General Counsel. additional information about the Coordination Training Records (DAA–0468– disposition process through the contact 2019–0002). [FR Doc. 2019–19077 Filed 9–3–19; 8:45 am] information listed above. 7. Department of Homeland Security, BILLING CODE 3280–F5–P We will post schedules on our Agency-wide, Organizational Ombudsman website in the Records Control Schedule Records (DAA–0563–2019–0001). (RCS) Repository, at https:// 8. Department of Homeland Security, NUCLEAR REGULATORY www.archives.gov/records-mgmt/rcs, Transportation Security Administration, COMMISSION after the Archivist approves them. The Special Mission Coverage (Quiet Skies) (DAA–0560–2019–0013). [NRC–2019–0158] RCS contains all schedules approved 9. Department of Homeland Security, since 1973. Transportation Security Administration, Information Collection: U.S. Nuclear Background Centralized Database for Revoked Airport ID Regulatory Commission Form 327, Media (DAA–0560–2019–0014). Special Nuclear Material and Source Each year, Federal agencies create 10. Department of Justice, Agency-wide, Material Physical Inventory Summary billions of records. To control this General DJ Number Files (DAA–0060–2017– Report, and NUREG/BR–0096, accumulation, agency records managers 0022). Instructions and Guidance for prepare schedules proposing retention 11. Department of Justice, Bureau of Completing Physical Inventory periods for records and submit these Alcohol, Tobacco, Firearms, and Explosives, Forensic Science and Fire Research Labs Summary Reports schedules for NARA’s approval. Once Case Files (DAA–0436–2019–0002). approved by NARA, records schedules 12. Department of Justice, Federal Bureau AGENCY: Nuclear Regulatory provide mandatory instructions on what of Investigation, Pre-Universal Case File Commission. happens to records when no longer Number (pre-UCFN) Remaining Records ACTION: Renewal of existing information needed for current Government (DAA–0065–2016–0006). collection; request for comment. business. The records schedules 13. Department of the Navy, Agency-wide, authorize agencies to preserve records of Logistics (DAA–NU–2019–0006). SUMMARY: The U.S. Nuclear Regulatory continuing value in the National 14. Department of the Treasury, Internal Commission (NRC) invites public Revenue Service, Tax Exempt and Archives or to destroy, after a specified Government Entities Records (DAA–0058– comment on the renewal of Office of period, records lacking continuing 2016–0004). Management and Budget (OMB) administrative, legal, research, or other 15. National Archives and Records approval for an existing collection of value. Some schedules are Administration, Research Services, Internal information. The information collection comprehensive and cover all the records Disposal for RG 43 (N2–043–19–001). is entitled, ‘‘NRC Form 327, Special

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Nuclear Material (SNM) and Source problems with ADAMS, please contact Physical Inventory Summary Report, Material (SM) Physical Inventory the NRC’s Public Document Room (PDR) and NUREG/BR–0096, Instructions and Summary Report, and NUREG/BR–0096, reference staff at 1–800–397–4209, 301– Guidance for Completing Physical Instructions and Guidance for 415–4737, or by email to pdr.resource@ Inventory Summary Reports. Completing Physical Inventory nrc.gov. A copy of the collection of 2. OMB approval number: 3150–0139. Summary Reports.’’ information and related instructions 3. Type of submission: Extension. DATES: Submit comments by November may be obtained without charge by 4. The form number, if applicable: 4, 2019. Comments received after this accessing ADAMS Accession No. NRC Form 327. date will be considered if it is practical ML19161A296. The supporting statement is available in ADAMS under 5. How often the collection is required to do so, but the Commission is able to or requested: Certain licensees ensure consideration only for comments Accession No. ML19161A295. • possessing strategic SNM are required to received on or before this date. NRC’s PDR: You may examine and purchase copies of public documents at report inventories on NRC Form 327 ADDRESSES: You may submit comments the NRC’s PDR, Room O1–F21, One every six months. Licensees possessing by any of the following methods: SNM of moderate strategic significance • White Flint North, 11555 Rockville Federal Rulemaking website: Go to must report every nine months. https://www.regulations.gov/ and search Pike, Rockville, Maryland 20852. • NRC’s Clearance Officer: A copy of Licensees possessing SNM of low for Docket ID NRC–2019–0158. Address the collection of information and related strategic significance must report questions about NRC docket IDs in instructions may be obtained without annually, except one licensee Regulations.gov to Jennifer Borges; charge by contacting NRC’s Clearance (enrichment facility) that must report its telephone: 301–287–9127; email: Officer, David Cullison, Office of the dynamic inventories every two months [email protected]. For technical Chief Information Officer, U.S. Nuclear and its static inventory annually. questions, contact the individual listed Regulatory Commission, Washington, 6. Who will be required or asked to in the FOR FURTHER INFORMATION DC 20555–0001; telephone: 301–415– respond: Fuel facility licensees CONTACT section of this document. 2084; email: Infocollects.Resource@ possessing SNM, i.e., enriched uranium, • Mail comments to: David Cullison, nrc.gov. plutonium, or U–233. Office of the Chief Information Officer, Mail Stop: O–1 F21, U.S. Nuclear B. Submitting Comments 7. The estimated number of annual responses: 68. Regulatory Commission, Washington, Please include Docket ID NRC–2019– DC 20555–0001. For additional 8. The estimated number of annual 0158 in the subject line of your respondents: 6. direction on obtaining information and comment submission, to ensure that the submitting comments, see ‘‘Obtaining NRC is able to make your comment 9. The estimated number of hours Information and Submitting Comments’’ submission available to the public in needed annually to comply with the in the SUPPLEMENTARY INFORMATION this docket. information collection requirement or section of this document. request: 272 hours (4 hours per response The NRC cautions you not to include × FOR FURTHER INFORMATION CONTACT: identifying or contact information in 68 responses). David Cullison, Office of the Chief comment submissions that you do not 10. Abstract: NRC Form 327 is Information Officer, U.S. Nuclear want to be publicly disclosed in your submitted by certain fuel cycle facility Regulatory Commission, Washington, comment submission. The NRC will licensees to account for SNM. The data DC 20555–0001; telephone: 301–415– post all comment submissions at https:// is used by the NRC to assess licensee 2084; email: Infocollects.Resource@ www.regulations.gov/ as well as enter material control and accounting nrc.gov. the comment submissions into ADAMS, programs and to confirm the absence of (or detect the occurrence of) SNM theft SUPPLEMENTARY INFORMATION: and the NRC does not routinely edit comment submissions to remove or diversion. NUREG/BR–0096 provides I. Obtaining Information and identifying or contact information. guidance and instructions for Submitting Comments If you are requesting or aggregating completing the form in accordance with the requirements appropriate for a A. Obtaining Information comments from other persons for submission to the NRC, then you should particular licensee. Please refer to Docket ID NRC–2019– inform those persons not to include III. Specific Requests for Comments 0158 when contacting the NRC about identifying or contact information that the availability of information for this they do not want to be publicly The NRC is seeking comments that action. You may obtain publicly- disclosed in their comment submission. address the following questions: available information related to this Your request should state that the NRC 1. Is the proposed collection of action by any of the following methods: does not routinely edit comment information necessary for the NRC to • Federal Rulemaking website: Go to submissions to remove such information properly perform its functions? Does the https://www.regulations.gov/ and search before making the comment information have practical utility? for Docket ID NRC–2019–0158. A copy submissions available to the public or 2. Is the estimate of the burden of the of the collection of information and entering the comment into ADAMS. information collection accurate? related instructions may be obtained without charge by accessing Docket ID II. Background 3. Is there a way to enhance the NRC–2019–0158 on this website. In accordance with the Paperwork quality, utility, and clarity of the • NRC’s Agencywide Documents Reduction Act of 1995 (44 U.S.C. information to be collected? Access and Management System Chapter 35), the NRC is requesting 4. How can the burden of the (ADAMS): You may obtain publicly- public comment on its intention to information collection on respondents available documents online in the request the OMB’s approval for the be minimized, including the use of ADAMS Public Documents collection at information collection summarized automated collection techniques or https://www.nrc.gov/reading-rm/ below. other forms of information technology? adams.html. To begin the search, select 1. The title of the information Dated at Rockville, Maryland, this 29th day ‘‘Begin Web-based ADAMS Search.’’ For collection: NRC Form 327, SNM and SM of August, 2019.

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For the Nuclear Regulatory Commission. applicants or employees who are in Estimated burden (hours) of the David C. Cullison, need of accommodations. collection of information: NRC Clearance Officer, Office of the Chief Request for Comment: Peace Corps a. Number of respondents: 29,331. Information Officer. invites comments on whether the b. Frequency of response: 2 times. [FR Doc. 2019–19047 Filed 9–3–19; 8:45 am] proposed collections of information are c. Completion time: 5 minutes. BILLING CODE 7590–01–P necessary for proper performance of the d. Annual burden hours: 4,888 hours. functions of the Peace Corps, including General Description of Collection: To whether the information will have better serve the Returned Volunteer PEACE CORPS practical use; the accuracy of the population and support the Third Goal, agency’s estimate of the burden of the 3GL has developed an RPCV Portal that Information Collection Request; proposed collection of information, allows Returned Peace Corps Volunteers Submission for OMB Review including the validity of the information (RPCVs) to update their contact to be collected; and, ways to minimize information, share stories, request AGENCY: Peace Corps. the burden of the collection of official documentation, view their ACTION: 60-Day notice and request for information on those who are to service history, and enroll in outreach comments. respond, including through the use of and marketing campaigns. The RPCV automated collection techniques, when Portal can only be accessed by SUMMARY: The Peace Corps will be appropriate, and other forms of Volunteers who have completed their submitting the following information information technology. Peace Corps service; neither current collection request to the Office of This notice is issued in Washington, DC, Volunteers, Trainees, applicants nor Management and Budget (OMB) for other members of the public will be able review and approval. The purpose of on August 28, 2019. Virginia Burke, to access the system. this notice is to allow 60 days for public Request for Comment: Peace Corps FOIA/Privacy Act Officer, Management. comment in the Federal Register invites comments on whether the preceding submission to OMB. We are [FR Doc. 2019–19003 Filed 9–3–19; 8:45 am] proposed collections of information are conducting this process in accordance BILLING CODE 6051–01–P necessary for proper performance of the with the Paperwork Reduction Act of functions of the Peace Corps, including 1995. whether the information will have PEACE CORPS DATES: Submit comments on or before practical use; the accuracy of the November 4, 2019. Information Collection Request; agency’s estimate of the burden of the ADDRESSES: Comments should be Submission for OMB Review proposed collection of information, addressed to Virginia Burke, FOIA/ including the validity of the information Privacy Act Officer. Virginia Burke can AGENCY: Peace Corps. to be collected; and, ways to minimize be contacted by telephone at 202–692– ACTION: 60-Day notice and request for the burden of the collection of 1887 or email at [email protected]. comments. information on those who are to Email comments must be made in text respond, including through the use of SUMMARY: The Peace Corps will be and not in attachments. automated collection techniques, when submitting the following information FOR FURTHER INFORMATION CONTACT: appropriate, and other forms of collection request to the Office of information technology. Virginia Burke, FOIA/Privacy Act Management and Budget (OMB) for Officer. Virginia Burke can be contacted review and approval. The purpose of This notice is issued in Washington, DC on August 28, 2019. by telephone at 202–692–1887 or email this notice is to allow 60 days for public at [email protected]. comment in the Federal Register Virginia Burke, SUPPLEMENTARY INFORMATION: preceding submission to OMB. We are FOIA/Privacy Act Officer, Management. Title: Reasonable Accommodation conducting this process in accordance [FR Doc. 2019–18972 Filed 9–3–19; 8:45 am] Request Form. with the Paperwork Reduction Act of BILLING CODE 6051–01–P OMB Control Number: 0420-****. 1995. Type of Request: New. DATES: Submit comments on or before Affected Public: Individuals. SECURITIES AND EXCHANGE November 4, 2019. Respondents Obligation to Reply: COMMISSION Voluntary. ADDRESSES: Comments should be Burden to the Public: addressed to Virginia Burke, FOIA/ [Release No. 34–86794; File No. SR– Estimated burden (hours) of the Privacy Act Officer. Virginia Burke can NASDAQ–2019–067] be contacted by telephone at 202–692– collection of information: Self-Regulatory Organizations; The 1887 or email at [email protected]. a. Number of respondents: 1,000. Nasdaq Stock Market LLC; Notice of Email comments must be made in text b. Frequency of response: 1 time. Filing and Immediate Effectiveness of and not in attachments. c. Completion time: 10 minutes. a Proposed Rule Change To Amend d. Annual burden hours: 200 hours. FOR FURTHER INFORMATION CONTACT: The Nasdaq Options Market LLC General Description of Collection: The Virginia Burke can be contacted by (‘‘NOM’’) Pricing at Options 7 Peace Corps uses the Reasonable telephone at 202–692–1887 or email at Accommodation Request Form to [email protected]. August 28, 2019. collect essential information from SUPPLEMENTARY INFORMATION: Pursuant to Section 19(b)(1) of the medical providers and staff to facilitate Title: RPCV Portal. Securities Exchange Act of 1934 access of accommodations as required OMB Control Number: 0420–0558. (‘‘Act’’),1 and Rule 19b–4 thereunder,2 by Section 504 of the Rehabilitation Act. Type of Request: Renewal. notice is hereby given that on August Data collected will be used to validate Affected Public: Individuals. 22, 2019, The Nasdaq Stock Market LLC accommodation needs. These forms are Respondents Obligation to Reply: the first documented point of contact Voluntary. 1 15 U.S.C. 78s(b)(1). between the Peace Corps and its Burden to the Public: 2 17 CFR 240.19b–4.

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(‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the CTI Ports 4 and FIX DROP Ports 5 to new not require a Participant to acquire any Securities and Exchange Commission FIX Ports, CTI Ports and FIX DROP additional ports, rather the migration (‘‘Commission’’) the proposed rule Ports, during the month of August 2019, requires a new port to replace any change as described in Items I and II, in connection with an upcoming existing ports provided the Participant below, which Items have been prepared technology infrastructure migration.6 desired to maintain the same number of by the Exchange. The Commission is With this rule change, the Exchange ports.8 A Participant desiring to enter publishing this notice to solicit proposes to not assess a fee for orders into NOM is required to obtain 1 comments on the proposed rule change duplicative FIX Ports, CTI Ports and FIX FIX Port. A Participant may also obtain from interested persons. DROP Ports to new FIX Ports, CTI Ports order and execution ports, such as a CTI and FIX DROP Ports, during the month Port and/or a FIX DROP Port, to receive I. Self-Regulatory Organization’s of September 2019 to allow additional clearing and execution messages. The Statement of the Terms of Substance of time for the Exchange to migrate its number of additional FIX or order and the Proposed Rule Change technology. execution ports obtained by a The Exchange proposes to amend The Description of Migration and Pricing Participant is dependent on the Nasdaq Options Market LLC (‘‘NOM’’) Impact Participant’s business needs. pricing at Options 7, Section 3 titled ‘‘Nasdaq Options Market—Ports and In connection with this migration, Applicability to and Impact on 9 Other Services.’’ The amendment will Participants may request new FIX Ports, Participants CTI Ports and FIX DROP Ports during describe the pricing with respect to an The proposal is not intended to upcoming technology infrastructure the month of September 2019, which are duplicative of the type and quantity of impose any additional fees on any NOM migration. Participants. All Participants may enter While the changes proposed herein their current ports, at no additional cost to allow for testing of the new ports and orders on NOM. As noted above, a NOM are effective upon filing, the Exchange Participant may enter all orders on has designated the amendments become allow for continuous connection to the match engine during the transition NOM through one FIX Port. The operative on September 3, 2019. Exchange does not require a NOM period.7 For example, a NOM The text of the proposed rule change Participant to obtain more than one FIX Participant with 3 FIX Ports, 1 CTI Port is available on the Exchange’s website at Port, however, a Participant may obtain and 1 FIX DROP Port on September 3, http://nasdaq.cchwallstreet.com, at the multiple FIX Ports, a CTI Port or a FIX 2019 could request 3 new FIX Ports, 1 principal office of the Exchange, and at DROP Port to meet its individual CTI Port and 1 FIX DROP Port for the the Commission’s Public Reference business needs. This proposal is month of September 2019 at no Room. intended to permit a NOM Participant to additional cost. The NOM Participant migrate its current FIX Ports, CTI Ports II. Self-Regulatory Organization’s would be assessed only for the legacy and FIX DROP Ports at no additional Statement of the Purpose of, and market ports, in this case 3 FIX Ports, 1 costs during the month of September Statutory Basis for, the Proposed Rule CTI Port and 1 FIX DROP Port, for the 2019 to allow for continuous connection Change month of September 2019 and would to the Exchange. Participants would not be assessed for the new ports, which In its filing with the Commission, the only be assessed a fee for their current are duplicative of the current ports. A Exchange included statements FIX Ports, CTI Ports and FIX DROP Participant may acquire any additional concerning the purpose of and basis for Ports and not be assessed a fee for any legacy ports during the month of the proposed rule change and discussed new duplicative ports they acquire in September 2019 and would be assessed any comments it received on the connection with the technology the charges indicated in the current proposed rule change. The text of these infrastructure migration. This proposal Pricing Schedule. The migration does statements may be examined at the is not intended to have a pricing impact. places specified in Item IV below. The Exchange has prepared summaries, set 4 Clearing Trade Interface (‘‘CTI’’) is a real-time 2. Statutory Basis clearing trade update message that is sent to a forth in sections A, B, and C below, of Participant after an execution has occurred and The Exchange believes that its the most significant aspects of such contains trade details specific to that Participant. statements. The information includes, among other things, the proposal is consistent with Section 6(b) following: (i) The Clearing Member Trade A. Self-Regulatory Organization’s Agreement or ‘‘CMTA’’ or The Options Clearing 8 The migration is 1:1 and therefore would not Statement of the Purpose of, and Corporation or ‘‘OCC’’ number; (ii) Exchange badge require a Participant to acquire new ports, nor or house number; (iii) the Exchange internal firm would it reduce the number of ports needed to Statutory Basis for, the Proposed Rule identifier; (iv) an indicator which will distinguish Change connect. electronic and non-electronically delivered orders; 9 On May 21, 2019, the SEC Division of Trading (v) liquidity indicators and transaction type for 1. Purpose and Markets (the ‘‘Division’’) issued fee filing billing purposes; and (vi) capacity. See Chapter VI, guidance titled ‘‘Staff Guidance on SRO Rule The Exchange proposes to amend Section 19(b)(1). Filings Relating to Fees’’ (‘‘Guidance’’). Within the 5 FIX DROP is a real-time order and execution NOM pricing at Options 7, Section 3 Guidance, the Division noted, among other things, update message that is sent to a Participant after an that the purpose discussion should address ‘‘how titled ‘‘Nasdaq Options Market—Ports order been received/modified or an execution has the fee may apply differently (e.g., additional cost and Other Services.’’ The Exchange occurred and contains trade details specific to that vs. additional discount) to different types of market previously filed a fee proposal to not Participant. The information includes, among other participants (e.g., market makers, institutional things, the following: (i) Executions; (ii) assess a fee for duplicative FIX Ports,3 brokers, retail brokers, vendors, etc.) and different cancellations; (iii) modifications to an existing sizes of market participants.’’ See Guidance order; and (iv) busts or post-trade corrections. See (available at https://www.sec.gov/tm/staff-guidance- 3 Financial Information eXchange’’ or ’’ FIX’’ is an Chapter VI, Section 19(b)(3). sro-rule-filings-fees). The Guidance also suggests interface that allows Participants and their 6 See Securities Exchange Act Release No. 86507 that the purpose discussion should include Sponsored Customers to connect, send, and receive (July 29, 2019), 84 FR 37934 (August 2, 2019) (SR– numerical examples. Where possible, the Exchange messages related to orders to and from the NASDAQ–2019–056). is including numerical examples. In addition, the Exchange. Features include the following: (1) 7 Participants would contact Market Operations to Exchange is providing data to the Commission in Execution messages; (2) order messages; and (3) risk acquire new duplicative FIX Ports, CTI Ports and support of its arguments herein. The Guidance protection triggers and cancel notifications. See FIX DROP Ports. See Options Technical Update covers all aspects of a fee filing, which the Chapter VI, Section 21(a)(i)(A). #2019–3. Exchange has addressed throughout this filing.

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of the Act,10 in general, and furthers the rather the proposal is intended to permit C. Self-Regulatory Organization’s objectives of Sections 6(b)(4) and 6(b)(5) NOM Participants to migrate their FIX Statement on Comments on the of the Act,11 in particular, in that it Ports, CTI Ports and FIX DROP Ports to Proposed Rule Change Received From provides for the equitable allocation of new technology at no additional cost Members, Participants, or Others reasonable dues, fees and other charges during the month of September 2019. No written comments were either among members and issuers and other This proposal, which offers new solicited or received. persons using any facility, and is not duplicative ports to Participants at no III. Date of Effectiveness of the designed to permit unfair cost, will allow Participants to test and Proposed Rule Change and Timing for discrimination between customers, maintain continuous connection to the issuers, brokers, or dealers. The Commission Action Exchange during the month of proposal is also consistent with Section September 2019. The foregoing rule change has become 11A of the Act relating to the effective pursuant to Section establishment of the national market The Proposal Represents an Equitable 19(b)(3)(A)(ii) of the Act.14 system for securities. Moreover, the Allocation and is Not Unfairly At any time within 60 days of the Exchange believes that its proposal Discriminatory filing of the proposed rule change, the complies with Commission guidance on Commission summarily may SRO fee filings that the Commission The Exchange believes its proposal temporarily suspend such rule change if Staff issued on May 21, 2019.12 allocates its fees fairly among its market it appears to the Commission that such The Proposal is Reasonable participants. The proposal is equitable action is: (i) Necessary or appropriate in and not unfairly discriminatory. All the public interest; (ii) for the protection The Exchange’s proposal is reasonable Participants may enter orders on NOM. of investors; or (iii) otherwise in in several respects. As a threshold As noted above, a NOM Participant may furtherance of the purposes of the Act. matter, the Exchange is subject to enter all orders on NOM through one If the Commission takes such action, the significant competitive forces in the FIX Port. The Exchange does not require Commission shall institute proceedings market for options transaction services a NOM Participant to obtain more than to determine whether the proposed rule that constrain its pricing determinations should be approved or disapproved. in that market. The fact that this market one FIX Port, however, a Participant is competitive has long been recognized may obtain multiple FIX Ports, a CTI IV. Solicitation of Comments by the courts. In NetCoalition v. Port or a FIX DROP Port to meet its Interested persons are invited to Securities and Exchange Commission, individual business needs. This submit written data, views, and the D.C. Circuit stated as follows: ‘‘[n]o proposal is not intended to have a arguments concerning the foregoing, one disputes that competition for order pricing impact to any NOM Participant. including whether the proposed rule flow is ‘fierce.’ . . . As the SEC B. Self-Regulatory Organization’s change is consistent with the Act. explained, ‘[i]n the U.S. national market Statement on Burden on Competition Comments may be submitted by any of system, buyers and sellers of securities, the following methods: and the broker-dealers that act as their The Exchange does not believe that Electronic Comments order-routing agents, have a wide range the proposed rule change will impose • of choices of where to route orders for any burden on competition not Use the Commission’s internet execution’; [and] ‘no exchange can necessary or appropriate in furtherance comment form (http://www.sec.gov/ afford to take its market share of the purposes of the Act. rules/sro.shtml); or percentages for granted’ because ‘no • Send an email to rule-comments@ exchange possesses a monopoly, Inter-Market Competition sec.gov. Please include File Number SR– regulatory or otherwise, in the execution NASDAQ–2019–067 on the subject line. The proposal does not impose an of order flow from broker Paper Comments dealers’....’’13 undue burden on inter-market Numerous indicia demonstrate the competition. This proposal does not • Send paper comments in triplicate competitive nature of this market. For amend pricing or functionality. Rather, to Secretary, Securities and Exchange example, clear substitutes to the this technology migration will enable Commission, 100 F Street NE, Exchange exist in the market for options NOM Participants to continue to Washington, DC 20549–1090. transaction services. The Exchange is connect to NOM, as is the case today, All submissions should refer to File one of several options venues to which for the entry of orders. Number SR–NASDAQ–2019–067. This market participants may direct their file number should be included on the order flow, and it represents a small Intra-Market Competition subject line if email is used. To help the Commission process and review your percentage of the overall market. The The proposal does not impose an comments more efficiently, please use Exchange believes its proposal is undue burden on intra-market reasonable because it will not cause a only one method. The Commission will competition. All Participants may enter pricing impact on any NOM Participant, post all comments on the Commission’s orders on NOM. As noted above, a NOM internet website (http://www.sec.gov/ 10 15 U.S.C. 78f(b). Participant may enter all orders on rules/sro.shtml). Copies of the 11 15 U.S.C. 78f(b)(4) and (5). NOM through one FIX Port. The submission, all subsequent 12 See Guidance, supra note 8. Although the Exchange does not require a NOM amendments, all written statements Exchange believes that this filing complies with the Participant to obtain more than one FIX with respect to the proposed rule Guidance, the Exchange does not concede that the Port, however, a Participant may obtain standards set forth in the Guidance are consistent change that are filed with the with the Exchange Act and reserves its right to multiple FIX Ports, a CTI Port or a FIX Commission, and all written challenge those standards through administrative DROP Port to meet its individual communications relating to the and judicial review, as appropriate. business needs. This proposal is not proposed rule change between the 13 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. Cir. 2010) (quoting Securities Exchange Act Release intended to have a pricing impact to any Commission and any person, other than No. 59039 (December 2, 2008), 73 FR 74770, 74782– NOM Participant. 83 (December 9, 2008) (SR–NYSEArca–2006–21)). 14 15 U.S.C. 78s(b)(3)(A)(ii).

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those that may be withheld from the solicit comments on the proposed rule testing at the portfolio level (which was public in accordance with the change, as modified by Partial a less precise description). provisions of 5 U.S.C. 552, will be Amendment No. 1 (hereafter referred to The amendments would reorganize available for website viewing and as the ‘‘proposed rule change’’), from the requirements of the policy with printing in the Commission’s Public interested persons. respect to daily back-testing, but would Reference Room, 100 F Street NE, not substantially change existing Washington, DC 20549, on official I. Clearing Agency’s Statement of the processes. As noted above, the business days between the hours of Terms of Substance of the Proposed amendments would provide for daily 10:00 a.m. and 3:00 p.m. Copies of the Rule Change back-testing at the Clearing Member filing also will be available for ICE Clear Europe Limited (‘‘ICE Clear account level. The amendments would inspection and copying at the principal Europe’’ or the ‘‘Clearing House’’) also provide that back-testing results office of the Exchange. All comments proposes to revise its Back-Testing would be reported to the Model received will be posted without change. Policy to make certain clarifications, Oversight Committee and CDS Risk Persons submitting comments are correct certain typographical errors and Committee on a monthly basis, cautioned that we do not redact or edit update governance processes. including an exceedance summary, an personal identifying information from example of which would be included in comment submissions. You should II. Clearing Agency’s Statement of the the Back-Testing Policy. submit only information that you wish Purpose of, and Statutory Basis for, the The provisions of the Back-Testing to make available publicly. All Proposed Rule Change Policy setting out portfolio construction submissions should refer to File for back-testing the production margin Number SR–NASDAQ–2019–067 and In its filing with the Commission, ICE model using special strategy portfolios should be submitted on or before Clear Europe included statements would be amended to add an additional September 25, 2019. concerning the purpose of and basis for strategy and also update strategy names the proposed rule change and discussed and clarify the use of bought and sold For the Commission, by the Division of any comments it received on the protection positions in the back-testing Trading and Markets, pursuant to delegated proposed rule change. The text of these authority.15 process. The portfolio construction of statements may be examined at the the additional strategy, iTraxx Senior Jill M. Peterson, places specified in Item IV below. ICE Assistant Secretary. Financial 5Y.OTR Arb, would be the Clear Europe has prepared summaries, same as the construction of the existing [FR Doc. 2019–19005 Filed 9–3–19; 8:45 am] set forth in sections (A), (B), and (C) special strategies but would relate only BILLING CODE 8011–01–P below, of the most significant aspects of to the iTraxx Senior Financials 5Y such statements. index. ICE Clear Europe regularly back SECURITIES AND EXCHANGE (A) Clearing Agency’s Statement of the tests using this additional strategy in COMMISSION Purpose of, and Statutory Basis for, the practice and is adding it to the policy to Proposed Rule Change reflect this practice. The amendments [Release No. 34–86782; File No. SR–ICEEU– would provide that with respect to each 2019–017] (a) Purpose specified strategy, for completeness, the opposite strategy would be taken into Self-Regulatory Organizations; ICE ICE Clear Europe is proposing to consideration. The other amendments Clear Europe Limited; Notice of Filing modify, update and reorganize certain are also generally intended to better of Proposed Rule Change, as Modified provisions of its Back-Testing Policy to reflect current practice. by Partial Amendment No. 1, Relating clarify certain test strategies, procedures The provisions of the policy relating to the ICE Clear Europe CDS Clearing and methodologies, correct certain to back testing of the Monte Carlo Back-Testing Policy (the ‘‘Back-Testing typographical errors and update (‘‘MC’) model would be revised to Policy’’). governance processes. clarify that back-tests are performed August 28, 2019. The amendments to the Back-Testing daily on the Spread Response Pursuant to Section 19(b)(1) of the Policy principally include various component of the Initial Margin using Securities Exchange Act of 1934 clarifications to the daily, weekly and ICE Clear Europe’s MC model rather (‘‘Act’’),1 and Rule 19b–4 thereunder,2 monthly back-testing performed by the than the worst among the scenario based notice is hereby given that on August Clearing House. As discussed herein, spread response approaches and the MC 19, 2019, ICE Clear Europe Limited the amendments would generally align approach. The back-test would be (‘‘ICE Clear Europe’’ or the ‘‘Clearing the Back-Testing Policy with the performed on individual Clearing House’’) filed with the Securities and Clearing House’s current back-testing Member accounts using the risk Exchange Commission (‘‘Commission’’) practices, and accordingly the approach for the Spread Response the proposed rule changes described in amendments are not intended to result Initial Margin (and accordingly Items I, II and III below, which Items in significant changes in back-testing references to specific quantiles for have been substantially prepared by ICE practices. ICE Clear Europe is thus testing have been removed). The back- Clear Europe. On August 27, 2019, ICE proposing to make these changes in tested risk measures would include the Clear Europe filed Partial Amendment order to make the policy more accurate, sum of the MC VaR and the basis risk, No. 1 to the proposed rule change.3 The clear and precise, in line with regulatory interest rate and recovery rate Commission is publishing this notice to requirements applicable to back-margin quantities. This amendment is intended back-testing and related suggestions of to clarify what is meant in the policy by 15 17 CFR 200.30–3(a)(12). its regulators. Certain amendments will ‘‘Monte Carlo back-testing’’, which is 1 15 U.S.C. 78s(b)(1). in particular clarify that back-testing is back-testing only the MC model and not 2 17 CFR 240.19b–4. done at the Clearing Member account the stress based model. There would be 3 Partial Amendment No. 1 corrected an level,4 replacing existing references to no change to the current practice with inaccurate statement in the initial proposed rule respect to MC model back testing. The change but did not make any changes to the substance of the filing or the text of the proposed 4 Account for this purpose has the meaning amendments would also remove an rule change. specified in the Rules. unnecessary distinction depending on

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whether the indices are decomposed. In proposed amendments are designed to Rule 17Ad–22(e)(6)(vi)(A) 12 ICE Clear Europe’s view, this change modify the Back-Testing Policy to specifically requires clearing agencies to would improve the readability of the clarify certain risk management implement reasonably designed policies policy by clarifying that the basis risk practices for CDS Contracts including and procedures to conduct back-testing initial margin component is part of the back-testing strategies, the application of their margin model at least once each back-tested initial margin components. of the Monte Carlo method, and the day using standard predetermined This amendment would not change frequency of back-testing and reporting parameters and assumptions. In current practices. of results. The amendments would also compliance with these requirements, The section regarding the full period adopt various enhancements to the proposed amendments to the Back- back-testing results setting out the review and governance processes for Testing Policy specify that ICE Clear manner in which the back-tested those policies. In ICE Clear Europe’s Europe must perform daily portfolio- component of initial margin and the view, the amendments will not result in level back-testing analysis at a 99.5% profit and loss results for every back- a significant change in its back-testing quantile based on the individual tested day are reported for each Clearing practices, but will improve the accuracy Clearing Member accounts as of the Member for daily portfolio back-testing and clarity of the Back-Testing Policy. back-testing date. Back-testing results would be removed as the reporting As such, the amendments are consistent would also reviewed on a daily basis by requirements have been consolidated with the continued overall risk the Clearing Risk Department. into a different section of the policy. management of the Clearing House, and Pursuant to Rule 17Ad– The amendments would make certain with the prompt and accurate clearance 22(e)(6)(vi)(B) 13 a clearing agency must changes to the Basel Traffic Light of transactions and the public interest in have policies and procedures reasonably System exceedance summaries. sound operation of clearing agencies, designed to review its parameters and Pursuant to the amendments, back- within the meaning of Section assumptions for back-testing its margin testing results of the production model 17A(b)(3)(F).8 As the amendments model on at least a monthly basis. The for each Clearing Member’s account, would enhance the Back-Testing Policy proposed amendments to the Back- special-strategy back-testing results of as its relates to Clearing House margin Testing Policy, as discussed above, are the production model and back-testing models, the amendments would also be consistent with these requirements, as results of the MC model for each consistent with requirements relating to they provide that reviews of the back- Clearing Member’s account would be safeguarding of funds and securities in test results must be reported to the reported at least monthly to align the the custody or control of the Clearing Model Oversight Committee and CDS frequency of the reporting to the House or for which it is responsible, Risk Committee on a monthly basis. As relevant regulatory requirement under within the meaning of that section. a result, ICE Clear Europe believes that Commission Rule 17Ad–22(b)(2).5 Accordingly, the amendments satisfy these amendments to the Back-Testing Various other changes would also be Policy are in compliance with Rule made to correct typographical and the requirements of Section 17A(b)(3)(F).9 17Ad–22(e)(6)(vi)(B).14 similar errors and to clarify use of Rule 17Ad–22(e)(2) 15 requires certain defined terms and references. ICE Clear Europe also believes that clearing agencies to establish reasonably Certain outdated references to testing the amendments for similar reasons are quantiles of 99% and 99.25% would be consistent with specific requirements of 12 17 CFR 240.17Ad-22(e)(6)(vi)(A). The rule removed, as they are lower than the Rule 17Ad–22.10 Through providing states that ‘‘[e]ach covered clearing agency shall minimum 99.5% quantile prescribed by additional details and examples and establish, implement, maintain and enforce written the European Market Infrastructure enhancing overall clarity of the Back- policies and procedures reasonably designed to, as Regulation (EMIR) for over the counter applicable: Testing Policy, the amendments are (6) Cover, if the covered clearing agency provides 11 (OTC) contracts. consistent with Rule 17Ad–22(e)(3)(i), central counterparty services, its credit exposures to (b) Statutory Basis which requires clearing agencies to have its participants by establishing a risk-based margin reasonably designed policies and system that, at a minimum: ICE Clear Europe believes that the procedures that, at a minimum, include (vi) Is monitored by management on an ongoing changes described herein are consistent basis and is regularly reviewed, tested, and verified risk management policies, procedures, by: with the requirements of Section 17A of and systems designed to identify, 6 A. Conducting backtests of its margin model at the Act and the regulations thereunder measure, monitor, and manage the range least once each day using standard predetermined applicable to it. Section 17A(b)(3)(F) of of risks that arise in or are borne by a parameters and assumptions’’. the Act 7 in particular requires, among clearing agency. 13 17 CFR 240.17Ad–22(e)(6)(vi)(B). The rule other things, that the rules of the states that ‘‘[e]ach covered clearing agency shall establish, implement, maintain and enforce written clearing agency be designed to promote 8 15 U.S.C. 78q–1(b)(3)(F). policies and procedures reasonably designed to, as the prompt and accurate clearance and 9 15 U.S.C. 78q–1(b)(3)(F). applicable: settlement of securities transactions 10 17 CFR 240.17Ad–22. (6) Cover, if the covered clearing agency provides and, to the extent applicable, derivative 11 17 CFR 240.17 Ad–22(e)(3)(i). The rule states central counterparty services, its credit exposures to agreements, contracts and transactions, that ‘‘[e]ach covered clearing agency shall establish, its participants by establishing a risk-based margin to assure the safeguarding of securities implement, maintain and enforce written policies system that, at a minimum: and procedures reasonably designed to, as (vi) Is monitored by management on an ongoing and funds in the custody or control of applicable: basis and is regularly reviewed, tested, and verified the clearing agency or for which it is (3) Maintain a sound risk management framework by: responsible and the protection of for comprehensively managing legal, credit, B. Conducting a sensitivity analysis of its margin investors, and, in general, protect liquidity, operational, general business, investment, model and a review of its parameters and investors and the public interest. The custody, and other risks that arise in or are borne assumptions for backtesting on at least a monthly by the covered clearing agency, which: basis, and considering modifications to ensure the (i) Includes risk management policies, backtesting practices are appropriate for 5 Such change would not preclude ICE Clear procedures, and systems designed to identify, determining the adequacy of the covered clearing Europe from sharing relevant reports with measure, monitor, and manage the range of risks agency’s margin resources’’. regulators more frequently as under current that arise in or are borne by the covered clearing 14 17 CFR 240.17Ad–22(e)(6)(vi)(B). practice. agency, that are subject to review on a specified 15 17 CFR 240.17 Ad–22(e)(2). The rule states that 6 15 U.S.C. 78q–1. periodic basis and approved by the board of ‘‘[e]ach covered clearing agency shall establish, 7 15 U.S.C. 78q–1(b)(3)(F). directors annually’’. implement, maintain and enforce written policies

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designed policies and procedures to Commission of any written comments business days between the hours of provide for governance arrangements received with respect to the proposed 10:00 a.m. and 3:00 p.m. Copies of such that are clear and transparent and rule change. filings will also be available for specify clear and direct lines of III. Date of Effectiveness of the inspection and copying at the principal responsibility. To facilitate compliance Proposed Rule Change and Timing for office of ICE Clear Europe and on ICE with this requirement, the proposed Commission Action Clear Europe’s website at https:// amendments to the Back-Testing Policy www.theice.com/clear-europe/ more clearly define the roles and Within 45 days of the date of regulation. All comments received will responsibilities of the CDS Risk publication of this notice in the Federal be posted without change. Persons Committee and Model Oversight Register or within such longer period submitting comments are cautioned that Committee to receive back-testing up to 90 days (i) as the Commission may we do not redact or edit personal results. designate if it finds such longer period identifying information from comment to be appropriate and publishes its submissions. You should submit only (B) Clearing Agency’s Statement on reasons for so finding or (ii) as to which Burden on Competition information that you wish to make the self-regulatory organization available publicly. All submissions ICE Clear Europe does not believe the consents, the Commission will: proposed rule changes would have any (A) By order approve or disapprove should refer to File Number SR–ICEEU– impact, or impose any burden, on the proposed rule change or 2019–017 and should be submitted on competition not necessary or (B) institute proceedings to determine or before September 25, 2019. appropriate in furtherance of the whether the proposed rule change For the Commission, by the Division of purpose of the Act. The amendments to should be disapproved. Trading and Markets, pursuant to delegated the Back-Testing Policy apply to all CDS 16 IV. Solicitation of Comments authority. Contracts and are intended to strengthen Jill M. Peterson, risk management relating to these Interested persons are invited to Assistant Secretary. products. ICE Clear Europe does not submit written data, views, and believe the amendments will have any arguments concerning the foregoing, [FR Doc. 2019–18997 Filed 9–3–19; 8:45 am] direct effect on Clearing Members, other including whether the proposed rule BILLING CODE 8011–01–P market participants or the market for change is consistent with the Act. cleared products generally. As a result, Comments may be submitted by any of ICE Clear Europe does not believe the the following methods: SECURITIES AND EXCHANGE COMMISSION amendments will materially affect the Electronic Comments cost of, or access to, clearing. To the • extent the amendments may have any Use the Commission’s internet [Release No. 34–86783; File No. SR–ICEEU– impact on margin levels, ICE Clear comment form (http://www.sec.gov/ 2019–014] Europe believes such changes will be rules/sro.shtml) or • appropriate in furtherance of the risk Send an email to rule-comments@ Self-Regulatory Organizations; ICE management of the Clearing House. sec.gov. Please include File Number SR– Clear Europe Limited; Order Approving Therefore, ICE Clear Europe does not ICEEU–2019–017 on the subject line. Proposed Rule Change Relating to the believe the proposed rule changes Paper Comments ICE Clear Europe CDS Default impose any burden on competition that Management Framework • Send paper comments in triplicate is inappropriate in furtherance of the to Secretary, Securities and Exchange purposes of the Act. August 28, 2019. Commission, 100 F Street NE, (C) Clearing Agency’s Statement on Washington, DC 20549–1090. I. Introduction Comments on the Proposed Rule All submissions should refer to File On June 25, 2019, ICE Clear Europe Change Received From Members, Number SR–ICEEU–2019–017. This file Limited (‘‘ICE Clear Europe,’’ the Participants or Others number should be included on the ‘‘Clearing House’’ or ‘‘ICEEU’’) filed Written comments relating to the subject line if email is used. To help the with the Securities and Exchange proposed amendments have not been Commission process and review your Commission (‘‘Commission’’), pursuant solicited or received by ICE Clear comments more efficiently, please use to Section 19(b)(1) of the Securities Europe. ICE Clear Europe will notify the only one method. The Commission will Exchange Act of 1934 (‘‘Act’’),1 and post all comments on the Commission’s Rule 19b–4 thereunder,2 a proposed rule and procedures reasonably designed to, as internet website (http://www.sec.gov/ change to revise its CDS Default applicable: rules/sro.shtml). Copies of the Management Framework (the (2) Provide for governance arrangements that: submission, all subsequent ‘‘Framework’’). The proposed rule (i) Are clear and transparent; amendments, all written statements change was published for comment in (ii) Clearly prioritize the safety and efficiency of with respect to the proposed rule the covered clearing agency; the Federal Register on July 16, 2019.3 change that are filed with the (iii) Support the public interest requirements in The Commission did not receive Commission, and all written Section 17A of the Act (15 U.S.C. 78q–1) applicable comments on the proposed rule change. to clearing agencies, and the objectives of owners communications relating to the and participants; proposed rule change between the For the reasons discussed below, the (iv) Establish that the board of directors and Commission and any person, other than Commission is approving the proposed senior management have appropriate experience rule change. and skills to discharge their duties and those that may be withheld from the responsibilities; public in accordance with the (v) Specify clear and direct lines of responsibility; provisions of 5 U.S.C. 552, will be 16 17 CFR 200.30–3(a)(12). 1 and available for website viewing and 15 U.S.C. 78s(b)(1). (vi) Consider the interests of participants’ 2 17 CFR 240.19b–4. customers, securities issuers and holders, and other printing in the Commission’s Public 3 Securities Exchange Act Release No. 86340 (July relevant stakeholders of the covered clearing Reference Room, 100 F Street NE, 10, 2019), 84 FR 33996 (July 16, 2019) (SR–ICEEU– agency.’’ Washington, DC 20549, on official 2019–014) (‘‘Notice’’).

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II. Description of the Proposed Rule • reflect the two means by which accordance with the Recovery Rule Change Customers would be able to participate Amendments. in auctions under the Proposed Auction ICE Clear Europe’s proposed rule D. Clearing Member Withdrawal change would amend its Framework to Procedures: (i) Via Clearing Member The proposed amendments to the be consistent with amendments to the following mutual agreement on Framework would reflect the ICE Clear Europe Clearing Rules (the participation terms; and (ii) via direct procedures for Clearing Member ‘‘Rules’’) to address default participation following (subject to Ö withdrawal as set out in the Recovery management, recovery and wind-down Customer contribution of 7.5 million to Rule Amendments, including both an for the CDS Contract Category default resources (in the case of initial ordinary course of business termination (‘‘Recovery Rule Amendments’’).4 The auctions) and certain other outside of a default and termination proposed changes to the Framework requirements); • during a cooling off period. relate primarily to auction procedures, summarize key distinctions reduced gains distribution, partial tear- between initial auctions and secondary E. Clearing Service Termination auctions under the Proposed Auction up, Clearing Member withdrawal and The amended Framework would also termination, clearing service Procedures; • delete the existing Clearing House reflect the Clearing House’s ability, termination, and governance during a under Rule 916 as proposed to be default. The changes would incorporate, approach to non-competitive bids, in light of the three tier methodology modified by the Recovery Rule summarize, and reflect these aspects of Amendments, to terminate the CDS the Recovery Rule Amendments. The approach to juniorization of the Guaranty Fund contribution provided clearing service under specified proposed changes would also make circumstances. various clarifying changes and for in the Recovery Rule Amendments; corrections to typographical errors.5 • remove the existing auction F. Governance schedule in the Framework, as it would A. Auction Procedures Pursuant to the proposed be superseded by the Proposed Auction amendments, the CDS Risk Committee In light of the Recovery Rule Procedures; and would be consulted on establishing the • Amendments referenced above, the remove the provisions in the terms of initial and secondary auctions proposed rule change would revise existing Framework for forced portfolio (including defining different auction several aspects of the Framework to allocation for positions for which ICE lots) and holding additional auctions adopt a set of new initial and secondary Clear Europe does not receive a formal and/or accepting a partial fill of an auction procedures. Specifically, the bid from any Non-Defaulting Clearing auction during the initial auction phase. Framework amendments would do the Members, consistent with the Recovery The CDS Risk Committee would be following: Rule Amendments. consulted, with the ultimate decision to • Clarify that in determining the B. Reduced Gains Distribution be made by the ICE Clear Europe Board auction portfolios, the Clearing House (or their delegate), with respect to a would consider wrong-way risk to non- The amendments would also add a number of matters, including: defaulting Clearing Members, among new section to the framework that • Whether to use CDS Guaranty Fund other listed factors; describes the use of reduced gains • contributions of non-defaulting Clearing clarify that upon completion of the distribution (‘‘RGD’’) as a recovery tool. Members to cover the cost of a direct auction, submission of resulting trade to The Framework would incorporate and liquidation outside of a default auction; the Trade Information Warehouse summarize key aspects of the Recovery • Whether to determine that an initial would be done under normal Clearing Rule Amendments relating to the use of default auction has failed due to House practices; RGD, including the methodology for • insufficient default resources; Clearing Members would no longer applying RGD to both the house and • Whether to invoke and/or continue be required to confirm to the Default customer accounts and the five RGD; Management Committee their intention consecutive business day limitation on • Whether to hold a secondary to bid in a particular auction; the use of RGD (following which partial auction, whether that auction has failed • no longer provide that the last bid tear-up may be conducted). The and in the event of failure, whether to submitted by the Clearing Member is the Framework would also provide hold additional secondary auctions; only bid considered once the bidding examples of the use of RGD. • In a secondary auction, whether to window is closed; reallocate default resources to a • C. Partial Tear-Up set a range for the minimum bid particular lot to permit a successful requirement for Clearing Members. The The amended Framework would auction of that lot; Framework provides examples of the reflect the Recovery Rule Amendments • In a final secondary auction, calculation of the minimum bid that permit the Clearing House to whether to accept a ‘‘partial fill’’ to the requirement for Clearing Members, proceed to partial tear-up as a final extent of available default resources for based on their respective CDS Guaranty default tool where the Clearing House is the relevant lot; Fund contributions as compared to the unable to close out all of the defaulter’s • Whether to implement a partial total CDS Guaranty Fund size; remaining positions through auctions tear-up; • provide several examples of the within the Clearing House’s remaining • Whether to terminate the clearing modified Dutch auction methodology resources. In a partial tear-up, the service in full; and used under the Proposed Auction Clearing House would terminate • Whether to bypass an initial default Procedures; positions of non-defaulting Clearing auction or bypass secondary default Members that exactly offset those in the management action(s). 4 File No. SR–ICEEU–2019–003. defaulting Clearing Member’s remaining 5 Capitalized terms used but not defined herein portfolio. The Framework would also G. Clarifying and Conforming have the meanings specified in the ICE Clear Amendments Europe Clearing Rules or the Framework. The describe procedures for the timing of following description of the proposed rule change partial tear-up and determination of the The Framework would also make is excerpted from the Notice, 84 FR 33996. relevant termination price, in clarifications and fix typographical

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errors. For example, the amendments procedures for utilizing the default rules Taken together, the Commission would remove an unnecessary provision made available by the Recovery Rule believes that the proposed rule changes that hedging traders are responsible for Amendments. The Commission believes will enhance ICEEU’s ability to preserve ensuring all hedge trades are correctly that by adding default procedures such financial resources during default and reflected in the trade capture system by as default auctions, RGDs, Clearing address business and operational risk in end of day (as the Clearing House is Member termination, and partial tear- an orderly manner, which in turn is responsible for such matters in up, ICEEU has included in its consistent with Section 17A(b)(3)(F) of accordance with its current practices); Framework multiple methods for the Act’s requirement for prompt and remove unnecessary details about managing losses and preserving accurate settlement and safeguarding of computer support for CDS Default resources in the default context. The securities and funds. Committee; remove an outdated trade Commission believes that this in turn workflow chart; clarify, consistent with will enhance ICEEU’s ability to restore For these same reasons, the current practice, that the Head of a matched book and limit its exposure Commission also believes that the Clearing Risk may postpone the to potential losses from clearing member proposed rule change is, in general, collateral sale with respect to defaults. For instance, the Commission consistent with the protection of liquidation of a defaulting Clearing believes that by amending the investors and the public interest. Member’s collateral without seeking Framework to clarify that in B. Consistency With Rule 17Ad–22(e)(2) advice of the CDS Default Committee; determining auction portfolios, ICEEU clarify that the risk team also consults will consider wrong-way risk to non- Rule 17Ad–22(e)(2) requires, in with the CDS Default Committee with defaulting clearing members, ICEEU relevant part, that ICE Clear Europe respect to establishing hedging positions enables its auction procedures to cope establish, implement, maintain, and with the non-defaulting Clearing with such risk. Additionally, by enforce written policies and procedures Members, in addition to the Head of providing examples of a modified Dutch reasonably designed to provide for Clearing Risk; and removing certain auction methodology, reflecting the two governance arrangements that are clear parts of Appendix A such as an means by which customers would be and transparent and that specify clear itemized example of auction position able to participate in an auction, and and direct lines of responsibility.10 data and a standard bidding template. summarizing the key distinctions between initial auctions and secondary The Commission believes that the III. Commission Findings auctions, the Commission believes that proposed rule change’s description of Section 19(b)(2)(C) of the Act directs the Framework is enhanced by the CDS Risk Committee and Board the Commission to approve a proposed providing customers with enhanced roles during a default event provide for rule change of a self-regulatory detail and certainty regarding the governance arrangements that are clear organization if it finds that the proposed auction procedures ICEEU would utilize and transparent and that specify clear rule change is consistent with the under the Framework. and direct lines of responsibility. requirements of the Act and the rules The Commission also believes that by Specifically, the proposed rule change and regulations thereunder applicable to adding detail about RGD in the would revise the Framework to provide the organization presenting it.6 For the Framework, ICEEU strengthens the that the CDS Risk Committee would be reasons given below, the Commission Framework with a tool that could limit consulted on establishing the terms of finds that the proposed rule change is losses in the event of a default. For initial and secondary auctions, holding consistent with Section 17A(b)(3)(F) of instance, RGD can be utilized to obtain additional auctions, and/or accepting a the Act 7 and Rules 17Ad–22(e)(2) and financial resources from non-defaulting partial fill of an auction during the (e)(13) thereunder.8 clearing members in the event default initial auction phase. Further, the CDS A. Consistency With Section resources are insufficient, thereby Risk Committee would be consulted 17A(b)(3)(F) of the Act forestalling the deterioration of the (with final decision residing with the clearing house’s financial condition. Section 17A(b)(3)(F) of the Act Board) with respect to a variety of Likewise, revising the Framework to requires, among other things, that the default matters described above, reflect the partial tear-up tool provides rules of ICE Clear Europe be designed to including whether to use the Guaranty ICEEU a final recovery tool in the event promote the prompt and accurate Fund contributions of non-defaulting that it is unable to clear out a defaulter’s clearance and settlement of securities clearing members to cover the remaining positions through auctions, transactions and, to the extent liquidation costs outside of a default which the Commission believes could applicable, derivative agreements, reduce further utilization of clearing auction, to determine that an initial contracts, and transactions, to assure the house resources. default has failed, to invoke or continue safeguarding of securities and funds RGD, to hold a secondary auction, to which are in the custody or control of Further, the Commission believes that by including updated procedures reallocate default resources to a ICE Clear Europe or for which it is particular lot, to accept partial fills, to responsible, and, in general, to protect reflecting the ability of clearing members to withdraw in both ordinary permit partial tear-ups, to terminate investors and the public interest.9 clearing services in full, or to bypass an As discussed above, the proposed rule course and default situations, clearing members will be better informed initial or secondary auction change would revise the Framework in management actions. Accordingly, the order to conform it with recent changes regarding withdrawal procedures and ICEEU will be better prepared to manage Commission believes that the proposed to the Recovery Rule Amendments. revisions to the Framework are Specifically, the proposed amendments this eventuality. Likewise, the reasonably designed to provide for would revise the Framework to include Commission believes that, by including procedures related to clearing service governance arrangements that are clear and transparent and that specify clear 6 15 U.S.C. 78s(b)(2)(C). termination in its Framework, ICEEU 7 15 U.S.C. 78q–1(b)(3)(F). will be more prepared to address and direct lines of responsibility. 8 17 CFR 240.17Ad–22(e)(2) and (e)(13). general business risk and operational 9 15 U.S.C. 78q–1(b)(3)(F). risk in an orderly fashion. 10 17 CFR 240.17Ad–22(e)(2).

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C. Consistency With Rule 17Ad– For the Commission, by the Division of the proposed rule change and discussed 22(e)(13) Trading and Markets, pursuant to delegated any comments it received on the 15 authority. proposed rule change. The text of these Rule 17Ad–22(e)(13) requires ICE Jill M. Peterson, statements may be examined at the Clear Europe to, in relevant part, Assistant Secretary. places specified in Item IV below. The establish, implement, maintain and [FR Doc. 2019–18998 Filed 9–3–19; 8:45 am] Exchange has prepared summaries, set enforce written policies and procedures BILLING CODE 8011–01–P forth in sections A, B, and C below, of reasonably designed to ensure that it has the most significant aspects of such the authority and operational capacity statements. to take timely action to contain losses SECURITIES AND EXCHANGE and liquidity demands and continue to COMMISSION A. Self-Regulatory Organization’s meet its obligations. Statement of the Purpose of, and [Release No. 34–86795; File No. SR–Phlx– Statutory Basis for, the Proposed Rule By amending the Framework to 2019–30] include the new default management Change and recovery tools in the Recovery Rule Self-Regulatory Organizations; Nasdaq 1. Purpose Amendments, the Commission believes PHLX LLC; Notice of Filing and that the proposal is consistent with Rule Immediate Effectiveness of a Proposed a. Purpose 17Ad–22(e)(13) because the various Rule Change To Amend Phlx Pricing at The Exchange proposes to amend recovery tools give ICEEU the authority Options 7, Section 9, Titled Other Phlx pricing at Options 7, Section 9 and capacity to timely contain losses Member Fees titled ‘‘Other Member Fees.’’ During the and liquidity demands. In particular, by month of September 2019, Phlx adding to the Framework a new section August 28, 2019. members will be required to transition that authorizes the use of RGD as a Pursuant to Section 19(b)(1) of the from current FIX Ports 3 and CTI Ports 4 recovery tool applied to customer and Securities Exchange Act of 1934 to new FIX Ports and CTI Ports in 1 2 house accounts in the event that its (‘‘Act’’), and Rule 19b–4 thereunder, connection with an upcoming remaining default resources are notice is hereby given that on August technology infrastructure migration. insufficient to ensure solvency, ICEEU 22, 2019, Nasdaq PHLX LLC (‘‘Phlx’’ or would strengthen its ability to meet ‘‘Exchange’’) filed with the Securities Description of Migration and Pricing obligations in the event of a default by and Exchange Commission Impact preserving its resources and limiting its (‘‘Commission’’) the proposed rule In connection with this migration, obligations to clearing members. change as described in Items I, II, and members will request new FIX Ports and Similarly, the proposed amendments III, below, which Items have been CTI Ports during the month of that permit ICEEU to proceed with a prepared by the Exchange. The September 2019, which are duplicative partial tear-up as a default tool when it Commission is publishing this notice to of the type and quantity of their current is unable to close out all of a defaulter’s solicit comments on the proposed rule ports, at no additional cost to allow for remaining positions through auctions change from interested persons. testing of the new ports and allow for would also enhance ICEEU’s ability to I. Self-Regulatory Organization’s continuous connection to the match manage defaults by terminating Statement of the Terms of Substance of engine during the transition period.5 For positions of non-defaulters that exactly the Proposed Rule Change example, a a Phlx member with 3 FIX offset those in the defaulting clearing The Exchange proposes to amend Ports and 1 CTI Port on September 3, member’s remaining portfolio and Phlx pricing at Options 7, Section 9 2019 could request 3 new FIX Ports and restore a matched book. The titled ‘‘Other Member Fees.’’ The 1 new CTI Port for the month of Commission believes that these tools, amendment will describe the pricing September 2019 at no additional cost. along with the Framework amendments with respect to an upcoming technology The Phlx member would be assessed discussed above, would promote infrastructure migration. only for the legacy market ports, in this ICEEU’s ability to preserve its resources While the changes proposed herein case 3 FIX Ports and 1 CTI Port for the and timely meet its obligations in are effective upon filing, the Exchange month of September 2019 and would extreme default events and are therefore has designated the amendments become not be assessed for the new ports, which consistent with Rule 17Ad–22(e)(13). operative on September 3, 2019. The text of the proposed rule change 3 Financial Information eXchange or ‘‘FIX’’ is an IV. Conclusion interface that allows members and their Sponsored is available on the Exchange’s website at Customers to connect, send, and receive messages On the basis of the foregoing, the http://nasdaqphlx.cchwallstreet.com/, related to orders and auction orders and responses Commission finds that the proposed at the principal office of the Exchange, to and from the Exchange. Features include the rule change is consistent with the and at the Commission’s Public following: (1) Execution messages; (2) order messages; and (3) risk protection triggers and cancel requirements of the Act, and in Reference Room. particular, with the requirements of notifications. See Rule 1080(a)(i)(A). 4 Clearing Trade Interface or ‘‘CTI’’ is a real-time 11 II. Self-Regulatory Organization’s Section 17A(b)(3)(F) of the Act and clearing trade update message that is sent to a Rules 17Ad–22(e)(2) and (e)(13) Statement of the Purpose of, and member after an execution has occurred and thereunder.12 Statutory Basis for, the Proposed Rule contains trade details specific to that member. The Change information includes, among other things, the It is therefore ordered pursuant to following: (i) The Clearing Member Trade Section 19(b)(2) of the Act 13 that the In its filing with the Commission, the Agreement or ‘‘CMTA’’ or ‘‘OCC’’ number; (ii) proposed rule change (SR–ICEEU–2019– Exchange included statements Exchange badge or house number; (iii) the Exchange 014) be, and hereby is, approved.14 concerning the purpose of and basis for internal firm identifier; (iv) an indicator which will distinguish electronic and non-electronically delivered orders; (v) liquidity indicators and 11 15 U.S.C. 78q–1(b)(3)(F). efficiency, competition, and capital formation. 15 transaction type for billing purposes; and (vi) 12 17 CFR 240.17Ad–22(e)(2) and (e)(13). U.S.C. 78c(f). capacity. See Rule 1070(b)(1). 13 15 U.S.C. 78s(b)(2). 15 17 CFR 200.30–3(a)(12). 5 Members would contact Market Operations to 14 In approving the proposed rule change, the 1 15 U.S.C. 78s(b)(1). acquire new duplicative FIX Ports and CTI Ports. Commission considered the proposal’s impact on 2 17 CFR 240.19b–4. See Options Technical Update #2019–3.

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are duplicative of the current ports. A 2. Statutory Basis Exchange believes its proposal is member may acquire any additional The Exchange believes that its reasonable because it will not cause a legacy ports during the month of proposal is consistent with Section 6(b) pricing impact on any Phlx member, September 2019 and would be assessed of the Act,8 in general, and furthers the rather the proposal is intended to permit the charges indicated in the current objectives of Sections 6(b)(4) and 6(b)(5) Phlx members to migrate their FIX Ports Pricing Schedule. The migration does of the Act,9 in particular, in that it and CTI Ports to new technology at no not require a member to acquire any provides for the equitable allocation of additional cost during the month of additional ports, rather the migration reasonable dues, fees and other charges September 2019. This proposal, which requires a new port to replace any among members and issuers and other offers duplicative ports to members at existing ports provided the member persons using any facility, and is not no cost, will allow members to test and desired to maintain the same number of designed to permit unfair maintain continuous connection to the ports.6 A member desiring to enter discrimination between customers, Exchange during the month of orders into Phlx is required to obtain 1 issuers, brokers, or dealers. The September 2019. FIX Port. A member may also obtain proposal is also consistent with Section The Proposal Represents an Equitable order and execution ports, such as a CTI 11A of the Act relating to the Allocation and Is Not Unfairly Port, to receive clearing messages. The establishment of the national market system for securities. Moreover, the Discriminatory number of additional FIX or order and Exchange believes that its proposal execution ports obtained by a member is complies with Commission guidance on The Exchange believes its proposal dependent on the member’s business SRO fee filings that the Commission allocates its fees fairly among its market needs. Staff issued on May 21, 2019.10 participants. The proposal is equitable and not unfairly discriminatory. All Applicability to and Impact on The Proposal Is Reasonable Members 7 members may enter orders on Phlx. As The Exchange’s proposal is reasonable noted above, a Phlx member may enter The proposal is not intended to in several respects. As a threshold all orders on Phlx through one FIX Port. impose any additional fees on any Phlx matter, the Exchange is subject to The Exchange does not require a Phlx members. All members may enter orders significant competitive forces in the member to obtain more than one FIX on Phlx. As noted above, a Phlx member market for options transaction services Port, however, a member may obtain may enter all orders on Phlx through that constrain its pricing determinations multiple FIX Ports or a CTI Port to meet one FIX Port. The Exchange does not in that market. The fact that this market its individual business needs. This is competitive has long been recognized require a Phlx member to obtain more proposal is not intended to have a by the courts. In NetCoalition v. than one FIX Port, however, a member Securities and Exchange Commission, pricing impact to any Phlx member. may obtain multiple FIX Ports or a CTI the D.C. Circuit stated as follows: ‘‘[n]o B. Self-Regulatory Organization’s Port to meet its individual business one disputes that competition for order Statement on Burden on Competition needs. This proposal is intended to flow is ‘fierce.’ . . . As the SEC permit a Phlx member to migrate its explained, ‘[i]n the U.S. national market The Exchange does not believe that current FIX Ports and CTI Ports at no system, buyers and sellers of securities, the proposed rule change will impose additional costs during the month of and the broker-dealers that act as their any burden on competition not September 2019 to allow for continuous order-routing agents, have a wide range necessary or appropriate in furtherance connection to the Exchange. Members of choices of where to route orders for of the purposes of the Act. would only be assessed a fee for their execution’; [and] ‘no exchange can current FIX Ports and CTI Ports and not afford to take its market share Inter-Market Competition percentages for granted’ because ‘no be assessed a fee for any new The proposal does not impose an exchange possesses a monopoly, duplicative ports they acquire in undue burden on inter-market regulatory or otherwise, in the execution connection with the technology competition. This proposal does not infrastructure migration. This proposal of order flow from broker 11 amend pricing or functionality. Rather, is not intended to have a pricing impact. dealers’....’’ Numerous indicia demonstrate the this technology migration will enable competitive nature of this market. For Phlx members to continue to connect to 6 The migration is 1:1 and therefore would not Phlx, as is the case today, for the entry require a member to acquire new ports, nor would example, clear substitutes to the it reduce the number of ports needed to connect. Exchange exist in the market for options of orders. 7 transaction services. The Exchange is On May 21, 2019, the SEC Division of Trading Intra-Market Competition and Markets (the ‘‘Division’’) issued fee filing one of several options venues to which guidance titled ‘‘Staff Guidance on SRO Rule market participants may direct their Filings Relating to Fees’’ (‘‘Guidance’’). Within the The proposal does not impose an Guidance, the Division noted, among other things, order flow, and it represents a small undue burden on intra-market that the purpose discussion should address ‘‘how percentage of the overall market. The competition. All members may enter the fee may apply differently (e.g., additional cost orders on Phlx. As noted above, a Phlx vs. additional discount) to different types of market 8 15 U.S.C. 78f(b). member may enter all orders on Phlx participants (e.g., market makers, institutional 9 15 U.S.C. 78f(b)(4) and (5). brokers, retail brokers, vendors, etc.) and different 10 See Guidance, supra note 7. Although the through one FIX Port. The Exchange sizes of market participants.’’ See Guidance Exchange believes that this filing complies with the does not require a Phlx member to (available at https://www.sec.gov/tm/staff-guidance- Guidance, the Exchange does not concede that the obtain more than one FIX Port, however, sro-rule-filings-fees). The Guidance also suggests standards set forth in the Guidance are consistent that the purpose discussion should include with the Exchange Act and reserves its right to a member may obtain multiple FIX Ports numerical examples. Where possible, the Exchange challenge those standards through administrative or a CTI Port to meet its individual is including numerical examples. In addition, the and judicial review, as appropriate. business needs. This proposal is not Exchange is providing data to the Commission in 11 NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. support of its arguments herein. The Guidance Cir. 2010) (quoting Securities Exchange Act Release intended to have a pricing impact to any covers all aspects of a fee filing, which the No. 59039 (December 2, 2008), 73 FR 74770, 74782– Phlx member. Exchange has addressed throughout this filing. 83 (December 9, 2008) (SR–NYSEArca–2006–21)).

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C. Self-Regulatory Organization’s those that may be withheld from the Global Markets applicable to Direct Statement on Comments on the public in accordance with the Listings. Proposed Rule Change Received From provisions of 5 U.S.C. 552, will be The text of the proposed rule change Members, Participants, or Others available for website viewing and is available on the Exchange’s website at No written comments were either printing in the Commission’s Public http://nasdaq.cchwallstreet.com, at the solicited or received. Reference Room, 100 F Street NE, principal office of the Exchange, and at Washington, DC 20549, on official the Commission’s Public Reference III. Date of Effectiveness of the business days between the hours of Room. Proposed Rule Change and Timing for 10:00 a.m. and 3:00 p.m. Copies of the II. Self-Regulatory Organization’s Commission Action filing also will be available for Statement of the Purpose of, and inspection and copying at the principal The foregoing rule change has become Statutory Basis for, the Proposed Rule office of the Exchange. All comments effective pursuant to Section Change 19(b)(3)(A)(ii) of the Act.12 received will be posted without change. At any time within 60 days of the Persons submitting comments are In its filing with the Commission, the filing of the proposed rule change, the cautioned that we do not redact or edit Exchange included statements Commission summarily may personal identifying information from concerning the purpose of and basis for temporarily suspend such rule change if comment submissions. You should the proposed rule change and discussed it appears to the Commission that such submit only information that you wish any comments it received on the action is: (i) Necessary or appropriate in to make available publicly. All proposed rule change. The text of these the public interest; (ii) for the protection submissions should refer to File statements may be examined at the of investors; or (iii) otherwise in Number SR–Phlx–2019–30 and should places specified in Item IV below. The furtherance of the purposes of the Act. be submitted on or before September 25, Exchange has prepared summaries, set If the Commission takes such action, the 2019. forth in sections A, B, and C below, of Commission shall institute proceedings For the Commission, by the Division of the most significant aspects of such to determine whether the proposed rule Trading and Markets, pursuant to delegated statements. 13 should be approved or disapproved. authority. A. Self-Regulatory Organization’s IV. Solicitation of Comments Jill M. Peterson, Statement of the Purpose of, and the Assistant Secretary. Interested persons are invited to Statutory Basis for, the Proposed Rule [FR Doc. 2019–19006 Filed 9–3–19; 8:45 am] submit written data, views, and Change BILLING CODE 8011–01–P arguments concerning the foregoing, 1. Purpose including whether the proposed rule Nasdaq recognizes that some change is consistent with the Act. SECURITIES AND EXCHANGE companies that have sold common Comments may be submitted by any of COMMISSION equity securities in private placements, the following methods: [Release No. 34–86792; File No. SR– which have not been listed on a national Electronic Comments NASDAQ–2019–059] securities exchange or traded in the • Use the Commission’s internet over-the-counter market pursuant to comment form (http://www.sec.gov/ Self-Regulatory Organizations; The FINRA Form 211 immediately prior to rules/sro.shtml); or Nasdaq Stock Market LLC; Notice of the initial pricing, may wish to list those • Send an email to rule-comments@ Filing of Proposed Rule Change To securities to allow existing shareholders sec.gov. Please include File Number SR– Adopt Requirements for the Nasdaq to sell their shares. Nasdaq previously Phlx–2019–30 on the subject line. Capital and Global Markets Applicable adopted requirements applicable to to Direct Listings such Direct Listings listing on the Paper Comments Nasdaq Global Select Market 3 and now August 28, 2019. • Send paper comments in triplicate proposes to adopt requirements for the Pursuant to Section 19(b)(1) of the to Secretary, Securities and Exchange Nasdaq Global and Capital Markets. Securities Exchange Act of 1934 Commission, 100 F Street NE, The proposed Listing Rules IM–5405– (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 Washington, DC 20549–1090. 1 and IM–5505–1 set forth the notice is hereby given that on August All submissions should refer to File additional listing requirements for 15, 2019, The Nasdaq Stock Market LLC Direct Listings on the Nasdaq Global Number SR–Phlx–2019–30. This file (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the number should be included on the and Capital Markets and describe how Securities and Exchange Commission the Exchange will calculate compliance subject line if email is used. To help the (‘‘SEC’’ or ‘‘Commission’’) the proposed Commission process and review your with the Nasdaq Global and Capital rule change as described in Items I, II, Markets initial listing standards related comments more efficiently, please use and III below, which Items have been only one method. The Commission will to the requirements based on the price prepared by the Exchange. The of a security, including the bid price, post all comments on the Commission’s Commission is publishing this notice to internet website (http://www.sec.gov/ Market Value of Listed Securities and solicit comments on the proposed rule Market Value of Unrestricted Publicly rules/sro.shtml). Copies of the change from interested persons. submission, all subsequent Held Shares.4 amendments, all written statements I. Self-Regulatory Organization’s with respect to the proposed rule Statement of the Terms of Substance of 3 Securities Exchange Act Release No. 85156 (February 15, 2019), 84 FR 5787 (February 22, 2019) change that are filed with the the Proposed Rule Change (the ‘‘2019 Rule Change’’). Nasdaq proposes to Commission, and all written The Exchange proposes to adopt insert the defined term ‘‘Direct Listing’’ into the communications relating to the requirements for the Nasdaq Capital and existing language of Listing Rule IM–5315–1 and proposed rule change between the update the title without further modification to that rule section. Commission and any person, other than 13 17 CFR 200.30–3(a)(12). 4 On March 21, 2019, Nasdaq filed with the 1 15 U.S.C. 78s(b)(1). Commission a proposed rule change to revise the 12 15 U.S.C. 78s(b)(3)(A)(ii). 2 17 CFR 240.19b–4. initial listing standards related to liquidity that,

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Nasdaq also proposes to modify requirements of Listing Rules IM–5315– • The valuation agent or any affiliated Nasdaq Rule 4753 to clarify that the 1(e) and (f). entity has been engaged to provide securities listed pursuant to Listing Under Listing Rule IM–5315–1(e), any investment banking services to the Rules IM–5405–1 and IM–5505–1 can be Valuation used for this purpose must be listing applicant in connection with the launched for trading using the same provided by an entity that has proposed listing or any related crossing mechanism available for IPOs significant experience and demonstrable financings or other related transactions. outlined in Rule 4120(c)(8) and Rule competence in the provision of such For a security that has had sustained 4753 (the ‘‘IPO Cross’’). valuations. The Valuation must be of a recent trading in a Private Placement Finally, the proposed Listing Rules recent date as of the time of the Market 7 prior to listing, Nasdaq will IM–5405–1 and IM–5505–1 require that approval of the company for listing and determine a company’s price, Market such securities must begin trading on the evaluator must have considered, Value of Listed Securities and Market Nasdaq following the initial pricing among other factors, the annual Value of Unrestricted Publicly Held through the IPO Cross. To allow such financial statements required to be shares based on the lesser of: (i) The initial pricing, the Company must: (i) included in the registration statement, value calculable based on the along with financial statements for any 8 Have a broker-dealer serving in the role Valuation and (ii) the value calculable completed fiscal quarters subsequent to of financial advisor to the issuer of the based on the most recent trading price the end of the last year of audited securities being listed, who is willing to in a Private Placement Market. financials included in the registration perform the functions under Rule To determine compliance with the statement. Nasdaq will consider any 4120(c)(8) that are performed by an price-based requirements and suitability market factors or factors particular to underwriter with respect to an initial for listing on the Exchange, Nasdaq will the listing applicant that would cause public offering and (ii) list upon examine the trading price trends for the concern that the value of the company effectiveness of a Securities Act of 1933 stock in the Private Placement Market had diminished since the date of the registration statement filed solely for the over a period of several months prior to Valuation and will continue to monitor purpose of allowing existing listing and will only rely on a Private the company and the appropriateness of shareholders to sell their shares. Placement Market price if it is relying on the Valuation up to the time consistent with a sustained history over Calculation of Price-Based Initial Listing of listing. Nasdaq may withdraw its that several month period evidencing a Requirements approval of the listing at any time prior market value in excess of Nasdaq’s to the listing date if it believes that the market value requirement. Nasdaq Direct Listings are subject to all initial Valuation no longer accurately reflects believes that the price from such listing requirements applicable to equity 6 the company’s likely market value. sustained trading in a Private Placement securities and, subject to applicable Under Listing Rule IM–5315–1(f), Market for the issuer’s securities is exemptions, the corporate governance Nasdaq requires that a valuation agent predictive of the price in the market for requirements set forth in the Rule 5600 will not be considered independent if: the common stock that will develop Series. To provide transparency to the • At the time it provides such upon listing of the securities on Nasdaq. initial listing process, the Exchange Valuation, the valuation agent or any Alternatively, in the absence of any proposes to adopt Listing Rules IM– affiliated person or persons beneficially recent sustained trading in a Private 5405–1 and IM–5505–1, which will own in the aggregate as of the date of the Placement Market over a period of state how the Exchange calculates the valuation, more than 5% of the class of several months,9 Nasdaq proposes to initial listing requirements based on the securities to be listed, including any require that a Valuation must evidence price of a security, including the bid right to receive any such securities a price, Market Value of Listed price, Market Value of Listed Securities exercisable within 60 days. Securities and Market Value of and Market Value of Unrestricted • The valuation agent or any affiliated Unrestricted Publicly Held Shares that Publicly Held shares for a Direct Listing entity has provided any investment exceed 200% of the otherwise on the Nasdaq Global and Capital banking services to the listing applicant applicable requirement. Thus, to list on Markets.5 within the 12 months preceding the date of the Valuation. For purposes of this the Nasdaq Global Market, the Valuation Unless Nasdaq determines to accept must evidence a minimum bid price of evidence of the security’s price based on provision, ‘‘investment banking services’’ includes, without limitation, at least $8 per share; Market Value of a tender offer by the company or a third Unrestricted Publicly Held Shares of party, a third-party transaction acting as an underwriter in an offering for the issuer; acting as a financial $16 million under the Income Standard; involving the company’s equity or Market Value of Unrestricted Publicly securities, or security sales by the adviser in a merger or acquisition; providing venture capital, equity lines Held Shares of $36 million under the company, as described in more detail Equity Standard; or Market Value of below, under Listing Rules IM–5405–1 of credit, PIPEs (private investment, public equity transactions), or similar Unrestricted Publicly Held Shares of and IM–5505–1, Nasdaq would $40 million and Market Value of Listed generally require that a company listing investments; serving as placement agent for the issuer; or acting as a member of on the Nasdaq Global and Capital 7 Nasdaq defines ‘‘Private Placement Market’’ in Markets through a Direct Listing provide a selling group in a securities Listing Rule 5005(a)(34) as a trading system for Nasdaq an independent third-party underwriting. unregistered securities operated by a national valuation (a ‘‘Valuation’’) that meets the securities exchange or a registered broker-dealer. 6 In addition, under Listing Rule 5101 Nasdaq has 8 As described in more detail below, under broad discretionary authority to deny initial listing, proposed Listing Rules IM–5405(a)(3) and IM– among other changes, added three new definitions apply additional or more stringent criteria for the 5505(a)(3), in lieu of a Valuation, Nasdaq may to define ‘‘restricted securities,’’ ‘‘unrestricted initial or continued listing of particular securities, accept certain other compelling evidence of the publicly held shares’’ and ‘‘unrestricted securities.’’ or suspend or delist particular securities based on security’s price, Market Value of Listed Securities This rule change was approved by the Commission any event, condition, or circumstance that exists or and Market Value of Unrestricted Publicly Held effective July 5, 2019 and operative August 5, 2019. occurs that makes initial or continued listing of the Shares. See Securities Exchange Act Release No. 86314 securities on Nasdaq inadvisable or unwarranted in 9 Limited trading in the Private Placement Market (July 5, 2019), 84 FR 33102 (July 11, 2019). the opinion of Nasdaq, even though the securities may not be sufficient for the Exchange to reach a 5 Substantive provisions of Listing Rules IM– meet all enumerated criteria for initial or continued conclusion that the company meets the applicable 5405–1 and IM–5505–1 are identical. listing on Nasdaq. price-based requirements.

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Securities of $150 million under the price-based requirements without a provided by the company must show a Market Value Standard; or Market Value Valuation. In such cases, Nasdaq may minimum bid price of at least $10 per of Unrestricted Publicly Held Shares of accept other compelling evidence of the share; Market Value of Unrestricted $40 million under the Total Assets/ security’s price, Market Value of Listed Publicly Held Shares of $20 million Total Revenue Standard.10 Securities and Market Value of under the Income Standard; or Market To list on the Nasdaq Capital Market, Unrestricted Publicly Held Shares, Value of Unrestricted Publicly Held the Valuation must generally evidence a including, a tender offer by the Shares of $45 million under the Equity minimum bid price of at least $8 per company or a third party, a third-party Standard; or Market Value of share; Market Value of Unrestricted transaction involving the company’s Unrestricted Publicly Held Shares of Publicly Held Shares of $10 million equity securities, or security sales by the $50 million and Market Value of Listed under the Net Income Standard; or Company. Securities of $187.5 million under the Market Value of Unrestricted Publicly In order to be considered compelling Market Value Standard; or Market Value Held Shares of $30 million under the evidence of the company’s value, of Unrestricted Publicly Held Shares of Equity Standard; or Market Value of Nasdaq proposes to require that such $50 million under the Total Assets/ Unrestricted Publicly Held Shares of transactions were recent, occurring Total Revenue Standard.13 $30 million and Market Value of Listed within the prior six months, and To list on the Nasdaq Capital Market, Securities of $100 million under the substantial in size, representing sales of such evidence must show a minimum Market Value Standard.11 at least 20% of the applicable Market bid price of at least $10 per share; Nasdaq believes that some companies Value of Unrestricted Publicly Held Market Value of Unrestricted Publicly that are clearly large enough to be Shares requirement.12 In addition, Held Shares of $12.5 million under the suitable for listing on the Exchange do Nasdaq expects such transactions to Net Income Standard; or Market Value not have sustained trading in their have been conducted at arm’s-length of Unrestricted Publicly Held Shares of securities on a Private Placement Market requiring that such transactions cannot $37.5 million under the Equity prior to going public and that a recent involve affiliates of the company unless Standard; or Market Value of Valuation indicating that the company such participation is of a de minimis Unrestricted Publicly Held Shares of exceeds 200% of the otherwise nature, such as where any affiliate’s $37.5 million and Market Value of applicable price-based requirement will participation was less than 5% of the Listed Securities of $125 million under give a significant degree of comfort that transaction (and all affiliates’ the Market Value Standard.14 the company will meet the applicable participation collectively was less than Nasdaq believes that such recent, price-based requirements upon 10% of the transaction), such substantial in size, arm’s-length commencement of trading. Nasdaq participation was suggested or required transactions in the Company’s believes that it is unlikely that any by unaffiliated investors and where the securities, with de minimis insider Valuation would reach a conclusion that affiliates did not participate in participation, indicating the company is incorrect to the degree necessary for negotiating the economic terms of the exceeds 250% of the otherwise a company using this provision to fail transaction. The examples of applicable price-based requirements to meet the applicable requirement transactions that could constitute will give a significant degree of comfort upon listing, in particular because any compelling evidence are not meant to be that the company will meet the Valuation used for this purpose must be exhaustive; however, Nasdaq will applicable price-based requirements provided by a valuation agent that meets consider other transactions or events as upon commencement of trading. In the independence requirements of constituting compelling evidence only if addition, Nasdaq believes that the new proposed Listing Rule IM–5315–1(f) and such transactions or events are requirement that such securities must has significant experience and substantially similar to those described begin trading on Nasdaq following the demonstrable competence in the by this rule. initial pricing through the IPO Cross provision of such valuations. In order to list on Nasdaq based on will help assure these securities begin Nasdaq further believes that in certain such evidence without a Valuation, trading close to their inherent value. unique circumstances a company that is Nasdaq proposes to require such Foreign Exchange Listings clearly large enough to be suitable for evidence to show that the security’s listing on the Exchange may provide price, Market Value of Listed Securities For a company transferring from a other compelling evidence to and Market Value of Unrestricted foreign regulated exchange where there demonstrate that it meets all applicable Publicly Held Shares exceed 250% of is a broad, liquid market for the the otherwise applicable requirement. 10 See Listing Rules 5405(a) and (b), which Thus, to list on the Nasdaq Global 13 See Listing Rules 5405(a) and (b), which generally require minimum bid price of at least $4 generally require minimum bid price of at least $4 per share; Market Value of Unrestricted Publicly Market, the compelling evidence per share; Market Value of Unrestricted Publicly Held Shares of $8 million under the Income Held Shares of $8 million under the Income Standard; or Market Value of Unrestricted Publicly 12 Listing Rule 5405(b) generally requires, for a Standard; or Market Value of Unrestricted Publicly Held Shares of $18 million under the Equity company listing on the Nasdaq Global Market, Held Shares of $18 million under the Equity Standard; or Market Value of Unrestricted Publicly Market Value of Unrestricted Publicly Held Shares Standard; or Market Value of Unrestricted Publicly Held Shares of $20 million and Market Value of of $8 million under the Income Standard; Market Held Shares of $20 million and Market Value of Listed Securities of $75 million under the Market Value of Unrestricted Publicly Held Shares of $18 Listed Securities of $75 million under the Market Value Standard; or Market Value of Unrestricted million under the Equity Standard; Market Value of Value Standard; or Market Value of Unrestricted Publicly Held Shares of $20 million under the Total Unrestricted Publicly Held Shares of $20 million Publicly Held Shares of $20 million under the Total Assets/Total Revenue Standard. under the Market Value Standard; or Market Value Assets/Total Revenue Standard. 11 See Listing Rules 5505(a) and (b), which of Unrestricted Publicly Held Shares of $20 million 14 See Listing Rules 5505(a) and (b), which generally require minimum bid price of at least $4 under the Total Assets/Total Revenue Standard. generally require minimum bid price of at least $4 per share; Market Value of Unrestricted Publicly Listing Rule 5505(b) generally requires, for a per share; Market Value of Unrestricted Publicly Held Shares of $5 million under the Net Income company listing on the Nasdaq Capital Market, Held Shares of $5 million under the Net Income Standard; or Market Value of Unrestricted Publicly Market Value of Unrestricted Publicly Held Shares Standard; or Market Value of Unrestricted Publicly Held Shares of $15 million under the Equity of $5 million under the Net Income Standard; Held Shares of $15 million under the Equity Standard; or Market Value of Unrestricted Publicly Market Value of Unrestricted Publicly Held Shares Standard; or Market Value of Unrestricted Publicly Held Shares of $15 million and Market Value of of $15 million under the Equity Standard; or Market Held Shares of $15 million and Market Value of Listed Securities of $50 million under the Market Value of Unrestricted Publicly Held Shares of $15 Listed Securities of $50 million under the Market Value Standard. million under the Market Value Standard. Value Standard.

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company’s shares, or listing on Nasdaq The 2014 Rule Change extended the to the initial pricing since 2014 22 and while trading on such exchange, Nasdaq safeguards contained in the IPO Cross to following the 2019 Rule Change. Nasdaq will determine that the company has securities that have not been listed on continues to believe that financial met the applicable price-based a national securities exchange or traded advisors to issuers seeking to utilize that requirements based on the recent in the over-the-counter market pursuant process are well placed to perform the trading in such market. Nasdaq believes to FINRA Form 211 immediately prior functions that are currently performed that the price of the issuer’s securities to the initial pricing and established by underwriters with respect to an from such broad and liquid trading is that a broker-dealer serving in the role initial public offering. predictive of the price in the market for of financial advisor to the issuer could In the 2019 Rule Change, Nasdaq the common stock that will develop serve in the same capacity for such elaborated on the role of a financial upon listing of the securities on Nasdaq. securities as the underwriter does for advisor to the issuer of a security that While this is consistent with Nasdaq’s IPOs. Specifically, Rule 4120(c)(9) is listing under IM–5315–1.23 Nasdaq current practice, Listing Rules IM– provides that the IPO Cross process now proposes to amend Rule 4753 to 5405–1(a)(4) and IM–5505–1(a)(4) will described in Rules 4120 and 4753 is clarify that securities listed pursuant to clarify that a company transferring from available to securities that have not been Listing Rules IM–5405–1 and IM–5505– a foreign regulated exchange where listed on a national securities exchange 1 can be launched for trading using the there is a broad, liquid market for the or traded in the over-the-counter market IPO Cross, subject to additional company’s shares or listing on the pursuant to FINRA Form 211 requirements in the proposed Listing Nasdaq Global or Capital Markets while immediately prior to the initial pricing Rules IM–5405–1 and IM–5505–1. trading on such exchange is not subject where ‘‘a broker-dealer serving in the Nasdaq also proposes to require that to the new requirements applicable to role of financial advisor to the issuer of all securities listed under Listing Rules Direct Listings. the securities being listed is willing to IM–5405–1 and IM–5505–1 must begin Clarification of the Role of a Financial perform the functions under Rule trading on Nasdaq following the initial Advisor in a Direct Listing 4120(c)(8) that are performed by an pricing through the IPO Cross. To that underwriter with respect to an initial end, Nasdaq proposes to cross reference In 2014, Nasdaq first adopted rules to public offering.’’ 18 Rule 4120(c)(8) in Listing Rules IM– allow the use of the Nasdaq IPO Cross 5405–1 and IM–5505–1 to require that to initiate trading in securities that have Rule 4753 provides the definition of Current Reference Price and a the company must have a broker-dealer not been listed on a national securities serving in the role of financial advisor exchange or traded in the over-the- description of the calculation of the to the issuer of the securities being counter market pursuant to FINRA Form price at which the Nasdaq Halt Cross listed, who is willing to perform the 211 immediately prior to the initial will occur.19 In each case, the applicable functions under Rule 4120(c)(8) that are pricing and described the role of price could be determined based on the performed by an underwriter with financial advisors in that process.15 At issuer’s IPO price.20 In the absence of an respect to an initial public offering. In that time, the Exchange added Rule IPO price from the underwriter, Nasdaq addition, Nasdaq proposes to require 4120(c)(9) 16 to set forth the process by believes that the only viable options are that each Company qualified for listing which trading commences in such to rely on a price from recent sustained under Listing Rules IM–5405–1 and IM– securities. Under that rule, securities of trading the Private Placement Market 21 5505–1 must list its securities upon companies that have not previously or one provided by the financial advisor been listed on a national securities to the company. effectiveness of a Securities Act of 1933 exchange or traded in the over-the- registration statement filed solely for the Nasdaq has successfully employed, in purpose of allowing existing counter market pursuant to FINRA Form limited circumstances, the IPO Cross for 211 immediately prior to listing on shareholders to sell their shares. securities that have not been listed on Finally, Nasdaq proposes to define Nasdaq can be launched for trading a national securities exchange or traded using the IPO Cross. Prior to that rule ‘‘Direct Listing’’ in Listing Rule IM– in the over-the-counter market pursuant 5315–1 and update the title without change, securities of companies that to FINRA Form 211 immediately prior were not conducting IPOs were released further modification to that rule section. using the Halt Cross outlined in Rule Nasdaq also proposes to update the have a material impact on the security, unless there reference to ‘‘direct listings under IM– 4120(c)(7), which differed from the IPO is an order imbalance as defined in the rule. See Cross.17 the 2014 Rule Change for additional details on the 5315–1’’ in Listing Rule IM–5900–7 as differences between the Halt Cross and the IPO a defined term without changing the 15 Securities Exchange Act Release No. 71931 Cross. substance of this rule. (April 11, 2014), 79 FR 21829 (April 17, 2014) (SR– 18 Subsequent to the 2014 Rule Change, Nasdaq NASDAQ–2014–032) (the ‘‘2014 Rule Change’’). expanded and elaborated the functions that are 22 Among other instances, Nasdaq utilized the Nasdaq stated that ‘‘an advisor, with market performed by an underwriter with respect to an IPO Cross for the initial pricing of the common knowledge of the book and an understanding of the initial public offering. See footnote 16, above. Rule stock of American Realty Capital Healthcare Trust, company and its security, would be well placed to 4120(c)(9) requires a broker-dealer serving in the Inc. as indicated in the 2014 Rule Change. provide advice on when the security should be role of a financial advisor to the issuer of the 23 Specifically, Nasdaq amended Rules released for trading.’’ The 2014 Rule Change at securities being listed to perform all such functions 4753(a)(3)(A)(iv) and 4753(b)(2)(D) to state that in 21830. in order for the issuer to utilize the IPO Cross for the case of the initial pricing of a Direct Listing for 16 In 2014, Nasdaq filed SR–NASDAQ–2014–081 the initial pricing of the security. a security qualifying for listing under Listing Rule modifying the functions that are performed by an 19 Rules 4753(a)(3)(A) and 4753(b)(2)(D). IM–5315–1, the fourth tie-breaker in calculating underwriter with respect to an initial public 20 Rules 4753(a)(3)(A)(iv)a. and 4753(b)(2)(D)(i). each of the Current Reference Price disseminated in offering and renumbered certain paragraphs of Rule The price closest to the ‘‘Issuer’s Initial Public the Nasdaq Order Imbalance Indicator and the price 4120. Securities Exchange Act Release No. 73399 Offering Price’’ is the fourth tie-breaker in these at which the Nasdaq Halt Cross will occur, (October 21, 2014), 79 FR 63981 (October 27, 2014) rules, applicable when no single price is respectively, shall be: (i) For a security that has had (approving SR–NASDAQ–2014–081). All references determined from the three prior tests. recent sustained trading in a Private Placement in this filing are to the renumbered rules, as 21 As described above, Nasdaq believes that the Market prior to listing, the most recent transaction currently in effect. price from such recent sustained trading in a price in that market or, (ii) if there is not such 17 The Halt Cross process has a shorter quoting Private Placement Market for the issuer’s securities sustained trading in a Private Placement Market, a period (five minutes) and provides no ability to is predictive of the price in the market for the price determined by the Exchange in consultation extend the quoting period in the event trading common stock that will develop upon listing of the with the financial advisor to the issuer identified interest or volatility in the market appears likely to securities on Nasdaq. pursuant to Rule 4120(c)(9). See 2019 Rule Change.

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2. Statutory Basis demonstrate compliance with the participation collectively was less than The Exchange believes that its applicable price-based requirements. 10% of the transaction), such proposal is consistent with Section 6(b) Nasdaq believes that the price from such participation was suggested or required of the Act,24 in general, and furthers the sustained trading in the Private by unaffiliated investors and where the objectives of Section 6(b)(5) of the Act,25 Placement Market for the issuer’s affiliates did not participate in in particular, in that it is designed to securities is predictive of the price in negotiating the economic terms of the promote just and equitable principles of the market for the common stock that transaction. trade, to foster cooperation and will develop upon listing of the The proposed requirement that a coordination with persons engaged in securities on Nasdaq and that qualifying company that lists on the Nasdaq Global regulating, clearing, settling, processing a company based on such trading price or Capital Markets through a Direct information with respect to, and helps assure that the company satisfies Listing must list at the time of facilitating transaction in securities, to Nasdaq’s requirements. In the absence effectiveness of a registration statement remove impediments to and perfect the of recent sustained trading in the Private filed under the Securities Act of 1933 mechanism of a free and open market Placement Market, the requirement to solely for the purpose of allowing and a national market system and, in demonstrate that the company exceeds existing shareholders to sell their shares general, to protect investors and the 200% of the otherwise applicable price- is designed to protect investors and the public interest. based requirement, similarly helps public interest, because it will ensure assure that the company satisfies such companies satisfy the rigorous Calculation of Price-Based Initial Listing Nasdaq’s requirement by imposing a disclosure requirements under the Requirements standard that is double the otherwise Securities Act of 1933 and are subject to The proposed rule change to require applicable standard.27 review by Commission staff. a Valuation and describe how Nasdaq The proposed rule change to allow a Finally, the proposal to rely on the will calculate compliance with the company in certain unique price from the existing trading market price-based requirements for listing on circumstances to list without a for a company transferring from a the Nasdaq Global and Capital Markets Valuation is designed to protect foreign regulated exchange or listing on is designed to protect investors and the investors and the public interest Nasdaq while trading on such exchange public interest because any company because it requires such company to is consistent with the protection of relying solely on a Valuation will have produce compelling evidence that the investors because the price from the to demonstrate that the company security’s price, Market Value of Listed broad and liquid trading market for the exceeds 200% of the otherwise Securities and Market Value of issuer’s securities is predictive of the applicable price-based requirement, Unrestricted Publicly Held Shares price in the market for the common which will give a significant degree of exceed 250% of the otherwise stock that will develop upon listing of comfort that upon commencement of applicable requirement. Moreover, in the securities on Nasdaq. This provision trading the company will meet the order to be considered compelling, such applies only where there is a broad, applicable price-based requirements.26 evidence of the company’s value must liquid market for the company’s shares In addition, establishing independence be based on a tender offer by the in its country of origin and is designed standards for the party providing a company or a third party or on a to clarify that a company transferring Valuation will ensure that the entity transaction in company’s securities, from a foreign regulated exchange or providing a Valuation for purposes of such as a third-party transaction listing on Nasdaq while trading on such listing on Nasdaq will have a significant involving the company’s equity exchange that satisfies Listing Rules IM– level of independence from the listing securities, or security sales by the 5405–1(a)(4) or IM–5505–1(a)(4) is not applicant and thereby enhance the company. In addition, such transactions subject to the new requirements reliability of such Valuation. must be recent, occurring within the applicable to Direct Listings. Enhancing Finally, in addition to the proposed prior six months, and substantial in transparency around this requirement new requirements, Direct Listings are size, representing sales of at least 20% will promote just and equitable subject to all initial listing requirements of the applicable Market Value of principles of trade, foster cooperation applicable to equity securities and, Unrestricted Publicly Held Shares and coordination with persons engaged subject to applicable exemptions, the requirement which helps assure that the in regulating, clearing, settling, corporate governance requirements set company satisfies the applicable price- processing information with respect to, forth in the Rule 5600 Series. Nasdaq’s based requirement upon and facilitating transaction in securities, existing requirements are designed to commencement of trading on Nasdaq. remove impediments to and perfect the protect investors and serve to help The proposed rule change also mechanism of a free and open market assure that securities listed on Nasdaq protects investors and the public and a national market system and have sufficient investor interest and will interest by requiring that for a company protect investors and the public trade in a liquid manner. As such, to demonstrate compliance with the interest.28 applicable price-based requirements Nasdaq believes these provisions protect Clarification of the Role of a Financial based on security sales by the company, investors and the public interest in Advisor in a Direct Listing accordance with Section 6(b)(5) of the such transactions, in addition to being Exchange Act. recent and substantial in size, must also Nasdaq believes that the proposed The proposed rule change also have been conducted at arm’s-length. To rule change to modify the fourth tie- protects investors and the public that end, Nasdaq proposes to require breaker used in calculating the Current interest by requiring that there be that such transactions cannot involve Reference Price disseminated in the sustained recent trading in the Private affiliates of the company unless such Nasdaq Order Imbalance Indicator and Placement Market in order for a Direct participation is of a de minimis nature, the price at which the Nasdaq Halt Listing to rely on such price to such as where any affiliate’s participation was less than 5% of the 28 Provisions of Listing Rules IM–5405–1(a)(4) and IM–5505–1(a)(4) are identical to Listing Rule 24 15 U.S.C. 78f(b). transaction (and all affiliates’ IM–5315–1(c) applicable to Direct Listings on the 25 15 U.S.C. 78f(b)(5). Nasdaq Global Select Market, which was adopted 26 See footnotes 13 and 14 above. 27 See footnotes 13 and 14, above. in the 2019 Rule Change.

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Cross will occur, protects investors and existing language of this rule and to Electronic Comments the public interest. The 2019 Rule update the reference to ‘‘direct listings • Change established that, in using the under IM–5315–1’’ in Listing Rule IM– Use the Commission’s internet IPO Cross to initiate the initial trading 5900–7 using a defined term, does not comment form (http://www.sec.gov/ in the company’s securities, the Current change the substance of these rules and rules/sro.shtml); or Reference Price and price at which the protects investors and the public • Send an email to rule-comments@ Nasdaq Halt Cross will occur may be interest by clarifying the applicability of sec.gov. Please include File Number SR– based on the most recent transaction these rules and making it easier to NASDAQ–2019–059 on the subject line. price in a Private Placement Market understand. where the security has had recent Paper Comments B. Self-Regulatory Organization’s sustained trading in such a market over • several months; otherwise the price will Statement on Burden on Competition Send paper comments in triplicate to Secretary, Securities and Exchange be determined by the Exchange in The Exchange does not believe that consultation with a financial advisor to Commission, 100 F Street NE, the proposed rule change will impose Washington, DC 20549–1090. the issuer. The proposed rule change any burden on competition not simply provides that in addition to the necessary or appropriate in furtherance All submissions should refer to File initial pricing of a security listing under of the purposes of the Act. Number SR–NASDAQ–2019–059. This Listing Rules IM–5315–1 the same The proposed rule change to adopt file number should be included on the process will occur for securities listing subject line if email is used. To help the under IM–5405–1 or IM–5505–1. Listing Rules IM–5405–1 and IM–5505– Where there has been sustained recent 1 is designed to provide transparency to Commission process and review your trading on a Private Placement Market the mechanism of listing securities in comments more efficiently, please use over several months, Nasdaq believes connection with a Direct Listing on the only one method. The Commission will the most recent price from such trading Nasdaq Global or Capital Markets that is post all comments on the Commission’s is predictive of the price that will appropriately protective of investors internet website (http://www.sec.gov/ develop upon listing of the securities on and is not designed to limit the ability rules/sro.shtml). Copies of the Nasdaq. Where there has not been such of the issuers of those securities to list submission, all subsequent sustained recent trading, Nasdaq notes them on any other national securities amendments, all written statements that financial advisors have been exchange. with respect to the proposed rule performing the functions of the In addition, the proposed change is change that are filed with the underwriter in the IPO Cross on a designed to extend the availability of Commission, and all written limited basis since 2014 and following the IPO Cross to securities listing on communications relating to the the 2019 Rule Change and have market Nasdaq under IM–5405–1 or IM–5505– proposed rule change between the knowledge of buying and selling interest 1 and thus will have no impact on Commission and any person, other than and an understanding of the company competition. those that may be withheld from the and its security. As such, Nasdaq public in accordance with the believes that the rule change will C. Self-Regulatory Organization’s Statement on Comments on the provisions of 5 U.S.C. 552, will be promote fair and orderly markets available for website viewing and because these mechanisms of Proposed Rule Change Received From printing in the Commission’s Public establishing the Current Reference Price Members, Participants, or Others Reference Room, 100 F Street NE, and the price at which the Nasdaq Halt No written comments were either Washington, DC 20549 on official Cross will occur will help protect solicited or received. against volatility in the pricing and business days between the hours of initial trading of the securities covered III. Date of Effectiveness of the 10:00 a.m. and 3:00 p.m. Copies of such by the proposed rule change. Proposed Rule Change and Timing for filing also will be available for Similarly, the proposed requirement Commission Action inspection and copying at the principal that a company that lists on the Nasdaq office of the Exchange. All comments Global or Capital Markets through a Within 45 days of the date of received will be posted without change. Direct Listing must begin trading of the publication of this notice in the Federal Persons submitting comments are company’s securities following the Register or within such longer period (i) cautioned that we do not redact or edit initial pricing through the IPO Cross as the Commission may designate up to personal identifying information from 90 days of such date if it finds such will promote fair and orderly markets by comment submissions. You should longer period to be appropriate and protecting against volatility in the submit only information that you wish pricing and initial trading of publishes its reasons for so finding or (ii) as to which the Exchange consents, to make available publicly. All unseasoned securities covered by the submissions should refer to File proposed rule change. Accordingly, the Commission shall: (a) By order approve or disapprove such proposed Number SR–NASDAQ–059, and should Nasdaq believes these changes, as be submitted on or before September 25, required by Section 6(b)(5) of the rule change, or (b) institute proceedings 2019. Exchange Act, are reasonably designed to determine whether the proposed rule to protect investors and the public change should be disapproved. For the Commission, by the Division of interest and promote just and equitable IV. Solicitation of Comments Trading and Markets, pursuant to delegated principles of trade for the opening of authority.29 securities listing in connection with a Interested persons are invited to Jill M. Peterson, Direct Listing on the Nasdaq Global or submit written data, views, and Assistant Secretary. Capital Markets. arguments concerning the foregoing, [FR Doc. 2019–19004 Filed 9–3–19; 8:45 am] Finally, Nasdaq believes that the including whether the proposed rule proposed rule change to update the title change is consistent with the Act. BILLING CODE 8011–01–P of Listing Rule IM–5315–1, to insert the Comments may be submitted by any of defined term ‘‘Direct Listing’’ into the the following methods: 29 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s and orderly market. The Exchange notes COMMISSION Statement of the Purpose of, and that the proposed rule text is similar to Statutory Basis for, the Proposed Rule that found in the rules for the Opening [Release No. 34–86787; File No. SR– Change Process of the Exchange’s affiliates, Miami International Securities PEARL–2019–24] 1. Purpose Exchange, LLC (‘‘MIAX’’) and MIAX Self-Regulatory Organizations; MIAX The Exchange proposes to amend Emerald, LLC (‘‘MIAX Emerald’’).3 Exchange Rule 503, Openings on the PEARL, LLC; Notice of Filing and Next, the Exchange proposes to Exchange, to amend paragraph (c), Immediate Effectiveness of a Proposed amend Exchange Rule 515, Execution of Deviation from Standard Opening Orders, to make minor, non-substantive Rule Change To Amend Exchange Process, to adopt new rule text that edits and clarifying changes to the rule Rules 503, Openings on the Exchange, identifies the Help Desk staff authorized text in order to provide consistency and and 515, Execution of Orders to take actions during the Opening clarity within the rule text. Specifically, August 28, 2019. Process to maintain a fair and orderly the Exchange proposes to make a market and to add greater specificity to number of minor non-substantive edits Pursuant to the provisions of Section the language currently in place. to references to ‘‘Rule 515’’ throughout 19(b)(1) of the Securities Exchange Act First, the Exchange proposes to the rule text. Currently, there are several of 1934 (‘‘Act’’) 1 and Rule 19b–4 amend Exchange Rule 503(c), Deviation references in Exchange Rule 515 where thereunder,2 notice is hereby given that from Standard Opening Process, to the rule refers back to itself generally as on August 19, 2019, MIAX PEARL, LLC further clarify which authorized ‘‘Rule 515.’’ The Exchange proposes to (‘‘MIAX PEARL’’ or ‘‘Exchange’’) filed personnel at the Exchange that may amend all general references in with the Securities and Exchange deviate from the standard Opening Exchange Rule 515 that are to ‘‘Rule Commission (‘‘Commission’’) a Process in certain market conditions. 515’’ that do not refer to any particular proposed rule change as described in Exchange Rule 503(c) currently states subsection or paragraph to be replaced Items I, II, and III below, which Items that the Exchange may deviate from the with ‘‘this Rule’’ in order to provide have been prepared by the Exchange. standard manner of the Opening consistency and clarity within the rule Process, including adjusting the timing The Commission is publishing this text. The proposed changes would be to of the Opening Process in any option notice to solicit comments on the references to ‘‘Rule 515’’ that are class, when it believes it is necessary in proposed rule change from interested currently in the following subsections the interests of a fair and orderly and paragraphs in Exchange Rule 515: persons. market. The Exchange now proposes to Paragraph (a); paragraph (d); subsection I. Self-Regulatory Organization’s amend subparagraph (c) to state that (d)(1); subsection (d)(2)(i); subsection Statement of the Terms of Substance of Senior Help Desk personnel may deviate (d)(2)(iii)(C); subsection (g)(3)(i); and the Proposed Rule Change from the standard manner of the Interpretation and Policy .02. Opening Process when necessary, Next, the Exchange proposes to The Exchange is filing a proposal to including delay or compel the opening amend several paragraphs and amend Exchange Rules 503, Openings of any series in any option class, subsections to make corrective changes on the Exchange, and 515, Execution of adjusting the timing of the Opening to the numerical and alphabetical list Orders, to make minor, non-substantive Process in any option class, when item identifiers to properly conform to edits and clarifying changes to the rule necessary in the interests of the hierarchical heading scheme and list text. commencing or maintaining a fair and item identifiers used throughout the orderly market, in the event of unusual Exchange’s rulebook. The Exchange The text of the proposed rule change market conditions or in the public notes that anytime there is block text in is available on the Exchange’s website at interest. The Exchange also proposes a paragraph or subsection that contains http://www.miaxoptions.com/rule- that it will make and maintain records a list of numbered clauses or items that filings/pearl at MIAX PEARL’s principal to document all determinations to are not specifically broken out into their office, and at the Commission’s Public deviate from the standard manner of the own subsections, the Exchange uses Reference Room. Opening Process, and periodically romanettes to identify each clause or review these determinations for II. Self-Regulatory Organization’s item. Accordingly, paragraph (b) consistency with the interests of a fair Statement of the Purpose of, and contains independent clauses currently and orderly market. Statutory Basis for, the Proposed Rule numbered ‘‘(1)’’ and ‘‘(2)’’ which will be The Exchange is amending the rule to renumbered as ‘‘(i)’’ and ‘‘(ii)’’. Change add additional specificity by Paragraph (c) contains three separate In its filing with the Commission, the designating that only Senior Help Desk sentences each with independent personnel may deviate from the Exchange included statements clauses numbered ‘‘(1)’’ and ‘‘(2)’’ which standard manner of the Opening Process concerning the purpose of and basis for will each be renumbered as ‘‘(i)’’ and when necessary. The Exchange is also the proposed rule change and discussed ‘‘(ii)’’. Subparagraph (d)(2)(i) contains providing examples of the type of any comments it received on the three independent clauses currently actions that Senior Help Desk personnel numbered ‘‘(A)’’, ‘‘(B)’’ and ‘‘(C)’’ which proposed rule change. The text of these may take to ensure a fair and orderly statements may be examined at the will be renumbered as ‘‘(i)’’, ‘‘(ii)’’ and market is maintained. Additionally, the ‘‘(iii)’’, respectively. Subparagraph places specified in Item IV below. The Exchange is proposing to amend the (d)(2)(ii) contains four independent Exchange has prepared summaries, set rule to adopt a provision stating that the clauses currently numbered ‘‘(A)’’, forth in sections A, B, and C below, of Exchange will maintain records to ‘‘(B)’’, ‘‘(C)’’ and ‘‘(D)’’ which will be the most significant aspects of such document all determinations to deviate renumbered as ‘‘(i)’’, ‘‘(ii)’’, ‘‘(iii)’’ and statements. from the standard manner of the ‘‘(iv)’’, respectively. Subparagraph Opening Process, and periodically 1 15 U.S.C. 78s(b)(1). review these determinations for 3 See MIAX Rule 503(g) and MIAX Emerald Rule 2 17 CFR 240.19b–4. consistency with the interests of a fair 503(g).

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(g)(3)(i) contains three independent concerning the Opening Process on the transparency regarding the Exchange’s clauses currently numbered ‘‘(A)’’, ‘‘(B)’’ Exchange. The Exchange believes clarity functionality. The Exchange does not and ‘‘(C)’’ which will be renumbered as and transparency benefits investors and believe that the proposed rule change to ‘‘(i)’’, ‘‘(ii)’’ and ‘‘(iii)’’, respectively. the public and allows investors and the amend the provision concerning the Finally, subparagraph (g)(3)(ii) contains public to make informed decisions actions that the Help Desk may take to four independent clauses currently regarding the Opening Process on the deviate from the standard manner of the numbered ‘‘(A)’’, ‘‘(B)’’, ‘‘(C)’’ and ‘‘(D)’’ Exchange. Opening Process to maintain a fair and which will be renumbered as ‘‘(i)’’, Additionally, the Exchange believes orderly market will impose any burden ‘‘(ii)’’, ‘‘(iii)’’ and ‘‘(iv)’’, respectively. that although MIAX PEARL rules may, on inter-market competition as the in certain instances, intentionally differ proposed rule change is designed to 2. Statutory Basis from MIAX and MIAX Emerald rules, identify the specific Help Desk The Exchange believes that its the proposed changes will promote personnel authorized to deviate from proposed rule change is consistent with uniformity with MIAX and MIAX the standard manner of the Opening Section 6(b) of the Act 4 in general, and Emerald with respect to rules that are Process and to provide some examples furthers the objectives of Section 6(b)(5) intended to be identical. The Exchange of the type of actions that may be of the Act 5 in particular, in that it is believes that it will reduce the potential undertaken to ensure the operation of a designed to prevent fraudulent and for confusion by its members that are fair and orderly market. manipulative acts and practices, to also members of MIAX and MIAX promote just and equitable principles of Emerald if the only differences between C. Self-Regulatory Organization’s trade, to foster cooperation and MIAX PEARL, MIAX and MIAX Statement on Comments on the coordination with persons engaged in Emerald rules are those that are Proposed Rule Change Received From facilitating transactions in securities, to intended. Members, Participants, or Others remove impediments to and perfect the The Exchange also believes the Written comments were neither mechanisms of a free and open market proposed changes to Exchange Rule 515 solicited nor received. and a national market system and, in promote just and equitable principles of III. Date of Effectiveness of the general, to protect investors and the trade and remove impediments to and Proposed Rule Change and Timing for perfect the mechanism of a free and public interest. Commission Action First, the Exchange is proposing to open market and a national market amend its current provision pertaining system because the proposed changes Because the foregoing proposed rule to the actions that the Exchange may make clarifying edits to the rule text of change does not: (i) Significantly affect take in the interests of maintaining a fair Exchange Rule 515, and correct errors in the protection of investors or the public and orderly market to adopt a more the hierarchical heading scheme and list interest; (ii) impose any significant detailed and nuanced provision from item identifiers to provide uniformity in burden on competition; and (iii) become the Exchange’s affiliates, MIAX and the Exchange’s rulebook and paragraph operative for 30 days after the date of MIAX Emerald.6 This provision now formatting. The Exchange believes that the filing, or such shorter time as the identifies which Help Desk personnel these proposed changes will provide Commission may designate, it has may take actions during the Opening greater clarity to Members and the become effective pursuant to 19(b)(3)(A) Process (Senior Help Desk personnel) public regarding the Exchange’s rules of the Act 7 and Rule 19b–4(f)(6) 8 and provides examples of the type of and that it is in the public interest for thereunder. actions which may be undertaken. rules to be accurate and concise so as to At any time within 60 days of the Additionally, the provision provides eliminate the potential for confusion. filing of the proposed rule change, the that the Exchange will make and Commission summarily may B. Self-Regulatory Organization’s temporarily suspend such rule change if maintain records to document all Statement on Burden on Competition determinations to deviate from the it appears to the Commission that such standard manner of the Opening Process The Exchange does not believe that action is necessary or appropriate in the and will periodically review these the proposed rule changes will impose public interest, for the protection of determinations for consistency with the any burden on competition not investors, or otherwise in furtherance of interests of a fair and orderly market. necessary or appropriate in furtherance the purposes of the Act. If the The Exchange believes its proposal of the purposes of the Act. Specifically, Commission takes such action, the promotes just and equitable principles the Exchange believes the proposed Commission shall institute proceedings of trade, removes impediments to and changes will not impose any burden on to determine whether the proposed rule perfects the mechanisms of a free and intra-market competition as there is no should be approved or disapproved. open market and a national market functional change to the Exchange’s IV. Solicitation of Comments System and because the rules of the system and, in general, protects Interested persons are invited to investors and the public interest by Exchange apply to all MIAX PEARL participants equally. The proposed rule submit written data, views, and providing additional detail in the arguments concerning the foregoing, Exchange’s rules and by providing a changes will have no impact on competition as they are not designed to including whether the proposed rule review process for instances where there change is consistent with the Act. was a deviation from the standard address any competitive issues but rather are designed to remedy minor Comments may be submitted by any of Opening Process. the following methods: The Exchange believes its proposal non-substantive issues and provide added clarity to the rule text of removes impediments to and perfects 7 Exchange Rules 503 and 515. In 15 U.S.C. 78s(b)(3)(A). the mechanisms of a free and open 8 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– market by providing clarity in the addition, the Exchange does not believe 4(f)(6) requires a self-regulatory organization to give Exchange’s rules and more detail the proposal will impose any burden on the Commission written notice of its intent to file inter-market competition as the the proposed rule change at least five business days prior to the date of filing of the proposed rule 4 proposal does not address any 15 U.S.C. 78f(b). change, or such shorter time as designated by the 5 15 U.S.C. 78f(b)(5). competitive issues and is intended to Commission. The Exchange has satisfied this 6 See supra note 3. protect investors by providing further requirement.

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Electronic Comments SECURITIES AND EXCHANGE designates October 15, 2019, as the date by which the Commission should either • COMMISSION Use the Commission’s internet approve or disapprove, or institute comment form (http://www.sec.gov/ [Release No. 34–86799; File No. SR–ICC– proceedings to determine whether to rules/sro.shtml); or 2019–007] disapprove, the proposed rule change • Send an email to rule-comments@ Self-Regulatory Organizations; ICE (File No. SR–ICC–2019–007). sec.gov. Please include File Number SR– Clear Credit LLC; Notice of For the Commission, by the Division of PEARL–2019–24 on the subject line. Designation of Longer Period for Trading and Markets, pursuant to delegated authority.6 Paper Comments Commission Action on Proposed Rule Change Relating to the ICC Rules, ICC Jill M. Peterson, • Send paper comments in triplicate End-of-Day Price Discovery Policies Assistant Secretary. to Secretary, Securities and Exchange and Procedures, and ICC Risk [FR Doc. 2019–19007 Filed 9–3–19; 8:45 am] Commission, 100 F Street NE, Management Framework BILLING CODE 8011–01–P Washington, DC 20549–1090 August 28, 2019. All submissions should refer to File On June 28, 2019, ICE Clear Credit SECURITIES AND EXCHANGE Number SR–PEARL–2019–24. This file LLC (‘‘ICC’’), filed with the Securities COMMISSION number should be included on the and Exchange Commission subject line if email is used. To help the (‘‘Commission’’), pursuant to Section [Release No. 34–86784; File No. SR–NYSE– Commission process and review your 19(b)(1) of the Securities Exchange Act 2019–45] (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a comments more efficiently, please use Self-Regulatory Organizations; New only one method. The Commission will proposed rule change to make certain changes to ICC’s Clearing Rules and York Stock Exchange LLC; Notice of post all comments on the Commission’s Filing and Immediate Effectiveness of internet website (http://www.sec.gov/ related procedures to provide for the clearing of credit default index Proposed Rule Change To Amend Its rules/sro.shtml). Copies of the Price List To Revise the Remove and submission, all subsequent swaptions. The proposed rule change was published for comment in the Adding Liquidity Tiers for Tape B and amendments, all written statements Federal Register on July 17, 2019.3 To C Securities with respect to the proposed rule date, the Commission has not received change that are filed with the August 28, 2019. comments on the proposed rule change. Pursuant to Section 19(b)(1) 1 of the Commission, and all written Section 19(b)(2) of the Act 4 provides communications relating to the Securities Exchange Act of 1934 (the that within 45 days of the publication of ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 proposed rule change between the notice of the filing of a proposed rule Commission and any person, other than notice is hereby given that, on August change, or within such longer period up 15, 2019, New York Stock Exchange those that may be withheld from the to 90 days as the Commission may public in accordance with the LLC (‘‘NYSE’’ or the ‘‘Exchange’’) filed designate if it finds such longer period with the Securities and Exchange provisions of 5 U.S.C. 552, will be to be appropriate and publishes its Commission (the ‘‘Commission’’) the available for website viewing and reasons for so finding or as to which the proposed rule change as described in printing in the Commission’s Public self-regulatory organization consents, Items I, II, and III below, which Items Reference Room, 100 F Street NE, the Commission shall either approve the have been prepared by the self- Washington, DC 20549, on official proposed rule change, disapprove the regulatory organization. The business days between the hours of proposed rule change, or institute Commission is publishing this notice to 10:00 a.m. and 3:00 p.m. Copies of the proceedings to determine whether the solicit comments on the proposed rule filing also will be available for proposed rule change should be change from interested persons. inspection and copying at the principal disapproved. The 45th day from the office of the Exchange. All comments publication of notice of filing of this I. Self-Regulatory Organization’s received will be posted without change. proposed rule change is August 31, Statement of the Terms of Substance of Persons submitting comments are 2019. the Proposed Rule Change cautioned that we do not redact or edit The Commission is extending the 45- The Exchange proposes to amend its personal identifying information from day time period for Commission action Price List to (1) revise the Remove Tier comment submissions. You should on the proposed rule change, in which for Tape B and C securities to add a new ICC would introduce clearing of credit submit only information that you wish Tier charge for removing liquidity, and default index swaptions. The to make available publicly. All (2) increase the credits available to Commission finds it is appropriate to submissions should refer to File Supplemental Liquidity Providers designate a longer period within which Number SR–PEARL–2019–24 and (‘‘SLPs’’) under SLP Provide Tier 1 for to take action on the proposed rule adding displayed and non-displayed should be submitted on or before change so that it has sufficient time to September 25,2019. liquidity to the Exchange in Tapes B consider ICC’s proposed rule change. and C securities. The Exchange For the Commission, by the Division of Accordingly, pursuant to Section proposes to implement the fee changes 5 Trading and Markets, pursuant to delegated 19(b)(2) of the Act, and for the reasons effective August 15, 2019. The proposed authority.9 discussed above, the Commission rule change is available on the Jill M. Peterson, Exchange’s website at www.nyse.com, at 1 15 U.S.C. 78s(b)(1). Assistant Secretary. the principal office of the Exchange, and 2 17 CFR 240.19b–4. [FR Doc. 2019–19000 Filed 9–3–19; 8:45 am] 3 Securities Exchange Act Release No. 86358 (July 6 BILLING CODE 8011–01–P 11, 2019), 84 FR 34220 (July 17, 2019) (SR–ICC– 17 CFR 200.30–3(a)(31). 2019–007). 1 15 U.S.C. 78s(b)(1). 4 15 U.S.C. 78s(b)(2). 2 15 U.S.C. 78a. 9 17 CFR 200.30–3(a)(12). 5 15 U.S.C. 78s(b)(2). 3 17 CFR 240.19b–4.

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at the Commission’s Public Reference The Exchange proposes to implement reduce use of certain categories of Room. the fee changes effective August 15, products, in response to fee changes. 2019.5 With respect to non-marketable order II. Self-Regulatory Organization’s flow that would provide displayed Statement of the Purpose of, and Competitive Environment liquidity on an Exchange, member Statutory Basis for, the Proposed Rule The Commission has repeatedly organizations can choose from any one Change expressed its preference for competition of the 13 currently operating registered In its filing with the Commission, the over regulatory intervention in exchanges to route such order flow. self-regulatory organization included determining prices, products, and Accordingly, competitive forces statements concerning the purpose of, services in the securities markets. In constrain exchange transaction fees that and basis for, the proposed rule change Regulation NMS, the Commission relate to orders that would provide and discussed any comments it received highlighted the importance of market liquidity on an exchange. forces in determining prices and SRO on the proposed rule change. The text Proposed Rule Change of those statements may be examined at revenues and, also, recognized that the places specified in Item IV below. current regulation of the market system To respond to this competitive The Exchange has prepared summaries, ‘‘has been remarkably successful in environment, the Exchange has set forth in sections A, B, and C below, promoting market competition in its established incentives for its member broader forms that are most important to organizations who submit orders that of the most significant parts of such 6 statements. investors and listed companies.’’ provide and remove liquidity on the As the Commission itself recognized, Exchange, including cross-tape the market for trading services in NMS A. Self-Regulatory Organization’s incentives for member organizations stocks has become ‘‘more fragmented Statement of the Purpose of, and and SLPs based on submission of orders and competitive.’’ 7 Indeed, equity Statutory Basis for, the Proposed Rule that provide displayed and non- trading is currently dispersed across 13 Change displayed liquidity in Tapes B and C exchanges,8 31 alternative trading securities. 1. Purpose systems,9 and numerous broker-dealer For Tape B and C securities, the The Exchange proposes to amend its internalizers and wholesalers, all Exchange currently offers a Remove Tier Price List to revise pricing available for competing for order flow. Based on for securities at or above $1.00 for trading in Tape B and C securities as publicly-available information, no member organizations that have a follows: single exchange has more than 18% market share (whether including or minimum amount of Adding ADV in (1) Revise the Remove Tier for Tape 10 non-SLP and Floor broker order flow.12 B and C securities to add a new Tier excluding auction volume). Therefore, no exchange possesses significant Further, the Exchange offers several charge of $0.0026 per share for pricing power in the execution of equity levels of credits for SLP orders that removing liquidity. A member order flow. More specifically, in June provide displayed and non-displayed organization would be able to qualify for 2019, the Exchange had 2.2% market liquidity to the Exchange in Tape B and this rate either by (i) meeting a specified share of executed volume of equity C securities priced at or above $1.00 percentage of average daily volume of trades in Tape B and C securities based on the volume of orders that orders in Tape B and C securities (excluding auction volume), which was member organizations send to the executed on the Exchange that remove down from 2.8% in March 2019.11 Exchange. The SLP Provide Tier credits liquidity (‘‘Removing ADV’’) as a The Exchange believes that the ever- (Non Tier, Tier 2, Tier 1 and Tape A percentage of consolidated average daily shifting market share among the Tier) range from $0.00005 to $0.0031. volume (‘‘CADV’’) in Tape B and C exchanges from month to month The proposed fee change is designed 4 securities (‘‘Tape B and C CADV’’), or demonstrates that market participants to attract additional order flow to the (ii) meeting a lower specified percentage can move order flow, or discontinue or Exchange by introducing a new Tier rate of Removing ADV as a percentage of for removing liquidity from the Tape B and C CADV and meeting 5 The Exchange originally filed to amend the Fee Exchange and increasing the incentive specified closing auction volume Schedule on August 1, 2019 (SR–NYSE–2019–43). for SLPs that provide displayed and thresholds in Tape A securities, and SR–NYSE–2019–43 was subsequently withdrawn and replaced by this filing. non-displayed liquidity in Tape B and (2) Increase the credits available to 6 See Securities Exchange Act Release No. 51808 C securities, as described below. SLPs under SLP Provide Tier 1 for (June 9, 2005), 70 FR 37495, 37499 (June 29, 2005) adding displayed and non-displayed (S7–10–04) (Final Rule) (‘‘Regulation NMS’’). Remove Tiers Fee For Securities At or liquidity to the Exchange in Tapes B 7 See Securities Exchange Act Release No. 51808, Above $1.00 and C securities from $0.0031 per share 84 FR 5202, 5253 (February 20, 2019) (File No. S7– 05–18) (Transaction Fee Pilot for NMS Stocks Final Currently, for securities at or above to $0.0033 per share (for displayed Rule) (‘‘Transaction Fee Pilot’’). $1.00 in Tape B and C securities, the orders) and from $0.0014 per share to 8 See Cboe Global Markets, U.S. Equities Market Exchange charges a per tape fee of $0.0015 per share (for non-displayed Volume Summary, available at http:// _ $0.00285 per share to remove liquidity orders). markets.cboe.com/us/equities/market share/. See generally https://www.sec.gov/fast-answers/ from the Exchange for member The proposed changes respond to the divisionsmarketregmrexchangesshtml.html. current competitive environment where 9 See FINRA ATS Transparency Data, available at 12 See footnote 4 to the current Price List. The order flow providers have a choice of https://otctransparency.finra.org/otctransparency/ Exchange proposes a non-substantive amendment where to direct liquidity-providing AtsIssueData. Although 54 alternative trading to replace the term ‘‘Client’’ as used in the Adding systems were registered with the Commission as of Tiers and Remove Tiers for Tape B and C securities orders by offering further incentives for July 29, 2019, only 31 are currently trading. A list by specifying that this refers to member member organizations to send of alternative trading systems registered with the organization order flow that is not from SLPs or additional displayed liquidity to the Commission is available at https://www.sec.gov/ Floor brokers, as the rates for such order flow are foia/docs/atslist.htm. Exchange. specified elsewhere on the Price List. See Securities 10 See Cboe Global Markets U.S. Equities Market Exchange Act Release No. 83113 (April 26, 2018), Volume Summary, available at http:// 83 FR 19376 (May 2, 2018) (SR–NYSE–2018–15) 4 The term ‘‘CADV’’ is defined in footnote * of the markets.cboe.com/us/equities/market_share/. (Notice) (adopting new pricing for trading Tape B Price List. 11 See id. and C securities on the Pillar trading platform).

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organizations with an Adding ADV of at would not qualify for the reduced and the rate for MPL Orders would least 50,000 shares per respective tape. $0.0026 fee per share.14 remain unchanged. The Exchange proposes to retain this charge and introduce a new, lower fee Displayed Liquidity Under SLP Provide Application and Impact of Transition of $0.0026 per share for removing Tier 1 Period Pricing liquidity from the Exchange in both Under current SLP Provide Tier 1, The purpose of these proposed Tapes B and C for member organizations SLPs that add displayed liquidity to the changes are to incentivize member that either have: Exchange in securities with a per share organizations to trade on the Exchange • 0.175% of Removing ADV 13 in price at or above $1.00 and that: in Tape B and C securities. The Tapes B and C combined as a percentage • Add liquidity for all assigned Tape proposed Remove Tier fee would of Tape B and C CADV, or B securities of a CADV of at least 0.10% incentivize member organizations to • 0.075% of Removing ADV in Tapes for Tape B or for all assigned Tape C remove additional liquidity from the B and C combined as a percentage of Securities of a CADV of at least 0.075% Exchange, thereby increasing the Tape B and C CADV, and execute an for Tape C, number of orders adding liquidity that ADV of Market-on-Close (MOC) and • meet the 10% average or more are executed on the Exchange and Limit-on-Close (LOC) Orders combined quoting requirement in 400 or more improving overall liquidity on a public on the NYSE in Tape A securities of at assigned securities in Tapes B and C exchange. The Exchange believes that least 0.35% of NYSE CADV. combined pursuant to Rule 107B, and including an alternate way to qualify for The proposed tier would be • meet the 10% average or more this requirement to include MOC and designated Tier 1 while the existing tier quoting requirement in an assigned LOC ADV in Tape A securities would would be designated Tier 2 and aligned Tape B or C security pursuant to Rule encourage the additional submission of accordingly in the Price List. 107B both Tape B and C order flow and The term ‘‘ADV’’ in proposed Tier 1 auction order flow in Tape A securities would have a citation to footnote 4 in are eligible for a $0.0031 per share to the Exchange. the current Price List, which provides credit per tape in an assigned Tape B or For example, if an SLP adds liquidity ‘‘For purposes of transaction fees and C security. for all assigned Tape B securities in the Supplemental Liquidity Provider The Exchange proposes to increase aggregate of a CADV of at least 0.10% liquidity credits, ADV calculations the credit to $0.0033. The qualification for Tape B and met the 10% average or exclude early closing days.’’ The text of requirements would remain unchanged. more quoting requirement in 400 or current footnote 4 would remain Non-Displayed Liquidity Under SLP more assigned securities in Tape B and unchanged. Provide Tier 1 C securities, that SLP would receive a For example, if a member credit of $0.0033 per share for providing organization averaged a Removing ADV Under current SLP Provide Tier 1, displayed liquidity and a credit of in Tape B and C securities of 6 million SLPs that add non-displayed liquidity to $0.0015 per share for providing non- shares in a month where the Tape B and the Exchange on a per Tape basis in displayed liquidity in Tape B securities. C CADV is 3 billion shares, that member securities with a per share price at or The proposed change to SLP Provide organization would have a Removing above $1.00 and that: Tier 1 would incentivize member • ADV of 0.20% of Tape B and C CADV Add liquidity for all assigned Tape organizations that are SLPs to increase and would qualify for the reduced fee of B securities of a CADV of at least 0.10% the liquidity-providing orders in Tape B $0.0026 per share for removing liquidity for Tape B or for all assigned Tape C and C securities they send to the from the Exchange in both Tapes B and Securities of a CADV of at least 0.075% Exchange, which would support the C. for Tape C, quality of price discovery on the If that member instead averaged a • meet the 10% average or more Exchange and provide additional price Removing ADV in Tape B and C quoting requirement in 400 or more improvement opportunities for securities of 3 million shares in a month assigned securities in Tapes B and C incoming orders. The Exchange believes where the Tape B and C CADV is 3 combined pursuant to Rule 107B, and that by correlating the amount of the billion shares, the member • meet the 10% average or more credit to the level of orders sent by a organization’s removing ADV would be quoting requirement in an assigned member organization that add displayed 0.10% of Tape B and C CADV. That Tape B or C security pursuant to Rule and non-displayed liquidity, the Removing ADV alone would not qualify 107B Exchange’s fee structure would for the new fee. But if that member are eligible for a credit of $0.0014 per incentivize member organizations to organization also averaged an ADV of share per tape credit and a $0.0025 per submit more orders that add liquidity to MOC and LOC Orders in Tape A share per tape credit for MPL orders in the Exchange, thereby increasing the securities of 14 million shares in a the Tape where they qualify for SLP potential for price improvement and month where NYSE CADV was 3.5 Provider Tier 1. execution opportunities to incoming billion shares, its MOC and LOC ADV The Exchange proposes to increase marketable orders submitted to the would be 0.40% of NYSE CADV and the credit to $0.0015. The qualification Exchange. that member organization would qualify requirements would remain unchanged As noted above, the Exchange for the reduced remove fee of $0.0026 operates in a competitive and per share. However, if that member 14 The Exchange proposes minor, non-substantive fragmented market environment, organization averaged an MOC and LOC changes to the Price List. First, the Exchange would particularly as it relates to attracting ADV of less than 12.25 million shares in add an ‘‘s’’ to ‘‘fee’’ in the first entry under the third non-marketable orders, which add that same month, or under 0.35% of column titled ‘‘Removing Liquidity’’ and to ‘‘Tier’’ in the heading of the first column titled ‘‘Remove liquidity to the Exchange. The Exchange NYSE CADV, the member organization Tier For Securities At or Above $1.00.’’ Second, the believes that the proposed higher credits Exchange would delete ‘‘Per-Tape’’ and ‘‘Client would provide an incentive for member 13 The Exchange proposes to define the term Adding ADV 4’’ and add ‘‘Rate’’ under the Remove organizations to route additional ‘‘Removing ADV’’ in a new footnote on the Price Tiers heading in the first column. Finally, under the List to mean the average daily volume of orders new Tier 2 heading, the Exchange would add ‘‘Per displayed and non-displayed liquidity executed on the Exchange during the billing month Tape of Non-SLP and Floor broker’’ after ‘‘50,000 to the Exchange in order to qualify for that removed liquidity. shares’’ and before ‘‘Adding ADV.’’ them.

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Without having a view of a member The Proposed Change is Reasonable either proposed criteria if they choose to organization’s activity on other markets As discussed above, the Exchange direct order flow to, and increase and off-exchange venues, the Exchange operates in a highly fragmented and quoting on, the Exchange. Further, the Exchange believes that believes the proposed Remove Tier with competitive market. The Exchange increasing the proposed credits for a lower rate and alternative ways to believes that the ever-shifting market member organizations that are SLPs that qualify would provide an incentive for share among the exchanges from month add displayed and non-displayed member organizations to remove to month demonstrates that market liquidity in Tape B and C securities on additional liquidity from the Exchange participants can move order flow, or the Exchange is reasonable because it in Tape B and C securities. Currently, discontinue or reduce use of certain would provide further incentives for six firms (out of a total 145 member categories of products, in response to fee such member organizations to provide firms) can qualify for the Remove Tier changes. With respect to non-marketable additional liquidity to a public fee. Based on the profile of liquidity- orders that provide liquidity on an exchange in Tape B and C securities, removing firms generally, the Exchange Exchange, member organizations can thereby promoting price discovery and believes that five additional member choose from any one of the 13 currently transparency and enhancing order organizations could qualify for the new operating registered exchanges to route execution opportunities for member tiered rate under either proposed such order flow. Accordingly, organizations. All member organizations criteria if they choose to direct order competitive forces constrain exchange would benefit from the greater amounts transaction fees that relate to orders that flow to, and increase quoting on, the of liquidity that will be present on the would provide displayed liquidity on an Exchange. Exchange, which would provide greater exchange. Stated otherwise, changes to Similarly, the proposed higher rates execution opportunities. exchange transaction fees can have a under SLP Provide Tier 1 would The Exchange believes the proposal direct effect on the ability of an provide an incentive for member would provide an incentive for member exchange to compete for order flow. organizations to submit additional organizations that are SLPs to route Given this competitive environment, additional liquidity-providing orders to adding displayed and non-displayed the proposal represents a reasonable the Exchange in Tape B and C liquidity to the Exchange in Tape B and attempt to attract additional order flow securities. As noted above, the Exchange C securities. Currently, there are 15 to the Exchange. As noted, the 15 operates in a highly competitive SLPs on the Exchange out of a total Exchange’s market share of intraday environment, particularly for attracting of 145 member organizations. Of these, trading (i.e., excluding auctions) non-marketable order flow that provides four firms are qualifying for the SLP declined from March 2019 to June 2019. Provide Tier 1 credit in both Tape B and Specifically, the Exchange believes liquidity on an exchange. The Exchange C for adding displayed liquidity, and that a new, lower fee of $0.0026 per believes it is reasonable to provide a adding non-displayed liquidity. Based share for removing liquidity from the higher credit for orders that provide on the profile of liquidity-providing Exchange in both Tapes B and C additional liquidity. Without having a view of a member SLPs generally, the Exchange believes securities is reasonable because it would organization’s activity on other markets that three additional SLPs could qualify incentivize member organizations to and off-exchange venues, the Exchange for the displayed and non-displayed remove additional liquidity from the believes the proposed higher rates SLP Provide Tier 1 credits if they Exchange, thereby increasing the would provide an incentive for member choose to direct order flow to, and number of orders adding liquidity that organizations to submit additional increase quoting on, the Exchange. are executed on the Exchange and adding liquidity to the Exchange in improving overall liquidity on a public The proposed changes are not Tape B and C securities. As previously exchange and resulting in lower costs otherwise intended to address other noted, a number of SLPs are qualifying for member organizations that qualify issues, and the Exchange is not aware of for the SLP Provide Tier 1 credit for for the rate. The Exchange also believes any significant problems that market adding displayed liquidity and adding that the proposal is reasonable because participants would have in complying non-displayed liquidity. Based on the it provides alternative ways for member with the proposed changes. profile of liquidity-providing SLPs organizations to qualify for the tier, generally, the Exchange believes 2. Statutory Basis thereby increasing potential additional SLPs could qualify for the participation at the tier. Moreover, the displayed and non-displayed SLP The Exchange believes that the Exchange believes that by requiring as Provide Tier 1 credits if they choose to proposed rule change is consistent with part of the second qualification criteria 16 direct order flow to, and increase Section 6(b) of the Act, in general, and an ADV of MOC and LOC activity quoting on, the Exchange. furthers the objectives of Sections combined on the Exchange in Tape A 6(b)(4) and (5) of the Act,17 in particular, The Exchange notes that the proposed securities, the proposal would credits remains in line with the credits because it provides for the equitable encourage greater liquidity at the close. allocation of reasonable dues, fees, and the Exchange currently credits SLPs for Without having a view of a member adding displayed and non-displayed other charges among its members, organization’s activity on other markets liquidity in Tape A securities.18 The issuers and other persons using its and off-exchange venues, the Exchange Exchange notes that SLPs qualifying for facilities and does not unfairly believes the proposed Remove Tier with the Tier 1 Adding Credit in UTP discriminate between customers, a lower rate and alternative ways to securities in both Tapes B and C would issuers, brokers or dealers. qualify would provide an incentive for also be eligible for a lower adding member organizations to remove liquidity requirement of 0.75% for SLP 15 Under Rule 107B, an SLP can be either a additional liquidity from the Exchange Tier 1 in Tape A. The Exchange further proprietary trading unit of a member organization in Tape B and C securities. As (‘‘SLP-Prop’’) or a registered market maker at the notes that SLPs that currently meet Tier Exchange (‘‘SLMM’’). Currently, there are three previously noted, a number of firms can SLMMs on the NYSE. qualify for the Remove Tier fee and 18 See page 5 of the current NYSE Price List, 16 15 U.S.C. 78f(b). additional member organizations could available at https://www.nyse.com/publicdocs/nyse/ 17 15 U.S.C. 78f(b)(4) & (5). qualify for the new tiered rate under markets/nyse/NYSE_Price_List.pdf.

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1 in both Tape B and Tape C receive a removing firms generally, the Exchange The Exchange believes it is not credit of $0.00005 per share in addition believes additional member unfairly discriminatory to provide a to the Tape A SLP credit in Tape A organizations could qualify for the new lower fee for removing liquidity and assigned securities where the SLP meets tiered rate under either proposed higher credits for adding displayed and the 10% quoting requirement pursuant criteria if they choose to direct order non-displayed liquidity as the proposed to Rule 107B. flow to, and increase quoting on, the fee and credits would be provided on an Finally, the Exchange also believes Exchange. The proposed lower rate is equal basis to all member organizations the proposed non-substantive changes also equitable because it would apply that remove liquidity by meeting the are reasonable and would not be equally to all existing member tiered requirements. Further, the inconsistent with the public interest and organizations that remove liquidity from Exchange believes the proposed fee the protection of investors because the Exchange in Tape B and C would provide an incentive for member investors will not be harmed and in fact securities. organizations to remove additional would benefit from increased clarity Further, the Exchange believes that liquidity from the Exchange in Tape B and transparency on the Price List, higher credits for adding liquidity in and C securities and, for member thereby reducing potential confusion. Tape B and C securities will encourage organizations that seek to qualify for the The Proposal is an Equitable Allocation participation from a greater number of proposed fee under the second criteria of Fees current and new SLPs which would based on adding ADV in MOC and LOC promote additional liquidity in Tape B activity, would encourage greater The Exchange believes its proposal and C securities. As the Exchange liquidity at the Exchange close, to the equitably allocates its fees among its previously noted that, a number of the benefit of all market participants. market participants by fostering current SLP firms are qualifying for the Similarly, the Exchange believes that liquidity provision and stability in the SLP Provide Tier 1 credit based on the proposed credits would incentivize marketplace. Moreover, the proposal is adding displayed liquidity and adding member organizations that are SLPs and an equitable allocation of fees because it meet the current tiered requirements to would reward SLPs for their increased non-displayed liquidity. Based on the profile of liquidity-providing SLPs send more orders to the Exchange to risks and heightened quoting and other qualify for higher credits. The Exchange obligations. generally, the Exchange believes that additional SLPs could qualify for the also believes that the proposed change The Exchange believes that, for the is not unfairly discriminatory because it reasons discussed above, the proposed displayed and non-displayed SLP Provide Tier 1 credits if they choose to is reasonably related to the value to the Remove Tier fee would incentivize Exchange’s market quality associated member organizations to remove direct order flow to, and increase quoting on, the Exchange. with higher volume. Finally, the additional liquidity from the Exchange, submission of orders to the Exchange is The proposed rebate is also equitable thereby increasing the number of orders optional for member organizations in because it would apply equally to all adding liquidity that are executed on that they could choose whether to existing and potential SLPs. The the Exchange and improving overall submit orders to the Exchange and, if Exchange believes the proposed higher liquidity on a public exchange and that they do, the extent of its activity in this rebates could provide an incentive for increasing the credits for SLPs for regard. adding displayed and non-displayed other market participants to become Finally, the Exchange believes that it liquidity to the Exchange in Tapes B SLPs on the Exchange. The Exchange is subject to significant competitive and C securities will encourage the SLPs believes that the proposal would forces, as described below in the to add liquidity to the market in Tape provide an equal incentive to all Exchange’s statement regarding the B and C securities, thereby providing member organizations to become SLPs, burden on competition. customers with a higher quality venue and that the proposal constitutes an For the foregoing reasons, the for price discovery, liquidity, equitable allocation of fees because all Exchange believes that the proposal is competitive quotes and price similarly situated member organizations consistent with the Act. improvement. The proposed change will would be eligible for the same rebates. thereby encourage the submission of B. Self-Regulatory Organization’s The Proposal is Not Unfairly Statement on Burden on Competition additional liquidity to a national Discriminatory securities exchange, thus promoting In accordance with Section 6(b)(8) of price discovery and transparency and The Exchange believes that the the Act,19 the Exchange believes that the enhancing order execution proposal is not unfairly discriminatory. proposed rule change would not impose opportunities for member organizations In the prevailing competitive any burden on competition that is not from the substantial amounts of environment, member organizations are necessary or appropriate in furtherance liquidity present on the Exchange. All free to disfavor the Exchange’s pricing if of the purposes of the Act. Instead, as member organizations would benefit they believe that alternatives offer them discussed above, the Exchange believes from the greater amounts of liquidity better value. that the proposed changes would that will be present on the Exchange, The proposal does not permit unfair encourage the submission of additional which would provide greater execution discrimination because the lower rate liquidity to a public exchange, thereby opportunities. for removing liquidity in Tape B and C promoting market depth, price The Exchange also believes that a securities and the higher credits for discovery and transparency and lower fee for removing liquidity with a adding liquidity in Tape B and C enhancing order execution lower rate and alternative ways to securities would be applied to all opportunities for member organizations. qualify would encourage member similarly situated member organizations As a result, the Exchange believes that organizations to remove additional and other market participants, who the proposed change furthers the liquidity from the Exchange in Tape B would all be eligible for the same credit Commission’s goal in adopting and C securities. As previously noted, a on an equal basis. Accordingly, no Regulation NMS of fostering integrated number of member organizations are member organization already operating competition among orders, which qualifying for the Remove Tier fee. on the Exchange would be Based on the profile of liquidity- disadvantaged by this allocation of fees. 19 15 U.S.C. 78f(b)(8).

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promotes ‘‘more efficient pricing of C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the individual stocks for all types of orders, Statement on Comments on the submission, all subsequent large and small.’’ 20 Proposed Rule Change Received From amendments, all written statements Intramarket Competition. The Members, Participants, or Others with respect to the proposed rule change that are filed with the proposed changes are designed to attract No written comments were solicited Commission, and all written additional order flow to the Exchange. or received with respect to the proposed rule change. communications relating to the The Exchange believes that the proposed rule change between the proposed changes would continue to III. Date of Effectiveness of the Commission and any person, other than incentivize market participants to direct Proposed Rule Change and Timing for those that may be withheld from the order flow to the Exchange. Greater Commission Action public in accordance with the liquidity benefits all market participants The foregoing rule change is effective provisions of 5 U.S.C. 552, will be on the Exchange by providing more upon filing pursuant to Section available for website viewing and trading opportunities and encourages 19(b)(3)(A) 21 of the Act and printing in the Commission’s Public member organizations to send orders, subparagraph (f)(2) of Rule 19b–4 22 Reference Room, 100 F Street NE, thereby contributing to robust levels of thereunder, because it establishes a due, Washington, DC 20549, on official liquidity, which benefits all market fee, or other charge imposed by the business days between the hours of participants on the Exchange. The Exchange. 10:00 a.m. and 3:00 p.m. Copies of the proposed credits would be available to At any time within 60 days of the filing also will be available for all similarly-situated market filing of such proposed rule change, the inspection and copying at the principal participants, and, as such, the proposed Commission summarily may office of the Exchange. All comments change would not impose a disparate temporarily suspend such rule change if received will be posted without change. burden on competition among market it appears to the Commission that such Persons submitting comments are participants on the Exchange. action is necessary or appropriate in the cautioned that we do not redact or edit public interest, for the protection of personal identifying information from Intermarket Competition. The investors, or otherwise in furtherance of comment submissions. You should Exchange operates in a highly the purposes of the Act. If the submit only information that you wish competitive market in which market Commission takes such action, the to make available publicly. All participants can readily choose to send Commission shall institute proceedings submissions should refer to File their orders to other exchange and off- under Section 19(b)(2)(B) 23 of the Act to Number SR–NYSE–2019–45 and should exchange venues if they deem fee levels determine whether the proposed rule be submitted on or before September 24, at those other venues to be more change should be approved or 2019. favorable. As noted, the Exchange’s disapproved. For the Commission, by the Division of market share of intraday trading in Tape Trading and Markets, pursuant to delegated B and C securities (excluding auction IV. Solicitation of Comments authority.24 volume) declined from March to June Interested persons are invited to Jill M. Peterson, 2019. In such an environment, the submit written data, views, and Assistant Secretary. Exchange must continually adjust its arguments concerning the foregoing, [FR Doc. 2019–18999 Filed 9–3–19; 8:45 am] fees and rebates to remain competitive including whether the proposed rule BILLING CODE 8011–01–P with other exchanges and with off- change is consistent with the Act. exchange venues. Because competitors Comments may be submitted by any of are free to modify their own fees and the following methods: SECURITIES AND EXCHANGE COMMISSION credits in response, and because market Electronic Comments participants may readily adjust their • Use the Commission’s internet [Release No. 34–86788; File No. SR– order routing practices, the Exchange comment form (http://www.sec.gov/ NYSEArca–2019–58] does not believe its proposed fee change rules/sro.shtml); or can impose any burden on intermarket • Self-Regulatory Organizations; NYSE Send an email to rule-comments@ Arca, Inc.; Notice of Filing of Proposed competition. sec.gov. Please include File Number SR– Rule Change To Modify Rules 6.60–O The Exchange believes that the NYSE–2019–45 on the subject line. and 6.65A–O Regarding the Treatment proposed change could promote Paper Comments of Orders Subject to Trade Collar competition between the Exchange and • Send paper comments in triplicate Protection other execution venues, including those to Secretary, Securities and Exchange that currently offer similar order types August 28, 2019. Commission, 100 F Street NE, Pursuant to Section 19(b)(1) 1 of the and comparable transaction pricing, by Washington, DC 20549–1090. encouraging additional orders to be sent Securities Exchange Act of 1934 (the All submissions should refer to File 2 3 to the Exchange for execution. The ‘‘Act’’) and Rule 19b–4 thereunder, Number SR–NYSE–2019–45. This file notice is hereby given that, on August Exchange also believes that the number should be included on the 21, 2019, NYSE Arca, Inc. (‘‘NYSE proposed change is designed to provide subject line if email is used. To help the Arca’’ or the ‘‘Exchange’’) filed with the the public and investors with a Price Commission process and review your Securities and Exchange Commission List that is clear and consistent, thereby comments more efficiently, please use (the ‘‘Commission’’) the proposed rule reducing burdens on the marketplace only one method. The Commission will change as described in Items I, II, and and facilitating investor protection. post all comments on the Commission’s III below, which Items have been internet website (http://www.sec.gov/ 24 17 CFR 200.30–3(a)(12). 21 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C.78s(b)(1). 22 17 CFR 240.19b–4(f)(2). 2 15 U.S.C. 78a. 20 Regulation NMS, 70 FR at 37498–99. 23 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4.

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prepared by the self-regulatory potentially erroneous (i.e., because they change would clarify how Trade Collar organization. The Commission is are away from the last sale price or best Protection currently operates and publishing this notice to solicit bid or offer). By applying Trading explicitly state that marketable Limit comments on the proposed rule change Collars to incoming orders, the Orders may be collared on arrival, in from interested persons. Exchange provides an opportunity to addition to having any remaining attract additional liquidity at tighter balance likewise subject to the Trading I. Self-Regulatory Organization’s spreads and it ‘‘collars’’ affected orders Collar (the latter point is already Statement of the Terms of Substance of at successive price points until the bid explicitly stated in the current rule). the Proposed Rule Change and offer are equal to the bid-ask The Exchange would continue to apply The Exchange proposes to modify differential guideline for that option, Trade Collar Protection to the balance of Rules 6.60–O (Price Protection—Orders) i.e., equal to the Trading Collar. Marketable Orders consistent with the and 6.65A–O (Limit-Up and Limit- Similarly, by applying Trading Collars current Rule (as discussed below).6 Down During Extraordinary Market to partially executed orders, the Current Rule 6.60–O(a)(3) provides Volatility) regarding the treatment of Exchange prevents the balance of such that Trade Collar Protection does not orders subject to Trade Collar orders from executing away from the apply to order types that have Protection. The proposed change is prevailing market after exhausting contingencies, namely, IOC, NOW, AON available on the Exchange’s website at interest at or near the top of book on and FOK orders (the ‘‘Contingent Order www.nyse.com, at the principal office of arrival. The Exchange proposes to Type Provision’’). The Exchange the Exchange, and at the Commission’s modify its rule regarding Trading proposes to modify the Contingent Public Reference Room. Collars (i.e., Rule 6.60–O(a) or the Order Type Provision, which currently indicates that such order types would II. Self-Regulatory Organization’s ‘‘Rule’’) to clarify existing functionality and to adopt enhancements to the receive an ‘‘immediate execution,’’ to Statement of the Purpose of, and make clear that such incoming orders Statutory Basis for, the Proposed Rule operation of the Trading Collars. Current Rule 6.60–O(a)(1)(i) states would ‘‘receive an execution, depending Change that Trade Collar Protection prevents upon the availability of an execution In its filing with the Commission, the the ‘‘immediate execution’’ of incoming pursuant to the terms of those orders.’’ 7 self-regulatory organization included Market Orders when the difference The Exchange believes this proposed statements concerning the purpose of, between the National Best Offer change (i.e., the removal of the word and basis for, the proposed rule change (‘‘NBO’’) and the National Best Bid ‘‘immediate’’) would more accurately and discussed any comments it received (‘‘NBB’’) is greater than one Trading reflect current functionality in regards on the proposed rule change. The text Collar. Rule 6.60–O(a)(1)(ii) states that to the processing of these contingent of those statements may be examined at Trade Collar Protection prevents the order types, insofar as such orders will the places specified in Item IV below. execution of the balance of an incoming only ‘‘immediately’’ execute if the The Exchange has prepared summaries, Market Order or marketable limit order contingency is satisfied. The Exchange set forth in sections A, B, and C below, to buy (sell) if it would execute at a believes this proposed wording change of the most significant parts of such price that exceeds the width of the would add clarity, transparency and statements. National Best Bid and Offer (‘‘NBBO’’) internal consistency to Exchange rules. plus (minus) the value of one Trading Current Rule 6.60–O(a)(4) provides A. Self-Regulatory Organization’s that when a Market Order is subject to Statement of the Purpose of, and the Collar. Thus, the current rule limits the application of Trade Collar Protection to Trade Collar Protection pursuant to Statutory Basis for, the Proposed Rule current paragraph (a)(1)(i), the Exchange Change incoming Market Orders and only expands this protection to include does not immediately execute or route 1. Purpose marketable Limit Orders once there is a such orders and instead goes on to state how such orders are processed. The The Exchange proposes to modify balance of a partially executed order Exchange proposes to modify this Rules 6.60–O(a) and 6.65A–O regarding that is subject to such protection. paragraph to make clear that it relates to the treatment of orders subject to Trade The Exchange proposes to modify Marketable (as opposed to just Market) Collar Protection. Rule 6.60–O(a) to make clear that Trade Orders as well as to clarify that the The Exchange has in place various Collar Protection may be applied to ‘‘execution and/or routing’’ of such price check features that are designed to marketable Limit Orders on arrival. orders would be limited by the help maintain a fair and orderly market, Although this reflects current including Trade Collar Protection.4 functionality, the rule is silent in this regard and focuses solely on any application of paragraph (a)(4). See proposed Rule Trading Collars mitigate the risks 6.60–O(a)(4). associated with orders sweeping unexecuted portion of a marketable 6 See proposed Rule 6.60–O(a)(1)(B). Because the through multiple price points (including Limit Order. Pursuant to proposed Rule Exchange is proposing to move the existing text during extreme market volatility) and 6.60–O(a), the Exchange would ‘‘limit (albeit slightly modified) into a sub-paragraph, it the immediate execution’’ of incoming proposes to re-number the paragraph in a manner resulting in executions at prices that are consistent with the rest of the current rule. See id. Market Orders and marketable Limit In addition, the Exchange proposes to modify this 4 Per Rule 6.60–O(a)(2), Trading Collars are Orders (collectively, ‘‘Marketable provision to refer solely to ‘‘Marketable Orders’’ determined by the Exchange on a class-by-class Orders’’; and each a ‘‘collared order’’) if (and to remove now extraneous reference to basis and, unless announced otherwise via Trader the width of the NBBO is greater than marketable Limit Orders), as the Marketable Orders is already defined in proposed Rule 6.60– Update, are the same value as the bid-ask 5 differential guidelines established pursuant to Rule one Trading Collar. This proposed O(a)(1)(A). See proposed Rule 6.60–O(a)(1)(B). 6.37–O(b)(4). The Exchange proposes a streamlining 7 See proposed Rule 6.60–O(a)(3). Because the technical change to combine the buy and sell 5 See proposed Rule 6.60–O(a)(1)(A). Because the listed contingency orders are not subject to Trade sections of the Rule into one paragraph since the Exchange is proposing to move the existing text Collar Protection, the Exchange believes the current Trading Collar value is the same whether a buy or (albeit modified) into a sub-paragraph, it proposes rule may refer to such orders receiving an sell order. See proposed Rule 6.60–O(a)(2)(A). To to re-number the paragraph in a manner consistent ‘‘immediate execution’’ to contrast the treatment of conform with this proposed change, the Exchange with the rest of the current rule. See id. Also, orders that are subject to such protection—as such proposes to re-number current paragraph (a)(2)(C) to consistent with the clarification that Trade Collar orders (under the current rule) are ‘‘not proposed (a)(2)(B), without any substantive Protection applies to incoming Marketable Orders, immediately executed.’’ See Rule 6.60–O(a)(1) and changes. the Exchange proposes to modify and expand the (a)(3).

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Exchange as discussed below, as it is collared to avoid executing at an to the NBO (NBB).’’ If, however, a opposed to stating that they would not erroneous price; whereas, a Market marketable Limit Order arrives when ‘‘immediately execute or route’’ which Order to sell entered when the NBO is there is already an order being collared, modifications are consistent with the $0.00, would be rejected as there is no it would join that collared order and be changes to Rule 6.60–O(a)(1)(A) (and market for the incoming order.11 The processed consistent with proposed consistent with existing functionality). Exchange believes the Zero NBBO paragraph (a)(6)(B), which is discussed The Exchange also proposes to make Collar Exception would improve the below.13 clear that this provision relates to operation of Trading Collars when the The Exchange also proposes to modify ‘‘incoming’’ Marketable Orders as prevailing market is zero (indicating the rule regarding executions of collared opposed to the balance thereof.8 market dislocation) at the time an orders. The current rule provides that The Exchange also proposes to modify incoming Market Order arrives. Absent the Exchange would ‘‘execute or route the Rule to specify that collared orders the proposed Zero NBBO Collar the collared order to buy (sell) against will be assigned a ‘‘collar execution Exception, a Market Order to buy (sell) any contra-interest priced within one price,’’ which price depends upon the that arrives when the NBB (NBO) is zero Trading Collar above (below) the order type (Market or Limit) and would trade based on the last sale price, displayed price of the collared order.’’ 14 whether (when the order arrives) the if any; if there is no last sale price, the The Exchange proposes to clarify that a Exchange is already in receipt of order would trade at the contra-side collared order to buy (sell) would ‘‘trade another order being collared.9 Current NBBO which may result in a bad against any contra-side interest priced Rule 6.60–O(a)(4)(A) covers collared execution price. The proposal to collar equal to its collar execution price or at Market Orders to buy (sell), which an incoming buy order when the NBB prices within one Trading Collar above would not immediately execute or is zero is consistent with the handling (below) the collar execution price (‘the route, but would be ‘‘displayed at a of other collared orders to buy when the Collar Range’).’’ 15 Consistent with price equal to the NBB (NBO) plus NBB is not zero (i.e., the collared order proposed Rule 6.60–O(a)(4)(B),(C), the (minus) one Trading Collar.’’ As is assigned a collar execution price Exchange proposes to refer to the ‘‘collar proposed, a Market Order to buy (sell) equal to the NBB plus one Trading execution price’’ (as opposed to a ‘‘received when there is not already a Collar).12 In regards to the proposal to display price) as the collared order collared order to buy (sell)’’ would be reject (as opposed to collar) incoming seeks an execution before it would be ‘‘assigned a collar execution price’’ (as sell orders when the NBO is zero, the displayed, thus this change clarifies opposed to being ‘‘displayed’’) equal to Exchange believes this change in existing functionality. In addition, the the NBB (NBO) plus (minus) one functionality is necessary because any Exchange believes that clarifying that Trading Collar.10 The Exchange attempt to collar such an order would the collared order would execute with proposes to replace ‘‘displayed’’ as used result in a negative number. In addition, contra-side interest priced within a in the current rule with ‘‘assigned a the Exchange has observed that it is Collar Range (i.e., equal to, and up to collar execution price’’ because, once extremely uncommon to have a no one Trading Collar above (below) the collared (and consistent with current (zero) offer situation and believes it collar execution price), provides more functionality), the order would be could be indicative of unstable market specificity than the current language, eligible to immediately execute against conditions. To avoid such orders which states only that such order would available interest before its price is receiving bad executions in times of execute against interest ‘‘within one displayed. Examples illustrating this market dislocation, the Exchange Trading Collar’’ of its price. The (existing) functionality are included at believes it would be appropriate to Exchange believes these proposed the end of the description of these reject such orders. Thus, the Zero NBBO changes, which describe current proposed rule changes. Exception helps maintain fair and functionality, would add clarity, In addition, the Exchange proposes an orderly markets. An example illustrating transparency, and internal consistency exception to the processing of incoming this new functionality is included at the to Exchange rules. Market Orders to buy (sell) that arrive end of this section. The Exchange proposes to add new when the NBB (NBO) is zero (the ‘‘Zero In addition, because the rule has been paragraph (a)(4)(E) to the Rule to codify NBBO Collar Exception’’). Specifically, updated to clarify that (consistent with existing functionality and make clear a Market Order to buy entered when the current functionality) incoming that the Exchange would cancel a NBB is $0.00 would be assigned a collar marketable Limit Orders may be Market Order, or the balance thereof, execution price equal to the NBB (i.e., collared (i.e., proposed Rule 6.60– that has been collared pursuant to $0.00) plus one Trading Collar to ensure O(a)(1)(A)), the Exchange proposes to proposed Rule 6.60–O(a)(1)(A) or (B) if, further update the rule to address how after exhausting trading opportunities 8 See proposed Rule 6.60–O(a)(4). See also such orders would be collared, within the Collar Range, the Exchange proposed Rule 6.60–O(a)(1)(A) (making clear that depending upon whether the Exchange determines there are no quotes on the incoming marketable Limit Order are subject to Trading Collar Protection). is already in receipt of a collared order. Exchange and/or no interest on another 9 See proposed Rule 6.60–O(a)(4). The Exchange Specifically, as proposed (and market (‘‘Available Interest’’). The also proposes to make a conforming change to consistent with current functionality), absence of Available Interest, such as a update the cross-reference from Rule 6.60–O(a)(1)(i) modified Rule 6.60–O(a)(4)(C) would Market Maker quote in the series, means to proposed Rule 6.60–O(a)(1)(A). Also, current Rule 6.60–O(a)(4)(C)(i)–(iii) address scenarios when clarify that when the incoming collared that the Exchange would have no an order arrives while another order is being order is a marketable Limit Order to buy reliable price framework within which collared, but the proposed rule text adds clarity (sell) and there is no other order already to evaluate the Market Order. Therefore, regarding current functionality and addresses being collared, the order would be the Exchange believes that cancellation enhancements to the functionality since the rule was adopted. ‘‘assigned a collar execution price equal 13 10 See proposed Rule 6.60–O(a)(4)(B). As See proposed Rule 6.60–O(a)(4)(C). discussed further below, proposed Rule 6.60– 11 See proposed Rule 6.60–O(a)(4)(B)(i), (ii). 14 See Rule 6.60–O(a)(4)(B). O(a)(4)(A) would provide that ‘‘[a] Market Order to 12 See proposed Rule 6.60–O(a)(4)(B) (providing, 15 See proposed Rule 6.60–O(a)(4)(D). The buy (sell) received when there is already a collared in relevant part, that a Market Order to buy received proposed rule does not repeat the concept of a order to buy (sell) will join that collared order and when there is not already a collared order to buy collared order being executed or routed in be processed consistent with paragraphs (a)(4)(C)— is assigned a collar execution price equal to the paragraph (a)(4)(D), because this concept is already (a)(6),’’ which reflects current functionality. NBB plus one Trading Collar). covered in proposed paragraph (a)(4).

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of the Market Order would be side interest priced within one Trading • The first scenario under the current appropriate and in the best interest of Collar of the most recent execution rule provides that ‘‘an update to the investors. price, the order to buy (sell) would be NBBO (based on another market or a Regarding the treatment of the balance displayed at the higher (lower) of its quote on the Exchange or a Limit Order of a Marketable Order (i.e., a Market assigned collar execution price or the on the Exchange priced one Trading Order or a marketable Limit Order) that best execution price of the order that is Collar or less away from the collared is subject to Trade Collar Protection, the both within the Collar Range and at order) that improves the same side of Exchange proposes to clarify and update least one Trading Collar away from the the market as the collared order will the collar functionality, including best priced contra-side trading interest result in the collared order being making clear when and at what price (i.e., lowest sell interest for collared buy redisplayed at the new NBB (for buy the collared order is first displayed. orders/highest buy interest for collared orders) or NBO (for sell orders)’’ 22 Current Rule 6.60–O(a)(5) provides that sell orders).19 This proposed text Consistent with the foregoing proposed ‘‘[w]hen the balance of a partially modifies the second sentence of current rule text changes, the Exchange executed Marketable Order’’ is subject paragraph (a)(5) by replacing reference proposes to modify this provision to to Trade Collar Protection, such balance to the NBBO at the time of initial replace the words ‘‘redisplayed at’’ with ‘‘will be displayed at the last sale execution with the concept of the collar ‘‘assigned a new collar execution price price.’’ Further, ‘‘[i]f there is an execution price and clarifying that the equal to’’ the NBB (for buy orders) or opportunity for trading within a Trading display price would be the better of the NBO (for sell orders), and to add to the Collar above (below) the last sale price, collar execution price or keyed off of the end of this provision that the repriced the balance of the buy (sell) order will best price contra-side interest. The orders would be ‘‘processed at the be displayed at the NBB (NBO) Exchange believes this modified updated collar execution price established at the time of the initial provision, which reflects current consistent with paragraphs (a)(4)(D) and execution.’’ 16 functionality, provides greater (a)(5) above.’’ 23 The ‘‘new collar The Exchange proposes to replace the granularity regarding the circumstances execution price’’ reflects the updated existing text and replace it with new under which the price of a collared price at which the collared order is rule text titled ‘‘Display of collared order is first displayed and how that eligible to trade based on changes in the orders.’’ Pursuant to new Rule 6.60– price is determined, which additional market. This concept is consistent with O(a)(5), a Market Order that does not clarity and transparency is beneficial to the current rule except that the updated trade on arrival will be displayed at its the investing public. price is not (re)displayed until it has collar execution price whereas the In addition, the Exchange also exhausted all trading opportunities display price of the balance of a proposes to add rule text to new within the Collar Range. • The second scenario under the partially executed Marketable Order paragraph (a)(5) of the Rule to make current rule provides that a Marketable collared pursuant to proposed clear that collared orders would be Order to buy (sell) on the same side of paragraph (a)(1)(B) of the Rule, depends displayed at the Minimum Price upon eligible contra-side interest.17 the market as the collared order or a Variation (‘‘MPV’’) for the option, Limit Order to buy (sell) on the same Specifically, per proposed paragraph pursuant to Rule 6.72–O (Trading (a)(5)(A) of the Rule, if the collared side of the market as the collared order Differentials) which rule sets forth the and priced greater than one Trading order has traded against all contra-side minimum quoting increments for interest within the Collar Range, the 20 Collar above (below) the displayed price options traded on the Exchange. The of the collared order will itself become order would be displayed at the most Exchange believes adding this 18 subject to Trade Collar Protection and recent execution price. This proposed information to the Rule add provision sets forth the same concept as will result in the collared order and the transparency, clarity and internal Limit Order being displayed at one the first sentence of current paragraph consistency to Exchange rules. (a)(5), except that it specifies that the Trading Collar above (below) the order would be displayed at the most Current Rule 6.60–O(a)(4)(C) sets forth displayed price of the collared order.24 recent execution price (i.e., last sale scenarios that would trigger the The Exchange proposes to modify this price) only after it has exhausted trading ‘‘redisplay’’ of a collared order. rule to remove reference to ‘‘Marketable opportunities within the Collar Range Consistent with the foregoing changes, Orders to buy (sell) on the same side of (whereas the current rule is silent on the Exchange proposes to update this the market as the collared orders,’’ this fact, though it may be inferred given section with conforming changes for because the functionality has been that the second sentence of the current consistency, with regard to current updated such that a Market Order Rule discusses the display price when functionality, and modify the rule to received when there is already a trading opportunities have not been adopt new functionality. First, the collared order would join that collared exhausted). Exchange proposes to re-number this order (rather than be subject to a Per proposed paragraph (a)(5)(B) of paragraph as (a)(6), title it ‘‘Repricing of separate collar).25 This proposed the Rule, if, however, there is contra- collared orders,’’ and make clear that modification would make clear that this the Exchange would ‘‘assign a new 16 See Rule 6.60–O(a)(5). collar execution price’’ to (as opposed to 22 See Rule 6.60–O(a)(4)(C)(i). 17 See proposed Rule 6.60–O(a)(5). The Exchange redisplay) the collared order upon the 23 See proposed Rule 6.60–O(a)(6)(A). The notes that the proposed new rule does not include happening of one of the listed scenarios Exchange also proposes to add a semi-colon to the last sentence of current paragraph (a)(5) which (as modified below).21 separate the two clauses regarding what constitutes provides that the balance of Marketable Orders that a market update event that updates the NBBO (i.e., are subject to Trade Collar Protection are processed that it must be ‘‘based on another market or a quote in the same fashion as incoming collared orders per 19 See proposed Rule 6.60–O(a)(5)(B). on the Exchange; or a Limit Order on the Exchange current paragraph (a)(4). The Exchange believes that 20 See proposed Rule 6.60–O(a)(5). priced one Trading Collar or less away from the this language would be redundant of proposed 21 See proposed Rule 6.60–O(a)(6). Consistent collared order’’). See id. paragraph (a)(1)(A)–(B), which makes clear what is with this change, the Exchange also proposes to 24 See Rule 6.60–O(a)(4)(C)(ii). Consistent with deemed a ‘‘collared order’’ as well as proposed rule renumber the existing subparagraphs to proposed the Rule, this provision excludes IOC Orders, AON (a)(4)(A)–(E), which describes how such orders are (a)(6) as (A)–(C) and existing paragraphs (a)(4)(D) Orders, FOK Orders and NOW Orders. See id.; see processed. and (a)(6) as proposed paragraphs (a)(7) and (a)(8), also Rule 6.60–O(a)(3). 18 See proposed Rule 6.60–O(a)(5)(A). respectively. See id. 25 See proposed Rule 6.60–O(a)(4)(A).

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scenario is applicable solely to current functionality, would allow the the Collar Range, i.e., contra-side marketable Limit Orders received when collared order an opportunity for an interest within one Trading Collar there is already an order being collared. execution (rather than being cancelled) above the collar execution price— Consistent with the proposed textual and adds transparency and internal resulting in a permissible execution changes to the first scenario, the consistency to Exchange rules. range of 1.25 up to and including Exchange likewise proposes to modify The Exchange also proposes to clarify 1.50) 35 this provision to replace the words the rule text regarding the priority of Example 2: Limit Order Received When ‘‘displayed at a price’’ with ‘‘assigned a collared orders. Current Rule 6.60– No Other Orders Being Collared 36 new collar execution price’’ one Trading O(a)(6) states that ‘‘[a]ll orders for which Collar above or below the displayed Trade Collar Protection prevents BOX: 100 × 1.50 × 1.60 × 100 price of the collared order, as applicable immediate execution will be ranked T2 Sell 100 @ 1.70 (at which new price it will be eligible based on time priority (with all other T3 Sell 100 @ 1.80 to trade), and to add to the end of this orders for which Trade Collar Protection T4 Sell 100 @ 2.95 provision that the repriced orders would prevents immediate execution).’’ T1 Buy 1000 @ 3.00 be ‘‘processed at the updated collar Because the current rule text does not Results: execution price consistent with make clear that such collared orders, • T1 is assigned a collar execution price paragraphs (a)(4)(D) and (a)(5) above.’’ 26 like other non-collared orders, will be of 1.60 (i.e., the NBO) and is eligible • The third scenario under the processed at each price in time priority, to trade with interest within its Collar current rule provides that ‘‘upon the the Exchange proposes to clarify that Range (i.e., contra-side interest within expiration of one second, the collared such orders would be ‘‘processed in one Trading Collar (0.25) above the order to buy (sell) will redisplay at a accordance with Rule 6.76–O.Order collar execution price—resulting in a price one Trading Collar above (below) Ranking and Display—OX.’’ 30 This permissible execution range of 1.60 the displayed price of the collared proposed change to reflect current up to and including 1.85) 37 order.’’ 27 The Exchange proposes to functionality and adds clarity, Æ T1 routes 100 to BOX and trades at modify this provision to add ‘‘and transparency and internal consistency to 1.60 absent an update to the NBBO’’ after Exchange rules. Æ T1 trades 100 with T2 at 1.70 language regarding the expiration of one Æ * * * * * T1 trades 100 with T3 at 1.80 second to distinguish this scenario from • Since T1 has traded with all eligible the first scenario where a change in the EXAMPLES OF TREATMENT OF interest within the collar range, the market (i.e., an update to the NBBO) COLLARED ORDERS 31 balance of T1 (i.e.. the remaining 700) caused the collared order to reprice (and is assigned a collar execution price of potentially redisplay). Also, consistent Example 1: Market Order Received When No Other Orders Being Collared 32 1.80 (the most recent execution price), with the other two scenarios, the is displayed at that price and is × ¥ × Exchange proposes to modify this BOX: 0 0 1.50 100 (wide market) eligible to trade within the Collar provision to replace the words LMM 100 × 0.25¥1.60 × 100 38 × Range ‘‘redisplay at a price’’ with ‘‘assigned a Cust1 Buy Market 100 • Each second that the T1 does not new collar execution price’’ one Trading Results: trade it receives a new collar Collar above or below the ‘‘current • Cust1 is assigned a collar execution execution price and is displayed at displayed price’’ of the collared order, price of 0.50 (i.e., the NBB (0.25), plus each successive collar (i.e., 2.05 and as applicable, and to add to the end of one Trading Collar, which is 0.25 then ticks up based on $0.40 collar— this provision that the repriced orders because the NBB is less than $2.00) 33 because price/NBB is over $2.00—to would be ‘‘processed at the update • Each second that elapses in which 2.45) 39 collar execution price consistent with Cust1 does not trade (and absent Æ Once at 2.85, T1 is eligible to trade 28 paragraphs (a)(4)(D) and (a)(5) above.’’ changes to the NBBO), the order within its Collar Range and trades Thus, the collared order to buy (sell) receives a new collar execution price 100 with T4 at 2.95 would be eligible to trade at a price for and is displayed at each successive • The balance of T1 (i.e., the remaining a period of one second, but if market collar—0.50, then 0.75, then 1.00 34 600) is assigned a collar execution conditions prevent it from trading, the • Once the order ticks up to receive a price of 2.95, is displayed at that price order will improve or tick up (down) collar execution price of 1.25, it trades and is eligible to trade within the and be assigned a new collar execution with BOX at 1.50 (as 1.50 is within Collar Range 40 price one Trading Collar above (below) the current display price. The Exchange 30 See proposed Rule 6.60–O(a)(8). 35 See proposed Rule 6.60–O(a)(4)(D) (regarding proposes to clarify the functionality 31 The Exchange notes that the processing of Collar Range). under this (third) scenario, however to collared orders in examples 1–3 reflect current 36 See supra note 31. provide that ‘‘if the collared order is a processing, but that, as noted above, the Exchange 37 See proposed Rule 6.60–O(a)(4)(C) (regarding has clarified the rule text used to describe the collar execution price for limit orders) and (a)(4)(D) Market Order to sell that has reached processing (i.e., reference to ‘‘collar execution (regarding Collar Range) and (a)(2)(A)(i) (regarding $0.00, it will not reprice but will be price’’ versus ‘‘display price’’ as well as removing Trading Collar). posted in the Consolidated Book at its reference to ‘‘last sale’’ as the benchmark for 38 See proposed Rule 6.60–O(a)(5)(A). See also MPV (e.g., $0.01 or $0.05),’’ because an determining display price and adding specificity Rule 6.60–O(a)(5)(A) (regarding collared order that order may never be posted for lower about available trading interest impacting display has traded against all eligible interest in the collar price determination—which may or may not be the range being displayed at the most recent execution than its MPV—and the alternative to same as the last sale price, see, e.g., Rule 6.60– price). holding the order at the MPV would be O(a)(5)(A)). 39 See proposed Rule 6.60–O(a)(6)(C) (regarding to cancel it.29 The Exchange believes 32 See id. assignment of new collar execution price every one this proposed rule text, which reflects 33 See proposed Rule 6.60–O(a)(4)(B) (regarding second that the order does not trade as seconds collar execution price for Market Orders) and elapse and NBBO does not change) and (a)(2)(A)(i) (a)(2)(A)(i) (regarding Trading Collar). (regarding Trading Collar). 26 See proposed Rule 6.60–O(a)(6)(B). 34 See proposed Rule 6.60–O(a)(6)(C) (regarding 40 See also Rule 6.60–O(a)(5)(A) (regarding 27 See Rule 6.60–O(a)(4)(C)(iii). assignment of new collar execution price every one collared order that has traded against all eligible 28 See proposed Rule 6.60–O(a)(6)(C). second that the order does not trade as seconds interest in the collar range being displayed at the 29 See id. elapse and NBBO does not change). most recent execution price).

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• After one second, T1 is displayed at • Cust1 is assigned a collar execution arrival, unless collared and pending its limit price of 3.00 and will not be price of 0.25 (i.e., the NBB (0.00), plus execution. The Exchange believes this repriced/subject to further Trade one Trading Collar which is 0.25 proposed change would add clarity, Collar Protection 41 because the NBB is less than $2.00) 47 transparency and internal consistency to • Each second that Cust1 does not trade Exchange rules as it makes clear that, in Example 3: Limit Order Received When (and absent changes to the NBBO), it 42 addition to rejecting a Market Order No Other Orders Being Collared receives a new collar execution price received when an underlying NMS MMQ 100 × 5.00¥5.40 × 10 (NBBO) and is displayed at each successive stock is in an LULD State, the Exchange BD1 Sell Limit Order 10 × 5.70 collar (i.e., 0.50, then 0.75, then will likewise cancel a resting Market BD2 Sell Limit Order 10 × 5.95 1.00) 48 Order if an underlying NMS stock enters BD3 Buy Limit Order 100 @6.00 • Once the order ticks up to receive a an LULD State. Results: collar execution price of 1.25, it seeks Implementation • BD3 is assigned a collar execution an execution within that collar range price of 5.40 (i.e., the NBO) and is (i.e., 1.25–1.50) and trades with BOX The Exchange will announce the Zero eligible to trade with interest within at 1.50. NBBO Collar exception in a Trader its Collar Range (i.e., contra-side * * * * * Update to be published no later than 60 days following the approval date of this interest within one Trading Collar Rule 6.65A–O: LULD Rule (0.40 because the NBB does not rule. exceed 5.00) above the collar The Exchange proposes to update the 2. Statutory Basis execution price—resulting in a Rule 6.65A–O, Limit-Up and Limit- Down During Extraordinary Market The proposed rule change is permissible execution range of 5.40 consistent with Section 6(b) 51 of the up to and including 5.80) resulting in Volatility, related to the Plan to Address Extraordinary Market Volatility Act, in general, and furthers the the following executions: objectives of Section 6(b)(5),52 in Æ BD3 trades 10 with MMQ at 5.40 Pursuant to Rule 608 of Regulation NMS particular, in that it is designed to Æ BD3 trades 10 with BD1 at 5.70 43 (‘‘LULD’’ or the ‘‘LULD Rule’’). The prevent fraudulent and manipulative • The balance of BD3 (i.e., the current rule provides that the Exchange acts and practices, to promote just and remaining 80) is displayed at 5.40 shall reject Market Orders, as defined in equitable principles of trade, to foster rather than the most recent execution Rule 6.62–O(a), entered when the cooperation and coordination with price of 5.70 (‘‘last sale’’) because underlying NMS stock is either in a persons engaged in facilitating there is contra-side interest priced Limit State or a Straddle State (an transactions in securities, and to remove within one Trading Collar of the last ‘‘LULD State’’) and shall notify OTP impediments to and perfect the sale (i.e., 5.95) 44 Holders of the reason for such 49 mechanisms of a free and open market • One second elapses, and BD3 rejection. The Exchange proposes to and a national market system. receives a new collar execution price of add rule text to make clear that the Overall, the Exchange is proposing 5.90 (i.e., its collar execution price Exchange, under existing functionality, various changes that would promote just (5.40) plus one Trading Collar (0.50)) ‘‘will cancel any Market Order that is a and equitable principles of trade, and is eligible to trade with interest collared order pursuant to Rule 6.60– because collared orders would be within its Collar Range (i.e., contra-side O(a)’’ if the underlying NMS stock handled in a fair and orderly manner, as interest within one Trading Collar (0.50) enters an LULD State and ‘‘will notify described above. The various above the collar execution price— OTP Holders of the reason for such modifications and clarifications, many resulting in a permissible execution cancellation,’’ as the current rule does of which are consistent with current range of 5.90 up to and including 6.40) not address this scenario.50 A market functionality, are intended to improve resulting in the following execution: order would typically trade upon the rule overall by adding more Æ BD4 trades 10 with BD2 at $5.95 45 47 See proposed Rule 6.60–O(a)(4)(B)(i). See also specificity and transparency. The Example 4: Market Order Received current and proposed Rule 6.60–O(a)(2)(i). Exchange believes that the proposed When the NBB is Zero and No Other 48 See proposed Rule 6.60–O(a)(6)(C) (regarding rule changes would promote just and Orders Being Collared (Illustrating the assignment of new collar execution price every one equitable principles of trade as well as second that the order does not trade as seconds Proposed Zero NBBO Collar elapse and NBBO does not change) and (a)(2)(A)(i) protect investors and the public interest 46 Exception) (regarding Trading Collar). by making more clear what types of BOX: 0 × 0¥1.50 × 100 49 See Rule 6.65A–O(a)(1). The Exchange notes orders may be collared and how such Cust1 Buy Market Order × 100 that other exchanges provide for the cancellation or orders are processed, including the rejection of market orders in such circumstance. circumstances that determine collar Result: See, e.g., CBOE Rule 6.3A(b)(1) (LULD rule citing Rule 6.2 regarding order handling); CBOE Rule 6.2, execution price(s) and display price(s). Interpretations and Policies .07 (providing that if The Exchange believes that the 41 See proposed Rule 6.60–O(a)(7) (regarding a the underlying security for an option class is in an limit order not being eligible to post beyond its proposed rule assists with the LULD State when the class moves to opening limit price). maintenance of fair and orderly markets rotation, then all market orders in the system will 42 See supra note 31. be cancelled, except market orders that are by clarifying and enhancing the 43 See proposed Rule 6.60–O(a)(4)(C) (regarding considered limit orders pursuant to CBOE Rule operation of the Trading Collar collar execution price for limit orders) and (a)(4)(D) 6.13(b)(vi) and entered the previous trading day). functionality—which is designed to (regarding Collar Range) and (a)(2)(A)(ii) (regarding See also NASDAQ Options Market (‘‘NOM’’) Ch. V, mitigate the risk of orders sweeping Trading Collar). Sec. 3(d) (providing that if, after the opening, the 44 See proposed Rule 6.60–O(a)(5)(B) (regarding underlying NMS stock for an option class is in an through multiple price points and display price of partially executed collared order LULD State, NOM will reject market orders and executing at potentially erroneous where there is contra-side interesting within on notify its participants of the reason for such prices—as the proposed rule would Trading Collar). rejection). continue to protect investors from 45 See proposed Rule 6.60–O(a)(4)(C) (regarding 50 See proposed Rule 6.65A–O(a)(1). For receiving bad executions away from collar execution price for limit orders) and (a)(4)(D) consistency, the Exchange proposes the technical (regarding Collar Range) and (a)(2)(A)(ii) (regarding change of replacing ‘‘shall’’ with ‘‘will’’ each time Trading Collar). in appears in this rule. See proposed Rule 6.65A– 51 15 U.S.C. 78f(b). 46 See supra note 31. O. 52 15 U.S.C. 78f(b)(5).

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prevailing market prices. The Exchange Exchange believes the proposed circumstances could lead to executions notes that Trading Collar functionality clarification of how such orders are at unintended prices (i.e., inferior to the is not new or novel and is available on handled provides the collared order an NBBO), and could add to volatility in other options exchanges.53 The opportunity for an execution (rather the options markets during times of Exchange believes that the proposed than being cancelled) and adds extraordinary market volatility. The changes that codify existing transparency and internal consistency to Exchange believes that this current functionality, including how incoming Exchange rules. treatment of collared market orders, and marketable Limit Orders are collared The Exchange likewise believes that the proposal to explicitly state this and the cancellation of collared Market the proposed enhancements to the treatment in the rule text, would Orders—in the absence of Available Trading Collar functionality—the Zero provide certainty to the treatment of Interest or if an NMS stock enters an NBBO Collar Exception—likewise Market Orders during these times and LULD State—would add clarity, would prevent fraudulent and add clarity and transparency to transparency and internal consistency to manipulative acts and practices, Exchange rules, thus promoting just and Exchange rules regarding the handling promote just and equitable principles of equitable principles of trade and of orders accepted by the Exchange (i.e., trade, and remove impediments to and removing impediments to, and that such orders would be cancelled, not perfect the mechanisms of a free and perfecting the mechanism of, a free and rejected) and make them easier for open market and a national market open market and a national market market participants to navigate and system. In particular, the proposed Zero system. The proposed rule amendments comprehend. NBBO Collar Exception would improve would also provide internal consistency Further, the proposal to codify that the operation of the Trading Collar within Exchange rules and operate to the Exchange would cancel a Market when the prevailing market is zero protect investors and the investing Order or the balance thereof that has (indicating market dislocation) at the public by making the Exchange rules been collared once it has exhausted time an incoming Market Order arrives. easier to navigate and comprehend. The trading opportunities within its collar The Exchange believes the Zero NBBO Exchange notes that the proposed execution price plus/minus one Trading Collar Exception would improve the cancellation of an options order if the Collar if there is no Available Interest operation of Trading Collars when the underlying NMS security is in an LULD would protect investors from potentially prevailing market is zero (indicating State is not new or novel and is erroneous executions because this market dislocation) at the time an available on other options exchanges scenario means the Exchange would incoming Market Order arrives. Absent that offer collar functionality similar to have no reliable price framework within the proposed Zero NBBO Collar the Exchange’s.54 However, the which to evaluate the collared orders. Exception, a Market Order to buy (sell) Exchange believes that the rules of these Thus, this proposal would foster that arrives when the NBB (NBO) is zero other exchanges do not specifically cooperation and coordination with would trade based on the last sale price, contemplate the underlying security persons engaged in facilitating if any; if there is no last sale price, the entering an LULD state while a market transactions in securities, and remove order would trade at the contra-side order is resting on the book, because impediments to and perfect the NBBO which may result in a bad such orders typically execute on arrival. mechanism of a free and open market execution price. In regards to the The Exchange nonetheless believes that and a national market system. proposal to reject (as opposed to collar) the handling such orders, as well as the The Exchange believes that the incoming sell orders when the NBO is proposed rule clarification, adds proposal to codify current functionality zero, the Exchange believes this change transparency and specificity to regarding a collared order that is a in functionality is necessary because Exchange rules. Market Order to sell that has reached any attempt to collar such an order $0.00 such that the Exchange post the would result in a negative number. In Technical Changes order at its MPV (e.g., $0.01 or $0.05) addition, the Exchange has observed The Exchange notes that the proposed would promote just and equitable that it is extremely uncommon to have organizational and non-substantive principles of trade and assist with the a no (zero) offer situation and believes changes to the rule text would provide maintenance of fair and orderly markets it could be indicative of unstable market clarity and transparency to Exchange because an order may never be posted conditions. To avoid such orders rules and would promote just and for lower than its MPV—and the receiving bad executions in times of equitable principles of trade and remove alternative to holding the order at the market dislocation, the Exchange impediments to, and perfect the MPV would be to cancel it. The believes it would be appropriate to mechanism of, a free and open market reject such orders. Thus, the Zero NBBO and a national market system. The 53 See, e.g., CBOE Rule 6.13(b)(v) (setting forth its Exception helps maintain fair and proposed rule amendments would also Hybrid Trading System Automatic Execution orderly markets. provide internal consistency within Feature, which prevents the execution of marketable orders if (a) the width of the NBB and LULD Exchange rules and operate to protect NBO is not within an ‘‘acceptable price range’’ (as investors and the investing public by determined by CBOE) or (b) if an execution would The Exchange believes it is making the Exchange rules easier to follow a partial execution and would be beyond an appropriate that the Exchange cancel a navigate and comprehend. ‘‘acceptable tick distance’’ (as determined by Market Order that is collared when an CBOE), but unlike Trade Collar Protection on the B. Self-Regulatory Organization’s Exchange, CBOE does not reprice (or redisplay) NMS stock enters an LULD State orders at narrowing prices. In addition, the because when the underlying NMS Statement on Burden on Competition NASDAQ Options Market (‘‘NOM’’) and NASDAQ stock enters an LULD State, there may The Exchange does not believe that OMX BX (‘‘BX’’) each have identical rules (Chapter VI, Section 18(b)(1) (setting forth the risk protection not be a reliable underlying reference this proposed rule change would feature for quotes and orders, which prevents price, there may be a wide bid/ask impose any burden on competition not executions (partial or otherwise) of orders beyond quotation differential in the option, and necessary or appropriate in furtherance an ‘‘acceptable trade range’’ (as calculated by the there may be less liquidity in the of the purposes of the Act. Instead, the exchange) and when an order (or quote) reaches the limits of the ‘‘acceptable trade range’’, it posts for options markets. Thus, allowing a Exchange believes the proposal provides a period not to exceed one second and recalculated collared Market Order to execute (as a new ‘‘acceptable trade range’’). opposed to cancel) in such 54 See supra note 49.

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clarity (including defining the collar IV. Solicitation of Comments For the Commission, by the Division of execution price) and enhancement to Trading and Markets, pursuant to delegated the Trading Collars that provide market Interested persons are invited to authority.56 participants with protection from submit written data, views, and Jill M. Peterson, anomalous executions. Thus, the arguments concerning the foregoing, Assistant Secretary. Exchange does not believe the proposal including whether the proposed rule [FR Doc. 2019–19001 Filed 9–3–19; 8:45 am] creates any significant impact on change is consistent with the Act. BILLING CODE 8011–01–P competition. Comments may be submitted by any of the following methods: The proposed enhancements to the Trading Collars (i.e., the Zero NBBO Electronic Comments SMALL BUSINESS ADMINISTRATION Collar Exception) would improve the • Use the Commission’s internet [Disaster Declaration #16095 and #16096; operation of the Trading Collars thereby Wisconsin Disaster Number WI–00069] further protecting investors against the comment form (http://www.sec.gov/ rules/sro.shtml); or execution of orders at erroneous prices. Presidential Declaration of a Major As such, the proposal does not impose • Send an email to rule-comments@ Disaster for Public Assistance Only for any burden on competition. To the sec.gov. Please include File Number SR– the State of Wisconsin contrary, the Exchange believes that the NYSEArca–2019–58 on the subject line. proposed enhancements may foster AGENCY: U.S. Small Business more competition. Specifically, the Paper Comments Administration. Exchange notes that it operates in a • Send paper comments in triplicate ACTION: Notice. highly competitive market in which to Secretary, Securities and Exchange market participants can readily favor SUMMARY: This is a Notice of the Commission, 100 F Street NE, Presidential declaration of a major competing venues. The Exchange’s Washington, DC 20549–1090. proposed rule change would enhance its disaster for Public Assistance Only for ability to compete with other exchanges All submissions should refer to File the State of WISCONSIN (FEMA–4459– that already offer similar trading collar Number SR–NYSEArca–2019–58. This DR), dated 08/27/2019. functionality.55 Thus, the Exchange file number should be included on the Incident: Severe Storms, Tornadoes, believes that this type of competition subject line if email is used. To help the Straight-line Winds, and Flooding. amongst exchanges is beneficial to the Commission process and review your Incident Period: 07/18/2019 through market place as a whole as it can result comments more efficiently, please use 07/20/2019. in enhanced processes, functionality, only one method. The Commission will DATES: Issued on 08/27/2019. and technologies. The Exchange further post all comments on the Commission’s Physical Loan Application Deadline believes that because the proposed rule internet website (http://www.sec.gov/ Date: 10/28/2019. change would be applicable to all OTP rules/sro.shtml). Copies of the Economic Injury (EIDL) Loan Holders it would not impose any burden submission, all subsequent Application Deadline Date: 05/27/2020. on intra-market competition that is not amendments, all written statements ADDRESSES: Submit completed loan necessary or appropriate in furtherance with respect to the proposed rule applications to: U.S. Small Business of the purposes of the Act. change that are filed with the Administration, Processing and Commission, and all written Disbursement Center, 14925 Kingsport C. Self-Regulatory Organization’s communications relating to the Road, Fort Worth, TX 76155. Statement on Comments on the proposed rule change between the FOR FURTHER INFORMATION CONTACT: A. Proposed Rule Change Received From Commission and any person, other than Escobar, Office of Disaster Assistance, Members, Participants, or Others those that may be withheld from the U.S. Small Business Administration, No written comments were solicited public in accordance with the 409 3rd Street SW, Suite 6050, or received with respect to the proposed provisions of 5 U.S.C. 552, will be Washington, DC 20416, (202) 205–6734. rule change. available for website viewing and SUPPLEMENTARY INFORMATION: Notice is printing in the Commission’s Public hereby given that as a result of the III. Date of Effectiveness of the Reference Room, 100 F Street NE, President’s major disaster declaration on Proposed Rule Change and Timing for Washington, DC 20549 on official 08/27/2019, Private Non-Profit Commission Action business days between the hours of organizations that provide essential Within 45 days of the date of 10:00 a.m. and 3:00 p.m. Copies of the services of a governmental nature may publication of this notice in the Federal filing also will be available for file disaster loan applications at the Register or up to 90 days (i) as the inspection and copying at the principal address listed above or other locally Commission may designate if it finds office of the Exchange. All comments announced locations. such longer period to be appropriate received will be posted without change. The following areas have been and publishes its reasons for so finding Persons submitting comments are determined to be adversely affected by or (ii) as to which the self-regulatory cautioned that we do not redact or edit the disaster: organization consents, the Commission personal identifying information from Primary Areas: Barron, Clark, Forest, La will: comment submissions. You should Crosse, Langlade, Menominee, submit only information that you wish Monroe, Oconto, Oneida, (A) By order approve or disapprove to make available publicly. All Outagamie, Polk, Portage, Rusk, the proposed rule change, or submissions should refer to File Shawano, Vernon, Waupaca, Wood (B) institute proceedings to determine Number SR–NYSEArca–2019–58 and Counties and the Menominee whether the proposed rule change should be submitted on or before Indian Tribe of Wisconsin and the should be disapproved. September 25, 2019. St. Croix Chippewa Indians of Wisconsin. 55 See id. 56 17 CFR 200.30–3(a)(12). The Interest Rates are:

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Percent The following areas have been postponed pending further order of the determined to be adversely affected by Board. In a series of decisions, the For Physical Damage: the disaster: abeyance period was extended, most Non-Profit Organizations with Primary Parishes: Allen, Iberia, recently until July 19, 2019. Credit Available Elsewhere ... 2.750 Non-Profit Organizations with- Lafourche, Plaquemines, Saint By letter dated June 14, 2019, out Credit Available Else- Mary, Terrebonne, Vermilion. OmniTRAX informed the Board that it where ...... 2.750 The Interest Rates are: had discontinued its negotiations with For Economic Injury: SNCR and the Department. Shortly Non-Profit Organizations with- thereafter, on July 11, 2019, United Rail, out Credit Available Else- Percent Inc. (United Rail), submitted a letter where ...... 2.750 stating that it had initiated preliminary For Physical Damage: discussions with SNCR regarding the The number assigned to this disaster Non-Profit Organizations with purchase of the Line and requesting the for physical damage is 160956 and for Credit Available Elsewhere ... 2.750 Board continue to hold the proceeding economic injury is 160960. Non-Profit Organizations without in abeyance so that discussions (Catalog of Federal Domestic Assistance Credit Available Elsewhere 2.750 regarding purchase of the Line could Number 59008) For Economic Injury: Non-Profit Organizations with- continue. James Rivera, out Credit Available Else- On July 12, 2019, the Department Associate Administrator for Disaster where ...... 2.750 filed a letter requesting that the Board Assistance. set a briefing schedule, and on July 31, [FR Doc. 2019–19061 Filed 9–3–19; 8:45 am] The number assigned to this disaster 2019, the Department filed a letter BILLING CODE 8026–03–P for physical damage is 160938 and for opposing United Rail’s request to economic injury is 160940. continue to hold the proceeding in (Catalog of Federal Domestic Assistance abeyance. On August 19, 2019, the SMALL BUSINESS ADMINISTRATION Number 59008) Adirondack Council filed a letter supporting the Department’s position [Disaster Declaration #16093 and #16094; James Rivera, Louisiana Disaster Number LA–00094] opposing United Rail’s request and asks Associate Administrator, for Disaster the Board to allow the adverse Assistance. Presidential Declaration of a Major abandonment application to move Disaster for Public Assistance Only for [FR Doc. 2019–19060 Filed 9–3–19; 8:45 am] forward. the State of Louisiana BILLING CODE 8026–03–P Because the negotiations involving OmniTRAX have terminated and the AGENCY: U.S. Small Business Department, the applicant here, opposes Administration. SURFACE TRANSPORTATION BOARD United Rail’s request to continue to hold ACTION: Notice. [Docket No. AB 1261] the proceeding in abeyance, the SUMMARY: This is a Notice of the proceeding will be removed from Presidential declaration of a major New York State Department of abeyance and a procedural schedule set. disaster for Public Assistance Only for Environmental Conservation—Adverse Any interested person may file the State of LOUISIANA (FEMA— Abandonment—Saratoga and North written comments concerning the 4458—DR), dated 08/27/2019. Creek Railway in Town of Johnsburg, proposed adverse abandonment or Incident: Hurricane Barry. N.Y. protests (including protestant’s entire Incident Period: 07/10/2019 through On September 10, 2018, the New York opposition case) by September 30, 2019. 07/15/2019. State Department of Environmental Persons who may oppose the proposed DATES: Issued on 08/27/2019. Conservation (the Department) filed an adverse abandonment but who do not Physical Loan Application Deadline application under 49 U.S.C. 10903 wish to participate fully in the process Date: 10/28/2019. requesting a third-party, or ‘‘adverse,’’ by submitting verified statements of Economic Injury (EIDL) Loan abandonment by the Saratoga and North witnesses containing detailed evidence Application Deadline Date: 05/27/2020. Creek Railway (SNCR) of approximately should file comments. Persons opposing ADDRESSES: Submit completed loan 29.71 miles of rail line between the proposed adverse abandonment who applications to: U.S. Small Business milepost NC 0.0 at North Creek, N.Y., wish to participate actively and fully in Administration, Processing and and its terminus at milepost NC 29.71 the process should file a protest, Disbursement Center, 14925 Kingsport near the former Tahawus Mine (the observing the filing, service, and content Road, Fort Worth, TX 76155. Line). Notice of the exemption was requirements of 49 CFR. 1152.25. The FOR FURTHER INFORMATION CONTACT: A. served and published in the Federal Department’s reply will be due by Escobar, Office of Disaster Assistance, Register on September 28, 2018 (83 FR October 18, 2019. U.S. Small Business Administration, 49,151). All filings in response to this notice 409 3rd Street SW, Suite 6050, On October 16, 2018, the Department must refer to Docket No. AB 1261 and Washington, DC 20416, (202) 205–6734. requested that the proceeding be held in must be sent to: (1) Surface SUPPLEMENTARY INFORMATION: Notice is abeyance for 90 days because Transportation Board, 395 E Street SW, hereby given that as a result of the OmniTRAX, Inc. (OmniTRAX) was Washington, DC 20423–0001; and (2) President’s major disaster declaration on negotiating with SNCR for the purchase Joshua M. Tallent, New York State 08/27/2019, Private Non-Profit of the Line and with the Department Office of the Attorney General, organizations that provide essential regarding storage of rail cars. In a Environmental Protection Bureau, The services of a governmental nature may decision served October 23, 2018, the Capitol, Albany, NY 12224–0341. file disaster loan applications at the request was granted and the comment Any request for an interim trail use/ address listed above or other locally deadlines on the application and the railbanking condition under 16 U.S.C. announced locations. environmental assessment (EA) 1247(d) and 49 CFR 1152.29 must be

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filed by September 30, 2019, and should 47–49, 52, 61–62, May 11, 2006, Rail that, using the HDF Index as the address whether the issuance of a Fuel Surcharges, EP 661. In response, measure, BNSF had not over-recovered certificate of interim trail use in this the Board stated that the term ‘‘most its incremental fuel costs over the five- case would be consistent with the grant naturally suggests a charge to recover year period covered by the complaint. of an adverse abandonment increased fuel costs associated with the Id. at 14. At the same time, however, the application.1 Each trail use request must movement to which it is applied,’’ and Board also gave notice that it would be be accompanied by the appropriate if a fuel surcharge is used as ‘‘a broader issuing an Advance Notice of Proposed filing fee. See 49 CFR 1002.2(f)(27).2 revenue enhancement measure, it is Rulemaking (ANPRM) to give shippers, Comments on the EA will be due by mislabeled.’’ Rail Fuel Surcharges, EP rail carriers, and other interested parties September 30, 2019. 661, slip op. at 7. The Board concluded the opportunity to comment on the safe Persons seeking further information that a rate increase resulting from a rate- harbor provision, including whether it concerning abandonment procedures based fuel surcharge, where ‘‘there is no should be modified or removed. Id. at may contact the Board’s Office of Public real correlation between the rate 17–18. Assistance, Governmental Affairs, and increase and the increase in fuel costs In May 2014, the Board issued an Compliance at (202) 245–0238 or refer for that particular movement to which ANPRM to gain a better understanding to the full abandonment regulations at the surcharge is applied, is a misleading of whether the sort of growing spread 49 CFR pt. 1152. and ultimately unreasonable practice.’’ between HDF-based costs and actual Board decisions and notices are Id. As such, the Board prohibited fuel costs seen in Cargill was unique to available at www.stb.gov. surcharges expressed as a percentage of BNSF during a period of particularly the base rate. Id. at 1, 6–8. The Board high price volatility (or instead a Decided: August 28, 2019. directed that any fuel surcharge program widespread phenomenon in the rail By the Board, applied to regulated traffic must be industry) and to determine whether to Allison C. Davis, based on attributes of a movement (such modify or remove the safe harbor Director, Office of Proceedings. as mileage) that directly affect the provision. Rail Fuel Surcharges (Safe Aretha Laws-Byrum, amount of fuel consumed. Id. at 9. Harbor), EP 661 (Sub-No. 2), slip op. at Clearance Clerk. The Board also, however, established 2–3 (STB served May 29, 2014). In the [FR Doc. 2019–19015 Filed 9–3–19; 8:45 am] as a ‘‘safe harbor’’ an index 2 upon ANPRM, the Board asked whether the BILLING CODE 4915–01–P which carriers could rely to measure growing-spread phenomenon observed changes in fuel costs for purposes of a in Cargill was aberrational; whether fuel surcharge program. The Board there are problems associated with the SURFACE TRANSPORTATION BOARD stated that a carrier’s use of that index Board’s use of the HDF Index as a safe [Docket No. EP 661 (Sub-No. 2)] would not be subject to a reasonableness harbor in judging the reasonableness of challenge because the index had already fuel surcharge programs; whether any Rail Fuel Surcharges (Safe Harbor) been subject to notice and comment problems with the safe harbor could be scrutiny. Id. at 11. addressed through a modification of it; In 2006 and 2007, the Board inquired In 2013, the Board dismissed a and whether any problems with the safe into and made findings regarding rail complaint by Cargill, Incorporated, harbor are outweighed by its benefits. carrier practices related to fuel challenging fuel surcharges imposed by Id. at 3. surcharges in Rail Fuel Surcharges, BNSF Railway Company (BNSF) over a The 15 comments and 10 replies Docket No. EP 661. A fuel surcharge is five-year period under a fuel surcharge received in response to the ANPRM a separately identified component of the program applicable to agricultural and were varied, and many did not directly total rate that is charged for the involved industrial products. Cargill, Inc. v. address the Board’s question about transportation and that is designed to BNSF Ry., NOR 42120, slip op. at 1, 7 whether the ‘‘growing-spread’’ recoup increases in the carrier’s fuel (STB served Aug. 12, 2013). In its phenomenon seen in Cargill was an costs. Rail shippers had voiced concerns decision, the Board observed that, if aberration.4 A few commenters to the Board that these fuel surcharges, measured by its ‘‘internal’’ fuel costs supported the repeal of the safe harbor because they were typically calculated (the amounts BNSF actually paid for provision,5 while others supported as a percentage of the base rate 1 for the fuel) instead of the safe harbor HDF retaining the safe harbor provision transportation, recovered amounts over Index, BNSF’s fuel surcharge revenues either outright or in some modified and above the carriers’ actual increased exceeded its incremental fuel costs (i.e., fuel costs. See Hr’g Tr. at 38–40, 44–45, those additional fuel costs caused by a evidence of changes in the rail carrier’s internal fuel rise in fuel prices above a certain level) costs.’’ Cargill, NOR 42120, slip op. at 9. 1 In a letter submitted on July 18, 2019, the Town by $181 million. Id. at 14. Nevertheless, 4 The following parties submitted comments and/ of Newcomb asserted, among other things, that the the Board noted that, under the safe or replies in response to the ANPRM: The U.S. time to file a request for interim trail use had Department of Agriculture; Arkansas Electric expired. Although the Board’s notice served on harbor provision adopted in Rail Fuel Cooperative Corporation (AECC); Colorado Springs September 28, 2018, stated that any request for an Surcharges, Docket No. EP 661, carriers Utilities; Consumer United for Rail Equity (CURE); interim trail use/railbanking condition would be are ‘‘entitled to rely on the HDF Index DOW Chemical Company (DOW Chemical), due by October 25, 2018, the proceeding was held Highroad Consulting, Ltd (Highroad Consulting); in abeyance on October 23, 2018, before the as a proxy to measure changes in their 3 Mercury Group; National Coal Transportation deadline for such requests. internal fuel costs’’ and concluded Association; National Industrial Transportation 2 The Board recently updated its user fees, which League (NITL); National Grain and Feed will become effective on September 6, 2019. 2 That index was the Energy Information Association; Allied Shippers (Western Coal Traffic Regulations Governing Fees for Servs. Performed in Administration’s former ‘‘U.S. No. 2 Diesel Retail League, American Public Power Association, Connection with Licensing & Related Servs.–2019 Sales by All Sellers (Cents per Gallon),’’ now Edison Electric Institute, National Rural Electric Update, EP 542 (Sub–No. 27) (STB served July 31, known as the Highway Diesel Fuel Index (HDF Cooperative Association, South Mississippi Electric 2019). Index). Power Association and Consumers Energy 1 The Board has referred to fuel surcharges that 3 As the Board put it, ‘‘what the safe harbor means Company); BNSF; Canadian National Railway are calculated as a percentage of base rate as ‘‘rate- is that if a rail carrier uses the HDF Index [in its Company; CSX Transportation, Inc.; and Union based fuel surcharges.’’ See, e.g., Rail Fuel fuel surcharge program] to measure changes in its Pacific Railroad Company (UP). Surcharges, EP 661, slip op. at 6–7 (STB served Jan. fuel costs, then that is how the Board will measure 5 (E.g., Allied Shippers Comments 3, Aug. 4, 26, 2007). these changes as well, rather than by looking at 2014.)

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form.6 Some commenters claimed the formula.1 I believe it is especially Board is to review part of the rate (the Cargill outcome was an aberration,7 misguided that, since Cargill, the safe fuel surcharge) is completely different while another said there was harbor provision has been retained from the standard by which it is to insufficient evidence to answer the despite the Board’s recognition that the review the overall rate. In reviewing the question of whether the phenomenon safe harbor gives carriers an reasonableness of the overall rate under seen in Cargill was an aberration.8 ‘‘unintended advantage’’—the ability to 49 U.S.C. 10701(d)(1) and 10702, the Finally, some commenters urged more over-recover incremental fuel costs for Board allows for the differentiation of study of that particular question or of as long as conditions permit but then to prices based on demand.2 In reviewing fuel surcharge programs generally.9 revise their fuel surcharge programs the fuel surcharge, however, the Board The Board recognizes and appreciates when new conditions would lead to an is to consider part of the rate (the fuel that commenters devoted substantial under-recovery. See id. at 17. surcharge) by essentially ignoring such time and effort to responding to the The overarching principle of the 2007 demand-based differential pricing.3 ANPRM. Since the comment period decision is not currently before the Because of the inconsistency in review closed in 2014, the Board has been Board. Rather, the question before the standards, the Board might award relief unable to reach a majority decision on Board is how we can best implement the on part of the rate (the fuel surcharge) what additional Board action should be principle that a rail fuel surcharge even if it could not award relief on the taken in response to the comments program should accurately reflect the overall rate. In effect, Rail Fuel received. Because of the lack of a cost of fuel. The Board’s 2014 ANPRM Surcharges could be read as permitting majority opinion and in the interest of sought comments ‘‘on whether the safe the Board to award a form of rate relief administrative finality, the Board harbor provision . . . should be modified to a complainant whose rate may be Members agree that this docket should or removed.’’ Rail Fuel Surcharges (Safe reasonable.4 Whether or not the two be discontinued. Harbor), EP 661 (Sub-No. 2), slip op. at approaches could be reconciled, I would It is ordered: 3. The comments received in response not risk exacerbating this tension by 1. This docket is discontinued. to the ANPRM have not allayed my modifying or removing the safe harbor 2. Notice of the Board’s action will be concerns about the impacts of the safe provision. published in the Federal Register. harbor provision. At the same time, I also would not Since the ANPRM comments were 3. This decision is effective on the propose reversing Rail Fuel Surcharges filed five years ago, there hasn’t been a date of service. here. Carriers have changed their fuel majority to coalesce around any surcharge programs as a result of the Decided: August 28, 2019. approach (mine or any other one) for a decision, and the record suggests that By the Board, Board Members Begeman, next action in this proceeding. those carriers and many customers have Fuchs, and Oberman. Board Members Therefore, I will again reluctantly vote— come to rely upon it. If the Board were Begeman, Fuchs, and Oberman commented this time, to close the proceeding rather to propose reversing Rail Fuel with separate expressions. than wait for a full complement of Surcharges, it could disrupt that BOARD MEMBER BEGEMAN, Board members in hopes that a majority reliance. I do not favor embarking on commenting: view would be reached to repeal the such a potentially disruptive course Since casting—reluctantly—my vote safe harbor provision. when no public commenter has made in Cargill, Inc. v. BNSF Railway, it has BOARD MEMBER FUCHS, compelling case to reverse the decision been my position that the ‘‘safe harbor’’ commenting: and when the record suggests rail provision should be eliminated. In The Board has recognized that a fuel customers have continued concerns Cargill, BNSF recovered through fuel surcharge is part of the overall rate for with their overall rates—both base rates surcharges far more than its actual rail transportation. When the Board and the fuel surcharges. Rather than incremental fuel costs. See Cargill, Inc. determines market dominance and rate focusing on Rail Fuel Surcharges at this v. BNSF Ry., NOR 42120, slip op. at 14. reasonableness, the challenged rate has time, the Board should address these Yet the Board found that Cargill had included both the base rate and any fuel concerns, as appropriate, by advancing 1 failed to prove that the carrier had surcharge. In Rail Fuel Surcharges, the reforms to its rate review processes, engaged in an unreasonable practice, Board set a framework for a complainant which apply to the overall rate. ‘‘in large measure’’ because, since 2007, to pursue relief on its fuel surcharge BOARD MEMBER OBERMAN, rail carriers have been entitled to rely on separate from the processes available for commenting: a Board-endorsed fuel index—the HDF relief on its overall rate. I agree that this docket should be Index—as a proxy to measure changes Some public comments on the discontinued. To be clear, I find the in their fuel costs for purposes of their ANPRM ask the Board now to remove outcome in Cargill jarring because the fuel surcharge programs. Id. at 1, 9. or modify the safe harbor provision in carrier was permitted to collect sums far Cargill led me to question why the Rail Fuel Surcharges to make it easier, in excess of its true incremental fuel Board adopted rules in 2007 that would in effect, for a complainant to receive costs. Nevertheless, in my view that permit a carrier to recover substantially relief on its fuel surcharge. Such a change could exacerbate a tension that 2 See Rail Fuel Surcharges, slip op. at 6, 8. See, more than its incremental fuel costs, e.g., Simplified Standards for Rail Rate Cases, EP simply because the carrier uses a exists under the Rail Fuel Surcharges framework: The standard by which the 646 (Sub-No. 1), slip op. at 7–11 (STB served Sept. particular index in its fuel surcharge 5, 2007). 3 This statement takes no position on the extent 1 ‘‘[W]hat the safe harbor means is that if a rail to which the labeling of a rate-based fee as a fuel 6 (E.g., BNSF Comments 1, Aug. 4, 2014; AECC carrier uses the HDF Index [in its fuel surcharge surcharge affects rail customers’ understanding of Comments 2–3, Aug. 4, 2014; UP Comments 7–11, program] to measure changes in its fuel costs, then their rates and therefore affects their transportation Aug. 4, 2014; NITL Comments 8–9, Aug. 4, 2014; that is how the Board will measure these changes decisions. I do note, however, that a tariff explains Highroad Consulting Reply 8, 10, Oct. 15, 2014.) as well, rather than by looking at evidence of the calculation of a fuel surcharge and that a rate- 7 (E.g., BNSF Comments 9–11, Aug. 4, 2014; changes in the rail carrier’s internal fuel costs.’’ based calculation is relatively simple. CURE Comments 2, 9–10, Aug. 4, 2014; UP Cargill, Inc. v. BNSF Ry., NOR 42120, slip op. at 9. 4 The view expressed here is not inconsistent Comments 8, Aug. 4, 2014.) 1 See, e.g., Consumers Opening II–8, Nov. 2, 2015, with the way the Board addresses demurrage 8 (Dow Chemical Comments 7–8, Aug. 4, 2014.) Consumers Energy Co. v. CSX Transp., Inc., NOR charges, which are distinct from rates under the 9 (E.g., NITL Comments 8–11, Aug. 4, 2014; Dow 42142 (chart showing base rate plus fuel surcharge statute and as a practical matter. See, e.g., 49 U.S.C. Chemical Reply 6–8, Aug. 15, 2014.) equals rate). 10746, 11708(b)(1)(A).

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outcome was consistent with, if not SUMMARY: In accordance with the can identify and analyze national trends mandated by, the safe harbor provision Paperwork Reduction Act of 1995, FAA and target resources to reduce incorporated into the Board’s fuel invites public comments about our operational risks in the National surcharge rules. intention to request the Office of Airspace System (NAS), air traffic Railroads have the initiative to set Management and Budget (OMB) control (ATC), flight operations and rates under 49 U.S.C. 10701(c), and a approval to renew an information airport operations. regulated railroad rate can be set aside collection. The collection involves the The FAA and the air transportation as unreasonable only if the Board finds voluntary submission of information industry have sought additional means market dominance. 49 U.S.C. 10701(d), gained through the Flight Operations for addressing safety problems and 10707(c). Railroad practices can be Quality Assurance (FOQA) Program. identifying potential safety hazards. found unlawful under 49 U.S.C. 10702 FOQA is a voluntary safety program Based on the experiences of foreign air without a finding of market dominance, designed to improve aviation safety carriers, the results of several FAA- but it is well settled that the Board may through the proactive use of flight- sponsored studies, and input received not evade the limits on its rate review recorded data. The information from government/industry safety process by treating a rate matter as an collected will allow operators to use this forums, the FAA concluded that wide unreasonable practice case. Union data to identify and correct deficiencies implementation of FOQA programs Pacific R.R. v. ICC, 867 F.2d 646 (D.C. in all areas of flight operations. could have significant potential to Cir. 1989). Although there can be a DATES: Written comments should be reduce air carrier accident rates below ‘‘conceptual overlap between railroads’ submitted by November 4, 2019. current levels. The value of FOQA ‘practices’ and their ‘rates,’’’ id. at 649, ADDRESSES: Please send written programs is the early identification of when a practice is ‘‘manifested comments: adverse safety trends, which, if exclusively in the level of rates that By Electronic Docket: uncorrected, could lead to accidents. A customers are charged,’’ id., a challenge www.regulations.gov (Enter docket key element in FOQA is the application to such a practice is in reality a number into search field). of corrective action and follow-up to challenge to the rate and may only be By mail: Sandra Ray, Federal Aviation ensure that unsafe conditions are brought under the Board’s rate Administration, Policy Integration effectively remediated. reasonableness procedures. See id. Branch AFS–270, 1187 Thorn Run Respondents: 71 Air Carriers (62 with To me, the fuel surcharges that the Road, Suite 200, Coraopolis, PA 15108. existing programs and 9 carriers with Board is addressing are clearly By fax: 412–239–3063. new programs). Frequency: Once for a certificate components of the overall rates charged FOR FURTHER INFORMATION CONTACT: holders seeking approval of a program, for the underlying transportation. To be Sandra Ray by email at: Sandra.ray@ monthly for certificate holders with an sure, the ‘‘truth-in-advertising’’ aspect of faa.gov; phone: 412–329–3088. the Rail Fuel Surcharges decision comes approved program. SUPPLEMENTARY INFORMATION: Estimated Average Burden per a bit closer to the ‘‘practices’’ arena, but Public Comments Invited: You are the relief sought in Cargill, and that the Response: 100 Hours for certificate asked to comment on any aspect of this holders seeking approval of a new Allied Shippers urge here, is still, at information collection, including (a) base, rate relief. program, 12.0 hour per year for Whether the proposed collection of certificate holders with an approved For all of these reasons, in my view, information is necessary for FAA’s the Board should not have issued the program. performance; (b) the accuracy of the Estimated Total Annual Burden: 100 Rail Fuel Surcharges decision in 2007, estimated burden; (c) ways for FAA to which created the fuel surcharges rules hours per new respondent, 12 hours enhance the quality, utility and clarity annually per existing respondents. and their safe harbor provision. Today, of the information collection; and (d) I would take steps to reverse that ways that the burden could be Issued in Washington, DC, on August 29, decision in its entirety. However, no minimized without reducing the quality 2019. majority exists for such action. of the collected information. The agency Sandra L. Ray, Jeffrey Herzig, will summarize and/or include your Aviation Safety Inspector, FAA, Policy Integration Branch, AFS–270. Clearance Clerk. comments in the request for OMB’s [FR Doc. 2019–19081 Filed 9–3–19; 8:45 am] [FR Doc. 2019–19053 Filed 9–3–19; 8:45 am] clearance of this information collection. BILLING CODE 4910–13–P BILLING CODE 4915–01–P OMB Control Number: 2120–0660. Title: Flight Operations Quality Assurance (FOQA) Program. Form Numbers: There are no forms DEPARTMENT OF THE TREASURY DEPARTMENT OF TRANSPORTATION associated with this collection. Office of the Comptroller of the Federal Aviation Administration Type of Review: Renewal of an Information Collection. Currency [Docket No. FAA–2019–0690] Background: Flight Operations Quality Assurance (FOQA) is a Agency Information Collection Agency Information Collection voluntary safety program designed to Activities: Information Collection Activities: Requests for Comments; improved aviation safety through the Renewal; Comment Request; Joint Clearance of Renewed Approval of proactive use of flight-recorded data. Standards for Assessing the Diversity Information Collection: Flight Operators will use these data to identify Policies and Practices of Entities Operations Quality Assurance (FOQA) and correct deficiencies in all areas of Regulated by the Agencies and Program flight operations. Properly used, FOQA Diversity Self-Assessment Template for OCC-Regulated Entities AGENCY: Federal Aviation data can reduce or eliminate safety Administration (FAA), DOT. risks, as well as minimize deviations AGENCY: Office of the Comptroller of the from regulations. Through access to de- ACTION: Notice and request for Currency (OCC), Treasury. identified aggregate FOQA data, the comments. ACTION: Notice and request for comment. Federal Aviation Administration (FAA

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SUMMARY: The OCC, as part of its down menu, select ‘‘Department of which entities regulated by the OCC continuing effort to reduce paperwork Treasury’’ and then click ‘‘submit.’’ This voluntarily self-assess their diversity and respondent burden, invites the information collection can be located by policies and practices and a template to general public and other federal searching by OMB control number assist with the self-assessment. The agencies to take this opportunity to ‘‘1557–0334’’ or ‘‘Joint Standards for template (1) asks for general information comment on a continuing information Assessing the Diversity Policies and about a respondent; (2) includes collection, as required by the Paperwork Practices of Entities Regulated by the questions and solicits comments for Reduction Act of 1995 (PRA). The OCC Agencies and Diversity Self-Assessment certain standards about program may not conduct or sponsor, and a Template for OCC-Regulated Entities.’’ successes and challenges; (3) asks for a respondent is not required to respond Upon finding the appropriate description of current practices for the to, an information collection unless it information collection, click on the self-assessment standards; (4) seeks displays a currently valid Office of related ‘‘ICR Reference Number.’’ On the additional diversity data; and (5) Management and Budget (OMB) control next screen, select ‘‘View Supporting provides an opportunity for a number. The OCC is soliciting comment Statement and Other Documents’’ and respondent to provide other information on the renewal of its information then click on the link to any comment regarding or comment on the self- collection titled ‘‘Joint Standards for listed at the bottom of the screen. assessment of its diversity policies and Assessing the Diversity Policies and • For assistance in navigating practices. The OCC may use information Practices of Entities Regulated by the www.reginfo.gov, please contact the submitted to monitor progress and Agencies and Diversity Self-Assessment Regulatory Information Service Center trends in the financial services industry Template for OCC-Regulated Entities.’’ at (202) 482–7340. regarding diversity and inclusion in DATES: Comments must be submitted on • Viewing Comments Personally: You employment and contracting activities or before November 4, 2019. may personally inspect comments at the and to identify and highlight diversity ADDRESSES: Commenters are encouraged OCC, 400 7th Street SW, Washington, and inclusion policies and practices that to submit comments by email, if DC. For security reasons, the OCC have been successful. The OCC will possible. You may submit comments by requires that visitors make an continue to reach out to the entities it any of the following methods: appointment to inspect comments. You regulates and other interested parties to • Email: [email protected]. may do so by calling (202) 649–6700 or, discuss diversity and inclusion in the • Mail: Chief Counsel’s Office, for persons who are deaf or hearing financial services industry and share Attention: Comment Processing, OMB impaired, TTY, (202) 649–5597. Upon leading practices. Finally, if an OCC- Control No. 1557–0334, Office of the arrival, visitors will be required to regulated entity submits confidential Comptroller of the Currency, 400 7th present valid government-issued photo commercial information that is both Street SW, Suite 3E–218, Washington, identification and submit to security customarily and actually treated as DC 20219. screening in order to inspect comments. private by the entity, the entity can • Hand Delivery/Courier: 400 7th FOR FURTHER INFORMATION CONTACT: designate the information as such, in Street SW, Suite 3E–218, Washington, Shaquita Merritt, Clearance Officer, which case the OCC will treat the self- DC 20219. (202) 649–5490 or, for persons who are assessment information as private to the • Fax: (571) 465–4326. deaf or hearing impaired, TTY, (202) extent permitted by law, including the Instructions: You must include 649–5597, Chief Counsel’s Office, Office Freedom of Information Act, 5 U.S.C. ‘‘OCC’’ as the agency name and ‘‘1557– of the Comptroller of the Currency, 400 552, et seq. 0334’’ in your comment. In general, the 7th Street SW, Suite 3E–218, Mail Stop Type of Review: Regular. OCC will publish comments on 9W–11, Washington, DC 20219. Affected Public: Businesses or other www.reginfo.gov without change, for-profit. SUPPLEMENTARY INFORMATION: Under the including any business or personal Burden Estimates: PRA (44 U.S.C. 3501–3520), certain information provided, such as name and Number of Respondents: 110. federal agencies must obtain approval address information, email addresses, or Estimated Annual Burden for from OMB for each collection of phone numbers. Comments received, Standards and Template: 8 hours. information that they conduct or including attachments and other Frequency of Response: Annual. sponsor. ‘‘Collection of information’’ is supporting materials, are part of the Comments: The comments submitted defined in 44 U.S.C. 3502(3) and 5 CFR public record and subject to public in response to this notice will be 1320.3(c) to include agency requests or disclosure. Do not include any summarized, included in the request for requirements that members of the public information in your comment or OMB approval. All comments will submit reports, keep records, or provide supporting materials that you consider become a matter of public record. information to a third party. The PRA confidential or inappropriate for public Comments are invited on: directs these Federal agencies to provide disclosure. (a) Whether the collection of You may review comments and other a 60-day notice in the Federal Register information is necessary for the proper related materials that pertain to this concerning each proposed collection of performance of the functions of the information collection beginning on the information before submitting the OCC, including whether the information date of publication of the second notice collection to OMB for approval. To has practical utility; comply with this requirement, the OCC for this collection 1 by any of the (b) The accuracy of the OCC’s is publishing notice of the renewal of following methods: estimate of the information collection • Viewing Comments Electronically: this collection of information. burden; Go to www.reginfo.gov. Click on the Title: Joint Standards for Assessing (c) Ways to enhance the quality, ‘‘Information Collection Review’’ tab. the Diversity Policies and Practices of utility, and clarity of the information to Underneath the ‘‘Currently under Entities Regulated by the Agencies and be collected; (d) Ways to minimize the burden of Review’’ section heading, from the drop- Diversity Self-Assessment Template for OCC-Regulated Entities. the collection on respondents, including through the use of automated collection 1 Following the close of this notice’s 60-day OMB Control No.: 1557–0334. comment period, the OCC will publish a second Description: This information techniques or other forms of information notice with a 30-day comment period. collection covers standards, pursuant to technology; and

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(e) Estimates of capital or start-up SUMMARY: The U.S. Department of the Department of the Treasury’s Office of costs and costs of operation, Treasury’s Office of Foreign Assets the General Counsel: Office of the Chief maintenance, and purchase of services Control (OFAC) is publishing the names Counsel (Foreign Assets Control), tel.: to provide information. of persons that have been placed on 202–622–2410. OFAC’s Specially Designated Nationals SUPPLEMENTARY INFORMATION: Dated: August 27, 2019. and Blocked Persons List based on Theodore J. Dowd, OFAC’s determination that one or more Electronic Availability Deputy Chief Counsel, Office of the applicable legal criteria were satisfied. Comptroller of the Currency. All property and interests in property The Specially Designated Nationals and Blocked Persons List (SDN List) and [FR Doc. 2019–18992 Filed 9–3–19; 8:45 am] subject to U.S. jurisdiction of these additional information concerning BILLING CODE 4810–33–P persons are blocked, and U.S. persons are generally prohibited from engaging OFAC sanctions programs are available in transactions with them. on OFAC’s website (https:// www.treasury.gov/ofac). DEPARTMENT OF THE TREASURY DATES: See SUPPLEMENTARY INFORMATION section. Notice of OFAC Actions Office of Foreign Assets Control FOR FURTHER INFORMATION CONTACT: On August 21, 2019, OFAC OFAC: Associate Director for Global determined that the property and Notice of OFAC Sanctions Actions. Targeting, tel.: 202–622–2420; Assistant interests in property subject to U.S. Director for Licensing, tel.: 202–622– jurisdiction of the following persons are AGENCY: Office of Foreign Assets 2480; Assistant Director for Regulatory blocked under the relevant sanctions Control, Department of the Treasury. Affairs, tel.: 202–622–4855; Assistant authority listed below. ACTION: Notice. Director for Sanctions Compliance & Evaluation, tel.: 202–622–2490; or the Individuals

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Entities trafficker pursuant to section 805(b)(1) of the person are blocked, and U.S. persons are Kingpin Act, 21 U.S.C. 1904(b)(1). 1. QINSHENG PHARMACEUTICAL generally prohibited from engaging in TECHNOLOGY CO., LTD. (a.k.a. SHANGHAI Dated: August 21, 2019. transactions with them. Andrea M. Gacki, QINSHENG PHARMACEUTICAL SCIENCE & DATES: See SUPPLEMENTARY INFORMATION TECHNOLOGY CO., LTD.; a.k.a. SHANGHAI Director, Office of Foreign Assets Control. section. QINSHENG PHARMACEUTICAL SCIENCE [FR Doc. 2019–18283 Filed 9–3–19; 8:45 am] AND TECHNOLOGY CO., LTD.; a.k.a. FOR FURTHER INFORMATION CONTACT BILLING CODE 4810–AL–P : SHANGHAI QINSHENG OFAC: Associate Director for Global PHARMACEUTICAL TECHNOLOGY CO., Targeting, tel.: 202–622–2420; Assistant LTD.), Room 614, Floor 3, No. 1, Alley 468, New Siping Highway, Shanghai 201413, DEPARTMENT OF THE TREASURY Director for Licensing, tel.: 202–622– China; Room 614, Floor 3, Block 1, Lane 468, 2480; Assistant Director for Regulatory Office of Foreign Assets Control Xinsiping Highway, Fengxian District, Affairs, tel.: 202–622–4855; Assistant Director for Sanctions Compliance & Shanghai, China; website Notice of OFAC Sanctions Actions www.qinvictory.com [SDNTK]. Designated Evaluation, tel.: 202–622–2490; or the pursuant to section 805(b)(3) of the Kingpin AGENCY: Office of Foreign Assets Department of the Treasury’s Office of Act, 21 U.S.C. 1904(b)(3), for being owned, the General Counsel: Office of the Chief controlled, or directed by, or acting for or on Control, Department of the Treasury. Counsel (Foreign Assets Control), tel.: behalf of Fujing Zheng, a foreign person ACTION: Notice. identified as a significant foreign narcotics 202–622–2410. trafficker pursuant to the Kingpin Act. SUMMARY: The U.S. Department of the SUPPLEMENTARY INFORMATION: 2. ZHENG DRUG TRAFFICKING Treasury’s Office of Foreign Assets ORGANIZATION, Shanghai, China; website Control (OFAC) is publishing the name Electronic Availability www.globalrc.net; alt. Website of a person that has been placed on www.goldenrc.com; alt. Website The Specially Designated Nationals OFAC’s Specially Designated Nationals www.toplabrc.com; Email Address and Blocked Persons List (SDN List) and [email protected]; alt. Email and Blocked Persons List based on OFAC’s determination that one or more additional information concerning Address [email protected]; alt. Email OFAC sanctions programs are available Address [email protected]; alt. Email applicable legal criteria were satisfied. Address [email protected] [SDNTK]. All property and interests in property on OFAC’s website (https:// Identified as a significant foreign narcotics subject to U.S. jurisdiction of this www.treasury.gov/ofac).

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Notice of OFAC Actions interests in property subject to U.S. blocked under the relevant sanctions jurisdiction of the following person are authority listed below. On August 21, 2019, OFAC determined that the property and Individual

Dated: August 21, 2019. Andrea M. Gacki, Director, Office of Foreign Assets Control. [FR Doc. 2019–18284 Filed 9–3–19; 8:45 am] BILLING CODE 4810–AL–P

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Part II

Environmental Protection Agency

40 CFR Part 63 National Emission Standards for Hazardous Air Pollutants: Miscellaneous Coating Manufacturing Residual Risk and Technology Review; Proposed Rule

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ENVIRONMENTAL PROTECTION air-pollution/miscellaneous-coating- Parker, Sector Policies and Programs AGENCY manufacturing-national-emission- Division (D243–05), Office of Air standards. See SUPPLEMENTARY Quality Planning and Standards, U.S. 40 CFR Part 63 INFORMATION for information on Environmental Protection Agency, [EPA–HQ–OAR–2018–0747; FRL–9998–69– requesting and registering for a public Research Triangle Park, North Carolina OAR] hearing. 27711; telephone number: (919) 541– 5635; fax number: (919) 541–4991; and RIN 2060–AU16 ADDRESSES: You may send comments, identified by Docket ID No. EPA–HQ– email address: [email protected]. National Emission Standards for OAR–2018–0747, by any of the For information about the applicability Hazardous Air Pollutants: following methods: of the NESHAP to a particular entity, Miscellaneous Coating Manufacturing • Federal eRulemaking Portal: contact Mr. John Cox, Office of Residual Risk and Technology Review https://www.regulations.gov/ (our Enforcement and Compliance preferred method). Follow the online Assurance, U.S. Environmental AGENCY: Environmental Protection instructions for submitting comments. Protection Agency, WJC South Building Agency (EPA). • Email: [email protected]. (Mail Code 2227A), 1200 Pennsylvania ACTION: Proposed rule. Include Docket ID No. EPA–HQ–OAR– Avenue NW, Washington DC 20460; 2018–0747 in the subject line of the telephone number: (202) 564–1395; and SUMMARY: The U.S. Environmental message. email address: [email protected]. Protection Agency (EPA) is proposing • Fax: (202) 566–9744. Attention SUPPLEMENTARY INFORMATION: the results of a residual risk and Docket ID No. EPA–HQ–OAR–2018– Public hearing. Please contact Ms. technology review (RTR) of the National 0747. Virginia Hunt at (919) 541–0832 or by Emission Standards for Hazardous Air • Mail: U.S. Environmental email at [email protected] to Pollutants for Miscellaneous Coating Protection Agency, EPA Docket Center, request a public hearing, to register to Manufacturing (MCM NESHAP) Docket ID No. EPA–HQ–OAR–2018– speak at the public hearing, or to inquire facilities, as required by the Clean Air 0747, Mail Code 28221T, 1200 as to whether a public hearing will be Act (CAA). The EPA is proposing to find Pennsylvania Avenue NW, Washington, held. risks due to emissions of air toxics to be DC 20460. acceptable from the MCM source • Hand/Courier Delivery: EPA Docket Docket. The EPA has established a category and to determine that the Center, WJC West Building, Room 3334, docket for this rulemaking under Docket current NESHAP provides an ample 1301 Constitution Avenue NW, ID No. EPA–HQ–OAR–2018–0747. All margin of safety to protect public health. Washington, DC 20004. The Docket documents in the docket are listed in The EPA identified no new cost- Center’s hours of operations are 8:30 Regulations.gov. Although listed, some effective controls under the technology a.m.–4:30 p.m., Monday–Friday (except information is not publicly available, review to achieve further emissions federal holidays). e.g., Confidential Business Information reductions from process units subject to Instructions: All submissions received (CBI) or other information whose standards under the NESHAP. The EPA must include the Docket ID No. for this disclosure is restricted by statute. is also proposing revisions related to rulemaking. Comments received may be Certain other material, such as emissions during periods of startup, posted without change to https:// copyrighted material, is not placed on shutdown, and malfunction (SSM), www.regulations.gov/, including any the internet and will be publicly including clarifying regulatory personal information provided. For available only in hard copy. Publicly provisions for certain vent control detailed instructions on sending available docket materials are available bypasses; provisions for electronic comments and additional information either electronically in Regulations.gov reporting of performance test results, on the rulemaking process, see the or in hard copy at the EPA Docket performance evaluation reports, SUPPLEMENTARY INFORMATION section of Center, Room 3334, WJC West Building, compliance reports, and Notification of this document. 1301 Constitution Avenue NW, Compliance Status (NOCS) reports; and FOR FURTHER INFORMATION CONTACT: For Washington, DC. The Public Reading provisions to conduct periodic questions about this proposed action, Room is open from 8:30 a.m. to 4:30 performance testing of oxidizers used to contact Ms. Angela Carey, Sector p.m., Monday through Friday, excluding reduce emissions of organic hazardous Policies and Programs Division (E143– legal holidays. The telephone number air pollutants (HAP). 01), Office of Air Quality Planning and for the Public Reading Room is (202) DATES: Standards, U.S. Environmental 566–1744, and the telephone number for Comments. Comments must be Protection Agency, Research Triangle the EPA Docket Center is (202) 566– received on or before October 21, 2019. Park, North Carolina 27711; telephone 1742. Under the Paperwork Reduction Act number: (919) 541–2187; fax number: Instructions. Direct your comments to (PRA), comments on the information (919) 541–0516; and email address: Docket ID No. EPA–HQ–OAR–2018– collection provisions are best assured of [email protected]. For specific 0747. The EPA’s policy is that all consideration if the Office of information regarding the risk modeling comments received will be included in Management and Budget (OMB) methodology, contact Ms. Darcie Smith, the public docket without change and receives a copy of your comments on or Health and Environmental Impacts may be made available online at https:// before October 4, 2019. Division (C539–02), Office of Air www.regulations.gov/, including any Public hearing. If anyone contacts us Quality Planning and Standards, U.S. personal information provided, unless requesting a public hearing on or before Environmental Protection Agency, the comment includes information September 9, 2019, we will hold a Research Triangle Park, North Carolina claimed to be CBI or other information hearing. Additional information about 27711; telephone number: (919) 541– whose disclosure is restricted by statute. the hearing, if requested, will be 2076; fax number: (919) 541–0840; and Do not submit information that you published in a subsequent Federal email address: [email protected]. consider to be CBI or otherwise Register document and posted at For questions about monitoring and protected through https:// https://www.epa.gov/stationary-sources- testing requirements, contact Mr. Barrett www.regulations.gov/ or email. This

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type of information should be submitted above. If you submit any digital storage PB–HAP hazardous air pollutants known to by mail as discussed below. media that does not contain CBI, mark be persistent and bio-accumulative in the The EPA may publish any comment the outside of the digital storage media environment received to its public docket. clearly that it does not contain CBI. PDF portable document format Multimedia submissions (audio, video, PM particulate matter Information not marked as CBI will be POM polycyclic organic matter etc.) must be accompanied by a written included in the public docket and the ppm parts per million comment. The written comment is EPA’s electronic public docket without ppmw parts per million by weight considered the official comment and prior notice. Information marked as CBI psia pounds per square inch, absolute should include discussion of all points will not be disclosed except in RBLC Reasonably Available Control you wish to make. The EPA will accordance with procedures set forth in Technology, Best Available Control generally not consider comments or 40 Code of Federal Regulations (CFR) Technology, and Lowest Achievable comment contents located outside of the part 2. Send or deliver information Emission Rate Clearinghouse REL reference exposure level primary submission (i.e., on the Web, identified as CBI only to the following cloud, or other file sharing system). For RFA Regulatory Flexibility Act address: OAQPS Document Control RfC reference concentration additional submission methods, the full Officer (C404–02), OAQPS, U.S. RfD reference dose EPA public comment policy, Environmental Protection Agency, RTR residual risk and technology review information about CBI or multimedia Research Triangle Park, North Carolina SAB Science Advisory Board submissions, and general guidance on 27711, Attention Docket ID No. EPA– SSM startup, shutdown, and malfunction making effective comments, please visit HQ–OAR–2018–0747. the Court the United States Court of https://www.epa.gov/dockets/ Preamble acronyms and Appeals for the District of Columbia commenting-epa-dockets. abbreviations. We use multiple Circuit TOSHI target organ-specific hazard index The https://www.regulations.gov/ acronyms and terms in this preamble. website allows you to submit your tpy tons per year While this list may not be exhaustive, to TRIM.FaTE Total Risk Integrated comment anonymously, which means ease the reading of this preamble and for Methodology.Fate, Transport, and the EPA will not know your identity or reference purposes, the EPA defines the Ecological Exposure model contact information unless you provide following terms and acronyms here: UF uncertainty factor it in the body of your comment. If you mg/m3 microgram per cubic meter send an email comment directly to the AEGL acute exposure guideline level UMRA Unfunded Mandates Reform Act AERMOD air dispersion model used by the URE unit risk estimate EPA without going through https:// HEM–3 model www.regulations.gov/, your email VCS voluntary consensus standards CAA Clean Air Act VOC volatile organic compounds address will be automatically captured CalEPA California EPA and included as part of the comment CBI Confidential Business Information Organization of this document. The that is placed in the public docket and CEDRI Compliance and Emissions Data information in this preamble is made available on the internet. If you Reporting Interface organized as follows below. In submit an electronic comment, the EPA CFR Code of Federal Regulations particular, section IV of this preamble recommends that you include your EPA Environmental Protection Agency describes the majority of the Agency’s name and other contact information in ERPG emergency response planning guideline rationale for the proposed actions in this the body of your comment and with any ERT Electronic Reporting Tool preamble. digital storage media you submit. If the HAP hazardous air pollutant(s) Section IV.B of this preamble EPA cannot read your comment due to HCl hydrochloric acid summarizes the results of the risk technical difficulties and cannot contact HEM–3 Human Exposure Model, Version assessment. Section IV.C of this you for clarification, the EPA may not 1.5.5 preamble summarizes the results of our be able to consider your comment. HF hydrogen fluoride technology review. Section IV.D of this Electronic files should not include HI hazard index preamble summarizes other changes we special characters or any form of HQ hazard quotient are proposing, including general encryption and be free of any defects or ICR Information Collection Request IRIS Integrated Risk Information System regulatory language changes related to viruses. For additional information km kilometer the removal of SSM exemptions, about the EPA’s public docket, visit the kPa kilopascal electronic reporting, and other minor EPA Docket Center homepage at https:// MACT maximum achievable control clarifications identified as part our www.epa.gov/dockets. technology review of the NESHAP and as part of the Submitting CBI. Do not submit MCM miscellaneous coating manufacturing other proposed revisions in this action. information containing CBI to the EPA mg/kg-day milligrams per kilogram per day Lastly, section IV.E of this preamble 3 through https://www.regulations.gov/ or mg/m milligrams per cubic meter summarizes our rationale for the MIR maximum lifetime (cancer) risk email. Clearly mark the part or all of the compliance dates we are proposing. information that you claim to be CBI. NAAQS National Ambient Air Quality For CBI information on any digital Standards I. General Information NAICS North American Industry A. Does this action apply to me? storage media that you mail to the EPA, Classification System B. Where can I get a copy of this document mark the outside of the digital storage NEI National Emissions Inventory and other related information? media as CBI and then identify NESHAP national emission standards for II. Background electronically within the digital storage hazardous air pollutants A. What is the statutory authority for this media the specific information that is NOCS Notification of Compliance Status action? claimed as CBI. In addition to one NRC National Research Council B. What is this source category and how complete version of the comments that NTTAA National Technology Transfer and does the current NESHAP regulate its includes information claimed as CBI, Advancement Act HAP emissions? OAQPS Office of Air Quality Planning and C. What data collection activities were you must submit a copy of the Standards conducted to support this action? comments that does not contain the OECA Office of Enforcement and D. What other relevant background information claimed as CBI directly to Compliance Assurance information and data are available? the public docket through the OMB Office of Management and Budget III. Analytical Procedures and Decision- procedures outlined in Instructions PAH polycyclic aromatic hydrocarbons Making

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A. How do we consider risk in our affected by this proposed action. As involves establishing technology-based decision-making? defined in the Initial List of Categories standards and the second stage involves B. How do we perform the technology of Sources Under Section 112(c)(1) of evaluating those standards that are review? the Clean Air Act Amendments of 1990 based on maximum achievable control C. How do we estimate post-MACT risk posed by the source category? (see 57 FR 31576, July 16, 1992) and technology (MACT) to determine IV. Analytical Results and Proposed Documentation for Developing the whether additional standards are Decisions Initial Source Category List, Final needed to address any remaining risk A. What are the results of the risk Report (see EPA–450/3–91–030, July associated with HAP emissions. This assessment and analyses? 1992), the Manufacture of Paints, second stage is commonly referred to as B. What are our proposed decisions Coatings, and Adhesives source category the ‘‘residual risk review.’’ In addition regarding risk acceptability, ample ‘‘is any facility engaged in their to the residual risk review, the CAA also margin of safety, and adverse manufacture without regard to the requires the EPA to review standards set environmental effect? C. What are the results and proposed particular end-uses or consumers of under CAA section 112 every 8 years to decisions based on our technology such products. The manufacturing of determine if there are ‘‘developments in review? these products may occur in any practices, processes, or control D. What other actions are we proposing? combination at any facility.’’ This technologies’’ that may be appropriate E. What compliance dates are we source category has since been renamed to incorporate into the standards. This proposing? Miscellaneous Coating Manufacturing review is commonly referred to as the V. Summary of Cost, Environmental, and (MCM). ‘‘technology review.’’ When the two Economic Impacts reviews are combined into a single A. What are the affected sources? ABLE AND NDUSTRIAL B. What are the air quality impacts? T 1—NESHAP I rulemaking, it is commonly referred to C. What are the cost impacts? SOURCE CATEGORIES AFFECTED BY as the ‘‘risk and technology review.’’ D. What are the economic impacts? THIS PROPOSED ACTION The discussion that follows identifies E. What are the benefits? the most relevant statutory sections and VI. Request for Comments Source Category and briefly explains the contours of the NAICS Code 1 VII. Submitting Data Corrections NESHAP methodology used to implement these VIII. Statutory and Executive Order Reviews statutory provisions. A more A. Executive Order 12866: Regulatory Miscellaneous Coating Man- comprehensive discussion appears in ufacturing Industry ...... 3255, 3259 Planning and Review and Executive the document titled CAA Section 112 Order 13563: Improving Regulation and 1 North American Industry Classification Risk and Technology Reviews: Statutory Regulatory Review System. B. Executive Order 13771: Reducing Authority and Methodology, in the Regulation and Controlling Regulatory B. Where can I get a copy of this docket for this rulemaking. Costs document and other related In the first stage of the CAA section C. Paperwork Reduction Act (PRA) information? 112 standard setting process, the EPA D. Regulatory Flexibility Act (RFA) promulgates technology-based standards In addition to being available in the E. Unfunded Mandates Reform Act under CAA section 112(d) for categories (UMRA) docket, an electronic copy of this action of sources identified as emitting one or F. Executive Order 13132: Federalism is available on the internet. Following more of the HAP listed in CAA section G. Executive Order 13175: Consultation signature by the EPA Administrator, the 112(b). Sources of HAP emissions are and Coordination With Indian Tribal EPA will post a copy of this proposed either major sources or area sources, and Governments action at https://www.epa.gov/ H. Executive Order 13045: Protection of CAA section 112 establishes different stationary-sources-air-pollution/ Children From Environmental Health provisions for major source standards miscellaneous-coating-manufacturing- Risks and Safety Risks and area source standards. ‘‘Major national-emission-standards. Following I. Executive Order 13211: Actions sources’’ are those that emit or have the publication in the Federal Register, the Concerning Regulations That potential to emit 10 tons per year (tpy) Significantly Affect Energy Supply, EPA will post the Federal Register or more of a single HAP or 25 tpy or Distribution, or Use version of the proposal and key more of any combination of HAP. All J. National Technology Transfer and technical documents at this same other sources are ‘‘area sources.’’ For Advancement Act (NTTAA) and 1 CFR website. Information on the overall RTR major sources, CAA section 112(d)(2) Part 51 program is available at https:// K. Executive Order 12898: Federal Actions provides that the technology-based www3.epa.gov/ttn/atw/rrisk/rtrpg.html. To Address Environmental Justice in NESHAP must reflect the maximum A redline version of the regulatory Minority Populations and Low-Income degree of emission reductions of HAP language that incorporates the proposed Populations achievable (after considering cost, changes in this action is available in the energy provisions, and non-air quality I. General Information docket for this action (Docket ID No. health and environmental impacts). EPA–HQ–OAR–2018–0747). A. Does this action apply to me? These standards are commonly referred Table 1 of this preamble lists the II. Background to as MACT standards. CAA section NESHAP and associated regulated 112(d)(3) also establishes a minimum A. What is the statutory authority for industrial source categories that are the control level for MACT standards, this action? subject of this proposal. Table 1 is not known as the MACT ‘‘floor.’’ The EPA intended to be exhaustive, but rather The statutory authority for this action must also consider control options that provides a guide for readers regarding is provided by sections 112 and 301 of are more stringent than the floor. the entities that this proposed action is the CAA, as amended (42 U.S.C. 7401 et Standards more stringent than the floor likely to affect. The proposed standards, seq.). Section 112 of the CAA are commonly referred to as beyond-the- once promulgated, will be directly establishes a two-stage regulatory floor standards. In certain instances, as applicable to the affected sources. process to develop standards for provided in CAA section 112(h), the Federal, state, local, and tribal emissions of HAP from stationary EPA may set work practice standards government entities would not be sources. Generally, the first stage where it is not feasible to prescribe or

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enforce a numerical emission standard. unacceptable, the EPA must determine operations. Coatings are materials such For area sources, CAA section 112(d)(5) the emissions standards necessary to as paints, inks, or adhesive that are gives the EPA discretion to set standards reduce risk to an acceptable level intended to be applied to a substrate based on generally available control without considering costs. In the second and consist of a mixture of resins, technologies or management practices step of the approach, the EPA considers pigments, solvents, and/or other (GACT standards) in lieu of MACT whether the emissions standards additives, where the material is standards. provide an ample margin of safety to produced by a manufacturing operation The second stage in standard-setting protect public health ‘‘in consideration where materials are blended, mixed, focuses on identifying and addressing of all health information, including the diluted, or otherwise formulated. any remaining (i.e., ‘‘residual’’) risk number of persons at risk levels higher Coatings do not include materials made according to CAA section 112(f). For than approximately 1 in 1 million, as in processes where a formulation source categories subject to MACT well as other relevant factors, including component is synthesized by chemical standards, section 112(f)(2) of the CAA costs and economic impacts, reaction or separation activity and then requires the EPA to determine whether technological feasibility, and other transferred to another vessel where it is promulgation of additional standards is factors relevant to each particular formulated to produce a material used needed to provide an ample margin of decision.’’ Id. The EPA must promulgate as a coating, where the synthesized or safety to protect public health or to emission standards necessary to provide separated component is not stored prior prevent an adverse environmental an ample margin of safety to protect to formulation. effect. Section 112(d)(5) of the CAA public health or determine that the The equipment controlled by the provides that this residual risk review is standards being reviewed provide an MCM NESHAP includes process not required for categories of area ample margin of safety without any vessels, storage tanks for feedstocks and sources subject to GACT standards. revisions. After conducting the ample products, equipment leak components Section 112(f)(2)(B) of the CAA further margin of safety analysis, we consider (pumps, compressors, agitators, pressure expressly preserves the EPA’s use of the whether a more stringent standard is relief devices (PRDs), sampling two-step approach for developing necessary to prevent, taking into connection systems, open-ended valves standards to address any residual risk consideration costs, energy, safety, and or lines, valves, connectors, and and the Agency’s interpretation of other relevant factors, an adverse instrumentation systems), wastewater ‘‘ample margin of safety’’ developed in environmental effect. tanks, heat exchangers, and transfer the National Emissions Standards for CAA section 112(d)(6) separately racks. Hazardous Air Pollutants: Benzene requires the EPA to review standards The current NESHAP regulates Emissions from Maleic Anhydride promulgated under CAA section 112 process vessels and storage tanks based Plants, Ethylbenzene/Styrene Plants, and revise them ‘‘as necessary (taking on the volume of the process vessel or Benzene Storage Vessels, Benzene into account developments in practices, storage tank and the maximum true Equipment Leaks, and Coke By-Product processes, and control technologies)’’ no vapor pressure of the organic HAP Recovery Plants (Benzene NESHAP) (54 less often than every 8 years. In processed or stored. Control FR 38044, September 14, 1989). The conducting this review, which we call requirements range from the use of EPA notified Congress in the Risk the ‘‘technology review,’’ the EPA is not tightly fitted lids on process vessels to Report that the Agency intended to use required to recalculate the MACT floor. also capturing and reducing organic the Benzene NESHAP approach in Natural Resources Defense Council HAP emissions through the use of add- making CAA section 112(f) residual risk (NRDC) v. EPA, 529 F.3d 1077, 1084 on controls (i.e., a flare, oxidizer, or determinations (EPA–453/R–99–001, p. (DC Cir. 2008). Association of Battery condenser). For halogenated vent ES–11). The EPA subsequently adopted Recyclers, Inc. v. EPA, 716 F.3d 667 (DC streams from process vessels and storage this approach in its residual risk Cir. 2013). The EPA may consider cost tanks, the use of a flare is prohibited, determinations and the United States in deciding whether to revise the and a halogen reduction device (i.e., an Court of Appeals for the District of standards pursuant to CAA section acid gas scrubber) is required after a Columbia Circuit (the Court) upheld the 112(d)(6). combustion control device. For storage EPA’s interpretation that CAA section tanks, facilities may comply with the B. What is this source category and how 112(f)(2) incorporates the approach provisions in 40 CFR part 63, subpart does the current NESHAP regulate its established in the Benzene NESHAP. HHHHH, by complying with the HAP emissions? See NRDC v. EPA, 529 F.3d 1077, 1083 provisions in 40 CFR part 63, subpart (D.C. Cir. 2008). As defined in the Initial List of WW. The approach incorporated into the Categories of Sources Under Section The NESHAP regulates emissions CAA and used by the EPA to evaluate 112(c)(1) of the Clean Air Act from equipment leaks at existing residual risk and to develop standards Amendments of 1990 (see 57 FR 31576, sources by requiring compliance with under CAA section 112(f)(2) is a two- July 16, 1992) and Documentation for leak inspection and repair provisions step approach. In the first step, the EPA Developing the Initial Source Category using sight, sound, and smell in 40 CFR determines whether risks are acceptable. List, Final Report (see EPA–450/3–91– part 63, subpart R, or alternatively, the This determination ‘‘considers all health 030, July 1992), the ‘‘manufacture of leak detection and repair (LDAR) information, including risk estimation paints, coatings, and adhesives’’ source provisions in 40 CFR part 63, subparts uncertainty, and includes a presumptive category ‘‘is any facility engaged in their TT or UU. New sources are required to limit on maximum individual lifetime manufacture without regard to the comply with the LDAR provisions in 40 (cancer) risk (MIR) 1 of approximately 1- particular end-uses or consumers of CFR part 63, subparts TT or UU. in-10 thousand.’’ 54 FR 38045, such products. The manufacturing of The NESHAP regulates wastewater September 14, 1989. If risks are these products may occur in any streams by requiring the use of fixed combination at any facility.’’ roofs on wastewater tanks, treating the 1 Although defined as ‘‘maximum individual The MCM source category includes wastewater (either on-site or off-site) as risk,’’ MIR refers only to cancer risk. MIR, one the collection of equipment that is used a hazardous waste under 40 CFR 264, metric for assessing cancer risk, is the estimated risk if an individual were exposed to the maximum to manufacture coatings at a facility. 265, or 266, or using enhanced level of a pollutant for a lifetime. MCM operations also include cleaning biological treatment if the wastewater

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contains less than 50 parts per million D. What other relevant background ‘‘the Agency again considers all of the by weight (ppmw) of partially soluble information and data are available? health risk and other health information HAP. If the wastewater is treated as a The EPA used information from the considered in the first step. Beyond that hazardous waste under 40 CFR 264, 265, Reasonably Available Control information, additional factors relating or 266, it may be treated by steam Technology, Best Available Control to the appropriate level of control will also be considered, including cost and stripping or incineration. These Technology, and Lowest Achievable economic impacts of controls, standards apply only to wastewater Emission Rate Clearinghouse (RBLC) technological feasibility, uncertainties, streams that contain total partially database, reviewed title V permits for soluble and soluble HAP at an annual and any other relevant factors.’’ Id. each MCM facility, and reviewed NOCS The Benzene NESHAP approach average concentration greater than or reports. The EPA reviewed the RBLC to equal to 4,000 ppmw and loads greater provides flexibility regarding factors the identify potential additional control EPA may consider in making than or equal to 750 pounds per year technologies. No additional control (lb/yr) at an existing source or greater determinations and how the EPA may technologies applicable to MCM were weigh those factors for each source than or equal to 1,600 ppmw and any found in the RBLC. See sections III.B partially soluble and soluble HAP load category. The EPA conducts a risk and IV.D of this preamble and the assessment that provides estimates of at a new source. memorandum, ‘‘Technology Review for The NESHAP regulates transfer the MIR posed by the HAP emissions the Miscellaneous Coating from each source in the source category, operations if the operation involves the Manufacturing Source Category,’’ which bulk loading of coating products that the hazard index (HI) for chronic is available in the docket for this action. exposures to HAP with the potential to contain 3.0 million gallons (gal) per year Lastly, the EPA is incorporating into or more of HAP with a weighted average cause noncancer health effects, and the the docket for this rulemaking, all hazard quotient (HQ) for acute HAP partial pressure greater than or materials associated with the equal to 1.5 pounds per square inch, exposures to HAP with the potential to development of the current MCM 2 absolute (psia). Regulated transfer cause noncancer health effects. The standards from Docket ID No. A–96–04 assessment also provides estimates of operations are required to reduce and Docket ID No. EPA–HQ–OAR– emissions by using a closed vent system the distribution of cancer risk within the 2003–0178. Publicly available docket exposed populations, cancer incidence, and a control device (other than a flare) materials are available either to reduce emissions by at least 75 and an evaluation of the potential for an electronically at https:// adverse environmental effect. The scope percent; using a closed vent system and www.regulations.gov/, or in hard copy at a flare for a non-halogenated vent of the EPA’s risk analysis is consistent the EPA Docket Center, EPA WJC West with the EPA’s response to comments stream; or using a vapor balancing Building, Room 3334, 1301 Constitution system. If a non-flare combustion device on our policy under the Benzene Ave. NW, Washington, DC. The Public NESHAP where the EPA explained that: is used to control a halogenated vent Reading Room is open from 8:30 a.m. to stream, then a halogen reduction device 4:30 p.m., Monday through Friday, ‘‘[t]he policy chosen by the Administrator must be used either before or after the permits consideration of multiple measures excluding legal holidays. The telephone of health risk. Not only can the MIR figure combustion device. If used after the number for the Public Reading Room is combustion device, the halogen be considered, but also incidence, the (202) 566–1744, and the telephone presence of non-cancer health effects, and the reduction device must meet either a number for the EPA Docket Center is uncertainties of the risk estimates. In this minimum 95-percent reduction or a (202) 566–1742. way, the effect on the most exposed maximum 0.45 kilograms per hour (kg/ individuals can be reviewed as well as the hr) emission rate of hydrogen halide or III. Analytical Procedures and impact on the general public. These factors halogen. If used before the combustion Decision-Making can then be weighed in each individual case. This approach complies with the Vinyl device, the halogen reduction device In this section, we describe the must meet a maximum 0.45 kg/hr Chloride mandate that the Administrator analyses performed to support the ascertain an acceptable level of risk to the emission rate of hydrogen halide or proposed decisions for the RTR and public by employing his expertise to assess halogen. other issues addressed in this action. available data. It also complies with the The NESHAP requires heat Congressional intent behind the CAA, which exchangers to meet the provisions of A. How do we consider risk in our did not exclude the use of any particular subpart F, 40 CFR 63.104. Section decision-making? measure of public health risk from the EPA’s 63.104 requires the implementation of a As discussed in section II.A of this consideration with respect to CAA section 112 regulations, and thereby implicitly LDAR or monitoring program for heat preamble and in the Benzene NESHAP, permits consideration of any and all exchange systems, unless the system in evaluating and developing standards measures of health risk which the meets certain design and operation under CAA section 112(f)(2), we apply Administrator, in his judgment, believes are provisions, or it is a once-through a two-step approach to determine appropriate to determining what will ‘protect system that meets certain National whether or not risks are acceptable and the public health’.’’ Pollution Discharge Elimination System to determine if the standards provide an See 54 FR 38057, September 14, 1989. (NPDES) permit provisions. ample margin of safety to protect public Thus, the level of the MIR is only one health. As explained in the Benzene C. What data collection activities were factor to be weighed in determining NESHAP, ‘‘the first step judgment on conducted to support this action? acceptability of risk. The Benzene acceptability cannot be reduced to any NESHAP explained that ‘‘an MIR of The EPA held discussions with the single factor’’ and, thus, ‘‘[t]he approximately one in 10 thousand American Coatings Association and the Administrator believes that the American Chemistry Council. During acceptability of risk under section 112 is 2 The MIR is defined as the cancer risk associated these meetings, we obtained best judged on the basis of a broad set with a lifetime of exposure at the highest supplemental information about the of health risk measures and concentration of HAP where people are likely to information.’’ 54 FR 38046, September live. The HQ is the ratio of the potential HAP emission inventory, emission processes, exposure concentration to the noncancer dose- control technologies, and speciation 14, 1989. Similarly, with regard to the response value; the HI is the sum of HQs for HAP profiles. ample margin of safety determination, that affect the same target organ or organ system.

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should ordinarily be the upper end of from emissions from the facility in environmental impacts. We also the range of acceptability. As risks combination with emissions from all of consider the emission reductions increase above this benchmark, they the other sources (e.g., other facilities) to associated with applying each become presumptively less acceptable which an individual is exposed may be development. This analysis informs our under CAA section 112, and would be sufficient to result in an increased risk decision of whether it is ‘‘necessary’’ to weighed with the other health risk of adverse noncancer health effects. In revise the emissions standards. In measures and information in making an May 2010, the Science Advisory Board addition, we consider the overall judgment on acceptability. Or, (SAB) advised the EPA ‘‘that RTR appropriateness of applying controls to the Agency may find, in a particular assessments will be most useful to new sources versus retrofitting existing case, that a risk that includes an MIR decision makers and communities if sources. For this exercise, we consider less than the presumptively acceptable results are presented in the broader any of the following to be a level is unacceptable in the light of context of aggregate and cumulative ‘‘development’’: other health risk factors.’’ Id. at 38045. risks, including background • Any add-on control technology or In other words, risks that include an concentrations and contributions from other equipment that was not identified MIR above 100-in-1 million may be other sources in the area.’’ 3 and considered during development of determined to be acceptable, and risks In response to the SAB the original MACT standards; with an MIR below that level may be recommendations, the EPA incorporates • Any improvements in add-on determined to be unacceptable, cumulative risk analyses into its RTR control technology or other equipment depending on all of the available health risk assessments, including those (that were identified and considered information. Similarly, with regard to reflected in this action. The Agency (1) during development of the original the ample margin of safety analysis, the conducts facility-wide assessments, MACT standards) that could result in EPA stated in the Benzene NESHAP which include source category emission additional emissions reduction; that: ‘‘EPA believes the relative weight points, as well as other emission points • Any work practice or operational of the many factors that can be within the facilities; (2) combines procedure that was not identified or considered in selecting an ample margin exposures from multiple sources in the considered during development of the same category that could affect the same of safety can only be determined for original MACT standards; individuals; and (3) for some persistent each specific source category. This • Any process change or pollution and bioaccumulative pollutants, occurs mainly because technological prevention alternative that could be and economic factors (along with the analyzes the ingestion route of broadly applied to the industry and that health-related factors) vary from source exposure. In addition, the RTR risk was not identified or considered during category to source category.’’ Id. at assessments consider aggregate cancer development of the original MACT 38061. We also consider the risk from all carcinogens and aggregated standards; and uncertainties associated with the noncancer HQs for all noncarcinogens • Any significant changes in the cost various risk analyses, as discussed affecting the same target organ or target earlier in this preamble, in our organ system. (including cost effectiveness) of determinations of acceptability and Although we are interested in placing applying controls (including controls ample margin of safety. source category and facility-wide HAP the EPA considered during the The EPA notes that it has not risk in the context of total HAP risk development of the original MACT considered certain health information to from all sources combined in the standards). date in making residual risk vicinity of each source, we are In addition to reviewing the practices, determinations. At this time, we do not concerned about the uncertainties of processes, and control technologies that attempt to quantify the HAP risk that doing so. Estimates of total HAP risk were considered at the time we may be associated with emissions from from emission sources other than those originally developed the NESHAP, we other facilities that do not include the that we have studied in depth during review a variety of data sources in our source category under review, mobile this RTR review would have investigation of potential practices, source emissions, natural source significantly greater associated processes, or controls to consider. See emissions, persistent environmental uncertainties than the source category or sections II.C and II. D of this preamble pollution, or atmospheric facility-wide estimates. Such aggregate for information on the specific data transformation in the vicinity of the or cumulative assessments would sources that were reviewed as part of sources in the category. compound those uncertainties, making the technology review. The EPA understands the potential the assessments too unreliable. C. How do we estimate post-MACT risk importance of considering an posed by the source category? individual’s total exposure to HAP in B. How do we perform the technology addition to considering exposure to review? In this section, we provide a complete HAP emissions from the source category Our technology review focuses on the description of the types of analyses that and facility. We recognize that such identification and evaluation of we generally perform during the risk consideration may be particularly developments in practices, processes, assessment process. In some cases, we important when assessing noncancer and control technologies that have do not perform a specific analysis risk, where pollutant-specific exposure occurred since the MACT standards because it is not relevant. For example, health reference levels (e.g., reference were promulgated. Where we identify in the absence of emissions of HAP concentrations (RfCs)) are based on the such developments, we analyze their known to be persistent and assumption that thresholds exist for technical feasibility, estimated costs, bioaccumulative in the environment adverse health effects. For example, the energy implications, and non-air (PB–HAP), we would not perform a EPA recognizes that, although exposures multipathway exposure assessment. attributable to emissions from a source 3 Recommendations of the SAB Risk and Where we do not perform an analysis, category or facility alone may not Technology Review Methods Panel are provided in we state that we do not and provide the their report, which is available at: https:// indicate the potential for increased risk yosemite.epa.gov/sab/sabproduct.nsf/4AB3966E reason. While we present all of our risk of adverse noncancer health effects in a 263D943A8525771F00668381/$File/EPA-SAB-10- assessment methods, we only present population, the exposures resulting 007-unsigned.pdf. risk assessment results for the analyses

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actually conducted (see section IV.B of type emissions sources are units or explained that it is reasonable to this preamble). processes that are co-located at one or consider actual emissions, where such The EPA conducts a risk assessment more of the MCM facilities but are not data are available, in both steps of the that provides estimates of the MIR for part of the MCM source category. For risk analysis, in accordance with the cancer posed by the HAP emissions example, some of the MCM affected Benzene NESHAP approach. (54 FR from each source in the source category, sources are co-located with organic 38044, September 14, 1989.) the HI for chronic exposures to HAP chemical manufacturing operations that For the risk assessment, we have with the potential to cause noncancer are part of a different source category determined that the actual emissions health effects, and the HQ for acute (i.e., Miscellaneous Organic Chemical data are reasonable estimates of the exposures to HAP with the potential to Manufacturing) which is regulated by a MACT-allowable emissions levels for cause noncancer health effects. The different NESHAP (40 CFR part 63, the MCM source category. In assessment also provides estimates of subpart FFFF). preparation of this RTR, we did not the distribution of cancer risk within the The EPA reviewed permits, contacted conduct an information collection of the exposed populations, cancer incidence, EPA Regional offices, and asked the equipment in this source category. and an evaluation of the potential for an American Coatings Association to Instead, we relied primarily upon the adverse environmental effect. The seven review (and revise, if necessary) the 2014 NEI emissions data and readily sections that follow this paragraph NEI-based data described above, available title V permit information to describe how we estimated emissions including emission values, emission characterize the actual emissions from and conducted the risk assessment. The release point parameters, coordinates, the source category. In addition, the docket for this rulemaking contains the and emission process group emission standards in 40 CFR part 63, following document which provides assignments. We used all this subpart HHHH are generally equipment more information on the risk assessment information to reevaluate our emission and work-practice requirements, rather inputs and models: Residual Risk process group assignments for each NEI than numerical emission limits. Assessment for the Miscellaneous record in the modeling file. We also Therefore, we consider the use of 2014 Coating Manufacturing Source Category used this information to update NEI actual emissions as the best in Support of the 2019 Risk and emission release point parameter data. available reasonable approximation of Technology Review Proposed Rule. The In other words, we used the industry allowable emissions for the risk methods used to assess risk (as response data wherever possible (in lieu assessment. described in the seven primary steps of the data we established using the NEI below) are consistent with those and gap fill procedures), unless the data 3. How do we conduct dispersion described by the EPA in the document failed certain quality assurance checks. modeling, determine inhalation reviewed by a panel of the EPA’s SAB For further details on the assumptions exposures, and estimate individual and in 2009; 4 and described in the SAB and methodologies used to estimate population inhalation risk? review report issued in 2010. They are actual emissions and identify the Both long-term and short-term also consistent with the key emissions release characteristics, see inhalation exposure concentrations and recommendations contained in that Appendix 1 of Residual Risk health risk from the source category report. Assessment for the Miscellaneous addressed in this action were estimated Coating Manufacturing Source 1. How did we estimate actual using the Human Exposure Model Categories in Support of the 2019 Risk (HEM–3).5 The HEM–3 performs three emissions and identify the emissions and Technology Review Proposed Rule, release characteristics? primary risk assessment activities: (1) in Docket ID No. EPA–HQ–OAR–2018– Conducting dispersion modeling to For each facility that we determined 0747. estimate the concentrations of HAP in to be subject to the MACT standards 2. How did we estimate MACT- ambient air, (2) estimating long-term (see section II.B of this preamble), we allowable emissions? and short-term inhalation exposures to gathered emissions data from Version 1 individuals residing within 50 The available emissions data in the of the 2014 National Emissions kilometers (km) of the modeled sources, RTR emissions dataset include estimates Inventory (NEI). For each NEI record, and (3) estimating individual and of the mass of HAP emitted during a we reviewed the source classification population-level inhalation risk using specified annual time period. These code and emission unit and process the exposure estimates and quantitative ‘‘actual’’ emission levels are often lower descriptions, and then assigned the dose-response information. record to an emission source type than the emission levels allowed under regulated by the MACT standards (i.e., the provisions of the current MACT a. Dispersion Modeling each record identified as part of the standards. The emissions allowed under The air dispersion model AERMOD, MCM affected source at each facility the MACT standards are referred to as used by the HEM–3 model, is one of the was labeled storage tank, waste water, the ‘‘MACT-allowable’’ emissions. We EPA’s preferred models for assessing air process vessel, equipment leak, or discussed the consideration of both pollutant concentrations from industrial unknown) or an emission source type MACT-allowable and actual emissions facilities.6 To perform the dispersion not regulated by the MACT standards in the final Coke Oven Batteries RTR (70 modeling and to develop the (i.e., each record that was not identified FR 19998–19999, April 15, 2005) and in preliminary risk estimates, HEM–3 as part of the MCM affected source at the proposed and final Hazardous draws on three data libraries. The first each facility was labeled non-source Organic NESHAP (HON) RTR (71 FR is a library of meteorological data, category type). The non-source category 34428, June 14, 2006, and 71 FR 76609, December 21, 2006, respectively). In 5 For more information about HEM–3, go to 4 U.S. EPA. Risk and Technology Review (RTR) those actions, we noted that assessing https://www.epa.gov/fera/risk-assessment-and- Risk Assessment Methodologies: For Review by the the risk at the MACT-allowable level is modeling-human-exposure-model-hem. EPA’s Science Advisory Board with Case Studies— inherently reasonable since that risk 6 U.S. EPA. Revision to the Guideline on Air MACT I Petroleum Refining Sources and Portland Quality Models: Adoption of a Preferred General Cement Manufacturing, June 2009. EPA–452/R–09– reflects the maximum level facilities Purpose (Flat and Complex Terrain) Dispersion 006. https://www3.epa.gov/airtoxics/rrisk/ could emit and still comply with Model and Other Revisions (70 FR 68218, rtrpg.html. national emission standards. We also November 9, 2005).

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which is used for dispersion scientifically credible dose-response sum the HQ for each of the HAP that calculations. This library includes 1 values have been developed in a manner affects a common target organ or target year (2016) of hourly surface and upper consistent with EPA guidelines and organ system to obtain a TOSHI. The air observations from 824 have undergone a peer review process HQ is the estimated exposure divided meteorological stations, selected to similar to that used by the EPA, we may by the chronic noncancer dose-response provide coverage of the United States use such dose-response values in place value, which is a value selected from and Puerto Rico. A second library of of, or in addition to, other values, if one of several sources. The preferred United States Census Bureau census appropriate. The pollutant-specific chronic noncancer dose-response value 7 block internal point locations and dose-response values used to estimate is the EPA RfC, defined as ‘‘an estimate populations provides the basis of health risk are available at https:// (with uncertainty spanning perhaps an human exposure calculations (U.S. www.epa.gov/fera/dose-response- order of magnitude) of a continuous Census, 2010). In addition, for each assessment-assessing-health-risks- census block, the census library associated-exposure-hazardous-air- inhalation exposure to the human includes the elevation and controlling pollutants. population (including sensitive hill height, which are also used in To estimate individual lifetime cancer subgroups) that is likely to be without dispersion calculations. A third library risks associated with exposure to HAP an appreciable risk of deleterious effects of pollutant-specific dose-response emissions from each facility in the during a lifetime’’ (https:// values is used to estimate health risk. source category, we sum the risks for iaspub.epa.gov/sor_internet/registry/ These are discussed below. each of the carcinogenic HAP 8 emitted termreg/searchandretrieve/glossaries by the modeled facility. We estimate andkeywordlists/search.do?details=& b. Risk From Chronic Exposure to HAP cancer risk at every census block within vocabName=IRIS%20Glossary). In cases In developing the risk assessment for 50 km of every facility in the source where an RfC from the EPA’s IRIS is not chronic exposures, we use the estimated category. The MIR is the highest available or where the EPA determines annual average ambient air individual lifetime cancer risk estimated that using a value other than the RfC is concentrations of each HAP emitted by for any of those census blocks. In appropriate, the chronic noncancer each source in the source category. The addition to calculating the MIR, we dose-response value can be a value from HAP air concentrations at each nearby estimate the distribution of individual the following prioritized sources, which census block centroid located within 50 cancer risks for the source category by define their dose-response values km of the facility are a surrogate for the summing the number of individuals similarly to the EPA: (1) The Agency for chronic inhalation exposure within 50 km of the sources whose Toxic Substances and Disease Registry concentration for all the people who estimated risk falls within a specified reside in that census block. A distance risk range. We also estimate annual (ATSDR) Minimum Risk Level (https:// of 50 km is consistent with both the cancer incidence by multiplying the www.atsdr.cdc.gov/mrls/index.asp); (2) analysis supporting the 1989 Benzene estimated lifetime cancer risk at each the CalEPA Chronic Reference Exposure NESHAP (54 FR 38044, September 14, census block by the number of people Level (REL) (https://oehha.ca.gov/air/ 1989) and the limitations of Gaussian residing in that block, summing results crnr/notice-adoption-air-toxics-hot- dispersion models, including AERMOD. for all of the census blocks, and then spots-program-guidance-manual- For each facility, we calculate the dividing this result by a 70-year preparation-health-risk-0); or (3) as maximum individual risk (MIR) as the lifetime. noted above, a scientifically credible cancer risk associated with a continuous To assess the risk of noncancer health dose-response value that has been lifetime (24 hours per day, 7 days per effects from chronic exposure to HAP, developed in a manner consistent with week, 52 weeks per year, 70 years) we calculate either an HQ or a target the EPA guidelines and has undergone exposure to the maximum concentration organ-specific hazard index (TOSHI). a peer review process similar to that at the centroid of each inhabited census We calculate an HQ when a single used by the EPA. The pollutant-specific block. We calculate individual cancer noncancer HAP is emitted. Where more dose-response values used to estimate risk by multiplying the estimated than one noncancer HAP is emitted, we health risks are available at https:// lifetime exposure to the ambient www.epa.gov/fera/dose-response- 8 concentration of each HAP (in The EPA’s 2005 Guidelines for Carcinogen Risk assessment-assessing-health-risks- 3 Assessment classifies carcinogens as: ‘‘carcinogenic micrograms per cubic meter (mg/m )) by associated-exposure-hazardous-air- its unit risk estimate (URE). The URE is to humans,’’ ‘‘likely to be carcinogenic to humans,’’ and ‘‘suggestive evidence of carcinogenic pollutants. an upper-bound estimate of an potential.’’ These classifications also coincide with individual’s incremental risk of the terms ‘‘known carcinogen, probable carcinogen, c. Risk From Acute Exposure to HAP contracting cancer over a lifetime of and possible carcinogen,’’ respectively, which are That May Cause Health Effects Other the terms advocated in the EPA’s Guidelines for exposure to a concentration of 1 Carcinogen Risk Assessment, published in 1986 (51 Than Cancer microgram of the pollutant per cubic FR 33992, September 24, 1986). In August 2000, the meter of air. For residual risk document, Supplemental Guidance for Conducting For each HAP for which appropriate assessments, we generally use UREs Health Risk Assessment of Chemical Mixtures acute inhalation dose-response values (EPA/630/R–00/002), was published as a are available, the EPA also assesses the from the EPA’s Integrated Risk supplement to the 1986 document. Copies of both Information System (IRIS). For documents can be obtained from https:// potential health risks due to acute carcinogenic pollutants without IRIS cfpub.epa.gov/ncea/risk/recordisplay.cfm?deid exposure. For these assessments, the values, we look to other reputable =20533&CFID=70315376&;CFTOKEN=71597944. EPA makes conservative assumptions Summing the risk of these individual compounds sources of cancer dose-response values, to obtain the cumulative cancer risk is an approach about emission rates, meteorology, and we look to other reputable sources of that was recommended by the EPA’s SAB in their exposure location. In this proposed cancer dose-response values, often using 2002 peer review of the EPA’s National Air Toxics rulemaking, as part of our efforts to California EPA (CalEPA) UREs, where Assessment (NATA) titled NATA—Evaluating the National-scale Air Toxics Assessment 1996 Data— continually improve our methodologies available. In cases where new, an SAB Advisory, available at https:// to evaluate the risks that HAP emitted yosemite.epa.gov/sab/sabproduct.nsf/214C6E from categories of industrial sources 7 A census block is the smallest geographic area 915BB04E14852570CA007A682C/$File/ecadv0200 pose to human health and the for which census statistics are tabulated. 1.pdf.

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environment,9 we are revising our Acute RELs are based on the most 1. The ERPG–1 is defined as ‘‘the treatment of meteorological data to use sensitive, relevant, adverse health effect maximum airborne concentration below reasonable worst-case air dispersion reported in the peer-reviewed medical which it is believed that nearly all conditions in our acute risk screening and toxicological literature. They are individuals could be exposed for up to assessments instead of worst-case air designed to protect the most sensitive 1 hour without experiencing other than dispersion conditions. This revised individuals in the population through mild transient adverse health effects or treatment of meteorological data and the the inclusion of margins of safety. without perceiving a clearly defined, supporting rationale are described in Because margins of safety are objectionable odor.’’ Id. at 2. Similarly, more detail in Residual Risk Assessment incorporated to address data gaps and the ERPG–2 is defined as ‘‘the for Miscellaneous Coating uncertainties, exceeding the REL does maximum airborne concentration below Manufacturing Source Category in not automatically indicate an adverse which it is believed that nearly all Support of the 2019 Risk and health impact. AEGLs represent individuals could be exposed for up to Technology Review Proposed Rule and threshold exposure limits for the general 1 hour without experiencing or in Appendix 5 of the report: Technical public and are applicable to emergency developing irreversible or other serious Support Document for Acute Risk exposures ranging from 10 minutes to 8 Screening Assessment. We will be hours.12 They are guideline levels for health effects or symptoms which could applying this revision in RTR ‘‘once-in-a-lifetime, short-term impair an individual’s ability to take rulemakings proposed on or after June 3, exposures to airborne concentrations of protective action.’’ Id. at 1. 2019. acutely toxic, high-priority chemicals.’’ An acute REL for 1-hour exposure To assess the potential acute risk to Id. at 21. The AEGL–1 is specifically durations is typically lower than its the maximally exposed individual, we defined as ‘‘the airborne concentration corresponding AEGL–1 and ERPG–1. use the peak hourly emission rate for (expressed as ppm (parts per million) or Even though their definitions are each emission point,10 reasonable mg/m3 (milligrams per cubic meter)) of slightly different, AEGL–1s are often the worst-case air dispersion conditions a substance above which it is predicted same as the corresponding ERPG–1s, (i.e., 99th percentile), and the point of that the general population, including and AEGL–2s are often equal to ERPG– highest off-site exposure. Specifically, susceptible individuals, could 2s. The maximum HQs from our acute we assume that peak emissions from the experience notable discomfort, inhalation screening risk assessment source category and reasonable worst- irritation, or certain asymptomatic typically result when we use the acute case air dispersion (i.e., 99th percentile) nonsensory effects. However, the effects REL for a HAP. In cases where the conditions co-occur and that a person is are not disabling and are transient and maximum acute HQ exceeds 1, we also present at the point of maximum reversible upon cessation of exposure.’’ report the HQ based on the next highest exposure. The document also notes that ‘‘Airborne acute dose-response value (usually the To characterize the potential health concentrations below AEGL–1 represent risks associated with estimated acute exposure levels that can produce mild AEGL–1 and/or the ERPG–1). inhalation exposures to a HAP, we and progressively increasing but For this source category, we used the generally use multiple acute dose- transient and nondisabling odor, taste, default acute emissions multiplier of 10 response values, including acute RELs, and sensory irritation or certain to conservatively estimate maximum acute exposure guideline levels asymptomatic, nonsensory effects.’’ Id. hourly rates. (AEGLs), and emergency response AEGL–2 are defined as ‘‘the airborne In our acute inhalation screening risk planning guidelines (ERPG) for 1-hour concentration (expressed as parts per assessment, acute impacts are deemed exposure durations, if available, to million or milligrams per cubic meter) calculate acute HQs. The acute HQ is negligible for HAP for which acute HQs of a substance above which it is are less than or equal to 1, and no calculated by dividing the estimated predicted that the general population, further analysis is performed for these acute exposure concentration by the including susceptible individuals, could HAP. In cases where an acute HQ from acute dose-response value. For each experience irreversible or other serious, HAP for which acute dose-response long-lasting adverse health effects or an the screening step is greater than 1, we values are available, the EPA calculates impaired ability to escape.’’ Id. assess the site-specific data to ensure acute HQs. ERPGs are ‘‘developed for emergency that the acute HQ is at an off-site An acute REL is defined as ‘‘the planning and are intended as health- location. For this source category, the concentration level at or below which based guideline concentrations for data refinements employed consisted of no adverse health effects are anticipated single exposures to chemicals.’’ 13 Id. at determining the off-site acute risks for for a specified exposure duration.’’ 11 each facility that had an initial HQ Spots Program Risk Assessment Guidelines, Part I, greater than 1. These refinements are 9 See, e.g., U.S. EPA. Screening Methodologies to The Determination of Acute Reference Exposure discussed more fully in the Residual Support Risk and Technology Reviews (RTR): A Levels for Airborne Toxicants, which is available at Case Study Analysis (Draft Report, May 2017. https://oehha.ca.gov/air/general-info/oehha-acute- Risk Assessment for the Miscellaneous https://www3.epa.gov/ttn/atw/rrisk/rtrpg.html). 8-hour-and-chronic-reference-exposure-level-rel- Coating Manufacturing Source Category 10 In the absence of hourly emission data, we summary. in Support of the 2019 Risk and develop estimates of maximum hourly emission 12 National Academy of Sciences, 2001. Standing Technology Review Proposed Rule, rates by multiplying the average actual annual Operating Procedures for Developing Acute emission rates by a factor (either a category-specific Exposure Levels for Hazardous Chemicals, page 2. which is available in the docket for this factor or a default factor of 10) to account for Available at https://www.epa.gov/sites/production/ source category. variability. This is documented in Residual Risk files/2015-09/documents/sop_final_standing_ Assessment for Miscellaneous Coating operating_procedures_2001.pdf. Note that the Manufacturing Source Category in Support of the National Advisory Committee for Acute Exposure Available at: https://www.aiha.org/get-involved/ 2019 Risk and Technology Review Proposed Rule Guideline Levels for Hazardous Substances ended and in Appendix 5 of the report: Technical Support in October 2011, but the AEGL program continues AIHAGuidelineFoundation/EmergencyResponse Document for Acute Risk Screening Assessment. to operate at the EPA and works with the National PlanningGuidelines/Documents/ERPG Both are available in the docket for this rulemaking. Academies to publish final AEGLs (https:// %20Committee%20Standard%20Operating 11 CalEPA issues acute RELs as part of its Air www.epa.gov/aegl). %20Procedures%20%20-%20March%202014 Toxics Hot Spots Program, and the 1-hour and 8- 13 ERPGS Procedures and Responsibilities. March %20Revision%20%28Updated%2010-2-2014 hour values are documented in Air Toxics Hot 2014. American Industrial Hygiene Association. %29.pdf.

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4. How do we conduct the We derive the Tier 1 screening (adult female angler at 99th percentile multipathway exposure and risk threshold emission rates for these PB– fish consumption 14) and locally grown screening assessment? HAP (other than lead compounds) to or raised foods (90th percentile correspond to a maximum excess consumption of locally grown or raised The EPA conducts a tiered screening lifetime cancer risk of 1-in-1 million foods for the farmer and gardener assessment examining the potential for (i.e., for arsenic compounds, scenarios 15). If PB–HAP emission rates significant human health risks due to polychlorinated dibenzodioxins and do not result in a Tier 2 screening value exposures via routes other than furans and POM) or, for HAP that cause greater than 1, we consider those PB– inhalation (i.e., ingestion). We first noncancer health effects (i.e., cadmium HAP emissions to pose risks below a determine whether any sources in the compounds and mercury compounds), a level of concern. If the PB–HAP source category emit any HAP known to maximum HQ of 1. If the emission rate emission rates for a facility exceed the be persistent and bioaccumulative in the of any one PB–HAP or combination of Tier 2 screening threshold emission environment, as identified in the EPA’s carcinogenic PB–HAP in the Tier 1 rates, we may conduct a Tier 3 Air Toxics Risk Assessment Library (see screening assessment exceeds the Tier 1 screening assessment. Volume 1, Appendix D, at https:// screening threshold emission rate for There are several analyses that can be www.epa.gov/fera/risk-assessment-and- any facility (i.e., the screening value is included in a Tier 3 screening modeling-air-toxics-risk-assessment- greater than 1), we conduct a second assessment, depending upon the extent reference-library. screening assessment, which we call the of refinement warranted, including For the MCM source category, we Tier 2 screening assessment. The Tier 2 validating that the lakes are fishable, locating residential/garden locations for identified PB–HAP emissions of screening assessment separates the Tier urban and/or rural settings, considering cadmium compounds, polycyclic 1 combine fisher and farmer exposure plume-rise to estimate emissions lost organic matter (POM), arsenic scenario into fisher, farmer, and above the mixing layer, and considering compounds, mercury compounds, and gardener scenarios that retain upper- hourly effects of meteorology and plume lead compounds, so we proceeded to bound ingestion rates. In the Tier 2 screening assessment, rise on chemical fate and transport (a the next step of the evaluation. Except the location of each facility that exceeds time-series analysis). If necessary, the for lead, the human health risk a Tier 1 screening threshold emission EPA may further refine the screening screening assessment for PB–HAP rate is used to refine the assumptions assessment through a site-specific consists of three progressive tiers. In a associated with the Tier 1 fisher and assessment. Tier 1 screening assessment, we farmer exposure scenarios at that In evaluating the potential determine whether the magnitude of the facility. A key assumption in the Tier 1 multipathway risk from emissions of facility-specific emissions of the PB– screening assessment is that a lake and/ lead compounds, rather than developing HAP warrants further evaluation to or farm is located near the facility. As a screening threshold emission rate, we characterize human health risk through part of the Tier 2 screening assessment, compare maximum estimated chronic ingestion exposure. To facilitate this we use a U.S. Geological Survey (USGS) inhalation exposure concentrations to step, we evaluate emissions against database to identify actual waterbodies the level of the current National previously developed screening within 50 km of each facility and Ambient Air Quality Standard (NAAQS) threshold emission rates for several PB– assume the fisher only consumes fish for lead.16 Values below the level of the HAP that are based on a hypothetical from lakes within that 50 km zone. We primary (health-based) lead NAAQS are upper-end screening exposure scenario also examine the differences between considered to have a low potential for developed for use in conjunction with local meteorology near the facility and multipathway risk. the EPA’s Total Risk Integrated the meteorology used in the Tier 1 For further information on the Methodology.Fate, Transport, and screening assessment. We then adjust multipathway assessment approach, see Ecological Exposure (TRIM.FaTE) the previously-developed Tier 1 the Residual Risk Assessment for the model. The PB–HAP with screening screening threshold emission rates for Miscellaneous Coating Manufacturing threshold emission rates are arsenic each PB–HAP for each facility based on Source Category in Support of the Risk compounds, cadmium compounds, an understanding of how exposure and Technology Review 2019 Proposed chlorinated dibenzodioxins and furans, concentrations estimated for the mercury compounds, and POM. Based screening scenario change with the use 14 Burger, J. 2002. Daily consumption of wild fish on the EPA estimates of toxicity and of local meteorology and USGS lakes and game: Exposures of high end recreationists. bioaccumulation potential, these International Journal of Environmental Health database. Research 12:343–354. pollutants represent a conservative list In the Tier 2 farmer scenario, we 15 U.S. EPA. Exposure Factors Handbook 2011 for inclusion in multipathway risk maintain an assumption that the farm is Edition (Final). U.S. Environmental Protection assessments for RTR rules. (See Volume located within 0.5 km of the facility and Agency, Washington, DC, EPA/600/R–09/052F, 1, Appendix D at https://www.epa.gov/ that the farmer consumes meat, eggs, 2011. 16 In doing so, the EPA notes that the legal sites/production/files/2013-08/ dairy, vegetables, and fruit produced standard for a primary NAAQS—that a standard is documents/volume_1_reflibrary.pdf.) In near the facility. We may further refine requisite to protect public health and provide an this assessment, we compare the the Tier 2 screening analysis by adequate margin of safety (CAA section 109(b))— facility-specific emission rates of these assessing a gardener scenario to differs from the CAA section 112(f) standard (requiring, among other things, that the standard PB–HAP to the screening threshold characterize a range of exposures, with provide an ‘‘ample margin of safety to protect emission rates for each PB–HAP to the gardener scenario being more public health’’). However, the primary lead NAAQS assess the potential for significant plausible in RTR evaluations. Under the is a reasonable measure of determining risk human health risks via the ingestion gardener scenario, we assume the acceptability (i.e., the first step of the Benzene NESHAP analysis) since it is designed to protect the pathway. We call this application of the gardener consumes home-produced most susceptible group in the human population— TRIM.FaTE model the Tier 1 screening eggs, vegetables, and fruit products at children, including children living near major lead assessment. The ratio of a facility’s the same ingestion rate as the farmer. emitting sources. 73 FR 67002/3; 73 FR 67000/3; 73 actual emission rate to the Tier 1 The Tier 2 screen continues to rely on FR 67005/1. In addition, applying the level of the primary lead NAAQS at the risk acceptability step screening threshold emission rate is a the high-end food intake assumptions is conservative, since that primary lead NAAQS ‘‘screening value.’’ that were applied in Tier 1 for local fish reflects an adequate margin of safety.

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Rule, which is available in the docket effect level, and no-observed-adverse- screening assessment, and, therefore, is for this action. effect level. In cases where multiple not evaluated further under the effect levels were available for a screening approach. If emissions from a 5. How do we conduct the particular PB–HAP and assessment facility exceed the Tier 1 screening environmental risk screening endpoint, we use all of the available threshold emission rate, we evaluate the assessment? effect levels to help us to determine facility further in Tier 2. a. Adverse Environmental Effect, whether ecological risks exist and, if so, In Tier 2 of the environmental Environmental HAP, and Ecological whether the risks could be considered screening assessment, the screening Benchmarks significant and widespread. threshold emission rates are adjusted to The EPA conducts a screening For further information on how the account for local meteorology and the assessment to examine the potential for environmental risk screening actual location of lakes in the vicinity of assessment was conducted, including a an adverse environmental effect as facilities that did not pass the Tier 1 discussion of the risk metrics used, how required under section 112(f)(2)(A) of screening assessment. For soils, we the environmental HAP were identified, the CAA. Section 112(a)(7) of the CAA evaluate the average soil concentration and how the ecological benchmarks defines ‘‘adverse environmental effect’’ for all soil parcels within a 7.5-km were selected, see Appendix 9 of the as ‘‘any significant and widespread radius for each facility and PB–HAP. Residual Risk Assessment for the adverse effect, which may reasonably be For the water, sediment, and fish tissue Miscellaneous Coating Manufacturing anticipated, to wildlife, aquatic life, or concentrations, the highest value for Source Category in Support of the Risk other natural resources, including each facility for each pollutant is used. and Technology Review 2019 Proposed adverse impacts on populations of If emission concentrations from a Rule, which is available in the docket facility do not exceed the Tier 2 endangered or threatened species or for this action. significant degradation of screening threshold emission rate, the environmental quality over broad b. Environmental Risk Screening facility ‘‘passes’’ the screening areas.’’ Methodology assessment and typically is not The EPA focuses on eight HAP, which For the environmental risk screening evaluated further. If emissions from a are referred to as ‘‘environmental HAP,’’ assessment, the EPA first determined facility exceed the Tier 2 screening in its screening assessment: Six PB– whether any facilities in the MCM threshold emission rate, we evaluate the HAP and two acid gases. The PB–HAP source category emitted any of the facility further in Tier 3. included in the screening assessment environmental HAP. For the MCM As in the multipathway human health are arsenic compounds, cadmium source category, we identified emissions risk assessment, in Tier 3 of the compounds, dioxins/furans, POM, of the PB–HAP listed above, plus HCl. environmental screening assessment, we mercury (both inorganic mercury and Because one or more of the examine the suitability of the lakes methyl mercury), and lead compounds. environmental HAP evaluated are around the facilities to support life and The acid gases included in the screening emitted by at least one facility in the remove those that are not suitable (e.g., assessment are hydrochloric acid (HCl) source category, we proceeded to the lakes that have been filled in or are and hydrogen fluoride (HF). second step of the evaluation. industrial ponds), adjust emissions for HAP that persist and bioaccumulate plume-rise, and conduct hour-by-hour are of particular environmental concern c. PB–HAP Methodology time-series assessments. If these Tier 3 because they accumulate in the soil, The environmental screening adjustments to the screening threshold sediment, and water. The acid gases, assessment includes six PB–HAP, emission rates still indicate the HCl and HF, are included due to their arsenic compounds, cadmium potential for an adverse environmental well-documented potential to cause compounds, dioxins/furans, POM, effect (i.e., facility emission rate exceeds direct damage to terrestrial plants. In the mercury (both inorganic mercury and the screening threshold emission rate), environmental risk screening methyl mercury), and lead compounds. we may elect to conduct a more refined assessment, we evaluate the following With the exception of lead, the assessment using more site-specific four exposure media: Terrestrial soils, environmental risk screening information. If, after additional surface water bodies (includes water- assessment for PB–HAP consists of three refinement, the facility emission rate column and benthic sediments), fish tiers. The first tier of the environmental still exceeds the screening threshold consumed by wildlife, and air. Within risk screening assessment uses the same emission rate, the facility may have the these four exposure media, we evaluate health-protective conceptual model that potential to cause an adverse nine ecological assessment endpoints, is used for the Tier 1 human health environmental effect. which are defined by the ecological screening assessment. TRIM.FaTE To evaluate the potential for an entity and its attributes. For PB–HAP model simulations were used to back- adverse environmental effect from lead, (other than lead), both community-level calculate Tier 1 screening threshold we compared the average modeled air and population-level endpoints are emission rates. The screening threshold concentrations (from HEM–3) of lead included. For acid gases, the ecological emission rates represent the emission around each facility in the source assessment evaluated is terrestrial plant rate in tons of pollutant per year that category to the level of the secondary communities. results in media concentrations at the NAAQS for lead. The secondary lead An ecological benchmark represents a facility that equal the relevant ecological NAAQS is a reasonable means of concentration of HAP that has been benchmark. To assess emissions from evaluating environmental risk because it linked to a particular environmental each facility in the category, the is set to provide substantial protection effect level. For each environmental reported emission rate for each PB–HAP against adverse welfare effects which HAP, we identified the available was compared to the Tier 1 screening can include ‘‘effects on soils, water, ecological benchmarks for each threshold emission rate for that PB–HAP crops, vegetation, man-made materials, assessment endpoint. We identified, for each assessment endpoint and effect animals, wildlife, weather, visibility and where possible, ecological benchmarks level. If emissions from a facility do not climate, damage to and deterioration of at the following effect levels: Probable exceed the Tier 1 screening threshold property, and hazards to transportation, effect levels, lowest-observed-adverse- emission rate, the facility ‘‘passes’’ the as well as effects on economic values

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and on personal comfort and well- HAP that are emitted ‘‘facility-wide’’ for depending on the source of the data, the being.’’ the populations residing within 50 km degree to which data are incomplete or of each facility, consistent with the missing, the degree to which d. Acid Gas Environmental Risk methods used for the source category assumptions made to complete the Methodology analysis described above. For these datasets are accurate, errors in emission The environmental screening facility-wide risk analyses, the modeled estimates, and other factors. The assessment for acid gases evaluates the source category risks were compared to emission estimates considered in this potential phytotoxicity and reduced the facility-wide risks to determine the analysis generally are annual totals for productivity of plants due to chronic portion of the facility-wide risks that certain years, and they do not reflect exposure to HF and HCl. The could be attributed to the source short-term fluctuations during the environmental risk screening category addressed in this action. We course of a year or variations from year methodology for acid gases is a single- also specifically examined the facility to year. The estimates of peak hourly tier screening assessment that compares that was associated with the highest emission rates for the acute effects modeled ambient air concentrations estimate of risk and determined the screening assessment were based on an (from AERMOD) to the ecological percentage of that risk attributable to the emission adjustment factor applied to benchmarks for each acid gas. To source category of interest. The Residual the average annual hourly emission identify a potential adverse Risk Assessment for the Miscellaneous rates, which are intended to account for environmental effect (as defined in Coating Manufacturing Source Category emission fluctuations due to normal section 112(a)(7) of the CAA) from in Support of the Risk and Technology facility operations. emissions of HF and HCl, we evaluate Review 2019 Proposed Rule, available b. Uncertainties in Dispersion Modeling the following metrics: The size of the through the docket for this action, modeled area around each facility that provides the methodology and results of We recognize there is uncertainty in exceeds the ecological benchmark for the facility-wide analyses, including all ambient concentration estimates each acid gas, in acres and km2; the facility-wide risks and the percentage of associated with any model, including percentage of the modeled area around source category contribution to facility- the EPA’s recommended regulatory each facility that exceeds the ecological wide risks. dispersion model, AERMOD. In using a benchmark for each acid gas; and the model to estimate ambient pollutant area-weighted average screening value 7. How do we consider uncertainties in concentrations, the user chooses certain around each facility (calculated by risk assessment? options to apply. For RTR assessments, dividing the area-weighted average Uncertainty and the potential for bias we select some model options that have concentration over the 50-km modeling are inherent in all risk assessments, the potential to overestimate ambient air domain by the ecological benchmark for including those performed for this concentrations (e.g., not including each acid gas). For further information proposal. Although uncertainty exists, plume depletion or pollutant on the environmental screening we believe that our approach, which transformation). We select other model assessment approach, see Appendix 9 of used conservative tools and options that have the potential to the Residual Risk Assessment for the assumptions, ensures that our decisions underestimate ambient impacts (e.g., not Miscellaneous Coating Manufacturing are health and environmentally including building downwash). Other Source Category in Support of the Risk protective. A brief discussion of the options that we select have the potential and Technology Review 2019 Proposed uncertainties in the RTR emissions to either under- or overestimate ambient Rule, which is available in the docket dataset, dispersion modeling, inhalation levels (e.g., meteorology and receptor for this action. exposure estimates, and dose-response locations). On balance, considering the relationships follows below. Also directional nature of the uncertainties 6. How do we conduct facility-wide included are those uncertainties specific commonly present in ambient assessments? to our acute screening assessments, concentrations estimated by dispersion To put the source category risks in multipathway screening assessments, models, the approach we apply in the context, we typically examine the risks and our environmental risk screening RTR assessments should yield unbiased from the entire ‘‘facility,’’ where the assessments. A more thorough estimates of ambient HAP facility includes all HAP-emitting discussion of these uncertainties is concentrations. We also note that the operations within a contiguous area and included in the Residual Risk selection of meteorology dataset under common control. In other words, Assessment for the Miscellaneous location could have an impact on the we examine the HAP emissions not only Coating Manufacturing Source Category risk estimates. As we continue to update from the source category emission in Support of the Risk and Technology and expand our library of points of interest, but also emissions of Review 2019 Proposed Rule, which is meteorological station data used in our HAP from all other emission sources at available in the docket for this action. If risk assessments, we expect to reduce the facility for which we have data. For a multipathway site-specific assessment this variability. this source category, we conducted the was performed for this source category, c. Uncertainties in Inhalation Exposure facility-wide assessment using a dataset a full discussion of the uncertainties Assessment compiled from the 2014 NEI. The source associated with that assessment can be category records of that NEI dataset found in Appendix 11 of that document, Although every effort is made to were removed, evaluated, and updated Site-Specific Human Health identify all of the relevant facilities and as described in section II.C of this Multipathway Residual Risk Assessment emission points, as well as to develop preamble: What data collection Report. accurate estimates of the annual activities were conducted to support emission rates for all relevant HAP, the this action? Once a quality assured a. Uncertainties in the RTR Emissions uncertainties in our emission inventory source category dataset was available, it Dataset likely dominate the uncertainties in the was placed back with the remaining Although the development of the RTR exposure assessment. Some records from the NEI for that facility. emissions dataset involved quality uncertainties in our exposure The facility-wide file was then used to assurance/quality control processes, the assessment include human mobility, analyze risks due to the inhalation of accuracy of emissions values will vary using the centroid of each census block,

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assuming lifetime exposure, and reference dose (RfD) values represent response assessments. Accordingly, assuming only outdoor exposures. For chronic exposure levels that are these pollutants cannot be included in most of these factors, there is neither an intended to be health-protective levels. the quantitative risk assessment, which under nor overestimate when looking at To derive dose-response values that are could result in quantitative estimates the maximum individual risk or the intended to be ‘‘without appreciable understating HAP risk. To help to incidence, but the shape of the risk,’’ the methodology relies upon an alleviate this potential underestimate, distribution of risks may be affected. uncertainty factor (UF) approach,19 where we conclude similarity with a With respect to outdoor exposures, which considers uncertainty, variability, HAP for which a dose-response value is actual exposures may not be as high if and gaps in the available data. The UFs available, we use that value as a people spend time indoors, especially are applied to derive dose-response surrogate for the assessment of the HAP for very reactive pollutants or larger values that are intended to protect for which no value is available. To the particles. For all factors, we reduce against appreciable risk of deleterious extent use of surrogates indicates uncertainty when possible. For effects. appreciable risk, we may identify a need example, with respect to census-block Many of the UFs used to account for to increase priority for an IRIS centroids, we analyze large blocks using variability and uncertainty in the assessment for that substance. We aerial imagery and adjust locations of development of acute dose-response additionally note that, generally the block centroids to better represent values are quite similar to those speaking, HAP of greatest concern due the population in the blocks. We also developed for chronic durations. to environmental exposures and hazard add additional receptor locations where Additional adjustments are often are those for which dose-response the population of a block is not well applied to account for uncertainty in assessments have been performed, represented by a single location. extrapolation from observations at one reducing the likelihood of understating exposure duration (e.g., 4 hours) to risk. Further, HAP not included in the d. Uncertainties in Dose-Response derive an acute dose-response value at quantitative assessment are assessed Relationships another exposure duration (e.g., 1 hour). qualitatively and considered in the risk There are uncertainties inherent in Not all acute dose-response values are characterization that informs the risk the development of the dose-response developed for the same purpose, and management decisions, including values used in our risk assessments for care must be taken when interpreting consideration of HAP reductions cancer effects from chronic exposures the results of an acute assessment of achieved by various control options. and noncancer effects from both chronic human health effects relative to the For a group of compounds that are and acute exposures. Some dose-response value or values being unspeciated (e.g., glycol ethers), we uncertainties are generally expressed exceeded. Where relevant to the conservatively use the most protective quantitatively, and others are generally estimated exposures, the lack of acute dose-response value of an individual expressed in qualitative terms. We note, dose-response values at different levels compound in that group to estimate as a preface to this discussion, a point of severity should be factored into the risk. Similarly, for an individual on dose-response uncertainty that is risk characterization as potential compound in a group (e.g., ethylene stated in the EPA’s 2005 Guidelines for uncertainties. glycol diethyl ether) that does not have Carcinogen Risk Assessment; namely, Uncertainty also exists in the a specified dose-response value, we also that ‘‘the primary goal of EPA actions is selection of ecological benchmarks for apply the most protective dose-response protection of human health; the environmental risk screening value from the other compounds in the accordingly, as an Agency policy, risk assessment. We established a hierarchy group to estimate risk. assessment procedures, including of preferred benchmark sources to allow selection of benchmarks for each e. Uncertainties in Acute Inhalation default options that are used in the Screening Assessments absence of scientific data to the environmental HAP at each ecological In addition to the uncertainties contrary, should be health protective’’ assessment endpoint. We searched for highlighted above, there are several (the EPA’s 2005 Guidelines for benchmarks for three effect levels (i.e., factors specific to the acute exposure Carcinogen Risk Assessment, page 1–7). no-effects level, threshold-effect level, assessment that the EPA conducts as This is the approach followed here as and probable effect level), but not all part of the risk review under section 112 summarized in the next paragraphs. combinations of ecological assessment/ of the CAA. The accuracy of an acute Cancer UREs used in our risk environmental HAP had benchmarks for inhalation exposure assessment assessments are those that have been all three effect levels. Where multiple depends on the simultaneous developed to generally provide an upper effect levels were available for a occurrence of independent factors that bound estimate of risk.17 That is, they particular HAP and assessment may vary greatly, such as hourly represent a ‘‘plausible upper limit to the endpoint, we used all of the available emission rates, meteorology, and the true value of a quantity’’ (although this effect levels to help us determine presence of a person. In the acute is usually not a true statistical whether risk exists and whether the risk could be considered significant and screening assessment that we conduct confidence limit). In some under the RTR program, we assume that circumstances, the true risk could be as widespread. Although we make every effort to peak emissions from the source category low as zero; however, in other identify appropriate human health effect and reasonable worst-case air dispersion circumstances the risk could be dose-response values for all pollutants conditions (i.e., 99th percentile) co- greater.18 Chronic noncancer RfC and emitted by the sources in this risk occur. We then include the additional assessment, some HAP emitted by this assumption that a person is located at 17 IRIS glossary (https://ofmpub.epa.gov/sor_ internet/registry/termreg/searchandretrieve/ source category are lacking dose- this point at the same time. Together, glossariesandkeywordlists/search.do?details=& these assumptions represent a glossaryName=IRIS%20Glossary). 19 See A Review of the Reference Dose and reasonable worst-case exposure 18 An exception to this is the URE for benzene, Reference Concentration Processes, U.S. EPA, scenario. In most cases, it is unlikely which is considered to cover a range of values, each December 2002, and Methods for Derivation of end of which is considered to be equally plausible, Inhalation Reference Concentrations and that a person would be located at the and which is based on maximum likelihood Application of Inhalation Dosimetry, U.S. EPA, point of maximum exposure during the estimates. 1994. time when peak emissions and

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reasonable worst-case air dispersion water, soil characteristics, and structure rates, it does not mean that impacts are conditions occur simultaneously. of the aquatic food web. We also assume significant, only that we cannot rule out an ingestion exposure scenario and that possibility and that a refined f. Uncertainties in the Multipathway values for human exposure factors that assessment for the site might be and Environmental Risk Screening represent reasonable maximum necessary to obtain a more accurate risk Assessments exposures. characterization for the source category. For each source category, we In Tier 2 of the multipathway and The EPA evaluates the following HAP generally rely on site-specific levels of environmental screening assessments, in the multipathway and/or PB–HAP or environmental HAP we refine the model inputs to account environmental risk screening emissions to determine whether a for meteorological patterns in the assessments, where applicable: arsenic, refined assessment of the impacts from vicinity of the facility versus using cadmium, dioxins/furans, lead, mercury multipathway exposures is necessary or upper-end national values, and we (both inorganic and methyl mercury), whether it is necessary to perform an identify the actual location of lakes near POM, HCl, and HF. These HAP environmental screening assessment. the facility rather than the default lake represent pollutants that can cause This determination is based on the location that we apply in Tier 1. By adverse impacts either through direct results of a three-tiered screening refining the screening approach in Tier exposure to HAP in the air or through assessment that relies on the outputs 2 to account for local geographical and exposure to HAP that are deposited from models—TRIM.FaTE and meteorological data, we decrease the from the air onto soils and surface AERMOD—that estimate environmental likelihood that concentrations in waters and then through the pollutant concentrations and human environmental media are overestimated, environment into the food web. These exposures for five PB–HAP (dioxins, thereby increasing the usefulness of the HAP represent those HAP for which we POM, mercury, cadmium, and arsenic) screening assessment. In Tier 3 of the can conduct a meaningful multipathway and two acid gases (HF and hydrogen screening assessments, we refine the or environmental screening risk chloride). For lead, we use AERMOD to model inputs again to account for hour- assessment. For other HAP not included determine ambient air concentrations, by-hour plume rise and the height of the in our screening assessments, the model which are then compared to the mixing layer. We can also use those has not been parameterized such that it secondary NAAQS standard for lead. hour-by-hour meteorological data in a can be used for that purpose. In some Two important types of uncertainty TRIM.FaTE run using the screening cases, depending on the HAP, we may associated with the use of these models configuration corresponding to the lake not have appropriate multipathway in RTR risk assessments and inherent to location. These refinements produce a models that allow us to predict the any assessment that relies on more accurate estimate of chemical concentration of that pollutant. The EPA environmental modeling are model concentrations in the media of interest, acknowledges that other HAP beyond 20 uncertainty and input uncertainty. thereby reducing the uncertainty with these that we are evaluating may have Model uncertainty concerns whether those estimates. The assumptions and the potential to cause adverse effects the model adequately represents the the associated uncertainties regarding and, therefore, the EPA may evaluate actual processes (e.g., movement and the selected ingestion exposure scenario other relevant HAP in the future, as accumulation) that might occur in the are the same for all three tiers. modeling science and resources allow. environment. For example, does the For the environmental screening model adequately describe the assessment for acid gases, we employ a IV. Analytical Results and Proposed movement of a pollutant through the single-tiered approach. We use the Decisions soil? This type of uncertainty is difficult modeled air concentrations and A. What are the results of the risk to quantify. However, based on feedback compare those with ecological assessment and analyses? received from previous EPA SAB benchmarks. reviews and other reviews, we are For all tiers of the multipathway and As described above, for the MCM confident that the models used in the environmental screening assessments, source category, we conducted an screening assessments are appropriate our approach to addressing model input inhalation risk assessment for all HAP and state-of-the-art for the multipathway uncertainty is generally cautious. We emitted, a multipathway screening and environmental screening risk choose model inputs from the upper assessment on the PB–HAP emitted, and assessments conducted in support of end of the range of possible values for an environmental risk screening RTR. the influential parameters used in the assessment on the PB–HAP and acid Input uncertainty is concerned with models, and we assume that the gases emitted. We present results of the how accurately the models have been exposed individual exhibits ingestion risk assessment briefly below and in configured and parameterized for the behavior that would lead to a high total more detail in the document titled assessment at hand. For Tier 1 of the exposure. This approach reduces the Residual Risk Assessment for the multipathway and environmental likelihood of not identifying high risks Miscellaneous Coating Manufacturing screening assessments, we configured for adverse impacts. Source Category in Support of the 2019 the models to avoid underestimating Despite the uncertainties, when Risk and Technology Review Proposed exposure and risk. This was individual pollutants or facilities do not Rule, which is available in the docket accomplished by selecting upper-end exceed screening threshold emission for this rulemaking. rates (i.e., screen out), we are confident values from nationally representative 1. Chronic Inhalation Risk Assessment that the potential for adverse datasets for the more influential Results parameters in the environmental model, multipathway impacts on human health including selection and spatial is very low. On the other hand, when Table 2 of this preamble provides a configuration of the area of interest, lake individual pollutants or facilities do summary of the results of the inhalation location and size, meteorology, surface exceed screening threshold emission risk assessment for the source category.

20 In the context of this discussion, the term expected inputs and screening results due to as uncertainty in being able to accurately estimate ‘‘uncertainty’’ as it pertains to exposure and risk existing spatial, temporal, and other factors, as well the true result. encompasses both variability in the range of

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TABLE 2—MCM INHALATION RISK ASSESSMENT RESULTS 5

Population at in- Maximum screen- Maximum indi- creased risk of Annual cancer Maximum chronic 1 ing acute non- Number of facilities vidual cancer risk cancer ≥ 1-in-1 incidence noncancer 2 3 cancer HQ 4 (in 1 million) million (cases per year) TOSHI

43 ...... 6 3,700 0.002 0.4 2 1 Number of facilities evaluated in the risk analysis. 2 Maximum individual excess lifetime cancer risk due to HAP emissions from the source category. 3 Maximum TOSHI. The target organ system with the highest TOSHI for the source category is respiratory. 4 The maximum estimated acute exposure concentration was divided by available short-term threshold values to develop an array of HQ val- ues. HQ values shown use the lowest available acute threshold value, which in most cases is the REL. When an HQ exceeds 1, we also show the HQ using the next lowest available acute dose-response value. The HQ shown here is for glycol ethers, for which there are no other avail- able acute dose-response values. 5 For this source category, it was determined that baseline allowable emissions are equal to baseline actual emissions and, therefore, the risk summaries are the same.

The results of the inhalation risk scenario were identified using a three- Liquids Distribution), which are not part modeling for both actuals and tier screening assessment of the PB– of this source category. The total allowables, as shown in Table 2 of this HAP emitted by facilities in this source estimated cancer incidence is 0.006 preamble, indicate the estimated cancer category. For carcinogenic PB–HAP, one excess cancer cases per year. MIR is 6-in-1 million, with chromium facility emits arsenic compounds, while Approximately 50,100 people are (VI) compounds from process vents as two facilities emit POM. None of these estimated to have cancer risks greater the major contributor to the risk. The emissions exceed a Tier 1 cancer than or equal to 1-in-1 million. The total estimated cancer incidence from screening value for arsenic or POM. For estimated maximum chronic noncancer this source category is 0.002 excess noncarcinogenic PB–HAP, one facility TOSHI is 2 (for the neurological target cancer cases per year, or one excess case emits cadmium compounds and one organ), driven by emissions of hydrogen in every 500 years. Approximately 3,700 facility emits mercury compounds. cyanide from non-source category people are estimated to have cancer None of these emissions exceed a Tier emissions from carbon fiber production. risks greater than or equal to 1-in-1 1 noncancer screening value for Approximately 80 people are estimated million from HAP emitted from the cadmium or mercury. Further analyses to be exposed to noncancer HI levels facilities in this source category. The (i.e., Tier 2 or 3 screens) were not greater than 1. estimated maximum chronic noncancer performed. For lead compounds, we did TOSHI for the source category is 0.4 not estimate any exceedances of the lead 6. What demographic groups might (respiratory), driven by emissions of NAAQS. benefit from this regulation? acrylic acid from process vents. No one 4. Environmental Risk Screening Results is exposed to TOSHI levels greater than To examine the potential for any 1. A screening-level evaluation of the environmental justice issues that might potential adverse environmental risk be associated with the source category, 2. Screening-Level Acute Risk associated with emissions of the PB– we performed a demographic analysis, Assessment Results HAP listed above, plus acid gases (HCl which is an assessment of risk to As shown in Table 2 above, the is the only reported acid gas), indicated individual demographic groups of the highest acute HQ based on the that no ecological benchmarks were populations living within 5 km and reasonable worst-case scenario is 2, exceeded. For lead compounds, we did within 50 km of the facilities. In the based on the REL for glycol ethers. This not estimate any exceedances of the analysis, we evaluated the distribution is the highest HQ that is outside facility secondary lead NAAQS. of HAP-related cancer and noncancer boundaries. One facility is estimated to 5. Facility-Wide Risk Results risk from the MCM source category have an HQ greater than 1 based on the across different demographic groups The results of the inhalation risk REL, which is the only available within the populations living near modeling using facility-wide emissions benchmark for glycol ethers. Acute risk facilities. estimates for each facility and pollutant data indicate that the estimated MIR is are provided in the risk assessment 20-in-1 million with emissions of The results of the demographic document, which is available in the hydrazine from sources subject to other analysis are summarized in Table 3 of docket for this rulemaking. standards driving the risk. These this preamble. These results, for various include 40 CFR part 63 subpart FFFF demographic groups, are based on the 3. Multipathway Risk Screening Results (Miscellaneous Organic Chemicals estimated risk from actual emissions Potential multipathway health risks Manufacturing NESHAP), H (Hazardous levels for the population living within under a fisher and farmer/gardener Organic NESHAP), and EEEE (Organic 50 km of the facilities.

TABLE 3—MCM DEMOGRAPHIC RISK ANALYSIS RESULTS

Population with cancer risk at or Population with Nationwide above 1-in-1 mil- chronic HI above lion due to MCM 1 due to MCM

Total Population ...... 371,746,049 3,665 0

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TABLE 3—MCM DEMOGRAPHIC RISK ANALYSIS RESULTS—Continued

Population with cancer risk at or Population with Nationwide above 1-in-1 mil- chronic HI above lion due to MCM 1 due to MCM

White and Minority by Percent

White ...... 62 64 0 Minority ...... 38 36 0

Minority by Percent

African American ...... 12 32 0 Native American ...... 0.8 0.05 0 Hispanic or Latino (includes White and nonwhite) ...... 18 2 0 Other and Multiracial ...... 7 2 0

Income by Percent

Below Poverty Level ...... 14 29 0 Above Poverty Level ...... 86 71 0

Education by Percent

Over 25 and without High School Diploma ...... 14 19 0 Over 25 and with a High School Diploma ...... 86 81 0

Linguistically Isolated by Percent

Linguistically Isolated ...... 6 1 0

The results of the MCM source CAA section 112(f)(2) using a ‘‘two-step screening assessment of the PB–HAP category demographic analysis indicate standard-setting approach, with an emitted by facilities in this source that emissions from the source category analytical first step to determine an category, where there were no expose approximately 3,700 people to a ‘acceptable risk’ that considers all exceedances of Tier 1 screening values cancer risk at or above 1-in-1 million health information, including risk for any PB–HAP emitted and, for lead and zero people to a chronic noncancer estimation uncertainty, and includes a compounds, no exceedances of the lead TOSHI greater than 1. The percentages presumptive limit on MIR of NAAQS. approximately 1-in-10 thousand.’’ (54 of the at-risk population in each In determining whether risks are FR 38045, September 14, 1989.) In this demographic group (except for African acceptable for this source category, the proposal, the EPA estimated risks based American, Below Poverty Level, EPA considered all available health Hispanic or Latino, and Above Poverty on actual and allowable emissions from information and risk estimation Level) are similar to (within 5 percent MCM sources, and we considered these uncertainty as described above. The risk of) their respective nationwide in determining acceptability. The results indicate that the inhalation percentages. The African American and estimated inhalation cancer risk to the cancer risks to the individual most Below Poverty Level demographic individual most exposed to actual exposed are far less than 100-in-1 groups are greater than their respective emissions from the source category is 6- million, which is the presumptive limit nationwide percentages, while the in-1 million. The estimated cancer of acceptability (see, for example, 54 FR Hispanic or Latino (includes White and incidence due to inhalation exposures is 38045, September 14, 1989). There are nonwhite) and Above Poverty Level are 0.002 excess cancer cases per year, or no facilities or people exposed at this lower than their respective nationwide one excess case every 500 years. risk level for either actual or allowable percentages. Approximately 3,700 people face an increased cancer risk greater than 1-in- emissions. Also, there are no facilities The methodology and the results of with an estimated maximum chronic the demographic analysis are presented 1 million due to inhalation exposures to HAP emissions from this source noncancer TOSHI greater than 1. There in a technical report, Risk and is one facility with an acute HQ value Technology Review—Analysis of category. The estimated maximum chronic noncancer TOSHI from of 2 based on the REL for glycol ethers; Demographic Factors for Populations however, given the conservative nature Living Near Miscellaneous Coating inhalation exposure for this source of the acute screening assessment, it is Manufacturing Facilities, available in category is 0.4. Risks for allowable unlikely there are acute impacts from the docket for this action. emissions are the same since it was determined that allowable emissions are HAP emissions from this category. In B. What are our proposed decisions equal to actual emissions for this source addition, there are no exceedances of regarding risk acceptability, ample category. The screening assessment of Tier 1 screening values in the margin of safety, and adverse worst-case acute inhalation impacts multipathway assessment, nor environmental effect? indicates one facility with an estimated exceedances of the lead NAAQS. Considering all of the health risk 1. Risk Acceptability HQ of 2, based on the REL for glycol ethers. information and factors discussed As noted in section II.A of this Potential multipathway human health above, including the uncertainties preamble, the EPA sets standards under risks were estimated using a three-tier discussed in section III of this preamble,

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the EPA proposes that the risks from the ample margin of safety to protect public At existing sources, the HAP MCM source category are acceptable. health. We are requesting comment on emissions from portable vessels must be whether there are other control controlled by fitting the vessels with 2. Ample Margin of Safety Analysis measures for emission sources in this lids that are kept closed at all times We next considered whether the category that are necessary to provide an when the vessel contains a HAP, except existing MACT standards provide an ample margin of safety to protect public for material additions and sampling. ample margin of safety to protect public health. In particular, we are requesting The HAP emissions from stationary health. In addition to considering all the that states identify any controls they vessels must be controlled by fitting the health risks and other health have already required for these vessels with lids that are kept closed at information considered in the risk facilities, controls they are currently all times when the vessel contains a acceptability determination, in the considering, or any other controls of HAP, except for material additions and ample margin of safety analysis we which they are aware that are being sampling, and by capturing all evaluated the cost and feasibility of used to control HAP from these sources. emissions and routing the captured available control technologies and other emissions to a control device. Organic 4. Adverse Environmental Effect measures (including the controls, HAP with a vapor pressure equal to or measures, and costs reviewed under the Based on the results of the greater than 0.6 kilopascals (kPa) must technology review) that could be environmental risk screening be reduced by at least 75 percent by applied to the source category to further assessment, we are proposing that HAP weight, and organic HAP with a vapor reduce the risks due to emissions of emissions from the MCM source pressure less than 0.6 kPa must be HAP. As noted in our discussion of the category do not present an adverse reduced by at least 60 percent. technology review in section IV.C of this environmental effect. Thus, we are At new sources, the HAP emissions preamble, we identified two proposing that it is not necessary to set from portable and stationary process developments in practices, processes, or a more stringent standard to prevent, vessels must be controlled by fitting the control technologies for reducing HAP taking into consideration costs, safety, vessels with lids that are kept closed at emissions from process vessels in the and other relevant factors, an adverse all times when the vessel contains a MCM source category. As part of the environmental effect. HAP, except for material additions and risk review, we evaluated these C. What are the results and proposed sampling. The emissions from both developments to determine whether decisions based on our technology portable and stationary process vessels they could reduce risks and whether it review? must be captured and the captured is necessary to require these emissions reduced by at least 95 developments to provide an ample Sources of HAP emissions regulated percent, as total organic HAP, using a margin of safety to protect public health. by the MCM NESHAP are process control device other than a flare, Since the baseline risks are being vessels, storage tanks, transfer racks, reduced by venting non-halogenated driven by inorganic HAP from process equipment leaks, wastewater streams, vent streams to a flare, or vented to a vessels, we evaluated a control option and heat exchange systems. MCM condenser. If a condenser is used, the for inorganic HAP emissions from processes occur as batch operations, condenser must achieve a specified process vessels located at MCM which involve intermittent or outlet gas temperature depending on the facilities and considered the resulting discontinuous feed of raw materials into partial pressure of the HAP contained in health information. The control option equipment, and generally involve the vessel. If a combustion device is that we evaluated for inorganic HAP emptying of the equipment after the used to control a halogenated vent would be similar to those included in 40 operation ceases and prior to beginning stream, then a halogen reduction device CFR part 63, subpart CCCCCCC, the a new operation. To inform our (e.g., a scrubber) must be used to reduce NESHAP for Area Sources for Paints technology reviews for these emission hydrogen halide and halogen HAP by at and Allied Products Manufacturing. sources, we reviewed the EPA’s RBLC least 95 percent; or reduce overall Additionally, we evaluated increasing and regulatory development efforts for emissions of hydrogen halide and the control efficiency requirements for similar sources published after the halogen HAP to no more than 0.45 kg/ organic HAP emissions from process MCM NESHAP was developed. We then hr. vessels. The process vessel options did evaluated the impacts of requiring We evaluated two options that could not result in a decrease to the MIR or to additional controls identified in the be potentially considered technology the maximum chronic noncancer TOSHI technology review for the MCM source developments under CAA section because the MIR facility already had category, as described below. 112(d)(6). In the first option, we controls in place. However, there was a considered increasing the control 1. Process Vessels reduction seen in the population efficiency requirement for process exposed to a cancer risk of 1-in-1 Process vessels regulated by the MCM vessels at existing sources to match the million from 3,700 to 1,900 due to NESHAP are defined as any stationary control requirement for new sources, emissions reductions at other facilities. or portable tank or other vessel with a which would increase the control As described in section IV.C of this capacity greater than or equal to 250 gal efficiency for organic HAP with a vapor preamble though, we determined that and in which mixing, blending, pressure equal to or greater than 0.6 kPa these options are not cost effective. diluting, dissolving, temporary holding, from 75 percent to 95 percent. We Overall, the available options could and other processing steps occur in the consider this option to be a new result in small reductions in population manufacturing of a coating. Process development because several facilities risk, but we did not identify any cost- vessels used in MCM generate gaseous have controlled all process vessels with effective options for reducing HAP streams containing HAP when HAP- thermal oxidizers to comply with the emissions from the source category. containing materials are present in the NESHAP. Considering all of the health vessel and more material is added We estimated the costs of installing a information presented above, along with displacing solvent-laden air from inside thermal oxidizer on the six plants in the the available information regarding the the vessel, and during product mixing MCM source category that currently do cost of the available options, we propose as the HAP-containing contents are not have a thermal oxidizer installed on that the existing standards provide an agitated. process vessels. We did not estimate

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costs for catalytic oxidizers because displacement of vapor-laden air as the which is based on the use of an IFR or thermal oxidizers are cheaper than tank is being filled (working losses) and an EFR; by reducing total organic HAP catalytic oxidizers. The costs were also due to changes in temperature that emissions by at least 90 percent by estimated using the EPA Air Pollution cause the vapor-laden air in the head weight by venting emissions through a Control Cost Manual cost spreadsheet space of the tank to expand (breathing closed-vent system to a control device for thermal oxidizers 21 and the process losses). (excluding a flare); or by reducing total vent flow rate from NEI or the facility Emissions from vertical tanks can be organic HAP emissions from the storage operating permit. The estimated cost controlled by installing a floating roof tank by venting emissions from a non- effectiveness for these facilities ranged inside the tank. By floating on the halogenated vent stream through a from $20,000 per ton HAP removed to surface of the liquid, this roof design closed-vent system to a flare. $150,000 per ton HAP removed. eliminates head space above the surface The EPA did not identify in our The second option that we considered of the liquid and, therefore, minimizes technology review any developments in was to require controls to limit the evaporation of organic vapors inside practices, processes, and control particulate matter (PM) HAP emissions the tank. An internal floating roof (IFR) technologies for storage tanks that were from process vessels in which dry tank has a second fixed roof over the not already considered in the materials (e.g., pigments) containing floating roof. An external floating roof development of the original MACT. inorganic HAP are added to the process (EFR) tank has no fixed roof over the Because there were no improvements in vessel. We considered provisions that floating roof and is exposed to the the technologies considered under would be similar to those included in 40 elements. MACT, the EPA proposes that it is not CFR part 63, subpart CCCCCCC, the Emissions from horizontal tanks can necessary to amend the standards for NESHAP for Area Sources for Paints be controlled with a closed vent system storage tanks under the technology and Allied Products Manufacturing. that captures the emissions and delivers review. Further explanation of the This option would reflect the fact that them to either a recovery device or a assumptions and methodologies for all several facilities subject to 40 CFR part destruction device. Control devices options evaluated are provided in the 63, subpart HHHHH have process within the MCM source category memorandum, Clean Air Act Section vessels controlled with fabric filters include carbon adsorbers and 112(d)(6) Technology Review for the when dry materials are being added. combustion devices. Alternatively, a Miscellaneous Coatings Manufacturing We estimated costs for both a fabric vapor balancing system can be used to Source Category, available in the docket filter baghouse and a cartridge filter type eliminate working loss emissions. In to this action. vapor balancing, the displaced vapors of particulate control with a flow rate of 3. Transfer Operations 1,000 cubic feet per minute, plus 150 from the receiving tank are piped back feet of flexible duct to capture the into the storage vessel from which the Transfer operations involve the bulk fugitive PM when dry matter is being liquid product is delivered. loading of coating products into either added to the mixing vessel. The No facility in the MCM source tanker trucks or tanker rail cars. Transfer operations do not involve the estimated cost effectiveness for this category during the original MACT filling of cans, pails, drums, or totes. option ranged from $310,000 to development reported using IFRs, EFRs, Most coating manufacturing facilities $2,100,000 per ton of particulate HAP or vapor balancing to reduce HAP perform only the filling of cans, pails, reduced. We also evaluated whether emissions from any storage tank. The MCM NESHAP regulates two drums, or totes with coating products pigments could be added in a wetted or classes of storage tanks. Group 1a and do not perform transfer operations paste form, but not all pigments are storage tanks are storage tanks at to tanker trucks or rail cars. A few available or can be used in wetted or existing sources with capacities greater coating manufacturers perform transfer paste form. than or equal to 20,000 gal storing operations because they provide The EPA did not find the control material that has a maximum true vapor coatings to facilities, such as coil technology development options pressure of total organic HAP greater coating and metal can coating facilities, considered for process vessels in this than or equal to 1.9 psia. Group 1a that use large quantities of certain technology review to be cost effective, storage tanks also include storage tanks coatings and store those coatings in or, in some cases, technologically at new sources with capacities greater large stationary storage tanks. feasible. Consequently, the EPA than or equal to 25,000 gal storing Emissions during transfer operations proposes that it is not necessary to materials with a maximum true vapor are generated by the displacement of the amend the standards for process vessels pressure of total HAP greater than or solvent vapor-laden air in the receiving under the technology review. Further equal to 0.1 psia, as well as storage tanker truck or rail car as the tank is explanation of the assumptions and tanks with capacities greater than or filled. The extent of the HAP emissions methodologies for all options evaluated equal to 20,000 gal and less than 25,000 will depend on the HAP content of the are provided in the memorandum, gal storing materials with a maximum material being loaded (i.e., weight Clean Air Act Section 112(d)(6) true vapor pressure of total HAP greater percent HAP), the volatility of the HAP Technology Review for the than or equal to 1.5 psia. in the material being loaded, and the Miscellaneous Coatings Manufacturing Group 1b storage tanks are storage total volume of coating being loaded. Source Category, available in the docket tanks at new sources with capacities The MCM NESHAP regulates the bulk to this action. greater than or equal to 10,000 gal, loading of coating products if the 2. Storage Tanks storing materials that have a maximum coatings contain 3.0 million gal or more per year of HAP with a weighted Storage tanks hold the liquid raw true vapor pressure of total organic HAP average HAP partial pressure greater materials used in the coating greater than or equal to 0.02 psia, and than or equal to 1.5 psia. The MCM manufacturing process. Emissions occur are not Group 1a storage tanks. Emissions from Group 1a storage NESHAP requires the HAP emissions to from storage tanks through the tanks must be controlled by complying be controlled by either venting the with the provisions of 40 CFR part 63, emissions through a closed-vent system 21 https://www.epa.gov/economic-and-cost- analysis-air-pollution-regulations/cost-reports-and- subpart WW (NESHAP for Storage to any combination of control devices guidance-air-pollution. Vessels (Tanks)—Control Level 2), (except a flare) and reducing emissions

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by at least 75 percent, by venting the must comply with the provisions of Emissions can be controlled from emissions from a non-halogenated vent subparts UU or TT. Subpart R requires wastewater by collecting and moving stream through a closed-vent system to monthly inspections for equipment the wastewater in enclosed pipes and a flare, or by using a vapor balancing leaks using sight, sound, or smell. then treating the wastewater to remove system to collect displaced organic HAP Subpart TT requires the use of the organic HAP. Wastewater containing vapors and route the vapors to the instrument monitoring and defines leaks organic HAP can be collected and storage tank from which the liquid being as instrument readings of 10,000 ppmv treated as hazardous waste in which loaded originated or to another storage for valves, pumps, and connectors. case it is usually incinerated. It can also tank connected by a common header. Subpart UU also requires the use of be treated by using steam to volatilize The EPA did not identify in our instrument monitoring and defines leaks the organic HAP and separate it from technology review any developments in as instrument readings of 500 ppmv for the wastewater. Finally, if the organic practices, processes, and control valves, 1,000 ppmv for pumps, and 500 HAP concentration is low enough, it can technologies for bulk loading of coating ppmv for connectors. be treated through enhanced biological products that were not already Based on developments in other treatment in which microorganisms considered in the development of the similar source categories, we identified oxidize the organic HAP. original MACT. Because there were no as a technology alternative to the The MCM NESHAP regulates improvements in the technologies current standard a more stringent wastewater streams that contain total considered under MACT, the EPA provision for existing sources that partially soluble and soluble HAP at an proposes that it is not necessary to would eliminate sensory monitoring annual average concentration greater amend the standards for transfer and require instrument monitoring with than or equal to 4,000 ppmw and load operations under the technology review. lower leak definitions than specified in greater than or equal to 750 lb/yr at Further explanation of the assumptions 40 CFR part 63, subpart TT. For this existing sources, or that contain greater and methodologies for all options alternative, we estimated the than or equal to 1,600 ppmw and any evaluated are provided in the incremental emission reductions and partially soluble and soluble HAP load memorandum, Clean Air Act Section cost effectiveness of employing at new sources. Wastewater tanks used 112(d)(6) Technology Review for the instrument monitoring (EPA Method 21) to store regulated wastewater streams Miscellaneous Coatings Manufacturing with an equipment leak defined as must have a fixed roof, which may have Source Category, available in the docket instrument readings of 500 ppmv for openings necessary for proper venting of the tank, such as a pressure/vacuum to this action. valves, 2,000 ppmv for pumps, and 500 vent or j-pipe vent. Regulated 4. Equipment Leaks ppmv for connectors. We estimated the wastewater streams must be conveyed costs of requiring instrument monitoring In the MCM source category, organic using hard piping and treated as a with more stringent leak definitions for HAP vapors can escape from leaks in hazardous waste in accordance with 40 four model plants with 25, 50, 100, or connectors, valves, and pumps in liquid CFR part 264, 265, or 266 either onsite 200 process vessels. The estimated cost piping systems due to mechanical or offsite. Alternatively, if the effectiveness for these model plants defects in those items. MCM facilities wastewater contains less than 50 ppmw ranged from $107,000 per ton HAP use piping systems to move liquid raw of partially soluble HAP, it may be removed to $22,000 per ton HAP materials from storage tanks to process treated in an enhanced biological vessels and then from process vessels to removed for the smallest to largest treatment system that is located either filling operations or bulk transfer model plant, and these values are higher onsite or offsite. operations. than organic HAP cost-effectiveness Because our technology review Emissions can be minimized through values that we historically have identified no developments in practices, periodic monitoring of the connectors, considered cost effective. processes, or controls for reducing valves, and pumps to check for leaks The EPA does not find the leak wastewater emissions at MCM facilities, and the timely repair of equipment that detection instrument monitoring option we evaluated developments in other is found to be leaking. Leak detection that was evaluated to be cost effective. industries with wastewater streams that can be through sensory monitoring Consequently, the EPA proposes that it contain organic HAP. We reviewed using sight, sound, and smell to detect is not necessary to amend the standards three options that were considered in leaks, or leak detection can be through for equipment leaks under the other industry technology reviews for the use of a monitoring instrument (EPA technology review. Further explanation their applicability to the MCM Method 21) that measures the of the assumptions and methodologies wastewater streams. These options concentration of organic vapors in parts for all options evaluated are provided in were: per million by volume (ppmv) in the air the memorandum, Clean Air Act Section (1) Requiring wastewater drain and near each of the connectors, valves, and 112(d)(6) Technology Review for the tank controls at facilities with a total pumps. Different NESHAP that specify Miscellaneous Coatings Manufacturing annual benzene quantity of less than 10 the use of instrument monitoring may Source Category, available in the docket megagrams per year (Mg/yr). define a different threshold vapor to this action. (2) Requiring specific performance concentration that constitutes a leak that 5. Wastewater Streams parameters (minimum fraction triggers the need for repair. biodegraded, fbio) for an enhanced The MCM NESHAP requires existing Wastewater that comes in contact biological unit beyond those required in sources to comply with the equipment with organic HAP-containing materials the Benzene NESHAP. leaks provisions in 40 CFR part 63, may be a source of organic HAP (3) Requiring wastewater streams with subpart R, NESHAP for Gasoline emissions as the organic HAP a volatile organic compound (VOC) Distribution Facilities (Bulk Gasoline evaporates from the wastewater. In content of 750 ppmw or higher to be Terminals and Pipeline Breakout coatings manufacturing, wastewater treated by steam stripping prior to any Stations); subpart TT, NESHAP for containing organic HAP may be other treatment process for facilities Equipment Leaks, Control Level 1; or generated from the cleaning of process with high organic loading rates (i.e., subpart UU, NESHAP for Equipment vessels and other equipment between facilities with total annualized benzene Leaks, Control Level 2. New sources batches of different coatings. quantity of 10 Mg/yr or more).

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The EPA did not find any of the three for all options evaluated are provided in specifically seeking comment on wastewater stream control options the memorandum, Clean Air Act Section whether we have successfully done so. evaluated to be cost effective. 112(d)(6) Technology Review for the In addition, as explained in more Consequently, the EPA proposes that it Miscellaneous Coatings Manufacturing detail in section IV.D.1.i., below, we are is not necessary to amend the standards Source Category, available in the docket proposing language in 40 CFR for wastewater streams under the to this action. 63.8005(h) to clarify that any periods technology review. Further explanation during which a control device is of the assumptions and methodologies D. What other actions are we proposing? bypassed be included in demonstrating for all options evaluated are provided in In addition to the proposed decisions compliance with the emission reduction the memorandum, Clean Air Act Section described above, we are proposing provisions for process vessels in Table 112(d)(6) Technology Review for the additional revisions to the NESHAP. We 1 to 40 CFR part 63, subpart HHHHH. Miscellaneous Coatings Manufacturing are proposing revisions to the SSM As currently specified in 40 CFR Source Category, available in the docket provisions of 40 CFR part 63, subpart 63.8005, 63.8010, and 63.8020, you to this action. HHHHH to be consistent with the Court must establish operating limits for process vessels and storage tanks 6. Heat Exchange Systems decision in Sierra Club v. EPA, 551 F. 3d 1019 (D.C. Cir. 2008), which vacated controlled by closed vent systems and Heat exchangers are devices or rule provisions that exempt sources add-on controls, and for wastewater collections of devices used to transfer from the provision to comply with streams controlled by enhanced heat from process fluids to another fluid otherwise applicable NESHAP during biological treatment units. This (typically air or water) without periods of SSM. We also are proposing generally means that during startup and intentional direct contact of the process to require electronic submittal of shutdown periods, in order for a facility fluid with the cooling fluid (i.e., non- notifications, semi-annual reports and using add-on controls to meet the contact heat exchangers). compliance reports (which include emissions and operating standards, the At times, the heat exchanger’s internal performance test reports). We are add-on control device needs to be tubing material can corrode or crack, proposing to require periodic turned on and operating at specified allowing some process fluids to mix or performance testing of oxidizers used to levels when the facility begins coating become entrained with the cooling demonstrate compliance. We are manufacturing operations, and the water. Pollutants in the process fluids proposing technical and editorial control equipment needs to continue to may subsequently be released from the revisions and corrections. be operated until the facility ceases cooling water into the atmosphere when coating manufacturing operations. In the water is exposed to air (e.g., in a 1. SSM Provisions some cases, the facility would need to cooling tower for closed-loop systems or In its 2008 decision in Sierra Club v. run thermal oxidizers on supplemental at trenches/ponds in a once-through fuel whenever there is insufficient system). EPA, 551 F.3d 1019 (D.C. Cir. 2008), the Court vacated portions of two concentrations of VOC for the The MCM NESHAP regulates heat combustion to be self-sustaining. The exchangers by requiring them to meet provisions in the EPA’s CAA section 112 regulations governing the emissions proposed language in 40 CFR 63.8000(a) the provisions in 40 CFR part 63, requires that the owner or operator subpart F, NESHAP for the Synthetic of HAP during periods of SSM. Specifically, the Court vacated the SSM operate and maintain the coating Organic Chemical Manufacturing manufacturing operations, including exemption contained in 40 CFR Industry. Specifically, under 40 CFR pollution control equipment, at all times 63.6(f)(1) and 40 CFR 63.6(h)(1), holding 63.104, facilities are required to monitor to minimize emissions, except as that under section 302(k) of the CAA, the cooling water in the heat exchange explained in more detail in section emissions standards or limitations must system on a periodic basis to detect and IV.D.1.i below, to account for bypass be continuous in nature and that the repair leaks, unless certain design and periods of the controls for process SSM exemption violates the CAA’s operating requirements are met. Those vessels as proposed in 40 CFR requirement that some section 112 other requirements include operating 63.8005(h). the system such that the cooling water standards apply continuously. Periods of startup, normal operations, is at a higher pressure than the process We are proposing the elimination of and shutdown are all predictable and fluid, using an intervening cooling fluid the SSM exemption in this rule which routine aspects of a source’s operations. between the water and process fluid and appears at 40 CFR 63.8000(a). Malfunctions, in contrast, are neither ensuring the intervening fluid is not Consistent with Sierra Club v. EPA, we predictable nor routine. Instead they discharged, using a once-through heat are proposing standards in this rule that are, by definition, sudden, infrequent, exchange system that is subject to a apply at all times. We are also proposing and not reasonably preventable failures NPDES permit, or only using the heat several revisions to Table 10 (the of emissions control, process, or exchange system to cool process fluids General Provisions Applicability Table) monitoring equipment. (40 CFR 63.2) that meet low-HAP content criteria. as explained in more detail below. For (Definition of malfunction). The EPA The EPA did not identify in our example, we are proposing to eliminate interprets CAA section 112 as not technology review any developments in the incorporation of the General requiring emissions that occur during practices, processes, and control Provisions’ requirement that the source periods of malfunction to be factored technologies for heat exchange systems develop an SSM plan. We also are into development of CAA section 112 that were not already considered in the proposing to eliminate and revise standards and this reading has been development of the original MACT. certain recordkeeping and reporting upheld as reasonable by the Court in Because there were no improvements in requirements related to the SSM U.S. Sugar Corp. v. EPA, 830 F.3d 579, the technologies considered under exemption as further described below. 606–610 (D.C. Cir. 2016). Under CAA MACT, the EPA proposes that it is not The EPA has attempted to ensure that section 112, emissions standards for necessary to amend the standards for the provisions we are proposing to new sources must be no less stringent heat exchange systems under the eliminate are inappropriate, than the level ‘‘achieved’’ by the best technology review. Further explanation unnecessary, or redundant in the controlled similar source and for of the assumptions and methodologies absence of the SSM exemption. We are existing sources generally must be no

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less stringent than the average emission case enforcement discretion, not for characterizes what the general duty limitation ‘‘achieved’’ by the best specification in advance by entails during periods of SSM. With the performing 12 percent of sources in the regulation.’’). In addition, emissions elimination of the SSM exemption, category. There is nothing in CAA during a malfunction event can be there is no need to differentiate between section 112 that directs the Agency to significantly higher than emissions at normal operations, startup and consider malfunctions in determining any other time of source operation. shutdown, and malfunction events in the level ‘‘achieved’’ by the best Although no statutory language describing the general duty. Therefore, performing sources when setting compels the EPA to set standards for the language the EPA is proposing for 40 emission standards. As the Court has malfunctions, the EPA has the CFR 63.8000(a) does not include that recognized, the phrase ‘‘average discretion to do so where feasible. For language from 40 CFR 63.6(e)(1). emissions limitation achieved by the example, in the Petroleum Refinery We are also proposing to revise the best performing 12 percent of’’ sources Sector RTR, the EPA established a work General Provisions table (Table 10) ‘‘says nothing about how the practice standard for unique types of entry for 40 CFR 63.6(e)(1)(ii) by performance of the best units is to be malfunctions that result in releases from changing the ‘‘yes’’ in column 3 to a calculated.’’ Nat’l Ass’n of Clean Water PRDs or emergency flaring events ‘‘no.’’ Section 63.6(e)(1)(ii) imposes Agencies v. EPA, 734 F.3d 1115, 1141 because the EPA had information to requirements that are not necessary with (D.C. Cir. 2013). While the EPA determine that such work practices the elimination of the SSM exemption accounts for variability in setting reflected the level of control that applies or are redundant with the general duty emissions standards, nothing in CAA to the best performers. 80 FR 75178, provision being added at 40 CFR section 112 requires the Agency to 75211–14 (December 1, 2015). The EPA 63.8000(a). will consider whether circumstances consider malfunctions as part of that b. SSM Plan analysis. The EPA is not required to warrant setting standards for a We are proposing to revise the treat a malfunction in the same manner particular type of malfunction and, if so, General Provisions table (Table 10) as the type of variation in performance whether the EPA has sufficient entry for 40 CFR 63.6(e)(3) by that occurs during routine operations of information to identify the relevant best consolidating the entries for a source. performing sources and establish a standard for such malfunctions. In this subparagraphs (i) to (ix) under a single As the Court recognized in U.S. Sugar proposal at 40 CFR 63.8005(h), we entry for 40 CFR 63.6(e)(3) and by Corp, accounting for malfunctions in provide a method to account for control changing the ‘‘yes’’ in column 3 to a setting standards would be difficult, if device bypass periods including periods ‘‘no.’’ Generally, these paragraphs not impossible, given the myriad of SSM, in evaluating compliance with require development of an SSM plan different types of malfunctions that can the overall control efficiency and specify SSM recordkeeping and occur across all sources in the category requirements for process vessels in reporting provisions related to the SSM and given the difficulties associated Table 1, as is discussed further. We plan. As noted, the EPA is proposing to with predicting or accounting for the encourage commenters to provide any remove the SSM exemptions. Therefore, frequency, degree, and duration of such information. Finally, in the event affected units will be subject to an various malfunctions that might occur. that a source fails to comply with the emission standard during such events. Id. at 608 (‘‘the EPA would have to applicable CAA section 112(d) The applicability of a standard during conceive of a standard that could apply standards as a result of a malfunction such events will ensure that sources equally to the wide range of possible event, the EPA would determine an have ample incentive to plan for and boiler malfunctions, ranging from an appropriate response based on, among achieve compliance and, thus, the SSM explosion to minor mechanical defects. other things, the good faith efforts of the plan provisions are no longer necessary. Any possible standard is likely to be source to minimize emissions during c. Compliance With Standards hopelessly generic to govern such a malfunction periods, including wide array of circumstances.’’) As such, preventative and corrective actions, as We are proposing to revise the the performance of units that are well as root cause analyses to ascertain General Provisions table (Table 10) malfunctioning is not ‘‘reasonably’’ and rectify excess emissions. entry for 40 CFR 63.6(f)(1) by changing foreseeable. See, e.g., Sierra Club v. The specific changes that we propose the ‘‘yes’’ in column 3 to a ‘‘no.’’ The EPA, 167 F.3d 658, 662 (D.C. Cir. 1999) to comport the rule with the Sierra Club current language of 40 CFR 63.6(f)(1) (‘‘The EPA typically has wide latitude decision on SSM are listed in exempts sources from non-opacity in determining the extent of data- paragraphs a through i below: standards during periods of SSM. As gathering necessary to solve a problem. discussed above, the Court in the Sierra We generally defer to an agency’s a. 40 CFR 63.8000 General Duty Club decision vacated the exemptions decision to proceed on the basis of We are proposing to revise the contained in this provision and held imperfect scientific information, rather General Provisions table (Table 10) that the CAA requires that some section than to ’invest the resources to conduct entry for 40 CFR 63.6(e)(1)(i) by 112 standards apply continuously. the perfect study.’ ’’). See also, changing the ‘‘yes’’ in column 3 to a Consistent with Sierra Club, the EPA is Weyerhaeuser v. Costle, 590 F.2d 1011, ‘‘no.’’ Section 63.6(e)(1)(i) describes the proposing to revise standards in this 1058 (D.C. Cir. 1978) (‘‘In the nature of general duty to minimize emissions. rule to apply at all times. things, no general limit, individual Some of the language in that section is We are proposing to revise the permit, or even any upset provision can no longer necessary or appropriate in General Provisions table (Table 10) anticipate all upset situations. After a light of the elimination of the SSM entry for 40 CFR 63.6(h)(1) by changing certain point, the transgression of exemption. We are proposing instead to the ‘‘yes’’ in column 3 to a ‘‘no.’’ The regulatory limits caused by add general duty regulatory text at 40 current language of 40 CFR 63.6(h)(1) ‘uncontrollable acts of third parties,’ CFR 63.8000(a) that reflects the general exempts sources from opacity standards such as strikes, sabotage, operator duty to minimize emissions while during periods of SSM. As discussed intoxication or insanity, and a variety of eliminating the reference to periods above, the Court in Sierra Club vacated other eventualities, must be a matter for covered by an SSM exemption. The the exemptions contained in this the administrative exercise of case-by- current language in 40 CFR 63.6(e)(1)(i) provision and held that the CAA

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requires that some section 112 standard CFR 63.8(c)(1)) and that set out the a description of the method used to apply continuously. Consistent with the provisions of a quality control program estimate the emissions. Examples of Sierra Club decision, the EPA is for monitoring equipment (40 CFR such estimation methods would include proposing to revise standards in this 63.8(d)). product-loss calculations, mass balance rule to apply at all times. We are proposing to revise the calculations, measurements when General Provisions table (Table 10) available, or engineering judgment d. 40 CFR 63.8005(d) Performance entry for 40 CFR 63.8(d) by creating a based on known process parameters. Testing separate entry for 40 CFR 63.8(d)(3) and The EPA is proposing to require that We are proposing to revise the by indicating ‘‘no’’ in column 3. The source owners or operators keep records General Provisions table (Table 10) final sentence in 40 CFR 63.8(d)(3) of this information to ensure that there entry for 40 CFR 63.7(e)(1) by changing refers to the General Provisions’ SSM is adequate information to allow us to the ‘‘yes’’ in column 3 to a ‘‘no.’’ Section plan provision which is no longer determine the severity of any failure to 63.7(e)(1) describes performance testing applicable. We are proposing to add to meet a standard, and to provide data provisions. The EPA is instead the rule at 40 CFR 63.8000(d)(8) text that may document how the source met proposing to add performance testing that is identical to 40 CFR 63.8(d)(3) the general duty to minimize emissions provisions at 40 CFR 63.8005(d)(5). The except that the final sentence is when the source has failed to meet an performance testing provisions we are replaced with the following sentence: applicable standard. proposing to add differ from the General ‘‘The program of corrective action We are proposing to revise the Provisions performance testing should be included in the plan required General Provisions table (Table 10) provisions in several respects. The under § 63.8(d)(2).’’ entries for 40 CFR 63.10(b)(2) by regulatory text does not include the creating a single row for 40 CFR f. 40 CFR 63.8080 Recordkeeping language in 40 CFR 63.7(e)(1) that 63.10(b)(2)(iv) and (v) and indicating a restated the SSM exemption and We are proposing to revise the ‘‘no’’ in column 3. When applicable, 40 language that precluded startup and General Provisions table (Table 10) CFR 63.10(b)(2)(iv) requires source shutdown periods from being entries for 40 CFR 63.10(b)(2) by owners or operators to record actions considered ‘‘representative’’ for creating a single row for 40 CFR taken during SSM events when actions purposes of performance testing. The 63.10(b)(2)(i) and (ii) and indicating a were inconsistent with their SSM plans. proposed performance testing ‘‘no’’ in column 3. Section 63.10(b)(2)(i) The provision in 40 CFR 63.10(b)(2)(v) provisions will exclude periods of describes the recordkeeping provisions requires source owners or operators to startup or shutdown as representative during startup and shutdown. Section record actions taken during SSM events conditions for conducting performance 63.10(b)(2)(ii) describes the to show that actions taken were testing. As in 40 CFR 63.7(e)(1), recordkeeping provisions during a consistent with their SSM plans. These performance tests conducted under this malfunction. These recordkeeping provisions will no longer be appropriate subpart should not be conducted during provisions are no longer necessary because we propose that SSM plans will malfunctions because conditions during because we are proposing to remove the no longer be required. The provisions malfunctions are often not exemptions and other special provisions previously applicable under 40 CFR representative of normal operating applicable to SSM periods so there is no 63.10(b)(2)(iv) and (v) to record conditions. The EPA is proposing to add reason to retain additional corrective actions is now applicable by language that requires owners or recordkeeping for these periods. We are reference to 40 CFR 63.8080(h). operators to record the process also proposing to replace the references We are proposing to revise the information that is necessary to to 40 CFR 63.998(d)(3) and General Provisions table (Table 10) document operating conditions during 63.998(c)(1)(ii)(D) through (G) in the entry for 40 CFR 63.10(c)(15) by tests and include in such record former entry for 40 CFR 63.10(b)(2)(i) changing the ‘‘yes’’ in column 3 to a explanations to support that such with a reference to a new paragraph 40 ‘‘no.’’ The EPA is proposing that 40 CFR conditions represent normal operation. CFR 63.8080(h) that specifies 63.10(c)(15) no longer applies. When Section 63.7(e) requires that owners or recordkeeping in the event of any applicable, the provision allows an operators make available to the deviation from an emission limitation. owner or operator to use the affected Administrator upon request such The regulatory text we are proposing to source’s SSM plan or records kept to records ‘‘as may be necessary to add differs from the General Provisions satisfy the recordkeeping provisions of determine the condition of the it is replacing in that the General the SSM plan, specified in 40 CFR performance test,’’ but does not Provisions require the creation and 63.6(e), to also satisfy the provisions of specifically require the information to retention of a record of the occurrence 40 CFR 63.10(c)(10) through (12). The be recorded. The regulatory text the EPA and duration of each malfunction of EPA is proposing to eliminate this is proposing to add clarifies the process, air pollution control, and provision because SSM plans would no necessary information and makes monitoring equipment. We are longer be required; therefore, 40 CFR explicit the provision to record the proposing that this provision apply to 63.10(c)(15) would no longer serve any information. any failure to meet an applicable useful purpose for affected sources. standard and is requiring that the source e. Monitoring record the date, time, and duration of g. 40 CFR 63.8075 Reporting We are proposing to revise the the failure rather than the ‘‘occurrence.’’ We are proposing to revise the General Provisions table (Table 10) The EPA is also proposing to add to 40 General Provisions table (Table 10) entry for 40 CFR 63.8 (c)(1)(i) and (iii) CFR 63.8080(h) a provision that requires entry for 40 CFR 63.10(d)(5)(i) by by changing the ‘‘yes’’ in column 3 to source owners or operators to keep removing the reference to 40 CFR a ‘‘no’’ for both entries. The cross- records that include a list of the affected 63.8075(e)(5) and (6), but retaining the references to the general duty and SSM source or equipment and actions taken ‘‘no’’ entry. The provisions in 40 CFR plan provisions in those subparagraphs to minimize emissions, an estimate of 63.8075(e)(5) describe the reporting are not necessary in light of other the quantity of each regulated pollutant provisions for SSM in place of those at provisions of 40 CFR 63.8 that require emitted over the standard for which the 40 CFR 63.10(d)(5)(i). To replace the good air pollution control practices (40 source failed to meet the standard, and SSM reporting provision, the EPA is

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proposing to add reporting provisions to in Table 1 to 40 CFR part 63, subpart 2. Electronic Reporting Provisions 40 CFR 63.8075(e)(6). The replacement HHHHH for process vessels. These Through this proposal, the EPA is language differs from the General amendments will apply to process proposing that owners and operators of Provisions in that it eliminates periodic vessels with closed vent systems and MCM facilities submit electronic copies SSM reports as a stand-alone report. We add-on controls that contain bypass of required performance test reports, are proposing language that requires lines that could divert a vent stream to performance evaluation reports, source owners or operators that fail to the atmosphere. We are proposing that compliance reports, and NOCS reports meet an applicable standard at any time owners and operators must measure and through the EPA’s Central Data to report the information concerning record during each semiannual Exchange (CDX) using the Compliance such events in the semi-annual compliance period the hours that the and Emissions Data Reporting Interface compliance report already required control device was bypassed and the (CEDRI). A description of the electronic under this rule. We are proposing that source’s total operating hours. They data submission process is provided in the report must contain the number, must then use the overall control the memorandum, Electronic Reporting date, time, duration, and the cause of efficiency required in Table 1, the total Requirements for New Source such events (including unknown cause, operating hours, and the control Performance Standards (NSPS) and if applicable), a list of the affected efficiency of the control device to National Emission Standards for source or equipment, an estimate of the determine the allowable bypass hours Hazardous Air Pollutants (NESHAP) quantity of each regulated pollutant during the semiannual compliance Rules, available in Docket ID No. EPA– emitted over any emission limit, and a period using proposed Equation 1 in 40 HQ–OAR–2018–0747. The proposed description of the method used to rule requires that performance test estimate the emissions. CFR 63.8005(h). These changes are required because SSM periods that may results collected using test methods that Examples of such methods would are supported by the EPA’s Electronic include product-loss calculations, mass involve bypassing of the control device cannot be excluded and must now be Reporting Tool (ERT) as listed on the balance calculations, measurements 22 included in determining compliance. ERT website at the time of the test be when available, or engineering submitted in the format generated judgment based on known process j. Safety Devices through the use of the ERT and that parameters. The EPA is proposing this other performance test results be provision to ensure that there is Because we are proposing to remove submitted in portable document format adequate information to determine the SSM provisions and require (PDF) using the attachment module of compliance, to allow the EPA to compliance at all times, we are the ERT. Similarly, performance determine the severity of the failure to proposing to revise 40 CFR evaluation results of continuous meet an applicable standard, and to 63.8000(b)(2), which allows the opening monitoring systems measuring relative provide data that may document how of a safety device at any time conditions accuracy test audit pollutants that are the source owner or operator met the require it to avoid unsafe conditions. supported by the ERT at the time of the general duty to minimize emissions We are proposing to revise 40 CFR test must be submitted in the format during a failure to meet an applicable 63.8000(b)(2) so that opening of a safety generated through the use of the ERT standard. device to avoid unsafe conditions is and other performance evaluation h. Conforming Changes for Cross- considered a deviation, unless it is a results be submitted in PDF using the References to Other Subparts bypass of a control for a process vessel attachment module of the ERT. and accounted for as specified in 40 We are proposing amendments to For performance test reports, CFR 63.8005(h). We are also proposing account for instances where 40 CFR part performance evaluation reports, to revise 40 CFR 63.8080(c), which is 63, subpart HHHHH cross-references compliance reports, and NOCS reports, the provision to keep a record of each other subparts that contain SSM the proposed rule requires that owners time a safety device is opened, to add provisions. Proposed 40 CFR 63.8000(f) and operators use the appropriate lists the referenced provisions in additional recordkeeping provisions spreadsheet template to submit subparts SS, TT, and UU of part 63 that consistent with those for other information to CEDRI. A draft version of contain references to SSM periods that deviations. As a result of these proposed the proposed templates for these reports will no longer apply after the changes, the opening of a safety device are included in the docket for this 23 compliance date for the proposed would be considered a deviation from rulemaking. The EPA specifically amendments. Proposed 40 CFR the emission limits for sources using requests comment on the content, 63.8000(f)(10) through (f)(22) lists the closed vent systems and add-on control layout, and overall design of the paragraphs or phrases within the devices to comply with the emission templates. paragraphs that will not apply after the limitations in 40 CFR part 63, subpart Additionally, the EPA has identified applicable compliance dates for the HHHHH, unless it is a bypass of a two broad circumstances in which proposed amendments because they are control for a process vessel and electronic reporting extensions may be no longer applicable as a result of the accounted for as specified in 40 provided. In both circumstances, the proposed SSM revisions. CFR 63.8005(h). In the event a safety decision to accept the claim of needing device is opened, the owners or additional time to report is within the i. Provisions To Account for Control operators would be required to comply discretion of the Administrator, and Device Bypass Periods in Determining with the general duty provision in 40 reporting should occur as soon as Compliance CFR 63.8000(a) to minimize emissions possible. The EPA is providing these Because we are proposing to remove at all times, and to report and record potential extensions to protect owners the SSM provisions and require information related to deviations as and operators from noncompliance in compliance at all times, we are specified in 40 CFR 63.8075 and proposing to amend 40 CFR 63.8000(c) 63.8080, respectively, unless it is a 22 https://www.epa.gov/electronic-reporting-air- bypass of a control for a process vessel emissions/electronic-reporting-tool-ert. to account for bypass periods in 23 See MCM_Compliance_Report_Draft_ determining compliance with the and accounted for as specified in 40 Template.xlsx, available at Docket ID No. EPA–HQ– emission percent reduction provisions CFR 63.8005(h). OAR–2018–0747.

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cases where they cannot successfully data reporting errors, and providing data regulated workplace exposure to a submit a report by the reporting quickly and accurately to the affected chemical based, at least in part, on deadline for reasons outside of their facilities, air agencies, the EPA, and the carcinogenic risk, OSHA requires the control. The situation where an public. Moreover, electronic reporting is chemical to be classified as a extension may be warranted due to consistent with the EPA’s plan 24 to carcinogen. OSHA suggests that the EPA outages of the EPA’s CDX or CEDRI implement Executive Order 13563 and should refer to section A.6.4.2 of which precludes an owner or operator is in keeping with the EPA’s Agency- Appendix A of 29 CFR 1910.1200 in its from accessing the system and wide policy 25 developed in response to discussion of 40 CFR 63.8055 and submitting required reports is addressed the White House’s Digital Government consider chemicals that meet this in 40 CFR 63.8075(i). The situation Strategy.26 For more information on the provision be considered ‘‘OSHA-defined where an extension may be warranted benefits of electronic reporting, see the carcinogens.’’ due to a force majeure event, which is memorandum, Electronic Reporting We are proposing to replace these defined as an event that will be or has Requirements for New Source references to carcinogens in 29 CFR been caused by circumstances beyond Performance Standards (NSPS) and 1910.1200(d)(4) with a list (in proposed the control of the affected facility, its National Emission Standards for new Table 11 to 40 CFR part 63, subpart contractors, or any entity controlled by Hazardous Air Pollutants (NESHAP) HHHHH) of those organic HAP that the affected facility that prevents an Rules, available in Docket ID No. EPA– must be included in calculating total owner or operator from complying with HQ–OAR–2018–0747. organic HAP content of a coating the requirement to submit a report 3. Other Technical Amendments material if they are present at 0.1 electronically as required by this rule is percent or greater by mass. addressed in 40 CFR 63.8075(j). The EPA is proposing to amend 40 Examples of such events are acts of CFR 63.8055(b)(4) to remove reference We propose to include organic HAP nature, acts of war or terrorism, or to paragraph (d)(4) of the Occupational in proposed Table 11 to 40 CFR part 63, equipment failure or safety hazards Safety and Health Administration’s subpart HHHHH if they were beyond the control of the facility. (OSHA’s) Hazard Communication categorized in the EPA’s Prioritized The electronic submittal of the reports standard, which dealt with OSHA- Chronic Dose-Response Values for addressed in this proposed rulemaking defined carcinogens. The EPA is Screening Risk Assessments (dated May will increase the usefulness of the data proposing to replace that reference with 9, 2014) as a ‘‘human carcinogen,’’ contained in those reports, is in keeping its own list of HAP that must be ‘‘probable human carcinogen,’’ or with current trends in data availability regarded as potentially carcinogenic ‘‘possible human carcinogen’’ according and transparency, will further assist in based on the EPA guidelines. Although to The Risk Assessment Guidelines of the protection of public health and the paragraph (d)(4) of OSHA’s standard 1986 (EPA/600/8–87/045, August 1987), environment, will improve compliance was deleted when the Agency adopted or as ‘‘carcinogenic to humans,’’ ‘‘likely by facilitating the ability of regulated the Globally Harmonized System of to be carcinogenic to humans,’’ or with facilities to demonstrate compliance Hazard Communication in 2012, it was ‘‘suggestive evidence of carcinogenic with provisions and by facilitating the replaced by section A.6.4.2 of potential’’ according to the Guidelines ability of delegated state, local, tribal, mandatory Appendix A of that standard, for Carcinogen Risk Assessment (EPA/ and territorial air agencies and the EPA which reads as follows: 630/P–03/001F, March 2005). to assess and determine compliance, ‘‘Where OSHA has included cancer as There are several additional revisions and will ultimately reduce burden on a health hazard to be considered by that we are proposing to 40 CFR part 63, regulated facilities, delegated air classifiers for a chemical covered by 29 subpart HHHHH to clarify text or correct agencies, and the EPA. Electronic CFR part 1910, subpart Z, Toxic and typographical errors, grammatical reporting also eliminates paper-based, Hazardous Substances, chemical errors, and cross-reference errors. These manual processes, thereby saving time manufacturers, importers, and proposed editorial corrections and and resources, simplifying data entry, employers shall classify the chemical as clarifications are summarized in Table 4 eliminating redundancies, minimizing a carcinogen.’’ Thus, where OSHA has of this preamble.

TABLE 4—SUMMARY OF PROPOSED EDITORIAL AND MINOR CORRECTIONS TO 40 CFR PART 63, SUBPART HHHHH

Provision Proposed revision

40 CFR 63.7985(d)(2) ...... Remove the word ‘‘future.’’ 40 CFR 63.8050(c)(3) ...... Correct reference to subparagraph (c)(2)(i) to (iii) to (c)(3)(i) to (iii). 40 CFR 63.8075(c)(1) ...... Clarify the paragraphs to say 63.8005 through 63.8030 to include heat exchang- ers. 40 CFR 63.8075(d) ...... Change the reference from (d)(2) to (d)(1). 40 CFR 63.8075(d)(2)(ii) ...... Remove the word ‘‘initial.’’ 40 CFR 63.8090(b) ...... Clarify the sentence to say, ‘‘You are in compliance with this subpart if you have a storage tank with a fixed roof, closed-vent system, and control device in compliance with 40 CFR part 60, subpart Kb, and you are in compliance with the monitoring, recordkeeping, and reporting requirements in this subpart.’’ Table 8 to 40 CFR part 63, subpart HHHHH ...... Correct ‘‘FFFF’’ to ‘‘HHHHH.’’

24 EPA’s Final Plan for Periodic Retrospective www.epa.gov/sites/production/files/2016-03/ obamawhitehouse.archives.gov/sites/default/files/ Reviews, August 2011. Available at: https:// documents/epa-ereporting-policy-statement-2013- omb/egov/digital-government/digital- www.regulations.gov/document?D=EPA-HQ-OAR- 09-30.pdf. government.html. 2018-0747. 26 Digital Government: Building a 21st Century 25 E-Reporting Policy Statement for EPA Platform to Better Serve the American People, May Regulations, September 2013. Available at: https:// 2012. Available at: https://

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4. Ongoing Emissions Compliance performance testing of certain add-on Method 18 of appendix A–6 to 40 CFR Demonstrations control devices on a 5-year cycle and part 60, or EPA Method 25 or 25A of As part of an ongoing effort to removing the allowance for appendix A–7 to 40 CFR part 60, which improve compliance with various demonstration of compliance using a are the methods currently required for federal air emission regulations, the design evaluation for ‘‘small control the initial compliance demonstration. EPA reviewed the compliance devices,’’ defined as controlling less We estimate that the cost associated demonstration provisions in the MCM than 10 tons of HAP per year. We are with this proposed provision, which NESHAP. Currently, if a source owner not proposing to revise performance includes a control device emissions or operator chooses to comply with the demonstration requirements for destruction or removal efficiency test standards using add-on controls, the condensers because outlet gas using EPA Method 18, 25 or 25A, would results of an initial performance test are temperature correlates directly with be approximately $19,000 per control used to determine compliance; however, control efficiency and continuous device every 5 years for those sources the rule does not require ongoing monitoring of outlet gas temperature not already required by their title V periodic performance testing for these provides a direct indication of whether operating permit to conduct testing at emission capture systems and add-on control efficiency has been met. least every 5 years. The cost estimate is controls. We are proposing periodic Likewise, the proposed performance included in the memorandum titled testing of add-on control devices, in testing provision of incineration control Draft Costs/Impacts of the 40 CFR part addition to the one-time initial devices allows an exception from 63 Subpart HHHHH Monitoring Review emissions testing and ongoing periodic testing for facilities using Revisions, in the MCM Docket. Based on continuous parametric monitoring, to instruments to continuously measure the development of cost estimates for ensure ongoing compliance with the VOC emissions. Using VOC continuous other NESHAP, we know that certain standards. emissions monitoring systems (CEMS) states typically require periodic testing Although ongoing monitoring of would be a direct indicator of as a condition of renewing title V operating parameters is required by the compliance. The use of VOC CEMS to operating permits. We have assumed NESHAP and is conducted by owners or demonstrate compliance would obviate that facilities located in these states are operators, as control devices age over the need for initial or periodic control currently required to conduct periodic time, the destruction efficiency of the device testing. Our available data performance tests as a condition of their control devices can be compromised indicates that the oxidizers are the only 40 CFR part 70 operating permits, and due to various factors. The EPA other control device used to comply the proposed periodic testing would not published several documents that with this standard. Incinerators, add any new testing provisions and the identify potential control device however, could experience this estimated costs would not apply to operational problems that could degradation and reduced control these facilities. We have assumed that decrease emission reduction efficiency, efficiency that would not be captured facilities in other states would have including, but not limited to the with operating parameter monitoring of additional testing provisions and costs. following: Corrosion due to halogens in temperature. Periodic performance tests ensure that HAP exhaust for thermal oxidizers, We have identified several states with any thermal oxidizers used to comply catalyst deactivation or poisoning for MCM facilities that already require such with the NESHAP in the future would catalytic oxidizers, leaking valves for testing every 5 years synchronized with be properly maintained over time, regenerative oxidizers, adsorbent 40 CFR part 70 air operating permit thereby reducing the potential for acute plugging and fouling for adsorbers, and renewals. emissions episodes and non- changing waste stream temperatures and The proposed periodic performance compliance. absorption characteristics for testing provisions would require owners or operators of facilities complying with E. What compliance dates are we condensers and concentrators.27 proposing? The Institute of Clean Air Companies the standards using a closed vent system (ICAC), an industry trade group to control and which are not already on Amendments to the MCM NESHAP currently representing 50 emission a 5-year testing schedule to conduct the proposed in this rulemaking for control device equipment first of the periodic performance tests adoption under CAA section 112(d)(2) manufacturers, corroborated the fact within 3 years of the effective date of and (3) are subject to the compliance that control equipment degrades over the revised standards. Afterward, the deadlines outlined in the CAA under time in their comments in a prior owners or operators would conduct section 112(i). For all of the provisions we are rulemaking. In their comments on periodic testing before they renew their proposing under CAA sections 112(d)(2) proposed revisions to the NESHAP operating permits, but no longer than 5 and (3), we are proposing all affected General Provisions (72 FR 69, January 3, years following the previous source owners or operators must comply 2007), ICAC stated that ongoing performance test. Additionally, owners with all of the amendments no later maintenance and checks of control or operators of facilities that have than 3 years after the effective date of devices are necessary in order to ensure already tested as a condition of their the final rule, or upon startup, emissions control technology remains permit within the last 2 years before the whichever is later. For existing sources, effective. Based on the need for effective date would be permitted to CAA section 112(i) provides that the vigilance in maintaining equipment to maintain their current 5-year schedule compliance date be as expeditious as stem degradation, in this action, we are and not be required to move up the date practicable, but no later than 3 years proposing to require periodic of the next test to the 3-year date specified above. This proposed after the effective date of the standard. 27 Control Techniques for Volatile Organic provision would require periodic air (‘‘Section 112(i)(3)’s three-year Compound Emissions from Stationary Sources, emissions testing to measure organic maximum compliance period applies EPA/453/R–92–018, December 1992, Control HAP destruction or removal efficiency generally to any emission standard . . . Technologies for Emissions from Stationary at the inlet and outlet of the thermal promulgated under [section 112].’’ Sources, EPA/625/6–91/014, June 1991, and Survey of Control Technologies for Low Concentration oxidizer. The emissions would be Association of Battery Recyclers v. EPA, Organic Vapor Gas Streams, EPA–456/R–95–003, measured as total gaseous organic mass 716 F.3d 667, 672 (D.C. Cir. 2013)). In May 1995. emissions as carbon using either EPA determining what compliance period is

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as expeditious as practicable, we provisions within 3 years of the final V. Summary of Cost, Environmental, consider the amount of time needed to amendment’s effective date. and Economic Impacts plan and construct projects and change Therefore, for all affected sources that A. What are the affected sources? operating procedures. As provided in commence construction or CAA section 112(i), all new affected reconstruction on or before September Currently, 43 major sources subject to sources would comply with these 4, 2019, we are proposing that it is the MCM NESHAP are operating in the provisions by the effective date of the necessary to provide 3 years after the United States. The affected source under final amendments to the MCM NESHAP effective date of the final rule (or upon the NESHAP is the facility-wide or upon startup, whichever is later. startup, whichever is later) for owners collection of equipment used to All affected facilities would have to and operators to comply with the manufacture coatings and includes all continue to meet the current provisions provisions that have been amended to process vessels; storage tanks for of 40 CFR part 63, subpart HHHHH until remove the exemption from the feedstocks and products; components the applicable compliance date of the emission limitations during SSM such as pumps, compressors, agitators, amended rule. The final action is not periods. For all affected sources that pressure relief devices, sampling expected to be a ‘‘major rule’’ as defined commenced construction or connection systems, open-ended valves by 5 U.S.C. 804(2), so the effective date reconstruction after September 4, 2019, or lines, valves, connectors, and of the final rule will be the we are proposing that owners and instrumentation systems; wastewater promulgation date as specified in CAA operators comply with the amended tanks; transfer racks; and cleaning section 112(d)(10). provisions by the effective date of the operations. A coating is defined as We are proposing to change the final rule (or upon startup, whichever is material such as paint, ink, or adhesive provisions for SSM by removing the later). that is intended to be applied to a exemption from the emission As discussed elsewhere in this substrate and consists of a mixture of limitations (i.e., emission limits, preamble, we are also proposing to add resins, pigments, solvents, and/or other operating limits, and work practice a provision that notifications, additives, where the material is standards) during SSM periods and by performance test results, and produced by a manufacturing operation removing the provision to develop and semiannual compliance reports be where materials are blended, mixed, implement an SSM plan. We are also submitted electronically. We are diluted, or otherwise formulated. proposing that owners and operators proposing that the semiannual B. What are the air quality impacts? will now need to take into account compliance report be submitted At the current level of control, control device bypass periods, even if electronically using a new template, estimated emissions of volatile organic during SSM periods, when which is available for review and HAP from the MCM source category are demonstrating compliance with the comment as part of this action. approximately 405 tpy. percent emission reduction provisions Regarding electronic reporting, our The proposed amendments require for process vessels in Table 1 to 40 CFR experience with similar industries that all 43 major sources in the MCM part 63, subpart HHHHH. shows that a time period of a minimum source category comply with the Our experience with similar of 90 days, and, more typically, 180 relevant emission standards at all times, industries further shows that this sort of days, is generally necessary to convert including periods of SSM. We were regulated facility generally requires a reporting mechanisms to install unable to quantify the emissions that substantial time period to read and necessary hardware and software, occur during periods of SSM or the understand the amended rule become familiar with the process of specific emissions reductions that provisions; to evaluate their operations submitting performance test results would occur as a result of this action. to ensure that they can meet the electronically through the EPA’s CEDRI, However, eliminating the SSM standards during periods of startup and test these new electronic submission exemption has the potential to reduce shutdown as defined in the rule and capabilities, and reliably employ emissions by requiring facilities to meet make any necessary adjustments; and to electronic reporting. From our the applicable standard during SSM update their operation, maintenance, assessment of the time frame needed for periods. and monitoring plan to reflect the compliance with the new electronic Indirect or secondary air emissions revised provisions. It is also possible reporting provisions, the EPA considers impacts are impacts that would result that some facilities may need to upgrade a period of 180 days to be the most from the increased electricity usage their emission capture and control expeditious compliance period associated with the operation of control systems because of the proposed practicable and, thus, is proposing that devices (e.g., increased secondary changes to the bypass provisions in the all sources would begin complying with emissions of criteria pollutants from compliance calculations. These the new electronic reporting provisions power plants). Energy impacts consist of upgrades may require additional time to beginning no later than 180 days after the electricity and steam needed to evaluate the current control system, the regulation’s effective date. operate control devices and other plan for needed upgrades, and then We solicit comment on these equipment. The proposed amendments design, purchase, and install those proposed compliance periods, and we would have no effect on the energy upgrades. From our assessment of the specifically request submission of needs of the affected facilities and time frame needed for compliance with information from sources in this source would, therefore, have no indirect or the entirety of the revised requirements category regarding specific actions that secondary air emissions impacts. related to the SSM provisions, including would need to be undertaken to comply the need to account for bypass periods, with the proposed amended provisions C. What are the cost impacts? the EPA considers a period of 3 years to and the time needed to make the We estimate that to comply with the be the most expeditious compliance adjustments for compliance with any of proposed amendments each facility in period practicable and, thus, is the revised provisions. We note that the MCM source category will proposing that existing affected sources information provided may result in experience increased reporting and be in compliance with 40 CFR part 63, changes to the proposed compliance recordkeeping costs. The recordkeeping subpart HHHHH’s revised SSM dates. and reporting costs are presented in

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section VIII.C of this preamble. The the cost of becoming familiar with the benefits associated with the potential costs include time to read and rule and re-evaluating previously reduction in volatile organic HAP from understand the rule amendments. Costs developed SSM record systems and this rule. associated with elimination of the SSM performing periodic emissions testing at VI. Request for Comments exemption were estimated as part of the certain facilities with add-on controls reporting and recordkeeping costs and that are not already required to perform We solicit comments on this proposed include time for re-evaluating testing. To assess the maximum action. In addition to general comments previously developed SSM record potential impact, the largest cost on this proposed action, we are also systems. Costs associated with the expected to be experienced in any 1 interested in receiving additional data provision to electronically submit year is compared to the total sales for that may improve the risk assessments notifications and semi-annual the ultimate owner of the affected and other analyses. We are specifically compliance reports using CEDRI were facilities to estimate the total burden for interested in receiving any estimated as part of the reporting and each facility. improvements to the data used in the recordkeeping costs and include time For the proposed revisions to the site-specific emissions profiles used for for becoming familiar with CEDRI and MCM NESHAP, the 2019 equivalent risk modeling. Such data should include the reporting template for semi-annual annualized value (in 2018$) of the costs supporting documentation in sufficient compliance reports. over the period 2020–2026 is $66,000 detail to allow characterization of the We are also proposing a provision for assuming a 3-percent discount rate and quality and representativeness of the performance testing no less frequently $73,000 assuming a 7-percent discount data or information. Section VII of this than every 5 years for sources in the rate. The 43 affected facilities are owned preamble provides more information on MCM source category using add-on by 27 different parent companies, and submitting data. controls to demonstrate compliance. We the total costs associated with the estimate that 12 facilities subject to the proposed amendments range from VII. Submitting Data Corrections MCM NESHAP and using add-on 0.000005 to 0.025 percent of annual The site-specific emissions profiles control devices would incur costs to sales revenue per ultimate owner. These used in the source category risk and conduct control device performance costs are not expected to result in a demographic analyses and instructions testing because they are not required by significant market impact, regardless of are available for download on the RTR their permits to conduct testing every 5 whether they are passed on to the website at https://www.epa.gov/ years. This total does not include purchaser or absorbed by the firms. stationary-sources-air-pollution/ facilities in the MCM source category The EPA also prepared a small miscellaneous-coating-manufacturing- that have add-on controls and are business screening assessment to national-emission-standards. The data currently required to perform periodic determine whether any of the identified files include detailed information for performance testing as a condition of affected entities are small entities, as each HAP emissions release point for their state operating permit. The cost for defined by the U.S. Small Business the facilities in the source category. a facility to conduct a destruction or Administration. Two of the facilities If you believe that the data are not removal efficiency performance test potentially affected by the proposed representative or are inaccurate, please using EPA Method 25 or 25A is revisions to the MCM NESHAP are identify the data in question, provide estimated to be about $19,000. The total small entities. However, the costs your reason for concern, and provide cost for all 12 facilities to test their add- associated with the proposed any ‘‘improved’’ data that you have, if on control devices in a single year, plus amendments for these two affected available. When you submit data, we one facility completing a retest to small entities range from 0.002 to 0.025 request that you provide documentation account for 5 percent of control devices percent of annual sales revenues per of the basis for the revised values to failing to pass the first test, would be ultimate owner. Therefore, there are no support your suggested changes. To $247,000. The total annualized testing significant economic impacts on a submit comments on the data cost, including retests, is approximately substantial number of small entities downloaded from the RTR website, $57,000 per year at an interest rate of from these proposed amendments. complete the following steps: 5.25 percent and an additional $6,000 in More information and details of this 1. Within this downloaded file, enter reporting costs per facility in the year in analysis are provided in the technical suggested revisions to the data fields which the test occurs for the MCM document titled Economic Impact and appropriate for that information. source category. For further information Small Business Screening Assessments 2. Fill in the commenter information on the potential costs, see the cost tables for Proposed Amendments to the fields for each suggested revision (i.e., in the memoranda titled Estimated National Emission Standards for commenter name, commenter Costs/Impacts of the 40 CFR part 63 Hazardous Air Pollutants for organization, commenter email address, Subpart HHHHH Monitoring Review Miscellaneous Coating Manufacturing commenter phone number, and revision Revisions, May 2019, and the Economic (Subpart HHHHH), available in the comments). Impact and Small Business Screening MCM Docket. 3. Gather documentation for any Assessments for Proposed Amendments suggested emissions revisions (e.g., to National Emission Standards for E. What are the benefits? performance test reports, material Hazardous Air Pollutants for As stated above in section V.B of this balance calculations). Miscellaneous Coating Manufacturing preamble, we were unable to quantify 4. Send the entire downloaded file Facilities (Subpart HHHHH), in the the specific emissions reductions with suggested revisions in Microsoft® MCM Docket. associated with eliminating the SSM Access format and all accompanying exemption. documentation to Docket ID No. EPA– D. What are the economic impacts? Because these proposed amendments HQ–OAR–2018–0747 (through the The economic impact analysis is are not considered economically method described in the ADDRESSES designed to inform decision-makers significant, as defined by Executive section of this preamble). about the potential economic Order 12866, we did not monetize the 5. If you are providing comments on consequences of a regulatory action. For benefits of reducing these emissions. a single facility or multiple facilities, the current proposal, the EPA estimated This does not mean that there are no you need only submit one file for all

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facilities. The file should contain all Frequency of response: The total detail is provided in the economic suggested changes for all sources at that number of responses in year 1 is 175, in impact memorandums associated with facility (or facilities). We request that all year 2 is 46, and in year 3 is 85. this action. We have, therefore, data revision comments be submitted in Total estimated burden: The average concluded that this action will have no ® the form of updated Microsoft Excel annual burden of the proposed net regulatory burden for all directly files that are generated by the amendments to the 43 MCM facilities regulated small entities. Microsoft® Access file. These files are over the 3 years if the amendments are provided on the RTR website at https:// finalized is estimated to be 565 hours E. Unfunded Mandates Reform Act www.epa.gov/stationary-sources-air- (per year). The average annual burden to (UMRA) pollution/miscellaneous-coating- the Agency over the 3 years after the This action does not contain an manufacturing-national-emission- amendments are final is estimated to be standards. 116 hours (per year). Burden is defined unfunded mandate of $100 million or at 5 CFR 1320.3(b). more as described in UMRA, 2 U.S.C. VIII. Statutory and Executive Order Total estimated cost: The average 1531–1538, and does not significantly or Reviews annual cost of the proposed uniquely affect small governments. The Additional information about these amendments to the MCM facilities is action imposes no enforceable duty on statutes and Executive Orders can be $65,000 in labor costs in the first 3 years any state, local, or tribal governments or found at https://www.epa.gov/laws- after the amendments are final. The the private sector. regulations/laws-and-executive-orders. average annual capital and operation and maintenance costs are $82,000. The F. Executive Order 13132: Federalism A. Executive Order 12866: Regulatory total average annual agency cost of the This action does not have federalism Planning and Review and Executive proposed amendments over the first 3 implications. It will not have substantial Order 13563: Improving Regulation and years after the amendments are final is Regulatory Review estimated to be $5,500. direct effects on the states, on the relationship between the national This action is not a significant An agency may not conduct or regulatory action and was, therefore, not sponsor, and a person is not required to government and the states, or on the submitted to OMB for review. respond to, a collection of information distribution of power and unless it displays a currently valid OMB responsibilities among the various B. Executive Order 13771: Reducing control number. The OMB control levels of government. Regulations and Controlling Regulatory numbers for the EPA’s regulations in 40 G. Executive Order 13175: Consultation Costs CFR are listed in 40 CFR part 9. and Coordination With Indian Tribal This action is not expected to be an Submit your comments on the Governments Executive Order 13771 regulatory action Agency’s need for this information, the because this action is not significant accuracy of the provided burden This action does not have tribal under Executive Order 12866. estimates, and any suggested methods implications as specified in Executive for minimizing respondent burden to Order 13175. No tribal facilities are C. Paperwork Reduction Act (PRA) the EPA using the docket identified at known to be engaged in any of the The information collection activities the beginning of this rule. You may also industries that would be affected by this in this proposal have been submitted for send your ICR-related comments to action (MCM). Thus, Executive Order approval to OMB under the PRA. The OMB’s Office of Information and ICR document that the EPA prepared Regulatory Affairs via email to OIRA_ 13175 does not apply to this action. has been assigned EPA ICR number [email protected], Attention: H. Executive Order 13045: Protection of 2115.06. You can find a copy of the ICR Desk Officer for the EPA. Since OMB is Children From Environmental Health in the MCM Docket (Docket ID No. required to make a decision concerning Risks and Safety Risks EPA–HQ–OAR–2018–0747), and it is the ICR between 30 and 60 days after briefly summarized here. receipt, OMB must receive comments no This action is not subject to Executive The EPA is proposing to revise the later than October 4, 2019. The EPA will Order 13045 because it is not SSM provisions of the rule, proposing to respond to any ICR-related comments in economically significant as defined in require periodic testing of control the final rule. Executive Order 12866, and because the devices, and proposing the use of D. Regulatory Flexibility Act (RFA) EPA does not believe the environmental electronic data reporting for future health or safety risks addressed by this performance test data submittals, I certify that this action will not have action present a disproportionate risk to notifications, and reports. This a significant economic impact on a children. This action’s health and risk information is being collected to assure substantial number of small entities assessments are contained in sections compliance with 40 CFR part 63, under the RFA. In making this III.A and C, and IV.A, B, and C of this subpart HHHHH. determination, the impact of concern is preamble, and are further documented any significant adverse economic Respondents/affected entities: in the Miscellaneous Coating impact on small entities. An agency may Facilities manufacturing surface Manufacturing Risk Assessment Report, certify that a rule will not have a coatings. in the MCM Docket. Respondent’s obligation to respond: significant economic impact on a Mandatory (40 CFR part 63, subpart substantial number of small entities if I. Executive Order 13211: Actions HHHHH). the rule relieves regulatory burden, has Concerning Regulations That Estimated number of respondents: In no net burden, or otherwise has a Significantly Affect Energy Supply, the 3 years after the amendments are positive economic effect on the small Distribution, or Use final, approximately 43 respondents per entities subject to the rule. The year would be subject to the NESHAP annualized costs associated with the This action is not subject to Executive and no additional respondents are proposed amendments in this action for Order 13211 because it is not a expected to become subject to the the affected small entities is described significant regulatory action under NESHAP during that period. in section V.D above and additional Executive Order 12866.

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J. National Technology Transfer and Spectrometry,’’ as an acceptable (Analyte Spiking Technique), the Advancement Act (NTTAA) and 1 CFR alternative to EPA Method 18 with the percent (%) R must be determined for Part 51 following caveats. This ASTM each target analyte (Equation A5.5). We This action involves technical procedure has been approved by the are proposing that in order for the test EPA as an alternative to EPA Method 18 data to be acceptable for a compound, standards. Therefore, the EPA ≥ ≤ conducted searches for the MCM only when the target compounds are all %R must be 70% R 130%. If the %R NESHAP through the Enhanced known and the target compounds are all value does not meet this criterion for a National Standards Systems Network listed in ASTM D6420 as measurable. target compound, the test data is not (NSSN) Database managed by the We are proposing that ASTM D6420–18 acceptable for that compound and the American National Standards Institute should not be used for methane and test must be repeated for that analyte ethane because the atomic mass is less (ANSI). We also contacted voluntary (i.e., the sampling and/or analytical than 35; and ASTM D6420 should never consensus standards (VCS) procedure should be adjusted before a be specified as a total VOC method. This organizations and accessed and retest). We are proposing that the %R test method employs a direct interface searched their databases. We conducted value for each compound be reported in gas chromatograph/mass spectrometer searches for EPA Methods 1, 1A, 2, 2A, the test report, and all field to identify and quantify VOC. 2C, 2D, 2F, 2G, 3, 3A, 3B, 4, 18, 21, 22, measurements must be corrected with The EPA proposes to use the VCS the calculated %R value for that 24, 25, 25A, 25D, 26, 26A, and 29 of 40 ASTM D2369–10(2015) el, ’’Test CFR part 60, appendix A; 301, 305, 311, compound by using the following Method for Volatile Content of equation: 316, and 320 of 40 CFR part 63, Coatings’’; ASTM D2697–03 (2014), appendix A; 624, 625, 1624, 1625, 1666, Reported Results = (Measured ‘‘Standard Test Method for Volume × and 1671 of 40 CFR part 136, appendix Nonvolatile Matter in Clear or Concentration in the Stack 100)/% A; and 8260, 8260B (SW–846), 8270, Pigmented Coatings’’; and ASTM R. Test Methods for Evaluating Solid D3960–98, ‘‘ ’Standard Practice for The ASTM D6348–12e1 method is an Waste, Physical/Chemical Methods, Determining VOC Content of Paints and extractive FTIR based field test method EPA Publication SW–846 third edition. Related Coatings,’’ as acceptable is used to quantify gas phase During the EPA’s VCS search, if the title alternatives to EPA Method 24. The concentrations of multiple target or abstract (if provided) of the VCS ASTM D2369–10 (2015) method analytes from stationary source effluent. described technical sampling and describes a procedure for the The six ASTM methods (ASTM analytical procedures that are similar to determination of the weight percent the EPA’s reference method, the EPA D6420–18, ASTM D2369–10(2015)el, volatile content of solvent borne and ASTM D6348–12e1, ASTM D2697–03 ordered a copy of the standard and waterborne coatings. The ASTM D2697– reviewed it as a potential equivalent (2014), ASTM D3960–98, and ASTM 03 (2014) method is intended to provide D6348–03) are available at ASTM method. We reviewed all potential a measure of the volume of dry coating standards to determine the practicality International, 1850 M Street NW, Suite obtainable from a given volume of 1030, Washington, DC 20036. See of the VCS for this rule. This review liquid coating. The ASTM D3960–98 requires significant method validation https://www.astm.org/. The CARB method measures the VOC content of method (VCS CARB Method 310) is data that meet the requirements of EPA solvent borne and waterborne paints Method 301 for accepting alternative available at CARB, 1001 I Street, and related coatings as determined from Sacramento, CA 95814. See https:// methods or scientific, engineering, and the quantity of material released from a ww2.arb.ca.gov/. The ANSI/ASME PTC policy equivalence to procedures in the sample under specified bake conditions 19 10 1981 Part 10 (2010) method is EPA reference methods. The EPA may and subtracting exempt volatile available at American National reconsider determinations of compounds and water if present. impracticality when additional The EPA proposes to use the VCS Standards Institute (ANSI), 1899 L information is available for particular CARB Method 310, ‘‘Determination of Street NW, 11th floor, Washington, DC VCS. VOC in Consumer Products and 20036 and the American Society of No applicable VCS were identified for Reactive Organic Compounds in Aerosol Mechanical Engineers (ASME), Three EPA Methods 1A, 2A, 2D, 2F, 2G, 21, Coating Products,’’ as an acceptable Park Avenue, New York, NY 10016– 22, 25D, 305, 316, 625, 1624, 1625, alternative to EPA Method 311. Method 5990 See https://wwww.ansi.org and 1666, 1671, 8260, 8260B (SW–846), and 310 determines the total volatile https://www.asme.org. 8270. The following VCS were material in a product and the presence Finally, the search identified seven identified as acceptable alternatives to of any compounds and is also used to other VCS that were potentially the EPA test methods for the purpose of determine the percent by weight of the applicable for this rule in lieu of the this rule. reactive organic compounds contained EPA reference methods. After reviewing The EPA proposes to use the VCS in aerosol coating products. the available standards, the EPA ANSI/ASME PTC 19–10–1981 Part 10 In addition, the EPA proposes to use determined that seven candidate VCS (2010), ‘‘Flue and Exhaust Gas the VCS ASTM D6348–12e1, identified for measuring emissions of Analyses,’’ as an acceptable alternative ‘‘Determination of Gaseous Compounds pollutants or their surrogates subject to to EPA Method 3B for the manual by Extractive Direct Interface Fourier emission standards in the rule would procedures only and not the Transform (FTIR) Spectroscopy,’’ as an not be practical due to lack of instrumental procedures. This method acceptable alternative to EPA Method equivalency, documentation, validation determines quantitatively the gaseous 320 of appendix A to 40 CFR part 63 data and other important technical and constituents of exhausts resulting from with caveats requiring inclusion of policy considerations. Additional stationary combustion sources. selected annexes to the standard as information for the VCS search and Additionally, the EPA proposes to use mandatory. We are proposing the test determinations can be found in the the VCS ASTM D6420–18, ‘‘Standard plan preparation and implementation in memorandum, Voluntary Consensus Test Method for Determination of the Annexes to ASTM D6348–12e1, Standard Results for National Emission Gaseous Organic Compounds by Direct Sections Al through A8 are mandatory; Standards for Hazardous Air Pollutants: Interface Gas Chromatography-Mass and in ASTM D6348–12e1, Annex A5 Miscellaneous Coatings Manufacturing,

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which is available in the docket for this for this decision is contained in section 63.4321(e), 63.4341(e), 63.4351(d), action. IV of this preamble and the technical 63.4741(a), 63.4941(a) and (b), The EPA welcomes comments on this report titled Risk and Technology 63.4961(j), and 63.8055(b). aspect of the proposed rulemaking and, Review—Analysis of Demographic * * * * * specifically, invites the public to Factors for Populations Living Near (30) ASTM D2697–03 (Reapproved identify potentially applicable VCS, and Miscellaneous Coating Manufacturing 2014), Standard Test Method for to explain why the EPA should use such Operations, January 2019, which is Volume Nonvolatile Matter in Clear or standards in this regulation. available in the MCM Docket. Pigmented Coatings, IBR approved for K. Executive Order 12898: Federal List of Subjects in 40 CFR Part 63 §§ 63.4141(b), 63.4741(a) and (b), Actions To Address Environmental 63.4941(b),, and 63.8055(b). Environmental protection, Air Justice in Minority Populations and * * * * * pollution control, Hazardous Low-Income Populations (50) ASTM D3960–98, Standard substances, Incorporation by reference, Practice for Determining Volatile The EPA believes that this action does Reporting and recordkeeping Organic Compound (VOC) Content of not have disproportionately high and requirements. adverse human health or environmental Paints and Related Coatings IBR effects on minority populations, low- Dated: August 15, 2019. approved for § 63.8055(b). income populations, and/or indigenous Andrew R. Wheeler, * * * * * peoples, as specified in Executive Order Administrator. (85) ASTM D6348–12e1, Standard 12898 (59 FR 7629, February 16, 1994). For the reasons set forth in the Test Method for Determination of The documentation for this decision preamble, the Environmental Protection Gaseous Compounds by Extractive is contained in sections IV.A and IV.B Agency proposes to amend 40 CFR part Direct Interface Fourier Transform of this preamble and the technical 63 as follows: Infrared (FTIR) Spectroscopy, Approved report titled Risk and Technology February 1, 2012, IBR approved for Review—Analysis of Demographic PART 63—NATIONAL EMISSION §§ 63.1571(a), and 63.8000(d). STANDARDS FOR HAZARDOUS AIR Factors for Populations Living Near * * * * * POLLUTANTS FOR SOURCE Miscellaneous Coating Manufacturing (93) ASTM D6420–18, Standard Test CATEGORIES Operations, January 2019, available in Method for Determination of Gaseous the MCM Docket. ■ Organic Compounds by Direct Interface As discussed in sections IV.A and B 1. The authority citation for part 63 continues to read as follows: Gas Chromatography-Mass of this preamble, we performed a Spectrometry, IBR approved for demographic analysis for the MCM Authority: 42 U.S.C. 7401, et seq. § 63.8000(d). source category, which is an assessment * * * * * of risks to individual demographic Subpart A—[Amended] (k) * * * groups, of the population close to the ■ 2. Section 63.14 is amended by: (1) Method 310, ‘‘Determination of facilities (within 50 km and within 5 ■ a. Adding paragraph (e)(2), Volatile Organic Compounds in km). In this analysis, we evaluated the ■ b. Revising paragraphs (h)(26), and Consumer Products and Reactive distribution of HAP-related cancer risks (30); Organic Compounds in Aerosol Coating and noncancer hazards from the MCM ■ c. Redesignating paragraphs (h)(92) Products,’’ amended August 1, 2014, source category across different social, through (111) as paragraphs (h)(94) IBR approved for § 63.8055(b). demographic, and economic groups through (113) and paragraphs (h)(50) * * * * * within the populations living near through (h)(91) as paragraphs (h)(51) operations identified as having the through (h)(92), respectively; Subpart HHHHH—National Emission highest risks. ■ d. Adding new paragraph (h)(50); Standards for Hazardous Air The results of the MCM source ■ e. Revising newly redesignated Pollutants: Miscellaneous Coating category demographic analysis indicate paragraph (h)(85); Manufacturing that approximately 3,700 people are ■ f. Adding new paragraph (h)(93); exposed to a cancer risk greater than or ■ g. Redesignating paragraphs (k)(1) ■ 3. Section 63.7985 is amended by equal to 1-in-1 million and no one is through (k)(5) as paragraphs (k)(2) revising paragraphs (a)(1) through (3), exposed to a chronic noncancer HI through (k)(6); and paragraph (b) introductory text, greater than 1. For those people with a ■ h. Adding new paragraph (k)(1). paragraphs (b)(1) through (3), and (d)(1) cancer risk greater than or equal to 1-in- The revisions and additions read as through (4) to read as follows: 1 million, the African American and follows: Below Poverty Level demographic § 63.7985 Am I subject to the requirements groups are higher than their respective § 63.14 Incorporations by reference. in this subpart? nationwide percentages. * * * * * (a) * * * We do not expect this proposal to (e) * * * (1) Are located at or are part of a achieve significant reductions in HAP (2) ANSI/ASME PTC 19.10–1981 major source of hazardous air pollutants emissions. The EPA anticipates that this (2010), Flue and Exhaust Gas Analyses (HAP) emissions, as defined in section action does not have disproportionately (Part 10, Instruments and Apparatus), 112(a) of the Clean Air Act (CAA); high and adverse human health or re-issued 2010, IBR approved for (2) Manufacture coatings as defined in environmental effects on minority § 63.8000(d). § 63.8105; populations, low-income populations, * * * * * (3) Process, use, or produce HAP; and and/or indigenous peoples, as specified (h) * * * * * * * * in Executive Order 12898 (59 FR 7629, (26) ASTM D2369–10 (Reapproved (b) Miscellaneous coating February 16, 1994) because it does not 2015)e, Standard Test Method for manufacturing operations include the significantly affect the level of Volatile Content of Coatings, approved facility-wide collection of equipment protection provided to human health or June 1, 2015, IBR approved for described in paragraphs (b)(1) through the environment. The documentation §§ 63.4141(a) and (b), 63.4161(h), (4) of this section that is used to

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manufacture coatings as defined in (b) Except as specified in paragraphs You must meet the requirements § 63.8105. Miscellaneous coating (e) of this section, if you have an specified in §§ 63.8005 through 63.8025 manufacturing operations also include existing affected source on December (or the alternative means of compliance cleaning operations. 11, 2003, then you must comply with in § 63.8050), except as specified in (1) Process vessels; the requirements for existing sources in paragraph (d) of this section. You must (2) Storage tanks for feedstocks and this subpart no later than December 11, meet the notification, reporting, and products; 2006. recordkeeping requirements specified in (3) Components such as pumps, * * * * * §§ 63.8070, 63.8075, and 63.8080. compressors, agitators, pressure relief (e) All affected sources that (2) Beginning no later than the devices, sampling connection systems, commenced construction or compliance dates specified in open-ended valves or lines, valves, reconstruction on or before [DATE OF § 63.7995(e), paragraph (a)(1) of this connectors, and instrumentation PUBLICATION OF THE FINAL RULE section no longer applies. Instead, systems; and IN THE Federal Register], must be in beginning no later than the compliance * * * * * compliance with the requirements listed dates specified in § 63.7995(e), you must (d) * * * in paragraphs (e)(1) through (5) of this be in compliance with the emission (1) Research and development section upon initial startup or [date 3 limits and work practice standards in facilities, as defined in section 112(c)(7) years after date of publication of final Tables 1 through 5 to this subpart at all of the CAA; rule in the Federal Register], whichever times. You must meet the requirements (2) The affiliated operations located at is later. All affected sources that specified in paragraphs (b) and (c) of an affected source under subparts GG commenced construction or this section. You must meet the (National Emission Standards for reconstruction after [DATE OF requirements specified in §§ 63.8005 Aerospace Manufacturing and Rework PUBLICATION OF THE FINAL RULE through 63.8030 (or the alternative Facilities), KK (National Emission IN THE Federal Register], must be in means of compliance in § 63.8050), Standards for the Printing and compliance with the requirements listed except as specified in paragraph (d) of Publishing Industry), JJJJ (NESHAP: in paragraphs (e)(1) through (5) of this this section. You must meet the Paper and Other Web Coating), MMMM section upon initial startup, or [date of notification, reporting, and (National Emission Standards for publication of final rule in the Federal recordkeeping requirements specified in Miscellaneous Metal Parts and Products Register], whichever is later. §§ 63.8070, 63.8075, and 63.8080. Surface Coating Operations) and SSSS (1) The general requirements specified (b) * * * (NESHAP: Surface Coating of Metal in § 63.8000(a)(2), (b)(2), (d)(8), and (f); (2) You must comply with paragraphs Coil) of this part. Affiliated operations and § 63.8005(d)(5) and (h). (b)(2)(i) and (ii) of this section. (i) Except as specified in paragraph include, but are not limited to, mixing (2) The reporting requirements (b)(2)(ii) of this section, opening of a or dissolving of coating ingredients; specified in § 63.8075(e)(5), (e)(6)(ii)(B), safety device, as defined in § 63.8105, is coating mixing for viscosity adjustment, (e)(6)(ii)(D), (e)(6)(iii)(C), and allowed at any time conditions require color tint or additive blending, or pH (e)(6)(iii)(E). adjustment; cleaning of coating lines (3) The recordkeeping requirements it to avoid unsafe conditions. (ii) Beginning no later than the and coating line parts; handling and specified in § 63.8080(c), (e), (f), (h), and compliance dates specified in storage of coatings and solvent; and (i). conveyance and treatment of (4) The definitions specified in § 63.7995(e), paragraph (b)(2)(i) of this wastewater; § 63.8105. section no longer applies. Instead, (3) Ancillary equipment such as (5) The general provisions as specified opening of a safety device, as defined in boilers and incinerators (only those not in Table 10 to subpart HHHHH. § 63.8105, is considered a deviation, as used to comply with the emission limits ■ 5. Section 63.8000 is amended by: defined in § 63.8105, unless it is a in Tables 1 through 5 to this subpart), ■ a. Revising paragraphs (a), (b)(2), bypass of a control for a process vessel chillers and refrigeration systems, and (c)(3), introductory text to paragraph and accounted for as specified in other equipment that is not directly (d)(1), and paragraphs (d)(1)(i) and (iii); § 63.8005(h). involved in the manufacturing of a ■ e. Removing and reserving paragraph (c) * * * coating (i.e., it operates as a closed (d)(2); (3) If you use a halogen reduction system, and materials are not combined ■ f. Revising paragraphs (d)(3),(4)(i)(A), device to reduce hydrogen halide and with materials used to manufacture the (ii)(C), and (iv); and halogen HAP emissions that are coating); ■ h. Adding paragraphs (d)(8), (e), and generated by combusting halogenated (4) Quality assurance/quality control (f). vent streams, you must meet the laboratories; or The revisions and additions read as requirements of § 63.994, except as * * * * * follows: specified in paragraph (f) of this section, ■ 4. Section 63.7995 is amended by and the requirements referenced revising paragraph (a) introductory text § 63.8000 What are my general therein. If you use a halogen reduction requirements for complying with this device before a combustion device, you and paragraph (b), and adding subpart? paragraph (e) to read as follows: must determine the halogen atom (a) You must comply with paragraphs emission rate prior to the combustion § 63.7995 When do I have to comply with (a)(1) and (2) of this section. device according to the procedures in this subpart? (1) Except as specified in paragraph § 63.115(d)(2)(v). * * * * * (a)(2) of this section, you must be in (d) * * * (a) Except as specified in paragraph compliance with the emission limits (1) Requirements for performance (e) of this section, if you have a new and work practice standards in Tables 1 tests. The requirements specified in affected source, you must comply with through 5 to this subpart at all times, paragraphs (d)(1)(i) through (vi) of this this subpart according to the except during periods of startup, section apply instead of or in addition requirements in paragraphs (a)(1) and shutdown, and malfunction. You must to the requirements for performance (2) of this section. meet the requirements specified in testing of control devices as specified in *** paragraphs (b) and (c) of this section. subpart SS of 40 CFR part 63.

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(i) Conduct gas molecular weight ethane; and ASTM D6420–18 may not performance of a noncombustion analysis using Method 3, 3A, or 3B in be used as a total VOC method. device, determine the predominant appendix A to 40 CFR part 60. As an * * * * * organic HAP using either process alternative to EPA Method 3B for the (vi) You must conduct periodic knowledge or the screening procedures manual procedures only and not the performance tests and establish the of Method 18 on the control device inlet instrumental procedures, you may use operating limits required by stream, calibrate the monitor on the ANSI/ASME PTC 19–10–1981 Part §§ 63.8005(e), 63.8010(b)(1), and predominant organic HAP, and report 10(incorporated by reference, see 63,8050(d)(3) within 5 years following the results as C1. Use Method 18, ASTM § 63.14) as an acceptable alternative. the previous performance test. You must D6420–18, or any approved alternative * * * * * conduct the initial or first periodic as the reference method for the relative performance test before [date 3 years accuracy tests, and report the results as (iii) As an alternative to using Method after date of publication of final rule in C1. 18, Method 25/25A, or Method 26/26A the Federal Register], unless you are * * * * * of 40 CFR part 60, appendix A, to already required to complete periodic (iv) The CEMS data must be reduced comply with any of the emission limits performance tests as a requirement of to operating day or operating block specified in Tables 1 through 6 to this renewing your facility’s operating averages computed using valid data, subpart you may use the alternatives permit under 40 CFR part 70, or 40 CFR except monitoring data also are specified in paragraphs (d)(1)(iii)(A) or part 71, and have conducted a sufficient to constitute a valid hour of (B) of this section. performance test on or after [date 2 data if measured values are available for (A) As an alternative to using Method years before date of publication of final at least two of the 15-minute periods 18, Method 25/25A, or Method 26/26A rule in the Federal Register]. Thereafter during an hour when calibration, of 40 CFR part 60, appendix A, you may you must conduct a performance test no quality assurance, or maintenance use Method 320 of 40 CFR part 60, later than 5 years following the previous activities are being performed. An appendix A. When using Method 320, performance test. Operating limits must operating block is a period of time from you must follow the analyte spiking be confirmed or reestablished during the beginning to end of batch operations procedures of section 13 of Method 320, each performance test. in the manufacturing of a coating. unless you demonstrate that the (2) [Reserved] Operating block averages may be used complete spiking procedure has been (3) Periodic verification. For a control only for process vessel data. device with total inlet HAP emissions conducted at a similar source. As an less than 1 ton per year (tpy), you must * * * * * alternative to Method 320 of Appendix establish at least one operating limit for (8) Beginning no later than the A to 40 CFR part 63, you may use ASTM a parameter that you will measure and compliance dates specified in Method D6348–12e1 (incorporated by record at least once per averaging period § 63.7995(e), in lieu of the requirements reference, see § 63.14), with the caveats (i.e., daily or block) to verify that the specified in § 63.8(d)(3), you must keep that the test plan preparation and control device is operating properly. the written quality control program implementation in the Annexes to You may elect to measure the same procedures required by § 63.8(d)(2) on ASTM Method D6348–12el, Sections Al parameter that is required for control record for the life of the affected source through A8 are mandatory; and in devices that control inlet HAP or until the affected source is no longer ASTM Method D6348–12e1 Annex A5 emissions equal to or greater than 1 tpy. subject to the provisions of this part, to (Analyte Spiking Technique), the If the parameter will not be measured be made available for inspection, upon percent (%) R must be determined for continuously, you must request request, by the Administrator. If the each target analyte (Equation A5.5). In approval of your proposed procedure in performance evaluation plan is revised, order for the test data to be acceptable the precompliance report. You must you shall keep previous (i.e., for a compound, %R must be 70% ≥ R superseded) versions of the performance ≤ identify the operating limit or range and 130%. If the %R value does not meet the measurement frequency, and you evaluation plan on record to be made this criterion for a target compound, the must provide rationale to support how available for inspection, upon request, test data is not acceptable for that these measurements demonstrate the by the Administrator, for a period of 5 compound and the test must be repeated control device is operating properly. years after each revision to the plan. The for that analyte (i.e., the sampling and/ (4) * * * program of corrective action should be or analytical procedure should be (i) * * * included in the plan required under adjusted before a retest). The %R value (A) If you wish to use a CEMS other § 63.8(d)(2). for each compound must be reported in than a Fourier Transform Infrared (e) General Duty. Beginning no later the test report, and all field Spectroscopy (FTIR) meeting the than [DATE 180 DAYS AFTER THE measurements must be corrected with requirements of Performance DATE THE FINAL RULE IS PUBLISHED the calculated %R value for that Specification 15 or a hydrogen chloride IN THE Federal Register], at all times, compound by using the following (HCl) CEMS meeting the requirements you must operate and maintain any equation: of Performance Specification 18 and affected source, including associated air Quality Assurance Procedure 6 to pollution control equipment and Reported Results = (Measured measure hydrogen halide and halogen monitoring equipment, in a manner Concentration in the Stack × 100)/% HAP before we promulgate a consistent with safety and good air R. Performance Specification for such pollution control practices for (B) As an alternative to using EPA CEMS, you must prepare a monitoring minimizing emissions. The general duty Method 18, you may also use ASTM plan and submit it for approval in to minimize emissions does not require D6420–18 (incorporated by reference, accordance with the procedures you to make any further efforts to see § 63.14), but only when the target specified in § 63.8. reduce emissions if levels required by compounds are all known and the target * * * * * the applicable standard have been compounds are all listed in ASTM (ii) * * * achieved. Determination of whether a D6420–18 as measurable; ASTM D6420– (C) For CEMS meeting Performance source is operating in compliance with 18 should not be used for methane and Specification 8 used to monitor operation and maintenance

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requirements will be based on from § 63.1026(e)(1)(ii)(A) of subpart conditions during the test and include information available to the UU. in such record an explanation to Administrator which may include, but (21) The phrase ‘‘(except periods of support that such conditions represent is not limited to, monitoring results, startup, shutdown, or malfunction)’’ normal operation. Upon request, the review of operation and maintenance from § 63.1028(e)(1)(i)(A) of subpart UU. owner or operator shall make available procedures, review of operation and (22) The phrase ‘‘(except periods of to the Administrator such records as maintenance records, and inspection of startup, shutdown, or malfunction)’’ may be necessary to determine the the source. from § 63.1031(b)(1) of subpart UU. conditions of performance tests. (f) Beginning no later than the ■ 6. Section 63.8005 is amended by: (e) Establishing operating limits. You compliance dates specified in ■ a. Revising paragraph (a)(2); must establish operating limits under § 63.7995(e), the referenced provisions ■ b. Revising paragraph (d)(1) and the conditions required for your initial specified in paragraphs (f)(1) through adding paragraph (d)(5); compliance demonstration and periodic (22) of this section do not apply when ■ c. Revising paragraph (e) introductory performance tests, except you may elect demonstrating compliance with this text and paragraph (e)(2); to establish operating limit(s) for subpart through referenced provisions ■ d. Revising paragraph (g); and conditions other than those under ■ of subpart SS, subpart UU, and subpart e. Adding paragraph (h) which a performance test was TT of this part. The revisions and addition read as conducted as specified in paragraph (1) § 63.983(a)(5) of subpart SS. follows: (e)(1) of this section and, if applicable, (2) The phrase ‘‘except during periods § 63.8005 What requirements apply to my paragraph (e)(2) of this section. of start-up, shutdown and malfunction process vessels? * * * * * as specified in the referencing subpart’’ (a) * * * (2) If you elect to establish separate in § 63.984(a) of subpart SS. (2) For each control device used to operating limits for different emission (3) The phrase ‘‘except during periods comply with Table 1 to this subpart, you episodes, you must maintain records as of start-up, shutdown and malfunction must comply with subpart SS of this specified in § 63.8080(g) of each point at as specified in the referencing subpart’’ part 63 as specified in § 63.8000(c), which you change from one operating in § 63.985(a) of subpart SS. except as specified in § 63.8000(d) and limit to another, even if the duration of (4) The phrase ‘‘other than start-ups, (f), and paragraphs (b) through (g) of this the monitoring for an operating limit is shutdowns, or malfunctions’’ in section. less than 15 minutes. § 63.994(c)(1)(ii)(D) of subpart SS. (5) § 63.996(c)(2)(ii) of subpart SS. * * * * * * * * * * (6) § 63.997(e)(1)(i) of subpart SS. (d) * * * (g) Flow indicators. If flow to a (7) The term ‘‘breakdowns’’ from (1) To demonstrate initial compliance control device could be intermittent, §§ 63.998(b)(2)(i) of subpart SS. with a percent reduction emission limit you must install, calibrate, and operate (8) § 63.998(b)(2)(iii) of subpart SS. in Table 1 to this subpart, you must a flow indicator at the inlet or outlet of (9) The phrase ‘‘other than periods of conduct the performance test or design the control device to identify periods of startups, shutdowns, and malfunctions’’ evaluation under conditions as specified no flow. Periods of no flow may not be from § 63.998(b)(5)(i)(A) of subpart SS. in § 63.7(e)(1), except as specified in used in daily or block averages. (10) The phrase ‘‘other than periods of paragraph (d)(5) of this section, and (h) On and after the compliance date startups, shutdowns, and malfunctions’’ except that the performance test or specified in § 63.7995(e), when from § 63.998(b)(5)(i)(C) of subpart SS. design evaluation must be conducted determining compliance with the (11) The phrase ‘‘, except as provided under worst-case conditions. Also, the percent emission reduction in paragraphs (b)(6)(i)(A) and (B) of this performance test for a control device requirements in Table 1 to this subpart, section’’ from § 63.998(b)(6)(i) of subpart used to control emissions from process you must account for the time that the SS. vessels must be conducted according to control device was bypassed. You must (12) The second sentence of § 63.1257(b)(8), including the submittal use Equation 1 of this section to § 63.998(b)(6)(ii) of subpart SS. of a site-specific test plan for approval determine the allowable total hours of (13) § 63.998(c)(1)(ii)(D), (E), (F), and prior to testing. The requirements in bypass for each semi-annual compliance (G) of subpart SS. § 63.997(e)(1)(i) and (iii) also do not period. To demonstrate compliance, the (14) § 63.998(d)(1)(ii) of subpart SS. apply for performance tests conducted actual total hours of bypass must not (15) § 63.998(d)(3)(i) and (ii) of to determine compliance with the exceed the allowable total hours of subpart SS. emission limits for process vessels. bypass calculated by Equation 1 of this (16) The phrase ‘‘may be included as section. part of the startup, shutdown, and * * * * * malfunction plan, as required by the (5) Beginning no later than the referencing subpart for the source, or’’ compliance dates specified in § 63.7995(e), § 63.7(e)(1) no longer from § 63.1005(e)(4)(i) of subpart TT. Tbyp = Total allowable source operating time (17) The phrase ‘‘(except periods of applies and performance tests shall be (hours) when the control device for startup, shutdown, or malfunction)’’ conducted under such conditions as the stationary process vessels can be from § 63.1007(e)(1)(ii)(A) of subpart Administrator specifies to the owner or bypassed during the semiannual TT. operator based on representative compliance period for any reason. performance of the affected source for R = Control efficiency of control device, (18) The phrase ‘‘(except during percent, as determined by Equation 6 in periods of startup, shutdown, or the period being tested. Representative § 63.997(e)(2)(iv)(C). malfunction)’’ from § 63.1009(e)(1)(i)(A) conditions exclude periods of startup OCE = The applicable percent emission of subpart TT. and shutdown unless specified by the reduction requirement in Table 1 to this (19) The phrase ‘‘(except during Administrator or an applicable subpart. subpart. periods of startup, shutdown, or The owner or operator may not conduct Top = Total source operating time (hours) for malfunction)’’ from § 63.1012(b)(1) of performance tests during periods of stationary process vessels during the subpart TT. malfunction. The owner or operator semiannual compliance period. (20) The phrase ‘‘(except periods of must record the process information ■ 7. Section 63.8010 is amended by startup, shutdown, or malfunction)’’ that is necessary to document operating revising paragraph (a) to read as follows:

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§ 63.8010 What requirements apply to my Method 311, you may use California Air ■ e. Revising paragraph (e)(6)(iii) storage tanks? Resources Board Method 310, introductory text and paragraphs (a) You must meet each emission limit Determination of Volatile Organic (e)(6)(iii)(C) and (e)(6)(iii)(E); in Table 2 to this subpart that applies to Compounds in Consumer Products and ■ f. Adding paragraph (e)(6)(iii)(L); your storage tanks, and you must meet Reactive Organic Compounds in Aerosol ■ g. Removing and reserving paragraph each applicable requirement specified Coating Products for use with aerosol (e)(8)(ii)(B); and in § 63.8000(b). For each control device cans. ■ h. Adding paragraphs (f) through (k). used to comply with Table 2 to this (2) Method 24 (appendix A to 40 CFR The revisions and additions read as subpart, you must comply with subpart part 60). You may use Method 24 to follows: SS of this part 63 as specified in determine the mass fraction of volatile § 63.8000(c), except as specified in § 63.8075 What reports must I submit and matter and use that value as a substitute when? § 63.8000(d) and (f), and paragraphs (b) for the mass fraction of HAP, or one of through (d) of this section. the alternatives in paragraph (b)(1)(i) * * * * * * * * * * through (iii) of this section. (c) * * * ■ 8. Section 63.8025 is amended by (i) ASTM D2369–10(2015)e, (1) Requests for approval to set revising paragraph (a) to read as follows: (incorporated by reference, see § 63.14); operating limits for parameters other (ii) ASTM D2697–03 (2014) than those specified in §§ 63.8005 § 63.8025 What requirements apply to my through 63.8030, including parameters transfer operations? (incorporated by reference, see § 63.14); or for enhanced biological treatment units. (a) You must comply with each Alternatively, you may make these (iii) ASTM D3960–98 (incorporated emission limit and work practice requests according to § 63.8(f). by reference, see § 63.14). standard in Table 5 to this subpart that * * * * * * * * * * applies to your transfer operations, and (d) Notification of compliance status (4) You may rely on formulation data you must meet all applicable report. You must submit a notification from raw material suppliers if it requirements specified in § 63.8000(b). of compliance status report according to represents each organic HAP that is For each control device used to comply the schedule in paragraph (d)(1) of this present at 0.1 percent by mass or more with Table 5 to this subpart, you must section, and the notification of for the HAP listed in Table 11 to this comply with subpart SS of this part 63 compliance status report must include subpart, and at 1.0 percent by mass or as specified in § 63.8000(c), except as the information specified in paragraph more for other compounds. If the HAP specified in § 63.8000(d) and (f), and (d)(2) of this section. weight percent estimated based on paragraph (b) of this section. (1) You must submit the notification formulation data conflicts with the * * * * * of compliance status report no later than ■ results of a test conducted according to 9. Section 63.8050 is amended by 150 days after the applicable paragraphs (b)(1) through (3) of this adding paragraphs (c)(3)(i) through compliance date specified in § 63.7995. section, then there is a rebuttal (c)(3)(iii) to read as follows: You must submit a separate notification presumption that the test results are of compliance status report after the § 63.8050 How do I comply with emissions accurate unless, after consultation, you applicable compliance date specified in averaging for stationary process vessels at demonstrate to the satisfaction of the existing sources? § 63.7995(e). permitting authority that the test results (2) * * * * * * * * are not accurate and that the (ii) The results of performance tests, (c) * * * formulation data are more appropriate. engineering analyses, design (3) * * * ■ (i) If emissions are routed through a 11. Section 63.8070 is amended by evaluations, flare compliance closed-vent system to a condenser revising paragraph (c) to read as follows: assessments, inspections and repairs, control device, determine controlled § 63.8070 What notifications must I submit and calculations used to demonstrate emissions using the procedures and when? compliance according to §§ 63.8005 specified in § 63.1257(d)(3). * * * * * through 63.8030 and 63.8055. For (ii) If emissions are routed through a (c) Notification of performance test. If performance tests, results must include closed-vent system to any control device you are required to conduct a descriptions of sampling and analysis other than a condenser, determine performance test, you must submit a procedures and quality assurance actual emissions after determining the notification of intent to conduct a procedures. efficiency of the control device using performance test at least 60 calendar * * * * * the procedures in subpart SS of this part days before the performance test is (e) * * * 63 as specified in § 63.8000(c). scheduled to begin as required in (5) For each SSM during which excess (iii) If the vessel is vented to the § 63.7(b)(1). For any performance test emissions occur, the compliance report atmosphere, then actual emissions are required as part of the compliance must include the information specified equal to the uncontrolled emissions procedures for process vessels in Table in paragraphs (e)(5)(i) and (ii) of this estimated in accordance with paragraph 1 to this subpart, you must also submit section. On and after the compliance (c)(1) of this section. the test plan required by § 63.7(c) and date specified in § 63.7995(e), these * * * * * the emission profile with the paragraphs (e)(5), (e)(5)(i), and (e)(5)(ii) ■ 10. Section 63.8055 is amended by notification of the performance test. of this section no longer apply. revising paragraphs (b)(1), (2), and (4) to ■ 12. Section 63.8075 is amended by: * * * * * read as follows: ■ a. Revising paragraph (c)(1); (6) * * * § 63.8055 How do I comply with a weight ■ b. Revising paragraph (d) introductory (ii) * * * percent HAP limit in coating products? text and paragraphs (d)(1) and (d)(2)(ii); (B) Before the compliance date * * * * * ■ c. Revising paragraph (e)(5) specified in § 63.7995(e), information on (b) * * * introductory text and paragraph the number, duration, and cause of (1) Method 311 (appendix A to 40 (e)(6)(ii)(B); deviations (including unknown cause, if CFR part 63). As an alternative to ■ d. Adding paragraph (e)(6)(ii)(D); applicable), as applicable, and the

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corrective action taken. On and after the problems, other known causes, and (3) Confidential business information compliance date specified in other unknown causes. (CBI). If you claim that some of the § 63.7995(e), report the number of * * * * * performance test information being failures to meet an applicable standard. (L) A summary of the total duration of submitted under paragraph (f) of this For each instance, report the date, time CMS data unavailability during the section is CBI, you must submit a and duration of each failure. For each reporting period, and the total duration complete file, including information failure the report must include a list of as a percent of the total source operating claimed to be CBI, to the EPA. The file the affected sources or equipment, an time during that reporting period. must be generated through the use of the estimate of the quantity of each * * * * * EPA’s ERT or an alternate electronic file regulated pollutant emitted over any (f) Performance test report. On and consistent with the XML schema listed emission limit, a description of the after [DATE 181 DAYS AFTER DATE on the EPA’s ERT website. Submit the method used to estimate the emissions, OF PUBLICATION OF FINAL RULE IN file on a compact disc, flash drive, or and the cause of deviations (including THE Federal Register], within 60 days other commonly used electronic storage unknown cause, if applicable), as after the date of completing each medium and clearly mark the medium applicable, and the corrective action performance test required by §§ 63.8000, as CBI. Mail the electronic medium to U.S. EPA/OAPQS/CORE CBI Office, taken. 63.8005, or 63.8010 of this subpart, you Attention: Group Leader, Measurement * * * * * must submit the results of the Policy Group, MD C404–02, 4930 Old performance test following the (D) On and after the compliance date Page Rd., Durham, NC 27703. The same procedures specified in paragraphs (f)(1) specified in § 63.7995(e), report the total file with the CBI omitted must be through (3) of this section. The bypass hours, as monitored according to submitted to the EPA via the EPA’s CDX requirements of this paragraph (f) do not the provisions of § 63.8080(h). as described in paragraph (f) of this affect the schedule for completing section. (iii) For each deviation from an performance tests specified in emission limit or operating limit (g) Performance evaluation report. On §§ 63.8000, 63.8005, and 63.8010. and after [DATE 181 DAYS AFTER occurring at an affected source where (1) Data collected using test methods you are using a CMS to comply with the DATE OF PUBLICATION OF FINAL supported by the EPA’s Electronic RULE IN THE Federal Register], within emission limit in this subpart, you must Reporting Tool (ERT) as listed on the include the information in paragraphs 60 days after the date of completing EPA’s ERT website (https:// each continuous monitoring system (e)(6)(iii)(A) through (L) of this section. www.epa.gov/electronic-reporting-air- This includes periods of SSM. (CMS) performance evaluation (as emissions/electronic-reporting-tool-ert) defined in § 63.2), you must submit the * * * * * at the time of the test. Submit the results results of the performance evaluation (C) Before the compliance date of the performance test to the EPA via following the procedures specified in specified in § 63.7995(e), the date and the Compliance and Emissions Data paragraphs (g)(1) through (3) of this time that each deviation started and Reporting Interface (CEDRI), which can section. stopped, and whether each deviation be accessed through the EPA’s Central (1) Performance evaluations of CMS occurred during a period of startup, Data Exchange (CDX) (https:// measuring relative accuracy test audit shutdown, or malfunction or during cdx.epa.gov/). The data must be (RATA) pollutants that are supported by another period. On and after the submitted in a file format generated the EPA’s ERT as listed on the EPA’s compliance date specified in through the use of the EPA’s ERT. ERT website at the time of the § 63.7995(e), report the number of Alternatively, you may submit an evaluation. Submit the results of the failures to meet an applicable standard. electronic file consistent with the performance evaluation to the EPA via For each instance, report the date, time extensible markup language (XML) CEDRI, which can be accessed through and duration of each failure. For each schema listed on the EPA’s ERT the EPA’s CDX. The data must be failure the report must include a list of website. Submit the results of the submitted in a file format generated the affected sources or equipment, an performance test to the EPA via the through the use of the EPA’s ERT. estimate of the quantity of each Compliance and Emissions Data Alternatively, you may submit an regulated pollutant emitted over any Reporting Interface (CEDRI), which can electronic file consistent with the XML emission limit, a description of the be accessed through the EPA’s Central schema listed on the EPA’s ERT method used to estimate the emissions, Data Exchange (CDX) (https:// website. and the cause of deviations (including cdx.epa.gov/). The data must be (2) Performance evaluations of CMS unknown cause, if applicable), as submitted in a file format generated measuring RATA pollutants that are not applicable, and the corrective action through the use of the EPA’s ERT. supported by the EPA’s ERT as listed on taken. Alternatively, you may submit an the EPA’s ERT website at the time of the electronic file consistent with the evaluation. The results of the * * * * * extensible markup language (XML) performance evaluation must be (E) Before the compliance date schema listed on the EPA’s ERT included as an attachment in the ERT or specified in § 63.7995(e), a breakdown website. an alternate electronic file consistent of the total duration of the deviations (2) Data collected using test methods with the XML schema listed on the during the reporting period into those that are not supported by the EPA’s ERT EPA’s ERT website. Submit the ERT that are due to startup, shutdown, as listed on the EPA’s ERT website at generated package or alternative file to control equipment problems, process the time of the test. The results of the the EPA via CEDRI. problems, other known causes, and performance test must be included as an (3) Confidential business information other unknown causes. On and after the attachment in the ERT or an alternate (CBI). If you claim some of the compliance date specified in electronic file consistent with the XML information submitted under paragraph § 63.7995(e), a breakdown of the total schema listed on the EPA’s ERT (a) of this section is CBI, you must duration of the deviations during the website. Submit the ERT generated submit a complete file, including reporting period into those that are due package or alternative file to the EPA via information claimed to be CBI, to the to control equipment problems, process CEDRI. EPA. The file must be generated through

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the use of the EPA’s ERT or an alternate CORE CBI Office, Attention: Group (1) You may submit a claim if a force electronic file consistent with the XML Leader, Measurement Policy Group, MD majeure event is about to occur, occurs, schema listed on the EPA’s ERT C404–02, 4930 Old Page Rd., Durham, or has occurred or there are lingering website. Submit the file on a compact NC 27703. The same file with the CBI effects from such an event within the disc, flash drive, or other commonly omitted shall be submitted to the EPA period of time beginning five business used electronic storage medium and via the EPA’s CDX as described earlier days prior to the date the submission is clearly mark the medium as CBI. Mail in this paragraph. due. For purposes of this section, a force the electronic medium to U.S. EPA/ (j) Extensions for CDX/CEDRI Outages majeure event is defined as an event OAQPS/CORE CBI Office, Attention: and Force Majeure Events. If you are that will be or has been caused by Group Leader, Measurement Policy required to electronically submit a circumstances beyond the control of the Group, MD C404–02, 4930 Old Page Rd., report through CEDRI in the EPA’s CDX, affected facility, its contractors, or any Durham, NC 27703. The same file with you may assert a claim of EPA system entity controlled by the affected facility the CBI omitted must be submitted to outage for failure to timely comply with that prevents you from complying with the EPA via the EPA’s CDX as described the reporting requirement. To assert a the requirement to submit a report in paragraph (a) of this section. claim of EPA system outage, you must electronically within the time period (h) You must submit to the meet the requirements outlined in prescribed. Examples of such events are Administrator initial compliance paragraphs (j)(1) through (7) of this acts of nature (e.g., hurricanes, reports, notification of compliance section. earthquakes, or floods), acts of war or status reports, and compliance reports (1) You must have been or will be terrorism, or equipment failure or safety of the following information. Beginning precluded from accessing CEDRI and hazard beyond the control of the on and after [DATE 181 DAYS AFTER submitting a required report within the affected facility (e.g., large scale power DATE OF PUBLICATION OF FINAL time prescribed due to an outage of outage). RULE IN THE Federal Register], submit either the EPA’s CEDRI or CDX systems. (2) You must submit notification to all subsequent reports following the (2) The outage must have occurred the Administrator in writing as soon as procedure specified in paragraph (i) of within the period of time beginning five possible following the date you first this section. business days prior to the date that the knew, or through due diligence should (i) If you are required to submit submission is due. have known, that the event may cause reports following the procedure (3) The outage may be planned or or has caused a delay in reporting. specified in this paragraph, you must unplanned/ (3) You must provide to the submit reports to the EPA via CEDRI, (4) You must submit notification to Administrator: which can be accessed through the the Administrator in writing as soon as (i) A written description of the force EPA’s Central Data Exchange (CDX) majeure event; (https://cdx.epa.gov). possible following the date you first knew, or through due diligence should (ii) A rationale for attributing the (1) Compliance reports. The delay in reporting beyond the regulatory requirements of this paragraph (i) do not have known, that the event may cause or caused a delay in reporting. deadline to the force majeure event; affect the schedule for submitting the (iii) Measures taken or to be taken to initial notification or the notification of (5) You must provide to the Administrator a written description minimize the delay in reporting; and compliance status reports. You must use (iv) The date by which you propose to identifying: the appropriate electronic compliance report, or if you have already met the (i) The date(s) and time(s) when CDX report template on the CEDRI website reporting requirement at the time of the or CEDRI was accessed and the system (https://www.epa.gov/electronic- notification, the date you reported. was unavailable; reporting-air-emissions/compliance- (4) The decision to accept the claim and-emissions-data-reporting-interface- (ii) A rationale for attributing the of force majeure and allow an extension cedri) for this subpart. The date report delay in reporting beyond the regulatory to the reporting deadline is solely templates become available will be deadline to EPA system outage; within the discretion of the listed on the CEDRI website. (iii) Measures taken or to be taken to Administrator. (2) Initial notification reports and minimize the delay in reporting; and (5) In any circumstance, the reporting notification of compliance status (iv) The date by which you propose to must occur as soon as possible after the reports. report, or if you have already met the force majeure event occurs. You must upload to CEDRI a PDF file reporting requirement at the time of the ■ 13. Section 63.8080 is amended by: of each initial notification and of each notification, the date you reported. ■ a. Revising the introductory notification of compliance status. (6) The decision to accept the claim paragraph; (3) All reports. The report must be of EPA system outage and allow an ■ b. Revising paragraphs (c), (e), and (f); submitted by the deadline specified in extension to the reporting deadline is and this subpart, regardless of the method in solely within the discretion of the ■ c. Adding paragraphs (h) through (j). which the report is submitted. If you Administrator. The revisions and additions read as claim some of the information required (7) In any circumstance, the report follows: to be submitted via CEDRI is must be submitted electronically as confidential business information (CBI), soon as possible after the outage is § 63.8080 What records must I keep? submit a complete report, including resolved. You must keep the records specified information claimed to be CBI, to the (k) If you are required to in paragraphs (a) through (h) of this EPA. The report must be generated electronically submit a report through section. using the appropriate form on the CEDRI in the EPA’s CDX, you may * * * * * CEDRI website, where applicable. assert a claim of force majeure for (c) Before the compliance date Submit the file on a compact disc, flash failure to timely comply with the specified in § 63.7995(e), a record of drive, or other commonly used reporting requirement. To assert a claim each time a safety device is opened to electronic storage medium and clearly of force majeure, you must meet the avoid unsafe conditions in accordance mark the medium as CBI. Mail the requirements outlined in paragraphs with § 63.8000(b)(2). On and after the electronic medium to U.S. EPA/OAQPS/ (k)(1) through (5) of this section. compliance date specified in

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§ 63.7995(e), the information in this (2) For each failure to meet an (1) Fails to meet any requirement or paragraph (c). applicable standard, record and retain a obligation established by this subpart (1) The source, nature, and cause of list of the affected sources or equipment, including, but not limited to, any the opening. an estimate of the quantity of each emission limit, operating limit, or work (2) The date, time, and duration of the regulated pollutant emitted over any practice standard; opening. emission limit and a description of the (2) Fails to meet any term or condition (3) An estimate of the quantity of total method used to estimate the emissions. HAP emitted during the opening and that is adopted to implement an (j) Any records required to be applicable requirement in this subpart the method used for determining this maintained by this subpart that are quantity. and that is included in the operating submitted electronically via the EPA’s permit for any affected source required * * * * * CEDRI may be maintained in electronic to obtain such a permit; or (e) Before the compliance date format. This ability to maintain specified in § 63.7995(e), for each electronic copies does not affect the (3) Before the compliance date CEMS, you must keep the records of the requirement for facilities to make specified in § 63.7995(e), fails to meet date and time that each deviation records, data, and reports available any emission limit, operating limit, or started and stopped, and whether the upon request to a delegated air agency work practice standard in this subpart deviation occurred during a period of or the EPA as part of an on-site during startup, shutdown, or startup, shutdown, or malfunction or compliance evaluation. malfunction, regardless of whether or during another period. On and after the ■ 14. Section 63.8090 is amended by not such failure is permitted by this compliance date specified in revising paragraph (b) to read as follows: subpart. On and after the compliance § 63.7995(e), for each CEMS, you must date specified in § 63.7995(e), this keep the records of the date and time § 63.8090 What compliance options do I paragraph (3) no longer applies. have if part of my plant is subject to both that each deviation started and stopped, * * * * * and whether the deviation occurred this subpart and another subpart? during a period of startup, shutdown, or * * * * * Process vessel vent means a vent from malfunction or during another period. (b) Compliance with 40 CFR part 60, a process vessel or vents from multiple (f) Before the compliance date subpart Kb. After the compliance dates process vessels that are manifolded specified in § 63.7995(e), in the SSMP specified in § 63.7995, you are in together into a common header, through required by § 63.6(e)(3), you are not compliance with this subpart for any which a HAP-containing gas stream is, required to include Group 2 or non- storage tank that is assigned to or has the potential to be, released to the affected emission points. For equipment miscellaneous coating manufacturing atmosphere. Emission streams that are leaks only, the SSMP requirement is operations and that is both controlled undiluted and uncontrolled containing limited to control devices and is with a floating roof and in compliance less than 50 ppmv HAP, as determined optional for other equipment. On and with the provisions of 40 CFR part 60, through process knowledge that no HAP after the compliance date specified in subpart Kb. You are in compliance with are present in the emission stream or § 63.7995(e), the requirements of this this subpart if you have a storage tank using an engineering assessment as paragraph (f) no longer apply. with a fixed roof, closed-vent system, discussed in § 63.1257(d)(2)(ii), test data * * * * * and control device in compliance with using Method 18 of 40 CFR part 60, (h) On and after the compliance date 40 CFR part 60, subpart Kb, and you are appendix A, or any other test method specified in § 63.7995(e), records of the in compliance with the monitoring, that has been validated according to the total source operating time (hours) for recordkeeping, and reporting procedures in Method 301 of appendix stationary process vessels during the requirements in this subpart. You must A of this part, are not considered semiannual compliance period, and the also identify in your notification of process vessel vents. Flexible elephant source operating time (hours) when the compliance status report required by trunk systems when used with closed control device for stationary process § 63.8075(d) which storage tanks are in vent systems and drawing ambient air vessels was bypassed during the compliance with 40 CFR part 60, (i.e., the system is not ducted, piped, or semiannual compliance period for any subpart Kb. otherwise connected to the unit reason, as used in determining * * * * * operations) away from operators when compliance with the percent emission ■ 15. Section 63.8105 is amended by: vessels are opened are not process reduction requirements in Table 1 to ■ a. In paragraph (g), revising the vessel vents. Process vessel vents do not this subpart, as specified in definitions for ‘‘Deviation’’ and ‘‘Process include vents on storage tanks, § 63.8005(h). vessel vent’’; and wastewater emission sources, or pieces (i) On and after the compliance date ■ b. In paragraph (g), removing the of equipment subject to the specified in § 63.7995(e), for each definition for ‘‘Small control device’’. requirements in Table 3 of this subpart. deviation from an emission limitation The revisions read as follows: A gas stream going to a fuel gas system reported under § 63.8075(e)(5), a record is not a process vessel vent. A gas of the information specified in § 63.8105 What definitions apply to this stream routed to a process for a process paragraphs (i)(1) and (2) of this section, subpart? purpose is not a § 63.8075 vent. as applicable. * * * * * * * * * * (1) In the event that an affected unit (g) * * * fails to meet an applicable standard, Deviation means any instance in ■ 16. Table 1 to Subpart HHHHH of Part record the number of failures. For each which an affected source subject to this 63 is amended by revising row 4 to read failure record the date, time and subpart, or an owner or operator of such as follows: duration of each failure. a source: * * * * *

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TABLE 1 TO SUBPART HHHHH OF PART 63—EMISSION LIMITS AND WORK PRACTICE STANDARDS FOR PROCESS VESSELS *******

For each . . . You must . . . And you must . . .

******* 4. Halogenated vent stream from a process vessel a. Use a halogen reduction device i. Reduce overall emissions of hydrogen halide and subject to the requirements of item 2 or 3 of this after the combustion control de- halogen HAP by ≥95 percent; or table for which you use a combustion control de- vice; or ii. Reduce overall emissions of hydrogen halide and vice to control organic HAP emissions. b. Use a halogen reduction device halogen HAP to ≤0.45 kilogram per hour (kg/hr). before the combustion control Reduce the halogen atom mass emission rate to device. ≤0.45 kg/hr.

■ 17. Table 3 to Subpart HHHHH of Part TABLE 3 TO SUBPART HHHHH OF requirements of this subpart are listed in 63 is revised to read as follows: PART 63—REQUIREMENTS FOR the following table: As required in § 63.8015, you must EQUIPMENT LEAKS—Continued * * * * * meet each requirement in the following ■ 19. Table 9 to Subpart HHHHH of Part table that applies to your equipment For all . . . You must . . . leaks. 63 is amended by adding rows 4 and 5 2. Equipment a. Comply with the require- to read as follows: TABLE 3 TO SUBPART HHHHH OF that is in or- ments of subpart TT of As required in § 63.8075(a) and (b), PART 63—REQUIREMENTS FOR ganic HAP this part, except as speci- you must submit each report that EQUIPMENT LEAKS service at a fied in § 63.8000(f); or applies to you on the schedule shown new source. b. Comply with the require- ments of subpart UU of in the following table: For all . . . You must . . . this part, except as speci- fied in §§ 63.8000(f) and 1. Equipment a. Comply with the require- 63.8015(c) and (d). that is in or- ments in §§ 63.424(a) ganic HAP through (d) and 63.428(e), service at an (f), and (h)(4), except as ■ 18. The title of Table 8 to Subpart existing specified in § 63.8015(b); HHHHH of Part 63 is amended to read source. or as follows: b. Comply with the require- ments of subpart TT of Table 8 to Subpart HHHHH of Part 63— this part, except as speci- Soluble Hazardous Air Pollutants fied in § 63.8000(f); or c. Comply with the require- As specified in § 63.8020, the soluble ments of subpart UU of HAP in wastewater that are subject to this part, except as speci- fied in §§ 63.8000(f) management and treatment and 63.8015(c) and (d).

TABLE 9 TO SUBPART HHHHH OF PART 63—REQUIREMENTS FOR REPORTS

You must submit a . . . The report must contain . . . You must submit the report . . .

******* 4. Performance test report ...... The information specified in Within 60 days after completing each performance test according to § 63.8075(f). the requirements in § 63.8075(f). 5. Performance evaluation report .. The information specified in Within 60 days after completing each continuous monitoring system § 63.8075(g). (CMS) performance evaluation according to the requirements in § 63.8075(g).

■ 20. Table 10 to Subpart HHHHH of Pat As specified in § 63.8095, the parts of 63 is revised to read as follows: the General Provisions that apply to you are shown in the following table:

TABLE 10 TO SUBPART HHHHH OF PART 63—APPLICABILITY OF GENERAL PROVISIONS TO SUBPART HHHHH

Citation Subject Explanation

§ 63.1 ...... Applicability ...... Yes. § 63.2 ...... Definitions ...... Yes. § 63.3 ...... Units and Abbreviations ...... Yes. § 63.4 ...... Prohibited Activities ...... Yes. § 63.5 ...... Construction/Reconstruction ...... Yes. § 63.6(a) ...... Applicability ...... Yes.

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TABLE 10 TO SUBPART HHHHH OF PART 63—APPLICABILITY OF GENERAL PROVISIONS TO SUBPART HHHHH— Continued

Citation Subject Explanation

§ 63.6(b)(1)–(4) ...... Compliance Dates for New and Reconstructed Yes. sources. § 63.6(b)(5) ...... Notification ...... Yes. § 63.6(b)(6) ...... [Reserved] ...... § 63.6(b)(7) ...... Compliance Dates for New and Reconstructed Yes. Area Sources That Become Major. § 63.6(c)(1)–(2) ...... Compliance Dates for Existing Sources ...... Yes. § 63.6(c)(3)–(4) ...... [Reserved] ...... § 63.6(c)(5) ...... Compliance Dates for Existing Area Sources Yes. That Become Major. § 63.6(d) ...... [Reserved] ...... § 63.6(e)(1)(i) ...... General Duty to minimize emissions ...... Yes, before the compliance date specified in § 63.7995(e). No, on and after the compliance date specified in § 63.7995(e). See 63.8000(a) for general duty requirement. § 63.6(e)(1)(ii) ...... Requirement to correct malfunctions as soon Yes, before the compliance date specified in § 63.7995(e). as possible. No, on and after the compliance date specified in § 63.7995(e). § 63.6(e)(1)(iii)–(2) ...... Operation & Maintenance ...... Yes. § 63.6(e)(3) ...... Startup, shutdown, and malfunction plan ...... Yes, before the compliance date specified in § 63.7995(e). No, on and after the compliance date specified in § 63.7995(e). § 63.6(f)(1) ...... Compliance Except During SSM ...... Yes, before the compliance date specified in § 63.7995(e). No, on and after the compliance date specified in § 63.7995(e). § 63.6(f)(2)–(3) ...... Methods for Determining Compliance ...... Yes. § 63.6(g)(1)–(3) ...... Alternative Standard ...... Yes. § 63.6(h)(1) ...... SSM Exemption ...... Yes, before the compliance date specified in § 63.7995(e). No, on and after the compliance date specified in § 63.7995(e). § 63.6(h)(2)–(9) ...... Opacity/Visible Emission (VE) Standards ...... Only for flares for which Method 22 observations are required as part of a flare compliance assessment. § 63.6(i)(1)–(14) ...... Compliance Extension ...... Yes. § 63.6(j) ...... Presidential Compliance Exemption ...... Yes. § 63.7(a)(1)–(2) ...... Performance Test Dates ...... Yes, except substitute 150 days for 180 days. § 63.7(a)(3)–(4) ...... CAA Section 114 Authority, Force Majeure ..... Yes, and these paragraphs also apply to flare compliance as- sessments as specified under § 63.997(b)(2). § 63.7(b)(1) ...... Notification of Performance Test ...... Yes. § 63.7(b)(2) ...... Notification of Rescheduling ...... Yes. § 63.7(c) ...... Quality Assurance/Test Plan ...... Yes, except the test plan must be submitted with the notifica- tion of the performance test if the control device controls process vessels. § 63.7(d) ...... Testing Facilities ...... Yes. § 63.7(e)(1) ...... Conditions for Conducting Performance Tests Yes, before the compliance date specified in § 63.7995(e), except that performance tests for process vessels must be conducted under worst-case conditions as specified in § 63.8005. No, on and after the compliance date specified in § 63.7995(e). See § 63.8005(d). § 63.7(e)(2) ...... Conditions for Conducting Performance Tests Yes. § 63.7(e)(3) ...... Test Run Duration ...... Yes. § 63.7(f) ...... Alternative Test Method ...... Yes. § 63.7(g) ...... Performance Test Data Analysis ...... Yes. § 63.7(h) ...... Waiver of Tests ...... Yes. § 63.8(a)(1) ...... Applicability of Monitoring Requirements ...... Yes. § 63.8(a)(2) ...... Performance Specifications ...... Yes. § 63.8(a)(3) ...... [Reserved] ...... § 63.8(a)(4) ...... Monitoring with Flares ...... Yes. § 63.8(b)(1) ...... Monitoring ...... Yes. § 63.8(b)(2)–(3) ...... Multiple Effluents and Multiple Monitoring Sys- Yes. tems. § 63.8(c)(1) ...... Monitoring System Operation and Mainte- Yes. nance. § 63.8(c)(1)(i) ...... Maintain and operate CMS ...... Yes, before the compliance date specified in § 63.7995(e). No, on and after the compliance date specified in § 63.7995(e). See § 63.8000(a) for the general duty to maintain and operate each CMS. § 63.8(c)(1)(ii) ...... Routine repairs ...... Yes. § 63.8(c)(1)(iii) ...... Requirement to develop SSM plan for CMS ... Yes, before the compliance date specified in § 63.7995(e). No, on and after the compliance date specified in § 63.7995(e). § 63.8(c)(2)–(3) ...... Monitoring System Installation ...... Yes.

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TABLE 10 TO SUBPART HHHHH OF PART 63—APPLICABILITY OF GENERAL PROVISIONS TO SUBPART HHHHH— Continued

Citation Subject Explanation

§ 63.8(c)(4) ...... Requirements ...... Only for CEMS; requirements for CPMS are specified in ref- erenced subpart SS of this part. This subpart does not con- tain requirements for continuous opacity monitoring sys- tems (COMS). § 63.8(c)(4)(i) ...... CMS Requirements ...... No. This subpart does not require COMS. § 63.8(c)(4)(ii) ...... CMS requirements ...... Yes. § 63.8(c)(5) ...... COMS Minimum Procedures ...... No. This subpart does not contain opacity or VE limits. § 63.8(c)(6) ...... CMS Requirements ...... Only for CEMS; requirements for CPMS are specified in ref- erenced subpart SS of this part. § 63.8(c)(7)–(8) ...... CMS Requirements ...... Only for CEMS. Requirements for CPMS are specified in ref- erenced subpart SS of this part. § 63.8(d)(1)–(2) ...... CMS Quality Control ...... Only for CEMS; requirements for CPMS are specified in ref- erenced subpart SS of this part. § 63.8(d)(3) ...... Written procedures for CMS ...... Yes, before the compliance date specified in § 63.7995(e). No, on and after the compliance date specified in § 63.7995(e). See § 63.8000(d)(8). § 63.8(e) ...... CMS Performance Evaluation ...... Section 63.8(e)(6)(ii) does not apply because this subpart does not require COMS. Other sections apply only for CEMS; requirements for CPMS are specified in referenced subpart SS of this part. § 63.8(f)(1)–(5) ...... Alternative Monitoring Method...... Yes, except you may also request approval using the precompliance report. § 63.8(f)(6) ...... Alternative to Relative Accuracy Test ...... Only for CEMS. § 63.8(g)(1)–(4) ...... Data Reduction ...... Only when using CEMS, except § 63.8(g)(2) does not apply because data reduction requirements for CEMS are speci- fied in § 63.8000(d)(4)(iv). The requirements for COMS do not apply because this subpart has no opacity or VE limits. § 63.8(g)(5) ...... Data Reduction ...... No. Requirements for CEMS are specified in § 63.8000(d)(4). Requirements for CPMS are specified in referenced sub- part SS of this part. § 63.9(a) ...... Notification Requirements ...... Yes. § 63.9(b)(1)–(5) ...... Initial Notifications ...... Yes. § 63.9(c) ...... Request for Compliance Extension ...... Yes. § 63.9(d) ...... Notification of Special Compliance Require- Yes. ments for New Source. § 63.9(e) ...... Notification of Performance Test ...... Yes. § 63.9(f) ...... Notification of VE/Opacity Test ...... No. This subpart does not contain opacity or VE limits. § 63.9(g) ...... Additional Notifications When Using CMS ...... Only for CEMS; requirements for CPMS are specified in ref- erenced subpart SS of this part. § 63.9(h)(1)–(6) ...... Notification of Compliance Status ...... Yes, except this subpart has no opacity or VE limits, and § 63.9(h)(2) does not apply because § 63.8075(d) specifies the required contents and due date of the notification of compliance status report. § 63.9(i) ...... Adjustment of Submittal Deadlines ...... Yes. § 63.9(j) ...... Change in Previous Information ...... No, § 63.8075(e)(8) specifies reporting requirements for proc- ess changes. § 63.10(a) ...... Recordkeeping/Reporting ...... Yes. § 63.10(b)(1) ...... Recordkeeping/Reporting ...... Yes. § 63.10(b)(2)(i)–(ii) ...... Records related to SSM ...... No. Before the compliance date specified in § 63.7995(e), see §§ 63.998(d)(3) and 63.998(c)(1)(ii)(D) through (G) for rec- ordkeeping requirements for periods of SSM. On and after the compliance date specified in § 63.7995(e), see § 63.8080(i). § 63.10(b)(2)(iii) ...... Records related to maintenance of air pollu- Yes. tion control equipment. § 63.10(b)(2)(iv)–(v) ...... Records related to SSM ...... Yes, before the compliance date specified in § 63.7995(e). No, on and after the compliance date specified in § 63.7995(e). § 63.10(b)(2)(vi), (x), and (xi) .... CMS Records ...... Only for CEMS; requirements for CPMS are specified in ref- erenced subpart SS of this part. § 63.10(b)(2)(vii)–(ix) ...... Records ...... Yes. § 63.10(b)(2)(xii) ...... Records ...... Yes. § 63.10(b)(2)(xiii) ...... Records ...... Yes. § 63.10(b)(2)(xiv) ...... Records ...... Yes. § 63.10(b)(3) ...... Records ...... Yes. § 63.10(c)(1)–(6),(9)–(14) ...... Records ...... Only for CEMS; requirements for CPMS are specified in ref- erenced subpart SS of this part. § 63.10(c)(7)–(8), (15) ...... Records ...... No. Recordkeeping requirements are specified in § 63.8080. § 63.10(d)(1) ...... General Reporting Requirements ...... Yes. § 63.10(d)(2) ...... Report of Performance Test Results ...... Yes. § 63.10(d)(3) ...... Reporting Opacity or VE Observations ...... No. This subpart does not contain opacity or VE limits.

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TABLE 10 TO SUBPART HHHHH OF PART 63—APPLICABILITY OF GENERAL PROVISIONS TO SUBPART HHHHH— Continued

Citation Subject Explanation

§ 63.10(d)(4) ...... Progress Reports ...... Yes. § 63.10(d)(5)(i) ...... SSM Reports ...... No. Before the compliance date specified in § 63.7995(e), see § 63.8075(e)(5) and (6) for the SSM reporting requirements. On and after the compliance date specified in § 63.7995(e), these requirements no longer apply. § 63.10(d)(5)(ii) ...... Immediate SSM Reports ...... No. § 63.10(e)(1)–(2) ...... Additional CMS Reports ...... Only for CEMS, but § 63.10(e)(2)(ii) does not apply because this subpart does not require COMS. § 63.10(e)(3) ...... Reports ...... No. Reporting requirements are specified in § 63.8075. § 63.10(e)(3)(i)–(iii) ...... Reports ...... No. Reporting requirements are specified in § 63.8075. § 63.10(e)(3)(iv)–(v) ...... Excess Emissions Reports ...... No. Reporting requirements are specified in § 63.8075. § 63.10(e)(3)(vi–viii) ...... Excess Emissions Report and Summary Re- No. Reporting requirements are specified in § 63.8075. port. § 63.10(e)(4) ...... Reporting COMS data ...... No. This subpart does not contain opacity or VE limits. § 63.10(f) ...... Waiver for Recordkeeping/Reporting ...... Yes. § 63.11 ...... Control and work practice requirements ...... Yes. § 63.12 ...... Delegation ...... Yes. § 63.13 ...... Addresses ...... Yes. § 63.14 ...... Incorporation by Reference ...... Yes. § 63.15 ...... Availability of Information ...... Yes.

■ 21. Table 11 to Subpart HHHHH of Part 63 is added to read as follows:

TABLE 11 TO SUBPART HHHHH OF PART 63—LIST OF HAZARDOUS AIR POLLUTANTS THAT MUST BE COUNTED TOWARD TOTAL ORGANIC HAP CONTENT IF PRESENT AT 0.1 PERCENT OR MORE BY MASS

Chemical name CAS No.

1,1,2,2-Tetrachloroethane ...... 79–34–5 1,1,2-Trichloroethane ...... 79–00–5 1,1-Dimethylhydrazine ...... 57–14–7 1,2-Dibromo-3-chloropropane ...... 96–12–8 1,2-Diphenylhydrazine ...... 122–66–7 1,3-Butadiene ...... 106–99–0 1,3-Dichloropropene ...... 542–75–6 1,4-Dioxane ...... 123–91–1 2,4,6-Trichlorophenol ...... 88–06–2 2,4/2,6-Dinitrotoluene (mixture) ...... 25321–14–6 2,4-Dinitrotoluene ...... 121–14–2 2,4-Toluene diamine ...... 95–80–7 2-Nitropropane ...... 79–46–9 3,3′-Dichlorobenzidine ...... 91–94–1 3,3′-Dimethoxybenzidine ...... 119–90–4 3,37′-Dimethylbenzidine ...... 119–93–7 4,4′-Methylene bis(2-chloroaniline) ...... 101–14–4 Acetaldehyde ...... 75–07–0 Acrylamide ...... 79–06–1 Acrylonitrile ...... 107–13–1 Allyl chloride ...... 107–05–1 alpha-Hexachlorocyclohexane (a-HCH) ...... 319–84–6 Aniline ...... 62–53–3 Benzene ...... 71–43–2 Benzidine ...... 92–87–5 Benzotrichloride ...... 98–07–7 Benzyl chloride ...... 100–44–7 beta-Hexachlorocyclohexane (b-HCH) ...... 319–85–7 Bis(2-ethylhexyl)phthalate ...... 117–81–7 Bis(chloromethyl)ether ...... 542–88–1 Bromoform ...... 75–25–2 Captan ...... 133–06–2 Carbon tetrachloride ...... 56–23–5 Chlordane ...... 57–74–9 Chlorobenzilate ...... 510–15–6 Chloroform ...... 67–66–3 Chloroprene ...... 126–99–8 Cresols (mixed) ...... 1319–77–3 DDE ...... 3547–04–4 Dichloroethyl ether ...... 111–44–4

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TABLE 11 TO SUBPART HHHHH OF PART 63—LIST OF HAZARDOUS AIR POLLUTANTS THAT MUST BE COUNTED TOWARD TOTAL ORGANIC HAP CONTENT IF PRESENT AT 0.1 PERCENT OR MORE BY MASS—Continued

Chemical name CAS No.

Dichlorvos ...... 62–73–7 Epichlorohydrin ...... 106–89–8 Ethyl acrylate ...... 140–88–5 Ethylene dibromide ...... 106–93–4 Ethylene dichloride ...... 107–06–2 Ethylene oxide ...... 75–21–8 Ethylene thiourea ...... 96–45–7 Ethylidene dichloride (1,1-Dichloroethane) ...... 75–34–3 Formaldehyde ...... 50–00–0 Heptachlor ...... 76–44–8 Hexachlorobenzene ...... 118–74–1 Hexachlorobutadiene ...... 87–68–3 Hexachloroethane ...... 67–72–1 Hydrazine ...... 302–01–2 Isophorone ...... 78–59–1 Lindane (hexachlorocyclohexane, all isomers) ...... 58–89–9 m-Cresol ...... 108–39–4 Methylene chloride ...... 75–09–2 Naphthalene ...... 91–20–3 Nitrobenzene ...... 98–95–3 Nitrosodimethylamine ...... 62–75–9 o-Cresol ...... 95–48–7 o-Toluidine ...... 95–53–4 Parathion ...... 56–38–2 p-Cresol ...... 106–44–5 p-Dichlorobenzene ...... 106–46–7 Pentachloronitrobenzene ...... 82–68–8 Pentachlorophenol ...... 87–86–5 Propoxur ...... 114–26–1 Propylene dichloride ...... 78–87–5 Propylene oxide ...... 75–56–9 Quinoline ...... 91–22–5 Tetrachloroethene ...... 127–18–4 Toxaphene ...... 8001–35–2 Trichloroethylene ...... 79–01–6 Trifluralin ...... 1582–09–8 Vinyl bromide ...... 593–60–2 Vinyl chloride ...... 75–01–4 Vinylidene chloride ...... 75–35–4

[FR Doc. 2019–18344 Filed 9–3–19; 8:45 am] BILLING CODE 6560–50–P

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Reader Aids Federal Register Vol. 84, No. 171 Wednesday, September 4, 2019

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