Vol. 85 Friday, No. 163 August 21, 2020
Pages 51631–52024
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 85, No. 163
Friday, August 21, 2020
Agriculture Department NOTICES See Food Safety and Inspection Service Change in Status: See Forest Service Extended Benefit Program for Illinois, 51757 See Rural Business-Cooperative Service See Rural Housing Service Energy Department See Rural Utilities Service NOTICES Application to Export Electric Energy: Centers for Medicare & Medicaid Services Manitoba Hydro, 51693 NOTICES Roctop Investments, Inc., 51692 Agency Information Collection Activities; Proposals, Engineers Corps Submissions, and Approvals, 51721–51723 RULES Surface Transportation: Coast Guard Administrative Vehicle Management, 51645–51646 RULES Safety Zone: Environmental Protection Agency Lower Mississippi River, Rosedale, MS, 51648–51650 RULES Special Local Regulation: Air Quality State Implementation Plans; Approvals and Cumberland River, Hendersonville, TN, 51646–51648 Promulgations: NOTICES Massachusetts; Negative Declaration for the Oil and Gas Meetings: Industry, 51666–51668 Merchant Marine Personnel Advisory Committee, 51725– Missouri; Control of Emissions From Production of 51726 Pesticides and Herbicides, 51663–51666 Merchant Mariner Medical Advisory Committee; National Emission Standards for Hazardous Air Pollutants: September 2020 Teleconference, 51726–51727 Plywood and Composite Wood Products Residual Risk and Technology Review, 51668 Commerce Department Pesticide Tolerances: See Economic Development Administration Flupyradifurone, 51668–51672 See International Trade Administration Significant New Use Rules: See National Oceanic and Atmospheric Administration Certain Chemical Substances (20–1.B), 51657–51663 Streamlining Procedures for Permit Appeals, 51650–51657 Committee for Purchase From People Who Are Blind or NOTICES Severely Disabled Environmental Impact Statements; Availability, etc.: NOTICES Weekly Receipt, 51693–51694 Procurement List; Additions and Deletions, 51682–51684 Proposed Consent Decree: Clean Air Act Citizen Suit, 51698–51700 Defense Department Sulfur Dioxide Primary National Ambient Air Quality See Engineers Corps Standard, 2010: Responses to Certain State Designation Drug Enforcement Administration Recommendations, 51694–51698 RULES Implementation of the Agriculture Improvement Act of Federal Aviation Administration 2018, 51639–51645 NOTICES Request To Release Airport Property, 51837 Economic Development Administration Surrendered Supplemental Type Certificates: NOTICES MilSpec Products, Inc. SA03105AT, SA03108AT, Agency Information Collection Activities; Proposals, SA03109AT, SA03066AT, SA03084AT, SA03110AT., Submissions, and Approvals: 51837–51838 Revolving Loan Fund Financial Report, 51677–51678 Waiver of Aeronautical Land Use Assurance: Jim Kelly Field Airport, Lexington, NE, 51836–51837 Education Department NOTICES Federal Communications Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, Formula Grant EASIE Electronic Application System for Submissions, and Approvals, 51700–51713 Indian Education, 51684–51685 Radio Broadcasting Services: Applications for New Awards: AM or FM Proposals To Change the Community of Institutional Resilience and Expanded Postsecondary License, 51700 Opportunity Grants Program, 51685–51692 Federal Emergency Management Agency Employment and Training Administration NOTICES RULES Final Flood Hazard Determinations, 51727–51729, 51735– Trade Adjustment Assistance for Workers, 51896–52024 51737
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Flood Hazard Determinations; Changes, 51729–51734, Federal Housing Administration-Insured Mortgage Loan 51737–51742, 51744–51747 Servicing for Performing Loans; Mortgage Insurance Flood Hazard Determinations; Proposals, 51734–51735, Premium Processing, Escrow Administration, 51742–51744 Customer Service, Servicing Fees and 235 Loans, 51747–51748 Federal Highway Administration Federal Housing Administration-Insured Mortgage Loan NOTICES Servicing of Payments, Prepayments, Terminations, Tribal Technical Assistance Program, 51838–51842 Assumptions, and Transfers, 51750–51751 Indian Housing Block Grant Competitive Program Annual Federal Railroad Administration Performance Report, 51749–51750 NOTICES Petition for Waiver of Compliance, 51842–51843 Interior Department Federal Reserve System See Fish and Wildlife Service NOTICES See Land Management Bureau Agency Information Collection Activities; Proposals, See National Park Service Submissions, and Approvals, 51713–51721 NOTICES Proposals To Engage in or To Acquire Companies Engaged Agency Information Collection Activities; Proposals, in Permissible Nonbanking Activities, 51718 Submissions, and Approvals: Youth Conservation Corps Application and Medical Federal Transit Administration History, 51752–51753 NOTICES Agency Information Collection Activities; Proposals, Internal Revenue Service Submissions, and Approvals, 51843–51844 NOTICES Agency Information Collection Activities; Proposals, Fish and Wildlife Service Submissions, and Approvals, 51848–51849 RULES Migratory Bird Hunting: Final 2020–21 Frameworks for Migratory Bird Hunting International Trade Administration Regulations, 51854–51893 NOTICES NOTICES Antidumping or Countervailing Duty Investigations, Orders, Categorical Exclusion: or Reviews: Receipt of Incidental Take Permit Application and Large Diameter Welded Pipe From the Republic of Korea, Proposed Habitat Conservation Plan for the Alabama 51679–51680 Beach Mouse, Baldwin County, AL, 51751–51752 Welded Carbon Steel Standard Pipe and Tube Products From Turkey, 51680–51681 Food and Drug Administration Meetings: RULES United States Investment Advisory Council, 51681–51682 Revocation of the Test for Mycoplasma, 51635–51639 International Trade Commission Food Safety and Inspection Service NOTICES NOTICES Investigations; Determinations, Modifications, and Rulings, Meetings: etc.: National Advisory Committee on Meat and Poultry Carbon and Certain Alloy Steel Wire Rod From Brazil, Inspection, 51674–51675 Indonesia, Mexico, Moldova, and Trinidad and Forest Service Tobago, 51756 NOTICES Agency Information Collection Activities; Proposals, Justice Department Submissions, and Approvals: See Drug Enforcement Administration Equal Opportunity Compliance Review Record, 51675– See Justice Programs Office 51676 Justice Programs Office Health and Human Services Department See Centers for Medicare & Medicaid Services NOTICES See Food and Drug Administration Meetings: See National Institutes of Health Public Safety Officer Medal of Valor Review Board, 51756–51757 Homeland Security Department See Coast Guard Labor Department See Federal Emergency Management Agency See Employment and Training Administration See U.S. Customs and Border Protection RULES Trade Adjustment Assistance for Workers, 51896–52024 Housing and Urban Development Department NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Application for Use of Public Space by Non-DOL Allocation of Operating Fund Grant Under the Operating Agencies in the Frances Perkins Building, 51757– Fund Formula, 51748–51749 51758
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Land Management Bureau Railroad Retirement Board NOTICES NOTICES Call for Nominations: Agency Information Collection Activities; Proposals, San Rafael Swell Recreation Area Advisory Council, Submissions, and Approvals, 51795–51796 51753–51754 Environmental Impact Statements; Availability, etc.: Rural Business-Cooperative Service Availability of the Record of Decision for the Coastal NOTICES Plain Oil and Gas Leasing Program, AK, 51754 Implementation of Certain Provisions of Consolidated Appropriations Act, 2020 Specific To Persistent National Highway Traffic Safety Administration Poverty Counties, 51676–51677 NOTICES Rural Housing Service Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Implementation of Certain Provisions of Consolidated Driver Interactions With Advanced Driver Assistance Appropriations Act, 2020 Specific To Persistent Technologies, 51844–51848 Poverty Counties, 51676–51677 National Institutes of Health Rural Utilities Service NOTICES NOTICES Meetings: Implementation of Certain Provisions of Consolidated National Institute of Environmental Health Sciences, Appropriations Act, 2020 Specific To Persistent 51723–51724 Poverty Counties, 51676–51677 Strategic Opportunities and Challenges for the National Library of Medicine, 51724–51725 Securities and Exchange Commission NOTICES National Oceanic and Atmospheric Administration Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals, 51825 Fisheries of the Exclusive Economic Zone Off Alaska: Application: Sablefish in the Central Regulatory Area of the Gulf of Owl Rock Capital Corporation II, et al., 51807–51809 Alaska, 51672–51673 Self-Regulatory Organizations; Proposed Rule Changes: Cboe BZX Exchange, Inc., 51825–51828 National Park Service Cboe C2 Exchange, Inc., 51833–51836 NOTICES Cboe EDGX Exchange, Inc., 51796–51799 National Register of Historic Places: Cboe Exchange, Inc., 51811–51815 Pending Nominations and Related Actions, 51754–51756 Investors Exchange, LLC, 51828–51830 MEMX, LLC, 51799–51807 Nuclear Regulatory Commission Nasdaq BX, Inc., 51830–51833 Nasdaq GEMX, LLC, 51809–51811 NOTICES Nasdaq ISE, LLC, 51815–51817 Meetings; Sunshine Act, 51758 Nasdaq MRX, LLC, 51822–51825 Nasdaq PHLX, LLC, 51817–51820 Office of the Special Counsel NYSE Arca, Inc., 51817 NOTICES The Nasdaq Stock Market, LLC, 51820–51822 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Transportation Department Annual Survey, 51758–51759 See Federal Aviation Administration See Federal Highway Administration Pension Benefit Guaranty Corporation See Federal Railroad Administration NOTICES See Federal Transit Administration Agency Information Collection Activities; Proposals, See National Highway Traffic Safety Administration Submissions, and Approvals: Payment of Premiums, 51759–51760 Treasury Department See Internal Revenue Service Postal Regulatory Commission NOTICES NOTICES Agency Information Collection Activities; Proposals, Inbound EMS 2, 51761 Submissions, and Approvals: New Postal Products, 51760–51761 Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery, 51849–51850 Postal Service U S International Development Finance Corporation NOTICES NOTICES Change in Rates and Classes of General Applicability for Agency Information Collection Activities; Proposals, Competitive Products, 51761–51795 Submissions, and Approvals, 51684 Presidential Documents U.S. Customs and Border Protection PROCLAMATIONS RULES Special Observances: Temporary Travel Restrictions Applicable to Land Ports of 19th Amendment Ratification; 100th Anniversary (Proc. Entry and Ferries Service Between the United States 10062), 51631–51632 and Canada, 51634–51635
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Temporary Travel Restrictions Applicable to Land Ports of Part III Entry and Ferries Service Between the United States Labor Department, Employment and Training and Mexico, 51633–51634 Administration, 51896–52024 Labor Department, 51896–52024 Veterans Affairs Department NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals: Reader Aids Application for Reinstatement—Insurance Lapsed More Consult the Reader Aids section at the end of this issue for Than 6 Months and Application for Reinstatement, 51850–51851 phone numbers, online resources, finding aids, and notice Meetings: of recently enacted public laws. Genomic Medicine Program Advisory Committee, 51850 To subscribe to the Federal Register Table of Contents electronic mailing list, go to https://public.govdelivery.com/ accounts/USGPOOFR/subscriber/new, enter your e-mail Separate Parts In This Issue address, then follow the instructions to join, leave, or manage your subscription. Part II Interior Department, Fish and Wildlife Service, 51854– 51893
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
3 CFR Proclamations: 10062...... 51631 19 CFR Ch. I (2 documents)...... 51633, 51634 20 CFR 617...... 51896 618...... 51896 21 CFR 610...... 51635 1308...... 51639 1312...... 51639 29 CFR 90...... 51896 32 CFR 625...... 51645 33 CFR 100...... 51646 165...... 51648 40 CFR 1...... 51650 9...... 51657 49...... 51650 52 (2 documents) ...... 51663, 51666 63...... 51668 71...... 51650 124...... 51650 180...... 51668 721...... 51657 50 CFR 20...... 51854 679...... 51672
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Federal Register Presidential Documents Vol. 85, No. 163
Friday, August 21, 2020
Title 3— Proclamation 10062 of August 18, 2020
The President 100th Anniversary of the Ratification of the Nineteenth Amendment
By the President of the United States of America
A Proclamation On this day in 1920, the 19th Amendment to our Constitution was ratified, securing the right to vote for women and marking a monumental step toward the ‘‘more perfect Union’’ envisioned by our Founders. This milestone in American history was the product of the tireless efforts of suffragists and other advocates for women’s rights, who steadfastly pursued their vision of a more just and equal society. In the early days of our Nation’s fight for independence, future First Lady Abigail Adams penned a letter to her husband, John Adams, urging him to ‘‘remember the ladies’’ as he fought to preserve the fledgling United States. She advised him that ‘‘if particular care and attention is not paid to the ladies, we are determined to foment a rebellion, and will not hold ourselves bound by any laws in which we have no voice or representation.’’ In the decades that followed, bold trailblazers like Susan B. Anthony, Eliza- beth Cady Stanton, Harriet Forten Purvis, and Frances Ellen Watkins Harper carried forward and fought for the fundamental right of women to vote. The road to suffrage was long and challenging, but the faith, fortitude, and resolute determination of those committed to this noble cause brought about a victory that continues to inspire today. As we commemorate this historic event, we also celebrate the incredible economic, political, and social contributions women have made to our Na- tion. As President, I am committed to building on these accomplishments and empowering all women and girls to achieve their fullest potential. As part of this effort, in February of last year, my Administration launched the Women’s Global Development and Prosperity Initiative, the first whole- of-government effort to advance women’s economic empowerment around the globe. My Administration also released our Strategy on Women, Peace, and Security in June of last year to increase the political participation of women at home and abroad, recognizing that women’s participation in conflict resolution and ending violent extremism can set the course toward a more peaceful world. We are also prioritizing the safety and well-being of women and girls through our commitment to combatting sex trafficking and empowering survivors, who are disproportionately women, and through Operation Lady Justice, the Presidential Task Force on Missing and Murdered American Indians and Alaska Natives. My Administration also understands that empowering women means imple- menting an economic agenda that enhances freedom and creates opportunities for women and working families. As part of this effort, the historic 2017 Tax Cuts and Jobs Act doubled the Child Tax Credit, and I signed legislation that provided for the largest ever increase in funding for the Child Care and Development Block Grant, which will help ease the burden of child care borne disproportionately by mothers. Additionally, in December of last year, I signed legislation providing for 12 weeks of paid parental leave for Federal employees. As I have since my first day in office, I continue to call on the Congress to pass a nationwide paid family leave program.
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My Administration’s unprecedented investment in working families is al- ready paying dividends. Women’s unemployment in the United States reached the lowest level in 65 years. And in 2019, women filled 71 percent of all new jobs in the United States. Today, as we celebrate a major step forward for our Nation, we pay tribute to the countless women, known and unknown, throughout our history who struggled for equality. In doing so, we recommit to ensuring our Constitution is faithfully upheld so that all Americans can pursue their dreams and fulfill their God-given potential. NOW, THEREFORE, I, DONALD J. TRUMP, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim August 18, 2020, as a day in celebration of the 100th Anniversary of the Ratification of the 19th Amendment. IN WITNESS WHEREOF, I have hereunto set my hand this eighteenth day of August, in the year of our Lord two thousand twenty, and of the Independ- ence of the United States of America the two hundred and forty-fifth.
[FR Doc. 2020–18536 Filed 8–20–20; 8:45 am] Billing code 3295–F0–P
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Rules and Regulations Federal Register Vol. 85, No. 163
Friday, August 21, 2020
This section of the FEDERAL REGISTER described the developing circumstances travel between the United States and contains regulatory documents having general regarding the COVID–19 pandemic and Mexico poses additional risk of applicability and legal effect, most of which stated that, given the outbreak and transmission and spread of the virus are keyed to and codified in the Code of continued transmission and spread of associated with COVID–19 and places Federal Regulations, which is published under the virus associated with COVID–19 the populace of both nations at 50 titles pursuant to 44 U.S.C. 1510. within the United States and globally, increased risk of contracting the virus The Code of Federal Regulations is sold by the Secretary had determined that the associated with COVID–19. Moreover, the Superintendent of Documents. risk of continued transmission and given the sustained human-to-human spread of the virus associated with transmission of the virus, returning to COVID–19 between the United States previous levels of travel between the DEPARTMENT OF HOMELAND and Mexico posed a ‘‘specific threat to two nations places the personnel SECURITY human life or national interests.’’ The staffing land ports of entry between the Secretary later published a series of United States and Mexico, as well as the U.S. Customs and Border Protection notifications continuing such individuals traveling through these limitations on travel until 11:59 p.m. ports of entry, at increased risk of 19 CFR Chapter I EDT on August 20, 2020.2 exposure to the virus associated with The Secretary has continued to COVID–19. Accordingly, and consistent Notification of Temporary Travel monitor and respond to the COVID–19 with the authority granted in 19 U.S.C. Restrictions Applicable to Land Ports pandemic. As of August 17, there are 1318(b)(1)(C) and (b)(2),7 I have of Entry and Ferries Service Between over 21.2 million confirmed cases determined that land ports of entry the United States and Mexico globally, with over 761,000 confirmed along the U.S.-Mexico border will AGENCY: Office of the Secretary, U.S. deaths.3 There are over 5.3 million continue to suspend normal operations Department of Homeland Security; U.S. confirmed and probable cases within and will only allow processing for entry Customs and Border Protection, U.S. the United States,4 over 121,000 into the United States of those travelers Department of Homeland Security. confirmed cases in Canada,5 and over engaged in ‘‘essential travel,’’ as defined 6 below. Given the definition of ‘‘essential ACTION: Notification of continuation of 511,000 confirmed cases in Mexico. temporary travel restrictions. travel’’ below, this temporary alteration Notice of Action in land ports of entry operations should SUMMARY: This document announces the Given the outbreak and continued not interrupt legitimate trade between decision of the Secretary of Homeland transmission and spread of COVID–19 the two nations or disrupt critical Security (Secretary) to continue to within the United States and globally, supply chains that ensure food, fuel, temporarily limit the travel of the Secretary has determined that the medicine, and other critical materials individuals from Mexico into the United risk of continued transmission and reach individuals on both sides of the States at land ports of entry along the spread of the virus associated with border. United States-Mexico border. Such COVID–19 between the United States For purposes of the temporary travel will be limited to ‘‘essential and Mexico poses an ongoing ‘‘specific alteration in certain designated ports of travel,’’ as further defined in this threat to human life or national document. interests.’’ 7 19 U.S.C. 1318(b)(1)(C) provides that U.S. and Mexican officials have ‘‘[n]otwithstanding any other provision of law, the DATES: These restrictions go into effect mutually determined that non-essential Secretary of the Treasury, when necessary to at 12 a.m. Eastern Daylight Time (EDT) respond to a national emergency declared under the National Emergencies Act (50 U.S.C. 1601 et seq.) on August 21, 2020, and will remain in individuals from Canada into the United States at or to a specific threat to human life or national effect until 11:59 p.m. EDT on land ports of entry along the United States-Canada interests,’’ is authorized to ‘‘[t]ake any . . . action September 21, 2020. border to ‘‘essential travel,’’ as further defined in that may be necessary to respond directly to the that document. 85 FR 16548 (Mar. 24, 2020). national emergency or specific threat.’’ On March FOR FURTHER INFORMATION CONTACT: 2 See 85 FR 44183 (July 22, 2020); 85 FR 37745 1, 2003, certain functions of the Secretary of the Alyce Modesto, Office of Field (June 24, 2020); 85 FR 31057 (May 22, 2020); 85 FR Treasury were transferred to the Secretary of Operations, U.S. Customs and Border 22353 (Apr. 22, 2020). DHS also published parallel Homeland Security. See 6 U.S.C. 202(2), 203(1). Protection (CBP) at 202–344–3788. notifications of the Secretary’s decisions to Under 6 U.S.C. 212(a)(1), authorities ‘‘related to continue temporarily limiting the travel of Customs revenue functions’’ were reserved to the SUPPLEMENTARY INFORMATION: individuals from Canada into the United States at Secretary of the Treasury. To the extent that any land ports of entry along the United States-Canada authority under section 1318(b)(1) was reserved to Background border to ‘‘essential travel.’’ See 85 FR 44185 (July the Secretary of the Treasury, it has been delegated to the Secretary of Homeland Security. See Treas. On March 24, 2020, DHS published 22, 2020); 85 FR 37744 (June 24, 2020); 85 FR 31050 (May 22, 2020); 85 FR 22352 (Apr. 22, 2020). Dep’t Order No. 100–16 (May 15, 2003), 68 FR 28322 (May 23, 2003). Additionally, 19 U.S.C. notice of the Secretary’s decision to 3 WHO, Coronavirus disease 2019 (COVID–19) 1318(b)(2) provides that ‘‘[n]otwithstanding any temporarily limit the travel of Situation Report—209 (Aug. 16, 2020), available at other provision of law, the Commissioner of U.S. https://www.who.int/docs/default-source/ individuals from Mexico into the United Customs and Border Protection, when necessary to coronaviruse/situation-reports/20200816-covid-19- States at land ports of entry along the respond to a specific threat to human life or sitrep-209.pdf?sfvrsn=5dde1ca2_2. national interests, is authorized to close temporarily United States-Mexico border to 4 CDC, Cases of COVID–19 in the U.S. (last any Customs office or port of entry or take any other ‘‘essential travel,’’ as further defined in updated Aug. 17, 2020), available at https:// 1 lesser action that may be necessary to respond to that document. The document www.cdc.gov/coronavirus/2019-ncov/cases- the specific threat.’’ Congress has vested in the updates/cases-in-us.html. Secretary of Homeland Security the ‘‘functions of 1 85 FR 16547 (Mar. 24, 2020). That same day, 5 WHO, Coronavirus disease 2019 (COVID–19) all officers, employees, and organizational units of DHS also published notice of the Secretary’s Situation Report—209 (Aug. 16, 2020). the Department,’’ including the Commissioner of decision to temporarily limit the travel of 6 Id. CBP. 6 U.S.C. 112(a)(3).
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entry operations authorized under 19 constitute ‘‘essential travel’’ under this temporarily limit the travel of U.S.C. 1318(b)(1)(C) and (b)(2), travel Notification. Further, the CBP individuals from Canada into the United through the land ports of entry and ferry Commissioner may, on an States at land ports of entry along the terminals along the United States- individualized basis and for United States-Canada border to Mexico border shall be limited to humanitarian reasons or for other ‘‘essential travel,’’ as further defined in ‘‘essential travel,’’ which includes, but purposes in the national interest, permit that document.1 The document is not limited to— the processing of travelers to the United described the developing circumstances • U.S. citizens and lawful permanent States not engaged in ‘‘essential travel.’’ regarding the COVID–19 pandemic and residents returning to the United States; The Acting Secretary of Homeland stated that, given the outbreak and • Individuals traveling for medical Security, Chad F. Wolf, having reviewed continued transmission and spread of purposes (e.g., to receive medical and approved this document, is the virus associated with COVID–19 treatment in the United States); delegating the authority to electronically within the United States and globally, • Individuals traveling to attend sign this document to Chad R. Mizelle, the Secretary had determined that the educational institutions; who is the Senior Official Performing risk of continued transmission and • Individuals traveling to work in the the Duties of the General Counsel for spread of the virus associated with United States (e.g., individuals working DHS, for purposes of publication in the COVID–19 between the United States in the farming or agriculture industry Federal Register. and Canada posed a ‘‘specific threat to who must travel between the United human life or national interests.’’ The States and Mexico in furtherance of Chad R. Mizelle, Secretary later published a series of such work); Senior Official Performing the Duties of the notifications continuing such • Individuals traveling for emergency General Counsel, U.S. Department of limitations on travel until 11:59 p.m. response and public health purposes Homeland Security. EDT on August 20, 2020.2 (e.g., government officials or emergency [FR Doc. 2020–18468 Filed 8–19–20; 4:15 pm] The Secretary has continued to responders entering the United States to BILLING CODE 9112–FP–P monitor and respond to the COVID–19 support federal, state, local, tribal, or pandemic. As of August 17, there are territorial government efforts to respond over 21.2 million confirmed cases to COVID–19 or other emergencies); DEPARTMENT OF HOMELAND globally, with over 761,000 confirmed • Individuals engaged in lawful cross- SECURITY deaths.3 There are over 5.3 million border trade (e.g., truck drivers confirmed and probable cases within U.S. Customs and Border Protection supporting the movement of cargo the United States,4 over 121,000 between the United States and Mexico); confirmed cases in Canada,5 and over • Individuals engaged in official 19 CFR Chapter I 511,000 confirmed cases in Mexico.6 government travel or diplomatic travel; Notification of Temporary Travel • Members of the U.S. Armed Forces, Notice of Action Restrictions Applicable to Land Ports and the spouses and children of Given the outbreak and continued of Entry and Ferries Service Between members of the U.S. Armed Forces, transmission and spread of COVID–19 the United States and Canada returning to the United States; and within the United States and globally, • Individuals engaged in military- AGENCY: Office of the Secretary, U.S. the Secretary has determined that the related travel or operations. Department of Homeland Security; U.S. risk of continued transmission and The following travel does not fall Customs and Border Protection, U.S. spread of the virus associated with within the definition of ‘‘essential Department of Homeland Security. COVID–19 between the United States travel’’ for purposes of this and Canada poses an ongoing ‘‘specific ACTION: Notification of continuation of threat to human life or national Notification— temporary travel restrictions. • Individuals traveling for tourism interests.’’ purposes (e.g., sightseeing, recreation, SUMMARY: This document announces the gambling, or attending cultural events). decision of the Secretary of Homeland 1 85 FR 16548 (Mar. 24, 2020). That same day, At this time, this Notification does not Security (Secretary) to continue to DHS also published notice of the Secretary’s apply to air, freight rail, or sea travel decision to temporarily limit the travel of temporarily limit the travel of individuals from Mexico into the United States at between the United States and Mexico, individuals from Canada into the United land ports of entry along the United States-Mexico but does apply to passenger rail, States at land ports of entry along the border to ‘‘essential travel,’’ as further defined in passenger ferry travel, and pleasure boat United States-Canada border. Such that document. 85 FR 16547 (Mar. 24, 2020). travel between the United States and 2 See 85 FR 44185 (July 22, 2020); 85 FR 37744 travel will be limited to ‘‘essential (June 24, 2020); 85 FR 31050 (May 22, 2020); 85 FR Mexico. These restrictions are travel,’’ as further defined in this 22352 (Apr. 22, 2020). DHS also published parallel temporary in nature and shall remain in document. notifications of the Secretary’s decisions to effect until 11:59 p.m. EDT on continue temporarily limiting the travel of September 21, 2020. This Notification DATES: These restrictions go into effect individuals from Mexico into the United States at may be amended or rescinded prior to at 12 a.m. Eastern Daylight Time (EDT) land ports of entry along the United States-Mexico on August 21, 2020, and will remain in border to ‘‘essential travel.’’ See 85 FR 44183 (July that time, based on circumstances 22, 2020); 85 FR 37745 (June 24, 2020); 85 FR 31057 associated with the specific threat. effect until 11:59 p.m. EDT on (May 22, 2020); 85 FR 22353 (Apr. 22, 2020). The Commissioner of U.S. Customs September 21, 2020. 3 WHO, Coronavirus disease 2019 (COVID–19) and Border Protection (CBP) is hereby FOR FURTHER INFORMATION CONTACT: Situation Report—209 (Aug. 16, 2020), available at https://www.who.int/docs/default-source/ directed to prepare and distribute Alyce Modesto, Office of Field coronaviruse/situation-reports/20200816-covid-19- appropriate guidance to CBP personnel Operations, U.S. Customs and Border sitrep-209.pdf?sfvrsn=5dde1ca2_2. on the continued implementation of the Protection (CBP) at 202–344–3788. 4 CDC, Cases of COVID–19 in the U.S. (last temporary measures set forth in this SUPPLEMENTARY INFORMATION: updated Aug. 17, 2020), available at https:// Notification. The CBP Commissioner www.cdc.gov/coronavirus/2019-ncov/cases- Background updates/cases-in-us.html. may determine that other forms of 5 WHO, Coronavirus disease 2019 (COVID–19) travel, such as travel in furtherance of On March 24, 2020, DHS published Situation Report—209 (Aug. 16, 2020). economic stability or social order, notice of the Secretary’s decision to 6 Id.
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U.S. and Canadian officials have Canada border shall be limited to humanitarian reasons or for other mutually determined that non-essential ‘‘essential travel,’’ which includes, but purposes in the national interest, permit travel between the United States and is not limited to— the processing of travelers to the United Canada poses additional risk of • U.S. citizens and lawful permanent States not engaged in ‘‘essential travel.’’ transmission and spread of the virus residents returning to the United States; The Acting Secretary of Homeland associated with COVID–19 and places • Individuals traveling for medical Security, Chad F. Wolf, having reviewed the populace of both nations at purposes (e.g., to receive medical and approved this document, is increased risk of contracting the virus treatment in the United States); delegating the authority to electronically associated with COVID–19. Moreover, • Individuals traveling to attend sign this document to Chad R. Mizelle, given the sustained human-to-human educational institutions; who is the Senior Official Performing • transmission of the virus, returning to Individuals traveling to work in the the Duties of the General Counsel for previous levels of travel between the United States (e.g., individuals working DHS, for purposes of publication in the two nations places the personnel in the farming or agriculture industry Federal Register. staffing land ports of entry between the who must travel between the United United States and Canada, as well as the States and Canada in furtherance of Chad R. Mizelle, individuals traveling through these such work); Senior Official Performing the Duties of the ports of entry, at increased risk of • Individuals traveling for emergency General Counsel, U.S. Department of exposure to the virus associated with response and public health purposes Homeland Security. COVID–19. Accordingly, and consistent (e.g., government officials or emergency [FR Doc. 2020–18470 Filed 8–19–20; 4:15 pm] with the authority granted in 19 U.S.C. responders entering the United States to BILLING CODE 9112–FP–P 1318(b)(1)(C) and (b)(2),7 I have support federal, state, local, tribal, or determined that land ports of entry territorial government efforts to respond along the U.S.-Canada border will to COVID–19 or other emergencies); DEPARTMENT OF HEALTH AND continue to suspend normal operations • Individuals engaged in lawful cross- HUMAN SERVICES and will only allow processing for entry border trade (e.g., truck drivers into the United States of those travelers supporting the movement of cargo Food and Drug Administration engaged in ‘‘essential travel,’’ as defined between the United States and Canada); below. Given the definition of ‘‘essential • Individuals engaged in official 21 CFR Part 610 government travel or diplomatic travel; travel’’ below, this temporary alteration [Docket No. FDA–2018–N–4757] in land ports of entry operations should • Members of the U.S. Armed Forces, not interrupt legitimate trade between and the spouses and children of RIN 0910–AH95 the two nations or disrupt critical members of the U.S. Armed Forces, supply chains that ensure food, fuel, returning to the United States; and Revocation of the Test for Mycoplasma • medicine, and other critical materials Individuals engaged in military- related travel or operations. AGENCY: Food and Drug Administration, reach individuals on both sides of the HHS. border. The following travel does not fall For purposes of the temporary within the definition of ‘‘essential ACTION: Final rule. alteration in certain designated ports of travel’’ for purposes of this SUMMARY: The Food and Drug entry operations authorized under 19 Notification— • Administration (FDA, the Agency, or U.S.C. 1318(b)(1)(C) and (b)(2), travel Individuals traveling for tourism we) is issuing a final rule to remove the through the land ports of entry and ferry purposes (e.g., sightseeing, recreation, specified test for the presence of terminals along the United States- gambling, or attending cultural events). At this time, this Notification does not Mycoplasma for live virus vaccines and inactivated virus vaccines produced 7 19 U.S.C. 1318(b)(1)(C) provides that apply to air, freight rail, or sea travel ‘‘[n]otwithstanding any other provision of law, the between the United States and Canada, from in vitro living cell cultures. The Secretary of the Treasury, when necessary to but does apply to passenger rail, rule is being finalized because the respond to a national emergency declared under the passenger ferry travel, and pleasure boat existing test for Mycoplasma is overly National Emergencies Act (50 U.S.C. 1601 et seq.) restrictive in that it identifies only one or to a specific threat to human life or national travel between the United States and interests,’’ is authorized to ‘‘[t]ake any . . . action Canada. These restrictions are test method in detail to be used even that may be necessary to respond directly to the temporary in nature and shall remain in though other methods also may be national emergency or specific threat.’’ On March appropriate. More sensitive and specific 1, 2003, certain functions of the Secretary of the effect until 11:59 p.m. EDT on Treasury were transferred to the Secretary of September 21, 2020. This Notification methods exist and are currently being Homeland Security. See 6 U.S.C. 202(2), 203(1). may be amended or rescinded prior to practiced, and removal of the specific Under 6 U.S.C. 212(a)(1), authorities ‘‘related to that time, based on circumstances method to test for Mycoplasma provides Customs revenue functions’’ were reserved to the flexibility for accommodating new and Secretary of the Treasury. To the extent that any associated with the specific threat. authority under section 1318(b)(1) was reserved to The Commissioner of U.S. Customs evolving technology and capabilities the Secretary of the Treasury, it has been delegated and Border Protection (CBP) is hereby without diminishing public health to the Secretary of Homeland Security. See Treas. directed to prepare and distribute protections. This action is part of FDA’s Dep’t Order No. 100–16 (May 15, 2003), 68 FR appropriate guidance to CBP personnel implementation of Executive Orders 28322 (May 23, 2003). Additionally, 19 U.S.C. 1318(b)(2) provides that ‘‘[n]otwithstanding any on the continued implementation of the under which FDA is comprehensively other provision of law, the Commissioner of U.S. temporary measures set forth in this reviewing existing regulations to Customs and Border Protection, when necessary to Notification. The CBP Commissioner identify opportunities for repeal, respond to a specific threat to human life or may determine that other forms of replacement, or modification that will national interests, is authorized to close temporarily any Customs office or port of entry or take any other travel, such as travel in furtherance of result in meaningful burden reduction, lesser action that may be necessary to respond to economic stability or social order, while allowing the Agency to achieve the specific threat.’’ Congress has vested in the constitute ‘‘essential travel’’ under this our public health mission and fulfill Secretary of Homeland Security the ‘‘functions of Notification. Further, the CBP statutory obligations. all officers, employees, and organizational units of the Department,’’ including the Commissioner of Commissioner may, on an DATES: This rule is effective September CBP. 6 U.S.C. 112(a)(3). individualized basis and for 21, 2020.
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ADDRESSES: For access to the docket to for Mycoplasma testing of samples of regulation allows manufacturers of live read background documents or the virus harvest pool and control fluid virus vaccines produced from in vitro comments received, go to https:// pool of live virus vaccines and living cell cultures and inactivated virus www.regulations.gov and insert the inactivated virus vaccines produced vaccines produced from such living cell docket number found in brackets in the from in vitro living cell cultures. cultures to select the most scientifically appropriate Mycoplasma testing method heading of this final rule into the C. Legal Authority ‘‘Search’’ box and follow the prompts, to assure the safety, purity, and potency and/or go to the Dockets Management FDA is taking this action under the of their vaccines. Staff, 5630 Fishers Lane, Rm. 1061, biological products provisions of the These newer technologies can result Rockville, MD 20852. Public Health Service Act (the PHS Act), in higher sensitivity and specificity of FOR FURTHER INFORMATION CONTACT: and the drugs and general Mycoplasma detection and could reduce Tami Belouin, Center for Biologics administrative provisions of the Federal the time required to complete testing for Evaluation and Research, Food and Food, Drug, and Cosmetic Act (FD&C Mycoplasma. Removal of this regulation Drug Administration, 10903 New Act). does not remove Mycoplasma testing Hampshire Ave., Bldg. 71, Rm. 7301, D. Costs and Benefits requirements specified in individual BLAs. A manufacturer of a live virus Silver Spring, MD 20993–0002, 240– Because this final rule will not 402–7911. vaccine produced from in vitro living impose any additional regulatory cell cultures and inactivated virus SUPPLEMENTARY INFORMATION: burdens, this regulation is not vaccines produced from such living cell Table of Contents anticipated to result in any compliance cultures will continue to be required to costs and the economic impact is follow the Mycoplasma test I. Executive Summary expected to be minimal. A. Purpose of the Final Rule requirements specified in its BLA, B. Summary of the Major Provisions of the II. Background unless the BLA was revised to modify Final Rule or replace the test through a supplement C. Legal Authority A. Introduction in accordance with § 601.12(c) (21 CFR D. Costs and Benefits On February 24, 2017, Executive 601.12(c)). FDA would review proposed II. Background Order 13777, ‘‘Enforcing the Regulatory changes to a manufacturer’s approved A. Introduction Reform Agenda’’ (https:// biologics license in the context of that B. Need for the Regulation C. Summary of Comments to the Proposed www.federalregister.gov/documents/ particular application to ensure that any Rule 2017/03/01/2017-04107/enforcing-the- such action is appropriate. III. Legal Authority regulatory-reform-agenda; 82 FR 12285, Although the final rule removes the IV. Comments on the Proposed Rule and FDA March 1, 2017) was issued. One of the regulation, a manufacturer continues to Response provisions in the Executive Order be required to test for Mycoplasma as A. Introduction requires Agencies to evaluate existing specified in its BLA. This action B. Comments and FDA Response regulations and make recommendations provides regulated industry with V. Effective Date to the Agency head regarding their flexibility, as appropriate, to employ VI. Economic Analysis of Impacts A. Introduction repeal, replacement, or modification, advances in science and technology as B. Summary of Costs and Benefits consistent with applicable law. As part they become available, without VII. Analysis of Environmental Impact of this initiative, FDA is revoking a diminishing public health protections. VIII. Paperwork Reduction Act of 1995 regulation as specified in this final rule. As appropriate, the Agency will IX. Federalism describe the appropriate tests for B. Need for the Regulation X. Consultation and Coordination With particular products in manufacturers’ Indian Tribal Governments It has become increasingly clear that BLAs. XI. References the requirement specifying a test for C. Summary of Comments to the I. Executive Summary Mycoplasma is too restrictive for live virus vaccines and inactivated virus Proposed Rule A. Purpose of the Final Rule vaccines produced from in vitro living We received comments on the FDA is removing the regulation cell cultures because they specify proposed rule from individuals and requiring a specified test for the particular methodologies when industry submitters. The comments presence of Mycoplasma for live virus alternatives may be available that were generally supportive, with some vaccines produced from in vitro living provide the same or greater level of comments suggesting new testing cell cultures and inactivated virus assurance of safety. Modifications to procedures be proposed. These vaccines produced from such living cell Mycoplasma testing described in comments are further summarized in cultures because the regulation is overly § 610.30 must meet the requirements of section IV. restrictive in that it identifies only one 21 CFR 610.9. III. Legal Authority test method in detail to be used even Thus, the Agency believes that the though other methods also may be regulation may no longer reflect the We are issuing this final rule under appropriate. More sensitive and specific current testing procedures as a general the biological products provisions of the methods exist and are currently being matter and that it is more appropriate, PHS Act (42 U.S.C. 216, 262, 263, 263a, practiced, and removal of the required flexible, and efficient to identify and 264) and the drugs and general test for Mycoplasma provides flexibility appropriate testing requirements for administrative provisions of the FD&C for accommodating new and evolving particular products in the biologics Act (21 U.S.C. 321, 331, 351, 352, 353, technology and capabilities without license application (BLA). 355, 360, 360c, 360d, 360h, 360i, 371, diminishing public health protections. This final rule removes the specified 372, 374, and 381). Under these test for the presence of Mycoplasma to provisions of the PHS Act and the FD&C B. Summary of the Major Provisions of provide flexibility for accommodating Act, we have the authority to issue and the Final Rule new and evolving technology and enforce regulations designed to ensure The final rule removes § 610.30 (21 capabilities without diminishing public that biological products are safe, pure, CFR 610.30), which details the method health protections. Removal of this and potent, and prevent the
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introduction, transmission, and spread Cell Substrates and Other Biological V. Effective Date of communicable disease. Materials Used in the Production of The final rule will become effective Viral Vaccines for Infectious Disease IV. Comments on the Proposed Rule 30 days after the date of publication in Indications’’ (February 2010) (https:// and FDA Response the Federal Register. www.fda.gov/media/78428/download). A. Introduction (Comment 2) One comment supported VI. Economic Analysis of Impacts We received comments on the the proposed rule. A. Introduction proposed rule from individuals and (Response 2) We acknowledge and We have examined the impacts of the industry submitters. We describe and appreciate the supportive comment. respond to the comments in section final rule under Executive Order 12866, IV.B. We have combined comments on (Comment 3) One comment did not Executive Order 13563, Executive Order similar topics and have numbered each comment specifically on finalizing the 13771, the Regulatory Flexibility Act (5 comment to help distinguish between rule, but stated that with changes to U.S.C. 601–612), and the Unfunded different comments. The number technology, it makes sense to update Mandates Reform Act of 1995 (Pub. L. assigned to each comment or comment testing procedures. The comment stated 104–4). Executive Orders 12866 and topic is purely for organizational that ‘‘a list of the new proposed test 13563 direct us to assess all costs and purposes and does not signify the methods would be beneficial to compare benefits of available regulatory comment’s value or importance or the the overall benefits and disadvantages.’’ alternatives and, when regulation is order in which comments were Another comment suggested that if the necessary, to select regulatory received. rule is finalized, FDA should provide approaches that maximize net benefits guidance for alternative methods of (including potential economic, B. Comments and FDA Response testing for Mycoplasma. environmental, public health and safety, (Comment 1) One comment requested (Response 3) While the comment and other advantages; distributive that FDA not finalize the rule, but states that it would be helpful to have impacts; and equity). Executive Order instead amend the proposal to revoke a list of new proposed test methods, 13771 requires that the costs associated the current test for Mycoplasma. The FDA does not believe the regulation with significant new regulations ‘‘shall, commenter proposed that FDA include should be amended to include such a to the extent permitted by law, be offset methodologies on newer tests and how list because that list could become by the elimination of existing costs they are distinguishable from the outdated. License holders are welcome associated with at least two prior present test; comparable data on the to discuss with FDA proposals to regulations.’’ We believe that this final accuracy of Mycoplasma detection change their existing test methods and rule is not a significant regulatory action between the present and newer tests, to submit proposals to FDA to revise the as defined by Executive Order 12866. and any other additional information current test methods in use. The Regulatory Flexibility Act requires us to analyze regulatory options that would support FDA’s argument that FDA also acknowledges that guidance that would minimize any significant the newer tests are more efficient. is helpful to describe FDA’s current impact of a rule on small entities. (Response 1) FDA interprets this thinking on acceptable alternative Because this rule would increase comment to support the proposal to methods of testing for Mycoplasma in flexibility and does not add any new remove the currently described manufacturing samples of live virus regulatory responsibilities, we certify methodology and to amend the vaccines and inactivated virus vaccines that the final rule will not have a regulation to specify alternative produced from in vitro living cell significant economic impact on a acceptable tests. The purpose of this cultures. FDA notes that recommended substantial number of small entities. rulemaking is to permit manufacturers alternative methods for Mycoplasma of live virus vaccines produced from in testing for viral vaccines are described The Unfunded Mandates Reform Act vitro living cell cultures and inactivated in ‘‘Guidance for Industry: of 1995 (section 202(a)) requires us to virus vaccines produced from such Characterization and Qualification of prepare a written statement, which living cell cultures to select the most Cell Substrates and Other Biological includes an assessment of anticipated scientifically appropriate Mycoplasma Materials Used in the Production of costs and benefits, before issuing ‘‘any testing method to assure the safety, Viral Vaccines for Infectious Disease rule that includes any Federal mandate purity, and potency of their vaccines. Indications’’ (February 2010) (https:// that may result in the expenditure by Thus, FDA declines to amend the www.fda.gov/media/78428/download). State, local, and tribal governments, in regulation to specify alternative the aggregate, or by the private sector, of acceptable tests because this would not (Comment 4) One comment strongly $100,000,000 or more (adjusted achieve the goal of allowing flexibility, supported removal of the regulation and annually for inflation) in any one year.’’ as appropriate, to employ advances in agreed that more sensitive test methods The current threshold after adjustment science and technology as they become exist; however, the commenter wanted for inflation is $154 million, using the available without diminishing public the scope of the impact to be expanded most current (2018) Implicit Price health protections. However, FDA to include all biological product Deflator for the Gross Domestic Product. acknowledges that guidance is helpful manufacturers. This final rule would not result in an to describe FDA’s current thinking on (Response 4) We acknowledge and expenditure in any year that meets or alternative methods of testing for appreciate the supportive comment. The exceeds this amount. Mycoplasma in manufacturing samples request to expand the revocation to B. Summary of Costs and Benefits of live virus vaccines and inactivated include all biological product virus vaccines produced from in vitro manufacturers is beyond the scope of This final rule will amend the living cell cultures. FDA notes that this rule making because § 610.30 biologics regulations under § 610.30 by recommended alternative methods for pertains to manufacturers of live virus removing the specified test for Mycoplasma testing for viral vaccines vaccines and inactivated virus vaccines Mycoplasma in the production of live are described in ‘‘Guidance for Industry: produced from in vitro living cell virus vaccines produced from in vitro Characterization and Qualification of cultures. living cell cultures and inactivated virus
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vaccines produced from such living cell produced from in vitro living cell therefore expect the elimination of the cultures. cultures. In practice, a vaccine § 610.30 Test for Mycoplasma to be cost Removing the § 610.30 Test for manufacturer can change its procedures neutral. This final rule will therefore Mycoplasma will provide manufacturers at any time with submission and prior produce no quantifiable savings, costs, with the flexibility to determine the approval of a supplement to its BLA. As or transfers. We also expect no public most appropriate and effective a result, we do not expect the repeal of health benefits to be lost as a result of Mycoplasma testing methods. FDA the § 610.30 Test for Mycoplasma to this revocation. Finally, we note that guidance dated after § 610.30, codified significantly influence the behavior or this final rulemaking may drive some in 1973 (November 20, 1973, 38 FR procedures of vaccine manufacturers. manufacturers to streamline their 32056), outlines up-to-date scientific Because manufacturers already have procedures and search for more efficient practices to identify Mycoplasma in the ability to pursue alternative testing Mycoplasma testing methods. This production of live virus vaccines procedures, we anticipate no optimization may produce some produced from in vitro living cell measurable change in industry or FDA cultures and inactivated virus vaccines behavior from this final rulemaking. We unquantifiable efficiencies.
TABLE 1—SUMMARY OF BENEFITS, COSTS AND DISTRIBUTIONAL EFFECTS OF FINAL RULE
Units Category Primary Low High Discount Notes estimate estimate estimate Year dollars rate Period (%) covered
Benefits: Annualized ...... 7 Monetized $millions/year ...... 3 Annualized ...... 7 Quantified ...... 3
Qualitative ...... Benefits to manufacturers from flexibility ...... to determine appropriate and effective Mycoplasma testing methods.
Costs: Annualized ...... 7 Monetized $millions/year ...... 3 Annualized ...... 7 Quantified ...... 3
Qualitative ...... Costs to manufacturers to change ...... Mycoplasma testing methods, if voluntarily pursued.
Transfers: Federal ...... 7 Annualized ...... 3 Monetized $millions/year ......
From/To ...... From: To:
Other ...... 7 Annualized ...... 3 Monetized $millions/year ......
From/To ...... From: To:
Effects: State, Local or Tribal Government: None. Small Business: None. Wages: None. Growth: None.
In line with Executive Order 13771, in time horizon. There are no quantifiable deregulatory action under Executive table 2 we present annualized values of costs or cost savings from this rule. This Order 13771. costs and cost savings over an infinite final rule would be considered a
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TABLE 2—EXECUTIVE ORDER 13771 SUMMARY TABLE [in $ Millions 2016 Dollars, Over an Infinite Time Horizon]
Primary Lower Upper Item estimate estimate estimate (7%) (7%) (7%)
Present Value of Costs ...... Present Value of Cost Savings ...... Present Value of Net Costs ...... Annualized Costs ...... Annualized Cost Savings ...... Annualized Net Costs ......
We have developed a comprehensive or on the distribution of power and Dated: July 29, 2020. Economic Analysis of Impacts that responsibilities between the Federal Stephen M. Hahn, assesses the impacts of the final rule. Government and Indian Tribes. Commissioner of Food and Drugs. The full analysis of economic impacts is Accordingly, we conclude that the rule [FR Doc. 2020–17085 Filed 8–20–20; 8:45 am] available in the docket for this final rule does not contain policies that have BILLING CODE 4164–01–P (Ref. 1) and at https://www.fda.gov/ tribal implications as defined in the about-fda/reports/economic-impact- Executive Order and, consequently, a analyses-fda-regulations. tribal summary impact statement is not DEPARTMENT OF JUSTICE required. VII. Analysis of Environmental Impact Drug Enforcement Administration We have determined under 21 CFR XI. Reference 25.31(h) that this action is of a type that The following reference is on display 21 CFR Parts 1308 and 1312 does not individually or cumulatively at the Dockets Management Staff (see [Docket No. DEA–500] have a significant effect on the human ADDRESSES) and is available for viewing environment. Therefore, neither an by interested persons between 9 a.m. RIN 1117–AB53 environmental assessment nor an and 4 p.m. Monday through Friday; it is environmental impact statement is Implementation of the Agriculture also available electronically at https:// Improvement Act of 2018 required. www.regulations.gov. FDA has verified VIII. Paperwork Reduction Act of 1995 the website address, as of the date this AGENCY: Drug Enforcement document publishes in the Federal Administration (DEA), Department of This final rule contains no collection Register, but websites are subject to Justice. of information. Therefore, clearance by change over time. the Office of Management and Budget ACTION: Interim final rule with request under the Paperwork Reduction Act of 1. FDA/Economics Staff, ‘‘Elimination of the for comments. 1995 is not required. 21 CFR 610.30 Test for Mycoplasma Preliminary Regulatory Impact Analysis, SUMMARY: The purpose of this interim IX. Federalism Preliminary Regulatory Flexibility final rule is to codify in the Drug Enforcement Administration (DEA) We have analyzed this final rule in Analysis, Unfunded Mandates Reform regulations the statutory amendments to accordance with the principles set forth Act Analysis,’’ 2018. (Available at https://www.fda.gov/about-fda/reports/ the Controlled Substances Act (CSA) in Executive Order 13132. We have economic-impact-analyses-fda- made by the Agriculture Improvement determined that the rule does not regulations.) Act of 2018 (AIA), regarding the scope contain policies that have substantial of regulatory controls over marihuana, direct effects on the States, on the List of Subjects in 21 CFR part 610 tetrahydrocannabinols, and other relationship between the National Biologics, Labeling, Reporting and marihuana-related constituents. This Government and the States, or on the recordkeeping requirements. interim final rule merely conforms distribution of power and DEA’s regulations to the statutory responsibilities among the various Therefore, under the Federal Food, amendments to the CSA that have levels of government. Accordingly, we Drug, and Cosmetic Act and under already taken effect, and it does not add conclude that the rule does not contain authority delegated to the Commissioner additional requirements to the policies that have federalism of Food and Drugs, 21 CFR part 610 is regulations. implications as defined in the Executive amended as follows: Order and, consequently, a federalism DATES: Effective August 21, 2020. PART 610—GENERAL BIOLOGICAL Electronic comments must be summary impact statement is not PRODUCTS STANDARDS required. submitted, and written comments must ■ be postmarked, on or before October 20, X. Consultation and Coordination With 1. The authority citation for part 610 2020. Commenters should be aware that Indian Tribal Governments continues to read as follows: the electronic Federal Docket We have analyzed this rule in Authority: 21 U.S.C. 321, 331, 351, 352, Management System will not accept accordance with the principles set forth 353, 355, 360, 360c, 360d, 360h, 360i, 371, comments after 11:59 p.m. Eastern Time in Executive Order 13175. We have 372, 374, 381; 42 U.S.C. 216, 262, 263, 263a, on the last day of the comment period. 264. determined that the rule does not ADDRESSES: To ensure proper handling contain policies that have substantial Subpart D—[Removed and Reserved] of comments, please reference ‘‘RIN direct effects on one or more Indian 1117–AB53/Docket No. DEA–500’’ on Tribes, on the relationship between the ■ 2. Remove and reserve subpart D, all correspondence, including any Federal Government and Indian Tribes, consisting of § 610.30. attachments.
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• Electronic comments: The Drug If you want to submit confidential pentyl-1,3-benzenediol) derived from Enforcement Administration encourages business information as part of your cannabis and no more than 0.1% (w/w) that all comments be submitted comment, but do not want it to be made residual tetrahydrocannabinols.’’ electronically through the Federal publicly available, you must include the • It also removes the import and eRulemaking Portal, which provides the phrase ‘‘CONFIDENTIAL BUSINESS export controls described in 21 CFR ability to type short comments directly INFORMATION’’ in the first paragraph 1312.30(b) over those same substances. into the comment field on the web page of your comment. You must also • It modifies 21 CFR 1308.11(d)(58) or attach a file for lengthier comments. prominently identify the confidential by stating that the definition of Please go to http://www.regulations.gov business information to be redacted ‘‘Marihuana Extract’’ is limited to and follow the online instructions at within the comment. extracts ‘‘containing greater than 0.3 that site for submitting comments. Upon Comments containing personal percent delta-9-tetrahydrocannabinol on completion of your submission, you will identifying information and confidential a dry weight basis.’’ receive a Comment Tracking Number for business information identified as This interim final rule merely your comment. Please be aware that directed above will generally be made conforms DEA’s regulations to the submitted comments are not publicly available in redacted form. If a statutory amendments to the CSA that instantaneously available for public comment has so much confidential have already taken effect, and it does view on http://www.regulations.gov. If business information or personal not add additional requirements to the you have received a Comment Tracking identifying information that it cannot be regulations. Accordingly, there are no Number, your comment has been effectively redacted, all or part of that additional costs resulting from these successfully submitted, and there is no comment may not be made publicly regulatory changes. However, as need to resubmit the same comment. available. Comments posted to http:// discussed below, the changes reflected • Paper comments: Paper comments www.regulations.gov may include any in this interim final rule are expected to that duplicate the electronic submission personal identifying information (such result in annual cost savings for affected are not necessary and are discouraged. as name, address, and phone number) entities. Should you wish to mail a paper included in the text of your electronic comment in lieu of an electronic submission that is not identified as Changes to the Definition of Marihuana comment, it should be sent via regular directed above as confidential. The AIA amended the CSA’s or express mail to: Drug Enforcement An electronic copy of this document regulatory controls over marihuana by Administration, Attn: DEA Federal and the complete Economic Impact amending its definition under the CSA. Register Representative/DPW, Diversion Analysis, to this interim final rule are Prior to the AIA, marihuana was defined Control Division; Mailing Address: 8701 available in their entirety under the tab in 21 U.S.C. 802(16) as follows: Morrissette Drive, Springfield, VA ‘‘Supporting Documents’’ of the public docket of this action at http:// The term ‘‘marihuana’’ means all parts of 22152. the plant Cannabis sativa L., whether www.regulations.gov under FDMS FOR FURTHER INFORMATION CONTACT: growing or not; the seeds thereof; the resin Docket ID: DEA–500 (RIN 1117–AB53/ extracted from any part of such plant; and Scott A. Brinks, Diversion Control Docket Number DEA–500) for easy Division, Drug Enforcement every compound, manufacture, salt, reference. derivative, mixture, or preparation of such Administration; Mailing Address: 8701 plant, its seeds or resin. Such term does not Morrissette Drive, Springfield, Virginia Executive Summary include the mature stalks of such plant, fiber 22152; Telephone: (202) 598–2596. The Agriculture Improvement Act of produced from such stalks, oil or cake made SUPPLEMENTARY INFORMATION: 2018, Public Law 115–334 (the AIA), from the seeds of such plant, any other compound, manufacture, salt, derivative, Posting of Public Comments was signed into law on December 20, 2018. It provided a new statutory mixture, or preparation of such mature stalks Please note that all comments definition of ‘‘hemp’’ and amended the (except the resin extracted therefrom), fiber, received are considered part of the oil, or cake, or the sterilized seed of such definition of marihuana under 21 U.S.C. plant which is incapable of germination. public record. They will, unless 802(16) and the listing of reasonable cause is given, be made tetrahydrocannabinols under 21 U.S.C. The AIA modified the foregoing available by the Drug Enforcement 812(c). The AIA thereby amends the definition by adding that the ‘‘term Administration (DEA) for public regulatory controls over marihuana, ‘marihuana’ does not include hemp, as inspection online at http:// tetrahydrocannabinols, and other defined in section 1639o of Title 7.’’ 21 www.regulations.gov. Such information marihuana-related constituents in the U.S.C. 802(16)(B). Furthermore, the AIA includes personal identifying Controlled Substances Act (CSA). added a definition of ‘‘hemp’’ to 7 information (such as your name, This rulemaking makes four U.S.C. 1639o, which reads as follows: address, etc.) voluntarily submitted by conforming changes to DEA’s existing The term ‘hemp’ means the plant Cannabis the commenter. The Freedom of regulations: sativa L. and any part of that plant, including Information Act (FOIA) applies to all • It modifies 21 CFR 1308.11(d)(31) the seeds thereof and all derivatives, extracts, comments received. If you want to by adding language stating that the cannabinoids, isomers, acids, salts, and salts submit personal identifying information definition of ‘‘Tetrahydrocannabinols’’ of isomers, whether growing or not, with a (such as your name, address, etc.) as does not include ‘‘any material, delta-9 tetrahydrocannabinol concentration part of your comment, but do not want compound, mixture, or preparation that of not more than 0.3 percent on a dry weight it to be made publicly available, you falls within the definition of hemp set basis. must include the phrase ‘‘PERSONAL forth in 7 U.S.C. 1639o.’’ Taken together, these two changes IDENTIFYING INFORMATION’’ in the • It removes from control in schedule made by the AIA limit the definition of first paragraph of your comment. You V under 21 CFR 1308.15(f) a ‘‘drug marihuana to only include cannabis or must also place all of the personal product in finished dosage formulation cannabis-derived material that contain identifying information you do not want that has been approved by the U.S. Food more than 0.3% delta-9- made publicly available in the first and Drug Administration that contains tetrahydrocannabinol (also known as D9- paragraph of your comment and identify cannabidiol (2-[1R-3-methyl-6R-(1- THC) on a dry weight basis. Thus, to fall what information you want redacted. methylethenyl)-2-cyclohexen-1-yl]-5- within the current CSA definition of
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marihuana, cannabis and cannabis- Finally, nothing in the AIA or in these the definition of hemp set forth in 7 derived material must both fall within implementing regulations affects or U.S.C. 1639o.’’ the pre-AIA CSA definition of alters the requirements of the Food, Removal of Schedule V Control of FDA- marihuana and contain more than 0.3 Drug, & Cosmetic Act (FD&C Act). See Approved Products Containing percent D9-THC on a dry weight basis. 7 U.S.C. 1639r(c). Hemp products that Cannabidiol Pursuant to the AIA, unless specifically fall within the jurisdiction of the FD&C controlled elsewhere under the CSA, Act must comply with its requirements. Previously DEA, pursuant to 21 CFR any material previously controlled FDA has recently issued a statement 1308.15, separately controlled in under Controlled Substance Code regarding the agency’s regulation of Schedule V drug products in finished Number 7360 (marihuana) or under products containing cannabis and dosage formulations that have been Controlled Substance Code Number cannabis-derived compounds, and DEA approved by FDA and that contain 7350 (marihuana extract), that contains refers interested parties to that cannabidiol (CBD) derived from 0.3% or less of D9-THC on a dry weight statement, which can be found at cannabis and no more than 0.1 percent basis—i.e., ‘‘hemp’’ as that term defined https://www.fda.gov/newsevents/ (w/w) residual tetrahydrocannabinols under the AIA—is not controlled. Newsroom/PressAnnouncements/ (under Controlled Substance Code Conversely, any such material that ucm628988.htm. Number 7367). The FDA-approved contains greater than 0.3% of D9-THC on Changes to the Definition of substances described under Drug Code a dry weight basis remains controlled in Tetrahydrocannabinols 7367 are no longer controlled, by virtue schedule I. of the AIA. As a result, DEA is removing In order to meet the AIA’s definition The AIA also modified the listing for the listing for ‘‘Approved cannabidiol of hemp, and thus qualify for the tetrahydrocannabinols under 21 U.S.C. drugs’’ under schedule V in 21 CFR exception in the definition of 812(c) by stating that the term 1308.15. marihuana, a cannabis-derived product tetrahydrocannabinols does not include Note that CBD in a mixture with a D9- must itself contain 0.3% or less D9-THC tetrahydrocannabinols in hemp. THC concentration greater than 0.3% by on a dry weight basis. It is not enough Specifically, 21 U.S.C. 812(c) Schedule dry weight is not exempted from the that a product is labeled or advertised I now lists as schedule I controlled definition of ‘‘marihuana’’ or as ‘‘hemp.’’ The U.S. Food and Drug substances: ‘‘Tetrahydrocannabinols, ‘‘tetrahydrocannabinols.’’ Accordingly, Administration (FDA) has recently except for tetrahydrocannabinols in all such mixtures exceeding the 0.3% found that many cannabis-derived hemp (as defined under section 1639o limit remain controlled substances products do not contain the levels of of Title 7).’’ under schedule I. cannabinoids that they claim to contain Therefore, the AIA limits the control on their labels.1 Cannabis-derived of tetrahydrocannabinols (for Controlled Removal of Import/Export Provisions products that exceed the 0.3% D9-THC Substance Code Number 7370). For Involving FDA-Approved Products limit do not meet the statutory tetrahydrocannabinols that are naturally Containing CBD definition of ‘‘hemp’’ and are schedule occurring constituents of the plant Previously DEA, pursuant to 21 CFR I controlled substances, regardless of material, Cannabis sativa L., any 1312.30, required import and export claims made to the contrary in the material that contains 0.3% or less of 9 permits pursuant to 21 U.S.C. 811(d)(1), labeling or advertising of the products. D -THC by dry weight is not controlled, In addition, the definition of hemp unless specifically controlled elsewhere 952(b)(2), and 953(e)(3) for the import does not automatically exempt any under the CSA. Conversely, for and export of drug products in finished product derived from a hemp plant, tetrahydrocannabinols that are naturally dosage formulations that have been regardless of the D9-THC content of the occurring constituents of Cannabis approved by FDA and that contain CBD derivative. In order to meet the sativa L., any such material that derived from cannabis and no more than definition of ‘‘hemp,’’ and thus qualify contains greater than 0.3% of D9-THC by 0.1 percent (w/w) residual for the exemption from schedule I, the dry weight remains a controlled tetrahydrocannabinols. Because such derivative must not exceed the 0.3% D9- substance in schedule I. substances are no longer controlled THC limit. The definition of The AIA does not impact the control substances, DEA is likewise removing ‘‘marihuana’’ continues to state that ‘‘all status of synthetically derived the import and export permit parts of the plant Cannabis sativa L.,’’ tetrahydrocannabinols (for Controlled requirement for these substances. The and ‘‘every compound, manufacture, Substance Code Number 7370) because regulation is revised to delete salt, derivative, mixture, or preparation the statutory definition of ‘‘hemp’’ is § 1312.30(b). limited to materials that are derived of such plant,’’ are schedule I controlled Drug Code 7350 for Marihuana Extract substances unless they meet the from the plant Cannabis sativa L. For definition of ‘‘hemp’’ (by falling below synthetically derived The current control status of the 0.3% D9-THC limit on a dry weight tetrahydrocannabinols, the marihuana-derived constituents 9 9 basis) or are from exempt parts of the concentration of D -THC is not a depends upon the concentration of D - plant (such as mature stalks or non- determining factor in whether the THC in the constituent. DEA is germinating seeds). See 21 U.S.C. material is a controlled substance. All amending the scope of substances 802(16) (emphasis added). As a result, a synthetically derived falling within the Controlled Substances cannabis derivative, extract, or product tetrahydrocannabinols remain schedule Code Number for marihuana extract that exceeds the 0.3% D9-THC limit is a I controlled substances. (7350) to conform to the amended This rulemaking is modifying 21 CFR schedule I controlled substance, even if definition of marihuana in the AIA. As 1308.11(d)(31) to reflect this statutory the plant from which it was derived amended, the Drug Code 7350 definition change. By this rulemaking, 21 CFR contained 0.3% or less D9-THC on a dry reads: 1308.11(d)(31) is being modified via the weight basis. Marihuana Extract—meaning an extract addition of subsection (ii), which reads: containing one or more cannabinoids that has 1 See FDA, Warning Letters and Test Results for ‘‘Tetrahydrocannabinols does not been derived from any plant of the genus Cannabidiol-Related Products, https://www.fda.gov/ include any material, compound, Cannabis, containing greater than 0.3 percent NewsEvents/PublicHealthFocus/ucm484109.htm. mixture, or preparation that falls within delta-9-tetrahydrocannabinol on a dry weight
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basis, other than the separated resin (whether unnecessary in this instance because As explained above, DEA is obligated crude or purified) obtained from the plant. these regulations merely implement to issue this interim final rule to revise 21 CFR 1308.11(d)(58). The drug code statutory changes over which the agency its regulations so that they are 7350 became effective on January 13, has no discretion, DEA is soliciting consistent with the provisions of the 2017. 81 FR 90194. public comment on this rule following CSA that were amended by the AIA. In its publication. For that reason, DEA is issuing this interim final rule, DEA has Regulatory Analysis publishing this rule as an interim final not gone beyond the statutory text Administrative Procedure Act rule and is establishing a docket to enacted by Congress. Thus, DEA would receive public comment on this rule. To An agency may find good cause to have to issue this interim final rule the extent required by law, DEA will exempt a rule from certain provisions of regardless of the outcome of the consider and respond to any relevant agency’s regulatory analysis. the Administrative Procedure Act (APA) comments received. (5 U.S.C. 553), including those requiring Nonetheless, DEA conducted this the publication of a prior notice of Executive Orders 12866 (Regulatory analysis as discussed below. proposed rulemaking and the pre- Planning and Review), 13563 Summary of Benefits and Costs promulgation opportunity for public (Improving Regulation and Regulatory This analysis is limited to the comment, if such actions are Review), and 13771 (Reducing provisions of the AIA that are being determined to be unnecessary, Regulation and Controlling Regulatory directly implemented by this DEA impracticable, or contrary to the public Cost) interim final rule. DEA has reviewed interest. This interim final rule was developed these regulatory changes and their DEA finds there is good cause within in accordance with the principles of expected costs and benefits. Benefits, in the meaning of the APA to issue these Executive Orders (E.O.) 12866, 13563, the form of cost savings realized by DEA amendments as an interim final rule and and 13771. E.O. 12866 directs agencies registrants handling previously to delay comment procedures to the to assess all costs and benefits of controlled substances, will be generated post-publication period, because these available regulatory alternatives and, if as a direct result of the publication of amendments merely conform the regulation is necessary, to select this interim final rule. DEA does not implementing regulations to recent regulatory approaches that maximize expect there to be any costs associated amendments to the CSA that have net benefits (including potential with the promulgation of this interim already taken effect. DEA has no economic, environmental, public health, final rule. The following is a summary; discretion with respect to these and safety effects; distributive impacts; a detailed economic analysis of the amendments. This rule does no more and equity). E.O. 13563 is supplemental interim final rule can be found in the than incorporate the statutory to and reaffirms the principles, rulemaking docket at http:// amendments into DEA’s regulations, structures, and definitions governing www.regulations.gov. and publishing a notice of proposed regulatory review as established in E.O. The AIA’s revised definitions of rulemaking or soliciting public 12866. E.O. 12866 classifies a marihuana and tetrahydrocannabinols comment prior to publication is ‘‘significant regulatory action,’’ effectively decontrol hemp as defined unnecessary. See 5 U.S.C. 553(b)(B) requiring review by the Office of under the AIA. DEA’s regulatory (relating to notice and comment Management and Budget (OMB), as any authority over any plant with less than procedures). ‘‘[W]hen regulations regulatory action that is likely to result 0.3% THC content on a dry weight merely restate the statute they in a rule that may: (1) Have an annual basis, and any of the plant’s derivatives implement, notice-and-comment effect on the economy of $100 million under the 0.3% THC content limit, is procedures are unnecessary.’’ Gray or more or adversely affect in a material removed as a result. It is important to Panthers Advocacy Committee v. way the economy, a sector of the note, however, that this does not mean Sullivan, 936 F.2d 1284, 1291 (D.C. Cir. economy, productivity, competition, that hemp is not under federal 1991); see also United States v. Cain, jobs, the environment, public health or regulatory oversight. The AIA directs 583 F.3d 408, 420 (6th Cir. 2009) safety, or State, local, or tribal the U.S. Department of Agriculture (contrasting legislative rules, which governments or communities; (2) create (USDA) to review and approve require notice-and-comment a serious inconsistency or otherwise commercial hemp production plans procedures, ‘‘with regulations that interfere with an action taken or developed by State, territory, and Indian merely restate or interpret statutory planned by another agency; (3) tribal agencies and to develop its own obligations,’’ which do not); Komjathy v. materially alter the budgetary impact of production plan. 7 U.S.C. 1639p, 1639q. Nat. Trans. Safety Bd., 832 F.2d 1294, entitlements, grants, user fees, or loan Until these regulations are finalized, 1296 (D.C. Cir. 1987) (when a rule ‘‘does programs or the rights and obligations of State commercial hemp pilot programs no more than repeat, virtually verbatim, recipients thereof; or (4) raise novel authorized under the 2014 Farm Bill are the statutory grant of authority’’ notice- legal or policy issues arising out of legal still in effect and current participants and-comment procedures are not mandates, the President’s priorities, or the principles set forth in the E.O. may proceed with plans to grow hemp required). 2 In addition, because the statutory The economic, interagency, while new regulations are drafted. DEA changes at issue have already been in budgetary, legal, and policy expects the USDA to assess the costs effect since December 20, 2018, DEA implications of this interim final rule and benefits of this new regulatory finds good cause exists to make this rule have been examined and it has been apparatus once those rules are finalized. effective immediately upon publication. determined that it is not a significant For these reasons, DEA considers any See 5 U.S.C. 553(d). Therefore, DEA is regulatory action under E.O. 12866 potential costs or benefits broadly issuing these amendments as an interim because it is a non-discretionary action related to changes in the domestic final rule, effective upon publication in that is dictated by the statutory industrial hemp market due to the the Federal Register. amendments to the CSA enacted by the 2 See USDA, Hemp Production Program Although publishing a notice of AIA. While not determined to be a Questions and Answers, https://www.ams.usda.gov/ proposed rulemaking and soliciting significant regulatory action, this action publications/content/hemp-production-program- public comment prior to publication are has been reviewed by the OMB. questions-and-answers.
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decontrol of hemp, including but not is no longer subject to those schedule I registration annually by filling out and limited to the expansion in the number requirements, as long as the material submitting DEA form 225a. DEA expects of producers, consumer products, and contains less than the 0.3% limit. these institutions to relinquish their the impact on supply chains to be Based on the number of import and schedule I importer registrations as a outside the scope of this analysis. export permits issued, DEA estimated result of the promulgation of this To determine any cost savings the number of import and export permit interim final rule. resulting from this decontrol action, applications that would no longer be DEA analyzed its registration, import, needed. DEA reviewed internal data DEA estimates the average annual cost and export data. The removal of DEA’s tracking the number of imports and savings attributable to the elimination of regulatory authority over hemp as exports for hemp seed over a three year import permits for hemp seed, and the defined under the AIA will impact only period beginning January 1, 2016 and elimination of annual registration DEA registrants that currently import ending December 31, 2018.4 During this renewals for hemp seed importers to be viable hemp seed intended for three year period, there was an average $3,225.6 This cost savings is realized germination. Viable hemp seed was of 88 import permits issued for hemp entirely by DEA registrants. Since the classified as a schedule I controlled seed per year, and no exports. These anticipated reduction in import permits substance prior to the amendments to import permits were issued only to and registration renewals being the CSA enacted by the AIA. The participants in state commercial hemp processed is negligible relative to the importation and exportation of pilot programs, including state total amount of permits and renewals controlled substances requires an departments of agriculture and higher processed by DEA annually, DEA is not importer or exporter to first register with education institutions, which are expected to experience a measurable DEA, and then apply and obtain a considered ‘‘fee exempt’’, and do not decrease in workflow or use of permit to import or export controlled pay the $1,523 annual importer resources, and therefore, will incur no 3 5 substances for each shipment. The registration fee. However, fee-exempt cost savings. The results of this analysis decontrol of hemp with this interim institutions are still required to obtain a are summarized below: final rule means that viable hemp seed DEA registration and renew that
Average Annual Import Permit Application (DEA Form 357) Cost Savings Estimated hourly wage ($/hour): 7 $45.54 Load for benefits (percent of labor rate): 8 43% Loaded labor rate ($/hour): 9 $65.06 Average hourly burden, per application: 0.25 Average annual # of import permit applications for hemp seed: 88 Average annual hemp seed import permit application labor costs: 10 $1,431.32 Average annual mailing cost of hemp seed import permit applications: 11 $1,579.50 Annual Registration Renewal Application (DEA Form 225a) Cost Savings Estimated hourly wage ($/hour): 12 $59.56 Load for benefits (percent of labor rate): 13 43% Loaded labor rate ($/hour): 14 $85.09 # of Importers no longer requiring registration: 21 Average hourly burden, per application: 15 0.12 Average annual registration renewal application labor cost: 16 $214.43
Total Annual Cost Savings: $3,225.25
This interim final rule removes FDA- action, DEA analyzed its registration, savings. However, like importers of approved products containing CBD from import, and export data. DEA believes viable hemp seed, importers and schedule V control, including controls all entities that currently handle FDA- exporters of FDA-approved CBD over the importation and exportation of approved CBD products also handle products will no longer be required to this class of drugs. There is currently other controlled substances. This means obtain import and export permits from only one drug that meets these criteria the decontrol of this product will not DEA. for decontrol.17 To determine any cost allow these DEA registrants to benefit DEA analyzed its internal import and savings resulting from this decontrol from any registration-related cost export data to identify the average
3 See 21 CFR 1312.11(a), 1312.21(a). 30% of total compensation. The 30% of total Occupational Classification) will complete the form 4 DEA import data is organized by drug code. compensation equates to 42.86% (30% / 70%) load on behalf of the applicant or registrant. Hemp seed falls within drug code ‘‘7360— on wages and salaries. 13 Bureau of Labor Statistics, ‘‘Employer Costs for Marihuana’’. 9 $45.54 × (1 + 0.4286) = $65.06. Employee Compensation—March 2019’’ (ECEC) 5 See 21 CFR 1301.21(a)(1). 10 ($65.06 × 0.25) × 88 = $1,431.32. reports that average benefits for private industry is 6 Rounded down to the nearest whole dollar. 11 91% of import permits are submitted via paper 30% of total compensation. The 30% of total 7 Median hourly wage, Bureau of Labor Statistics, form and delivered to DEA by an express carrier compensation equates to 42.86% (30% / 70%) load Occupational and Employment and Wages, May with respondent-paid means for return delivery. on wages and salaries. 14 × 2018, 11–3071 Transportation, Storage, and The estimated cost burden is $19.50 per response: $59.56 (1 + 0.4286) = $85.09. Distribution Managers (http://www.bls.gov/oes/ 2 × $9.75 = $19.50. $9.75 is based on a major 15 The DEA assumes all forms are submitted current/oes_nat.htm). The DEA considers this express carrier’s national 3-day flat rate for online. occupational category to be representative of the envelopes. The DEA assumes that 91% of import 16 ($85.09 × 0.5) × 21 = $214.43. type of employee that is likely to fill out and submit permits submitted in any given year incur this 17 See FDA, Regulation of Cannabis and import permits on behalf of a DEA registered mailing cost. Cannabis-Derived Products: Questions and importer. 12 Estimates are based on the population of the Answers, https://www.fda.gov/news-events/public- 8 Bureau of Labor Statistics, ‘‘Employer Costs for regulated industry participating in these business health-focus/fda-regulation-cannabis-and- Employee Compensation—March 2019’’ (ECEC) activities. The DEA assumes that a general and cannabis-derived-products-questions-and- reports that average benefits for private industry is operations manager (11–1021, 2018 Standard answers#approved.
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number of permits issued for FDA- which will result in an average annual by DEA annually, DEA is not expected approved CBD products over a three cost savings of $1,814.18 This cost to experience a measurable decrease in year period beginning January 1, 2016 savings is realized entirely by DEA workflow or use of resources, and and ending December 31, 2018. During registrants. Since the anticipated therefore, will incur no cost savings. this period there was an average of 52 reduction in import and export permits The results of this analysis are import permits and one export permit being processed is negligible relative to summarized below: issued per year, the elimination of the total number of permits processed
Average Annual Import Permit Application (DEA Form 357) Cost Savings Estimated hourly wage ($/hour): 7 $45.54 Load for benefits (percent of labor rate): 8 43% Loaded labor rate ($/hour): 9 $65.06 Average hourly burden, per application: 0.25 Average annual # of import permit applications for FDA-approved CBD: 52 Average annual FDA-approved CBD import permit application labor costs: 19 $845.74 Average annual mailing cost for import permit applications: 11 20 $916.50 Average Annual Export Permit Application (DEA Form 161) Cost Savings Estimated hourly wage ($/hour): 7 $45.54 Load for benefits (percent of labor rate): 8 43% Loaded labor rate ($/hour): 9 $65.06 Average hourly burden, per collection: 0.5 Average annual # of export permit applications for FD-approved CBD: 1 Average annual FDA-approved CBD export permit application labor costs: 21 $32.53 Average annual mailing cost of export permit applications: 11 $19.50
Total Annual Cost Savings: $1,814.27
This interim final rule amends the longer require a DEA registration or import and export permits, issuing definition of marihuana extract to import and export permits to handle renewal notifications, conducting due conform to the revised definitions of hemp extract that does not exceed the diligence, maintaining and operating marihuana and tetrahydrocannabinols. statutory 0.3% THC limit. DEA’s import supporting information systems, etc. This revised definition now includes and export data does capture a minimal Therefore, DEA does not anticipate it the 0.3%-THC content limit for the number of instances of the importation will realize any measurable cost savings extract, meaning hemp-derived extracts and exportation of CBD; however, this to the government as a result of the containing less than 0.3%-THC content data does not detail whether or not the negligible decreases in registrant are also decontrolled along with the CBD was derived from Cannabis sativa services resulting from the promulgation plant itself. As discussed previously, the L. plants containing less than 0.3% THC of this interim final rule. production of hemp and its extracts as content. For this reason, DEA does not defined under the AIA now falls under have a good basis to estimate the annual As described above, DEA estimates the same regulatory oversight shared number of imported or exported hemp- the average annual benefit in the form between the States, territories, and derived extracts that no longer require of cost savings to DEA registrants as a Indian tribal agencies, and the USDA. permits as a result of the promulgation result of the promulgation of this The FDA also affirms its regulatory of this interim final rule, but after interim final rule to be $5,039.23 DEA oversight over cannabis-derived reviewing its data, believes this number calculated the present value of this cost compounds, such as CBD, whether or to be minimal. Therefore, DEA savings over a 20 year period at a 3 not these compounds are ‘‘classified as concludes that this provision of the percent and 7 percent discount rate. At hemp under the 2018 Farm Bill.’’ 22 For interim final rule is likely to result in a a 3 percent discount rate, the present these reasons, DEA considers any minimal benefit to DEA registrants, but value of benefits is $74,968, while the potential costs or benefits broadly DEA does not have a good basis to present value of costs is $0, making the related to changes in the markets for quantify this amount. net present value (NPV) $74,968. At a 7 As part of its core function, DEA’s domestic hemp extracts due to their percent discount rate, the present value Diversion Control Division is decontrol, including but not limited to of benefits is $53,383, the present value the expansion in the number of responsible for managing over 1.8 of costs is $0, making the NPV is producers, consumer products, and the million DEA registrations, processing $53,383.24 The table below summarizes impact on supply chains to be outside new and renewal registration the present value and annualized the scope of this analysis. applications, processing registration Like FDA-approved CBD products modification requests, issuing benefit calculations. and viable hemp seeds, entities no certificates of registration, issuing
Discount Rate ...... 3% 7% Annual benefit ($) ...... 5,039 5,039 Present value of benefits ($) ...... 74,968 53,383 Present value of costs ($) ...... 0 0 Years ...... 20 20
18 Rounded down to the nearest whole number. 21 ($65.06 × 0.5) × 1 = $32.53. 24 See Office of Mgmt. & Budget, Exec. Office of 19 ($65.06 × 0.25) × 52 = $845.74. 22 Ibid. the President, OMB Circular A–4, Regulatory 20 52 × .91 = 47 (rounded down) permits mailed 23 The total average annual cost savings resulting Analysis (2003). per year; 47 × $19.50 = $916.50. from the decontrol of viable hemp seed ($3,225) and FDA-approved CBD products ($1,814).
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Net present value ($) ...... 74,968 53,383 Figures are rounded.
E.O. 13771 deregulatory actions are by the private sector, of $136,000,000 or 6 cis or trans tetrahydrocannabinol, and final actions that have totals costs less more (adjusted for inflation) in any one their optical isomers than zero. Also, under E.O. 13771, year, and will not significantly or 3, 4 cis or trans tetrahydrocannabinol, regulatory actions that expand uniquely affect small governments. and its optical isomers production options, which are Therefore, no actions were deemed (Since nomenclature of these substances considered to be ‘‘enabling rules,’’ necessary under the provisions of the is not internationally standardized, generally qualify as E.O. 13771 Unfunded Mandates Reform Act of compounds of these structures, deregulatory actions. This interim final 1995. 2 U.S.C. 1532. regardless of numerical designation of rule decontrols hemp, hemp extracts Congressional Review Act atomic positions covered.) and FDA-approved products containing CBD, and it results in cost savings to the This interim final rule is not a major (ii) Tetrahydrocannabinols does not public, as discussed above. Accordingly, rule as defined by the Congressional include any material, compound, DEA has determined that this interim Review Act (CRA) (5 U.S.C. 804). DEA mixture, or preparation that falls within final rule is an E.O. 13771 Deregulatory is submitting the required reports with the definition of hemp set forth in 7 Action. a copy of this interim final rule to both U.S.C. 1639o. Houses of Congress and to the * * * * * Executive Order 12988 Comptroller General. (58) Marihuana Extract ...... 7350 This interim final rule meets the Meaning an extract containing one or applicable standards set forth in List of Subjects more cannabinoids that has been sections 3(a) and 3(b)(2) of E.O. 12988, 21 CFR Part 1308 derived from any plant of the genus Civil Justice Reform, to eliminate Cannabis, containing greater than 0.3% ambiguity, minimize litigation, establish Administrative practice and delta-9-tetrahydrocannabinol on a dry clear legal standards, and reduce procedure; Drug traffic control; weight basis, other than the separated burdens. Reporting and recordkeeping resin (whether crude or purified) requirements. obtained from the plant. Executive Order 13132 21 CFR Part 1312 * * * * * This rulemaking does not preempt or modify any provision of State law, Administrative practice and § 1308.15 [Amended] procedure; Drug traffic control; Exports; impose enforcement responsibilities on ■ Imports; Reporting and recordkeeping 3. In § 1308.15, paragraph (f) is any State, or diminish the power of any removed. State to enforce its own laws. requirements. Accordingly, this rulemaking does not For the reasons set forth above, 21 PART 1312—IMPORTATION AND have federalism implications warranting CFR parts 1308 and 1312 are amended EXPORTATION OF CONTROLLED the application of E.O. 13132. as follows: SUBSTANCES
Executive Order 13175 PART 1308—SCHEDULES OF ■ 4. The authority citation for part 1312 This interim final rule is required by CONTROLLED SUBSTANCES continues to read as follows: statute, and will not have tribal ■ 1. The authority citation for part 1308 Authority: 21 U.S.C. 821, 871(b), 952, 953, implications or impose substantial 954, 957, 958. direct compliance costs on Indian tribal continues to read as follows: governments. Authority: 21 U.S.C. 811, 812, 871(b), § 1312.30 [Amended] 956(b). Regulatory Flexibility Act ■ 5. In § 1312.30, paragraph (b) is ■ 2. In § 1308.11, paragraphs (d)(31) and removed and reserved. The Regulatory Flexibility Act (RFA) (58) are revised to read as follows: applies to rules that are subject to notice Timothy J. Shea, and comment under section 553(b) of § 1308.11 Schedule I. Acting Administrator. the Administrative Procedure Act (5 * * * * * [FR Doc. 2020–17356 Filed 8–20–20; 8:45 am] U.S.C. 553). As explained in the interim (d) * * * BILLING CODE 4410–09–P final rule, DEA determined that there (31) Tetrahydrocannabinols ...... 7370 was good cause to exempt this interim (i) Meaning tetrahydrocannabinols, final rule from pre-publication notice except as in paragraph (d)(31)(ii) of this DEPARTMENT OF DEFENSE and comment. Consequently, the RFA section, naturally contained in a plant of does not apply to this interim final rule. the genus Cannabis (cannabis plant), as Department of the Army, Corps of Paperwork Reduction Act of 1995 well as synthetic equivalents of the Engineers substances contained in the cannabis This interim final rule does not 32 CFR Part 625 involve a collection of information plant, or in the resinous extractives of within the meaning of the Paperwork such plant, and/or synthetic substances, [Docket ID: USA–2020–HQ–0010] derivatives, and their isomers with Reduction Act of 1995, 44 U.S.C. 3501– RIN 0702–AA98 21. similar chemical structure and pharmacological activity to those Unfunded Mandates Reform Act of 1995 substances contained in the plant, such Surface Transportation— Administrative Vehicle Management This interim final rule will not result as the following: in the expenditure by State, local, and 1 cis or trans tetrahydrocannabinol, and AGENCY: U.S. Army Corps of Engineers, tribal governments, in the aggregate, or their optical isomers Department of Defense (DoD).
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ACTION: Final rule. agency guidance which has no future unless specifically authorized by the effect on the behavior of regulated Captain of the Port Sector Ohio Valley. SUMMARY: This final rule removes the parties and which can be found at the DATES: This rule is effective without U.S. Army Corps of Engineers’ part sources provided in this SUPPLEMENTARY titled Surface Transportation— actual notice from 7:30 p.m. until 9:30 INFORMATION section. In an effort to p.m. on August 22, 2020. Administrative Vehicle Management. reduce the number of regulations the This part is out-of-date and otherwise ADDRESSES: To view documents Corps has promulgated, the removal of mentioned in this preamble as being covers internal agency operations that an out-of-date regulation which is also have no public compliance component available in the docket, go to https:// out of compliance with current agency www.regulations.gov, type USCG–2020– or adverse public impact. Therefore, this policy is appropriate. The regulation part can be removed from the CFR. 0518 in the ‘‘SEARCH’’ box and click does not place a burden on the public; ‘‘SEARCH.’’ Click on Open Docket DATES: This rule is effective on August therefore, its removal does not provide 21, 2020. Folder on the line associated with this a reduction in public burden or costs. rule. ADDRESSES: Department of the Army, This rule is not significant under U.S. Army Corps of Engineers, ATTN: Executive Order (E.O.) 12866, FOR FURTHER INFORMATION CONTACT: If CECW–P (Ms. Patricia Mutschler), 441 G ‘‘Regulatory Planning and Review.’’ you have questions on this rule, call or Street NW, Washington, DC 20314– Therefore, the requirements of E.O. email Petty Officer First Class Nicholas 1000. 13771, ‘‘Reducing Regulation and Jones, Marine Safety Detachment Nashville, U.S. Coast Guard; telephone FOR FURTHER INFORMATION CONTACT: Ms. Controlling Regulatory Costs,’’ do not 615–736–5421, email Nicholas.J.Jones@ Patricia Mutschler at 202–761–4744 or apply. by email at Patricia.L.Mutschler@ This removal supports a uscg.mil. usace.army.mil. recommendation of the DoD Regulatory SUPPLEMENTARY INFORMATION: Reform Task Force. SUPPLEMENTARY INFORMATION: This final I. Table of Abbreviations rule removes the U.S. Army Corps of List of Subjects in 32 CFR part 625 Engineers’ 32 CFR part 625, Surface CFR Code of Federal Regulations Engineers Corps, Government DHS Department of Homeland Security Transportation—Administrative Vehicle employees, Government property FR Federal Register Management. The solicitation of public management, Motor vehicles. NPRM Notice of proposed rulemaking comment is unnecessary as each § Section removed section in this part is out-of- Accordingly, for the reasons stated in U.S.C. United States Code date and otherwise covers internal the preamble and under the authority of II. Background Information and agency operations that have no public 5 U.S.C. 301, the Corps of Engineers Regulatory History compliance component or adverse removes 32 CFR part 625. public impact. The regulation was Dated: July 28, 2020. The Coast Guard is issuing this initially promulgated on November 2, Brenda S. Bowen, temporary rule without prior notice and 1979 (44 FR 63099) to provide guidance Army Federal Register Liaison Officer. opportunity to comment pursuant to and authorize dependents to accompany [FR Doc. 2020–16695 Filed 8–20–20; 8:45 am] authority under section 4(a) of the a Corps employee on Temporary Duty Administrative Procedure Act (APA) (5 BILLING CODE 3720–58–P (TDY) in a Government-owned or leased U.S.C. 553(b)). This provision motor vehicle. The regulation was authorizes an agency to issue a rule promulgated for transparency purposes without prior notice and opportunity to despite the content being directed solely DEPARTMENT OF HOMELAND comment when the agency for good to the issuing agency with no impact to SECURITY cause finds that those procedures are ‘‘impracticable, unnecessary, or contrary the public. Coast Guard The removal of 32 CFR part 625 will to the public interest.’’ Under 5 U.S.C. bring the U.S. Army Corps of Engineers 553(b)(B), the Coast Guard finds that 33 CFR Part 100 into compliance with DoD Manual good cause exists for not publishing a 4500.36, ‘‘Acquisition, Management, [Docket Number USCG–2020–0518] notice of proposed rulemaking (NPRM) and Use of DoD Non-Tactical Vehicles’’ with respect to this rule because of the (available at https://www.esd.whs.mil/ RIN 1625–AA08 hazards associated with the Boat in Portals/54/Documents/DD/issuances/ Special Local Regulation; Cumberland Movie night, and the need to address dodm/450036m.pdf?ver=2018-12-20- River, Hendersonville, TN public safety via the implementation of 085741-153); and Army Regulation 58– a special local regulation. It is 1, ‘‘Management, Acquisition, and Use AGENCY: Coast Guard, DHS. impracticable to publish an NPRM of Motor Vehicles’’ (available at https:// ACTION: Temporary final rule. because we must establish this special api.army.mil/e2/c/downloads/ local regulation by August 22, 2020. 455098.pdf), which do not allow for the SUMMARY: The Coast Guard is issuing a Under 5 U.S.C. 553(d)(3), the Coast transportation of dependents in non- marine event permit for the Waddle & Guard finds that good cause exists for tactical vehicles provided for DoD Reed Inc. Boat in Movie, and making this rule effective less than 30 personnel when on Temporary Duty establishing a temporary special local days after publication in the Federal (TDY). regulation for navigable waters on the Register. Delaying the effective date of This removal is being conducted to Cumberland River from mile marker this rule would be impracticable and provide clarity and reduce confusion for (MM) 236.0 to MM 237.5. The special contrary to the public interest. the public as well as for the Corps local regulation is needed to protect regarding the current policy which personnel, vessels, and the marine III. Legal Authority and Need for Rule governs the Corps’ use of non-tactical environment from potential hazards The Coast Guard is issuing this rule vehicles. The removal of the regulation created by the Boat in Movie night on under authority in 46 U.S.C. 70034 will ensure the Corps’ policy complies August 22, 2020. Entry of vessels or (previously 33 U.S.C. 1231). The with existing DoD and Army internal persons into this zone is prohibited Captain of the Port Sector Ohio Valley
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(COTP) has determined that potential transit, and the rule would allow vessels between the national government and hazards associated with the Boat in to request permission to enter the zone. the States, or on the distribution of Movie night marine event will be a B. Impact on Small Entities power and responsibilities among the safety concern, and is establishing a various levels of government. We have special local regulation from mile The Regulatory Flexibility Act of analyzed this rule under that Order and marker (MM) 236.0 to 237.5 on the 1980, 5 U.S.C. 601–612, as amended, have determined that it is consistent Cumberland River. This rule is needed requires Federal agencies to consider with the fundamental federalism to protect personnel, vessels, and the the potential impact of regulations on principles and preemption requirements marine environment in the navigable small entities during rulemaking. The described in Executive Order 13132. waters for the duration of the event. term ‘‘small entities’’ comprises small businesses, not-for-profit organizations Also, this rule does not have tribal IV. Discussion of the Rule that are independently owned and implications under Executive Order This rule establishes a special local operated and are not dominant in their 13175, Consultation and Coordination regulation from 7:30 p.m. until 9:30 fields, and governmental jurisdictions with Indian Tribal Governments, p.m. on August 22, 2020. The special with populations of less than 50,000. because it does not have a substantial local regulation will cover all navigable The Coast Guard certifies under 5 U.S.C. direct effect on one or more Indian waters between miles 236.0 to 237.5 on 605(b) that this rule will not have a tribes, on the relationship between the the Cumberland River. The duration of significant economic impact on a Federal Government and Indian tribes, the zone is intended to protect substantial number of small entities. or on the distribution of power and personnel, vessels, and the marine While some owners or operators of responsibilities between the Federal environment in these navigable waters vessels intending to transit the special Government and Indian tribes. If you for the duration of the event. No vessel local regulation may be small entities, believe this rule has implications for or person will be permitted to enter the for the reasons stated in section V.A federalism or Indian tribes, please regulated zone without obtaining above, this rule will not have a contact the person listed in the FOR permission from the COTP or a significant economic impact on any FURTHER INFORMATION CONTACT section designated representative. vessel owner or operator. above. Under section 213(a) of the Small V. Regulatory Analyses Business Regulatory Enforcement E. Unfunded Mandates Reform Act We developed this rule after Fairness Act of 1996 (Pub. L. 104–121), we want to assist small entities in The Unfunded Mandates Reform Act considering numerous statutes and of 1995 (2 U.S.C. 1531–1538) requires Executive orders related to rulemaking. understanding this rule. If the rule would affect your small business, Federal agencies to assess the effects of Below we summarize our analyses their discretionary regulatory actions. In based on a number of these statutes and organization, or governmental jurisdiction and you have questions particular, the Act addresses actions Executive orders, and we discuss First that may result in the expenditure by a Amendment rights of protestors. concerning its provisions or options for compliance, please contact the person State, local, or tribal government, in the A. Regulatory Planning and Review listed in the FOR FURTHER INFORMATION aggregate, or by the private sector of $100,000,000 (adjusted for inflation) or Executive Orders 12866 and 13563 CONTACT section. Small businesses may send comments more in any one year. Though this rule direct agencies to assess the costs and on the actions of Federal employees will not result in such an expenditure, benefits of available regulatory who enforce, or otherwise determine we do discuss the effects of this rule alternatives and, if regulation is compliance with, Federal regulations to elsewhere in this preamble. necessary, to select regulatory the Small Business and Agriculture approaches that maximize net benefits. F. Environment Regulatory Enforcement Ombudsman Executive Order 13771 directs agencies and the Regional Small Business to control regulatory costs through a We have analyzed this rule under Regulatory Fairness Boards. The budgeting process. This rule has not Department of Homeland Security Ombudsman evaluates these actions been designated a ‘‘significant Directive 023–01 and Environmental annually and rates each agency’s regulatory action,’’ under Executive Planning COMDTINST 5090.1 (series), responsiveness to small business. If you Order 12866. Accordingly, this rule has which guide the Coast Guard in wish to comment on actions by not been reviewed by the Office of complying with the National employees of the Coast Guard, call 1– Management and Budget (OMB), and Environmental Policy Act of 1969(42 888–REG–FAIR (1–888–734–3247). The pursuant to OMB guidance it is exempt U.S.C. 4321–4370f), and have Coast Guard will not retaliate against from the requirements of Executive determined that this action is one of a small entities that question or complain Order 13771. category of actions that do not about this rule or any policy or action individually or cumulatively have a This regulatory action determination of the Coast Guard. is based on the size, location, duration, significant effect on the human and time-of-day of the special local C. Collection of Information environment. This rule involves a regulation. This special local regulation This rule will not call for a new special local regulation lasting two restricts transit on a one and a half-mile collection of information under the hours that will prohibit entry from mile segment of the Cumberland River for Paperwork Reduction Act of 1995 (44 236.0 to 237.5 on the Cumberland River. two hours on one day. Moreover, the U.S.C. 3501–3520). It is categorically excluded from further Coast Guard would issue Broadcast review under paragraph L61 in Table 3– Notices to Mariners (BNMs), Local D. Federalism and Indian Tribal 1 of U.S. Coast Guard Environmental Notices to Mariners (LNMs), and Marine Governments Planning Implementing Procedures Safety Information Bulletins (MSIBs) A rule has implications for federalism 5090.1. A Record of Environmental about this special local regulation so under Executive Order 13132, Consideration supporting this that waterway users may plan Federalism, if it has a substantial direct determination is available in the docket accordingly for this short restriction on effect on the States, on the relationship where indicated under ADDRESSES.
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G. Protest Activities Dated: August 14, 2020. FR Federal Register A.M. Beach, LMR Lower Mississippi River The Coast Guard respects the First MM River Mile Marker Captain, U.S. Coast Guard, Captain of the Amendment rights of protesters. NPRM Notice of proposed rulemaking Port Sector Ohio Valley. Protesters are asked to contact the § Section person listed in the FOR FURTHER [FR Doc. 2020–18316 Filed 8–20–20; 8:45 am] U.S.C. United States Code BILLING CODE 9110–04–P INFORMATION CONTACT section to II. Background Information and coordinate protest activities so that your Regulatory History message can be received without DEPARTMENT OF HOMELAND jeopardizing the safety or security of The Coast Guard is issuing this SECURITY people, places or vessels. temporary rule without prior notice and opportunity to comment pursuant to List of Subjects in 33 CFR Part 100 Coast Guard authority under section 4(a) of the Administrative Procedure Act (APA) (5 Marine safety, Navigation (water), 33 CFR Part 165 Reporting and recordkeeping U.S.C. 553(b)). This provision requirements, Waterways. [Docket Number USCG–2020–0415] authorizes an agency to issue a rule without prior notice and opportunity to For the reasons discussed in the RIN 1625–AA00 comment when the agency for good preamble, the Coast Guard amends 33 cause finds that those procedures are Emergency Safety Zone; Lower CFR part 100 as follows: ‘‘impracticable, unnecessary, or contrary Mississippi River, Rosedale, MS to the public interest.’’ Under 5 U.S.C. PART 100—REGATTAS AND MARINE AGENCY: 553(b)(B), the Coast Guard finds that PARDES Coast Guard, DHS. ACTION: Temporary final rule. good cause exists for not publishing a notice of proposed rulemaking (NPRM) ■ 1. The authority citation for part 100 SUMMARY: The Coast Guard is with respect to this rule because salvage continues to read as follows: establishing a temporary safety zone for efforts for two sunken barges mid-river Authority: 33 U.S.C. 70041; 33 CFR 1.05– emergency purposes for all waters of the will impede the safe navigation of vessel 1. Lower Mississippi River (LMR), traffic, and immediate action is needed ■ 2. Add § 100.T08–0518 to read as extending from River Mile Marker (MM) to protect persons and property. follows: 592.0 to MM 595.0. The emergency Completing the full NPRM process is safety zone is needed to protect persons, impracticable because we must establish § 100.T08–0518 Special Local Regulation; property, infrastructure, and the marine this safety zone by August 3, 2020. Cumberland River, Hendersonville, TN environment from the potential safety Under 5 U.S.C. 553(d)(3), the Coast (a) Location. The Cumberland River, hazards associated with the salvage and Guard finds that good cause exists for miles 236.0 to 237.5. diving effort of two sunken barges at making this rule effective less than 30 (b) Periods of enforcement. This MM 593.5, in the vicinity of the Victoria days after publication in the Federal temporary special local regulation will Bend Revetment, Rosedale, Mississippi. Register. Delaying the effective date of be enforced from 7:30 p.m. until 9:30 Deviation from the safety zone is this rule would be impracticable and p.m. on August 22, 2020. prohibited unless specifically contrary to the public interest because (c) Regulations. (1) In accordance with authorized by the Captain of the Port immediate action is needed to respond the general regulations in § 165.23 of Lower Mississippi River or a designated to the potential safety hazards this part, entry into this zone is representative. associated with salvage operations in prohibited unless specifically DATES: This rule is effective without the vicinity of Victoria Bend Revetment. authorized by the Captain of the Port actual notice from August 21, 2020 III. Legal Authority and Need for Rule Sector Ohio Valley (COTP) or through August 31, 2020, or until all The Coast Guard is issuing this rule designated personnel. Moreover, salvage and diving work is complete, under authority in 46 U.S.C. 70034 persons or vessels desiring to enter into whichever occurs earlier. For purposes (previously 33 U.S.C. 1231). The or pass through the zone must request of enforcement, actual notice will be Captain of the Port (COTP) Lower permission from the COTP Sector Ohio used from August 3, 2020 through Mississippi River (LMR) has determined Valley or a designated representative. August 21, 2020. that potential hazards associated with They may be contacted on VHF-FM ADDRESSES: To view documents the salvage of two sunken barges will be radio channel 16 or phone at 1–800– mentioned in this preamble as being a safety concern for anyone within a one 253–7465 available in the docket, go to https:// and one-half mile radius of the salvage (2) Persons and vessels permitted to www.regulations.gov, type USCG–2020– and diving vessels and machinery. This deviate from the special local regulation 0415 in the ‘‘SEARCH’’ box and click rule is needed to protect persons, requirements as well as enter the ‘‘SEARCH.’’ Click on Open Docket property, infrastructure, and the marine restricted area must transit at the Folder on the line associated with this environment in all waters of the LMR slowest safe speed and comply with all rule. within the safety zone while the salvage lawful directions issued by the COTP FOR FURTHER INFORMATION CONTACT: If and diving work is being conducted. Sector Ohio Valley or a designated you have questions on this rule, call or IV. Discussion of the Rule representative. email LT Adam J. Paz, U.S. Coast Guard; (d) Informational broadcasts. The telephone 901–521–4825, email This rule establishes a temporary COTP Sector Ohio Valley or a [email protected]. emergency safety zone from August 3, designated representative will inform SUPPLEMENTARY INFORMATION: 2020 through August 31, 2020, or until the public through broadcast notices to all salvage and diving work is complete, mariners of the enforcement period for I. Table of Abbreviations whichever occurs earlier. The safety the special local regulation, as well as CFR Code of Federal Regulations zone will cover all waters of the LMR any changes in the dates and times of COTP Captain of the Port from MM 592.0 to MM 595.0, extending enforcement. DHS Department of Homeland Security the entire width of the river. The safety
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zone will only be activated during with populations of less than 50,000. direct effect on one or more Indian daylight hours when salvage work The Coast Guard certifies under 5 U.S.C. tribes, on the relationship between the precludes safe navigation of the 605(b) that this rule will not have a Federal Government and Indian tribes, established channel. The duration of the significant economic impact on a or on the distribution of power and zone is intended to protect persons, substantial number of small entities. responsibilities between the Federal property, infrastructure, and the marine While some owners or operators of Government and Indian tribes. environment in these navigable waters vessels intending to transit the safety while salvage and diving work is being zone may be small entities, for the E. Unfunded Mandates Reform Act reasons stated in section V.A above, this conducted. No vessel or person will be The Unfunded Mandates Reform Act rule will not have a significant permitted to enter the safety zone of 1995 (2 U.S.C. 1531–1538) requires without obtaining permission from the economic impact on any vessel owner Federal agencies to assess the effects of COTP or a designated representative. or operator. Under section 213(a) of the Small their discretionary regulatory actions. In V. Regulatory Analyses Business Regulatory Enforcement particular, the Act addresses actions We developed this rule after Fairness Act of 1996 (Public Law 104– that may result in the expenditure by a considering numerous statutes and 121), we want to assist small entities in State, local, or tribal government, in the Executive Orders related to rulemaking. understanding this rule. If the rule aggregate, or by the private sector of Below we summarize our analyses would affect your small business, $100,000,000 (adjusted for inflation) or based on a number of these statutes and organization, or governmental more in any one year. Though this rule Executive Orders, and we discuss First jurisdiction and you have questions will not result in such an expenditure, Amendment rights of protestors. concerning its provisions or options for we do discuss the effects of this rule elsewhere in this preamble. A. Regulatory Planning and Review compliance, please call or email the person listed in the FOR FURTHER F. Environment Executive Orders 12866 and 13563 INFORMATION CONTACT section. direct agencies to assess the costs and Small businesses may send comments We have analyzed this rule under benefits of available regulatory on the actions of Federal employees Department of Homeland Security alternatives and, if regulation is who enforce, or otherwise determine Directive 023–01, Rev. 1, associated necessary, to select regulatory compliance with, Federal regulations to implementing instructions, and approaches that maximize net benefits. the Small Business and Agriculture Environmental Planning COMDTINST Executive Order 13771 directs agencies Regulatory Enforcement Ombudsman 5090.1 (series), which guide the Coast to control regulatory costs through a and the Regional Small Business Guard in complying with the National budgeting process. This rule has not Regulatory Fairness Boards. The Environmental Policy Act of 1969 (42 been designated a ‘‘significant Ombudsman evaluates these actions U.S.C. 4321–4370f), and have regulatory action,’’ under Executive annually and rates each agency’s determined that this action is one of a Order 12866. Accordingly, this rule has responsiveness to small business. If you category of actions that do not not been reviewed by the Office of wish to comment on actions by individually or cumulatively have a Management and Budget (OMB), and employees of the Coast Guard, call 1– significant effect on the human pursuant to OMB guidance it is exempt 888–REG–FAIR (1–888–734–3247). The environment. This rule involves a from the requirements of Executive Coast Guard will not retaliate against temporary emergency safety zone on the Order 13771. small entities that question or complain LMR from MM 592.0 to MM 595.0, that This regulatory action determination about this rule or any policy or action will prohibit entry into this zone unless is based on the size, location, and of the Coast Guard. permission has been granted by the duration of the safety zone. This COTP Lower Mississippi or a designated emergency safety zone will temporarily C. Collection of Information representative. The safety zone will only restrict navigation during daylight hours This rule will not call for a new be enforced for short durations during on the LMR from MM 592.0 to MM collection of information under the daylight hours while salvage and diving 595.0 in the vicinity of Rosedale, Paperwork Reduction Act of 1995 (44 work precludes the safe navigation of Mississippi, from August 3, 2020 U.S.C. 3501–3520). the established channel. It is through August 31, 2020, or until all categorically excluded from further salvage and diving work is complete, D. Federalism and Indian Tribal review under paragraph L60(d) of whichever occurs earlier. The Coast Governments Appendix A, Table 1 of DHS Instruction Guard will issue a Broadcast Notice to A rule has implications for federalism Manual 023–01–001–01, Rev. 1. A Mariners via VHF-FM marine channel under Executive Order 13132, Record of Environmental Consideration 16 informing the public of the times that Federalism, if it has a substantial direct supporting this determination is the zone will be activated, and the rule effect on the States, on the relationship available in the docket. For instructions would allow vessels to seek permission between the National Government and on locating the docket, see the to enter the zone on a case-by-case basis. the States, or on the distribution of power and responsibilities among the ADDRESSES section of this preamble. B. Impact on Small Entities various levels of government. We have G. Protest Activities The Regulatory Flexibility Act of analyzed this rule under that Order and 1980, 5 U.S.C. 601–612, as amended, have determined that it is consistent The Coast Guard respects the First requires Federal agencies to consider with the fundamental federalism Amendment rights of protesters. the potential impact of regulations on principles and preemption requirements Protesters are asked to call or email the small entities during rulemaking. The described in Executive Order 13132. person listed in the FOR FURTHER term ‘‘small entities’’ comprises small Also, this rule does not have tribal INFORMATION CONTACT section to businesses, not-for-profit organizations implications under Executive Order coordinate protest activities so that your that are independently owned and 13175, Consultation and Coordination message can be received without operated and are not dominant in their with Indian Tribal Governments, jeopardizing the safety or security of fields, and governmental jurisdictions because it does not have a substantial people, places or vessels.
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List of Subjects in 33 CFR Part 165 ACTION: Final rule. I. General Information Harbors, Marine safety, Navigation SUMMARY: A. Does this action apply to me? (water), Reporting and recordkeeping The action finalizes a This rule modifies the rules of requirements, Security measures, procedural rule to streamline and practice governing certain Waterways. modernize the Environmental Protection Agency’s (EPA) permit administrative appeals handled by the For the reasons discussed in the appeal process and ensure that appeals Environmental Appeals Board (EAB) preamble, the Coast Guard amends 33 are decided consistent with the under 40 CFR 124.19 and other CFR part 165 as follows: authority delegated from the regulations listed below. It applies to PART 165—REGULATED NAVIGATION Administrator by modifying existing persons and entities that seek to AREAS AND LIMITED ACCESS procedural requirements and realigning challenge EPA permitting decisions AREAS. prior delegations. This final procedural under the National Pollutant Discharge rule applies to permits issued by or on Elimination System (NPDES) program of ■ 1. The authority citation for Part 165 behalf of EPA under the Clean Air Act, the Clean Water Act, the Safe Drinking continues to read as follows: the Clean Water Act, the Safe Drinking Water Act’s Underground Injection Control (UIC) program, and the Authority: 46 U.S.C. 70034, 70051; 33 CFR Water Act, and the Resources 1.05–1, 6.04–1, 6.04–6, and 160.5; Conservation and Recovery Act. Resources Conservation and Recovery Act (RCRA), including Remedial Action Department of Homeland Security Delegation DATES: This final rule is effective on No. 0170.1. Plans, 40 CFR 270.42(f) and 270.155. It September 21, 2020. also applies to persons or entities that ■ 2. Add § 165.T08–0415 to read as ADDRESSES: The EPA has established a seek to challenge the following EPA follows: docket for this action under Docket ID permitting decisions under the Clean § 165.T08–0415 Emergency Safety Zone; No. EPA–HQ–OGC–2019–0406. All Air Act: Prevention of Significant Lower Mississippi River, Rosedale, MS. documents in the docket are listed on Deterioration permits, 40 CFR 52.21(q), (a) Location. The following area is a the https://www.regulations.gov Outer Continental Shelf permits, 40 CFR safety zone: All waters of the website. Although listed in the index, 55.6(a)(3); Title V permits, 40 CFR Mississippi River from MM 592.0 to some information is not publicly 71.11(l); Tribal Major Non-Attainment MM 595.0. available, e.g., CBI or other information NSR permits, 40 CFR 49.172(d)(5); and (b) Regulations. (1) Under the general whose disclosure is restricted by statute. Tribal Minor NSR permits, 40 CFR safety zone regulations in subpart C of Certain other material, such as 49.159(d). this part, you may not enter the safety copyrighted material, is not placed on With exception of section III.A.7 zone described in paragraph (a) of this the internet and will be publicly (Administrator’s Legal Interpretations) section unless authorized by the COTP available only in hard copy form. of this preamble, nothing in this or the COTP’s designated representative. Publicly available docket materials are proposal affects the EAB’s adjudication (2) To seek permission to enter, available electronically through https:// of enforcement appeals. contact the COTP or the COTP’s www.regulations.gov. B. What is the Agency’s authority for representative by telephone or email. FOR FURTHER INFORMATION CONTACT: taking this action? Those in the safety zone must comply Mark Talty, Office of General Counsel, with all lawful orders or directions EPA’s authority to issue this Environmental Protection Agency, 1200 given to them by the COTP or the procedural rule is contained in Resource Pennsylvania Avenue NW, Washington, COTP’s designated representative. Conservation and Recovery Act, 42 DC 20460; (202) 564–2751; email (c) Enforcement period. This section _ U.S.C. 6901 et seq.; Safe Drinking Water will be enforced as needed during address: staff [email protected]. Act, 42 U.S.C. 300(f) et seq.; Clean daylight hours from August 3, 2020 SUPPLEMENTARY INFORMATION: Water Act, 33 U.S.C. 1251 et seq.; and through August 31, 2020, or until all Organization of This Document. The Clean Air Act, 42 U.S.C. 1857 et seq. salvage and diving work is complete, following outline is provided to aid in EPA is also issuing this rule under its whichever occurs earlier. Periods of locating information in this preamble. general housekeeping authority. The activation will be promulgated by I. General Information Federal Housekeeping Statute provides Broadcast Notice to Mariners. A. Does this action apply to me? that ‘‘[t]he head of an Executive Dated: July 30, 2020. B. What is the Agency’s authority for department or military department may R.S. Rhodes, taking this action? prescribe regulations for the government II. Background of his department, the conduct of its Captain, U.S. Coast Guard, Captain of the A. What changes did the Agency propose Port Lower Mississippi River. employees, the distribution and in its December 3, 2019 proposal? performance of its business, and the [FR Doc. 2020–17482 Filed 8–20–20; 8:45 am] B. What action is the Agency taking today? custody, use, and preservation of its BILLING CODE 9110–04–P III. Summary of the Final Rule A. What are the key elements of this final records, papers, and property.’’ EPA is rule? not one of the 15 ‘‘Executive 1. Clarifying the EAB’s Scope of Review in Departments’’ listed at 5 U.S.C. 301. ENVIRONMENTAL PROTECTION However, EPA gained housekeeping AGENCY Permit Appeals 2. Reforming Amicus Curiae Participation authority through the Reorganization 40 CFR Parts 1, 49, 71, and 124 3. Eliminating Sua Sponte Review Plan No. 3 of 1970, 84 Stat. 2086 (July 4. Expediting the Appeal Process 9, 1970). The Office of Legal Counsel [EPA–HQ–OGC–2019–0406; FRL 10012–97– 5. 12-Year Terms for EAB Judges has opined that the Reorganization Plan OGC] 6. Designating EAB Decisions for ‘‘convey[s] to the [EPA] Administrator Publication all of the housekeeping authority Streamlining Procedures for Permit 7. Administrator’s Legal Interpretations Appeals B. How does this final rule affect pending available to other department heads appeals? under section 301’’ and demonstrates AGENCY: Environmental Protection C. Why is EPA finalizing these reforms? that ‘‘Congress has vested the Agency (EPA). IV. Statutory and Executive Orders Administrator with the authority to run
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EPA, to exercise its functions, and to tools to better allow the Administrator eliminating a prior provision that issue regulations incidental to the to exercise his or her statutory authority allowed the Board to review an exercise performance of those functions.’’ 1 together with appropriate checks and of discretion ‘‘or an important policy balances on how the Board exercises its consideration.’’ Under this final rule, II. Background delegated authority. In that vein, EPA the EAB’s scope is more aligned with A. What changes did the Agency proposed to set twelve-year terms for that of federal courts and limited to propose in its December 3, 2019 EAB Judges, which the Administrator findings of fact and conclusions of law proposal? could renew at the end of that twelve- that are clearly erroneous. EPA proposed a rule of agency year period or reassign the Judge to Second, EPA is modifying the process organization, procedure or practice that another position within EPA. EPA also for submission of amicus curiae briefs sought to change the administrative proposed a new process to identify as part of the overall goal of exhaustion requirements for permit which EAB opinions would be streamlining the appeal process. Under appeals, revise existing appeal considered precedential. Finally, EPA this rule, parties will have 21 days from procedures and provide greater proposed a new mechanism by which the filing of a notice of appeal to file accountability for those exercising the Administrator, by and through the amicus briefs and the length of such delegated authority over administrative General Counsel, could issue a briefs is limited to no more than 15 appeals more generally. Although not dispositive legal interpretation in any pages. subject to the notice and comment matter pending before the EAB. Third, EPA is eliminating the EAB’s authority to review Regional permit requirements of the Administrative B. What action is the Agency taking decisions on its own initiative (sua Procedure Act, the Agency nonetheless today? voluntarily sought comment because it sponte), even absent a private party EPA is not finalizing the new, time- believes that the information and appeal, which has rarely been invoked. limited ADR process from the December opinions supplied by the public would Fourth, EPA is establishing a 60-day 3rd proposal, which would have served help inform the Agency’s views. deadline for the EAB to issue a final On December 3, 2019, EPA proposed as a precondition to judicial review. decision once an appeal has been fully the creation of a new, time-limited EPA received several comments briefed and argued. The EAB may grant alternative dispute resolution process expressing the view that the proposed itself a one-time 60-day extension if it (ADR process) as a precondition to process violated the Alternative Dispute determines that the nature and judicial review. Under the proposal, the Resolution Act by mandating the use of complexity of the case requires parties in the ADR process could have ADR to resolve permit disputes and that additional time. EPA is also limiting the agreed by unanimous consent to either the proposed process could, in some availability of filing extensions to one extend the ADR process or proceed with instances, lengthen the appeal process. request per party, with a maximum an appeal before the Environmental While the comments are not dispositive extension of 30 days. While nothing in Appeals Board (EAB). If the parties did of the issue, EPA is not finalizing that the final rule modifies the EAB’s not agree to proceed with either the aspect of the proposal as a matter of its existing discretion to relax or suspend discretion in maintaining a familiar ADR process or an EAB appeal, the filing requirements for good cause, in process with accelerated timelines. As a permit would have become final and keeping with the intent of the revisions, result, nothing in this action changes could be challenged in federal court. such discretion should be exercised in the current administrative exhaustion EPA also proposed to amend the appeal limited circumstances and based on an requirements, which require permittees process to clarify the scope and adequate finding of good cause. and interested parties to file an appeal standard of EAB review, remove a Fifth, EPA is setting twelve-year terms with the EAB before challenging a provision authorizing participation in for EAB Judges, which the permitting decision in federal court. appeals by amicus curiae, and eliminate Administrator may renew at the end of Moreover, nothing in this action the EAB’s authority to review Regional that twelve-year period or reassign the changes the EAB’s existing ADR Judge to another position within EPA permit decisions on its own initiative, program, which will remain available to even absent an appeal. To promote consistent with the provisions in 5 CFR interested parties. EPA is also not 317.901. internal efficiencies, EPA also proposed finalizing changes to the appeal process to establish a 60-day deadline for the Sixth, EPA is establishing a process for ocean dumping permit decisions for designating certain EAB decisions EAB to issue a final decision once an made by Regional Administrators under appeal had been fully briefed and for publication. the Marine Protection, Research, and EPA is revising the EAB’s existing argued and to limit the length of EAB Sanctuaries Act in 40 CFR 222.12, opinions to only as long as necessary to delegation of authority by establishing a which already contains expedited mechanism by which the Administrator, address the issues raised in an appeal; appeal procedures. Furthermore, EPA is EPA also proposed to limit the by and through the General Counsel, not finalizing changes to the appeal can issue a dispositive legal availability of extensions to file briefs. process for acid rain permits under 40 The proposed rule would have applied interpretation in any matter pending CFR 78.3(b), which includes the before the EAB or on any issue to permits issued by or on behalf of EPA opportunity for evidentiary hearings. under the Clean Air Act, the Clean addressed by the EAB. EPA is finalizing each of the changes The revised permit appeal procedures Water Act, the Safe Drinking Water Act, identified immediately below and apply only to permitting decisions and the Resources Conservation and described in Section III of this preamble. under: Recovery Act. In addition to describing each of the • The National Pollutant Discharge In addition to these permit appeal changes in more detail, the Agency Elimination System (NPDES) program of reforms, EPA proposed several summarizes some of the more the Clean Water Act; additional reforms designed to provide significant comments that it received on • The Safe Drinking Water Act’s Underground Injection Control (UIC) 1 the proposal and EPA’s responses in Authority of EPA to Hold Employees Liable for Section III of this preamble. program; Negligent Loss, Damage, or Destruction of • Government Personal Property, 32 O.L.C. 79, 2008 First, EPA is clarifying the scope of The Resources Conservation and WL 4422366 at *4 (May 28, 2008) (‘‘OLC Opinion’’). the EAB’s review authority by Recovery Act (RCRA), including
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Remedial Action Plans, 40 CFR 2. Reforming Amicus Curiae for the EAB to issue its decision 270.42(f) and 270.155; and Participation (measured from the date of oral • The Clean Air Act, including EPA proposed to eliminate the argument or the filing of the last brief, Prevention of Significant Deterioration provision at 40 CFR 124.19(e) that whichever is later) and limiting the (PSD) permits, 40 CFR 52.21(q); Outer authorizes interested persons to length of EAB opinions to only as long as needed to address the specific issues Continental Shelf permits, 40 CFR participate in a permit appeal as amicus raised in the appeal. EPA solicited 55.6(a)(3); Title V permits, 40 CFR curiae as a means of streamlining the comment on whether to set a numerical 71.11(l); Tribal Major Non-Attainment appeal process. Many commenters limit, either in words or pages, on EAB NSR permits, 40 CFR 49.172(d)(5); and opposed this proposal by explaining the opinions. Tribal Minor NSR permits, 40 CFR various benefits that amicus 49.159(d). EPA received several comments participation provides to the appeal opposed to these expediting reforms, The procedural changes in this rule process, which include additional do not apply to other types of appeals most of which criticized the 60-day viewpoints on particularly complex deadline for issuing decisions. not listed above. In addition, with the matters and an avenue for boarder exception of the proposed revisions Generally, the commenters felt the 60- participation among groups with limited day deadline is arbitrary and lacked above, nothing in this rule alters the resources. In light of the benefits mechanics of permit appeals or the justification. One commenter stated that highlighted by the commenters, EPA is the Agency failed to explain why the process by which parties interact with retaining the ability for amicus the EAB, e.g., service requirements. Board maintains its ability to adjust participation, but with certain filing requirements for good cause but is III. Summary of the Final Rule limitations. All amicus briefs must be inflexibly required to issue opinions filed within 21 days after the filing of A. What are the key elements of this within 60 days. the petition for review and are limited EPA is finalizing the 60-day deadline final rule? to no more than 15 pages. The 21-day for the EAB to issue a decision, with the 1. Clarifying the EAB’s Scope of Review window had previously been imposed deadline measured from the date of oral in Permit Appeals on amicus participants in PSD and other argument or the filing of the last brief, New Source Review permit appeals whichever is later. However, in light of EPA proposed to clarify the EAB’s under the Clean Air Act but will now the comments it received, the EAB may scope of review while leaving the apply in all permit appeals under other grant itself a one-time 60-day extension standard of review applied by the EAB statutes. This approach preserves the if the Board determines that the nature untouched. More specifically, EPA benefits of amicus participation while and complexity of the case requires proposed to eliminate 40 CFR also achieving the goal of streamlining additional time. While EPA concedes 124.19(a)(4)(i)(B), which had been the overall appeal process. that any deadline assumes some amount viewed as establishing authority for the 3. Eliminating Sua Sponte Review of arbitrariness, such deadlines are EAB to review the Agency’s compliance routinely created in statutes and with discretionary policies—issues that EPA is finalizing its proposal to regulations based on policy choices that a federal court generally could not eliminate the EAB’s sua sponte review favor timely decision-making and review. EPA is finalizing its proposal to authority for permit decisions. As resolution of issues in lieu of open- clarify the EAB’s scope of review. This several commenters noted, the EAB has ended processes. EPA believes that a 60- final rule makes clear that the EAB’s rarely exercised its sua sponte authority day deadline, with the availability of an scope of review does not extend to the to review permits. Some commenters additional 60-day extension, is Agency’s compliance with internal asked that EPA clarify that the Board reasonable in light of the additional discretionary policies or Executive retains its sua sponte authority over reforms contained in this rule. Orders. enforcement decisions. At least one EPA is also finalizing the two Several commenters stated that the commenter expressed concern that the additional expediting measures as proposal arbitrarily limits the EAB’s EAB would no longer be able to review proposed. The EAB is required to make scope of review and ignores the fact that a permit no matter how blatant or how its opinions only as long as needed to federal courts regularly review exercises important a permit defect may be. address the specific issues raised in the of agency discretion to ensure that First and foremost, it is the appeal. This reform is consistent with agencies make such decisions in a responsibility of the permit writers to the deadline imposed on the Board for rational way based on adequate draft permits that achieve the intended issuing decisions and should assist the consideration of all relevant factors. results and comply with all legal EAB in achieving those deadlines. While the Agency agrees with the requirements. Over the course of the last Additionally, this final rule limits filing commenters that federal courts review fifty years of writing permits, the extensions to one request per party, discretionary policy decisions under an Agency has become much better at with a maximum extension of 30 days arbitrary and capricious standard of doing just that. Second, as the that the EAB, in the exercise of its review, the Agency’s strict compliance commenters suggested, the EAB has discretion, may choose to grant. Nothing with Executive Orders or internal rarely used its sua sponte authority to in this final rule eliminates the EAB’s agency policy is generally outside the review permit appeals, and this rule discretion to relax or suspend filing scope of review in federal courts. See does not remove the EAB’s authority in requirements for good cause. Defs. of Wildlife v. Jackson, 791 F. Supp. enforcement cases where it has 2d 96, 121 (D.D.C. 2011) (‘‘Plaintiffs traditionally exercised such authority. 5. 12-Year Terms for EAB Judges cannot use the review provisions of the EPA proposed setting 12-year APA to enforce an Executive Order that 4. Expediting the Appeal Process renewable terms for EAB judges. EPA is not subject to judicial review.’’). By EPA proposed several measures to sought comments on this proposed term eliminating 40 CFR 124.19(a)(4)(i)(B), expedite the appeal process, including limit and whether 8 years or another the Agency is making the scope of limiting filing extensions to one request time period was more appropriate. At EAB’s review more akin to that of per party, with a maximum extension of least one commenter supported the federal courts. 30 days, establishing a 60-day deadline creation of renewable terms but thought
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shorter terms were more appropriate. compliance with all applicable SES unpublished final order. Moving The Agency also received comments procedures. See 5 CFR 317.901. forward, it is the express policy of the opposed to any term for EAB judges. For these reasons, EPA is setting fixed Agency that only published decisions of These commenters asserted there is no twelve-year terms for EAB Judges, the EAB represent EPA’s official, rationale for why EAB judges should be which the Administrator may renew at authoritative position with regard to the treated any differently from other career the end of that twelve-year period or issues addressed in such decisions. This Senior Executive Service (SES) reassign the Judge to another SES change is intended to indicate to positions and that the proposal position within EPA. For purposes of reviewing courts that only published unnecessarily politicizes the EAB. One clarity, the final rule includes additional EAB decisions may warrant deference commenter argued that the proposal was regulatory text that explicitly requires under Kisor v. Wilkie, 139 S. Ct. 2400 illegal because SES positions are the Administrator to follow the proper (2019) and Chevron U.S.A., Inc. v. governed by a specific statute SES requirements when reassigning an Natural Resources Defense Council, implemented by the Office of Personnel EAB judge. To implement the 12-year Inc., 467 U.S. 837 (1984). This new Management (OPM) and that OPM has terms and ensure that they are on a process will therefore provide the the sole authority to determine staggered schedule, the Administrator Administrator, as the original source of conditions of service for SES employees. will apply the twelve-year terms to the authority for implementing and EPA disagrees with those commenters current EAB judges on a rolling basis interpreting EPA’s statutes and that opposed the proposed term limit. over the next twelve years. Each seat on regulations, the ability to ensure EAB The EAB, and its individual judges, the EAB is designated a number based opinions reflect the Agency’s official exercise authority expressly delegated to on the seniority of the Board’s current position concerning major policy or it from the Administrator by Title 40 of members. The seat of the longest serving procedural issues, or other issues of the Code of Federal Regulations. 40 CFR judge is designated as seat one, the exceptional importance in the situations 1.25(e)(2). An EAB judge plays an second longest serving judge as seat where it is appropriate to create such important role in shaping the decisions two, the third longest serving judge as positions through adjudication before of the Agency, and while that role has seat three, and the most recent judge as the Board. traditionally been viewed with a certain seat four. If any of the four seats are amount of independence, each judge is vacant as of the effective date of the 7. Administrator’s Legal Interpretations acting on the express delegation of the final rule, any such seat will be EPA is finalizing the proposed Administrator’s authority. It is entirely designated a number based on the date mechanism by which the Administrator, consistent with that delegation that the on which it became vacant, after seats by and through the General Counsel, Administrator have some express have been designated for current judges. can issue a dispositive legal mechanism of accountability over those The term for the newly designated seat interpretation in any matter before the exercising such authority. The 12-year one ends three years after the effective EAB or on any issue addressed by the renewable terms routinize the review of date of the final rule. The process then EAB. The Administrator may direct the continues at three-year intervals, with the Board’s composition. By setting the General Counsel to file written notice to seat two ending six years after the terms at 12 years and staggering their the EAB providing the Administrator’s effective date, seat three ending nine implementation in 3-year increments, legal interpretation of an applicable years after the effective date, and seat any one Administrator is limited in the Agency regulation or governing statute four ending twelve years after the number appointments he or she could in any matter before the EAB. This effective date. Thereafter, all terms will make (barring a vacancy due to Administrator’s use of this mechanism last for twelve years. If a judge vacates resignation), provided the Administrator applies to all actions before EAB—both his or her position before the end of the elected not to renew a given term. permit and enforcement cases. This judge’s term, the Administrator will EPA also disagrees that the term mechanism is distinguished from briefs limits are illegal. As members of the appoint a new judge to serve for the remainder of the vacated term. That new filed by an EPA Region setting forth its SES, an EAB judge is subject to position as the permit issuer. The intent reassignment to any other SES position member could then be renewed at the end of the vacated term. of this proposal is to allow the in the Agency for which he or she Administrator, in specific cases, to qualifies. See 5 U.S.C. 3395 6. Designating EAB Decisions for retain authority as it pertains to legal (‘‘Reassignment and transfer within the Publication interpretations in administrative Senior Executive Service’’); 5 CFR EPA sought comment on whether it appeals. Nothing in this rule limits the 317.901 (‘‘Reassignments’’); see also should create a process to explicitly Administrator’s existing authority Guide to the Senior Executive Service (derived from his or her statutory 2 identify certain decisions of the EAB as (March 2017), page 10. The 12-year precedential. The proposal noted that authority to issue the permits in the first term is not a separate condition applied under such a process, only published instance) to review or change any EAB to SES employees. It is simply a decisions could be considered decision. mechanism by which the Administrator precedential and the determination of EPA received several comments can exercise his or her authority which decisions should be published opposing this new mechanism. Some consistent with the applicable SES would made by the Administrator. commenters asserted that the Agency procedures. If the Administrator EPA is finalizing a process that failed to provide any details on how the chooses not to renew an appointment, maintains the EAB’s existing practice of process would work and when it could the Administrator can assign that judge distinguishing between published be invoked. At least one commenter to another SES position within EPA for decisions and unpublished final orders noted that existing processes should be which he or she qualifies, provided the with one important change: The enough to address any of the issues this Administrator reassigns the judge in publication of any decision designated mechanism sought to address. Other for publication by the EAB is delayed commenters asserted that its application 2 This document is published by the Office of Personnel Management at https://www.opm.gov/ for 15 days. During this period, the to enforcement cases presented due policy-data-oversight/senior-executive-service/ Administrator may review the decision process concerns related to ex parte reference-materials/guidesesservices.pdf. and change the designation to an communications and unfair notice.
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EPA believes it has sufficiently deems necessary to implement the Task Force v. EPA, 705 F.2d 506 (D.C. explained how the mechanism works statutory objectives. See Avenal Power Cir. 1983). and when it can be invoked. The Center, LLC v. EPA, 787 F. Supp. 2d 1, EPA also received one comment Administrator will direct the General 3 (D.D.C. 2011). The EAB was created in asserting that, in light of the Supreme Counsel to file a written notice with the 1992 by a delegation of the Court’s decision in Lucia v. SEC, 138 S. EAB that provides the Administrator’s Administrator’s authority over appellate Ct. 2044 (2018), and the functions legal interpretation of the relevant proceedings, including, among other performed by the EAB, the appointment statute or regulation. As explained in things, appeals from permit decisions of EAB judges is unconstitutional. In the proposal and reiterated in this final made by Regional Administrators. That Lucia, the Supreme Court held that SEC rule, the Administrator may utilize the delegation of authority, along with the administrative law judges are mechanism in any matter before the Board’s rules of procedure and scope of constitutional officers of the United EAB or on any issue addressed by the responsibilities, was codified via a States and must be appointed in EAB, meaning it has no temporal procedural rule. See 57 FR 5320 accordance with the Appointments Clause of the Constitution. The limitation. EPA agrees with the (February 13, 1992). Having created the commenter suggests that EAB judges are comment that the Administrator does EAB through delegation, the constitutional officers that have not not need this mechanism to achieve the Administrator may now alter the goals of this provision. However, the been appointed consistent with the Board’s role in the permitting process, Agency believes that codifying this Appointments Clause, which requires particularly if he or she believes a mechanism more directly and such officers be appointed by the different approach would better serve transparently reflects the President with the advice and consent Administrator’s authority, and, as the purposes of the statutes he or she of the Senate, unless ‘‘Congress . . . by discussed in Section III.C below, implements. This action does just that law vest[s] the Appointment of such mitigates any concerns over EAB judges by modifying the prior rules of inferior Officers, as they think proper, in acting as inferior officers. Lastly, EPA procedure and realigning the prior the President alone, in the Courts of does not believe that this mechanism delegations in manner that ensures a Law, or in the Heads of Departments.’’ raises due process concerns. Any use of proper level of accountability and U.S. CONST. art. II, § 2, cl. 2. this mechanism will necessarily consistency in decision-making, EPA disagrees that EAB service as the conform with EPA’s ex parte rules in 40 streamlines the permitting process, and Board is currently comprised violates CFR 22.8. In order to ensure such ultimately results in better and more the Constitution. The Administrator conformance, the General Counsel will efficient outcomes. derives his or her appointment authority issue a memorandum detailing specific EPA received several comments from Reorganization Plan No. 3 of 1970, measures that will be taken to create any asserting that its proposal did not 84 Stat. 2086 (July 9, 1970), which also necessary firewalls between attorneys constitute a procedural rule. Many of ‘‘convey[ed] to the [EPA] Administrator litigating matters before the Board and the same commenters asserted that, all of the housekeeping authority those that may work on the because the proposal sought to revise available to other department heads Administrator’s legal interpretation in a the process for appealing PSD and Acid under [5 U.S.C. 301]’’ and demonstrates given case. With regard to unfair notice, Rain permits under the CAA, the that ‘‘Congress has vested the the relevant inquiry is whether the Agency is required to follow that Administrator with the authority to run regulated party had adequate notice of statute’s rulemaking requirements in EPA, to exercise its functions, and to issue regulations incidental to the the relevant legal requirement at the section 307(d), which include, among performance of those functions.’’ 3 time the alleged violation occurred. A other things, a public hearing. EPA Courts have previously held that binding legal interpretation issued by disagrees with both comments. This ‘‘offices’’ under the Appointments the Administrator during the action is a rule of agency procedure and Clause can be created by Executive enforcement appeal process does practice under the Administrative Branch officials invoking their general nothing to change whether there was Procedure Act (APA). 5 U.S.C. housekeeping and delegation adequate notice prior to bringing the 553(b)(A). This final rule simply enforcement action. authorities. See Willy v. Administrative amends certain aspects of the original Review Bd., 423 F.3d 483, 491 (5th Cir. B. How does this final rule affect procedural rule that established the EAB 2005) (citing Reorg. Plan No. 6 of 1950, pending appeals? in 1992. Moreover, because it is a § 2, 15 FR 3174 (1950), 64 Stat. 1263, The provisions included in this final procedural rule under the APA, the final and 5 U.S.C. 301); see also Varnadore v. rule apply to any appeal filed with the rule is exempt from section 307(d) of the Secretary of Labor, 141 F.3d 625, 631 EAB after the effective date of this final CAA: ‘‘This subsection shall not apply (6th Cir. 1998); Com. of Pa., Dep’t of rule, including for permit decisions that in the case of any rule or circumstance Pub. Welfare v. U.S. Dep’t of Health & were finalized before the effective date referred to in subparagraphs (A) or (B) Human Servs., 80 F.3d 796, 804–05 (3d but for which the period for filing a of subsection 553(b) of title 5.’’ 42 Cir. 1996). The Administrator is petition for review has not expired. The U.S.C. 7607(d)(1). Courts have affirmed authorized to create the Board and final rule does not apply to any appeal that the CAA adopts the APA’s notice appoint EAB judges. While EPA does that was filed before the effective date and comment exceptions in 5 U.S.C. not contest the commenter’s of this rule. 553(b). See EME Homer City Generation, characterization of EAB judges as L.P. v. EPA, 795 F.3d 118, 134 (D.C. Cir. inferior officers, the Agency disagrees C. Why is EPA finalizing these reforms? 2015) (‘‘[T]he Clean Air Act permits with any suggestion that EAB decisions Each statue implemented by EPA that EPA to conduct rulemaking without may only be made by principal officers. requires the issuance of permits notice and comment when doing so The EAB’s authority is delegated from authorizes the Administrator to issue would be appropriate under Subsection the Administrator, who adopts the such permits. The Administrator retains 553(b) of the Administrative Procedure procedural rules, such as this action, discretion as to the procedural process Act. . . .’’); see also Sierra Club v. that govern the EAB, and the judges are of issuing such permits and may Jackson, 833 F.Supp.2d 11 (D.C. Circuit delegate his or her authority as he or she 2012); Small Refiner Lead Phase-Down 3 See supra n.1.
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subject to removal or reassignment by agency management or personnel, L. Congressional Review Act (CRA) the Administrator as explained in which the EPA expressly exempts from This final rule is exempt because it is Section III.A.6. Moreover, having notice and comment rulemaking a rule of agency organization, created the EAB via regulation, the requirements under 5 U.S.C. 553(a)(2). procedure, or practice that does not Administrator is also free to abolish the E. Unfunded Mandates Reform Act substantially affect the rights or EAB. See In re Grand Jury Investigation, (UMRA) obligations of non-agency parties. 916 F.3d 1047, 1052 (D.C. Cir. 2019) (explaining that a principal officer’s This action does not contain any List of Subjects ability to completely abolish an office unfunded mandate as described in 40 CFR Part 1 can render that officer inferior) (citing In UMRA, 2 U.S.C. 1531–1536, and does re Sealed Case, 829 F.2d 50, 56 (D.C. not significantly or uniquely affect small Environmental protection, Cir. 1987); Morrison v. Olson, 487 U.S. governments. The action imposes no Organization and functions 654, 721 (1988) (Scalia, J., dissenting) enforceable duty on any state, local or (Government agencies). tribal governments or the private sector. (noting that an officer is inferior and 40 CFR Part 49 subject to control ‘‘if by no other means F. Executive Order 13132: Federalism than’’ the principal’s ability to Environmental protection, ‘‘amend[ ] or revok[e] the regulation This action does not have federalism Administrative practice and procedure, defining his authority’’)). While the implications. It will not have a Air pollution control, Indians, creation of the EAB and the substantial direct effect on the States, on Intergovernmental relations, Reporting appointment of its judges meet the relationship between the national and Recordkeeping requirements. government and the States, or on the constitutional requirements, Lucia does 40 CFR Part 71 highlight the requirement that inferior distribution of power and officers are accountable to a principal responsibilities among the various Environmental protection, officer. And that, while the EAB has levels of government. Administrative practice and procedure, been viewed with a measure of G. Executive Order 13175: Consultation Air pollution control, Reporting and independence, it is ultimately and Coordination With Indian Tribal recordkeeping requirements. accountable to the Administrator and Governments 40 CFR Part 124 the authority he or she has delegated to This action does not have tribal it. This action only strengthens the Environmental protection, implications as specified in Executive EAB’s accountability to the Administrative practice and procedures, Order 13175. Administrator by, among other things, Air pollution control, Hazardous waste, confirming the Administrator’s ability to H. Executive Order 13045: Protection of Indians-lands, Reporting and provide legal interpretations on matters Children From Environmental Health recordkeeping requirements, Water before the EAB. Risks and Safety Risks pollution control, Water supply. IV. Statutory and Executive Order The EPA interprets Executive Order Andrew Wheeler, Reviews 13045 as applying only to those Administrator. regulatory actions that concern A. Executive Orders 12866: Regulatory For the reasons set forth in the environmental health or safety risks that preamble, EPA amends 40 CFR parts 1, Planning and Review and Executive EPA has reason to believe may 49, 71, and 124 as follows: Order 13563: Improving Regulation and disproportionately affect children, per Regulatory Review the definition of ‘‘covered regulatory PART 1—STATEMENT OF This action is exempt from review by action’’ in section 2–202 of the ORGANIZATION AND GENERAL the Office of Management and Budget Executive Order. This action is not INFORMATION (OMB) because it is limited to agency subject to Executive Order 13045 organization, management or personnel because it does not concern an ■ 1. The authority citation for part 1 is matters. environmental health risk or safety risk. revised to read as follows: B. Executive Order 13771: Reducing I. Executive Order 13211: Actions Authority: 5 U.S.C. 552; Reorganization Regulations and Controlling Regulatory Concerning Regulations That Plan No. 3 of 1970, 84 Stat. 2086 (July 9, Costs Significantly Affect Energy Supply, 1970). This action is not an Executive Order Distribution or Use ■ 2. Amend § 1.25 by revising 13771 regulatory action because it This action is not a ‘‘significant paragraphs (e)(2) and (3) and adding relates to agency organization, energy action’’ because it is not likely to paragraphs (e)(4) and (5) to read as management or personnel. have a significant adverse effect on the follows: supply, distribution or use of energy. C. Paperwork Reduction Act (PRA) § 1.25 Staff offices. This action does not contain any J. National Technology Transfer and * * * * * information collection activities and Advancement Act (NTTAA) (e) * * * therefore does not impose an This rulemaking does not involve (2) Functions. (i) The Environmental information collection burden under the technical standards. Appeals Board shall exercise only that PRA. authority expressly delegated to it in K. Executive Order 12898: Federal this title. The Environmental Appeals D. Regulatory Flexibility Act (RFA) Actions To Address Environmental Board, may also, at the Administrator’s This action is not subject to the RFA. Justice in Minority Populations and express request, provide advice and The RFA applies only to rules subject to Low-Income Populations consultation, make findings of fact and notice and comment rulemaking This action is not subject to Executive conclusions of law, prepare a requirements under the Administrative Order 12898 (59 FR 7629, Feb. 16, 1994) recommended decision, or serve as the Procedure Act (APA), 5 U.S.C. 553, or because it does not establish an final decisionmaker, as the any other statute. This rule pertains to environmental health or safety standard. Administrator deems appropriate.
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(ii) In performing its functions, the seat four. If any of the four seats are member’s term, the replacement Environmental Appeals Board may vacant as of September 21, 2020, any member will serve for the remaining consult with any EPA employee such seat is designated a number based portion of the term, with an option for concerning any matter governed by the on the date on which it became vacant, renewal at the end of the term. If the rules set forth in this title, provided after seats have been designated for term of the replacement member is not such consultation does not violate current members. renewed, the Administrator shall applicable ex parte rules in this title. (B) The initial term for seat one ends reassign the replacement member to (iii) The Administrator may limit the three years from September 21, 2020. another position, consistent with the Environmental Appeals Board’s The initial term for seat two ends six provisions of 5 CFR 317.901. authority to interpret statutes and years from September 21, 2020. The regulations otherwise delegated to it in initial term for seat three ends nine PART 49—INDIAN COUNTRY: AIR this title by issuing, through the General years from September 21, 2020. The QUALITY PLANNING AND Counsel, a binding legal interpretation initial term for seat four ends twelve MANAGEMENT of any applicable statute or regulation. years after September 21, 2020. The Nothing in this section limits the Administrator has the option of ■ 3. The authority citation for part 49 Administrator’s authority to review or renewing these initial terms under continues to read as follows: change any EAB decision. paragraph (e)(5)(ii) of this section. Authority: 42 U.S.C. 7401, et seq. (3) Final Decisions and Orders. (i) (C) Nothing in this section prevents a Designation. The Environmental member of the Environmental Appeals Subpart C—General Federal Appeals Board shall designate each final Board from resigning, retiring, or Implementation Plan Provisions decision as either a published decision transferring before the expiration of the or an unpublished final order at the member’s initial term. Similarly, ■ 4. Amend § 49.159 by revising time such decision is issued. nothing in this paragraph forecloses the paragraph (d) to read as follows: (ii) Published decisions. (A) Except as Administrator from reassigning a provided in paragraph (e)(3)(ii)(B) of member of the Environmental Appeals § 49.159 Final permit issuance and administrative and judicial review. this section, the Environmental Appeals Board to another position, consistent Board may not publish a decision in the with applicable requirements, prior to * * * * * Environmental Appeals Decisions the expiration of the member’s initial (d) Can permit decisions be appealed? (E.A.D.) or on the Board’s website under term. The Administrator shall follow the (1) Permit decisions may be appealed the heading ‘‘Published Decisions’’ until provisions in 5 CFR 317.901 in making under the permit appeal procedures of 15 days after the date on which the any reassignment under this section. 40 CFR 124.19. decision is issued. (D) If a member of the Environmental (2) An appeal under paragraph (d)(1) (B) The Administrator may, within 15 Appeals Board resigns, retires, or of this section is, under section 307(b) days of the Environmental Appeals transfers before the expiration of the of the Act, a prerequisite to seeking Board issuing a decision designated for member’s initial term, the replacement judicial review of the final agency publication, re-designate the decision as member will serve for the remaining action. an unpublished final order. Once re- portion of the initial term, with an * * * * * designated, the Environmental Appeals option for renewal at the end of the ■ 5. Amend § 49.172 by revising Board may not publish such decision in term. If the term of the replacement paragraph (d) to read as follows: the Environmental Appeals Decisions member is not renewed, the (E.A.D.) or on the Board’s website under Administrator shall reassign the § 49.172 Final permit issuance and the heading ‘‘Published Decisions’’. replacement member to another administrative and judicial review. (4) Qualifications. Each member of position, consistent with the provisions * * * * * the Environmental Appeals Board shall of 5 CFR 317.901. (d) Can permit decisions be appealed? be a graduate of an accredited law (ii) 12-year terms. (A) After the initial (1) Permit decisions may be appealed school and a member in good standing terms in paragraph (e)(5)(i) of this under the permit appeal procedures of of a recognized bar association of any section, each member of the 40 CFR 124.19. State or the District of Columbia. Board Environmental Appeals Board is (2) An appeal under paragraph (d)(1) Members shall not be employed by the appointed to a twelve-year term, with an of this section is, under section 307(b) Office of Enforcement, the Office of the option for renewal at the end of that of the Act, a prerequisite to seeking General Counsel, a Regional Office, or twelve-year period. Nothing in this judicial review of the final agency any other office directly associated with paragraph prevents a member of the action. matters that could come before the Environmental Appeals Board from Environmental Appeals Board. A Board resigning, retiring, or transferring before * * * * * Member shall recuse himself or herself the expiration of the member’s twelve- PART 71—FEDERAL OPERATING from deciding a particular case if that year term. Similarly, nothing in this PERMIT PROGRAMS Board Member in previous employment paragraph forecloses the Administrator performed prosecutorial or investigative from reassigning a member of the ■ 6. The authority citation for part 71 functions with respect to the case, Environmental Appeals Board to continues to read as follows: participated in the preparation or another position, consistent with presentation of evidence in the case, or applicable requirements, prior to the Authority: 42 U.S.C. 7401, et seq. was otherwise personally involved in expiration of the member’s renewable Subpart A—Operating Permits the case. twelve-year term. The Administrator (5) Term. (i) Initial terms. (A) The seat shall follow the provisions in 5 CFR ■ 7. Amend § 71.11 by revising of the longest serving member is 317.901 in making any reassignment paragraph (l) to read as follows: designated as seat one, the second under this section. longest serving member as seat two, the (B) If a member of the Environmental § 71.11 Administrative record, public third longest serving member as seat Appeals Board resigns, retires, or participation, and administrative review. three, and the most recent member as transfers before the expiration of the * * * * *
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(l) Appeal of permits. (1) Permit demonstrate that each challenge to the (iii) Upon the completion of remand decisions may be appealed under the permit decision is based on a finding of proceedings if the proceedings are permit appeal procedures of 40 CFR fact or conclusion of law that is clearly remanded, unless the Environmental 124.19. erroneous. Appeals Board’s remand order (2) An appeal under paragraph (l)(1) * * * * * specifically provides that appeal of the of this section is, under section 307(b) (e) Participation by amicus curiae. remand decision will be required to of the Act, a prerequisite to seeking Any interested person may file an exhaust administrative remedies. judicial review of the final agency amicus brief in any appeal pending (3) The Regional Administrator must action. before the Environmental Appeals promptly publish notice of any final * * * * * Board under this section. The deadline agency action in the Federal Register for filing such brief 21 days after the regarding the following permits: Subpart B—Permits for Early filing of the petition. Amicus briefs may (i) PSD permits; Reductions Sources not exceed 15 pages. (ii) Outer continental shelf permits issued under 40 CFR part 55; * * * * * ■ (iii) Federal Title V operating permits 8. Amend § 71.27 by revising (g) Motions for extension of time. (1) paragraph (l) to read as follows: issued under 40 CFR part 71; Parties must file motions for extensions (iv) Acid Rain permits appealed under § 71.27 Public participation and appeal. of time sufficiently in advance of the 40 CFR part 78; due date to allow other parties to have * * * * * (v) Tribal Major Non-Attainment NSR (l) Appeal of permits. (1) Permit a reasonable opportunity to respond to permits issued under 40 CFR 49.166 the request for more time and to provide decisions may be appealed under the through 49.173; and the Environmental Appeals Board with permit appeal procedures of 40 CFR (vi) Tribal Minor NSR permits issued a reasonable opportunity to issue an 124.19. under 40 CFR 49.151 through 49.161. order. (2) An appeal under paragraph (l)(1) [FR Doc. 2020–16257 Filed 8–20–20; 8:45 am] (2) Each party may only file one of this section is, under section 307(b) BILLING CODE 6560–50–P motion for extension and the requested of the Act, a prerequisite to seeking extension may not exceed 30 days. judicial review of the final agency action. * * * * * ENVIRONMENTAL PROTECTION (3) The filing of a petition for review (l) Final disposition. (1) Except as AGENCY of any condition of the permit or permit provided in paragraph (l)(2), the decision shall not stay the effect of any Environmental Appeals Board shall 40 CFR Parts 9 and 721 issue its decision on a permit appeal by contested permit or permit condition. the later date occurring 60 days after the [EPA–HQ–OPPT–2019–0595; FRL–10010– 61] * * * * * date on which: (i) The final brief has been submitted; RIN 2070–AB27 PART 124—PROCEDURES FOR or DECISIONMAKING (ii) Oral argument is concluded. Significant New Use Rules on Certain (2) The Environmental Appeals Board Chemical Substances (20–1.B) ■ 9. The authority citation for part 124 may, upon determining that the nature continues to read as follows: AGENCY: Environmental Protection and complexity of the case requires Agency (EPA). Authority: Resource Conservation and additional time, grant itself an Recovery Act, 42 U.S.C. 6901 et seq.; Safe additional 60 days to issue its decision. ACTION: Final rule. Drinking Water Act, 42 U.S.C. 300f et seq.; (3) Any written opinion issued by the SUMMARY: EPA is issuing significant new Clean Water Act, 33 U.S.C. 1251 et seq.; Environmental Appeals Board should Clean Air Act, 42 U.S.C. 7401 et seq. use rules (SNURs) under the Toxic only be as long as necessary to address Substances Control Act (TSCA) for Subpart A—General Program the specific issues presented to the chemical substances which are the Requirements Board in the appeal. subject of premanufacture notices (m) Judicial review. (1) A petition to (PMNs). This action requires persons to ■ 10. Amend § 124.19 by: the Environmental Appeals Board under notify EPA least 90 days before ■ a. Revising paragraphs (a)(4)(i), (e), (g) paragraph (a) of this section is, under 5 commencing manufacture (defined by and (l); U.S.C. 704, a prerequisite to seeking statute to include import) or processing ■ b. Removing paragraph (p); and judicial review of the final agency of any of these chemical substances for ■ c. Redesignating paragraphs (m) action. an activity that is designated as a (2) For purposes of judicial review through (o) as paragraphs (n) through (p) significant new use by this rule. The under the appropriate Act, final agency and adding a new paragraph (m). required notification initiates EPA’s action on a permit occurs when agency The revisions and additions read as evaluation of the chemical under the review procedures under this section follows: conditions of use within the applicable are exhausted and the Regional review period. Persons may not § 124.19 Appeal of RCRA, UIC, NPDES and Administrator subsequently issues a commence manufacture or processing PSD Permits. final permit decision under this for the significant new use until EPA (a) * * * paragraph. A final permit decision must has conducted a review of the notice, (4) * * * (i) In addition to meeting be issued by the Regional made an appropriate determination on the requirements in paragraph (d) of this Administrator: section, a petition for review must (i) When the Environmental Appeals the notice, and has taken such actions identify the contested permit condition Board issues notice to the parties that as are required as a result of that or other specific challenge to the permit the petition for review has been denied; determination. decision and clearly set forth, with legal (ii) When the Environmental Appeals DATES: This rule is effective on October and factual support, petitioner’s Board issues a decision on the merits of 20, 2020. For purposes of judicial contentions for why the permit decision the appeal and the decision does not review, this rule shall be promulgated at should be reviewed. The petition must include a remand of the proceedings; or 1 p.m. (e.s.t.) on September 4, 2020.
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FOR FURTHER INFORMATION CONTACT: For Pollution Prevention and Toxics Docket exemptions to reporting requirements, technical information contact: Kenneth (OPPT Docket), Environmental and applicability of the rule to uses Moss, Chemical Control Division Protection Agency Docket Center (EPA/ occurring before the effective date of the (7405M), Office of Pollution Prevention DC), West William Jefferson Clinton rule. Provisions relating to user fees and Toxics, Environmental Protection Bldg., Rm. 3334, 1301 Constitution Ave. appear at 40 CFR part 700. According to Agency, 1200 Pennsylvania Ave. NW, NW, Washington, DC. The Public 40 CFR 721.1(c), persons subject to Washington, DC 20460–0001; telephone Reading Room is open from 8:30 a.m. to these SNURs must comply with the number: (202) 564–9232; email address: 4:30 p.m., Monday through Friday, same SNUN requirements and EPA [email protected]. excluding legal holidays. The telephone regulatory procedures as submitters of For general information contact: The number for the Public Reading Room is PMNs under TSCA section 5(a)(1)(A). In TSCA-Hotline, ABVI-Goodwill, 422 (202) 566–1744, and the telephone particular, these requirements include South Clinton Ave., Rochester, NY number for the OPPT Docket is (202) the information submission 14620; telephone number: (202) 554– 566–0280. Please review the visitor requirements of TSCA sections 5(b) and 1404; email address: TSCA-Hotline@ instructions and additional information 5(d)(1), the exemptions authorized by epa.gov. about the docket available at http:// TSCA sections 5(h)(1), (h)(2), (h)(3), and SUPPLEMENTARY INFORMATION: www.epa.gov/dockets. (h)(5), and the regulations at 40 CFR part 720. Once EPA receives a SNUN, I. General Information II. Background EPA must either determine that the use A. Does this action apply to me? A. What action is the agency taking? is not likely to present an unreasonable risk of injury under the conditions of You may be potentially affected by EPA is finalizing a SNUR under TSCA use for the chemical substance or take this action if you manufacture, process, section 5(a)(2) for chemical substances such regulatory action as is associated or use the chemical substances which were the subject of PMNs P–16– with an alternative determination before contained in this rule. The following list 291, P–16–486, P–17–184, P–18–232, P– the manufacture or processing for the of North American Industrial 18–236, and P–18–264. These SNURs significant new use can commence. If Classification System (NAICS) codes is require persons who intend to EPA determines that the chemical not intended to be exhaustive, but rather manufacture or process any of these substance is not likely to present an provides a guide to help readers chemical substances for an activity that unreasonable risk, EPA is required determine whether this document is designated as a significant new use to under TSCA section 5(g) to make public, applies to them. Potentially affected notify EPA at least 90 days before and submit for publication in the entities may include: commencing that activity. • Federal Register, a statement of EPA’s Manufacturers or processors of one Previously, in the Federal Register of findings. or more subject chemical substances January 16, 2020 (85 FR 2676) (FRL– (NAICS codes 325 and 324110), e.g., 10002–68), EPA proposed a SNUR for III. Significant New Use Determination chemical manufacturing and petroleum these chemical substances in 40 CFR TSCA section 5(a)(2) states that EPA’s refineries. part 721 subpart E. More information on determination that a use of a chemical This action may also affect certain the specific chemical substances subject substance is a significant new use must entities through pre-existing import to this final rule can be found in the be made after consideration of all certification and export notification Federal Register documents proposing relevant factors, including: rules under TSCA. Chemical importers the SNUR. The record for the SNUR was • The projected volume of are subject to the TSCA section 13 (15 established in the docket under docket manufacturing and processing of a U.S.C. 2612) import provisions ID number EPA–HQ–OPPT–2019–0595. chemical substance. promulgated at 19 CFR 12.118 through That docket includes information • The extent to which a use changes 12.127 and 19 CFR 127.28. Chemical considered by the Agency in developing the type or form of exposure of human importers must certify that the shipment the proposed and final rules. beings or the environment to a chemical of the chemical substance complies with EPA received two public comments substance. all applicable rules and Orders under on this rule. A summary of those • The extent to which a use increases TSCA, which would include the SNUR comments and EPA’s responses are the magnitude and duration of exposure requirements. The EPA policy in found in Unit IV. of human beings or the environment to support of import certification appears a chemical substance. B. What is the Agency’s authority for at 40 CFR part 707, subpart B. In • The reasonably anticipated manner taking this action? addition, any persons who export or and methods of manufacturing, intend to export a chemical substance TSCA section 5(a)(2) (15 U.S.C. processing, distribution in commerce, that is the subject of this rule are subject 2604(a)(2)) authorizes EPA to determine and disposal of a chemical substance. to the export notification provisions of that a use of a chemical substance is a In addition to these factors TSCA section 12(b) (15 U.S.C. 2611(b)) ‘‘significant new use.’’ EPA must make enumerated in TSCA section 5(a)(2), the (see 40 CFR 721.20), and must comply this determination by rule after statute authorizes EPA to consider any with the export notification considering all relevant factors, other relevant factors. In determining requirements in 40 CFR part 707, including the four bulleted TSCA what would constitute a significant new subpart D. section 5(a)(2) factors listed in Unit III. use for the chemical substances that are As described in Unit II(C), the general the subject of these SNURs, EPA B. How can I access the docket? SNUR provisions are found at 40 CFR considered relevant information about The docket includes information part 721, subpart A. the toxicity of the chemical substances, considered by the Agency in developing and potential human exposures and the proposed and final rules. The docket C. Applicability of General Provisions environmental releases that may be for this action, identified by docket General provisions for SNURs appear associated with the substances, in the identification (ID) number EPA–HQ– in 40 CFR part 721, subpart A. These context of the four bulleted TSCA OPPT–2019–0595, is available at http:// provisions describe persons subject to section 5(a)(2) factors listed in this unit. www.regulations.gov or at the Office of the rule, recordkeeping requirements, During its review of these chemicals,
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EPA identified certain conditions of use The chemical substances that are the the Administrator under the conditions that are not intended by the submitters, subject of these SNURs completed of use, or make a determination under but reasonably foreseen to occur. EPA is premanufacture review. In addition to TSCA section 5(a)(3)(A) or (B) and take designating those reasonably foreseen those conditions of use intended by the the required regulatory action associated conditions of use as well as certain submitter, EPA has identified certain with the determination, before other circumstances of use as significant other reasonably foreseen conditions of manufacture or processing for the new uses. use and/or other circumstances of use. significant new use of the chemical EPA has preliminarily determined that substance can occur. IV. Public Comments on the Proposed the chemicals under their intended Issuance of a SNUR for a chemical Rule and EPA Responses conditions of use are not likely to substance does not signify that the EPA received two comments on the present an unreasonable risk. However, chemical substance is listed on the proposed rule: One from an identifying EPA has not assessed risks associated TSCA Chemical Substance Inventory entity and one that was anonymous. The with the reasonably foreseen conditions (TSCA Inventory). Guidance on how to anonymous commenter agrees that of use for these chemicals. EPA is determine if a chemical substance is on notice to EPA prior to commencement designating these reasonably foreseen the TSCA Inventory is available on the of the ‘‘significant new use’’ of the and other circumstances of use as internet at http://www.epa.gov/opptintr/ chemical substances is important; significant new uses. As a result, those existingchemicals/pubs/tscainventory/ therefore, no response by the Agency is significant new uses cannot occur index.html. required. The identifying commenter without first going through a separate, VII. Applicability of the Significant stated that these rules need to have subsequent EPA review and New Use Designation engineering controls that are determination process associated with appropriate to the chemical. These the SNUN. To establish a significant new use, comments are general in nature and not EPA must determine that the use is not specific to the SNUR and are more VI. Rationale and Objectives of the Rule ongoing. The chemical substances properly directed to the TSCA section A. Rationale subject to this rule have undergone 5(a)(3) determination for the PMN. EPA premanufacture review. In cases where During review of the PMNs submitted EPA has not received a notice of is therefore not responding to these for the chemical substances that are the comments. commencement (NOC) and the chemical subject of these SNURs and as further substance has not been added to the EPA is finalizing the SNURs as discussed in Unit IV. of the proposed proposed, except for correcting the TSCA Inventory, no person may rule, EPA identified certain reasonably commence such activities without first recordkeeping requirements of the foreseen conditions of use as well as SNUR proposed at 40 CFR 721.11449 for submitting a PMN. Therefore, for other circumstances different from the chemical substances for which an NOC the chemical substance 1- intended conditions of use identified in propanaminium, 2-hydroxy-N, N- has not been submitted EPA concludes the PMNs and determined that those that the designated significant new uses dimethyl-N-[3-[(1-oxooctyl- changes could result in changes in the amino]propyl]-3-sulfo-, inner salt (PMN are not ongoing. type or form of exposure to the chemical EPA designated December 2, 2019 P-17-184; CASRN 1612795–77–3). The substances and/or increased exposures (the date of web posting of the proposed Agency inadvertently omitted 40 CFR to the chemical substances and/or rule) as the cutoff date for determining 721.125(d), which is the recordkeeping changes in the reasonably anticipated whether the new use is ongoing. The requirement corresponding to the use of manner and methods of manufacturing, objective of EPA’s approach has been to any applicable personal protective processing, distribution in commerce, ensure that a person could not defeat a equipment required under 40 CFR and disposal of the chemical substances. SNUR by initiating a significant new use 721.63. B. Objectives before the effective date of the final rule. V. Substances Subject to This Rule In the unlikely event that a person EPA is issuing these SNURs because began commercial manufacture or EPA is establishing significant new the Agency wants: processing of the chemical substances use and recordkeeping requirements for • To receive notice of any person’s for a significant new use identified as of chemical substances in 40 CFR part 721, intent to manufacture or process a listed December 2, 2019, that person will have subpart E. In Unit IV. of the proposed chemical substance for the described to cease any such activity upon the SNUR, EPA provided the following significant new use before that activity effective date of the final rule. To information for each chemical begins. resume their activities, that person substance: • To have an opportunity to review • would have to first comply with all PMN number. and evaluate data submitted in a SNUN • applicable SNUR notification Chemical name (generic name, if before the notice submitter begins requirements and wait until EPA has the specific name is claimed as CBI). manufacturing or processing a listed • conducted a review of the notice, made Chemical Abstracts Service (CAS) chemical substance for the described an appropriate determination on the Registry number (if assigned for non- significant new use. notice, and has taken such actions as are confidential chemical identities). • To be obligated to make a required with that determination. • Basis for the SNUR. determination under TSCA section • Potentially Useful Information. 5(a)(3) regarding the use described in VIII. Development and Submission of • CFR citation assigned in the the SNUN, under the conditions of use. Information regulatory text section of these rules. The Agency will either determine under EPA recognizes that TSCA section 5 The regulatory text section of these TSCA section 5(a)(3)(C) that the does not require development of any rules specifies the activities designated chemical, under the conditions of use, particular new information (e.g., as significant new uses. Certain new is not likely to present an unreasonable generating test data) before submission uses, including production volume risk, including an unreasonable risk to of a SNUN. There is an exception: If a limits and other uses designated in the a potentially exposed or susceptible person is required to submit information rules, may be claimed as CBI. subpopulation identified as relevant by for a chemical substance pursuant to a
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rule, Order or consent agreement under • Information on risks posed by the submitting a PMN, including TSCA section 4 (15 U.S.C. 2603), then chemical substances compared to risks submission of test data on health and TSCA section 5(b)(1)(A) (15 U.S.C. posed by potential substitutes. environmental effects as described in 40 2604(b)(1)(A)) requires such information CFR 720.50. SNUNs must be submitted IX. Procedural Determinations to be submitted to EPA at the time of on EPA Form No. 7710–25, generated submission of the SNUN. By this rule, EPA is establishing using e-PMN software, and submitted to certain significant new uses which have In the absence of a rule, Order, or the Agency in accordance with the been claimed as CBI subject to Agency consent agreement under TSCA section procedures set forth in 40 CFR 720.40 confidentiality regulations at 40 CFR 4 covering the chemical substance, and 40 CFR 721.25. e-PMN software is part 2 and 40 CFR part 720, subpart E. persons are required only to submit available electronically at http:// Absent a final determination or other information in their possession or www.epa.gov/opptintr/newchems. disposition of the confidentiality claim control and to describe any other under 40 CFR part 2 procedures, EPA is XI. Economic Analysis information known to or reasonably required to keep this information EPA has evaluated the potential costs ascertainable by them (see 40 CFR confidential. EPA promulgated a of establishing SNUN requirements for 720.50). However, upon review of PMNs procedure to deal with the situation potential manufacturers and processors and SNUNs, the Agency has the where a specific significant new use is of the chemical substances subject to authority to require appropriate testing. CBI, at 40 CFR 721.1725(b)(1). this rule. EPA’s complete economic Unit IV. of the proposed rule lists Under these procedures a analysis is available in the docket under potentially useful information for all manufacturer or processor may request docket ID number EPA–HQ–OPPT– SNURs listed here. Descriptions are EPA to determine whether a proposed 2019–0595. provided for informational purposes. use would be a significant new use The potentially useful information under the rule. The manufacturer or XII. Statutory and Executive Order identified in Unit IV. of the proposed processor must show that it has a bona Reviews rule will be useful to EPA’s evaluation fide intent to manufacture or process the Additional information about these in the event that someone submits a chemical substance and must identify statutes and Executive Orders can be SNUN for the significant new use. the specific use for which it intends to found at https://www.epa.gov/laws- Companies who are considering manufacture or process the chemical regulations-and-executive-orders. submitting a SNUN are encouraged, but substance. If EPA concludes that the not required, to develop the information person has shown a bona fide intent to A. Executive Order 12866: Regulatory on the substance. manufacture or process the chemical Planning and Review and Executive EPA strongly encourages persons, substance, EPA will tell the person Order 13563: Improving Regulations before performing any testing, to consult whether the use identified in the bona and Regulatory Review with the Agency. Furthermore, pursuant fide submission would be a significant This action establishes SNURs for to TSCA section 4(h), which pertains to new use under the rule. Since most of several new chemical substances that reduction of testing in vertebrate the chemical identities of the chemical were the subject of PMNs. The Office of animals, EPA encourages consultation substances subject to these SNURs are Management and Budget (OMB) has with the Agency on the use of also CBI, manufacturers and processors exempted these types of actions from alternative test methods and strategies can combine the bona fide submission review under Executive Orders 12866 (also called New Approach under the procedure in 40 CFR (58 FR 51735, October 4, 1993) and Methodologies, or NAMs), if available, 721.1725(b)(1) with that under 40 CFR 13563 (76 FR 3821, January 21, 2011). to generate the recommended test data. 721.11 into a single step. B. Paperwork Reduction Act (PRA) EPA encourages dialog with Agency If EPA determines that the use representatives to help determine how identified in the bona fide submission According to PRA (44 U.S.C. 3501 et best the submitter can meet both the would not be a significant new use, i.e., seq.), an agency may not conduct or data needs and the objective of TSCA the use does not meet the criteria sponsor, and a person is not required to section 4(h). specified in the rule for a significant respond to a collection of information that requires OMB approval under PRA, The potentially useful information new use, that person can manufacture or unless it has been approved by OMB described in Unit IV. of the proposed process the chemical substance so long and displays a currently valid OMB rule may not be the only means of as the significant new use trigger is not control number. The OMB control providing information to evaluate the met. In the case of a production volume numbers for EPA’s regulations in title 40 chemical substance associated with the trigger, this means that the aggregate of the CFR, after appearing in the significant new uses. However, annual production volume does not Federal Register, are listed in 40 CFR submitting a SNUN without any test exceed that identified in the bona fide part 9, and included on the related data may increase the likelihood that submission to EPA. Because of collection instrument or form, if EPA will take action under TSCA confidentiality concerns, EPA does not applicable. EPA is amending the table in sections 5(e) or 5(f). EPA recommends typically disclose the actual production 40 CFR part 9 to list the OMB approval that potential SNUN submitters contact volume that constitutes the use trigger. number for the information collection EPA early enough so that they will be Thus, if the person later intends to requirements contained in this action. able to conduct the appropriate tests. exceed that volume, a new bona fide submission would be necessary to This listing of the OMB control numbers SNUN submitters should be aware determine whether that higher volume and their subsequent codification in the that EPA will be better able to evaluate would be a significant new use. CFR satisfies the display requirements SNUNs which provide detailed of PRA and OMB’s implementing information on the following: X. SNUN Submissions regulations at 5 CFR part 1320. This • Human exposure and According to 40 CFR 721.1(c), persons Information Collection Request (ICR) environmental release that may result submitting a SNUN must comply with was previously subject to public notice from the significant new use of the the same notification requirements and and comment prior to OMB approval, chemical substances. EPA regulatory procedures as persons and given the technical nature of the
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table, EPA finds that further notice and in FY2015, 10 in FY2016, 14 in FY2017, (65 FR 67249, November 9, 2000), do comment to amend it is unnecessary. As and 11 in FY2018 and only a fraction of not apply to this action. a result, EPA finds that there is ‘‘good these were from small businesses. In cause’’ under section 553(b)(3)(B) of the addition, the Agency currently offers G. Executive Order 13045: Protection of Administrative Procedure Act (5 U.S.C. relief to qualifying small businesses by Children From Environmental Health 553(b)(3)(B)) to amend this table reducing the SNUN submission fee from Risks and Safety Risks without further notice and comment. $16,000 to $2,800. This lower fee This action is not subject to Executive The information collection reduces the total reporting and Order 13045 (62 FR 19885, April 23, requirements related to this action have recordkeeping of cost of submitting a 1997), because this is not an already been approved by OMB SNUN to about $10,116 for qualifying pursuant to PRA under OMB control economically significant regulatory small firms. Therefore, the potential action as defined by Executive Order number 2070–0012 (EPA ICR No. 574). economic impacts of complying with 12866, and this action does not address This action does not impose any burden this SNUR are not expected to be environmental health or safety risks requiring additional OMB approval. If significant or adversely impact a disproportionately affecting children. an entity were to submit a SNUN to the substantial number of small entities. In Agency, the annual burden is estimated a SNUR that published in the Federal H. Executive Order 13211: Actions to average between 30 and 170 hours Register of June 2, 1997 (62 FR 29684) Concerning Regulations That per response. This burden estimate (FRL–5597–1), the Agency presented its Significantly Affect Energy Supply, includes the time needed to review general determination that final SNURs Distribution, or Use instructions, search existing data are not expected to have a significant sources, gather and maintain the data economic impact on a substantial This action is not subject to Executive needed, and complete, review, and number of small entities, which was Order 13211 (66 FR 28355, May 22, submit the required SNUN. provided to the Chief Counsel for 2001), because this action is not Send any comments about the Advocacy of the Small Business expected to affect energy supply, accuracy of the burden estimate, and Administration. distribution, or use and because this any suggested methods for minimizing action is not a significant regulatory respondent burden, including through D. Unfunded Mandates Reform Act action under Executive Order 12866. the use of automated collection (UMRA) techniques, to the Director, Regulatory I. National Technology Transfer and Based on EPA’s experience with Support Division, Office of Mission Advancement Act (NTTAA) proposing and finalizing SNURs, State, Support (2822T), Environmental local, and Tribal governments have not Protection Agency, 1200 Pennsylvania In addition, since this action does not been impacted by these rulemakings, Ave. NW, Washington, DC 20460–0001. involve any technical standards, and EPA does not have any reasons to Please remember to include the OMB NTTAA section 12(d) (15 U.S.C. 272 believe that any State, local, or Tribal control number in any correspondence, note), does not apply to this action. government will be impacted by this but do not submit any completed forms J. Executive Order 12898: Federal to this address. action. As such, EPA has determined that this action does not impose any Actions To Address Environmental C. Regulatory Flexibility Act (RFA) enforceable duty, contain any unfunded Justice in Minority Populations and Low-Income Populations Pursuant to RFA section 605(b) (5 mandate, or otherwise have any effect on small governments subject to the U.S.C. 601 et seq.), the Agency hereby This action does not entail special requirements of UMRA sections 202, certifies that promulgation of this SNUR considerations of environmental justice 203, 204, or 205 (2 U.S.C. 1501 et seq.). would not have a significant adverse related issues as delineated by economic impact on a substantial E. Executive Order 13132: Federalism Executive Order 12898 (59 FR 7629, number of small entities. The February 16, 1994). requirement to submit a SNUN applies This action will not have a substantial to any person (including small or large direct effect on States, on the XIII. Congressional Review Act entities) who intends to engage in any relationship between the national activity described in the final rule as a government and the States, or on the Pursuant to the Congressional Review ‘‘significant new use.’’ Because these distribution of power and Act (5 U.S.C. 801 et seq.), EPA will uses are ‘‘new,’’ based on all responsibilities among the various submit a report containing this rule and information currently available to EPA, levels of government, as specified in other required information to the U.S. it appears that no small or large entities Executive Order 13132, entitled Senate, the U.S. House of presently engage in such activities. A ‘‘Federalism’’ (64 FR 43255, August 10, Representatives, and the Comptroller SNUR requires that any person who 1999). General of the United States prior to publication of the rule in the Federal intends to engage in such activity in the F. Executive Order 13175: Consultation future must first notify EPA by Register. This action is not a ‘‘major and Coordination With Indian Tribe rule’’ as defined by 5 U.S.C. 804(2). submitting a SNUN. Although some Governments small entities may decide to pursue a List of Subjects significant new use in the future, EPA This action does not have Tribal cannot presently determine how many, implications because it is not expected 40 CFR Part 9 if any, there may be. However, EPA’s to have substantial direct effects on experience to date is that, in response to Indian Tribes. This action does not Environmental protection, Reporting the promulgation of SNURs covering significantly nor uniquely affect the and recordkeeping requirements. over 1,000 chemicals, the Agency communities of Indian Tribal 40 CFR Part 721 receives only a small number of notices governments, nor does it involve or per year. For example, the number of impose any requirements that affect Environmental protection, Chemicals, SNUNs received was seven in Federal Indian Tribes. Accordingly, the Hazardous substances, Reporting and fiscal year (FY) 2013, 13 in FY2014, six requirements of Executive Order 13175 recordkeeping requirements.
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Dated: July 16, 2020. Sec. (b) Specific requirements. The Tala Henry, * * * * * provisions of subpart A of this part Deputy Director, Office of Pollution 721.11447 1,3-Cyclohexanedimethanamine apply to this section except as modified Prevention and Toxics. adduct (generic). by this paragraph (b). Therefore, for the reasons stated in the 721.11448 Polychloropropane (generic). (1) Recordkeeping. Recordkeeping preamble, the EPA amends 40 CFR parts 721.11449 1-Propanaminium, 2-hydroxy- requirements as specified in 9 and 721 as follows: N,N-dimethyl-N-[3-[(1- oxooctyl)amino]propyl]-3-sulfo-, inner § 721.125(a) through (c), (i), and (j) are salt. applicable to manufacturers and PART 9—OMB APPROVALS UNDER processors of this substance. THE PAPERWORK REDUCTION ACT 721.11450 Polyol, reaction products with formaldehyde and methanol (generic). (2) Limitations or revocation of ■ 1. The authority citation for part 9 721.11451 Metal, alkenoic acid-alkyl certain notification requirements. The alkenoate-alkyl substituted alkenoate continues to read as follows: provisions of § 721.185 apply to this polymer carbopolycycle complexes section. Authority: 7 U.S.C. 135 et seq., 136–136y; (generic). 15 U.S.C. 2001, 2003, 2005, 2006, 2601–2671; 721.11452 Phosphonomethylated ether § 721.11449 1-Propanaminium, 2-hydroxy- 21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33 diamine (generic). N,N-dimethyl-N-[3-[(1- U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318, * * * * * oxooctyl)amino]propyl]-3-sulfo-, inner salt. 1321, 1326, 1330, 1342, 1344, 1345 (d) and (a) Chemical substance and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, § 721.11447 1,3- 1971–1975 Comp. p. 973; 42 U.S.C. 241, Cyclohexanedimethanamine adduct significant new uses subject to reporting. 242b, 243, 246, 300f, 300g, 300g–1, 300g–2, (generic). (1) The chemical substance identified as 300g–3, 300g–4, 300g–5, 300g–6, 300j–1, (a) Chemical substance and 1-Propanaminium, 2-hydroxy-N,N- 300j–2, 300j–3, 300j–4, 300j–9, 1857 et seq., significant new uses subject to reporting. dimethyl-N-[3-[(1- 6901–6992k, 7401–7671q, 7542, 9601–9657, oxooctyl)amino]propyl]-3-sulfo-, inner 11023, 11048. (1) The chemical substance identified generically as 1,3- salt (PMN P-17-184; CASRN 1612795– ■ 2. In § 9.1, amend the table by adding cyclohexanedimethanamine adduct 77–3) is subject to reporting under this entries for §§ 721.11447 through (PMN P-16-291) is subject to reporting section for the significant new uses 721.11452 in numerical order under the under this section for the significant described in paragraph (a)(2) of this undesignated center heading new uses described in paragraph (a)(2) section. ‘‘Significant New Uses of Chemical of this section. (2) The significant new uses are: Substances’’ to read as follows: (2) The significant new uses are: (i) Protection in the workplace. § 9.1 OMB approvals under the Paperwork (i) Industrial, commercial, and Requirements as specified in Reduction Act. consumer activities. Requirements as § 721.63(a)(4) and (5), (b)(concentration * * * * * specified in § 721.80(o). set at 1.0%) and (c). When determining (ii) Release to water. Requirements as which persons are reasonable likely to OMB control specified in § 721.90(a)(4), (b)(4), and be exposed as required for 40 CFR citation No. (c)(4), where N=74. § 721.63(a)(4), engineering control (b) Specific requirements. The measures (e.g., enclosure or provisions of subpart A of this part confinement of the operation, general ***** apply to this section except as modified and local ventilation) or administrative Significant New Uses of Chemical by this paragraph (b). control measures (e.g., workplace Substances (1) Recordkeeping. Recordkeeping policies and procedures) shall be requirements as specified in considered and implemented to prevent § 721.125(a) through (c), (i), and (k) are exposures, where feasible. For purposes ***** applicable to manufacturers and of § 721.63(a)(5), respirators must 721.11447 ...... 2070–0012 processors of this substance. provide a National Institute for 721.11448 ...... 2070–0012 (2) Limitations or revocation of Occupational Safety and Health 721.11449 ...... 2070–0012 certain notification requirements. The assigned protection factor of at least 721.11450 ...... 2070–0012 provisions of § 721.185 apply to this 721.11451 ...... 2070–0012 1000. 721.11452 ...... 2070–0012 section. (ii) Industrial, commercial, and § 721.11448 Polychloropropane (generic). consumer activities. It is a significant ***** (a) Chemical substance and new use to manufacture, process or use the substance for use other than * * * * * significant new uses subject to reporting. (1) The chemical substance identified firefighting foams, industrial all-purpose cleaners, and transportation washes. It PART 721—SIGNIFICANT NEW USES generically as polychloropropane (PMN is a significant new use to process the OF CHEMICAL SUBSTANCES P-16-486) is subject to reporting under this section for the significant new uses substance to greater than 10% by weight ■ 3. The authority citation for part 721 described in paragraph (a)(2) of this in the final formulated product. continues to read as follows: section. (b) Specific requirements. The provisions of subpart A of this part Authority: 15 U.S.C. 2604, 2607, and (2) The significant new uses are: 2625(c). (i) Industrial, commercial, and apply to this section except as modified consumer activities. Requirements as by this paragraph (b). ■ 4. Add §§ 721.11447 through specified in § 721.80(a), (b), (c), and (h). (1) Recordkeeping. Recordkeeping 721.11452 to subpart E to read as It is a significant new use to use requirements as specified in follows: sampling methods other than the ‘‘zero- § 721.125(a) through (d), and (i) are Subpart E—Significant New Uses for contact’’ methods described in the PMN. applicable to manufacturers and Specific Chemical Substances (ii) Disposal. Requirements as processors of this substance. specified in § 721.85(a)(1), (b)(1), and (2) Limitations or revocation of * * * * * (c)(1). certain notification requirements. The
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provisions of § 721.185 apply to this apply to this section except as modified related to control of emissions from section. by this paragraph (b). production of pesticides and herbicides (1) Recordkeeping. Recordkeeping in the Kansas City area. This final action § 721.11450 Polyol, reaction products with requirements as specified in will amend the SIP to remove certain formaldehyde and methanol (generic). § 721.125(a) through (c), (i), and (k) are provisions from the rule, consolidate (a) Chemical substance and applicable to manufacturers and requirements, include incorporations by significant new uses subject to reporting. processors of this substance. reference and revise restrictive (1) The chemical substance identified (2) Limitations or revocation of language. The EPA’s approval of these generically as polyol, reaction products certain notification requirements. The rule revisions is being done in with formaldehyde and methanol (PMN provisions of § 721.185 apply to this accordance with the requirements of the P-18-232) is subject to reporting under section. Clean Air Act (CAA). this section for the significant new uses (3) Determining whether a specific use DATES: This final rule is effective on described in paragraph (a)(2) of this is subject to this section. The provisions September 21, 2020. section. of § 721.1725(b)(1) apply to paragraph (2) The significant new uses are: (a)(2)(i) of this section. ADDRESSES: The EPA has established a (i) Industrial, commercial, and docket for this action under Docket ID consumer activities. It is a significant § 721.11452 Phosphonomethylated ether No. EPA–R07–OAR–2020–0014. All new use to manufacture, process or use diamine (generic). documents in the docket are listed on of the substance in a manner that results (a) Chemical substance and the https://www.regulations.gov in inhalation exposure. It is a significant significant new uses subject to reporting. website. Although listed in the index, new use to manufacture the substance at (1) The chemical substance identified some information is not publicly greater than the confidential annual generically as phosphonomethylated available, i.e., CBI or other information production volume described in the ether diamine (PMN P-18-264) is subject whose disclosure is restricted by statute. PMN. to reporting under this section for the Certain other material, such as (ii) [Reserved]. significant new uses described in copyrighted material, is not placed on (b) Specific requirements. The paragraph (a)(2) of this section. the internet and will be publicly provisions of subpart A of this part (2) The significant new uses are: available only in hard copy form. apply to this section except as modified (i) Industrial, commercial, and Publicly available docket materials are by this paragraph (b). consumer activities. It is a significant available through https:// (1) Recordkeeping. Recordkeeping new use to manufacture, processing or www.regulations.gov or please contact requirements as specified in use of the PMN substance in a manner the person identified in the FOR FURTHER § 721.125(a) through (c), and (i) are that results in inhalation exposure. INFORMATION CONTACT section for applicable to manufacturers and (ii) [Reserved]. additional information. processors of this substance. (b) Specific requirements. The (2) Limitations or revocation of provisions of subpart A of this part FOR FURTHER INFORMATION CONTACT: Will certain notification requirements. The apply to this section except as modified Stone, Environmental Protection provisions of § 721.185 apply to this by this paragraph (b). Agency, Region 7 Office, Air Quality section. (1) Recordkeeping. Recordkeeping Planning Branch, 11201 Renner (3) Determining whether a specific use requirements as specified in Boulevard, Lenexa, Kansas 66219; is subject to this section. The provisions § 721.125(a) through (c), and (i) are telephone number: (913) 551–7714; of § 721.1725(b)(1) apply to paragraph applicable to manufacturers and email address: [email protected]. (a)(2)(i) of this section. processors of this substance. SUPPLEMENTARY INFORMATION: (2) Limitations or revocation of Throughout this document ‘‘we,’’ ‘‘us,’’ § 721.11451 Metal, alkenoic acid-alkyl certain notification requirements. The and ‘‘our’’ refer to EPA. alkenoate-alkyl substituted alkenoate provisions of § 721.185 apply to this polymer carbopolycycle complexes Table of Contents (generic). section. I. What is being addressed in this document? (a) Chemical substance and [FR Doc. 2020–16382 Filed 8–20–20; 8:45 am] BILLING CODE 6560–50–P II. Have the requirements for approval of a significant new uses subject to reporting. SIP revision been met? (1) The chemical substance identified III. The EPA’s Response to Comments generically as metal, alkenoic acid-alkyl ENVIRONMENTAL PROTECTION IV. What action is the EPA taking? alkenoate-alkyl substituted alkenoate V. Incorporation by Reference AGENCY polymer carbopolycycle complexes VI. Statutory and Executive Order Reviews (PMN P-18-236) is subject to reporting 40 CFR Part 52 I. What is being addressed in this under this section for the significant document? new uses described in paragraph (a)(2) [EPA–R07–OAR–2020–0014; FRL–10012– of this section. 93–Region 7] The EPA is approving revisions to 10 (2) The significant new uses are: Air Plan Approval; Missouri; Control of Code of State Regulation (CSR) 10– (i) Industrial, commercial, and Emissions From Production of 2.320, Control of Emissions from consumer activities. Requirements as Pesticides and Herbicides Production of Pesticides and Herbicides specified in § 721.80(j). It is a significant in the Missouri SIP. Missouri made new use to manufacture, processing or AGENCY: Environmental Protection several revisions to the rule. These use of the PMN substance in a manner Agency (EPA). revisions are described in detail in the that results in inhalation exposure. ACTION: Final rule. technical support document (TSD) (ii) Release to water. Requirements as included in the docket for this action. specified in § 721.90(a)(4), (b)(4), and SUMMARY: The Environmental Protection The EPA is finalizing this action (c)(4), where N=50. Agency (EPA) is taking final action to because the revisions to these rules meet (b) Specific requirements. The approve a revision to the State the applicable requirements of the Clean provisions of subpart A of this part Implementation Plan (SIP) for its rule Air Act.
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II. Have the requirements for approval emission limit changes, etc., to the rule raised by the commenter address the of a SIP revision been met? already approved in the state’s SIP. wording and substance of the state rule The State submission has met the The EPA did not intend to solicit approved by the agency in 1989. public notice requirements for SIP comments on the portions of the rule Accordingly, any challenge to the 1989 submissions in accordance with 40 CFR that the state did not change in this approval would be governed the timing requirements in Clean Air Act section 51.102. The submission also satisfied rulemaking. The NPRM did not request 301, 42 U.S.C. 7601. the completeness criteria of 40 CFR part comment on the portions of the rule that were unchanged. Further, EPA’s Further, EPA notes that the rule now 51, appendix V. The State provided covers only one source, that existed public notice on this SIP revision from comments during the state’s rulemaking process that led to this SIP revision when 10 CSR 10–2.320 was first August 1, 2018 to September 30, 2018 approved, in an area that is currently and received fourteen comments on the focused only on the administrative and minor changes made to the rule, not on attaining all of the NAAQS, including two rules. Missouri responded to all ozone. This rule will continue to apply comments. As stated in the TSD for this the substantive requirements previously approved into the SIP. See EPA–R07– to this source and any new sources will action, the revision meets the be subject to the appropriate permitting substantive SIP requirements of the OAR–2020–0014, State Submittal, p. 19.1 Thus, the agency’s comments on requirements of the Clean Air Act and CAA, including section 110 and the Missouri State Implementation Plan. implementing regulations. the state’s draft SIP submission reflect that the agency was not evaluating the The commenters focus entirely on III. The EPA’s Response to Comments state rule for any purposes other than portions of the rule that were not the minor revisions the state intended to changed by this rulemaking, but instead The public comment period on the were approved into the SIP by the EPA’s proposed rule was open from make. As demonstrated by the language in agency in 1989 and 1995. As discussed February 4, 2020 through March 5, above, the agency did not reopen these 2020. During this period, EPA received both the TSD and the notice of proposed rulemaking, the agency was not provisions for comment. Therefore, EPA several comments from two is finalizing this SIP revision. commenters. evaluating, and did not intend to evaluate, this SIP revision for Anonymous Commenter Comments From Center for Biological substantive purposes. This action Comment: The commenter stated that Diversity and Center for Environmental merely approves the state’s editorial and Health EPA should not approve this SIP renumbering changes to the existing, revision unless Missouri addresses all Comment: The Center for Biological approved SIP provision. the comments and makes all the Diversity and Center for Environmental The agency first approved the changes EPA requested in its comments Health made several comments in their provision into the Missouri SIP in 1989. on the rule. comment letter related to language that 54 FR 10322 (March 13, 1989). The state Response: During Missouri’s public had been previously approved into the subsequently amended the rule, which comment process, EPA submitted SIP when it was approved in 1989. See EPA approved. 59 FR 43480 (Aug. 24, comments on the state’s proposed 54 FR 10322 (March 13, 1989) and 54 1994) (correction document 60 FR revisions to a number of existing SIP FR 46232 (November 2, 1989). The 16806 April 3, 1995). Courts have provisions. EPA submitted some general commenters raise the following issues: indicated that actions, such as the comments applicable to the state’s (1) The sources covered by the rule; (2) action taken on this rule, do not reopen revisions to all of the state rules at issue, the sufficiency of the monitoring and issues on which the agency was not not all of which were applicable to the recordkeeping provisions; and (3) the seeking comment. Sierra Club v. EPA, revisions to 10 CSR 10–2.320 at issue in legal sufficiency of language related to 551 F.3d 1019, 1024 (D.C. Cir. 2008) this action. EPA submitted three the director’s review of records kept by (citing Am. Iron & Steel Inst. v. EPA, comments to the state that were specific subject sources. 886 F.2d 390, 397 (D.C. Cir. 1989)) to the rule revisions addressed in this Response: EPA appreciates the (‘‘Under the reopening doctrine, the action. These specific comments by EPA comments on the proposal, but they are time for seeking review starts anew were related to clarity and references in not germane to the SIP revision at issue where the agency reopens an issue by the rulemaking and Missouri made in this action. As described in detail in holding out the unchanged section as a those revisions. EPA has determined the TSD to this rulemaking, the proposed regulation, offering an that the state’s submission has met the revisions to this rule are administrative explanation for its language, soliciting requirements of the Clean Air Act. comments on its substance, and in nature and do not change the purpose IV. What action is the EPA taking? or substance of the preexisting state rule responding to the comments in in the SIP. The TSD, included in the promulgating the regulation in its final The EPA is taking final action to docket for this rulemaking, detail the form.’’); Appalachian Power v. EPA, 251 amend 10 CSR 10–2.320 Control of revisions the state made to the prior F.3d 1026 (D.C. Cir. 2004).2 The issues Emissions from Production of Pesticides version of the rule using strikeout, bold and Herbicides, which applies in the and red lettering. These minor changes 1 Although EPA’s comments on the rulemaking Kansas City area. included a comment related to MDNR’s include, for example, moving previously requirement to comply with the requirements of approved language into a new section Utah Copper Corp. v. U.S. Dept. of the Interior, 88 CAA sections 110 and 193, 42 U.S.C. 7410 and F.3d 1191 at 1220 (no reopener where agency (revisions to section (3) and (4)); 7515; as demonstrated by the EPA’s comment letter, ‘‘merely re-worded the provision’’ with ‘‘no renumbering paragraphs (revisions to those comments applied generally to all SIP meaningful difference’’); Columbia Falls Aluminum revisions made by MDNR. Further, because this rule sections (4) and (5)); and other minor Co. v. EPA, 139 F.3d 914, 920 (D.C. Cir. 1998) did not have substantive changes to the (dictum) (no reopener where agency action ‘‘merely wording changes (revisions to section requirements previously SIP-approved in 1989, republished an existing rule’’); cf. also Pub. Citizen (1)). EPA’s TSD analysis focused only MDNR was not required to make a demonstration v. Nuclear Regulatory Com., 901 F.2d 147, 150 (D.C. on these wording changes and did not under section 110 or 193 because there would be Cir. 1990) (‘‘where an agency’s actions show that it no emissions increases related to the changes in the evaluate the unchanged portions of the has not merely republished an existing rule in order rulemaking. to propose minor changes to it, but has preexisting state rule. The state made no 2 ARTBA v. EPA, 588 F.3d 1109 at 1114 (rewriting reconsidered the rule and decided to keep it in substantive changes e.g., applicability, a rule in plain language does not reopen); Kennecott effect, challenges to the rule are in order’’).
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V. Incorporation by Reference of the Paperwork Reduction Act (44 required information to the U.S. Senate, U.S.C. 3501 et seq.); the U.S. House of Representatives, and In this document, the EPA is • Is certified as not having a the Comptroller General of the United finalizing regulatory text that includes significant economic impact on a States prior to publication of the rule in incorporation by reference. In substantial number of small entities the Federal Register. A major rule accordance with requirements of 1 CFR under the Regulatory Flexibility Act (5 cannot take effect until 60 days after it 51.5, the EPA is finalizing the U.S.C. 601 et seq.); is published in the Federal Register. incorporation by reference of the • Does not contain any unfunded This action is not a ‘‘major rule’’ as Missouri Regulations described in the mandate or significantly or uniquely defined by 5 U.S.C. 804(2). amendments to 40 CFR part 52 set forth affect small governments, as described Under section 307(b)(1) of the Clean below. The EPA has made, and will in the Unfunded Mandates Reform Act Air Act CAA, petitions for judicial continue to make, these materials of 1995 (Pub. L. 104–4); review of this action must be filed in the generally available through • Does not have Federalism United States Court of Appeals for the www.regulations.gov and at the EPA implications as specified in Executive appropriate circuit by October 20, 2020. Region 7 Office (please contact the Order 13132 (64 FR 43255, August 10, Filing a petition for reconsideration by person identified in the FOR FURTHER 1999); the Administrator of this final rule does INFORMATION CONTACT section of this • Is not an economically significant not affect the finality of this action for preamble for more information). regulatory action based on health or the purposes of judicial review nor does Therefore, these materials have been safety risks subject to Executive Order it extend the time within which a approved by the EPA for inclusion in 13045 (62 FR 19885, April 23, 1997); petition for judicial review may be filed, the State Implementation Plan, have • Is not a significant regulatory action and shall not postpone the effectiveness been incorporated by reference by EPA subject to Executive Order 13211 (66 FR of such rule or action. This action may into that plan, are fully federally 28355, May 22, 2001); not be challenged later in proceedings to enforceable under sections 110 and 113 • Is not subject to requirements of the enforce its requirements. (See section of the CAA as of the effective date of the National Technology Transfer and 307(b)(2)). final rulemaking of the EPA’s approval, Advancement Act (NTTA) because this and will be incorporated by reference in rulemaking does not involve technical List of Subjects in 40 CFR Part 52 3 the next update to the SIP compilation. standards; and Environmental protection, Air VI. Statutory and Executive Order • Does not provide EPA with the pollution control, Incorporation by Reviews discretionary authority to address, as reference, Intergovernmental relations, appropriate, disproportionate human Ozone, Reporting and recordkeeping Under the Clean Air Act CAA, the health or environmental effects, using requirements, Volatile organic Administrator is required to approve a practicable and legally permissible compounds. SIP submission that complies with the methods, under Executive Order 12898 provisions of the Act and applicable Dated: July 24, 2020. (59 FR 7629, February 16, 1994). James Gulliford, Federal regulations. 42 U.S.C. 7410(k); In addition, the SIP is not approved 40 CFR 52.02(a). Thus, in reviewing SIP to apply on any Indian reservation land Regional Administrator, Region 7. submissions, EPA’s role is to approve or in any other area where the EPA or For the reasons stated in the state choices, provided that they meet an Indian tribe has demonstrated that a preamble, the EPA amends 40 CFR part the criteria of the CAA. Accordingly, tribe has jurisdiction. In those areas of 52 as set forth below: this action merely approves state law as Indian country, the rule does not have PART 52—APPROVAL AND meeting Federal requirements and does tribal implications and will not impose not impose additional requirements PROMULGATION OF substantial direct costs on tribal IMPLEMENTATION PLANS beyond those imposed by state law. For governments or preempt tribal law as that reason, this action: specified by Executive Order 13175 (65 ■ 1. The authority citation for part 52 • Is not a significant regulatory action FR 67249, November 9, 2000). continues to read as follows: subject to review by the Office of The Congressional Review Act, 5 Management and Budget under U.S.C. 801 et seq., as added by the Small Authority: 42 U.S.C. 7401 et seq. Executive Orders 12866 (58 FR 51735, Business Regulatory Enforcement Subpart—AA Missouri October 4, 1993) and 13563 (76 FR 3821, Fairness Act of 1996, generally provides January 21, 2011); that before a rule may take effect, the ■ 2. In § 52.1320, the table in paragraph • Is not an Executive Order 13771 (82 agency promulgating the rule must (c) is amended by revising the entry FR 9339, February 2, 2017) regulatory submit a rule report, which includes a ‘‘10–2.320’’ to read as follows: action because SIP approvals are copy of the rule, to each House of the exempted under Executive Order 12866. Congress and to the Comptroller General § 52.1320 Identification of plan. • Does not impose an information of the United States. EPA will submit a * * * * * collection burden under the provisions report containing this action and other (c) * * *
EPA-APPROVED MISSOURI REGULATIONS
State Missouri Title effective EPA approval date Explanation citation date
Missouri Department of Natural Resources
3 62 FR 27968 (May 22, 1997).
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EPA-APPROVED MISSOURI REGULATIONS—Continued
State Missouri Title effective EPA approval date Explanation citation date
*******
Chapter 2—Air Quality Standards and Air Pollution Control Regulations for the Kansas City Metropolitan Area
******* 10–2.320 ...... Control of Emissions from Production of Pesticides 1/30/19 8/21/20, [insert Federal and Herbicides. Register citation].
*******
* * * * * publicly available only in hard copy action are explained in the DFR and will [FR Doc. 2020–16440 Filed 8–20–20; 8:45 am] form. Publicly available docket not be restated here. Our response to the BILLING CODE 6560–50–P materials are available at https:// adverse comment on the NPRM is www.regulations.gov, or at the U.S. summarized and responded to in Environmental Protection Agency, EPA section II below. ENVIRONMENTAL PROTECTION Region 1 Regional Office, Air and II. Response to Comment AGENCY Radiation Division, 5 Post Office Square—Suite 100, Boston, MA. EPA We received one relevant adverse 40 CFR Part 52 requests that if at all possible, you comment on the NPRM. A summary of [EPA–R01–OAR–2019–0220; FRL–10012– contact the contact listed in the FOR the comment, and our response, follows. 83-Region 1] FURTHER INFORMATION CONTACT section to Comment: EPA provides no schedule your inspection. The Regional explanation of why Massachusetts’ SIP Air Plan Approval; Massachusetts; Office’s official hours of business are is acceptable. EPA’s mere Negative Declaration for the Oil and Monday through Friday, 8:30 a.m. to ‘‘understanding’’ is not enough to Gas Industry 4:30 p.m., excluding legal holidays and approve a SIP, EPA must evaluate the facility closures due to COVID–19. merits of the SIP and independently AGENCY: Environmental Protection verify the accuracy of Massachusetts’ FOR FURTHER INFORMATION CONTACT: Agency (EPA). assertions. EPA must check sources of Ariel Garcia, Environmental Protection ACTION: Final rule. information for any sources subject to Specialist, Air and Radiation Division the oil and natural gas industry CTG. SUMMARY: The Environmental Protection (Mail Code 05–2), U.S. Environmental Response: First, we note that the Agency (EPA) is approving a State Protection Agency, Region 1, 5 Post commenter does not provide any Implementation Plan (SIP) revision Office Square, Suite 100, Boston, information to contradict submitted by the Commonwealth of Massachusetts, 02109–3912; (617) 918– Massachusetts’ finding that no sources Massachusetts. The revision provides 1660. [email protected]. subject to EPA’s 2016 CTG for the oil Massachusetts’ determination, via a SUPPLEMENTARY INFORMATION: and gas industry exist within the negative declaration, that there are no Throughout this document whenever Commonwealth. EPA is not aware of facilities within its borders subject to ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean any information indicating that a facility EPA’s 2016 Control Technique EPA. subject to the 2016 oil and gas CTG Guideline (CTG) for the oil and gas Table of Contents exists within the Commonwealth of industry with respect to both the 2008 Massachusetts. Additionally, we note and 2015 Ozone National Ambient Air I. Background and Purpose that EPA has historically allowed states Quality Standards (NAAQS). The II. Response to Comment to submit a negative declaration for a intended effect of this action is to III. Final Action IV. Statutory and Executive Order Reviews particular CTG category if the state finds approve this item into the non that no sources exist in the state which regulatory portion of the Massachusetts I. Background and Purpose would be subject to that CTG. EPA has SIP. This action is being taken under the On May 18, 2020, EPA published a addressed the idea of negative Clean Air Act. Notice of Proposed Rulemaking (NPRM; declarations numerous times and for DATES: This rule is effective on see 85 FR 29678) with an associated various NAAQS including in the September 21, 2020. Direct Final Rule (DFR; see 85 FR General Preamble to the 1990 1 ADDRESSES: EPA has established a 29628) for the Commonwealth of Amendments, the 2006 RACT Q&A docket for this action under Docket Massachusetts. The DFR approved a Memo,2 and the 2008 Ozone 3 Identification No. EPA–R01–OAR– negative declaration for Massachusetts Implementation Rule. In each of these 2019–0220. All documents in the docket for EPA’s 2016 Control Technique are listed on the https:// Guideline (CTG) for the oil and gas 1 ‘‘State Implementation Plans; General Preamble for the Implementation of Title I of the Clean Air www.regulations.gov website. Although industry. We received one relevant Act Amendments of 1990,’’ (57 FR 13498 at 13512 listed in the index, some information is adverse comment on the NPRM, and so (April 16, 1992)). not publicly available, i.e., CBI or other withdrew the DFR via a Withdrawal 2 ‘‘RACT Q’s and A’s—Reasonably Available information whose disclosure is Notice published on June 26, 2020. See Control Technology RACT: Questions and Answers’’ Memorandum from William T. Harnett, restricted by statute. Certain other 85 FR 38327. Other specific May 18, 2006. material, such as copyrighted material, requirements of Massachusetts’ 3 ‘‘Implementation of the 2008 National Ambient is not placed on the internet and will be submittal and the rationale for EPA’s Air Quality Standards for Ozone: State
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documents, EPA asserted that if no • Does not impose an information particular applicability; rules relating to sources exist in the nonattainment area collection burden under the provisions agency management or personnel; and for a particular CTG category, the state of the Paperwork Reduction Act (44 rules of agency organization, procedure, would be allowed to submit a negative U.S.C. 3501 et seq.); or practice that do not substantially declaration SIP revision. This principle • Is certified as not having a affect the rights or obligations of non- also applies to states in the ozone significant economic impact on a agency parties. 5 U.S.C. 804(3). Because transport region. substantial number of small entities this is a rule of particular applicability, Second, we note that Massachusetts’ under the Regulatory Flexibility Act (5 EPA is not required to submit a rule finding is consistent with information U.S.C. 601 et seq.); report regarding this action under contained within EPA data resources of • Does not contain any unfunded section 801. industrial activity within the United mandate or significantly or uniquely Under section 307(b)(1) of the Clean States, such as the National Emissions affect small governments, as described Air Act, petitions for judicial review of Inventory (NEI) database of sources of in the Unfunded Mandates Reform Act this action must be filed in the United air pollution, which is available at: of 1995 (Pub. L. 104–4); • States Court of Appeals for the https://www.epa.gov/air-emissions- Does not have federalism appropriate circuit by October 20, 2020. inventories/national-emissions- implications as specified in Executive Filing a petition for reconsideration by inventory-nei. And last, we note that Order 13132 (64 FR 43255, August 10, the Administrator of this final rule does EPA Region 1 worked with 1999); not affect the finality of this action for • Is not an economically significant Massachusetts, and EPA headquarters’ the purposes of judicial review nor does regulatory action based on health or technical experts on the CTG, to review it extend the time within which a safety risks subject to Executive Order the applicability criteria of EPA’s 2016 petition for judicial review may be filed, oil and gas CTG to assist the 13045 (62 FR 19885, April 23, 1997); • Is not a significant regulatory action and shall not postpone the effectiveness Commonwealth of Massachusetts with of such rule or action. This action may its determination. subject to Executive Order 13211 (66 FR 28355, May 22, 2001); not be challenged later in proceedings to III. Final Action • Is not subject to requirements of enforce its requirements. (See section 307(b)(2).) We are approving a negative Section 12(d) of the National declaration for EPA’s 2016 CTG entitled Technology Transfer and Advancement List of Subjects in 40 CFR Part 52 ‘‘Control Techniques Guidelines for the Act of 1995 (15 U.S.C. 272 note) because application of those requirements would Environmental protection, Air Oil and Natural Gas Industry’’ into the pollution control, Incorporation by Massachusetts SIP. be inconsistent with the Clean Air Act; and reference, Ozone, Volatile organic IV. Statutory and Executive Order • Does not provide EPA with the compounds. Reviews discretionary authority to address, as Dated: July 27, 2020. Under the Clean Air Act, the appropriate, disproportionate human Dennis Deziel, Administrator is required to approve a health or environmental effects, using Regional Administrator, EPA Region 1. SIP submission that complies with the practicable and legally permissible provisions of the Act and applicable methods, under Executive Order 12898 For the reasons stated in the Federal regulations. 42 U.S.C. 7410(k); (59 FR 7629, February 16, 1994). preamble, the EPA amends Part 52 of 40 CFR 52.02(a). Thus, in reviewing SIP In addition, the SIP is not approved chapter I, title 40 of the Code of Federal submissions, EPA’s role is to approve to apply on any Indian reservation land Regulations as follows: state choices, provided that they meet or in any other area where EPA or an PART 52—APPROVAL AND the criteria of the Clean Air Act. Indian tribe has demonstrated that a PROMULGATION OF Accordingly, this action merely tribe has jurisdiction. In those areas of IMPLEMENTATION PLANS approves state law as meeting Federal Indian country, the rule does not have requirements and does not impose tribal implications and will not impose ■ 1. The authority citation for part 52 additional requirements beyond those substantial direct costs on tribal continues to read as follows: imposed by state law. For that reason, governments or preempt tribal law as this action: specified by Executive Order 13175 (65 Authority: 42 U.S.C. 7401 et seq. • Is not a significant regulatory action FR 67249, November 9, 2000). subject to review by the Office of The Congressional Review Act, 5 Subpart W—Massachusetts U.S.C. 801 et seq., as added by the Small Management and Budget under ■ Executive Orders 12866 (58 FR 51735, Business Regulatory Enforcement 2. In § 52.1120, amend the table in October 4, 1993) and 13563 (76 FR 3821, Fairness Act of 1996, generally provides paragraph (e) by adding the entry for January 21, 2011); that before a rule may take effect, the ‘‘Negative declaration for the 2016 • Is not an Executive Order 13771 agency promulgating the rule must Control Techniques Guideline for the regulatory action because this action is submit a rule report, which includes a Oil and Natural Gas Industry’’ at the end not significant under Executive Order copy of the rule, to each House of the of the table, to read as follows: Congress and to the Comptroller General 12866; § 52.1120 Identification of plan. of the United States. Section 804, * * * * * Implementation Plan Requirements,’’ (80 FR 12263 however, exempts from section 801 the at 12278 (March 6, 2015)). following types of rules: rules of (e) * * *
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MASSACHUSETTS NON-REGULATORY
Applicable geographic or State 3 Explanations Name of nonregulatory SIP provision nonattainment submittal date/ EPA approved date area effective date
******* Negative declaration for the 2016 Control Techniques Statewide ...... 10/18/2018 8/21/2020 [Insert FEDERAL Negative dec- Guidelines for the Oil and Natural Gas Industry. REGISTER citation]. laration 3 To determine the EPA effective date for a specific provision listed in this table, consult the Federal Register notice cited in this column for the particular provision.
[FR Doc. 2020–16725 Filed 8–20–20; 8:45 am] DATES: This regulation is effective Classification System (NAICS) codes is BILLING CODE 6560–50–P August 21, 2020. Objections and not intended to be exhaustive, but rather requests for hearings must be received provides a guide to help readers on or before October 20, 2020 and must determine whether this document ENVIRONMENTAL PROTECTION be filed in accordance with the applies to them. Potentially affected AGENCY instructions provided in 40 CFR part entities may include: 178 (see also Unit I.C. of the • Crop production (NAICS code 111). 40 CFR Part 63 SUPPLEMENTARY INFORMATION). • Animal production (NAICS code ADDRESSES: The docket for this action, 112). [EPA–HQ–OAR–2016–0243; FRL–10009–65– • OAR] identified by docket identification (ID) Food manufacturing (NAICS code number EPA–HQ–OPP–2019–0460, is 311). • RIN 2060–AO66 available at http://www.regulations.gov Pesticide manufacturing (NAICS or at the Office of Pesticide Programs code 32532). National Emission Standards for Regulatory Public Docket (OPP Docket) Hazardous Air Pollutants: Plywood and B. How can I get electronic access to in the Environmental Protection Agency Composite Wood Products Residual other related information? Docket Center (EPA/DC), West William Risk and Technology Review Jefferson Clinton Bldg., Rm. 3334, 1301 You may access a frequently updated electronic version of EPA’s tolerance Correction Constitution Ave. NW, Washington, DC 20460–0001. The Public Reading Room regulations at 40 CFR part 180 through In rule document 2020–12725 is open from 8:30 a.m. to 4:30 p.m., the Government Publishing Office’s e- appearing on pages 49434–49469 in the Monday through Friday, excluding legal CFR site at http://www.ecfr.gov/cgi-bin/ issue of August 13, 2020, make the text-idx?&c=ecfr&tpl=/ecfrbrowse/ holidays. The telephone number for the _ following correction: Public Reading Room is (202) 566–1744, Title40/40tab 02.tpl. § 63.2282 [Corrected] and the telephone number for the OPP C. How can I file an objection or hearing Docket is (703) 305–5805. request? ■ On page 49459, in § 63.2282, in the Please note that due to the public third column, in the ninth line down, health emergency, the EPA Docket Under FFDCA section 408(g), 21 ‘‘August 13, 2021]’’ should read Center (EPA/DC) and Reading Room U.S.C. 346a, any person may file an ‘‘August 13, 2020’’. was closed to public visitors on March objection to any aspect of this regulation [FR Doc. C1–2020–12725 Filed 8–20–20; 8:45 am] 31, 2020. Our EPA/DC staff will and may also request a hearing on those objections. You must file your objection BILLING CODE 1300–01–D continue to provide customer service via email, phone, and webform. For or request a hearing on this regulation further information on EPA/DC services, in accordance with the instructions ENVIRONMENTAL PROTECTION docket contact information and the provided in 40 CFR part 178. To ensure AGENCY current status of the EPA/DC and proper receipt by EPA, you must Reading Room, please visit https:// identify docket ID number EPA–HQ– 40 CFR Part 180 www.epa.gov/dockets. OPP–2019–0460 in the subject line on the first page of your submission. All FOR FURTHER INFORMATION CONTACT: [EPA–HQ–OPP–2019–0460; FRL–10010–98] objections and requests for a hearing Michael Goodis, Registration Division must be in writing, and must be Flupyradifurone; Pesticide Tolerances (7505P), Office of Pesticide Programs, received by the Hearing Clerk on or Environmental Protection Agency, 1200 AGENCY: Environmental Protection before October 20, 2020. Addresses for Pennsylvania Ave. NW, Washington, DC Agency (EPA). mail and hand delivery of objections 20460–0001; main telephone number: and hearing requests are provided in 40 ACTION: Final rule. (703) 305–7090; email address: CFR 178.25(b). SUMMARY: This regulation establishes [email protected]. In addition to filing an objection or tolerances for residues of SUPPLEMENTARY INFORMATION: hearing request with the Hearing Clerk flupyradifurone in or on multiple I. General Information as described in 40 CFR part 178, please commodities which are identified and submit a copy of the filing (excluding discussed later in this document. The A. Does this action apply to me? any Confidential Business Information Interregional Project Number 4 (IR–4) You may be potentially affected by (CBI)) for inclusion in the public docket. and the registrant, Bayer CropScience, this action if you are an agricultural Information not marked confidential requested these tolerances under the producer, food manufacturer, or pursuant to 40 CFR part 2 may be Federal Food, Drug, and Cosmetic Act pesticide manufacturer. The following disclosed publicly by EPA without prior (FFDCA). list of North American Industrial notice. Submit the non-CBI copy of your
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objection or hearing request, identified difluoroethyl)amino]- 2(5H)-furanone, legal limit for a pesticide chemical by docket ID number EPA–HQ–OPP– in or on Grass, forage, fodder and hay, residue in or on a food) only if EPA 2019–0460, by one of the following group 17 at 15 ppm. determines that the tolerance is ‘‘safe.’’ methods: Upon establishment of the above Section 408(b)(2)(A)(ii) of FFDCA • Federal eRulemaking Portal: http:// tolerances, IR–4 requested the removal defines ‘‘safe’’ to mean that ‘‘there is a www.regulations.gov. Follow the online of the existing tolerances in 40 CFR part reasonable certainty that no harm will instructions for submitting comments. 180.679 for residues of the insecticide result from aggregate exposure to the Do not submit electronically any flupyradifurone, 4-[[(6-chloro-3- pesticide chemical residue, including information you consider to be CBI or pyridinyl)methyl](2,2- all anticipated dietary exposures and all other information whose disclosure is difluoroethyl)amino]- 2(5H)-furanone, other exposures for which there is restricted by statute. in or on Brassica, head and stem reliable information.’’ This includes • Mail: OPP Docket, Environmental subgroup 5A at 6.0 ppm; Brassica, leafy exposure through drinking water and in Protection Agency Docket Center (EPA/ greens subgroup 5B at 40 ppm; Cactus, residential settings but does not include DC), (28221T), 1200 Pennsylvania Ave. fruit at 0.30 ppm; Cilantro, fresh leaves occupational exposure. Section NW, Washington, DC 20460–0001. at 30 ppm; Coffee, green been (import 408(b)(2)(C) of FFDCA requires EPA to • Hand Delivery: To make special tolerance) at 1.5 ppm; Leaf petioles, give special consideration to exposure arrangements for hand delivery or subgroup 4B at 9.0 ppm; Leafy greens, of infants and children to the pesticide delivery of boxed information, please subgroup 4A at 30 ppm; Pitaya at 0.30 chemical residue in establishing a follow the instructions at https:// ppm; and Turnip greens at 40 ppm. tolerance and to ‘‘ensure that there is a www.epa.gov/dockets/where-send- IR–4 also requested removal of the reasonable certainty that no harm will comments-epa-dockets. section 18 emergency exemption result to infants and children from Additional instructions on tolerances on sorghum, syrup at 90.0 aggregate exposure to the pesticide commenting or visiting the docket, ppm and sorghum, forage at 30 ppm. chemical residue . . .’’ along with more information about Through inadvertent error however, Consistent with FFDCA section dockets generally, is available at http:// EPA failed to provide notice of this 408(b)(2)(D), and the factors specified in www.epa.gov/dockets. petitioned-for request in its February 11, FFDCA section 408(b)(2)(D), EPA has II. Summary of Petitioned-For 2020 document. reviewed the available scientific data Tolerance In the Federal Register of October 28, and other relevant information in 2019 (84 FR 57417) (FRL–10001–12), support of this action. EPA has In the Federal Register of February EPA issued a document pursuant to sufficient data to assess the hazards of 11, 2020 (85 FR 7708) (FRL–10005–02), FFDCA section 408(d)(3), 21 U.S.C. and to make a determination on EPA issued a document pursuant to 346a(d)(3), announcing the filing of a aggregate exposure for flupyradifurone FFDCA section 408(d)(3), 21 U.S.C. pesticide petition (PP 9F8775) by Bayer including exposure resulting from the 346a(d)(3), announcing the filing of a CropScience, 2 T.W. Alexander Drive, tolerances established by this action. pesticide petition (PP 9E8771) by Research Triangle Park, NC 27709, that EPA’s assessment of exposures and risks Interregional Project Number 4 (IR–4), requested to establish a tolerance in in associated with flupyradifurone follows. Rutgers, the State University of New 40 CFR part 180.679 for residues of the On September 23, 2016, EPA Jersey, 500 College Road East, Suite 201 insecticide flupyradifurone 4-[[(6- published in the Federal Register a final W, Princeton, NJ 08540. The petition chloro-3-pyridinyl)methyl](2,2- rule establishing tolerances for residues requested that 40 CFR 180.679 be difluoroethyl)amino]- 2(5H)-furanone, of flupyradifurone in or on several amended by establishing tolerances for in or on Rapeseed subgroup (Crop commodities based on the Agency’s residues of the insecticide Subgroup 20A) at 0.03 ppm. This conclusion that aggregate exposure to flupyradifurone, 4-[[(6-chloro-3- document referenced a summary of the flupyradifurone is safe for the general pyridinyl)methyl](2,2- petition prepared by Bayer CropScience, population, including infants and difluoroethyl)amino]- 2(5H)-furanone, the registrant, which is available in the children. See (81 FR 65552) (FRL–9951– in or on Brassica, leafy greens, subgroup docket, http://www.regulations.gov. 68). EPA is incorporating the following 4–16B at 40 parts per million (ppm); One comment was submitted on each portions of that document by reference Celtuce at 9 ppm; Coffee, green bean at notice of filing. EPA’s response to these here, as they have not changed in the 1.5 ppm; Fennel, Florence, fresh leaves comments is discussed in Unit IV.C. Agency’s current assessment of and stalk at 9 ppm; Kohlrabi at 6 ppm; Based upon review of the data flupyradifurone tolerances—the Leaf petiole vegetable subgroup 22B at supporting the petition, EPA revised the toxicological profile and points of 9 ppm; Leafy greens subgroup 4–16A at commodity definitions for two departure, the conclusions about 30 ppm; Pineapple at 0.3 ppm; Sesame, commodities to be consistent with cumulative risk, and the Agency’s seed at 3 ppm; Stalk and stem vegetable EPA’s preferred terminology, changing rationale for reducing the children’s subgroup 22A, except prickly pear, Fennel, Florence, fresh leaves and stalk safety factor. pads, and prickly pear, Texas, pads at to Fennel, florence, fresh leaves and EPA’s exposure assessments have 0.01 ppm; Sunflower subgroup 20B at stalk; and Vegetable, Brassica, head and been updated to include the additional 0.7 ppm; Tropical and subtropical, stem, group 5–16 to Vegetable, brassica, exposure from use of flupyradifurone on inedible peel, cactus, subgroup 24D at head and stem, group 5–16. Finally, due the Brassica, leafy greens, subgroup 4– 0.3 ppm; Tropical and subtropical, palm to the failure to provide timely notice of 16B; Celtuce; Coffee, green bean; fruit, edible peel, subgroup 23C at 8 the request to remove the section 18 Fennel, florence, fresh leaves and stalk; ppm; and Vegetable, Brassica, head and emergency exemption tolerances for Kohlrabi; Leaf petiole vegetable stem, group 5–16 at 6 ppm. sorghum commodities, EPA is not subgroup 22B; Leafy greens subgroup 4– In addition, the IR–4 petition removing those tolerances at this time. 16A; Pineapple; Rapeseed subgroup requested that 40 CFR 180.679(c) be 20A; Sesame, seed; Stalk and stem amended by establishing tolerances III. Aggregate Risk Assessment and vegetable subgroup 22A, except prickly with regional restrictions for residues of Determination of Safety pear, pads, and prickly pear, Texas, the insecticide flupyradifurone, 4-[[(6- Section 408(b)(2)(A)(i) of FFDCA pads; Sunflower subgroup 20B; Tropical chloro-3-pyridinyl)methyl](2,2- allows EPA to establish a tolerance (the and subtropical, inedible peel, cactus,
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subgroup 24D; Tropical and subtropical, Tropical and Subtropical Palm Fruit 16A, harmonization with Codex is not palm fruit, edible peel, subgroup 23C; Edible Peel Subgroup 23C, Crop Group possible because the U.S. tolerance of 30 and Vegetable, brassica, head and stem, Expansions/Conversions of Tolerances ppm is much higher than the Codex group 5–16. EPA has assumed tolerance- to Brassica Leafy Greens Subgroup 4– MRLs for head lettuce and leaf lettuce. level residues and 100 percent crop 16B, Leafy Greens Subgroup 4–16A, Harmonizing with the Codex MRLs treated (PCT) for the acute dietary Leaf Petiole Vegetable Subgroup 22B, would put U.S. growers at risk of having assessment. For the chronic dietary Tropical and Subtropical Inedible Peel violative residues despite legal use of assessment, EPA assumed average Cactus Subgroup 24D, Vegetable the pesticide. The U.S. tolerance on residues, rather than tolerance-level Brassica Head and Stem Group 5–16 Brassica head and stem group 5–16 is residues, for some commodities and 100 and Establish Individual Tolerances on harmonized with the Codex cauliflower PCT. EPA’s aggregate exposure Celtuce, Fennel Florence, Kohlrabi; and MRL (6 ppm). It is not possible to also assessment incorporated this dietary Coffee,’’ which is described under harmonize with head cabbage, which is exposure, as well as exposure in ADDRESSES. Locate and click on the another commodity in crop group 5–16. drinking water and from residential hyperlink for docket ID number EPA– C. Response to Comments sources, although drinking water and HQ–OPP–2019–0460. residential exposures are not impacted One comment was received stating by the new uses and thus have not IV. Other Considerations that residues of pesticide chemicals on changed since the last assessment and A. Analytical Enforcement Methodology various commodities are a serious as reflected in the preamble to the health hazard that needs to be regulated. September 23, 2016 rule. Adequate enforcement methodology Another comment received stated that Acute dietary risks are below the Method RV–001–P10–03, which uses this chemical should not be used on any Agency’s level of concern of 100% of high-performance liquid food products that Americans eat. The the acute population adjusted dose chromatography with tandem mass existing legal framework provided by (aPAD); they are 38% of the aPAD for spectrometry (HPLC/MS/MS) to section 408 of the FFDCA states that children 1 to 2 years old, the most quantitate residues of flupyradifurone tolerances may be set when persons highly exposed population group. and its metabolite difluoroacetic acid seeking such tolerances or exemptions Chronic dietary risks are below the (DFA) in various crops is available for have demonstrated that the pesticide Agency’s level of concern of 100% of enforcement. An HPLC/MS/MS method, meets the safety standard imposed by the chronic population adjusted dose Method RV–004–A11–05 is adequate as that statute. These comments appear to (cPAD); they are 64% of the cPAD for the enforcement method for be directed at the underlying statute and children 1 to 2 years old, the group with determination of residues of not EPA’s implementation of it; the the highest exposure. As required by the flupyradifurone and its metabolite DFA comments provide no information FFDCA, EPA considered aggregate in livestock commodities. relevant to the Agency’s safety exposures to flupyradifurone, i.e., The method may be requested from: determination. Chief, Analytical Chemistry Branch, exposures from food, drinking water, V. Conclusion and residential uses, in its risk Environmental Science Center, 701 assessment. There are no residential Mapes Rd., Ft. Meade, MD 20755–5350; Therefore, tolerances are established uses expected to result in acute, telephone number: (410) 305–2905; for residues of flupyradifurone, 4-[[(6- intermediate-term, or chronic email address: residuemethods@ chloro-3-pyridinyl)methyl](2,2- exposures; therefore, aggregate risks for epa.gov. difluoroethyl)amino]-2(5H)-furanone, in or on Brassica, leafy greens, subgroup those exposure durations are equal to B. International Residue Limits the dietary risks for those exposure 4–16B at 40 ppm; Celtuce at 9 ppm; durations and not of concern. In making its tolerance decisions, EPA Fennel, florence, fresh leaves and stalk Aggregating short-term exposures to seeks to harmonize U.S. tolerances with at 9 ppm; Kohlrabi at 6 ppm; Leaf adults and children with the chronic international standards whenever petiole vegetable subgroup 22B at 9 (background) dietary exposures yields possible, consistent with U.S. food ppm; Leafy greens subgroup 4–16A at margins of exposure (MOEs) of 300 safety standards and agricultural 30 ppm; Pineapple at 0.3 ppm; (adults) and 220 (children). Both of practices. EPA considers the Rapeseed subgroup 20A at 0.03 ppm; these exceed the Agency’s level of international maximum residue limits Sesame, seed at 3 ppm; Stalk and stem concern, which is an MOE of 100 or (MRLs) established by the Codex vegetable subgroup 22A, except prickly lower; therefore, short-term exposures Alimentarius Commission (Codex), as pear, pads, and prickly pear, Texas, are not of concern. required by FFDCA section 408(b)(4). pads at 0.01 ppm; Sunflower subgroup Therefore, based on the risk The Codex Alimentarius is a joint 20B at 0.7 ppm; Tropical and assessments and information described United Nations Food and Agriculture subtropical, inedible peel, cactus, above, EPA concludes there is a Organization/World Health subgroup 24D at 0.3 ppm; Tropical and reasonable certainty that no harm will Organization food standards program, subtropical, palm fruit, edible peel, result to the general population, or to and it is recognized as an international subgroup 23C at 8 ppm; and Vegetable, infants and children from aggregate food safety standards-setting brassica, head and stem, group 5–16 at exposure to flupyradifurone residues. organization in trade agreements to 6 ppm. A tolerance with regional More detailed information about the which the United States is a party. EPA restrictions is established for residues of Agency’s analysis can be found in the may establish a tolerance that is the insecticide flupyradifurone, 4-[[(6- document entitled, ‘‘Flupyradifurone; different from a Codex MRL; however, chloro-3-pyridinyl)methyl](2,2- Human Health Risk Assessment for Uses FFDCA section 408(b)(4) requires that difluoroethyl)amino]-2(5H)-furanone, in on Grass Forage Fodder and Hay Group EPA explain the reasons for departing or on Grass, forage, fodder and hay, 17, Pineapple, Rapeseed Subgroup 20A, from the Codex level. group 17 at 15 ppm. Additionally, the Sesame Seed, Stalk and Stem Vegetable Codex MRLs have been established existing tolerance for Coffee, green bean Subgroup 22A (except Prickly Pear Pads for head cabbage at 1.5 ppm, cauliflower is revised to remove the footnote. and Prickly Pear Texas Pads), Sunflower at 6 ppm, and lettuce (head and leaf) at In addition, the existing tolerances in Subgroup 20B, Sweet Sorghum, 4 ppm. For leafy greens subgroup 4– 40 CFR part 180.679 for residues of the
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insecticide flupyradifurone, 4-[[(6- this action alter the relationships or PART 180—[AMENDED] chloro-3-pyridinyl)methyl](2,2- distribution of power and difluoroethyl)amino]-2(5H)-furanone, in responsibilities established by Congress ■ 1. The authority citation for part 180 or on the following commodities are in the preemption provisions of FFDCA continues to read as follows: removed: Brassica, head and stem section 408(n)(4). As such, the Agency Authority: 21 U.S.C. 321(q), 346a and 371. subgroup 5A at 6.0 ppm; Brassica, leafy has determined that this action will not greens subgroup 5B at 40 ppm; Cactus, have a substantial direct effect on States ■ 2. In § 180.679: fruit at 0.30 ppm; Cilantro, fresh leaves or Tribal Governments, on the ■ a. In paragraph (a): at 30 ppm; Leaf petioles, subgroup 4B at relationship between the National ■ i. Add a heading for the table. 9.0 ppm; Leafy greens, subgroup 4A at Government and the States or Tribal ■ ii. Remove the entries for ‘‘Brassica, 30 ppm; Pitaya at 0.30 ppm; and Turnip Governments, or on the distribution of head and stem subgroup 5A’’ and greens at 40 ppm. power and responsibilities among the ‘‘Brassica, leafy greens subgroup 5B’’. ■ VI. Statutory and Executive Order various levels of government or between iii. Add alphabetically the entry Reviews the Federal Government and Indian ‘‘Brassica, leafy greens, subgroup 4– Tribes. Thus, the Agency has 16B’’. This action establishes tolerances determined that Executive Order 13132, ■ iv. Remove the entry for ‘‘Cactus, under FFDCA section 408(d) in entitled ‘‘Federalism’’ (64 FR 43255, fruit’’. response to a petition submitted to the August 10, 1999) and Executive Order ■ v. Add alphabetically the entry Agency. The Office of Management and 13175, entitled ‘‘Consultation and ‘‘Celtuce’’. Budget (OMB) has exempted these types Coordination with Indian Tribal ■ vi. Remove the entry for ‘‘Cilantro, of actions from review under Executive Governments’’ (65 FR 67249, November fresh leaves’’. Order 12866, entitled ‘‘Regulatory 9, 2000) do not apply to this action. In ■ vii. Revise the entry for ‘‘Coffee, green Planning and Review’’ (58 FR 51735, addition, this action does not impose bean’’. October 4, 1993). Because this action any enforceable duty or contain any ■ viii. Add alphabetically the entries has been exempted from review under unfunded mandate as described under Executive Order 12866, this action is ‘‘Fennel, florence, fresh leaves and Title II of the Unfunded Mandates stalk’’; ‘‘Kohlrabi’’ and ‘‘Leaf petiole not subject to Executive Order 13211, Reform Act (UMRA) (2 U.S.C. 1501 et entitled ‘‘Actions Concerning vegetable subgroup 22B’’. seq.). ■ ix. Remove the entries for ‘‘Leaf Regulations That Significantly Affect This action does not involve any Energy Supply, Distribution, or Use’’ (66 petioles, subgroup 4B’’ and ‘‘Leafy technical standards that would require greens, subgroup 4A’’. FR 28355, May 22, 2001) or Executive Agency consideration of voluntary Order 13045, entitled ‘‘Protection of ■ x. Add alphabetically the entries consensus standards pursuant to section ‘‘Leafy greens subgroup 4–16A’’ and Children from Environmental Health 12(d) of the National Technology Risks and Safety Risks’’ (62 FR 19885, ‘‘Pineapple’’. Transfer and Advancement Act ■ xi. Remove the entry for ‘‘Pitaya’’. April 23, 1997), nor is it considered a (NTTAA) (15 U.S.C. 272 note). regulatory action under Executive Order ■ xii. Add alphabetically the entries 13771, entitled ‘‘Reducing Regulations VII. Congressional Review Act ‘‘Rapeseed subgroup 20A’’; ‘‘Sesame, and Controlling Regulatory Costs’’ (82 Pursuant to the Congressional Review seed’’; ‘‘Stalk and stem vegetable FR 9339, February 3, 2017). This action Act (5 U.S.C. 801 et seq.), EPA will subgroup 22A, except prickly pear, does not contain any information submit a report containing this rule and pads, and prickly pear, Texas, pads’’; collections subject to OMB approval other required information to the U.S. ‘‘Sunflower subgroup 20B’’; ‘‘Tropical under the Paperwork Reduction Act Senate, the U.S. House of and subtropical, inedible peel, cactus, (PRA) (44 U.S.C. 3501 et seq.), nor does Representatives, and the Comptroller subgroup 24D’’ and ‘‘Tropical and it require any special considerations General of the United States prior to subtropical, palm fruit, edible peel, under Executive Order 12898, entitled publication of the rule in the Federal subgroup 23C’’. ■ ‘‘Federal Actions to Address Register. This action is not a ‘‘major xiii. Remove the entry for ‘‘Turnip Environmental Justice in Minority rule’’ as defined by 5 U.S.C. 804(2). greens’’. Populations and Low-Income ■ xiv. Add alphabetically the entry Populations’’ (59 FR 7629, February 16, List of Subjects in 40 CFR Part 180 ‘‘Vegetable, brassica, head and stem, 1994). Environmental protection, group 5–16’’. Since tolerances and exemptions that Administrative practice and procedure, ■ b. In paragraph (c): are established on the basis of a petition Agricultural commodities, Pesticides ■ i. Add a heading for the table. under FFDCA section 408(d), such as and pests, Reporting and recordkeeping ■ ii. Add alphabetically the entry the tolerances in this final rule, do not requirements. ‘‘Grass, forage, fodder and hay, group require the issuance of a proposed rule, Dated: June 26, 2020. 17’’. the requirements of the Regulatory ■ Michael Goodis, The additions and revisions read as Flexibility Act (RFA) (5 U.S.C. 601 et follows: seq.), do not apply. Director, Registration Division, Office of This action directly regulates growers, Pesticide Programs. § 180.679 Flupyradifurone; tolerances for food processors, food handlers, and food Therefore, 40 CFR chapter I is residues. retailers, not States or Tribes, nor does amended as follows: (a) * * *
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TABLE 1 TO PARAGRAPH (a)
Parts per Commodity million
******* Brassica, leafy greens, subgroup 4–16B ...... 40
******* Celtuce ...... 9 Coffee, green bean ...... 1.5
******* Fennel, florence, fresh leaves and stalk ...... 9
******* Kohlrabi ...... 6 Leaf petiole vegetable subgroup 22B ...... 9 Leafy greens subgroup 4–16A ...... 30
******* Pineapple ...... 0.3
******* Rapeseed subgroup 20A ...... 0.03 Sesame, seed ...... 3
******* Stalk and stem vegetable subgroup 22A, except prickly pear, pads, and prickly pear, Texas, pads ...... 0.01 Sunflower subgroup 20B ...... 0.7
******* Tropical and subtropical, inedible peel, cactus, subgroup 24D ...... 0.3
******* Tropical and subtropical, palm fruit, edible peel, subgroup 23C ...... 8 Vegetable, brassica, head and stem, group 5–16 ...... 6
*******
* * * * * DEPARTMENT OF COMMERCE Program in the Central Regulatory Area (c) * * * of the GOA has been reached. National Oceanic and Atmospheric Administration DATES: Effective 1200 hours, Alaska TABLE 3 TO PARAGRAPH (c) local time (A.l.t.), August 18, 2020, 50 CFR Part 679 through 2400 hours, A.l.t., December 31, Commodity Parts per 2020. million [Docket No. 200221–0062] FOR FURTHER INFORMATION CONTACT: RTID 0648–XA414 Obren Davis, 907–586–7228. ***** Fisheries of the Exclusive Economic SUPPLEMENTARY INFORMATION: Grass, forage, fodder and hay, NMFS group 17 ...... 15 Zone off Alaska; Sablefish in the manages the groundfish fishery in the Central Regulatory Area of the Gulf of GOA exclusive economic zone * * * * * Alaska according to the Fishery Management Plan for Groundfish of the Gulf of [FR Doc. 2020–17153 Filed 8–20–20; 8:45 am] AGENCY: National Marine Fisheries Alaska (FMP) prepared by the North BILLING CODE 6560–50–P Service (NMFS), National Oceanic and Pacific Fishery Management Council Atmospheric Administration (NOAA), under authority of the Magnuson- Commerce. Stevens Fishery Conservation and ACTION: Temporary rule; closure. Management Act. Regulations governing SUMMARY: NMFS is prohibiting retention fishing by U.S. vessels in accordance of sablefish by vessels using trawl gear with the FMP appear at subpart H of 50 and not participating in the cooperative CFR part 600 and 50 CFR part 679. fishery of the Rockfish Program in the The 2020 total allowable catch (TAC) Central Regulatory Area of the Gulf of of sablefish allocated to vessels using Alaska (GOA). This action is necessary trawl gear and not participating in the because the 2020 total allowable catch cooperative fishery of the Rockfish of sablefish allocated to vessels using Program in the Central Regulatory Area trawl gear and not participating in the of the GOA is 626 metric tons (mt) as cooperative fishery of the Rockfish established by the final 2020 and 2021
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harvest specifications for groundfish of in the cooperative fishery of the and would delay the prohibited the GOA (85 FR 13802, March 10, 2020). Rockfish Program for the Central retention of sablefish by vessels using In accordance with § 679.20(d)(2), the Regulatory Area of the GOA. trawl gear and not participating in the Administrator, Alaska Region, NMFS Classification cooperative fishery of the Rockfish (Regional Administrator), has Program in the Central Regulatory Area determined that the 2020 TAC of NMFS issues this action pursuant to of the GOA. NMFS was unable to sablefish allocated to vessels using trawl section 305(d) of the Magnuson-Stevens publish a notice providing time for Act. This action is required by 50 CFR gear and not participating in the public comment because the most cooperative fishery of the Rockfish part 679, which was issued pursuant to recent, relevant data only became Program in the Central Regulatory Area section 304(b), and is exempt from available as of August 17, 2020. of the GOA will be reached. Therefore, review under Executive Order 12866. NMFS is requiring that sablefish caught Pursuant to 5 U.S.C. 553(b)(B), there Authority: 16 U.S.C. 1801 et seq. by vessels using trawl gear and not is good cause to waive prior notice and Dated: August 18, 2020. participating in the cooperative fishery an opportunity for public comment on Jennifer M. Wallace, of the Rockfish Program in the Central this action, as notice and comment Regulatory Area of the GOA be treated would be impracticable and contrary to Acting Director, Office of Sustainable as prohibited species in accordance the public interest, as it would prevent Fisheries, National Marine Fisheries Service. with § 679.21(b). This closure does not NMFS from responding to the most [FR Doc. 2020–18399 Filed 8–18–20; 4:15 pm] apply to fishing by vessels participating recent fisheries data in a timely fashion BILLING CODE 3510–22–P
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Notices Federal Register Vol. 85, No. 163
Friday, August 21, 2020
This section of the FEDERAL REGISTER ADDRESSES: The meeting is virtual and (21 U.S.C. 454(a)(4) to carry out the contains documents other than rules or will be viewed via the web-ex link responsibilities imposed by sections proposed rules that are applicable to the provided by email when you register for 5(a)(3), 5(c), 8(b), and 11(e) of the PPIA public. Notices of hearings and investigations, the meeting. Attendees should pre- (21 U.S.C. 454(a)(3), 454(c), 457(b), and committee meetings, agency decisions and register for the meeting. See the pre- 460(e)). The purpose of the Committee rulings, delegations of authority, filing of petitions and applications and agency registration instructions under is to provide advice to the Secretary statements of organization and functions are ‘‘Registration and Meeting Materials.’’ concerning meat, poultry, and processed examples of documents appearing in this Public Comments: FSIS invites egg products inspection; food safety; section. interested persons to submit comments and other matters that fall within the on this Federal Register notice. scope of the FMIA, PPIA and the Egg Comments may be submitted by one of Products Inspection Act (EPIA). The DEPARTMENT OF AGRICULTURE the following methods: current charter and other information Federal eRulemaking Portal: This about NACMPI can be found at https:// Food Safety and Inspection Service website provides commenters the ability www.fsis.usda.gov/wps/portal/fsis/ to type short comments directly into the topics/regulations/advisory-committees/ [Docket No. FSIS–2020–0027] comment field on the web page or to nacmpi. Membership of NACMPI is attach a file for lengthier comments. Go drawn from representatives of consumer National Advisory Committee on Meat to http://www.regulations.gov. Follow groups; producers; processors; and and Poultry Inspection the on-line instructions at that site for representatives from the meat, poultry submitting comments. and egg product industries; State and AGENCY: Food Safety and Inspection Email: Written public comments may local government officials; and Service, USDA. be emailed to [email protected]. All academia. ACTION: Notification of public meeting. written comments are to arrive by On September 24–25, 2020, NACMPI September 18, 2020. All items will review and discuss the following SUMMARY: Pursuant to the provisions of submitted by electronic mail must two topics. First, FSIS will ask NACMPI the rules and regulations of the include the Agency name and docket to review and advise about the steps Department of Agriculture and the number FSIS–2020–0027. Comments FSIS should take to better support the Federal Advisory Committee Act received in response to this docket will production of artisanal, shelf-stable, (FACA), the Food Safety and Inspection be made available for public inspection ready-to-eat (RTE) fermented, salt-cured, Service (FSIS) is announcing a virtual and posted without change, including or dried products that rely on multiple meeting of the National Advisory any personal information, to http:// hurdles for lethality. FSIS is seeking Committee on Meat and Poultry www.regulations.gov. input on the lack of scientific support Inspection (NACMPI). The committee is FOR FURTHER INFORMATION CONTACT: Val and control of hazards for producing authorized under the Federal Meat Green, Designated Federal Officer, these multi-hurdle lethality products Inspection Act and Poultry Products Office of Policy and Program that may raise enforcement questions. Inspection Act and operates in Development, FSIS; Telephone: (301) FSIS will ask the Committee to consider compliance with the Federal Advisory 504–0846; Email: Valeria.Green@ the following: (1) What actions should Committee Act. The committee will usda.gov, regarding specific questions FSIS take when it determines an convene virtually on September 24–25, about the committee or this meeting. establishment lacks scientific support 2020. The objective of the public General information about the for the lethality treatment of a meeting is for the Committee to review committee can also be found at: https:// fermented, salt-cured, or dried product? and advise about the steps FSIS should www.fsis.usda.gov/wps/portal/fsis/ (2) How can FSIS assist industry in take to ensure better control of artisanal, topics/regulations/advisory-committees/ gathering scientific support and shelf-stable ready-to-eat (RTE) nacmpi. facilitate filling research gaps, even fermented, salt-cured, or dried products For the hearing impaired, contact the though it is not a research-funding that rely on multiple hurdles for Federal Information Relay Service: organization? lethality. NACMPI will also review and https://www.federalrelay.us/ or 800– Second, FSIS will ask NACMPI to advise whether the Agency should 877–0996 (Voice, TTY, ASCII or review and advise whether FSIS should continue not to test boxed beef primal Spanish). continue not to sample or test boxed and sub-primal products for Shiga SUPPLEMENTARY INFORMATION: beef primal and sub-primal products for toxin-producing E. coli (STEC), if they STEC, if they are intended for intact are intended for intact cuts. Background cuts. FSIS is seeking input on how FSIS DATES: The virtual public meeting is The NACMPI was established in 1971 can reduce STEC positives, outbreaks, scheduled for September 24–25, 2020. and is authorized under section recalls, and deaths that occur when NACMPI will meet from 8 a.m.–9:30 301(a)(4) of the Federal Meat Inspection downstream processors are commonly a.m. EST on September 24, 2020 for Act (FMIA) (21 U.S.C. 661(a)(4)) to carry unaware of the producer’s intended administrative purposes. This portion of out the responsibilities imposed by intact use or the risks of grinding such the meeting is not open to the public. sections 7(c), 24, 205, 301(a)(3), and products. FSIS will ask the Committee: The public meeting is from 9:30 a.m.– 301(c) of the FMIA (21 U.S.C. 607(c), (1) If an establishment identifies boxed 5 p.m. EST on September 24, 2020 and 624, 645, 661(a)(3), and 661(c)), and beef primals/sub-primal products as 9 a.m.–5 p.m. EST on September 25, authorized under section 5(s)(4) of the intended for intact cuts, should FSIS 2020. Poultry Products Inspection Act (PPIA) continue not to sample or test these
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products? (2) If yes, how can the current publication on-line through the FSIS Dated: August 18, 2020. system be strengthened? (3) If no, what web page located at: http:// Cikena Reid, criteria should FSIS use to determine www.fsis.usda.gov/federal-register. Committee Management Officer. which products should be subject to FSIS will also announce and provide [FR Doc. 2020–18389 Filed 8–20–20; 8:45 am] sampling and testing for STEC? a link to this Federal Register BILLING CODE 3410–DM–P The two issues described above will publication through the FSIS be presented to the full Committee. The Constituent Update, which is used to Committee will then divide into two provide information regarding FSIS DEPARTMENT OF AGRICULTURE subcommittees to discuss the issues. policies, procedures, regulations, Each subcommittee will provide a Federal Register notices, FSIS public Forest Service report of their comments and meetings, and other types of information Information Collection; Equal recommendations to the full Committee that could affect or would be of interest Opportunity Compliance Review before the meeting concludes on Friday, to our constituents and stakeholders. Record September 25, 2020. The Constituent Update is available on An agenda will be published online the FSIS web page. Through the web AGENCY: before the public meeting. FSIS will Forest Service, Agriculture page, FSIS can provide information to a finalize the agenda on or before the (USDA). much broader, more diverse audience. meeting dates and post it on the FSIS ACTION: Notice; request for comment. In addition, FSIS offers an email website at: http://www.fsis.usda.gov/ subscription service which provides SUMMARY: In accordance with the meetings. automatic and customized access to Paperwork Reduction Act of 1995, the Registration and Meeting Materials selected food safety news and Forest Service is seeking comments There is no fee to register for the information. This service is available at: from all interested individuals and public meeting, but pre-registration is http://www.fsis.usda.gov/subscribe. organizations on the information mandatory for participants attending. Options range from recalls to export collection, Equal Opportunity All attendees must register online at information, regulations, directives, and Compliance Review Record. http://www.fsis.usda.gov/wps/portal/ notices. Customers can add or delete DATES: Comments must be received in fsis/newsroom/meetings. subscriptions themselves and have the writing on or before October 20, 2020 to option to password protect their be assured of consideration. Comments Public Comments and Participation in accounts. received after that date will be Meetings considered to the extent practicable. USDA Non-Discrimination Statement Oral Comments ADDRESSES: Comments concerning this Stakeholders will have an opportunity No agency, officer, or employee of the notice should be addressed to Civil to provide oral comments during the USDA shall, on the grounds of race, Rights, Mail Stop 1142, USDA, Forest public meeting. Stakeholders must color, national origin, religion, sex, Service, 1400 Independence Avenue notify FSIS during registration of their gender identity, sexual orientation, SW, Washington, DC 20250–1142. wish to speak at the meeting. disability, age, marital status, family/ Comments also may be submitted via Stakeholders who do not notify FSIS parental status, income derived from a facsimile to 703–605–5174 or by email during registration of their wish to public assistance program, or political to: [email protected]. speak will not have the opportunity to beliefs, exclude from participation in, Comments submitted in response to comment on the day of the public deny the benefits of, or subject to this notice may be made available to the meeting. Due to the anticipated high discrimination any person in the United public through relevant websites and level of interest in the opportunity to States under any program or activity upon request. For this reason, please do make public comments and the limited conducted by the USDA. not include in your comments information of a confidential nature, time available to do so, FSIS will do its How To File a Complaint of such as sensitive personal information best to accommodate all persons who Discrimination registered and requested to provide oral or proprietary information. If you send comments and will limit all speakers to To file a complaint of discrimination, an email comment, your email address three minutes. FSIS encourages persons complete the USDA Program will be automatically captured and and groups who have similar interests to Discrimination Complaint Form, which included as part of the comment that is consolidate their information for may be accessed online at http:// placed in the public docket and made presentation by a single representative. www.ocio.usda.gov/sites/default/files/ available on the internet. Please note docs/2012/Complain_combined_6_8_ that responses to this public comment Transcripts 12.pdf, or write a letter signed by you request containing any routine notice As soon as the meeting transcripts are or your authorized representative. about the confidentiality of the available, they will be accessible on the Send your completed complaint form communication will be treated as public FSIS website at: https:// or letter to USDA by mail, fax, or email: comments that may be made available to www.fsis.usda.gov/wps/portal/fsis/ Mail: U.S. Department of Agriculture the public notwithstanding the topics/regulations/advisory-committees/ Director, Office of Adjudication, 1400 inclusion of the routine notice. The public may inspect the draft nacmpi/nacmpi-transcripts. The Independence Avenue SW, Washington, supporting statement and/or comments transcripts may also be viewed at the DC 20250–9410. FSIS Docket Room at the address listed received at USDA, Forest Service, Civil Fax: (202) 690–7442. above. Rights, 201 14th St. SW, Room 2S, Email: [email protected]. Washington, DC 20024 during normal Additional Public Notification Persons with disabilities who require business hours. Visitors are encouraged Public awareness of all segments of alternative means for communication to call ahead to 202–205–8534 to rulemaking and policy development is (Braille, large print, audiotape, etc.), facilitate entry to the building. The important. Consequently, FSIS will should contact USDA’s TARGET Center public may request an electronic copy of announce this Federal Register at (202) 720–2600 (voice and TDD). the draft supporting statement and/or
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any comments received be sent via to ensure the public receives services Dated: August 14, 2020. return email. Requests should be without discrimination or barriers to Ricky Balolong, emailed to Christopher.Moore@ access, and that recipients’ employees Acting Civil Rights Director. usda.gov. understand their customer services role. [FR Doc. 2020–18317 Filed 8–20–20; 8:45 am] Collection will occur during face-to- FOR FURTHER INFORMATION CONTACT: BILLING CODE 3411–15–P Christopher Moore, Civil Rights by face meetings or telephone interviews email at [email protected] or conducted by Forest Service employees by phone at 703–605–4858. Individuals as part of the pre-award and post award DEPARTMENT OF AGRICULTURE who use telecommunication devices for process. The pre-award interview will Rural Business Cooperative Service the deaf (TDD) may call the Federal take place prior to the award of a grant, Information Relay Service (FIRS) at 1– signing of a cooperative agreement, Rural Housing Service 800–877–8339 twenty-four hours a day, letting of commercial special use every day of the year, including permit, or similar activity. The post Rural Utilities Service holidays. award interview will take place once every 5 years, or upon report/discovery [Docket No. RBS–20–BUSINESS–0033] SUPPLEMENTARY INFORMATION: of discrimination. Title: Equal Opportunity Compliance The information collected will only Implementation of Certain Provisions Review Record. be shared with other Federal agencies of Consolidated Appropriations Act, OMB Number: OMB–0596–New. who share in the financial assistance 2020 Specific to Persistent Poverty Expiration Date of Approval: 11/30/ activities with the Forest Service. Counties 2018. Monitoring reviews have been a Type of Request: New. responsibility of the Federal government AGENCY: Rural Business-Cooperative Abstract: All Federal agencies must since 1964. Without the ability to Service, Rural Housing Service and comply with equal opportunity laws: monitor recipients of Federal financial Rural Utilities Service, USDA. • Title VI of the Civil Rights Act of assistance, the Forest Service would not ACTION: Notice. 1964, as amended; • be able to ensure compliance with laws Title IX of the Education and statutes. The Agency would not be SUMMARY: This notice announces Amendments Act of 1972; implementation of certain provisions • aware of potential violations, thereby The Age Discrimination Act of resulting in potential discriminatory published in the Further Consolidated 1975, as amended; • practices. Appropriations Act, 2020 (Pub. L. 116– Section 504 of the Rehabilitation Affected Public: Recipients of Federal 94) related to persistent poverty Act of 1973, as amended; and • financial assistance. counties served by Rural Business- Executive orders prohibiting Estimate of Burden per Response: Cooperative Service (RBSC), Rural discrimination in the delivery of all One. Housing Service (RHS) and the Rural program and services to the public. Estimated Annual Number of Utilities Service (RUS) agencies of the Federal agencies and entities Respondents: 11,000. Rural Development mission area of the receiving Federal Financial Assistance Estimated Annual Number of United States Department of are prohibited from discriminating. Responses per Respondent: One. Agriculture, USDA, sometimes Federal Financial Assistance is defined Estimated Total Annual Burden on collectively hereinafter referred to as as, ‘‘Federal monies given by grants, Respondents: 11,000. ‘‘Agency’’ or ‘‘the Agency.’’ cooperative agreements, commercial special use permits, training, loan/ Comment is Invited DATES: The provisions of this notice are temporary assignment of Federal Comment is invited on: (1) Whether applicable August 21, 2020. personnel, loan/use of Federal property this collection of information is FOR FURTHER INFORMATION CONTACT: For at below market value.’’ necessary for the stated purposes and information specific to this notice The equal opportunity laws require the proper performance of the functions contact Michele Brooks, Director, agencies to conduct compliance reviews of the Agency, including whether the Regulations Management, Rural to ensure that entities receiving Federal information will have practical or Development Innovation Center— Financial Assistance from the scientific utility; (2) the accuracy of the Regulations Management, USDA, 1400 government are adhering to the Agency’s estimate of the burden of the Independence Avenue SW, STOP 1522, nondiscrimination statues. The statutes collection of information, including the Room 4266, South Building, require that prior to awarding support or validity of the methodology and Washington, DC 20250–1522. issuing permits, the Federal government assumptions used; (3) ways to enhance Telephone: (202) 690–1078. Email shall conduct pre-award reviews to the quality, utility, and clarity of the [email protected]. For ensure that potential recipients information to be collected; and (4) information regarding implementation understand their responsibilities to ways to minimize the burden of the contact your respective Rural provide services equitable pursuant to collection of information on Development State Office listed here: the law. Thereafter, during the respondents, including the use of http://www.rd.usda.gov/browse-state. partnership with the agency, ongoing automated, electronic, mechanical, or SUPPLEMENTARY INFORMATION: monitoring will take place to ensure the other technological collection Background public is being served without any techniques or other forms of information barriers or discrimination. technology. Rural Development improves the Forest Service employees will use All comments received in response to quality of life in rural America by form FS–1700–6, Equal Opportunity this notice, including names and offering loans, grants and loan Compliance Review Record, to addresses when provided, will be a guarantees to help create jobs and document demographics (race, matter of public record. Comments will support economic development and ethnicity, and gender) and collect be summarized and included in the essential services such as housing; information regarding actions taken by submission request toward Office of health care; first responder services and recipients of Federal financial assistance Management and Budget approval. equipment; and water, electric and
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communications infrastructure. The funds for Community Facilities Grants; activity conducted or funded by USDA Agencies programs promote economic Rural Business Program Account from (not all bases apply to all programs). development by supporting loans to which the Agency has set aside Fiscal Remedies and complaint filing businesses through banks, credit unions Year 2020 appropriated funds for the deadlines vary by program or incident. and community-managed lending pools. following programs: Rural Business Persons with disabilities who require Many of Rural Development’s programs Development Grants—Business alternative means of communication for offer priority funding for loans and Enterprise Grants; Federally Recognized program information (e.g., Braille, large grants located in persistent poverty Native American Tribes, Rural Business print, audiotape, American Sign counties. The term ‘‘persistent poverty Development Grants—Business Language, etc.) should contact the counties’’ means any county that has Enterprise Grants; Grants to Delta responsible Agency or USDA’s TARGET had 20 percent or more of its population Regional Authority; and, Grants to Center at (202) 720–2600 (voice and living in poverty over the past 30 years, Appalachian Regional Commissions; TTY) or contact USDA through the as measured by the 1990 and 2000 Rural Economic Development Loans Federal Relay Service at (800) 877–8339. decennial census and 2007–2011 Program Account from which the Additionally, program information may American Community Survey 5-year Agency has set aside Fiscal Year 2020 be made available in languages other average, or any territory or possession of appropriated funds for Rural Economic than English. the United States. Development Loans; Rural Cooperative To file a program discrimination The Further Consolidated Development Grants from which the complaint, complete the USDA Program Appropriations Act, 2020 (Pub. L. 116– Agency has set aside Fiscal Year 2020 Discrimination Complaint Form, AD– 94) enacted on December 20, 2019, appropriated funds for Rural 3027, found online at http:// contained provisions affecting persistent Cooperative Development Grants, www.ascr.usda.gov/complaint_filing_ poverty counties and the allocation of Grants to Assist Socially Disadvantaged, cust.html and at any USDA office or funds for persistent poverty counties. and Value-Added Agricultural Product write a letter addressed to USDA and This notice announces Market Development Grants; WWD provide in the letter all of the implementation of the following Program Account from which the information requested in the form. To provisions: Agency has set aside Fiscal Year 2020 request a copy of the complaint form, Allocation of Funds appropriated funds for Direct Water and call (866) 632–9992. Submit your Waste Disposal Loans, Water and Waste completed form or letter to USDA by: The Further Consolidated Disposal Grants, and Federally (1) Mail: U.S. Department of Appropriations Act, 2020 (Pub. L. 116– Recognized Native American Tribes Agriculture, Office of the Assistant 94) provides that to the maximum Water and Waste Disposal Grants (sec. Secretary for Civil Rights, 1400 extent feasible, at least 10 percent of the 306C(a)(1)); Rural Electrification and Independence Avenue SW, Washington, funds allocated to the listed programs Telecommunications Loans Program DC 20250–9410; shall be allocated for assistance to Account from which the Agency has set (2) Fax: (202) 690–7442; or persistent poverty counties. aside Fiscal Year 2020 appropriated (3) Email: [email protected]. Population Limits funds for Telecommunications Program USDA is an equal opportunity Direct, Treasury Rate loans; and, provider, employer, and lender. Notwithstanding any other provision Distance Learning and Telemedicine Bette Brand, in the listed programs regarding and Broadband Program from which the Deputy Under Secretary, Rural Development. population limits, section 740 of the Agency has set aside Fiscal Year 2020 Further Consolidated Appropriations appropriated funds for Delta Health [FR Doc. 2020–18395 Filed 8–20–20; 8:45 am] Act, 2020 (Pub. L. 116–94) provides that Care Services Grants and Broadband BILLING CODE 3410–XY–P for any county seat in a persistent Telecommunications Grants. poverty county that has a population The Agency, if applicable, will, with that does not exceed the program’s the publication of program funding DEPARTMENT OF COMMERCE authorized population limit by more announcements, provide guidance on than 10 percent will be considered qualifying for and, scoring criteria for Economic Development Administration eligible for that program. persistent poverty areas. If no program Agency Information Collection The listed programs are the Rural funding announcement will be Housing Insurance Fund Program Activities; Submission to the Office of published, then the Agency will provide Management and Budget (OMB) for Account from which the Agency has set such guidance on the program’s website. aside Fiscal Year 2020 appropriated Review and Approval; Comment funds for the following programs: Direct Non-Discrimination Statement Request; Form ED–209, Revolving Single Family Housing Loans (sec 502); In accordance with Federal civil Loan Fund Financial Report Very Low-Income Housing Repair Loans rights law and U.S. Department of AGENCY: Economic Development (sec. 504); Rural Rental Housing Direct Agriculture (USDA) civil rights Administration, U.S. Department of Loan Program (sec. 515); Housing Site regulations and policies, the USDA, its Commerce. Development Loans (sec. 524); and, Self- Agencies, offices, employees, and ACTION: Notice of Information Help Housing Land Development Loans institutions participating in or Collection, request for comment. (sec. 523); Mutual and Self-Help administering USDA programs are Housing Grants; Rural Housing prohibited from discriminating based on SUMMARY: The Department of Assistance Grants from which the race, color, national origin, religion, sex, Commerce, in accordance with the Agency has set aside Fiscal Year 2020 gender identity (including gender Paperwork Reduction Act of 1995 appropriated funds for the Very Low- expression), sexual orientation, (PRA), invites the general public and Income Housing Repair (sec. 504) and disability, age, marital status, familial/ other Federal agencies to comment on Rural Housing Preservation (sec. 533); parental status, income derived from a proposed, and continuing information Rural Community Facilities Program public assistance program, political collections, which helps us assess the Account from which the Agency has set beliefs, or reprisal or retaliation for prior impact of our information collection aside Fiscal Year 2020 appropriated civil rights activity, in any program or requirements and minimize the public’s
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reporting burden. The purpose of this small businesses in distressed Estimated Number of Respondents: notice is to allow for 60 days of public communities that are unable to obtain 1,700. comment preceding submission of the traditional bank financing. These loans Estimated Time per Response: 3 collection to OMB. The Economic enable small businesses to expand and hours. Development Administration (EDA) lead to new employment opportunities proposes to extend Form ED–209, that pay competitive wages and benefits. Estimated Total Annual Burden Revolving Loan Fund (RLF) Financial A unique feature of the RLF Program Hours: 5,100. Report, to continue collecting limited is that the federal interest in RLF awards Estimated Total Annual Cost to performance information from EDA RLF does not terminate. EDA RLF Public: $294,984 (cost assumes award recipients. regulations therefore require RLF application of U.S Bureau of Labor DATES: To ensure consideration, recipients to submit to EDA Form ED– Statistics first quarter 2020 mean hourly comments regarding this proposed 209, RLF Financial Report, which employer costs for employee information collection must be received collects limited performance compensation for professional and on or before October 20, 2020. information for RLF awards (13 CFR related occupations of $57.84). ADDRESSES: Interested persons are 307.14(a)). EDA currently requires Form Respondent’s Obligation: Mandatory. invited to submit written comments to ED–209 to be submitted on an annual Mitchell Harrison, Program Analyst, basis for high-performing RLFs and on IV. Request for Comments Performance and National Programs a semi-annual basis for other RLFs. Division, Economic Development EDA is currently in the process of Comments are invited on: (a) Whether Administration, U.S. Department of awarding numerous new grants to the proposed collection of information Commerce, via email to MHarrison@ capitalize RLFs. This has increased the is necessary for the proper performance eda.gov. You may also submit estimated number of respondents that of the functions of the agency, including comments to [email protected]. will be required to submit Form ED–209 whether the information shall have You may submit attachments to and the estimated number of burden practical utility; (b) the accuracy of the electronic comments in Microsoft Word, hours associated with Form ED–209. On agency’s estimate of the burden Excel, and Adobe PDF file formats. March 27, 2020, Congress enacted the (including hours and cost) of the FOR FURTHER INFORMATION CONTACT: Coronavirus Aid, Relief, and Economic proposed collection of information; (c) Requests for additional information or Security Act (Pub. L. 116–136), ways to enhance the quality, utility, and specific questions related to collection appropriating $1,500,000,000 in clarity of the information to be activities should be directed to Mitchell supplemental funds to EDA to ‘‘prevent, collected; and (d) ways to minimize the Harrison, Program Analyst, Performance prepare for, and respond to coronavirus burden of the collection of information and National Programs Division, . . . including for necessary expenses on respondents, including through the Economic Development Administration, for responding to economic injury as a use of automated collection techniques U.S. Department of Commerce, at (202) result of coronavirus.’’ EDA is using a or other forms of information significant portion of those funds to 428–4696 or via email to MHarrison@ technology. eda.gov. fund RLF awards. As a result, the All comments submitted in response SUPPLEMENTARY INFORMATION: number of respondents required to submit Form ED–209 will increase to this notice are a part of the public I. Abstract substantially. Although Form ED–209 is record and will be made available to the Guided by the basic principle that being extended without change, and the public, which may include posting them sustainable economic development estimated amount of time required to on the Regulations.gov website. should be locally-driven, the Economic complete Form ED–209 remains Comments will generally be posted Development Administration (EDA) unchanged at three hours, the estimated without change. Please do not include works directly with communities and annual burden hours for Form ED–209 information of a confidential nature, regions to help them build the capacity is increasing because of the increased such as sensitive personal information for economic development based on number of RLF awards and respondents or proprietary information. All local business conditions and needs. required to complete Form ED–209. Personally Identifiable Information (for The EDA Revolving Loan Fund (RLF) II. Method of Collection example, name and address) voluntarily Program, authorized under section 209 submitted may be publicly accessible. If of the Public Works and Economic Currently, RLF recipients must you send an email comment, your email Development Act of 1965, as amended complete and submit Form ED–209 address will be automatically captured (42 U.S.C. 3149), has served as an using an EDA-provided fillable PDF and included as part of the comment (Portable Document Format) form. important pillar of EDA investment that is placed in the public docket. However, EDA anticipates transitioning programs since the establishment of the Please note that comments that include to an online platform for reporting RLF Program in 1975. The purpose of a message stating the confidentiality of the RLF Program is to provide regions through which RLF recipients will be the communication will be treated as with a flexible and continuing source of required to submit the information public comments and will be made capital, to be used with other economic collected by Form ED–209. available to the public. development tools, for creating and III. Data retaining jobs and inducing private Sheleen Dumas, OMB Control Number: 0610–0095. investment that will contribute to long- Department PRA Clearance Officer, Office of term economic stability and growth. Form Number(s): ED–209. the Chief Information Officer, Commerce EDA provides RLF grants to eligible Type of Review: Extension of a Department. recipients, which include State and currently approved information [FR Doc. 2020–18363 Filed 8–20–20; 8:45 am] local governments, Indian Tribes, and collection. BILLING CODE 3510–WH–P non-profit organizations, to operate a Affected Public: EDA RLF recipients: lending program that offers loans with State and local governments, Indian flexible repayment terms, primarily to Tribes, and non-profit organizations.
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DEPARTMENT OF COMMERCE SeAH placed on the record of these Scope of the Orders CCRs comments made by domestic The merchandise covered by these International Trade Administration 4 producers, representing ‘‘substantially Orders is welded carbon and alloy steel 5 [A–580–897; C–580–898] all’’ of the domestic industry in the pipe (other than stainless steel pipe), CCRs of large diameter welded pipe more than 406.4 mm (16 inches) in Large Diameter Welded Pipe from the from India. These comments indicate nominal outside diameter (large Republic of Korea: Final Results of that the domestic industry does not diameter welded line pipe), regardless Antidumping Duty and Countervailing currently produce the particular large of wall thickness, length, surface finish, Duty Changed Circumstances Reviews diameter welded pipe products subject grade, end finish, or stenciling. Large to the request for partial revocation of diameter welded pipe may be used to AGENCY: Enforcement and Compliance, the Orders, and that the investment transport oil, gas, slurry, steam, or other International Trade Administration, needed to do so far exceeds the fluids, liquids, or gases. It may also be Department of Commerce. potential benefit of such investment, used for structural purposes, including, SUMMARY: On July 10, 2020, the given that the U.S. market for deep but not limited to, piling. Specifically, Department of Commerce (Commerce) offshore projects, i.e., the primary not included is large diameter welded published a notice of initiation and market for the large diameter welded pipe produced only to specifications of expedited preliminary results of the pipe product groups at issue, is the American Water Works Association changed circumstances reviews (CCRs) relatively small.6 In addition, in these (AWWA) for water and sewage pipe. of the antidumping duty (AD) and same comments, the domestic producers Large diameter welded line pipe used countervailing duty (CVD) orders on provided an explanation indicating that to transport oil, gas, or natural gas large diameter welded pipe from the commercial circumstances have liquids is normally produced to the Republic of Korea (Korea) which changed since the Orders were put in American Petroleum Institute (API) revoked, in part, these orders as they place. specification 5L. Large diameter welded relate to certain specific large diameter pipe may also be produced to American welded pipe products. Commerce has Consistent with the CCRs of large diameter welded pipe from India and Society for Testing and Materials adopted the scope exclusion language in (ASTM) standards A500, A252, or A53, these final results. Greece, in the Initiation and Preliminary Results, we found that there was ‘‘good or other relevant domestic DATES: Applicable August 21, 2020. cause’’ to conduct the CCRs less than 24 specifications, grades and/or standards. FOR FURTHER INFORMATION CONTACT Large diameter welded line pipe can be : months after the date of publication of produced to comparable foreign Katherine Johnson or Sergio Balbontin, notices of the final determinations in specifications, grades and/or standards AD/CVD Operations, Office VIII, the Korea large diameter welded pipe Enforcement and Compliance, or to proprietary specifications, grades investigations.7 In addition, in the International Trade Administration, and/or standards, or can be non-graded Initiation and Preliminary Results, we U.S. Department of Commerce, 1401 material. All pipe meeting the physical provided all interested parties an Constitution Avenue NW, Washington, description set forth above is covered by opportunity to comment and to request DC 20230; telephone: (202) 482–4929 or the scope of these Orders, whether or a public hearing regarding our (202) 482–6478, respectively. not produced according to a particular preliminary findings.8 No interested SUPPLEMENTARY INFORMATION: standard. party submitted comments or requested Subject merchandise also includes Background a public hearing. large diameter welded pipe that has On May 2, 2019, Commerce published been further processed in a third 4 These domestic producers are the petitioners in country, including but not limited to the AD and CVD orders on large the AD and CVD investigations (American Cast Iron 1 diameter welded pipe from Korea. On Pipe Company, Berg Steel Pipe Corp./Berg Spiral coating, painting, notching, beveling, July 10, 2020, Commerce published the Pipe Corp., Dura-Bond Industries, Stupp cutting, punching, welding, or any other Initiation and Preliminary Results,2 in Corporation, individually and as members of the processing that would not otherwise American Line Pipe Producers Association; Greens remove the merchandise from the scope which Commerce preliminarily revoked, Bayou Pipe Mill, LP; JSW Steel (USA) Inc.; Skyline in part, the Orders with respect to Steel; and Trinity Products LLC) and Welspun of the Orders if performed in the certain large diameter welded pipe Global Trade LLC. country of manufacture of the in-scope products with specific combinations of 5 See SeAH’s Letter, ‘‘Large Diameter Welded large diameter welded pipe. grades, diameters, and wall thicknesses, Pipe from Korea—Request for Changed Excluded from the scope are any Circumstances Review and Revocation, in Part,’’ products covered by the existing pursuant to a request from SeAH Steel dated June 11, 2020 at Exhibits 1–3. Commerce has Corporation (SeAH). These products are interpreted ‘‘substantially all’’ to mean at least 85 antidumping duty order on welded line specified in the exclusion language of percent of the total production of the domestic like pipe from the Republic of Korea. See the scope provided in the Initiation and product covered by the order. See, e.g., Welded Line Pipe from the Republic of Supercalendered Paper from Canada: Final Results 3 Korea and the Republic of Turkey: Preliminary Results. of Changed Circumstances Review and Revocation of Countervailing Duty Order, 83 FR 32268 (July 12, Antidumping Duty Orders, 80 FR 75056 1 See Large Diameter Welded Pipe from the 2018). (December 1, 2015).9 Republic of Korea: Amended Final Affirmative 6 See Initiation and Preliminary Results, 85 FR at Also excluded is large diameter Antidumping Determination and Antidumping 41538. welded pipe in the following 7 Duty Order, 84 FR 18767 (May 2, 2019); and Large See 19 CFR 351.216(c). See also Large Diameter combinations of grades, outside Diameter Welded Pipe from the Republic of Korea: Welded Pipe from India: Final Results of Countervailing Duty Order, 84 FR 18773 (May 2, Antidumping Duty and Countervailing Duty diameters, and wall thicknesses: 2019) (collectively, Orders). Changed Circumstances Reviews, 85 FR 26930 (May • Grade X60, X65, or X70, 18 inches 2 See Large Diameter Welded Pipe from the 6, 2020); Large Diameter Welded Pipe from Greece: outside diameter, 0.688 inches or greater Republic of Korea: Initiation and Expedited Final Results of Antidumping Duty Changed Preliminary Results of Antidumping and Circumstances Review, 85 FR 37424 (June 22, 2020); wall thickness; Countervailing Duty Changed Circumstances and Initiation and Preliminary Results, 85 FR at Reviews, 85 FR 41536 (July 10, 2020) (Initiation and 41537–38. 9 This paragraph does not appear in the scope of Preliminary Results). 8 See Initiation and Preliminary Results, 85 FR at the CVD order on large diameter welded pipe from 3 Id at Attachment. 41538. Korea.
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• Grade X60, X65, or X70, 20 inches CFR 351.216(e), 351.221(b), percent.1 After correcting ministerial outside diameter, 0.688 inches or greater 351.221(c)(3), 351.222(g)(1) and errors contained in the Final Results, on wall thickness; 351.222(g)(4). February 17, 2017, Commerce published • Grade X60, X65, X70, or X80, 22 Dated: August 13, 2020. the Amended Final Results, and inches outside diameter, 0.750 inches or calculated a revised weighted-average Jeffrey I. Kessler, greater wall thickness; and dumping margin of 3.40 percent for • Grade X60, X65, or X70, 24 inches Assistant Secretary for Enforcement and Toscelik.2 Compliance. outside diameter, 0.750 inches or greater Toscelik and the JMC Steel Group (a wall thickness. [FR Doc. 2020–18385 Filed 8–20–20; 8:45 am] domestic interested party) appealed The large diameter welded pipe that BILLING CODE 3510–DS–P Commerce’s Final Results, as amended is subject to these Orders is currently by the Amended Final Results, to the classifiable in the Harmonized Tariff CIT. On June 6, 2018, the CIT issued its DEPARTMENT OF COMMERCE Schedule of the United States (HTSUS) First Remand Order, directing under subheadings 7305.11.1030, International Trade Administration Commerce to: (1) Reconsider the 7305.11.1060, 7305.11.5000, calculation of Toscelik’s duty drawback 7305.12.1030, 7305.12.1060, adjustment; and (2) provide further [A–489–501] 7305.12.5000, 7305.19.1030, explanation for granting Toscelik a circumstance-of-sale adjustment for 7305.19.1060, 7305.19.5000, Welded Carbon Steel Standard Pipe warehousing expenses.3 On October 4, 7305.31.4000, 7305.31.6090, and Tube Products From Turkey: 2018, Commerce submitted its final 7305.39.1000 and 7305.39.5000. While Notice of Court Decision Not in results of redetermination, recalculating the HTSUS subheadings are provided Harmony With Amended Final Results Toscelik’s duty drawback adjustment, for convenience and customs purposes, of Review; Amended Final Results of under respectful protest,4 and providing the written description of the scope of Administrative Review of the further explanation for granting a these Orders is dispositive. Antidumping Duty Order on Welded circumstance-of-sale adjustment for Carbon Steel Standard Pipe and Tube Final Results of CCRs warehousing expenses.5 Products From the Republic of Turkey, On April 1, 2019, the CIT issued its Commerce may modify the scope of 2014–2015 an AD and/or CVD order as a result of Second Remand Order, sustaining 10 Commerce’s explanation of Toscelik’s conducting a CCR. For the reasons AGENCY: Enforcement and Compliance, stated in the Initiation and Preliminary circumstance-of-sale for adjustment for International Trade Administration, warehousing expenses, but remanding Results, Commerce continues to find Department of Commerce. that it is appropriate to revoke the Commerce’s modified calculation of Orders, in part, in accordance with SUMMARY: On July 28, 2020, the U.S. Toscelik’s duty drawback adjustment.6 section 782(h)(2) of the Act and 19 CFR Court of International Trade (CIT) In particular, the CIT found that 351.222(g)(1)(i), with respect to certain sustained the Department of Commerce Commerce’s additional circumstance-of- large diameter welded pipe products (Commerce)’s third remand sale adjustment to correct a perceived with specific combinations of grades, redetermination pertaining to the imbalance in Toscelik’s dumping diameters, and wall thicknesses, as administrative review of welded carbon margin calculation ‘‘negates the reflected in the ‘‘Scope of the Order’’ steel standard pipe and tube products statutory duty drawback adjustment that section of this notice. (welded pipe and tube) from the Toscelik earned by exporting its We will instruct U.S. Customs and Republic of Turkey (Turkey) covering finished product to the United States Border Protection to terminate the the period of review (POR) May 1, 2014 and impinges on the agency’s ability to 7 suspension of liquidation for all through April 30, 2015. Commerce is make a fair comparison.’’ On May 30, shipments of the products which are notifying the public that the CIT’s final 2019, Commerce submitted its second revoked from the Orders as a result of judgment is not in harmony with the final results of redetermination, these CCRs that were entered, or amended final results of the recalculating Toscelik’s duty drawback withdrawn from warehouse, for administrative review, and that adjustment, including a circumstance- consumption on or after the date of Commerce is amending the weighted- publication of this notice in the Federal average dumping margin for Toscelik 1 See Welded Carbon Steel Standard Pipe and Profil ve Sac Endustrisi A.S. (Toscelik). Tube Products from Turkey: Final Results of Register. We intend for all entries of the Antidumping Administrative Review; 2014–2015, revoked products that were suspended DATES: Applicable August 7, 2020. 81 FR 92785 (December 20, 2016) (Final Results), on or after the date of publication of this and accompanying Issues and Decision notice to be liquidated without regard to FOR FURTHER INFORMATION CONTACT: Memorandum. 2 antidumping duties (i.e., refund all cash Michael J. Heaney, AD/CVD Operations, See Welded Carbon Steel Standard Pipe and Office VI, Enforcement and Compliance, Tube Products from Turkey: Amended Final Results deposits). of Antidumping Duty Administrative Review; 2014– International Trade Administration, 2015, 82 FR 11002 (February 17, 2017) (Amended Notification to Interested Parties U.S. Department of Commerce, 1401 Final Results). We are issuing this determination and Constitution Avenue NW, Washington, 3 See Toscelik Profil ve Sac Endustrisi A.S. v. DC 20230; telephone: (202) 482–4475. United States, 321 F. Supp. 3d 1270 (CIT 2018) publishing these final results and notice (First Remand Order) at 17–18. in accordance with sections 751(b)(1) SUPPLEMENTARY INFORMATION: 4 See Viraj Group, Ltd. v. United States, 343 F.3d and 777(i)(1) and (2) of the Act and 19 1371 (Fed. Cir. 2003). Background 5 See Final Results of Redetermination Pursuant 10 See Carbon and Alloy Steel Wire Rod from the to Court Remand, Toscelik Profil ve Sac Endustrisi Republic of Korea and the United Kingdom: Notice On December 20, 2016, Commerce A.S. v. United States, Court No. 17–00018, Slip Op. of Final Results of Antidumping Duty Changed published the Final Results in the 2014– 18–66 (CIT June 6, 2018). Circumstances Review, 84 FR 13888 (April 8, 2019); 2015 administrative review of welded 6 See Toscelik Profil ve Sac Endustrisi A.S. v. see also Certain Steel Nails from the People’s pipe and tube from Turkey, in which United States, 375 F. Supp. 3d 1312 (CIT 2019) Republic of China: Final Results of Antidumping (Second Remand Order). Duty Changed Circumstances Review, 84 FR 49508 Commerce calculated a weighted- 7 See Second Remand Order, 375 F. Supp. 3d at (September 20, 2019). average dumping margin of 1.91 1316.
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of-sale adjustment to account for the published in fulfillment of the and (4) remain unliquidated as of 5:00 imbalance between the amount of publication requirements of Timken and p.m. Eastern Time on February 17, 2017. import duties included in U.S. price as section 516A of the Act. Notification to Interested Parties a result of the duty drawback Amended Final Results of Review adjustment and the amount of import This notice is issued and published in duties reflected in normal value.8 Because there is now a final court accordance with sections 516A(c)(1) and On December 18, 2019, in its Third judgment, Commerce is amending its (e), 751(a) and 777(i) of the Act. Remand Order, the CIT ordered Amended Final Results with respect to Dated: August 13, 2020. Toscelik as follows: Commerce to recalculate normal value Jeffrey I. Kessler, without making a circumstance-of-sale Weighted- Assistant Secretary for Enforcement and adjustment related to the duty drawback Compliance. adjustment made to U.S. price.9 On average Exporter or producer dumping [FR Doc. 2020–18384 Filed 8–20–20; 8:45 am] March 13, 2020, in the third results of margin redetermination, Commerce granted (percent) BILLING CODE 3510–DS–P Toscelik a duty drawback adjustment, Toscelik Profil ve Sac Endustrisi without making a circumstance-of-sale DEPARTMENT OF COMMERCE adjustment to account for the imbalance A.S...... 0.00 between the U.S. duty drawback International Trade Administration adjustment and the amount of import Cash Deposit Requirements duties reflected in normal value.10 Because Toscelik has a superseding United States Investment Advisory Additionally, Commerce added an cash deposit rate, i.e., there have been Council Meeting imputed cost for import duties to the final results published in a subsequent cost of production.11 This amount is administrative review for Toscelik, this AGENCY: International Trade based on Toscelik’s cost of notice will not affect the current cash Administration, U.S. Department of manufacturing during the POR for pipe deposit rate for Toscelik. Commerce. and tube and was calculated as the ratio ACTION: Notice of an open meeting. Liquidation of Suspended Entries of the total amount of Toscelik’s SUMMARY: exempted import duties and its cost of If the CIT’s final judgment is not In accordance with the manufacturing during the POR. On July appealed, or if appealed and upheld, Federal Advisory Committee Act 28, 2020, the CIT sustained Commerce’s because Toscelik’s amended weighted- (FACA), this notice announces, the third results of redetermination, and average dumping margin is zero percent, United States Investment Advisory entered final judgment.12 Commerce will instruct CBP to Council (Council) will hold a virtual terminate the suspension of liquidation, meeting on Thursday, September 10, Timken Notice and to liquidate and to assess duties at 2020. In its decision in Timken,13 as a rate of zero for entries during the POR DATES: Thursday, September 10, 2020, clarified by Diamond Sawblades,14 the that were produced and exported by 10:00–11:30 a.m. EDT. The deadline for Court of Appeals for the Federal Circuit Toscelik. members of the public to register, held that, pursuant to section 516A of Consistent with Commerce’s including requests to make comments the Tariff Act of 1930, as amended (the assessment practice, for entries of during the meeting and for auxiliary Act), Commerce must publish a notice subject merchandise during the POR aids, or to submit written comments for of court decision that is not ‘‘in produced by Toscelik for which dissemination prior to the meeting is harmony’’ with a Commerce Toscelik did not know that the 5:00 p.m. EDT on September 3, 2020. determination and must suspend merchandise was destined for the ADDRESSES: The meeting will be held liquidation of entries pending a United States, we will instruct CBP to virtually due to the current COVID–19 ‘‘conclusive’’ court decision. The CIT’s liquidate unreviewed entries at the all- pandemic. Requests to register July 28, 2020, final judgment constitutes others rate if there is no rate for the (including to speak) and any written a final decision of the CIT that is not in intermediate company(ies) involved in 16 comments should be submitted to: harmony with Commerce’s Amended the transaction. United States Investment Advisory 15 Lastly, at this time, Commerce Final Results. Thus, this notice is Council, U.S. Department of Commerce, remains enjoined by Court order from 1401 Constitution Avenue NW, Room 8 See Final Results of Redetermination Pursuant liquidating entries that: (1) Were the 30011, Washington, DC 20230, and to Court Remand, Toscelik Profil ve Sac Endustrisi subject of the administrative emailed to: [email protected]. Members of A.S. v. United States, Court No. 17–00018, Slip Op. determination published in the Final 19–41 (CIT April 1, 2019) (Second Results, as amended by the Amended the public are encouraged to submit Redetermination). registration requests and written 9 See Toscelik Profil ve Sac Endustrisi A.S. v. Final Results; 17 (2) were produced and/ United States, 415 F. Supp. 3d 1395 (CIT 2019) or exported by any of the following: comments via email to ensure timely (Third Remand Order). Toscelik Profil ve Sac Endustrisi A.S.; receipt. 10 See Final Results of Redetermination Pursuant FOR FURTHER INFORMATION CONTACT: to Court Remand, Toscelik Profil ve Sac Endustrisi Tosyali Dis Ticaret A.S.; Tubeco Pipe A.S. v. United States, Court No. 17–00018, Slip Op. and Steel Corporation; and Toscelik David Weil, United States Investment 19–166 (CIT December 18, 2019) (Third Metal Ticaret A.S.; (3) were entered, or Advisory Council, Room 30011, 1401 Redetermination). were withdrawn from warehouse, for Constitution Avenue NW, Washington, 11 Id. consumption on or after May 1, 2014 DC 20230, telephone 202–768–1906. 12 See Toscelik Profil ve Sac Endustrisi A.S. v. United States, Court No., 17–00018, Slip Op. 20– through and including April 30, 2015; SUPPLEMENTARY INFORMATION: The 105 (CIT July 28, 2020) (CIT Final Judgment). United States Investment Advisory 13 See Timken Co. v. United States, 893 F.2d 337 16 For a full discussion of this practice, see Council (Council) was established by (Fed. Cir. 1990) (Timken). Antidumping and Countervailing Duty Proceedings: the Secretary of Commerce (Secretary) 14 See Diamond Sawblades Manufacturers Assessment of Antidumping Duties, 68 FR 23954 Coalition v. United States, 626 F.3d 1374 (Fed. Cir. (May 6, 2003). pursuant to duties imposed by 15 U.S.C. 2010) (Diamond Sawblades). 17 See Final Results, 81 FR at 92785; see also 1512 upon the Department and in 15 See CIT Final Judgment. Amended Final Results, 82 FR at 11002. compliance with the Federal Advisory
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Committee Act, as amended, 5 U.S.C. transmission to the Council members Disabled published notice of proposed App. prior to the meeting. Comments additions to the Procurement List. This The Council advises the Secretary on received after that date and time will be notice is published pursuant to 41 matters relating to the promotion and distributed to the members but may not U.S.C. 8503 (a)(2) and 41 CFR 51–2.3. retention of foreign direct investment in be considered during the meeting. After consideration of the material the United States. At the meeting, Comments and statements will be presented to it concerning capability of members will provide updates on the posted on the United States Investment qualified nonprofit agencies to provide work they have done to present in Advisory Council website (http:// the products and services and impact of identifying and deliberating on policy trade.gov/IAC) without change, the additions on the current or most priorities regarding the facilitation of including any business or personal recent contractors, the Committee has foreign direct investment into the information provided such as it determined that the products and United States. These policy priorities includes names, addresses, email services listed below are suitable for include deregulation and the addresses, or telephone numbers. procurement by the Federal Government streamlining of processes that affect All comments and statements under 41 U.S.C. 8501–8506 and 41 CFR business investment opportunities received, including attachments and 51–2.4. across U.S. regions, the facilitation of other supporting materials, are part of Regulatory Flexibility Act Certification infrastructure investment, workforce the public record and subject to public development, and mechanisms to disclosure. You should submit only I certify that the following action will increase investment competitiveness for information that you wish to make not have a significant impact on a domestic manufacturing companies, in publicly available. substantial number of small entities. addition to other topics. The agenda Copies of Council meeting minutes The major factors considered for this may change to accommodate Council will be available within 90 days of the certification were: business. The final agenda will be meeting. 1. The action will not result in any posted on the Department of Commerce additional reporting, recordkeeping or website for the Council at: http:// David Weil, other compliance requirements for small trade.gov/IAC, at least one week in United States Investment Advisory Council. entities other than the small advance of the meeting. [FR Doc. 2020–18359 Filed 8–20–20; 8:45 am] organizations that will furnish the Public Participation: The meeting will BILLING CODE 3510–DR–P products and services to the be open to the public and will be Government. accessible to people with disabilities. 2. The action will result in All guests are required to register in COMMITTEE FOR PURCHASE FROM authorizing small entities to furnish the advance by the deadline identified PEOPLE WHO ARE BLIND OR products and services to the under the DATES caption. Requests for SEVERELY DISABLED Government. auxiliary aids must be submitted by the 3. There are no known regulatory registration deadline. Last minute Procurement List; Additions and alternatives which would accomplish requests will be accepted but may be Deletions the objectives of the Javits-Wagner- impossible to fill. There will be fifteen O’Day Act (41 U.S.C. 8501–8506) in (15) minutes allotted for oral comments AGENCY: Committee for Purchase From connection with the products and from members of the public joining the People Who Are Blind or Severely services proposed for addition to the meeting. To accommodate as many Disabled. Procurement List. speakers as possible, the time for public ACTION: Additions to and Deletions from End of Certification comments may be limited to three (3) the Procurement List. minutes per person. Individuals wishing Accordingly, the following products to reserve speaking time during the SUMMARY: This action adds products and and services are added to the meeting must submit a request at the services to the Procurement List that Procurement List: time of registration, as well as the name will be furnished by nonprofit agencies Products and address of the proposed speaker. If employing persons who are blind or have other severe disabilities, and NSN(s)—Product Name(s) the number of registrants requesting to 6515–01–NIB–2636—Exam Light, Tactical, make statements is greater than can be deletes products and services from the For CLS 6545–01–677–4906 Only reasonably accommodated during the Procurement List previously furnished Mandatory Source of Supply: Lighthouse meeting, the International Trade by such agencies. Works, Orlando, FL Administration may conduct a lottery to DATES: Date added to and deleted from Contracting Activity: DEFENSE LOGISTICS determine the speakers. the Procurement List: September 20, AGENCY, DLA TROOP SUPPORT Speakers are requested to submit a 2020. NSN(s)—Product Name(s) written copy of their prepared remarks 160001400S—ProPack, Rack and Hooks by 5:00 p.m. EDT on September 3, 2020, ADDRESSES: Committee for Purchase Kit, Army From People Who Are Blind or Severely Mandatory Source of Supply: Crowder for inclusion in the meeting records and Industries, Inc., Neosho, MO for circulation to the Members of the Disabled, 1401 S. Clark Street, Suite 715, Arlington, Virginia, 22202–4149. Contracting Activity: DEPT OF THE ARMY, Council. W6QK ACC–APG NATICK In addition, any member of the public FOR FURTHER INFORMATION CONTACT: may submit pertinent written comments Michael R. Jurkowski, Telephone: (703) Services concerning the Council’s affairs at any 603–2117, Fax: (703) 603–0655, or email Service Type: Facility Maintenance Support time before or after the meeting. [email protected]. Mandatory for: U.S. Marshals Service, William F. Degan Tactical Operations Comments may be submitted to David SUPPLEMENTARY INFORMATION: Center, Pineville, LA Weil at the contact information Additions Mandatory Source of Supply: Rising Star indicated above. To be considered Resource Development Corporation, during the meeting, comments must be On 3/27/2020, 5/1/2020 and 7/17/ Dallas, TX received no later than 5:00 p.m. EDT on 2020, the Committee for Purchase From Contracting Activity: U.S. MARSHALS September 3, 2020, to ensure People Who Are Blind or Severely SERVICE, U.S. DEPT OF JUSTICE,
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USMS NSN(s)—Product Name(s) NV 4220–00–926–9468—Vest, Life Preserver, Mandatory for: VA Administration #2: 2455 Deletions USN, Red, Medium W. Cheyenne, Ste. 102, Las Vegas, NV On 6/26/2020 and 7/17/2020, the Mandatory Source of Supply: Mississippi Mandatory for: VA West Clinic: 630 S Committee for Purchase From People Industries for the Blind, Jackson, MS Rancho Road, Las Vegas, NV Who Are Blind or Severely Disabled Contracting Activity: DLA TROOP SUPPORT, Mandatory for: VA Loma Linda Healthcare PHILADELPHIA, PA published notice of proposed deletions System: 11201 Benton Street, Loma NSN(s)—Product Name(s) Linda, CA from the Procurement List. This notice 4220–00–926–9468—Vest, Life Preserver, Mandatory Source of Supply: Goodwill is published pursuant to 41 U.S.C. 8503 USN, Red, Medium Industries of Southern California, (a)(2) and 41 CFR 51–2.3. Mandatory Source of Supply: Lions Panarama City, CA After consideration of the relevant Volunteer Blind Industries, Inc., Contracting Activity: VETERANS AFFAIRS, matter presented, the Committee has Morristown, TN DEPARTMENT OF, NAC determined that the products and Contracting Activity: DLA TROOP SUPPORT, Service Type: Janitorial/Custodial services listed below are no longer PHILADELPHIA, PA Mandatory for: Defense Enterprise suitable for procurement by the Federal NSN(s)—Product Name(s) Computing Center (DECC) Government under 41 U.S.C. 8501–8506 MR 402—Bag, Shopping Tote, Laminated, Mechanicsburg: Building 504B, Small, ‘‘Live Sweet’’ and 41 CFR 51–2.4. Mechanicsburg, PA MR 403—Bag, Shopping Tote, Laminated, Mandatory for: Defense Enterprise Regulatory Flexibility Act Certification Small, ‘‘Live Well’’ Computing Center (DECC) MR 404—Bag, Shopping Tote, Laminated, Mechanicsburg: Building 309T, I certify that the following action will Large, ‘‘Live Spicy’’ Mechanicsburg, PA not have a significant impact on a MR 405—Bag, Shopping Tote, Laminated, Mandatory Source of Supply: Goodwill substantial number of small entities. Fresh, ‘‘Live Fresh’’ Services, Inc., Harrisburg, PA The major factors considered for this MR 406—Bag, Shopping Tote, Laminated, Contracting Activity: DEFENSE certification were: Large, ‘‘Live Sweet’’ INFORMATION SYSTEMS AGENCY 1. The action will not result in Mandatory Source of Supply: Industries for (DISA), IT CONTRACTING DIVISION– additional reporting, recordkeeping or the Blind and Visually Impaired, Inc., PL83 other compliance requirements for small West Allis, WI Contracting Activity: Military Resale-Defense Michael R. Jurkowski, entities. Commissary Agency Deputy Director, Business & PL Operations. 2. The action may result in authorizing small entities to furnish the Services [FR Doc. 2020–18361 Filed 8–20–20; 8:45 am] products and services to the Service Type: Administrative Services BILLING CODE 6353–01–P Government. Mandatory for: Milwaukee Federal Building 3. There are no known regulatory and U.S. Courthouse, Milwaukee, WI COMMITTEE FOR PURCHASE FROM alternatives which would accomplish Mandatory Source of Supply: Milwaukee PEOPLE WHO ARE BLIND OR the objectives of the Javits-Wagner- Center for Independence, Inc., SEVERELY DISABLED O’Day Act (41 U.S.C. 8501–8506) in Milwaukee, WI connection with the products and Contracting Activity: GENERAL SERVICES ADMINISTRATION, FPDS AGENCY Procurement List; Proposed Additions services deleted from the Procurement COORDINATOR and Deletions List. Service Type: Janitorial/Custodial AGENCY: Committee for Purchase From End of Certification Mandatory for: Internal Revenue Service: 11631 Caroline Road, Philadelphia, PA People Who Are Blind or Severely Accordingly, the following products Mandatory Source of Supply: UNKNOWN Disabled. and services are deleted from the Contracting Activity: TREASURY, ACTION: Proposed Additions to and Procurement List: DEPARTMENT OF THE, DEPT OF TREAS/ Deletions from the Procurement List. Products Service Type: Telephone/Switchboard SUMMARY: NSN(s)—Product Name(s) Operator The Committee is proposing 3030–01–017–4340—Belt, V-shaped, Mandatory for: VA Northern California to add services to the Procurement List EPDM Rubber, Notched/A2 Cog, Health Care System, Martinez, CA that will be furnished by nonprofit Neoprene, 38.3’’ Mandatory Source of Supply: Project Hired, agencies employing persons who are 3030–01–146–7057—Joined Belt, V- San Jose, CA blind or have other severe disabilities, shaped, EPDM Rubber, VA Cross Contracting Activity: VETERANS AFFAIRS, and deletes products and services Section, Notched/A2 Cog, Neoprene, DEPARTMENT OF, 261–NETWORK previously furnished by such agencies. 47.96’’ CONTRACT OFFICE 21 DATES: 3030–01–200–6004—Belt, V-shaped, Service Type: Telephone/Switchboard Comments must be received on Joined, EPDM Rubber, RA Cross Section, Operator or before: September 20, 2020. Notched/A2 Cog, 42.53’’ Mandatory for: Department of Veterans ADDRESSES: Committee for Purchase 3030–01–387–5760—Belt, V-shaped, Affairs, VA Northern California Health From People Who Are Blind or Severely EPDM Rubber, HC41 Cross Section, Care System, 10535 Hospital Way, Disabled, 1401 S. Clark Street, Suite Notched/A2 Cog, Neoprene, 34.58’’ Sacramento, CA 715, Arlington, Virginia 22202–4149. Mandatory Source of Supply: East Texas Mandatory Source of Supply: Project Hired, Lighthouse for the Blind, Tyler, TX San Jose, CA FOR FURTHER INFORMATION CONTACT: For Contracting Activity: DLA LAND AND Contracting Activity: VETERANS AFFAIRS, further information or to submit MARITIME, COLUMBUS, OH DEPARTMENT OF, 261–NETWORK comments contact: Michael R. NSN(s)—Product Name(s) CONTRACT OFFICE 21 Jurkowski, Telephone: (703) 603–2117, 7520–01–483–8993—Stand, Calendar Pad, Service Type: Document Destruction Fax: (703) 603–0655, or email for 3’’ × 3–3/4’’ refill, Black Mandatory for: VA North Clinic: 916 W [email protected]. Mandatory Source of Supply: LC Industries, Owens Avenue, Las Vegas, NV Inc., Durham, NC Mandatory for: VA Central Clinic: 901 SUPPLEMENTARY INFORMATION: This Contracting Activity: GSA/FAS ADMIN Rancho Lane, Las Vegas, NV notice is published pursuant to 41 SVCS ACQUISITION BR(2, NEW YORK, Mandatory for: VA Administration: 1841 E. U.S.C. 8503 (a)(2) and 41 CFR 51–2.3. Its NY Craig Road, Ste. B Warehouse, Las Vegas, purpose is to provide interested persons
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an opportunity to submit comments on Philadelphia, PA response to this notice will be the proposed actions. Mandatory Source of Supply: Elwyn, Aston, considered public records. PA FOR FURTHER INFORMATION CONTACT: Additions Contracting Activity: PUBLIC BUILDINGS SERVICE, GSA/PBS/R03 NORTH Agency Submitting Officer: Joanna M. If the Committee approves the Reynolds, (202) 357–3979. proposed additions, the entities of the SERVICE CENTER Service Type: Latrine Services Federal Government identified in this SUPPLEMENTARY INFORMATION: This Mandatory for: Stryker National Logistics notice informs the public that DFC will notice will be required to procure the Center, Auburn, WA services listed below from nonprofit submit to OMB a request for approval of Mandatory Source of Supply: Skookum the following information collection. agencies employing persons who are Educational Programs, Bremerton, WA blind or have other severe disabilities. Contracting Activity: DEPT OF THE ARMY, Summary Form Under Review The following services are proposed W4GG HQ US ARMY TACOM for addition to the Procurement List for Title of Collection: MTU Intake Michael R. Jurkowski, production by the nonprofit agencies Questionnaire. listed: Deputy Director, Business & PL Operations. Type of Review: New information [FR Doc. 2020–18362 Filed 8–20–20; 8:45 am] collection. Services BILLING CODE 6353–01–P Agency Form Number: DFC–015. Service Type: Janitorial Service OMB Form Number: Not assigned, Mandatory for: FAA, Denver Air Traffic new information collection. Control Tower/Base Building and Frequency: Once per potential client TRACON/Generator Building, Denver, INTERNATIONAL DEVELOPMENT FINANCE CORPORATION per project. CO Affected Public: Business or other for- Mandatory Source of Supply: Bayaud Industries, Inc., Denver, CO [DFC–015] profit; not-for-profit institutions. Contracting Activity: FEDERAL AVIATION Total Estimated Number of Annual ADMINISTRATION, 697DCK Submission for OMB Review; Number of Respondents: 130. REGIONAL ACQUISITIONS SVCS Comments Request Estimated Time per Respondent: 1 Service Type: Base Supply Center and Retail AGENCY: hour. Gift Shop U.S. International Development Finance Corporation (DFC). Total Estimated Number of Annual Mandatory for: Bureau of Alcohol, Firearms, Burden Hours: 130 hours. Tobacco and Explosives, Washington, ACTION: Notice of Information Abstract: The MTU Intake DC Collection; request for comment. Mandatory Source of Supply: Virginia Questionnaire is the principal document Industries for the Blind, Charlottesville, SUMMARY: Under the provisions of the used to collect information from VA Paperwork Reduction Act, agencies are potential clients seeking support from Contracting Activity: ATF ACQUISITION required to publish a Notice in the the Mission Transaction Unit (MTU) of AND PROPERTY MGMT DIV, ATF Federal Register notifying the public DFC. MTU works together with USAID Deletions that the agency is creating a new missions and operating units to promote information collection for OMB review and advance the agencies’ development The following products and services objectives around the world. are proposed for deletion from the and approval and requests public Procurement List: review and comment on the submission. Dated: August 18, 2020. Comments are being solicited on the Nichole Skoyles, Products need for the information; the accuracy Administrative Counsel, Office of the General NSN(s)—Product Name(s) of the burden estimate; the quality, Counsel. MR 10638—Carrot and Dip To Go, Includes practical utility, and clarity of the [FR Doc. 2020–18408 Filed 8–20–20; 8:45 am] Shipper 20638 information to be collected; and ways to BILLING CODE 3210–01–P MR 10651—Saver, Lemon minimize reporting the burden, MR 10671—Celery and Dip To Go, including automated collected Includes Shipper 20671 MR 10744—Container, Snack, Pigout, techniques and uses of other forms of DEPARTMENT OF EDUCATION Includes Shipper 20744 technology. [Docket No. ED–2020–SCC–0136] MR 10767—Saver, Grapefruit, Includes DATES: Comments must be received by Shipper 20767 October 20, 2020. MR 11102—Bags, Roasting, Includes Agency Information Collection Shipper 21102 ADDRESSES: Comments and requests for Activities; Comment Request; Formula Mandatory Source of Supply: Winston-Salem copies of the subject information Grant EASIE Electronic Application Industries for the Blind, Inc., Winston- collection may be sent by any of the System for Indian Education Salem, NC following methods: Contracting Activity: Military Resale-Defense • Mail: Joanna M. Reynolds, Agency AGENCY: Office of Elementary and Commissary Agency Submitting Officer, U.S. International Secondary Education (OESE), Services Development Finance Corporation, 1100 Department of Education (ED). Service Type: Laundry Service New York Avenue NW, Washington, DC ACTION: Notice. Mandatory for: Health & Human Services 20527. SUMMARY: Supply Center, Perry Point, MD • Email: [email protected]. In accordance with the Mandatory Source of Supply: Rappahannock Instructions: All submissions received Paperwork Reduction Act of 1995, ED is Goodwill Industries, Inc., must include the agency name and proposing a revision to an existing Fredericksburg, VA agency form number or OMB form information collection. Contracting Activity: HEALTH AND HUMAN number for this information collection. DATES: Interested persons are invited to SERVICES, DEPARTMENT OF, DEPT OF submit comments on or before October HHS Electronic submissions must include the Service Type: Administrative Services agency form number in the subject line 20, 2020. Mandatory for: General Services to ensure proper routing. Please note ADDRESSES: To access and review all the Administration: 200 Chestnut Street, that all written comments received in documents related to the information
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collection listed in this notice, please response to this notice will be and Economic Security Act (CARES Act use http://www.regulations.gov by considered public records. or Act), Catalog of Federal Domestic searching the Docket ID number ED– Title of Collection: Formula Grant Assistance (CFDA) number 84.425P. 2020–SCC–0136. Comments submitted EASIE Electronic Application System This notice relates to the approved in response to this notice should be for Indian Education. information collection under OMB submitted electronically through the OMB Control Number: 1810–0021. control number 1840–0848. Federal eRulemaking Portal at http:// Type of Review: A revision of an DATES: www.regulations.gov by selecting the existing information collection. Applications Available: August 21, Docket ID number or via postal mail, Respondents/Affected Public: State, 2020. commercial delivery, or hand delivery. Local and Tribal Organizations. Deadline for Notice of Intent to Apply: If the regulations.gov site is not Total Estimated Number of Annual September 10, 2020. available to the public for any reason, Responses: 11,300. Deadline for Transmittal of ED will temporarily accept comments at Total Estimated Number of Annual Applications: October 20, 2020. [email protected]. Please include the Burden Hours: 7,050. Pre-Application Information: The docket ID number and the title of the Abstract: The Indian Education Department will post additional information collection request when Formula Grant (CFDA 84.060A) requires information for prospective applicants requesting documents or submitting the annual submission of the on the IREPO program website: https:// comments. Please note that comments application from the local educational www2.ed.gov/about/offices/list/ope/ submitted by fax or email and those agency and/or tribe. The amount of each heerfirepo.html. applicant’s award is determined by submitted after the comment period will ADDRESSES: For the addresses for not be accepted. Written requests for formula, based upon the reported number of American Indian/Alaska obtaining and submitting an information or comments submitted by application, please refer to our Common postal mail or delivery should be Native students identified in the application, the state per pupil Instructions for Applicants to addressed to the Director of the Strategic Department of Education Discretionary Collections and Clearance Governance expenditure, and the total appropriation available. Applicants provide the data Grant Programs, published in the and Strategy Division, U.S. Department Federal Register on February 13, 2019 of Education, 400 Maryland Ave. SW, required for funding electronically, and the Office of Indian Education (OIE) is (84 FR 3768) and available at LBJ, Room 6W208D, Washington, DC www.govinfo.gov/content/pkg/FR-2019- 20202–4537. able to apply electronic tools to facilitate the review and analysis 02-13/pdf/2019-02206.pdf. FOR FURTHER INFORMATION CONTACT: For leading to grant awards. This change FOR FURTHER INFORMATION CONTACT: specific questions related to collection request will result in a reduction in Karen Epps, U.S. Department of activities, please contact Crystal Moore, burden of 1,950 hours and $39,000 for Education, 400 Maryland Avenue SW, 202–453–5593. the public. The change in burden is due 250–64, Washington, DC 20202. Telephone: (202) 453–6337. Email: SUPPLEMENTARY INFORMATION: The to technical changes in the forms that made them electronically fillable and a [email protected]. Department of Education (ED), in If you use a telecommunications accordance with the Paperwork reduction in the number of questions in the collection. device for the deaf (TDD) or a text Reduction Act of 1995 (PRA) (44 U.S.C. telephone (TTY), call the Federal Relay 3506(c)(2)(A)), provides the general Dated: August 18, 2020. Service (FRS), toll free, at 1–800–877– public and Federal agencies with an Kate Mullan, 8339. opportunity to comment on proposed, PRA Coordinator, Strategic Collections and revised, and continuing collections of Clearance, Governance and Strategy Division, SUPPLEMENTARY INFORMATION: information. This helps the Department Office of Chief Data Officer, Office of Full Text of Announcement assess the impact of its information Planning, Evaluation and Policy collection requirements and minimize Development. I. Funding Opportunity Description the public’s reporting burden. It also [FR Doc. 2020–18421 Filed 8–20–20; 8:45 am] Purpose of Program: The purpose of helps the public understand the BILLING CODE 4000–01–P the IREPO Grants, offered under section Department’s information collection 18004(a)(3) of the CARES Act and the requirements and provide the requested Fund for the Improvement of data in the desired format. ED is DEPARTMENT OF EDUCATION Postsecondary Education (FIPSE), is to soliciting comments on the proposed provide financial support to institutions Applications for New Awards; information collection request (ICR) that of higher education (IHEs) with the Institutional Resilience and Expanded is described below. The Department of greatest unmet needs related to Postsecondary Opportunity Grants Education is especially interested in coronavirus to enable them to resume Program public comment addressing the operations, serve the needs of students, following issues: (1) Is this collection AGENCY: Office of Postsecondary reduce disease transmission, and necessary to the proper functions of the Education, Department of Education. develop more resilient instructional Department; (2) will this information be ACTION: Notice. delivery models, such as distance processed and used in a timely manner; learning, to continue educating students (3) is the estimate of burden accurate; SUMMARY: The Department of Education who cannot or choose not to attend (4) how might the Department enhance (Department) is issuing a notice inviting classroom-based instruction due to the quality, utility, and clarity of the applications (NIA) from eligible coronavirus. information to be collected; and (5) how applicants for fiscal year (FY) 2020 for This program contains one absolute might the Department minimize the Institutional Resilience and Expanded priority. In addition, there are three burden of this collection on the Postsecondary Opportunity (IREPO) competitive preference priorities that respondents, including through the use Grants under section 18004(a)(3) of the allow for up to three points to be of information technology. Please note Higher Education Emergency Relief awarded for each of two competitive that written comments received in Fund of the Coronavirus Aid, Relief, priorities and up to ten points for one
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competitive priority, for a cumulative range of uses for IREPO grants, by (b) The institution serves large total of up to sixteen competitive stating that they may be used ‘‘to defray numbers of part-time students and, as preference points. expenses (including lost revenue, such, received a reduced per-student Background: Section 18004(a)(3) of reimbursement for expenses already allocation under section 18004(a)(1) of the CARES Act directs the Secretary to incurred, technology costs associated the CARES Act relative to institutions of allocate 2.5 percent of the $14.2 billion with a transition to distance education, the same or similar total enrollment that Higher Education Emergency Relief faculty and staff trainings, payroll) serve mostly full-time students; and Fund (HEERF) funds appropriated by incurred by IHEs and for grants to (c) Had other unmet needs due to the the Act to provide grants to institutions students for any component of the novel coronavirus, as described by the under part B of title VII of the Higher student’s cost of attendance (as defined institution in its application. Education Act of 1965, as amended under section 472 of the Higher The Department will provide grants to (HEA), for institutions that the Education Act), including food, individual eligible institutions or Department has determined have the housing, course materials, technology, consortia of two or more eligible greatest unmet needs related to health care, and child care.’’ institutions. coronavirus. Part B of title VII of the To disburse the remainder of the Starting in March 2020, the novel HEA establishes the FIPSE. FIPSE $348.8 million set aside for section coronavirus forced nearly all the grants, including grants under this 18004(a)(3) awards, the Department Nation’s secondary and postsecondary program, are limited to institutions of believes it should run a grant institutions to expand their use of, or higher education, as defined in section competition that complies with the transition fully to, remote learning. 101 of the HEA. requirements of the FIPSE grant While some IHEs already had a FIPSE grants are required, by statute, program, in that the use of these funds significant online presence prior to the to support improvements in higher will result in improvements in COVID–19 national emergency, others education through reforms, postsecondary education and had little experience in delivering improvements, or innovations in opportunity, and that complies with the distance learning. For those institutions, postsecondary education programs, requirements of the CARES Act in the move to distance learning opportunities, and delivery models. giving priority to institutions with the represented an abrupt and costly shift to Section 18004(a)(3) of the CARES Act greatest unmet needs related to a new instructional model that may provides funding specifically for the coronavirus. Section 18004(a)(3) does have required the institution to FIPSE program, and section 18004(d) of not define the term ‘‘greatest unmet purchase or lease equipment; develop or the Act directs the Secretary to give needs related to coronavirus.’’ While procure a learning management system; priority to IHEs that received less than section 18004(a)(3) allows funds to be develop or procure distance learning $500,000 combined under the IHE used to ‘‘defray expenses’’ and for content; train faculty and staff to engage formula grants authorized by section ‘‘grants to students,’’ given that in instruction and student support using 18004(a)(1) of the CARES Act and the Congress chose FIPSE as the program technology; provide equipment; and pay grants authorized by section 18004(a)(2) through which these grants would be internet access fees on behalf of of the Act and that demonstrate the issued, expenditures under this program students. greatest unmet needs related to may be used to defray expenses In addition, the shift to distance expenses associated with coronavirus. associated with coronavirus, but must learning left many campuses with Read together, section 18004(a)(3) and also result in improvements in empty campus facilities, required them (d) of the CARES Act gives the postsecondary education. As a result, to refund portions of student tuition and Department discretion to determine the Department believes it is reasonable fees, and reduced their revenue streams which public and not-for-profit IHEs to establish priorities, selection criteria, from ancillary programs and services. that are eligible for FIPSE grants should definitions, and other requirements for The Department is generally aware that receive section 18004(a)(3) IREPO the IREPO Grant Program competition there is a concern that student grants. Given the statutory directive to that would serve the IHEs with the enrollments will continue to decline as the Department to provide priority to greatest unmet coronavirus-related a result of COVID–19 related institutions that received less than needs and support the purpose of disruptions among IHEs.12 Therefore, $500,000 from the other HEERF grants, improving postsecondary education in new efforts are required to help the Department’s general understanding response to coronavirus-related institutions become more resilient in the that all IHEs have been significantly challenges. face of continuing COVID–19 or other impacted by the coronavirus national For the purpose of this program, we similar interruptions and to develop emergency, and to facilitate the define institutions with the greatest more cost-effective models of operation expedient delivery of emergency funds unmet needs related to coronavirus as to make higher education more to IHEs, the Department, in its those that— affordable. This program seeks to discretion, decided to provide section (1) Had a student population enrolled support those efforts for institutions that 18004(a)(3) grant awards to all eligible at the beginning of the term that have the highest unmet needs related to IHEs (public and not-for-profit included March 13, 2020, or, if that date coronavirus. institutions) that had received less than occurred during a break between terms, In the case of secondary schools, few $500,000 collectively from the other at the beginning of the term had experience in providing instruction HEERF grants, in amounts that would immediately prior to the break which through distance learning, and many mean that each such IHE would receive included March 13, 2020, in which schools either ceased providing $500,000 total from all its HEERF grants. more than 30 percent of full-time instruction to students for several The Department has already announced students received a Pell Grant; and/or weeks, ended the school year early, or a first round of allocations under section (2) Were underserved by other CARES 18004(a)(3) specifically for institutions Act programs either because— 1 https://www.forbes.com/sites/richardvedder/ that received less than $500,000 (a) The institution did not receive a 2020/04/07/500-1000-colleges-to-disappear- survival-of-the-fittest/#a0d019411a1. combined under the grants authorized loan under the Paycheck Protection 2 https://www.mckinsey.com/industries/social- by section 18004(a)(1) and (a)(2). Program established by the CARES Act; sector/our-insights/covid-19-and-us-higher- Section 18004(a)(3) allows for a broad and/or education-enrollment-preparing-leaders-for-fall#.
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transitioned to distance learning but dual enrollment students. The proposed Projects that propose to use grant reduced learning expectations and rigor project design should be supported by funds to expand the institution’s in an effort to accommodate their lack evidence that meets the standard of capacity to develop or expand of experience in providing distance demonstrates a rationale (as defined in instructional delivery models, such as education. Unfortunately, this means this notice). Applications may provide a remote learning opportunities, to that even more students are likely to framework that identifies key students who cannot or choose not to graduate from high school components on how the proposed attend classroom-based instruction both underprepared for the demands of strategy, program, or activity is during and after the COVID–19 national postsecondary education, thereby informed by research or by the positive emergency. Under section 741(a)(3) of reducing the rates at which they enter, outcomes of earlier efforts that are the HEA, the Secretary is authorized to persist through, and complete similar to or serve as the foundation for make grants to improve postsecondary postsecondary education, including the proposed project.4 These positive education through the establishment career and technical education. outcomes must suggest that the and continuation of institutions, Research shows that students who proposed activity is likely to improve programs, consortia, collaborations, and enter college having participated in relevant outcomes (as defined in this other joint efforts that utilize distance concurrent enrollment programs are notice). We encourage evidence that education and technological more likely to complete high school, demonstrates a rationale for the advancements to educate and train enroll directly in four-year institutions, proposed activity to ensure that some postsecondary students (including persist in postsecondary education, and preliminary work has been done to health professionals serving medically accumulate more college credit, and demonstrate the merit of the proposal, underserved populations). Under these students are less likely to need while at the same time inviting the section 741(a)(5) of the HEA, the developmental education as broadest possible range of innovative Secretary is authorized to make grants to matriculated undergraduate students.3 solutions that may not yet have been improve postsecondary education Therefore, the Department sees an tested at scale or evaluated through through the design and introduction of opportunity to address this unmet need experimental or quasi-experimental cost-effective methods of instruction by encouraging IHEs to expand dual design. and operation. Consistent with these enrollment opportunities, thus Priorities: This notice contains one statutory goals, this competitive compensating for deficiencies of the absolute priority and three competitive preference priority addresses both an Nation’s K–12 system in serving preference priorities. We are institution’s need to respond to students through distance learning establishing these priorities for the FY disruptions in instruction related to during the national emergency, and 2020 grant competition and any coronavirus, and the FIPSE goals of increasing student readiness for, and subsequent year in which we make introducing or expanding the use of success in pursuing, postsecondary awards from the list of unfunded technology, and potentially reducing the education. Such efforts will also help applications from this competition, in cost of instructional delivery using such stabilize enrollments at participating accordance with section 437(d)(1) of the mechanisms. Competitive Preference Priority 2-– IHEs. For this reason, one of the General Education Provisions Act Providing Dual Enrollment competitive preference priorities for this (GEPA), 20 U.S.C. 1232(d)(1). Opportunities to Students Who Live or program is the development or Absolute Priority: This priority is an expansion of high-quality concurrent or Attend School in a Rural Community or absolute priority. Under 34 CFR Opportunity Zone. (0–10 points) dual enrollment programs, including 75.105(c)(3), we consider only career and technical education Projects that provide high-quality applications that meet this absolute postsecondary dual enrollment programs, for high school students who priority. can earn college credits while earning opportunities, which may include Expanding Opportunity and Building career and technical education their high school diploma. Institutional Resilience. In addition, the Department programs, to high school students who Projects that will provide financial recognizes the stabilizing force the live in or attend high school (including support to IHEs with the greatest unmet Historically Black Colleges and students who are homeschooled) in needs related to coronavirus to enable Universities (HBCUs), minority serving rural communities or Opportunity them to resume operations, serve the institutions (MSIs), and other Zones. For purposes of this competition, needs of students, reduce disease institutions that are eligible to a community is ‘‘rural’’ if the transmission, and/or implement safe participate in title III or title V programs community meets the qualifications for and effective instructional delivery have in their communities. As such, rural applicants established in section models, that will enable safe in-person institutions that are eligible to 114(e)(5)(A) of the Carl D. Perkins learning and expand remote learning participate in title III or title V Career and Technical Education Act of opportunities when necessary. programs, and that are either located in 2006, as amended by the Strengthening Competitive Preference Priorities: a rural community or Opportunity Zone, Career and Technical Education for the These priorities are competitive or serve high school students through 21st Century Act, and the applicant preference priorities. Under 34 CFR dual enrollment who live in or attend certifies that it meets those 75.105(c)(2)(i), we award up to an high school in a rural community or qualifications in its application. To additional sixteen points to an receive points for proposing to serve Opportunity Zone, including home application, depending on how well the students who live in or attend high schooled students, are given a application meets these priorities. school in an Opportunity Zone, competitive preference. Applicants are encouraged to develop These priorities are: applicants must provide the census tract innovative solutions that expand remote Competitive Preference Priority 1— number(s) of the relevant Qualified learning opportunities, including for Developing Resilient Instructional Opportunity Zone, as designated by the Delivery Models. (0–3 points) Secretary of the Treasury under section 3 https://ccrc.tc.columbia.edu/media/k2/ 1400Z–1 of the Internal Revenue Code. attachments/broadening-benefits-dual-enrollment- 4 This type of action can also be described as a This competitive preference priority rp.pdf. logic model, as defined by 34 CFR 77.1. aligns with section 741(a)(6) of the HEA,
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which authorizes the Secretary to make students in teaching, learning, and is satisfactory assurance that the grants to support the introduction of assessment, consistent with the content institution will meet the accreditation institutional reforms designed to expand under discussion, and also includes at standards of such an agency or individual opportunities for entering least two of the following— association within a reasonable time. and reentering postsecondary (i) Providing direct instruction; (b) The term also includes: institutions and pursuing programs of (ii) Assessing or providing feedback (1) Any school that provides not less postsecondary study tailored to on a student’s coursework; than a 1-year program of training to individual needs. (iii) Providing information or prepare students for gainful Competitive Preference Priority 3–– responding to questions about the employment in a recognized occupation Title III and Title V Participating content of a course or competency; and that meets the provisions of Institutions. (0–3 points) (iv) Facilitating a group discussion paragraphs (1), (2), (4), and (5) of Projects that— regarding the content of a course or paragraph (a) of this definition; and (a) Are led by an institution that is competency; or (2) A public or nonprofit private eligible to receive assistance under title (v) Other instructional activities educational institution in any State that, III or under title V of the HEA (3 points); approved by the institution’s or in lieu of the requirement in paragraph (b) Include as a consortium partner program’s accrediting agency. (a)(1) of this definition, admits as more than one such institution (2 (5) An institution ensures regular regular students individuals— points); or interaction between a student and an (A) Who are beyond the age of (c) Include as a consortium partner instructor or instructors by, prior to the compulsory school attendance in the one such institution (1 point). student’s completion of a course or State in which the institution is located; Definitions: The definitions of competency— or ‘‘baseline,’’ ‘‘demonstrates a rationale,’’ (i) Providing the opportunity for (B) Who will be dually or ‘‘performance measure,’’ ‘‘performance substantive interactions with the concurrently enrolled in the institution target,’’ ‘‘project component,’’ and student on a predictable and regular and a secondary school. ‘‘relevant outcome’’ are from 34 CFR basis commensurate with the length of Performance measure means any 77.1. The definition of ‘‘institution of time and the amount of content in the quantitative indicator, statistic, or higher education’’ is from section 101 of course or competency; and metric used to gauge program or project the HEA. We are establishing the (ii) Monitoring the student’s academic performance. definition of ‘‘distance education,’’ for engagement and success and ensuring Performance target means a level of the FY 2020 grant competition and any that an instructor is responsible for performance that an applicant would subsequent year in which we make promptly and proactively engaging in seek to meet during the course of a awards from the list of unfunded substantive interaction with the student project or as a result of a project. applications from this competition, in when needed on the basis of such Project component means an activity, accordance with section 437(d)(1) of monitoring, or upon request by the strategy, intervention, process, product, GEPA, 20 U.S.C. 1232(d)(1). student. practice, or policy included in a project. Baseline means the starting point Institution of higher education (IHE) Evidence may pertain to an individual from which performance is measured means— project component or to a combination and targets are set. (a) An educational institution in any of project components (e.g., training Distance education means— State that— teachers on instructional practices for (1) Education that uses one or more of (1) Admits as regular students only English learners and follow-on coaching the technologies listed in paragraphs persons having a certificate of for these teachers). (2)(i) through (iv) of this definition to graduation from a school providing Relevant outcome means the student deliver instruction to students who are secondary education, or the recognized outcome(s) or other outcome(s) the key separated from the instructor or equivalent of such a certificate, or project component is designed to instructors and to support regular and persons who meet the requirements of improve, consistent with the specific substantive interaction between the section 484(d) of the HEA; goals of the program. students and the instructor or (2) Is legally authorized within such Application Requirements: The instructors, either synchronously or State to provide a program of education following application requirements are asynchronously. beyond secondary education; (2) The technologies that may be used established for the FY 2020 grant (3) Provides an educational program to offer distance education include— competition and any subsequent year in (i) The internet; for which the institution awards a which we make awards from the list of (ii) One-way and two-way bachelor’s degree or provides not less unfunded applications from this transmissions through open broadcast, than a 2-year program that is acceptable competition, in accordance with section closed circuit, cable, microwave, for full credit toward such a degree, or 437(d)(1) of GEPA, 20 U.S.C. 1232(d)(1). broadband lines, fiber optics, satellite, awards a degree that is acceptable for Applicants must— or wireless communications devices; admission to a graduate or professional (1) Provide information about the (iii) Audio conference; or degree program, subject to review and number and percentage of the (iv) Other media used in a course in approval by the Secretary; institution’s students (or the number conjunction with any of the (4) Is a public or other nonprofit and percentage of students at each technologies listed in paragraph (2)(i) institution; and institution in a consortium) who were through (iii) of this definition. (5) Is accredited by a nationally enrolled in title IV eligible programs (3) For purposes of this definition, an recognized accrediting agency or during the term immediately prior to the instructor is an individual responsible association or, if not so accredited, is an term or scheduled break between terms for delivering course content and who institution that has been granted in which March 13, 2020 occurred and meets the qualifications for instruction preaccreditation status by such an were eligible to receive a Pell grant; established by an institution’s agency or association that has been (2) Were underserved by other CARES accrediting agency. recognized by the Secretary for the Act programs either because— (4) For purposes of this definition, granting of pre-accreditation status, and (a) The institution did not receive a substantive interaction is engaging the Secretary has determined that there loan under the Paycheck Protection
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Program authorized by the CARES Act; adopted and amended as regulations of assistance in the form of grants or and/or the Department in 2 CFR part 3474. scholarships to students who do not (b) The institution serves large meet the requirements of section 484(a) II. Award Information numbers of part-time students and, as of the HEA. However, nothing in that such, received a reduced per-student Type of Award: Discretionary grants. section prevents a student who does not allocation under section 18004(a)(1) of Estimated Available Funds: meet the requirements of section 484(a) the CARES Act relative to institutions of $28,000,000. These estimated available from participating in programs funded the same or similar size (meaning total funds are the amount available for under this part. enrollments) that serve mostly full-time approximately 19 grants under the FY 4. Recommended Page Limit: The students; and 2020 CARES Act. The Department will application narrative (Part III of the (c) Had other unmet needs relative to determine the number of awards to be application) is where you, the applicant, the novel coronavirus, as described by made under the absolute priority based address the selection criteria that the institution in its application. on the quality of applications received, reviewers use to evaluate your (3) Include a description of the and consistent with the selection application. We recommend that you (1) institution’s (or consortium of criteria and competitive preference limit the application narrative to no institutions’) unmet needs related to the priorities. It will also determine the size more than 25 pages and (2) use the coronavirus not captured under (2); of an award made to an eligible following standards: • (4) Include a timeline for applicant based on a review of the A ‘‘page’’ is 8.5’’ x 11’’, on one side implementing key elements of the eligible applicant’s budget. only, with 1’’ margins at the top, Estimated Range of Awards: bottom, and both sides. applicant’s proposed project under the • absolute priority, as well as metrics by $1,000,000–$3,000,000. Double space (no more than three which the institution will measure its Estimated Average Size of Awards: lines per vertical inch) all text in the success in implementing the project and $1,500,000. application narrative, including titles, improving student outcomes; and Estimated Number of Awards: 19. headings, footnotes, quotations, references, and captions. (5) Assure that the applicant will Note: The Department is not bound by any • Use a font that is either 12 point or provide information to the Secretary, as estimates in this notice. larger or no smaller than 10 pitch requested, for evaluations that the Project Period: Up to 24 months. (characters per inch). Secretary may carry out. • III. Eligibility Information Use one of the following fonts: Waiver of Proposed Rulemaking: Times New Roman, Courier, Courier Under the Administrative Procedure Act 1. Eligible Applicants: The eligible New, or Arial. (5 U.S.C. 553), the Department generally applicant is an IHE as defined in section The recommended page limit does not offers interested parties the opportunity 101 of the HEA, or a consortium of such apply to Part I, the cover sheet; Part II, to comment on proposed priorities, IHEs. the budget section, including the selection criteria, definitions, and other 2. Cost Sharing or Matching: This narrative budget justification; Part IV, requirements. Section 437(d)(1) of program does not require cost sharing or the assurances and certifications; or the GEPA, however, allows the Secretary to matching. one-page abstract, the resumes, the exempt from rulemaking requirements 3. Subgrantees: A grantee under this letters of support, or the appendices. regulations governing the first grant competition may not award subgrants to However, the recommended page limit competition under a new or entities to directly carry out project does apply to all of the application substantially revised program authority. activities described in its application. narrative. This is the first grant competition for 5. Notice of Intent to Apply: We will this program under section 18004(a)(3) IV. Application and Submission Information be able to develop a more efficient of the CARES Act, and therefore process for reviewing grant applications qualifies for this exemption. In order to 1. Application Submission if we know the approximate number of ensure timely grant awards, the Instructions: Applicants are required to applicants that intend to apply for Secretary has decided to forgo public follow the Common Instructions for funding under this competition. comment on the priorities, Applicants to Department of Education Therefore, the Secretary strongly requirements, definitions, and selection Discretionary Grant Programs, encourages each potential applicant to criteria under section 437(d)(1) of published in the Federal Register on notify us of the applicant’s intent to GEPA. February 13, 2019 (84 FR 3768) and submit an application by sending an Program Authority: Section available at www.govinfo.gov/content/ email to [email protected] with Intent 18004(a)(3) of Division B of the CARES pkg/FR-2019-02-13/pdf/2019-02206.pdf, to Apply in the subject line. Applicants Act, Public Law 116–36 (enacted March which contain requirements and that do not send a notice of intent to 27, 2020). information on how to submit an apply may still apply for funding. Applicable Regulations: (a) The application. Education Department General 2. Intergovernmental Review: This V. Application Review Information Administrative Regulations in 34 CFR program is subject to Executive Order 1. Selection Criteria: The selection parts 75, 77, 79, 81, 82, 84, 86, 97, 98, 12372 and the regulations in 34 CFR criteria for this competition are from 34 and 99. (b) The Office of Management part 79. However, under 34 CFR 79.8(a), CFR 75.210 or are established for the FY and Budget Guidelines to Agencies on we waive intergovernmental review in 2020 grant competition and any Governmentwide Debarment and order to make timely awards. subsequent year in which we make Suspension (Nonprocurement) in 2 CFR 3. Funding Restrictions: We reference awards from the list of unfunded part 180, as adopted and amended as regulations outlining funding applications from this competition, in regulations of the Department in 2 CFR restrictions in the Applicable accordance with section 437(d)(1) of part 3485. (c) The Uniform Regulations section of this notice. GEPA, 20 U.S.C. 1232(d)(1). The points Administrative Requirements, Cost Under section 741(d) of the HEA, no assigned to each criterion are indicated Principles, and Audit Requirements for funds made available under this part in the parentheses next to the criterion. Federal Awards in 2 CFR part 200, as may be used to provide direct financial An applicant may earn up to a total of
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95 points based on the selection criteria In addition, the Secretary considers— 75.217(d)(3), the past performance of the for the application. (1) The extent to which the proposed applicant in carrying out a previous A. Greatest Unmet Needs. (up to 30 project is an exceptional approach to the award, such as the applicant’s use of points) absolute priority and includes a detailed funds, achievement of project In determining the institutions that project plan for addressing the absolute objectives, and compliance with grant have the greatest unmet needs related to priority. (up to 10 points) (GEPA conditions. The Secretary may also the coronavirus, the Secretary considers Waiver) consider whether the applicant failed to the extent to which the institution: (2) The extent to which specific gaps submit a timely performance report or (1) Serves a population of students in or weaknesses in services, submitted a report of unacceptable which more than 30 percent of its infrastructure, or opportunities have quality. undergraduate students received a Pell been identified and will be addressed by In addition, in making a competitive Grant. the proposed project, including the grant award, the Secretary requires (a) 30 percent to 40 percent (7 points). nature and magnitude of those gaps or various assurances, including those (b) 41 percent to 50 percent (8 points). weaknesses. (up to 10 points) (34 CFR applicable to Federal civil rights laws (c) 51 percent to 60 percent (9 points). 75.210) that prohibit discrimination in programs (d) Greater than 60 percent (10 (3) The likelihood that the proposed or activities receiving Federal financial points). activities will enable the institution to assistance from the Department (34 CFR (2) Did not receive a loan under the become more resilient to ongoing 100.4, 104.5, 106.4, 108.8, and 110.23). Paycheck Protection Program loan coronavirus impacts and future Before making awards, we will screen authorized by the CARES Act. (5 points) challenges and to reduce the cost of applications submitted in accordance (3) Serves a student population that higher education for students and with the requirements in this notice to includes large percentages of part-time families served. (up to 10 points) (GEPA determine whether applications have students, thus resulting in a smaller Waiver) met eligibility and other requirements. allocation for the institution under (4) The extent to which the services This screening process may occur at section 18004(a)(1) of the CARES Act. to be provided by the proposed project various stages of the process; applicants The impact of the percentage of part- reflect up-to-date knowledge from that are determined to be ineligible will time student enrollment will be research and effective practice. (up to 5 not receive a grant, regardless of peer evaluated as follows: points) (34 CFR 75.210) reviewer scores or comments. (a) 20 to 30 percent of students in the C. Quality of the Management Plan Peer reviewers will read, prepare a institution’s most recent IPEDS report and Adequacy of Resources. (up to 25 written evaluation of, and score the were enrolled part-time or less (6 points) assigned applications, using the points). The Secretary considers the quality of selection criteria and competitive (b) 31 to 40 percent of students in the the management plan and adequacy of preference priorities provided in this institution’s most recent IPEDS report resources for the proposed project. notice. were enrolled part-time or less (7 In determining the quality of the 4. Risk Assessment and Specific points). management plan and adequacy of Conditions: Consistent with 2 CFR (c) 41 to 50 percent of students in the resources for the proposed project, the 200.205, before awarding grants under institution’s most recent IPEDS report Secretary considers— this competition the Department were enrolled part-time or less (8 (1) The adequacy of the management conducts a review of the risks posed by points). plan to achieve the objectives of the applicants. Under 2 CFR 3474.10, the (d) 51 to 60 percent of students in the proposed project on time and within Secretary may impose specific institution’s most recent IPEDS report budget, including clearly defined conditions and, in appropriate were enrolled part-time or less (9 responsibilities, timelines, and circumstances, high-risk conditions on a points). milestones for accomplishing project grant if the applicant or grantee is not (e) 60 percent or more of students in tasks. (up to 5 points) (34 CFR 75.210) financially stable; has a history of the institution’s most recent IPEDS (2) The extent to which the budget is unsatisfactory performance; has a report were enrolled part-time or less adequate to support the proposed financial or other management system (10 points). project. (up to 5 points) (34 CFR 75.210) that does not meet the standards in 2 (4) Provides additional information to (3) The extent to which the costs are CFR part 200, subpart D; has not demonstrate that the institution has reasonable in relation to the objectives, fulfilled the conditions of a prior grant; significant unmet needs related to the design, and potential significance of the or is otherwise not responsible. coronavirus for reasons other than those proposed project. (up to 5 points) (34 5. Integrity and Performance System: outlined in factors (A)(1) to (3) above CFR 75.210) If you are selected under this (up to 5 points). (4) The extent to which the costs are competition to receive an award that (GEPA Waiver) reasonable in relation to the number of over the course of the project period B. Quality of the Project Services and persons to be served and to the may exceed the simplified acquisition Project Design. (up to 40 points) anticipated results and benefits. (up to threshold (currently $250,000), under 2 In determining the quality of the 10 points) (34 CFR 75.210) CFR 200.205(a)(2), we must make a project services and the quality of the 2. Proposed Use of Funds: Applicants judgment about your integrity, business design of the proposed project, the must describe the activities that will be ethics, and record of performance under Secretary considers the quality and supported with grant funds, consistent Federal awards—that is, the risk posed sufficiency of strategies for ensuring with allowable uses of funds under this by you as an applicant—before we make equal access and treatment for eligible program and the goals of the absolute an award. In doing so, we must consider project participants who are members of priority. any information about you that is in the groups that have traditionally been 3. Review and Selection Process: We integrity and performance system underrepresented based on race, color, remind potential applicants that in (currently referred to as the Federal national origin, gender, age, or reviewing applications in any Awardee Performance and Integrity disability. (up to 5 points) (34 CFR discretionary grant competition, the Information System (FAPIIS)), 75.210) Secretary may consider, under 34 CFR accessible through the System for
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Award Management. You may review requirements please refer to 2 CFR institution at the beginning of the term and comment on any information about 3474.20(c). prior to the break during which the yourself that a Federal agency 4. Reporting: (a) If you apply for a national emergency was declared; and previously entered and that is currently grant under this competition, you must total enrollment during each term in FAPIIS. ensure that you have in place the during the project period. Please note that, if the total value of necessary processes and systems to (6) For projects that include dual your currently active grants, cooperative comply with the reporting requirements enrollment opportunities for students: agreements, and procurement contracts in 2 CFR part 170 should you receive (a) The number of dual enrollment from the Federal Government exceeds funding under the competition. This students served by the institution or $10,000,000, the reporting requirements does not apply if you have an exception consortium of institutions during the in 2 CFR part 200, Appendix XII, under 2 CFR 170.110(b). 2019–2020 award year, and the number require you to report certain integrity (b) In addition to annual performance of dual enrollment students served by information to FAPIIS semiannually. reporting, a grantee must comply with the institution or consortium during the Please review the requirements in 2 CFR the monthly reporting requirements of project period (disaggregated by gender, part 200, Appendix XII, if this grant the Federal Funding Accountability and race, and whether or not they lived in plus all the other Federal funds you Transparency Act of 2006 (FFATA), or were educated in a rural community receive exceed $10,000,000. which will serve to discharge a grantee’s or Opportunity Zone); quarterly reporting requirements under (b) The total number of dual VI. Award Administration Information section 15011 of the CARES Act. enrollment classes completed by 1. Award Notices: If your application (c) At the end of your project period, students served by the project; the is successful, we notify your U.S. you must submit a final performance average number of classes completed by Representative and U.S. Senators and report, including financial information, students served by the project; and the send you a Grant Award Notification as directed by the Secretary. If you average number of college credits (GAN); or we may send you an email receive a multiyear award, you must earned by those students as a result of containing a link to access an electronic submit an annual performance report this project; and version of your GAN. We may notify that provides the most current (c) The cost per student of each you informally, also. performance and financial expenditure successfully completed dual enrollment If your application is not evaluated or information as directed by the Secretary class supported by these grant funds, not selected for funding, we will notify under 34 CFR 75.118. The Secretary including costs of instruction and costs you. may also require more frequent of ancillary or support services (and any 2. Administrative and National Policy performance reports under 34 CFR differences in cost between dual Requirements: We identify 75.720(c). For specific requirements on enrollment classes provided to students administrative and national policy reporting, please go to www.ed.gov/ at their high school versus those requirements in the application package fund/grant/apply/appforms/ provided to students by the grantee and reference these and other appforms.html. IHE). In addition, applicants must propose requirements in the Applicable (d) Under 34 CFR 75.250(b), the project-specific performance measures Regulations section of this notice. Secretary may provide a grantee with additional funding for data collection and performance targets consistent with We reference the regulations outlining analysis and reporting. In this case the the objectives of the proposed project. the terms and conditions of an award in Secretary establishes a data collection Applicants must provide the the Applicable Regulations section of period. following information as directed under this notice and include these and other 5. Performance Measures: We have 34 CFR 75.110(b) and (c): specific conditions in the GAN. The established the following performance (a) Performance Measures. How each GAN also incorporates your approved measures for the IREPO Grants program: proposed performance measure would application as part of your binding (1) The number of online classes accurately measure the performance of commitments under the grant. offered by the institution prior to the the project and how the proposed 3. Open Licensing Requirements: novel coronavirus, and the number performance measures would be Unless an exception applies, if you are offered during the project period; consistent with the performance awarded a grant under this competition, (2) The number of students enrolled measures established for the program you will be required to openly license in online classes prior to the novel funding the competition. to the public grant deliverables created coronavirus, and the number enrolled in (b) Baseline Data. in whole, or in part, with Department online classes during the project period; (i) Why each proposed baseline is grant funds. When the deliverable (3) Average annual cost of tuition and valid; or consists of modifications to pre-existing fees paid by all students during the (ii) If the applicant has determined works, the license extends only to those 2019–2020 financial aid award year, and that there are no established baseline modifications that can be separately the average annual cost of tuition and data for a particular performance identified and only to the extent that fees paid by all students during the measure, an explanation of why there is open licensing is permitted under the project period. no established baseline and of how and terms of any licenses or other legal (4) Average annual Federal student when, during the project period, the restrictions on the use of pre-existing loan size among students and parents applicant would establish a valid works. Additionally, a grantee or who took title IV loans during the 2019– baseline for the performance measure. subgrantee that is awarded competitive 2020 financial aid award year and (c) Performance Targets. Why each grant funds must have a plan to during the project period. proposed performance target is disseminate these public grant (5) Total enrollment at the institution ambitious yet achievable compared to deliverables. This dissemination plan at the beginning of the term in which the baseline for the performance can be developed and submitted after the novel coronavirus national measure and when, during the project your application has been reviewed and emergency was declared, or if that period, the applicant would meet the selected for funding. For additional declaration took place during a break performance target(s). information on the open licensing between terms, the enrollment at the (d) Data Collection and Reporting.
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(i) The data collection and reporting Canada pursuant to the Federal Power transmission facilities under the FPA methods the applicant would use and Act (FPA). because it ‘‘has no electric power supply why those methods are likely to yield DATES: Comments, protests, or motions system on which the proposed exports reliable, valid, and meaningful to intervene must be submitted on or could have a reliability, fuel use system performance data; and before September 21, 2020. or stability impact.’’ See id. at 3. (ii) The applicant’s capacity to collect ADDRESSES: Comments, protests, The existing international and report reliable, valid, and motions to intervene, or requests for meaningful performance data, as transmission facilities to be utilized by more information should be addressed the Applicant have previously been evidenced by high-quality data by electronic mail to collection, analysis, and reporting in authorized by Presidential permits [email protected], or by issued pursuant to Executive Order other projects or research. facsimile to (202) 586–8008. All grantees must submit an annual 10485, as amended, and are appropriate SUPPLEMENTARY INFORMATION: The performance report with information for open access transmission by third Department of Energy (DOE) regulates that is responsive to these performance parties. exports of electricity from the United measures. States to a foreign country, pursuant to Procedural Matters: Any person VII. Other Information sections 301(b) and 402(f) of the desiring to be heard in this proceeding Department of Energy Organization Act should file a comment or protest to the Accessible Format: Individuals with Application at the address provided disabilities can obtain this document (42 U.S.C. 7151(b) and 42 U.S.C. above. Protests should be filed in and a copy of the application package in 7172(f)). Such exports require accordance with Rule 211 of the Federal an accessible format (e.g., braille, large authorization under section 202(e) of Energy Regulatory Commission’s (FERC) print, audiotape, or compact disc) on the FPA (16 U.S.C. 824a(e)). request to the program contact person On September 29, 2015, DOE issued Rules of Practice and Procedure (18 CFR Order EA–414, which authorized listed under FOR FURTHER INFORMATION 385.211). Any person desiring to Roctop to transmit electric energy from CONTACT. become a party to this proceeding Electronic Access to This Document: the United States to Canada for a five- should file a motion to intervene at the The official version of this document is year term using existing international above address in accordance with FERC the document published in the Federal transmission facilities appropriate for Rule 214 (18 CFR 385.214). open access. This authorization expires Register. You may access the official Comments and other filings edition of the Federal Register and the on September 29, 2020. On July 29, 2020, Roctop filed an application with concerning Roctop’s application to Code of Federal Regulations at export electric energy to Canada should www.govinfo.gov. At this site you can DOE (Application or App.) for renewal of the export authorization contained in be clearly marked with OE Docket No. view this document, as well as all other EA–414–A. Additional copies are to be documents of this Department Order No. EA–414. Roctop states that it ‘‘is a Canadian provided directly to Ruta Kalvaitis published in the Federal Register, in company, created under a Canadian Skucˇas, 1875 K St. NW, Suite 700, text or Portable Document Format Federal Charter, with its principal place Washington, DC 20006; rskucas@ (PDF). To use PDF you must have of business in Lefaivre, Ontario.’’ App. pierceatwood.com and Vincent Thellen, Adobe Acrobat Reader, which is at 2. Roctop adds that it ‘‘does not have 139 Du Domaine Road, Lefaivre, (ON) available free at the site. You may also access documents of the any affiliates or upstream owners that Canada K0B 1J0; [email protected]. Department published in the Federal possess any ownership interest or have A final decision will be made on the Register by using the article search involvement in any other company that Application after the environmental feature at www.federalregister.gov. is a traditional utility or that owns, impacts have been evaluated pursuant Specifically, through the advanced operates, or controls any electric to DOE’s National Environmental Policy generation, transmission, or distribution search feature at this site, you can limit Act Implementing Procedures (10 CFR your search to documents published by facilities.’’ Id. Roctop further states that it ‘‘will part 1021) and after DOE determines the Department. purchase power to be exported from a that the proposed action will not have Robert L. King, variety of sources such as power an adverse impact on the sufficiency of Assistant Secretary for the Office of marketers, independent power supply or reliability of the U.S. electric Postsecondary Education. producers, or U.S. electric utilities and power supply system. [FR Doc. 2020–18531 Filed 8–20–20; 8:45 am] federal power marketing entities as Copies of the Application will be BILLING CODE 4000–01–P those terms are defined in Sections made available, upon request, by 3(22) and 3(19) of the FPA.’’ App. at 3. accessing the program website at http:// Roctop contends that ‘‘such power is energy.gov/node/11845, or by emailing DEPARTMENT OF ENERGY surplus to the system of the generator Matthew Aronoff at matthew.aronoff@ and, therefore, the electric power that hq.doe.gov. [OE Docket No. EA–414–A] Roctop will export on either a firm or interruptible basis will not impair the Signed in Washington, DC, on August 17, Application To Export Electric Energy; sufficiency of the electric power supply 2020. Roctop Investments Inc. within the U.S.’’ Id. at 3–4. Christopher Lawrence, AGENCY: Office of Electricity, Roctop states that its exports ‘‘will not Management and Program Analyst, Department of Energy. exceed the export limits for the Transmission Permitting and Technical Assistance, Office of Electricity. ACTION: Notice of application. [permitted] facilities, or otherwise cause a violation of the terms and conditions’’ [FR Doc. 2020–18377 Filed 8–20–20; 8:45 am] SUMMARY: Roctop Investments Inc. that apply to the use of those facilities.’’ BILLING CODE 6450–01–P (Applicant or Roctop) has applied for App. at 5. Roctop also contends that its renewal of its authorization to transmit export activity will not impede or tend electric energy from the United States to to impede the coordinated use of
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DEPARTMENT OF ENERGY Canada impair the United States electric Signed in Washington, DC, on August 18, power supply system or impede 2020. [OE Docket No. EA–281–C] coordinated use of regional facilities.’’ Christopher Lawrence, Application to Export Electric Energy; App. at 5–6. Management and Program Analyst, Manitoba Hydro Manitoba Hydro agrees ‘‘it will abide Transmission Permitting and Technical by the export limits contained in the Assistance, Office of Electricity. AGENCY: Office of Electricity, relevant [proposed] export authorization [FR Doc. 2020–18381 Filed 8–20–20; 8:45 am] Department of Energy. for such facilities.’’ App. at 6. Manitoba BILLING CODE 6450–01–P ACTION: Notice of application. Hydro contends it will not impede or tend to impede the coordinated use of SUMMARY: Manitoba Hydro (Applicant or transmission facilities under the FPA ENVIRONMENTAL PROTECTION Manitoba Hydro) has applied for because it ‘‘has no ‘system’ of its own AGENCY authorization to transmit electric energy in the United States on which its [ER–FRL–9052–4] from the United States to Canada exports of power could have a pursuant to the Federal Power Act. reliability, fuel use or stability impact.’’ Environmental Impact Statements; DATES: Comments, protests, or motions See App. at 4–5. Notice of Availability to intervene must be submitted on or The existing international before September 21, 2020. transmission facilities to be utilized by Responsible Agency: Office of Federal ADDRESSES: Comments, protests, the Applicant have previously been Activities, General Information 202– motions to intervene, or requests for authorized by Presidential permits 564–5632 or https://www.epa.gov/nepa. more information should be addressed issued pursuant to Executive Order Weekly receipt of Environmental Impact by electronic mail to 10485, as amended, and are appropriate Statements (EIS) [email protected], or by for open access transmission by third Filed August 10, 2020, 10 a.m. EST facsimile to (202) 586–8008. parties. Through August 17, 2020, 10 a.m. SUPPLEMENTARY INFORMATION: The Procedural Matters: Any person EST Department of Energy (DOE) regulates desiring to be heard in this proceeding Pursuant to 40 CFR 1506.9. should file a comment or protest to the exports of electricity from the United Notice States to a foreign country, pursuant to Application at the address provided sections 301(b) and 402(f) of the above. Protests should be filed in Section 309(a) of the Clean Air Act Department of Energy Organization Act accordance with Rule 211 of the Federal requires that EPA make public its (42 U.S.C. 7151(b) and 42 U.S.C. Energy Regulatory Commission’s (FERC) comments on EISs issued by other 7172(f)). Such exports require Rules of Practice and Procedure (18 CFR Federal agencies. EPA’s comment letters authorization under section 202(e) of 385.211). Any person desiring to on EISs are available at: https:// the Federal Power Act (16 U.S.C. become a party to this proceeding cdxnodengn.epa.gov/cdx-enepa-public/ 824a(e)). should file a motion to intervene at the action/eis/search. On November 17, 2010 DOE issues above address in accordance with FERC EIS No. 20200168, Draft, FAA, CA, Bob Order EA–281–B, which authorized Rule 214 (18 CFR 385.214). Hope Hollywood Burbank Airport Manitoba Hydro to transmit electric Comments and other filings Replacement Passenger Terminal energy from the United States to Canada concerning Manitoba Hydro’s Project, Comment Period Ends: 10/05/ for a ten-year term using existing application to export electric energy to 2020, Contact: Edvige B. Mbakoup international transmission facilities Canada should be clearly marked with 424–405–7283. appropriate for open access. This OE Docket No. EA–281–C. Additional EIS No. 20200169, Final, USAF, TX, F– authorization expires on November 17, copies are to be provided directly to 35A Operational Beddown—Air Force 2020. On July 2, 2020, Manitoba Hydro Michael Douglas, 360 Portage Avenue, Reserve Command, Review Period filed an application with DOE Winnipeg, Manitoba, Canada R3C 0G8; Ends: 09/21/2020, Contact: Mr. Hamid (Application or App.) for renewal of the [email protected]; Jesse Halpern, Kamalpour 210–925–273. export authorization contained in Order 1909 K Street NW, Suite 600, EIS No. 20200170, Draft, FAA, NY, No. EA–281–B. Washington, DC 20006; jhalpern@ LaGuardia Airport Access Manitoba Hydro states that it ‘‘is a thompsoncoburn.com; and Nicole S. Improvement Project, Comment Canadian Crown Corporation created Allen, 1909 K Street NW, Suite 600, Period Ends: 10/05/2020, Contact: pursuant to The Manitoba Hydro Act.’’ Washington, DC 20006; nallen@ Andrew Brooks 718–553–2511. App. at 1. Manitoba Hydro adds that it thompsoncoburn.com. EIS No. 20200171, Final, USACE, CA, ‘‘does not own, control or operate any A final decision will be made on the Malibu Creek Ecosystem Restoration generation, transmission or other Application after the environmental Study, Review Period Ends: 09/21/ facilities in the United States.’’ Id. impacts have been evaluated pursuant 2020, Contact: Larry Smith 213–452– Manitoba Hydro further states that it to DOE’s National Environmental Policy 3846. Act Implementing Procedures (10 CFR ‘‘will purchase the power to be exported Amended Notice from electric utilities and federal power part 1021) and after DOE determines marketing agencies as those terms are that the proposed action will not have EIS No. 20200165, Draft, USFS, ID, defined in Sections 3(22) and 3(19) of an adverse impact on the sufficiency of Stibnite Gold Project, Comment the Federal Power Act [FPA].’’ App. at supply or reliability of the U.S. electric Period Ends: 10/13/2020, Contact: 5. Manitoba Hydro contends that ‘‘such power supply system. Brian Harris 208–634–6945. power is surplus to the system of the Copies of the Application will be Revision to FR Notice Published 08/ generator and this will not impair the made available, upon request, by 14/2020; Correction to Comment Period sufficiency of the electric power system accessing the program website at http:// Due Date from September 28, 2020 to within the United States.’’ Id. Further, energy.gov/node/11845, or by emailing October 13, 2020; Correction to Lead ‘‘nor will moving the energy through the Matthew Aronoff at matthew.aronoff@ Agency Contact Phone Number from border systems and across the border to hq.doe.gov. 208–879–6945 to 208–634–6945.
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Dated: August 17, 2020. DATES: Comments must be received on system). For additional submission Cindy S. Barger, or before September 21, 2020. Please methods, the full EPA public comment Director, NEPA Compliance Division, Office refer to SUPPLEMENTARY INFORMATION for policy, information about CBI or of Federal Activities. additional information on the comment multimedia submissions, and general [FR Doc. 2020–18367 Filed 8–20–20; 8:45 am] period. guidance on making effective BILLING CODE 6560–50–P ADDRESSES: Submit your comments, comments, please visit https:// identified by Docket ID No. EPA–HQ– www.epa.gov/dockets/commenting-epa- OAR–2020–0037, at https:// dockets. ENVIRONMENTAL PROTECTION 1 www.regulations.gov. Follow the FOR FURTHER INFORMATION CONTACT: For AGENCY online instructions for submitting general questions concerning this comments. Out of an abundance of action, please contact Corey Mocka, U.S. [EPA–HQ–OAR–2020–0037; FRL–10013–82– caution for members of the public and Environmental Protection Agency, OAR] our staff, the EPA Docket Center and Office of Air Quality Planning and Reading Room are closed to the public, EPA Responses to Certain State Standards, Air Quality Policy Division, with limited exceptions, to reduce the Designation Recommendations for the 109 T.W. Alexander Drive, Mail Code risk of transmitting COVID–19. Our 2010 Sulfur Dioxide Primary National C539–04, Research Triangle Park, NC Docket Center staff will continue to Ambient Air Quality Standard: Notice 27711; telephone: (919) 541–5142; email provide remote customer service via of Availability and Public Comment address: [email protected]. The email, phone, and webform. We Period following EPA contacts can answer encourage the public to submit questions regarding areas in a particular AGENCY: Environmental Protection comments via https:// EPA Regional office: Agency (EPA). www.regulations.gov, as there may be a U.S. EPA Regional Office Contacts ACTION: Notice of availability and public delay in processing mail and faxes. comment period. Hand deliveries and couriers may be Region 2—Marina Castro, telephone received by scheduled appointment (212) 637–3713, email at castro.marina@ SUMMARY: Notice is hereby given that only. For further information on EPA epa.gov. the Environmental Protection Agency Docket Center services and the current Region 3—Megan Goold, telephone (EPA) has posted our responses to status, please visit us online at https:// (215) 814–2027, email at goold.megan@ certain state designation www.epa.gov/dockets. epa.gov. recommendations for the 2010 Sulfur Once submitted, comments cannot be Region 4—Twunjala Bradley, Dioxide (SO2) Primary National edited or removed from regulations.gov. telephone (404) 562–9352, email at Ambient Air Quality Standard (NAAQS) The EPA may publish any comment [email protected]. on the Agency’s website and electronic received to our public docket. Do not Region 5—Alisa Liu, telephone (312) docket. These responses include our submit electronically any information 353–3193, email at [email protected]. intended designations for the affected you consider to be Confidential Region 6—Robert Imhoff, telephone areas, specifically all remaining Business Information (CBI) or other (214) 665–7262, email at imhoff.robert@ undesignated areas for the 2010 SO2 information whose disclosure is epa.gov. NAAQS in the United States. The EPA restricted by statute. Multimedia Region 7—William Stone, telephone also invites the public to review and submissions (audio, video, etc.) must be (913) 551–7714, email at stone.william@ provide input on our intended accompanied by a written comment. epa.gov. designations during the comment period The written comment is considered the Region 8—Rebecca Matichuk, specified in the DATES section. The EPA official comment and should include telephone (303) 312–6867, email at sent its responses directly to the states discussion of all points you wish to [email protected]. on or about August 13, 2020. The EPA make. The EPA will generally not Region 9—Ashley R. Graham, intends to make final designation consider comments or comment telephone (415) 972–3877, email at determinations for the areas of the contents located outside of the primary [email protected]. country addressed by these responses submission (i.e., comments hosted on Region 10—John Chi, telephone (206) no later than December 31, 2020. the Web, Cloud, or other file sharing 553–1185, email at [email protected].
Regional offices Affected state(s)
EPA Region 2—Air Programs Branch, 290 Broadway, 25th Floor, New York, NY 10007 ...... New York. EPA Region 3—Planning & Implementation Branch, 1650 Arch Street, Philadelphia, PA 19103 Maryland, Pennsylvania, Virginia, and West Virginia. EPA Region 4—Air Planning & Implementation Branch, Sam Nunn Atlanta Federal Center, 61 Alabama, Georgia, Kentucky, and North Caro- Forsyth Street SW, 12th Floor, Atlanta, GA 30303. lina. EPA Region 5—Air Programs Branch, Air & Radiation Division (AR–18J), 77 West Jackson Illinois, Indiana, and Wisconsin. Blvd., Chicago, IL 60604. EPA Region 6—State Planning & Implementation Branch, 1201 Elm Street, Dallas, TX 75270 .. Louisiana, Oklahoma, and Texas. EPA Region 7—Air Quality Planning Branch, 11201 Renner Blvd., Lenexa, KS 66219 ...... Missouri and Nebraska. EPA Region 8—Air Quality Planning Branch, 1595 Wynkoop Street, Denver, CO 80202 ...... North Dakota and Wyoming. EPA Region 9—Air Planning Branch, 75 Hawthorne Street, San Francisco, CA 94105 ...... Hawaii. EPA Region 10—Air Planning & State/Tribal Coordinations Branch, 1200 Sixth Avenue, Mail Washington. Code OAQ–107, Seattle, WA 98101.
1 The https://www.regulations.gov platform is in beta.regulations.gov. Both website addresses addresses allow users to submit comments to the the process of being upgraded. Users may be contain the same information and both website docket. automatically redirected to https://
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5 Most EPA offices are closed to reduce average concentrations of SO2 does not as ‘‘Round 3’’). Finally, the EPA is the risk of transmitting COVID–19, but exceed 75 ppb. under a December 31, 2020, court- staff remain available via telephone and The process for designating areas ordered deadline, the final of the three email. The EPA encourages the public to following promulgation of a new or deadlines established by the court, to review designation recommendations revised NAAQS is contained in the designate all remaining undesignated from states, our recent letters notifying Clean Air Act (CAA or Act) section areas (collectively referred to as ‘‘Round the affected states of our intended 107(d) (42 U.S.C. 7407(d)). After 4’’ or the ‘‘final round’’). The remaining designations, and area-specific technical promulgation of a new or revised undesignated areas are: (1) Those areas support information online at https:// NAAQS, each governor or tribal leader which, under the court order, did not www.epa.gov/sulfur-dioxide- has an opportunity to recommend air meet the criteria that required designations and also in the public quality designations, including the designation in Round 2 and also were docket for these SO2 designations at appropriate boundaries for not required to be designated in Round https://www.regulations.gov under nonattainment areas, to the EPA. The 3 due to installation and operation of a Docket ID No. EPA–HQ–OAR–2020– EPA considers these recommendations new SO2 monitoring network by January 0037. as part of its duty to promulgate the 2017 in the area meeting EPA’s
SUPPLEMENTARY INFORMATION: formal area designations and boundaries specifications referenced in EPA’s SO2 for the new or revised NAAQS. By no Data Requirements Rule (DRR),6 and (2) Table of Contents later than 120 days prior to those areas which EPA has not The following is an outline of the promulgating designations, the EPA is otherwise previously designated for the Preamble. required to notify states, territories, and 2010 SO2 NAAQS. After these Round 4 tribes, as appropriate, of any intended designations are completed, there will I. What is the purpose of this action? modifications to an area designation or be no remaining undesignated areas for II. Instructions for Submitting Public Comments and internet website for boundary recommendation that the EPA the 2010 SO2 NAAQS. Rulemaking Information deems necessary. On or about August 13, 2020, III. What is the 2010 SO2 NAAQS and what After invoking a 1-year extension of consistent with section 107(d)(1)(b)(ii) are the health concerns that it addresses? the deadlines to designate areas, as of the CAA, the EPA notified affected IV. What are the CAA requirements for air provided for in section 107 of the Act, states either of our assessment of their quality designations and what action has the EPA completed an initial round of recommended designations for Round 4 the EPA taken to meet these SO2 designations for certain areas of the or of our intended designations for areas requirements? country on July 25, 2013 (referred to as without recommendations. While we V. What guidance has the EPA previously ‘‘Round 1’’).2 Following the initial are in agreement with the issued and how does the EPA now recommendations for many areas, some intend to apply the statutory designations, three lawsuits were filed requirements to determine area against the EPA in different U.S. District may warrant further discussion. The designations and boundaries? Courts, alleging the agency had failed to EPA is available to assist and hopes to VI. What air quality information has the EPA perform a nondiscretionary duty under resolve any differences regarding the used for these intended designations? the CAA by not designating all portions proper designation for these areas VII. How do the Round 4 designations affect of the country by the June 2, 2013, within the 120-day period provided by Indian country? deadline. In one of those cases, the U.S. the CAA. VIII. Where can I find information forming District Court for the Northern District For any areas that we designate the basis for these intended designations of California on March 2, 2015, entered nonattainment in our final action, the and exchanges between the EPA and an enforceable order for the EPA to CAA directs states to develop and states related to these intended submit to the EPA State Implementation designations? complete the area designations by three specific deadlines according to the Plans within 18 months of the effective I. What is the purpose of this action? court-ordered schedule.3 date of the final designations, that meet The purpose of this notice of To meet the first court-ordered the requirements of CAA sections 172(c) availability is to solicit input from deadline, additional areas were and 191–192 and provide for attainment interested parties on the EPA’s recent designated on June 30, 2016, and of the NAAQS as expeditiously as responses to the state designation November 29, 2016 (collectively practicable, but not later than 5 years 4 from the effective date of the final recommendations for the 2010 SO2 referred to as ‘‘Round 2’’). To meet the NAAQS. These responses, and their second deadline of the court-ordered designations. supporting technical analyses, can be schedule, the EPA completed SO2 II. Instructions for Submitting Public found at https://www.epa.gov/sulfur- designations for most remaining areas of Comments and Internet Website for dioxide-designations and also in the the country on December 21, 2017, and Rulemaking Information public docket for these SO2 designations March 28, 2018 (collectively referred to at https://www.regulations.gov under A. Invitation To Comment Docket ID No. EPA–HQ–OAR–2020– 2 A total of 29 areas throughout the U.S. were The purpose of this document is to designated in this action published on August 5, solicit input from interested parties, 0037. 2013 (78 FR 47191). The EPA designated all 29 On June 2, 2010, the EPA areas nonattainment based on violating monitored other than the states to which we have Administrator signed a final rule that SO2 concentrations from Federal Reference Method sent notification letters, on the EPA’s revised the primary SO2 NAAQS (75 FR and Federal Equivalent Method monitors that are recent responses to the designation sited and operated in accordance with 40 CFR parts recommendations for the 2010 SO 35520; June 22, 2010) after review of the 50 and 58, and did not at that time designate any 2 existing primary SO2 standards other areas. NAAQS. These responses, and their promulgated on April 30, 1971 (36 FR 3 Sierra Club v. McCarthy, No. 3–13–cv–3953 (SI) 8187). The EPA established the revised (N.D. Cal. Mar. 2, 2015). 5 Most remaining areas of the U.S. were 4 designated in actions published on January 9, 2018 primary SO2 NAAQS at a level of 75 A total of 65 areas throughout the U.S. were designated in these actions published on July 12, (83 FR 1098) and April 5, 2018 (83 FR 14597). Of parts per billion (ppb) which is attained 2016 (81 FR 45039), and December 13, 2016 (81 FR these areas, six were designated nonattainment. when the 3-year average of annual 99th 89870). Of these 65 areas, seven were designated 6 See 80 FR 51052 (August 21, 2015), codified at percentile of daily maximum 1-hour nonattainment. 40 CFR part 51 subpart BB.
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supporting technical analyses, can be comments, supported by relevant Planning and Standards, 109 T.W. found at https://www.epa.gov/sulfur- information, if you believe that a Alexander Drive, Mail Code C404–02, dioxide-designations and also in the specific geographic area for which Research Triangle Park, NC 27711, public docket for these intended SO2 further discussion is needed concerning Attention Docket ID No. EPA–HQ– designations at https:// a state’s recommended designation of OAR–2020–0037. There will be a delay www.regulations.gov under Docket ID attainment/unclassifiable or in confirming receipt of CBI packages, No. EPA–HQ–OAR–2020–0037. unclassifiable (and for which available because the EPA–RTP office is closed to CAA section 107(d) provides a air quality data would require a reduce the risk of transmitting COVID– process for air quality designations that modification of the recommended 19. Due to the office closure, EPA is also involves recommendations by states, designation) should not be categorized requesting that parties notify the territories, and tribes to the EPA and by the CAA section 107(d) criteria as OAQPS Document Control Officer via responses from the EPA to those parties, nonattainment, or if you believe that a telephone, (919) 541–0878, or email at prior to the EPA promulgating final area specific nearby area for which the EPA [email protected] when mailing designations and boundaries. The EPA does agree with a state’s recommended information identified as CBI. is not required under CAA section designation of attainment/unclassifiable 2. Tips for Preparing Your Comments. 107(d) to seek public comment during or unclassifiable should in fact be When submitting comments, remember the designation process, but we are categorized as contributing to to: electing to do so for these areas with nonattainment using the CAA section • Identify the rulemaking by docket respect to the 2010 SO2 NAAQS in order 107(d) criteria. Please be as specific as number and other identifying to gather additional information for the possible in supporting your views. information (subject heading, Federal EPA to consider before making final • Describe any assumptions and Register date and page number). designations for the specific areas provide any technical information and/ • Follow directions. addressed in the EPA’s recent letters to or data that you used. • Explain why you agree or disagree; states, territories, and tribes. The EPA • Provide specific examples to suggest alternatives and substitute invites public input on our responses to illustrate your concerns and suggest language for your requested changes. states regarding our intended alternatives. • C. Where can I find additional designations for these areas during the Explain your views as clearly as information for this rulemaking? 30-day comment period provided in this possible. document. In order to receive full • Provide your input by the comment The EPA has also established a consideration, input from the public period deadline identified. website for this rulemaking at https:// must be submitted to the docket by The EPA intends to complete www.epa.gov/sulfur-dioxide- September 21, 2020. At this time, the designations for the areas subject to this designations. The website includes the EPA is not asking for public comments round no later than December 31, 2020. state designation and boundary on areas beyond those areas that are the Additional information on the EPA’s recommendations, the EPA’s intended subject of this proposed action. This intended approach for addressing area designations, information document and opportunity for public designations for all areas can be found supporting the EPA’s preliminary comment does not affect any rights or on the EPA’s SO2 implementation designation decisions, as well as the obligations of any state, territory, or website at https://www.epa.gov/so2- rulemaking actions and other related tribe, or of the EPA, which might pollution/applying-or-implementing- information that the public may find otherwise exist pursuant to the CAA sulfur-dioxide-standards. useful. section 107(d). B. What should I consider as I prepare III. What is the 2010 SO2 NAAQS and Please refer to the FOR FURTHER my comments for the EPA? what are the health concerns that it INFORMATION CONTACT section of this addresses? document for specific instructions on 1. Submitting CBI. Do not submit submitting comments and locating confidential business information (CBI) The Administrator signed a final rule relevant public documents. to the EPA through https:// revising the primary SO2 NAAQS on For some cases, the EPA has indicated www.regulations.gov or email. Clearly June 2, 2010. The rule was published in to a state that further discussion is mark the part or all of the information the Federal Register on June 22, 2010 needed—e.g., where a state’s that you claim to be CBI. For CBI in a (75 FR 35520) and became effective on recommended nonattainment area USB flash drive or CD ROM that you August 23, 2010. Specifically, the EPA boundary differs from the EPA’s mail to the EPA, mark the outside of the established a new 1-hour SO2 standard intended nonattainment area boundary, USB flash drive or CD ROM as CBI and at a level of 75 ppb, which is met at an or areas where the state recommended then identify electronically within the ambient air quality monitoring site a designation of attainment/ USB flash drive or CD ROM the specific when the 3-year average of the annual unclassifiable (or unclassifiable) and information that is claimed as CBI. In 99th percentile of daily maximum 1- available air quality monitoring or addition to one complete version of the hour average concentrations of SO2 is modeling data show that the area may comment that includes information less than or equal to 75 ppb, as be violating the 2010 SO2 NAAQS or claimed as CBI, a copy of the comment determined in accordance with contain sources that may be that does not contain the information appendix T of 40 CFR part 50. 40 CFR contributing to air quality in a nearby claimed as CBI must be submitted for 50.17(a) and (b). Current scientific area that may be violating the 2010 inclusion in the public docket. evidence links short-term exposures to primary SO2 NAAQS. In establishing Information so marked will not be SO2, ranging from 5 minutes to 24 hours, nonattainment area boundaries for a disclosed except in accordance with with an array of adverse respiratory particular area, the EPA is required to procedures set forth in 40 Code of effects including bronchoconstriction include within the boundaries both the Federal Regulations (CFR) part 2. and increased asthma symptoms. area that does not meet the standard and Send information identified as CBI Studies also show a connection between any nearby area contributing to the area only to the following address: Tiffany short-term exposure and increased visits that does not meet the standard. We are Purifoy, OAQPS Document Control to emergency departments and hospital particularly interested in receiving Officer, U.S. EPA, Office of Air Quality admissions for respiratory illnesses,
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particularly in at-risk populations This nationwide analytical approach inconsistent with the facts or analysis including children, the elderly, and also includes but is not limited to: (1) deemed appropriate by the asthmatics.7 The EPA’s interpretations of other terms Administrator. If the EPA is considering (e.g., attainment/unclassifiable, modifications to a recommendation, we IV. What are the CAA requirements for nonattainment, unclassifiable, violating are required by CAA section air quality designations and what monitor, etc.) in the context of Round 4 107(d)(1)(B)(ii) to notify the state of any action has the EPA taken to meet these of the 2010 SO NAAQS; (2) the such intended modifications not less requirements? 2 appropriate basis for characterizing the than 120 days prior to our promulgation After the EPA promulgates a new or air quality of an area; (3) the five-factor of the final designation. These revised NAAQS, the EPA is required to analysis to determine the boundaries for notifications are commonly known as designate all areas of the country as each air quality area under the NAAQS the ‘‘120-day letters.’’ During this either ‘‘nonattainment,’’ ‘‘attainment,’’ (see Section V of this document); and (4) period, if the state or territory does not or ‘‘unclassifiable,’’ for that NAAQS the methodology for appropriately agree with the EPA’s modification, it pursuant to section 107(d)(1)–(2) of the characterizing SO2 air quality through has an opportunity to respond to the CAA. As part of these Round 4 monitoring or modeling. EPA and to demonstrate why it believes designations, the EPA is implementing The EPA notes that CAA section the modification proposed by the EPA is its interpretation of statutory terms 107(d) provides the agency with inappropriate. If a state or territory fails under CAA section 107(d) nationwide discretion to determine how best to to provide any recommendation for an and is basing these designations on interpret the terms in the definition of area, in whole or in part, the EPA still EPA’s nationwide analytical approach a nonattainment area (e.g., ‘‘contributes must promulgate a designation that the and technical analysis, including to’’ and ‘‘nearby’’) for a new or revised Administrator deems appropriate, evaluation of monitoring data and air NAAQS, given considerations such as pursuant to CAA section quality modeling, applied to the the nature of a specific pollutant, the 107(d)(1)(B)(ii). While CAA section available evidence for each area. types of sources that may contribute to 107(d) specifically addresses the Regarding statutory definitions and violations, the form of the standards for designations process between the EPA the EPA’s interpretations of such, the pollutant, and other relevant and states and territories, the EPA section 107(d)(1)(A)(i) of the CAA information. In particular, the EPA’s intends to follow the same process to defines a nonattainment area as an area position is that the statute does not the extent practicable for tribes that that does not meet the NAAQS or that require the agency to establish bright submitted designation contributes to a nearby area that does line tests or thresholds for what recommendations. The EPA is required not meet the NAAQS. An attainment constitutes ‘‘contribution’’ or ‘‘nearby’’ by CAA section 107(d)(2)(A) to publish area is defined by section for purposes of designations.8 a notice in the Federal Register 107(d)(1)(A)(ii) of the CAA as any area Similarly, the EPA’s position is that promulgating its final designations, and (other than an area that meets the the statute permits the EPA to evaluate the EPA codifies its designations in the definition of a nonattainment area) that the appropriate application of the term Code of Federal Regulations at 40 CFR meets the NAAQS. Unclassifiable areas ‘‘area’’ to include geographic areas part 81, subpart C. are defined by section 107(d)(1)(A)(iii) based upon full or partial county V. What guidance has the EPA of the CAA as those that cannot be boundaries, as may be appropriate for a previously issued and how does the classified on the basis of available particular NAAQS. For example, CAA EPA now intend to apply the statutory information as meeting or not meeting section 107(d)(1)(B)(ii) explicitly requirements to determine area the NAAQS. provides that the EPA can make designations and boundaries? In this action, the EPA defines a modifications to designation In the notice of proposed rulemaking recommendations for an area ‘‘or nonattainment area as an area that, for the revised SO NAAQS (74 FR portions thereof,’’ and under CAA 2 based on available information 64810; December 8, 2009), the EPA section 107(d)(1)(B)(iv) a designation including (but not limited to) issued proposed guidance on our remains in effect for an area ‘‘or portion monitoring data and/or appropriate approach to implementing the standard, thereof’’ until the EPA redesignates it. modeling analyses, the EPA has including our approach to initial area By no later than 1 year after the determined either: (1) Does not meet the designations. The EPA solicited promulgation of a new or revised 2010 SO2 NAAQS, or (2) contributes to comment on that guidance and, in the NAAQS, CAA section 107(d)(1)(A) ambient air quality in a nearby area that final rule (75 FR 35520; June 22, 2010), provides that each state governor is does not meet the NAAQS. An provided further guidance concerning required to recommend air quality attainment/unclassifiable area is defined implementation of the standard and designations, including the appropriate as an area that, based on available how to identify nonattainment areas and boundaries for areas, to the EPA.9 The information including (but not limited boundaries for the SO NAAQS. EPA reviews those recommendations 2 to) appropriate monitoring data and/or Subsequently, on March 24, 2011, the and is authorized to make any modeling analyses, the EPA has EPA provided additional designations modifications the Administrator deems determined meets the NAAQS and does guidance to assist states with making necessary. The statute does not define not likely contribute to ambient air their recommendations for area the term ‘‘necessary,’’ but the EPA quality in a nearby area that does not designations and boundaries.10 The EPA interprets this to authorize the meet the NAAQS. An unclassifiable area also issued two additional designations Administrator to modify designations is defined as an area for which the guidance documents on March 20, 2015, available information does not allow the that did not meet the statutory EPA to determine whether the area requirements or were otherwise 10 See ‘‘Area Designations for the 2010 Revised meets the definition of a nonattainment Primary Sulfur Dioxide National Ambient Air area or the definition of an attainment/ 8 This view was confirmed in Catawba County v. Quality Standards,’’ memorandum to Regional Air unclassifiable area. EPA, 571 F.3d 20 (D.C. Cir. 2009). Division Directors, Regions I–X, from Stephen D. 9 Tribes are invited to submit recommendations Page, dated March 24, 2011, available at https:// following promulgation of a new or revised NAAQS www3.epa.gov/ttn/naaqs/aqmguide/collection/cp2/ 7 See 75 FR 35520 at 35525, June 22, 2010. but are not required to do so. 20110324_page_so2_designations_guidance.pdf.
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and July 22, 2016, specific to Round 2 monitoring site when the 3-year average states, territories, tribes, and other and Round 3 processes and schedules, of the annual 99th percentile of the parties, are available for review at the 11 respectively. daily maximum 1-hour average public docket for these SO2 designations An updated designations guidance concentrations of SO2 exceeds 75 ppb, at https://www.regulations.gov under document was issued by the EPA on as determined in accordance with Docket ID No. EPA–HQ–OAR–2020– September 5, 2019, to better reflect the Appendix T of 40 CFR part 50. 0037, at the EPA Docket Center listed in Round 4 2010 SO2 NAAQS designations In the EPA’s September 2019 the FOR FURTHER INFORMATION CONTACT process and to supplement, where memorandum, we noted that Round 4 section of this document, and on the necessary, prior designations guidance area designations will be based Agency’s SO2 Designations website at documents.12 This memorandum primarily on ambient monitoring data, https://www.epa.gov/sulfur-dioxide- identifies factors that the EPA intends to including data from existing and new designations. Air dispersion modeling evaluate in determining whether areas EPA-approved monitors that have input and output files are too large to are in violation of the 2010 SO2 collected data at least from January 2017 post in the docket or on the website and NAAQS. The document also contains forward, pursuant to the DRR. In must be requested from the EPA Docket the factors that the EPA intends to addition, EPA may evaluate air Office or the Regional office contacts evaluate in determining the boundaries dispersion modeling submitted by state listed in the FOR FURTHER INFORMATION for all remaining undesignated areas in air agencies for two specific CONTACT section of this document. the country. These factors include: (1) circumstances. First, states may submit Air quality characterization via ambient air dispersion modeling of actual or Dated: August 13, 2020. monitoring and/or dispersion modeling allowable emissions to support the Panagiotis Tsirigotis, results; (2) emissions-related data; (3) geographic extent of a nonattainment Director, Office of Air Quality Planning & meteorology; (4) geography and boundary. Second, states may submit air Standards. topography; and (5) jurisdictional dispersion modeling of allowable [FR Doc. 2020–18129 Filed 8–20–20; 8:45 am] boundaries.13 emissions to demonstrate that new BILLING CODE 6560–50–P permanent and federally enforceable VI. What air quality information has SO emissions limits that subject the EPA used for these intended 2 sources are meeting provide for ENVIRONMENTAL PROTECTION designations? attainment of the NAAQS and represent AGENCY These intended designations are a more accurate characterization of [EPA–HQ–OGC–2020–0399; FRL–10013–98– based on the EPA’s application of the current air quality at the time of OGC] nationwide analytical approach to, and designation than does monitoring data preliminary technical assessment of, the reflecting past air quality that does not Proposed Consent Decree, Clean Air weight of evidence for each area, account for compliance with new limits Act Citizen Suit including but not limited to available air and associated enforceable emissions quality monitoring data and air quality reductions. AGENCY: Environmental Protection modeling results. With respect to air Agency (EPA). quality monitoring data, the EPA has VII. How do the Round 4 designations ACTION: Notice of proposed consent considered data from at least the most affect Indian country? decree; request for public comment. recent 3 full calendar years, i.e., 2017– There are no violating monitors for SUMMARY: 2019. The 1-hour primary SO2 standard areas of Indian county, so no areas of In accordance with section is violated at an ambient air quality Indian country are being designated as 113(g) of the Clean Air Act, as amended nonattainment as part of this round. (CAA or the Act), notice is given of a 11 See ‘‘Updated Guidance for Area Designations Any other parts of Indian country being proposed consent decree in Center for for the 2010 Primary Sulfur Dioxide National designated as attainment/unclassifiable Biological Diversity, et al., v. Wheeler, Ambient Air Quality Standard,’’ memorandum to or unclassifiable are being designated No. 3:20–cv–00448 (N.D. Cal.). On Regional Air Division Directors, Regions 1–10, from Stephen D. Page, dated March 20, 2015, available along with the surrounding state area. January 22, 2020 and February 19, 2020, the Center for Biological Diversity and at https://www.epa.gov/sites/production/files/2016- VIII. Where can I find information 04/documents/20150320so2designations.pdf, and the Center for Environmental Health ‘‘Area Designations for the 2010 Primary Sulfur forming the basis for these intended (collectively, Plaintiffs) filed a Dioxide National Ambient Air Quality Standard— designations and exchanges between Round 3,’’ memorandum to Regional Air Division complaint and a first amended the EPA and states related to these complaint, respectively, in the United Directors, Regions 1–10, dated July 22, 2016, intended designations? available at https://www.epa.gov/sites/production/ States District Court for the Northern files/2016-07/documents/areadesign.pdf. Information providing the basis for District of California, alleging that the 12 See ‘‘Area Designations for the 2010 Primary this intended action are provided in a Administrator of the United States Sulfur Dioxide National Ambient Air Quality technical support document (TSD) 14 Standard—Round 4,’’ memorandum to Regional Air Environmental Protection Agency (EPA) Division Directors, Regions 1–10, from Peter included in the docket. The TSD, failed to perform certain non- Tsirigotis, dated September 5, 2019, available at technical assistance documents, discretionary duties. First, Plaintiffs https://www.epa.gov/sites/production/files/2019- applicable EPA guidance memoranda, _ _ _ _ _ allege that EPA failed to issue a finding 09/documents/round 4 so2 designations memo and copies of correspondence regarding 09-05-2019_final.pdf. of failure to submit for state 13 The EPA supplemented this guidance with this process between the EPA and the implementation plans (SIPs) addressing documents first made available to states and other reasonably available control technology interested parties in 2013 and updated in 2016. See 14 The single TSD for this action consists of a few (RACT) for volatile organic compounds SO2 NAAQS Designations Source-Oriented sections with information that applies to all affected Monitoring Technical Assistance Document areas or to certain groups of areas with some (VOC) from sources covered by the 2016 (February 2016), available at https://www.epa.gov/ common features, and many sections that are Oil and Gas control techniques sites/production/files/2016-06/documents/ specific to individual states. For convenience, the guideline (CTG) for the 2008 ozone so2monitoringtad.pdf, and SO2 NAAQS term ‘‘TSD’’ is also used generically to refer to these National Ambient Air Quality Standards Designations Modeling Technical Assistance state-specific sections. For informational purposes, Document (August 2016), available at https:// these individual state-specific TSDs are available (NAAQS) for states and areas listed in www.epa.gov/sites/production/files/2016-06/ for separate downloading from the indicated EPA the First Amended Complaint within six documents/so2modelingtad.pdf. website. months after the SIP due date. Second,
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Plaintiffs allege that EPA failed to take I. Obtaining a Copy of the Proposed consent decree by the established final action to approve or disapprove, in Consent Decree deadlines. whole or in part, Oil and Gas CTG SIPs For a period of thirty (30) days for the 2008 and/or 2015 ozone NAAQS The official public docket for this following the date of publication of this submitted by various states for the action (identified by Docket ID No. document, the Agency will accept nonattainment areas and ozone EPA–HQ–OGC–2020–0399) contains a written comments relating to the transport region (OTR) states listed in copy of the proposed consent decree. proposed consent decree. EPA or the the First Amended Complaint. The The electronic version of the public Department of Justice may withdraw or proposed consent decree would docket for this action contains a copy of withhold consent to the proposed establish deadlines for EPA to take the proposed consent decree, and is consent decree if the comments disclose specified actions. available through https:// facts or considerations that indicate that such consent is inappropriate, DATES: Written comments on the www.regulations.gov. You may use proposed consent decree must be https://www.regulations.gov to submit improper, inadequate, or inconsistent received by September 21, 2020. or view public comments, access the with the requirements of the Act. index listing of the contents of the III. Additional Information About ADDRESSES: Submit your comments, official public docket, and access those identified by Docket ID No. EPA–HQ– Commenting on the Proposed Consent documents in the public docket that are Decree OGC–2020–0399, online at https:// available electronically. Once in the www.regulations.gov (EPA’s preferred system, key in the appropriate docket Submit your comments, identified by method). Follow the online instructions identification number then select Docket ID No. EPA–HQ–OGC–2020– for submitting comments. ‘‘search.’’ 0399, via https://www.regulations.gov. Instructions: All submissions received Once submitted, comments cannot be must include the Docket ID number for II. Additional Information About the edited or removed from this docket. The this action. Comments received may be Proposed Consent Decree EPA may publish any comment received posted without change to https:// to its public docket. Do not submit to The proposed consent decree, which www.regulations.gov/, including any EPA’s docket at https:// would fully resolve a lawsuit filed by personal information provided. For www.regulations.gov any information the Center for Biological Diversity and detailed instructions on sending you consider to be Confidential the Center for Environmental Health, comments and additional information Business Information (CBI) or other would require the EPA to take action on the rulemaking process, see the information whose disclosure is under the CAA to make a finding of ‘‘Additional Information about restricted by statute. Multimedia failure to submit for SIPs addressing Commenting on the Proposed Consent submissions (audio, video, etc.) must be RACT for VOC from sources covered by Decree’’ heading under the accompanied by a written comment. the 2016 Oil and Gas CTG pursuant to SUPPLEMENTARY INFORMATION section of The written comment is considered the 42 U.S.C. 7410(k)(1)(B) for the 2008 this document. Out of an abundance of official comment and should include ozone NAAQS for certain states and caution for members of the public and discussion of all points you wish to areas as listed in the proposed consent our staff, the EPA Docket Center and make. The EPA will generally not decree. The proposed consent decree Reading Room are closed to the public, consider comments or comment would also require the Administrator, with limited exceptions, to reduce the contents located outside of the primary pursuant to CAA sections 110(k)(2)–(4), risk of transmitting COVID–19. Our submission (i.e. on the web, cloud, or 42 U.S.C. 7410(k)(2)–(4), to take final Docket Center staff will continue to other file sharing system). For action to approve or disapprove, in provide remote customer service via additional submission methods, the full whole or in part SIP submissions email, phone, and webform. We EPA public comment policy, addressing the 2016 Oil and Gas CTG encourage the public to submit information about CBI or multimedia for the 2008 and/or 2015 ozone NAAQS comments via https:// submissions, and general guidance on submitted by various states for the www.regulations.gov, as there may be a making effective comments, please visit nonattainment areas and OTR states as delay in processing mail and faxes. https://www.epa.gov/dockets/ listed in the proposed consent decree. Hand deliveries and couriers may be commenting-epa-dockets. For additional received by scheduled appointment Under the terms of the proposed information about submitting only. For further information on EPA consent decree, EPA shall sign a notice information identified as CBI, please Docket Center services and the current or notices finding that the states contact the person listed in the FOR status, please visit us online at https:// identified as such in the consent decree FURTHER INFORMATION CONTACT section of www.epa.gov/dockets. have failed to submit a SIP or SIP this document. Note that written The EPA continues to carefully and revision addressing RACT for VOC comments containing CBI and continuously monitor information from sources covered by the Oil and Gas submitted by mail may be delayed and the CDC, local area health departments, RACT CTG for the 2008 ozone NAAQS deliveries or couriers will be received and our Federal partners so that we can for the nonattainment area or state listed by scheduled appointment only. respond rapidly as conditions change in the proposed consent decree by the If you submit an electronic comment, regarding COVID–19. established deadline. In addition, under EPA recommends that you include your the proposed consent decree, EPA shall name, mailing address, and an email FOR FURTHER INFORMATION CONTACT: sign a notice of proposed and/or final address or other contact information in Derek Mills, Air and Radiation Law rulemaking to approve, disapprove, the body of your comment. This ensures Office (2344A), Office of General conditionally approve, or approve in that you can be identified as the Counsel, U.S. Environmental Protection part and conditionally approve or submitter of the comment and allows Agency, 1200 Pennsylvania Ave. NW, disapprove in part, Oil and Gas RACT EPA to contact you in case EPA cannot Washington, DC 20460; telephone: (202) CTG SIPs for the 2008 and/or 2015 read your comment due to technical 564–3341; email address: mills.derek@ ozone NAAQS for the nonattainment difficulties or needs further information epa.gov. areas and OTR states as listed and on the substance of your comment. Any SUPPLEMENTARY INFORMATION: identified as such in the proposed identifying or contact information
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provided in the body of a comment will Fac. ID No. 166080, From DUE WEST, considered. In addition to submitting in be included as part of the comment that SC, To BOWMAN, GA, File No. www.reginfo.gov also send a copy of is placed in the official public docket 0000117873; RADIO TRAINING your comment on the proposed and made available in EPA’s electronic NETWORK, INC, WAHP(FM), Fac. ID information collection to Cathy public docket. If EPA cannot read your No. 67212, From BELTON, SC, To DUE Williams, FCC, via email to PRA@ comment due to technical difficulties WEST, SC, File No. 0000117827; and fcc.gov and to [email protected]. and cannot contact you for clarification, MILESTONE RADIO II LLC, KBGY(FM), Include in the comments the OMB EPA may not be able to consider your Fac. ID No. 84475, From FARIBAULT, control number as shown in the comment. MN, To ELKO NEW MARKET, MN, File SUPPLEMENTARY INFORMATION below. Use of the https:// No. 0000116370 . The full text of these FOR FURTHER INFORMATION CONTACT: For www.regulations.gov website to submit applications is available electronically additional information or copies of the comments to EPA electronically is via the Media Bureau’s Consolidated information collection, contact Cathy EPA’s preferred method for receiving Data Base System, https:// Williams at (202) 418–2918. To view a comments. The electronic public docket licensing.fcc.gov/prod/cdbs/pubacc/ copy of this information collection system is an ‘‘anonymous access’’ prod/app_sear.htm or Licensing and request (ICR) submitted to OMB: (1) Go system, which means EPA will not Management System (LMS), https:// to the web page http://www.reginfo.gov/ know your identity, email address, or apps2int.fcc.gov/dataentry/public/tv/ public/do/PRAMain, (2) look for the other contact information unless you publicAppSearch.html. section of the web page called provide it in the body of your comment. Federal Communications Commission. ‘‘Currently Under Review,’’ (3) click on Please ensure that your comments are Nazifa Sawez, the downward-pointing arrow in the submitted within the specified comment Assistant Chief, Audio Division, Media ‘‘Select Agency’’ box below the period. Comments received after the Bureau. ‘‘Currently Under Review’’ heading, (4) close of the comment period will be select ‘‘Federal Communications marked ‘‘late.’’ EPA is not required to [FR Doc. 2020–18376 Filed 8–20–20; 8:45 am] BILLING CODE 6712–01–P Commission’’ from the list of agencies consider these late comments. presented in the ‘‘Select Agency’’ box, Gautam Srinivasan, (5) click the ‘‘Submit’’ button to the Associate General Counsel. FEDERAL COMMUNICATIONS right of the ‘‘Select Agency’’ box, (6) COMMISSION when the list of FCC ICRs currently [FR Doc. 2020–18393 Filed 8–20–20; 8:45 am] under review appears, look for the Title BILLING CODE 6560–50–P [OMB 3060–0463; 3060–1124; FRS 17012] of this ICR and then click on the ICR Information Collections Being Reference Number. A copy of the FCC submission to OMB will be displayed. FEDERAL COMMUNICATIONS Submitted for Review and Approval to SUPPLEMENTARY INFORMATION: The COMMISSION Office of Management and Budget Commission may not conduct or [FRS 17000] AGENCY: Federal Communications sponsor a collection of information Commission. unless it displays a currently valid Radio Broadcasting Services; AM or ACTION: Notice and request for Office of Management and Budget FM Proposals To Change the comments. (OMB) control number. No person shall Community of License be subject to any penalty for failing to SUMMARY: As part of its continuing effort comply with a collection of information AGENCY: Federal Communications to reduce paperwork burdens, as Commission. subject to the PRA that does not display required by the Paperwork Reduction a valid OMB control number. As part of ACTION: Notice. Act (PRA) of 1995, the Federal its continuing effort to reduce Communications Commission (FCC or DATES: The agency must receive paperwork burdens, as required by the the Commission) invites the general Paperwork Reduction Act (PRA) of 1995 comments on or before October 20, public and other Federal Agencies to 2020. (44 U.S.C. 3501–3520), the FCC invited take this opportunity to comment on the the general public and other Federal ADDRESSES: Federal Communications following information collection. Agencies to take this opportunity to Commission, 445 12th Street SW, Pursuant to the Small Business comment on the following information Washington, DC 20554. Paperwork Relief Act of 2002, the FCC collection. Comments are requested FOR FURTHER INFORMATION CONTACT: seeks specific comment on how it can concerning: (a) Whether the proposed Rolanda F. Smith, 202–418–2054. further reduce the information collection of information is necessary collection burden for small business SUPPLEMENTARY INFORMATION: The for the proper performance of the following applicants filed AM or FM concerns with fewer than 25 employees. functions of the Commission, including proposals to change the community of DATES: Written comments and whether the information shall have license: GERARD MEDIA, LLC, recommendations for the proposed practical utility; (b) the accuracy of the WHFB(AM), Fac. ID No. 72174, From information collection should be Commission’s burden estimates; (c) BENTON HARBOR-ST. JO, MI, File No. submitted on or before September 21, ways to enhance the quality, utility, and BP–20200715AAH; GEORGIA- 2020. clarity of the information collected; and CAROLINA RADIOCASTING ADDRESSES: Comments should be sent to (d) ways to minimize the burden of the COMPANY, LLC, WHTD(AM), Fac. ID www.reginfo.gov/public/do/PRAMain. collection of information on the No. 54562, From ELBERTON, GA, To Find this particular information respondents, including the use of COLBERT, GA, File No. BP– collection by selecting ‘‘Currently under automated collection techniques or 20200728AAE; KMSR, INC., 30-day Review—Open for Public other forms of information technology. KMSR(AM), Fac. ID No. 54336, From Comments’’ or by using the search Pursuant to the Small Business MAYVILLE, ND, To NORTHWOOD, function. Your comment must be Paperwork Relief Act of 2002, Public ND, File No. BP–20200615AAN; LAKE submitted into www.reginfo.gov per the Law 107–198, see 44 U.S.C. 3506(c)(4), HARTWELL RADIO, INC., WYPJ(FM), above instructions for it to be the FCC seeks specific comment on how
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it might ‘‘further reduce the information January 29, 2002, in which the (4) adopted a cost recovery collection burden for small business Commission, among other things: methodology for VRS that adopted concerns with fewer than 25 (1) Required internet-based TRS tiered rates based on call volume; employees.’’ providers to submit certain projected (5) clarified the nature and extent that OMB Control Number: 3060–0463. TRS-related cost and demand data to the certain categories of costs are Title: Telecommunications Relay TRS Fund administrator to be used to compensable from the Fund; and Services and Speech-to-Speech Services calculate the rate; and (6) addressed certain issues for Individuals with Hearing and concerning the management and (2) directed the TRS Fund Speech Disabilities; Structure and oversight of the Fund, including administrator to expand its data Practices of the Video Relay Service prohibiting financial incentives offered collection forms accordingly. Program; Misuse of internet Protocol to consumers to make relay calls. (IP) Captioned Telephone Service, CG In 2003, the Commission released the The 2007 TRS Cost Recovery Order Docket Nos. 03–123, 10–51, and 13–24. 2003 Second Improved TRS Order, requires that state relay administrators Form Number: N/A. published at 68 FR 50973, August 25, and TRS providers submit to the TRS Type of Review: Revision of a 2003, which among other things Fund administrator the following currently approved collection. required that TRS providers offer certain information annually, for intrastate Respondents: Business or other for- local exchange carrier (LEC)-based traditional TRS, STS, and CTS: profit entities; Individuals or household; improved services and features where (1) The per-minute compensation State, Local and Tribal Government. technologically feasible, including a rate(s) and other compensation received Number of Respondents and speed dialing requirement which may for the provision of TRS; Responses: 5,072 respondents; 7,989 entail voluntary recordkeeping for TRS (2) whether the rate applies to session responses. providers to maintain a list of telephone minutes or conversation minutes, which Estimated Time per Response: 0.1 numbers. See also 47 CFR are a subset of session minutes; hours (6 minutes) to 80 hours. 64.604(a)(3)(vi)(B). (3) the number of intrastate session Frequency of Response: Annually, In 2007, the Commission released the minutes; and semi-annually, monthly, on occasion, Section 225/255 VoIP Report and Order, (4) the number of intrastate and one-time reporting requirements; published at 72 FR 43546, August 6, conversation minutes. Recordkeeping and Third-Party 2007, extending the disability access Also, STS providers must file a report Disclosure requirements. requirements that apply to annually with the TRS Fund Obligation to Respond: Required to telecommunications service providers administrator and the Commission on obtain or retain benefit. The statutory and equipment manufacturers under 47 their specific outreach efforts directly authority for the information collection U.S.C. 225, 255 to interconnected voice attributable to the additional requirements is found at section 225 of over internet protocol (VoIP) service compensation approved by the the Communications Act, 47 U.S.C. 225. providers and equipment Commission for STS outreach. The law was enacted on July 26, 1990, manufacturers. As a result, under rules In 2011, to help prevent waste, fraud, in Title IV of the Americans with implementing section 225 of the Act, and abuse, the Commission adopted Disabilities Act of 1990, Public Law interconnected VoIP service providers three VRS orders to curtail these 101–336, 104 Stat. 327, 366–69. are required to publicize information harmful practices. Each of these orders Total Annual Burden: 14,445 hours. about telecommunications relay services (collectively, the 2011 VRS Orders) Total Annual Cost: $291,700. (TRS) and 711 abbreviated dialing included information collection Nature and Extent of Confidentiality: access to TRS. See also 47 CFR requirements. Confidentiality is an issue to the extent 64.604(c)(3). In 2007, the Commission On April 6, 2011, in document FCC that individuals and households also released the 2007 Cost Recovery 11–54, the Commission released the provide personally identifiable Report and Order and Declaratory 2011 Fraud Prevention Order, published information, which is covered under the Ruling, published at 73 FR 3197, at 76 FR 30841, May 27, 2011, which FCC’s updated system of records notice January 17, 2008, in which the included several measures designed to (SORN), FCC/CGB–1, ‘‘Informal Commission: eliminate the waste, fraud and abuse, Complaints, Inquiries, and Requests for while ensuring that VRS remains a (1) Adopted a new cost recovery Dispute Assistance.’’ As required by the viable and a valuable communication methodology for interstate traditional Privacy Act, 5 U.S.C. 552a, the tool for Americans who use it on a daily TRS and interstate STS based on the Commission also published a SORN, basis. FCC/CGB–1 ‘‘Informal Complaints, Multi-state Average Rate Structure On July 28, 2011, in document FCC Inquiries, and Requests for Dispute (MARS) plan, under which interstate 11–118 the Commission released the Assistance,’’ in the Federal Register on TRS compensation rates are determined VRS Certification Order, published at 76 August 15, 2014 (79 FR 48152) which by weighted average of the states’ FR 47469, August 5, 2011, amending its became effective on September 24, 2014. intrastate compensation rates, and rules for certifying internet-based TRS Privacy Impact Assessment: The FCC which includes for STS additional providers as eligible for payment from completed a Privacy Impact Assessment compensation approved by the the Interstate TRS Fund (Fund) for their (PIA) on June 28, 2007. It may be Commission for STS outreach; provision of internet-based TRS. reviewed at https://www.fcc.gov/ (2) adopted a new cost recovery On October 17, 2011, in document general/privacy-act-information#pia. methodology for interstate captioned FCC 11–155, the Commission released The Commission is in the process of telephone service (CTS), as well as the Second VRS Certification Order, updating the PIA to incorporate various internet Protocol captioned telephone published at 76 FR 67070, October 31, revisions to it as a result of revisions to service (IP CTS), based on the MARS 2011, addressing three petitions related the SORN. plan; to the VRS Certification Order by Needs and Uses: On December 21, (3) adopted a cost recovery revising the burdens contained in the 2001, the Commission released the 2001 methodology for internet Protocol (IP) requirements for the submission of TRS Cost Recovery Order, document Relay based on a price cap like documentation of a provider’s VRS FCC 01–371, published at 67 FR 4203, methodology; equipment and technologies and the
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submission of documentation regarding services used in the provision of TRS, information must be submitted in sponsorship arrangements. shall include information about duplicate to the Commandant (CG–521), The following are the final payments under such contracts, U.S. Coast Guard, 2100 2nd Street SW, information collection requirements classified according to the substantive Washington, DC 20593–0001: (1) The contained in the 2011 VRS Orders: cost categories specified by the TRS name of the manufacturer or grantee and (1) The Chief Executive Officer (CEO), Fund administrator; and (ii) in the the model number of the AIS device; Chief Financial Officer (CFO), or other course of an audit or otherwise upon and (2) copies of the test report and test senior executive of a TRS provider shall demand, IP CTS providers must make data obtained from the test facility certify, under penalty of perjury, that: available any relevant documentation. showing that the device complies with (1) Minutes submitted to the Interstate 47 CFR 64.604(c)(5)(iii)(D)(1), (6). the environmental and operational TRS Fund (Fund) administrator for OMB Control No.: 3060–1124. requirements identified in IEC 62287–1. compensation were handled in Title: 80.231, Technical Requirements After reviewing the information compliance with the Commission’s for Class B Automatic Identification described in the certification rules and are not the result of System (AIS) Equipment. application, the U.S. Coast Guard will impermissible financial incentives to Form No.: Not applicable. issue a letter stating whether the AIS generate calls, and (2) cost and demand Type of Review: Extension of a device satisfies all of the requirements data submitted to the Fund currently approved collection. specified in IEC 62287–1. A certification administrator related to the Respondents: Business or other for- application for an AIS device submitted determination of compensation rates are profit entities. to the Commission must contain a copy true and correct. Number of Respondents: 20 of the U.S. Coast Guard letter stating (2) VRS providers shall: (a) Submit to respondents; 50,020 responses. that the device satisfies all of the the Commission and the TRS Fund Estimated Time per Response: 1 hour requirements specified in IEC–62287–1, administrator a call center report twice per requirement. a copy of the technical test data and the Frequency of Response: On occasion a year and (b) notify the Commission instruction manual(s). and the TRS Fund administrator at least reporting requirement and third-party These reporting and third-party 30 days prior to any change to their call disclosure requirement. disclosure requirements aid the Obligation To Respond: Required to centers’ locations. Commission monitoring advance marine obtain or retain benefits. Statutory (3) VRS providers shall submit vessel tracking and navigation authority for this information collection detailed call data records (CDRs) and information transmitted from Class B is contained in 47 U.S.C. 154, 303, speed of answer compliance data to the AIS devices to ensure that they are 307(e), 309 and 332 of the Fund administrator. accurate and reliable, while promoting Communications Act of 1934, as (4) TRS providers shall use an marine safety. automated record keeping system to amended. capture the CDRs and shall submit such Total Annual Burden: 50,020 hours. Federal Communications Commission. data electronically in standardized form Annual Cost Burden: $25,000. Marlene Dortch, to the TRS Fund administrator. Privacy Act Impact Assessment: No Secretary, Office of the Secretary. (5) internet-based TRS providers shall impact(s). [FR Doc. 2020–18315 Filed 8–20–20; 8:45 am] Nature and Extent of Confidentiality: retain the CDRs that are used to support BILLING CODE 6712–01–P payment claims submitted to the Fund There is no need for confidentiality with administrator for a minimum of five this collection of information. years, in an electronic format. Needs and Uses: On September 19, FEDERAL COMMUNICATIONS (6) VRS providers shall: (a) Maintain 2008, the Commission adopted a Second COMMISSION copies of all third-party contracts or Report and Order, FCC 08–208, which [OMB 3060–0346; FRS 17004] agreements and make them available to added a new section 80.231, which requires that manufacturers of Class B the Commission and the TRS Fund Information Collection Being Reviewed Automatic Identification Systems (AIS) administrator upon request; and (b) by the Federal Communications transmitters for the Marine Radio describe all agreements in connection Commission Under Delegated Service include with each transmitting with marketing and outreach activities Authority in their annual submissions to the TRS device a statement explaining how to Fund administrator. enter static information accurately and a AGENCY: Federal Communications (7) TRS providers shall provide warning statement that entering Commission. information about their TRS inaccurate information is prohibited. ACTION: Notice and request for whistleblower protections to all The Commission is seeking to extend comments. employees and contractors, in writing. this collection in order to obtain the full In 2018, the Commission released the three-year clearance from OMB. SUMMARY: As part of its continuing effort IP CTS Modernization Order, published Specifically, the information collection to reduce paperwork burdens, and as at 83 FR 30082, June 27, 2018, in which requires that manufacturers of AIS required by the Paperwork Reduction the Commission: transmitters label each transmitting Act (PRA), the Federal Communications (1) Determined that it would device with the following statement: Commission (FCC or Commission) transition the methodology for IP CTS WARNING: It is a violation of the rules invites the general public and other cost recovery from the MARS plan to of the Federal Communications Federal agencies to take this cost-based rates and adopted interim Commission to input an MMSI that has opportunity to comment on the rates; and not been properly assigned to the end following information collections. (2) added two cost reporting user, or to otherwise input any Comments are requested concerning: requirements for IP CTS providers: (i) In inaccurate data in this device. Whether the proposed collection of annual cost data filings and Additionally, prior to submitting a information is necessary for the proper supplementary information provided to certification application (FCC Form 731, performance of the functions of the the TRS Fund administrator, IP CTS OMB Control Number 3060–0057) for a Commission, including whether the providers that contract for the supply of Class B AIS device, the following information shall have practical utility;
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the accuracy of the Commission’s Respondents: Business and other for- SUMMARY: As part of its continuing effort burden estimate; ways to enhance the profit entities; not-for-profit institutions. to reduce paperwork burdens, as quality, utility, and clarity of the Frequency of Response: Annual required by the Paperwork Reduction information collected; ways to minimize reporting requirement; on occasion Act (PRA) of 1995, the Federal the burden of the collection of reporting requirement. Communications Commission (FCC or information on the respondents, Obligation to Respond: Required to the Commission) invites the general including the use of automated obtain or retain benefits. Statutory public and other Federal Agencies to collection techniques or other forms of authority for this information collection take this opportunity to comment on the information technology; and ways to is contained in 47 Section 154(i) of the following information collection. further reduce the information Communications Act of 1934, as Pursuant to the Small Business collection burden on small business amended. Paperwork Relief Act of 2002, the FCC concerns with fewer than 25 employees. Number of Respondents and seeks specific comment on how it can DATES: Written comments should be Responses: 4 respondents; 4 responses. further reduce the information submitted on or before October 20, Estimated Time per Response: 10 collection burden for small business 2020. If you anticipate that you will be mins. (0.166 hrs.). concerns with fewer than 25 employees. submitting comments, but find it Total Annual Burden: 1 hour. DATES: Written comments and difficult to do so within the period of Total Annual Cost: None. recommendations for the proposed time allowed by this notice, you should Privacy Impact Assessment(s): No information collection should be advise the contacts below as soon as impact(s). submitted on or before September 21, Nature and Extent of Confidentiality: possible. 2020. There is no need for confidentiality and ADDRESSES: Direct all PRA comments to respondents are not being asked to ADDRESSES: Comments should be sent to Cathy Williams, FCC, via email PRA@ submit confidential information to the www.reginfo.gov/public/do/PRAMain. fcc.gov and to [email protected]. Commission. Find this particular information FOR FURTHER INFORMATION CONTACT: For Needs and Uses: The information collection by selecting ‘‘Currently under additional information about the collection requirements contained in 47 30-day Review—Open for Public information collection, contact Cathy CFR 78.27(b)(1) require the licensee of Comments’’ or by using the search Williams at (202) 418–2918. a Cable Television Relay Service (CARS) function. Your comment must be submitted into www.reginfo.gov per the SUPPLEMENTARY INFORMATION: The FCC station to notify the Commission in may not conduct or sponsor a collection writing when the station commences above instructions for it to be of information unless it displays a operation. Such notification shall be considered. In addition to submitting in currently valid Office of Management submitted on or before the last day of www.reginfo.gov also send a copy of and Budget (OMB) control number. No the authorized one year construction your comment on the proposed information collection to Cathy person shall be subject to any penalty period; otherwise, the station license Williams, FCC, via email to PRA@ for failing to comply with a collection shall be automatically forfeited. The fcc.gov and to [email protected]. of information subject to the PRA that information collection requirements Include in the comments the OMB does not display a valid OMB control contained in 47 CFR 78.27(b)(2) require control number as shown in the number. CARS licensees needing additional time As part of its continuing effort to to complete construction of the station SUPPLEMENTARY INFORMATION below. reduce paperwork burdens, and as and commence operation shall request FOR FURTHER INFORMATION CONTACT: For required by the PRA of 1995 (44 U.S.C. an extension of time 30 days before the additional information or copies of the 3501–3520), the FCC invites the general expiration of the one year construction information collection, contact Cathy public and other Federal agencies to period. Exceptions to the 30-day Williams at (202) 418–2918. To view a take this opportunity to comment on the advance filing requirement may be copy of this information collection following information collections. granted where unanticipated delays request (ICR) submitted to OMB: (1) Go Comments are requested concerning: occur. to the web page http://www.reginfo.gov/ Whether the proposed collection of public/do/PRAMain, (2) look for the Federal Communications Commission. section of the web page called information is necessary for the proper Marlene Dortch, performance of the functions of the ‘‘Currently Under Review,’’ (3) click on Secretary. Commission, including whether the the downward-pointing arrow in the information shall have practical utility; [FR Doc. 2020–18318 Filed 8–20–20; 8:45 am] ‘‘Select Agency’’ box below the the accuracy of the Commission’s BILLING CODE 6712–01–P ‘‘Currently Under Review’’ heading, (4) burden estimate; ways to enhance the select ‘‘Federal Communications quality, utility, and clarity of the Commission’’ from the list of agencies FEDERAL COMMUNICATIONS information collected; ways to minimize presented in the ‘‘Select Agency’’ box, COMMISSION the burden of the collection of (5) click the ‘‘Submit’’ button to the information on the respondents, [OMB 3060–0016; 3060–0027, 3060–0029, right of the ‘‘Select Agency’’ box, (6) including the use of automated 3060–0031, 3060–0075, 3060–0110, 3060– when the list of FCC ICRs currently collection techniques or other forms of 0213, 3060–0214, 3060–0405, 3060–0920, under review appears, look for the Title information technology; and ways to 3060–0932, 3060–1133; FRS 17011] of this ICR and then click on the ICR Reference Number. A copy of the FCC further reduce the information Information Collections Being collection burden on small business submission to OMB will be displayed. Submitted for Review and Approval to SUPPLEMENTARY INFORMATION: The concerns with fewer than 25 employees. Office of Management and Budget OMB Control Number: 3060–0346. Commission may not conduct or Title: Section 78.27, License AGENCY: Federal Communications sponsor a collection of information Conditions. Commission. unless it displays a currently valid Office of Management and Budget Form Number: N/A. ACTION: Notice and request for Type of Review: Extension of a (OMB) control number. No person shall comments. currently approved collection. be subject to any penalty for failing to
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comply with a collection of information Privacy Act Impact Assessment: No Frequency of Response: Third party subject to the PRA that does not display impact(s). disclosure requirement and on occasion a valid OMB control number. Nature and Extent of Confidentiality: reporting requirement. As part of its continuing effort to There is no need for confidentiality with Total Annual Burden: 3,013 hours. reduce paperwork burdens, as required this collection of information. Total Annual Cost: $3,943,979. by the Paperwork Reduction Act (PRA) Needs and Uses: FCC Form 2100, Obligation To Respond: Required to of 1995 (44 U.S.C. 3501–3520), the FCC Schedule C is used by licensees/ obtain or retain benefits. The statutory invited the general public and other permittees/applicants when applying authority for this collection of Federal Agencies to take this for authority to construct or make information is contained in Sections opportunity to comment on the changes in a Low Power Television, TV 154(i) and 310 of the Communications following information collection. Translator or DTV Transition. Act of 1934, as amended. Comments are requested concerning: (a) On May 12, 2020, the Commission Nature and Extent of Confidentiality: Whether the proposed collection of adopted Amendment of Section 73.3580 There is no need for confidentiality with information is necessary for the proper of the Commission’s Rules Regarding this collection of information. performance of the functions of the Public Notice of the Filing of Privacy Act Impact Assessment: No Commission, including whether the Applications; Modernization of Media impact(s). Needs and Uses: Filing of the FCC information shall have practical utility; Regulation Initiative; Revision of the Form 345 is required when applying for (b) the accuracy of the Commission’s Public Notice Requirements of Section 73.3580, Second Report and Order, MB authority for assignment of license or burden estimates; (c) ways to enhance permit, or for consent to transfer of the quality, utility, and clarity of the Docket Nos. 17–254, 17–105, & 05–6, FCC 20–65 (rel. May 13, 2020). The control of a corporate licensee or information collected; and (d) ways to permittee for an FM or TV translator minimize the burden of the collection of Commission adopted new, streamlined procedures for stations to provide station, or low power TV station. information on the respondents, This collection also includes the public notice of the filing of certain including the use of automated third-party disclosure requirement of 47 applications. Stations, including collection techniques or other forms of CFR Section 73.3580 (OMB approval stations filing for new construction information technology. Pursuant to the was received for Section 73.3580 under permits or major modifications to Small Business Paperwork Relief Act of OMB Control Number 3060–0031). facilities, that were previously required 2002, Public Law 107–198, see 44 U.S.C. Section 73.3580, as amended in the to post public notice in a local 3506(c)(4), the FCC seeks specific Commission’s 2020 Public Notice newspaper, must now post notice comment on how it might ‘‘further Second Report and Order, discussed online, either on the station website or reduce the information collection below, requires local public notice of a website affiliated with the station, its burden for small business concerns with the filing of all applications to assign or licensee, or its parent entity, or else fewer than 25 employees.’’ transfer control of a broadcast station must post notice on a publicly OMB Control No.: 3060–0016. authorization, including those of an FM Title: FCC Form 2100, Application for accessible, locally targeted website, for or TV translator or booster station or Media Bureau Audio and Video Service 30 continuous days following LPTV station. Notice is given by an Authorization, Schedule C (Former FCC acceptance of the application for filing. applicant posting notice of the Form 346); Sections 74.793(d) and This submission is being made to application filing on its station website, 74.787, LPTV Out-of-Core Digital OMB for approval of the modified third- its licensee website, its parent entity Displacement Application; Section party disclosure requirements for this website, or on a publicly accessible, 73.3700(g)(1)–(3), Post-Incentive Information Collection, as adopted in locally targeted website, for 30 Auction Licensing and Operations; the 2020 Public Notice Second Report consecutive days beginning within five Section 74.799, Low Power Television and Order. The changes pertaining to business days of acceptance of the and TV Translator Channel Sharing. this Information Collection and to 47 application for filing. The online notice Form No.: FCC Form 2100, CFR 73.3580 adopted in the 2020 Public must link to a copy of the application Schedule C. Notice Second Report and Order do not Type of Review: Revision of a necessitate changes to the Form 2100, as filed in the Commission’s LMS currently approved information Schedule C, nor do they affect the licensing database. Applicants for collection. substance, burden hours, or costs of assignment or transfer of control of a Respondents: Business or other for- completing the forms. The rule changes low-power television (LPTV) station profit entities; Not for profit institutions; do, however, reduce burdens and costs that locally originates programming State, local or Tribal government. associated with filing the application. must also make a total of six on-air Number of Respondents and OMB Control Number: 3060–0075. announcements giving notice that their Responses: 4,460 respondents and 4,460 Title: Application for Transfer of applications have been accepted for responses. Control of a Corporate Licensee or filing. Estimated Time per Response: 2.5–7 Permittee, or Assignment of License or On May 12, 2020, the Commission hours. Permit, for an FM or TV Translator adopted Amendment of Section 73.3580 Frequency of Response: One-time Station, or a Low Power Television of the Commission’s Rules Regarding reporting requirement; on occasion Station, FCC Form 345. Public Notice of the Filing of reporting requirement; third party Type of Review: Revision of a Applications; Modernization of Media disclosure requirement. currently approved collection. Regulation Initiative; Revision of the Obligation To Respond: Required to Respondents: Business or other for- Public Notice Requirements of Section obtain or retain benefits. The statutory profit entities; Not for profit institutions; 73.3580, Second Report and Order, MB authority for this collection is contained Local or Tribal Government. Docket Nos. 17–254, 17–105, & 05–6, in Section 154(i), 303, 307, 308 and 309 Number of Respondents and FCC 20–65 (rel. May 13, 2020). The of the Communications Act of 1934, as Responses: 1,700 respondents; 3,900 Commission adopted new, streamlined amended. responses. procedures for stations to provide Total Annual Burden: 42,370 hours. Estimated Time per Response: 0.075– public notice of the filing of certain Annual Cost Burden: $23,026,757. 1.25 hours. applications. Applicants, including
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applicants for assignment or transfer of Estimated Time per Response: 0.075 adopted in the 2020 Public Notice control of authorizations for FM or TV hours-6.25 hours. Second Report and Order, do not translators or LPTV stations, that were Frequency of Response: One-time necessitate changes to the Schedule 301, previously required to post public reporting requirement; On occasion nor do they affect the substance, burden notice in a local newspaper, must now reporting requirement; Third party hours, or costs of completing the forms. post notice online, either on the station disclosure requirement. The rule changes do, however, reduce website or a website affiliated with the Obligation To Respond: Required to burdens and costs associated with filing station, its licensee, or its parent entity, obtain or retain benefits. The statutory the application. 47 CFR 73.3571(j)(3) or else must post notice on a publicly authority for this collection is contained and 73.3573(g)(3)require that applicants accessible, locally targeted website, for in Sections 154(i), 303 and 308 of the must comply with the local public 30 continuous days following Communications Act of 1934, as notice provisions of § 73.3580(c)(5). acceptance of the application for filing. amended. OMB Control Number: 3060–0029. Stations that are required to make on-air Total Annual Burden: 12,435 hours. Title: FCC Form 2100, Schedule 340, announcements of the filing of certain Annual Cost Burden: $62,308,388. Noncommercial Educational Station for applications, including an applicant for Privacy Act Impact Assessment: No Reserved Channel Construction Permit assignment or transfer of control of an impact(s). Application. LPTV station that locally originates Nature and Extent of Confidentiality: Form Number: FCC Form 2100, programming, must continue to do so, There is no need for confidentiality with Schedule 340. but the announcements are shorter and this collection of information. Type of Review: Revision of a Needs and Uses: On May 12, 2020, direct viewers and listeners to the currently approved collection. the Commission adopted Amendment of application as filed and displayed in Respondents: Business or other for- Section 73.3580 of the Commission’s either the station’s Online Public profit entities, not for profit institutions Rules Regarding Public Notice of the Inspection File or another Commission and State, local or Tribal Government. Filing of Applications; Modernization of database. A total of six on-air Number of Respondents and Media Regulation Initiative; Revision of announcements are required, at least Responses: 2,820 respondents; 2,820 the Public Notice Requirements of one per week and no more than one per responses. Section 73.3580, Second Report and day or two per week, to be broadcast Estimated Time per Response: 0.5 Order, MB Docket Nos. 17–254, 17–105, between 7:00 a.m. and 11:00 p.m. local hours–6 hours. & 05–6, FCC 20–65 (rel. May 13, 2020). time, Monday through Friday, beginning Frequency of Response: On occasion The Commission adopted new, after the application is accepted for reporting requirement and Third party streamlined procedures for stations to filing. disclosure requirement. This submission is being made to provide public notice of the filing of Obligation to Respond: Required to OMB for approval of the modified third- certain applications. Stations, including obtain or retain benefits. The statutory party disclosure requirements for this stations filing for new construction authority for this collection is contained Information Collection, as adopted in permits or major modifications to in Sections 154(i), 303 and 308 of the the 2020 Public Notice Second Report facilities, that were previously required Communications Act of 1934, as and Order. The changes pertaining to to post public notice in a local amended. this Information Collection and to 47 newspaper, must now post notice Total Annual Burden: 6,603 hours. CFR 73.3580 adopted in the 2020 Public online, either on the station website or Total Annual Cost: $30,039,119. Notice Second Report and Order do not a website affiliated with the station, its Privacy Act Impact Assessment: No necessitate changes to the Form 345, nor licensee, or its parent entity, or else impact(s). do they affect the substance, burden must post notice on a publicly Nature and Extent of Confidentiality: hours, or costs of completing the forms. accessible, locally targeted website, for There is no need for confidentiality with The rule changes do, however, reduce 30 continuous days following this collection of information. Needs and Uses: This submission is burdens and costs associated with filing acceptance of the application for filing. being made to the Office of Management the application. Stations that are required to make on-air OMB Control No.: 3060–0027. announcements of the filing of certain (OMB) for the approval of information Title: Application for Construction applications, must continue to do so, collection requirements contained in the Permit for Commercial Broadcast but the announcements are shorter and Commission’s Reexamination of the Station, FCC Form 301; Form 2100, direct viewers and listeners to the Comparative Standards and Procedures Schedule A—Application for Media application as filed and displayed in for Licensing Noncommercial Bureau Video Service Authorization; 47 either the station’s Online Public Educational Broadcast Stations and Low Sections 73.3700(b)(1) and (b)(2) and Inspection File or another Commission Power FM Stations, Report and Order, Section 73.3800, Post Auction database. A total of six on-air FCC 19–127, 34 FCC Rcd 12519 (2019) Licensing; Form 2100, Schedule 301– announcements are required, at least (NCE LPFM Report and Order), adopted FM—Commercial FM Station one per week and no more than one per December 10, 2019, and released on Construction Permit Application. day or two per week, to be broadcast December 11, 2019, where the Form No.: FCC Form 2100, Schedule between 7:00 a.m. and 11:00 p.m. local Commission revised its rules and A, FCC Form 301, FCC Form 2100, time, Monday through Friday, beginning procedures for considering competing Schedule 301–FM. after the application is accepted for applications for new and major Type of Review: Revision of a filing. modifications to noncommercial currently approved information This submission is being made to educational full-service FM and full- collection. OMB for approval of the modified third- power television (NCE), and low power Respondents: Business or other for- party disclosure requirements for this FM (LPFM) broadcast stations. The profit entities; Not for profit institutions; Information Collection, as adopted in changes are designed to improve the State, local or Tribal Government. the 2020 Public Notice Second Report comparative selection and licensing Number of Respondents and and Order. The changes pertaining to procedures, expedite the initiation of Responses: 3,092 respondents and 4,199 this Information Collection and to 47 new service to the public, eliminate responses. CFR 73.3580 and 47 CFR 73.3594 unnecessary applicant burdens, and
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reduce the number of appeals of NCE the four-year maintenance of database. A total of six on-air comparative licensing decisions. comparative qualifications period, if the announcements are required, at least First, to improve the NCE comparative applicant certifies that it qualifies for one per week and no more than one per process, the NCE LPFM Report and ‘‘local diversity of ownership’’ points in day or two per week, to be broadcast Order: (1) Eliminates the governing the Point System Factors of 47 CFR between 7:00 a.m. and 11:00 p.m. local document requirements for established 73.7003. time, Monday through Friday, beginning local applicants and applicants claiming (4) Modifying the divestiture sub- after the application is accepted for diversity points; (2) establishes a question certification, to reflect the new filing. uniform divestiture pledge policy; (3) divestiture policies, in the Diversity of This submission is being made to expands the tie-breaker criteria and Ownership question in the Point System OMB for approval of the modified third- revises the procedures for allocating Factors Section. party disclosure requirements for this time in mandatory time-sharing (5) Adding a new question in the Tie Information Collection, as adopted in situations; and (4) clarifies and modifies Breakers section of the form, reflecting the 2020 Public Notice Second Report the ‘‘holding period’’ rule. the new third tie-breaker criterion of 47 and Order. The changes pertaining to Second, the NCE LPFM Report and CFR 73.7003(c)(3). this Information Collection and to 47 Order adopts the following changes to (6) Adding a new question in the Tie CFR 73.3580 adopted in the 2020 Public the LPFM comparative process: (1) Breakers Section of the form, requiring Notice Second Report and Order, do not Prohibits amendments that attempt to the applicant to provide its initial date necessitate changes to the Schedule 340, cure past unauthorized station of establishment. nor do they affect the substance, burden violations; (2) authorizes time-sharing (7) Adding a Reasonable Site hours, or costs of completing the forms. discussions prior to tentative selectee Assurance Certification in the Technical The rule changes do, however, reduce designations; and (3) establishes Certifications Section of the form, burdens and costs associated with filing procedures for remaining tentative requiring the applicant to certify that it the application. selectees following dismissal of point has obtained reasonable assurance from Control Number: 3060–0031. aggregation time-share agreements. the tower owner or authorized Title: Application for Consent to Third, the NCE LPFM Report and representative, that its specified site will Assignment of Broadcast Station Order adopts the following general be available. Construction Permit or License, FCC changes: (1) Defines which applicant The revisions to the relevant rules, Form 314; Application for Consent to board changes are major changes; (2) and the changes to the questions in Transfer Control of Entity Holding Schedule 340 listed above affect the clarifies the reasonable site assurance Broadcast Station Construction Permit substance, burden hours, and costs of requirements; (3) streamlines or License, FCC Form 315; Section completing the Schedule 340. Therefore, construction deadline tolling 73.3580, Local Public Notice of Filing of this submission is being made to OMB procedures and notification Broadcast Applications. requirements; (4) lengthens the LPFM for approval of revised Information Form Number: FCC Forms 314 and construction period; and (5) eliminates Collection requirements. 315. On May 12, 2020, the Commission restrictions on the assignment and Type of Review: Revision of a adopted Amendment of Section 73.3580 transfer of LPFM authorizations. currently approved collection. Specifically, pertaining to this of the Commission’s Rules Regarding Respondents: Business or other for- Information Collection and NCE Public Notice of the Filing of profit entities; Not-for-profit stations, the Commission is revising the Applications; Modernization of Media institutions; State, local or Tribal relevant rules, 47 CFR 73.7002, 73.7003, Regulation Initiative; Revision of the government. and 73.7005, the form, and Public Notice Requirements of Section Number of Respondents and corresponding instructions, as follows: 73.3580, Second Report and Order, MB Responses: 4,920 respondents and (1) Changing all former references to Docket Nos. 17–254, 17–105, & 05–6, 13,160 responses. ‘‘holding period’’ to ‘‘maintenance of FCC 20–65 (rel. May 13, 2020). The Estimated Time per Response: 0.075 comparative qualifications.’’ During the Commission adopted new, streamlined to 7 hours. four-year ‘‘maintenance of comparative procedures for stations to provide Frequency of Response: On occasion qualifications’’ period, an NCE station public notice of the filing of certain reporting requirement; Third party receiving a decisive preference for fair applications. Stations, including disclosure requirement. distribution of service, in accordance stations filing for new construction Obligation To Respond: Required to with the provisions of 47 CFR 73.7002, permits or major modifications to obtain or retain benefits. Statutory must certify that any technical facilities, that were previously required authority for this collection of modification to its authorized facilities to post public notice in a local information is contained in Sections satisfies the technical requirements of newspaper, must now post notice 154(i), 303(b) and 308 of the 47 CFR 73.7005(b). online, either on the station website or Communications Act of 1934, as (2) Adding an ‘‘Established Local a website affiliated with the station, its amended. Applicant Pledge,’’ requiring an licensee, or its parent entity, or else Total Annual Burden: 17,159 hours. applicant to pledge to maintain localism must post notice on a publicly Total Annual Cost: $51,493,759. characteristics during the four-year accessible, locally targeted website, for Privacy Impact Assessment(s): No maintenance of comparative 30 continuous days following impacts. qualifications period, if the applicant acceptance of the application for filing. Nature and Extent of Confidentiality: certifies that it qualifies for points as an Stations that are required to make on-air There is no need for confidentiality and ‘‘established local applicant’’ in the announcements of the filing of certain respondents are not being asked to Point System Factors of 47 CFR 73.7003. applications, must continue to do so, submit confidential information to the (3) Adding a ‘‘Diversity Pledge,’’ but the announcements are shorter and Commission. requiring an applicant to pledge to direct viewers and listeners to the Needs and Uses: This submission is comply with all of the restrictions on application as filed and displayed in being made to the Office of Management station modifications and acquisitions either the station’s Online Public (OMB) for the approval of information (as defined in 47 CFR 73.7005) during Inspection File or another Commission collection requirements contained in the
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Commission’s Reexamination of the comparative qualifications,’’ and applications, must continue to do so, Comparative Standards and Procedures requiring NCE stations awarded by the but the announcements are shorter and for Licensing Noncommercial point system to certify satisfying the direct viewers and listeners to the Educational Broadcast Stations and Low four-year ‘‘maintenance of comparative application as filed and displayed in Power FM Stations, Report and Order, qualifications’’ period; either the station’s Online Public FCC 19–127, 34 FCC Rcd 12519 (2019) (2) requiring LPFM applicants to Inspection File or another Commission (NCE LPFM Report and Order), adopted certify that it has been at least 18 database. A total of six on-air December 10, 2019, and released on months since the station’s initial announcements are required, at least December 11, 2019, where the construction permit was granted in one per week and no more than one per Commission revised its rules and accordance with 47 CFR 73.865(c); day or two per week, to be broadcast procedures for considering competing (3) requiring LPFM applicants to between 7:00 a.m. and 11:00 p.m. local applications for new and major certify that the assignment/transfer of time, Monday through Friday, beginning modifications to noncommercial the LPFM authorization satisfies the after the application is accepted for educational full-service FM and full- consideration restrictions of 47 CFR filing. power television (NCE), and low power 73.865(a)(1); This submission is being made to FM (LPFM) broadcast stations. The (4) requiring LPFM authorizations OMB for approval of the modified third- changes are designed to improve the awarded by the LPFM comparative party disclosure requirements for this comparative selection and licensing point system, to indicate whether the Information Collection, as adopted in procedures, expedite the initiation of LPFM station has operated on-air for at the 2020 Public Notice Second Report new service to the public, eliminate least four years since grant; and Order. The changes pertaining to (5) requiring NCE applicants to certify unnecessary applicant burdens, and this Information Collection and to 47 that the proposed acquisition comports reduce the number of appeals of NCE CFR 73.3580 adopted in the 2020 Public with 47 CFR 73.7005(c) diversity comparative licensing decisions. Notice Second Report and Order, do not requirements, based on any ‘‘diversity of First, to improve the NCE comparative necessitate changes to the Forms 314 or ownership’’ points awarded in an NCE process, the NCE LPFM Report and 315, nor do they affect the substance, Order: (1) Eliminates the governing points system analysis. Moreover, the NCE LPFM Report and burden hours, or costs of completing the document requirements for established forms. The rule changes do, however, local applicants and applicants claiming Order will increase the number of applicants eligible to file FCC Forms reduce burdens and costs associated diversity points; (2) establishes a with filing the application. uniform divestiture pledge policy; (3) 314 and 315 by eliminating both the absolute prohibition on the assignment/ OMB Control Number: 3060–0110. expands the tie-breaker criteria and Title: FCC Form 2100, Application for revises the procedures for allocating transfer of LPFM construction permits and the three-year holding period Renewal of Broadcast Station License, time in mandatory time-sharing LMS Schedule 303–S. situations; and (4) clarifies and modifies restriction on assigning LPFM licenses. Form Number: FCC 2100, LMS the ‘‘holding period’’ rule. The elimination of these restrictions Second, the NCE LPFM Report and will benefit the LPFM service by Schedule 303–S. Order adopts the following changes to increasing the likelihood that LPFM Type of Review: Revision of a the LPFM comparative process: (1) permits will be constructed, provide currently approved collection. Prohibits amendments that attempt to new service to communities, and help Respondents: Business or other for- cure past unauthorized station make the LPFM stations more viable. profit entities; Not for profit institutions; violations; (2) authorizes time-sharing On May 12, 2020, the Commission State, Local or Tribal Governments. discussions prior to tentative selectee adopted Amendment of Section 73.3580 Number of Respondent and designations; and (3) establishes of the Commission’s Rules Regarding Responses: 5,126 respondents, 5,126 procedures for remaining tentative Public Notice of the Filing of responses. selectees following dismissal of point Applications; Modernization of Media Obligation To Respond: Required to aggregation time-share agreements. Regulation Initiative; Revision of the obtain or retain benefits. The statutory Third, the NCE LPFM Report and Public Notice Requirements of Section authority for this collection of Order adopts the following general 73.3580, Second Report and Order, MB information is contained in Sections changes: (1) Defines which applicant Docket Nos. 17–254, 17–105, & 05–6, 154(i), 303, 307 and 308 of the board changes are major changes; (2) FCC 20–65 (rel. May 13, 2020). The Communications Act of 1934, as clarifies the reasonable site assurance Commission adopted new, streamlined amended, and Section 204 of the requirements; (3) streamlines procedures for stations to provide Telecommunications Act of 1996. construction deadline tolling public notice of the filing of certain Estimated Time per Response: 0.5 procedures and notification applications. Stations, including hours-12 hours. requirements; (4) lengthens the LPFM commercial stations filing assignment Frequency of Response: Every eight- construction period; and (5) eliminates and transfer applications, that were year reporting requirement; Third party restrictions on the assignment and previously required to post public disclosure requirement. transfer of LPFM authorizations. notice in a local newspaper, must now Total Annual Burden: 14,868 hours. Specifically, pertaining to this post notice online either on the station Total Annual Costs: $3,994,164. Information Collection and NCE and website or a website affiliated with the Obligation of Response: Required to LPFM stations, the Commission is station, its licensee, or its parent entity, obtain or retain benefits. The statutory removing the restrictive LPFM station or else must post notice on a publicly authority for the collection is contained three-year ‘‘holding period’’ certification accessible, locally targeted website, for Sections 154(i), 303, 307 and 308 of the from CDBS Forms 314 and 315, and 30 continuous days following Communications Act of 1934, as revising the relevant rules, 47 CFR acceptance of the application for filing. amended, and Section 204 of the 73.865 and 73.7005, the forms, and Stations, including those filing Telecommunications Act of 1996. corresponding instructions, as follows: assignment and transfer applications, Nature and Extent of Confidentiality: (1) Changing all references to that are required to make on-air There is no need for confidentiality with ‘‘holding period’’ to ‘‘maintenance of announcements of the filing of certain this information collection.
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Privacy Act Impact Assessment: No Type of Review: Revision of a That this provision shall not apply to impact(s). currently approved collection. bona fide merger agreements; Needs and Uses: On May 12, 2020, Respondents: Business or other for- (4) The exact nature and amount of the Commission adopted Amendment of profit entities; Not for profit institutions. any consideration paid or promised; Section 73.3580 of the Commission’s Number of Respondents and (5) An itemized accounting of the Rules Regarding Public Notice of the Responses: 38 respondents; 38 expenses for which it seeks Filing of Applications; Modernization of responses. reimbursement; and Media Regulation Initiative; Revision of Estimated Time per Response: 1 hour. (6) The terms of any oral agreement the Public Notice Requirements of Frequency of Response: On occasion relating to the dismissal or withdrawal Section 73.3580, Second Report and reporting requirement; Third party of its application. Order, MB Docket Nos. 17–254, 17–105, disclosure requirement. OMB Control Number: 3060–0214. & 05–6, FCC 20–65 (rel. May 13, 2020). Total Annual Burden: 38 hours. Title: Sections 73.3526 and 73.3527, The Commission adopted new, Total Annual Cost: $91,200. Local Public Inspection Files; Sections Nature and Extent of Confidentiality: streamlined procedures for stations to 73.1212, 76.1701 and 73.1943, Political There is no need for confidentiality with provide public notice of the filing of Files. this collection of information. certain applications. Some stations that Form Number: N/A. Obligation to Respond: Required to were previously required to post public Type of Review: Revision of a obtain or retain benefits. The statutory notice in a local newspaper, must now currently approved collection. authority for this collection of post notice online, either on the station Respondents: Business or other for information is contained in Sections website or a website affiliated with the profit entities; Not for profit institutions; 154(i) and 311 of the Communications station, its licensee, or its parent entity, State, Local or Tribal government; Act of 1934, as amended. or else must post notice on a publicly Individuals or households. Privacy Impact Assessment: No Number of Respondents and accessible, locally targeted website, for impact(s). Responses: 23,984 respondents; 62,839 30 continuous days following Needs and Uses: The Commission is responses. acceptance of the application for filing. submitting this revision to the Office of Estimated Time per Response: 1–52 Stations that are required to make on-air Management and Budget for approval to hours. announcements of the filing of certain remove the information collection Frequency of Response: On occasion applications, including applications for requirements, annual burden hours and reporting requirement, Recordkeeping the renewal of broadcast licenses, must annual cost contained in this collection requirement, Third party disclosure continue to do so, but the for 47 CFR 73.3535(b). The Commission requirement. announcements are shorter and direct removed this rule section when it Obligation to Respond: Required to viewers and listeners to the application adopted the Amendment of Section obtain or retain benefits. Statutory as filed and displayed in either the 73.3580 of the Commission’s Rules authority for these collections is station’s Online Public Inspection File Regarding Public Notice of the Filing of contained in Sections 151, 152, 154(i), or another Commission database. A total Applications, MB Docket No. 17–264, 303, 307 and 308 of the of six on-air announcements are FCC 20–65 on May 12, 2020. Communications Act of 1934, as required, at least one per week and no The following information collection amended. more than one per day or two per week, requirements remain in this collection: Total Annual Burden: 2,043,805 to be broadcast between 7:00 a.m. and 47 CFR Section 73.3525 states (a) except hours. 11:00 p.m. local time, Monday through as provided in § 73.3523 regarding Total Annual Cost: None. Friday, beginning after the application dismissal of applications in comparative Privacy Impact Assessment: The is accepted for filing. The Commission renewal proceedings, whenever Commission prepared a system of also clarified low-power FM (LPFM) applicants for a construction permit for records notice (SORN), FCC/MB–2, stations’ obligations to provide local a broadcast station enter into an ‘‘Broadcast Station Public Inspection public notice, and amended section agreement to procure the removal of a Files,’’ that covers the PII contained in 73.801 of the rules (47 CFR 73.801, conflict between applications pending the broadcast station public inspection listing FCC rules that apply to the LPFM before the FCC by withdrawal or files located on the Commission’s service) to include the local public amendment of an application or by its website. The Commission will revise notice rule, 47 CFR 73.3580. dismissal pursuant to § 73.3568, all appropriate privacy requirements as This submission is being made to parties thereto shall, within 5 days after necessary to include any entities and OMB for approval of the modified third- entering into the agreement, file with information added to the online public party disclosure requirements for this the FCC a joint request for approval of file in this proceeding. Information Collection, as adopted in such agreement. The joint request shall Nature and Extent of Confidentiality: the 2020 Public Notice Second Report be accompanied by a copy of the Most of the documents comprising the and Order. The changes pertaining to agreement, including any ancillary public file consist of materials that are this Information Collection and to 47 agreements, and an affidavit of each not of a confidential nature. CFR 73.3580 adopted in the 2020 Public party to the agreement setting forth: Respondents complying with the Notice Second Report and Order, do not (1) The reasons why it is considered information collection requirements necessitate changes to Schedule 303–S, that such agreement is in the public may request that the information they nor do they affect the substance, burden interest; submit be withheld from disclosure. If hours, or costs of completing the forms. (2) A statement that its application confidentiality is requested, such The rule changes do, however, reduce was not filed for the purpose of reaching requests will be processed in burdens and costs associated with filing or carrying out such agreement; accordance with the Commission’s the application. (3) A certification that neither the rules, 47 CFR 0.459. OMB Control Number: 3060–0213. applicant nor its principals has received In addition, the Commission has Title: Section 73.3525, Agreements for any money or other consideration in adopted provisions that permit Removing Application Conflicts. excess of the legitimate and prudent respondents subject to the information Form Number: N/A. expenses of the applicant; Provided collection requirement for Shared
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Service Agreements to redact file for the period specified in to post public notice in a local confidential or proprietary information § 73.3580(e)(2) (for as long as the newspaper, must now post notice from their disclosures. application to which it refers). online, either on the station website or Needs and Uses: On May 12, 2020, 47 CFR 73.3527(e)(10)—Local public a website affiliated with the station, its the Commission adopted Amendment of notice announcements. Each applicant licensee, or its parent entity, or else Section 73.3580 of the Commission’s for renewal of license shall, within 7 must post notice on a publicly Rules Regarding Public Notice of the days of the last day of broadcast of the accessible, locally targeted website, for Filing of Applications; Modernization of local public notice of filing 30 continuous days following Media Regulation Initiative; Revision of announcements required pursuant to acceptance of the application for filing. the Public Notice Requirements of § 73.3580(c)(3), place in the station’s This submission is being made to Section 73.3580, Second Report and online public inspection file a statement OMB for approval of the modified third- Order, MB Docket Nos. 17–254, 17–105, certifying compliance with this party disclosure requirements for this & 05–6, FCC 20–65 (rel. May 13, 2020). requirement. The dates and times that Information Collection, as adopted in The Commission adopted new, the on-air announcements were the 2020 Public Notice Second Report streamlined procedures for stations to broadcast shall be made part of the and Order. The changes pertaining to provide public notice of the filing of certifying statement. The certifying this Information Collection and to 47 certain applications. Stations, including statement shall be retained in the public CFR 73.3580 adopted in the 2020 Public stations filing for new construction file for the period specified in Notice Second Report and Order, do not permits or major modifications to § 73.3580(e)(2) (for as long as the necessitate changes to the Schedule 349, facilities, that were previously required application to which it refers). nor do they affect the substance, burden to post public notice in a local OMB Control Number: 3060–0405. hours, or costs of completing the forms. newspaper, must now post notice Title: Form 2100, Schedule 349—FM The rule changes do, however, reduce online, either on the station website or Translator or FM Booster Station burdens and costs associated with filing a website affiliated with the station, its Construction Permit Application. the application. licensee, or its parent entity, or else Form Number: FCC Form 2100, In April 2020, the Commission must post notice on a publicly Schedule 349. adopted a Report and Order making accessible, locally targeted website, for Type of Review: Revision of a certain changes to the LPFM technical 30 continuous days following currently approved collection. rules, to improve reception and increase acceptance of the application for filing. Respondents: Business or other for- flexibility while maintaining Stations that are required to make on-air profit entities; State, Local or Tribal interference protection and the core announcements of the filing of certain Government; Not-for-profit institutions. LPFM goals of diversity and localism. applications, must continue to do so, Number of Respondents and Amendments of Parts 73 and 74 to but the announcements are shorter and Responses: 1,250 respondents; 3,750 Improve the Low Power FM Radio direct viewers and listeners to the responses. Service Technical Rules; Modernization application as filed and displayed in Estimated Time per Response: 0.5 of Media Regulation Initiative, Report either the station’s Online Public hours–1.5 hours. and Order, MB Docket Nos. 19–193, 17– Inspection File or another Commission Frequency of Response: On occasion 105, FCC 20–53 (rel. Apr. 23, 2020) database. A total of six on-air reporting requirement; Third party (2020 Technical Report and Order). announcements are required, at least disclosure requirement. LPFM stations provide a secondary, one per week and no more than one per Obligation to Respond: Required to noncommercial radio service with a day or two per week, to be broadcast obtain or retain benefits. The statutory community focus. The Commission between 7:00 a.m. and 11:00 p.m. local authority for this information collection originally designed LPFM engineering time, Monday through Friday, beginning is contained in Sections 154(i), 303 and requirements to be simple so that non- after the application is accepted for 308 of the Communications Act of 1934, profit organizations with limited filing. as amended. engineering expertise and small budgets This submission is being made to Total Annual Burden: 4,050 hours. could readily apply for, construct, and OMB for approval of the modified third- Total Annual Cost: $4,447,539. operate community-oriented stations party disclosure requirements for this Privacy Act Impact Assessment: No serving highly localized areas. LPFM Information Collection, as adopted in impact(s). organizations suggested that the service the 2020 Public Notice Second Report Nature and Extent of Confidentiality: has matured and requires additional and Order. The modified information There is no need for confidentiality with engineering options to improve collection requirements, revising rules this information collection. reception. Thus, the 2020 Technical 47 CFR 73.3526(e)(13) and 47 CFR Needs and Uses: On May 12, 2020, Report and Order adopted the following 73.3527(e)(10) covering local public the Commission adopted Amendment of rules: Allow expanded LPFM use of notice announcements, are as follows: Section 73.3580 of the Commission’s directional antennas. All LPFM stations 47 CFR 73.3526(e)(13)—Local public Rules Regarding Public Notice of the may use directional facilities, with notice announcements. Each applicant Filing of Applications; Modernization of either off-the-shelf or composite for renewal of license shall, within 7 Media Regulation Initiative; Revision of antennas, upon a satisfactory days of the last day of broadcast of the the Public Notice Requirements of engineering showing. Such antennas local public notice of filing Section 73.3580, Second Report and could improve service near announcements required pursuant to Order, MB Docket Nos. 17–254, 17–105, international borders by allowing LPFM § 73.3580(c)(3), place in the station’s & 05–6, FCC 20–65 (rel. May 13, 2020). stations to serve more listeners in the online public inspection file a statement The Commission adopted new, United States while continuing to certifying compliance with this streamlined procedures for stations to protect Mexican and Canadian stations. requirement. The dates and times that provide public notice of the filing of Redefine ‘‘Minor Changes’’ for LPFM the on-air announcements were certain applications. Stations, including stations. An LPFM station may apply for broadcast shall be made part of the stations filing for new construction approval to relocate its transmitter site certifying statement. The certifying permits or major modifications to without awaiting a filing window if the statement shall be retained in the public facilities, that were previously required change is ‘‘minor,’’ redefined in the
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2020 Technical Report and Order as a revising the form, the corresponding for Licensing Noncommercial move of 11.2 kilometers or less. The instructions, and the information Educational Broadcast Stations and Low 2020 Technical Report and Order also collection as follows: Power FM Stations, Report and Order, allowed proposals of greater distances to (1) Permitting LPFM licensees to own FCC 19–127, 34 FCC Rcd 12519 (2019) qualify as minor if the existing and and operate FM Booster stations. The (NCE LPFM Report and Order), adopted proposed service contours overlap. 2020 Technical Report and Order will December 10, 2019, and released on Permit LPFM Use of FM Booster increase the number of applicants December 11, 2019, where the Stations. FM booster stations amplify eligible to file LMS Schedule 349 by Commission revised its rules and and retransmit a station’s signal. The eliminating the absolute prohibition on procedures for considering competing 2020 Technical Report and Order the cross-ownership of FM Booster applications for new and major amended rules that had prohibited stations by LPFM licenses. The overall modifications to noncommercial LPFM stations from operating booster number of respondents may increase educational full-service FM and full- stations, allowing LPFM stations to because these rule changes expand the power television (NCE), and low power operate an FM booster in lieu of an FM universe of applicants eligible to apply FM (LPFM) broadcast stations. The translator when a booster would better for an FM Booster station construction changes are designed to improve the address unique terrain challenges. permit. Therefore, this submission is comparative selection and licensing Allow Shared Emergency Alert being made to OMB for approval of procedures, expedite the initiation of System (EAS) Equipment. Co-owned, revised Information Collection new service to the public, eliminate co-located radio stations can share EAS requirements. unnecessary applicant burdens, and equipment, but this option was not OMB Control Number: 3060–0920. reduce the number of appeals of NCE available to LPFM stations because they Title: Form 2100, Schedule 318—Low comparative licensing decisions. cannot be co-owned. The 2020 Power FM Station Construction Permit First, to improve the NCE comparative Technical Report and Order permitted Application; Report and Order in MM process, the NCE LPFM Report and co-located LPFM stations (particularly Docket No. 99–25 Creation of Low Order: (1) Eliminates the governing those in time-share arrangements) to Power Radio Service; Sections 73.801, document requirements for established share an EAS decoder pursuant to an 73.807, 73.809, 73.810, 73.816, 73.827, local applicants and applicants claiming agreement for common access as well as 73.850, 73.865, 73.870, 73.871, 73.872, diversity points; (2) establishes a common responsibility for any EAS rule 73.877, 73.878, 73.318, 73.1030, uniform divestiture pledge policy; (3) violations, thus potentially reducing 73.1207, 73.1212, 73.1300, 73.1350, expands the tie-breaker criteria and costs. 73.1610, 73.1620, 73.1750, 73.1943, revises the procedures for allocating Facilitate Waivers of Requirement to 73.3525, 73.3550, 73.3598, 11.61(ii). time in mandatory time-sharing Protect Television Stations Operating on Form No.: Form 2100, Schedule 318. situations; and (4) clarifies and modifies Channel 6. Stations on the part of the Type of Review: Revision of a the ‘‘holding period’’ rule. FM band reserved for NCE use must currently approved collection. Second, the NCE LPFM Report and currently protect adjacent television Respondents: Not-for-profit Order adopts the following changes to stations on Channel 6 (TV6). The 2020 institutions; State, local or Tribal the LPFM comparative process: (1) Technical Report and Order deferred to governments. Prohibits amendments that attempt to a future proceeding consideration of a Number of Respondents and cure past unauthorized station proposal to eliminate the protection of Responses: 24,606 respondents with violations; (2) authorizes time-sharing digital television stations operating on multiple responses; 31,324 responses. discussions prior to tentative selectee TV6. The 2020 Technical Report and Estimated Time per Response: .0025– designations; and (3) establishes Order stated that until such a 12 hours. procedures for remaining tentative proceeding is resolved, the Commission Frequency of Response: selectees following dismissal of point will accept FM proposals that are short- Recordkeeping requirement; On aggregation time-share agreements. spaced to TV6 if the FM applicant occasion reporting requirement; Third, the NCE LPFM Report and demonstrates no interference. Monthly reporting requirement; Third Order adopts the following general Alternatively, the 2020 Technical party disclosure requirement. changes: (1) Defines which applicant Report and Order added language to the Obligation To Respond: Required to board changes are major changes; (2) rules allowing reserved band radio obtain or retain benefits. The statutory clarifies the reasonable site assurance stations to provide an agreement authority for this collection of requirements; (3) streamlines indicating the concurrence of all information is contained in sections construction deadline tolling potentially affected digital TV6 stations. 154(i), 303, 308 and 325(a) of the procedures and notification Miscellaneous Changes. The 2020 Communications Act of 1934, as requirements; (4) lengthens the LPFM Technical Report and Order added amended. construction period; and (5) eliminates language to 47 CFR 73.850 requiring Total Annual Burden: 52,889 hours. restrictions on the assignment and LPFM stations to notify the Commission Total Annual Costs: $1,229,370. transfer of LPFM authorizations. if they are silent for ten days and to seek Privacy Act Impact Assessment: This Specifically, pertaining to this authority for silent periods over 30 days, information collection does not affect Information Collection and LPFM as required for all other broadcasters, individuals or households; thus, there stations, the Commission is revising the thus codifying a longstanding policy are no impacts under the Privacy Act. relevant rules, 47 CFR Section 73.872, that the Bureau already applies to the Nature and Extent of Confidentiality: the form, and corresponding LPFM service that allows it to identify There is no need for confidentiality with instructions, as follows: and assist LPFM stations at risk of this information collection. (1) Adding a Reasonable Site losing their licenses automatically Needs and Uses: This submission is Assurance Certification in the Technical under section 312(g) of the being made to the Office of Management Certifications Section of the form, Communications Act. (OMB) for the approval of information requiring the applicant to certify that it Specifically, pertaining to this collection requirements contained in the has obtained reasonable assurance from Information Collection and FM Booster Commission’s Reexamination of the the tower owner or authorized (and LPFM) stations, the Commission is Comparative Standards and Procedures representative, that its specified site will
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be available. The revisions to the The rule changes do, however, reduce available to LPFM stations because they relevant rules, and the changes to the burdens and costs associated with filing cannot be co-owned. The 2020 questions in Schedule 318 listed above the application. Technical Report and Order permitted affect the substance, burden hours, and In April 2020, the Commission co-located LPFM stations (particularly costs of completing the Schedule 318. adopted a Report and Order making those in time-share arrangements) to Therefore, this submission is being certain changes to the LPFM technical share an EAS decoder pursuant to an made to OMB for approval of revised rules, to improve reception and increase agreement for common access as well as Information Collection requirements. flexibility while maintaining common responsibility for any EAS rule On May 12, 2020, the Commission interference protection and the core violations, thus potentially reducing adopted Amendment of Section 73.3580 LPFM goals of diversity and localism. costs. of the Commission’s Rules Regarding Amendments of Parts 73 and 74 to Facilitate Waivers of Requirement to Public Notice of the Filing of Improve the Low Power FM Radio Protect Television Stations Operating on Applications; Modernization of Media Service Technical Rules; Modernization Channel 6. Stations on the part of the Regulation Initiative; Revision of the of Media Regulation Initiative, Report FM band reserved for NCE use must Public Notice Requirements of Section and Order, MB Docket Nos. 19–193, 17– currently protect adjacent television 73.3580, Second Report and Order, MB 105, FCC 20–53 (rel. Apr. 23, stations on Channel 6 (TV6). The 2020 Docket Nos. 17–254, 17–105, & 05–6, 2020)(2020 Technical Report and Technical Report and Order deferred to FCC 20–65 (rel. May 13, 2020). The Order). a future proceeding consideration of a Commission adopted new, streamlined LPFM stations provide a secondary, proposal to eliminate the protection of procedures for stations to provide noncommercial radio service with a digital television stations operating on public notice of the filing of certain community focus. The Commission TV6. The 2020 Technical Report and applications. Stations, including originally designed LPFM engineering Order stated that until such a stations filing for new construction requirements to be simple so that non- proceeding is resolved, the Commission permits or major modifications to profit organizations with limited will accept FM proposals that are short- facilities, that were previously required engineering expertise and small budgets spaced to TV6 if the FM applicant to post public notice in a local could readily apply for, construct, and demonstrates no interference. newspaper, must now post notice operate community-oriented stations Alternatively, the 2020 Technical online, either on the station website or serving highly localized areas. LPFM Report and Order added language to the a website affiliated with the station, its organizations suggested that the service rules allowing reserved band radio licensee, or its parent entity, or else has matured and requires additional stations to provide an agreement must post notice on a publicly engineering options to improve indicating the concurrence of all reception. Thus, the 2020 Technical accessible, locally targeted website, for potentially affected digital TV6 stations. Report and Order adopted the following Miscellaneous Changes. The 2020 30 continuous days following rules: Allow expanded LPFM use of Technical Report and Order added acceptance of the application for filing. directional antennas. All LPFM stations language to 47 CFR 73.850 requiring Stations that are required to make on-air may use directional facilities, with LPFM stations to notify the Commission announcements of the filing of certain either off-the-shelf or composite if they are silent for ten days and to seek applications, must continue to do so, antennas, upon a satisfactory authority for silent periods over 30 days, but the announcements are shorter and engineering showing. Such antennas as required for all other broadcasters, direct viewers and listeners to the could improve service near thus codifying a longstanding policy application as filed and displayed in international borders by allowing LPFM that the Bureau already applies to the either the station’s Online Public stations to serve more listeners in the LPFM service that allows it to identify Inspection File or another Commission United States while continuing to and assist LPFM stations at risk of database. A total of six on-air protect Mexican and Canadian stations. losing their licenses automatically announcements are required, at least Redefine ‘‘Minor Changes’’ for LPFM under section 312(g) of the one per week and no more than one per stations. An LPFM station may apply for Communications Act. The 2020 day or two per week, to be broadcast approval to relocate its transmitter site Technical Report and Order also made between 7:00 a.m. and 11:00 p.m. local without awaiting a filing window if the several non-substantive changes to time, Monday through Friday, beginning change is ‘‘minor,’’ redefined in the remove duplicative and out-of-date after the application is accepted for 2020 Technical Report and Order as a information. filing. The Commission also clarified move of 11.2 kilometers or less. The Specifically, pertaining to this LPFM stations’ obligations to provide 2020 Technical Report and Order also Information Collection and LPFM local public notice, and amended allowed proposals of greater distances to stations, the Commission is revising the section 73.801 of the rules (47 CFR qualify as minor if the existing and relevant rules, 47 CFR 73.816, 73.850, 73.801, listing FCC rules that apply to proposed service contours overlap. and 73.870, the form, and corresponding the LPFM service) to include the local Permit LPFM Use of FM Booster instructions, as follows: public notice rule, 47 CFR 73.3580. Stations. FM booster stations amplify (1) Adding an Antenna Type question This submission is being made to and retransmit a station’s signal. The in the Technical Certifications Section OMB for approval of the modified third- 2020 Technical Report and Order of the form, requiring the applicant to party disclosure requirements for this amended rules that had prohibited describe the proposed antenna type Information Collection, as adopted in LPFM stations from operating booster (directional or non-directional). the 2020 Public Notice Second Report stations, allowing LPFM stations to Applicants proposing a directional and Order. The changes pertaining to operate an FM booster in lieu of an FM antenna (as now permitted by section this Information Collection and to 47 translator when a booster would better 73.816) must complete a data table, CFR 73.3580 adopted in the 2020 Public address unique terrain challenges. providing relative field values for every Notice Second Report and Order, do not Allow Shared Emergency Alert 10 degrees on the unit circle. necessitate changes to the Schedule 318, System (EAS) Equipment. Co-owned, (2) Modifying section 73.850 to clarify nor do they affect the substance, burden co-located radio stations can share EAS that LPFM stations must, like other hours, or costs of completing the forms. equipment, but this option was not broadcast stations, notify the
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Commission if they temporarily stop A television station licensee seeking to 30 continuous days following broadcasting. The rules require radio make changes in the authorized acceptance of the application for filing. stations to notify the Commission facilities of such station. FCC Form This submission is being made to within 10 days of temporarily 2100, Schedule E requires applicants to OMB for approval of the modified third- discontinuing operations and to obtain certify compliance with certain party disclosure requirements for this Commission authorization if the statutory and regulatory requirements. Information Collection, as adopted in discontinued operations last beyond 30 Detailed instructions on the FCC Form the 2020 Public Notice Second Report days. 2100, Schedule E provide additional and Order. The changes pertaining to (3) Redefining the types of LPFM information regarding Commission rules this Information Collection and to 47 facility changes that qualify as ‘‘minor’’ and policies. FCC Form 2100, Schedule CFR 73.3580 adopted in the 2020 Public (in section 73.870), to provide E is presented primarily in a ‘‘Yes/No’’ Notice Second Report and Order do not additional flexibility for LPFM stations certification format. However, it necessitate changes to the Form 2100, to relocate their facilities. contains appropriate places for Schedule E, nor do they affect the The revisions to the relevant rules, submitting explanations and exhibits substance, burden hours, or costs of and the changes to the questions in where necessary or appropriate. Each completing the forms. The rule changes Schedule 318 listed above affect the certification constitutes a material do, however, reduce burdens and costs substance, burden hours, and costs of representation. Applicants may only associated with filing the application. completing the Schedule 318. Therefore, mark the ‘‘Yes’’ certification when they OMB Control Number: 3060–1133. this submission is being made to OMB are certain that the response is correct. Title: Application for Permit to for approval of revised Information A ‘‘No’’ response is required if the Deliver Programs to Foreign Broadcast Collection requirements. applicant is requesting a waiver of a Stations (FCC Form 308); 47 CFR OMB Control No.: 3060–0932. pertinent rule and/or policy, or where Section 73.3545 and 73.3580. Title: FCC Form 2100, Application for the applicant is uncertain that the Form No.: FCC Form 308. Media Bureau Audio and Video Service application fully satisfies the pertinent Type of Review: Revision of a Authorization, Schedule E (Former FCC rule and/or policy. FCC Form 2100, currently approved information Form 301–CA); 47 CFR Sections Schedule E filings made to implement collection. 73.3700(b)(1)(i)–(v) and (vii), (b)(2)(i) post-auction channel changes will be Respondents: Business or other for- and (ii); 47 CFR Section 73.6028; 47 considered minor change applications. profit entities. CFR Section 74.793(d). Class A applications for a major Number of Respondents and Form No.: FCC Form 2100, Schedule change are subject to third party Responses: 26 respondents; 48 E (Application for Media Bureau Audio disclosure requirement of Section responses. and Video Service Authorization) 73.3580, which requires local public Estimated Time per Response: 0.5 (Former FCC Form 301–CA). notice that the application has been hours–2 hours. Type of Review: Revision of a accepted for filing. Notice is given by an Obligation To Respond: Required to currently approved information applicant posting notice of the obtain or retain benefits. The statutory collection. application filing on its station website, authority for this collection is contained Respondents: Business or other for- its licensee website, its parent entity in Section 325(c) of the profit entities; Not for profit institutions; website, or on a publicly accessible, Communications Act of 1934, as State, Local or Tribal Government. locally targeted website, for 30 amended. Number of Respondents and consecutive days beginning within five Total Annual Burden: 40 hours. Responses: 745 respondents and 745 business days of acceptance of the Annual Cost Burden: $18,642. responses. application for filing. The online notice Privacy Act Impact Assessment: No Estimated Time per Response: 2.25 must link to a copy of the application impact(s). hours–6 hours. as filed in the Commission’s LMS Nature and Extent of Confidentiality: Frequency of Response: One-time licensing database. In general, there is no need for reporting requirement; On occasion On May 12, 2020, the Commission confidentiality with this collection of reporting requirement; Third party adopted Amendment of Section 73.3580 information. disclosure requirement. of the Commission’s Rules Regarding Needs and Uses: On May 12, 2020, Obligation To Respond: Required to Public Notice of the Filing of the Commission adopted Amendment of obtain or retain benefits. The statutory Applications; Modernization of Media Section 73.3580 of the Commission’s authority for this collection is contained Regulation Initiative; Revision of the Rules Regarding Public Notice of the in 47 U.S.C. 151, 154(i), 157 and 309(j) Public Notice Requirements of Section Filing of Applications; Modernization of as amended; Middle Class Tax Relief 73.3580, Second Report and Order, MB Media Regulation Initiative; Revision of and Job Creation Act of 2012, Public Docket Nos. 17–254, 17–105, & 05–6, the Public Notice Requirements of Law 112–96, 6402 (codified at 47 U.S.C. FCC 20–65 (rel. May 13, 2020). The Section 73.3580, Second Report and 309(j)(8)(G)), 6403 (codified at 47 U.S.C. Commission adopted new, streamlined Order, MB Docket Nos. 17–254, 17–105, 1452), 126 Stat. 156 (2012) (Spectrum procedures for stations to provide & 05–6, FCC 20–65 (rel. May 13, 2020). Act) and the Community Broadcasters public notice of the filing of certain The Commission adopted new, Protection Act of 1999. applications. Stations, including Class A streamlined procedures for stations to Total Annual Burden: 6,146 hours. television stations filing for new provide public notice of the filing of Annual Cost Burden: $4,334,902. construction permits or major certain applications. Stations, including Privacy Act Impact Assessment: No modifications to facilities, that were stations filing FCC Form 308, that were impact(s). previously required to post public previously required to post public Nature and Extent of Confidentiality: notice in a local newspaper, must now notice in a local newspaper, must now There is no need for confidentiality with post notice online, either on the station post notice online, either on the station this collection of information. website or a website affiliated with the website or a website affiliated with the Needs and Uses: FCC Form 2100, station, its licensee, or its parent entity, station, its licensee, or its parent entity, Schedule E (formerly FCC Form 301– or else must post notice on a publicly or else must post notice on a publicly CA) is to be used in all cases by a Class accessible, locally targeted website, for accessible, locally targeted website, for
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30 continuous days following proposedregs.aspx as submitted, unless the PRA. Comments are invited on the acceptance of the application for filing. modified for technical reasons or to following: This submission is being made to remove personally identifiable a. Whether the proposed collection of OMB for approval of the modified third- information at the commenter’s request. information is necessary for the proper party disclosure requirements for this Accordingly, comments will not be performance of the Board’s functions, Information Collection, as adopted in edited to remove any identifying or including whether the information has the 2020 Public Notice Second Report contact information. Public comments practical utility; and Order. The changes pertaining to may also be viewed electronically or in b. The accuracy of the Board’s this Information Collection and to 47 paper in Room 146, 1709 New York estimate of the burden of the proposed CFR 73.3580 adopted in the 2020 Public Avenue NW, Washington, DC 20006, information collection, including the Notice Second Report and Order do not between 9:00 a.m. and 5:00 p.m. on validity of the methodology and necessitate changes to FCC Form 308, weekdays. For security reasons, the assumptions used; nor do they affect the substance, burden Board requires that visitors make an c. Ways to enhance the quality, hours, or costs of completing the forms. appointment to inspect comments. You utility, and clarity of the information to The rule changes do, however, reduce may do so by calling (202) 452–3684. be collected; burdens and costs associated with filing Upon arrival, visitors will be required to d. Ways to minimize the burden of the application. present valid government-issued photo information collection on respondents, including through the use of automated Federal Communications Commission. identification and to submit to security collection techniques or other forms of Marlene Dortch, screening in order to inspect and photocopy comments. information technology; and Secretary, Office of the Secretary. Additionally, commenters may send a e. Estimates of capital or startup costs [FR Doc. 2020–18319 Filed 8–20–20; 8:45 am] copy of their comments to the Office of and costs of operation, maintenance, BILLING CODE 6712–01–P Management and Budget (OMB) Desk and purchase of services to provide Officer—Shagufta Ahmed—Office of information. Information and Regulatory Affairs, At the end of the comment period, the FEDERAL RESERVE SYSTEM Office of Management and Budget, New comments and recommendations Executive Office Building, Room 10235, received will be analyzed to determine Proposed Agency Information 725 17th Street NW, Washington, DC the extent to which the Board should Collection Activities; Comment 20503, or by fax to (202) 395–6974. modify the proposal. Request FOR FURTHER INFORMATION CONTACT: A Proposal Under OMB Delegated AGENCY: Board of Governors of the copy of the Paperwork Reduction Act Authority To Extend for Three Years, Federal Reserve System. (PRA) OMB submission, including the With Revision, the Following ACTION: Notice, request for comment. reporting form and instructions, Information Collection supporting statement, and other Report title: Reporting Requirements SUMMARY: The Board of Governors of the documentation will be placed into Federal Reserve System (Board) invites Associated With Regulation XX; OMB’s public docket files, if approved. Financial Company (As Defined) Report comment on a proposal to extend for These documents will also be made three years, with revision, the Reporting of Consolidated Liabilities. available on the Board’s public website Agency form number: FR XX; FR XX– Requirements Associated with at https://www.federalreserve.gov/apps/ Regulation XX (FR XX; OMB No. 7100– 1. reportforms/review.aspx or may be OMB control number: 7100–0363. 0363) and the Financial Company (as requested from the agency clearance Frequency: Event-generated; annual. defined) Report of Consolidated officer, whose name appears below. Respondents: Insured depository Liabilities (FR XX–1; OMB No. 7100– Federal Reserve Board Clearance institutions, bank holding companies, 0363). Officer—Nuha Elmaghrabi—Office of savings and loan holding companies, DATES: Comments must be submitted on the Chief Data Officer, Board of any other companies that control or before October 20, 2020. Governors of the Federal Reserve insured depository institutions, ADDRESSES: You may submit comments, System, Washington, DC 20551, (202) nonbank financial companies identified by FR XX or FR XX–1, by any 452–3829. designated by the Financial Stability of the following methods: SUPPLEMENTARY INFORMATION: On June Oversight Council (Council) for • Agency website: https:// 15, 1984, OMB delegated to the Board supervision by the Board, or foreign www.federalreserve.gov/. Follow the authority under the PRA to approve and banks or companies that are treated as instructions for submitting comments at assign OMB control numbers to a bank holding company for purposes of https://www.federalreserve.gov/apps/ collections of information conducted or the Bank Holding Company Act of 1956 foia/proposedregs.aspx. sponsored by the Board. In exercising (BHC Act); Certain financial companies • Email: regs.comments@ this delegated authority, the Board is that do not otherwise report federalreserve.gov. Include the OMB directed to take every reasonable step to consolidated financial information to number in the subject line of the solicit comment. In determining the Board or another Federal banking message. whether to approve a collection of agency. • Fax: (202) 452–3819 or (202) 452– information, the Board will consider all Estimated number of respondents: FR 3102. comments received from the public and XX (Section 251.3(e))–1; FR XX • Mail: Ann E. Misback, Secretary, other agencies. (Sections 251.4(b) and (c))–1; FR XX–1– Board of Governors of the Federal 37. Reserve System, 20th Street and Request for Comment on Information Estimated average hours per response: Constitution Avenue NW, Washington, Collection Proposal FR XX (Section 251.3(e))–6; FR XX DC 20551. The Board invites public comment on (Sections 251.4(b) and (c))–20; FR XX– All public comments are available the following information collection, 1–2. from the Board’s website at https:// which is being reviewed under Estimated annual burden hours: FR www.federalreserve.gov/apps/foia/ authority delegated by the OMB under XX (Section 251.3(e))–6; FR XX
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(Sections 251.4(b) and (c))–20; FR XX– the submission deadline falls on a FEDERAL RESERVE SYSTEM 1–74. weekend or holiday, the first business General description of report: The day after the weekend or holiday. Under Agency Information Collection Board’s Regulation XX—Concentration these instructions, the FR XX–1 could Activities: Announcement of Board Limit (12 CFR part 251) implements be due prior to March 31 (in a leap year) Approval Under Delegated Authority 1 section 14 of the BHC Act, which or after March 31 (if March 31 falls on and Submission to OMB establishes a financial sector a weekend or holiday). In order to AGENCY: Board of Governors of the concentration limit that generally ensure that the due date of the FR XX– prohibits a financial company from Federal Reserve System. 1 coincides with the date set forth in SUMMARY: The Board of Governors of the merging or consolidating with, or Regulation XX, the Board proposes to Federal Reserve System (Board) is otherwise acquiring, another company if adopting a proposal to extend for three the resulting company’s liabilities upon revise the FR XX–1 so that it is due by years, without revision, the Notification consummation would exceed 10 percent March 31 of the year following the of Nonfinancial Data Processing of the aggregate liabilities of all financial December 31 as of date. Activities (FR 4021; OMB No. 7100– companies (a covered acquisition). Legal authorization and 0306). Under section 14 of the BHC Act and confidentiality: The FR XX and the FR Regulation XX, a financial company XX–1 are authorized by section 14 of the FOR FURTHER INFORMATION CONTACT: means (1) an insured depository BHC Act, which, in relevant part, Federal Reserve Board Clearance institution, (2) a bank holding company, expressly authorizes the Board to issue Officer—Nuha Elmaghrabi—Office of (3) a savings and loan holding company, ‘‘regulations implementing this section’’ the Chief Data Officer, Board of (4) any other company that controls an and ‘‘interpretations or guidance Governors of the Federal Reserve insured depository institution, (5) a regarding the application of this section System, Washington, DC 20551, (202) 452–3829. Office of Management and nonbank financial company designated to an individual financial company or to by the Council for supervision by the Budget (OMB) Desk Officer—Shagufta financial companies in general’’ (12 Board, or (6) a foreign bank or company Ahmed—Office of Information and U.S.C. 1852(d)). The Board also has the that is treated as a bank holding Regulatory Affairs, Office of company for purposes of the BHC Act. authority to require reports from bank Management and Budget, New Regulation XX includes certain holding companies (12 U.S.C. 1844(c)), Executive Office Building, Room 10235, reporting requirements that apply to savings and loan holding companies (12 725 17th Street NW, Washington, DC financial companies, and the FR XX–1 U.S.C. 1467a(b) and (g)), state member 20503, or by fax to (202) 395–6974. collects information from certain banks (12 U.S.C. 248(a) and 324), and A copy of the Paperwork Reduction financial companies that do not state-licensed branches and agencies of Act (PRA) OMB submission, including otherwise report consolidated financial foreign banks, other than insured the reporting form and instructions, information to the Board or another branches (12 U.S.C. 3105(c)(2)). The supporting statement, and other Federal banking agency. obligation to respond is mandatory. documentation will be placed into Proposed revisions: The Board Individual respondents may request OMB’s public docket files. These proposes to revise the FR XX to account that information submitted to the Board documents also are available on the for the reporting provision located at through the FR XX or FR XX–1 be kept Federal Reserve Board’s public website section 251.3(e). This provision of the confidential. If a respondent requests at https://www.federalreserve.gov/apps/ regulation implements the Council’s reportforms/review.aspx or may be confidential treatment, the Board will recommendation to allow a financial requested from the agency clearance determine whether the information is company that does not use U.S. officer, whose name appears above. entitled to confidential treatment on a generally accepted accounting SUPPLEMENTARY INFORMATION: On June case-by-case basis. To the extent a principles (GAAP) to use another 15, 1984, OMB delegated to the Board respondent submits nonpublic appropriate accounting standard or authority under the PRA to approve and commercial or financial information in method of estimation for determining assign OMB control numbers to compliance with section 14 of the BHC connection with the FR XX or FR XX– collections of information conducted or Act, while ensuring that the Board has 1, which is both customarily and sponsored by the Board. Board- an opportunity to review the actually treated as private by the approved collections of information are appropriateness of the company’s respondent, the respondent may request incorporated into the official OMB proposed approach. confidential treatment pursuant to inventory of currently approved The Board proposes to revise the due exemption 4 of the Freedom of collections of information. Copies of the date for the FR XX–1 report. The FR Information Act (FOIA) (5 U.S.C. PRA Submission, supporting XX–1 implements section 251.6(a) of 552(b)(4)). The entity should separately statements, and approved collection of Regulation XX, which requires a designate such information as information instrument(s) are placed financial company that does not ‘‘confidential commercial information’’ into OMB’s public docket files. otherwise report consolidated financial or ‘‘confidential financial information’’ information to the Board or another Final Approval Under OMB Delegated as appropriate, and the Board will treat Federal banking agency to report to the Authority of the Extension for Three such designated information as Board its consolidated liabilities as of Years, Without Revision, of the the previous calendar year-end. confidential to the extent permitted by Following Information Collection law, including the FOIA. Regulation XX provides that this report Report title: Notification of must be submitted by March 31 of each Board of Governors of the Federal Reserve Nonfinancial Data Processing Activities. year. However, the instructions to the System, August 17, 2020. Agency form number: FR 4021. FR XX–1 currently state that the report Michele Taylor Fennell, OMB control number: 7100–0306. must be submitted 90 calendar days Assistant Secretary of the Board. Frequency: As needed. after the December 31 as of date or, if [FR Doc. 2020–18373 Filed 8–20–20; 8:45 am] Respondents: Bank holding companies (BHCs). BILLING CODE 6210–01–P 1 12 U.S.C. 1852. Estimated number of respondents: 1.
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Estimated average hours per response: FEDERAL RESERVE SYSTEM Management and Budget (OMB) Desk 2. Officer—Shagufta Ahmed—Office of Agency Information Collection Estimated annual burden hours: 2. Information and Regulatory Affairs, Activities: Announcement of Office of Management and Budget, New General description of report: The FR Temporary Approval by the Board Executive Office Building, Room 10235, 4021 consists of the notice that BHCs Under Delegated Authority and 725 17th Street NW, Washington, DC may file to request permission to Submission to OMB 20503, or by fax to (202) 395–6974. administer the Regulation Y revenue FOR FURTHER INFORMATION CONTACT: limit on nonfinancial data processing AGENCY: Board of Governors of the Federal Reserve Board Clearance activities on a business-line or multiple- Federal Reserve System. Officer—Nuha Elmaghrabi—Office of entity basis. A BHC may submit such a ACTION: Temporary approval of the Chief Data Officer, Board of request to the Board’s General Counsel information collection, request for comment. Governors of the Federal Reserve in letter form. The request should System, Washington, DC 20551, (202) describe the structure of the requesting SUMMARY: The Board of Governors of the 452–3829. OMB Desk Officer—Shagufta BHC’s data processing operations, the Federal Reserve System (Board) has Ahmed—Office of Information and methodology the BHC proposes to use to temporarily revised the Reporting Regulatory Affairs, Office of administer the 49-percent revenue limit, Requirements Associated with Management and Budget, New and the reasons why the BHC believes Emergency Lending Under Section 13(3) Executive Office Building, Room 10235, that the proposed methodology is (FR A; OMB No. 7100–0373), pursuant 725 17th Street NW, Washington, DC appropriate. to the authority delegated to the Board 20503, or by fax to (202) 395–6974. Legal authorization and by the Office of Management and A copy of the Paperwork Reduction confidentiality: The Board is authorized Budget (OMB). Act (PRA) OMB submission, including to collect the information associated DATES: Comments must be submitted on the reporting form and instructions, with the notification process from BHCs or before October 20, 2020. supporting statement, and other pursuant to 12 U.S.C. 1843(c)(8) and (k). ADDRESSES: You may submit comments, documentation will be placed into The submission of the notification identified by FR A, by any of the OMB’s public docket files. These following methods: documents also are available on the (request) associated with the FR 4021 is • required to obtain a benefit. To the Agency website: https:// Federal Reserve Board’s public website www.federalreserve.gov/. Follow the extent a BHC submits nonpublic at https://www.federalreserve.gov/apps/ instructions for submitting comments at commercial or financial information in reportforms/review.aspx or may be https://www.federalreserve.gov/apps/ connection with the FR 4021, which is requested from the agency clearance foia/proposedregs.aspx. officer, whose name appears above. both customarily and actually treated as • Email: regs.comments@ private by the BHC, the BHC may federalreserve.gov. Include the OMB SUPPLEMENTARY INFORMATION: On June request confidential treatment pursuant number in the subject line of the 15, 1984, OMB delegated to the Board to exemption 4 of the Freedom of message. authority under the PRA to approve and Information Act (FOIA), 5 U.S.C. • Fax: (202) 452–3819 or (202) 452– assign OMB control numbers to 552(b)(4). The entity should separately 3102. collections of information conducted or designate such information as • Mail: Ann E. Misback, Secretary, sponsored by the Board. In exercising ‘‘confidential commercial information’’ Board of Governors of the Federal this delegated authority, the Board is or ‘‘confidential financial information,’’ Reserve System, 20th Street and directed to take every reasonable step to as appropriate, and the Board will treat Constitution Avenue NW, Washington, solicit comment. In determining whether to approve a collection of such designated information as DC 20551. information, the Board will consider all confidential to the extent permitted by All public comments are available comments received from the public and law, including the FOIA, 5 U.S.C. 552. from the Board’s website at https:// www.federalreserve.gov/apps/foia/ other agencies. Pursuant to its delegated Current actions: On February 4, 2020, proposedregs.aspx as submitted, unless authority, the Board may temporarily the Board published a notice in the modified for technical reasons or to approve a revision to a collection of Federal Register (85 FR 6181) remove personally identifiable information, without providing requesting public comment for 60 days information at the commenter’s request. opportunity for public comment, if the on the extension, without revision, of Accordingly, comments will not be Board determines that a change in an the FR 4021. The comment period for edited to remove any identifying or existing collection must be instituted this notice expired on April 6, 2020. contact information. Public comments quickly and that public participation in The Board did not receive any may also be viewed electronically or in the approval process would defeat the comments. paper in Room 146, 1709 New York purpose of the collection or Avenue NW, Washington, DC 20006, substantially interfere with the Board’s Board of Governors of the Federal Reserve ability to perform its statutory System, August 17, 2020. between 9:00 a.m. and 5:00 p.m. on weekdays. For security reasons, the obligation. Michele Taylor Fennell, Board requires that visitors make an As discussed below, the Board has Assistant Secretary of the Board. appointment to inspect comments. You made certain temporary revisions to the [FR Doc. 2020–18370 Filed 8–20–20; 8:45 am] may do so by calling (202) 452–3684. FR A information collection. The BILLING CODE 6210–01–P Upon arrival, visitors will be required to Board’s delegated authority requires that present valid government-issued photo the Board, after temporarily approving a identification and to submit to security collection, publish a notice soliciting screening in order to inspect and public comment. Therefore, the Board is photocopy comments. also inviting comment on a proposal to Additionally, commenters may send a extend the FR A information collection copy of their comments to the Office of for three years, with these revisions.
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Request for Comment on Information Regulation A requires that borrowers collection are being revised to reflect Collection Proposal make two certifications in order to these new facilities and updated The Board invites public comment on participate in any emergency lending estimates of the Main Street Lending the following information collection, authorized under section 13(3). These Program. which is being reviewed under certifications, designated in this Detailed Discussion of Public authority delegated by the OMB under information collection as FR A–1, Comments: On March 2, 2020, the Board include that the borrowers are not the PRA. Comments are invited on the published a notice in the Federal insolvent and that they cannot obtain following: Register (85 FR 12295) requesting adequate credit accommodation. a. Whether the proposed collection of public comment for 60 days on the In addition to these certifications, the extension, without revision, of the FR A. information is necessary for the proper Board may establish additional performance of the Board’s functions, One comment was received; it did not certification requirements for an address aspects of the information including whether the information has individual emergency lending facility. practical utility; collection as described in 5 CFR The second part of the FR A information 1320.8(d). On May 15, 2020, following b. The accuracy of the Board’s collection, the FR A–2, pertains to estimate of the burden of the proposed the temporary approval of a first set of reporting requirements associated with revisions to the FR A, the Board information collection, including the individual facilities that are related to validity of the methodology and published a Federal Register notice (85 requirements of the Coronavirus Aid, FR 29447) requesting public comment assumptions used; Relief, and Economic Security Act c. Ways to enhance the quality, for 60 days on those temporary (CARES Act). The third part of FR A, revisions. On June 4, 2020, following utility, and clarity of the information to designated as the FR A–3, pertains to be collected; the temporary approval of a second set reporting requirements specific to the of revisions to the FR A, the Board d. Ways to minimize the burden of Main Street Expanded Loan Facility, the information collection on respondents, published a Federal Register notice (85 Main Street New Loan Facility, the FR 34448) requesting public comment including through the use of automated Main Street Priority Loan Facility, the collection techniques or other forms of for 60 days on those temporary Nonprofit Organization Expanded Loan revisions. Comments in response to all information technology; and Facility, and the Nonprofit Organization e. Estimates of capital or startup costs of those requests for comment are New Loan Facility (collectively, the expected to be considered, along with and costs of operation, maintenance, ‘‘Main Street Lending Program’’). and purchase of services to provide any comments received in response to Legal authorization and this request for comment. information. confidentiality: The FR A is authorized At the end of the comment period, the pursuant to section 13(3) of the Federal Board of Governors of the Federal Reserve comments and recommendations Reserve Act, which sets out System, August 17, 2020. received will be analyzed to determine requirements for emergency lending. Michele Taylor Fennell, the extent to which the Board should The obligation to respond is required to Assistant Secretary of the Board. modify the proposal. obtain a benefit. [FR Doc. 2020–18372 Filed 8–20–20; 8:45 am] Approval Under OMB Delegated The information collected under the BILLING CODE 6210–01–P Authority of the Temporary Revision of FR A may be kept confidential under the Following Information Collection exemption 4 of the Freedom of Information Act, which protects FEDERAL RESERVE SYSTEM Report title: Reporting Requirements commercial or financial information Associated with Emergency Lending obtained from a person that is privileged Proposed Agency Information Under Section 13(3). or confidential. Collection Activities; Comment Agency form number: FR A. Current actions: The Board is revising Request OMB control number: 7100–0373. the FR A information collection to AGENCY: Frequency: Event-generated. reflect the establishment of the Board of Governors of the Respondents: Entities or persons Nonprofit Organization Expanded Loan Federal Reserve System. borrowing under an emergency lending Facility and Nonprofit Organization ACTION: Notice, request for comment. program or facility established pursuant New Loan Facility as part of the Main SUMMARY: to section 13(3) of the Federal Reserve Street Lending Program. Board staff The Board of Governors of the Act. have coordinated with staff from Federal Reserve System (Board) invites Estimated number of respondents: FR Treasury and the Federal Reserve Banks comment on a proposal to extend for A–1: 5,964; FR A–2: 4,123; FR A–3: to develop certifications that borrowers three years, without revision, the 13,200. and lenders will be required to complete Recordkeeping Requirements Estimated average hours per response: to participate in the NOELF and Associated with the Real Estate Lending FR A–1: 8 hours; FR A–2: 40 hours; FR NONLF. These certifications are Standards Regulation for State Member A–3, Lender per-loan certifications: 2 substantially similar to the certifications Banks. hours; FR A–3, Borrower certifications: that have been developed for the other DATES: Comments must be submitted on 8 hours. facilities in the Main Street Lending or before October 20, 2020. Estimated annual burden hours: Program. Borrowers and lenders will be ADDRESSES: You may submit comments, 312,656. required to certify that the participating identified by FR H–5, by any of the General description of report: The borrowers, lenders, and loans meet each following methods: Board’s Regulation A (12 CFR part 201) of the eligibility requirements of the • Agency website: https:// establishes policies and procedures with specific facility. Borrowers will also be www.federalreserve.gov/. Follow the respect to emergency lending under required to certify that they have instructions for submitting comments at section 13(3) of the Federal Reserve Act, provided documentation to lenders https://www.federalreserve.gov/apps/ as required by sections 1101 and 1103 related to certain eligibility foia/proposedregs.aspx. of the Dodd-Frank Wall Street Reform requirements. The FR A respondent • Email: regs.comments@ and Consumer Protection Act. counts for all parts of the information federalreserve.gov. Include the OMB
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number in the subject line of the solicit comment. In determining statement (de novo), 20 hours; message. whether to approve a collection of recordkeeping for loans with LTV’s that • Fax: (202) 452–3819 or (202) 452– information, the Board will consider all exceed supervisory limits and 3102. comments received from the public and maintaining a system of review, 15,080 • Mail: Ann E. Misback, Secretary, other agencies. hours. Board of Governors of the Federal General description of report: Reserve System, 20th Street and Request for Comment on Information Pursuant to the Board’s Regulation H, Constitution Avenue NW, Washington, Collection Proposal state member banks (SMBs) must adopt DC 20551. The Board invites public comment on and maintain a written real estate All public comments are available the following information collection, lending policy. Additionally, this from the Board’s website at https:// which is being reviewed under information collection includes certain www.federalreserve.gov/apps/foia/ authority delegated by the OMB under voluntary recordkeeping provisions in proposedregs.aspx as submitted, unless the PRA. Comments are invited on the the Interagency Guidelines for Real modified for technical reasons or to following: Estate Lending Policies (Guidelines).1 remove personally identifiable a. Whether the proposed collection of Legal authorization and information at the commenter’s request. information is necessary for the proper confidentiality: The FR H–5 is Accordingly, comments will not be performance of the Board’s functions, authorized by section 304 of the Federal edited to remove any identifying or including whether the information has Deposit Insurance Corporation contact information. Public comments practical utility; Improvement Act of 1991 (FDICIA),2 may also be viewed electronically or in b. The accuracy of the Board’s which provides that ‘‘each appropriate paper in Room 146, 1709 New York estimate of the burden of the proposed Federal banking agency shall adopt Avenue NW, Washington, DC 20006, information collection, including the uniform regulations prescribing between 9:00 a.m. and 5:00 p.m. on validity of the methodology and standards for extensions of credit that weekdays. For security reasons, the assumptions used; are—(A) secured by liens on interests in Board requires that visitors make an c. Ways to enhance the quality, real estate; or (B) made for the purpose appointment to inspect comments. You utility, and clarity of the information to of financing the construction of a may do so by calling (202) 452–3684. be collected; building or other improvements to real Upon arrival, visitors will be required to d. Ways to minimize the burden of estate.’’ 3 The recordkeeping present valid government-issued photo information collection on respondents, requirement contained in the Board’s identification and to submit to security including through the use of automated Regulation H is mandatory. The screening in order to inspect and collection techniques or other forms of recordkeeping provisions in the photocopy comments. information technology; and Guidelines are voluntary, as the Additionally, commenters may send a e. Estimates of capital or startup costs Guidelines are nonbinding guidance. copy of their comments to the Office of and costs of operation, maintenance, Because these records would be Management and Budget (OMB) Desk and purchase of services to provide maintained at each banking Officer—Shagufta Ahmed—Office of information. organization, the Freedom of Information and Regulatory Affairs, At the end of the comment period, the Information Act (‘‘FOIA’’) would only Office of Management and Budget, New comments and recommendations be implicated if the Board obtained such Executive Office Building, Room 10235, received will be analyzed to determine records as part of the examination or 725 17th Street NW, Washington, DC the extent to which the Board should supervision of a banking organization. 20503, or by fax to (202) 395–6974. modify the proposal. In the event the records are obtained by the Board as part of an examination or FOR FURTHER INFORMATION CONTACT: A Proposal Under OMB Delegated supervision of a financial institution, copy of the Paperwork Reduction Act Authority To Extend for Three Years, this information may be considered (PRA) OMB submission, including the Without Revision, the Following confidential pursuant to exemption 8 of reporting form and instructions, Information Collection the FOIA, which protects information supporting statement, and other Report title: Recordkeeping contained in ‘‘examination, operating, documentation will be placed into Requirements Associated with the Real or condition reports’’ obtained in the OMB’s public docket files, if approved. Estate Lending Standards Regulation for bank supervisory process.4 In addition, These documents will also be made State Member Banks. the information may also be kept available on the Board’s public website Agency form number: FR H–5. confidential under exemption 4 of the at https://www.federalreserve.gov/apps/ OMB control number: 7100–0261. FOIA, which protects ‘‘commercial or reportforms/review.aspx or may be Frequency: Policy statement, financial information obtained from a requested from the agency clearance annually; policy statement (de novo), person [that is] privileged or officer, whose name appears below. annually; recordkeeping for loans with confidential.’’ 5 Federal Reserve Board Clearance loan-to-value (LTV’s) that exceed Officer—Nuha Elmaghrabi—Office of Board of Governors of the Federal Reserve supervisory limits and maintaining a System, August 17, 2020. the Chief Data Officer, Board of system of review, quarterly. Michele Taylor Fennell, Governors of the Federal Reserve Respondents: State member banks. System, Washington, DC 20551, (202) Estimated number of respondents: Assistant Secretary of the Board. 452–3829. 754. [FR Doc. 2020–18371 Filed 8–20–20; 8:45 am] SUPPLEMENTARY INFORMATION: On June Estimated average hours per response: BILLING CODE 6210–01–P 15, 1984, OMB delegated to the Board Policy statement, 5 hours; policy authority under the PRA to approve and statement (de novo), 20 hours; 1 See 12 CFR part 208, Appendix C. assign OMB control numbers to recordkeeping for loans with LTV’s that 2 12 U.S.C. 1828(o). 3 12 U.S.C. 1828(o)(1). The Board also has the collections of information conducted or exceed supervisory limits and authority to require reports from state member sponsored by the Board. In exercising maintaining a system of review, 5 hours. banks (12 U.S.C. 248(a) and 324). this delegated authority, the Board is Estimated annual burden hours: 4 5 U.S.C. 552(b)(8). directed to take every reasonable step to Policy statement, 3,770 hours; policy 5 5 U.S.C. 552(b)(4).
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FEDERAL RESERVE SYSTEM FEDERAL RESERVE SYSTEM 725 17th Street NW, Washington, DC 20503, or by fax to (202) 395–6974. Notice of Proposals To Engage in or Proposed Agency Information FOR FURTHER INFORMATION CONTACT: A To Acquire Companies Engaged in Collection Activities; Comment copy of the Paperwork Reduction Act Permissible Nonbanking Activities Request (PRA) OMB submission, including the AGENCY: Board of Governors of the reporting form and instructions, The companies listed in this notice Federal Reserve System. supporting statement, and other have given notice under section 4 of the ACTION: Notice, request for comment. documentation will be placed into Bank Holding Company Act (12 U.S.C. OMB’s public docket files, if approved. 1843) (BHC Act) and Regulation Y, (12 SUMMARY: The Board of Governors of the These documents will also be made CFR part 225) to engage de novo, or to Federal Reserve System (Board) invites available on the Board’s public website acquire or control voting securities or comment on a proposal to extend for at https://www.federalreserve.gov/apps/ assets of a company, including the three years, without revision, the reportforms/review.aspx or may be companies listed below, that engages Application for Exemption from requested from the agency clearance either directly or through a subsidiary or Prohibited Service at Savings and Loan officer, whose name appears below. other company, in a nonbanking activity Holding Companies (FR LL–12; OMB Federal Reserve Board Clearance that is listed in § 225.28 of Regulation Y No. 7100–0338). Officer—Nuha Elmaghrabi—Office of (12 CFR 225.28) or that the Board has DATES: Comments must be submitted on the Chief Data Officer, Board of determined by Order to be closely or before October 20, 2020. Governors of the Federal Reserve related to banking and permissible for ADDRESSES: You may submit comments, System, Washington, DC 20551, (202) bank holding companies. Unless identified by FR LL–12, by any of the 452–3829. otherwise noted, these activities will be following methods: SUPPLEMENTARY INFORMATION: On June conducted throughout the United States. • Agency website: https:// 15, 1984, OMB delegated to the Board The public portions of the www.federalreserve.gov/. Follow the authority under the PRA to approve and applications listed below, as well as instructions for submitting comments at assign OMB control numbers to other related filings required by the https://www.federalreserve.gov/apps/ collections of information conducted or Board, if any, are available for foia/proposedregs.aspx. sponsored by the Board. In exercising • immediate inspection at the Federal Email: regs.comments@ this delegated authority, the Board is Reserve Bank(s) indicated below and at federalreserve.gov. Include the OMB directed to take every reasonable step to the offices of the Board of Governors. number in the subject line of the solicit comment. In determining message. whether to approve a collection of This information may also be obtained • on an expedited basis, upon request, by Fax: (202) 452–3819 or (202) 452– information, the Board will consider all contacting the appropriate Federal 3102. comments received from the public and • Mail: Ann E. Misback, Secretary, Reserve Bank and from the Board’s other agencies. Board of Governors of the Federal Freedom of Information Office at Reserve System, 20th Street and Request for Comment on Information https://www.federalreserve.gov/foia/ Constitution Avenue NW, Washington, Collection Proposal request.htm. Interested persons may DC 20551. The Board invites public comment on express their views in writing on the All public comments are available the following information collection, question whether the proposal complies from the Board’s website at https:// which is being reviewed under with the standards of section 4 of the www.federalreserve.gov/apps/foia/ authority delegated by the OMB under BHC Act. proposedregs.aspx as submitted, unless the PRA. Comments are invited on the Unless otherwise noted, comments modified for technical reasons or to following: regarding the applications must be remove personally identifiable a. Whether the proposed collection of received at the Reserve Bank indicated information at the commenter’s request. information is necessary for the proper or the offices of the Board of Governors, Accordingly, comments will not be performance of the Board’s functions, Ann E. Misback, Secretary of the Board, edited to remove any identifying or including whether the information has 20th Street and Constitution Avenue contact information. Public comments practical utility; NW, Washington, DC 20551–0001, not may also be viewed electronically or in b. The accuracy of the Board’s later than September 8, 2020. paper in Room 146, 1709 New York estimate of the burden of the proposed Avenue NW, Washington, DC 20006, information collection, including the A. Federal Reserve Bank of between 9:00 a.m. and 5:00 p.m. on validity of the methodology and Minneapolis (Chris P. Wangen, weekdays. For security reasons, the assumptions used; Assistant Vice President), 90 Hennepin Board requires that visitors make an c. Ways to enhance the quality, Avenue, Minneapolis, Minnesota appointment to inspect comments. You utility, and clarity of the information to 55480–0291: may do so by calling (202) 452–3684. be collected; 1. Welcome Bancshares, Inc., Upon arrival, visitors will be required to d. Ways to minimize the burden of Welcome, Minnesota; to engage, de present valid government-issued photo information collection on respondents, novo, in extending credit and servicing identification and to submit to security including through the use of automated loans pursuant to section 225.28(b)(1) of screening in order to inspect and collection techniques or other forms of Regulation Y. photocopy comments. information technology; and Board of Governors of the Federal Reserve Additionally, commenters may send a e. Estimates of capital or startup costs System, August 18, 2020. copy of their comments to the Office of and costs of operation, maintenance, Management and Budget (OMB) Desk and purchase of services to provide Yao-Chin Chao, Officer—Shagufta Ahmed—Office of information. Assistant Secretary of the Board. Information and Regulatory Affairs, At the end of the comment period, the [FR Doc. 2020–18406 Filed 8–20–20; 8:45 am] Office of Management and Budget, New comments and recommendations BILLING CODE 6210–01–P Executive Office Building, Room 10235, received will be analyzed to determine
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the extent to which the Board should if the exemption is consistent with the https://www.federalreserve.gov/apps/ modify the proposal. purposes of this subsection.’’ The FR foia/proposedregs.aspx. LL–12 is required to obtain a benefit. • Email: regs.comments@ Proposal Under OMB Delegated Individual respondents may request federalreserve.gov. Include the OMB Authority to Extend for Three Years, that information submitted to the Board number in the subject line of the Without Revision, the Following through the FR LL–12 be kept message. Information Collection confidential. If a respondent requests • Fax: (202) 452–3819 or (202) 452– Report title: Application for confidential treatment, the Board will 3102. Exemption from Prohibited Service at determine whether the information is • Mail: Ann E. Misback, Secretary, Savings and Loan Holding Companies. entitled to confidential treatment on a Board of Governors of the Federal Agency form number: FR LL–12. case-by-case basis. Information collected Reserve System, 20th Street and OMB control number: 7100–0338. through the FR LL–12 may be kept Constitution Avenue NW, Washington, Frequency: As needed. confidential under exemption 4 for the DC 20551. Respondents: Savings and loan Freedom of Information Act (FOIA), All public comments are available holding companies (SLHCs) and which protects privileged or from the Board’s website at https:// prohibited persons that seek to confidential commercial or financial www.federalreserve.gov/apps/foia/ participate in the affairs of an SLHC. information, or under FOIA exemption proposedregs.aspx as submitted, unless Estimated number of respondents: 6, which covers personal information, modified for technical reasons or to Individuals: 43; SLHCs: 2. remove personally identifiable Estimated average hours per response: the disclosure of which would constitute an unwarranted invasion of information at the commenter’s request. Individuals: 16 hours; SLHCs: 16 hours. Accordingly, comments will not be Estimated annual burden hours: privacy. Additionally, to the extent the edited to remove any identifying or Individuals: 688 hours; SLHCs: 32 FR LL–12 contains information contact information. Public comments hours; total: 720 hours. extracted from examination reports, it General description of report: The may be withheld from disclosure under may also be viewed electronically or in Federal Deposit Insurance (FDI) Act and FOIA exemption 8, which protects paper in Room 146, 1709 New York the Board’s Regulation LL (12 CFR part information ‘‘related to examination, Avenue NW, Washington, DC 20006, 238) prohibit individuals who have operating, or condition reports.’’ between 9:00 a.m. and 5:00 p.m. on been convicted of certain criminal Consultation outside the agency: The weekdays. For security reasons, the offenses or who have agreed to enter Board consulted with the FDIC on the Board requires that visitors make an into a pretrial diversion or similar burden estimate and the use of their appointment to inspect comments. You program in connection with a form for Board submissions. may do so by calling (202) 452–3684. Upon arrival, visitors will be required to prosecution for such criminal offenses Board of Governors of the Federal Reserve from participating in the affairs of a System, August 17, 2020. present valid government-issued photo identification and to submit to security SLHC or any of its subsidiaries without Michele Taylor Fennell, screening in order to inspect and the written consent of the Board. Such Assistant Secretary of the Board. an individual, or the SLHC with which photocopy comments. [FR Doc. 2020–18368 Filed 8–20–20; 8:45 am] Additionally, commenters may send a the individual seeks to participate, may BILLING CODE 6210–01–P copy of their comments to the Office of apply for an exemption from this Management and Budget (OMB) Desk prohibition. Officer—Shagufta Ahmed—Office of All prohibited persons and SLHCs FEDERAL RESERVE SYSTEM that seek an exemption are subject to the Information and Regulatory Affairs, application requirements of subpart I of Proposed Agency Information Office of Management and Budget, New Regulation LL. An applicant must Collection Activities; Comment Executive Office Building, Room 10235, provide information regarding the Request 725 17th Street NW, Washington, DC position at the SLHC held or to be held 20503, or by fax to (202) 395–6974. by the prohibited person, the prohibited AGENCY: Board of Governors of the FOR FURTHER INFORMATION CONTACT: A person’s level of ownership of the Federal Reserve System. copy of the Paperwork Reduction Act SLHC, the specific nature of the offense ACTION: Notice, request for comment. (PRA) OMB submission, including the involved, evidence of rehabilitation, and reporting form and instructions, SUMMARY: The Board of Governors of the other relevant factors listed in section supporting statement, and other Federal Reserve System (Board) invites 238.88(b) of Regulation LL (12 CFR documentation will be placed into comment on a proposal to extend for 238.88(b)). An applicant may submit OMB’s public docket files, if approved. three years, with revision, the this information in a letter or by using These documents will also be made Consolidated Holding Company Report the Federal Deposit Insurance available on the Board’s public website of Equity Investments in Nonfinancial Corporation’s (FDIC) Application at https://www.federalreserve.gov/apps/ Companies (FR Y–12; OMB No. 7100– Pursuant to Section 19 of the Federal reportforms/review.aspx or may be 0300) and the Annual Report of Deposit Insurance Act (OMB No. 3064– requested from the agency clearance Merchant Banking Investments Held for 0018). The SLHC or prohibited person officer, whose name appears below. an Extended Period (FR Y–12A; OMB may seek an exemption only for a Federal Reserve Board Clearance No. 7100–0300). designated position (or positions) with Officer—Nuha Elmaghrabi—Office of respect to an SLHC identified in the DATES: Comments must be submitted on the Chief Data Officer, Board of application. or before October 20, 2020. Governors of the Federal Reserve Legal authorization and ADDRESSES: You may submit comments, System, Washington, DC 20551, (202) confidentiality: The FR LL–12 is identified by FR Y–12 or FR Y–12A, by 452–3829. authorized by section 19(e)(2) of the FDI any of the following methods: SUPPLEMENTARY INFORMATION: On June Act, under which the ‘‘Board . . . may • Agency website: https:// 15, 1984, OMB delegated to the Board provide exemptions [from the www.federalreserve.gov/. Follow the authority under the PRA to approve and prohibition] by regulation or order . . . instructions for submitting comments at assign OMB control numbers to
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collections of information conducted or holding periods permissible under instructions. The revisions to the FR Y– sponsored by the Board. In exercising Regulation Y.1 12 will be applicable as of the December this delegated authority, the Board is Number of respondents: FR Y–12 31, 2020, reporting date. directed to take every reasonable step to quarterly, 22; FR Y–12 semiannual, 7; Legal authorization and solicit comment. In determining and FR Y–12A, 91. confidentiality: The Board is authorized whether to approve a collection of Estimated average hours per response: to collect information on the FR Y–12 information, the Board will consider all FR Y–12, 16.5 hours; and FR Y–12A, 7.5 and FR Y–12A reports from BHCs comments received from the public and hours. (including BHCs that are FHCs) other agencies. Estimated annual reporting hours: FR pursuant to section 5(c) of the Bank Y–12 quarterly, 1,452 hours; FR Y–12 Holding Company Act (BHC Act), 12 Request for Comment on Information semiannual, 231 hours; and FR Y–12A, U.S.C. 1844(c)(1)(A); from SLHCs Collection Proposal 683 hours. pursuant to section 10(b)(2) of the Home The Board invites public comment on General description of report: The Owners’ Loan Act, 12 U.S.C. the following information collection, mandatory FR Y–12 report collects 1467a(b)(2), as amended by sections which is being reviewed under information from certain domestic bank 369(8) and 604(h)(2) of the Dodd-Frank authority delegated by the OMB under holding companies (BHCs), savings and Wall Street Reform and Consumer the PRA. Comments are invited on the loan holding companies (SLHCs), and Protection Act (Dodd-Frank Act); and following: U.S. intermediate holding companies from IHCs pursuant to section 5(c) of the a. Whether the proposed collection of (IHCs) on their equity investments in BHC Act, 12 U.S.C. 1844(c)(1)(A), as information is necessary for the proper nonfinancial companies. Respondents well as pursuant to sections 102(a)(1) performance of the Board’s functions, report the FR Y–12 either quarterly or and 165 of the Dodd-Frank Act, 12 including whether the information has semi-annually based on criteria in the U.S.C. 5311(a)(1) and 5365 2 and practical utility; report. The mandatory FR Y–12A report Regulation YY, 12 CFR 252.153(b)(2). b. The accuracy of the Board’s is filed annually by financial holding In addition, with respect to the FR Y– estimate of the burden of the proposed companies (FHCs) that hold merchant 12A report, section 4(k)(7)(A) of the information collection, including the banking investments that are BHC Act, 12 U.S.C. 1843(k)(7)(A), validity of the methodology and approaching the end of the holding authorizes the Board and the Treasury assumptions used; periods permissible under the Board’s Department to jointly develop c. Ways to enhance the quality, Regulation Y. implementing regulations governing utility, and clarity of the information to Proposed revisions: The Board merchant banking activities for be collected; proposes to revise the FR Y–12 by (1) purposes of section 4(k)(4)(H) of the d. Ways to minimize the burden of adding a new column to Schedules A BHC Act. Section 4(k)(4)(H) of the BHC Act, 12 U.S.C. 1843(k)(4)(H), and information collection on respondents, and C to capture unrealized holding subpart J of the Board’s Regulation Y, 12 including through the use of automated gains (losses) on equity securities not CFR 225.170 et seq., authorize a BHC collection techniques or other forms of held for trading recognized as income in that has made an effective FHC election information technology; and accordance with Accounting Standards to acquire merchant banking e. Estimates of capital or startup costs Update (ASU 2016–01, ‘‘Recognition investments that are not otherwise and costs of operation, maintenance, and Measurement of Financial Assets permissible for an FHC. Section and purchase of services to provide and Financial Liabilities’’); (2) adding 10(c)(2)(H) of HOLA, as amended by information. guidance to the instructions for the section 606(b) of the Dodd-Frank Act, 12 At the end of the comment period, the reporting of equity securities in U.S.C. 1467a(c)(2)(H), and section 8(a) comments and recommendations accordance with ASU 2016–01; and (3) of the International Bank Act, 12 U.S.C. received will be analyzed to determine making other minor clarifications and 3106(a), extend certain authorities and the extent to which the Board should conforming edits to the form and requirements of the BHC Act to SLHCs modify the proposal. 1 In 2012, the Board indicated that it would and to foreign banks, respectively. Proposal Under OMB Delegated require supervised securities holding companies The obligation to respond to the FR Authority To Extend for Three Years, (‘‘SHCs’’) to file the FR Y–12 and FR Y–12A reports. Y–12 and FR Y–12A reports is With Revision, the Following 77 FR 32881, 32883 (June 4, 2012). However, no mandatory. The Board does not consider such revisions were ever made to include SHCs as Information Collection respondents on either report. Upon reflection, the information collected on the FR Y–12 Report Title: Consolidated Bank Board has determined that it would not be appropriate at this time to add supervised SHCs to 2 Section 165(b)(2) of the Dodd-Frank Act, 12 Holding Company Report of Equity the respondent panel for the FR Y–12 or FR Y–12A U.S.C. 5365(b)(2), refers to ‘‘foreign-based bank Investments in Nonfinancial reports. A supervised SHCs would not be subject to holding company.’’ Section 102(a)(1) of the Dodd- Companies, and the Annual Report of the restrictions on nonbanking activities that limit Frank Act, 12 U.S.C. 5311(a)(1), defines ‘‘bank Merchant Banking Investments Held for the investments of other holding companies. holding company’’ for purposes of Title I of the Therefore, any information gathered about SHCs’ Dodd-Frank Act to include foreign banking an Extended Period. investments on the FR Y–12 would be of limited organizations that are treated as bank holding Agency form number: FR Y–12 and use, and would not be comparable to data gathered companies under section 8(a) of the International FR Y–12A, respectively. from other holding companies. Moreover, adding Banking Act, 12 U.S.C. 3106(a). The Board has OMB control number: 7100–0300. supervised SHCs to the FR Y–12 reporting panel required, pursuant to section 165(b)(1)(B)(iv) of the would require significant revisions to the FR Y–12 Dodd-Frank Act, 12 U.S.C. 5365(b)(1)(B)(iv), certain Frequency: FR Y–12, quarterly and instructions in order to account for the differences of the foreign banking organizations that are subject semiannually; and FR Y–12A, annually. in legal treatment between supervised SHCs and the to section 165 of the Dodd-Frank Act to form U.S. Respondents: Bank holding other respondents. Such revisions could lead to intermediate holding companies. Accordingly, the confusion among current FR Y–12 reporters. With parent foreign-based organization of a U.S. IHC is companies (BHCs), savings and loan respect to the FR Y–12A, the Board is not proposing treated as a BHC for purposes of the BHC Act and holding companies (SLHCs), U.S. to add supervised SHCs to the respondent panel section 165 of the Dodd-Frank Act. Because section intermediate holding companies (IHCs), because supervised SHCs are not restricted in their 5(c) of the BHC Act authorizes the Board to require and financial holding companies (FHCs) ability to make investments in nonfinancial reports from subsidiaries of BHCs, section 5(c) companies, and their investments are not subject to provides additional authority to require U.S. IHCs that hold merchant banking investments the merchant bank holding periods that apply to to report the information contained in the FR Y– that are approaching the end of the FHC investments. 12 and FR Y–12A reports.
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report to be confidential, and the DEPARTMENT OF HEALTH AND To obtain copies of a supporting completed version of this report HUMAN SERVICES statement and any related forms for the generally is made available to the public proposed collection(s) summarized in upon request. However, in certain Centers for Medicare & Medicaid this notice, you may make your request instances, specific information collected Services using one of following: on an individual institution’s FR Y–12 1. Access CMS’ website address at [Document Identifier CMS–10598 and CMS– website address at https://www.cms.gov/ report may be exempt from disclosure 10570] pursuant to exemption 4 of the Freedom Regulations-and-Guidance/Legislation/ of Information Act (FOIA), which Agency Information Collection PaperworkReductionActof1995/PRA- protects from public disclosure ‘‘trade Activities: Proposed Collection; Listing.html. 2. Call the Reports Clearance Office at secrets and commercial or financial Comment Request (410) 786–1326. information obtained from a person AGENCY: Centers for Medicare & FOR FURTHER INFORMATION CONTACT: [that is] privileged or confidential’’ (5 Medicaid Services, HHS. William N. Parham at (410) 786–4669. U.S.C. 552(b)(4)). A reporting holding ACTION: Notice. company may request confidential SUPPLEMENTARY INFORMATION: treatment for the specific data items the SUMMARY: The Centers for Medicare & Contents company believes should be withheld Medicaid Services (CMS) is announcing This notice sets out a summary of the pursuant to exemption 4 of the FOIA, as an opportunity for the public to use and burden associated with the provided in the Board’s Rules Regarding comment on CMS’ intention to collect following information collections. More Availability of Information (12 CFR part information from the public. Under the detailed information can be found in 261.15). A request for confidential Paperwork Reduction Act of 1995 (the each collection’s supporting statement treatment should be submitted in PRA), federal agencies are required to and associated materials (see writing concurrently with the publish notice in the Federal Register ADDRESSES). submission of the FR Y–12 report. This concerning each proposed collection of CMS–10598 Generic Clearance for written request must identify the information (including each proposed Evaluation of Stakeholder specific data for which confidential extension or reinstatement of an existing Training—Health Insurance treatment is sought and must provide collection of information) and to allow Marketplace and Market the legal justification for which 60 days for public comment on the Stabilization Programs confidentiality is requested. The Federal proposed action. Interested persons are CMS–10570 Appropriate Use Criteria Reserve will review any such request on invited to send comments regarding our (AUC) for Advanced Diagnostic a case-by-case basis to determine if burden estimates or any other aspect of Imaging Services this collection of information, including confidential treatment is appropriate. Under the PRA (44 U.S.C. 3501– the necessity and utility of the proposed The Federal Reserve may subsequently 3520), federal agencies must obtain information collection for the proper release information for which approval from the Office of Management performance of the agency’s functions, and Budget (OMB) for each collection of confidential treatment is requested, if the accuracy of the estimated burden, information they conduct or sponsor. (1) disclosure of such information is ways to enhance the quality, utility, and The term ‘‘collection of information’’ is required by law (other than 5 U.S.C. clarity of the information to be defined in 44 U.S.C. 3502(3) and 5 CFR 552); (2) the reporting holding company collected, and the use of automated 1320.3(c) and includes agency requests requested confidential treatment collection techniques or other forms of or requirements that members of the pursuant to 5 U.S.C. 552(b)(4) and more information technology to minimize the public submit reports, keep records, or than 10 years have passed since the date information collection burden. of the submission unless the reporting provide information to a third party. DATES: Comments must be received by Section 3506(c)(2)(A) of the PRA company has requested and provided October 20, 2020. justification for a longer designation requires federal agencies to publish a ADDRESSES: When commenting, please period; or (3) less than 10 years have 60-day notice in the Federal Register reference the document identifier or concerning each proposed collection of passed since the request, but the Board OMB control number. To be assured information, including each proposed believes that the information cannot be consideration, comments and extension or reinstatement of an existing withheld from disclosure under 5 U.S.C. recommendations must be submitted in collection of information, before 552(b)(4), and the reporting holding any one of the following ways: submitting the collection to OMB for company is provided with written 1. Electronically. You may send your approval. To comply with this notice of the Board’s views and with an comments electronically to http:// requirement, CMS is publishing this opportunity to object to the Board’s www.regulations.gov. Follow the notice. disclosure. instructions for ‘‘Comment or Information Collection Board of Governors of the Federal Reserve Submission’’ or ‘‘More Search Options’’ System, August 18, 2020. to find the information collection 1. Type of Information Collection Michele Taylor Fennell, document(s) that are accepting Request: Extension of a currently comments. approved information collection; Title Assistant Secretary of the Board. 2. By regular mail. You may mail of Information Collection: Generic [FR Doc. 2020–18428 Filed 8–20–20; 8:45 am] written comments to the following Clearance for Evaluation of Stakeholder BILLING CODE 6210–01–P address: CMS, Office of Strategic Training—Health Insurance Operations and Regulatory Affairs, Marketplace and Market Stabilization Division of Regulations Development, Programs; Use: CMS is strongly Attention: Document Identifier/OMB committed to providing appropriate Control Number lll, Room C4–26– education and technical outreach to 05, 7500 Security Boulevard, Baltimore, States, issuers, self-insured group health Maryland 21244–1850. plans and third-party administrators
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(TPA) participating in the Marketplace studies that are published and an opportunity for the public to and/or market stabilization programs reviewable by stakeholders. In the 2016 comment on CMS’ intention to collect mandated by the ACA. CMS continues Physician Fee Schedule Final Rule with information from the public. Under the to engage with stakeholders in the comment period (80 FR 70886, Paperwork Reduction Act of 1995 (the Marketplace to obtain input through November 16, 2015; see pages 71102– PRA), federal agencies are required to Satisfaction Surveys following 71116 and pages 71380–71382) we publish notice in the Federal Register Stakeholder Training events. The survey established a qualification process and concerning each proposed collection of results will help to determine requirements for qualified PLEs in order information (including each proposed stakeholders’ level of satisfaction with to ensure that the AUC development or extension or reinstatement of an existing trainings, identify any issues with endorsement processes used by a PLE collection of information) and to allow training and technical assistance result in high quality, evidence-based 60 days for public comment on the delivery, clarify stakeholders’ needs and AUC in accordance with section proposed action. Interested persons are preferences, and define best practices 1834(q)(2)(B). invited to send comments regarding our for training and technical assistance. In order to become and remain a burden estimates or any other aspect of CMS will continue to modify, enhance qualified PLE, we require PLEs to this collection of information, including and develop forms for future years demonstrate adherence to specific the necessity and utility of the proposed based on feedback from Stakeholders. requirements when developing, information collection for the proper Form Number: CMS–10598 (OMB modifying or endorsing AUC. To ensure performance of the agency’s functions, control number: 0938–1331); Frequency: that these requirements are met, we the accuracy of the estimated burden, Occasionally; Affected Public: Private require PLEs to submit information ways to enhance the quality, utility, and Sector; Number of Respondents: 30,332; demonstrating their adherence to these clarity of the information to be Number of Responses: 30,332; Total requirements. CMS qualifies those PLEs collected, and the use of automated Annual Hours: 7,334. For questions that demonstrate adherence to the collection techniques or other forms of regarding this collection contact Sonia requirements for a period of five years. information technology to minimize the Henderson at 301–492–4320. Qualified PLEs are also required, during information collection burden. 2. Type of Information Collection the 5th year after their most recent Request: Reinstatement of a previously approval date, to ensure adherence has DATES: Comments must be received by approved collection; Title of been maintained and to account for any October 20, 2020. Information Collection: Appropriate Use changes in the entities’ processes. ADDRESSES: When commenting, please Criteria (AUC) for Advanced Diagnostic Qualified PLEs must reapply every five reference the document identifier or Imaging Services; Use: Section 218(b) of years and must submit the applications OMB control number. To be assured the Protecting Access to Medicare Act by January 1 of the 5th year after the consideration, comments and (PAMA) of 2014 amended the Medicare PLE’s most recent approval date. Form recommendations must be submitted in Part B statute by adding a new section Number: CMS–10570 (OMB control any one of the following ways: 1834(q) of the Act entitled, number: 0938–1288); Frequency: 1. Electronically. You may send your ‘‘Recognizing Appropriate Use Criteria Occasionally; Affected Public: Private: comments electronically to http:// for Certain Imaging Services,’’ which Business or other for-profit and Not for- www.regulations.gov. Follow the directs the Secretary to establish a profit institutions; Number of instructions for ‘‘Comment or program to promote the use of AUC. Respondents: 10; Number of Responses: Submission’’ or ‘‘More Search Options’’ This program is codified at 42 CFR 10; Total Annual Hours: 150. (For to find the information collection 414.94. Evidence-based AUC for policy questions regarding this document(s) that are accepting imaging can assist clinicians in selecting collection, contact Heather Hostetler at comments. the imaging study that is most likely to 410–786–4515.) improve health outcomes for patients 2. By regular mail. You may mail Dated: August 17, 2020. based on their individual context. A written comments to the following provider-led entity (PLE) as defined in William N. Parham, III, address: CMS, Office of Strategic 42 CFR 414.94(b) is a national Director, Paperwork Reduction Staff, Office Operations and Regulatory Affairs, professional medical specialty society or of Strategic Operations and Regulatory Division of Regulations Development, Affairs. other organization that is comprised Attention: Document Identifier/OMB primarily of providers or practitioners [FR Doc. 2020–18337 Filed 8–20–20; 8:45 am] Control Number llll, Room C4–26– who, either within the organization or BILLING CODE 4120–01–P 05, 7500 Security Boulevard, Baltimore, outside the organization, predominantly Maryland 21244–1850. provide direct patient care. This DEPARTMENT OF HEALTH AND To obtain copies of a supporting program requires professionals ordering HUMAN SERVICES statement and any related forms for the applicable imaging services as defined proposed collection(s) summarized in in § 414.94(b) to consult with specified Centers for Medicare & Medicaid this notice, you may make your request applicable AUC, which are criteria Services using one of following: developed, endorsed or modified by a qualified PLE. [Document Identifier: CMS–10437] 1. Access CMS’ website address at The cornerstone of the PLE website address at https://www.cms.gov/ qualification process is for PLEs to Agency Information Collection Regulations-and-Guidance/Legislation/ demonstrate that they engage in a Activities: Proposed Collection; PaperworkReductionActof1995/PRA- rigorous evidence-based process for Comment Request Listing.html. developing, modifying, or endorsing AGENCY: Centers for Medicare & 2. Call the Reports Clearance Office at AUC. Section 1834(q)(2)(B) specifies Medicaid Services, HHS. (410) 786–1326. that the Secretary must consider ACTION: Notice. FOR FURTHER INFORMATION CONTACT: whether AUC have stakeholder William N. Parham at (410) 786–4669. consensus, are scientifically valid and SUMMARY: The Centers for Medicare & evidence-based, and are based on Medicaid Services (CMS) is announcing SUPPLEMENTARY INFORMATION:
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Contents strategies (including formative research Dated: August 18, 2020. This notice sets out a summary of the studies and methodological tests) to William N. Parham, III, use and burden associated with the improve communication with key CMS Director, Paperwork Reduction Staff, Office following information collections. More audiences. As new information of Strategic Operations and Regulatory Affairs. detailed information can be found in resources and persuasive technologies each collection’s supporting statement are developed, they can be tested and [FR Doc. 2020–18430 Filed 8–20–20; 8:45 am] and associated materials (see evaluated for beneficiary response to the BILLING CODE 4120–01–P ADDRESSES). materials and delivery channels. Results will inform communication CMS–10437 Generic Social Marketing DEPARTMENT OF HEALTH AND development and information & Consumer Testing Research HUMAN SERVICES architecture as well as allow for Under the PRA (44 U.S.C. 3501– continuous quality improvement. The National Institutes of Health 3520), federal agencies must obtain overall goal is to maximize the extent to approval from the Office of Management which consumers have access to useful National Institute of Environmental and Budget (OMB) for each collection of sources of CMS program information in Health Sciences; Notice of Meeting information they conduct or sponsor. a form that can help them make the Pursuant to section 10(d) of the The term ‘‘collection of information’’ is most of their benefits and options defined in 44 U.S.C. 3502(3) and 5 CFR Federal Advisory Committee Act, as 1320.3(c) and includes agency requests The activities under this clearance amended, notice is hereby given of a or requirements that members of the involve social marketing and consumer meeting of the National Advisory public submit reports, keep records, or research using samples of self-selected Environmental Health Sciences Council. provide information to a third party. customers, as well as convenience The meeting will be open to the Section 3506(c)(2)(A) of the PRA samples, and quota samples, with public as indicated below and held as requires federal agencies to publish a respondents selected either to cover a a virtual meeting. Individuals who plan 60-day notice in the Federal Register broad range of customers or to include to view the virtual meeting and need concerning each proposed collection of specific characteristics related to certain special assistance or other reasonable information, including each proposed products or services. All collection of accommodations to view the meeting, extension or reinstatement of an existing information under this clearance will should notify the Contact Person listed collection of information, before utilize a subset of items drawn from a below in advance of the meeting. The submitting the collection to OMB for core collection of customizable items open session will be virtual and can be approval. To comply with this referred to as the Social Marketing and accessed from the public NIEHS requirement, CMS is publishing this Consumer Testing Item Bank. This item website: https://www.niehs.nih.gov/ notice. bank is designed to establish a set of news/webcasts/. The meeting will be closed to the Information Collection pre-approved generic question that can be drawn upon to allow for the rapid public in accordance with the provisions set forth in sections 1. Type of Information Collection turn-around consumer testing required Request: Extension of a currently 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., for us to communicate more effectively approved collection; Title of as amended. The grant applications and with our audiences. The questions in Information Collection: Generic Social the discussions could disclose Marketing & Consumer Testing the item bank are divided into two confidential trade secrets or commercial Research; Use: The purpose of this major categories. One set focuses on property such as patentable material, submission is to extend the approval of characteristics of individuals and is and personal information concerning the generic clearance for a program of intended primarily for participant individuals associated with the grant consumer research aimed at a broad screening and for use in structured applications, the disclosure of which audience of those affected by CMS quantitative on-line or telephone would constitute a clearly unwarranted programs including Medicare, surveys. The other set is less structured invasion of personal privacy. and is designed for use in qualitative Medicaid, Children’s Health Insurance Name of Committee: National Advisory Program (CHIP), and health insurance one-on-one and small group discussions Environmental Health Sciences Council. exchanges. This program extends or collecting information related to Date: September 15–16, 2020. strategic efforts to reach and tailor subjective impressions of test materials. Closed: September 15, 2020, 10:00 a.m. to communications to beneficiaries, Results will be compiled and 10:45 a.m. caregivers, providers, stakeholders, and disseminated so that future Agenda: To review and evaluate any other audiences that would support communication can be informed by the consideration of Grant Applications. the Agency in improving the Place: Division of Extramural Research and testing results. We will use the findings Training, National Institute of Environmental functioning of the health care system, to create the greatest possible public Health Sciences, 111 T.W. Alexander Drive, improve patient care and outcomes, and benefit. Form Number: CMS–10437 Research Triangle Park, NC 27709 (Virtual reduce costs without sacrificing quality (OMB control number: 0938–1247); Meeting). of care. The information collected will Frequency: Yearly; Affected Public: Open: September 15, 2020, 11:00 a.m. to be used to create a streamlined and Individuals; Number of Respondents: 2:15 p.m. proactive process for collection of data Agenda: People Not Projects Update & 7,732; Number of Responses: 61,992; Concept Clearances. and utilizing the feedback on service Total Annual Hours: 26,588. (For policy delivery for continuous improvement of Place: Division of Extramural Research and questions regarding this collection communication activities aimed at Training, National Institute of Environmental contact Sabreet Kang Rajeev at 410– Health Sciences, 111 T.W. Alexander Drive, diverse CMS audiences. 786–5616.) Research Triangle Park, NC 27709, https:// The generic clearance will allow rapid www.niehs.nih.gov/news/webcasts/ (Virtual response to inform CMS initiatives Meeting). using a mixture of qualitative and Open: September 16, 2020, 10:00 a.m. to quantitative consumer research 2:40 p.m.
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Agenda: Proposed Division of Extramural DEPARTMENT OF HEALTH AND and scholarship through development Research and Training Actions to Address HUMAN SERVICES and stewardship of integrated standards, Funding Gap/Council Discussion. tools, platforms, practices, policies, and Place: Division of Extramural Research and National Institutes of Health resources that make biomedical Training, National Institute of Environmental information (including literature, Health Sciences, 111 T.W. Alexander Drive, Request for Information, Strategic research data, software tools, etc.) Research Triangle Park, NC 27709, https:// Opportunities and Challenges for the findable, accessible, interoperable, and www.niehs.nih.gov/news/webcasts/ (Virtual National Library of Medicine, National reusable to the world. Library functions Meeting). Institutes of Health are conducted by the Division of Library Contact Person: Patrick Mastin, Ph.D., AGENCY: National Institutes of Health, Operations, and are also integrated with Chief, Cellular, Organs, and Systems Health and Human Services (HHS). the world-class digital platforms, Pathobiology Branch, Division of Extramural ACTION: Notice. resources, assets, and expertise of NCBI Research and Training, National Institute of and LHNCBC. Environmental Health Sciences, Research SUMMARY: The purpose of this Request This notice is in accordance with the Triangle Park, NC 27709, 984–287–3285, for Information (RFI) is to solicit public 21st Century Cures Act, NIH Institutes [email protected]. comment to assist and guide the are required to regularly update their Any member of the public interested in National Library of Medicine (NLM) in strategic plans. The current NLM presenting oral comments to the committee identifying new, and updating ongoing, Strategic Plan for 2017—2027: A may notify the Contact Person listed on this efforts to implement the NLM Strategic Platform for Biomedical Discovery and notice at least 10 days in advance of the Plan 2017–2027: A Platform for Data-Powered Health, was written in meeting. Interested individuals and Biomedical Discovery and Data- 2016 with input from many diverse representatives of organizations may submit Powered Health. stakeholder communities. Since then, a letter of intent, a brief description of the DATES: Comments must be received on many dozens of initiatives, projects, and organization represented, and a short or before (5:00 p.m. ET) October 19, other activities have been conducted to description of the oral presentation. Only one 2020 to ensure consideration. address the objectives of the Plan. Also, representative of an organization may be ADDRESSES: Comments to this RFI must since then, significant changes have allowed to present oral comments and if be submitted electronically using the taken place in NLM mission-space in accepted by the committee, presentations web-based form at: https:// terms of science, technology, public may be limited to five minutes. Both printed rfi.grants.nih.gov/ health, library functions, scholarly and electronic copies are requested for the ?s=5f15a5e3104800009c001082. communication, stakeholder record. In addition, any interested person perspectives, policies, workforce, and may file written comments with the FOR FURTHER INFORMATION CONTACT: more. These include an urgent focus on committee by forwarding their statement to Leigh Samsel, MS, NLM Planning and understanding a novel coronavirus and the Contact Person listed on this notice. The Evaluation Officer, Office of Strategic the disease it causes; an increased statement should include the name, address, Initiatives, National Library of prominence of artificial intelligence in telephone number and when applicable, the Medicine, 8600 Rockville Pike, Building biomedical research and library business or professional affiliation of the 38, Rm 2S–14, Bethesda, MD 20894, functions; new policies reflecting the interested person. [email protected], 301–451–0162. embrace of open science by Information is also available on the Inquiries should be sent to governments, funders, publishers, Institute’s/Center’s home page: https:// [email protected]. scientists, and the public at large; www.niehs.nih.gov/about/boards/naehsc/ SUPPLEMENTARY INFORMATION: issuance of the NIH Strategic Plan for index.cfm, where an agenda and any Background Data Science; an accelerating use of additional information for the meeting will social media and preprints by be posted when available. The National Library of Medicine researchers to disseminate their (Catalogue of Federal Domestic Assistance (NLM) is one of the 27 Institutes and findings; and an increasing need for Program Nos. 93.115, Biometry and Risk Centers of the National Institutes of data-savvy scientists and a data-ready Estimation—Health Risks from Health (NIH) and the world’s largest public to make the most of digital assets Environmental Exposures; 93.142, NIEHS biomedical library. Like other NIH to improve biomedical understanding Hazardous Waste Worker Health and Safety Institutes and Centers, NLM supports and health. Training; 93.143, NIEHS Superfund and conducts research and research Hazardous Substances—Basic Research and training relevant to its mission; for Information Requested Education; 93.894, Resources and Manpower NLM, this includes information science, NLM is requesting public comment on Development in the Environmental Health informatics, data analytics, and data major opportunities or challenges Sciences; 93.113, Biological Response to science to advance computational relevant to the NLM mission that have Environmental Health Hazards; 93.114, biology and computational health arisen or become more important in the Applied Toxicological Research and Testing, science. Research is conducted last five years and that have National Institutes of Health, HHS) intramurally in the NLM National implications for the future of NLM in its Dated: August 17, 2020. Center for Biotechnology Information capacity both as an institution (NCBI) and Lister Hill National Center conducting and supporting research and Tyeshia M. Roberson, for Biomedical Communications as a national library providing Program Analyst, Office of Federal Advisory (LHNCBC) and is supported biomedical information products, Committee Policy. extramurally through the Division of services, training, capacity-building, [FR Doc. 2020–18342 Filed 8–20–20; 8:45 am] Extramural Programs. and other resources to the world. This BILLING CODE 4140–01–P As a national library, NLM is steward information will be used to guide NLM’s of a world-renowned collection of continuing implementation of its medical materials spanning ten strategic plan. Response to this RFI is centuries and originating from nearly voluntary. Respondents are free to every part of the globe, and it supports, address any or all topics listed below promotes, and advances open science and are encouraged for each topic
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addressed to describe the opportunity or at: https://rfi.grants.nih.gov/ scheduled to meet on Tuesday, challenge and how NLM might address ?s=5f15a5e3104800009c001082. September 15, 2020, from 9 a.m. until it. NLM will use the information 2:30 p.m. (EDT). The meeting may 1. Major opportunities or challenges submitted in response to this RFI at its adjourn early if the Committee has that have emerged over the last five discretion and will neither provide completed its business. years and that have implications for the responses to nor acknowledge receipt of Comments and supporting future of NLM in the area of: the submissions. The information documentation: To ensure your a. Science (including clinical health provided will be analyzed and may be comments are received by Committee sciences, biomedical science, shared publicly or appear in reports members before the teleconference, information science, informatics, data without the name or affiliation of the submit your written comments no later analytics, data science, etc.) commenter. No proprietary, classified, than September 8, 2020. b. Technology (including confidential, or sensitive information ADDRESSES: To join the teleconference biotechnology, platforms, hardware, should be included in your response. or to request special accommodations, software, algorithms, processes, The Government reserves the right to contact the individual listed in the FOR systems, etc.) use any non-proprietary technical FURTHER INFORMATION CONTACT section c. Public health, consumer health, and information in any resultant summaries no later than 1 p.m. on September 8, outreach (including epidemic disease of the state-of-the-science or 2020, to obtain the needed information. surveillance, culturally competent solicitation(s). This RFI is for The number of individuals on a engagement, optimizing the experience information and planning purposes only teleconference line is limited and will of resource users, etc.) and shall not be construed as a be available on a first-come, first served d. Library functions (including solicitation, grant, or cooperative basis. collection development, access, agreement, or as an obligation on the Instructions: You are free to submit preservation, indexing, library metadata, part of the Federal Government, the comments at any time, including orally NIH, or individual NIH Institutes and service agreements with other libraries, at the teleconference as time permits, Centers to provide support for any ideas etc.) but if you want Committee members to identified in response to it. e. Modes of scholarly communication review your comments before the The Government will not pay for the teleconference, please submit your (including researchers’ use of social preparation of any information media, preprints, living papers, changes comments no later than September 8, submitted or for the Government’s use 2020. We are particularly interested in in the roles and practices of publishers, of such information. No basis for claims data-driven approaches to studying comments on the issues in the against the U.S. Government shall arise ‘‘Agenda’’ section below. historical medical texts, images, and as a result of a response to this request datasets, etc.) We encourage you to submit for information or from the comments through the Federal f. Perspectives, practices, and policies Government’s use of such information. (including those related to open science, eRulemaking Portal at https:// the need for diversity, equity, and Dated: August 17, 2020. www.regulations.gov. If your material inclusion in research, algorithmic bias, Todd D. Danielson, cannot be submitted using https:// expectations of reproducibility of Associate Director for Administrative www.regulations.gov, call or email the research, etc.) Management and Executive Officer, National person in the FOR FURTHER INFORMATION Library of Medicine, National Institutes of CONTACT section of this document for g. Workforce needs (including data Health. science competencies, effective alternate instructions. You must include strategies for recruitment and retention [FR Doc. 2020–18346 Filed 8–20–20; 8:45 am] the docket number [USCG–2020–0486]. of underrepresented minorities, BILLING CODE 4140–01–P Comments received will be posted opportunities for training and without alteration at http:// continuing education for middle- and www.regulations.gov, including any late-career researchers and librarians, DEPARTMENT OF HOMELAND personal information provided. For etc.) SECURITY more about privacy and submissions in response to this document, see DHS’s 2. Major opportunities or challenges Coast Guard that have emerged in the last five years Correspondence System of Records and that have implications for the future [Docket No. USCG–2020–0486] notice (84 FR 48645, September 26, of NLM in other areas or areas not well 2018). If you encounter technical captured above. Merchant Marine Personnel Advisory difficulties with comment submission, 3. Opportunities or challenges on the Committee; September 2020 contact the individual listed in the FOR horizon over the next five years that fall Teleconference FURTHER INFORMATION CONTACT section of this notice. within the purview of the NLM’s AGENCY: U.S. Coast Guard, Department mission. Docket Search: Documents mentioned of Homeland Security. in this notice as being available in the Submitting a Response ACTION: Notice of Federal Advisory docket, and all public comments, will Committee teleconference meeting. For consideration, your comments be in our online docket at https:// must be received on or before (5:00 p.m. SUMMARY: The Merchant Marine www.regulations.gov and can be viewed ET) October 19, 2020 to ensure Personnel Advisory Committee by following that website’s instructions. consideration. Please include: (1) The (Committee) will meet via Additionally, if you go to the online name, (2) organizational affiliation of teleconference to discuss issues related docket and sign up for email alerts, you the commenter, and (3) the role the to the training and fitness of merchant will be notified when comments are commenter plays at that organization marine personnel. The meeting will be posted. (e.g., librarian, healthcare provider, open to the public. FOR FURTHER INFORMATION CONTACT: Ms. scientist, student, etc.). Comments to DATES: Megan Johns Henry, Alternate this RFI must be submitted Meeting: The Merchant Marine Designated Federal Officer of the electronically using the web-based form Personnel Advisory Committee is Merchant Marine Personnel Advisory
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Committee, 2703 Martin Luther King Jr. (f) Task Statement 107, Review of DATES: Meeting: The Merchant Mariner Ave. SE, Stop 7509, Washington, DC NOAA Sunsetting Program of Paper Medical Advisory Committee and its 20593–7509, telephone 202–372–1255, Nautical Chart Production. working groups will meet by or [email protected]. (7) Report on establishment of teleconference on Tuesday, September SUPPLEMENTARY INFORMATION: Notice of National Merchant Marine Personnel 22, 2020, from 11 a.m. until 2:30 p.m. this meeting is in compliance with the Advisory Committee (EDT). The teleconference may adjourn Federal Advisory Committee Act, 5 (8) Report on National Maritime early if the Committee has completed its U.S.C. Appendix. Center. business. The Merchant Marine Personnel (9) Report on Job Task Analysis. Comments and supporting Advisory Committee is established (10) Public comment period. documentation: To ensure your under authority of U.S. Code, Title 46, (11) Member recognition. comments are received by Committee (12) Closing remarks. section 8108. The Committee acts solely members before the teleconference, (13) Adjournment of meeting. submit your written comments no later in an advisory capacity to the Secretary A copy of all meeting documentation than September 15, 2020. of the Department of Homeland Security will be available at https:// through the Commandant of the U.S. homeport.uscg.mil/missions/ports-and- ADDRESSES: To join the teleconference Coast Guard on matters relating to waterways/safety-advisory-committees/ or to request special accommodations, personnel in the United States merchant merpac no later than September 8, 2020. contact the individual listed in the FOR marine, including training, Alternatively, you may contact Ms. FURTHER INFORMATION CONTACT section qualifications, certification, Megan Johns Henry as noted in the FOR no later than 1 p.m. on September 15, documentation, and fitness standards FURTHER INFORMATION CONTACT section 2020, to obtain the needed information. and other matters as assigned by the above. The number of teleconference lines are Commandant. The Committee also During the September 15, 2020 limited and will be available on a first- reviews and comments on proposed teleconference, a public comment come, first-served basis. U.S. Coast Guard regulations and period will be held from approximately Instructions: You are free to submit policies relating to personnel in the 1:30–1:45 p.m. (EDT). Public comments comments at any time, including orally United States merchant marine, will be limited to two minutes per at the teleconference as time permits, including training, qualifications, speaker. Please note that the public but if you want Committee members to certification, documentation, and fitness comment periods will end following the review your comment before the standards. last call for comments. Please contact teleconference, please submit your comments no later than September 15, the individual listed in the FOR FURTHER Agenda 2020. We are particularly interested in INFORMATION CONTACT section, to register The agenda for the September 15, as a speaker. comments on the issues in the 2020 full Committee meeting is as ‘‘Agenda’’ section below. We encourage follows: Dated: August 17, 2020. you to submit comments through the (1) Introduction. Jeffrey G. Lantz, Federal eRulemaking Portal at https:// (2) Designated Federal Officer Director of Commercial Regulations and www.regulations.gov. If your material remarks. Standards. cannot be submitted using https:// (3) Remarks from U.S. Coast Guard [FR Doc. 2020–18329 Filed 8–20–20; 8:45 am] www.regulations.gov, call or email the Leadership. BILLING CODE 9110–04–P individual in the FOR FURTHER (4) Roll call of Committee members INFORMATION CONTACT section of this and determination of a quorum. document for alternate instructions. You (5) Acceptance of Meeting 51 DEPARTMENT OF HOMELAND must include the docket number Minutes. SECURITY [USCG–2020–0487]. Comments received (6) Report on Working Groups and will be posted without alteration at Discussion of Working Group Coast Guard http://www.regulations.gov, including recommendations. [Docket No. USCG–2020–0487] any personal information provided. For The Committee will review the more about privacy and submissions in information presented on each issue, Merchant Mariner Medical Advisory response to this document, see DHS’s deliberate on any recommendations Committee; September 2020 eRulemaking System of Records notice presented by the Working Groups, Teleconference (85 FR 14226, March 11, 2020). If you approve/formulate recommendations encounter technical difficulties with and close any completed tasks. Official AGENCY: U.S. Coast Guard, Department comment submission, contact the action on these recommendations may of Homeland Security. individual listed in the FOR FURTHER be taken: ACTION: Notice of Federal Advisory INFORMATION CONTACT section of this (a) Task Statement 90, Review of IMO Committee teleconference meeting. notice. Model Courses Being Validated by the SUMMARY: The Merchant Mariner Docket Search: Documents mentioned IMO HTW Subcommittee; in this notice as being available in the (b) Task Statement 94, MERPAC Medical Advisory Committee docket, and all public comments, will Recommendation Review; (Committee) and its working groups will (c) Task Statement 101, meet via teleconference to discuss be in our online docket at https:// Communication Between External matters relating to medical certification www.regulations.gov and can be viewed Stakeholders and the Mariner determinations for issuance of licenses, by following that website’s instructions. Credentialing Program; certificates of registry, and merchant Additionally, if you go to the online (d) Task Statement 105, Military mariners’ documents, medical standards docket and sign-up for email alerts, you Education, Training and Assessment for and guidelines for the physical will be notified when comments are STCW and National Mariner qualifications of operators of posted. Endorsements; commercial vessels, medical examiner FOR FURTHER INFORMATION CONTACT: Mr. (e) Task Statement 106, STCW education, and medical research. The Michael Lalor, Alternate Designated Convention and Code Review; meeting will be open to the public. Federal Officer of the Merchant Mariner
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Medical Advisory Committee, 2703 (9) Public comment period. rates for buildings and the contents of Martin Luther King Jr. Ave. SE, Stop (10) Committee Member Recognitions. those buildings. (11) Closing remarks/plans for next 7509, Washington, DC 20593–7509, DATES: The date of December 30, 2020, telephone 202–372–1361, fax 202–372– meeting. has been established for the FIRM and, (12) Adjournment of meeting. 4908 or [email protected]. where applicable, the supporting FIS A copy of all meeting documentation SUPPLEMENTARY INFORMATION: Notice of report showing the new or modified will be available at https:// this meeting is in compliance with the flood hazard information for each homeport.uscg.mil/missions/ports-and- Federal Advisory Committee Act, 5 community. U.S.C. Appendix. waterways/safety-advisory-committees/ The Merchant Mariner Medical no later than September 15, 2020. ADDRESSES: The FIRM, and if Advisory Committee Meeting is Alternatively, you may contact Mr. applicable, the FIS report containing the authorized by U.S. Code, Title 46, Michael Lalor as noted in the FOR final flood hazard information for each section 7115. The Committee advises FURTHER INFORMATION CONTACT section community is available for inspection at the Secretary of the Department of above. the respective Community Map Homeland Security on matters related During the September 22, 2020 Repository address listed in the tables to: (a) Medical certification teleconference, a public comment below and will be available online determinations for issuance of licenses, period will be held immediately after through the FEMA Map Service Center certificates of registry, and merchant the discussion of the transition to the N- at https://msc.fema.gov by the date mariners’ documents; (b) medical MEDMAC at approximately 2:00 p.m. indicated above. Public comments will be limited to two standards and guidelines for the FOR FURTHER INFORMATION CONTACT: Rick physical qualifications of operators of minutes per speaker. Please note that Sacbibit, Chief, Engineering Services commercial vessels; (c) medical the public comment periods will end Branch, Federal Insurance and examiner education; and (d) medical following the last call for comments. Mitigation Administration, FEMA, 400 research. Please contact the individual listed in C Street SW, Washington, DC 20472, the FOR FURTHER INFORMATION CONTACT Agenda (202) 646–7659, or (email) section, to register as a speaker. [email protected]; or visit The agenda for the September 22, Dated: August 17, 2020. the FEMA Map Information eXchange 2020, teleconference is as follows: Jeffrey G. Lantz, (FMIX) online at https:// (1) Introduction. Director of Commercial Regulations and www.floodmaps.fema.gov/fhm/fmx_ (2) Designated Federal Officer Standards. main.html. remarks. [FR Doc. 2020–18333 Filed 8–20–20; 8:45 am] (3) Remarks from the Committee SUPPLEMENTARY INFORMATION: The BILLING CODE 9110–04–P Chairman. Federal Emergency Management Agency (4) Remarks from U.S. Coast Guard (FEMA) makes the final determinations Leadership. DEPARTMENT OF HOMELAND listed below for the new or modified (5) Roll call of Committee members SECURITY flood hazard information for each and determination of a quorum. community listed. Notification of these (6) Report on Status of Working Federal Emergency Management changes has been published in Groups, Determination on Intercessional Agency newspapers of local circulation and 90 Meetings and Discussion of Working days have elapsed since that Group recommendations. The [Docket ID FEMA–2020–0002] publication. The Deputy Associate Administrator for Insurance and Committee will review the information Final Flood Hazard Determinations presented on each issue, deliberate on Mitigation has resolved any appeals any recommendations presented by the AGENCY: Federal Emergency resulting from this notification. Working Groups, approve/formulate Management Agency, DHS. This final notice is issued in recommendations and close any ACTION: Notice. accordance with section 110 of the completed tasks. Official action on these Flood Disaster Protection Act of 1973, recommendations may be taken: SUMMARY: Flood hazard determinations, 42 U.S.C. 4104, and 44 CFR part 67. (a) Task Statement 18–27, which may include additions or FEMA has developed criteria for Recommendations on Mariner Mental modifications of Base Flood Elevations floodplain management in floodprone Health; (BFEs), base flood depths, Special Flood areas in accordance with 44 CFR part (b) Task Statement 18–28, Hazard Area (SFHA) boundaries or zone 60. Communication Between External designations, or regulatory floodways on Interested lessees and owners of real Stakeholders and the Mariner the Flood Insurance Rate Maps (FIRMs) property are encouraged to review the Credentialing Program; and where applicable, in the supporting new or revised FIRM and FIS report (c) Task Statement 19–29, Review of Flood Insurance Study (FIS) reports available at the address cited below for CG Forms CG–719K, CG–719K/E, and have been made final for the each community or online through the CG–719P; communities listed in the table below. FEMA Map Service Center at https:// (d) Task Statement 19–30, Additional The FIRM and FIS report are the basis msc.fema.gov. of the floodplain management measures Guidance on Conduct of the General The flood hazard determinations are that a community is required either to Medical Exam; and made final in the watersheds and/or (e) Task Statement 19–31, Medical adopt or to show evidence of having in communities listed in the table below. Certifications for Military to Mariner effect in order to qualify or remain Applicants. qualified for participation in the Federal (Catalog of Federal Domestic Assistance No. (7) Update from the National Emergency Management Agency’s 97.022, ‘‘Flood Insurance.’’) Maritime Center, Medical Evaluations (FEMA’s) National Flood Insurance Michael M. Grimm, Division. Program (NFIP). In addition, the FIRM Assistant Administrator for Risk (8) Discussion on transition to the and FIS report are used by insurance Management, Department of Homeland National Merchant Mariner Medical agents and others to calculate Security, Federal Emergency Management Advisory Committee (N–MEDMAC). appropriate flood insurance premium Agency.
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Community Community map repository address
Mohave County, Arizona and Incorporated Areas Docket No.: FEMA–B–1969
Fort Mojave Indian Reservation ...... Fort Mojave Indian Tribe, 500 Merriman Avenue, Needles, CA 92363. Unincorporated Areas of Mohave County ...... Mohave County Development Services, 3250 East Kino Avenue, King- man, AZ 86409.
Walton County, Florida and Incorporated Areas Docket No.: FEMA–B–1647
City of Freeport ...... City Hall, 112 State Highway 20 West, Freeport, FL 32439. Unincorporated Areas of Walton County ...... Walton County Planning and Development Services Department, 31 Coastal Centre Boulevard, Santa Rosa Beach, FL 32459.
Douglas County, Georgia and Incorporated Areas Docket No.: FEMA–B–1708; FEMA B–1968
City of Douglasville ...... City Hall, 6695 Church Street, Douglasville, GA 30134. Unincorporated Areas of Douglas County ...... Douglas County Courthouse, 8700 Hospital Drive, Douglasville, GA 30134.
Buchanan County, Iowa and Incorporated Areas Docket No.: FEMA–B–1933
City of Aurora ...... City Office, 313 Main Street, Aurora, IA 50607. City of Brandon ...... City Hall, 400 North Street, Brandon, IA 52210. City of Fairbank ...... City Hall, 116 East Main Street, Fairbank, IA 50629. City of Hazleton ...... City Hall, 111 3rd Street North, Hazleton, IA 50641. City of Independence ...... City Hall, 331 1st Street East, Independence, IA 50644. City of Jesup ...... City Hall, 791 6th Street, Jesup, IA 50648. City of Lamont ...... City Hall, 644 Bush Street, Lamont, IA 50650. City of Quasqueton ...... City Hall, 113 Water Street North, Quasqueton, IA 52326. City of Stanley ...... Mayor’s Office, 128 East Main Street, Stanley, IA 50671. City of Winthrop ...... City Clerk’s Office, 354 Madison Street, Winthrop, IA 50682. Unincorporated Areas of Buchanan County ...... Buchanan County Courthouse Zoning Office, 210 5th Avenue North- east, Suite I, Independence, IA 50644.
Macomb County, Michigan (All Jurisdictions) Docket No.: FEMA–B–1945
City of New Baltimore ...... City Hall, 36535 Green Street, New Baltimore, MI 48047. City of St. Clair Shores ...... City Hall, 27600 Jefferson Avenue, St. Clair Shores, MI 48081. Township of Chesterfield ...... Municipal Offices, 47275 Sugarbush Road, Chesterfield, MI 48047. Township of Harrison ...... Administrative Offices, 38151 L’Anse Creuse, Harrison Township, MI, 48045.
Clay County, South Dakota and Incorporated Areas Docket No.: FEMA–B–1936
City of Vermillion ...... City Hall, 25 Center Street, Vermillion, SD 57069. Town of Wakonda ...... Town Office, 111 Ohio Street, Wakonda, SD 57073. Unincorporated Areas of Clay County ...... Clay County Courthouse, 211 West Main Street, Vermillion, SD 57069.
Brazoria County, Texas and Incorporated Areas Docket No.: FEMA–B–1860
City of Alvin ...... Public Services Facility Building Engineering Department, 1100 West Highway 6, Alvin, TX 77511. City of Angleton ...... City Secretary’s Office, 121 South Velasco Street, Angleton, TX 77515. City of Brazoria ...... City Hall, 201 South Main Street, Brazoria, TX 77422. City of Brookside Village ...... City Hall, 6243 Brookside Road, Brookside Village, TX 77581. City of Clute ...... City Hall, 108 East Main Street, Clute, TX 77531. City of Danbury ...... City Hall, 6102 5th Street, Danbury, TX 77534. City of Freeport ...... City Hall, 200 West 2nd Street, Freeport, TX 77541. City of Hillcrest Village ...... Hillcrest Village City Hall, 106 West Blackstone Lane, Alvin, TX 77511. City of Iowa Colony ...... Iowa Colony City Hall, 12003 County Road 65, Rosharon, TX 77583. City of Lake Jackson ...... City Hall, 25 Oak Drive, Lake Jackson, TX 77566. City of Liverpool ...... City Hall, 8901 Calhoun Street, Liverpool, TX 77577. City of Manvel ...... City Hall, 20025 Highway 6, Manvel, TX 77578. City of Oyster Creek ...... City Hall, 3210 FM 523, Oyster Creek, TX 77541. City of Pearland ...... Engineering and Capital Projects Department Engineering Division, 3519 Liberty Drive, Pearland, TX 77581. City of Richwood ...... City Hall, 1800 Brazosport Boulevard North, Richwood, TX 77531. City of Sandy Point ...... Brazoria County West Annex Building, 451 North Velasco Street, Suite 210, Angleton, TX 77515.
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Community Community map repository address
City of Surfside Beach ...... City Hall, 1304 Monument Drive, Surfside Beach, TX 77541. City of Sweeny ...... City Hall, 102 West Ashley Wilson Road, Sweeny, TX 77480. City of West Columbia ...... City Hall, 512 East Brazos Avenue, West Columbia, TX 77486. Town of Holiday Lakes ...... Town Hall, 195 North Texas Avenue, Holiday Lakes, TX 77515. Town of Quintana ...... Town Hall, 814 North Lamar Street, Quintana, TX 77541. Unincorporated Areas of Brazoria County ...... Brazoria County West Annex Building, 451 North Velasco Street, Suite 210, Angleton, TX 77515. Village of Bailey’s Prairie ...... Bailey’s Prairie Floodplain Administrator’s Office, 201 South Velasco Street, Angleton, TX 77515. Village of Bonney ...... Brazoria County West Annex Building, 451 North Velasco Street, Suite 210, Angleton, TX 77515. Village of Jones Creek ...... City Hall, 7207 Stephen F. Austin Road, Jones Creek, TX 77541.
Caldwell County, Texas and Incorporated Areas Docket No.: FEMA–B–1757
City of Luling ...... City Hall, 509 East Crockett Street, Luling, TX 78648. City of Martindale ...... City Hall, 409 Main Street, Martindale, TX 78655. City of San Marcos ...... City Hall, 630 East Hopkins Street, San Marcos, TX 78666. Unincorporated Areas of Caldwell County ...... Caldwell County Courthouse, 110 South Main Street, Lockhart, TX 78644.
Guadalupe County, Texas and Incorporated Areas Docket No.: FEMA–B–1757 and FEMA–B–1938
City of Luling ...... City Hall, 509 East Crockett Street, Luling, TX 78648. City of Staples ...... Civic Center, 9615 FM 621, Staples, TX 78670. Unincorporated Areas of Guadalupe County ...... Guadalupe County Environmental Health Department, 2605 North Gua- dalupe Street, Seguin, TX 78155.
Pierce County, Wisconsin and Incorporated Areas Docket No.: FEMA–B–1932
Unincorporated Areas of Pierce County ...... Pierce County Courthouse, 414 West Main Street, Ellsworth, WI 54011. Village of Spring Valley ...... Village Office, East 121 South 2nd Street, Spring Valley, WI 54767.
[FR Doc. 2020–18420 Filed 8–20–20; 8:45 am] the Flood Insurance Study (FIS) reports, below. Notice of these modified flood BILLING CODE 9110–12–P currently in effect for the listed hazard determinations has been communities. The flood hazard published in newspapers of local determinations modified by each LOMR circulation and 90 days have elapsed DEPARTMENT OF HOMELAND will be used to calculate flood insurance since that publication. The Deputy SECURITY premium rates for new buildings and Associate Administrator for Insurance their contents. and Mitigation has resolved any appeals Federal Emergency Management DATES: Each LOMR was finalized as in resulting from this notification. Agency the table below. The modified flood hazard determinations are made pursuant to [Docket ID FEMA–2020–0002] ADDRESSES: Each LOMR is available for inspection at both the respective section 206 of the Flood Disaster Changes in Flood Hazard Community Map Repository address Protection Act of 1973, 42 U.S.C. 4105, Determinations listed in the table below and online and are in accordance with the National through the FEMA Map Service Center Flood Insurance Act of 1968, 42 U.S.C. AGENCY: Federal Emergency at https://msc.fema.gov. 4001 et seq., and with 44 CFR part 65. Management Agency, Homeland For rating purposes, the currently FOR FURTHER INFORMATION CONTACT: Security (DHS). Rick effective community number is shown Sacbibit, Chief, Engineering Services ACTION: Notice. and must be used for all new policies Branch, Federal Insurance and and renewals. SUMMARY: New or modified Base (1- Mitigation Administration, FEMA, 400 The new or modified flood hazard percent annual chance) Flood C Street SW, Washington, DC 20472, information is the basis for the Elevations (BFEs), base flood depths, (202) 646–7659, or (email) floodplain management measures that Special Flood Hazard Area (SFHA) [email protected]; or visit the community is required either to boundaries or zone designations, and/or the FEMA Mapping and Insurance adopt or to show evidence of being eXchange (FMIX) online at https:// regulatory floodways (hereinafter _ already in effect in order to remain referred to as flood hazard www.floodmaps.fema.gov/fhm/fmx qualified for participation in the determinations) as shown on the main.html. National Flood Insurance Program indicated Letter of Map Revision SUPPLEMENTARY INFORMATION: The (NFIP). (LOMR) for each of the communities Federal Emergency Management Agency This new or modified flood hazard listed in the table below are finalized. (FEMA) makes the final flood hazard information, together with the Each LOMR revises the Flood Insurance determinations as shown in the LOMRs floodplain management criteria required Rate Maps (FIRMs), and in some cases for each community listed in the table by 44 CFR 60.3, are the minimum that
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are required. They should not be floodplain management requirements of community or online through the FEMA construed to mean that the community the NFIP and are used to calculate the Map Service Center at https:// must change any existing ordinances appropriate flood insurance premium msc.fema.gov. that are more stringent in their rates for new buildings, and for the (Catalog of Federal Domestic Assistance No. floodplain management requirements. contents in those buildings. The 97.022, ‘‘Flood Insurance.’’) The community may at any time enact changes in flood hazard determinations stricter requirements of its own or are in accordance with 44 CFR 65.4. Michael M. Grimm, pursuant to policies established by other Interested lessees and owners of real Assistant Administrator for Risk Federal, State, or regional entities. property are encouraged to review the Management, Department of Homeland This new or modified flood hazard final flood hazard information available Security, Federal Emergency Management determinations are used to meet the at the address cited below for each Agency.
Location and Chief executive Community map Date of Community State and county case No. officer of community repository modification No.
Alabama: Houston (FEMA City of Dothan, (19– The Honorable Mark Saliba, Engineering Services Department, P.O. Box Jul. 15, 2020 .. 010104 Docket No.: B– 04–4944P). Mayor, City of Dothan, P.O. 2128, Dothan, AL 36303. 2040). Box 2128, Dothan, AL 36303. Mobile, (FEMA Unincorporated areas The Honorable Connie Hudson, Mobile County Department of Public Works, Jun. 15, 2020 015008 Docket No.: B– of Mobile County, President, Mobile County Com- 205 Government Street, Mobile, AL 36644. 2040). (19–04–4767P). mission, 205 Government Street, Mobile, AL 36644. Montgomery Town of Pike Road, The Honorable Gordon Stone, City Hall, 9575 Vaughn Road, Pike Road, AL Jul. 6, 2020 .... 010433 (FEMA Docket (19–04–1913P). Mayor, Town of Pike Road, 36064. No.: B–2040). 9575 Vaughn Road, Pike Road, AL 36064. Montgomery Unincorporated areas The Honorable Elton Dean, Montgomery County Engineering Depart- Jul. 6, 2020 .... 010278 (FEMA Docket of Montgomery Chairman, Montgomery County ment, 25 Washington Avenue, Mont- No.: B–2040). County, (19–04– Board of Commissioners, P.O. gomery, AL 36104. 1913P). Box 1667, Montgomery, AL 36104 Talladega (FEMA Unincorporated areas The Honorable Kelvin Talladega County Highway Department, En- Jul. 16, 2020 .. 010297 Docket No.: B– of Talladega Coun- Cunningham, Chairman, gineering Office, 500 Institute Lane, 2042). ty, (19–04–4279P). Talladega County Commission, Talladega, AL 3516. P.O. Box 6170, Talladega, AL 35161. Colorado: Broomfield, City and County of The Honorable Patrick Quinn, Engineering Department, 1 DesCombes Jul. 6, 2020 .... 085073 (FEMA Docket No.: Broomfield, (19–08– Mayor, City and County of Drive, Broomfield, CO 80020. B–2034). 1004P). Broomfield, 1 DesCombes Drive, Broomfield, CO 80020. Florida: Collier, (FEMA Unincorporated areas Mr. Burt L. Saunders, Chairman, Collier County Growth Management Depart- Jul. 14, 2020 .. 120067 Docket No.: B– of Collier County, Collier County Board of Com- ment, 2800 North Horseshoe Drive, 2034). (19–04–6241P). missioners, 3299 Tamiami Trail Naples, FL 34104. East, Suite 303, Naples, FL 34112. Lee, (FEMA Docket City of Sanibel, (19– The Honorable Kevin Ruane, Community Services Department, 800 Dun- Jul. 15, 2020 .. 120402 No.: B–2023). 04–6595P). Mayor, City of Sanibel, 800 lop Road, Sanibel, FL 33957. Dunlop Road, Sanibel, FL 33957. Palm Beach, City of Westlake, (19– Mr. Kenneth G. Cassel, City of City Hall, 4001 Seminole Pratt Whitney Jul. 15, 2020 .. 120018 (FEMA Docket 04–3409P). Westlake Manager, 4001 Semi- Road, Westlake, FL 33470. No.: B–2023). nole Pratt Whitney Road, Westlake, FL 33470. Massachusetts: Plymouth, (FEMA Town of Duxbury, The Honorable David J. Madigan, Planning Department, 878 Tremont Street, Jul. 6, 2020 .... 250263 Docket No.: B– (20–01–0284P). Chairman, Town of Duxbury Duxbury, MA 02332. 2023). Board of Selectmen, 878 Tremont Street, Duxbury, MA 02332. Plymouth, (FEMA Town of Marshfield, The Honorable Joseph E. Building Department, 870 Moraine Street, Jul. 6, 2020 .... 250273 Docket No.: B– (20–01–0284P). Kelleher, Chairman, Town of Marshfield, MA 02050. 2023). Marshfield Board of Selectmen, 870 Moraine Street, Marshfield, MA 02050. New Mexico: Lea, City of Hobbs, (19– The Honorable Sam D. Cobb, Engineering Department, 200 East Broadway Jul. 16, 2020 .. 350029 (FEMA Docket No.: 06–2692P) Mayor, City of Hobbs, 200 East Street, Hobbs, NM 88240. B–2034). Broadway Street, Hobbs, NM 88240. Oklahoma: Tulsa, City of Tulsa, (18–06– The Honorable G.T. Bynum, Development Services Department, 175 East Jul. 9, 2020 .... 405381 (FEMA Docket No.: 3174P). Mayor, City of Tulsa, 175 East 2nd Street, Suite 450, Tulsa, OK 74103. B–2023). 2nd Street, Tulsa, OK 74103. Pennsylvania: Mont- Township of Whitpain, The Honorable Frederick R. Township Hall, 960 Wentz Road, Blue Bell, Jul. 6, 2020 .... 420713 gomery, (FEMA (19–03–1425P). Conner, Jr., Chairman, Town- PA 19422. Docket No.: B–2023). ship of Whitpain Board of Su- pervisors, 960 Wentz Road, Blue Bell, PA 19422. Rhode Island: Washington, Town of Hopkinton, The Honorable Frank Landolfi, Town Hall, 1 Town House Road, Hopkinton, Jul. 6, 2020 .... 440028 (FEMA Docket (20–01–0268P). President, Town of Hopkinton RI 02833. No.: B–2023). Council, 1 Town House Road, Hopkinton, RI 02833.
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Location and Chief executive Community map Date of Community State and county case No. officer of community repository modification No.
Washington, Town of Richmond, The Honorable Rich Nassaney, Town Hall, 5 Richmond Townhouse Road, Jul. 6, 2020 .... 440031 (FEMA Docket (20–01–0268P). President, Town of Richmond Wyoming, RI 02898. No.: B–2023). Council, 5 Richmond Town- house Road, Wyoming, RI 02898. Texas: Collin, (FEMA City of Plano, (20–06– The Honorable Harry LaRosiliere, Department of Engineering, 1520 K Avenue, Jul. 17, 2020 .. 480140 Docket, No.: B– 0804P). Mayor, City of Plano, 1520 K Suite 250, Plano, TX 75074. 2023). Avenue, Suite 300, Plano, TX 75074. Denton, (FEMA City of Denton, (19– The Honorable Chris Watts, Engineering Department, 901–A Texas Jul. 17, 2020 .. 480194 Docket, No.: B– 06–2271P). Mayor, City of Denton, 215 Street, Denton, TX 76209. 2023). East McKinney Street, Denton, TX 76201. Kaufman, (FEMA City of Crandall, (19– The Honorable Danny Kirbie, City Hall, 110 South Main Street, Crandall, Jul. 10, 2020 .. 480409 Docket, No.: B– 06–3605P). Mayor, City of Crandall, P.O. TX 75114. 2023). Box 277, Crandall, TX 75114. Kaufman, (FEMA Unincorporated areas The Honorable Hal Richards, Kaufman County Development Services De- Jul. 10, 2020 .. 480411 Docket, No.: B– of Kaufman County, Kaufman County Judge, 100 partment, 106 West Grove Street, Kauf- 2023). (19–06–3605P). West Mulberry Street, Kauf- man, TX 75142. man, TX 75142. Kaufman, (FEMA Unincorporated areas The Honorable Hal Richards, Kaufman County Development Services De- Jul. 6, 2020 .... 480411 Docket, No.: B– of Kaufman County, Kaufman County Judge, 100 partment, 106 West Grove Street, Kauf- 2023). (19–06–0329P). West Mulberry Street, Kauf- man, TX 75142. man, TX 75142. Kendall, (FEMA Unincorporated areas The Honorable Darrel L. Lux, Kendall County Engineering Department, 201 Jul. 13, 2020 .. 480417 Docket, No.: B– of Kendall County, Kendall County Judge, 201 East San Antonio Avenue, Suite 122, 2034). (19–06–2757P). East San Antonio Avenue, Boerne, TX 78001. Suite 122, Boerne, TX 78006. Kerr, (FEMA Dock- Unincorporated areas The Honorable Rob Kelly, Kerr Kerr County Engineering Department, 3766 Jul. 13, 2020 .. 480419 et, No.: B–2034). of Kerr County, (19– County Judge, 700 East Main State Highway 27, Kerrville, TX 78028. 06–2757P). Street, Kerrville, TX 78028. McLennan, (FEMA City of Lacy Lakeview, The Honorable Sharon Clark, City Hall, 501 East Craven Avenue, Lacy Jul. 20, 2020 .. 480927 Docket, No.: B– (20–06–0788P). Mayor, City of Lacy Lakeview, Lakeview, TX 76705. 2034). 501 East Craven Avenue, Lacy Lakeview, TX 76705. McLennan, (FEMA Unincorporated areas The Honorable Scott M. Felton, McLennan County Engineering and Mapping Jul. 20, 2020 .. 480456 Docket, No.: B– of McLennan Coun- McLennan County Judge, 501 Department, 215 North 5th Street, Suite 2034). ty, (20–06–0788P). Washington Avenue, Suite 214, 130, Waco, TX 76701. Waco, TX 76701. Tarrant, (FEMA City of Grapevine, The Honorable William D. Tate, City Hall, 200 South Main Street, Grapevine, Jul. 20, 2020 .. 480598 Docket, No.: B– (19–06–2895P). Mayor, City of Grapevine, P.O. TX 76099. 2034). Box 95104, Grapevine, TX 76099. Tarrant, (FEMA City of Hurst, (18–06– The Honorable Henry Wilson, Public Works Department, 1505 Precinct Jul. 6, 2020 .... 480601 Docket, No.: B– 4025P). Mayor, City of Hurst, 1505 Pre- Line Road, Hurst, TX 76054. 2023). cinct Line Road, Hurst, TX 76054. Tarrant, (FEMA City of Richland Hills, The Honorable Edward Lopez, City Hall, 3200 Diana Drive, Richland Hills, Jul. 6, 2020 .... 480608 Docket, No.: B– (18–06–4025P). Mayor, City of Richland Hills, TX 76118. 2023). 3200 Diana Drive, Richland Hills, TX 76118. Tarrant, (FEMA Town of Flower The Honorable Steve Dixon, Town Hall, 2121 Cross Timbers Road, Flow- Jul. 20, 2020 .. 480777 Docket, No.: B– Mound, (19–06– Mayor, Town of Flower Mound, er Mound, TX 75028. 2034). 2895P). 2121 Cross Timbers Road, Flower Mound, TX 75028. Travis, (FEMA Unincorporated areas The Honorable Sarah Eckhardt, Travis County Transportation and Natural Jul. 13, 2020 .. 481026 Docket, No.: B– of Travis County, Travis County Judge, P.O. Box Resources Department, 700 Lavaca 2023). (19–06–2941P). 1748, Austin, TX 78767. Street, 5th Floor, Austin, TX 78701. Utah: Washington, City of St. George, The Honorable Jonathon T. Pike, City Hall, 175 East 200 North, St. George, Jul. 1, 2020 .... 490177 (FEMA Docket, No.: (20–08–0005P). Mayor, City of St. George, 175 UT 84770. B–2023) East 200 North, St. George, UT 84770. Wyoming: Laramie, (FEMA City of Cheyenne, The Honorable Marian J. Orr, Planning and Development Department, Jul. 8 2020 ..... 560030 Docket, No.: B– (19–08–0688P). Mayor, City of Cheyenne, 2101 2101 O’Neil Avenue, Cheyenne, WY 2034). O’Neil Avenue, Cheyenne, WY 82001. 82001. Laramie, (FEMA Unincorporated areas The Honorable Gunnar Malm, Laramie County Public Works Department, Jul. 8 2020 ..... 560029 Docket, No.: B– of Laramie County, Chairman, Laramie County 13797 Prairie Center Circle, Cheyenne, 2034). (19–08–0688P). Board of Commissioners, 310 WY 82001. West 19th Street, Suite 300, Cheyenne, WY 82001.
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[FR Doc. 2020–18422 Filed 8–20–20; 8:45 am] dates listed in the table below and submitted to the Chief Executive Officer BILLING CODE 9110–12–P revise the FIRM panels and FIS report of the community as listed in the table in effect prior to this determination for below. the listed communities. The modifications are made pursuant DEPARTMENT OF HOMELAND From the date of the second to section 201 of the Flood Disaster SECURITY publication of notification of these Protection Act of 1973, 42 U.S.C. 4105, changes in a newspaper of local and are in accordance with the National Federal Emergency Management circulation, any person has 90 days in Flood Insurance Act of 1968, 42 U.S.C. Agency which to request through the 4001 et seq., and with 44 CFR part 65. [Docket ID FEMA–2020–0002; Internal community that the Deputy Associate The FIRM and FIS report are the basis Agency Docket No. FEMA–B–2052] Administrator for Insurance and of the floodplain management measures Mitigation reconsider the changes. The that the community is required either to Changes in Flood Hazard flood hazard determination information adopt or to show evidence of having in Determinations may be changed during the 90-day effect in order to qualify or remain period. AGENCY: Federal Emergency qualified for participation in the Management Agency, Homeland ADDRESSES: The affected communities National Flood Insurance Program Security (DHS). are listed in the table below. Revised (NFIP). These flood hazard determinations, ACTION: Notice. flood hazard information for each community is available for inspection at together with the floodplain SUMMARY: This notice lists communities both the online location and the management criteria required by 44 CFR where the addition or modification of respective community map repository 60.3, are the minimum that are required. Base Flood Elevations (BFEs), base flood address listed in the table below. They should not be construed to mean depths, Special Flood Hazard Area Additionally, the current effective FIRM that the community must change any (SFHA) boundaries or zone and FIS report for each community are existing ordinances that are more designations, or the regulatory floodway accessible online through the FEMA stringent in their floodplain (hereinafter referred to as flood hazard Map Service Center at https:// management requirements. The determinations), as shown on the Flood msc.fema.gov for comparison. community may at any time enact Insurance Rate Maps (FIRMs), and Submit comments and/or appeals to stricter requirements of its own or where applicable, in the supporting the Chief Executive Officer of the pursuant to policies established by other Flood Insurance Study (FIS) reports, community as listed in the table below. Federal, State, or regional entities. The prepared by the Federal Emergency FOR FURTHER INFORMATION CONTACT: Rick flood hazard determinations are in Management Agency (FEMA) for each Sacbibit, Chief, Engineering Services accordance with 44 CFR 65.4. community, is appropriate because of Branch, Federal Insurance and The affected communities are listed in new scientific or technical data. The Mitigation Administration, FEMA, 400 the following table. Flood hazard FIRM, and where applicable, portions of C Street SW, Washington, DC 20472, determination information for each the FIS report, have been revised to (202) 646–7659, or (email) community is available for inspection at reflect these flood hazard [email protected]; or visit both the online location and the determinations through issuance of a the FEMA Mapping and Insurance respective community map repository Letter of Map Revision (LOMR), in eXchange (FMIX) online at https:// address listed in the table below. accordance with Federal Regulations. www.floodmaps.fema.gov/fhm/fmx_ Additionally, the current effective FIRM The LOMR will be used by insurance main.html. and FIS report for each community are agents and others to calculate accessible online through the FEMA SUPPLEMENTARY INFORMATION: The Map Service Center at https:// appropriate flood insurance premium specific flood hazard determinations are msc.fema.gov for comparison. rates for new buildings and the contents not described for each community in of those buildings. For rating purposes, this notice. However, the online (Catalog of Federal Domestic Assistance No. the currently effective community location and local community map 97.022, ‘‘Flood Insurance.’’) number is shown in the table below and repository address where the flood Michael M. Grimm, must be used for all new policies and hazard determination information is renewals. Assistant Administrator for Risk available for inspection is provided. Management, Department of Homeland DATES: These flood hazard Any request for reconsideration of Security, Federal Emergency Management determinations will be finalized on the flood hazard determinations must be Agency.
Online location of State and county Location and Chief executive Community map letter of map Date of Community case No. officer of community repository revision modification No.
Arizona: Yavapai. Unincorporated Mr. Craig L. Brown, Chairman, Yavapai County Develop- https:// Nov. 30, 2020 040093 areas of Yavapai County Flood Control, Dis- ment Services Depart- msc.fema.gov/ Yavapai County, trict Board of Directors, 1015 Fair ment, 1120 Commerce portal/ (20-09-0368P). Street, Prescott, AZ 86305. Drive, Prescott, AZ advanceSearch. 86305. Colorado: Adams. City of West- The Honorable Herb Atchison, City Hall, 4880 West 92nd https:// Nov. 27, 2020 080008 minster, (19– Mayor, City of Westminster, 4880 Avenue, Westminster, CO msc.fema.gov/ 08–0665P). West 92nd Avenue, Westminster, 80031. portal/ CO 80031. advanceSearch.
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Online location of State and county Location and Chief executive Community map letter of map Date of Community case No. officer of community repository revision modification No.
Adams. Unincorporated The Honorable Emma Pinter, Chair, Adams County Develop- https:// Nov. 27, 2020 080001 areas of Adams Adams County Board of Commis- ment Services Depart- msc.fema.gov/ County, (19–08– sioners, 4430 South Adams Coun- ment, Engineering Divi- portal/ 0665P). ty Parkway, 5th Floor, Suite sion, 4430 South Adams advanceSearch. C5000A, Brighton, CO 80601. County Parkway, 1st Floor, Suite W2000, Brighton, CO 80601. Arapahoe. City of Littleton The Honorable Jerry Valdes, Mayor, City Hall, 2255 West Berry https:// Nov. 6, 2020 .. 080017 (20–08–0155P). City of Littleton, 2255 West Berry Avenue, Littleton, CO msc.fema.gov/ Avenue, Littleton, CO 80120. 80120. portal/ advanceSearch. Arapahoe. Town of Col- The Honorable Roy Palmer, Mayor, Town Hall, 5931 South Mid- https:// Nov. 6, 2020 .. 080014 umbine Valley, Town of Columbine Valley, 2 Mid- dlefield Road, Columbine msc.fema.gov/ (20–08–0155P). dlefield Road, Columbine Valley, Valley, CO 80123. portal/ CO 80123. advanceSearch. Florida: Gulf. Unincorporated Mr. Michael Hammond, Gulf County Gulf County Planning and https:// Oct. 30, 2020 120098 areas of Gulf Administrator, 1000 Cecil G. Development Depart- msc.fema.gov/ County, (20–04– Costin, Sr. Boulevard, Room 302, ment, 1000 Cecil G. portal/ 1556P). Port St. Joe, FL 32456. Costin Sr. Boulevard, advanceSearch. Room 303, Port St. Joe, FL 32456. Lee. City of Sanibel, The Honorable Kevin Ruane, Mayor, Community Services De- https:// Oct. 13, 2020 120402 (20–04–2943P). City of Sanibel, 800 Dunlop Road, partment, 800 Dunlop msc.fema.gov/ Sanibel, FL 33957. Road, Sanibel, FL 33957. portal/ advanceSearch. Pasco. Unincorporated The Honorable Mike Moore, Chair- Pasco County Administra- https:// Nov. 27, 2020 120230 areas of Pasco man, Pasco County Board of Com- tion Building, 8731 Citi- msc.fema.gov/ County, (20–04– missioners, 8731 Citizens Drive, zens Drive, New Port portal/ 0554P). New Port Richey, FL 34654. Richey, FL 34654. advanceSearch. Sarasota. City of Sarasota, The Honorable Jennifer Ahearn- Development Services De- https:// Nov. 23, 2020 125150 (20–04–2373P). Koch, Mayor, City of Sarasota, partment, 1565 1st msc.fema.gov/ 1565 1st Street, Room 101, Sara- Street, Sarasota, FL portal/ sota, FL 34236. 34236. advanceSearch. Maine: Washington. City of Calais (20– The Honorable Billy Howard, Mayor, City Hall, 11 Church Street, https:// Oct. 22, 2020 230134 01–0624P). City of Calais, P.O. Box 413, Ca- Calais, ME 04619. msc.fema.gov/ lais, ME 04619. portal/ advanceSearch. Washington. Town of The Honorable Dawn Noonan, Chair, Town Hall, 2 Main Street, https:// Oct. 15, 2020 230312 Dennysville, Town of Dennysville Board of Se- Dennysville, ME 04628. msc.fema.gov/ (20–01–0179P) lectmen, P.O. Box 70, Dennysville, portal/ ME 04628. advanceSearch. Washington. Town of Northfield, The Honorable Glen Morgan, Chair- Town Hall, 1940 Northfield https:// Oct. 22, 2020 230318 (20–01–0667P). man, Town of Northfield Board of Road, Northfield, ME msc.fema.gov/ Selectmen, 1940 Northfield Road, 04654. portal/ Northfield, ME 04654. advanceSearch. Washington. Town of Pem- The Honorable Milan Jamieson, Town Hall, 48 Old County https:// Oct. 15, 2020 230143 broke, (20–01– Chairman, Town of Pembroke, Road, Pembroke, ME msc.fema.gov/ 0179P). Board of Selectmen, P.O. Box 247, 04666. portal/ Pembroke, ME 04666. advanceSearch. Washington. Town of Perry, The Honorable Ann Bellefleur, Chair, Town Hall, 898 U.S. Route https:// Oct. 15, 2020 230319 (20–01–0179P). Town of Perry Board of Selectmen, 1, Perry, ME 04667. msc.fema.gov/ P.O. Box 430, Perry, ME 04667. portal/ advanceSearch. Washington. Town of The Honorable Tom Moholland, Town Hall, 986 Ridge Road, https:// Oct. 15, 2020 230321 Robbinston, Chairman, Town of Robbinston Robbinston, ME 04671. msc.fema.gov/ (20–01–0179P). Board of Selectmen, 986 Ridge portal/ Road, Robbinston, ME 04671. advanceSearch. Washington. Town of The Honorable Tom Moholland, Town Hall, 986 Ridge Road, https:// Oct. 22, 2020 230321 Robbinston, Chairman, Town of Robbinston Robbinston, ME 04671. msc.fema.gov/ (20–01–0624P). Board of Selectmen, 986 Ridge portal/ Road, Robbinston, ME 04671. advanceSearch. Washington. Town of Wesley, The Honorable Glen Durling, Chair- Town Hall, 2 Whining Pines https:// Oct. 22, 2020 230327 (20–01–0667P). man, Town of Wesley Board of Se- Drive, Wesley, ME 04686. msc.fema.gov/ lectmen, 2 Whining Pines Drive, portal/ Wesley, ME 04686. advanceSearch. Massachusetts: Town of Nan- The Honorable Dawn E. Hill Planning and Land Use https:// Nov. 27, 2020 250230 Nantucket. tucket, (20–01– Holdgate, Chair, Town of Nan- Services Department, 2 msc.fema.gov/ 0466P). tucket Board of Selectmen, 16 Fairgrounds Road, Nan- portal/ Broad Street, Nantucket, MA tucket, MA 02554. advanceSearch. 02554. Mississippi: DeSoto. Unincorporated The Honorable Jessie Medlin, Presi- DeSoto County Planning https:// Oct. 16, 2020 280050 areas of DeSoto dent, DeSoto County Board of Su- and Building Department, msc.fema.gov/ County, (19–04– pervisors, 365 Losher Street, Suite 365 Losher Street, Suite portal/ 3965P). 300, Hernando, MS 38632. 200, Hernando, MS advanceSearch. 38632. Oklahoma: Tulsa. City of Tulsa, (20– The Honorable G.T. Bynum, Mayor, Engineering Services De- https:// Nov. 30, 2020 405381 06–0535P). City of Tulsa, 175 East 2nd Street, partment, 2317 South msc.fema.gov/ Tulsa, OK 74103. Jackson Avenue, Suite portal/ S–310, Tulsa, OK 74107. advanceSearch.
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Online location of State and county Location and Chief executive Community map letter of map Date of Community case No. officer of community repository revision modification No.
Texas: Collin. City of Celina, The Honorable Sean Terry, Mayor, City Hall, 142 North Ohio https:// Nov. 16, 2020 480133 (20–06–0459P). City of Celina, 142 North Ohio Street, Celina, TX 75009. msc.fema.gov/ Street, Celina, TX 75009. portal/ advanceSearch. Collin. City of Lucas, (20– Ms. Joni Clarke, Manager, City of Public Works and Engineer- https:// Nov. 23, 2020 481545 06–0100P). Lucas, 665 Country Club Road, ing Department, 665 msc.fema.gov/ Lucas, TX 75002. Country Club Road, portal/ Lucas, TX 75002. advanceSearch. Denton. City of Aubrey, The Honorable Janet Meyers, Mayor, Denton County GIS Depart- https:// Nov. 18, 2020 480776 (20–06–0957P). City of Aubrey, 107 South Main ment, 701 Kimberly Drive, msc.fema.gov/ Street, Aubrey, TX 76227. Suite A285, Denton, TX portal/ 76208. advanceSearch. Johnson. City of Burleson, The Honorable Ken Shetter, Mayor, City Hall, 141 West Renfro https:// Nov. 23, 2020 485459 (19–06–3252P). City of Burleson, 141 West Renfro Street, Burleson, TX msc.fema.gov/ Street, Burleson, TX 76028. 76028. portal/ advanceSearch. Montgomery, . City of Conroe, The Honorable Toby Powell, Mayor, City Hall, 300 West Davis https:// Nov. 12, 2020 480484 (19–06–2853P). City of Conroe, P.O. Box 3066, Street, Conroe, TX msc.fema.gov/ Conroe, TX 77305. 77301. portal/ advanceSearch. Tarrant. City of Mansfield, Mr. Clayton Chandler, Manager, City Geographic Information https:// Nov. 9, 2020 .. 480606 (20–06–0705P). of Mansfield, 1200 East Broad Systems (GIS) Depart- msc.fema.gov/ Street, Mansfield, TX 76063. ment, 1200 East Broad portal/ Street, Mansfield, TX advanceSearch. 76063. Utah: Grand. Unincorporated The Honorable Mary McGann, Chair, Grand County Courthouse, https:// Nov. 13, 2020 490232 areas of Grand Grand County Council, 125 East 125 East Center Street, msc.fema.gov/ County, (20–08– Center Street, Moab, UT 84532. Moab, UT 84532. portal/ 0298P). advanceSearch. Virginia: Independent City of Fairfax, Mr. Robert A. Stalzer, Manager, City Public Works Department, https:// Nov. 16, 2020 515524 City. (20–03–0228P). of Fairfax, 10455 Armstrong Street, 10455 Armstrong Street, msc.fema.gov/ Room 316, Fairfax, VA 22030. Fairfax, VA 22030. portal/ advanceSearch. Prince William. Unincorporated Mr. Christopher E. Martino, Prince Prince William County De- https:// Dec. 3, 2020 .. 510119 areas of Prince William County Executive, 1 Coun- partment of Public Works, msc.fema.gov/ William County, ty Complex Court, Prince William, 5 County Complex Court, portal/ (20–03–0070P). VA 22192. Prince William, VA 22192. advanceSearch.
[FR Doc. 2020–18415 Filed 8–20–20; 8:45 am] seek general information and comment accessible online through the FEMA BILLING CODE 9110–12–P regarding the preliminary FIRM, and Map Service Center at https:// where applicable, the FIS report that the msc.fema.gov for comparison. Federal Emergency Management Agency You may submit comments, identified DEPARTMENT OF HOMELAND (FEMA) has provided to the affected by Docket No. FEMA–B–2048, to Rick SECURITY communities. The FIRM and FIS report Sacbibit, Chief, Engineering Services are the basis of the floodplain Branch, Federal Insurance and Federal Emergency Management management measures that the Mitigation Administration, FEMA, 400 Agency community is required either to adopt C Street SW, Washington, DC 20472, [Docket ID FEMA–2020–0002; Internal or to show evidence of having in effect (202) 646–7659, or (email) Agency Docket No. FEMA–B–2048] in order to qualify or remain qualified [email protected]. for participation in the National Flood FOR FURTHER INFORMATION CONTACT: Rick Proposed Flood Hazard Insurance Program (NFIP). In addition, Sacbibit, Chief, Engineering Services Determinations the FIRM and FIS report, once effective, Branch, Federal Insurance and will be used by insurance agents and Mitigation Administration, FEMA, 400 AGENCY: Federal Emergency others to calculate appropriate flood C Street SW, Washington, DC 20472, Management Agency, DHS. insurance premium rates for new (202) 646–7659, or (email) ACTION: Notice. buildings and the contents of those [email protected]; or visit buildings. SUMMARY: Comments are requested on the FEMA Mapping and Insurance DATES: Comments are to be submitted eXchange (FMIX) online at https:// proposed flood hazard determinations, _ which may include additions or on or before November 19, 2020. www.floodmaps.fema.gov/fhm/fmx modifications of any Base Flood ADDRESSES: The Preliminary FIRM, and main.html. Elevation (BFE), base flood depth, where applicable, the FIS report for SUPPLEMENTARY INFORMATION: FEMA Special Flood Hazard Area (SFHA) each community are available for proposes to make flood hazard boundary or zone designation, or inspection at both the online location determinations for each community regulatory floodway on the Flood https://www.fema.gov/ listed below, in accordance with section Insurance Rate Maps (FIRMs), and preliminaryfloodhazarddata and the 110 of the Flood Disaster Protection Act where applicable, in the supporting respective Community Map Repository of 1973, 42 U.S.C. 4104, and 44 CFR Flood Insurance Study (FIS) reports for address listed in the tables below. 67.4(a). the communities listed in the table Additionally, the current effective FIRM These proposed flood hazard below. The purpose of this notice is to and FIS report for each community are determinations, together with the
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floodplain management criteria required outlined in 44 CFR 67.6(b) is considered The Preliminary FIRM, and where by 44 CFR 60.3, are the minimum that an appeal. Comments unrelated to the applicable, FIS report for each are required. They should not be flood hazard determinations also will be community are available for inspection construed to mean that the community considered before the FIRM and FIS at both the online location https:// must change any existing ordinances report become effective. www.fema.gov/ that are more stringent in their Use of a Scientific Resolution Panel preliminaryfloodhazarddata and the floodplain management requirements. (SRP) is available to communities in respective Community Map Repository The community may at any time enact support of the appeal resolution address listed in the tables. For stricter requirements of its own or process. SRPs are independent panels of communities with multiple ongoing pursuant to policies established by other experts in hydrology, hydraulics, and Preliminary studies, the studies can be Federal, State, or regional entities. other pertinent sciences established to identified by the unique project number These flood hazard determinations are review conflicting scientific and and Preliminary FIRM date listed in the used to meet the floodplain technical data and provide tables. Additionally, the current management requirements of the NFIP recommendations for resolution. Use of effective FIRM and FIS report for each and are used to calculate the the SRP only may be exercised after community are accessible online appropriate flood insurance premium FEMA and local communities have been through the FEMA Map Service Center rates for new buildings built after the engaged in a collaborative consultation at https://msc.fema.gov for comparison. FIRM and FIS report become effective. process for at least 60 days without a (Catalog of Federal Domestic Assistance No. The communities affected by the mutually acceptable resolution of an 97.022, ‘‘Flood Insurance.’’) flood hazard determinations are appeal. Additional information provided in the tables below. Any regarding the SRP process can be found Michael M. Grimm, request for reconsideration of the online at https://www.floodsrp.org/pdfs/ Assistant Administrator for Risk revised flood hazard information shown srp_overview.pdf. Management, Department of Homeland on the Preliminary FIRM and FIS report The watersheds and/or communities Security, Federal Emergency Management that satisfies the data requirements affected are listed in the tables below. Agency.
Community Community map repository address
Dyer County, Tennessee and Incorporated Areas Project: 18–04–0035S Preliminary Date: September 26, 2019
City of Dyersburg ...... City Hall, 425 West Court Street, Dyersburg, TN 38024. Unincorporated Areas of Dyer County ...... Dyer County Building and Zoning, 1910 Pioneer Road, Dyersburg, TN 38024.
Orange County, Texas and Incorporated Areas Project: 15–06–1153S Preliminary Date: March 31, 2020
City of Bridge City ...... City Hall, 260 Rachal Avenue, Bridge City, TX 77611. City of Orange ...... Planning and Community Development, 303 North 8th Street, Orange, TX 77630. City of Pine Forest ...... Pine Forest City Hall, 305 Nagel Street, Vidor, TX 77662. City of Pinehurst ...... Pinehurst City Hall and Municipal Court, 2497 Martin Luther King Jr. Drive, Orange, TX 77630. City of Rose City ...... City Hall, 370 South Rose City Drive, Rose City, TX 77662. City of Vidor ...... City Hall, 1395 North Main Street, Vidor, TX 77662. City of West Orange ...... City Hall, 2700 Western Avenue, West Orange, TX 77630. Unincorporated Areas of Orange County ...... Orange County Environmental Health and Code Compliance Depart- ment, 11475 FM 1442, Orange, TX 77630.
[FR Doc. 2020–18418 Filed 8–20–20; 8:45 am] (BFEs), base flood depths, Special Flood appropriate flood insurance premium BILLING CODE 9110–12–P Hazard Area (SFHA) boundaries or zone rates for buildings and the contents of designations, or regulatory floodways on those buildings. the Flood Insurance Rate Maps (FIRMs) DATES: The date of December 17, 2020, DEPARTMENT OF HOMELAND and where applicable, in the supporting has been established for the FIRM and, SECURITY Flood Insurance Study (FIS) reports where applicable, the supporting FIS have been made final for the report showing the new or modified Federal Emergency Management communities listed in the table below. flood hazard information for each Agency The FIRM and FIS report are the basis community. [Docket ID FEMA–2020–0002] of the floodplain management measures ADDRESSES: The FIRM, and if that a community is required either to Final Flood Hazard Determinations applicable, the FIS report containing the adopt or to show evidence of having in final flood hazard information for each AGENCY: Federal Emergency effect in order to qualify or remain community is available for inspection at Management Agency, DHS. qualified for participation in the Federal the respective Community Map ACTION: Notice. Emergency Management Agency’s Repository address listed in the tables (FEMA’s) National Flood Insurance below and will be available online SUMMARY: Flood hazard determinations, Program (NFIP). In addition, the FIRM through the FEMA Map Service Center which may include additions or and FIS report are used by insurance at https://msc.fema.gov by the date modifications of Base Flood Elevations agents and others to calculate indicated above.
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FOR FURTHER INFORMATION CONTACT: Rick changes has been published in new or revised FIRM and FIS report Sacbibit, Chief, Engineering Services newspapers of local circulation and 90 available at the address cited below for Branch, Federal Insurance and days have elapsed since that each community or online through the Mitigation Administration, FEMA, 400 publication. The Deputy Associate FEMA Map Service Center at https:// C Street SW, Washington, DC 20472, Administrator for Insurance and msc.fema.gov. (202) 646–7659, or (email) Mitigation has resolved any appeals The flood hazard determinations are [email protected]; or visit resulting from this notification. made final in the watersheds and/or the FEMA Map Information eXchange This final notice is issued in communities listed in the table below. (FMIX) online at https:// accordance with section 110 of the www.floodmaps.fema.gov/fhm/fmx_ Flood Disaster Protection Act of 1973, (Catalog of Federal Domestic Assistance No. main.html. 42 U.S.C. 4104, and 44 CFR part 67. 97.022, ‘‘Flood Insurance.’’) SUPPLEMENTARY INFORMATION: The FEMA has developed criteria for Michael M. Grimm, Federal Emergency Management Agency floodplain management in floodprone areas in accordance with 44 CFR part Assistant Administrator for Risk (FEMA) makes the final determinations Management, Department of Homeland 60. listed below for the new or modified Security, Federal Emergency Management flood hazard information for each Interested lessees and owners of real Agency. community listed. Notification of these property are encouraged to review the
Community Community map repository address
Yavapai County, Arizona and Incorporated Areas Docket No.: FEMA–B–1957
Unincorporated Areas of Yavapai County ...... Yavapai County Flood Control District Office, 1120 Commerce Drive, Prescott, AZ 86305.
Butler County, Iowa and Incorporated Areas Docket No.: FEMA–B–1933
City of Allison ...... City Hall, 410 North Main Street, Allison, IA 50602. City of Aplington ...... City Hall, 409 10th Street, Aplington, IA 50604. City of Aredale ...... City Hall, 102 East Main Street, Aredale, IA 50605. City of Bristow ...... City Hall, 716–A West Street, Bristow, IA 50611. City of Clarksville ...... City Hall, Maintenance, 115 West Superior Street, Clarksville, IA 50619. City of Dumont ...... City Hall, 625 1st Street, Dumont, IA 50625. City of Greene ...... City Hall, 202 West South Street, Greene, IA 50636. City of New Hartford ...... City Hall, 503 Packwaukee Street, New Hartford, IA 50660. City of Parkersburg ...... City Hall, 608 Highway 57, Parkersburg, IA 50665. City of Shell Rock ...... City Hall, 802 North Public Road, Shell Rock, IA 50670. Unincorporated Areas of Butler County ...... Butler County Zoning Office, 428 6th Street, Allison, IA 50602.
O’Brien County, Iowa and Incorporated Areas Docket No.: FEMA–B–1945S
City of Calumet ...... City Hall, 113 West 2nd Street, Calumet, IA 51009. City of Hartley ...... City Hall, 11 South Central Avenue, Hartley, IA 51346. City of Paullina ...... City Hall, 127 South Main Street, Paullina, IA 51046. City of Primghar ...... City Hall, 160 South Hayes Avenue, Primghar, IA 51245. City of Sanborn ...... City Hall, 102 Main Street, Sanborn, IA 51248. City of Sheldon ...... City Hall, 416 9th Street, Sheldon, IA 51201. City of Sutherland ...... City Hall, 110 Ash Street, Sutherland, IA 51058. Unincorporated Areas of O’Brien County ...... O’Brien County Courthouse, 155 South Hayes Avenue, Primghar, IA 51245.
Lafayette County, Wisconsin and Incorporated Areas Docket No.: FEMA–B–1932
City of Darlington ...... City Hall, 627 Main Street, Darlington, WI 53530. City of Shullsburg ...... City Hall, 190 North Judgement Street, Shullsburg, WI 53586. Unincorporated Areas of Lafayette County ...... Lafayette County Courthouse, 626 Main Street, Darlington, WI 53530. Village of Argyle ...... Village Hall, 401 East Milwaukee Street, Argyle, WI 53504. Village of Belmont ...... Village Hall, 222 South Mound Avenue, Belmont, WI 53510. Village of Benton ...... Village Hall, 244 Ridge Avenue, Benton, WI 53803. Village of Blanchardville ...... Village Hall, 208 Mason Street, Blanchardville, WI 53516. Village of Gratiot ...... Village Hall, 5840 Main Street, Gratiot, WI 53541. Village of South Wayne ...... Village Hall, 107 East Center Street, South Wayne, WI 53587.
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[FR Doc. 2020–18419 Filed 8–20–20; 8:45 am] listed in the table below and online adopt or to show evidence of being BILLING CODE 9110–12–P through the FEMA Map Service Center already in effect in order to remain at https://msc.fema.gov. qualified for participation in the FOR FURTHER INFORMATION CONTACT: Rick National Flood Insurance Program DEPARTMENT OF HOMELAND Sacbibit, Chief, Engineering Services (NFIP). SECURITY Branch, Federal Insurance and This new or modified flood hazard Mitigation Administration, FEMA, 400 Federal Emergency Management information, together with the C Street SW, Washington, DC 20472, Agency floodplain management criteria required (202) 646–7659, or (email) by 44 CFR 60.3, are the minimum that [Docket ID FEMA–2020–0002] [email protected]; or visit are required. They should not be the FEMA Mapping and Insurance construed to mean that the community Changes in Flood Hazard eXchange (FMIX) online at https:// must change any existing ordinances Determinations www.floodmaps.fema.gov/fhm/fmx_ that are more stringent in their AGENCY: Federal Emergency main.html. floodplain management requirements. Management Agency, DHS. SUPPLEMENTARY INFORMATION: The The community may at any time enact ACTION: Notice. Federal Emergency Management Agency stricter requirements of its own or (FEMA) makes the final flood hazard pursuant to policies established by other SUMMARY: New or modified Base (1- determinations as shown in the LOMRs Federal, State, or regional entities. percent annual chance) Flood for each community listed in the table This new or modified flood hazard Elevations (BFEs), base flood depths, below. Notice of these modified flood determinations are used to meet the Special Flood Hazard Area (SFHA) hazard determinations has been floodplain management requirements of boundaries or zone designations, and/or published in newspapers of local the NFIP and are used to calculate the regulatory floodways (hereinafter circulation and 90 days have elapsed appropriate flood insurance premium referred to as flood hazard since that publication. The Deputy rates for new buildings, and for the determinations) as shown on the Associate Administrator for Insurance contents in those buildings. The indicated Letter of Map Revision and Mitigation has resolved any appeals changes in flood hazard determinations (LOMR) for each of the communities resulting from this notification. are in accordance with 44 CFR 65.4. listed in the table below are finalized. The modified flood hazard Interested lessees and owners of real Each LOMR revises the Flood Insurance determinations are made pursuant to Rate Maps (FIRMs), and in some cases property are encouraged to review the section 206 of the Flood Disaster final flood hazard information available the Flood Insurance Study (FIS) reports, Protection Act of 1973, 42 U.S.C. 4105, currently in effect for the listed at the address cited below for each and are in accordance with the National community or online through the FEMA communities. The flood hazard Flood Insurance Act of 1968, 42 U.S.C. determinations modified by each LOMR Map Service Center at https:// 4001 et seq., and with 44 CFR part 65. msc.fema.gov. will be used to calculate flood insurance For rating purposes, the currently premium rates for new buildings and effective community number is shown (Catalog of Federal Domestic Assistance No. their contents. and must be used for all new policies 97.022, ‘‘Flood Insurance.’’) DATES: Each LOMR was finalized as in and renewals. Michael M. Grimm, the table below. The new or modified flood hazard Assistant Administrator for Risk ADDRESSES: Each LOMR is available for information is the basis for the Management, Department of Homeland inspection at both the respective floodplain management measures that Security, Federal Emergency Management Community Map Repository address the community is required either to Agency.
Chief executive officer of Date of Community State and county Location and case No. community Community map repository modification No.
Arizona: Maricopa (FEMA City of Buckeye (19– The Honorable Jackie A. Meck, Engineering Department, 530 East Monroe Jun. 12, 2020 040039 Docket No.: B– 09–2206P). Mayor, City of Buckeye, 530 Avenue, Buckeye, AZ 85326. 2020). East Monroe Avenue, Buckeye, AZ 85326. Maricopa (FEMA City of Goodyear (19– The Honorable Georgia Lord, Engineering and Development Services, Jun. 26, 2020 040046 Docket No.: B– 09–2077P). Mayor, City of Goodyear, 190 14455 West Van Buren Street, Suite 2020). North Litchfield Road, Good- D101, Goodyear, AZ 85338. year, AZ 85338. Maricopa (FEMA City of Phoenix (20– The Honorable Kate Gallego, Street Transportation Department, 200 West Jun. 26, 2020 040051 Docket No.: B– 09–0214P). Mayor, City of Phoenix, 200 Washington Street, 5th Floor, Phoenix, AZ 2020). West Washington Street, Phoe- 85003. nix, AZ 85003. Maricopa (FEMA Town of Queen Creek The Honorable Gail Barney, Town Hall, 22358 South Ellsworth Road, Jun. 5, 2020 ... 040132 Docket No.: B– (19–09–1906P). Mayor, Town of Queen Creek, Queen Creek, AZ 85142. 2015). 22358 South Ellsworth Road, Queen Creek, AZ 85142. Maricopa (FEMA Unincorporated Areas The Honorable Clint L. Hickman, Flood Control District of Maricopa County, Jun. 12, 2020 040037 Docket No.: B– of Maricopa County Chairman, Board of Super- 2801 West Durango Street, Phoenix, AZ 2020). (19–09–0546P). visors Maricopa County, 301 85009. West Jefferson Street, 10th Floor Phoenix, AZ 85003. Maricopa (FEMA Unincorporated Areas The Honorable Clint L. Hickman, Flood Control District of Maricopa County, Jun. 26, 2020 040037 Docket No.: B– of Maricopa County Chairman, Board of Super- 2801 West Durango Street Phoenix, AZ 2020). (19–09–1186P). visors Maricopa County, 301 85009. West Jefferson Street, 10th Floor Phoenix, AZ 85003.
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Chief executive officer of Date of Community State and county Location and case No. community Community map repository modification No.
Maricopa (FEMA Unincorporated Areas The Honorable Clint L. Hickman, Flood Control District of Maricopa County, Jun. 12, 2020 040037 Docket No.: B– of Maricopa County Chairman, Board of Super- 2801 West Durango Street, Phoenix, AZ 2020). (19–09–2206P). visors Maricopa County, 301 85009. West Jefferson Street, 10th Floor Phoenix, AZ 85003. Pima (FEMA Dock- City of Tucson (19– The Honorable Jonathan Roth- Planning and Development Services Public Apr. 21, 2020 040076 et No.: B–2010). 09–1100P). schild, Mayor, City of Tucson, Works Building, 201 North Stone Avenue, 255 West Alameda Street, Tuc- Tucson, AZ 85701. son, AZ 85701. Pima (FEMA Dock- Town of Marana (20– The Honorable Ed Honea, Mayor, Engineering Department Marana Municipal Apr. 29, 2020 040118 et No.: B–2015). 09–0131P). Town of Marana, 11555 West Complex, 11555 West Civic Center Drive, Civic Center Drive, Marana, AZ Marana, AZ 85653. 85653. Pima (FEMA Dock- Unincorporated Areas The Honorable Richard Elı´as, Pima County Flood Control District, 201 May 27, 2020 040073 et No.: B–2015). of Pima County Chairman, Board of Super- North Stone Avenue, 9th Floor, Tucson, (19–09–0046P). visors Pima County, 130 West AZ 85701. Congress Street, 11th Floor Tucson, AZ 85701. Pima (FEMA Dock- Unincorporated Areas The Honorable Richard Elı´as, Pima County Flood Control District, 201 Apr. 20, 2020 040073 et No.: B–2010). of Pima County Chairman, Board of Super- North Stone Avenue, 9th Floor, Tucson, (19–09–1762P). visors Pima County, 130 West AZ 85701. Congress Street, 11th Floor Tucson, AZ 85701. Pima (FEMA Dock- Unincorporated Areas The Honorable Richard Elı´as, Pima County Flood Control District, 201 Apr. 24, 2020 040073 et No.: B–2010). of Pima County Chairman, Board of Super- North Stone Avenue, 9th Floor Tucson, AZ (19–09–2213P). visors Pima County, 130 West 85701. Congress Street, 11th Floor Tucson, AZ 85701. California: Lake (FEMA Dock- Unincorporated Areas The Honorable Tina Scott, Chair, Lake County Department of Public Works, Jun. 8, 2020 ... 060090 et No.: B–2015). of Lake County (19– Board of Supervisors Lake 255 North Forbes Street, Room 309, 09–1042P). County, 255 North Forbes Lakeport, CA 95453. Street, Lakeport, CA 95453. Los Angeles City of Santa Clarita The Honorable Marsha McLean, City Hall Planning Department, 23920 Valen- Apr. 6, 2020 ... 060729 (FEMA Docket (19–09–0909P). Mayor, City of Santa Clarita cia Boulevard, Suite 300, Santa Clarita, No.: B–2002). City Hall 23920 Valencia Boule- CA 91355. vard, Suite 300, Santa Clarita, CA 91355. Nevada (FEMA Unincorporated Areas The Honorable Richard Ander- Nevada County Eric W. Rood Administrative Apr. 6, 2020 ... 060210 Docket No.: B– of Nevada County son, Chairman, Board of Su- Center, 950 Maidu Avenue, Nevada City, 2002). (19–09–0859P). pervisors Nevada County, 950 CA 95959. Maidu Avenue, Nevada City, CA 95959. Riverside (FEMA City of Lake Elsinore The Honorable Steve Manos, Engineering Department, 130 South Main Apr. 7, 2020 ... 060636 Docket No.: B– (19–09–1886P). Mayor, City of Lake Elsinore Street, Lake Elsinore, CA 92530. 2002). City Hall, 130 South Main Street, Lake Elsinore, CA 92530. Riverside (FEMA Unincorporated Areas The Honorable Kevin Jeffries, Riverside County Flood Control and Water Jun. 8, 2020 ... 060245 Docket No.: B– of Riverside County Chairman, Board of Super- Conservation District, 1995 Market Street, 2015). (19–09–0463P). visors Riverside County, 4080 Riverside, CA 92501. Lemon Street, 5th Floor, River- side, CA 92501. Riverside (FEMA Unincorporated Areas The Honorable Kevin Jeffries, Riverside County Flood Control and Water Apr. 7, 2020 ... 060245 Docket No.: B– of Riverside County Chairman, Board of Super- Conservation District, 1995 Market Street, 2002). (19–09–1886P). visors Riverside County, 4080 Riverside, CA 92501. Lemon Street, 5th Floor, River- side, CA 92501. Sacramento (FEMA City of Elk Grove (19– The Honorable Steve Ly, Mayor, Public Works Department, 8401 Laguna Mar. 12, 2020 060767 Docket No.: B– 09–0908P). City of Elk Grove City Hall, Palms Way, Elk Grove, CA 95758. 2002). 8401 Laguna Palms Way, Elk Grove, CA 95758. Sacramento (FEMA Unincorporated Areas The Honorable Patrick Kennedy, Sacramento County Department of Water Mar. 23, 2020 060262 Docket No.: B– of Sacramento Chairman, Board of Super- Resources, 827 7th Street, Suite 301, Sac- 2002). County (18–09– visors Sacramento County, 700 ramento, CA 95814. 1752P). H Street, Suite 2450, Sac- ramento, CA 95814. San Bernardino City of Colton (19–09– The Honorable Frank J. Navarro, Public Works Department, 160 South 10th May 1, 2020 ... 060273 (FEMA Docket 1360P). Mayor, City of Colton, 650 Street, Colton, CA 92324. No.: B–2015). North La Cadena Drive, Colton, CA 92324. San Bernardino Unincorporated Areas The Honorable Curt Hagman, San Bernardino County Public Works Water May 1, 2020 ... 060270 (FEMA Docket of San Bernardino Chairman, Board of Super- Resources Department, 825 East 3rd No.: B–2015). County (19–09– visors San Bernardino County, Street, San Bernardino, CA 92415. 1360P). 385 North Arrowhead Avenue, 5th Floor, San Bernardino, CA 92415. San Diego (FEMA City of National City The Honorable Alejandra Sotelo- City Hall, 1243 National City Boulevard, Na- Apr. 6, 2020 ... 060293 Docket No.: B– (19–09–0359P). Solis, Mayor, City of National tional City, CA 91950. 2002). City, 1243 National City Boule- vard, National City, CA 91950.
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Chief executive officer of Date of Community State and county Location and case No. community Community map repository modification No.
San Diego (FEMA City of San Diego The Honorable Kevin L. Development Services Department, 1222 1st Jun. 22, 2020 060295 Docket No.: B– (19–09–1533P). Faulconer, Mayor, City of San Avenue, MS 301, San Diego, CA 92101. 2020). Diego, 202 C Street, 11th Floor, San Diego, CA 92101. San Diego (FEMA City of Vista (19–09– The Honorable Judy Ritter, City Hall, 200 Civic Center Drive, Vista, CA Jun. 17, 2020 060297 Docket No.: B– 1368P). Mayor, City of Vista, 200 Civic 92084. 2020). Center Drive, Vista, CA 92084. San Luis Obispo City of Morro Bay (18– The Honorable John Headding, City Hall, 595 Harbor Street, Morro Bay, CA Apr. 21, 2020 060307 (FEMA Docket 09–0960P). Mayor, City of Morro Bay, 595 93442. No.: B–2010). Harbor Street, Morro Bay, CA 93442. Santa Clara (FEMA City of San Jose (19– The Honorable Sam Liccardo, Department of Public Works, 200 East Santa Jun. 1, 2020 ... 060349 Docket No.: B– 09–1592P). Mayor, City of San Jose, 200 Clara Street Tower, 5th Floor, San Jose, 2015). East Santa Clara Street, 18th CA 95113. Floor San Jose, CA 95113. Shasta (FEMA City of Redding (19– The Honorable Julie Winter, Permit Center Division, 777 Cypress Avenue, Apr. 9, 2020 ... 060360 Docket No.: B– 09–0032P). Mayor, City of Redding, 777 1st Floor, Redding, CA 96001. 2010). Cypress Avenue, 3rd Floor, Redding, CA 96001. Shasta (FEMA Unincorporated Areas The Honorable Leonard Moty, Shasta County Public Works Department, Apr. 9, 2020 ... 060358 Docket No.: B– of Shasta County Chairman, Board of Super- 1855 Placer Street, Redding, CA 96001. 2010). (19–09–0032P). visors Shasta County, 1450 Court Street, Suite 308B, Red- ding, CA 96001. Sonoma (FEMA City of Healdsburg The Honorable Leah Gold, Public Works Department, 401 Grove Street, Jun. 19, 2020 060378 Docket No.: B– (19–09–2240P). Mayor, City of Healdsburg, 401 Healdsburg, CA 95448. 2020). Grove Street, Healdsburg, CA 95448. Sonoma (FEMA Town of Windsor (19– The Honorable Dominic Foppoli, Building Department, 9291 Old Redwood Apr. 17, 2020 060761 Docket No.: B– 09–0487P). Mayor, Town of Windsor, 9291 Highway, Windsor, CA 95492. 2015). Old Redwood Highway, Build- ing 400, Windsor, CA 95492. Florida: St. Johns (FEMA Unincorporated Areas The Honorable Jeb S. Smith, St. Johns County Permit Center, 4040 Lewis Jun. 11, 2020 125147 Docket No.: B– of St. Johns County Chair, St. Johns County Board Speedway, St. Augustine, FL 32084. 2015). (18–04–6491P). of Commissioners, 500 San Sebastian View, St. Augustine, FL 32084. St. Johns (FEMA Unincorporated Areas The Honorable Jeb S. Smith, St. Johns County Permit Center, 4040 Lewis Apr. 8, 2020 ... 125147 Docket No.: B– of St. Johns County Chair, St. Johns County Board Speedway, St. Augustine, FL 32084. 2002). (19–04–4728P). of Commissioners, 500 San Sebastian View, St. Augustine, FL 32084. St. Johns (FEMA Unincorporated Areas The Honorable Jeb S. Smith, St. Johns County Permit Center, 4040 Lewis Jun. 25, 2020 125147 Docket No.: B– of St. Johns County Chair, St. Johns County Board Speedway, St. Augustine, FL 32084. 2020). (19–04–4794P). of Commissioners, 500 San Sebastian View, St. Augustine, FL 32084. St. Johns (FEMA Unincorporated Areas The Honorable Jeb S. Smith, St. Johns County Permit Center, 4040 Lewis Apr. 7, 2020 ... 125147 Docket No.: B– of St. Johns County Chair, St. Johns County Board Speedway, St. Augustine, FL 32084. 2002). (19–04–4958P). of Commissioners, 500 San Sebastian View, St. Augustine, FL 32084. St. Johns (FEMA Unincorporated Areas The Honorable Jeb S. Smith, St. Johns County Permit Center, 4040 Lewis May 5, 2020 ... 125147 Docket No.: B– of St. Johns County Chair, St. Johns County Board Speedway, St. Augustine, FL 32084. 2010). (19–04–5378P). of Commissioners, 500 San Sebastian View, St. Augustine, FL 32084. Hawaii: Maui (FEMA Dock- Maui County (19–09– The Honorable Michael P. County of Maui Planning Department, One Apr. 6, 2020 ... 150003 et No.: B–2002). 1599P). Victorino, Mayor, County of Main Plaza, 2200 Main Street, Suite 315, Maui, 200 South High Street, Wailuku, HI 96793. Kalana O Maui Building 9th Floor, Wailuku, HI 96793. Maui (FEMA Dock- Maui County (19–09– The Honorable Michael P. County of Maui Planning Department, One Jun. 22, 2020 150003 et No.: B–2020). 1600P). Victorino, Mayor, County of Main Plaza, 2200 Main Street, Suite 315, Maui, 200 South High Street, Wailuku, HI 96793. Kalana O Maui Building, 9th Floor, Wailuku, HI 96793. Idaho: Ada (FEMA Docket City of Boise (19–10– The Honorable David Bieter, City Hall, 150 North Capitol Boulevard, Apr. 3, 2020 ... 160002 No.: B–2002). 0196P). Mayor, City of Boise, P.O. Box Boise, ID 83702. 500, Boise, ID 83702. Ada (FEMA Docket Unincorporated Areas The Honorable Kendra Kenyon, Ada County Courthouse, 200 West Front Jun. 19, 2020 160001 No.: B–2020). of Ada County (20– Chair of the Board District 3 Street, Boise, ID 83702. 10–0034P). Commissioner Ada County Courthouse, 200 West Front Street, 3rd Floor, Boise, ID 83702.
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Chief executive officer of Date of Community State and county Location and case No. community Community map repository modification No.
Blaine (FEMA City of Bellevue (19– The Honorable Ned Burns, City Hall, 115 Pine Street, Bellevue, ID May 28, 2020 160021 Docket No.: B– 10–1086P). Mayor, City of Bellevue City 83313. 2015). Hall, 115 Pine Street, Bellevue, ID 83313. Blaine (FEMA Unincorporated Areas The Honorable Jacob Greenberg, Blaine County Planning & Zoning, 219 South Apr. 9, 2020 ... 165167 Docket No.: B– of Blaine County Chairman, Blaine County Com- 1st Avenue, Suite 208, Hailey, ID 83333. 2002). (19–10–0919P). missioners, Blaine County Annex Building, 219 South 1st Avenue, Suite 300, Hailey, ID 83333. Blaine (FEMA Unincorporated Areas The Honorable Jacob Greenberg, Blaine County Planning & Zoning, 219 South May 28, 2020 165167 Docket No.: B– of Blaine County Chairman, Blaine County Com- 1st Avenue, Suite 208, Hailey, ID 83333. 2015). (19–10–1086P). missioners, Blaine County Annex Building, 219 South 1st Avenue, Suite 300, Hailey, ID 83333. Illinois: DuPage (FEMA City of Warrenville The Honorable David L. City Hall, 28W701 Stafford Place, Jun. 10, 2020 170218 Docket No.: B– (20–05–1148P). Brummel, Mayor, City of Warrenville, IL 60555. 2015). Warrenville, 28W701 Stafford Place, Warrenville, IL 60555. DuPage (FEMA Village of Carol The Honorable Frank Saverino, Village Hall, 500 North Gary Avenue, Carol Apr. 6, 2020 ... 170202 Docket No.: B– Stream (19–05– Mayor, Village of Carol Stream, Stream, IL 60188. 2002). 1848P). 500 North Gary Avenue, Carol Stream, IL 60188. Lake (FEMA Dock- Village of Riverwoods The Honorable John W. Norris, Village Hall, 300 Portwine Road, Jul. 17, 2020 .. 170387 et No.: B–2041). (20-05-1123P). Mayor, Village of Riverwoods, Riverwoods, IL 60015. 300 Portwine Road, Riverwoods, IL 60015. Will (FEMA Docket City of Aurora (20–05– The Honorable Richard C. Irvin, City Hall, 44 East Downer Place Aurora, IL Jun. 3, 2020 ... 170320 No.: B–2015). 0274P). Mayor, City of Aurora, 44 East 60505. Downer Place, Aurora, IL 60505. Will (FEMA Docket City of Naperville (20– The Honorable Steve Chirico, City Hall, 400 South Eagle Street, Naperville, Jul. 6, 2020 .... 170213 No.: B–2024). 05–0194P). Mayor, City of Naperville, City IL 60540. Hall, 400 South Eagle Street, Naperville, IL 60540. Will (FEMA Docket Unincorporated Areas The Honorable Lawrence M. Land Use Department, 58 East Clinton Apr. 24, 2020 170695 No.: B–2010). of Will County (19– Walsh, County Executive, Will Street, Suite 100, Joliet, IL 60432. 05–4930P). County, Will County Office Building, 302 North Chicago Street, Joliet, IL 60432. Will (FEMA Docket Village of Mokena The Honorable Frank Fleischer, Village Hall, 11004 Carpenter Street, Apr. 24, 2020 170705 No.: B–2010). (19–05–4930P). Village President, Village of Mokena, IL 60448. Mokena, 11004 Carpenter Street, Mokena, IL 60448. Williamson (FEMA City of Marion (20– The Honorable Mike Absher, City Hall, 1102 Tower Square Plaza, Marion, Jul. 10, 2020 .. 170719 Docket No.: B– 05–1350P). Mayor, City of Marion, 1102 IL 62959. 2024). Tower Square Plaza, Marion, IL 62959. Indiana: Hancock (FEMA Unincorporated Areas Mr. John Jessup, Commissioner, Hancock County Government Building, 111 Apr. 24, 2020 180419 Docket No.: B– of Hancock County Hancock County, 111 South South American Legion Place, Greenfield, 2010). (19–05–3686P). American Legion Place, Suite IN 46140. 219, Greenfield, IN 46140. Marion (FEMA City of Indianapolis The Honorable Joe Hogsett, City Hall, 1200 Madison Avenue, Suite 100, Apr. 8, 2020 ... 180159 Docket No.: B– (20–05–0050X). Mayor, City of Indianapolis, Indianapolis, IN 46225. 2002). 2501 City-County Building, 200 East Washington Street, Indian- apolis, IN 46204. Marion (FEMA City of Lawrence (19– The Honorable Steve Collier, City Hall, 9001 East 59th Street, Lawrence, Apr. 24, 2020 180160 Docket No.: B– 05–3686P). Mayor, City of Lawrence, 9001 IN 46216. 2010). East 59th Street, Lawrence, IN 46216. Marion (FEMA Town of Speedway Mr. Jacob Blasdel, Town Man- Town Hall, 1450 North Lynhurst Drive, Apr. 8, 2020 ... 180162 Docket No.: B– (20–05–0050X). ager, Town of Speedway, 1450 Speedway, IN 46224. 2002). North Lynhurst Drive, Speed- way, IN 46224. Kansas: Johnson (FEMA City of Olathe (19–07– The Honorable Michael City Hall, 100 East Sante Fe Street, Olathe, Apr. 9, 2020 ... 200173 Docket No.: B– 0801P). Copeland, Mayor, City of KS 66051. 2002). Olathe, 100 East Santa Fe Street, Olathe, KS 66051. Leavenworth Unincorporated Areas The Honorable Doug Smith, Leavenworth County Courthouse, 300 Wal- May 8, 2020 ... 200186 (FEMA Docket of Leavenworth Chairman, Board of Leaven- nut Street, Leavenworth, KS 66048. No.: B–2010). County (19–07– worth County Commissioners, 1449P). County Courthouse, 300 Wal- nut Street, Suite 225, Leaven- worth, KS 66048. Michigan:
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Chief executive officer of Date of Community State and county Location and case No. community Community map repository modification No.
Macomb (FEMA Township of Macomb The Honorable Janet Dunn, Su- Township Hall, 54111 Broughton Road, Apr. 1, 2020 ... 260445 Docket No.: B– (19–05–3918P). pervisor, Township of Macomb, Macomb, MI 48042. 2002). 54111 Broughton Road, Macomb, MI 48042. Minnesota: Olmsted (FEMA City of Rochester (19– The Honorable Kim Norton, City Hall, 201 4th Street Southeast, Roch- Jun. 18, 2020 275246 Docket No.: B– 05–2402P). Mayor, City of Rochester City ester, MN 55904. 2020). Hall, 201 4th Street Southeast, Room 281, Rochester, MN 55904. Olmsted (FEMA Unincorporated Areas Mr. Jim Bier, County Board Chair, Olmsted County Government Center, 151 Jun. 18, 2020 270626 Docket No.: B– of Olmsted County Olmsted County Board of Com- 4th Street Southeast, Rochester, MN 2020). (19–05–2402P). missioners, 151 4th Street 55904. Southeast, Rochester, MN 55904. Nevada: Carson City (FEMA City of Carson City The Honorable Robert L. Crowell, Building Division Permit Center, 108 East May 28, 2020 320001 Docket No.: B– (19–09–1428P). Mayor, City of Carson City, City Proctor Street, Carson City, NV 89701. 2015). Hall, 201 North Carson City, Suite 2, Carson City, NV 89701. Washoe (FEMA City of Reno (19–09– The Honorable Hillary Schieve, City Hall, 1 East 1st Street, Reno, NV 89501. Apr. 7, 2020 ... 320020 Docket No.: B– 0823P). Mayor, City of Reno, P.O. Box 2002). 1900, Reno, NV 89505. Washoe (FEMA City of Reno (19–09– The Honorable Hillary Schieve, City Hall, 1 East 1st Street, Reno, NV 89501. Apr. 15, 2020 320020 Docket No.: B– 0890P). Mayor, City of Reno, P.O. Box 2010). 1900, Reno, NV 89505. Washoe (FEMA City of Reno (19–09– The Honorable Hillary Schieve, City Hall, 1 East 1st Street, Reno, NV 89501. Apr. 6, 2020 ... 320020 Docket No.: B– 1056P). Mayor, City of Reno, P.O. Box 2002). 1900, Reno, NV 89505. Washoe (FEMA City of Reno (19–09– The Honorable Hillary Schieve, City Hall, 1 East 1st Street, Reno, NV 89501. Mar. 12, 2020 320020 Docket No.: B– 1298P). Mayor, City of Reno, P.O. Box 2002). 1900, Reno, NV 89505. Washoe (FEMA Unincorporated Areas The Honorable Vaughn Hartung, Washoe County Administration Building, De- Apr. 7, 2020 ... 320019 Docket No.: B– of Washoe County Chairman, Board of Commis- partment of Public Works, 1001 East 9th 2002). (19–09–0823P). sioners, Washoe County, 1001 Street, Reno, NV 89512. East 9th Street, Building A, Reno, NV 89512. Washoe (FEMA Unincorporated Areas The Honorable Vaughn Hartung, Washoe County Administration Building, De- Mar. 31, 2020 320019 Docket No.: B– of Washoe County Chairman, Board of Commis- partment of Public Works, 1001 East 9th 2002). (19–09–0887P). sioners, Washoe County, 1001 Street, Reno, NV 89512. East 9th Street, Building A, Reno, NV 89512. Washoe (FEMA Unincorporated Areas The Honorable Vaughn Hartung, Washoe County Administration Building, De- Apr. 6, 2020 ... 320019 Docket No.: B– of Washoe County Chairman, Board of Commis- partment of Public Works, 1001 East 9th 2002). (19–09–1056P). sioners, Washoe County, 1001 Street, Reno, NV 89512. East 9th Street, Building A, Reno, NV 89512. Washoe (FEMA Unincorporated Areas The Honorable Vaughn Hartung, Washoe County Administration Building, De- Mar. 12, 2020 320019 Docket No.: B– of Washoe County Chairman, Board of Commis- partment of Public Works, 1001 East 9th 2002). (19–09–1298P). sioners, Washoe County, 1001 Street, Reno, NV 89512. East 9th Street, Building A, Reno, NV 89512. New Jersey: Essex (FEMA Township of Belleville The Honorable Michael Melham, Engineering Office, 152 Washington Avenue, Jun. 1, 2020 ... 340177 Docket No.: B– (20–02–0232P). Mayor, Township of Belleville, Belleville, NJ 07109. 2020). 152 Washington Avenue, Belle- ville, NJ 07109. Essex (FEMA Township of Nutley The Honorable Dr. Joseph Township Hall, 1 Kennedy Drive, Nutley, NJ Jun. 1, 2020 ... 340191 Docket No.: B– (20–02–0232P). Scarpelli, Mayor, Township of 07110. 2020). Nutley, 1 Kennedy Drive, Nut- ley, NJ 07110. New York: Onondaga (FEMA Town of Camillus (19– Ms. Mary Ann Coogan, Super- Town Hall, 4600 West Genesee Street, Syra- Jun. 19, 2020 360570 Docket No.: B– 02–0665P). visor, Town of Camillus, 4600 cuse, NY 13219. 2010). West Genesee Street, Syra- cuse, NY 13219. Ohio: Warren (FEMA City of Lebanon (19– The Honorable Amy Brewer, City Hall, 50 South Broadway, Lebanon, OH Mar. 30, 2020 390557 Docket No.: B– 05–5135P). Mayor, City of Lebanon, City 45036. 2002). Hall, 50 South Broadway, Leb- anon, OH 45036. Texas: Dallas (FEMA City of Grand Prairie The Honorable Ron Jensen, City Development Center, 206 West Church Jun. 1, 2020 ... 485472 Docket No.: B– (19–06–1737P). Mayor, City of Grand Prairie, Street, Grand Prairie, TX 75050. 2020). 317 West College Street, Grand Prairie, TX 75050. Dallas (FEMA City of Irving (19–06– The Honorable Rick Stopfer, Capital Improvement Program Department, Jun. 1, 2020 ... 480180 Docket No.: B– 1737P). Mayor, City of Irving, 825 West 825 West Irving Boulevard, Irving, TX 2020). Irving Boulevard, Irving, TX 75060. 75060.
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Chief executive officer of Date of Community State and county Location and case No. community Community map repository modification No.
Tarrant (FEMA City of Fort Worth The Honorable Betsy Price, Department of Transportation and Public May 1, 2020 ... 480596 Docket No.: B– (19–06–1628P). Mayor, City of Fort Worth, 200 Works, 200 Texas Street, Fort Worth, TX 2010). Texas Street, Fort Worth, TX 76102. 76102. Tarrant (FEMA City of Fort Worth The Honorable Betsy Price, Department of Transportation and Public Jun. 4, 2020 ... 480596 Docket No.: B– (19–06–3826P). Mayor, City of Fort Worth, 200 Works, 200 Texas Street, Fort Worth, TX 2015). Texas Street, Fort Worth, TX 76102. 76102. Tarrant (FEMA City of Fort Worth The Honorable Betsy Price, Department of Transportation and Public Apr. 17, 2020 480596 Docket No.: B– (19–06–4087P). Mayor, City of Fort Worth, 200 Works, 200 Texas Street, Fort Worth, TX 2010). Texas Street, Fort Worth, TX 76102. 76102. Tarrant (FEMA City of Grand Prairie The Honorable Ron Jensen, Community Development Center, 206 West Jun. 4, 2020 ... 485472 Docket No.: B– (19–06–3826P). Mayor, City of Grand Prairie, Church Street, Grand Prairie, TX 75050. 2015). 317 West College Street, Grand Prairie, TX 75053. Washington: King (FEMA Docket City of Auburn (19– The Honorable Nancy Backus, City Hall, 25 West Main Street, Auburn, WA Apr. 17, 2020 530073 No.: B–2010). 10–0993P). Mayor, City of Auburn, 25 West 98001. Main Street, Auburn, WA 98001. Wisconsin: Waukesha (FEMA Village of Summit (19– Mr. Jack Riley, Village President, Village Hall, 2911 North Dousman Road, Jun. 12, 2020 550663 Docket No.: B– 05–5478P). Village of Summit, 37100 Oconomowoc, WI 53066. 2015). Delafield Road, Summit, WI 53066.
[FR Doc. 2020–18423 Filed 8–20–20; 8:45 am] accessible online through the FEMA These flood hazard determinations are BILLING CODE 9110–12–P Map Service Center at https:// used to meet the floodplain msc.fema.gov for comparison. management requirements of the NFIP You may submit comments, identified and are also used to calculate the DEPARTMENT OF HOMELAND by Docket No. FEMA–B–2017, to Rick appropriate flood insurance premium SECURITY Sacbibit, Chief, Engineering Services rates for new buildings built after the Branch, Federal Insurance and FIRM and FIS report become effective. Federal Emergency Management Mitigation Administration, FEMA, 400 Use of a Scientific Resolution Panel Agency C Street SW, Washington, DC 20472, (SRP) is available to communities in [Docket ID FEMA–2020–0002; Internal (202) 646–7659, or (email) support of the appeal resolution Agency Docket No. FEMA–B–2017] [email protected]. process. SRPs are independent panels of FOR FURTHER INFORMATION CONTACT: Rick experts in hydrology, hydraulics, and Proposed Flood Hazard Sacbibit, Chief, Engineering Services other pertinent sciences established to Determinations Branch, Federal Insurance and review conflicting scientific and technical data and provide AGENCY: Federal Emergency Mitigation Administration, FEMA, 400 recommendations for resolution. Use of Management Agency; DHS. C Street SW, Washington, DC 20472, the SRP may only be exercised after ACTION: Notice; correction. (202) 646–7659, or (email) [email protected]; or visit FEMA and local communities have been SUMMARY: On April 3, 2020, FEMA the FEMA Mapping and Insurance engaged in a collaborative consultation published in the Federal Register a eXchange (FMIX) online at https:// process for at least 60 days without a proposed flood hazard determination www.floodmaps.fema.gov/fhm/fmx_ mutually acceptable resolution of an notice that contained an erroneous main.html. appeal. Additional information table. This notice provides corrections regarding the SRP process can be found SUPPLEMENTARY INFORMATION: FEMA _ to that table, to be used in lieu of the online at https://floodsrp.org/pdfs/srp proposes to make flood hazard _ information published at 85 FR 19010. fact sheet.pdf. determinations for each community The table provided here represents the The communities affected by the listed in the table below, in accordance proposed flood hazard determinations flood hazard determinations are with Section 110 of the Flood Disaster and communities affected for Middlesex provided in the table below. Any Protection Act of 1973, 42 U.S.C. 4104, County, Virginia, and Incorporated request for reconsideration of the and 44 CFR 67.4(a). Areas. revised flood hazard determinations These proposed flood hazard shown on the Preliminary FIRM and FIS DATES: Comments are to be submitted determinations, together with the report that satisfies the data on or before November 19, 2020. floodplain management criteria required requirements outlined in 44 CFR 67.6(b) ADDRESSES: The Preliminary Flood by 44 CFR 60.3, are the minimum that is considered an appeal. Comments Insurance Rate Map (FIRM), and where are required. They should not be unrelated to the flood hazard applicable, the Flood Insurance Study construed to mean that the community determinations will also be considered (FIS) report for each community are must change any existing ordinances before the FIRM and FIS report are available for inspection at both the that are more stringent in their made final. online location and the respective floodplain management requirements. Community Map Repository address The community may at any time enact Correction listed in the table below. Additionally, stricter requirements of its own, or In the proposed flood hazard the current effective FIRM and FIS pursuant to policies established by other determination notice published at 85 FR report for each community are Federal, State, or regional entities. 19010 in the April 3, 2020, issue of the
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Federal Register, FEMA published a In this document, FEMA is publishing (Catalog of Federal Domestic Assistance No. table titled ‘‘Middlesex County, a table containing the accurate 97.022, ‘‘Flood Insurance.’’) Virginia, and Incorporated Areas’’. This information. The information provided Michael M. Grimm, table contained inaccurate information below should be used in lieu of that Assistant Administrator for Risk as the community map repository for previously published. Management, Department of Homeland the unincorporated areas of Middlesex Security, Federal Emergency Management County featured in the table. Agency.
Community Community map repository address
Middlesex County, Virginia and Incorporated Areas
Project: 19–03–0011S Preliminary Date: September 16, 2019
Unincorporated Areas of Middlesex County ...... Middlesex County Department of Planning, 865 General Puller High- way, Saluda, VA 23149.
[FR Doc. 2020–18417 Filed 8–20–20; 8:45 am] DATES: Comments are to be submitted The community may at any time enact BILLING CODE 9110–12–P on or before November 19, 2020. stricter requirements of its own or ADDRESSES: The Preliminary FIRM, and pursuant to policies established by other where applicable, the FIS report for Federal, State, or regional entities. DEPARTMENT OF HOMELAND each community are available for These flood hazard determinations are SECURITY inspection at both the online location used to meet the floodplain https://www.fema.gov/ management requirements of the NFIP Federal Emergency Management preliminaryfloodhazarddata and the and are used to calculate the Agency respective Community Map Repository appropriate flood insurance premium rates for new buildings built after the [Docket ID FEMA–2020–0002; Internal address listed in the tables below. Agency Docket No. FEMA–B–2047] Additionally, the current effective FIRM FIRM and FIS report become effective. and FIS report for each community are The communities affected by the Proposed Flood Hazard accessible online through the FEMA flood hazard determinations are Determinations Map Service Center at https:// provided in the tables below. Any msc.fema.gov for comparison. request for reconsideration of the AGENCY: Federal Emergency You may submit comments, identified revised flood hazard information shown Management Agency, DHS. by Docket No. FEMA–B–2047, to Rick on the Preliminary FIRM and FIS report ACTION: Notice. Sacbibit, Chief, Engineering Services that satisfies the data requirements Branch, Federal Insurance and outlined in 44 CFR 67.6(b) is considered SUMMARY: Comments are requested on Mitigation Administration, FEMA, 400 an appeal. Comments unrelated to the proposed flood hazard determinations, C Street SW, Washington, DC 20472, flood hazard determinations also will be which may include additions or (202) 646–7659, or (email) considered before the FIRM and FIS modifications of any Base Flood [email protected]. report become effective. Elevation (BFE), base flood depth, Use of a Scientific Resolution Panel FOR FURTHER INFORMATION CONTACT: Rick Special Flood Hazard Area (SFHA) (SRP) is available to communities in Sacbibit, Chief, Engineering Services boundary or zone designation, or support of the appeal resolution Branch, Federal Insurance and regulatory floodway on the Flood process. SRPs are independent panels of Mitigation Administration, FEMA, 400 Insurance Rate Maps (FIRMs), and experts in hydrology, hydraulics, and C Street SW, Washington, DC 20472, where applicable, in the supporting other pertinent sciences established to (202) 646–7659, or (email) Flood Insurance Study (FIS) reports for review conflicting scientific and [email protected]; or visit the communities listed in the table technical data and provide the FEMA Mapping and Insurance below. The purpose of this notice is to recommendations for resolution. Use of eXchange (FMIX) online at https:// seek general information and comment the SRP only may be exercised after www.floodmaps.fema.gov/fhm/fmx_ regarding the preliminary FIRM, and FEMA and local communities have been main.html. where applicable, the FIS report that the engaged in a collaborative consultation Federal Emergency Management Agency SUPPLEMENTARY INFORMATION: FEMA process for at least 60 days without a (FEMA) has provided to the affected proposes to make flood hazard mutually acceptable resolution of an communities. The FIRM and FIS report determinations for each community appeal. Additional information are the basis of the floodplain listed below, in accordance with section regarding the SRP process can be found management measures that the 110 of the Flood Disaster Protection Act online at https://www.floodsrp.org/pdfs/ community is required either to adopt of 1973, 42 U.S.C. 4104, and 44 CFR srp_overview.pdf. or to show evidence of having in effect 67.4(a). The watersheds and/or communities in order to qualify or remain qualified These proposed flood hazard affected are listed in the tables below. for participation in the National Flood determinations, together with the The Preliminary FIRM, and where Insurance Program (NFIP). In addition, floodplain management criteria required applicable, FIS report for each the FIRM and FIS report, once effective, by 44 CFR 60.3, are the minimum that community are available for inspection will be used by insurance agents and are required. They should not be at both the online location https:// others to calculate appropriate flood construed to mean that the community www.fema.gov/ insurance premium rates for new must change any existing ordinances preliminaryfloodhazarddata and the buildings and the contents of those that are more stringent in their respective Community Map Repository buildings. floodplain management requirements. address listed in the tables. For
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communities with multiple ongoing through the FEMA Map Service Center (Catalog of Federal Domestic Assistance No. Preliminary studies, the studies can be at https://msc.fema.gov for comparison. 97.022, ‘‘Flood Insurance.’’) identified by the unique project number Michael M. Grimm, and Preliminary FIRM date listed in the Assistant Administrator for Risk tables. Additionally, the current Management, Department of Homeland effective FIRM and FIS report for each Security, Federal Emergency Management community are accessible online Agency.
Community Community map repository address
Jackson County, Iowa and Incorporated Areas Project: 16–07–2291S Preliminary Dates: August 22, 2018, August 27, 2019 and April 8, 2020
City of Baldwin ...... City Hall, 4746 50th Avenue, Baldwin, IA 52207. City of Bellevue ...... City Hall, 106 North 3rd Street, Bellevue, IA 52031. City of La Motte ...... City Hall, 102 South Main Street, La Motte, IA 52054. City of Maquoketa ...... City Hall, 201 East Pleasant Street, Maquoketa, IA 52060. City of Miles ...... City Hall, 430 Ferry Road, Miles, IA 52064. City of Monmouth, ...... City Hall, 501 North Division Street, Monmouth, IA 52309. City of Preston ...... City Hall, 1 West Gillet Street, Preston, IA 52069. City of Sabula ...... City Hall, 411 Broad Street, Sabula, IA 52070. City of Spragueville ...... City Hall, 127 East Main Street, Spragueville, IA 52074. City of Springbrook ...... City Hall, 203 North 12th Street, Springbrook, IA 52075. City of St. Donatus ...... City Hall, 114 East 2nd Street, St. Donatus, IA 52071. Unincorporated Areas of Jackson County ...... Jackson County Courthouse, 201 West Platt Street, Maquoketa, IA 52060.
Jones County, Iowa and Incorporated Areas Project: 16–07–2309S Preliminary Date: April 7, 2020
Unincorporated Areas of Jones County ...... Jones County Engineer’s Office, 19501 Highway 64, Anamosa, IA 52205.
[FR Doc. 2020–18416 Filed 8–20–20; 8:45 am] determinations through issuance of a Additionally, the current effective FIRM BILLING CODE 9110–12–P Letter of Map Revision (LOMR), in and FIS report for each community are accordance with Federal Regulations. accessible online through the FEMA The LOMR will be used by insurance Map Service Center at https:// DEPARTMENT OF HOMELAND agents and others to calculate msc.fema.gov for comparison. SECURITY appropriate flood insurance premium Submit comments and/or appeals to rates for new buildings and the contents the Chief Executive Officer of the Federal Emergency Management of those buildings. For rating purposes, community as listed in the table below. Agency the currently effective community FOR FURTHER INFORMATION CONTACT: Rick [Docket ID FEMA–2020–0002; Internal number is shown in the table below and Sacbibit, Chief, Engineering Services Agency Docket No. FEMA–B–2049] must be used for all new policies and Branch, Federal Insurance and renewals. Mitigation Administration, FEMA, 400 Changes in Flood Hazard DATES: These flood hazard C Street SW, Washington, DC 20472, Determinations determinations will be finalized on the (202) 646–7659, or (email) AGENCY: Federal Emergency dates listed in the table below and [email protected]; or visit Management Agency, DHS. revise the FIRM panels and FIS report the FEMA Mapping and Information in effect prior to this determination for eXchange (FMIX) online at https:// ACTION: Notice. the listed communities. www.floodmaps.fema.gov/fhm/fmx_ SUMMARY: This notice lists communities From the date of the second main.html. where the addition or modification of publication of notification of these SUPPLEMENTARY INFORMATION: The Base Flood Elevations (BFEs), base flood changes in a newspaper of local specific flood hazard determinations are depths, Special Flood Hazard Area circulation, any person has 90 days in not described for each community in (SFHA) boundaries or zone which to request through the this notice. However, the online designations, or the regulatory floodway community that the Deputy Associate location and local community map (hereinafter referred to as flood hazard Administrator for Insurance and repository address where the flood determinations), as shown on the Flood Mitigation reconsider the changes. The hazard determination information is Insurance Rate Maps (FIRMs), and flood hazard determination information available for inspection is provided. where applicable, in the supporting may be changed during the 90-day Any request for reconsideration of Flood Insurance Study (FIS) reports, period. flood hazard determinations must be prepared by the Federal Emergency ADDRESSES: The affected communities submitted to the Chief Executive Officer Management Agency (FEMA) for each are listed in the table below. Revised of the community as listed in the table community, is appropriate because of flood hazard information for each below. new scientific or technical data. The community is available for inspection at The modifications are made pursuant FIRM, and where applicable, portions of both the online location and the to section 201 of the Flood Disaster the FIS report, have been revised to respective community map repository Protection Act of 1973, 42 U.S.C. 4105, reflect these flood hazard address listed in the table below. and are in accordance with the National
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Flood Insurance Act of 1968, 42 U.S.C. that the community must change any respective community map repository 4001 et seq., and with 44 CFR part 65. existing ordinances that are more address listed in the table below. The FIRM and FIS report are the basis stringent in their floodplain Additionally, the current effective FIRM of the floodplain management measures management requirements. The and FIS report for each community are that the community is required either to community may at any time enact accessible online through the FEMA adopt or to show evidence of having in stricter requirements of its own or Map Service Center at https:// effect in order to qualify or remain pursuant to policies established by other msc.fema.gov for comparison. qualified for participation in the Federal, State, or regional entities. The (Catalog of Federal Domestic Assistance No. National Flood Insurance Program flood hazard determinations are in 97.022, ‘‘Flood Insurance.’’) (NFIP). accordance with 44 CFR 65.4. These flood hazard determinations, The affected communities are listed in Michael M. Grimm, together with the floodplain the following table. Flood hazard Assistant Administrator for Risk management criteria required by 44 CFR determination information for each Management, Department of Homeland 60.3, are the minimum that are required. community is available for inspection at Security, Federal Emergency Management They should not be construed to mean both the online location and the Agency.
Online location State and county Location and Chief executive Community map of letter of Date of Community case No. officer of community repository map revision modification No.
Arkansas: Sebastian. City of Fort Smith The Honorable George B. McGill, Department of Engineering, https:// Oct. 14, 2020 055013 (19–06–3706P). Mayor, City of Fort Smith, P.O. Box 623 Garrison Avenue, msc.fema.gov/ 1908, Fort Smith, AR 72902. Fort Smith, AR 72901. portal/ advanceSearch. Colorado: Boulder. City of Boulder The Honorable Sam Weaver, Mayor, Central Records Depart- https:// Oct. 30, 2020 080024 (19–08–0976P). City of Boulder, 1777 Broadway ment, 1777 Broadway msc.fema.gov/ Street, Boulder, CO 80302. Street, Boulder, CO portal/ 80302. advanceSearch. Boulder. Unincorporated The Honorable Deb Gardner, Chair, Boulder County Department https:// Oct. 30, 2020 080023 areas of Boulder Boulder County Board of Commis- of Public Works, 1739 msc.fema.gov/ County (19–08– sioners, P.O. Box 471, Boulder, Broadway, Suite 300, portal/ 0976P). CO 80306. Boulder, CO 80306. advanceSearch. Denver. City and County of The Honorable Michael B. Hancock, Department of Public https:// Nov. 23, 2020 080046 Denver (20–08– Mayor, City and County of Denver, Works, 201 West Colfax msc.fema.gov/ 0456P). 1437 North Bannock Street, Room Avenue, Denver, CO portal/ 350, Denver, CO 80202. 80202. advanceSearch. Larimer. Unincorporated The Honorable Steve Johnson, Larimer County Engineering https:// Oct. 13, 2020 080101 areas of Larimer Chairman, Larimer County Board Department, 200 West msc.fema.gov/ County (20–08– of Commissioners, 200 West Oak Oak Street, Suite 3000, portal/ 0140P). Street, Suite 2200, Fort Collins, Fort Collins, CO 80521. advanceSearch. CO 80521. Connecticut: Fairfield. Town of Westport The Honorable James Marpe, First Planning and Zoning De- https:// Oct. 13, 2020 090019 (19–01–1183P). Selectman, Town of Westport partment, 110 Myrtle Ave- msc.fema.gov/ Board of Selectmen, 110 Myrtle nue, Westport, CT 06880. portal/ Avenue, Westport, CT 06880. advanceSearch. Florida: Collier. City of Marco Is- Mr. Michael T. McNees, Manager, Building Services Depart- https:// Nov. 9, 2020 .. 120426 land (20–04– City of Marco Island, 50 Bald Eagle ment, 50 Bald Eagle msc.fema.gov/ 2874P). Drive, Marco Island, FL 34145. Drive, Marco Island, FL portal/ 34145. advanceSearch. Duvall. City of Jackson- The Honorable Lenny Curry, Mayor, Development Services Divi- https:// Nov. 10, 2020 120077 ville (20–04– City of Jacksonville, 117 West sion, 214 North Hogan msc.fema.gov/ 0754P). Duval Street, Suite 400, Jackson- Street, Jacksonville, FL portal/ ville, FL 32202. 32202. advanceSearch. Lee. City of Bonita The Honorable Peter Simmons, Community Development https:// Oct. 13, 2020 120680 Springs (19–04– Mayor, City of Bonita Springs, Department, 9220 Bonita msc.fema.gov/ 5595P). 9101 Bonita Beach Road, Bonita Beach Road, Bonita portal/ Springs, FL 34135. Springs, FL 34135. advanceSearch. Lee. Town of Fort The Honorable Ray Murphy, Mayor, Community Development https:// Oct. 22, 2020 120673 Myers Beach Town of Fort Myers Beach, 2525 Department, 2525 Estero msc.fema.gov/ (20–04–1546P). Estero Boulevard, Fort Myers Boulevard, Fort Myers portal/ Beach, FL 33931. Beach, FL 33931. advanceSearch. Lee. Unincorporated Mr. Roger Desjarlais, Manager, Lee Lee County Building Depart- https:// Oct. 13, 2020 125124 areas of Lee County, 2120 Main Street, Fort ment, 1500 Monroe msc.fema.gov/ County (19–04– Myers, FL 33901. Street, Fort Myers, FL portal/ 5595P). 33901. advanceSearch. Georgia: Gwinnett. Unincorporated The Honorable Charlotte J. Nash, Gwinnett County Depart- https:// Oct. 15, 2020 130322 areas of Chair, Gwinnett County Board of ment of Planning and De- msc.fema.gov/ Gwinnett County Commissioners, 751 Langley velopment, 446 West portal/ (19–04–6977P). Drive, Lawrenceville, GA 30046. Crogan Street, advanceSearch. Lawrenceville, GA 30046. Richmond. City of Augusta The Honorable Hardie Davis, Jr., Planning and Development https:// Oct. 30, 2020 130158 (19–04–6697P). Mayor, City of Augusta, 535 Telfair Department, 535 Telfair msc.fema.gov/ Street, Suite 200, Augusta, GA Street, Suite 300, Au- portal/ 30901. gusta, GA 30901. advanceSearch. Maine:
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Online location State and county Location and Chief executive Community map of letter of Date of Community case No. officer of community repository map revision modification No.
Washington. Town of Addison The Honorable Verlan R. Lenfestey Town Hall, 334 Water https:// Nov. 12, 2020 230132 (20–01–0671P). Jr., Chairman, Town of Addison Street, Addison, ME msc.fema.gov/ Board of Selectmen, P.O. Box 142, 04606. portal/ Addison, ME 04606. advanceSearch. Washington. Town of The Honorable Arthur Tatangelo, Town Hall, 12 Municipal https:// Nov. 12, 2020 230135 Cherryfield (20– Chairman, Town of Cherryfield Way, Cherryfield, ME msc.fema.gov/ 01–0670P). Board of Selectmen, P.O. Box 58, 04622. portal/ Cherryfield, ME 04622. advanceSearch. Washington. Town of Columbia The Honorable Harry Beal, Jr., Chair- Town Hall, 106 Epping https:// Nov. 12, 2020 230307 (20–01–0671P). man, Town of Columbia Board of Road, Columbia, ME msc.fema.gov/ Selectmen, 106 Epping Road, Co- 04623. portal/ lumbia, ME 04623. advanceSearch. Washington. Town of Columbia The Honorable Nancy Bagley, Chair, Town Hall, 8 Point Street, https:// Nov. 12, 2020 230308 Falls (20–01– Town of Columbia Falls Board of Columbia Falls, ME msc.fema.gov/ 0671P). Selectmen, P.O. Box 100, Colum- 04623. portal/ bia Falls, ME 04623. advanceSearch. Washington. Town of East The Honorable Kenneth Davis, Jr., Town Hall, 32 Cutler Road, https:// Nov. 12, 2020 230313 Machias (20– Chairman, Town of East Machias East Machias, ME 04630. msc.fema.gov/ 01–0668P). Board of Selectmen, P.O. Box 117, portal/ East Machias, ME 04630. advanceSearch. Washington. Town of Har- The Honorable Joel Strout, Chair- Town Hall, 114 East Main https:// Nov. 12, 2020 230314 rington (20–01– man, Town of Harrington Board of Street, Harrington, ME msc.fema.gov/ 0671P). Selectmen, P.O. Box 142, Har- 04643. portal/ rington, ME 04643. advanceSearch. Washington. Town of The Honorable Michael Schoppee, Town Hall, 23 Station Road, https:// Nov. 12, 2020 230315 Jonesboro (20– Chairman, Town of Jonesboro Jonesboro, ME 04684. msc.fema.gov/ 01–0668P). Board of Selectmen, P.O. Box 86, portal/ Jonesboro, ME 04684. advanceSearch. Washington. Town of The Honorable Michael Schoppee, Town Hall, 23 Station Road, https:// Nov. 12, 2020 230315 Jonesboro (20– Chairman, Town of Jonesboro Jonesboro, ME 04684. msc.fema.gov/ 01–0671P). Board of Selectmen, P.O. Box 86, portal/ Jonesboro, ME 04684. advanceSearch. Washington. Town of The Honorable Robert Carter, Chair- Town Hall, 187 Northfield https:// Nov. 12, 2020 230316 Marshfield (20– man, Town of Marshfield Board of Road, Marshfield, ME msc.fema.gov/ 01–0668P). Selectmen, 187 Northfield Road, 04654. portal/ Marshfield, ME 04654. advanceSearch. Washington. Town of Steuben The Honorable Larry Pinkham, Chair- Town Hall, 294 U.S. Route https:// Nov. 12, 2020 230323 (20–01–0670P). man, Town of Steuben Board of 1, Steuben, ME 04680. msc.fema.gov/ Selectmen, 294 U.S. Route 1, portal/ Steuben, ME 04680. advanceSearch. Washington. Town of The Honorable Nate Perry, Chair- Town Hall, 42 South Main https:// Nov. 12, 2020 230329 Whitneyville man, Town of Whitneyville Board Street, Whitneyville, ME msc.fema.gov/ (20–01–0668P). of Selectmen, 42 South Main 04654. portal/ Street Whitneyville, ME 04654. advanceSearch. Mississippi: Harrison. City of Long The Honorable George L. Bass, Department of Permits and https:// Oct. 13, 2020 285257 Beach (20–04– Mayor, City of Long Beach, 201 Zoning, 201 Jeff Davis msc.fema.gov/ 3634P). Jeff Davis Avenue, Long Beach, Avenue, Long Beach, MS portal/ MS 39560. 39560. advanceSearch. New Hampshire: City of Manchester The Honorable Joyce Craig, Mayor, City Hall, One City Hall https:// Nov. 9, 2020 .. 330169 Hillsborough. (20–01–0142P). City of Manchester, One City Hall Plaza, Manchester, NH msc.fema.gov/ Plaza, Manchester, NH 03101. 03101. portal/ advanceSearch. North Carolina: Wayne. City of Goldsboro The Honorable Chuck Allen, Mayor, City Hall, 200 North Center https:// Oct. 9, 2020 ... 370255 (20–04–0269P). City of Goldsboro, 200 North Cen- Street, Goldsboro, NC msc.fema.gov/ ter Street, Goldsboro, NC 27530. 27530. portal/ advanceSearch. Wayne. Unincorporated The Honorable E. Ray Mayo, Chair- Wayne County Planning https:// Oct. 9, 2020 ... 370254 areas of Wayne man, Wayne County Board of Department, 134 North msc.fema.gov/ County (20–04– Commissioners, 224 East Walnut John Street, 3rd Floor, portal/ 0269P). Street, Goldsboro, NC 27530. Goldsboro, NC 27530. advanceSearch. Pennsylvania: Chester. Township of The Honorable James W. Oram, Jr., Township Hall, 566 Beau- https:// Oct. 30, 2020 422600 Easttown (20– Chairman, Township of Easttown mont Road, Devon, PA msc.fema.gov/ 03–0073P). Board of Supervisors, 566 Beau- 19333. portal/ mont Road, Devon, PA 19333. advanceSearch. South Dakota: Custer. City of Custer The Honorable Corbin Herman, Planning and Building De- https:// Oct. 22, 2020 460019 (20-08-0443P). Mayor, City of Custer, 622 Crook partment, 622 Crook msc.fema.gov/ Street, Custer, SD 57730. Street, Custer, SD 57730. portal/ advanceSearch. Custer. Unincorporated The Honorable Jim Lintz, Chairman, Custer County Department https:// Oct. 22, 2020 460018 areas of Custer Custer County Board of Commis- of Planning and Eco- msc.fema.gov/ County sioners, 420 Mount Rushmore nomic Development, 420 portal/ (20-08-0443P). Road, Custer, SD 57730. Mount Rushmore Road, advanceSearch. Custer, SD 57730. Pennington. City of Rapid City The Honorable Steve Allender, Public Works Department, https:// Oct. 19, 2020 465420 (20-08-0020P). Mayor, City of Rapid City, 300 6th Engineering Services Di- msc.fema.gov/ Street, Rapid City, SD 57701. vision, 300 6th Street, portal/ Rapid City, SD 57701. advanceSearch.
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Online location State and county Location and Chief executive Community map of letter of Date of Community case No. officer of community repository map revision modification No.
Texas: Bell. City of Nolanville The Honorable Andy Williams, City Hall, 101 North 5th https:// Oct. 14, 2020 480032 (19–06–1647P). Mayor, City of Nolanville, 101 Street, Nolanville, TX msc.fema.gov/ North 5th Street, Nolanville, TX 76559. portal/ 76559. advanceSearch. Bexar. City of Converse The Honorable Al Suarez, Mayor, City Hall, 403 South Seguin, https:// Oct. 19, 2020 480038 (19–06–1746P). City of Converse, 403 South Converse, TX 78109. msc.fema.gov/ Seguin, Converse, TX 78109. portal/ advanceSearch. Bexar. City of San Anto- The Honorable Ron Nirenberg, Transportation and Capital https:// Oct. 26, 2020 480045 nio (19–06– Mayor, City of San Antonio, P.O. Improvements Depart- msc.fema.gov/ 4014P). Box 839966, San Antonio, TX ment, Storm Water Divi- portal/ 78283. sion, 114 West Com- advanceSearch. merce Street, 7th Floor, San Antonio, TX 78205. Bexar. City of Universal The Honorable John Williams, Mayor, Department of Stormwater, https:// Oct. 19, 2020 480049 City (19–06– City of Universal City, 2150 Uni- 2150 Universal City Bou- msc.fema.gov/ 1746P). versal City Boulevard, Universal levard, Universal City, TX portal/ City, TX 78148. 78148. advanceSearch. Bexar. Unincorporated The Honorable Nelson W. Wolff, Bexar County Public Works https:// Oct. 26, 2020 480035 areas of Bexar Bexar County Judge, 101 West Department, 1948 msc.fema.gov/ County (19–06– Nueva Street, 10th Floor, San An- Probandt Street, San An- portal/ 3557P). tonio, TX 78205. tonio, TX 78214. advanceSearch. Bexar. Unincorporated The Honorable Nelson W. Wolff, Bexar County Public Works https:// Oct. 26, 2020 480035 areas of Bexar Bexar County Judge, 101 West Department, 1948 msc.fema.gov/ County (19–06– Nueva Street, 10th Floor, San An- Probandt Street, San An- portal/ 4014P). tonio, TX 78205. tonio, TX 78214. advanceSearch. Collin. City of McKinney The Honorable George Fuller, Mayor, Engineering Department, https:// Nov. 2, 2020 .. 480135 (20–06–0689P). City of McKinney, P.O. Box 517, 221 North Tennessee msc.fema.gov/ McKinney, TX 75070. Street, McKinney, TX portal/ 75069. advanceSearch. Fort Bend. Unincorporated The Honorable K.P. George, Fort Fort Bend County Engineer- https:// Oct. 30, 2020 480228 areas of Fort Bend County Judge, 301 Jackson ing Department, 301 msc.fema.gov/ Bend County Street, 4th Floor, Richmond, TX Jackson Street, 4th Floor, portal/ (20–06–0547P). 77469. Richmond, TX 77469. advanceSearch. Tarrant. City of Colleyville The Honorable Richard Newton, City Hall, 100 Main Street, https:// Nov. 12, 2020 480590 (20–06–1166P). Mayor, City of Colleyville, 100 Main Colleyville, TX 76034. msc.fema.gov/ Street, Colleyville, TX 76034. portal/ advanceSearch. Tarrant. City of Crowley The Honorable Billy P. Davis, Mayor, Department of Community https:// Oct. 26, 2020 480591 (20–06–0069P). City of Crowley, 201 East Main Development, 201 East msc.fema.gov/ Street, Crowley, TX 76036. Main Street, Crowley, TX portal/ 76036. advanceSearch. Williamson. City of Leander Mr. Rick Beverlin, Manager, City of City Hall, 105 North Brushy https:// Oct. 30, 2020 481536 (19–06–3344P). Leander, 105 North Brushy Street, Street, Leander, TX msc.fema.gov/ Leander, TX 78641. 78641. portal/ advanceSearch. Williamson. City of Leander Mr. Rick Beverlin, Manager, City of City Hall, 105 North Brushy https:// Oct. 30, 2020 481536 (19–06–3660P). Leander, 105 North Brushy Street, Street, Leander, TX msc.fema.gov/ Leander, TX 78641. 78641. portal/ advanceSearch. Utah: Salt Lake. City of Riverton The Honorable Trent Staggs, Mayor, Public Works Department, https:// Oct. 22, 2020 490104 (20–08–0458P). City of Riverton, 12830 South Red- 12526 South 4150 West, msc.fema.gov/ wood Road, Riverton, UT 84065. Riverton, UT 84065. portal/ advanceSearch. Summit. Unincorporated The Honorable Doug Clyde, Chair- Summit County Govern- https:// Oct. 29, 2020 490134 areas of Summit man, Summit County Council, P.O. ment Office, 60 North msc.fema.gov/ County (19–08– Box 128, Coalville, UT 84017. Main Street, Coalville, UT portal/ 1037P). 84017. advanceSearch.
[FR Doc. 2020–18424 Filed 8–20–20; 8:45 am] DEPARTMENT OF HOUSING AND ACTION: Notice. BILLING CODE 9110–12–P URBAN DEVELOPMENT SUMMARY: HUD has submitted the proposed information collection [Docket No. FR–7024–N–37] requirement described below to the Office of Management and Budget 30-Day Notice of Proposed Information (OMB) for review, in accordance with Collection: FHA-Insured Mortgage the Paperwork Reduction Act. The Loan Servicing for Performing Loans; purpose of this notice is to allow for an MIP Processing, Escrow additional 30 days of public comment. Administration, Customer Service, DATES: Servicing Fees and 235 Loans; OMB Comments Due Date: September Control Number (2502–0583) 21, 2020. ADDRESSES: Interested persons are AGENCY: Office of the Chief Information invited to submit comments regarding Officer, HUD. this proposal. Written comments and
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recommendations for the proposed B. Solicitation of Public Comment ADDRESSES: Interested persons are information collection should be sent This notice is soliciting comments invited to submit comments regarding within 30 days of publication of this from members of the public and affected this proposal. Written comments and notice to www.reginfo.gov/public/do/ parties concerning the collection of recommendations for the proposed Start Printed Page 15501PRAMain. Find information described in Section A on information collection should be sent this particular information collection by the following: within 30 days of publication of this selecting ‘‘Currently under 30-day (1) Whether the proposed collection notice to www.reginfo.gov/public/do/ Review—Open for Public Comments’’ or of information is necessary for the StartPrintedPage15501PRAMain. Find by using the search function. proper performance of the functions of this particular information collection by FOR FURTHER INFORMATION CONTACT: the agency, including whether the selecting ‘‘Currently under 30-day Colette Pollard, Reports Management information will have practical utility; Review—Open for Public Comments’’ or Officer, QDAM, Department of Housing (2) The accuracy of the agency’s by using the search function. and Urban Development, 451 7th Street estimate of the burden of the proposed FOR FURTHER INFORMATION CONTACT: SW, Room 4176, Washington, DC collection of information. (3) Ways to Colette Pollard, Reports Management 20410–5000; telephone 202–402–3400 enhance the quality, utility, and clarity Officer, QDAM, Department of Housing (this is not a toll-free number) or email of the information to be collected; and and Urban Development, 451 7th Street at [email protected] for a copy of (4) Ways to minimize the burden of SW, Washington, DC 20410; email the proposed forms or other available the collection of information on those Colette Pollard at Colette.Pollard@ information. Persons with hearing or who are to respond; including through hud.gov or telephone 202–402–3400. speech impairments may access this the use of appropriate automated Persons with hearing or speech number through TTY by calling the toll- collection techniques or other forms of impairments may access this number free Federal Relay Service at (800) 877– information technology, e.g., permitting through TTY by calling the toll-free 8339. electronic submission of responses. Federal Relay Service at (800) 877–8339. Copies of available documents (5) ways to minimize the burden of This is not a toll-free number. Copies of submitted to OMB may be obtained the collection of information on those available documents submitted to OMB from Ms. Pollard. who are to respond, including the use may be obtained from Ms. Pollard. SUPPLEMENTARY INFORMATION: This of automated collection techniques or SUPPLEMENTARY INFORMATION: This notice informs the public that HUD has other forms of information technology. notice informs the public that HUD has submitted to OMB a request for HUD encourages interested parties to submitted to OMB a request for approval of the information collection submit comment in response to these approval of the information collection described in Section A. The Federal questions. described in Section A. The Federal Register notice that solicited public Register notice that solicited public C. Authority comment on the information collection comment on the information collection for a period of 60 days was published Section 2 of the Paperwork Reduction for a period of 60 days was published on May 21, 2020 at 85 FR 30980. Act of 1995, 44 U.S.C. 3507. on May 15, 2020 at 85 FR 29473. A. Overview of Information Collection Dated: August 14, 2020. A. Overview of Information Collection Anna Guido, Title of Information Collection: FHA- Title of Information Collection: Insured Mortgage Loan Servicing for Department Reports Management Officer, Allocation of Operating Funds under Office of the Chief Information Officer. Performing Loans; MIP Processing, the Operating Fund Formula: Data Escrow Administration, Customer [FR Doc. 2020–18380 Filed 8–20–20; 8:45 am] Collection. Services, Servicing Fees and 235 Loans. BILLING CODE 4210–67–P OMB Approval Number: 2577–0029. OMB Approval Number: 2502–0583. Type of Request: Extension of Type of Request: Extension of currently approved collections. DEPARTMENT OF HOUSING AND currently approved collection. Form Number: HUD–52722 and URBAN DEVELOPMENT Form Numbers: None. HUD–52723. Description of the need for the Description of the need for the [Docket No. FR–7024–N–35] information and proposed use: This information and proposed use: Public information request is a comprehensive 30-Day Notice of Proposed Information Housing Agencies (PHAs) use this collection for mortgagees that service Collection: Allocation of Operating information in budget submissions FHA-insured loans and are involved Fund Grant Under the Operating Fund which are reviewed and approved by with the collection and payment of Formula: Data Collection; OMB Control HUD field offices as the basis for mortgage insurance premiums, the Number (2577–0029) obligating the operating fund grant. This processing of loan payments, escrow information is necessary to calculate the account administration, providing loan AGENCY: Office of the Chief Information eligibility for the operating fund grant information and customer service to the Officer, HUD. under the Operating Funding Program mortgagor, and assessing post ACTION: Notice. regulations, as amended. The Operating endorsement fees and charges. Fund is designed to provide the amount Respondents: Business or other for SUMMARY: HUD has submitted the of operating funds needed for well- profit and Individuals or households proposed information collection managed PHAs. PHAs submit the Estimated Number of Respondents: requirement described below to the information electronically with these 340. Office of Management and Budget forms. Estimated Number of Responses: (OMB) for review, in accordance with The following changes occurred in 73,800.40. the Paperwork Reduction Act. The this submission. The form no longer Frequency of Response: 217.06. purpose of this notice is to allow for an includes blocks 4. Unit Change Average Hours per Response: additional 30 days of public comment. Indicator and 5. Rate Reduction 0.20183501. DATES: Comments Due Date: September Incentive. The form includes Total Estimated Burdens: 14,895.50. 21, 2020. adjustments to improve the workflow of
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the form. Adjustments include changes fiscal year 2021, HUD plans to transition based forms. PHAs without access to the to formatting and adding Line 19 Total to web-based forms HUD–52723 and web-based forms continue to use the base utilities expense level for HUD–52722. HUD planned a phased Excel based forms. Web-based forms respondents to clearly understand launch of the web-based collection. improves the availability of the forms to where to sum the results of data Initially the collection by web-based PHAs, improves data integrity, and collected in columns. forms is limited to subset PHAs that secure transfer of the data from the PHA HUD collects information for HUD– HUD expands each subsequent year to HUD. 52723 and HUD–52722 through VBA until all PHAs exclusively use the web- enhanced Microsoft Excel Tools. In Total Estimated Burdens:
Number of Information collection Number of Frequency of responses per Responses Total annual Hourly cost Annual cost respondents response respondent per annum burden hours per response
HUD–52722 ...... 7,000 1 7,000 0.75 5,250 $33.34 $175,035 HUD–52723 ...... 7,000 1 7,000 0.75 5,250 33.34 175,035
Total ...... 14,000 ...... 14,000 ...... 10,500 ...... 350,070
B. Solicitation of Public Comment DEPARTMENT OF HOUSING AND and Legislative Initiatives, PIH, URBAN DEVELOPMENT Department of Housing and Urban This notice is soliciting comments Development, 451 7th Street SW, (Room from members of the public and affected [Docket No. FR–7028–N–04; OMB Control 3178), Washington, DC 20410; No. 2577–0218] parties concerning the collection of telephone 202–708–3000, extension information described in Section A on 60-Day Notice of Proposed Information 3374, (this is not a toll-free number). the following: Collection: Indian Housing Block Grant Persons with hearing or speech (1) Whether the proposed collection (IHBG) Competitive Program Annual impairments may access this number of information is necessary for the Performance Report via TTY by calling the Federal Relay proper performance of the functions of Service at (800) 877–8339. Copies of the agency, including whether the AGENCY: Office of the Assistant available documents submitted to OMB information will have practical utility. Secretary for Public and Indian may be obtained from Ms. Rogers. Housing, PIH, HUD. SUPPLEMENTARY INFORMATION: This (2) The accuracy of the agency’s ACTION: Notice. notice informs the public that HUD is estimate of the burden of the proposed seeking approval from OMB for the collection of information; SUMMARY: HUD is seeking approval from information collection described in (3) Ways to enhance the quality, the Office of Management and Budget Section A. utility, and clarity of the information to (OMB) for the information collection A. Overview of Information Collection be collected; and described below. In accordance with the Paperwork Reduction Act, HUD is Title of Information Collection: Indian (4) Ways to minimize the burden of requesting comment from all interested Housing Block Grant Competitive the collection of information on those parties on the proposed collection of Annual Performance Report. who are to respond, including through information. The purpose of this notice OMB Approval Number: 2577–0218. the use of appropriate automated is to allow for 60 days of public Type of Request: Revision of a collection techniques or other forms of comment. currently approved collection. information technology, e.g., permitting Form Numbers: HUD–52737. electronic submission of responses. DATES: Comments Due Date: October 20, Description of the need for the 2020. (5) Ways to minimize the burden of information and proposed use: The ADDRESSES: Interested persons are the collection of information on those purpose of this notice is to solicit public invited to submit comments regarding who are to respond, including the use comment on the proposed Annual this proposal. Comments should refer to Performance Report for the Indian of automated collection techniques or the proposal by name and/or OMB other forms of information technology. Housing Block Grant Competitive Control Number and should be sent to: program. HUD encourages interested parties to Colette Pollard, Reports Management In Fiscal Year 2018, Congress enacted submit comment in response to these Officer, QDAM, Department of Housing H.R. 1625—Consolidated questions. and Urban Development, 451 7th Street Appropriations Act, 2018 (Pub. L. 115– SW, Room 4176, Washington, DC C. Authority 141) (Effective: 3/23/18) that 20410–5000; telephone 202–402–3400 appropriated $99,000,000 for IHBG Section 3507 of the Paperwork (this is not a toll-free number) or email Competitive funding (IHBG Reduction Act of 1995, 44 U.S.C. at [email protected] for a copy of Competitive) awards under the Native Chapter 35. the proposed forms or other available American Housing Assistance and Self information. Persons with hearing or Determination Act (NAHASDA) of 1996 Dated: August 14, 2020. speech impairments may access this (25 U.S.C. 4101 et seq.). In Fiscal Year Anna Guido, number through TTY by calling the toll- 2019, Congress enacted H.R. 265— Department Reports Management Officer, free Federal Relay Service at (800) 877– Consolidated Appropriations Act, 2019 Office of the Chief Information Officer. 8339. (Pub. L. 116–6) that appropriated [FR Doc. 2020–18383 Filed 8–20–20; 8:45 am] FOR FURTHER INFORMATION CONTACT: $99,000,000 for competitive grants BILLING CODE 4210–67–P Dacia Rogers, Office of Policy, Programs under NAHASDA. In Fiscal Year 2019,
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Congress renewed program funding for rated applications, particularly those grantee’s program year and at the end of an additional $99,000,000 in awards. with the greatest housing need and the period of performance identified in The Indian Housing Block Grant administrative capacity. On December the grant agreement. Competitive (IHBG Competitive) 10, 2019, ONAP announced that 54 Respondents: Native American Tribes, program gives priority to projects that tribes and tribally designated housing Alaska Native Villages and spur housing construction and entities would receive nearly Corporations, and Tribally Designated rehabilitation from NAHASDA-eligible $200,000,000 in IHBG Competitive Housing Entities. recipients while considering need and funds. Estimated Number of Respondents: administrative capacity. Additionally, 54. applicants could have applied for other IHBG Competitive grantees must Estimated Number of Responses: 54. eligible activities under Section 202 of submit an IHBG Competitive Annual NAHASDA. HUD’s Office of Native Performance Report (APR) (HUD–52737) Frequency of Response: 1. American Programs (ONAP) is that contains all the reporting Average Hours per Response: 32. responsible for managing the IHBG requirements codified in the NOFA. Total Estimated Burdens: 1,728 hours. Competitive program. Grantees must also submit narrative Estimation of the total numbers of ONAP made IHBG Competitive funds with the APR that address specific hours needed to prepare the information available under a Notice of Funding performance measures identified in the collection including number of Availability (NOFA) and awarded the NOFA. IHBG Competitive APRs are due respondents, frequency of responses, funds to the applicants with the highest to HUD within 90 days of end of the and hours of response:
*Average Number of number of Total annual Burden Information collection respondents reponses per responses hours/minutes Total hours respondent per response
IHBG Competitive APR ...... 54 1 54 32 1,728
B. Solicitation of Public Comment DEPARTMENT OF HOUSING AND and Urban Development, 451 7th Street URBAN DEVELOPMENT SW, Room 4176, Washington, DC This notice is soliciting comments 20410–5000; telephone 202–402–3400 [Docket No. FR–7024–N–36] from members of the public and affected (this is not a toll-free number) or email parties concerning the collection of 30-Day Notice of Proposed Information at [email protected] for a copy of information described in Section A on the proposed forms or other available the following: Collection: FHA-Insured Mortgage Loan Servicing of Payments, information. Persons with hearing or (1) Whether the proposed collection Prepayments, Terminations, speech impairments may access this of information is necessary for the Assumptions, and Transfers; OMB number through TTY by calling the toll- proper performance of the functions of Control Number (2502–0595) free Federal Relay Service at (800) 877– the agency, including whether the 8339. Copies of available documents information will have practical utility; AGENCY: Office of the Chief Information submitted to OMB may be obtained Officer, Housing and Urban (2) The accuracy of the agency’s from Ms. Pollard. Development (HUD). estimate of the burden of the proposed SUPPLEMENTARY INFORMATION: This collection of information; ACTION: Notice. notice informs the public that HUD has submitted to OMB a request for (3) Ways to enhance the quality, SUMMARY: HUD has submitted the approval of the information collection utility, and clarity of the information to proposed information collection described in Section A. The Federal be collected; and requirement described below to the Register notice that solicited public Office of Management and Budget (4) Ways to minimize the burden of comment on the information collection (OMB) for review, in accordance with the collection of information on those for a period of 60 days was published the Paperwork Reduction Act. The who are to respond; including through on May 18, 2020 at 85 FR 29738. the use of appropriate automated purpose of this notice is to allow for an collection techniques or other forms of additional 30 days of public comment. A. Overview of Information Collection information technology, e.g., permitting DATES: Comments Due Date: September Title of Information Collection: FHA- electronic submission of responses. 21, 2020. Insured Mortgage Loan Servicing of HUD encourages interested parties to ADDRESSES: Interested persons are Payments, Prepayments, Terminations, submit comment in response to these invited to submit comments regarding Assumptions, and Transfers. questions. this proposal. Written comments and OMB Approval Number: 2502–0595. recommendations for the proposed Type of Request: Revision of currently C. Authority information collection should be sent approved collection. within 30 days of publication of this Section 3507 of the Paperwork Form Numbers: HUD–92210.1. notice to www.reginfo.gov/public/do/ Reduction Act of 1995, 44 U.S.C. Description of the need for the StartPrintedPage15501PRAMain. Find Chapter 35. information and proposed use: FHA this particular information collection by insurance is an important source of Dated: August 13, 2020. selecting ‘‘Currently under 30-day mortgage credit for low and moderate- Merrie Nichols-Dixon, Review—Open for Public Comments’’ or income borrowers. It is essential that the Director, Office of Policy, Programs and by using the search function. Federal Housing Administration (FHA) Legislative Initiatives. FOR FURTHER INFORMATION CONTACT: maintain a healthy mortgage insurance [FR Doc. 2020–18391 Filed 8–20–20; 8:45 am] Colette Pollard, Reports Management fund through premiums charged to the BILLING CODE 4210–67–P Officer, QDAM, Department of Housing borrower by FHA. Providing policy and
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guidance to the single family housing DEPARTMENT OF THE INTERIOR receipt of an application from SeaGlades mortgage industry regarding changes in at St. Andrew Bay (applicant) for an FHA’s program is essential to protect Fish and Wildlife Service incidental take permit (ITP) under the the fund. The information requests [Docket No. FWS–R4–ES–2020–0089; Endangered Species Act of 1973, as referred to in this PRA submission is to FXES11130400000EA–123–FF04EF1000] amended (ESA; 16 U.S.C. 1531 et seq.) provide information to support HUD’s The applicant requests the ITP to take policy and guidance. Receipt of Incidental Take Permit the federally listed Alabama beach Application and Proposed Habitat mouse (Peromyscus polionotus Respondents: Business or other for Conservation Plan for the Alabama ammobates) incidental to the profit and Individuals or households. Beach Mouse, Baldwin County, AL; construction of 27 single-family homes Estimated Number of Respondents: Categorical Exclusion and amenities (project) in Baldwin 182. County, Alabama. We request public AGENCY: Fish and Wildlife Service, Estimated Number of Responses: comment on the application, which Interior. includes the applicant’s proposed 15,834. ACTION: Notice of availability; request habitat conservation plan (HCP) and the Frequency of Response: 87. for comment and information. Service’s preliminary determination that Average Hours per Response: this HCP qualifies as ‘‘low-effect,’’ SUMMARY: We, the Fish and Wildlife 1.1249821. categorically excluded, under the Service (Service), announce receipt of National Environmental Policy Act Total Estimated Burdens: 17,813. an application from SeaGlades at St. (NEPA; 42 U.S.C. 4231 et seq.) To make Andrew Bay (applicant) for an B. Solicitation of Public Comment this determination, we used our and incidental take permit (ITP) under the low-effect screening form, which is also This notice is soliciting comments Endangered Species Act. The applicant available for public review. from members of the public and affected requests the ITP to take the federally parties concerning the collection of listed Alabama beach mouse incidental Project information described in Section A on to construction of twenty-seven single The applicant requests a 50-year ITP the following: family homes and amenities in Baldwin to take Alabama beach mice through the County, Alabama. We request public conversion of approximately 2.58 acres (1) Whether the proposed collection comment on the application, which of occupied Alabama beach mouse of information is necessary for the includes the applicant’s proposed habitat incidental to the construction of proper performance of the functions of habitat conservation plan (HCP), and the 27 single-family homes with amenities the agency, including whether the Service’s preliminary determination that located on a 10.53-acre parcel in information will have practical utility; this HCP qualifies as ‘‘low-effect,’’ Baldwin County, Alabama. The (2) The accuracy of the agency’s categorically excluded, under the applicant proposes to minimize and estimate of the burden of the proposed National Environmental Policy Act. To mitigate for take of the Alabama beach collection of information; make this determination, we used our mouse through standard minimization, low-effect screening form, which is also mitigation measures and monitoring (3) Ways to enhance the quality, available for public review. onsite population of the species with utility, and clarity of the information to DATES: We must receive your written fall and spring trapping surveys (twice be collected; and comments on or before September 21, a year) for the next 50 years. Standard (4) Ways to minimize the burden of 2020. mitigation and minimization measures the collection of information on those are a reduced footprint of 0.10 acres or ADDRESSES: who are to respond; including through less for each lot (27 lots) within the Obtaining Documents: You may the use of appropriate automated 10.53-acre parcel, creation of an on-site obtain copies of the documents online Alabama beach mouse conservation area collection techniques or other forms of in Docket No. FWS–R4–ES–2020–0089 information technology, e.g., permitting and a $37,000 monitoring and dune at http://www.regulations.gov. management fund. The applicant also electronic submission of responses. Submitting Comments: If you wish to will install fully shielded exterior submit comments on any of the (5) ways to minimize the burden of lighting, tinted windows, native documents, you may do so in writing by the collection of information on those vegetation for landscaping, and any of the following methods: who are to respond, including the use driveway materials that will not • Online: http://www.regulations.gov. of automated collection techniques or disperse in a storm surge. There will be Follow the instructions for submitting other forms of information technology. refuse control, restoration of habitat comments on Docket No. FWS–R4–ES– HUD encourages interested parties to after tropical storms, and prohibitions 2020–0089. on the use of exterior rodenticides and submit comment in response to these • U.S. Mail: Public Comments cats roaming free within the property. questions. Processing, Attn: Docket No. FWS–R4– The Service would require that the ES–2020–0089; U.S. Fish and Wildlife C. Authority applicant ensure that all funding for the Service, MS: PRB/3W, 5275 Leesburg HCP is available upfront and prior to its Section 2 of the Paperwork Reduction Pike, Falls Church, VA 22041–3803. engaging in activities associated with Act of 1995, 44 U.S.C. 3507. FOR FURTHER INFORMATION CONTACT: Mr. the project. Dated: August 14, 2020. William Lynn by telephone at (251) _ Public Availability of Comments Anna Guido, 441–5868 or via email at William [email protected]. Individuals who are Before including your address, phone Department Report Management Officer, hearing or speech impaired may call the Chief Information Officer. number, email address, or other Federal Relay Service at 1–800–877– personal identifying information in your [FR Doc. 2020–18378 Filed 8–20–20; 8:45 am] 8339 for TTY assistance. comment, be aware that your entire BILLING CODE 4210–67–P SUPPLEMENTARY INFORMATION: We, the comment, including your personal Fish and Wildlife Service, announce identifying information, may be made
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available to the public. While you may DEPARTMENT OF THE INTERIOR information was published on January request that we withhold your personal 31, 2020 (85 FR 5691). No comments [201D0102DM, DS6CS00000, were received. identifying information, we cannot DLSN00000.000000, DX6CS25]; OMB guarantee that we will be able to do so. Control No. 1093–NEW] As part of our continuing effort to reduce paperwork and respondent Our Preliminary Determination Agency Information Collection burdens, we are again soliciting comments from the public and other The Service has made a preliminary Activities; Submission for OMB Review; Comment Request; Youth Federal agencies on the proposed ICR determination that the applicant’s that is described below. We are project, including land clearing, Conservation Corps Application and Medical History especially interested in public comment infrastructure building, landscaping, addressing the following: and the proposed minimization and AGENCY: Office of the Secretary, Interior. (1) Whether or not the collection of mitigation measures, would ACTION: Notice of information collection; information is necessary for the proper individually and cumulatively have a request for comment. performance of the functions of the minor or negligible effect on the agency, including whether or not the Alabama beach mouse and the SUMMARY: In accordance with the information will have practical utility; environment. Therefore, we have Paperwork Reduction Act of 1995, we, (2) The accuracy of our estimate of the preliminarily concluded that the ITP for the Department of the Interior (DOI) are burden for this collection of this project would qualify for categorical proposing a new information collection. information, including the validity of exclusion and the HCP is low effect DATES: Interested persons are invited to the methodology and assumptions used; under our NEPA regulations at 43 CFR submit comments on or before (3) Ways to enhance the quality, utility, and clarity of the information to 46.205 and 46.210. A low-effect HCP is September 21, 2020. be collected; and one that would result in (1) minor or ADDRESSES: Send your comments and suggestions on the information (4) How might the agency minimize negligible effects on federally listed, the burden of the collection of proposed, and candidate species and collection requirements to the Desk Officer for the Department of the information on those who are to their habitats; (2) minor or negligible respond, including through the use of effects on other environmental values or Interior at OMB–OIRA at (202) 395– 5806 (fax) or OIRA_Submission@ appropriate automated, electronic, resources; and (3) impacts that, when omb.eop.gov (email). Please provide a mechanical, or other technological considered together with the impacts of copy of your comments to Jeffrey collection techniques or other forms of other past, present, and reasonably Parrillo, Departmental Information information technology, e.g., permitting foreseeable similarly situated projects, Collection Clearance Officer, 1849 C electronic submission of response. would not over time result in significant Street NW, Washington, DC 20240; or by Comments that you submit in cumulative effects to environmental email to [email protected]. Please response to this notice are a matter of values or resources over time. reference OMB Control Number 1093– public record. Before including your address, phone number, email address, Next Steps YCC in the subject line of your comments. or other personal identifying The Service will evaluate the information in your comment, you FOR FURTHER INFORMATION CONTACT: To should be aware that your entire application and the comments received request additional information about comment—including your personal to determine whether to issue the this ICR, contact Jeffrey Parrillo, identifying information—may be made requested permit. We will also conduct Departmental Information Collection publicly available at any time. While an intra-Service consultation pursuant Clearance Officer, 1849 C Street NW, you can ask us in your comment to to section 7 of the ESA to evaluate the Washington, DC 20240; or by email to withhold your personal identifying effects of the proposed take. After [email protected] or by telephone at information from public review, we considering the above findings, we will 202–208–7072. Individuals who are cannot guarantee that we will be able to determine whether the permit issuance hearing or speech impaired may call the do so. criteria of section 10(a)(l)(B) of the ESA Federal Relay Service at 1–800–877– Abstract: We are requesting review have been met. If met, the Service will 8339 for TTY assistance. You may also and approval from OMB of a new ICR issue ITP number TE63246D–0 to view the ICR at http://www.reginfo.gov/ associated with the Youth Conservation SeaGlades at St. Andrew Bay. public/do/PRAMain. Corps (YCC) application process to SUPPLEMENTARY INFORMATION: In comply with the requirements of section Authority accordance with the Paperwork 3506(c)(2)(A) of the PRA. The approval The Service provides this notice Reduction Act (PRA, 44 U.S.C. 3501 et of the YCC application and medical under section 10(c) (16 U.S.C. 1539(c)) seq.) and 5 CFR 1320.8(d)(1), we history forms is essential to ensuring of the ESA and NEPA regulation 40 CFR provide the general public and other completion of agencies’ conservation 1506.6. Federal agencies with an opportunity to work on public lands. Without OMB comment on new, proposed, revised, approval, collection of applications William Pearson, and continuing collections of would not begin until well into the Field Supervisor, Alabama Ecological Service information. This helps us assess the hiring season, resulting in delays of Office. impact of our information collection critical conservation projects, some of [FR Doc. 2020–18326 Filed 8–20–20; 8:45 am] requirements and minimize the public’s which are necessary to ensure the safety BILLING CODE 4333–15–P reporting burden. It also helps the of visitors to public lands. public understand our information Under the Youth Conservation Corps collection requirements and provide the Act of August 13, 1970, as amended requested data in the desired format. (U.S. 18701–1706), the U.S. Department A Federal Register notice with a 60- of Interior provides seasonal day public comment period soliciting employment for eligible youth 15 comments on this collection of through 18 years old. The Youth
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Conservation Corps stresses three • Medical insurance information; DEPARTMENT OF THE INTERIOR important objectives: • Medical history including Bureau of Land Management 1. Accomplish needed conservation vaccination history; work on public lands; • Previous and current illnesses or [20XL1109AF LLUTG02000 2. Provide gainful employment for 15 L12200000.PM0000 241A] to 18 year-old males and females from conditions that may affect ability to all social, economic, ethnic, and racial perform certain tasks; Call for Nominations for the San Rafael backgrounds; and • Primary language; Swell Recreation Area Advisory 3. Foster, on the part of the 15 through • Council 18 year-old youth, an understanding Ethnic background (optional); and appreciation of the Nation’s natural • Exercise currently undertaken; and, AGENCY: Bureau of Land Management, resources and heritage. • Swimming ability. Interior. Youths seeking training and ACTION: Notice. employment with the Youth Title of Collection: Youth Conservation Corps must complete the Conservation Corps Application and SUMMARY: The purpose of this notice is following new common forms included Medical History. to request public nominations for two in this clearance request: DI–4014, OMB Control Number: 1093–New. members to the San Rafael Swell ‘‘Youth Conservation Corps Recreation Area Advisory Council Form Numbers: DI–4014, ‘‘Youth (Council). Application’’ and DI–4015, ‘‘Youth Conservation Corps Application’’, and Conservation Corps Medical History.’’ DI–4015, ‘‘Youth Conservation Corps DATES: A completed nomination form The applicants’ parents or guardians Medical History.’’ and accompanying nomination/ must sign both forms. The application recommendation letters must be and medical history forms are evaluated Type of Review: New. received by September 21, 2020. by participating agencies to determine Respondents/Affected Public: Youth ADDRESSES: Send nominations to the eligibility of each youth for 15 through 18 years old seeking Christopher Conrad, BLM Price Field employment with the Youth seasonal employment with the above- Manager, 125 South 600 West, Price, Conservation Corps. Potential and named agencies through the YCC Utah 84501, Attention: San Rafael Swell actual agencies that may use the Program. Please note that if an applicant Advisory Council Nominations, or email common forms included in this is under the age of 18; a parent/guardian [email protected] with the subject line collection include: may respond for the youth. ‘‘San Rafael Swell Advisory Council • U.S. Fish and Wildlife Service Total Estimated Number of Annual Nominations.’’ The Price Field Office (Interior); and, will accept public nominations for 30 • Respondents: 11,409 (8,599 respondents National Park Service (Interior); days from the date this notice is posted. completing the application forms and and, FOR FURTHER INFORMATION CONTACT: • Other Federal Departments and 2,810 respondents completing the Christopher Conrad, BLM Price Field Agencies. medical history forms). Manager; 125 South 600 West, Price, We collect the following information Total Estimated Number of Annual via common form DI–4014, ‘‘Youth Utah 84501, telephone (435) 636–3637, Responses: 11,409 (8,599 applications or email [email protected]. Persons who Conservation Corps (YCC) Application’’: and 2,810 medical history forms). • Basic contact information such as use a telecommunications device for the name, mailing address, telephone Estimated Completion Time per deaf may call the Federal Relay Service numbers, email address, and parent/ Response: 25 minutes for the (FRS) at 1–800–877–8339 to leave a guardian contact information; application form and 14 minutes for the message or question for the above • Gender; medical history form. individual. The FRS is available 24 • hours a day, seven days a week. Replies Date of birth and age; Total Estimated Number of Annual • are provided during normal business Certification of ability to apply for/ Burden Hours: 4,239 hours (3,583 hours provide social security number; hours. • (rounded) for application forms and 656 Citizenship or permanent residency hours (rounded) for medical history SUPPLEMENTARY INFORMATION: The John documentation; D. Dingell, Jr. Conservation, • forms). Work permit information; Management, and Recreation Act, • Desired work location; Respondent’s Obligation: Voluntary. • Section 1223, directs the Secretary of Where they learned about the Frequency of Collection: On occasion. the Interior to establish a seven-member program; citizen-based advisory council that is • Understanding of the conditions of Total Estimated Annual Nonhour regulated by the Federal Advisory job/role; and, Burden Cost: None. Committee Act (5 U.S.C. Appendix 2) • Why they want to enroll in a YCC An agency may not conduct or and section 309 of the Federal Land program. sponsor and a person is not required to Policy and Management Act. The BLM We collect the following information respond to a collection of information via common form DI–4015, ‘‘Youth rules governing advisory committees are unless it displays a currently valid OMB found at 43 CFR subpart 1784. Conservation Corps Medical History’’ control number. form to certify the youth’s physical The Council shall advise the Secretary fitness to work in the seasonal The authority for this action is the with respect to the preparation and employment program: Paperwork Reduction Act of 1995 (44 implementation of the management plan • Contact information; U.S.C. 3501 et seq.). for the San Rafael Swell Recreation • Area. Congress created the San Rafael Age; Jeffrey Parrillo, • date of birth; Swell Recreation Area to provide for the • gender; Departmental Information Collection protection, conservation, and • emergency contact information; Clearance Officer. enhancement of the recreational, • parent or guardian’s contact [FR Doc. 2020–18328 Filed 8–20–20; 8:45 am] cultural, natural, scenic, wildlife, information and signature; BILLING CODE 4334–63–P ecological, historical, and educational
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resources of the area. Council duties and DEPARTMENT OF THE INTERIOR is the highest potential for the discovery responsibilities are solely advisory in of hydrocarbons. nature. Bureau of Land Management The ROD approves a program to carry The Council is seeking nominations out this statutory directive. By in the following categories: [LLAK930000.L51010000.FP0000. determining where and under what LVRWL14L0740] terms and conditions leasing will occur, (1) A representative of conservation the ROD takes into account the organizations; and Notice of Availability of the Record of requirements of Public Law 115–97 and (2) An elected leader of a federally Decision for the Final Environmental other applicable law. To inform this recognized Tribe that has significant Impact Statement for the Coastal Plain Decision, the BLM prepared the Coastal cultural or historical connections to, Oil and Gas Leasing Program, Alaska Plain Oil and Gas Leasing Program Environmental Impact Statement and expertise in, the landscape, AGENCY: Bureau of Land Management, (Leasing EIS). archeological sites, or cultural sites Interior. within the County. The ROD adopts Alternative B of the ACTION: Notice of Availability. Leasing EIS as to where and under what Members will be appointed to the terms and conditions leasing may occur Council to serve three-year staggered SUMMARY: The Bureau of Land subject to future specific environmental terms. Management (BLM), Alaska State Office, announces the availability of the Record analysis and permitting decisions, Nominating Potential Members: except clarifications have been provided Nomination forms may be obtained from of Decision (ROD) for the Final Environmental Impact Statement (EIS) for required operating procedures (ROP) the Price Field Office (address listed for the Coastal Plain Oil and Gas 11 and 17, as well as Lease Notice 2. above) or at https://www.blm.gov/get- Leasing Program. The Secretary for the The ROD also does not adopt the involved/resource-advisory-council/ Department of the Interior’s signature on interpretive assumptions made in the near-you/Utah. All nominations must the ROD constitutes the final decision of Leasing EIS as to the implementation of include a completed Resource Advisory the Department, thereby completing the Section 20001(c)(3) of Public Law 115– Council application (OMB Control No. required National Environmental Policy 97. Rather, it provides guidance 1004–0204), letters of reference from the Act process for implementing an oil and regarding certain general principles for represented interests or organizations, gas leasing program within the Coastal the future application of that section of and any other information that speaks to Plain of the Arctic National Wildlife the law. the candidate’s qualifications. Refuge. Authority: 40 CFR 1502.9, 40 CFR 1506.6. The specific category the nominee ADDRESSES: Requests for information Chad B. Padgett, would be representing should be regarding the ROD may be mailed to: State Director, Alaska. identified in the letter of nomination Coastal Plain Oil and Gas Leasing and on the application form. [FR Doc. 2020–18431 Filed 8–20–20; 8:45 am] Program, 222 West 7th Avenue, #13, BILLING CODE 4310–JA–P Members of the Council serve without Anchorage, AK 99513–7504. The ROD is compensation. However, while away available on the BLM Alaska website at from their homes or regular places of http://www.blm.gov/alaska. DEPARTMENT OF THE INTERIOR business, Council members engaged in FOR FURTHER INFORMATION CONTACT: Council business may be allowed travel Nicole Hayes, BLM Alaska State Office, National Park Service expenses, including per diem in lieu of 907–271–4354. Persons who use a subsistence, as authorized by 5 U.S.C. telecommunications device for the deaf [NPS–WASO–NRNHL–DTS#–30753; PPWOCRADI0, PCU00RP14.R50000] 5703, in the same manner as persons (TDD) may call the Federal Relay employed intermittently in Federal Service (FRS) at 1–800–877–8339 to National Register of Historic Places; Government service. contact the above individuals during Notification of Pending Nominations The Council will meet approximately normal business hours. The FRS is and Related Actions two to four times annually, and at such available 24 hours a day, seven days a other times as designated by the week, to leave a message or question AGENCY: National Park Service, Interior. Designated Federal Officer. with the above individuals. You will ACTION: Notice. receive a reply during normal business Before including your address, phone hours. SUMMARY: The National Park Service is number, email address, or other SUPPLEMENTARY INFORMATION: Title II, soliciting electronic comments on the personal identifying information in your Section 20001 of Public Law 115–97 significance of properties nominated comment, please be aware that your directs the Secretary of the Interior, before August 8, 2020, for listing or entire comment, including your acting through the BLM, to establish and related actions in the National Register personal identifying information, may administer a competitive oil and gas of Historic Places. be made publicly available at any time. leasing program for the leasing, DATES: Comments should be submitted While you may request in your development, production, and electronically by September 8, 2020. comment to withhold your personal transportation of oil and gas in and from ADDRESSES: Comments are encouraged identifying information from public the Coastal Plain. The BLM was directed to be submitted electronically to review, the BLM cannot guarantee that to manage the oil and gas leasing National_Register_Submissions@ it will be able to do so. program on the Coastal Plain in a nps.gov with the subject line ‘‘Public Authority: 43 CFR 1784.4–1. manner similar to lease sales under the Comment on
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1849 C Street NW, MS 7228, Washington County OHIO Washington, DC 20240. Hindman Hall Museum, 14262 West US 62, Cuyahoga County SUPPLEMENTARY INFORMATION: The Prairie Grove, SG100005593 Vernon & Moore-McIlroy Produce Eleanor B. Rainey Memorial Institute, 1523 properties listed in this notice are being East 55th St., Cleveland, SG100005571 considered for listing or related actions Warehouse, 200 North West Ave., in the National Register of Historic Fayetteville, SG100005594 OKLAHOMA Places. Nominations for their Woolsey Farmstead Cemetery, 535 South Broyles Rd., Fayetteville, SG100005595 Creek County consideration were received by the House Building, 301–305 North Main St., National Park Service before August 8, FLORIDA Bristow, SG100005554 2020. Pursuant to Section 60.13 of 36 Pasco County CFR part 60, comments are being Kay County accepted concerning the significance of Oelsner Mound Archaeological Site, Address Restricted, Port Richey vicinity, Kimbrough Temple C.M.E. Church, 1029 the nominated properties under the SG100005561 South 12th St., Ponca City, SG100005555 National Register criteria for evaluation. Nickles Machine Shop, 600 South 1st St., Before including your address, phone IOWA Ponca City, SG100005556 number, email address, or other Benton County Alcorn-Pickrel House, 200 North 10th St., personal identifying information in your Ponca City, SG100005564 comment, you should be aware that Preston’s Station Historic District, 402 4th Ave., Belle Plaine, SG100005572 Le Flore County your entire comment—including your personal identifying information—may Grundy County Old City Hall, Theater and Masonic Lodge, 401 East 1st St., Heavener, SG100005557 be made publicly available at any time. Grundy Center High School, 1001 8th St., While you can ask us in your comment Grundy Center, SG100005565 Oklahoma County to withhold your personal identifying Muscatine County Heritage Hills East Historic District, Bounded information from public review, we by NW 14th Street, North Broadway Ave., Ijem Avenue Commercial Historic District, cannot guarantee that we will be able to NW 22nd St., and North Robinson Ave., Ijem Ave. between Railroad St. and Main do so. Oklahoma City, SG100005558 St., Nichols, SG100005566 Nominations submitted by State or Villa Teresa Historic District, 1212, 1216, Tribal Historic Preservation Officers: Polk County 1228, and 1300 Classen Dr., Oklahoma City, SG100005559 ARKANSAS Acadian Manor Historic District, 2801–2815 Grand Ave., Des Moines, SG100005567 PENNSYLVANIA Baxter County Galatia Church, West side AR 5, north of jct. LOUISIANA Schuylkill County with Havner Rd., Norfolk vicinity, West Baton Rouge Parish, D’Agostino Mothers’ Memorial, Hoffman Memorial, and SG100005579 Building, 110 North Jefferson Ave., Port Veterans’ Memorial, Roughly Hoffman Allen, SG100005598 Craighead County Blvd. from Brock St. to Market St., and MISSISSIPPI between Chestnut St. and Market St. at the Bridge Street Bridge, (Historic Bridges of north end of 5th St., Ashland, Arkansas MPS), Bridge St. between Hinds County SG100005552 Johnson and Cate Aves., Jonesboro, Old Terminal Building, Hawkins Field, MP100005580 UTAH Citizens Bank Building, 100 West Airport Dr., Jackson, SG100005578 Salt Lake County Washington St., Jonesboro, SG100005581 Jones County Fuller-Shannon House, 1408 Twin Oaks Murray Downtown Residential Historic Southside Neighborhood Historic District, Ave., Jonesboro, SG100005582 District (Boundary Increase), (Murray City, Roughly bounded by North Pine and East Utah MPS), Roughly bounded by 4600 Faulkner County 5th Sts., North and South Walters, South 4th and South 9th Aves., East Jackson, South, Meadowview Rd., 4800 South, Titan II ICBM Launch Complex Site 373–9, Brown St. Murray, BC100005563 (Cold War Resources Associated with the Limbert, Johnson, and North and South 308th Strategic Missile Wing in Arkansas Maple Sts., Laurel, SG100005573 VIRGINIA MPS), 23 Missile Base Rd., Vilonia, NEVADA Greene County MP100005583 Washoe County Long, A.J., Mill, 4147 Simmons Gap Rd., Free Nevada County Trinity Episcopal Cathedral, 200 Island Ave., Union vicinity, SG100005576 Prescott & Northwestern Railroad Caboose Reno, SG100005599 An owner objection has been received for No. 3, 403 West 1st St. South, Prescott, the following resource: SG100005585 NEW YORK ARKANSAS Pulaski County Chautauqua County Pulaski County Little Rock Fire Station No. 9, 2023 East 6th Forest Heights Historic District, Forest Park, St., Little Rock, SG100005587 Warner Pl., Terrace Pl., Lilac Ln., Boy Scouts of America Building, 3220 Presbyterian Village, 510 Brookside Dr., Little McKinley Ave., 70–201 Forest Ave., 10– Cantrell Rd., Little Rock, SG100005600 Rock, SG100005589 204 Prather Ave., 32–102 and 39–123 A request for removal has been made for Fair Park Golf Course, 5511 West Markham Prospect St., 117–153 South Main St., 6 the following resources: St., Little Rock, SG100005596 and 11 Broadhead Ave., 67 Washington St., Jamestown, SG100005570 ARKANSAS Saline County Monroe County International Harvester Servicenter, 1124 Orange County Military Rd., Benton, SG100005591 Colden Hill Farm, 181 North Drury Ln., Highway 79 Bridge, (Clarendon MRA), US 79 Newburgh vicinity, SG100005568 and White R., Clarendon, OT84000190 Searcy County Snowball Gymnasium, Cty. Rd. 12, .1 mile Queens County Poinsett County west of Harvest Ln., Snowball, Voelcker, Conrad, House, 149–19 38th Ave., Maxie Theatre, 136 AR 463 South, Trumann, SG100005592 Flushing, SG100005569 OT10000933
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Pulaski County INTERNATIONAL TRADE By order of the Commission. Matthews, Mary H., Lustron House, 5021 COMMISSION Issued: August 18, 2020. Maryland Ave., Little Rock, OT14000249 [Investigation Nos. 701–TA–417 and 731– Lisa Barton, A request to move has been received for TA–953, 957–959, and 961 (Third Review)] Secretary to the Commission. the following resource: [FR Doc. 2020–18390 Filed 8–20–20; 8:45 am] Carbon and Certain Alloy Steel Wire ALASKA BILLING CODE 7020–02–P Rod From Brazil, Indonesia, Mexico, Matanuska-Susitna Borough Moldova, and Trinidad and Tobago Wasilla Depot, Parks Hwy. and Knik Rd., Determinations DEPARTMENT OF JUSTICE Wasilla, MV77000218 On the basis of the record 1 developed Additional documentation has been Office of Justice Programs in the subject five-year reviews, the received for the following resources: United States International Trade [OJP (BJA) Docket No. 1785] ARKANSAS Commission (‘‘Commission’’) determines, pursuant to the Tariff Act of Meeting of the Public Safety Officer Pulaski County 1930 (‘‘the Act’’), that revocation of the Medal of Valor Review Board Taborian Hall (Additional Documentation), countervailing duty order on carbon and AGENCY: Office of Justice Programs 9th and State Sts., Little Rock, certain alloy steel wire rod from Brazil (OJP), Bureau of Justice Assistance AD82002130 and the antidumping duty orders on (BJA), Justice. carbon and certain alloy steel wire rod MASSACHUSETTS ACTION: Notice of meeting. from Brazil, Indonesia, Mexico, Suffolk County Moldova, and Trinidad and Tobago SUMMARY: This is an announcement of a Fairview Cemetery (Additional would be likely to lead to continuation meeting of the Public Safety Officer Documentation), 45 Fairview Ave., Boston, or recurrence of material injury to an Medal of Valor Review Board, primarily AD09000717 industry in the United States within a intended to consider nominations for reasonably foreseeable time. OKLAHOMA the 2019–2020 Medal of Valor, and to Background make a limited number of Beaver County recommendations for submission to the The Commission instituted these Turpin Grain Elevator (Additional U.S. Attorney General. Additional reviews on June 3, 2019 (84 FR 25564) Documentation), (Woodframe Grain issues of importance to the Board may and determined on September 6, 2019 Elevators of Oklahoma Panhandle TR), Off also be discussed. The virtual meeting/ that it would conduct full reviews (84 US 64, Turpin, AD83002071 conference call date and time is listed FR 50474, September 25, 2019). Notice below. Creek County of the scheduling of the Commission’s DATES: September 23, 2020, 12:30 p.m. Sapulpa Downtown Historic District reviews and of a public hearing to be (Additional Documentation), Roughly held in connection therewith was given to 3 p.m. EDT. bounded by Hobson Ave., Elm St., Lee by posting copies of the notice in the ADDRESSES: This meeting will be held Ave., and Main St., Sapulpa, AD02000975 Office of the Secretary, U.S. virtually using web conferencing Nomination submitted by Federal International Trade Commission, technology. The public may hear the Preservation Officer: Washington, DC, and by publishing the proceedings of this virtual meeting/ The State Historic Preservation Officer notice in the Federal Register on March conference call by registering with reviewed the following nomination and 12, 2020 (85 FR 14506). In light of the Gregory Joy at last seven (7) days in responded to the Federal Preservation Officer restrictions on access to the Commission advance (contact information below). within 45 days of receipt of the nomination building due to the COVID–19 FOR FURTHER INFORMATION CONTACT: and supports listing the property in the pandemic, and in accordance with 19 Gregory Joy, Policy Advisor, Bureau of National Register of Historic Places. U.S.C. 1677c(a)(1), the Commission Justice Assistance, Office of Justice conducted its hearing on June 16, 2020 Programs, 810 7th Street NW, OKLAHOMA by video conference and written witness Washington, DC 20531, by telephone at Pittsburg County testimony as set forth in procedures (202) 514–1369, toll free (866) 859– Mine Rescue Station Building (Additional provided to the parties. All persons who 2687, or by email at Gregory.joy@ Documentation), 507–509 E 3rd St., requested the opportunity were usdoj.gov. permitted to participate. McAlester, AD80004290 SUPPLEMENTARY INFORMATION: The Commission made these The Authority: Section 60.13 of 36 CFR part 60. determinations pursuant to section Public Safety Officer Medal of Valor 751(c) of the Act (19 U.S.C. 1675(c)). It Review Board carries out those advisory Dated: August 12, 2020. functions specified in 42 U.S.C. 15202. Sherry A. Frear, completed and filed its determinations in these reviews on August 17, 2020. Pursuant to 42 U.S.C. 15201, the Chief, National Register of Historic Places/ The views of the Commission are President of the United States is National Historic Landmarks Program. contained in USITC Publication 5100 authorized to award the Public Safety [FR Doc. 2020–18374 Filed 8–20–20; 8:45 am] (August 2020), entitled Carbon and Officer Medal of Valor, the highest BILLING CODE 4312–52–P Certain Alloy Steel Wire Rod from national award for valor by a public Brazil, Indonesia, Mexico, Moldova, and safety officer. Trinidad and Tobago: Investigation Nos. This virtual meeting/conference call 701–TA–417 and 731–TA–953, 957–959, is open to the public to participate and 961 (Third Review). remotely. For security purposes, members of the public who wish to 1 The record is defined in § 207.2(f) of the participate must register at least seven Commission’s Rules of Practice and Procedure (19 (7) days in advance of the meeting/ CFR 207.2(f)). conference call by contacting Mr. Joy.
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Access to the virtual meeting/ exhausted all rights to regular benefits information will be processed and used conference call will not be allowed and is potentially eligible for EB (20 in a timely manner; (3) the accuracy of without prior registration. Please submit CFR 615.13(c)(1)). the agency’s estimates of the burden and any comments or written statements for Persons who believe they may be cost of the collection of information, consideration by the Review Board in entitled to EB, or who wish to inquire including the validity of the writing at least seven (7) days in about their rights under the program, methodology and assumptions used; (4) advance of the meeting date. should contact their State Workforce ways to enhance the quality, utility and Agency. clarity of the information collection; and Kristopher Brambila, FOR FURTHER INFORMATION CONTACT: U.S. (5) ways to minimize the burden of the Assistant General Counsel, Office of Justice collection of information on those who Programs. Department of Labor, Employment and Training Administration, Office of are to respond, including the use of [FR Doc. 2020–18335 Filed 8–20–20; 8:45 am] automated collection techniques or BILLING CODE 4410–18–P Unemployment Insurance Room S– 4524, Attn: Thomas Stengle, 200 other forms of information technology. Constitution Avenue NW, Washington, FOR FURTHER INFORMATION CONTACT: Crystal Rennie by telephone at 202– DEPARTMENT OF LABOR DC 20210, telephone number (202) 693– 2991 (this is not a toll-free number) or 693–0456, or by email at DOL_PRA_ Employment and Training by email: [email protected]. [email protected]. Administration Signed in Washington, DC. SUPPLEMENTARY INFORMATION: The U.S. Department of Labor (DOL) John Pallasch, Notice of a Change in Status of the headquarters building, the Frances Extended Benefit (EB) Program for Assistant Secretary for Employment and Perkins Building has conference and Training. Illinois meeting capabilities located in its public [FR Doc. 2020–18413 Filed 8–20–20; 8:45 am] space areas that entities outside of the AGENCY: Employment and Training BILLING CODE 4510–FW–P Department may request to use. Use of Administration, Labor. public space in Federal buildings is ACTION: Notice. DEPARTMENT OF LABOR governed by Section 581(h) of Title 40 This notice announces a change in of the United States Code (40 U.S.C. benefit period eligibility under the EB Office of the Secretary Section 581(h)). DOL has authority to program for Illinois. issue occasional use permits to The following change has occurred Agency Information Collection organizations engaging in ‘‘cultural,’’ since the publication of the last notice Activities; Submission for OMB ‘‘educational,’’ or ‘‘recreational’’ regarding the States’ EB status: Review; Comment Request; activities (permits are not available for It was determined that Illinois State Application for Use of Public Space by ‘‘commercial’’ purposes.) FMR 102–74, law provides for the temporary adoption Non-DOL Agencies in the Frances Subpart D—Occasional Use of Public of the TUR trigger during periods of Perkins Building Buildings establishes rules and 100% Federal financing. Based on data regulations for the occasional use of released by the Bureau of Labor ACTION: Notice of availability; request public areas of public buildings for Statistics on June 19, 2020, the for comments. cultural, educational and recreational activities as provided by 40 U.S.C. seasonally-adjusted total unemployment SUMMARY: The Department of Labor 581(h)(2). The public space use rates for Illinois exceeded 8.0 percent (DOL) is submitting this Office of the was greater than 110 percent in both the application in this Federal Register Departmental Management (DM)- notice is designed to obtain information prior or second prior year, triggering sponsored information collection Illinois ‘‘on’’ to a high unemployment from entities outside DOL to help DOL request (ICR) to the Office of comply with the Federal and periods (HUP) in EB. The HUP in Management and Budget (OMB) for Illinois is retroactive to July 5, 2020, and Departmental rules and regulations. For review and approval in accordance with additional substantive information the maximum potential entitlement for the Paperwork Reduction Act of 1995 eligible claimants in the EB program has about this ICR, see the related notice (PRA). Public comments on the ICR are published in the Federal Register on increased from up to 13 weeks of invited. potential duration to up to 20 weeks of June 17, 2020 (85 FR 36618). DATES: potential duration. The OMB will consider all This information collection is subject The trigger notice covering state written comments that agency receives to the PRA. A Federal agency generally eligibility for the EB program can be on or before September 21, 2020. cannot conduct or sponsor a collection found at: http://ows.doleta.gov/ ADDRESSES: Written comments and of information, and the public is unemploy/claims_arch.as. recommendations for the proposed generally not required to respond to an information collection should be sent information collection, unless the OMB Information for Claimants within 30 days of publication of this approves it and displays a currently The duration of benefits payable in notice to www.reginfo.gov/public/do/ valid OMB Control Number. In addition, the EB program, and the terms and PRAMain. Find this particular notwithstanding any other provisions of conditions on which they are payable, information collection by selecting law, no person shall generally be subject are governed by the Federal-State ‘‘Currently under 30-day Review—Open to penalty for failing to comply with a Extended Unemployment Compensation for Public Comments’’ or by using the collection of information that does not Act of 1970, as amended, and the search function. display a valid OMB Control Number. operating instructions issued to the Comments are invited on: (1) Whether See 5 CFR 1320.5(a) and 1320.6. states by the U.S. Department of Labor. the collection of information is DOL seeks PRA authorization for this In the case of a state beginning an EB necessary for the proper performance of information collection for three (3) period, the State Workforce Agency will the functions of the Department, years. OMB authorization for an ICR furnish a written notice of potential including whether the information will cannot be for more than three (3) years entitlement to each individual who has have practical utility; (2) if the without renewal. The DOL notes that
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information collection requirements This meeting will be webcast live at Silk, NRC Disability Program Specialist, submitted to the OMB for existing ICRs the Web address—https://www.nrc.gov/. at 301–287–0745, by videophone at receive a month-to-month extension 240–428–3217, or by email at Week of September 21, 2020—Tentative while they undergo review. [email protected]. Determinations on Agency: DOL–DM. There are no meetings scheduled for requests for reasonable accommodation Title of Collection: Application for the week of September 21, 2020. will be made on a case-by-case basis. Use of Public Space by Non-DOL Week of September 28, 2020—Tentative Members of the public may request to Agencies in the Frances Perkins receive this information electronically. Building. Wednesday, September 30, 2020 If you would like to be added to the OMB Control Number: 1225–0087. 9:00 a.m. Strategic Programmatic distribution, please contact the Nuclear Affected Public: Private Sector, Not- Overview of the Operating Reactors Regulatory Commission, Office of the for-profit institutions. Secretary, Washington, DC 20555 (301– Total Estimated Number of and New Reactors Business Lines and Results of the Agency Action 415–1969), or by email at Respondents: 10. [email protected] or Tyesha.Bush@ Total Estimated Number of Review Meeting (Public Meeting), (Contact: Candace de Messieres: nrc.gov. Responses: 10. The NRC is holding the meetings Total Estimated Annual Time Burden: 301–415–8395). under the authority of the Government 1 hour. This meeting will be webcast live at Total Estimated Annual Other Costs the Web address—https://www.nrc.gov/. in the Sunshine Act, 5 U.S.C. 552b. Burden: $0. Dated: August 19, 2020. Week of October 5, 2020—Tentative For the Nuclear Regulatory Commission. Authority: 44 U.S.C. 3507(a)(1)(D). Thursday, October 8, 2020 Denise L. McGovern Crystal Rennie, 10:00 a.m. Meeting with the Policy Coordinator, Office of the Secretary. Acting Departmental Clearance Officer. Organization of Agreement States [FR Doc. 2020–18566 Filed 8–19–20; 4:15 pm] [FR Doc. 2020–18412 Filed 8–20–20; 8:45 am] and the Conference of Radiation BILLING CODE 7590–01–P BILLING CODE 4510–23–P Control Program Directors (Public Meeting), (Contact: Celimar Valentin-Rodriquez: 301–415– OFFICE OF SPECIAL COUNSEL NUCLEAR REGULATORY 7124). COMMISSION OSC Annual Survey This meeting will be webcast live at [NRC–2020–0001] the Web address—https://www.nrc.gov/. AGENCY: U.S. Office of Special Counsel. ACTION: Notice for public comment; Sunshine Act Meetings Week of October 12, 2020—Tentative information collection. There are no meetings scheduled for TIME AND DATE: Weeks of August 24, 31, the week of October 12, 2020. SUMMARY: The U.S. Office of Special September 7, 14, 21, 28, October 5, 12, Counsel (OSC), seeks approval from the 19, 2020. Week of October 19, 2020—Tentative Office of Management and Budget PLACE: Commissioners’ Conference Wednesday, October 21, 2020 (OMB) for use of a survey that differs Room, 11555 Rockville Pike, Rockville, only slightly from previously approved Maryland. 10:00 a.m. Briefing on Human Capital and Equal Employment information collections. OSC is STATUS: Public. Opportunity (Public Meeting), requesting emergency approval for the Week of August 24, 2020 (Contact: Randi Neff: 301–287– annual survey, which by statute must be 0583). completed by the end of FY2020. There are no meetings scheduled for Following a one-year pilot-project the week of August 24, 2020. This meeting will be webcast live at the Web address—https://www.nrc.gov/. survey in 2019, OSC now resumes its Week of August 31, 2020—Tentative 1:00 p.m. All Employees Meeting with annual survey to collect feedback from There are no meetings scheduled for the Commissioners (Public those who have contacted OSC for the week of August 31, 2020. Meeting). assistance, either by filing complaints and/or disclosures with OSC, or by CONTACT PERSON FOR MORE INFORMATION: Week of September 7, 2020—Tentative seeking Hatch Act Advisory Opinions. For more information or to verify the This OSC annual survey consists of four There are no meetings scheduled for status of meetings, contact Denise electronic questionnaires (one for each the week of September 7, 2020. McGovern at 301–415–0681 or via email type of assistance an individual can at [email protected]. The Week of September 14, 2020—Tentative seek from OSC), each asking between schedule for Commission meetings is five and ten questions. OSC invites Tuesday, September 15, 2020 subject to change on short notice. comments on: The accuracy of OSC’s 10:00 a.m. Agency’s Response to the The NRC Commission Meeting estimate of the burden of the proposed COVID–19 Public Health Schedule can be found on the internet collections of information; ways to Emergency (Public Meeting), at: https://www.nrc.gov/public-involve/ enhance the quality, utility, and clarity (Contact: Luis Betancourt: 301–415– public-meetings/schedule.html. of the information to be collected; and 6146). The NRC provides reasonable accommodation to individuals with ways to minimize the burden of the This meeting will be webcast live at collection of information on the Web address—https://www.nrc.gov/. disabilities where appropriate. If you need a reasonable accommodation to respondents. Thursday, September 17, 2020 participate in these public meetings or DATES: Written comments should be 10:00 a.m. Transformation at the NRC— need this meeting notice or the received on or before September 21, Milestones and Results (Public transcript or other information from the 2020. However, pursuant to 5 CFR Meeting), (Contact: Maria Arribas- public meetings in another format (e.g., 1320.13, OSC is requesting OMB’s Colon: 301–415–6026). braille, large print), please notify Anne emergency approval by August 26, 2020.
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Therefore, comments are best assured of survey by the end of FY2020, less than SUMMARY: The Pension Benefit Guaranty having full effect if received by OMB 45 days from the date of this Notice, Corporation (PBGC) is modifying the within 5 days of this notice’s well before the normal expiration collection of information under its publication in the Federal Register. periods; because obtaining the survey regulation on Payment of Premiums ADDRESSES: You may submit written responses is essential to OSC’s mission (OMB control number 1212–0009; comments by mail to: Office of and must also be provided to Congress expiring December 31, 2022) and Information and Regulatory Affairs, in OSC’s annual report; and because intends to request that the Office of Office of Management and Budget, OSC faced an unanticipated event with Management and Budget (OMB) Attention: Desk Officer for OSC, New office disruptions due to the approve the revised collection of Executive Office Building, Room 10235, Coronavirus pandemic preventing information under the Paperwork Washington, DC 20503; or by email via: earlier publication. Reduction Act for three years. This [email protected]. The survey questionnaires are notice informs the public of PBGC’s FOR FURTHER INFORMATION CONTACT: available for review on line at https:// intent and solicits public comment on Amy Beckett, Senior Litigation Counsel, osc.gov/Resources/Pages/ the collection of information by telephone at (202) 804–7000, or by Reports.aspx#tabGroup07 or by calling DATES: Comments must be submitted on email at [email protected]. OSC at (202) 804–7000. or before October 20, 2020. SUPPLEMENTARY INFORMATION: OSC is a Type of Information Collection ADDRESSES: Comments may be permanent independent federal Request: The survey seeks to determine submitted by any of the following investigative and prosecutorial agency. whether individuals seeking assistance methods: • OSC’s basic authorities come from four were fully apprised of their rights; were Federal eRulemaking Portal: http:// federal statutes: The Civil Service successful either at OSC or the MSPB; www.regulations.gov. Follow the online and whether successful or not, were instructions for submitting comments. Reform Act, the Whistleblower • Protection Act, the Hatch Act, and the satisfied with the treatment they Email: paperwork.comments@ received from OSC. pbgc.gov. Uniformed Services Employment & • Reemployment Rights Act (USERRA). Affected public: Individuals (or their Mail or Hand Delivery: Regulatory OSC’s primary mission is to safeguard representatives) who sought OSC Affairs Division, Office of the General the merit system by protecting federal services through: (1) Submitting Counsel, Pension Benefit Guaranty employees and applicants from complaints alleging prohibited Corporation, 1200 K Street NW, prohibited personnel practices, personnel practice, USERRA violations, Washington, DC 20005–4026. All submissions received must especially reprisal for whistleblowing, or Hatch Act violations; (2) disclosures include the agency’s name (Pension and to serve as a safe channel for of information alleging violation of law, Benefit Guaranty Corporation, or PBGC) allegations of wrongdoing. OSC is rule, or regulation, gross and refer to Payment of Premiums. All required to conduct an annual survey of mismanagement or waste of funds, comments received will be posted individuals who seek its assistance. abuse of authority, substantial and without change to PBGC’s website, OSC conducts an annual survey specific danger to public health and/or http://www.pbgc.gov, including any pursuant to Section 13 of Public Law safety, or censorship related to scientific personal information provided. 103–424 (1994), codified at 5 U.S.C. research; or (3) seeking Hatch Act advisory opinions. Copies of the revisions to the 1212 note, which states, in part: ‘‘[T]he collection of information may also be survey shall—(1) determine if the Respondent’s Obligation: Voluntary. Estimated Annual Number of Survey obtained by writing to Disclosure individual seeking assistance was fully Division, Office of the General Counsel, apprised of their rights; (2) determine Form Respondents: 600. Frequency of Survey form use: One- Pension Benefit Guaranty Corporation, whether the individual was successful 1200 K Street NW, Washington, DC either at the Office of Special Counsel time. Estimated Average Amount of Time 20005–4026, or calling 202–326–4040 or the Merit Systems Protection Board; during normal business hours. TTY and (3) determine if the individual, for a Person to Respond to survey: 5.5 minutes. users may call the Federal relay service whether successful or not, was satisfied toll-free at 800–877–8339 and ask to be with the treatment received from the Estimated Annual Survey Burden: 55 hours. connected to 202–326–4040. PBGC’s Office of Special Counsel.’’ The statute laws and procedures for payment of requires OSC to publish the survey’s Dated: August 17, 2020. premiums may be accessed on PBGC’s results in OSC’s annual report to Travis Millsaps, website at http://www.pbgc.gov. Congress. Copies of prior years’ annual Deputy Special Counsel for Public Policy. FOR FURTHER INFORMATION CONTACT: reports are available on OSC’s website, [FR Doc. 2020–18358 Filed 8–20–20; 8:45 am] Melissa Rifkin (rifkin.melissa@ at https://osc.gov/Pages/Resources- BILLING CODE 7405–01–P pbgc.gov), Attorney, Regulatory Affairs ReportsAndInfo.aspx or by calling OSC Division, Office of the General Counsel, at (202) 804–7000. The prior OSC Pension Benefit Guaranty Corporation, Annual Survey, OMB Control Number 1200 K Street NW, Washington, DC 3255–0003, expired on October 31, PENSION BENEFIT GUARANTY 20005–4026; 202–229–6563. (TTY users 2017. The 2019 Pilot Project Survey, CORPORATION may call the Federal relay service toll- OMB Control Number 3255–0007, Proposed Submission of Information free at 800–877–8339 and ask to be expired on March 31, 2020. OSC will use the questionnaires to Collection for OMB Review; Comment connected to 202–326–4400, extension survey all persons who contacted OSC Request; Payment of Premiums 6563.) for assistance during the relevant time AGENCY: Pension Benefit Guaranty SUPPLEMENTARY INFORMATION: Section period. Corporation. 4007 of title IV of the Employee OSC is requesting emergency Retirement Income Security Act of 1974 ACTION: Notice of intent to request OMB approval of this modified collection of (ERISA) requires pension plans covered approval of revised collection of information, because by statute OSC under title IV pension insurance information. must complete and review the annual programs to pay premiums to PBGC. All
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plans covered by title IV pay a flat-rate employer charity plan) as a response to invites public comment, and takes other per-participant premium. An the question of ‘‘Plan type.’’ administrative steps. underfunded single-employer plan also The collection of information under DATES: Comments are due: August 25, pays a variable-rate premium based on the regulation has been approved 2020. the value of the plan’s unfunded vested through December 31, 2022, by OMB benefits. under control number 1212–0009. PBGC ADDRESSES: Submit comments Pursuant to section 4007, PBGC has intends to request that OMB approve the electronically via the Commission’s issued its regulation on Payment of revised collection of information for Filing Online system at http:// Premiums (29 CFR part 4007). Under three years. An agency may not conduct www.prc.gov. Those who cannot submit § 4007.3 of the premium payment or sponsor, and a person is not required comments electronically should contact FOR FURTHER regulation, the plan administrator of to respond to, a collection of the person identified in the each pension plan covered by title IV of information unless it displays a INFORMATION CONTACT section by ERISA is required to file a premium currently valid OMB control number. telephone for advice on filing payment and information prescribed by PBGC estimates that it will receive alternatives. PBGC for each premium payment year. 31,245 premium filings per year from FOR FURTHER INFORMATION CONTACT: Premium information is filed 31,245 plan administrators under this David A. Trissell, General Counsel, at electronically using ‘‘My Plan collection of information. PBGC further 202–789–6820. Administration Account’’ (‘‘My PAA’’) estimates that the annual burden of this SUPPLEMENTARY INFORMATION: through PBGC’s website. Under collection of information is 13,540 § 4007.10 of the premium payment hours and $21,621,540. Table of Contents regulation, plan administrators are PBGC is soliciting public comments I. Introduction required to retain records about to— II. Docketed Proceeding(s) premiums and information submitted in • Evaluate whether the proposed I. Introduction premium filings. collection of information is necessary Premium filings report (i) the flat-rate for the proper performance of the The Commission gives notice that the premium and related data (all plans), (ii) functions of the agency, including Postal Service filed request(s) for the the variable-rate premium and related whether the information will have Commission to consider matters related data (single-employer plans), and (iii) practical utility; to negotiated service agreement(s). The additional data such as identifying • Evaluate the accuracy of the request(s) may propose the addition or information and miscellaneous plan- agency’s estimate of the burden of the removal of a negotiated service related or filing-related data (all plans). proposed collection of information, agreement from the market dominant or PBGC needs this information to identify including the validity of the the competitive product list, or the the plans for which premiums are paid, methodologies and assumptions used; modification of an existing product to verify whether the amounts paid are • Enhance the quality, utility, and currently appearing on the market correct, to help PBGC determine the clarity of the information to be dominant or the competitive product magnitude of its exposure in the event collected; and list. of plan termination, to help track the • Minimize the burden of the Section II identifies the docket creation of new plans and transfer of collection of information on those who number(s) associated with each Postal participants and plan assets and are to respond, including through the Service request, the title of each Postal liabilities among plans, and to keep use of appropriate automated, Service request, the request’s acceptance PBGC’s insured-plan inventory up to electronic, mechanical, or other date, and the authority cited by the date. That information and the retained technological collection techniques or Postal Service for each request. For each records are also needed for audit other forms of information technology, request, the Commission appoints an purposes. e.g. permitting electronic submission of officer of the Commission to represent PBGC intends to modify the 2021 responses. the interests of the general public in the premium filing to require certain plans Issued in Washington, DC. proceeding, pursuant to 39 U.S.C. 505 (Public Representative). Section II also that transferred assets to another plan Stephanie Cibinic, (or received assets from another plan) at establishes comment deadline(s) Deputy Assistant General Counsel for pertaining to each request. the beginning of the plan year to report Regulatory Affairs, Pension Benefit Guaranty information about the transfer. Such Corporation. The public portions of the Postal Service’s request(s) can be accessed via plans will be required to report whether [FR Doc. 2020–18382 Filed 8–20–20; 8:45 am] the Commission’s website (http:// the transfer was de minimis and, in the BILLING CODE 7709–02–P case of a de minimis merger, whether www.prc.gov). Non-public portions of the transferee plan had fewer assets than the Postal Service’s request(s), if any, can be accessed through compliance the transferor plan. This information is POSTAL REGULATORY COMMISSION necessary to verify that the date with the requirements of 39 CFR reported as the ‘‘participant count date’’ [Docket Nos. MC2020–222 and CP2020–252; 3011.301.1 (i.e., the date as of which participants Docket Nos. MC2020–223 and CP2020–253] The Commission invites comments on are counted for premium purposes) is whether the Postal Service’s request(s) New Postal Products correct. in the captioned docket(s) are consistent PBGC also intends to update the AGENCY: Postal Regulatory Commission. with the policies of title 39. For request(s) that the Postal Service states premium rates and make conforming, ACTION: Notice. clarifying, and editorial changes. One concern market dominant product(s), such change, to conform with the SUMMARY: The Commission is noticing a applicable statutory and regulatory Setting Every Community Up for recent Postal Service filing for the 1 See Docket No. RM2018–3, Order Adopting Retirement Enhancement (SECURE) Act Commission’s consideration concerning Final Rules Relating to Non-Public Information, of 2019, is adding the option of ‘‘CSEC a negotiated service agreement. This June 27, 2018, Attachment A at 19–22 (Order No. plan’’ (meaning cooperative and small- notice informs the public of the filing, 4679).
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requirements include 39 U.S.C. 3622, 39 the person identified in the FOR FURTHER portions of the Postal Service’s U.S.C. 3642, 39 CFR part 3030, and 39 INFORMATION CONTACT section by request(s) can be accessed through CFR part 3040, subpart B. For request(s) telephone for advice on filing compliance with the requirements of 39 that the Postal Service states concern alternatives. CFR part 3011. competitive product(s), applicable FOR FURTHER INFORMATION CONTACT: IV. Ordering Paragraphs statutory and regulatory requirements David A. Trissell, General Counsel, at It is ordered: include 39 U.S.C. 3632, 39 U.S.C. 3633, 202–789–6820. 1. The Commission establishes Docket 39 U.S.C. 3642, 39 CFR part 3035, and SUPPLEMENTARY INFORMATION: 39 CFR part 3040, subpart B. Comment No. CP2020–250 for consideration of the deadline(s) for each request appear in Table of Contents matters raised by the Postal Service’s section II. Notice. I. Introduction 2. Pursuant to 39 U.S.C. 505, Katalin II. Docketed Proceeding(s) II. Contents of Filing III. Commission Action K. Clendenin is appointed to serve as an 1. Docket No(s).: MC2020–222 and IV. Ordering Paragraphs officer of the Commission to represent CP2020–252; Filing Title: USPS Request the interests of the general public in this to Add Priority Mail Express, Priority I. Introduction proceeding (Public Representative). Mail, First-Class Package Service & On August 14, 2020, the Postal 3. Comments are due no later than Parcel Select Contract 7 to Competitive Service filed notice pursuant to 39 CFR August 24, 2020. Product List and Notice of Filing 3035.105, announcing its intention to 4. The Secretary shall arrange for Materials Under Seal; Filing Acceptance change rates not of general applicability publication of this order in the Federal Date: August 17, 2020; Filing Authority: for Inbound EMS 2 effective January 1, Register. 39 U.S.C. 3642, 39 CFR 3040.130 2021.1 By the Commission. through 3040.135, and 39 CFR 3035.105; II. Contents of Filing Erica A. Barker, Public Representative: Christopher C. To support its proposed Inbound EMS Secretary. Mohr; Comments Due: August 25, 2020. [FR Doc. 2020–18327 Filed 8–20–20; 8:45 am] 2. Docket No(s).: MC2020–223 and 2 prices, the Postal Service filed a BILLING CODE 7710–FW–P CP2020–253; Filing Title: USPS Request redacted version of the proposed prices, to Add Priority Mail & First-Class a copy of the certification required Package Service Contract 159 to under 39 CFR 3035.105(c)(2), a redacted POSTAL SERVICE Competitive Product List and Notice of copy of Governors’ Decision No. 19–1, a redacted copy of the most recent Filing Materials Under Seal; Filing Change in Rates and Classes of Acceptance Date: August 17, 2020; annual EMS Pay-for-Performance (PfP) Plan (for 2020), a redacted copy of the General Applicability for Competitive Filing Authority: 39 U.S.C. 3642, 39 CFR Products 3040.130 through 3040.135, and 39 CFR most recent available EMS Cooperative 3035.105; Public Representative: Report Cards for Calendar Year (CY) AGENCY: Postal ServiceTM. Christopher C. Mohr; Comments Due: 2019, and redacted copies of relevant ACTION: Notice of a change in rates of August 25, 2020. portions of the four quarterly EMS PfP general applicability for competitive This Notice will be published in the reports for CY 2019 used to calculate products. Federal Register. any PfP penalties. Notice at 2–3; see id. Attachments 2–7. SUMMARY: This notice sets forth time- Erica A. Barker, Additionally, the Postal Service filed limited changes in rates of general Secretary. unredacted copies of Governors’ applicability for competitive products. [FR Doc. 2020–18387 Filed 8–20–20; 8:45 am] Decision No. 19–1, its proposed prices, DATES: October 18, 2020. BILLING CODE 7710–FW–P service performance data and plan, and FOR FURTHER INFORMATION CONTACT: related financial information under seal. Elizabeth Reed, 202–268–3179. Notice at 2. The Postal Service also filed SUPPLEMENTARY INFORMATION: POSTAL REGULATORY COMMISSION On August an application for non-public treatment 6, 2020, pursuant to their authority [Docket No. CP2020–250; Order No. 5639] of materials under seal. Id. Attachment under 39 U.S.C. 3632, the Governors of 1. the Postal Service established time- Inbound EMS 2 III. Commission Action limited price changes for competitive AGENCY: Postal Regulatory Commission. The Commission establishes Docket products. The Governors’ Decision and ACTION: Notice. No. CP2020–250 for consideration of the record of proceedings in connection matters raised by the Notice and with such decision are reprinted below SUMMARY: The Commission is appoints Katalin K. Clendenin to serve in accordance with section 3632(b)(2). acknowledging a recent Postal Service as Public Representative in this docket. Joshua J. Hofer, filing of its intention to change prices The Commission invites comments on Attorney, Federal Compliance. not of general applicability to be whether the Postal Service’s filing is effective January 1, 2021. This consistent with 39 U.S.C. 3632, 3633, Decision of the Governors of the United document informs the public of the and 39 CFR part 3035. Comments are States Postal Service on Changes in filing, invites public comment, and due no later than August 24, 2020. The Rates of General Applicability for takes other administrative steps. public portions of the filing can be Competitive Products (Governors’ DATES: Comments are due: August 24, accessed via the Commission’s website Decision No. 20–3) 2020. (http://www.prc.gov). Non-public August 6, 2020 ADDRESSES: Submit comments electronically via the Commission’s 1 Notice of the United States Postal Service of Statement of Explanation and Filing Changes in Rates Not of General Justification Filing Online system at http:// Applicability for Inbound EMS 2, and Application www.prc.gov. Those who cannot submit for Non-Public Treatment, August 14, 2020, at 1 Pursuant to authority under section comments electronically should contact (Notice). 3632 of title 39, as amended by the
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Postal Accountability and Enhancement Base and Commercial Plus price No price changes are being made to Act of 2006 (‘‘PAEA’’), we establish new categories will increase 4.4 percent on USPS Retail Ground, Special Services, prices of general applicability for certain average. or International competitive products. domestic commercial shipping services B. Priority Mail Order (competitive products), and concurrent classification changes to effectuate the On average, the Priority Mail prices The changes in prices set forth herein new prices. These prices shall be in will be increased by 1.7 percent. The shall be effective at 12:01 a.m. on effect from October 18, 2020 until existing structure of Priority Mail Retail, October 18, 2020, and will be rolled December 27, 2020, at which time prices Commercial Base, and Commercial Plus back to current levels on December 27, will be restored to the levels that were price categories is maintained. Retail 2020. We direct the Secretary of the in effect prior to these increases. The prices will remain unchanged. The Board of Governors to have this decision changes are described generally below, Commercial Base price category will published in the Federal Register in with a detailed description of the increase 4.2 percent on average, while accordance with 39 U.S.C. 3632(b)(2), changes in the attachment. The the Commercial Plus price category will and direct management to file with the attachment includes the draft Mail increase 3.9 percent on average. Postal Regulatory Commission Classification Schedule sections with C. Parcel Select appropriate notice of these changes. the new prices that will take effect on On average, prices for destination- By The Governors: October 18 displayed in the price charts, /s/ lllllllllllllllll as well as the Mail Classification entered non-Lightweight Parcel Select, Schedule sections with the prices that the Postal Service’s bulk ground Robert M. Duncan, will be restored on December 27. shipping product, will increase 5.9 Chairman, Board of Governors. As shown in the nonpublic annex percent. For destination delivery unit being filed under seal herewith, the (DDU) entered parcels, the average price United States Postal Service Office of changes we establish should enable increase is 6.8 percent. For destination the Board of Governors each competitive product to cover its sectional center facility (DSCF) Certification of Governors’ Vote on attributable costs (39 U.S.C. 3633(a)(2)) destination entered parcels, the average Governors’ Decision No. 20–3 and should result in competitive price increase is 8.0 percent. For products as a whole complying with 39 destination network distribution center Consistent with 39 U.S.C. 3632(a), I U.S.C. 3633(a)(3), which, as (DNDC) parcels, the average price hereby certify that, on August 6, 2020, implemented by 39 CFR 3035.107(c), increase is 5.6 percent. Prices for Parcel the Governors voted on adopting requires competitive products Select Lightweight will increase by 12.0 Governors’ Decision No. 20–3, and that collectively to contribute a minimum of percent, while Parcel Select Ground will a majority of the Governors then holding 9.1 percent to the Postal Service’s see a 3.0 percent price increase. office voted in favor of that Decision. /s/ lllllllllllllllll institutional costs. Accordingly, no D. Parcel Return Service issue of subsidization of competitive Date: August 6, 2020. Parcel Return Service prices will have products by market dominant products Katherine Sigler, should arise (39 U.S.C. 3633(a)(1)). We an overall price increase of 3.3 percent. therefore find that the new prices are in Prices for parcels retrieved at a return Secretary of the Board of Governors (A). sectional center facility (RSCF) will accordance with 39 U.S.C. 3632–3633 Part B and 39 CFR 3035.102. increase by 1.9 percent, and prices for parcels picked up at a return delivery Competitive Products I. Domestic Products unit (RDU) will increase 4.7 percent. 2000 Competitive Product List A. Priority Mail Express E. First-Class Package Service 2100 Domestic Products Overall, the Priority Mail Express First-Class Package Service (FCPS) price change represents a 0.7 percent continues to be positioned as a *** increase. The existing structure of zoned lightweight (less than one pound) *** Retail, Commercial Base, and offering primarily used by businesses 2105 Priority Mail Express Commercial Plus price categories is for fulfillment purposes. Overall, FCPS maintained, with Commercial Base and prices will increase 5.6 percent, which *** Commercial Plus prices continuing to be reflects a 7.0 increase for FCPS- 2105.6 Prices set equal to each other. Retail prices will Commercial, and no change to FCPS- remain unchanged. The Commercial Retail prices. ***
COMMERCIAL BASE ZONE/WEIGHT
Local, Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
0.5 ...... 24.25 24.80 25.55 27.85 29.75 31.55 33.95 45.45 1 ...... 24.50 26.70 28.95 32.70 35.15 37.15 39.55 53.00 2 ...... 24.75 28.55 32.40 37.50 40.55 42.70 45.10 60.55 3 ...... 25.00 30.45 35.80 42.35 45.90 48.30 50.70 68.05 4 ...... 25.25 32.30 39.25 47.15 51.30 53.85 56.25 75.60 5 ...... 25.50 34.20 42.65 52.00 56.70 59.45 61.85 83.15 6 ...... 27.95 37.45 47.20 57.05 61.90 65.05 67.65 91.00 7 ...... 30.40 40.70 51.80 62.10 67.10 70.65 73.45 98.85 8 ...... 32.90 44.00 56.35 67.10 72.25 76.25 79.25 106.70 9 ...... 35.35 47.25 60.95 72.15 77.45 81.85 85.05 114.55 10 ...... 37.80 50.50 65.50 77.20 82.65 87.45 90.85 122.40
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COMMERCIAL BASE ZONE/WEIGHT—Continued
Local, Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
11 ...... 39.70 54.40 69.40 81.10 86.40 91.40 95.05 128.05 12 ...... 41.60 58.30 73.25 85.05 90.20 95.35 99.20 133.70 13 ...... 43.55 62.20 77.15 88.95 93.95 99.30 103.40 139.40 14 ...... 45.45 66.10 81.05 92.90 97.70 103.25 107.55 145.05 15 ...... 47.35 70.00 84.95 96.80 101.50 107.15 111.70 150.70 16 ...... 49.25 73.85 88.80 100.70 105.25 111.10 115.90 156.35 17 ...... 51.15 77.75 92.70 104.65 109.00 115.05 120.05 162.00 18 ...... 53.10 81.65 96.60 108.55 112.75 119.00 124.25 167.70 19 ...... 55.00 85.55 100.45 112.50 116.55 122.95 128.40 173.35 20 ...... 56.90 89.45 104.35 116.40 120.30 126.90 132.60 179.00 21 ...... 58.85 93.40 108.25 120.65 124.65 131.40 137.35 185.45 22 ...... 60.85 97.35 112.15 124.95 129.00 135.95 142.10 191.90 23 ...... 62.80 101.30 116.00 129.20 133.30 140.45 146.90 198.35 24 ...... 64.80 105.25 119.90 133.50 137.65 144.95 151.65 204.75 25 ...... 66.75 109.20 123.80 137.75 142.00 149.45 156.40 211.20 26 ...... 68.70 113.15 127.70 142.00 146.35 154.00 161.15 217.65 27 ...... 70.70 117.10 131.60 146.30 150.70 158.50 165.90 224.10 28 ...... 72.65 121.05 135.45 150.55 155.00 163.00 170.70 230.55 29 ...... 74.65 125.00 139.35 154.85 159.35 167.50 175.45 237.00 30 ...... 76.60 128.95 143.25 159.10 163.70 172.05 180.20 243.45 31 ...... 78.55 132.90 147.15 163.35 168.05 176.55 184.95 249.90 32 ...... 80.55 136.85 151.05 167.65 172.40 181.05 189.70 256.30 33 ...... 82.50 140.80 154.90 171.90 176.70 185.55 194.50 262.75 34 ...... 84.50 144.75 158.80 176.20 181.05 190.10 199.25 269.20 35 ...... 86.45 148.70 162.70 180.45 185.40 194.60 204.00 275.65 36 ...... 88.65 152.60 167.10 185.25 190.45 199.80 209.40 283.00 37 ...... 90.50 156.35 171.35 189.85 195.45 205.00 214.85 290.35 38 ...... 92.60 160.25 175.65 194.60 200.25 210.00 220.15 297.55 39 ...... 94.85 164.15 180.05 199.25 204.90 214.80 225.60 304.95 40 ...... 96.85 167.80 184.40 204.05 209.85 219.95 231.05 312.30 41 ...... 98.75 171.75 188.65 208.60 214.90 225.15 236.40 319.50 42 ...... 100.45 175.65 192.90 213.25 219.90 230.30 241.70 326.75 43 ...... 102.75 179.40 197.15 217.85 224.75 235.30 247.20 334.10 44 ...... 104.55 183.30 201.50 222.55 229.55 240.25 252.50 341.35 45 ...... 106.55 187.15 205.65 227.05 234.45 245.35 258.00 348.80 46 ...... 108.60 190.90 210.20 231.90 239.30 250.30 263.35 356.05 47 ...... 110.85 194.75 214.40 236.50 244.20 255.35 268.75 363.35 48 ...... 112.75 198.70 218.60 240.95 249.10 260.40 274.15 370.65 49 ...... 114.70 202.40 222.95 245.65 254.15 265.60 279.60 378.05 50 ...... 117.15 206.35 227.30 250.40 258.90 270.40 284.95 385.25 51 ...... 119.15 210.25 231.55 254.95 263.70 275.40 289.60 391.55 52 ...... 121.20 213.90 235.75 259.50 268.80 280.55 295.80 400.00 53 ...... 123.10 217.85 240.15 264.15 273.70 285.60 301.20 407.25 54 ...... 125.30 221.75 244.35 268.65 278.55 290.65 306.55 414.55 55 ...... 127.75 226.80 248.80 273.40 283.40 295.55 311.90 421.80 56 ...... 130.40 230.70 253.00 277.90 288.25 300.55 317.35 429.15 57 ...... 132.60 234.55 257.30 282.50 293.10 305.55 322.70 436.35 58 ...... 134.85 238.25 261.55 287.00 298.10 310.60 328.10 443.65 59 ...... 136.70 242.10 265.80 291.60 303.10 315.65 333.45 450.95 60 ...... 138.50 245.95 270.15 296.15 307.95 320.60 338.85 458.25 61 ...... 140.45 249.90 274.65 300.95 312.85 325.60 344.25 465.55 62 ...... 142.60 253.60 278.80 305.35 317.65 330.45 349.75 473.00 63 ...... 144.95 257.45 283.10 309.95 322.60 335.60 355.20 480.35 64 ...... 146.85 261.25 287.30 314.40 327.55 340.60 360.60 487.65 65 ...... 149.35 265.10 291.60 318.95 332.40 345.45 365.90 494.85 66 ...... 152.10 269.05 296.00 323.65 337.30 350.50 371.25 502.05 67 ...... 153.85 272.80 300.35 328.25 342.05 355.30 376.70 509.45 68 ...... 155.85 276.65 304.60 332.65 347.15 360.50 382.20 516.95 69 ...... 158.30 280.55 308.85 337.20 351.90 365.35 387.35 523.95 70 ...... 161.15 284.40 313.20 341.75 356.85 370.30 392.80 531.30
COMMERCIAL BASE FLAT RATE ENVELOPE
($)
Commercial Base Regular Flat Rate Envelope, per piece ...... 24.25 Commercial Base Legal Flat Rate Envelope, per piece ...... 24.45 Commercial Base Padded Flat Rate Envelope, per piece ...... 24.75
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***
COMMERCIAL PLUS ZONE/WEIGHT
Local, Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
0.5 ...... 24.25 24.80 25.55 27.85 29.75 31.55 33.95 45.45 1 ...... 24.50 26.70 28.95 32.70 35.15 37.15 39.55 53.00 2 ...... 24.75 28.55 32.40 37.50 40.55 42.70 45.10 60.55 3 ...... 25.00 30.45 35.80 42.35 45.90 48.30 50.70 68.05 4 ...... 25.25 32.30 39.25 47.15 51.30 53.85 56.25 75.60 5 ...... 25.50 34.20 42.65 52.00 56.70 59.45 61.85 83.15 6 ...... 27.95 37.45 47.20 57.05 61.90 65.05 67.65 91.00 7 ...... 30.40 40.70 51.80 62.10 67.10 70.65 73.45 98.85 8 ...... 32.90 44.00 56.35 67.10 72.25 76.25 79.25 106.70 9 ...... 35.35 47.25 60.95 72.15 77.45 81.85 85.05 114.55 10 ...... 37.80 50.50 65.50 77.20 82.65 87.45 90.85 122.40 11 ...... 39.70 54.40 69.40 81.10 86.40 91.40 95.05 128.05 12 ...... 41.60 58.30 73.25 85.05 90.20 95.35 99.20 133.70 13 ...... 43.55 62.20 77.15 88.95 93.95 99.30 103.40 139.40 14 ...... 45.45 66.10 81.05 92.90 97.70 103.25 107.55 145.05 15 ...... 47.35 70.00 84.95 96.80 101.50 107.15 111.70 150.70 16 ...... 49.25 73.85 88.80 100.70 105.25 111.10 115.90 156.35 17 ...... 51.15 77.75 92.70 104.65 109.00 115.05 120.05 162.00 18 ...... 53.10 81.65 96.60 108.55 112.75 119.00 124.25 167.70 19 ...... 55.00 85.55 100.45 112.50 116.55 122.95 128.40 173.35 20 ...... 56.90 89.45 104.35 116.40 120.30 126.90 132.60 179.00 21 ...... 58.85 93.40 108.25 120.65 124.65 131.40 137.35 185.45 22 ...... 60.85 97.35 112.15 124.95 129.00 135.95 142.10 191.90 23 ...... 62.80 101.30 116.00 129.20 133.30 140.45 146.90 198.35 24 ...... 64.80 105.25 119.90 133.50 137.65 144.95 151.65 204.75 25 ...... 66.75 109.20 123.80 137.75 142.00 149.45 156.40 211.20 26 ...... 68.70 113.15 127.70 142.00 146.35 154.00 161.15 217.65 27 ...... 70.70 117.10 131.60 146.30 150.70 158.50 165.90 224.10 28 ...... 72.65 121.05 135.45 150.55 155.00 163.00 170.70 230.55 29 ...... 74.65 125.00 139.35 154.85 159.35 167.50 175.45 237.00 30 ...... 76.60 128.95 143.25 159.10 163.70 172.05 180.20 243.45 31 ...... 78.55 132.90 147.15 163.35 168.05 176.55 184.95 249.90 32 ...... 80.55 136.85 151.05 167.65 172.40 181.05 189.70 256.30 33 ...... 82.50 140.80 154.90 171.90 176.70 185.55 194.50 262.75 34 ...... 84.50 144.75 158.80 176.20 181.05 190.10 199.25 269.20 35 ...... 86.45 148.70 162.70 180.45 185.40 194.60 204.00 275.65 36 ...... 88.65 152.60 167.10 185.25 190.45 199.80 209.40 283.00 37 ...... 90.50 156.35 171.35 189.85 195.45 205.00 214.85 290.35 38 ...... 92.60 160.25 175.65 194.60 200.25 210.00 220.15 297.55 39 ...... 94.85 164.15 180.05 199.25 204.90 214.80 225.60 304.95 40 ...... 96.85 167.80 184.40 204.05 209.85 219.95 231.05 312.30 41 ...... 98.75 171.75 188.65 208.60 214.90 225.15 236.40 319.50 42 ...... 100.45 175.65 192.90 213.25 219.90 230.30 241.70 326.75 43 ...... 102.75 179.40 197.15 217.85 224.75 235.30 247.20 334.10 44 ...... 104.55 183.30 201.50 222.55 229.55 240.25 252.50 341.35 45 ...... 106.55 187.15 205.65 227.05 234.45 245.35 258.00 348.80 46 ...... 108.60 190.90 210.20 231.90 239.30 250.30 263.35 356.05 47 ...... 110.85 194.75 214.40 236.50 244.20 255.35 268.75 363.35 48 ...... 112.75 198.70 218.60 240.95 249.10 260.40 274.15 370.65 49 ...... 114.70 202.40 222.95 245.65 254.15 265.60 279.60 378.05 50 ...... 117.15 206.35 227.30 250.40 258.90 270.40 284.95 385.25 51 ...... 119.15 210.25 231.55 254.95 263.70 275.40 289.60 391.55 52 ...... 121.20 213.90 235.75 259.50 268.80 280.55 295.80 400.00 53 ...... 123.10 217.85 240.15 264.15 273.70 285.60 301.20 407.25 54 ...... 125.30 221.75 244.35 268.65 278.55 290.65 306.55 414.55 55 ...... 127.75 226.80 248.80 273.40 283.40 295.55 311.90 421.80 56 ...... 130.40 230.70 253.00 277.90 288.25 300.55 317.35 429.15 57 ...... 132.60 234.55 257.30 282.50 293.10 305.55 322.70 436.35 58 ...... 134.85 238.25 261.55 287.00 298.10 310.60 328.10 443.65 59 ...... 136.70 242.10 265.80 291.60 303.10 315.65 333.45 450.95 60 ...... 138.50 245.95 270.15 296.15 307.95 320.60 338.85 458.25 61 ...... 140.45 249.90 274.65 300.95 312.85 325.60 344.25 465.55 62 ...... 142.60 253.60 278.80 305.35 317.65 330.45 349.75 473.00 63 ...... 144.95 257.45 283.10 309.95 322.60 335.60 355.20 480.35 64 ...... 146.85 261.25 287.30 314.40 327.55 340.60 360.60 487.65 65 ...... 149.35 265.10 291.60 318.95 332.40 345.45 365.90 494.85 66 ...... 152.10 269.05 296.00 323.65 337.30 350.50 371.25 502.05 67 ...... 153.85 272.80 300.35 328.25 342.05 355.30 376.70 509.45
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00091 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51765
COMMERCIAL PLUS ZONE/WEIGHT—Continued
Local, Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
68 ...... 155.85 276.65 304.60 332.65 347.15 360.50 382.20 516.95 69 ...... 158.30 280.55 308.85 337.20 351.90 365.35 387.35 523.95 70 ...... 161.15 284.40 313.20 341.75 356.85 370.30 392.80 531.30
COMMERCIAL PLUS FLAT RATE ENVELOPE
($)
Commercial Plus Regular Flat Rate Envelope, per piece ...... 24.25 Commercial Plus Legal Flat Rate Envelope, per piece ...... 24.45 Commercial Plus Padded Flat Rate Envelope, per piece ...... 24.75
*** 2110 Priority Mail 2110.6 Prices *** ***
COMMERCIAL BASE PRIORITY MAIL ZONE/WEIGHT
Local, Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
1 ...... 7.42 7.75 7.96 8.20 8.38 8.55 8.82 11.80 2 ...... 8.04 8.24 8.52 9.16 10.39 10.94 11.59 17.85 3 ...... 8.24 8.63 8.99 9.94 12.55 13.89 16.14 24.07 4 ...... 8.34 8.85 9.47 10.73 14.56 16.46 18.54 28.90 5 ...... 8.44 8.90 9.79 11.04 16.54 18.86 21.41 33.57 6 ...... 8.55 8.94 9.90 14.58 18.87 21.85 24.92 38.41 7 ...... 8.79 10.09 10.14 16.29 20.86 24.58 27.95 43.08 8 ...... 8.85 10.57 11.89 17.75 22.87 27.03 31.34 48.31 9 ...... 9.68 10.96 12.37 19.00 24.85 29.24 34.80 53.68 10 ...... 10.16 11.50 12.56 20.70 27.07 32.43 38.18 58.34 11 ...... 11.70 13.93 14.90 22.97 29.55 35.90 42.07 63.70 12 ...... 12.40 14.79 17.29 24.58 32.21 38.80 45.13 68.26 13 ...... 13.02 15.62 18.08 25.87 34.54 40.35 46.71 70.69 14 ...... 13.67 16.46 19.02 27.36 36.46 42.58 49.01 74.17 15 ...... 14.19 17.30 19.93 28.74 37.85 43.39 50.28 76.12 16 ...... 14.79 18.37 21.18 30.43 40.35 46.24 53.53 80.28 17 ...... 15.25 19.20 22.17 31.90 42.38 48.62 56.35 84.49 18 ...... 15.54 19.78 23.15 33.31 44.60 51.00 59.15 88.73 19 ...... 15.89 20.23 23.67 34.18 46.58 53.35 61.94 92.92 20 ...... 16.50 20.54 24.14 34.80 47.78 55.33 64.79 97.18 21 ...... 17.21 21.02 24.69 35.41 48.15 55.85 65.62 99.25 22 ...... 17.74 21.58 25.50 36.11 48.48 56.28 66.37 100.40 23 ...... 18.26 22.08 26.10 36.76 48.74 56.66 66.76 100.99 24 ...... 18.99 23.00 27.56 38.19 49.76 58.13 68.38 103.45 25 ...... 19.70 23.80 29.28 39.46 50.49 59.57 69.56 105.22 26 ...... 20.87 25.49 32.30 41.54 51.71 61.03 71.73 108.50 27 ...... 22.09 26.62 34.24 45.24 52.40 62.44 74.40 112.59 28 ...... 22.75 26.97 35.20 46.41 53.11 63.88 77.18 116.80 29 ...... 23.44 27.24 36.14 47.02 53.99 65.34 79.25 119.91 30 ...... 24.12 27.63 36.98 47.66 55.49 66.76 80.94 122.50 31 ...... 24.79 27.90 37.55 48.26 56.29 68.23 82.59 126.00 32 ...... 25.07 28.48 38.17 48.82 57.02 69.69 84.27 128.56 33 ...... 25.45 29.26 39.11 49.46 58.12 71.12 85.81 130.93 34 ...... 25.68 30.01 40.09 50.52 59.49 72.57 87.41 133.40 35 ...... 25.96 30.71 40.66 51.58 61.07 74.02 88.91 135.66 36 ...... 26.28 31.59 41.19 52.69 62.60 75.02 90.41 137.97 37 ...... 26.55 32.17 41.78 53.62 64.23 75.97 91.89 140.24 38 ...... 26.81 32.94 42.30 54.68 66.00 76.84 93.34 142.47 39 ...... 27.06 33.70 42.78 55.80 67.55 78.85 94.78 144.67 40 ...... 27.34 34.40 43.33 56.96 68.63 80.61 96.07 146.62 41 ...... 27.63 34.97 43.79 57.46 69.78 82.32 97.45 149.91 42 ...... 27.83 35.23 44.17 58.42 71.00 83.44 98.78 151.95 43 ...... 28.15 35.49 44.56 59.38 72.69 84.47 100.04 153.89 44 ...... 28.34 35.74 44.94 60.33 73.84 85.47 101.16 155.66 45 ...... 28.52 35.99 45.34 61.29 74.65 86.39 102.44 157.62 46 ...... 28.77 36.25 45.73 62.25 75.48 87.32 103.67 159.49
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51766 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
COMMERCIAL BASE PRIORITY MAIL ZONE/WEIGHT—Continued
Local, Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
47 ...... 28.98 36.50 46.11 63.21 76.26 88.31 104.81 161.27 48 ...... 29.22 36.76 46.50 64.16 77.24 89.15 105.92 163.02 49 ...... 29.44 37.00 46.89 65.12 78.29 90.08 106.99 164.61 50 ...... 29.56 37.26 47.28 66.08 79.38 91.22 108.11 166.37 51 ...... 29.99 37.52 47.65 67.20 80.46 92.52 109.11 169.25 52 ...... 30.43 37.78 48.04 67.67 81.24 93.91 110.40 171.22 53 ...... 30.99 38.02 48.43 68.22 81.92 95.44 111.80 173.41 54 ...... 31.43 38.29 48.81 68.81 82.50 96.80 113.36 175.83 55 ...... 31.92 38.53 49.20 69.24 83.18 98.33 114.88 178.19 56 ...... 32.35 38.79 49.59 69.76 83.73 99.71 116.05 180.03 57 ...... 32.86 39.04 49.98 70.17 84.36 101.22 117.07 181.64 58 ...... 33.35 39.29 50.36 70.61 84.86 102.55 118.04 183.10 59 ...... 33.82 39.55 50.74 71.04 85.34 103.25 118.90 184.47 60 ...... 34.24 39.80 51.13 71.43 85.76 103.85 119.75 185.76 61 ...... 34.79 40.05 51.52 71.79 86.24 104.45 121.35 188.28 62 ...... 35.21 40.31 51.90 72.10 86.64 104.91 123.28 191.24 63 ...... 35.84 40.57 52.30 72.48 87.13 105.41 125.25 194.30 64 ...... 36.15 40.81 52.68 72.80 87.52 105.89 127.16 197.29 65 ...... 36.67 41.07 53.08 73.02 87.77 106.42 129.14 200.37 66 ...... 37.14 41.33 53.45 73.35 88.21 106.74 131.01 203.27 67 ...... 37.69 41.58 54.35 73.61 88.49 107.16 132.75 205.94 68 ...... 38.13 41.83 55.03 73.81 89.60 107.72 134.15 208.12 69 ...... 38.64 42.09 55.73 74.03 90.67 108.22 135.56 210.34 70 ...... 39.04 42.34 56.60 74.26 91.76 108.61 137.02 212.59
COMMERCIAL BASE FLAT RATE ENVELOPE
($)
Commercial Base Regular Flat Rate Envelope, per piece ...... 7.55 Commercial Base Legal Flat Rate Envelope, per piece ...... 7.85 Commercial Base Padded Flat Rate Envelope, per piece ...... 8.15
COMMERCIAL BASE FLAT RATE BOX
Delivery to Delivery to APO/FPO/ Size domestic DPO address address ($) ($)
Small Flat Rate Box ...... 8.05 8.05 Regular Flat Rate Boxes ...... 13.60 13.60 Large Flat Rate Boxes ...... 18.70 17.20
COMMERCIAL BASE REGIONAL RATE BOXES
Local, Size Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
A ...... 8.08 8.32 8.61 9.32 10.82 11.53 12.50 19.09 B ...... 8.47 8.91 9.82 11.93 17.12 19.61 22.29 34.78
***
COMMERCIAL PLUS PRIORITY MAIL ZONE/WEIGHT
Local, Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
0.5 ...... 7.42 7.75 7.96 8.20 8.38 8.55 8.82 11.80 1 ...... 7.42 7.75 7.96 8.20 8.38 8.55 8.82 11.80 2 ...... 8.04 8.24 8.52 9.16 10.39 10.94 11.59 17.85 3 ...... 8.24 8.63 8.99 9.94 12.55 13.89 16.14 24.07
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51767
COMMERCIAL PLUS PRIORITY MAIL ZONE/WEIGHT—Continued
Local, Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
4 ...... 8.34 8.85 9.47 10.73 14.56 16.46 18.54 28.90 5 ...... 8.44 8.90 9.79 11.04 16.54 18.86 21.41 33.57 6 ...... 8.55 8.94 9.90 14.58 18.87 21.85 24.92 38.41 7 ...... 8.79 10.09 10.14 16.29 20.86 24.58 27.95 43.08 8 ...... 8.85 10.57 11.89 17.75 22.87 27.03 31.34 48.31 9 ...... 9.68 10.96 12.37 19.00 24.85 29.24 34.80 53.68 10 ...... 10.16 11.50 12.56 20.70 27.07 32.43 38.18 58.34 11 ...... 11.70 13.93 14.90 22.97 29.55 35.90 42.07 63.70 12 ...... 12.40 14.79 17.29 24.58 32.21 38.80 45.13 68.26 13 ...... 13.02 15.62 18.08 25.87 34.54 40.35 46.71 70.69 14 ...... 13.67 16.46 19.02 27.36 36.46 42.58 49.01 74.17 15 ...... 14.19 17.30 19.93 28.74 37.85 43.39 50.28 76.12 16 ...... 14.79 18.37 21.18 30.43 40.35 46.24 53.53 80.28 17 ...... 15.25 19.20 22.17 31.90 42.38 48.62 56.35 84.49 18 ...... 15.54 19.78 23.15 33.31 44.60 51.00 59.15 88.73 19 ...... 15.89 20.23 23.67 34.18 46.58 53.35 61.94 92.92 20 ...... 16.50 20.54 24.14 34.80 47.78 55.33 64.79 97.18 21 ...... 17.21 21.02 24.69 35.41 48.15 55.85 65.62 99.25 22 ...... 17.74 21.58 25.50 36.11 48.48 56.28 66.37 100.40 23 ...... 18.26 22.08 26.10 36.76 48.74 56.66 66.76 100.99 24 ...... 18.99 23.00 27.56 38.19 49.76 58.13 68.38 103.45 25 ...... 19.70 23.80 29.28 39.46 50.49 59.57 69.56 105.22 26 ...... 20.87 25.49 32.30 41.54 51.71 61.03 71.73 108.50 27 ...... 22.09 26.62 34.24 45.24 52.40 62.44 74.40 112.59 28 ...... 22.75 26.97 35.20 46.41 53.11 63.88 77.18 116.80 29 ...... 23.44 27.24 36.14 47.02 53.99 65.34 79.25 119.91 30 ...... 24.12 27.63 36.98 47.66 55.49 66.76 80.94 122.50 31 ...... 24.79 27.90 37.55 48.26 56.29 68.23 82.59 126.00 32 ...... 25.07 28.48 38.17 48.82 57.02 69.69 84.27 128.56 33 ...... 25.45 29.26 39.11 49.46 58.12 71.12 85.81 130.93 34 ...... 25.68 30.01 40.09 50.52 59.49 72.57 87.41 133.40 35 ...... 25.96 30.71 40.66 51.58 61.07 74.02 88.91 135.66 36 ...... 26.28 31.59 41.19 52.69 62.60 75.02 90.41 137.97 37 ...... 26.55 32.17 41.78 53.62 64.23 75.97 91.89 140.24 38 ...... 26.81 32.94 42.30 54.68 66.00 76.84 93.34 142.47 39 ...... 27.06 33.70 42.78 55.80 67.55 78.85 94.78 144.67 40 ...... 27.34 34.40 43.33 56.96 68.63 80.61 96.07 146.62 41 ...... 27.63 34.97 43.79 57.46 69.78 82.32 97.45 149.91 42 ...... 27.83 35.23 44.17 58.42 71.00 83.44 98.78 151.95 43 ...... 28.15 35.49 44.56 59.38 72.69 84.47 100.04 153.89 44 ...... 28.34 35.74 44.94 60.33 73.84 85.47 101.16 155.66 45 ...... 28.52 35.99 45.34 61.29 74.65 86.39 102.44 157.62 46 ...... 28.77 36.25 45.73 62.25 75.48 87.32 103.67 159.49 47 ...... 28.98 36.50 46.11 63.21 76.26 88.31 104.81 161.27 48 ...... 29.22 36.76 46.50 64.16 77.24 89.15 105.92 163.02 49 ...... 29.44 37.00 46.89 65.12 78.29 90.08 106.99 164.61 50 ...... 29.56 37.26 47.28 66.08 79.38 91.22 108.11 166.37 51 ...... 29.99 37.52 47.65 67.20 80.46 92.52 109.11 169.25 52 ...... 30.43 37.78 48.04 67.67 81.24 93.91 110.40 171.22 53 ...... 30.99 38.02 48.43 68.22 81.92 95.44 111.80 173.41 54 ...... 31.43 38.29 48.81 68.81 82.50 96.80 113.36 175.83 55 ...... 31.92 38.53 49.20 69.24 83.18 98.33 114.88 178.19 56 ...... 32.35 38.79 49.59 69.76 83.73 99.71 116.05 180.03 57 ...... 32.86 39.04 49.98 70.17 84.36 101.22 117.07 181.64 58 ...... 33.35 39.29 50.36 70.61 84.86 102.55 118.04 183.10 59 ...... 33.82 39.55 50.74 71.04 85.34 103.25 118.90 184.47 60 ...... 34.24 39.80 51.13 71.43 85.76 103.85 119.75 185.76 61 ...... 34.79 40.05 51.52 71.79 86.24 104.45 121.35 188.28 62 ...... 35.21 40.31 51.90 72.10 86.64 104.91 123.28 191.24 63 ...... 35.84 40.57 52.30 72.48 87.13 105.41 125.25 194.30 64 ...... 36.15 40.81 52.68 72.80 87.52 105.89 127.16 197.29 65 ...... 36.67 41.07 53.08 73.02 87.77 106.42 129.14 200.37 66 ...... 37.14 41.33 53.45 73.35 88.21 106.74 131.01 203.27 67 ...... 37.69 41.58 54.35 73.61 88.49 107.16 132.75 205.94 68 ...... 38.13 41.83 55.03 73.81 89.60 107.72 134.15 208.12 69 ...... 38.64 42.09 55.73 74.03 90.67 108.22 135.56 210.34 70 ...... 39.04 42.34 56.60 74.26 91.76 108.61 137.02 212.59
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00094 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51768 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
COMMERCIAL PLUS FLAT RATE ENVELOPE
($)
Commercial Plus Regular Flat Rate Envelope, per piece ...... 7.55 Commercial Plus Legal Flat Rate Envelope, per piece ...... 7.85 Commercial Plus Padded Flat Rate Envelope, per piece ...... 8.15
COMMERCIAL PLUS FLAT RATE BOX
Delivery to Delivery to APO/FPO/ Size domestic DPO address address ($) ($)
Small Flat Rate Box ...... 8.05 8.05 Medium Flat Rate Boxes ...... 13.60 13.60 Large Flat Rate Boxes ...... 18.70 17.20
COMMERCIAL PLUS REGIONAL RATE BOXES
Local, Maximum cubic feet Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
A ...... 8.08 8.32 8.61 9.32 10.82 11.53 12.50 19.09 B ...... 8.47 8.91 9.82 11.93 17.12 19.61 22.29 34.78
***
COMMERCIAL PLUS CUBIC
Local, Maximum cubic feet Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
0.10 ...... 7.42 7.75 7.96 8.20 8.38 8.55 8.82 11.80 0.20 ...... 7.86 8.20 8.42 9.11 9.40 9.62 9.96 13.55 0.30 ...... 8.44 8.66 8.95 10.05 11.38 11.98 12.69 19.52 0.40 ...... 8.61 8.97 9.33 10.71 13.18 14.42 16.42 24.68 0.50 ...... 8.74 9.24 9.82 11.55 15.38 17.29 19.64 30.28
Open and Distribute (PMOD) a. DDU
Local, Container Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
Half Tray...... 8.89 10.79 12.96 20.60 20.87 22.65 25.10 31.28 Full Tray...... 11.94 14.83 17.20 29.81 34.19 36.31 40.47 50.48 EMM Tray...... 13.63 16.16 19.87 32.93 36.11 39.61 44.00 54.90 Flat Tub...... 19.30 24.09 29.69 49.94 60.20 65.05 72.36 90.35
b. Processing Facilities
Local, Container Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
Half Tray...... 7.13 8.92 10.86 18.64 19.04 20.79 22.29 27.77 Full Tray...... 9.10 11.62 14.37 25.88 30.52 32.64 36.43 45.44 EMM Tray...... 10.78 12.43 16.79 28.53 32.35 35.58 41.05 51.22 Flat Tub...... 15.25 20.03 25.27 45.82 55.88 60.79 66.82 83.44
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00095 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51769
*** 2115.6 Prices 2115 Parcel Select Destination Entered—DDU *** a. DDU
Maximum weight DDU (pounds) ($)
1 ...... 3.43 2 ...... 3.53 3 ...... 3.64 4 ...... 3.74 5 ...... 3.82 6 ...... 3.91 7 ...... 4.01 8 ...... 4.10 9 ...... 4.19 10 ...... 4.27 11 ...... 4.35 12 ...... 4.43 13 ...... 4.51 14 ...... 4.59 15 ...... 4.68 16 ...... 4.76 17 ...... 4.84 18 ...... 4.97 19 ...... 5.05 20 ...... 5.18 21 ...... 6.45 22 ...... 6.48 23 ...... 6.51 24 ...... 6.54 25 ...... 6.57 26 ...... 6.60 27 ...... 6.63 28 ...... 6.66 29 ...... 6.69 30 ...... 6.72 31 ...... 6.75 32 ...... 6.78 33 ...... 6.81 34 ...... 6.84 35 ...... 6.87 36 ...... 6.90 37 ...... 6.93 38 ...... 6.96 39 ...... 6.99 40 ...... 7.02 41 ...... 7.05 42 ...... 7.08 43 ...... 7.11 44 ...... 7.14 45 ...... 7.17 46 ...... 7.34 47 ...... 7.41 48 ...... 7.49 49 ...... 7.56 50 ...... 7.64 51 ...... 7.71 52 ...... 7.78 53 ...... 7.86 54 ...... 7.93 55 ...... 8.00 56 ...... 8.08 57 ...... 8.15 58 ...... 8.23 59 ...... 8.30 60 ...... 8.38 61 ...... 8.47 62 ...... 8.55 63 ...... 8.64 64 ...... 8.72 65 ...... 8.81 66 ...... 8.89 67 ...... 8.98 68 ...... 9.06
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51770 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
Maximum weight DDU (pounds) ($)
69 ...... 9.14 70 ...... 9.23 Oversized ...... 13.01
*** Destination Entered—DSCF a. DSCF—5-Digit Machinable
Maximum weight DSCF 5-digit (pounds) ($)
1 ...... 4.77 2 ...... 4.95 3 ...... 5.12 4 ...... 5.30 5 ...... 5.44 6 ...... 5.67 7 ...... 5.79 8 ...... 5.96 9 ...... 6.13 10 ...... 6.31 11 ...... 6.48 12 ...... 6.65 13 ...... 6.82 14 ...... 7.00 15 ...... 7.17 16 ...... 7.34 17 ...... 7.52 18 ...... 7.69 19 ...... 7.86 20 ...... 8.03 21 ...... 8.21 22 ...... 8.38 23 ...... 8.55 24 ...... 8.72 25 ...... 8.90 26 ...... 9.07 27 ...... 9.24 28 ...... 9.41 29 ...... 9.59 30 ...... 9.77 31 ...... 9.95 32 ...... 10.13 33 ...... 10.32 34 ...... 10.50 35 ...... 10.68
b. DSCF—3-Digit, 5-Digit Non- Machinable
Maximum weight DSCF 3-digit DSCF 5-digit (pounds) ($) ($)
1 ...... 6.77 4.77 2 ...... 6.95 4.95 3 ...... 7.12 5.12 4 ...... 7.30 5.30 5 ...... 7.44 5.44 6 ...... 7.67 5.67 7 ...... 7.79 5.79 8 ...... 7.96 5.96 9 ...... 8.13 6.13 10 ...... 8.31 6.31 11 ...... 8.48 6.48 12 ...... 8.65 6.65 13 ...... 8.82 6.82 14 ...... 9.00 7.00 15 ...... 9.17 7.17
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51771
Maximum weight DSCF 3-digit DSCF 5-digit (pounds) ($) ($)
16 ...... 9.34 7.34 17 ...... 9.52 7.52 18 ...... 9.69 7.69 19 ...... 9.86 7.86 20 ...... 10.03 8.03 21 ...... 10.21 8.21 22 ...... 10.38 8.38 23 ...... 10.55 8.55 24 ...... 10.72 8.72 25 ...... 10.90 8.90 26 ...... 11.07 9.07 27 ...... 11.24 9.24 28 ...... 11.41 9.41 29 ...... 11.59 9.59 30 ...... 11.77 9.77 31 ...... 11.95 9.95 32 ...... 12.13 10.13 33 ...... 12.32 10.32 34 ...... 12.50 10.50 35 ...... 12.68 10.68 36 ...... 13.28 11.28 37 ...... 13.47 11.47 38 ...... 13.66 11.66 39 ...... 13.85 11.85 40 ...... 14.04 12.04 41 ...... 14.23 12.23 42 ...... 14.42 12.42 43 ...... 14.61 12.61 44 ...... 14.80 12.80 45 ...... 14.99 12.99 46 ...... 15.18 13.18 47 ...... 15.37 13.37 48 ...... 15.56 13.56 49 ...... 15.75 13.75 50 ...... 15.94 13.94 51 ...... 16.13 14.13 52 ...... 16.32 14.32 53 ...... 16.51 14.51 54 ...... 16.70 14.70 55 ...... 16.89 14.89 56 ...... 17.08 15.08 57 ...... 17.26 15.26 58 ...... 17.45 15.45 59 ...... 17.64 15.64 60 ...... 17.83 15.83 61 ...... 18.02 16.02 62 ...... 18.21 16.21 63 ...... 18.40 16.40 64 ...... 18.59 16.59 65 ...... 18.78 16.78 66 ...... 18.97 16.97 67 ...... 19.16 17.16 68 ...... 19.35 17.35 69 ...... 19.54 17.54 70 ...... 19.73 17.73 Oversized ...... 25.80 25.80
*** Destination Entered—DNDC a. DNDC—Machinable
DNDC DNDC DNDC DNDC Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zones 5 (pounds) ($) ($) ($) ($)
1 ...... 6.38 7.22 8.18 9.54 2 ...... 6.66 7.70 8.82 10.23 3 ...... 6.94 8.19 9.45 10.93 4 ...... 7.22 8.67 10.09 11.63 5 ...... 7.39 9.03 10.58 12.32
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51772 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
DNDC DNDC DNDC DNDC Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zones 5 (pounds) ($) ($) ($) ($)
6 ...... 7.68 9.52 11.21 13.05 7 ...... 8.04 10.02 11.84 13.78 8 ...... 8.32 10.52 12.47 14.51 9 ...... 8.61 11.02 13.10 15.23 10 ...... 8.90 11.51 13.86 15.96 11 ...... 9.18 12.13 14.45 16.65 12 ...... 9.47 12.63 15.05 17.33 13 ...... 9.76 13.01 15.64 18.02 14 ...... 10.05 13.63 16.24 18.70 15 ...... 10.33 14.00 16.83 19.34 16 ...... 10.62 14.63 17.29 19.92 17 ...... 10.91 14.98 17.75 20.50 18 ...... 11.19 15.46 18.21 21.08 19 ...... 11.48 15.95 18.68 21.66 20 ...... 11.77 16.42 19.14 22.19 21 ...... 12.05 16.86 19.56 22.71 22 ...... 12.34 17.31 19.79 23.24 23 ...... 12.63 17.93 20.20 23.77 24 ...... 12.92 18.38 20.82 24.30 25 ...... 13.20 18.59 21.24 24.77 26 ...... 13.49 18.97 21.43 25.19 27 ...... 13.78 19.55 22.04 25.61 28 ...... 14.06 19.75 22.44 26.04 29 ...... 14.35 20.13 22.84 26.46 30 ...... 14.64 20.47 23.24 26.88 31 ...... 14.78 20.80 23.38 27.30 32 ...... 15.21 21.14 23.98 27.72 33 ...... 15.50 21.47 24.11 28.15 34 ...... 15.79 21.81 24.71 28.57 35 ...... 16.07 22.36 25.08 28.99
b. DNDC—Non-Machinable
DNDC DNDC DNDC DNDC Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zones 5 (pounds) ($) ($) ($) ($)
1 ...... 9.38 10.22 11.18 12.54 2 ...... 9.66 10.70 11.82 13.23 3 ...... 9.94 11.19 12.45 13.93 4 ...... 10.22 11.67 13.09 14.63 5 ...... 10.39 12.03 13.58 15.32 6 ...... 10.68 12.52 14.21 16.05 7 ...... 11.04 13.02 14.84 16.78 8 ...... 11.32 13.52 15.47 17.51 9 ...... 11.61 14.02 16.10 18.23 10 ...... 11.90 14.51 16.86 18.96 11 ...... 12.18 15.13 17.45 19.65 12 ...... 12.47 15.63 18.05 20.33 13 ...... 12.76 16.01 18.64 21.02 14 ...... 13.05 16.63 19.24 21.70 15 ...... 13.33 17.00 19.83 22.34 16 ...... 13.62 17.63 20.29 22.92 17 ...... 13.91 17.98 20.75 23.50 18 ...... 14.19 18.46 21.21 24.08 19 ...... 14.48 18.95 21.68 24.66 20 ...... 14.77 19.42 22.14 25.19 21 ...... 15.05 19.86 22.56 25.71 22 ...... 15.34 20.31 22.79 26.24 23 ...... 15.63 20.93 23.20 26.77 24 ...... 15.92 21.38 23.82 27.30 25 ...... 16.20 21.59 24.24 27.77 26 ...... 16.49 21.97 24.43 28.19 27 ...... 16.78 22.55 25.04 28.61 28 ...... 17.06 22.75 25.44 29.04 29 ...... 17.35 23.13 25.84 29.46 30 ...... 17.64 23.47 26.24 29.88 31 ...... 17.78 23.80 26.38 30.30 32 ...... 18.21 24.14 26.98 30.72 33 ...... 18.50 24.47 27.11 31.15 34 ...... 18.79 24.81 27.71 31.57
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00099 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51773
DNDC DNDC DNDC DNDC Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zones 5 (pounds) ($) ($) ($) ($)
35 ...... 19.07 25.36 28.08 31.99 36 ...... 19.99 26.51 29.34 32.58 37 ...... 20.29 26.86 29.71 33.00 38 ...... 20.58 27.21 30.08 33.42 39 ...... 20.88 27.56 30.45 33.84 40 ...... 21.17 27.90 30.82 34.24 41 ...... 21.47 28.25 31.17 34.65 42 ...... 21.76 28.60 31.53 35.05 43 ...... 22.06 28.95 31.89 35.45 44 ...... 22.35 29.30 32.25 35.85 45 ...... 22.65 29.64 32.61 36.25 46 ...... 22.95 29.99 32.97 36.65 47 ...... 23.24 30.34 33.33 37.05 48 ...... 23.54 30.69 33.69 37.45 49 ...... 23.83 31.04 34.04 37.85 50 ...... 24.12 31.37 34.40 38.23 51 ...... 24.40 31.71 34.74 38.61 52 ...... 24.69 32.05 35.08 38.99 53 ...... 24.97 32.39 35.42 39.37 54 ...... 25.26 32.73 35.75 39.75 55 ...... 25.54 33.05 36.09 40.13 56 ...... 25.83 33.37 36.43 40.51 57 ...... 26.11 33.69 36.77 40.89 58 ...... 26.40 34.00 37.10 41.27 59 ...... 26.68 34.32 37.44 41.65 60 ...... 26.96 34.63 37.78 42.01 61 ...... 27.25 34.95 38.10 42.37 62 ...... 27.53 35.27 38.41 42.73 63 ...... 27.82 35.58 38.73 43.09 64 ...... 28.10 35.90 39.04 43.44 65 ...... 28.39 36.22 39.36 43.80 66 ...... 28.67 36.52 39.68 44.14 67 ...... 28.96 36.83 39.99 44.48 68 ...... 29.24 37.14 40.31 44.82 69 ...... 29.53 37.44 40.63 45.15 70 ...... 29.81 37.75 40.94 45.49 Oversized ...... 40.11 53.54 63.75 73.54
* * * * * Non-Destination Entered—Parcel Select Ground a. Parcel Select Ground
Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 (pounds) ($) ($) ($) ($) ($) ($) ($)
1 ...... 7.32 7.65 7.86 8.05 8.18 8.30 8.52 2 ...... 7.94 8.14 8.42 9.01 10.19 10.69 11.29 3 ...... 8.14 8.53 8.89 9.74 12.30 13.59 15.79 4 ...... 8.24 8.75 9.37 10.53 14.31 16.16 18.19 5 ...... 8.34 8.80 9.69 10.84 16.29 18.56 21.06 6 ...... 8.45 8.84 9.80 14.38 18.62 21.55 24.57 7 ...... 8.69 9.99 10.04 16.09 20.61 24.28 27.60 8 ...... 8.75 10.47 11.79 17.55 22.62 26.73 30.99 9 ...... 9.58 10.86 12.27 18.80 24.60 28.94 34.45 10 ...... 10.06 11.40 12.46 20.50 26.82 32.13 37.83 11 ...... 11.60 13.83 14.80 22.77 29.30 35.60 41.72 12 ...... 12.30 14.69 17.19 24.38 31.96 38.50 44.78 13 ...... 12.92 15.52 17.98 25.67 34.29 40.05 46.36 14 ...... 13.57 16.36 18.92 27.16 36.21 42.28 48.66 15 ...... 14.09 17.20 19.83 28.54 37.60 43.09 49.93 16 ...... 14.69 18.27 21.08 30.23 40.10 45.94 53.18 17 ...... 15.15 19.10 22.07 31.70 42.13 48.32 56.00 18 ...... 15.44 19.68 23.05 33.11 44.35 50.70 58.80 19 ...... 15.79 20.13 23.57 33.98 46.33 53.05 61.10 20 ...... 16.40 20.44 24.04 34.60 47.53 55.03 64.10 21 ...... 17.11 20.92 24.59 35.21 47.90 55.55 65.27 22 ...... 17.64 21.48 25.40 35.91 48.23 55.98 66.02 23 ...... 18.16 21.98 26.00 36.56 48.49 56.36 66.41
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00100 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51774 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 (pounds) ($) ($) ($) ($) ($) ($) ($)
24 ...... 18.89 22.90 27.46 37.99 49.51 57.83 68.03 25 ...... 19.60 23.70 29.18 39.26 50.24 59.27 69.21 26 ...... 20.77 25.39 32.20 41.34 51.46 60.73 71.38 27 ...... 21.99 26.52 34.14 45.04 52.15 62.14 74.05 28 ...... 22.65 26.87 35.10 46.21 52.86 63.58 76.83 29 ...... 23.34 27.14 36.04 46.82 53.74 65.04 78.90 30 ...... 24.02 27.53 36.88 47.46 55.24 66.46 80.59 31 ...... 24.69 27.80 37.45 48.06 56.04 67.93 82.24 32 ...... 24.97 28.38 38.07 48.62 56.77 69.39 83.92 33 ...... 25.35 29.16 39.01 49.26 57.87 70.82 85.46 34 ...... 25.58 29.91 39.99 50.32 59.24 72.27 87.06 35 ...... 25.86 30.61 40.56 51.38 60.82 73.72 88.56 36 ...... 26.18 31.49 41.09 52.49 62.35 74.72 90.06 37 ...... 26.45 32.07 41.68 53.42 63.98 75.67 91.54 38 ...... 26.71 32.84 42.20 54.48 65.75 76.54 92.99 39 ...... 26.96 33.60 42.68 55.60 67.30 78.55 94.43 40 ...... 27.24 34.30 43.23 56.76 68.38 80.31 95.72 41 ...... 27.53 34.87 43.69 57.26 69.53 82.02 97.10 42 ...... 27.73 35.13 44.07 58.22 70.75 83.14 98.43 43 ...... 28.05 35.39 44.46 59.18 72.44 84.17 99.69 44 ...... 28.24 35.64 44.84 60.13 73.59 85.17 100.81 45 ...... 28.42 35.89 45.24 61.09 74.40 86.09 102.09 46 ...... 28.67 36.15 45.63 62.05 75.23 87.02 103.32 47 ...... 28.88 36.40 46.01 63.01 76.01 88.01 104.46 48 ...... 29.12 36.66 46.40 63.96 76.99 88.85 105.57 49 ...... 29.34 36.90 46.79 64.92 78.04 89.78 106.64 50 ...... 29.46 37.16 47.18 65.88 79.13 90.92 107.76 51 ...... 29.89 37.42 47.55 67.00 80.21 92.22 108.76 52 ...... 30.33 37.68 47.94 67.47 80.99 93.61 110.05 53 ...... 30.89 37.92 48.33 68.02 81.67 95.14 111.45 54 ...... 31.33 38.19 48.71 68.61 82.25 96.50 113.01 55 ...... 31.82 38.43 49.10 69.04 82.93 98.03 114.53 56 ...... 32.25 38.69 49.49 69.56 83.48 99.41 115.70 57 ...... 32.76 38.94 49.88 69.97 84.11 100.92 116.72 58 ...... 33.25 39.19 50.26 70.41 84.61 102.25 117.69 59 ...... 33.72 39.45 50.64 70.84 85.09 102.95 118.55 60 ...... 34.14 39.70 51.03 71.23 85.51 103.55 119.40 61 ...... 34.69 39.95 51.42 71.59 85.99 104.15 121.00 62 ...... 35.11 40.21 51.80 71.90 86.39 104.61 122.93 63 ...... 35.74 40.47 52.20 72.28 86.88 105.11 124.90 64 ...... 36.05 40.71 52.58 72.60 87.27 105.59 126.81 65 ...... 36.57 40.97 52.98 72.82 87.52 106.12 128.79 66 ...... 37.04 41.23 53.35 73.15 87.96 106.44 130.66 67 ...... 37.59 41.48 54.25 73.41 88.24 106.86 132.40 68 ...... 38.03 41.73 54.93 73.61 89.35 107.42 133.80 69 ...... 38.54 41.99 55.63 73.83 90.42 107.92 135.21 70 ...... 38.94 42.24 56.50 74.06 91.51 108.31 136.67 Oversized ...... 76.95 97.85 118.75 139.65 160.55 181.45 202.35
***
PARCEL SELECT LIGHTWEIGHT
Entry point/sortation level Maximum weight None/mixed (ounces) DDU/5-digit DSCF/5- DNDC/5- DSCF/SCF DNDC/SCF DNDC/NDC None/NDC NDC/single- ($) digit digit ($) ($) ($) ($) piece ($) ($) ($)
1 ...... 2.05 2.35 2.57 2.58 2.96 3.21 3.58 3.97 2 ...... 2.05 2.35 2.57 2.58 2.96 3.21 3.58 3.97 3 ...... 2.05 2.35 2.57 2.58 2.96 3.21 3.58 3.97 4 ...... 2.05 2.35 2.57 2.58 2.96 3.21 3.58 3.97 5 ...... 2.06 2.38 2.62 2.64 3.07 3.33 3.72 4.12 6 ...... 2.06 2.38 2.62 2.64 3.07 3.33 3.72 4.12 7 ...... 2.06 2.38 2.62 2.64 3.07 3.33 3.72 4.12 8 ...... 2.06 2.38 2.62 2.64 3.07 3.33 3.72 4.12 9 ...... 2.18 2.61 3.12 3.16 3.66 3.98 4.41 4.84 10 ...... 2.18 2.61 3.12 3.16 3.66 3.98 4.41 4.84 11 ...... 2.18 2.61 3.12 3.16 3.66 3.98 4.41 4.84
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00101 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51775
PARCEL SELECT LIGHTWEIGHT—Continued
Entry point/sortation level Maximum weight None/mixed (ounces) DDU/5-digit DSCF/5- DNDC/5- DSCF/SCF DNDC/SCF DNDC/NDC None/NDC NDC/single- ($) digit digit ($) ($) ($) ($) piece ($) ($) ($)
12 ...... 2.18 2.61 3.12 3.16 3.66 3.98 4.41 4.84 13 ...... 2.36 2.89 3.56 3.62 4.16 4.49 4.93 5.39 14 ...... 2.36 2.89 3.56 3.62 4.16 4.49 4.93 5.39 15 ...... 2.36 2.89 3.56 3.62 4.16 4.49 4.93 5.39 15.999 ...... 2.36 2.89 3.56 3.62 4.16 4.49 4.93 5.39
*** 2120 Parcel Return Service 2120.6 Prices * * * * * *** RSCF Entered a. Machinable RSCF
Maximum weight RSCF (pounds) ($)
1 ...... 4.07 2 ...... 4.57 3 ...... 4.89 4 ...... 5.24 5 ...... 5.62 6 ...... 6.15 7 ...... 6.56 8 ...... 7.08 9 ...... 7.55 10 ...... 8.06 11 ...... 8.52 12 ...... 9.10 13 ...... 9.50 14 ...... 9.82 15 ...... 10.17 16 ...... 10.50 17 ...... 10.87 18 ...... 11.17 19 ...... 11.46 20 ...... 11.84 21 ...... 12.14 22 ...... 12.50 23 ...... 12.74 24 ...... 13.13 25 ...... 13.40 26 ...... 13.69 27 ...... 14.00 28 ...... 14.27 29 ...... 14.59 30 ...... 14.84 31 ...... 15.15 32 ...... 15.46 33 ...... 15.71 34 ...... 16.12 35 ...... 16.39
b. Nonmachinable RSCF
Maximum weight RSCF (pounds) ($)
1 ...... 7.07 2 ...... 7.57 3 ...... 7.89 4 ...... 8.24 5 ...... 8.62 6 ...... 9.15 7 ...... 9.56 8 ...... 10.08
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00102 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51776 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
Maximum weight RSCF (pounds) ($)
9 ...... 10.55 10 ...... 11.06 11 ...... 11.52 12 ...... 12.10 13 ...... 12.50 14 ...... 12.82 15 ...... 13.17 16 ...... 13.50 17 ...... 13.87 18 ...... 14.17 19 ...... 14.46 20 ...... 14.84 21 ...... 15.14 22 ...... 15.50 23 ...... 15.74 24 ...... 16.13 25 ...... 16.40 26 ...... 16.69 27 ...... 17.00 28 ...... 17.27 29 ...... 17.59 30 ...... 17.84 31 ...... 18.15 32 ...... 18.46 33 ...... 18.71 34 ...... 19.12 35 ...... 19.39 36 ...... 19.68 37 ...... 19.94 38 ...... 20.19 39 ...... 20.45 40 ...... 20.70 41 ...... 20.96 42 ...... 21.21 43 ...... 21.47 44 ...... 21.72 45 ...... 21.98 46 ...... 22.23 47 ...... 22.49 48 ...... 22.74 49 ...... 23.00 50 ...... 23.25 51 ...... 23.51 52 ...... 23.76 53 ...... 24.02 54 ...... 24.27 55 ...... 24.53 56 ...... 24.78 57 ...... 25.04 58 ...... 25.29 59 ...... 25.55 60 ...... 25.80 61 ...... 26.06 62 ...... 26.31 63 ...... 26.57 64 ...... 26.82 65 ...... 27.08 66 ...... 27.33 67 ...... 27.59 68 ...... 27.84 69 ...... 28.10 70 ...... 28.19 Oversized ...... 39.86
*** RDU Entered a. Machinable RDU
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00103 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51777
Maximum weight RDU (pounds) ($)
1 ...... 3.29 2 ...... 3.38 3 ...... 3.46 4 ...... 3.56 5 ...... 3.64 6 ...... 3.74 7 ...... 3.82 8 ...... 3.90 9 ...... 4.00 10 ...... 4.08 11 ...... 4.18 12 ...... 4.26 13 ...... 4.36 14 ...... 4.44 15 ...... 4.52 16 ...... 4.62 17 ...... 4.70 18 ...... 4.80 19 ...... 4.88 20 ...... 4.98 21 ...... 5.06 22 ...... 5.14 23 ...... 5.24 24 ...... 5.32 25 ...... 5.42 26 ...... 5.48 27 ...... 5.57 28 ...... 5.66 29 ...... 5.75 30 ...... 5.84 31 ...... 5.93 32 ...... 6.01 33 ...... 6.10 34 ...... 6.19 35 ...... 6.28
b. Nonmachinable RDU
Maximum weight RDU (pounds) ($)
1 ...... 3.29 2 ...... 3.38 3 ...... 3.46 4 ...... 3.56 5 ...... 3.64 6 ...... 3.74 7 ...... 3.82 8 ...... 3.90 9 ...... 4.00 10 ...... 4.08 11 ...... 4.18 12 ...... 4.26 13 ...... 4.36 14 ...... 4.44 15 ...... 4.52 16 ...... 4.62 17 ...... 4.70 18 ...... 4.80 19 ...... 4.88 20 ...... 4.98 21 ...... 5.06 22 ...... 5.14 23 ...... 5.24 24 ...... 5.32 25 ...... 5.42 26 ...... 5.48 27 ...... 5.57 28 ...... 5.66 29 ...... 5.75 30 ...... 5.84
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00104 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51778 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
Maximum weight RDU (pounds) ($)
31 ...... 5.93 32 ...... 6.01 33 ...... 6.10 34 ...... 6.19 35 ...... 6.28 36 ...... 6.37 37 ...... 6.46 38 ...... 6.54 39 ...... 6.63 40 ...... 6.72 41 ...... 6.81 42 ...... 6.90 43 ...... 6.99 44 ...... 7.07 45 ...... 7.16 46 ...... 7.25 47 ...... 7.34 48 ...... 7.43 49 ...... 7.52 50 ...... 7.60 51 ...... 7.69 52 ...... 7.78 53 ...... 7.87 54 ...... 7.96 55 ...... 8.05 56 ...... 8.13 57 ...... 8.22 58 ...... 8.31 59 ...... 8.40 60 ...... 8.49 61 ...... 8.58 62 ...... 8.66 63 ...... 8.75 64 ...... 8.84 65 ...... 8.93 66 ...... 9.02 67 ...... 9.10 68 ...... 9.19 69 ...... 9.28 70 ...... 9.37 Oversized ...... 12.30
*** 2125 First-Class Package Service 2125.6 Prices ***
COMMERCIAL
Local, Maximum weight zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 (ounces) ($) ($) ($) ($) ($) ($) ($)
1 ...... 2.99 3.01 3.03 3.09 3.18 3.30 3.43 2 ...... 2.99 3.01 3.03 3.09 3.18 3.30 3.43 3 ...... 2.99 3.01 3.03 3.09 3.18 3.30 3.43 4 ...... 2.99 3.01 3.03 3.09 3.18 3.30 3.43 5 ...... 3.46 3.48 3.5 3.56 3.64 3.77 3.92 6 ...... 3.46 3.48 3.5 3.56 3.64 3.77 3.92 7 ...... 3.46 3.48 3.5 3.56 3.64 3.77 3.92 8 ...... 3.46 3.48 3.5 3.56 3.64 3.77 3.92 9 ...... 4.18 4.22 4.25 4.33 4.43 4.57 4.71 10 ...... 4.18 4.22 4.25 4.33 4.43 4.57 4.71 11 ...... 4.18 4.22 4.25 4.33 4.43 4.57 4.71 12 ...... 4.18 4.22 4.25 4.33 4.43 4.57 4.71 13 ...... 5.29 5.33 5.37 5.52 5.65 5.79 5.95 14 ...... 5.29 5.33 5.37 5.52 5.65 5.79 5.95 15 ...... 5.29 5.33 5.37 5.52 5.65 5.79 5.95 15.999 ...... 5.29 5.33 5.37 5.52 5.65 5.79 5.95
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00105 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51779
*** Part B *** Competitive Products 2105 Priority Mail Express 2000 Competitive Product List *** 2100 Domestic Products 2105.6 Prices *** ***
COMMERCIAL BASE ZONE/WEIGHT
Local, Maximum weight zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
0.5 ...... 22.75 23.30 24.05 26.35 28.25 30.05 32.45 43.95 1 ...... 23.00 25.20 27.45 31.20 33.65 35.65 38.05 51.50 2 ...... 23.25 27.05 30.90 36.00 39.05 41.20 43.60 59.05 3 ...... 23.50 28.95 34.30 40.85 44.40 46.80 49.20 66.55 4 ...... 23.75 30.80 37.75 45.65 49.80 52.35 54.75 74.10 5 ...... 24.00 32.70 41.15 50.50 55.20 57.95 60.35 81.65 6 ...... 26.45 35.95 45.70 55.55 60.40 63.55 66.15 89.50 7 ...... 28.90 39.20 50.30 60.60 65.60 69.15 71.95 97.35 8 ...... 31.40 42.50 54.85 65.60 70.75 74.75 77.75 105.20 9 ...... 33.85 45.75 59.45 70.65 75.95 80.35 83.55 113.05 10 ...... 36.30 49.00 64.00 75.70 81.15 85.95 89.35 120.90 11 ...... 38.20 52.90 67.90 79.60 84.90 89.90 93.55 126.55 12 ...... 40.10 56.80 71.75 83.55 88.70 93.85 97.70 132.20 13 ...... 42.05 60.70 75.65 87.45 92.45 97.80 101.90 137.90 14 ...... 43.95 64.60 79.55 91.40 96.20 101.75 106.05 143.55 15 ...... 45.85 68.50 83.45 95.30 100.00 105.65 110.20 149.20 16 ...... 47.75 72.35 87.30 99.20 103.75 109.60 114.40 154.85 17 ...... 49.65 76.25 91.20 103.15 107.50 113.55 118.55 160.50 18 ...... 51.60 80.15 95.10 107.05 111.25 117.50 122.75 166.20 19 ...... 53.50 84.05 98.95 111.00 115.05 121.45 126.90 171.85 20 ...... 55.40 87.95 102.85 114.90 118.80 125.40 131.10 177.50 21 ...... 57.35 91.90 106.75 119.15 123.15 129.90 135.85 183.95 22 ...... 59.35 95.85 110.65 123.45 127.50 134.45 140.60 190.40 23 ...... 61.30 99.80 114.50 127.70 131.80 138.95 145.40 196.85 24 ...... 63.30 103.75 118.40 132.00 136.15 143.45 150.15 203.25 25 ...... 65.25 107.70 122.30 136.25 140.50 147.95 154.90 209.70 26 ...... 67.20 111.65 126.20 140.50 144.85 152.50 159.65 216.15 27 ...... 69.20 115.60 130.10 144.80 149.20 157.00 164.40 222.60 28 ...... 71.15 119.55 133.95 149.05 153.50 161.50 169.20 229.05 29 ...... 73.15 123.50 137.85 153.35 157.85 166.00 173.95 235.50 30 ...... 75.10 127.45 141.75 157.60 162.20 170.55 178.70 241.95 31 ...... 77.05 131.40 145.65 161.85 166.55 175.05 183.45 248.40 32 ...... 79.05 135.35 149.55 166.15 170.90 179.55 188.20 254.80 33 ...... 81.00 139.30 153.40 170.40 175.20 184.05 193.00 261.25 34 ...... 83.00 143.25 157.30 174.70 179.55 188.60 197.75 267.70 35 ...... 84.95 147.20 161.20 178.95 183.90 193.10 202.50 274.15 36 ...... 87.15 151.10 165.60 183.75 188.95 198.30 207.90 281.50 37 ...... 89.00 154.85 169.85 188.35 193.95 203.50 213.35 288.85 38 ...... 91.10 158.75 174.15 193.10 198.75 208.50 218.65 296.05 39 ...... 93.35 162.65 178.55 197.75 203.40 213.30 224.10 303.45 40 ...... 95.35 166.30 182.90 202.55 208.35 218.45 229.55 310.80 41 ...... 97.25 170.25 187.15 207.10 213.40 223.65 234.90 318.00 42 ...... 98.95 174.15 191.40 211.75 218.40 228.80 240.20 325.25 43 ...... 101.25 177.90 195.65 216.35 223.25 233.80 245.70 332.60 44 ...... 103.05 181.80 200.00 221.05 228.05 238.75 251.00 339.85 45 ...... 105.05 185.65 204.15 225.55 232.95 243.85 256.50 347.30 46 ...... 107.10 189.40 208.70 230.40 237.80 248.80 261.85 354.55 47 ...... 109.35 193.25 212.90 235.00 242.70 253.85 267.25 361.85 48 ...... 111.25 197.20 217.10 239.45 247.60 258.90 272.65 369.15 49 ...... 113.20 200.90 221.45 244.15 252.65 264.10 278.10 376.55 50 ...... 115.65 204.85 225.80 248.90 257.40 268.90 283.45 383.75 51 ...... 117.65 208.75 230.05 253.45 262.20 273.90 288.10 390.05 52 ...... 119.70 212.40 234.25 258.00 267.30 279.05 294.30 398.50 53 ...... 121.60 216.35 238.65 262.65 272.20 284.10 299.70 405.75 54 ...... 123.80 220.25 242.85 267.15 277.05 289.15 305.05 413.05 55 ...... 126.25 225.30 247.30 271.90 281.90 294.05 310.40 420.30 56 ...... 128.90 229.20 251.50 276.40 286.75 299.05 315.85 427.65 57 ...... 131.10 233.05 255.80 281.00 291.60 304.05 321.20 434.85 58 ...... 133.35 236.75 260.05 285.50 296.60 309.10 326.60 442.15 59 ...... 135.20 240.60 264.30 290.10 301.60 314.15 331.95 449.45 60 ...... 137.00 244.45 268.65 294.65 306.45 319.10 337.35 456.75 61 ...... 138.95 248.40 273.15 299.45 311.35 324.10 342.75 464.05
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00106 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51780 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
COMMERCIAL BASE ZONE/WEIGHT—Continued
Local, Maximum weight zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
62 ...... 141.10 252.10 277.30 303.85 316.15 328.95 348.25 471.50 63 ...... 143.45 255.95 281.60 308.45 321.10 334.10 353.70 478.85 64 ...... 145.35 259.75 285.80 312.90 326.05 339.10 359.10 486.15 65 ...... 147.85 263.60 290.10 317.45 330.90 343.95 364.40 493.35 66 ...... 150.60 267.55 294.50 322.15 335.80 349.00 369.75 500.55 67 ...... 152.35 271.30 298.85 326.75 340.55 353.80 375.20 507.95 68 ...... 154.35 275.15 303.10 331.15 345.65 359.00 380.70 515.45 69 ...... 156.80 279.05 307.35 335.70 350.40 363.85 385.85 522.45 70 ...... 159.65 282.90 311.70 340.25 355.35 368.80 391.30 529.80
COMMERCIAL BASE FLAT RATE ENVELOPE
($)
Commercial Base Regular Flat Rate Envelope, per piece ...... 22.75 Commercial Base Legal Flat Rate Envelope, per piece ...... 22.95 Commercial Base Padded Flat Rate Envelope, per piece ...... 23.25
***
COMMERCIAL PLUS ZONE/WEIGHT
Local, Maximum weight zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
0.5 ...... 22.75 23.30 24.05 26.35 28.25 30.05 32.45 43.95 1 ...... 23.00 25.20 27.45 31.20 33.65 35.65 38.05 51.50 2 ...... 23.25 27.05 30.90 36.00 39.05 41.20 43.60 59.05 3 ...... 23.50 28.95 34.30 40.85 44.40 46.80 49.20 66.55 4 ...... 23.75 30.80 37.75 45.65 49.80 52.35 54.75 74.10 5 ...... 24.00 32.70 41.15 50.50 55.20 57.95 60.35 81.65 6 ...... 26.45 35.95 45.70 55.55 60.40 63.55 66.15 89.50 7 ...... 28.90 39.20 50.30 60.60 65.60 69.15 71.95 97.35 8 ...... 31.40 42.50 54.85 65.60 70.75 74.75 77.75 105.20 9 ...... 33.85 45.75 59.45 70.65 75.95 80.35 83.55 113.05 10 ...... 36.30 49.00 64.00 75.70 81.15 85.95 89.35 120.90 11 ...... 38.20 52.90 67.90 79.60 84.90 89.90 93.55 126.55 12 ...... 40.10 56.80 71.75 83.55 88.70 93.85 97.70 132.20 13 ...... 42.05 60.70 75.65 87.45 92.45 97.80 101.90 137.90 14 ...... 43.95 64.60 79.55 91.40 96.20 101.75 106.05 143.55 15 ...... 45.85 68.50 83.45 95.30 100.00 105.65 110.20 149.20 16 ...... 47.75 72.35 87.30 99.20 103.75 109.60 114.40 154.85 17 ...... 49.65 76.25 91.20 103.15 107.50 113.55 118.55 160.50 18 ...... 51.60 80.15 95.10 107.05 111.25 117.50 122.75 166.20 19 ...... 53.50 84.05 98.95 111.00 115.05 121.45 126.90 171.85 20 ...... 55.40 87.95 102.85 114.90 118.80 125.40 131.10 177.50 21 ...... 57.35 91.90 106.75 119.15 123.15 129.90 135.85 183.95 22 ...... 59.35 95.85 110.65 123.45 127.50 134.45 140.60 190.40 23 ...... 61.30 99.80 114.50 127.70 131.80 138.95 145.40 196.85 24 ...... 63.30 103.75 118.40 132.00 136.15 143.45 150.15 203.25 25 ...... 65.25 107.70 122.30 136.25 140.50 147.95 154.90 209.70 26 ...... 67.20 111.65 126.20 140.50 144.85 152.50 159.65 216.15 27 ...... 69.20 115.60 130.10 144.80 149.20 157.00 164.40 222.60 28 ...... 71.15 119.55 133.95 149.05 153.50 161.50 169.20 229.05 29 ...... 73.15 123.50 137.85 153.35 157.85 166.00 173.95 235.50 30 ...... 75.10 127.45 141.75 157.60 162.20 170.55 178.70 241.95 31 ...... 77.05 131.40 145.65 161.85 166.55 175.05 183.45 248.40 32 ...... 79.05 135.35 149.55 166.15 170.90 179.55 188.20 254.80 33 ...... 81.00 139.30 153.40 170.40 175.20 184.05 193.00 261.25 34 ...... 83.00 143.25 157.30 174.70 179.55 188.60 197.75 267.70 35 ...... 84.95 147.20 161.20 178.95 183.90 193.10 202.50 274.15 36 ...... 87.15 151.10 165.60 183.75 188.95 198.30 207.90 281.50 37 ...... 89.00 154.85 169.85 188.35 193.95 203.50 213.35 288.85 38 ...... 91.10 158.75 174.15 193.10 198.75 208.50 218.65 296.05 39 ...... 93.35 162.65 178.55 197.75 203.40 213.30 224.10 303.45 40 ...... 95.35 166.30 182.90 202.55 208.35 218.45 229.55 310.80 41 ...... 97.25 170.25 187.15 207.10 213.40 223.65 234.90 318.00
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51781
COMMERCIAL PLUS ZONE/WEIGHT—Continued
Local, Maximum weight zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
42 ...... 98.95 174.15 191.40 211.75 218.40 228.80 240.20 325.25 43 ...... 101.25 177.90 195.65 216.35 223.25 233.80 245.70 332.60 44 ...... 103.05 181.80 200.00 221.05 228.05 238.75 251.00 339.85 45 ...... 105.05 185.65 204.15 225.55 232.95 243.85 256.50 347.30 46 ...... 107.10 189.40 208.70 230.40 237.80 248.80 261.85 354.55 47 ...... 109.35 193.25 212.90 235.00 242.70 253.85 267.25 361.85 48 ...... 111.25 197.20 217.10 239.45 247.60 258.90 272.65 369.15 49 ...... 113.20 200.90 221.45 244.15 252.65 264.10 278.10 376.55 50 ...... 115.65 204.85 225.80 248.90 257.40 268.90 283.45 383.75 51 ...... 117.65 208.75 230.05 253.45 262.20 273.90 288.10 390.05 52 ...... 119.70 212.40 234.25 258.00 267.30 279.05 294.30 398.50 53 ...... 121.60 216.35 238.65 262.65 272.20 284.10 299.70 405.75 54 ...... 123.80 220.25 242.85 267.15 277.05 289.15 305.05 413.05 55 ...... 126.25 225.30 247.30 271.90 281.90 294.05 310.40 420.30 56 ...... 128.90 229.20 251.50 276.40 286.75 299.05 315.85 427.65 57 ...... 131.10 233.05 255.80 281.00 291.60 304.05 321.20 434.85 58 ...... 133.35 236.75 260.05 285.50 296.60 309.10 326.60 442.15 59 ...... 135.20 240.60 264.30 290.10 301.60 314.15 331.95 449.45 60 ...... 137.00 244.45 268.65 294.65 306.45 319.10 337.35 456.75 61 ...... 138.95 248.40 273.15 299.45 311.35 324.10 342.75 464.05 62 ...... 141.10 252.10 277.30 303.85 316.15 328.95 348.25 471.50 63 ...... 143.45 255.95 281.60 308.45 321.10 334.10 353.70 478.85 64 ...... 145.35 259.75 285.80 312.90 326.05 339.10 359.10 486.15 65 ...... 147.85 263.60 290.10 317.45 330.90 343.95 364.40 493.35 66 ...... 150.60 267.55 294.50 322.15 335.80 349.00 369.75 500.55 67 ...... 152.35 271.30 298.85 326.75 340.55 353.80 375.20 507.95 68 ...... 154.35 275.15 303.10 331.15 345.65 359.00 380.70 515.45 69 ...... 156.80 279.05 307.35 335.70 350.40 363.85 385.85 522.45 70 ...... 159.65 282.90 311.70 340.25 355.35 368.80 391.30 529.80
COMMERCIAL PLUS FLAT RATE ENVELOPE
($)
Commercial Plus Regular Flat Rate Envelope, per piece ...... 22.75 Commercial Plus Legal Flat Rate Envelope, per piece ...... 22.95 Commercial Plus Padded Flat Rate Envelope, per piece ...... 23.25
*** 2110 Priority Mail 2110.6 Prices *** ***
COMMERCIAL BASE PRIORITY MAIL ZONE/WEIGHT
Local, Maximum weight zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
1 ...... 7.02 7.35 7.56 7.80 7.98 8.15 8.42 11.40 2 ...... 7.64 7.84 8.12 8.76 9.99 10.54 11.19 17.45 3 ...... 7.84 8.23 8.59 9.54 12.15 13.49 15.74 23.67 4 ...... 7.94 8.45 9.07 10.33 14.16 16.06 18.14 28.50 5 ...... 8.04 8.50 9.39 10.64 16.14 18.46 21.01 33.17 6 ...... 8.15 8.54 9.50 14.18 18.47 21.45 24.52 38.01 7 ...... 8.39 9.69 9.74 15.89 20.46 24.18 27.55 42.68 8 ...... 8.45 10.17 11.49 17.35 22.47 26.63 30.94 47.91 9 ...... 9.28 10.56 11.97 18.60 24.45 28.84 34.40 53.28 10 ...... 9.76 11.10 12.16 20.30 26.67 32.03 37.78 57.94 11 ...... 11.30 13.53 14.50 22.57 29.15 35.50 41.67 63.30 12 ...... 12.00 14.39 16.89 24.18 31.81 38.40 44.73 67.86 13 ...... 12.62 15.22 17.68 25.47 34.14 39.95 46.31 70.29 14 ...... 13.27 16.06 18.62 26.96 36.06 42.18 48.61 73.77 15 ...... 13.79 16.90 19.53 28.34 37.45 42.99 49.88 75.72 16 ...... 14.39 17.97 20.78 30.03 39.95 45.84 53.13 79.88 17 ...... 14.85 18.80 21.77 31.50 41.98 48.22 55.95 84.09 18 ...... 15.14 19.38 22.75 32.91 44.20 50.60 58.75 88.33 19 ...... 15.49 19.83 23.27 33.78 46.18 52.95 61.54 92.52 20 ...... 16.10 20.14 23.74 34.40 47.38 54.93 64.39 96.78
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00108 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51782 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
COMMERCIAL BASE PRIORITY MAIL ZONE/WEIGHT—Continued
Local, Maximum weight zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
21 ...... 16.81 20.62 24.29 35.01 47.75 55.45 65.22 98.85 22 ...... 17.34 21.18 25.10 35.71 48.08 55.88 65.97 100.00 23 ...... 17.86 21.68 25.70 36.36 48.34 56.26 66.36 100.59 24 ...... 18.59 22.60 27.16 37.79 49.36 57.73 67.98 103.05 25 ...... 19.30 23.40 28.88 39.06 50.09 59.17 69.16 104.82 26 ...... 20.47 25.09 31.90 41.14 51.31 60.63 71.33 108.10 27 ...... 21.69 26.22 33.84 44.84 52.00 62.04 74.00 112.19 28 ...... 22.35 26.57 34.80 46.01 52.71 63.48 76.78 116.40 29 ...... 23.04 26.84 35.74 46.62 53.59 64.94 78.85 119.51 30 ...... 23.72 27.23 36.58 47.26 55.09 66.36 80.54 122.10 31 ...... 24.39 27.50 37.15 47.86 55.89 67.83 82.19 125.60 32 ...... 24.67 28.08 37.77 48.42 56.62 69.29 83.87 128.16 33 ...... 25.05 28.86 38.71 49.06 57.72 70.72 85.41 130.53 34 ...... 25.28 29.61 39.69 50.12 59.09 72.17 87.01 133.00 35 ...... 25.56 30.31 40.26 51.18 60.67 73.62 88.51 135.26 36 ...... 25.88 31.19 40.79 52.29 62.20 74.62 90.01 137.57 37 ...... 26.15 31.77 41.38 53.22 63.83 75.57 91.49 139.84 38 ...... 26.41 32.54 41.90 54.28 65.60 76.44 92.94 142.07 39 ...... 26.66 33.30 42.38 55.40 67.15 78.45 94.38 144.27 40 ...... 26.94 34.00 42.93 56.56 68.23 80.21 95.67 146.22 41 ...... 27.23 34.57 43.39 57.06 69.38 81.92 97.05 149.51 42 ...... 27.43 34.83 43.77 58.02 70.60 83.04 98.38 151.55 43 ...... 27.75 35.09 44.16 58.98 72.29 84.07 99.64 153.49 44 ...... 27.94 35.34 44.54 59.93 73.44 85.07 100.76 155.26 45 ...... 28.12 35.59 44.94 60.89 74.25 85.99 102.04 157.22 46 ...... 28.37 35.85 45.33 61.85 75.08 86.92 103.27 159.09 47 ...... 28.58 36.10 45.71 62.81 75.86 87.91 104.41 160.87 48 ...... 28.82 36.36 46.10 63.76 76.84 88.75 105.52 162.62 49 ...... 29.04 36.60 46.49 64.72 77.89 89.68 106.59 164.21 50 ...... 29.16 36.86 46.88 65.68 78.98 90.82 107.71 165.97 51 ...... 29.59 37.12 47.25 66.80 80.06 92.12 108.71 168.85 52 ...... 30.03 37.38 47.64 67.27 80.84 93.51 110.00 170.82 53 ...... 30.59 37.62 48.03 67.82 81.52 95.04 111.40 173.01 54 ...... 31.03 37.89 48.41 68.41 82.10 96.40 112.96 175.43 55 ...... 31.52 38.13 48.80 68.84 82.78 97.93 114.48 177.79 56 ...... 31.95 38.39 49.19 69.36 83.33 99.31 115.65 179.63 57 ...... 32.46 38.64 49.58 69.77 83.96 100.82 116.67 181.24 58 ...... 32.95 38.89 49.96 70.21 84.46 102.15 117.64 182.70 59 ...... 33.42 39.15 50.34 70.64 84.94 102.85 118.50 184.07 60 ...... 33.84 39.40 50.73 71.03 85.36 103.45 119.35 185.36 61 ...... 34.39 39.65 51.12 71.39 85.84 104.05 120.95 187.88 62 ...... 34.81 39.91 51.50 71.70 86.24 104.51 122.88 190.84 63 ...... 35.44 40.17 51.90 72.08 86.73 105.01 124.85 193.90 64 ...... 35.75 40.41 52.28 72.40 87.12 105.49 126.76 196.89 65 ...... 36.27 40.67 52.68 72.62 87.37 106.02 128.74 199.97 66 ...... 36.74 40.93 53.05 72.95 87.81 106.34 130.61 202.87 67 ...... 37.29 41.18 53.95 73.21 88.09 106.76 132.35 205.54 68 ...... 37.73 41.43 54.63 73.41 89.20 107.32 133.75 207.72 69 ...... 38.24 41.69 55.33 73.63 90.27 107.82 135.16 209.94 70 ...... 38.64 41.94 56.20 73.86 91.36 108.21 136.62 212.19
COMMERCIAL BASE FLAT RATE ENVELOPE
($)
Commercial Base Regular Flat Rate Envelope, per piece ...... 7.15 Commercial Base Legal Flat Rate Envelope, per piece ...... 7.45 Commercial Base Padded Flat Rate Envelope, per piece ...... 7.75
COMMERCIAL BASE FLAT RATE BOX
Delivery to Delivery to APO/FPO/ Size domestic DPO address address ($) ($)
Small Flat Rate Box ...... 7.65 7.65 Regular Flat Rate Boxes ...... 13.20 13.20
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51783
COMMERCIAL BASE FLAT RATE BOX—Continued
Delivery to Delivery to APO/FPO/ Size domestic DPO address address ($) ($)
Large Flat Rate Boxes ...... 18.30 16.80
COMMERCIAL BASE REGIONAL RATE BOXES
Local, Size zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
A ...... 7.68 7.92 8.21 8.92 10.42 11.13 12.10 18.69 B ...... 8.07 8.51 9.42 11.53 16.72 19.21 21.89 34.38
***
COMMERCIAL PLUS PRIORITY MAIL ZONE/WEIGHT
Local, Maximum weight zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
0.5 ...... 7.02 7.35 7.56 7.80 7.98 8.15 8.42 11.40 1 ...... 7.02 7.35 7.56 7.80 7.98 8.15 8.42 11.40 2 ...... 7.64 7.84 8.12 8.76 9.99 10.54 11.19 17.45 3 ...... 7.84 8.23 8.59 9.54 12.15 13.49 15.74 23.67 4 ...... 7.94 8.45 9.07 10.33 14.16 16.06 18.14 28.50 5 ...... 8.04 8.50 9.39 10.64 16.14 18.46 21.01 33.17 6 ...... 8.15 8.54 9.50 14.18 18.47 21.45 24.52 38.01 7 ...... 8.39 9.69 9.74 15.89 20.46 24.18 27.55 42.68 8 ...... 8.45 10.17 11.49 17.35 22.47 26.63 30.94 47.91 9 ...... 9.28 10.56 11.97 18.60 24.45 28.84 34.40 53.28 10 ...... 9.76 11.10 12.16 20.30 26.67 32.03 37.78 57.94 11 ...... 11.30 13.53 14.50 22.57 29.15 35.50 41.67 63.30 12 ...... 12.00 14.39 16.89 24.18 31.81 38.40 44.73 67.86 13 ...... 12.62 15.22 17.68 25.47 34.14 39.95 46.31 70.29 14 ...... 13.27 16.06 18.62 26.96 36.06 42.18 48.61 73.77 15 ...... 13.79 16.90 19.53 28.34 37.45 42.99 49.88 75.72 16 ...... 14.39 17.97 20.78 30.03 39.95 45.84 53.13 79.88 17 ...... 14.85 18.80 21.77 31.50 41.98 48.22 55.95 84.09 18 ...... 15.14 19.38 22.75 32.91 44.20 50.60 58.75 88.33 19 ...... 15.49 19.83 23.27 33.78 46.18 52.95 61.54 92.52 20 ...... 16.10 20.14 23.74 34.40 47.38 54.93 64.39 96.78 21 ...... 16.81 20.62 24.29 35.01 47.75 55.45 65.22 98.85 22 ...... 17.34 21.18 25.10 35.71 48.08 55.88 65.97 100.00 23 ...... 17.86 21.68 25.70 36.36 48.34 56.26 66.36 100.59 24 ...... 18.59 22.60 27.16 37.79 49.36 57.73 67.98 103.05 25 ...... 19.30 23.40 28.88 39.06 50.09 59.17 69.16 104.82 26 ...... 20.47 25.09 31.90 41.14 51.31 60.63 71.33 108.10 27 ...... 21.69 26.22 33.84 44.84 52.00 62.04 74.00 112.19 28 ...... 22.35 26.57 34.80 46.01 52.71 63.48 76.78 116.40 29 ...... 23.04 26.84 35.74 46.62 53.59 64.94 78.85 119.51 30 ...... 23.72 27.23 36.58 47.26 55.09 66.36 80.54 122.10 31 ...... 24.39 27.50 37.15 47.86 55.89 67.83 82.19 125.60 32 ...... 24.67 28.08 37.77 48.42 56.62 69.29 83.87 128.16 33 ...... 25.05 28.86 38.71 49.06 57.72 70.72 85.41 130.53 34 ...... 25.28 29.61 39.69 50.12 59.09 72.17 87.01 133.00 35 ...... 25.56 30.31 40.26 51.18 60.67 73.62 88.51 135.26 36 ...... 25.88 31.19 40.79 52.29 62.20 74.62 90.01 137.57 37 ...... 26.15 31.77 41.38 53.22 63.83 75.57 91.49 139.84 38 ...... 26.41 32.54 41.90 54.28 65.60 76.44 92.94 142.07 39 ...... 26.66 33.30 42.38 55.40 67.15 78.45 94.38 144.27 40 ...... 26.94 34.00 42.93 56.56 68.23 80.21 95.67 146.22 41 ...... 27.23 34.57 43.39 57.06 69.38 81.92 97.05 149.51 42 ...... 27.43 34.83 43.77 58.02 70.60 83.04 98.38 151.55 43 ...... 27.75 35.09 44.16 58.98 72.29 84.07 99.64 153.49 44 ...... 27.94 35.34 44.54 59.93 73.44 85.07 100.76 155.26 45 ...... 28.12 35.59 44.94 60.89 74.25 85.99 102.04 157.22 46 ...... 28.37 35.85 45.33 61.85 75.08 86.92 103.27 159.09
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00110 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51784 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
COMMERCIAL PLUS PRIORITY MAIL ZONE/WEIGHT—Continued
Local, Maximum weight zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 (pounds) ($) ($) ($) ($) ($) ($) ($) ($)
47 ...... 28.58 36.10 45.71 62.81 75.86 87.91 104.41 160.87 48 ...... 28.82 36.36 46.10 63.76 76.84 88.75 105.52 162.62 49 ...... 29.04 36.60 46.49 64.72 77.89 89.68 106.59 164.21 50 ...... 29.16 36.86 46.88 65.68 78.98 90.82 107.71 165.97 51 ...... 29.59 37.12 47.25 66.80 80.06 92.12 108.71 168.85 52 ...... 30.03 37.38 47.64 67.27 80.84 93.51 110.00 170.82 53 ...... 30.59 37.62 48.03 67.82 81.52 95.04 111.40 173.01 54 ...... 31.03 37.89 48.41 68.41 82.10 96.40 112.96 175.43 55 ...... 31.52 38.13 48.80 68.84 82.78 97.93 114.48 177.79 56 ...... 31.95 38.39 49.19 69.36 83.33 99.31 115.65 179.63 57 ...... 32.46 38.64 49.58 69.77 83.96 100.82 116.67 181.24 58 ...... 32.95 38.89 49.96 70.21 84.46 102.15 117.64 182.70 59 ...... 33.42 39.15 50.34 70.64 84.94 102.85 118.50 184.07 60 ...... 33.84 39.40 50.73 71.03 85.36 103.45 119.35 185.36 61 ...... 34.39 39.65 51.12 71.39 85.84 104.05 120.95 187.88 62 ...... 34.81 39.91 51.50 71.70 86.24 104.51 122.88 190.84 63 ...... 35.44 40.17 51.90 72.08 86.73 105.01 124.85 193.90 64 ...... 35.75 40.41 52.28 72.40 87.12 105.49 126.76 196.89 65 ...... 36.27 40.67 52.68 72.62 87.37 106.02 128.74 199.97 66 ...... 36.74 40.93 53.05 72.95 87.81 106.34 130.61 202.87 67 ...... 37.29 41.18 53.95 73.21 88.09 106.76 132.35 205.54 68 ...... 37.73 41.43 54.63 73.41 89.20 107.32 133.75 207.72 69 ...... 38.24 41.69 55.33 73.63 90.27 107.82 135.16 209.94 70 ...... 38.64 41.94 56.20 73.86 91.36 108.21 136.62 212.19
COMMERCIAL PLUS FLAT RATE ENVELOPE
($)
Commercial Plus Regular Flat Rate Envelope, per piece ...... 7.15 Commercial Plus Legal Flat Rate Envelope, per piece ...... 7.45 Commercial Plus Padded Flat Rate Envelope, per piece ...... 7.75
COMMERCIAL PLUS FLAT RATE BOX
Delivery to Delivery to APO/FPO/ Size domestic DPO address address ($) ($)
Small Flat Rate Box ...... 7.65 7.65 Medium Flat Rate Boxes ...... 13.20 13.20 Large Flat Rate Boxes ...... 18.30 16.80
COMMERCIAL PLUS REGIONAL RATE BOXES
Local, Maximum cubic feet zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
A ...... 7.68 7.92 8.21 8.92 10.42 11.13 12.10 18.69 B ...... 8.07 8.51 9.42 11.53 16.72 19.21 21.89 34.38
***
COMMERCIAL PLUS CUBIC
Local, Maximum cubic feet zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
0.10 ...... 7.02 7.35 7.56 7.80 7.98 8.15 8.42 11.40 0.20 ...... 7.46 7.80 8.02 8.71 9.00 9.22 9.56 13.15 0.30 ...... 8.04 8.26 8.55 9.65 10.98 11.58 12.29 19.12 0.40 ...... 8.21 8.57 8.93 10.31 12.78 14.02 16.02 24.28
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00111 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51785
COMMERCIAL PLUS CUBIC—Continued
Local, Maximum cubic feet zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
0.50 ...... 8.34 8.84 9.42 11.15 14.98 16.89 19.24 29.88
Open and Distribute (PMOD) a. DDU
Local, Container zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
Half Tray...... 8.49 10.39 12.56 20.20 20.47 22.25 24.70 30.88 Full Tray...... 11.54 14.43 16.80 29.41 33.79 35.91 40.07 50.08 EMM Tray...... 13.23 15.76 19.47 32.53 35.71 39.21 43.60 54.50 Flat Tub...... 18.90 23.69 29.29 49.54 59.80 64.65 71.96 89.95
b. Processing Facilities
Local, Container zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 Zone 9 ($) ($) ($) ($) ($) ($) ($) ($)
Half Tray...... 6.73 8.52 10.46 18.24 18.64 20.39 21.89 27.37 Full Tray...... 8.70 11.22 13.97 25.48 30.12 32.24 36.03 45.04 EMM Tray...... 10.38 12.03 16.39 28.13 31.95 35.18 40.65 50.82 Flat Tub...... 14.85 19.63 24.87 45.42 55.48 60.39 66.42 83.04
*** 2115.6 Prices 2115 Parcel Select Destination Entered—DDU *** a. DDU
Maximum weight DDU (pounds) ($)
1 ...... 3.19 2 ...... 3.29 3 ...... 3.40 4 ...... 3.50 5 ...... 3.58 6 ...... 3.67 7 ...... 3.77 8 ...... 3.86 9 ...... 3.95 10 ...... 4.03 11 ...... 4.11 12 ...... 4.19 13 ...... 4.27 14 ...... 4.35 15 ...... 4.44 16 ...... 4.52 17 ...... 4.60 18 ...... 4.73 19 ...... 4.81 20 ...... 4.94 21 ...... 6.21 22 ...... 6.24 23 ...... 6.27 24 ...... 6.30 25 ...... 6.33 26 ...... 6.36 27 ...... 6.39 28 ...... 6.42 29 ...... 6.45 30 ...... 6.48 31 ...... 6.51
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00112 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51786 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
Maximum weight DDU (pounds) ($)
32 ...... 6.54 33 ...... 6.57 34 ...... 6.60 35 ...... 6.63 36 ...... 6.66 37 ...... 6.69 38 ...... 6.72 39 ...... 6.75 40 ...... 6.78 41 ...... 6.81 42 ...... 6.84 43 ...... 6.87 44 ...... 6.90 45 ...... 6.93 46 ...... 7.10 47 ...... 7.17 48 ...... 7.25 49 ...... 7.32 50 ...... 7.40 51 ...... 7.47 52 ...... 7.54 53 ...... 7.62 54 ...... 7.69 55 ...... 7.76 56 ...... 7.84 57 ...... 7.91 58 ...... 7.99 59 ...... 8.06 60 ...... 8.14 61 ...... 8.23 62 ...... 8.31 63 ...... 8.40 64 ...... 8.48 65 ...... 8.57 66 ...... 8.65 67 ...... 8.74 68 ...... 8.82 69 ...... 8.90 70 ...... 8.99 Oversized ...... 12.77
*** Destination Entered—DSCF a. DSCF—5-Digit Machinable
Maximum weight DSCF 5-digit (pounds) ($)
1 ...... 4.37 2 ...... 4.55 3 ...... 4.72 4 ...... 4.90 5 ...... 5.04 6 ...... 5.27 7 ...... 5.39 8 ...... 5.56 9 ...... 5.73 10 ...... 5.91 11 ...... 6.08 12 ...... 6.25 13 ...... 6.42 14 ...... 6.60 15 ...... 6.77 16 ...... 6.94 17 ...... 7.12 18 ...... 7.29 19 ...... 7.46 20 ...... 7.63 21 ...... 7.81 22 ...... 7.98
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00113 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51787
Maximum weight DSCF 5-digit (pounds) ($)
23 ...... 8.15 24 ...... 8.32 25 ...... 8.50 26 ...... 8.67 27 ...... 8.84 28 ...... 9.01 29 ...... 9.19 30 ...... 9.37 31 ...... 9.55 32 ...... 9.73 33 ...... 9.92 34 ...... 10.10 35 ...... 10.28
b. DSCF—3-Digit, 5-Digit Non- Machinable
Maximum weight DSCF 3-digit DSCF 5-digit (pounds) ($) ($)
1 ...... 6.37 4.37 2 ...... 6.55 4.55 3 ...... 6.72 4.72 4 ...... 6.90 4.90 5 ...... 7.04 5.04 6 ...... 7.27 5.27 7 ...... 7.39 5.39 8 ...... 7.56 5.56 9 ...... 7.73 5.73 10 ...... 7.91 5.91 11 ...... 8.08 6.08 12 ...... 8.25 6.25 13 ...... 8.42 6.42 14 ...... 8.60 6.60 15 ...... 8.77 6.77 16 ...... 8.94 6.94 17 ...... 9.12 7.12 18 ...... 9.29 7.29 19 ...... 9.46 7.46 20 ...... 9.63 7.63 21 ...... 9.81 7.81 22 ...... 9.98 7.98 23 ...... 10.15 8.15 24 ...... 10.32 8.32 25 ...... 10.50 8.50 26 ...... 10.67 8.67 27 ...... 10.84 8.84 28 ...... 11.01 9.01 29 ...... 11.19 9.19 30 ...... 11.37 9.37 31 ...... 11.55 9.55 32 ...... 11.73 9.73 33 ...... 11.92 9.92 34 ...... 12.10 10.10 35 ...... 12.28 10.28 36 ...... 12.88 10.88 37 ...... 13.07 11.07 38 ...... 13.26 11.26 39 ...... 13.45 11.45 40 ...... 13.64 11.64 41 ...... 13.83 11.83 42 ...... 14.02 12.02 43 ...... 14.21 12.21 44 ...... 14.40 12.40 45 ...... 14.59 12.59 46 ...... 14.78 12.78 47 ...... 14.97 12.97 48 ...... 15.16 13.16 49 ...... 15.35 13.35 50 ...... 15.54 13.54 51 ...... 15.73 13.73
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00114 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51788 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
Maximum weight DSCF 3-digit DSCF 5-digit (pounds) ($) ($)
52 ...... 15.92 13.92 53 ...... 16.11 14.11 54 ...... 16.30 14.30 55 ...... 16.49 14.49 56 ...... 16.68 14.68 57 ...... 16.86 14.86 58 ...... 17.05 15.05 59 ...... 17.24 15.24 60 ...... 17.43 15.43 61 ...... 17.62 15.62 62 ...... 17.81 15.81 63 ...... 18.00 16.00 64 ...... 18.19 16.19 65 ...... 18.38 16.38 66 ...... 18.57 16.57 67 ...... 18.76 16.76 68 ...... 18.95 16.95 69 ...... 19.14 17.14 70 ...... 19.33 17.33 Oversized ...... 25.40 25.40
*** Destination Entered—DNDC a. DNDC—Machinable
DNDC zones Maximum weight 1 & 2 DNDC zone 3 DNDC zone 4 DNDC zone 5 (pounds) ($) ($) ($) ($)
1 ...... 5.98 6.82 7.78 9.14 2 ...... 6.26 7.30 8.42 9.83 3 ...... 6.54 7.79 9.05 10.53 4 ...... 6.82 8.27 9.69 11.23 5 ...... 6.99 8.63 10.18 11.92 6 ...... 7.28 9.12 10.81 12.65 7 ...... 7.64 9.62 11.44 13.38 8 ...... 7.92 10.12 12.07 14.11 9 ...... 8.21 10.62 12.70 14.83 10 ...... 8.50 11.11 13.46 15.56 11 ...... 8.78 11.73 14.05 16.25 12 ...... 9.07 12.23 14.65 16.93 13 ...... 9.36 12.61 15.24 17.62 14 ...... 9.65 13.23 15.84 18.30 15 ...... 9.93 13.60 16.43 18.94 16 ...... 10.22 14.23 16.89 19.52 17 ...... 10.51 14.58 17.35 20.10 18 ...... 10.79 15.06 17.81 20.68 19 ...... 11.08 15.55 18.28 21.26 20 ...... 11.37 16.02 18.74 21.79 21 ...... 11.65 16.46 19.16 22.31 22 ...... 11.94 16.91 19.39 22.84 23 ...... 12.23 17.53 19.80 23.37 24 ...... 12.52 17.98 20.42 23.90 25 ...... 12.80 18.19 20.84 24.37 26 ...... 13.09 18.57 21.03 24.79 27 ...... 13.38 19.15 21.64 25.21 28 ...... 13.66 19.35 22.04 25.64 29 ...... 13.95 19.73 22.44 26.06 30 ...... 14.24 20.07 22.84 26.48 31 ...... 14.38 20.40 22.98 26.90 32 ...... 14.81 20.74 23.58 27.32 33 ...... 15.10 21.07 23.71 27.75 34 ...... 15.39 21.41 24.31 28.17 35 ...... 15.67 21.96 24.68 28.59
b. DNDC—Non-Machinable
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices 51789
DNDC zones Maximum weight 1 & 2 DNDC zone 3 DNDC zone 4 DNDC zone 5 (pounds) ($) ($) ($) ($)
1 ...... 8.98 9.82 10.78 12.14 2 ...... 9.26 10.30 11.42 12.83 3 ...... 9.54 10.79 12.05 13.53 4 ...... 9.82 11.27 12.69 14.23 5 ...... 9.99 11.63 13.18 14.92 6 ...... 10.28 12.12 13.81 15.65 7 ...... 10.64 12.62 14.44 16.38 8 ...... 10.92 13.12 15.07 17.11 9 ...... 11.21 13.62 15.70 17.83 10 ...... 11.50 14.11 16.46 18.56 11 ...... 11.78 14.73 17.05 19.25 12 ...... 12.07 15.23 17.65 19.93 13 ...... 12.36 15.61 18.24 20.62 14 ...... 12.65 16.23 18.84 21.30 15 ...... 12.93 16.60 19.43 21.94 16 ...... 13.22 17.23 19.89 22.52 17 ...... 13.51 17.58 20.35 23.10 18 ...... 13.79 18.06 20.81 23.68 19 ...... 14.08 18.55 21.28 24.26 20 ...... 14.37 19.02 21.74 24.79 21 ...... 14.65 19.46 22.16 25.31 22 ...... 14.94 19.91 22.39 25.84 23 ...... 15.23 20.53 22.80 26.37 24 ...... 15.52 20.98 23.42 26.90 25 ...... 15.80 21.19 23.84 27.37 26 ...... 16.09 21.57 24.03 27.79 27 ...... 16.38 22.15 24.64 28.21 28 ...... 16.66 22.35 25.04 28.64 29 ...... 16.95 22.73 25.44 29.06 30 ...... 17.24 23.07 25.84 29.48 31 ...... 17.38 23.40 25.98 29.90 32 ...... 17.81 23.74 26.58 30.32 33 ...... 18.10 24.07 26.71 30.75 34 ...... 18.39 24.41 27.31 31.17 35 ...... 18.67 24.96 27.68 31.59 36 ...... 19.59 26.11 28.94 32.18 37 ...... 19.89 26.46 29.31 32.60 38 ...... 20.18 26.81 29.68 33.02 39 ...... 20.48 27.16 30.05 33.44 40 ...... 20.77 27.50 30.42 33.84 41 ...... 21.07 27.85 30.77 34.25 42 ...... 21.36 28.20 31.13 34.65 43 ...... 21.66 28.55 31.49 35.05 44 ...... 21.95 28.90 31.85 35.45 45 ...... 22.25 29.24 32.21 35.85 46 ...... 22.55 29.59 32.57 36.25 47 ...... 22.84 29.94 32.93 36.65 48 ...... 23.14 30.29 33.29 37.05 49 ...... 23.43 30.64 33.64 37.45 50 ...... 23.72 30.97 34.00 37.83 51 ...... 24.00 31.31 34.34 38.21 52 ...... 24.29 31.65 34.68 38.59 53 ...... 24.57 31.99 35.02 38.97 54 ...... 24.86 32.33 35.35 39.35 55 ...... 25.14 32.65 35.69 39.73 56 ...... 25.43 32.97 36.03 40.11 57 ...... 25.71 33.29 36.37 40.49 58 ...... 26.00 33.60 36.70 40.87 59 ...... 26.28 33.92 37.04 41.25 60 ...... 26.56 34.23 37.38 41.61 61 ...... 26.85 34.55 37.70 41.97 62 ...... 27.13 34.87 38.01 42.33 63 ...... 27.42 35.18 38.33 42.69 64 ...... 27.70 35.50 38.64 43.04 65 ...... 27.99 35.82 38.96 43.40 66 ...... 28.27 36.12 39.28 43.74 67 ...... 28.56 36.43 39.59 44.08 68 ...... 28.84 36.74 39.91 44.42 69 ...... 29.13 37.04 40.23 44.75 70 ...... 29.41 37.35 40.54 45.09 Oversized ...... 39.71 53.14 63.35 73.14
VerDate Sep<11>2014 19:04 Aug 20, 2020 Jkt 250001 PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 E:\FR\FM\21AUN1.SGM 21AUN1 jbell on DSKJLSW7X2PROD with NOTICES 51790 Federal Register / Vol. 85, No. 163 / Friday, August 21, 2020 / Notices
*** Non-Destination Entered—Parcel Select Ground a. Parcel Select Ground
Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 (pounds) ($) ($) ($) ($) ($) ($) ($)
1 ...... 6.92 7.25 7.46 7.65 7.78 7.90 8.12 2 ...... 7.54 7.74 8.02 8.61 9.79 10.29 10.89 3 ...... 7.74 8.13 8.49 9.34 11.90 13.19 15.39 4 ...... 7.84 8.35 8.97 10.13 13.91 15.76 17.79 5 ...... 7.94 8.40 9.29 10.44 15.89 18.16 20.66 6 ...... 8.05 8.44 9.40 13.98 18.22 21.15 24.17 7 ...... 8.29 9.59 9.64 15.69 20.21 23.88 27.20 8 ...... 8.35 10.07 11.39 17.15 22.22 26.33 30.59 9 ...... 9.18 10.46 11.87 18.40 24.20 28.54 34.05 10 ...... 9.66 11.00 12.06 20.10 26.42 31.73 37.43 11 ...... 11.20 13.43 14.40 22.37 28.90 35.20 41.32 12 ...... 11.90 14.29 16.79 23.98 31.56 38.10 44.38 13 ...... 12.52 15.12 17.58 25.27 33.89 39.65 45.96 14 ...... 13.17 15.96 18.52 26.76 35.81 41.88 48.26 15 ...... 13.69 16.80 19.43 28.14 37.20 42.69 49.53 16 ...... 14.29 17.87 20.68 29.83 39.70 45.54 52.78 17 ...... 14.75 18.70 21.67 31.30 41.73 47.92 55.60 18 ...... 15.04 19.28 22.65 32.71 43.95 50.30 58.40 19 ...... 15.39 19.73 23.17 33.58 45.93 52.65 61.10 20 ...... 16.00 20.04 23.64 34.20 47.13 54.63 64.04 21 ...... 16.71 20.52 24.19 34.81 47.50 55.15 64.87 22 ...... 17.24 21.08 25.00 35.51 47.83 55.58 65.62 23 ...... 17.76 21.58 25.60 36.16 48.09 55.96 66.01 24 ...... 18.49 22.50 27.06 37.59 49.11 57.43 67.63 25 ...... 19.20 23.30 28.78 38.86 49.84 58.87 68.81 26 ...... 20.37 24.99 31.80 40.94 51.06 60.33 70.98 27 ...... 21.59 26.12 33.74 44.64 51.75 61.74 73.65 28 ...... 22.25 26.47 34.70 45.81 52.46 63.18 76.43 29 ...... 22.94 26.74 35.64 46.42 53.34 64.64 78.50 30 ...... 23.62 27.13 36.48 47.06 54.84 66.06 80.19 31 ...... 24.29 27.40 37.05 47.66 55.64 67.53 81.84 32 ...... 24.57 27.98 37.67 48.22 56.37 68.99 83.52 33 ...... 24.95 28.76 38.61 48.86 57.47 70.42 85.06 34 ...... 25.18 29.51 39.59 49.92 58.84 71.87 86.66 35 ...... 25.46 30.21 40.16 50.98 60.42 73.32 88.16 36 ...... 25.78 31.09 40.69 52.09 61.95 74.32 89.66 37 ...... 26.05 31.67 41.28 53.02 63.58 75.27 91.14 38 ...... 26.31 32.44 41.80 54.08 65.35 76.14 92.59 39 ...... 26.56 33.20 42.28 55.20 66.90 78.15 94.03 40 ...... 26.84 33.90 42.83 56.36 67.98 79.91 95.32 41 ...... 27.13 34.47 43.29 56.86 69.13 81.62 96.70 42 ...... 27.33 34.73 43.67 57.82 70.35 82.74 98.03 43 ...... 27.65 34.99 44.06 58.78 72.04 83.77 99.29 44 ...... 27.84 35.24 44.44 59.73 73.19 84.77 100.41 45 ...... 28.02 35.49 44.84 60.69 74.00 85.69 101.69 46 ...... 28.27 35.75 45.23 61.65 74.83 86.62 102.92 47 ...... 28.48 36.00 45.61 62.61 75.61 87.61 104.06 48 ...... 28.72 36.26 46.00 63.56 76.59 88.45 105.17 49 ...... 28.94 36.50 46.39 64.52 77.64 89.38 106.24 50 ...... 29.06 36.76 46.78 65.48 78.73 90.52 107.36 51 ...... 29.49 37.02 47.15 66.60 79.81 91.82 108.36 52 ...... 29.93 37.28 47.54 67.07 80.59 93.21 109.65 53 ...... 30.49 37.52 47.93 67.62 81.27 94.74 111.05 54 ...... 30.93 37.79 48.31 68.21 81.85 96.10 112.61 55 ...... 31.42 38.03 48.70 68.64 82.53 97.63 114.13 56 ...... 31.85 38.29 49.09 69.16 83.08 99.01 115.30 57 ...... 32.36 38.54 49.48 69.57 83.71 100.52 116.32 58 ...... 32.85 38.79 49.86 70.01 84.21 101.85 117.29 59 ...... 33.32 39.05 50.24 70.44 84.69 102.55 118.15 60 ...... 33.74 39.30 50.63 70.83 85.11 103.15 119.00 61 ...... 34.29 39.55 51.02 71.19 85.59 103.75 120.60 62 ...... 34.71 39.81 51.40 71.50 85.99 104.21 122.53 63 ...... 35.34 40.07 51.80 71.88 86.48 104.71 124.50 64 ...... 35.65 40.31 52.18 72.20 86.87 105.19 126.41 65 ...... 36.17 40.57 52.58 72.42 87.12 105.72 128.39 66 ...... 36.64 40.83 52.95 72.75 87.56 106.04 130.26 67 ...... 37.19 41.08 53.85 73.01 87.84 106.46 132.00
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Maximum weight Zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 (pounds) ($) ($) ($) ($) ($) ($) ($)
68 ...... 37.63 41.33 54.53 73.21 88.95 107.02 133.40 69 ...... 38.14 41.59 55.23 73.43 90.02 107.52 134.81 70 ...... 38.54 41.84 56.10 73.66 91.11 107.91 136.27 Oversized ...... 76.95 97.85 118.75 139.65 160.55 181.45 202.35
*** Parcel Select Lightweight
Entry point/sortation level Maximum None/mixed weight DDU/5-digit DSCF/5-digit DNDC/5-digit DSCF/SCF DNDC/SCF DNDC/NDC None/NDC NDC/single- (ounces) ($) ($) ($) ($) ($) ($) ($) piece ($)
1 ...... 1.81 2.11 2.33 2.34 2.72 2.97 3.34 3.73 2 ...... 1.81 2.11 2.33 2.34 2.72 2.97 3.34 3.73 3 ...... 1.81 2.11 2.33 2.34 2.72 2.97 3.34 3.73 4 ...... 1.81 2.11 2.33 2.34 2.72 2.97 3.34 3.73 5 ...... 1.82 2.14 2.38 2.40 2.83 3.09 3.48 3.88 6 ...... 1.82 2.14 2.38 2.40 2.83 3.09 3.48 3.88 7 ...... 1.82 2.14 2.38 2.40 2.83 3.09 3.48 3.88 8 ...... 1.82 2.14 2.38 2.40 2.83 3.09 3.48 3.88 9 ...... 1.94 2.37 2.88 2.92 3.42 3.74 4.17 4.60 10 ...... 1.94 2.37 2.88 2.92 3.42 3.74 4.17 4.60 11 ...... 1.94 2.37 2.88 2.92 3.42 3.74 4.17 4.60 12 ...... 1.94 2.37 2.88 2.92 3.42 3.74 4.17 4.60 13 ...... 2.12 2.65 3.32 3.38 3.92 4.25 4.69 5.15 14 ...... 2.12 2.65 3.32 3.38 3.92 4.25 4.69 5.15 15 ...... 2.12 2.65 3.32 3.38 3.92 4.25 4.69 5.15 15.999 ...... 2.12 2.65 3.32 3.38 3.92 4.25 4.69 5.15
*** 2120.6 Prices 2120 Parcel Return Service RSCF Entered *** a. Machinable RSCF
Maximum weight RSCF (pounds) ($)
1 ...... 3.83 2 ...... 4.33 3 ...... 4.65 4 ...... 5.00 5 ...... 5.38 6 ...... 5.91 7 ...... 6.32 8 ...... 6.84 9 ...... 7.31 10 ...... 7.82 11 ...... 8.28 12 ...... 8.86 13 ...... 9.26 14 ...... 9.58 15 ...... 9.93 16 ...... 10.26 17 ...... 10.63 18 ...... 10.93 19 ...... 11.22 20 ...... 11.60 21 ...... 11.90 22 ...... 12.26 23 ...... 12.50 24 ...... 12.89 25 ...... 13.16 26 ...... 13.45 27 ...... 13.76 28 ...... 14.03 29 ...... 14.35
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Maximum weight RSCF (pounds) ($)
30 ...... 14.60 31 ...... 14.91 32 ...... 15.22 33 ...... 15.47 34 ...... 15.88 35 ...... 16.15
b. Nonmachinable RSCF
Maximum weight RSCF (pounds) ($)
1 ...... 6.83 2 ...... 7.33 3 ...... 7.65 4 ...... 8.00 5 ...... 8.38 6 ...... 8.91 7 ...... 9.32 8 ...... 9.84 9 ...... 10.31 10 ...... 10.82 11 ...... 11.28 12 ...... 11.86 13 ...... 12.26 14 ...... 12.58 15 ...... 12.93 16 ...... 13.26 17 ...... 13.63 18 ...... 13.93 19 ...... 14.22 20 ...... 14.60 21 ...... 14.90 22 ...... 15.26 23 ...... 15.50 24 ...... 15.89 25 ...... 16.16 26 ...... 16.45 27 ...... 16.76 28 ...... 17.03 29 ...... 17.35 30 ...... 17.60 31 ...... 17.91 32 ...... 18.22 33 ...... 18.47 34 ...... 18.88 35 ...... 19.15 36 ...... 19.44 37 ...... 19.70 38 ...... 19.95 39 ...... 20.21 40 ...... 20.46 41 ...... 20.72 42 ...... 20.97 43 ...... 21.23 44 ...... 21.48 45 ...... 21.74 46 ...... 21.99 47 ...... 22.25 48 ...... 22.50 49 ...... 22.76 50 ...... 23.01 51 ...... 23.27 52 ...... 23.52 53 ...... 23.78 54 ...... 24.03 55 ...... 24.29 56 ...... 24.54 57 ...... 24.80 58 ...... 25.05 59 ...... 25.31 60 ...... 25.56
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Maximum weight RSCF (pounds) ($)
61 ...... 25.82 62 ...... 26.07 63 ...... 26.33 64 ...... 26.58 65 ...... 26.84 66 ...... 27.09 67 ...... 27.35 68 ...... 27.60 69 ...... 27.86 70 ...... 27.95 Oversized ...... 39.62
*** RDU Entered a. Machinable RDU
Maximum weight RDU (pounds) ($)
1 ...... 3.05 2 ...... 3.14 3 ...... 3.22 4 ...... 3.32 5 ...... 3.40 6 ...... 3.50 7 ...... 3.58 8 ...... 3.66 9 ...... 3.76 10 ...... 3.84 11 ...... 3.94 12 ...... 4.02 13 ...... 4.12 14 ...... 4.20 15 ...... 4.28 16 ...... 4.38 17 ...... 4.46 18 ...... 4.56 19 ...... 4.64 20 ...... 4.74 21 ...... 4.82 22 ...... 4.90 23 ...... 5.00 24 ...... 5.08 25 ...... 5.18 26 ...... 5.24 27 ...... 5.33 28 ...... 5.42 29 ...... 5.51 30 ...... 5.60 31 ...... 5.69 32 ...... 5.77 33 ...... 5.86 34 ...... 5.95 35 ...... 6.04
b. Nonmachinable RDU
Maximum weight RDU (pounds) ($)
1 ...... 3.05 2 ...... 3.14 3 ...... 3.22 4 ...... 3.32 5 ...... 3.40 6 ...... 3.50 7 ...... 3.58 8 ...... 3.66
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Maximum weight RDU (pounds) ($)
9 ...... 3.76 10 ...... 3.84 11 ...... 3.94 12 ...... 4.02 13 ...... 4.12 14 ...... 4.20 15 ...... 4.28 16 ...... 4.38 17 ...... 4.46 18 ...... 4.56 19 ...... 4.64 20 ...... 4.74 21 ...... 4.82 22 ...... 4.90 23 ...... 5.00 24 ...... 5.08 25 ...... 5.18 26 ...... 5.24 27 ...... 5.33 28 ...... 5.42 29 ...... 5.51 30 ...... 5.60 31 ...... 5.69 32 ...... 5.77 33 ...... 5.86 34 ...... 5.95 35 ...... 6.04 36 ...... 6.13 37 ...... 6.22 38 ...... 6.30 39 ...... 6.39 40 ...... 6.48 41 ...... 6.57 42 ...... 6.66 43 ...... 6.75 44 ...... 6.83 45 ...... 6.92 46 ...... 7.01 47 ...... 7.10 48 ...... 7.19 49 ...... 7.28 50 ...... 7.36 51 ...... 7.45 52 ...... 7.54 53 ...... 7.63 54 ...... 7.72 55 ...... 7.81 56 ...... 7.89 57 ...... 7.98 58 ...... 8.07 59 ...... 8.16 60 ...... 8.25 61 ...... 8.34 62 ...... 8.42 63 ...... 8.51 64 ...... 8.60 65 ...... 8.69 66 ...... 8.78 67 ...... 8.86 68 ...... 8.95 69 ...... 9.04 70 ...... 9.13 Oversized ...... 12.06
*** 2125.6 Prices 2125 First-Class Package Service Commercial ***
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Local, Maximum weight zones 1 & 2 Zone 3 Zone 4 Zone 5 Zone 6 Zone 7 Zone 8 (ounces) ($) ($) ($) ($) ($) ($) ($)
1 ...... 2.74 2.76 2.78 2.84 2.93 3.05 3.18 2 ...... 2.74 2.76 2.78 2.84 2.93 3.05 3.18 3 ...... 2.74 2.76 2.78 2.84 2.93 3.05 3.18 4 ...... 2.74 2.76 2.78 2.84 2.93 3.05 3.18 5 ...... 3.21 3.23 3.25 3.31 3.39 3.52 3.67 6 ...... 3.21 3.23 3.25 3.31 3.39 3.52 3.67 7 ...... 3.21 3.23 3.25 3.31 3.39 3.52 3.67 8 ...... 3.21 3.23 3.25 3.31 3.39 3.52 3.67 9 ...... 3.93 3.97 4.00 4.08 4.18 4.32 4.46 10 ...... 3.93 3.97 4.00 4.08 4.18 4.32 4.46 11 ...... 3.93 3.97 4.00 4.08 4.18 4.32 4.46 12 ...... 3.93 3.97 4.00 4.08 4.18 4.32 4.46 13 ...... 5.04 5.08 5.12 5.27 5.40 5.54 5.70 14 ...... 5.04 5.08 5.12 5.27 5.40 5.54 5.70 15 ...... 5.04 5.08 5.12 5.27 5.40 5.54 5.70 15.999 ...... 5.04 5.08 5.12 5.27 5.40 5.54 5.70
*** Insurance Act Applications; OMB 3220– Previous Requests for Comments: The [FR Doc. 2020–18325 Filed 8–20–20; 8:45 am] 0039. RRB has already published the initial BILLING CODE 7710–12–P Under Section 2 of the Railroad 60-day notice (85 36888 on June 18, Unemployment Insurance Act (RUIA) 2020) required by 44 U.S.C. 3506(c)(2). (45 U.S.C. 362), sickness benefits are That request elicited no comments. payable to qualified railroad employees Information Collection Request (ICR) RAILROAD RETIREMENT BOARD who are unable to work because of illness or injury. In addition, sickness Title: Railroad Unemployment Agency Forms Submitted for OMB benefits are payable to qualified female Insurance Act Applications. Review, Request for Comments employees if they are unable to work, or OMB Control Number: 3220–0039. if working would be injurious, because Form(s) submitted: SI–1a, SI–1b, SI–3, SUMMARY: In accordance with the of pregnancy, miscarriage, or childbirth. SI–3 (internet), SI–7, SI–8, and ID–11A. Paperwork Reduction Act of 1995, the Under Section 1(k) of the RUIA a Type of request: Revision of a Railroad Retirement Board (RRB) is statement of sickness, with respect to currently approved collection. forwarding an Information Collection days of sickness of an employee, is to Affected public: Individuals or Request (ICR) to the Office of be filed with the RRB within a 10-day Households. Information and Regulatory Affairs period from the first day claimed as a Abstract: Under Section 2 of the (OIRA), Office of Management and day of sickness. The Railroad Railroad Unemployment Insurance Act Budget (OMB). Our ICR describes the Retirement Board’s (RRB) authority for sickness benefits are payable to information we seek to collect from the requesting supplemental medical qualified railroad employees who are public. Review and approval by OIRA information is Section 12(i) and 12(n) of unable to work because of illness or ensures that we impose appropriate the RUIA. The procedures for claiming injury. The collection obtains paperwork burdens. sickness benefits and for the RRB to information from railroad employees The RRB invites comments on the obtain supplemental medical and physicians needed to determine proposed collections of information to information needed to determine a eligibility to and the amount of such determine (1) the practical utility of the claimant’s eligibility for such benefits benefits. collections; (2) the accuracy of the are prescribed in 20 CFR part 335. Changes proposed: The RRB proposes estimated burden of the collections; (3) The forms currently used by the RRB no changes to Form SI–1a, Form SI–3 ways to enhance the quality, utility, and to obtain information needed to (Manual), SI–7, SI–8, and ID–11a; minor clarity of the information that is the determine eligibility for, and the non-burden impacting changes to the subject of collection; and (4) ways to amount of, sickness benefits due a Form SI–1b to include update to the minimize the burden of collections on claimant follow: Form SI–1a, officer title and RRB zip code in the respondents, including the use of Application for Sickness Benefits; Form Paperwork Reduction Act/Privacy Act automated collection techniques or SI–1b, Statement of Sickness; Form SI– Notices section; and minor non-burden other forms of information technology. 3, Claim for Sickness Benefits; Form SI– impacting changes to the Form SI–3 Comments to the RRB or OIRA must 7, Supplemental Doctor’s Statement; (internet) to include update to the contain the OMB control number of the Form SI–8, Verification of Medical officer title and RRB zip code in the ICR. For proper consideration of your Information; and Form ID–11A, Paperwork Reduction Act/Privacy Act comments, it is best if the RRB and Requesting Reason for Late Filing of Notices section, update the ‘‘Estimation OIRA receive them within 30 days of Sickness Benefit. Completion is Completion Time’’ to 5 minutes, and the publication date. required to obtain or retain benefits. update zip code on page’s 6 and page 7. Title and purpose of information One response is requested of each The burden estimate for the ICR is as collection: Railroad Unemployment respondent. follows:
Annual Time Burden Form No. responses (minutes) (hours)
SI–1a (Employee) ...... 15,700 10 2,617
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Annual Time Burden Form No. responses (minutes) (hours)
SI–1b (Doctor) ...... 15,700 8 2,093 SI–3 (Manual) ...... 131,600 5 10,967 SI–3 (internet) ...... 61,350 5 5,113 SI–7 ...... 20,830 8 2,777 SI–8 ...... 26 5 2 ID–11A ...... 518 4 35
Total ...... 245,724 ...... 23,604
Additional Information or Comments: comments on the proposed rule change owned subsidiary of the Exchange’s Copies of the forms and supporting from interested persons. parent company, Cboe Global Markets, documents can be obtained from Inc., will make the Intraday Open-Close I. Self-Regulatory Organization’s Kennisha Tucker at (312) 469–2591 or Data available for purchase to Members Statement of the Terms of Substance of [email protected]. Comments and non-Members on the LiveVol the Proposed Rule Change regarding the information collection DataShop website (datashop.cboe.com). should be addressed to Brian Foster, Cboe EDGX Exchange, Inc. (the By way of background, the Exchange Railroad Retirement Board, 844 North ‘‘Exchange’’ or ‘‘EDGX Options’’) is historically offered Open-Close Data, Rush Street, Chicago, Illinois 60611– filing with the Securities and Exchange which is an end-of-day volume 1275 or [email protected]. Commission (‘‘Commission’’) a summary of trading activity on the Written comments and proposed rule change to adopt fees for Exchange at the option level by origin recommendations for the proposed a new data product on its equity options (customer, professional customer, information collection should be sent platform (‘‘EDGX Options’’) to be known broker-dealer, and market maker), side within 30 days of publication of this as Intraday Open-Close Data. The text of of the market (buy or sell), price, and notice to www.reginfo.gov/public/do/ the proposed rule change is provided in transaction type (opening or closing). PRAMain. Find this particular Exhibit 5. The customer and professional customer information collection by selecting The text of the proposed rule change volume is further broken down into ‘‘Currently under 30-day Review—Open is also available on the Exchange’s trade size buckets (less than 100 for Public Comments’’ or by using the website (http://markets.cboe.com/us/ contracts, 100–199 contracts, greater search function. options/regulation/rule_filings/edgx/), than 199 contracts). The Open-Close at the Exchange’s Office of the Data is proprietary EDGX trade data and Brian Foster, Secretary, and at the Commission’s does not include trade data from any Clearance Officer. Public Reference Room. other exchange. It is also a historical [FR Doc. 2020–18341 Filed 8–20–20; 8:45 am] II. Self-Regulatory Organization’s data product and not a real-time data BILLING CODE 7905–01–P Statement of the Purpose of, and feed. Statutory Basis for, the Proposed Rule The Exchange recently adopted a Change similar product: Intraday Open-Close SECURITIES AND EXCHANGE Data. The Intraday Open-Close Data will COMMISSION In its filing with the Commission, the provide similar information to that of Exchange included statements Open-Close Data but will be produced [Release No. 34–89579; File No. SR– concerning the purpose of and basis for and updated every 10 minutes during CboeEDGX–2020–040] the proposed rule change and discussed the trading day. Data is captured in any comments it received on the Self-Regulatory Organizations; Cboe ‘‘snapshots’’ taken every 10 minutes proposed rule change. The text of these throughout the trading day and is EDGX Exchange, Inc.; Notice of Filing statements may be examined at the and Immediate Effectiveness of a available to subscribers within five places specified in Item IV below. The minutes of the conclusion of each 10- Proposed Rule Change Relating To Exchange has prepared summaries, set Adopt Fees for a New Data Product on minute period. For example, subscribers forth in sections A, B, and C below, of to the intraday product will receive the Its Equity Options Platform To Be the most significant aspects of such Known as Intraday Open-Close Data first calculation of intraday data by statements. approximately 9:42 a.m. ET, which August 17, 2020. A. Self-Regulatory Organization’s represents data captured from 9:30 a.m. Pursuant to Section 19(b)(1) of the Statement of the Purpose of, and to 9:40 a.m. Subscribers will receive the Securities Exchange Act of 1934 (the Statutory Basis for, the Proposed Rule next update at 9:52 a.m., representing ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Change the data previously provided together notice is hereby given that on August 3, with data captured from 9:40 a.m. 2020, Cboe EDGX Exchange, Inc. (the 1. Purpose through 9:50 a.m., and so forth. Each ‘‘Exchange’’ or ‘‘EDGX’’) filed with the The Exchange recently adopted a new update will represent the aggregate data Securities and Exchange Commission data product on EDGX to be known as captured from the current ‘‘snapshot’’ (the ‘‘Commission’’) the proposed rule Intraday Open-Close Data, which will be and all previous ‘‘snapshots.’’ The change as described in Items I and II available for purchase to EDGX Intraday Open-Close Data will provide a below, which Items have been prepared Members and non-Members.3 The volume summary of trading activity on by the Exchange. The Commission is Exchange now proposes to adopt fees the Exchange at the option level by publishing this notice to solicit for Intraday Open-Close Data. Cboe origin (customer, professional customer, LiveVol, LLC (‘‘LiveVol’’), a wholly broker-dealer, and market maker), side 1 15 U.S.C. 78s(b)(1). of the market (buy or sell), and 2 17 CFR 240.19b–4. 3 See SR–EDGX–2020–036. transaction type (opening or closing).
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The customer and professional customer and ad-hoc fees will apply both to Open-Close Data further broadens the volume will be further broken down Members or non-Members. The availability of U.S. option market data to into trade size buckets (less than 100 Exchange notes that other exchanges investors consistent with the principles contracts, 100–199 contracts, greater provide similar data products that may of Regulation NMS. The data product than 199 contracts). The Intraday Open- be purchased on both a subscription and also promotes increased transparency Close Data is also proprietary EDGX ad-hoc basis and are similarly priced.6 through the dissemination of Intraday trade data and does not include trade Open-Close Data. Particularly, 2. Statutory Basis data from any other exchange. In information regarding opening and contrast to the existing Open-Close Data The Exchange believes that the closing activity across different option product, the Intraday Open-Close Data proposed rule change is consistent with series during the trading day may will not provide execution price. Section 6(b) of the Act,7 in general, and indicate investor sentiment, which may The Exchange anticipates a wide furthers the objectives of Section 6(b)(5) allow market participants to make better variety of market participants to of the Act,8 in particular, in that it is informed trading decisions throughout purchase Intraday Open-Close Data, designed to prevent fraudulent and the day. Subscribers to the data may including, but not limited to, individual manipulative acts and practices, to also be able to enhance their ability to customers, buy-side investors, and promote just and equitable principles of analyze option trade and volume data investment banks. The Exchange trade, to remove impediments to and and create and test trading models and believes the Intraday Open-Close Data perfect the mechanism of a free and analytical strategies. The Exchange product may also provide helpful open market and a national market believes Intraday Open-Close Data trading information regarding investor system, and to protect investors and the provides a valuable tool that subscribers sentiment that may allow market public interest, and that it is not can use to gain comprehensive insight participants to make better trading designed to permit unfair into the trading activity in a particular decisions throughout the day and may discrimination among customers, series, but also emphasizes such data is be used to create and test trading brokers, or dealers. The Exchange also not necessary for trading. Moreover, models and analytical strategies and believes that its proposal to adopt fees other exchanges offer a similar data provides comprehensive insight into for Intraday Open-Close Data is product.10 trading on EDGX. For example, intraday consistent with Section 6(b) of the Act The Exchange operates in a highly open data may allow a market in general, and furthers the objectives of competitive environment. Indeed, there participant to identify new interest or Section 6(b)(4) of the Act 9 in particular, are currently 16 registered options possible risks throughout the trading in that it is an equitable allocation of exchanges that trade options. Based on day, while intraday closing data may dues, fees and other charges among its publicly available information, no single allow a market participant to identify members and other recipients of options exchange has more than 17% of fading interests in a security. The Exchange data. the market share and currently the product is a completely voluntary In adopting Regulation NMS, the Exchange represents only approximately product, in that the Exchange is not Commission granted self-regulatory 4.16% of the market share.11 The required by any rule or regulation to organizations (‘‘SROs’’) and broker- Commission has repeatedly expressed make this data available and that dealers increased authority and its preference for competition over potential subscribers may purchase it flexibility to offer new and unique regulatory intervention in determining only if they voluntarily choose to do so. market data to the public. It was prices, products, and services in the The Exchange notes that other believed that this authority would securities markets. Particularly, in exchanges offer a similar data product.4 expand the amount of data available to Regulation NMS, the Commission The Exchange proposes to provide in consumers, and also spur innovation highlighted the importance of market its Fee Schedule that Members and non- and competition for the provision of forces in determining prices and SRO Members may purchase Intraday Open- market data. Particularly, Intraday revenues and, also, recognized that Close Data on a subscription basis current regulation of the market system (monthly or annually) or by ad hoc months of January 2020 and February 2020, would ‘‘has been remarkably successful in request for a specified month (historical be assessed a total of $1,000. The Exchange notes promoting market competition in its that it may make historical data prior to January file). The Exchange proposes to assess a 2020 available in the future and that such historical broader forms that are most important to monthly fee of $1,000 (or $12,000 per data would be available to all Members or non- investors and listed companies.’’ 12 year) for subscribing to the data feed. Members. Making similar data products available The Exchange also proposes to assess a 6 See Price List—U.S. Derivatives Data for Nasdaq to market participants fosters fee of $500 per request per month for an PHLX, LLC (‘‘PHLX’’), The Nasdaq Stock Market, competition in the marketplace, and LLC (‘‘Nasdaq’’), Nasdaq ISE, LLC (‘‘ISE’’), and ad-hoc request of historical Intraday Nasaq GEMX, LLC (‘‘GEMX’’), available at http:// constrains the ability of exchanges to Open/Close data covering all Exchange- www.nasdaqtrader.com/ charge supracompetitive fees. In the listed securities. An ad-hoc request can Trader.aspx?id=DPPriceListOptions#web. event that a market participant views be for any number of months beginning Particularly, PHLX offers ‘‘Nasdaq PHLX Options one exchange’s data product as more or Trade Outline (PHOTO)’’ and assesses $1,500 per with January 2020 for which the data is month for an intra-day subscription and $750 per less attractive than the competition they available.5 The proposed subscription month for historical reports; Nasdaq offers the can and do switch between similar ‘‘Nasdaq Options Trade Outline (NOTO)’’ and products. The proposed fees are a result 4 See Securities Exchange Act Release No. 61317 assesses $750 per month for an intra-day of the competitive environment, as the subscription and $500 per month for historical (January 8, 2010), 75 FR 2915 (January 19, 2010) Exchange seeks to adopt fees to attract (SR–ISE–2009–103); Securities Exchange Act reports; ISE offers the ‘‘Nasdaq ISE Open/Close Release No. 62887 (September 10, 2010), 75 FR Trade Profile’’ and assesses $2,000 per month for 57092 (September 17, 2010) (SR–Phlx–2010–121); an intra-day subscription and $1,000 per month for 10 See supra note 4. Securities Exchange Act Release No. 65587 (October historical reports; and GEMX offers the ‘‘Nasdaq 11 See Cboe Global Markets U.S. Options Market 18, 2011), 76 FR 65765 (October 24, 2011) (SR– GEMX Open/Close Trade Profile’’ and assesses Month-to-Date Volume Summary (July 31, 2020), NASDAQ–2011–144); and Securities Exchange Act $1,000 per month for an intra-day subscription and available at https://markets.cboe.com/us/options/ Release No. 81632 (September 15, 2017), 82 FR $750 per month for historical reports. market_statistics/. 44235 (September 21, 2017) (SR–GEMX–2017–42). 7 15 U.S.C. 78f. 12 See Securities Exchange Act Release No. 51808 5 For example, a Member or non-Member that 8 15 U.S.C. 78f(b)(5). (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) requests historical Intraday Open/Close Data for the 9 15 U.S.C. 78f(b)(4). (‘‘Regulation NMS Adopting Release’’).
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purchasers of the recently introduced decisions. As noted above, users may promote competition by permitting the Intraday Open-Close Data product. also use such data to create and test Exchange to sell a data product similar The Exchange believes the proposed trading models and analytical strategies. to those offered by other competitor fees are reasonable as the proposed fees Selling market data, such as Intraday options exchanges.16 The Exchange are both modest and similar to, or even Open-Close Data, is also a means by made Open-Close Data available in lower than, the fees assessed by other which exchanges compete to attract order to keep pace with changes in the exchanges that provide similar data business. To the extent that the industry and evolving customer needs, products.13 Indeed, proposing fees that Exchange is successful in attracting and believes the data product will are excessively higher than established subscribers for the Intraday Open-Close contribute to robust competition among fees for similar data products would Data, it may earn trading revenues and national securities exchanges. At least simply serve to reduce demand for the further enhance the value of its data four other U.S. options exchanges offer Exchange’s data product, which as products. If the market deems the a market data product that is noted, is entirely optional. Like the proposed fees to be unfair or substantially similar to the Intraday Exchange’s Intraday Open-Close Data inequitable, firms can diminish or Open-Close Data. As a result, the product, other exchanges offer similar discontinue their use of the data and/or Exchange believes this proposed rule data products that each provide insight avail themselves of similar products change permits fair competition among into trading on those markets and may offered by other exchanges.15 The national securities exchanges. likewise aid in assessing investor Exchange therefore believes that the Furthermore, the Exchange operates sentiment. Although each of these proposed fees for Intraday Open-Close in a highly competitive environment, similar Intraday Open-Close data Data reflect the competitive and its ability to price Intraday Open- products provide only proprietary trade environment and would be properly Close Data is constrained by data and not trade data from other assessed on Member or non-Member competition among exchanges that offer exchanges, it’s possible investors are users. The Exchange also believes the similar data products to their customers. still able to gauge overall investor proposed fees are equitable and not As discussed, there are currently a sentiment across different option series unfairly discriminatory as the fees number of similar products available to based on open and closing interest on would apply equally to all users who market participants and investors. At any one exchange.14 Similarly, market choose to purchase such data. The least four other U.S. options exchanges participants may be able to analyze Exchange’s proposed fees would not offer a market data product that is option trade and volume data, and differentiate between subscribers that substantially similar to the Intraday create and test trading models and purchase Intraday Open-Close Data and Open-Close Data, which the Exchange analytical strategies using only Intraday are set at a modest level that would must consider in its pricing discipline Open-Close data relating to trading allow any interested Member or non- in order to compete for the market activity on one or more of the other Member to purchase such data based on data.17 For example, proposing fees that markets that provide similar data their business needs. are excessively higher than established products. As such, if a market As noted above, the Exchange fees for similar data products would participant views another exchange’s anticipates a wide variety of market simply serve to reduce demand for the Intraday Open-Close data as more participants to purchase Intraday Open- Exchange’s data product, which as attractive than its proposed Intraday Close Data, including but not limited to discussed, market participants are under Open-Close data product, then such individual customers, buy-side no obligation to utilize. In this market participant can merely choose investors and investment banks. The competitive environment, potential not to purchase the Exchange’s Intraday Exchange reiterates that the decision as purchasers are free to choose which, if Open-Close Data and instead purchase to whether or not to purchase the any, similar product to purchase to another exchange’s Intraday Open-Close Intraday Open-Close Data is entirely satisfy their need for market data product, which offer similar data optional for all potential subscribers. information. As a result, the Exchange points, albeit based on that other Indeed, no market participant is believes this proposed rule change market’s trading activity. required to purchase the Intraday Open- permits fair competition among national The Exchange also believes the Close Data, and the Exchange is not securities exchanges. proposed fees are reasonable as they required to make the Intraday Open- The Exchange also does not believe would support the introduction of a Close Data available to all investors. the proposed fees would cause any new market data product that is Rather, the Exchange is voluntarily unnecessary or in appropriate burden designed to aid investors by providing making Intraday Open-Close Data on intermarket competition as other insight into trading on EDGX Options. available, as requested by customers, exchanges are free to introduce their The recently adopted Intraday Open- and market participants may choose to own comparable data product and lower Close Data would provide options receive (and pay for) this data based on their prices to better compete with the market participants with valuable their own business needs. Potential Exchange’s offering. The Exchange does information about opening and closing purchasers may request the data at any not believe the proposed rule change transactions executed on the Exchange time if they believe it to be valuable or would cause any unnecessary or inappropriate burden on intramarket throughout the trading day, similar to may decline to purchase such data. competition. Particularly, the proposed other trade data products offered by B. Self-Regulatory Organization’s product and fees apply uniformly to any competing options exchanges. In turn, Statement on Burden on Competition purchaser, in that it does not this data would assist market The Exchange does not believe that differentiate between subscribers that participants in gauging investor the proposed rule change will result in purchase Intraday Open-Close Data. The sentiment and trading activity, resulting any burden on competition that is not in potentially better informed trading necessary or appropriate in furtherance 16 Id. of the purposes of the Act. Rather, the 17 See e.g., Cboe Options Fees Schedule, Livevol 13 See supra note 6. Fees, Open-Close Data. See also Nasdaq ISE Options 14 The exchange notes that its Intraday Open- Exchange believes that the proposal will 7 Pricing Schedule, Section 10.A and Nasdaq PHLX Close data product does not include data on any Options 7 Pricing Schedule, Section 10, PHLX exclusive, singly-listed option series. 15 See supra note 6. Options Trade Outline (‘‘PHOTO’’).
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proposed fees are set at a modest level only one method. The Commission will change as described in Items I, II, and that would allow any interested Member post all comments on the Commission’s III below, which Items have been or non-Member to purchase such data internet website (http://www.sec.gov/ prepared by the Exchange. The based on their business needs. rules/sro.shtml). Copies of the Exchange filed the proposal as a ‘‘non- submission, all subsequent controversial’’ proposed rule change C. Self-Regulatory Organization’s amendments, all written statements pursuant to Section 19(b)(3)(A)(iii) of Statement on Comments on the with respect to the proposed rule the Act 3 and Rule 19b–4(f)(6) Proposed Rule Change Received From change that are filed with the thereunder.4 The Commission is Members, Participants, or Others Commission, and all written publishing this notice to solicit The Exchange has neither solicited communications relating to the comments on the proposed rule change nor received written comments on the proposed rule change between the from interested persons. proposed rule change. Commission and any person, other than those that may be withheld from the I. Self-Regulatory Organization’s III. Date of Effectiveness of the public in accordance with the Statement of the Terms of Substance of Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be the Proposed Rule Change Commission Action available for website viewing and The Exchange is filing with the The foregoing rule change has become printing in the Commission’s Public Commission a proposed rule change to effective pursuant to Section 19(b)(3)(A) Reference Room, 100 F Street NE, proposed rule change to amend various of the Act 18 and paragraph (f) of Rule Washington, DC 20549 on official Exchange Rules to make changes to 19b–4 19 thereunder, because it business days between the hours of proposed Exchange System 5 establishes a due, fee, or other charge 10:00 a.m. and 3:00 p.m. Copies of the functionality prior to the launch of the imposed by the Exchange. filing also will be available for Exchange.6 The text of the proposed At any time within 60 days of the inspection and copying at the principal rule change is provided in Exhibit 5. filing of the proposed rule change, the office of the Exchange. All comments Commission summarily may received will be posted without change; II. Self-Regulatory Organization’s temporarily suspend such rule change if the Commission does not edit personal Statement of the Purpose of, and it appears to the Commission that such identifying information from Statutory Basis for, the Proposed Rule action is necessary or appropriate in the submissions. You should submit only Change public interest, for the protection of information that you wish to make In its filing with the Commission, the investors, or otherwise in furtherance of available publicly. All submissions Exchange included statements the purposes of the Act. If the should refer to File Number SR– concerning the purpose of and basis for Commission takes such action, the CboeEDGX–2020–040 and should be the proposed rule change and discussed Commission will institute proceedings submitted on or before September 11, any comments it received on the to determine whether the proposed rule 2020. proposed rule change. The text of these change should be approved or For the Commission, by the Division of statements may be examined at the disapproved. Trading and Markets, pursuant to delegated places specified in Item IV below. The 20 IV. Solicitation of Comments authority. Exchange has prepared summaries, set J. Matthew DeLesDernier, forth in sections A, B, and C below, of Interested persons are invited to Assistant Secretary. the most significant aspects of such submit written data, views, and [FR Doc. 2020–18353 Filed 8–20–20; 8:45 am] statements. arguments concerning the foregoing, including whether the proposed rule BILLING CODE 8011–01–P A. Self-Regulatory Organization’s change is consistent with the Act. Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Comments may be submitted by any of SECURITIES AND EXCHANGE Change the following methods: COMMISSION 1. Purpose Electronic Comments [Release No. 34–89581; File No. SR–MEMX– • Use the Commission’s internet 2020–04] The purpose of this proposed rule comment form (http://www.sec.gov/ change is to amend various Exchange Self-Regulatory Organizations; MEMX rules/sro.shtml); or Rules to make changes to proposed • Send an email to rule-comments@ LLC; Notice of Filing and Immediate sec.gov. Please include File Number SR– Effectiveness of a Proposed Rule 3 15 U.S.C. 78s(b)(3)(A). CboeEDGX–2020–040 on the subject Change To Amend Various Exchange 4 17 CFR 240.19b–4. Rules To Make Changes To Proposed 5 As defined in Rule 1.5(gg), the Exchange’s line. Exchange System Functionality Prior ‘‘System’’ is the electronic communications and Paper Comments to the Launch of the Exchange trading facility designated by the Board through which securities orders of Users are consolidated • Send paper comments in triplicate August 17, 2020. for ranking, execution and, when applicable, to Secretary, Securities and Exchange routing. As defined in Rule 1.5(jj), a ‘‘User’’ is a Pursuant to Section 19(b)(1) of the member of the Exchange (‘‘Member’’) or sponsored Commission, 100 F Street NE, Securities Exchange Act of 1934 (the participant of a Member who is authorized to obtain Washington, DC 20549–1090. ‘‘Act’’),1 and Rule 19b–4 thereunder,2 access to the System pursuant to Rule 11.3. The All submissions should refer to File notice is hereby given that on August 4, Exchange notes that it proposes to amend Rule 1.5 to designate the term ‘‘Top of Book’’ as paragraph Number SR–CboeEDGX–2020–040. This 2020, MEMX LLC (‘‘MEMX’’ or the (ii), as there are currently two paragraphs labeled file number should be included on the ‘‘Exchange’’) filed with the Securities (jj). As amended, the term User would continue to subject line if email is used. To help the and Exchange Commission be labeled as paragraph (jj). Commission process and review your (‘‘Commission’’) the proposed rule 6 The Exchange’s application to register as a comments more efficiently, please use national securities exchange was approved in May of 2020. See Securities Exchange Act Release No. 20 17 CFR 200.30–3(a)(12). 88806 (May 4, 2020), 85 FR 27451 (May 8, 2020). 18 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). The Exchange currently anticipates launching in 19 17 CFR 240.19b–4(f). 2 17 CFR 240.19b–4. September of 2020.
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functionality prior to the launch of the instruction 15 and Reserve Quantity 16) Time. As amended, because of the Exchange. Each change is based upon a in specific circumstances. elimination of the Early Order Entry Session, the definition would refer final review of functionality that the Elimination of the Early Order Entry instead to the time between 7:00 a.m. Exchange would like to offer at the time Session, Opening Process, Re-Opening and 8:00 p.m. Eastern Time. of launch and is either intended to Process and Related Changes simplify the operation of the System, to The Exchange is proposing the align with functionality offered on other The Exchange is proposing to make elimination of the Early Order Entry exchanges, or to make clear certain various changes to simplify the way the Session because this change will reduce aspects of the operation of the System Exchange opens for trading each day complexity with respect to the that are not clear based on the and re-opens in the event of a trading functionality used to open the Exchange Exchange’s current Rules. These halt. Specifically, the Exchange each trading day. At least upon its proposes to eliminate the Early Order changes are described in detail below initial launch, the Exchange does not Entry Session, the Opening Process and and include amending: (i) Rules 1.5, anticipate having significant volume in the Re-Opening Process, and to modify 11.1, 11.6, 11.7, 11.8, and 11.16 in its Early Order Entry Session. Because the operation of the System in the event connection with the elimination of the the Exchange will still offer the Pre- of a trading halt, each as further Market Session, Users will still be able Exchange’s Early Order Entry Session,7 described below. to enter orders into the Exchange prior Opening Process,8 and Re-Opening Currently, the Early Order Entry to the commencement of the Market Process 9 and a related modification to Session is described as a trading session Session. Further, not all exchanges offer the operation of the System in the event running from 6:00 a.m. to 7:00 a.m. a trading session equivalent to the Early of a trading halt; (ii) Rule 11.8 regarding during which certain types of orders Order Entry Session.20 For the reasons certain details applicable to Market could be submitted to and held by the 10 11 stated above, the Exchange does not Orders and Limit Orders; (iii) Rules Exchange but would not be executed.17 believe the removal of the Early Order 11.6 and 11.9 regarding the handling of Such orders would queue until the Entry Session is a significant departure orders with a Primary Peg instruction 12 beginning of the Pre-Market Session, at 13 from its originally proposed operations. or a Midpoint Peg instruction; (iv) 7:00 a.m., at which time they would be The Exchange proposes to further Rules 11.6 and 11.8 regarding the handled in time sequence, beginning simplify the operations of the Exchange removal of certain ‘‘default’’ with the order with the oldest by eliminating the Opening Process and instructions applicable to order types timestamp, and would be placed on the Re-Opening Process and making and order type instructions; and (v) MEMX Book,18 routed, cancelled, or conforming changes throughout the Rules 11.6, 11.8, 11.10 and 11.16 executed in accordance with the terms Exchange’s Rules. The Opening Process regarding the handling of orders with of the order. The Exchange is proposing is described in Rule 11.7, which sets certain attributes (i.e., Displayed to eliminate the Early Order Entry forth a variety of computations instruction,14 Non-Displayed Session by deleting such term from Rule performed by the Exchange beginning at 1.5(i) and removing the description of the start of the Market Session in order 7 As defined in Rule 1.5(i), the Early Order Entry the handling of orders during such to match orders on the Exchange at the Session is ‘‘the time between 6:00 a.m. and 7:00 trading session set forth in paragraphs midpoint of the national best bid and a.m. Eastern Time.’’ (a) and (a)(1) of Rule 11.1. As proposed, 8 As defined in Rule 1.5(t), the Opening Process offer (‘‘NBBO’’) following the opening of is ‘‘the computations performed by the System as rather than offering a pre-opening trading on the applicable primary listing defined in Rule 11.7, which begin at 9:30 a.m. queuing session, the Exchange would market (i.e., the ‘‘Opening Match’’ Eastern Time.’’ instead commence operations each day described in Rule 11.7(b)). Rule 11.7 9 As defined in Rule 1.5(cc), the Re-Opening beginning with the Pre-Market Session, further defines the types of orders Process is ‘‘a computation performed by the System which begins at 7:00 a.m. At the as defined in Rule 11.7(e) following a halt, eligible to participate in the Opening suspension or pause.’’ beginning of the Pre-Market Session, the Match, the methodology used by the 10 Market Orders are the first of three primary Exchange would begin accepting all Exchange to determine when to process order types offered by the Exchange. Market Orders orders that are eligible for the Pre- the Opening Match and the are described in Exchange Rule 11.8(a) and Market Session.19 In connection with generally defined as an order to buy or sell a stated methodology used by the Exchange to amount of a security that is to be executed at the these changes, the Exchange also re-open a security that is subject to a NBBO or better when the order reaches the proposes to amend Rule 1.5(k), which halt, suspension, or pause in trading. Exchange. presently defines Exchange Hours and The Exchange proposes to delete the 11 Limit Orders are the second of three primary Exchange Operating Hours as the time definitions of Opening Match, Opening order types offered by the Exchange. Limit Orders between 6:00 a.m. and 8:00 p.m. Eastern are described in Exchange Rule 11.8(b) and Process and Re-Opening Process generally defined as an order to buy or sell a stated contained in Rule 1.5(s), Rule 1.5(t) and amount of a security at a specified price or better. 15 A Non-Displayed instruction is an instruction Rule 1.5(cc), respectively, as well as 12 A Primary Peg instruction is an instruction that a User may attach to an order stating that the order Rule 11.7 in its entirety. Accordingly, may be placed on a Pegged Order that instructs the is not to be displayed by the System on the MEMX Exchange to peg the order to the NBB, for a buy Book. See Exchange Rule 11.6(c)(2). rather than using an Opening Process order, or the NBO, for a sell order. See Exchange 16 A Reserve Quantity is the portion of an order and opening the Market Session Rule 11.6(h)(1). Pegged Orders are the third of three that includes a Non-Displayed instruction in which following a match of eligible orders at primary order types offered by the Exchange. a portion of that order is also displayed on the the midpoint of the NBBO, the Pegged Orders are described in Exchange Rules MEMX Book. See Exchange Rule 11.6(k). 11.6(h) and 11.8(c). Pegged Orders are generally 17 See Rule 1.5(i) and Rule 11.1(a). Exchange would instead immediately defined as an order that automatically re-prices in 18 As defined in Rule 1.5(q), the MEMX Book is transition to the Market Session at 9:30 response to changes in the NBBO. the System’s electronic file of orders. 13 A Midpoint Peg instruction is an instruction 19 See Rule 11.8(a)(4), which specifies that Market 20 See, e.g., IEX Rule 11.110, which lists the that may be placed on a Pegged Order that instructs Orders are not eligible for any session other than trading sessions available on IEX as a Pre-Market the Exchange to peg the order to midpoint of the the Market Session. The Market Session is the time Session, a Regular Market Session and a Post- NBBO. See Exchange Rule 11.6(h)(2). between 9:30 a.m. and 4:00 p.m. Eastern Time. See Market Session, which would be equivalent to the 14 A Displayed instruction is an instruction a User also Rule 11.6(o)(5), which states that the TIF of three trading sessions offered by the Exchange. The may attach to an order stating that the order is to RHO is an instruction a User may attach to an order Exchange notes that its Pre-Market Session will be displayed by the System on the MEMX Book. See designating it for execution only during Regular begin one hour earlier than IEX, at 7:00 a.m. Eastern Exchange Rule 11.6(c)(1). Trading Hours. Time instead of 8:00 a.m. Eastern Time.
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a.m. Similarly, rather than using a Re- 11.6 and 11.8, as follows. First, the to the TIF instruction of IOC. This new Opening Process to match eligible Exchange proposes to remove language sentence would instead read that if a orders following a halt, suspension, or referring to the Opening Process and Re- Market Order is routed, any portion of pause in trading, the Exchange would Opening Process from Rule 11.6(o)(5), the Market Order not executed upon re-open and begin accepting and which describes the Time-in-Force return to the System after being routed processing orders when such halt, (‘‘TIF’’) of Regular Hours Only (‘‘RHO’’) to an away Trading Center will be suspension, or pause in trading has been as an order designated for execution cancelled. The Exchange proposes to lifted. only during Regular Trading Hours.21 further amend Rule 11.8(a)(5) by As noted above, the Exchange Second, the Exchange proposes to removing the reference to Market Orders believes these changes will reduce modify Rule 11.8(a)(1) by removing with a TIF instruction of IOC from the complexity with respect to the reference to the handling of a Market list of orders not eligible for routing. functionality used to open the Exchange Order with a TIF of RHO following an Second, the Exchange proposes to add each trading day and following a halt, Opening Process or Re-Opening Process. new provisions to the descriptions of suspension, or pause in trading. At least Third, the Exchange proposes to modify both Market Orders and Limit Orders upon its initial launch, the Exchange Rule 11.8(c) to remove a description of that state that if an order is received by does not anticipate having significant the System’s handling of a Pegged Order the System when the NBBO is not volume in either the Opening Process or with a Minimum Execution Quantity available then such order will be the Re-Opening Process. The Exchange instruction 22 during the Opening rejected back to the entering User. The instead anticipates that Users will Process. Without an Opening Process or applicable provision would be added as participate in the applicable opening Re-Opening Process, none of these Rule 11.8(a)(7) for Market Orders and processes and re-opening processes on details are necessary. Rule 11.8(b)(9) for Limit Orders.24 The other exchanges where they currently language is based on language participate today. For the reasons stated Market Order and Limit Order applicable to Pegged Orders set forth in above, the Exchange does not believe Functionality Rule 11.8(c)(7), which states that a the removal of the Opening Process or The Exchange also proposes minor Pegged Order received by the System Re-Opening Process is a significant changes to the current descriptions of when the NBBO is not available will be departure from its originally proposed Market Orders and Limit Orders as rejected or cancelled back to the operations. further described below. entering User. In connection with the changes First, the Exchange proposes to make described above, the Exchange proposes clear that a Market Order with a TIF of Orders With a Primary Peg Instruction to delete Rule 11.16(e)(6), which Immediate or Cancel (‘‘IOC’’) can be or Midpoint Peg Instruction describes the process to re-open routed away from the Exchange to The Exchange proposes to modify following a trading pause pursuant to another Trading Center 23 if the entering paragraphs (a)(2)(A) and (a)(2)(B) of the Limit Up-Limit Down Plan (‘‘LULD User instructs the Exchange Rule 11.9 to separate orders with a Plan’’) through a cross-reference to Rule accordingly. The Exchange’s current Primary Peg instruction and orders with 11.7(e) (as described above, the rules conflict on this point. Current Rule a Midpoint Peg instruction from a Exchange has proposed to delete such 11.8(a)(1) states that a Market Order priority perspective. The Exchange provision). In order to provide a general with a TIF instruction of IOC that is not currently has a single priority level for procedure for all types of trading halts, executed upon return to the System all Pegged Orders. The Exchange including but not limited to trading after being routed to an away Trading believes that separation of the two types pauses pursuant to the LULD Plan, the Center will be cancelled. However, of Pegged Orders will be more Exchange also proposes to amend Rule current Rule 11.8(a)(5) states that a consistent with other exchanges 25 and 11.16(f). Rule 11.16(f) currently states Market Order with a TIF instruction of that orders with a Primary Peg that when any trading halt occurs, IOC is not eligible for routing. The instruction should be afforded higher except where a User has designated that Exchange proposes to modify Rule priority than orders with a Midpoint Peg its orders be cancelled, all outstanding 11.8(a)(1) by removing the sentence instruction because a Pegged Order with orders in the System will remain on the related to routed orders with an IOC a Primary Peg instruction is a more MEMX Book. The Exchange proposes to instruction and relocating it to Rule aggressive order type. For an order with amend this Rule first by removing the 11.8(a)(5), which relates to routing a Primary Peg instruction to be resting optionality of the functionality (i.e., generally, but without direct reference at the same price as an order with a orders remain unless a User chooses to Midpoint Peg instruction the order with have them cancelled) and instead 21 The Exchange also proposes to update the a Primary Peg instruction must have an cancelling all orders on the MEMX Book description of the RHO TIF to more closely mirror aggressive offset; depending on other TIF instructions, such as the Day TIF in the event of any trading halt, instruction, and make clear that an order with a TIF subsequent price movements, such an including a trading pause pursuant to of RHO will expire at the end of Regular Trading order with a Primary Peg instruction the LULD Plan. Thus, as amended, in Hours if not executed. Further, the Exchange might provide price improvement from the event of any trading halt, all orders proposes to expressly state in Rule 11.6(o)(5) that the applicable quote to which it is any order with a TIF instruction of RHO entered pegged of a full penny or multiple will be cancelled. Further, the Exchange into the System before the opening or after the proposes to add language to Rule closing of Regular Trading Hours will be rejected. pennies whereas a Midpoint Peg can 11.16(f) to state that the Exchange will 22 The Minimum Execution Quantity instruction provide such price improvement under not accept any orders during a halt, is described in Rule 11.6(f) and is generally defined suspension, or pause in trading, and as an instruction a User may attach to an order with 24 Due to the addition of new paragraph (b)(9) to a Non-Displayed instruction or a Time-in-Force of Rule 11.8, the Exchange proposes to re-number that it will begin accepting orders again Immediate-or-Cancel instruction requiring the subsequent paragraphs of Rule 11.8(b). when the halt, suspension, or pause in System to execute the order only to the extent that 25 See, e.g., Cboe BZX Rule 11.12(a)(2), which trading has ended. a minimum quantity can be satisfied. places Non-Displayed Pegged Orders above Mid- In connection with the elimination of 23 As defined in Rule 11.6(p), the term Trading Point Peg Orders in the priority list; see also Cboe the Opening Process and Re-Opening Center includes other securities exchanges, EDGX Rule 11.9(a)(2)(B), which places Orders with facilities of securities exchanges, automated trading a Pegged instruction above MidPoint Peg Orders in Process the Exchange proposes systems, electronic communications networks or the priority list when both orders are at the additional conforming changes in Rules other brokers or dealers. midpoint of the NBBO.
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certain circumstances but also may be description of the Midpoint Peg • Rule 11.6(j)(2)(A) with respect to executed in smaller increments of instruction does explicitly address the Re-Pricing Instructions to Comply with $0.005. The Exchange is seeking to inclusion of a limit price on such an Rule 201 of Regulation SHO (‘‘Short reward more aggressive order types, order and such inclusion is permitted, Sale Price Sliding’’)—rather than even when not displayed, because such the Exchange believes that expressly defaulting to Short Sale Price Sliding order types provide price improvement stating that a limit price is not permitted that only reprices an order one time to incoming orders and thus promote for an order with a Primary Peg following initial placement on the the operation of a fair and orderly instruction would help to avoid MEMX Book, a User will need to select market. potential confusion with the Exchange’s either single or multiple Short Sale In addition to the change described Rules. Price Sliding; 30 above, the Exchange proposes two • Rule 11.6(k)(1)(A) with respect to minor changes to the description of the Removal of References to Default the Random Replenishment instruction Primary Peg instruction set forth in Rule Instructions for orders with a Reserve Quantity 11.6(h)(1). First, the current rule states Next, the Exchange proposes to instruction—rather than defaulting to that a User may, but is not required to, eliminate references throughout its the immediate re-load of an order with select an offset equal to or greater than Rules 11.6 and 11.8 to certain ‘‘default’’ a Random Replenishment instruction, a one Minimum Price Variation 26 above instructions. As currently drafted, such User will need to either select or below the NBB or NBO that the order default instructions are instructions that immediate replenishment or to have the is pegged to (‘‘Primary Offset Amount’’). the Exchange will infer with respect to time interval of such re-load randomly The Exchange proposes to limit the certain order types and order type set by the Exchange; Primary Offset Amount to a $0.01 instructions to the extent an order does • Rule 11.8(a)(1) with respect to the minimum. While the Minimum Price not specify such details on the order. TIF instruction for a Market Order— Variation for securities priced below The Exchange has determined not to rather than defaulting to a TIF $1.00 is an increment of $0.0001, the offer default settings for most order instruction of Day, a User will need to Exchange does not believe that orders types and order type instructions, but select the applicable TIF instruction; 31 with a Primary Peg instruction will be rather, will require a User to specify • Rule 11.8(b)(1) with respect to the commonly used in securities priced attributes on an order when entered. TIF instruction for a Limit Order— below $1.00 or that allowing a more The Exchange notes that its technical rather than defaulting to a TIF granular offset is necessary when the specifications delineate the required instruction of Day, a User will need to Exchange could instead simplify its fields for entering orders into the select the applicable TIF instruction; System’s operation. The Exchange notes Exchange as well as the applicable • Rule 11.8(b)(3) with respect to the that Users that wish to submit orders options for such fields.28 Accordingly, display instruction for a Limit Order— with a Primary Peg instruction in a the Exchange proposes to delete the rather than defaulting to a Limit Order security priced below $1.00 can still following references to default settings: with a Displayed instruction, a User submit such an order with an offset in • Rule 11.6(c)(1) with respect to may include either a Displayed an increment of $0.01. If such an offset display instructions—rather than instruction or a Non-Displayed is not sufficiently granular to meet the defaulting to a Displayed instruction, a instruction; 32 needs of a particular User, such User User will need to designate an order would be able to submit priced Limit with either a Displayed or Non- price sliding process’’, and proposes to expressly Orders in the standard MPV for a Displayed instruction; state that a User that submits an order with a • Rule 11.6(j)(1)(A)(iii) with respect Display-Price Sliding instruction must select either security priced below $1.00 (i.e., in an single or multiple price sliding. The Exchange also increment of $0.0001). The Exchange to Display-Price Sliding—rather than proposes to eliminate the word ‘‘optional’’ from notes that it already maintains other defaulting to Display-Price Sliding that both Rule 11.6(j)(1)(A)(iii) and Rule 11.16(e)(5)(B)(i) exceptions for securities trading below only reprices an order one time when referring to the multiple price sliding process, following initial placement on the as both the single price sliding process and the $1.00 to maintain the simplicity of the multiple price sliding process are ‘‘optional’’, and System.27 Second, the Exchange MEMX Book, a User will need to select thus, the reference could be confusing. 29 proposes to make clear that a User either single or multiple price sliding; 30 Consistent with the proposed changes to Rule submitting a Pegged Order with a 11.6(j)(1)(A)(iii) discussed immediately above, the Primary Peg instruction may not include 28 While the Exchange is removing most Exchange proposes to expressly state that a User references to default instructions, the Exchange that submits an order with a short sale re-pricing a limit price on such order. This notes that its specifications, in order to align with instruction must select either single or multiple limitation is already implied, as there is current industry protocols, do permit some fields to price sliding. The Exchange proposes to use this no language permitting the inclusion of be left blank without rejecting an order. See infra terminology throughout Rule 11.6(j)(2)(A) to a limit price (and instead the Rule notes 32 and 34–36. While the Exchange may describe the two different options for short sale re- require certain fields to be completed on all orders pricing. permits inclusion of an offset, as at some point in the future following proper notice 31 In connection with this change, the Exchange described above). However, since the to Members and an update to its specifications, proposes to use language consistent with that used standard industry protocols (i.e., the FIX protocol) with respect to the TIF options for a Limit Order, 26 The Minimum Price Variation is defined in currently dictate the Exchange’s implementation as set forth in Rule 11.8(b)(1), as amended. Rule 11.6(g) and provides the minimum increments with respect to the certain instructions. The Specifically, the Exchange proposes to state that a for bids, offers, or orders in securities traded on the Exchange also notes that many of the defaults the Market order ‘‘must have one of the following TIF Exchange. Exchange is removing involve an optional instructions’’, followed by a list of the possible 27 See, e.g., Rule 11.6(l)(2), which provides that functionality that, in turn, has multiple variations. instructions. orders with a Post Only instruction priced below For instance, while the Exchange does not require 32 The Exchange notes that, as set forth in its $1.00 will remove liquidity if there is contra-side a User to submit an order with Reserve Quantity specifications, Limit Orders without a Displayed liquidity (i.e., the Post Only instruction is and thus, a User could leave all relevant fields instruction or Non-Displayed instruction will not be effectively inapplicable). The Exchange also notes blank, if a User does submit an order with a Reserve rejected but instead, will be accepted and handled that other exchanges appear to offer offsets in $0.01 Quantity then the User must complete all of the in accordance with other instructions on the increments. See, e.g., NYSE Pillar Gateway FIX fields relevant to the handling of an order with applicable order. For instance, a Limit Order with Protocol Specification, at pages 24–25, specifying Reserve Quantity, as described below. a Minimum Quantity instruction but no display the limit for a Market Peg order offset to a ‘‘multiple 29 The Exchange notes that it proposes to add the instruction will be treated as an order with a Non- of .01’’; available at: https://www.nyse.com/ phrase ‘‘single price sliding process’’ to Rule Displayed instruction whereas a Limit Order with publicdocs/NYSE_Pillar_Gateway_FIX_Protocol_ 11.6(j)(1)(A)(iii) to be consistent with an existing no other special handling instructions will be Specification.pdf. reference in such Rule to the Exchange’s ‘‘multiple treated as an order with a Displayed instruction.
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• Rule 11.8(b)(4) with respect to the Handling of Orders With Displayed, still maintain the same priority on the replenishment instruction for a Limit Non-Displayed and Reserve Quantity order book vis-a`-vis other orders as it Order with a Reserve Quantity—rather Instructions in Specific Situations would if the Reserve Quantity did not than defaulting to a Fixed Finally, the Exchange proposes to receive a new timestamp. Even if there Replenishment instruction, a User will modify the behavior of orders with are multiple orders with a Reserve Quantity at the same price on the same need to select the applicable certain instructions in the situations 33 side and in the same security, the replenishment instruction; specified below. • Exchange believes it is fair to allow such Rule 11.8(b)(5) with respect to the Orders With a Reserve Quantity When orders to lose and regain queue position TIF instruction for a Limit Order with Replenished as they are each individually an Intermarket Sweep Order Current Rule 11.9(a)(6) states that the replenished. As set forth in current Rule instruction—rather than defaulting to a 11.9(a)(2), the Reserve Quantity of Limit TIF instruction of Day, a User will need Reserve Quantity of an order retains its original timestamp but the Exchange has Orders is always last in the Exchange’s to select the applicable TIF instruction; determined that the most efficient way priority list, and thus Reserve Quantity • Rule 11.8(b)(10) with respect to the to update orders with a Reserve is least likely to be executed at any given time. As such, a User primarily election of a Display-Price Sliding Quantity when replenishing the concerned with queue position could instruction for a Limit Order—rather displayed portion is to handle such instead send any other type of order and than defaulting to a Display-Price orders as new orders, which will result receive a higher position in the Sliding instruction, a User may select in the displayed portion and the Reserve Exchange’s priority queue than the either Display-Price Sliding (either Quantity each receiving a new Reserve Quantity of such order will single or multiple) or Cancel Back; 34 timestamp and being placed back on the receive. • Rule 11.8(b)(11) with respect to the MEMX Book. Accordingly, the election of a Short Sale Price Sliding Exchange proposes to amend Rule Orders With a Non-Displayed Instruction at Prices That Cross External instruction for a Limit Order—rather 11.9(a)(6) to state that the Reserve Quantity of an order receives a new Quotations than defaulting to a Short Sale Price timestamp for the displayed portion as Sliding instruction, a User will need to Exchange Rule 11.10(a)(2) currently well as the Reserve Quantity of an order select either Short Sale Price Sliding states that to the extent an order with a each time it is replenished. The Non-Displayed instruction is resting on (either single or multiple) or Cancel Exchange notes that this functionality is Back; 35 the MEMX Book, such order will be identical to the functionality offered by cancelled if an incoming contra-side • Rule 11.8(c)(3) with respect to the Cboe EDGX Exchange, Inc., which also order that is eligible for display on the description of the display instruction of assigns a new timestamp to both the MEMX Book is entered and such a Pegged Order—rather than defaulting displayed portion and Reserve Quantity incoming order would execute against to a Non-Displayed instruction, the each time an order is replenished.37 In the resting order with a Non-Displayed Exchange proposes to simply state that connection with this change, the instruction at a price that would a Pegged Order is not eligible to have a Exchange proposes to make clear in constitute a trade-through of a Protected Displayed instruction.36 Rule 11.6(k)(1) that when the System Quotation 38 displayed on another replenishes the displayed quantity of an None of the changes proposed above trading center. Thus, according to the order with a Reserve Quantity, the order alter the behavior of the System other Exchange’s current Rules, the Exchange will be handled by the System as a new would maintain orders with a Non- than requiring applicable fields of an order. Rule 11.6(k) already states that a Displayed instruction on its order book order to be specified rather than new order identification number will be that cross the prices displayed on other defaulting to certain attributes or created each time a displayed quantity trading centers unless and until instructions to the extent such fields are is replenished but the Exchange believes execution of such an order would result left blank. it is important to also explicitly state in a trade-through.39 The Exchange’s that the order will be handled as a new original proposal in this regard was 33 The Exchange also proposes to make clear in order given the implementation by the made to reduce cancellations of orders Rule 11.8(b)(4) that a Reserve Quantity will not be displayed by the System. While this is already clear Exchange of the behavior necessary to with Non-Displayed instructions to the from Rule 11.6(k), the Exchange believes that it is replenish orders with a Reserve extent such orders would ultimately be helpful to re-iterate in Rule 11.8(b)(4). Quantity. again executable based on changes to 34 The Exchange notes that, as set forth in its The proposed change to provide new the NBBO. However, as described specifications, Limit Orders without a Display-Price timestamps to both the displayed below, the Exchange now proposes to Sliding or Cancel Back instruction will be accepted by the Exchange, however, if a User wishes to use portion and the Reserve Quantity of an instead cancel an order with a Non- the Exchange’s Display-Price Sliding functionality, order when an order is replenished is Displayed instruction as soon as it is such User will need to indicate such election on its intended to simplify the operation of the resting at a price that would be a trade- orders and will need to specify the type of Display- Exchange and does allow for fair Price Sliding (either single or multiple). 38 As set forth in Rule 1.5(z), a Protected 35 The Exchange notes that, as set forth in its treatment of orders with Reserve Quantity for the following reasons. The Quotation is a quotation that is a Protected Bid or specifications, Limit Orders without a Short Sale Protected Offer. In turn, a Protected Bid or Price Sliding or Cancel Back instruction will be Exchange believes it will be rare for Protected Offer is a bid or offer in a stock that is accepted by the Exchange, however, if a User there to be multiple orders with a (i) displayed by an automated trading center; (ii) wishes to use the Exchange’s Short Sale Price Reserve Quantity at the same price on disseminated pursuant to an effective national Sliding functionality, such User will need to market system plan; and (iii) an automated indicate such election on its orders and will need the same side and in the same security, quotation that is the best bid or best offer of a to specify the type of Short Sale Price Sliding in which case, the proposed change will national securities exchange or association. (either single or multiple). not impact the handling of an order 39 The Exchange notes that when an order is not 36 The Exchange notes that, as set forth in its with a Reserve Quantity—i.e., although displayed, ranking such an order at a crossing price specifications, Pegged Orders without a Displayed is permissible, however, execution of an order at instruction or Non-Displayed instruction will not be it will receive a new timestamp, it will such a price is generally not permissible as it would rejected but instead, will be accepted and handled constitute a trade-through of the Protected as orders with a Non-Displayed instruction. 37 See Cboe EDGX Rule 11.9(a)(6). Quotation that the order crosses.
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through of a Protected Quotation—i.e., exists, the Exchange does not believe a have been re-priced due to applicable as soon as it is at a crossing price. The Pegged Order received at a price that LULD price bands, i.e., placing such Exchange proposes to remove the would cross a Protected Quotation orders in front of orders that were existing language from Rule 11.10(a)(2) should be placed on the MEMX Book. originally less aggressively priced. The regarding cancellation of an order when Exchange believes that the System Orders With a Non-Displayed it would be a trade-through and to behavior necessary to achieve this result Instruction Subject to Rule 201 of modify Rules 11.8(b), regarding Limit is unnecessarily complicated as Regulation SHO Orders and Rule 11.8(c), regarding compared to the benefit received from Pegged Orders, as described below. Under the Exchange’s current rules as adopting such behavior. The Exchange The Exchange proposes adopting new further amended by the proposals does not believe that market paragraph (b)(8) regarding Limit Orders described above, the Exchange does not participants utilize LULD price bands, to address the handling of orders with generally offer functionality that moves and placement of orders at or near such a Non-Displayed instruction received or orders with a Non-Displayed instruction bands, as an opportunity to achieve resting on the MEMX Book when the to a permissible price, instead opting to queue position under normal Limit Price on such orders crosses the cancel such orders back to the entering conditions. Rather, the Exchange price of a Protected Quotation of Users if the orders with a Non- believes that orders resting at or near another Trading Center. Proposed Displayed instruction would be ranked applicable price bands and the re- paragraph (b)(8), titled Crossed Market, or are ranked at impermissible prices. pricing of orders priced through such would state that to the extent an Consistent with this approach, rather price bands is evidence of unusual incoming Limit Order with a Non- than re-pricing to a permissible price, conditions and that the Exchange’s Displayed instruction would be a the Exchange proposes to modify Rule functionality should be focused on Crossing Quotation if displayed at its 11.6(j)(2)(A) to state that in the event the reducing risk in handling such limit price, such order will execute NBB changes such that the price of an situations. The Exchange also notes that against interest in the MEMX Book at order with a Non-Displayed instruction other exchanges have adopted similar prices up to and including the Locking subject to Rule 201 of Regulation SHO order handling that would provide new Price and will then be cancelled by the would be a Locking Quotation or timestamps to orders that are re- System. Proposed paragraph (b)(8) Crossing Quotation, the order will be priced.42 would also state that a resting Limit cancelled. While many other exchanges As noted in the sub-section Order with a Non-Displayed instruction do offer re-pricing for non-displayed immediately above, under the that would be a Crossing Quotation if interest that, if executed, would be a Exchange’s current rules (as further displayed at the price at which it is violation of Regulation SHO, the amended by the proposals described ranked will be cancelled by the Exchange does not believe it is required above), the Exchange does not generally System.40 to do so and that, instead, cancellation offer functionality that moves orders Similarly, the Exchange proposes to of resting hidden interest is an equally with a Non-Displayed instruction to a modify existing paragraph (c)(6) of Rule permissible implementation in order to permissible price, instead opting to 11.8, which provides information ensure that the Exchange does not cancel such orders back to the entering regarding the handling of Pegged Orders execute orders at prices prohibited by Users if the orders with a Non- when the market is locked or crossed. Rule 201 of Regulation SHO. The Displayed instruction would be booked Current paragraph (c)(6) addresses the Exchange notes other exchanges do or are resting at impermissible prices. handling of Pegged Orders resting on cancel resting non-displayed interest The Exchange proposes to also adopt the MEMX Book when a Locking or under the same circumstances to the this logic in the context of the Crossing Quotation exists and makes extent members of such exchanges have Exchange’s order handling to comply clear that such orders are not executable submitted orders that are ineligible for with the LULD Plan (‘‘LULD repricing’’). at such times but again become eligible applicable price sliding functionality.41 Specifically, the Exchange proposes to for execution when a Locking or Orders Priced Through Limit Up-Limit modify Rule 11.16(e)(5)(B)(i) to make a Crossing Quotation no longer exists. The Down (‘‘LULD’’) Bands clear distinction between orders with a Exchange proposes to add language Displayed instruction, which will The Exchange proposes to make three making clear that this behavior applies continue to be eligible for LULD re- changes to the description of orders that to orders resting on the MEMX Book pricing, and orders with a Non- are priced through applicable price and to add a provision addressing the Displayed instruction or a portion of the bands under the LULD Plan. First, the handling of Pegged Orders that would order that is not displayed on the Exchange further proposes to modify be a Crossing Quotation when initially Exchange (i.e., orders with a Reserve Rule 11.16(e)(5) to state that orders that received by the Exchange. Similar to the Quantity), which will not be eligible for are repriced by the Exchange due to handling of Limit Orders with a Non- LULD re-pricing. The Exchange applicable LULD price bands will have Displayed instruction, the Exchange proposes to cancel orders resting on the priority behind resting interest that was proposes to execute interest to the MEMX Book with a Non-Displayed originally less aggressively priced but extent permissible upon receipt of a instruction or a Reserve Quantity that that was not re-priced, as such orders are ranked at prices more aggressive Pegged Order up to and including the will retain their original timestamps. Locking Price but then to cancel such than the applicable LULD price bands. The Exchange originally proposed to The Exchange believes this will further order. In contrast to a Pegged Order that maintain price priority for orders that is already on the MEMX Book at a simplify the System and that the change permissible price that is subsequently is consistent with the general principle 41 See, e.g., Cboe Exchange Regulation SHO of cancelling non-displayed interest locked or crossed, which the Exchange Amendment FAQ, available at https:// proposes to allow to rest in a non- cdn.cboe.com/resources/membership/BATS_ _ _ _ _ 42 executable state while such condition Exchange Regulation SHO Amendment FAQ.pdf See, e.g., IEX Rule 11.280(e)(5), which states (stating that if price sliding is disabled a resting that resting orders that are re-priced due to hidden short sale order will be cancelled ‘‘when a applicable price bands receive new timestamps (but 40 Due to the addition of new paragraph (b)(8) to short sale circuit breaker goes into effect and the does not say that resting orders that are not re- Rule 11.8, the Exchange proposes to re-number hidden order locks or crosses the prohibited bid priced also receive new timestamps); see also subsequent paragraphs of Rule 11.8(b). price’’). Nasdaq PSX Rule 3100(a)(2)(E).
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resting on the Exchange at able to enter orders into the Exchange below $1.00 or that allowing a more impermissible prices. prior to the commencement of the granular offset is necessary when the Market Session. Further, not all Exchange could instead simplify its 2. Statutory Basis exchanges offer a trading session System’s operation. The Exchange notes The Exchange believes that the equivalent to the Early Order Entry that Users that wish to submit orders proposed rule change is consistent with Session.45 The Exchange also believes with a Primary Peg instruction in a the provisions of Section 6(b)(5) of the that the minor proposed amendments to security priced below $1.00 can still Act,43 which require, among other make conforming changes to other submit such an order with an offset in things, that the Exchange’s rules must Exchange Rules that reference the an increment of $0.01. If such an offset be designed to prevent fraudulent and deleted functionality will contribute to is not sufficiently granular to meet the manipulative acts and practices, to the protection of investors and the needs of a particular User, such User promote just and equitable principles of public interest by making the would be able to submit its own priced trade, and, in general, to protect Exchange’s rules easier to understand. Limit Orders in the standard MPV for a investors and the public interest, and The Exchange also believes that the security priced below $1.00 (i.e., in an Section 6(b)(8) of the Act,44 which clarifying changes to the descriptions of increment of $0.0001). The Exchange requires that the Exchange’s rules not Market Orders and Limit Orders are also notes that it already maintains impose any burden on competition that necessary and consistent with the Act in other exceptions for securities trading is not necessary or appropriate. The that they provide additional clarity by below $1.00 to maintain the simplicity proposed changes are generally correcting the ambiguity in Exchange of the System and that other exchanges intended to simplify the operation of the Rules that is already present with offer offsets in $0.01 increments.47 System, to align the System with respect to routing of Market Orders with The Exchange’s proposal to remove functionality offered on other a TIF of IOC or add protections to the certain default instructions under which exchanges, or to make clear certain operation of the Exchange so that the the Exchange would assume aspects of the operation of the System Exchange is not accepting or processing instructions for order entry fields that that are not clear based on the orders (of any type) when there is no have not been completed does not Exchange’s current Rules. NBBO. The Exchange believes that the change any of the actual functionality of As noted above, removal of the Early absence of an NBBO may be indicative the Exchange once orders are received, Order Entry Session and Opening of a potential market problem. Further, but rather, modifies the order entry Process will reduce complexity with without an NBBO, many of the protocols required by the Exchange. As respect to the functionality used to open protections in place for the protection of proposed, all Users will need to the Exchange each trading day. investors would be absent, and thus the complete most applicable order entry Similarly, cancelling orders in the event Exchange believes that, at least in fields when sending an order to the of a trading halt, not accepting orders connection with the launch of the Exchange, rather than some fields during a trading halt and removing the Exchange, it should not accept orders carrying particular meaning if such Re-Opening Process will simplify the when there is no available NBBO in the fields are left blank. The Exchange functionality used by the Exchange to applicable security. Thus, the Exchange believes that requiring most fields to be re-open the market following a trading believes the proposed changes in this completed by a User rather than halt. The Exchange does not anticipate regard would promote just and equitable applying Exchange-determined defaults having significant volume that would be principles of trade, and, in general, to these fields will also simplify the submitted during the Early Order Entry would protect investors and the public System and will help to ensure that Session nor does the Exchange interest. Users have instructed the Exchange anticipate having significant volume The proposed change to the with respect to order handling in a that would match in its Opening Match Exchange’s priority rule, Rule 11.9, to manner that directly matches their or the corresponding match for the Re- separate orders with a Primary Peg intention. As these changes do not alter Opening Process. Thus, allowing orders instruction and orders with a Midpoint the ultimate handling of orders with to queue at the beginning of the day Peg instruction and to afford a higher respect to matching engine handling, through the Early Order Entry Session priority to orders with a Primary Peg execution or other processing by the or leading up to the open of the Market instruction, are based on the rules of Exchange, and instead provide Users Session or allowing orders to remain on another exchange 46 and are intended to with more control and engagement with the Exchange during a trading halt provide higher priority to orders with a respect to their order handling, the would complicate the market without Primary Peg instruction, which are more Exchange believes such changes much meaningful benefit, and instead aggressive orders than orders with a promote just and equitable principles of the Exchange believes simplification of Midpoint Peg instruction, as described trade, and, in general, protect investors its System would be better, at least in above. The Exchange is seeking to and the public interest. connection with the initial launch of the reward more aggressive order types, The Exchange believes that its Exchange. The Exchange believes that even when not displayed, because such handling of an order with a Reserve these changes would foster cooperation order types provide price improvement Quantity as a new order when and coordination with persons engaged to incoming orders and thus promote replenishing the displayed portion of in facilitating transactions in securities the operation of a fair and orderly such an order is the most efficient way and would remove impediments to and market and protect investors and the to operate the System. Also, the perfect the mechanism of a free and public interest. With respect to the Exchange’s proposal to provide a new open market and a national market limitation of the offset for Primary Peg timestamp to both the displayed portion system. With respect to the Early Order Orders to an increment of $0.01, the and the Reserve Quantity is based on Entry Session, the Exchange also notes Exchange does not believe that orders the rules of another exchange.48 As that the Exchange will still offer the Pre- with a Primary Peg instruction will be described above, the Exchange believes Market Session, and thus, Users will be commonly used in securities priced that it will be rare for there to be
43 15 U.S.C. 78f(b)(6). 45 See supra note 20. 47 See supra note 27. 44 15 U.S.C. 78f(b)(8). 46 See supra note 25. 48 See supra note 37.
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multiple orders with a Reserve Quantity is consistent with the general principle platform with minor changes to the at the same price on the same side and of cancelling non-displayed interest implementation of certain Exchange in the same security, in which case, the resting on the Exchange at operations, but without major proposed change will not impact the impermissible prices. distinction from its proposed Rules or handling of an order with a Reserve The Exchange’s Rules on each of the the rules of other national securities Quantity. Even if there are multiple points described above would have exchanges already in operation today. orders with a Reserve Quantity at the allowed additional interest to remain on Thus, the Exchange believes this same price on the same side and in the the Exchange’s book for potential proposed rule change is necessary to same security, the Exchange believes it execution depending on later events. permit fair competition among national is fair to allow such orders to lose and However, by instead cancelling such securities exchanges. In addition, the regain queue position as they are each orders in each of the scenarios described Exchange believes the proposed rule individually replenished. The Exchange above the Exchange will further change will benefit Exchange also reiterates that the Reserve Quantity simplify and reduce risk in connection participants in that the changes will of Limit Orders is always last in the with the operation of the System. Users reduce complexity of the System and/or Exchange’s priority list, and thus the who have their orders cancelled will the Exchange’s Rules. purpose of such Reserve Quantity is not receive immediate notification of such C. Self-Regulatory Organization’s to achieve the highest possible queue event and will be able to determine the Statement on Comments on the position, but instead, to have sufficient best way to re-enter their interest onto Proposed Rule Change Received From interest that can be replenished and the Exchange if they choose to do so. Members, Participants, or Others displayed by the Exchange. Based on Thus, the Exchange also believes the the foregoing, the Exchange believes proposal promotes just and equitable The Exchange neither solicited nor that these changes would foster principles of trade, and, in general, received comments on the proposed cooperation and coordination with protects investors and the public rule change. persons engaged in facilitating interest. III. Date of Effectiveness of the Finally, as proposed the Exchange transactions in securities and would Proposed Rule Change and Timing for will not seek to maintain price priority remove impediments to and perfect the Commission Action mechanism of a free and open market for orders that have been re-priced due and a national market system. to applicable LULD price bands or re- Because the foregoing proposed rule The Exchange’s proposal to reject on price orders with a Non-Displayed change does not: entry any order with a Non-Displayed instruction or Reserve Quantity to A. Significantly affect the protection instruction or any Pegged Order or to permissible prices when such orders are of investors or the public interest; cancel any order with a Non-Displayed priced through a LULD price band. As B. impose any significant burden on instruction when an order is resting at noted above, the Exchange believes that competition; and C. become operative for 30 days from a crossing price is consistent with orders resting at or near applicable price the date on which it was filed, or such Regulation NMS, particularly Rule 611 bands and the re-pricing of orders shorter time as the Commission may thereof,49 which would prohibit priced through such price bands is designate, it has become effective execution of orders with a Non- evidence of unusual conditions and that pursuant to Section 19(b)(3)(A) of the Displayed instruction on the Exchange the Exchange’s functionality should be Act 52 and Rule 19b–4(f)(6) 53 as an impermissible trade-through to the focused on reducing risk in handling thereunder. At any time within 60 days extent a Protected Quotation was being such situations. This change does of the filing of the proposed rule change, displayed by another market at a reduce the complexity of the System in the Commission summarily may crossing price. The Exchange also notes connection with LULD repricing and temporarily suspend such rule change if that its proposal is consistent with the thus, the Exchange believes the proposal it appears to the Commission that such Exchange’s current Rules, which would promotes just and equitable principles action is necessary or appropriate in the provide such cancellation if the of trade, and, in general, protects public interest, for the protection of Exchange received an incoming order investors and the public interest. The investors, or otherwise in furtherance of and sought to execute against orders Exchange also notes that other the purposes of the Act. If the resting at a price that crosses a Protected exchanges have adopted similar order Commission takes such action, the Quotation. The Exchange has also handling that would provide new Commission will institute proceedings proposed to cancel resting orders with timestamps to orders that are re- to determine whether the proposed rule a Short Sale instruction and Non- priced.51 change should be approved or Displayed instruction if such order is B. Self-Regulatory Organization’s disapproved. subject to Rule 201 of Regulation SHO,50 Statement on Burden on Competition and would lock or cross the price of the IV. Solicitation of Comments The Exchange does not believe that NBB. This change is consistent with Interested persons are invited to the proposed rule change will result in Rule 201’s prohibition of executing an submit written data, views, and any burden on competition that is not order with a Short Sale instruction at arguments concerning the foregoing, necessary or appropriate in furtherance the price of the NBB. The Exchange has including whether the proposed rule also proposed to cancel rather than re- of the purposes of the Act. The change is consistent with the Act. price any resting interest with a Non- Exchange reiterates that the proposed Comments may be submitted by any of Displayed instruction or a Reserve rule change is being proposed in the the following methods: Quantity to the extent such interest is context of the launch of the Exchange resting at a price that is through the and focuses on changes to the proposed Electronic Comments applicable LULD price bands. The operation of the Exchange that further • Use the Commission’s internet Exchange believes this will further reduce complexity of the System and/or comment form (http://www.sec.gov/ simplify the System and that the change the Exchange’s Rules. The changes will rules/sro.shtml); or allow the Exchange to launch its 49 17 CFR 242.611. 52 15 U.S.C. 78s(b)(3)(A). 50 17 CFR 242.201. 51 See supra note 42. 53 17 CFR 240.19b–4.
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• Send an email to rule-comments@ SECURITIES AND EXCHANGE application. The complete application sec.gov. Please include File Number SR– COMMISSION may be obtained via the Commission’s website by searching for the file MEMX–2020–04 on the subject line. [Investment Company Act Release No. 33972; 812–15095] number, or for an applicant using the Paper Comments Company name box, at http:// • Send paper comments in triplicate Owl Rock Capital Corporation II, et al. www.sec.gov/search/search.htm or by calling (202) 551–8090. to Secretary, Securities and Exchange August 17, 2020. Commission, 100 F Street NE, AGENCY: Securities and Exchange Applicants’ Representations Washington, DC 20549–1090. Commission (‘‘Commission’’). 1. The Current Fund is a Maryland All submissions should refer to File ACTION: Notice of an application under corporation that is an externally Number SR–MEMX–2020–04. This file Section 6(c) of the Investment Company managed, closed-end management number should be included on the Act of 1940 (the ‘‘Act’’) for an investment company and that has subject line if email is used. To help the exemption from Sections 18(a)(2), 18(c), elected to be regulated as a BDC under Commission process and review your 18(i) and Section 61(a) of the Act. the Act.1 The Current Fund’s comments more efficiently, please use investment objective is to generate Summary of Application: Applicants current income and, to a lesser extent, only one method. The Commission will request an order to permit certain post all comments on the Commission’s capital appreciation. closed-end management investment 2. ORCIC is a newly-formed Maryland internet website (http://www.sec.gov/ companies that have elected to be rules/sro.shtml). Copies of the corporation that is expected to be an regulated as business development externally managed, closed-end submission, all subsequent companies (‘‘BDCs’’) to issue multiple management investment company and amendments, all written statements classes of shares with varying sales that intends to elect to be regulated as with respect to the proposed rule loads and asset-based service and/or a BDC under the Act. Prior to relying on change that are filed with the distribution fees. the relief requested in its application, Commission, and all written Applicants: Owl Rock Capital ORCIC will have filed an election to be communications relating to the Corporation II (the ‘‘Current Fund’’), regulated as a BDC under the Act. It is proposed rule change between the Owl Rock Core Income Corp. (‘‘ORCIC’’) expected that ORCIC’s investment Commission and any person, other than and Owl Rock Capital Advisors LLC (the objective will be to generate current those that may be withheld from the ‘‘Investment Adviser’’). income and, to a lesser extent, capital public in accordance with the DATES: The application was filed on appreciation by targeting investment provisions of 5 U.S.C. 552, will be February 14, 2020 and amended on May opportunities with favorable risk- available for website viewing and 29, 2020 and June 30, 2020. adjusted returns. printing in the Commission’s Public Hearing or Notification of Hearing: An 3. The Investment Adviser is Reference Room, 100 F Street NE, order granting the requested relief will registered as an investment adviser Washington, DC 20549 on official be issued unless the Commission orders under the Investment Advisers Act of business days between the hours of a hearing. Interested persons may 1940 and serves as investment adviser 10:00 a.m. and 3:00 p.m. Copies of the request a hearing by emailing the to the Current Fund. The Investment filing also will be available for Commission’s Secretary at Secretarys- Adviser is also expected to serve as the inspection and copying at the principal [email protected] and serving applicants investment adviser to ORCIC. office of the Exchange. All comments with a copy of the request by email. 4. Applicants seek an order to permit Hearing requests should be received by received will be posted without change. the Funds (defined below) to offer the Commission by 5:30 p.m. on Persons submitting comments are investors multiple classes of shares, September 11, 2020 and should be cautioned that we do not redact or edit interests or units of beneficial interest, accompanied by proof of service on the as the case may be (‘‘Shares’’), with personal identifying information from applicants, in the form of an affidavit, comment submissions; the Commission varying sales loads and asset-based or, for lawyers, a certificate of service. service and/or distribution fees. does not edit personal identifying Pursuant to Rule 0–5 under the Act, 5. Applicants request that the order information from submissions. You hearing requests should state the nature also apply to any continuously offered should submit only information that of the writer’s interest, any facts bearing registered closed-end management you wish to make available publicly. upon the desirability of a hearing on the investment company that elects to be All submissions should refer to File matter, the reason for the request, and regulated as a BDC that has been Number SR–MEMX–2020–04 and the issues contested. Persons who wish previously organized or that may be should be submitted on or before to be notified of a hearing may request organized in the future for which the September 11, 2020. notification by emailing to the Investment Adviser or any entity Commission’s Secretary at Secretarys- controlling, controlled by, or under For the Commission, by the Division of [email protected]. Trading and Markets, pursuant to delegated common control with the Investment ADDRESSES: authority.54 The Commission: Adviser, or any successor in interest to [email protected]. Applicants: any such entity,2 acts as investment J. Matthew DeLesDernier, [email protected]. Assistant Secretary. FOR FURTHER INFORMATION CONTACT: 1 Section 2(a)(48) of the Act defines a BDC to be [FR Doc. 2020–18343 Filed 8–20–20; 8:45 am] Marc Mehrespand, Senior Counsel, at any closed-end investment company that operates for the purpose of making investments in securities BILLING CODE 8011–01–P (202) 551–8453 or Trace Rakestraw, described in Sections 55(a)(1) through 55(a)(3) of Branch Chief, at (202) 551–6825 the Act and makes available significant managerial (Division of Investment Management, assistance with respect to the issuers of such Chief Counsel’s Office). securities. 2 For purposes of the requested order, ‘‘successor’’ SUPPLEMENTARY INFORMATION: The is limited to any entity that results from a 54 17 CFR 200.30–3(a)(12). following is a summary of the Continued
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adviser which periodically offers to Applicants state that each Fund may fees attributable to a particular class repurchase its Shares pursuant to Rule from time to time offer to repurchase (including transfer agency fees, if any) 13e–4 under the Securities Exchange Shares in accordance with Rule 13e–4 and any other incremental expenses of Act of 1934 (‘‘Exchange Act’’) and under the Exchange Act and Section that class. Expenses of the Fund Section 23(c)(2) of the Act (each, a 23(c)(2) of the Act. Applicants state allocated to a particular class of the ‘‘Future Fund’’ and together with the further that repurchases of each Fund’s Fund’s Shares will be borne on a pro Current Fund and ORCIC, the Shares will be made at such times, in rata basis by each outstanding Share of ‘‘Funds’’).3 such amounts and on such terms as may that class. Applicants state that each 6. As a BDC, the Current Fund is be determined by the applicable Fund’s Fund will comply with the provisions of organized as a closed-end investment board of directors or trustees in its sole Rule 18f–3 under the Act as if it were company, but offers its Shares discretion. an open-end management investment continuously, similar to an open-end 11. Each Fund will disclose in its company. management investment company. The prospectus the fees, expenses and other 14. Any Fund that imposes a CDSC Current Fund has only issued one class characteristics of each class of Shares will comply with the provisions of Rule of Shares, but anticipates that, if it offered for sale by the prospectus, as is 6c–10 (except to the extent a Fund will receives the relief requested in its required for open-end, multiple-class comply with FINRA Rule 2310 rather application, it will consider adding funds under Form N–1A. As if it were than FINRA Rule 2341, as such rule may additional classes of Shares to its public an open-end management investment be amended (‘‘FINRA Rule 2341’’)), as if offering. Shares of the Funds will not be company, each Fund will disclose fund that rule applied to BDCs. With respect offered or traded in a secondary market expenses in shareholder reports,6 and to any waiver of, scheduled variation in, and will not be listed on any securities disclose in its prospectus any or elimination of the CDSC, a Fund will exchange and do not trade on an over- arrangements that result in breakpoints comply with the requirements of Rule the-counter system.4 in, or elimination of, sales loads.7 Each 22d–1 under the Act as if the Fund were 7. ORCIC anticipates that, if it Fund will also comply with any an open-end management investment receives the relief requested in its requirements the Commission or FINRA company. Each Fund also will disclose application, it will offer multiple classes may adopt regarding disclosure at the CDSCs in accordance with the of Shares upon the commencement of point of sale and in transaction requirements of Form N–1A concerning its offering. confirmations about the costs and CDSCs as if the Fund were an open-end 8. Each Fund is seeking the ability to conflicts of interest arising out of the management investment company. offer multiple classes of Shares that may distribution of open-end management 15. Funds may impose a Repurchase charge differing front-end sales loads, investment company shares, and Fee at a rate no greater than 2% of the contingent deferred sales charges regarding prospectus disclosure of sales shareholder’s repurchase proceeds if the (‘‘CDSCs’’), an early withdrawal charge loads and revenue sharing arrangements interval between the date of purchase of (‘‘Repurchase Fee’’), and/or annual as if those requirements applied to the the Shares and the valuation date with asset-based service and/or distribution Fund.8 Each Fund will contractually respect to the repurchase of such Shares fees. Each class of Shares will comply require that any distributor of a Fund’s is less than a specified period. Any with the provisions of Rule 2310 of the Shares comply with such requirements Repurchase Fee will apply equally to all Financial Industry Regulatory in connection with the distribution of shareholders of the applicable Fund, Authority, Inc. (‘‘FINRA’’) Manual such Fund’s shares. regardless of class, consistent with (‘‘FINRA Rule 2310’’).5 12. Distribution fees will be paid Section 18 of the Act and Rule 18f–3 9. Any Share of a Fund that is subject pursuant to a plan of distribution under the Act. To the extent a Fund to asset-based service or distribution adopted by each Fund in compliance determines to waive, impose scheduled fees shall convert to a class with no with Rules 12b–1 and 17d–3 under the variations of, or eliminate any asset based service or distribution fees Act, as if those rules applied to closed- Repurchase Fees, it will do so upon such Share reaching the end funds electing to be regulated as consistently with the requirements of applicable sales charge cap determined BDCs, with respect to a class (a Rule 22d–1 under the Act as if the in accordance with FINRA Rule 2310. ‘‘Distribution Plan’’). Repurchase Fee were a CDSC and as if Further, if a class of Shares were to be 13. Each Fund will allocate all the Fund were an open-end investment listed on an exchange in the future, all expenses incurred by it among the company and the Fund’s waiver of, other then-existing classes of Shares of various classes of Shares based on the scheduled variation in, or elimination the listing Fund will be converted into respective net assets of the Fund of, the Repurchase Fee will apply the listed class, without the imposition attributable to each such class, except uniformly to all shareholders of the of any sales load, fee or other charge. that the net asset value and expenses of Fund. 10. In order to provide a limited each class will reflect the expenses degree of liquidity to shareholders, associated with the Distribution Plan of Applicants’ Legal Analysis that class (if any), shareholder servicing Multiple Classes of Shares reorganization into another jurisdiction or a change in the type of a business organization. 6 See Shareholder Reports and Quarterly Portfolio 1. Section 18(a)(2) of the Act provides 3 Any Fund relying on this relief in the future will Disclosure of Registered Management Investment that a closed-end investment company do so in compliance with the terms and conditions Companies, Investment Co. Act Rel. No. 26372 (Feb. may not issue or sell a senior security of the application. Applicants represent that each 27, 2004) (adopting release). that is a stock unless certain entity presently intending to rely on the requested 7 See Disclosure of Breakpoint Discounts by requirements are met. Applicants state relief is listed as an applicant. Mutual Funds, Investment Co. Act Rel. No. 26464 4 Applicants are not requesting relief with respect (June 7, 2004) (adopting release). that the creation of multiple classes of to any Fund listed on a securities exchange. Any 8 See Confirmation Requirements and Point of shares of the Funds may violate Section Fund which relies on the relief requested herein Sale Disclosure Requirements for Transactions in 18(a)(2), which is made applicable to will cease relying on such relief upon the listing of Certain Mutual Funds and Other Securities, and BDCs through Section 61(a) of the Act, any class of its Shares on a securities exchange. Other Confirmation Requirement Amendments, and 5 Any reference to FINRA Rule 2310 includes any Amendments to the Registration Form for Mutual because the Funds may not meet such successor or replacement rule that may be adopted Funds, Investment Co. Act Rel. No. 26341 (Jan. 29, requirements with respect to a class of by FINRA. 2004) (proposing release). shares that may be a senior security.
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2. Section 18(c) of the Act provides, Applicants’ Condition I. Self-Regulatory Organization’s in relevant part, that a closed-end Statement of the Terms of Substance of investment company may not issue or Applicants agree that any order the Proposed Rule Change sell any senior security if, immediately granting the requested relief will be thereafter, the company has outstanding subject to the following condition: The Exchange proposes to amend Options 6, Section 5, titled ‘‘Transfer of more than one class of senior security. 1. Each Fund will comply with the Positions.’’ Applicants state that the creation of provisions of Rules 6c–10 (except to the multiple classes of Shares of the Funds extent a Fund will comply with FINRA The text of the proposed rule change may be prohibited by Section 18(c), Rule 2310 rather than FINRA Rule is available on the Exchange’s website at which is made applicable to BDCs 2341), 12b–1, 17d–3, 18f–3, 22d–1, and, https://listingcenter.nasdaq.com/ through Section 61(a) of the Act, as a where applicable, 11a–3 under the Act, rulebook/gemx/rules, at the principal class may have priority over another as amended from time to time, or any office of the Exchange, and at the class as to payment of dividends successor rules thereto, as if those rules Commission’s Public Reference Room. because shareholders of different classes applied to BDCs. In addition, each Fund II. Self-Regulatory Organization’s would pay different fees and expenses. will comply with FINRA Rule 2310, as Statement of the Purpose of, and amended from time to time, or any 3. Section 18(i) of the Act provides Statutory Basis for, the Proposed Rule successor rule thereto, and will make Change that each share of stock issued by a available to any distributor of a Fund’s registered management investment shares all of the information necessary In its filing with the Commission, the company will be a voting stock and to permit the distributor to prepare Exchange included statements have equal voting rights with every client account statements in compliance concerning the purpose of and basis for other outstanding voting stock. with FINRA Rule 2231. the proposed rule change and discussed Applicants state that multiple classes of For the Commission, by the Division of any comments it received on the shares of the Funds may violate Section Investment Management, pursuant to proposed rule change. The text of these 18(i) of the Act, which is made delegated authority. statements may be examined at the applicable to BDCs through Section places specified in Item IV below. The J. Matthew DeLesDernier, 61(a) of the Act, because each class Exchange has prepared summaries, set would be entitled to exclusive voting Assistant Secretary. forth in sections A, B, and C below, of rights with respect to matters solely [FR Doc. 2020–18336 Filed 8–20–20; 8:45 am] the most significant aspects of such related to that class. BILLING CODE 8011–01–P statements. 4. Section 6(c) of the Act provides that A. Self-Regulatory Organization’s the Commission may exempt any SECURITIES AND EXCHANGE Statement of the Purpose of, and person, security or transaction or any COMMISSION Statutory Basis for, the Proposed Rule class or classes of persons, securities or Change transactions from any provision of the [Release No. 34–89576; File No. SR–GEMX– 1. Purpose Act, or from any rule or regulation 2020–19] under the Act, if and to the extent such The Exchange proposes to amend exemption is necessary or appropriate Self-Regulatory Organizations; Nasdaq Options 6, Section 5, titled ‘‘Transfer of in the public interest and consistent GEMX, LLC; Notice of Filing and Positions.’’ The proposed rule change is with the protection of investors and the Immediate Effectiveness of Proposed similar to Cboe Exchange, Inc. (‘‘Cboe’’) purposes fairly intended by the policy Rule Change To Amend Options 6, Rule 6.7.5 and provisions of the Act. Applicants Section 5 (Transfer of Positions) Options 6, Section 5 permits market request an exemption under Section 6(c) participants to move positions from one from Sections 18(a)(2), 18(c) and 18(i) August 17, 2020. account to another without first (which are made applicable to BDCs by Pursuant to Section 19(b)(1) of the exposure of the transaction on the Section 61(a) of the Act) to permit the Securities Exchange Act of 1934 (the Exchange, provided certain exceptions Funds to issue multiple classes of ‘‘Act’’),1 and Rule 19b–4 thereunder,2 are met. Specifically, Options 6, Section Shares. notice is hereby given that on August 6, 5(a)(2) 6 provides that transfers of 5. Applicants submit that the 2020, Nasdaq GEMX, LLC (‘‘GEMX’’ or positions are permissible if from one proposed allocation of expenses relating ‘‘Exchange’’) filed with the Securities account to another account where no to distribution and voting rights among and Exchange Commission (the change in ownership is involved (i.e., multiple classes is equitable and will ‘‘Commission’’) the proposed rule not discriminate against any group or change as described in Items I and II 5 See Securities and Exchange Act Release No. below, which Items have been prepared 89389 (July 23, 2020), 85 FR 45709 (July 29, 2020) class of shareholders. Applicants submit by the Exchange. The Exchange filed the (SR–Cboe–2020–067) (Notice of Filing and that the proposed arrangements would Immediate Effectiveness of a Proposed Rule Change proposal as a ‘‘non-controversial’’ permit a Fund to facilitate the to Amend Rule 6.7 Concerning Off-Floor Transfers). proposed rule change pursuant to 6 distribution of its Shares and provide Options 6, Section 5(a) states, ‘‘Permissible Section 19(b)(3)(A)(iii) of the Act 3 and Transfers. Existing positions in options listed on investors with a broader choice of fee Rule 19b–4(f)(6) thereunder.4 The the Exchange of a Member or non-Member that are options. Applicants assert that the Commission is publishing this notice to to be transferred on, from, or to the books of a proposed BDC multiple class structure Clearing Member may be transferred off the solicit comments on the proposed rule Exchange if the transfer involves on or more of the does not raise the concerns underlying change from interested persons. following events:..... (2) the transfer of Section 18 of the Act to any greater positions from one account to another account where no change in ownership is involved (i.e., degree than open-end management 1 15 U.S.C. 78s(b)(1). accounts of the same Person, provided the accounts investment companies’ multiple class 2 17 CFR 240.19b–4. are not in separate aggregation units or otherwise structures that are permitted by Rule 3 15 U.S.C. 78s(b)(3)(A)(iii). subject to information barrier or account segregation 18f–3 under the Act. 4 17 CFR 240.19b–4(f)(6). requirements; . . .’’
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accounts of the same Person),7 provided accordance with a market participants’ open interest, the Exchange believes the the accounts are not in separate business needs and procedures, the proposed rule change remains aggregation units or otherwise subject to Exchange believes prior written notice consistent with the purpose of Options information barrier or account would be onerous and would not serve 6, Section 5, which was to prohibit use segregation requirements. These any purpose given the lack of change in of the transfer procedure in transfers are subject to, among other ownership and in open interest. The circumvention of the normal auction things, the requirement to submit prior Exchange believes this will provide process, as the normal auction process written notice of the transfers to the market participants with additional involves the opening or closing of Exchange pursuant to Options 6, flexibility to structure their option positions through a transaction among Section 5(d) and the restriction on position accounts as they believe is multiple market participants. Market effecting these transfers repeatedly or appropriate and move their positions participants may maintain different routinely. between accounts as they deem accounts for a variety of reasons, such The proposed rule change excepts necessary and appropriate for their as the structure of their businesses, the position transfers effected pursuant to business and trading needs, including manner in which they trade, their risk Options 6, Section(a)(2) from the prior for risk management purposes. management procedures, and for capital written notice requirement in paragraph The proposed rule change also purposes. Given that these transfers may (d) and from repeated, recurring use corrects an erroneous cross-reference in occur on a regular basis in accordance restriction in paragraph (g). Position Rule Options 6, Section 5(d)(1), as the with a market participants’ business transfers pursuant to Options 6, method for determining the transfer needs and procedures, the Exchange Section(a)(2) do not involve a change in price is in paragraph (c) rather than believes prior written notice would be ownership. In other words, such paragraph (e) of Options 6, Section 5. onerous and would not serve any transfers may only occur between the purpose given the lack of change in 2. Statutory Basis same individual or legal entity. These ownership and in open interest. types of transfers are merely transfers of The Exchange believes that its Therefore, the proposed rule change positions from one account to another, proposal is consistent with Section 6(b) will benefit investors by permitting both of which accounts are attributable of the Act,8 in general, and furthers the market participants to manage the open to the same individual or legal entity, objectives of Section 6(b)(5) of the Act.9 positions in their accounts in a manner and thus the transferred option Specifically, the Exchange believes the consistent with their businesses. positions will continue to be proposed rule change is consistent with The Exchange recognizes the attributable to the same Person. A the Section 6(b)(5) 10 requirements that numerous benefits of executing options market participant effecting an position the rules of an exchange be designed to transactions on an exchange, including transfer pursuant to Options 6, Section prevent fraudulent and manipulative price transparency, potential price 5(a)(2) is analogous to an individual acts and practices, to promote just and improvement, and a clearing guarantee. transferring funds from a checking equitable principles of trade, to foster However, the Exchange believes it is account to a savings account, or from an cooperation and coordination with appropriate to permit position transfers account at one bank to an account at persons engaged in regulating, clearing, among accounts of the same individual another bank—the money still belongs settling, processing information with or legal entity where there is no impact to the same person, who is just holding respect to, and facilitating transactions on open interest to occur off the it in a different account for personal in securities, to remove impediments to exchange, as these benefits are financial reasons. and perfect the mechanism of a free and inapplicable to those transfers. These Because there is no change in open market and a national market transfers have a narrow scope and are ownership of positions transferred system, and, in general, to protect intended to permit market participants pursuant to Options 6, Section 5(a)(2), investors and the public interest. to achieve their own business needs. the Exchange believes it is appropriate Additionally, the Exchange believes the These transfers are not intended to be a to permit them to occur as routinely and proposed rule change is consistent with competitive trading tool. There is no repeatedly as a market participant the Section 6(b)(5) 11 requirement that need for price discovery or would like. These transfers will the rules of an exchange not be designed improvement, as the transfer merely continue to be subject to the prohibition to permit unfair discrimination between moves positions to different accounts on netting set forth in Options 6, customers, issuers, brokers, or dealers. for the same Person and does not open Section 5(b), and thus may not result in In particular, the Exchange believes or close any positions. These transfers the closing of any positions. While the the proposed rule change will remove will result in no change in ownership. position transfers permitted by Options impediments to and perfect the The transactions that resulted in the 6, Section 5 were intended to mechanism of a free and open market open positions to be transferred accommodate non-routine and non- and a national market system, and, in pursuant to Options 6, Section 5(a)(2) recurring transfers, the Exchange general, to protect investors and the were already guaranteed by a clearing believes permitting routine, recurring public interest because it will provide member of The Options Clearing position transfers that do not result in market participants with a more Corporation (‘‘OCC’’), and the positions a change in ownership or reduction in efficient process to transfer open may not be closed pursuant to the open interest is consistent with the positions between their own accounts in transfer and will continue to be subject purpose of not being used to circumvent accordance with their own business and to OCC rules, as they will continue to the normal auction purpose. trading needs, including to respond to be held in an account with an OCC Additionally, given that these transfers then-current market conditions. Because clearing member. may occur on a regular basis in these transfers would not result in a B. Self-Regulatory Organization’s change in ownership or a reduction in 7 For purposes of this rule, the term ‘‘Person’’ as Statement on Burden on Competition an individual, partnership (general or limited), joint 8 The Exchange does not believe that stock company, corporation, limited liability 15 U.S.C. 78f(b). company, trust, or unincorporated organization, or 9 15 U.S.C. 78f(b)(5). the proposed rule change will impose any governmental entity or agency or political 10 Id. any burden on competition that is not subdivision thereof. See Options 6, Section 5(a). 11 Id. necessary or appropriate in furtherance
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of the purposes of the Act. The Exchange has asked the Commission to rules/sro.shtml). Copies of the proposed rule change is not intended to waive the 30-day operative delay to so submission, all subsequent address competitive issues. The that it may adopt the proposed position amendments, all written statements Exchange does not believe that the transfer rules as soon as possible which, with respect to the proposed rule proposed rule change will impose any according to the Exchange, would change that are filed with the burden on intramarket competition that benefit investors and the general public Commission, and all written is not necessary or appropriate in because it will provide Participants with communications relating to the furtherance of the purposes of the Act the ability to request a transfer, for proposed rule change between the because the proposed rule change will limited, non-recurring types of transfers, Commission and any person, other than apply to all market participants in the without the need for exposing those those that may be withheld from the same manner. All market participants orders on the Exchange. The proposed public in accordance with the will be able to effect position transfers rule change does not present any unique provisions of 5 U.S.C. 552, will be pursuant to Options 6, Section 5(a)(2) or novel regulatory issues and is available for website viewing and on a recurring or routine basis without substantively identical to provisions in printing in the Commission’s Public providing the Exchange with notice of Cboe Rule 6.7. Accordingly, the Reference Room, 100 F Street NE, such transfers. The Exchange does not Commission hereby waives the Washington, DC 20549 on official believe the proposed rule change will operative delay and designates the business days between the hours of impose any burden on intermarket proposal operative upon filing.16 10:00 a.m. and 3:00 p.m. Copies of the competition that is not necessary or At any time within 60 days of the filing also will be available for appropriate in furtherance of the filing of the proposed rule change, the inspection and copying at the principal purposes of the Act, because it relates Commission summarily may office of the Exchange. All comments solely to the notice required for transfers temporarily suspend such rule change if received will be posted without change; that may occur today, and the frequency it appears to the Commission that such the Commission does not edit personal with which those transfers may occur. action is necessary or appropriate in the identifying information from These transfers will continue to not public interest, for the protection of submissions. You should submit only result in a change in ownership or investors, or otherwise in furtherance of information that you wish to make netting, and thus will have no impact on the purposes of the Act. If the available publicly. All submissions outstanding option positions. Commission takes such action, the should refer to File Number SR–GEMX– Commission will institute proceedings C. Self-Regulatory Organization’s 2020–19 and should be submitted on or to determine whether the proposed rule before September 11, 2020. Statement on Comments on the change should be approved or Proposed Rule Change Received From disapproved. For the Commission, by the Division of Members, Participants, or Others Trading and Markets, pursuant to delegated 17 No written comments were either IV. Solicitation of Comments authority. solicited or received. Interested persons are invited to J. Matthew DeLesDernier, submit written data, views, and Assistant Secretary. III. Date of Effectiveness of the arguments concerning the foregoing, [FR Doc. 2020–18347 Filed 8–20–20; 8:45 am] Proposed Rule Change and Timing for including whether the proposed rule BILLING CODE 8011–01–P Commission Action change is consistent with the Act. Because the foregoing proposed rule Comments may be submitted by any of change does not: (i) Significantly affect the following methods: SECURITIES AND EXCHANGE the protection of investors or the public COMMISSION interest; (ii) impose any significant Electronic Comments burden on competition; and (iii) become • Use the Commission’s internet [Release No. 34–89585; File No. SR–CBOE– operative for 30 days from the date on comment form (http://www.sec.gov/ 2020–076] which it was filed, or such shorter time rules/sro.shtml); or Self-Regulatory Organizations; Cboe • Send an email to rule-comments@ as the Commission may designate, it has Exchange, Inc.; Notice of Filing and sec.gov. Please include File Number SR– become effective pursuant to Section Immediate Effectiveness of a Proposed 12 GEMX–2020–19 on the subject line. 19(b)(3)(A) of the Act and Rule 19b– Rule Change Relating to Adopt Fees 13 4(f)(6) thereunder. Paper Comments for a Recently Adopted Data Product A proposed rule change filed under Known as Intraday Open-Close Data Rule 19b–4(f)(6) 14 normally does not • Send paper comments in triplicate become operative for 30 days after the to Secretary, Securities and Exchange August 17, 2020. date of the filing. However, pursuant to Commission, 100 F Street NE, Pursuant to Section 19(b)(1) of the Rule 19b–4(f)(6)(iii),15 the Commission Washington, DC 20549–1090. Securities Exchange Act of 1934 (the may designate a shorter time if such All submissions should refer to File ‘‘Act’’),1 and Rule 19b–4 thereunder,2 action is consistent with the protection Number SR–GEMX–2020–19. This file notice is hereby given that on August 3, of investors and the public interest. The number should be included on the 2020, Cboe Exchange, Inc. (the subject line if email is used. To help the ‘‘Exchange’’ or ‘‘Cboe Options’’) filed 12 15 U.S.C. 78s(b)(3)(A). Commission process and review your with the Securities and Exchange 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– comments more efficiently, please use Commission (the ‘‘Commission’’) the 4(f)(6)(iii) requires a self-regulatory organization to only one method. The Commission will give the Commission written notice of its intent to proposed rule change as described in file the proposed rule change, along with a brief post all comments on the Commission’s Items I and II below, which Items have description and text of the proposed rule change, internet website (http://www.sec.gov/ been prepared by the Exchange. The at least five business days prior to the date of filing Commission is publishing this notice to of the proposed rule change, or such shorter time 16 For purposes only of waiving the 30-day as designated by the Commission. The Exchange operative delay, the Commission has also has satisfied this requirement. considered the proposed rule’s impact on 17 17 CFR 200.30–3(a)(12). 14 17 CFR 240.19b–4(f)(6). efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 15 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.
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solicit comments on the proposed rule of the market (buy or sell), price, and trading on the Exchange. For example, change from interested persons. transaction type (opening or closing). intraday open data may allow a market The customer and professional customer participant to identify new interest or I. Self-Regulatory Organization’s volume is further broken down into possible risks throughout the trading Statement of the Terms of Substance of trade size buckets (less than 100 day, while intraday closing data may the Proposed Rule Change contracts, 100–199 contracts, greater allow a market participant to identify Cboe Exchange, Inc. (the ‘‘Exchange’’ than 199 contracts). The Open-Close fading interests in a security. The or ‘‘Cboe Options’’) is filing with the Data is proprietary Cboe Options trade product is a completely voluntary Securities and Exchange Commission data and does not include trade data product, in that the Exchange is not (‘‘Commission’’) a proposed rule change from any other exchange. It is also a required by any rule or regulation to to adopt fees for a recently adopted data historical data product and not a real- make this data available and that product known as Intraday Open-Close time data feed. potential subscribers may purchase it Data. The text of the proposed rule The Exchange recently adopted a only if they voluntarily choose to do so. change is provided in Exhibit 5. similar product: Intraday Open-Close The Exchange notes that other The text of the proposed rule change Data. The Intraday Open-Close Data will exchanges offer a similar data product.4 is also available on the Exchange’s provide similar information to that of The Exchange proposes to provide in website (http://www.cboe.com/ Open-Close Data but will be produced its Fee Schedule that TPHs and non- AboutCBOE/ and updated every 10 minutes during TPHs may purchase Intraday Open- CBOELegalRegulatoryHome.aspx), at the trading day. Data is captured in Close Data on a subscription basis the Exchange’s Office of the Secretary, ‘‘snapshots’’ taken every 10 minutes (monthly or annually) or by ad hoc and at the Commission’s Public throughout the trading day and is request for a specified month (historical Reference Room. available to subscribers within five file). The Exchange proposes to assess a II. Self-Regulatory Organization’s minutes of the conclusion of each 10- monthly fee of $2,000 (or $24,000 per Statement of the Purpose of, and minute period. For example, subscribers year) for subscribing to the data feed. Statutory Basis for, the Proposed Rule to the intraday product will receive the The Exchange also proposes to assess a Change first calculation of intraday data by fee of $1,000 per request per month for approximately 9:42 a.m. ET, which an ad-hoc request of historical Intraday In its filing with the Commission, the represents data captured from 9:30 a.m. Open/Close data covering all Exchange- Exchange included statements to 9:40 a.m. Subscribers will receive the listed securities. An ad-hoc request can concerning the purpose of and basis for next update at 9:52 a.m., representing be for any number of months beginning the proposed rule change and discussed the data previously provided together with October 2019 for which the data is any comments it received on the with data captured from 9:40 a.m. available.5 The proposed subscription proposed rule change. The text of these through 9:50 a.m., and so forth. Each and ad-hoc fees will apply both to TPHs statements may be examined at the update will represent the aggregate data or non-TPHs. The Exchange notes that places specified in Item IV below. The captured from the current ‘‘snapshot’’ other exchanges provide similar data Exchange has prepared summaries, set and all previous ‘‘snapshots.’’ The products that may be purchased on both forth in sections A, B, and C below, of Intraday Open-Close Data will provide a a subscription and ad-hoc basis and are the most significant aspects of such volume summary of trading activity on similarly priced.6 statements. the Exchange at the option level by A. Self-Regulatory Organization’s origin (customer, professional customer, 4 See Securities Exchange Act Release No. 61317 Statement of the Purpose of, and broker-dealer, and market maker), side (January 8, 2010), 75 FR 2915 (January 19, 2010) (SR–ISE–2009–103); Securities Exchange Act Statutory Basis for, the Proposed Rule of the market (buy or sell), and Release No. 62887 (September 10, 2010), 75 FR Change transaction type (opening or closing). 57092 (September 17, 2010) (SR-Phlx-2010–121); The customer and professional customer Securities Exchange Act Release No. 65587 (October 1. Purpose volume will be further broken down 18, 2011), 76 FR 65765 (October 24, 2011) (SR– NASDAQ–2011–144); and Securities Exchange Act The Exchange recently adopted a new into trade size buckets (less than 100 Release No. 81632 (September 15, 2017), 82 FR data product on Cboe Options to be contracts, 100–199 contracts, greater 44235 (September 21, 2017) (SR–GEMX–2017–42). known as Intraday Open-Close Data, than 199 contracts). The Intraday Open- 5 For example, a TPH or non-TPH that requests which will be available for purchase to Close Data is also proprietary Cboe historical Intraday Open/Close Data for the months Cboe Options Trading Permit Holders Options trade data and does not include of January 2020 and February 2020, would be 3 assessed a total of $1,000. The Exchange notes that (‘‘TPHS’’) and non-TPHs. The trade data from any other exchange. In it may make historical data prior to October 2019 Exchange now proposes to adopt fees contrast to the existing Open-Close Data available in the future and that such historical data for Intraday Open-Close Data. Cboe product, the Intraday Open-Close Data would be available to all TPHs or non-TPHs. LiveVol, LLC (‘‘LiveVol’’), a wholly will not provide execution price. 6 See Price List—U.S. Derivatives Data for Nasdaq PHLX, LLC (‘‘PHLX’’), The Nasdaq Stock Market, owned subsidiary of the Exchange’s The Exchange anticipates a wide LLC (‘‘Nasdaq’’), Nasdaq ISE, LLC (‘‘ISE’’), and parent company, Cboe Global Markets, variety of market participants to Nasaq GEMX, LLC (‘‘GEMX’’), available at http:// Inc., will make the Intraday Open-Close purchase Intraday Open-Close Data, www.nasdaqtrader.com/ Data available for purchase to TPHs and including, but not limited to, individual Trader.aspx?id=DPPriceListOptions#web. Particularly, PHLX offers ‘‘Nasdaq PHLX Options non-TPHs on the LiveVol DataShop customers, buy-side investors, and Trade Outline (PHOTO)’’ and assesses $1,500 per website (datashop.cboe.com). investment banks. The Exchange month for an intra-day subscription and $750 per By way of background, the Exchange believes the Intraday Open-Close Data month for historical reports; Nasdaq offers the historically offered Open-Close Data, product may also provide helpful ‘‘Nasdaq Options Trade Outline (NOTO)’’ and assesses $750 per month for an intra-day which is an end-of-day volume trading information regarding investor subscription and $500 per month for historical summary of trading activity on the sentiment that may allow market reports; ISE offers the ‘‘Nasdaq ISE Open/Close Exchange at the option level by origin participants to make better trading Trade Profile’’ and assesses $2,000 per month for (customer, professional customer, decisions throughout the day and may an intra-day subscription and $1,000 per month for historical reports; and GEMX offers the ‘‘Nasdaq broker-dealer, and market maker), side be used to create and test trading GEMX Open/Close Trade Profile’’ and assesses models and analytical strategies and $1,000 per month for an intra-day subscription and 3 See SR–CBOE–2020–070. provides comprehensive insight into $750 per month for historical reports.
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2. Statutory Basis The Exchange operates in a highly option series based on open and closing The Exchange believes that the competitive environment. Indeed, there interest on any one exchange. Similarly, proposed rule change is consistent with are currently 16 registered options market participants may be able to Section 6(b) of the Act,7 in general, and exchanges that trade options. Based on analyze option trade and volume data, furthers the objectives of Section 6(b)(5) publicly available information, no single and create and test trading models and options exchange has more than 17% of analytical strategies using only Intraday of the Act,8 in particular, in that it is the market share and currently the Open-Close data relating to trading designed to prevent fraudulent and Exchange represents only approximately activity on one or more of the other manipulative acts and practices, to 16.52% of the market share.11 The markets that provide similar data promote just and equitable principles of Commission has repeatedly expressed products. As such, if a market trade, to remove impediments to and its preference for competition over participant views another exchange’s perfect the mechanism of a free and regulatory intervention in determining Intraday Open-Close data as more open market and a national market prices, products, and services in the attractive than its proposed Intraday system, and to protect investors and the securities markets. Particularly, in Open-Close data product, then such public interest, and that it is not Regulation NMS, the Commission market participant can merely choose designed to permit unfair highlighted the importance of market not to purchase the Exchange’s Intraday discrimination among customers, forces in determining prices and SRO Open-Close Data and instead purchase brokers, or dealers. The Exchange also revenues and, also, recognized that another exchange’s Intraday Open-Close believes that its proposal to adopt fees current regulation of the market system data product, which offer similar data for Intraday Open-Close Data is ‘‘has been remarkably successful in points, albeit based on that other consistent with Section 6(b) of the Act promoting market competition in its market’s trading activity. in general, and furthers the objectives of broader forms that are most important to The Exchange also believes the Section 6(b)(4) of the Act 9 in particular, investors and listed companies.’’ 12 proposed fees are reasonable as they in that it is an equitable allocation of Making similar data products available would support the introduction of a dues, fees and other charges among its to market participants fosters new market data product that is members and other recipients of competition in the marketplace, and designed to aid investors by providing Exchange data. constrains the ability of exchanges to insight into trading on Cboe Options. In adopting Regulation NMS, the charge supracompetitive fees. In the The recently adopted Intraday Open- Commission granted self-regulatory event that a market participant views Close Data would provide options organizations (‘‘SROs’’) and broker- one exchange’s data product as more or market participants with valuable dealers increased authority and less attractive than the competition they information about opening and closing flexibility to offer new and unique can and do switch between similar transactions executed on the Exchange market data to the public. It was products. The proposed fees are a result throughout the trading day, similar to believed that this authority would of the competitive environment, as the other trade data products offered by expand the amount of data available to Exchange seeks to adopt fees to attract competing options exchanges. In turn, consumers, and also spur innovation purchasers of the recently introduced this data would assist market and competition for the provision of Intraday Open-Close Data product. participants in gauging investor market data. Particularly, Intraday The Exchange believes the proposed sentiment and trading activity, resulting Open-Close Data further broadens the fees are reasonable as the proposed fees in potentially better informed trading availability of U.S. option market data to are in line with the fees assessed by decisions. As noted above, users may investors consistent with the principles other exchanges that provide similar also use such data to create and test of Regulation NMS. The data product data products.13 Indeed, proposing fees trading models and analytical strategies. also promotes increased transparency that are excessively higher than Selling market data, such as Intraday through the dissemination of Intraday established fees for similar data Open-Close Data, is also a means by Open-Close Data. Particularly, products would simply serve to reduce which exchanges compete to attract information regarding opening and demand for the Exchange’s data business. To the extent that the closing activity across different option Exchange is successful in attracting product, which as noted, is entirely series during the trading day may subscribers for the Intraday Open-Close optional. Like the Exchange’s Intraday indicate investor sentiment, which may Data, it may earn trading revenues and Open-Close Data product, other allow market participants to make better further enhance the value of its data exchanges offer similar data products informed trading decisions throughout products. If the market deems the that each provide insight into trading on the day. Subscribers to the data may proposed fees to be unfair or those markets and may likewise aid in also be able to enhance their ability to inequitable, firms can diminish or assessing investor sentiment. Although analyze option trade and volume data discontinue their use of the data and/or each of these similar Intraday Open- and create and test trading models and avail themselves of similar products Close data products provide only analytical strategies. The Exchange offered by other exchanges.14 The proprietary trade data and not trade data believes Intraday Open-Close Data Exchange therefore believes that the from other exchanges, it’s possible provides a valuable tool that subscribers proposed fees for Intraday Open-Close investors are still able to gauge overall can use to gain comprehensive insight Data reflect the competitive investor sentiment across different into the trading activity in a particular environment and would be properly assessed on TPH or non-TPH users. The series, but also emphasizes such data is 11 See Cboe Global Markets U.S. Options Market not necessary for trading. Moreover, Month-to-Date Volume Summary (July 31, 2020), Exchange also believes the proposed other exchanges offer a similar data available at https://markets.cboe.com/us/options/ fees are equitable and not unfairly product.10 market_statistics/. discriminatory as the fees would apply 12 See Securities Exchange Act Release No. 51808 equally to all users who choose to (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) 7 purchase such data. The Exchange’s 15 U.S.C. 78f. (‘‘Regulation NMS Adopting Release’’). 8 15 U.S.C. 78f(b)(5). 13 See supra note 6. The Exchange notes the proposed fees would not differentiate 9 15 U.S.C. 78f(b)(4). proposed fees are the same as the fees assessed for 10 See supra note 4. the Nasdaq ISE Open/Close Trade Profile. 14 See supra note 6.
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between subscribers that purchase Open-Close Data, which the Exchange public interest, for the protection of Intraday Open-Close Data and are set at must consider in its pricing discipline investors, or otherwise in furtherance of a modest level that would allow any in order to compete for the market the purposes of the Act. If the interested TPH or non-TPH to purchase data.16 For example, proposing fees that Commission takes such action, the such data based on their business needs. are excessively higher than established Commission will institute proceedings As noted above, the Exchange fees for similar data products would to determine whether the proposed rule anticipates a wide variety of market simply serve to reduce demand for the change should be approved or participants to purchase Intraday Open- Exchange’s data product, which as disapproved. Close Data, including but not limited to discussed, market participants are under individual customers, buy-side no obligation to utilize. In this IV. Solicitation of Comments investors and investment banks. The competitive environment, potential Interested persons are invited to Exchange reiterates that the decision as purchasers are free to choose which, if submit written data, views, and to whether or not to purchase the any, similar product to purchase to arguments concerning the foregoing, Intraday Open-Close Data is entirely satisfy their need for market including whether the proposed rule optional for all potential subscribers. information. As a result, the Exchange change is consistent with the Act. Indeed, no market participant is believes this proposed rule change Comments may be submitted by any of required to purchase the Intraday Open- permits fair competition among national the following methods: Close Data, and the Exchange is not securities exchanges. required to make the Intraday Open- The Exchange also does not believe Electronic Comments Close Data available to all investors. the proposed fees would cause any • Use the Commission’s internet Rather, the Exchange is voluntarily unnecessary or in appropriate burden comment form (http://www.sec.gov/ making Intraday Open-Close Data on intermarket competition as other rules/sro.shtml); or available, as requested by customers, exchanges are free to introduce their • Send an email to rule-comments@ and market participants may choose to own comparable data product and lower sec.gov. Please include File Number SR– receive (and pay for) this data based on their prices to better compete with the CBOE–2020–076 on the subject line. their own business needs. Potential Exchange’s offering. The Exchange does purchasers may request the data at any not believe the proposed rule change Paper Comments time if they believe it to be valuable or would cause any unnecessary or • Send paper comments in triplicate may decline to purchase such data. inappropriate burden on intramarket to Secretary, Securities and Exchange B. Self-Regulatory Organization’s competition. Particularly, the proposed Commission, 100 F Street NE, Statement on Burden on Competition product and fees apply uniformly to any Washington, DC 20549–1090. purchaser, in that it does not The Exchange does not believe that All submissions should refer to File differentiate between subscribers that Number SR–CBOE–2020–076. This file the proposed rule change will result in purchase Intraday Open-Close Data. The any burden on competition that is not number should be included on the proposed fees are set at a modest level subject line if email is used. To help the necessary or appropriate in furtherance that would allow any interested TPH or of the purposes of the Act. Rather, the Commission process and review your non-TPH to purchase such data based comments more efficiently, please use Exchange believes that the proposal will on their business needs. promote competition by permitting the only one method. The Commission will Exchange to sell a data product similar C. Self-Regulatory Organization’s post all comments on the Commission’s to those offered by other competitor Statement on Comments on the internet website (http://www.sec.gov/ options exchanges.15 The Exchange Proposed Rule Change Received From rules/sro.shtml). Copies of the made Open-Close Data available in Members, Participants, or Others submission, all subsequent amendments, all written statements order to keep pace with changes in the The Exchange has neither solicited with respect to the proposed rule industry and evolving customer needs, nor received written comments on the change that are filed with the and believes the data product will proposed rule change. contribute to robust competition among Commission, and all written national securities exchanges. At least III. Date of Effectiveness of the communications relating to the four other U.S. options exchanges offer Proposed Rule Change and Timing for proposed rule change between the a market data product that is Commission Action Commission and any person, other than substantially similar to the Intraday The foregoing rule change has become those that may be withheld from the Open-Close Data. As a result, the effective pursuant to Section 19(b)(3)(A) public in accordance with the Exchange believes this proposed rule of the Act 17 and paragraph (f) of Rule provisions of 5 U.S.C. 552, will be change permits fair competition among 19b–4 18 thereunder, because it available for website viewing and national securities exchanges. establishes a due, fee, or other charge printing in the Commission’s Public Furthermore, the Exchange operates imposed by the Exchange. Reference Room, 100 F Street NE, in a highly competitive environment, At any time within 60 days of the Washington, DC 20549 on official and its ability to price Intraday Open- filing of the proposed rule change, the business days between the hours of Close Data is constrained by Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the competition among exchanges that offer temporarily suspend such rule change if filing also will be available for similar data products to their customers. it appears to the Commission that such inspection and copying at the principal As discussed, there are currently a action is necessary or appropriate in the office of the Exchange. All comments number of similar products available to received will be posted without change; market participants and investors. At 16 See e.g., Cboe Options Fees Schedule, Livevol the Commission does not edit personal least four other U.S. options exchanges Fees, Open-Close Data. See also Nasdaq ISE Options identifying information from 7 Pricing Schedule, Section 10.A and Nasdaq PHLX submissions. You should submit only offer a market data product that is Options 7 Pricing Schedule, Section 10, PHLX substantially similar to the Intraday Options Trade Outline (‘‘PHOTO’’). information that you wish to make 17 15 U.S.C. 78s(b)(3)(A). available publicly. All submissions 15 Id. 18 17 CFR 240.19b–4(f). should refer to File Number SR–CBOE–
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2020–076 and should be submitted on any comments it received on the Section(a)(2) do not involve a change in or before September 11, 2020. proposed rule change. The text of these ownership. In other words, such For the Commission, by the Division of statements may be examined at the transfers may only occur between the Trading and Markets, pursuant to delegated places specified in Item IV below. The same individual or legal entity. These authority.19 Exchange has prepared summaries, set types of transfers are merely transfers of J. Matthew DeLesDernier, forth in sections A, B, and C below, of positions from one account to another, Assistant Secretary. the most significant aspects of such both of which accounts are attributable statements. to the same individual or legal entity, [FR Doc. 2020–18351 Filed 8–20–20; 8:45 am] and thus the transferred option BILLING CODE 8011–01–P A. Self-Regulatory Organization’s positions will continue to be Statement of the Purpose of, and attributable to the same Person. A Statutory Basis for, the Proposed Rule market participant effecting an position SECURITIES AND EXCHANGE Change COMMISSION transfer pursuant to Options 6, Section 1. Purpose 5(a)(2) is analogous to an individual [Release No. 34–89575; File No. SR–ISE– The Exchange proposes to amend transferring funds from a checking 2020–32] Options 6, Section 5, titled ‘‘Transfer of account to a savings account, or from an account at one bank to an account at Self-Regulatory Organizations; Nasdaq Positions.’’ The proposed rule change is similar to Cboe Exchange, Inc. (‘‘Cboe’’) another bank—the money still belongs ISE, LLC; Notice of Filing and to the same person, who is just holding Immediate Effectiveness of Proposed Rule 6.7.5 Options 6, Section 5 permits market it in a different account for personal Rule Change To Amend Options 6, financial reasons. Section 5 (Transfer of Positions) participants to move positions from one account to another without first Because there is no change in August 17, 2020. exposure of the transaction on the ownership of positions transferred Pursuant to Section 19(b)(1) of the Exchange, provided certain exceptions pursuant to Options 6, Section 5(a)(2), Securities Exchange Act of 1934 (the are met. Specifically, Options 6, Section the Exchange believes it is appropriate ‘‘Act’’),1 and Rule 19b–4 thereunder,2 5(a)(2) 6 provides that transfers of to permit them to occur as routinely and notice is hereby given that on August 6, positions are permissible if from one repeatedly as a market participant 2020, Nasdaq ISE, LLC (‘‘ISE’’ or account to another account where no would like. These transfers will ‘‘Exchange’’) filed with the Securities change in ownership is involved (i.e., continue to be subject to the prohibition and Exchange Commission (the accounts of the same Person),7 provided on netting set forth in Options 6, Section 5(b), and thus may not result in ‘‘Commission’’) the proposed rule the accounts are not in separate the closing of any positions. While the change as described in Items I and II aggregation units or otherwise subject to position transfers permitted by Options below, which Items have been prepared information barrier or account 6, Section 5 were intended to by the Exchange. The Exchange filed the segregation requirements. These accommodate non-routine and non- proposal as a ‘‘non-controversial’’ transfers are subject to, among other recurring transfers, the Exchange proposed rule change pursuant to things, the requirement to submit prior believes permitting routine, recurring Section 19(b)(3)(A)(iii) of the Act 3 and written notice of the transfers to the position transfers that do not result in Rule 19b–4(f)(6) thereunder.4 The Exchange pursuant to Options 6, a change in ownership or reduction in Commission is publishing this notice to Section 5(d) and the restriction on effecting these transfers repeatedly or open interest is consistent with the solicit comments on the proposed rule purpose of not being used to circumvent change from interested persons. routinely. The proposed rule change excepts the normal auction purpose. I. Self-Regulatory Organization’s position transfers effected pursuant to Additionally, given that these transfers Statement of the Terms of Substance of Options 6, Section(a)(2) from the prior may occur on a regular basis in the Proposed Rule Change written notice requirement in paragraph accordance with a market participants’ The Exchange proposes to amend (d) and from repeated, recurring use business needs and procedures, the Options 6, Section 5, titled ‘‘Transfer of restriction in paragraph (g). Position Exchange believes prior written notice Positions.’’ transfers pursuant to Options 6, would be onerous and would not serve The text of the proposed rule change any purpose given the lack of change in is available on the Exchange’s website at 5 See Securities and Exchange Act Release No. ownership and in open interest. The https://listingcenter.nasdaq.com/ 89389 (July 23, 2020), 85 FR 45709 (July 29, 2020) Exchange believes this will provide (SR–Cboe–2020–067) (Notice of Filing and market participants with additional rulebook/ise/rules, at the principal Immediate Effectiveness of a Proposed Rule Change office of the Exchange, and at the to Amend Rule 6.7 Concerning Off-Floor Transfers). flexibility to structure their option Commission’s Public Reference Room. 6 Options 6, Section 5(a) states, ‘‘Permissible position accounts as they believe is Transfers. Existing positions in options listed on appropriate and move their positions II. Self-Regulatory Organization’s the Exchange of a Member or non-Member that are between accounts as they deem Statement of the Purpose of, and to be transferred on, from, or to the books of a necessary and appropriate for their Clearing Member may be transferred off the Statutory Basis for, the Proposed Rule Exchange if the transfer involves on or more of the business and trading needs, including Change following events:. . (2) the transfer of positions for risk management purposes. In its filing with the Commission, the from one account to another account where no The proposed rule change also change in ownership is involved (i.e., accounts of corrects an erroneous cross-reference in Exchange included statements the same Person, provided the accounts are not in concerning the purpose of and basis for separate aggregation units or otherwise subject to Rule Options 6, Section 5(d)(1), as the the proposed rule change and discussed information barrier or account segregation method for determining the transfer requirements;. . .’’ price is in paragraph (c) rather than 7 For purposes of this rule, the term ‘‘Person’’ as 19 17 CFR 200.30–3(a)(12). paragraph (e) of Options 6, Section 5. an individual, partnership (general or limited), joint 1 15 U.S.C. 78s(b)(1). stock company, corporation, limited liability 2. Statutory Basis 2 17 CFR 240.19b–4. company, trust, or unincorporated organization, or 3 15 U.S.C. 78s(b)(3)(A)(iii). any governmental entity or agency or political The Exchange believes that its 4 17 CFR 240.19b–4(f)(6). subdivision thereof. See Options 6, Section 5(a). proposal is consistent with Section 6(b)
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of the Act,8 in general, and furthers the market participants to manage the open result in a change in ownership or objectives of Section 6(b)(5) of the Act.9 positions in their accounts in a manner netting, and thus will have no impact on Specifically, the Exchange believes the consistent with their businesses. outstanding option positions. proposed rule change is consistent with The Exchange recognizes the C. Self-Regulatory Organization’s the Section 6(b)(5) 10 requirements that numerous benefits of executing options Statement on Comments on the the rules of an exchange be designed to transactions on an exchange, including Proposed Rule Change Received From prevent fraudulent and manipulative price transparency, potential price Members, Participants, or Others acts and practices, to promote just and improvement, and a clearing guarantee. equitable principles of trade, to foster However, the Exchange believes it is No written comments were either cooperation and coordination with appropriate to permit position transfers solicited or received. persons engaged in regulating, clearing, among accounts of the same individual III. Date of Effectiveness of the settling, processing information with or legal entity where there is no impact Proposed Rule Change and Timing for respect to, and facilitating transactions on open interest to occur off the Commission Action in securities, to remove impediments to exchange, as these benefits are and perfect the mechanism of a free and inapplicable to those transfers. These Because the foregoing proposed rule open market and a national market transfers have a narrow scope and are change does not: (i) Significantly affect system, and, in general, to protect intended to permit market participants the protection of investors or the public investors and the public interest. to achieve their own business needs. interest; (ii) impose any significant Additionally, the Exchange believes the These transfers are not intended to be a burden on competition; and (iii) become proposed rule change is consistent with competitive trading tool. There is no operative for 30 days from the date on the Section 6(b)(5) 11 requirement that need for price discovery or which it was filed, or such shorter time the rules of an exchange not be designed improvement, as the transfer merely as the Commission may designate, it has to permit unfair discrimination between moves positions to different accounts become effective pursuant to Section 12 customers, issuers, brokers, or dealers. for the same Person and does not open 19(b)(3)(A) of the Act and Rule 19b– In particular, the Exchange believes or close any positions. These transfers 4(f)(6) thereunder.13 the proposed rule change will remove will result in no change in ownership. A proposed rule change filed under 14 impediments to and perfect the The transactions that resulted in the Rule 19b–4(f)(6) normally does not mechanism of a free and open market open positions to be transferred become operative for 30 days after the and a national market system, and, in pursuant to Options 6, Section 5(a)(2) date of the filing. However, pursuant to 15 general, to protect investors and the were already guaranteed by a clearing Rule 19b–4(f)(6)(iii), the Commission public interest because it will provide member of The Options Clearing may designate a shorter time if such market participants with a more Corporation (‘‘OCC’’), and the positions action is consistent with the protection efficient process to transfer open may not be closed pursuant to the of investors and the public interest. The positions between their own accounts in transfer and will continue to be subject Exchange has asked the Commission to accordance with their own business and to OCC rules, as they will continue to waive the 30-day operative delay to so trading needs, including to respond to be held in an account with an OCC that it may adopt the proposed position then-current market conditions. Because clearing member. transfer rules as soon as possible which, these transfers would not result in a according to the Exchange, would B. Self-Regulatory Organization’s change in ownership or a reduction in benefit investors and the general public Statement on Burden on Competition open interest, the Exchange believes the because it will provide Participants with proposed rule change remains The Exchange does not believe that the ability to request a transfer, for consistent with the purpose of Options the proposed rule change will impose limited, non-recurring types of transfers, 6, Section 5, which was to prohibit use any burden on competition that is not without the need for exposing those of the transfer procedure in necessary or appropriate in furtherance orders on the Exchange. The proposed circumvention of the normal auction of the purposes of the Act. The rule change does not present any unique process, as the normal auction process proposed rule change is not intended to or novel regulatory issues and is involves the opening or closing of address competitive issues. The substantively identical to provisions in positions through a transaction among Exchange does not believe that the Cboe Rule 6.7. Accordingly, the multiple market participants. Market proposed rule change will impose any Commission hereby waives the burden on intramarket competition that operative delay and designates the participants may maintain different 16 accounts for a variety of reasons, such is not necessary or appropriate in proposal operative upon filing. At any time within 60 days of the as the structure of their businesses, the furtherance of the purposes of the Act filing of the proposed rule change, the manner in which they trade, their risk because the proposed rule change will Commission summarily may management procedures, and for capital apply to all market participants in the purposes. Given that these transfers may same manner. All market participants 12 15 U.S.C. 78s(b)(3)(A). occur on a regular basis in accordance will be able to effect position transfers pursuant to Options 6, Section 5(a)(2) 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– with a market participants’ business 4(f)(6)(iii) requires a self-regulatory organization to needs and procedures, the Exchange on a recurring or routine basis without give the Commission written notice of its intent to believes prior written notice would be providing the Exchange with notice of file the proposed rule change, along with a brief onerous and would not serve any such transfers. The Exchange does not description and text of the proposed rule change, believe the proposed rule change will at least five business days prior to the date of filing purpose given the lack of change in of the proposed rule change, or such shorter time ownership and in open interest. impose any burden on intermarket as designated by the Commission. The Exchange Therefore, the proposed rule change competition that is not necessary or has satisfied this requirement. will benefit investors by permitting appropriate in furtherance of the 14 17 CFR 240.19b–4(f)(6). purposes of the Act, because it relates 15 17 CFR 240.19b–4(f)(6)(iii). 16 For purposes only of waiving the 30-day 8 solely to the notice required for transfers 15 U.S.C. 78f(b). operative delay, the Commission has also 9 15 U.S.C. 78f(b)(5). that may occur today, and the frequency considered the proposed rule’s impact on 10 Id. with which those transfers may occur. efficiency, competition, and capital formation. See 11 Id. These transfers will continue to not 15 U.S.C. 78c(f).
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temporarily suspend such rule change if available publicly. All submissions Section 19(b)(2) of the Act 4 provides it appears to the Commission that such should refer to File Number SR–ISE– that within 45 days of the publication of action is necessary or appropriate in the 2020–32 and should be submitted on or notice of the filing of a proposed rule public interest, for the protection of before September 11, 2020. change, or within such longer period up investors, or otherwise in furtherance of For the Commission, by the Division of to 90 days as the Commission may the purposes of the Act. If the Trading and Markets, pursuant to delegated designate if it finds such longer period Commission takes such action, the authority.17 to be appropriate and publishes its Commission will institute proceedings J. Matthew DeLesDernier, reasons for so finding, or as to which the to determine whether the proposed rule Assistant Secretary. self-regulatory organization consents, change should be approved or the Commission will either approve the disapproved. proposed rule change, disapprove the IV. Solicitation of Comments [FR Doc. 2020–18355 Filed 8–20–20; 8:45 am] proposed rule change, or institute BILLING CODE 8011–01–P proceedings to determine whether the Interested persons are invited to proposed rule change should be submit written data, views, and disapproved. The 45th day after arguments concerning the foregoing, SECURITIES AND EXCHANGE publication of the notice for this including whether the proposed rule COMMISSION proposed rule change is August 21, change is consistent with the Act. 2020. The Commission is extending this Comments may be submitted by any of [Release No. 34–89584; File No. SR– 45-day time period. the following methods: NYSEArc–2020–56] The Commission finds it appropriate Electronic Comments to designate a longer period within Self-Regulatory Organizations; NYSE which to take action on the proposed • Use the Commission’s internet Arca, Inc.; Notice of Designation of a rule change so that it has sufficient time comment form (http://www.sec.gov/ Longer Period for Commission Action to consider the proposed rule change. rules/sro.shtml); or on a Proposed Rule Change To Amend • Send an email to rule-comments@ Accordingly, the Commission, pursuant NYSE Arca Rules 5.2–E(j)(3), 5.2– 5 sec.gov. Please include File Number SR– to Section 19(b)(2) of the Act, E(j)(8), 5.5–E(g)(2), 8.600–E, and 8.900– ISE–2020–32 on the subject line. designates October 5, 2020 as the date E by which the Commission shall either Paper Comments approve or disapprove, or institute August 17, 2020. • Send paper comments in triplicate proceedings to determine whether to On June 18, 2020, NYSE Arca, Inc. to Secretary, Securities and Exchange disapprove, the proposed rule change (‘‘Exchange’’ or ‘‘NYSE Arca’’) filed Commission, 100 F Street NE, (File No. SR–NYSEArca–2020–56). with the Securities and Exchange Washington, DC 20549–1090. Commission (‘‘Commission’’), pursuant For the Commission, by the Division of All submissions should refer to File Trading and Markets, pursuant to delegated to Section 19(b)(1) of the Securities authority.6 Number SR–ISE–2020–32. This file Exchange Act of 1934 (‘‘Act’’) 1 and Rule J. Matthew DeLesDernier, number should be included on the 19b–4 thereunder,2 a proposed rule subject line if email is used. To help the change to amend NYSE Arca Rules 5.2– Assistant Secretary. Commission process and review your E(j)(3) (Investment Company Units), comments more efficiently, please use 5.2–E(j)(8) (Exchange-Traded Fund [FR Doc. 2020–18345 Filed 8–20–20; 8:45 am] only one method. The Commission will Shares), 5.5–E(g)(2), 8.600–E (Managed BILLING CODE 8011–01–P post all comments on the Commission’s Fund Shares), and 8.900–E (Managed internet website (http://www.sec.gov/ Portfolio Shares) to (1) remove the rules/sro.shtml). Copies of the listing requirement that, following the submission, all subsequent SECURITIES AND EXCHANGE initial twelve-month period after COMMISSION amendments, all written statements commencement of trading of a series of with respect to the proposed rule Investment Company Units, Exchange- [Release No. 34–89582; File No. SR–Phlx– change that are filed with the Traded Fund Shares, Managed Fund 2020–39] Commission, and all written Shares, and Managed Portfolio Shares, Self-Regulatory Organizations; Nasdaq communications relating to the respectively, on the Exchange that the proposed rule change between the PHLX LLC; Notice of Filing and applicable fund has at least 50 Immediate Effectiveness of Proposed Commission and any person, other than beneficial holders, and (2) require that those that may be withheld from the Rule Change To Amend Options 6, a series of Investment Company Units, Section 5 (Transfer of Positions) public in accordance with the Exchange-Traded Fund Shares, provisions of 5 U.S.C. 552, will be Managed Fund Shares, and Managed August 17, 2020. available for website viewing and Portfolio Shares, respectively, have at Pursuant to Section 19(b)(1) of the printing in the Commission’s Public least one creation unit outstanding on Securities Exchange Act of 1934 (the Reference Room, 100 F Street, NE, an initial and continued listing basis. ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Washington, DC 20549 on official The proposed rule change was notice is hereby given that on August 6, business days between the hours of published for comment in the Federal 2020, Nasdaq PHLX LLC (‘‘Phlx’’ or 10:00 a.m. and 3:00 p.m. Copies of the Register on July 7, 2020.3 The ‘‘Exchange’’) filed with the Securities filing also will be available for Commission has received no comment and Exchange Commission (the inspection and copying at the principal letters on the proposed rule change. ‘‘Commission’’) the proposed rule office of the Exchange. All comments received will be posted without change; 17 17 CFR 200.30–3(a)(12). 4 15 U.S.C. 78s(b)(2). the Commission does not edit personal 1 15 U.S.C. 78s(b)(1). 5 Id. identifying information from 2 17 CFR 240.19b–4. 6 17 CFR 200.30–3(a)(31). submissions. You should submit only 3 See Securities Exchange Act Release No. 89197 1 15 U.S.C. 78s(b)(1). information that you wish to make (June 30, 2020), 85 FR 40720. 2 17 CFR 240.19b–4.
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change as described in Items I and II positions are permissible if from one 6, Section 5 were intended to below, which Items have been prepared account to another account where no accommodate non-routine and non- by the Exchange. The Exchange filed the change in ownership is involved (i.e., recurring transfers, the Exchange proposal as a ‘‘non-controversial’’ accounts of the same Person),7 provided believes permitting routine, recurring proposed rule change pursuant to the accounts are not in separate position transfers that do not result in Section 19(b)(3)(A)(iii) of the Act 3 and aggregation units or otherwise subject to a change in ownership or reduction in Rule 19b–4(f)(6) thereunder.4 The information barrier or account open interest is consistent with the Commission is publishing this notice to segregation requirements. These purpose of not being used to circumvent solicit comments on the proposed rule transfers are subject to, among other the normal auction purpose. change from interested persons. things, the requirement to submit prior Additionally, given that these transfers written notice of the transfers to the may occur on a regular basis in I. Self-Regulatory Organization’s Exchange pursuant to Options 6, accordance with a market participants’ Statement of the Terms of Substance of Section 5(d) and the restriction on business needs and procedures, the the Proposed Rule Change effecting these transfers repeatedly or Exchange believes prior written notice The Exchange proposes to amend routinely. would be onerous and would not serve Options 6, Section 5, titled ‘‘Transfer of The proposed rule change excepts any purpose given the lack of change in Positions.’’ position transfers effected pursuant to ownership and in open interest. The The text of the proposed rule change Options 6, Section(a)(2) from the prior Exchange believes this will provide is available on the Exchange’s website at written notice requirement in paragraph market participants with additional https://listingcenter.nasdaq.com/ (d) and from repeated, recurring use flexibility to structure their option rulebook/phlx/rules, at the principal restriction in paragraph (g). Position position accounts as they believe is office of the Exchange, and at the transfers pursuant to Options 6, appropriate and move their positions Commission’s Public Reference Room. Section(a)(2) do not involve a change in between accounts as they deem ownership. In other words, such II. Self-Regulatory Organization’s necessary and appropriate for their transfers may only occur between the business and trading needs, including Statement of the Purpose of, and same individual or legal entity. These Statutory Basis for, the Proposed Rule for risk management purposes. types of transfers are merely transfers of The proposed rule change also Change positions from one account to another, corrects an erroneous cross-reference in In its filing with the Commission, the both of which accounts are attributable Rule Options 6, Section 5(d)(1), as the Exchange included statements to the same individual or legal entity, method for determining the transfer concerning the purpose of and basis for and thus the transferred option price is in paragraph (c) rather than the proposed rule change and discussed positions will continue to be paragraph (e) of Options 6, Section 5. any comments it received on the attributable to the same Person. A proposed rule change. The text of these market participant effecting an position 2. Statutory Basis statements may be examined at the transfer pursuant to Options 6, Section The Exchange believes that its places specified in Item IV below. The 5(a)(2) is analogous to an individual proposal is consistent with Section 6(b) Exchange has prepared summaries, set transferring funds from a checking of the Act,8 in general, and furthers the forth in sections A, B, and C below, of account to a savings account, or from an objectives of Section 6(b)(5) of the Act.9 the most significant aspects of such account at one bank to an account at Specifically, the Exchange believes the statements. another bank—the money still belongs proposed rule change is consistent with to the same person, who is just holding the Section 6(b)(5) 10 requirements that A. Self-Regulatory Organization’s it in a different account for personal the rules of an exchange be designed to Statement of the Purpose of, and financial reasons. prevent fraudulent and manipulative Statutory Basis for, the Proposed Rule Because there is no change in acts and practices, to promote just and Change ownership of positions transferred equitable principles of trade, to foster 1. Purpose pursuant to Options 6, Section 5(a)(2), cooperation and coordination with the Exchange believes it is appropriate The Exchange proposes to amend persons engaged in regulating, clearing, to permit them to occur as routinely and settling, processing information with Options 6, Section 5, titled ‘‘Transfer of repeatedly as a market participant Positions.’’ The proposed rule change is respect to, and facilitating transactions would like. These transfers will in securities, to remove impediments to similar to Cboe Exchange, Inc. (‘‘Cboe’’) continue to be subject to the prohibition Rule 6.7.5 and perfect the mechanism of a free and on netting set forth in Options 6, open market and a national market Options 6, Section 5 permits market Section 5(b), and thus may not result in participants to move positions from one system, and, in general, to protect the closing of any positions. While the investors and the public interest. account to another without first position transfers permitted by Options exposure of the transaction on the Additionally, the Exchange believes the Exchange, provided certain exceptions proposed rule change is consistent with are to be transferred on, from, or to the books of a the Section 6(b)(5) 11 requirement that are met. Specifically, Options 6, Section Clearing Member may be transferred off the 5(a)(2) 6 provides that transfers of Exchange if the transfer involves one or more of the the rules of an exchange not be designed following events: ..... (2) the transfer of to permit unfair discrimination between positions from one account to another account 3 customers, issuers, brokers, or dealers. 15 U.S.C. 78s(b)(3)(A)(iii). where no change in ownership is involved (i.e., 4 In particular, the Exchange believes 17 CFR 240.19b–4(f)(6). accounts of the same Person, provided the accounts 5 See Securities and Exchange Act Release No. are not in separate aggregation units or otherwise the proposed rule change will remove 89389 (July 23, 2020), 85 FR 45709 (July 29, 2020) subject to information barrier or account segregation impediments to and perfect the (SR–Cboe–2020–067) (Notice of Filing and requirements . . .’’ mechanism of a free and open market Immediate Effectiveness of a Proposed Rule Change 7 For purposes of this rule, the term ‘‘Person’’ as to Amend Rule 6.7 Concerning Off-Floor Transfers). an individual, partnership (general or limited), joint 8 6 Options 6, Section 5(a) states, ‘‘Permissible stock company, corporation, limited liability 15 U.S.C. 78f(b). Transfers. Existing positions in options listed on company, trust, or unincorporated organization, or 9 15 U.S.C. 78f(b)(5). the Exchange of a member or member organization any governmental entity or agency or political 10 Id. or non-member or non-member organization that subdivision thereof. See Options 6, Section 5(a). 11 Id.
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and a national market system, and, in may not be closed pursuant to the A proposed rule change filed under general, to protect investors and the transfer and will continue to be subject Rule 19b–4(f)(6) 14 normally does not public interest because it will provide to OCC rules, as they will continue to become operative for 30 days after the market participants with a more be held in an account with an OCC date of the filing. However, pursuant to efficient process to transfer open clearing member. Rule 19b–4(f)(6)(iii),15 the Commission positions between their own accounts in B. Self-Regulatory Organization’s may designate a shorter time if such accordance with their own business and Statement on Burden on Competition action is consistent with the protection trading needs, including to respond to of investors and the public interest. The then-current market conditions. Because The Exchange does not believe that Exchange has asked the Commission to these transfers would not result in a the proposed rule change will impose waive the 30-day operative delay to so change in ownership or a reduction in any burden on competition that is not that it may adopt the proposed position open interest, the Exchange believes the necessary or appropriate in furtherance transfer rules as soon as possible which, proposed rule change remains of the purposes of the Act. The according to the Exchange, would consistent with the purpose of Options proposed rule change is not intended to benefit investors and the general public 6, Section 5, which was to prohibit use address competitive issues. The because it will provide Participants with of the transfer procedure in Exchange does not believe that the the ability to request a transfer, for circumvention of the normal auction proposed rule change will impose any limited, non-recurring types of transfers, process, as the normal auction process burden on intramarket competition that without the need for exposing those involves the opening or closing of is not necessary or appropriate in orders on the Exchange. The proposed positions through a transaction among furtherance of the purposes of the Act rule change does not present any unique multiple market participants. Market because the proposed rule change will or novel regulatory issues and is participants may maintain different apply to all market participants in the substantively identical to provisions in accounts for a variety of reasons, such same manner. All market participants Cboe Rule 6.7. Accordingly, the as the structure of their businesses, the will be able to effect position transfers Commission hereby waives the manner in which they trade, their risk pursuant to Options 6, Section 5(a)(2) operative delay and designates the on a recurring or routine basis without management procedures, and for capital proposal operative upon filing.16 purposes. Given that these transfers may providing the Exchange with notice of occur on a regular basis in accordance such transfers. The Exchange does not At any time within 60 days of the with a market participants’ business believe the proposed rule change will filing of the proposed rule change, the needs and procedures, the Exchange impose any burden on intermarket Commission summarily may believes prior written notice would be competition that is not necessary or temporarily suspend such rule change if onerous and would not serve any appropriate in furtherance of the it appears to the Commission that such purpose given the lack of change in purposes of the Act, because it relates action is necessary or appropriate in the ownership and in open interest. solely to the notice required for transfers public interest, for the protection of Therefore, the proposed rule change that may occur today, and the frequency investors, or otherwise in furtherance of will benefit investors by permitting with which those transfers may occur. the purposes of the Act. If the market participants to manage the open These transfers will continue to not Commission takes such action, the positions in their accounts in a manner result in a change in ownership or Commission will institute proceedings consistent with their businesses. netting, and thus will have no impact on to determine whether the proposed rule change should be approved or The Exchange recognizes the outstanding option positions. disapproved. numerous benefits of executing options C. Self-Regulatory Organization’s transactions on an exchange, including Statement on Comments on the IV. Solicitation of Comments price transparency, potential price Proposed Rule Change Received From improvement, and a clearing guarantee. Members, Participants, or Others Interested persons are invited to However, the Exchange believes it is submit written data, views, and No written comments were either arguments concerning the foregoing, appropriate to permit position transfers solicited or received. among accounts of the same individual including whether the proposed rule or legal entity where there is no impact III. Date of Effectiveness of the change is consistent with the Act. on open interest to occur off the Proposed Rule Change and Timing for Comments may be submitted by any of exchange, as these benefits are Commission Action the following methods: inapplicable to those transfers. These Because the foregoing proposed rule Electronic Comments transfers have a narrow scope and are change does not: (i) Significantly affect intended to permit market participants the protection of investors or the public • Use the Commission’s internet to achieve their own business needs. interest; (ii) impose any significant comment form (http://www.sec.gov/ These transfers are not intended to be a burden on competition; and (iii) become rules/sro.shtml); or competitive trading tool. There is no operative for 30 days from the date on • Send an email to rule-comments@ need for price discovery or which it was filed, or such shorter time sec.gov. Please include File Number SR– improvement, as the transfer merely as the Commission may designate, it has Phlx–2020–39 on the subject line. moves positions to different accounts become effective pursuant to Section for the same Person and does not open 12 19(b)(3)(A) of the Act and Rule 19b– of the proposed rule change, or such shorter time or close any positions. These transfers 4(f)(6) thereunder.13 as designated by the Commission. The Exchange will result in no change in ownership. has satisfied this requirement. The transactions that resulted in the 12 15 U.S.C. 78s(b)(3)(A). 14 17 CFR 240.19b–4(f)(6). open positions to be transferred 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 15 17 CFR 240.19b–4(f)(6)(iii). pursuant to Options 6, Section 5(a)(2) 4(f)(6)(iii) requires a self-regulatory organization to 16 For purposes only of waiving the 30-day give the Commission written notice of its intent to operative delay, the Commission has also were already guaranteed by a clearing file the proposed rule change, along with a brief considered the proposed rule’s impact on member of The Options Clearing description and text of the proposed rule change, efficiency, competition, and capital formation. See Corporation (‘‘OCC’’), and the positions at least five business days prior to the date of filing 15 U.S.C. 78c(f).
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Paper Comments SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s Statement of the Purpose of, and • COMMISSION Send paper comments in triplicate Statutory Basis for, the Proposed Rule to Secretary, Securities and Exchange [Release No. 34–89574; File No. SR– Change Commission, 100 F Street NE, NASDAQ–2020–050] Washington, DC 20549–1090. 1. Purpose The Exchange proposes to amend All submissions should refer to File Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Options 6, Section 5, titled ‘‘Transfer of Number SR–Phlx–2020–39. This file Positions.’’ The proposed rule change is number should be included on the Filing and Immediate Effectiveness of Proposed Rule Change To Amend similar to Cboe Exchange, Inc. (‘‘Cboe’’) subject line if email is used. To help the Options 6, Section 5 (Transfer of Rule 6.7.5 Commission process and review your Positions) Options 6, Section 5 permits market comments more efficiently, please use participants to move positions from one only one method. The Commission will August 17, 2020. account to another without first post all comments on the Commission’s Pursuant to Section 19(b)(1) of the exposure of the transaction on the internet website (http://www.sec.gov/ Securities Exchange Act of 1934 (the Exchange, provided certain exceptions rules/sro.shtml). Copies of the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 are met. Specifically, Options 6, Section submission, all subsequent notice is hereby given that on August 6, 5(a)(2) 6 provides that transfers of amendments, all written statements 2020, The Nasdaq Stock Market LLC positions are permissible if from one with respect to the proposed rule (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the account to another account where no change that are filed with the Securities and Exchange Commission change in ownership is involved (i.e., Commission, and all written (the ‘‘Commission’’) the proposed rule accounts of the same Person),7 provided communications relating to the change as described in Items I and II the accounts are not in separate proposed rule change between the below, which Items have been prepared aggregation units or otherwise subject to Commission and any person, other than by the Exchange. The Exchange filed the information barrier or account those that may be withheld from the proposal as a ‘‘non-controversial’’ segregation requirements. These public in accordance with the proposed rule change pursuant to transfers are subject to, among other provisions of 5 U.S.C. 552, will be Section 19(b)(3)(A)(iii) of the Act 3 and things, the requirement to submit prior 4 written notice of the transfers to the available for website viewing and Rule 19b–4(f)(6) thereunder. The Exchange pursuant to Options 6, printing in the Commission’s Public Commission is publishing this notice to Section 5(d) and the restriction on Reference Room, 100 F Street NE, solicit comments on the proposed rule change from interested persons. effecting these transfers repeatedly or Washington, DC 20549 on official routinely. business days between the hours of I. Self-Regulatory Organization’s The proposed rule change excepts 10:00 a.m. and 3:00 p.m. Copies of the Statement of the Terms of Substance of position transfers effected pursuant to filing also will be available for the Proposed Rule Change Options 6, Section(a)(2) from the prior inspection and copying at the principal The Exchange proposes to amend The written notice requirement in paragraph office of the Exchange. All comments Nasdaq Options Market LLC Rules at (d) and from repeated, recurring use received will be posted without change; Options 6, Section 5, titled ‘‘Transfer of restriction in paragraph (g). Position the Commission does not edit personal Positions.’’ transfers pursuant to Options 6, identifying information from Section(a)(2) do not involve a change in submissions. You should submit only The text of the proposed rule change ownership. In other words, such information that you wish to make is available on the Exchange’s website at transfers may only occur between the https://listingcenter.nasdaq.com/ available publicly. All submissions same individual or legal entity. These rulebook/nasdaq/rules, at the principal should refer to File Number SR–Phlx– types of transfers are merely transfers of office of the Exchange, and at the positions from one account to another, 2020–39 and should be submitted on or Commission’s Public Reference Room. before September 11, 2020. both of which accounts are attributable II. Self-Regulatory Organization’s to the same individual or legal entity, For the Commission, by the Division of Statement of the Purpose of, and Trading and Markets, pursuant to delegated Statutory Basis for, the Proposed Rule 5 See Securities and Exchange Act Release No. authority.17 Change 89389 (July 23, 2020), 85 FR 45709 (July 29, 2020) J. Matthew DeLesDernier, (SR–Cboe–2020–067) (Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Assistant Secretary. In its filing with the Commission, the to Amend Rule 6.7 Concerning Off-Floor Transfers). Exchange included statements 6 Options 6, Section 5(a) states, ‘‘Permissible concerning the purpose of and basis for Transfers. Existing positions in options listed on the proposed rule change and discussed the Exchange of a Participant or non-Participant [FR Doc. 2020–18348 Filed 8–20–20; 8:45 am] any comments it received on the that are to be transferred on, from, or to the books of a Clearing Participant may be transferred off the BILLING CODE 8011–01–P proposed rule change. The text of these Exchange if the transfer involves on or more of the statements may be examined at the following events: .... (2) the transfer of positions places specified in Item IV below. The from one account to another account where no Exchange has prepared summaries, set change in ownership is involved (i.e., accounts of the same Person, provided the accounts are not in forth in sections A, B, and C below, of separate aggregation units or otherwise subject to the most significant aspects of such information barrier or account segregation statements. requirements;. . .’’ 7 For purposes of this rule, the term ‘‘Person’’ as an individual, partnership (general or limited), joint 1 15 U.S.C. 78s(b)(1). stock company, corporation, limited liability 2 17 CFR 240.19b–4. company, trust, or unincorporated organization, or 3 15 U.S.C. 78s(b)(3)(A)(iii). any governmental entity or agency or political 17 17 CFR 200.30–3(a)(12). 4 17 CFR 240.19b–4(f)(6). subdivision thereof. See Options 6, Section 5(a).
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and thus the transferred option the Section 6(b)(5) 10 requirements that price transparency, potential price positions will continue to be the rules of an exchange be designed to improvement, and a clearing guarantee. attributable to the same Person. A prevent fraudulent and manipulative However, the Exchange believes it is market participant effecting an position acts and practices, to promote just and appropriate to permit position transfers transfer pursuant to Options 6, Section equitable principles of trade, to foster among accounts of the same individual 5(a)(2) is analogous to an individual cooperation and coordination with or legal entity where there is no impact transferring funds from a checking persons engaged in regulating, clearing, on open interest to occur off the account to a savings account, or from an settling, processing information with exchange, as these benefits are account at one bank to an account at respect to, and facilitating transactions inapplicable to those transfers. These another bank—the money still belongs in securities, to remove impediments to transfers have a narrow scope and are to the same person, who is just holding and perfect the mechanism of a free and intended to permit market participants open market and a national market it in a different account for personal to achieve their own business needs. system, and, in general, to protect financial reasons. These transfers are not intended to be a investors and the public interest. Because there is no change in competitive trading tool. There is no ownership of positions transferred Additionally, the Exchange believes the proposed rule change is consistent with need for price discovery or pursuant to Options 6, Section 5(a)(2), improvement, as the transfer merely the Exchange believes it is appropriate the Section 6(b)(5) 11 requirement that the rules of an exchange not be designed moves positions to different accounts to permit them to occur as routinely and for the same Person and does not open repeatedly as a market participant to permit unfair discrimination between or close any positions. These transfers would like. These transfers will customers, issuers, brokers, or dealers. will result in no change in ownership. continue to be subject to the prohibition In particular, the Exchange believes The transactions that resulted in the on netting set forth in Options 6, the proposed rule change will remove Section 5(b), and thus may not result in impediments to and perfect the open positions to be transferred the closing of any positions. While the mechanism of a free and open market pursuant to Options 6, Section 5(a)(2) position transfers permitted by Options and a national market system, and, in were already guaranteed by a clearing 6, Section 5 were intended to general, to protect investors and the member of The Options Clearing accommodate non-routine and non- public interest because it will provide Corporation (‘‘OCC’’), and the positions recurring transfers, the Exchange market participants with a more may not be closed pursuant to the believes permitting routine, recurring efficient process to transfer open transfer and will continue to be subject positions between their own accounts in position transfers that do not result in to OCC rules, as they will continue to accordance with their own business and a change in ownership or reduction in be held in an account with an OCC trading needs, including to respond to open interest is consistent with the clearing member. then-current market conditions. Because purpose of not being used to circumvent these transfers would not result in a B. Self-Regulatory Organization’s the normal auction purpose. change in ownership or a reduction in Statement on Burden on Competition Additionally, given that these transfers open interest, the Exchange believes the may occur on a regular basis in proposed rule change remains The Exchange does not believe that accordance with a market participants’ consistent with the purpose of Options the proposed rule change will impose business needs and procedures, the 6, Section 5, which was to prohibit use any burden on competition that is not Exchange believes prior written notice of the transfer procedure in necessary or appropriate in furtherance would be onerous and would not serve circumvention of the normal auction of the purposes of the Act. The any purpose given the lack of change in process, as the normal auction process proposed rule change is not intended to ownership and in open interest. The involves the opening or closing of address competitive issues. The Exchange believes this will provide positions through a transaction among Exchange does not believe that the market participants with additional multiple market participants. Market proposed rule change will impose any flexibility to structure their option participants may maintain different burden on intramarket competition that position accounts as they believe is accounts for a variety of reasons, such is not necessary or appropriate in appropriate and move their positions as the structure of their businesses, the furtherance of the purposes of the Act between accounts as they deem manner in which they trade, their risk because the proposed rule change will necessary and appropriate for their management procedures, and for capital apply to all market participants in the business and trading needs, including purposes. Given that these transfers may for risk management purposes. same manner. All market participants occur on a regular basis in accordance will be able to effect position transfers The proposed rule change also with a market participants’ business pursuant to Options 6, Section 5(a)(2) corrects an erroneous cross-reference in needs and procedures, the Exchange Rule Options 6, Section 5(d)(1), as the on a recurring or routine basis without believes prior written notice would be providing the Exchange with notice of method for determining the transfer onerous and would not serve any price is in paragraph (c) rather than such transfers. The Exchange does not purpose given the lack of change in believe the proposed rule change will paragraph (e) of Options 6, Section 5. ownership and in open interest. impose any burden on intermarket Therefore, the proposed rule change 2. Statutory Basis competition that is not necessary or will benefit investors by permitting appropriate in furtherance of the The Exchange believes that its market participants to manage the open purposes of the Act, because it relates proposal is consistent with Section 6(b) positions in their accounts in a manner of the Act,8 in general, and furthers the consistent with their businesses. solely to the notice required for transfers objectives of Section 6(b)(5) of the Act.9 The Exchange recognizes the that may occur today, and the frequency Specifically, the Exchange believes the numerous benefits of executing options with which those transfers may occur. proposed rule change is consistent with transactions on an exchange, including These transfers will continue to not result in a change in ownership or 8 15 U.S.C. 78f(b). 10 Id. netting, and thus will have no impact on 9 15 U.S.C. 78f(b)(5). 11 Id. outstanding option positions.
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C. Self-Regulatory Organization’s public interest, for the protection of submitted on or before September 11, Statement on Comments on the investors, or otherwise in furtherance of 2020. Proposed Rule Change Received From the purposes of the Act. If the For the Commission, by the Division of Members, Participants, or Others Commission takes such action, the Trading and Markets, pursuant to delegated No written comments were either Commission will institute proceedings authority.17 solicited or received. to determine whether the proposed rule J. Matthew DeLesDernier, change should be approved or Assistant Secretary. III. Date of Effectiveness of the disapproved. Proposed Rule Change and Timing for [FR Doc. 2020–18352 Filed 8–20–20; 8:45 am] Commission Action IV. Solicitation of Comments BILLING CODE 8011–01–P Because the foregoing proposed rule Interested persons are invited to submit written data, views, and change does not: (i) Significantly affect arguments concerning the foregoing, SECURITIES AND EXCHANGE the protection of investors or the public including whether the proposed rule COMMISSION interest; (ii) impose any significant change is consistent with the Act. burden on competition; and (iii) become [Release No. 34–89577; File No. SR–MRX– Comments may be submitted by any of 2020–15] operative for 30 days from the date on the following methods: which it was filed, or such shorter time Self-Regulatory Organizations; Nasdaq as the Commission may designate, it has Electronic Comments MRX, LLC; Notice of Filing and become effective pursuant to Section • Use the Commission’s internet Immediate Effectiveness of Proposed 19(b)(3)(A) of the Act 12 and Rule 19b– comment form (http://www.sec.gov/ Rule Change To Amend Options 6, 4(f)(6) thereunder.13 rules/sro.shtml); or Section 5 (Transfer of Positions) A proposed rule change filed under • Send an email to rule-comments@ Rule 19b–4(f)(6) 14 normally does not sec.gov. Please include File Number SR– August 17, 2020. become operative for 30 days after the NASDAQ–2020–050 on the subject line. Pursuant to Section 19(b)(1) of the date of the filing. However, pursuant to Securities Exchange Act of 1934 (the Rule 19b–4(f)(6)(iii),15 the Commission Paper Comments ‘‘Act’’),1 and Rule 19b–4 thereunder,2 may designate a shorter time if such • Send paper comments in triplicate notice is hereby given that on August 6, action is consistent with the protection to Secretary, Securities and Exchange 2020, Nasdaq MRX, LLC (‘‘MRX’’ or of investors and the public interest. The Commission, 100 F Street NE, ‘‘Exchange’’) filed with the Securities Exchange has asked the Commission to Washington, DC 20549–1090. and Exchange Commission (the waive the 30-day operative delay to so All submissions should refer to File ‘‘Commission’’) the proposed rule that it may adopt the proposed position Number SR–NASDAQ–2020–050. This change as described in Items I and II transfer rules as soon as possible which, file number should be included on the below, which Items have been prepared according to the Exchange, would subject line if email is used. To help the by the Exchange. The Exchange filed the benefit investors and the general public Commission process and review your proposal as a ‘‘non-controversial’’ because it will provide Participants with comments more efficiently, please use proposed rule change pursuant to the ability to request a transfer, for only one method. The Commission will Section 19(b)(3)(A)(iii) of the Act 3 and limited, non-recurring types of transfers, post all comments on the Commission’s Rule 19b–4(f)(6) thereunder.4 The without the need for exposing those internet website (http://www.sec.gov/ Commission is publishing this notice to orders on the Exchange. The proposed rules/sro.shtml). Copies of the solicit comments on the proposed rule rule change does not present any unique submission, all subsequent change from interested persons. or novel regulatory issues and is amendments, all written statements I. Self-Regulatory Organization’s substantively identical to provisions in with respect to the proposed rule Statement of the Terms of Substance of Cboe Rule 6.7. Accordingly, the change that are filed with the the Proposed Rule Change Commission hereby waives the Commission, and all written operative delay and designates the communications relating to the The Exchange proposes to amend proposal operative upon filing.16 proposed rule change between the Options 6, Section 5, titled ‘‘Transfer of At any time within 60 days of the Commission and any person, other than Positions.’’ filing of the proposed rule change, the those that may be withheld from the The text of the proposed rule change Commission summarily may public in accordance with the is available on the Exchange’s website at temporarily suspend such rule change if provisions of 5 U.S.C. 552, will be https://listingcenter.nasdaq.com/ it appears to the Commission that such available for website viewing and rulebook/mrx/rules, at the principal action is necessary or appropriate in the printing in the Commission’s Public office of the Exchange, and at the Reference Room, 100 F Street NE, Commission’s Public Reference Room. 12 15 U.S.C. 78s(b)(3)(A). Washington, DC 20549 on official II. Self-Regulatory Organization’s 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– business days between the hours of 4(f)(6)(iii) requires a self-regulatory organization to Statement of the Purpose of, and give the Commission written notice of its intent to 10:00 a.m. and 3:00 p.m. Copies of the Statutory Basis for, the Proposed Rule file the proposed rule change, along with a brief filing also will be available for Change description and text of the proposed rule change, inspection and copying at the principal In its filing with the Commission, the at least five business days prior to the date of filing office of the Exchange. All comments of the proposed rule change, or such shorter time Exchange included statements received will be posted without change; as designated by the Commission. The Exchange concerning the purpose of and basis for the Commission does not edit personal has satisfied this requirement. the proposed rule change and discussed 14 17 CFR 240.19b–4(f)(6). identifying information from 15 17 CFR 240.19b–4(f)(6)(iii). submissions. You should submit only 17 17 CFR 200.30–3(a)(12). 16 For purposes only of waiving the 30-day information that you wish to make 1 operative delay, the Commission has also 15 U.S.C. 78s(b)(1). considered the proposed rule’s impact on available publicly. All submissions 2 17 CFR 240.19b–4. efficiency, competition, and capital formation. See should refer to File Number SR– 3 15 U.S.C. 78s(b)(3)(A)(iii). 15 U.S.C. 78c(f). NASDAQ–2020–050 and should be 4 17 CFR 240.19b–4(f)(6).
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any comments it received on the Section(a)(2) do not involve a change in of the Act,8 in general, and furthers the proposed rule change. The text of these ownership. In other words, such objectives of Section 6(b)(5) of the Act.9 statements may be examined at the transfers may only occur between the Specifically, the Exchange believes the places specified in Item IV below. The same individual or legal entity. These proposed rule change is consistent with Exchange has prepared summaries, set types of transfers are merely transfers of the Section 6(b)(5) 10 requirements that forth in sections A, B, and C below, of positions from one account to another, the rules of an exchange be designed to the most significant aspects of such both of which accounts are attributable prevent fraudulent and manipulative statements. to the same individual or legal entity, acts and practices, to promote just and and thus the transferred option equitable principles of trade, to foster A. Self-Regulatory Organization’s positions will continue to be cooperation and coordination with Statement of the Purpose of, and attributable to the same Person. A persons engaged in regulating, clearing, Statutory Basis for, the Proposed Rule market participant effecting an position settling, processing information with Change transfer pursuant to Options 6, Section respect to, and facilitating transactions 1. Purpose 5(a)(2) is analogous to an individual in securities, to remove impediments to The Exchange proposes to amend transferring funds from a checking and perfect the mechanism of a free and Options 6, Section 5, titled ‘‘Transfer of account to a savings account, or from an open market and a national market Positions.’’ The proposed rule change is account at one bank to an account at system, and, in general, to protect similar to Cboe Exchange, Inc. (‘‘Cboe’’) another bank—the money still belongs investors and the public interest. Rule 6.7.5 to the same person, who is just holding Additionally, the Exchange believes the Options 6, Section 5 permits market it in a different account for personal proposed rule change is consistent with participants to move positions from one financial reasons. the Section 6(b)(5) 11 requirement that account to another without first Because there is no change in the rules of an exchange not be designed exposure of the transaction on the ownership of positions transferred to permit unfair discrimination between Exchange, provided certain exceptions pursuant to Options 6, Section 5(a)(2), customers, issuers, brokers, or dealers. are met. Specifically, Options 6, Section the Exchange believes it is appropriate In particular, the Exchange believes 5(a)(2) 6 provides that transfers of to permit them to occur as routinely and the proposed rule change will remove positions are permissible if from one repeatedly as a market participant impediments to and perfect the account to another account where no would like. These transfers will mechanism of a free and open market change in ownership is involved (i.e., continue to be subject to the prohibition and a national market system, and, in accounts of the same Person),7 provided on netting set forth in Options 6, general, to protect investors and the the accounts are not in separate Section 5(b), and thus may not result in public interest because it will provide aggregation units or otherwise subject to the closing of any positions. While the market participants with a more information barrier or account position transfers permitted by Options efficient process to transfer open segregation requirements. These 6, Section 5 were intended to positions between their own accounts in transfers are subject to, among other accommodate non-routine and non- accordance with their own business and things, the requirement to submit prior recurring transfers, the Exchange trading needs, including to respond to written notice of the transfers to the believes permitting routine, recurring then-current market conditions. Because Exchange pursuant to Options 6, position transfers that do not result in these transfers would not result in a Section 5(d) and the restriction on a change in ownership or reduction in change in ownership or a reduction in effecting these transfers repeatedly or open interest is consistent with the open interest, the Exchange believes the routinely. purpose of not being used to circumvent proposed rule change remains The proposed rule change excepts the normal auction purpose. consistent with the purpose of Options position transfers effected pursuant to Additionally, given that these transfers 6, Section 5, which was to prohibit use Options 6, Section(a)(2) from the prior may occur on a regular basis in of the transfer procedure in written notice requirement in paragraph accordance with a market participants’ circumvention of the normal auction (d) and from repeated, recurring use business needs and procedures, the process, as the normal auction process restriction in paragraph (g). Position Exchange believes prior written notice involves the opening or closing of transfers pursuant to Options 6, would be onerous and would not serve positions through a transaction among any purpose given the lack of change in multiple market participants. Market 5 See Securities and Exchange Act Release No. ownership and in open interest. The participants may maintain different 89389 (July 23, 2020), 85 FR 45709 (July 29, 2020) Exchange believes this will provide accounts for a variety of reasons, such (SR-Cboe-2020–067) (Notice of Filing and market participants with additional as the structure of their businesses, the Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.7 Concerning Off-Floor Transfers). flexibility to structure their option manner in which they trade, their risk 6 Options 6, Section 5(a) states, ‘‘Permissible position accounts as they believe is management procedures, and for capital Transfers. Existing positions in options listed on appropriate and move their positions purposes. Given that these transfers may the Exchange of a Member or non-Member that are between accounts as they deem occur on a regular basis in accordance to be transferred on, from, or to the books of a necessary and appropriate for their Clearing Member may be transferred off the with a market participants’ business Exchange if the transfer involves on or more of the business and trading needs, including needs and procedures, the Exchange following events:. . . (2) the transfer of positions for risk management purposes. believes prior written notice would be from one account to another account where no The proposed rule change also onerous and would not serve any change in ownership is involved (i.e., accounts of corrects an erroneous cross-reference in the same Person, provided the accounts are not in purpose given the lack of change in separate aggregation units or otherwise subject to Rule Options 6, Section 5(d)(1), as the ownership and in open interest. information barrier or account segregation method for determining the transfer Therefore, the proposed rule change requirements; . . .’’ price is in paragraph (c) rather than will benefit investors by permitting 7 For purposes of this rule, the term ‘‘Person’’ as paragraph (e) of Options 6, Section 5. an individual, partnership (general or limited), joint 8 stock company, corporation, limited liability 2. Statutory Basis 15 U.S.C. 78f(b). company, trust, or unincorporated organization, or 9 15 U.S.C. 78f(b)(5). any governmental entity or agency or political The Exchange believes that its 10 Id. subdivision thereof. See Options 6, Section 5(a). proposal is consistent with Section 6(b) 11 Id.
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market participants to manage the open result in a change in ownership or temporarily suspend such rule change if positions in their accounts in a manner netting, and thus will have no impact on it appears to the Commission that such consistent with their businesses. outstanding option positions. action is necessary or appropriate in the The Exchange recognizes the public interest, for the protection of C. Self-Regulatory Organization’s numerous benefits of executing options investors, or otherwise in furtherance of Statement on Comments on the transactions on an exchange, including the purposes of the Act. If the Proposed Rule Change Received From price transparency, potential price Commission takes such action, the Members, Participants, or Others improvement, and a clearing guarantee. Commission will institute proceedings However, the Exchange believes it is No written comments were either to determine whether the proposed rule appropriate to permit position transfers solicited or received. change should be approved or among accounts of the same individual III. Date of Effectiveness of the disapproved. or legal entity where there is no impact Proposed Rule Change and Timing for IV. Solicitation of Comments on open interest to occur off the Commission Action exchange, as these benefits are Interested persons are invited to inapplicable to those transfers. These Because the foregoing proposed rule submit written data, views, and transfers have a narrow scope and are change does not: (i) Significantly affect arguments concerning the foregoing, intended to permit market participants the protection of investors or the public including whether the proposed rule to achieve their own business needs. interest; (ii) impose any significant change is consistent with the Act. These transfers are not intended to be a burden on competition; and (iii) become Comments may be submitted by any of competitive trading tool. There is no operative for 30 days from the date on the following methods: which it was filed, or such shorter time need for price discovery or Electronic Comments improvement, as the transfer merely as the Commission may designate, it has • moves positions to different accounts become effective pursuant to Section Use the Commission’s internet for the same Person and does not open 19(b)(3)(A) of the Act 12 and Rule 19b- comment form (http://www.sec.gov/ 4(f)(6) thereunder.13 rules/sro.shtml); or or close any positions. These transfers • will result in no change in ownership. A proposed rule change filed under Send an email to rule-comments@ 14 The transactions that resulted in the Rule 19b–4(f)(6) normally does not sec.gov. Please include File Number SR– open positions to be transferred become operative for 30 days after the MRX–2020–15 on the subject line. pursuant to Options 6, Section 5(a)(2) date of the filing. However, pursuant to 15 Paper Comments were already guaranteed by a clearing Rule 19b–4(f)(6)(iii), the Commission • Send paper comments in triplicate member of The Options Clearing may designate a shorter time if such to Secretary, Securities and Exchange Corporation (‘‘OCC’’), and the positions action is consistent with the protection Commission, 100 F Street NE, may not be closed pursuant to the of investors and the public interest. The Washington, DC 20549–1090. transfer and will continue to be subject Exchange has asked the Commission to to OCC rules, as they will continue to waive the 30-day operative delay to so All submissions should refer to File be held in an account with an OCC that it may adopt the proposed position Number SR–MRX–2020–15. This file clearing member. transfer rules as soon as possible which, number should be included on the according to the Exchange, would subject line if email is used. To help the B. Self-Regulatory Organization’s benefit investors and the general public Commission process and review your Statement on Burden on Competition because it will provide Participants with comments more efficiently, please use The Exchange does not believe that the ability to request a transfer, for only one method. The Commission will the proposed rule change will impose limited, non-recurring types of transfers, post all comments on the Commission’s any burden on competition that is not without the need for exposing those internet website (http://www.sec.gov/ necessary or appropriate in furtherance orders on the Exchange. The proposed rules/sro.shtml). Copies of the of the purposes of the Act. The rule change does not present any unique submission, all subsequent proposed rule change is not intended to or novel regulatory issues and is amendments, all written statements address competitive issues. The substantively identical to provisions in with respect to the proposed rule Exchange does not believe that the Cboe Rule 6.7. Accordingly, the change that are filed with the proposed rule change will impose any Commission hereby waives the Commission, and all written burden on intramarket competition that operative delay and designates the communications relating to the is not necessary or appropriate in proposal operative upon filing.16 proposed rule change between the furtherance of the purposes of the Act At any time within 60 days of the Commission and any person, other than because the proposed rule change will filing of the proposed rule change, the those that may be withheld from the apply to all market participants in the Commission summarily may public in accordance with the same manner. All market participants provisions of 5 U.S.C. 552, will be will be able to effect position transfers 12 15 U.S.C. 78s(b)(3)(A). available for website viewing and pursuant to Options 6, Section 5(a)(2) 13 17 CFR 240.19b-4(f)(6). In addition, Rule 19b- printing in the Commission’s Public 4(f)(6)(iii) requires a self-regulatory organization to on a recurring or routine basis without give the Commission written notice of its intent to Reference Room, 100 F Street NE, providing the Exchange with notice of file the proposed rule change, along with a brief Washington, DC 20549 on official such transfers. The Exchange does not description and text of the proposed rule change, business days between the hours of believe the proposed rule change will at least five business days prior to the date of filing 10:00 a.m. and 3:00 p.m. Copies of the of the proposed rule change, or such shorter time impose any burden on intermarket as designated by the Commission. The Exchange filing also will be available for competition that is not necessary or has satisfied this requirement. inspection and copying at the principal appropriate in furtherance of the 14 17 CFR 240.19b–4(f)(6). office of the Exchange. All comments purposes of the Act, because it relates 15 17 CFR 240.19b–4(f)(6)(iii). received will be posted without change; solely to the notice required for transfers 16 For purposes only of waiving the 30-day the Commission does not edit personal operative delay, the Commission has also that may occur today, and the frequency considered the proposed rule’s impact on identifying information from with which those transfers may occur. efficiency, competition, and capital formation. See submissions. You should submit only These transfers will continue to not 15 U.S.C. 78c(f). information that you wish to make
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available publicly. All submissions sell penny stocks to unsophisticated SECURITIES AND EXCHANGE should refer to File Number SR–MRX– customers. COMMISSION 2020–15 and should be submitted on or The Commission staff estimates that [Release No. 34–89583; File No. SR– before September 11, 2020. there are approximately 182 broker- CboeBZX–2020–063] For the Commission, by the Division of dealers subject to the Rule. The burden Trading and Markets, pursuant to delegated of the Rule on a respondent varies Self-Regulatory Organizations; Cboe 17 authority. widely depending on the frequency BZX Exchange, Inc.; Notice of Filing with which new customers are solicited. and Immediate Effectiveness of a J. Matthew DeLesDernier, On the average for all respondents, the Proposed Rule Change Relating To Adopt Fees for a New Data Product on Assistant Secretary. staff has estimated that respondents its Equity Options Platform To Be [FR Doc. 2020–18344 Filed 8–20–20; 8:45 am] process three new customers per week, Known as Intraday Open-Close Data BILLING CODE 8011–01–P or approximately 156 new customer suitability determinations per year. We August 17, 2020. SECURITIES AND EXCHANGE also estimate that a broker-dealer would Pursuant to Section 19(b)(1) of the COMMISSION expend approximately one-half hour per Securities Exchange Act of 1934 (the new customer in obtaining, reviewing, ‘‘Act’’),1 and Rule 19b–4 thereunder,2 [SEC File No. 270–325, OMB Control No. and processing (including transmitting notice is hereby given that on August 3, 3235–0385] to the customer) the information 2020, Cboe BZX Exchange, Inc. (the required by Rule 15g–9, and each ‘‘Exchange’’ or ‘‘BZX’’) filed with the Proposed Collection; Comment respondent would consequently spend Securities and Exchange Commission Request 78 hours annually (156 customers × .5 (the ‘‘Commission’’) the proposed rule change as described in Items I, II, and Upon Written Request, Copies Available hours) obtaining the information required in the rule. We determined, III below, which Items have been From: Securities and Exchange prepared by the Exchange. The Commission, Office of FOIA Services, based on the estimate of 182 broker- dealer respondents, that the current Commission is publishing this notice to 100 F Street NE, Washington, DC solicit comments on the proposed rule annual burden of Rule 15g–9 is 14,196 20549–2736 change from interested persons. hours (182 respondents × 78 hours). Extension: Rule 15g–9 Written comments are invited on: (a) I. Self-Regulatory Organization’s Whether the proposed collection of Statement of the Terms of Substance of Notice is hereby given that pursuant the Proposed Rule Change to the Paperwork Reduction Act of 1995 information is necessary for the proper Cboe BZX Exchange, Inc. (the (44 U.S.C. 3501 et seq.), the Securities performance of the functions of the ‘‘Exchange’’ or ‘‘BZX Options’’) is filing and Exchange Commission agency, including whether the with the Securities and Exchange (‘‘Commission’’) is soliciting comment information shall have practical utility; Commission (‘‘Commission’’) a on the collection of information (b) the accuracy of the agency’s proposed rule change to adopt fees for described below. The Commission plans estimates of the burden of the proposed a new data product on its equity options to submit this existing collection of collection of information; (c) ways to platform (‘‘BZX Options’’) to be known information to the Office of enhance the quality, utility, and clarity as Intraday Open-Close Data. The text of Management and Budget (OMB) for of the information on respondents; and the proposed rule change is provided in extension and approval. (d) ways to minimize the burden of the collection of information on Exhibit 5. Section 15(c)(2) of the Securities The text of the proposed rule change respondents, including through the use Exchange Act of 1934 (15 U.S.C. 78a et is also available on the Exchange’s of automated collection techniques or seq.) (the ‘‘Exchange Act’’) authorizes website (http://markets.cboe.com/us/ the Commission to promulgate rules other forms of information technology. equities/regulation/rule_filings/bzx/), at that prescribe means reasonably Consideration will be given to the Exchange’s Office of the Secretary, designed to prevent fraudulent, comments and suggestions submitted in and at the Commission’s Public deceptive, or manipulative practices in writing within 60 days of this Reference Room. connection with over-the-counter publication. II. Self-Regulatory Organization’s (‘‘OTC’’) securities transactions. An agency may not conduct or Pursuant to this authority, the Statement of the Purpose of, and sponsor, and a person is not required to Commission in 1989 adopted Rule 15a– Statutory Basis for, the Proposed Rule respond to, a collection of information 6, which was subsequently redesignated Change under the PRA unless it displays a as Rule 15g–9, 17 CFR 240.15g–9 (the currently valid OMB control number. In its filing with the Commission, the ‘‘Rule’’). The Rule requires broker- Exchange included statements dealers to produce a written suitability Please direct your written comments concerning the purpose of and basis for determination for, and to obtain a to: David Bottom, Director/Chief the proposed rule change and discussed written customer agreement to, certain Information Officer, Securities and any comments it received on the recommended transactions in penny Exchange Commission, c/o Cynthia proposed rule change. The text of these stocks that are not registered on a Roscoe, 100 F Street NE, Washington, statements may be examined at the national securities exchange, and whose DC 20549, or send an email to: PRA_ places specified in Item IV below. The issuers do not meet certain minimum [email protected]. Exchange has prepared summaries, set financial standards. The Rule is Dated: August 18, 2020. forth in sections A, B, and C below, of intended to prevent the indiscriminate J. Matthew DeLesDernier, the most significant aspects of such use by broker-dealers of fraudulent, high statements. pressure telephone sales campaigns to Assistant Secretary. [FR Doc. 2020–18401 Filed 8–20–20; 8:45 am] 1 15 U.S.C. 78s(b)(1). 17 17 CFR 200.30–3(a)(12). BILLING CODE 8011–01–P 2 17 CFR 240.19b–4.
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A. Self-Regulatory Organization’s broker-dealer, and market maker), side available.5 The proposed subscription Statement of the Purpose of, and of the market (buy or sell), and and ad-hoc fees will apply both to Statutory Basis for, the Proposed Rule transaction type (opening or closing). Members or non-Members. The Change The customer and professional customer Exchange notes that other exchanges volume will be further broken down provide similar data products that may 1. Purpose into trade size buckets (less than 100 be purchased on both a subscription and The Exchange recently adopted a new contracts, 100–199 contracts, greater ad-hoc basis and are similarly priced.6 data product on BZX to be known as than 199 contracts). The Intraday Open- 2. Statutory Basis Intraday Open-Close Data, which will be Close Data is also proprietary BZX trade available for purchase to BZX Members data and does not include trade data The Exchange believes that the and non-Members.3 The Exchange now from any other exchange. In contrast to proposed rule change is consistent with proposes to adopt fees for Intraday the existing Open-Close Data product, Section 6(b) of the Act,7 in general, and Open-Close Data. Cboe LiveVol, LLC the Intraday Open-Close Data will not furthers the objectives of Section 6(b)(5) (‘‘LiveVol’’), a wholly owned subsidiary provide execution price. of the Act,8 in particular, in that it is of the Exchange’s parent company, Cboe The Exchange anticipates a wide designed to prevent fraudulent and Global Markets, Inc., will make the variety of market participants to manipulative acts and practices, to Intraday Open-Close Data available for purchase Intraday Open-Close Data, promote just and equitable principles of purchase to Members and non-Members including, but not limited to, individual trade, to remove impediments to and on the LiveVol DataShop website customers, buy-side investors, and perfect the mechanism of a free and (datashop.cboe.com). investment banks. The Exchange open market and a national market By way of background, the Exchange believes the Intraday Open-Close Data system, and to protect investors and the historically offered Open-Close Data, product may also provide helpful public interest, and that it is not which is an end-of-day volume trading information regarding investor designed to permit unfair summary of trading activity on the sentiment that may allow market discrimination among customers, Exchange at the option level by origin participants to make better trading brokers, or dealers. The Exchange also (customer, professional customer, decisions throughout the day and may believes that its proposal to adopt fees broker-dealer, and market maker), side be used to create and test trading for Intraday Open-Close Data is of the market (buy or sell), price, and models and analytical strategies and consistent with Section 6(b) of the Act transaction type (opening or closing). provides comprehensive insight into in general, and furthers the objectives of The customer and professional customer trading on BZX. For example, intraday Section 6(b)(4) of the Act 9 in particular, volume is further broken down into open data may allow a market in that it is an equitable allocation of trade size buckets (less than 100 participant to identify new interest or dues, fees and other charges among its contracts, 100–199 contracts, greater possible risks throughout the trading members and other recipients of than 199 contracts). The Open-Close day, while intraday closing data may Exchange data. Data is proprietary BZX trade data and allow a market participant to identify In adopting Regulation NMS, the does not include trade data from any fading interests in a security. The Commission granted self-regulatory other exchange. It is also a historical product is a completely voluntary organizations (‘‘SROs’’) and broker- data product and not a real-time data product, in that the Exchange is not dealers increased authority and feed. required by any rule or regulation to flexibility to offer new and unique The Exchange recently adopted a make this data available and that market data to the public. It was similar product: Intraday Open-Close potential subscribers may purchase it believed that this authority would Data. The Intraday Open-Close Data will only if they voluntarily choose to do so. expand the amount of data available to provide similar information to that of The Exchange notes that other consumers, and also spur innovation Open-Close Data but will be produced exchanges offer a similar data product.4 and updated every 10 minutes during The Exchange proposes to provide in 5 For example, a Member or non-Member that the trading day. Data is captured in its Fee Schedule that Members and non- requests historical Intraday Open/Close Data for the ‘‘snapshots’’ taken every 10 minutes Members may purchase Intraday Open- months of January 2020 and February 2020, would throughout the trading day and is Close Data on a subscription basis be assessed a total of $1,000. The Exchange notes that it may make historical data prior to January available to subscribers within five (monthly or annually) or by ad hoc 2020 available in the future and that such historical minutes of the conclusion of each 10- request for a specified month (historical data would be available to all Members or non- minute period. For example, subscribers file). The Exchange proposes to assess a Members. to the intraday product will receive the monthly fee of $1,500 (or $18,000 per 6 See Price List—U.S. Derivatives Data for Nasdaq first calculation of intraday data by PHLX, LLC (‘‘PHLX’’), The Nasdaq Stock Market, year) for subscribing to the data feed. LLC (‘‘Nasdaq’’), Nasdaq ISE, LLC (‘‘ISE’’), and approximately 9:42 a.m. ET, which The Exchange also proposes to assess a Nasaq GEMX, LLC (‘‘GEMX’’), available at http:// represents data captured from 9:30 a.m. fee of $750 per request per month for an www.nasdaqtrader.com/Trader.aspx?id= to 9:40 a.m. Subscribers will receive the ad-hoc request of historical Intraday DPPriceListOptions#web. Particularly, PHLX offers next update at 9:52 a.m., representing ‘‘Nasdaq PHLX Options Trade Outline (PHOTO)’’ Open/Close data covering all Exchange- and assesses $1,500 per month for an intra-day the data previously provided together listed securities. An ad-hoc request can subscription and $750 per month for historical with data captured from 9:40 a.m. be for any number of months beginning reports; Nasdaq offers the ‘‘Nasdaq Options Trade through 9:50 a.m., and so forth. Each with January 2020 for which the data is Outline (NOTO)’’ and assesses $750 per month for update will represent the aggregate data an intra-day subscription and $500 per month for historical reports; ISE offers the ‘‘Nasdaq ISE Open/ 4 captured from the current ‘‘snapshot’’ See Securities Exchange Act Release No. 61317 Close Trade Profile’’ and assesses $2,000 per month and all previous ‘‘snapshots.’’ The (January 8, 2010), 75 FR 2915 (January 19, 2010) for an intra-day subscription and $1,000 per month (SR–ISE–2009–103); Securities Exchange Act for historical reports; and GEMX offers the ‘‘Nasdaq Intraday Open-Close Data will provide a Release No. 62887 (September 10, 2010), 75 FR GEMX Open/Close Trade Profile’’ and assesses volume summary of trading activity on 57092 (September 17, 2010) (SR–Phlx–2010–121); $1,000 per month for an intra-day subscription and Securities Exchange Act Release No. 65587 (October the Exchange at the option level by $750 per month for historical reports. 18, 2011), 76 FR 65765 (October 24, 2011) (SR– 7 origin (customer, professional customer, NASDAQ–2011–144); and Securities Exchange Act 15 U.S.C. 78f. Release No. 81632 (September 15, 2017), 82 FR 8 15 U.S.C. 78f(b)(5). 3 See SR–BZX–2020–059. 44235 (September 21, 2017) (SR–GEMX–2017–42). 9 15 U.S.C. 78f(b)(4).
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and competition for the provision of of the competitive environment, as the sentiment and trading activity, resulting market data. Particularly, Intraday Exchange seeks to adopt fees to attract in potentially better informed trading Open-Close Data further broadens the purchasers of the recently introduced decisions. As noted above, users may availability of U.S. option market data to Intraday Open-Close Data product. also use such data to create and test investors consistent with the principles The Exchange believes the proposed trading models and analytical strategies. of Regulation NMS. The data product fees are reasonable as the proposed fees Selling market data, such as Intraday also promotes increased transparency are both modest and similar to, or even Open-Close Data, is also a means by through the dissemination of Intraday lower than, the fees assessed by other which exchanges compete to attract Open-Close Data. Particularly, exchanges that provide similar data business. To the extent that the information regarding opening and products.13 Indeed, proposing fees that Exchange is successful in attracting closing activity across different option are excessively higher than established subscribers for the Intraday Open-Close series during the trading day may fees for similar data products would Data, it may earn trading revenues and indicate investor sentiment, which may simply serve to reduce demand for the further enhance the value of its data allow market participants to make better Exchange’s data product, which as products. If the market deems the informed trading decisions throughout noted, is entirely optional. Like the proposed fees to be unfair or the day. Subscribers to the data may Exchange’s Intraday Open-Close Data inequitable, firms can diminish or also be able to enhance their ability to product, other exchanges offer similar discontinue their use of the data and/or analyze option trade and volume data data products that each provide insight avail themselves of similar products and create and test trading models and into trading on those markets and may offered by other exchanges.15 The analytical strategies. The Exchange likewise aid in assessing investor Exchange therefore believes that the believes Intraday Open-Close Data sentiment. Although each of these proposed fees for Intraday Open-Close provides a valuable tool that subscribers similar Intraday Open-Close data Data reflect the competitive can use to gain comprehensive insight products provide only proprietary trade environment and would be properly into the trading activity in a particular data and not trade data from other assessed on Member or non-Member series, but also emphasizes such data is exchanges, it’s possible investors are users. The Exchange also believes the not necessary for trading. Moreover, still able to gauge overall investor proposed fees are equitable and not other exchanges offer a similar data sentiment across different option series unfairly discriminatory as the fees product.10 based on open and closing interest on would apply equally to all users who The Exchange operates in a highly any one exchange.14 Similarly, market choose to purchase such data. The competitive environment. Indeed, there participants may be able to analyze Exchange’s proposed fees would not are currently 16 registered options option trade and volume data, and differentiate between subscribers that exchanges that trade options. Based on create and test trading models and purchase Intraday Open-Close Data and publicly available information, no single analytical strategies using only Intraday are set at a modest level that would options exchange has more than 17% of Open-Close data relating to trading allow any interested Member or non- the market share and currently the activity on one or more of the other Member to purchase such data based on Exchange represents only approximately markets that provide similar data their business needs. 8.15% of the market share.11 The products. As such, if a market As noted above, the Exchange Commission has repeatedly expressed participant views another exchange’s anticipates a wide variety of market its preference for competition over Intraday Open-Close data as more participants to purchase Intraday Open- regulatory intervention in determining attractive than its proposed Intraday Close Data, including but not limited to prices, products, and services in the Open-Close data product, then such individual customers, buy-side securities markets. Particularly, in market participant can merely choose investors and investment banks. The Regulation NMS, the Commission not to purchase the Exchange’s Intraday Exchange reiterates that the decision as highlighted the importance of market Open-Close Data and instead purchase to whether or not to purchase the forces in determining prices and SRO another exchange’s Intraday Open-Close Intraday Open-Close Data is entirely revenues and, also, recognized that data product, which offer similar data optional for all potential subscribers. current regulation of the market system points, albeit based on that other Indeed, no market participant is ‘‘has been remarkably successful in market’s trading activity. required to purchase the Intraday Open- promoting market competition in its The Exchange also believes the Close Data, and the Exchange is not broader forms that are most important to proposed fees are reasonable as they required to make the Intraday Open- 12 investors and listed companies.’’ would support the introduction of a Close Data available to all investors. Making similar data products available new market data product that is Rather, the Exchange is voluntarily to market participants fosters designed to aid investors by providing making Intraday Open-Close Data competition in the marketplace, and insight into trading on BZX Options. available, as requested by customers, constrains the ability of exchanges to The recently adopted Intraday Open- and market participants may choose to charge supracompetitive fees. In the Close Data would provide options receive (and pay for) this data based on event that a market participant views market participants with valuable their own business needs. Potential one exchange’s data product as more or information about opening and closing purchasers may request the data at any less attractive than the competition they transactions executed on the Exchange time if they believe it to be valuable or can and do switch between similar throughout the trading day, similar to may decline to purchase such data. products. The proposed fees are a result other trade data products offered by B. Self-Regulatory Organization’s competing options exchanges. In turn, Statement on Burden on Competition 10 See supra note 4. this data would assist market 11 See Cboe Global Markets U.S. Options Market The Exchange does not believe that participants in gauging investor Month-to-Date Volume Summary (July 31, 2020), the proposed rule change will result in available at https://markets.cboe.com/us/options/ any burden on competition that is not market_statistics/. 13 See supra note 6. 12 See Securities Exchange Act Release No. 51808 14 The exchange notes that its Intraday Open- necessary or appropriate in furtherance (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) Close data product does not include data on any (‘‘Regulation NMS Adopting Release’’). exclusive, singly-listed option series. 15 See supra note 6.
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of the purposes of the Act. Rather, the differentiate between subscribers that comments more efficiently, please use Exchange believes that the proposal will purchase Intraday Open-Close Data. The only one method. The Commission will promote competition by permitting the proposed fees are set at a modest level post all comments on the Commission’s Exchange to sell a data product similar that would allow any interested Member internet website (http://www.sec.gov/ to those offered by other competitor or non-Member to purchase such data rules/sro.shtml). Copies of the options exchanges.16 The Exchange based on their business needs. submission, all subsequent made Open-Close Data available in amendments, all written statements C. Self-Regulatory Organization’s order to keep pace with changes in the with respect to the proposed rule Statement on Comments on the industry and evolving customer needs, change that are filed with the Proposed Rule Change Received From and believes the data product will Commission, and all written Members, Participants, or Others contribute to robust competition among communications relating to the national securities exchanges. At least The Exchange has neither solicited proposed rule change between the four other U.S. options exchanges offer nor received written comments on the Commission and any person, other than a market data product that is proposed rule change. those that may be withheld from the substantially similar to the Intraday III. Date of Effectiveness of the public in accordance with the Open-Close Data. As a result, the Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be Exchange believes this proposed rule Commission Action available for website viewing and change permits fair competition among printing in the Commission’s Public national securities exchanges. The foregoing rule change has become Reference Room, 100 F Street NE, Furthermore, the Exchange operates effective pursuant to Section 19(b)(3)(A) Washington, DC 20549 on official 18 in a highly competitive environment, of the Act and paragraph (f) of Rule business days between the hours of 19 and its ability to price Intraday Open- 19b–4 thereunder, because it 10:00 a.m. and 3:00 p.m. Copies of the Close Data is constrained by establishes a due, fee, or other charge filing also will be available for competition among exchanges that offer imposed by the Exchange. inspection and copying at the principal similar data products to their customers. At any time within 60 days of the office of the Exchange. All comments As discussed, there are currently a filing of the proposed rule change, the received will be posted without change; number of similar products available to Commission summarily may the Commission does not edit personal market participants and investors. At temporarily suspend such rule change if identifying information from least four other U.S. options exchanges it appears to the Commission that such submissions. You should submit only offer a market data product that is action is necessary or appropriate in the information that you wish to make substantially similar to the Intraday public interest, for the protection of available publicly. All submissions Open-Close Data, which the Exchange investors, or otherwise in furtherance of should refer to File Number SR– must consider in its pricing discipline the purposes of the Act. If the CboeBZX–2020–063 and should be in order to compete for the market Commission takes such action, the 17 submitted on or before September 11, data. For example, proposing fees that Commission will institute proceedings 2020. are excessively higher than established to determine whether the proposed rule fees for similar data products would change should be approved or For the Commission, by the Division of Trading and Markets, pursuant to delegated simply serve to reduce demand for the disapproved. 20 Exchange’s data product, which as authority. discussed, market participants are under IV. Solicitation of Comments J. Matthew DeLesDernier, no obligation to utilize. In this Interested persons are invited to Assistant Secretary. competitive environment, potential submit written data, views, and [FR Doc. 2020–18356 Filed 8–20–20; 8:45 am] purchasers are free to choose which, if arguments concerning the foregoing, BILLING CODE 8011–01–P any, similar product to purchase to including whether the proposed rule satisfy their need for market change is consistent with the Act. information. As a result, the Exchange Comments may be submitted by any of SECURITIES AND EXCHANGE believes this proposed rule change the following methods: COMMISSION permits fair competition among national Electronic Comments securities exchanges. [Release No. 34–89580; File No. SR–IEX– The Exchange also does not believe • Use the Commission’s internet 2020–11] the proposed fees would cause any comment form (http://www.sec.gov/ unnecessary or in appropriate burden rules/sro.shtml); or Self-Regulatory Organizations; on intermarket competition as other • Send an email to rule-comments@ Investors Exchange LLC; Notice of exchanges are free to introduce their sec.gov. Please include File Number SR– Filing and Immediate Effectiveness of own comparable data product and lower CboeBZX–2020–063 on the subject line. Proposed Rule Change To Amend IEX their prices to better compete with the Rules 2.220(a)(7) and 11.410(a) To Paper Comments Exchange’s offering. The Exchange does Include MEMX LLC in the List of Away not believe the proposed rule change • Send paper comments in triplicate Trading Centers to Which the would cause any unnecessary or to Secretary, Securities and Exchange Exchange Routes and the Market Data inappropriate burden on intramarket Commission, 100 F Street NE, Sources the Exchange Will Use To competition. Particularly, the proposed Washington, DC 20549–1090. Determine MEMX’s Top of Book product and fees apply uniformly to any All submissions should refer to File Quotation purchaser, in that it does not Number SR–CboeBZX–2020–063. This August 17, 2020. file number should be included on the 16 Id. subject line if email is used. To help the Pursuant to Section 19(b)(1) 1 of the 17 See e.g., Cboe Options Fees Schedule, Livevol Commission process and review your Securities Exchange Act of 1934 (the Fees, Open-Close Data. See also Nasdaq ISE Options 7 Pricing Schedule, Section 10.A and Nasdaq PHLX Options 7 Pricing Schedule, Section 10, PHLX 18 15 U.S.C. 78s(b)(3)(A). 20 17 CFR 200.30–3(a)(12). Options Trade Outline (‘‘PHOTO’’). 19 17 CFR 240.19b–4(f). 1 15 U.S.C. 78s(b)(1).
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‘‘Act’’) 2 and Rule 19b–4 thereunder,3 A. Self-Regulatory Organization’s processor (‘‘SIP’’) data, i.e., CQS SIP notice is hereby given that on August Statement of the Purpose of, and data for securities reported under the 12, 2020, the Investors Exchange LLC Statutory Basis for, the Proposed Rule Consolidated Quotation Services and (‘‘IEX’’ or the ‘‘Exchange’’) filed with the Change Consolidated Tape Association plans and UQDF SIP data for securities Securities and Exchange Commission 1. Purpose (the ‘‘Commission’’) the proposed rule reported under the Nasdaq Unlisted change as described in Items I, and II The Exchange proposes to amend IEX Trading Privileges plan, as the 9 10 below, which Items have been prepared Rules 2.220(a)(7) and 11.410(a) to secondary source to determine MEMX’s include MEMX LLC (‘‘MEMX’’) in the by the self-regulatory organization. The Top of Book quotes. list of away trading centers to which the The Exchange is not proposing any Commission is publishing this notice to Exchange routes and the market data other changes to IEX Rules 2.220(a)(7) solicit comments on the proposed rule sources the Exchange will use to and 11.410. The proposed changes do change from interested persons. determine Top of Book 11 quotations, in not alter the manner in which orders are I. Self-Regulatory Organization’s anticipation of MEMX’s planned handled or routed by the Exchange. exchange launch on September 4, Statement of the Terms of Substance of 2. Statutory Basis the Proposed Rule Change 2020.12 Specifically, the Exchange proposes to IEX believes that the proposed rule Pursuant to the provisions of Section amend IEX Rule 2.220(a)(7) to add change is consistent with the provisions 19(b)(1) under the Act,4 and Rule 19b– MEMX LLC to the list of away trading of Section 6(b) 19 of the Act in general, 4 thereunder,5 IEX is filing with the centers to which IEX Services routes and furthers the objectives of Section Commission a proposed rule change to orders. As set forth in IEX Rule 6(b)(5) of the Act 20 in particular, in that amend IEX Rules 2.220(a)(7) and 11.230(b)(2), IEX Services routes eligible it is designed to prevent fraudulent and 11.410(a) to include MEMX LLC orders to away trading centers with manipulative acts and practices, to (‘‘MEMX’’) in the list of away trading accessible Protected Quotations in promote just and equitable principles of centers to which the Exchange routes compliance with Regulation NMS Rule trade, to remove impediments to and 13 and the market data sources the 611. The Exchange must include perfect the mechanism of a free and open market and a national market Exchange will use to determine MEMX’s MEMX in its list of away trading centers system, and, in general, to protect Top of Book 6 quotation, in anticipation to which it routes, because MEMX’s best-priced, displayed quotation will be investors and the public interest. of MEMX’s planned launch. The a Protected Quotation under Regulation For the reasons discussed in the Exchange has designated this rule NMS Rule 600(b)(62) 14 for purposes of Purpose section, the Exchange believes change as ‘‘non-controversial’’ under 15 that the proposed rule change removes 7 Regulation NMS Rule 611. Section 19(b)(3)(A) of the Act and The Exchange also proposes to amend impediments to and perfects the provided the Commission with the and update the table in IEX Rule mechanism of a free and open market notice required by Rule 19b–4(f)(6) 11.410(a) specifying the primary and and protects investors and the public thereunder.8 secondary sources for MEMX market interest because including MEMX in the The text of the proposed rule change data as a result of MEMX’s list of away trading centers to which IEX is available at the Exchange’s website at establishment of MEMOIR Depth and routes and including the MEMX Market www.iextrading.com, at the principal MEMOIR Top 16 (‘‘MEMX Market Data Data Feeds in the primary sources of office of the Exchange, and at the Feeds’’ or ‘‘direct feeds’’). As specified market data the Exchange will use to Commission’s Public Reference Room. in IEX Rule 11.410(a)(2), the Exchange determine away trading center Top of uses market data from each away Book quotes (with the SIP as the II. Self-Regulatory Organization’s trading center that produces a Protected secondary source) will facilitate the Statement of the Purpose of, and Quotation 17 to determine each away Exchange’s compliance with the Statutory Basis for, the Proposed Rule trading center’s Top of Book quotation, applicable requirements of Regulation Change as well as the NBBO 18 for certain NMS. reporting, regulatory and compliance Additionally, adding MEMX to the In its filing with the Commission, the systems within IEX. As proposed, the list of away trading centers to which IEX self-regulatory organization included Exchange will use the direct feeds as the routes and listing the MEMX Market statements concerning the purpose of primary source to determine MEMX’s Data Feeds as the primary source of and basis for the proposed rule change Top of Book quotes. The Exchange also market data the Exchange will use to and discussed any comments it received proposes to use securities information determine away trading center Top of on the proposed rule change. The text Book quotes (with the SIP as the of these statement [sic] may be 9 IEX Rule 2.220(a)(7) lists the away trading secondary source) provides examined at the places specified in Item centers that IEX Services LLC (‘‘IEX Services’’) transparency with respect to the away IV below. The self-regulatory routes to as outbound router for the Exchange. trading centers to which IEX Services 10 IEX Rule 11.410(a) specifies the market data may route orders and the source of organization has prepared summaries, sources for each away trading center that the set forth in Sections A, B, and C below, Exchange uses for necessary price reference points. market data the Exchange will use to of the most significant aspects of such 11 See IEX Rule 11.410(a)(1). determine MEMX’s Top of Book quotes. 12 statements. See https://memx.com/memx-update/. B. Self-Regulatory Organization’s 13 17 CFR 242.611. 14 17 CFR 242.600(b)(62). Statement on Burden on Competition 2 15 U.S.C. 78a. 15 See Securities Exchange Act Release No. 88806 IEX does not believe that the 3 17 CFR 240.19b–4. (May 4, 2020), 85 FR 27451, 27461 (May 8, 2020) proposed rule change will result in any (File No. 10–237) (Order approving MEMX 4 15 U.S.C. 78s(b)(1). application for registration as a national securities burden on competition that is not 5 17 CFR 240.19b–4. exchange). necessary or appropriate in furtherance 6 See IEX Rule 11.410(a)(1). 16 See MEMX Rule 13.8. 7 15 U.S.C. 78s(b)(3)(A). 17 See IEX Rule 1.160(bb). 19 15 U.S.C. 78f. 8 17 CFR 240.19b–4. 18 See IEX Rule 1.160(u). 20 15 U.S.C. 78f(b)(5).
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of the purposes of the Act. The with the applicable requirements of submission, all subsequent Exchange believes that the proposed Regulation NMS and providing clarity amendments, all written statements update does not impact competition in to market participants with respect to with respect to the proposed rule any respect since its purpose is to whether IEX routes to MEMX and how change that are filed with the enhance transparency with respect to IEX determines MEMX’s Top of Book Commission, and all written the operation of the Exchange and its quotation. The Commission believes communications relating to the use of market data feeds, and to update that waiver of the 30-day operative proposed rule change between the an away market name. delay is consistent with the protection Commission and any person, other than of investors and the public interest those that may be withheld from the C. Self-Regulatory Organization’s because the proposed rule change does public in accordance with the Statement on Comments on the not raise any new or novel issues. provisions of 5 U.S.C. 552, will be Proposed Rule Change Received From Therefore, the Commission hereby available for website viewing and Members, Participants, or Others waives the operative delay and printing in the Commission’s Public Written comments were neither designates the proposal as operative Reference Room, 100 F Street NE, solicited nor received. upon filing.25 Washington, DC 20549, on official III. Date of Effectiveness of the At any time within 60 days of the business days between the hours of Proposed Rule Change and Timing for filing of the proposed rule change, the 10:00 a.m. and 3:00 p.m. Copies of the Commission Action Commission summarily may filing will also be available for temporarily suspend such rule change if inspection and copying at the IEX’s Because the foregoing proposed rule it appears to the Commission that such principal office and on its internet change does not: (i) Significantly affect action is necessary or appropriate in the website at www.iextrading.com. All the protection of investors or the public public interest, for the protection of comments received will be posted interest; (ii) impose any significant investors, or otherwise in furtherance of without change. Persons submitting burden on competition; and (iii) become the purposes of the Act. If the comments are cautioned that we do not operative for 30 days from the date on Commission takes such action, the redact or edit personal identifying which it was filed, or such shorter time Commission shall institute proceedings information from comment submissions. as the Commission may designate, it has under Section 19(b)(2)(B) 26 of the Act to You should submit only information become effective pursuant to Section determine whether the proposed rule that you wish to make available 21 19(b)(3)(A) of the Act and Rule 19b– change should be approved or publicly. All submissions should refer 22 4(f)(6) thereunder. disapproved. to File Number SR–IEX–2020–11 and A proposed rule change filed should be submitted on or before IV. Solicitation of Comments pursuant to Rule 19b–4(f)(6) under the September 11, 2020. Act 23 normally does not become Interested persons are invited to For the Commission, by the Division of operative for 30 days after the date of its submit written data, views, and 24 Trading and Markets, pursuant to delegated filing. However, Rule 19b–4(f)(6)(iii) arguments concerning the foregoing, authority.27 permits the Commission to designate a including whether the proposed rule J. Matthew DeLesDernier, shorter time if such action is consistent change is consistent with the Act. Assistant Secretary. with the protection of investors and the Comments may be submitted by any of [FR Doc. 2020–18349 Filed 8–20–20; 8:45 am] public interest. The Exchange has asked the following methods: the Commission to waive the 30-day BILLING CODE 8011–01–P operative delay. Electronic Comments The proposed rule change will merely • Use the Commission’s internet SECURITIES AND EXCHANGE amend IEX rules to reflect the launch of comment form (http://www.sec.gov/ COMMISSION MEMX as an away trading center with rules/sro.shtml); or a Protected Quote and specify that IEX • Send an email to rule-comments@ [Release No. 34–89578; File No. SR–BX– will route orders to MEMX and use the sec.gov. Please include File Number SR– 2020–020] MEMX Market Data Feeds as the IEX–2020–11 on the subject line. primary source, and the SIP as the Self-Regulatory Organizations; Nasdaq Paper Comments secondary source, to determine MEMX’s BX, Inc.; Notice of Filing and Top of Book quotation. • Send paper comments in triplicate Immediate Effectiveness of Proposed The Exchange believes that waiver of to Secretary, Securities and Exchange Rule Change To Amend Options 6, the operative delay is consistent with Commission, 100 F Street NE, Section 5 (Transfer of Positions) Washington, DC 20549–1090. the protection of investors and the August 17, 2020. public interest because it will allow the All submissions should refer to File Pursuant to Section 19(b)(1) of the Exchange to implement the proposed Number SR–IEX–2020–11. This file Securities Exchange Act of 1934 (the rule change concurrent with MEMX’s number should be included on the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 exchange launch of equities trading, subject line if email is used. To help the notice is hereby given that on August 6, thereby facilitating IEX’s compliance Commission process and review your 2020, Nasdaq BX, Inc. (‘‘BX’’ or comments more efficiently, please use ‘‘Exchange’’) filed with the Securities 21 15 U.S.C. 78s(b)(3)(A). only one method. The Commission will 22 and Exchange Commission (the 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– post all comments on the Commission’s ‘‘Commission’’) the proposed rule 4(f)(6)(iii) requires a self-regulatory organization to internet website (http://www.sec.gov/ give the Commission written notice of its intent to change as described in Items I and II file the proposed rule change, along with a brief rules/sro.shtml). Copies of the below, which Items have been prepared description and text of the proposed rule change, by the Exchange. The Exchange filed the at least five business days prior to the date of filing 25 For purposes only of waiving the 30-day proposal as a ‘‘non-controversial’’ of the proposed rule change, or such shorter time operative delay, the Commission also has as designated by the Commission. The Exchange considered the proposed rule’s impact on has satisfied this requirement. efficiency, competition, and capital formation. See 27 17 CFR 200.30–3(a)(12). 23 17 CFR 240.19b–4(f)(6). 15 U.S.C. 78c(f). 1 15 U.S.C. 78s(b)(1). 24 17 CFR 240.19b–4(f)(6)(iii). 26 15 U.S.C. 78s(b)(2)(B). 2 17 CFR 240.19b–4.
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proposed rule change pursuant to positions are permissible if from one position transfers that do not result in Section 19(b)(3)(A)(iii) of the Act 3 and account to another account where no a change in ownership or reduction in Rule 19b–4(f)(6) thereunder.4 The change in ownership is involved (i.e., open interest is consistent with the Commission is publishing this notice to accounts of the same Person),7 provided purpose of not being used to circumvent solicit comments on the proposed rule the accounts are not in separate the normal auction purpose. change from interested persons. aggregation units or otherwise subject to Additionally, given that these transfers information barrier or account may occur on a regular basis in I. Self-Regulatory Organization’s segregation requirements. These accordance with a market participants’ Statement of the Terms of Substance of transfers are subject to, among other business needs and procedures, the the Proposed Rule Change things, the requirement to submit prior Exchange believes prior written notice The Exchange proposes to amend written notice of the transfers to the would be onerous and would not serve Options 6, Section 5, titled ‘‘Transfer of Exchange pursuant to Options 6, any purpose given the lack of change in Positions.’’ Section 5(d) and the restriction on ownership and in open interest. The The text of the proposed rule change effecting these transfers repeatedly or Exchange believes this will provide is available on the Exchange’s website at routinely. market participants with additional https://listingcenter.nasdaq.com/ The proposed rule change excepts flexibility to structure their option rulebook/bx/rules, at the principal office position transfers effected pursuant to position accounts as they believe is of the Exchange, and at the Options 6, Section(a)(2) from the prior appropriate and move their positions Commission’s Public Reference Room. written notice requirement in paragraph between accounts as they deem II. Self-Regulatory Organization’s (d) and from repeated, recurring use necessary and appropriate for their Statement of the Purpose of, and restriction in paragraph (g). Position business and trading needs, including Statutory Basis for, the Proposed Rule transfers pursuant to Options 6, for risk management purposes. The proposed rule change also Change Section(a)(2) do not involve a change in ownership. In other words, such corrects an erroneous cross-reference in In its filing with the Commission, the transfers may only occur between the Rule Options 6, Section 5(d)(1), as the Exchange included statements same individual or legal entity. These method for determining the transfer concerning the purpose of and basis for types of transfers are merely transfers of price is in paragraph (c) rather than the proposed rule change and discussed positions from one account to another, paragraph (e) of Options 6, Section 5. any comments it received on the both of which accounts are attributable 2. Statutory Basis proposed rule change. The text of these to the same individual or legal entity, statements may be examined at the and thus the transferred option The Exchange believes that its places specified in Item IV below. The positions will continue to be proposal is consistent with Section 6(b) 8 Exchange has prepared summaries, set attributable to the same Person. A of the Act, in general, and furthers the 9 forth in sections A, B, and C below, of market participant effecting an position objectives of Section 6(b)(5) of the Act. the most significant aspects of such transfer pursuant to Options 6, Section Specifically, the Exchange believes the statements. 5(a)(2) is analogous to an individual proposed rule change is consistent with the Section 6(b)(5) 10 requirements that A. Self-Regulatory Organization’s transferring funds from a checking the rules of an exchange be designed to Statement of the Purpose of, and account to a savings account, or from an prevent fraudulent and manipulative Statutory Basis for, the Proposed Rule account at one bank to an account at acts and practices, to promote just and Change another bank—the money still belongs to the same person, who is just holding equitable principles of trade, to foster 1. Purpose it in a different account for personal cooperation and coordination with The Exchange proposes to amend financial reasons. persons engaged in regulating, clearing, Options 6, Section 5, titled ‘‘Transfer of Because there is no change in settling, processing information with Positions.’’ The proposed rule change is ownership of positions transferred respect to, and facilitating transactions similar to Cboe Exchange, Inc. (‘‘Cboe’’) pursuant to Options 6, Section 5(a)(2), in securities, to remove impediments to Rule 6.7.5 the Exchange believes it is appropriate and perfect the mechanism of a free and Options 6, Section 5 permits market to permit them to occur as routinely and open market and a national market participants to move positions from one repeatedly as a market participant system, and, in general, to protect account to another without first would like. These transfers will investors and the public interest. exposure of the transaction on the continue to be subject to the prohibition Additionally, the Exchange believes the Exchange, provided certain exceptions on netting set forth in Options 6, proposed rule change is consistent with 11 are met. Specifically, Options 6, Section Section 5(b), and thus may not result in the Section 6(b)(5) requirement that 5(a)(2) 6 provides that transfers of the closing of any positions. While the the rules of an exchange not be designed position transfers permitted by Options to permit unfair discrimination between 3 15 U.S.C. 78s(b)(3)(A)(iii). 6, Section 5 were intended to customers, issuers, brokers, or dealers. 4 17 CFR 240.19b–4(f)(6). accommodate non-routine and non- In particular, the Exchange believes 5 See Securities and Exchange Act Release No. recurring transfers, the Exchange the proposed rule change will remove 89389 (July 23, 2020), 85 FR 45709 (July 29, 2020) believes permitting routine, recurring impediments to and perfect the (SR–Cboe–2020–067) (Notice of Filing and mechanism of a free and open market Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.7 Concerning Off-Floor Transfers). the same Person, provided the accounts are not in and a national market system, and, in 6 Options 6, Section 5(a) states, ‘‘Permissible separate aggregation units or otherwise subject to general, to protect investors and the Transfers. Existing positions in options listed on information barrier or account segregation public interest because it will provide the Exchange of a Participant or non-Participant requirements;. . .’’ market participants with a more that are to be transferred on, from, or to the books 7 For purposes of this rule, the term ‘‘Person’’ as of a Clearing Participant may be transferred off the an individual, partnership (general or limited), joint 8 Exchange if the transfer involves on or more of the stock company, corporation, limited liability 15 U.S.C. 78f(b). following events:.....(2) the transfer of positions company, trust, or unincorporated organization, or 9 15 U.S.C. 78f(b)(5). from one account to another account where no any governmental entity or agency or political 10 Id. change in ownership is involved (i.e., accounts of subdivision thereof. See Options 6, Section 5(a). 11 Id.
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efficient process to transfer open be held in an account with an OCC A proposed rule change filed under positions between their own accounts in clearing member. Rule 19b–4(f)(6) 14 normally does not become operative for 30 days after the accordance with their own business and B. Self-Regulatory Organization’s date of the filing. However, pursuant to trading needs, including to respond to Statement on Burden on Competition then-current market conditions. Because Rule 19b–4(f)(6)(iii),15 the Commission these transfers would not result in a The Exchange does not believe that may designate a shorter time if such change in ownership or a reduction in the proposed rule change will impose action is consistent with the protection open interest, the Exchange believes the any burden on competition that is not of investors and the public interest. The proposed rule change remains necessary or appropriate in furtherance Exchange has asked the Commission to consistent with the purpose of Options of the purposes of the Act. The waive the 30-day operative delay to so 6, Section 5, which was to prohibit use proposed rule change is not intended to that it may adopt the proposed position of the transfer procedure in address competitive issues. The transfer rules as soon as possible which, circumvention of the normal auction Exchange does not believe that the according to the Exchange, would process, as the normal auction process proposed rule change will impose any benefit investors and the general public involves the opening or closing of burden on intramarket competition that because it will provide Participants with positions through a transaction among is not necessary or appropriate in the ability to request a transfer, for multiple market participants. Market furtherance of the purposes of the Act limited, non-recurring types of transfers, participants may maintain different because the proposed rule change will without the need for exposing those accounts for a variety of reasons, such apply to all market participants in the orders on the Exchange. The proposed same manner. All market participants as the structure of their businesses, the rule change does not present any unique will be able to effect position transfers manner in which they trade, their risk or novel regulatory issues and is pursuant to Options 6, Section 5(a)(2) management procedures, and for capital substantively identical to provisions in on a recurring or routine basis without purposes. Given that these transfers may Cboe Rule 6.7. Accordingly, the providing the Exchange with notice of Commission hereby waives the occur on a regular basis in accordance such transfers. The Exchange does not operative delay and designates the with a market participants’ business believe the proposed rule change will proposal operative upon filing.16 needs and procedures, the Exchange impose any burden on intermarket believes prior written notice would be At any time within 60 days of the competition that is not necessary or filing of the proposed rule change, the onerous and would not serve any appropriate in furtherance of the purpose given the lack of change in Commission summarily may purposes of the Act, because it relates temporarily suspend such rule change if ownership and in open interest. solely to the notice required for transfers Therefore, the proposed rule change it appears to the Commission that such that may occur today, and the frequency action is necessary or appropriate in the will benefit investors by permitting with which those transfers may occur. public interest, for the protection of market participants to manage the open These transfers will continue to not investors, or otherwise in furtherance of positions in their accounts in a manner result in a change in ownership or the purposes of the Act. If the consistent with their businesses. netting, and thus will have no impact on Commission takes such action, the The Exchange recognizes the outstanding option positions. Commission will institute proceedings numerous benefits of executing options C. Self-Regulatory Organization’s to determine whether the proposed rule transactions on an exchange, including Statement on Comments on the change should be approved or price transparency, potential price Proposed Rule Change Received From disapproved. improvement, and a clearing guarantee. Members, Participants, or Others However, the Exchange believes it is IV. Solicitation of Comments appropriate to permit position transfers No written comments were either Interested persons are invited to among accounts of the same individual solicited or received. submit written data, views, and or legal entity where there is no impact III. Date of Effectiveness of the arguments concerning the foregoing, on open interest to occur off the Proposed Rule Change and Timing for including whether the proposed rule exchange, as these benefits are Commission Action change is consistent with the Act. inapplicable to those transfers. These Comments may be submitted by any of transfers have a narrow scope and are Because the foregoing proposed rule the following methods: intended to permit market participants change does not: (i) Significantly affect Electronic Comments to achieve their own business needs. the protection of investors or the public These transfers are not intended to be a interest; (ii) impose any significant • Use the Commission’s internet competitive trading tool. There is no burden on competition; and (iii) become comment form (http://www.sec.gov/ need for price discovery or operative for 30 days from the date on rules/sro.shtml); or improvement, as the transfer merely which it was filed, or such shorter time • Send an email to rule-comments@ moves positions to different accounts as the Commission may designate, it has sec.gov. Please include File Number SR– for the same Person and does not open become effective pursuant to Section BX–2020–020 on the subject line. or close any positions. These transfers 19(b)(3)(A) of the Act 12 and Rule 19b– 13 Paper Comments will result in no change in ownership. 4(f)(6) thereunder. The transactions that resulted in the • Send paper comments in triplicate open positions to be transferred 12 15 U.S.C. 78s(b)(3)(A). to Secretary, Securities and Exchange pursuant to Options 6, Section 5(a)(2) 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 4(f)(6)(iii) requires a self-regulatory organization to were already guaranteed by a clearing give the Commission written notice of its intent to 14 17 CFR 240.19b–4(f)(6). member of The Options Clearing file the proposed rule change, along with a brief 15 17 CFR 240.19b–4(f)(6)(iii). Corporation (‘‘OCC’’), and the positions description and text of the proposed rule change, 16 For purposes only of waiving the 30-day may not be closed pursuant to the at least five business days prior to the date of filing operative delay, the Commission has also of the proposed rule change, or such shorter time considered the proposed rule’s impact on transfer and will continue to be subject as designated by the Commission. The Exchange efficiency, competition, and capital formation. See to OCC rules, as they will continue to has satisfied this requirement. 15 U.S.C. 78c(f).
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Commission, 100 F Street NE, ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Intraday Open-Close Data available for Washington, DC 20549–1090. notice is hereby given that on August 3, purchase to TPHs and non-TPHs on the All submissions should refer to File 2020, Cboe C2 Exchange, Inc. (the LiveVol DataShop website Number SR–BX–2020–020. This file ‘‘Exchange’’ or ‘‘C2’’) filed with the (datashop.cboe.com). number should be included on the Securities and Exchange Commission By way of background, the Exchange subject line if email is used. To help the (the ‘‘Commission’’) the proposed rule historically offered Open-Close Data, Commission process and review your change as described in Items I, II, and which is an end-of-day volume comments more efficiently, please use III below, which Items have been summary of trading activity on the only one method. The Commission will prepared by the Exchange. The Exchange at the option level by origin post all comments on the Commission’s Commission is publishing this notice to (customer, professional customer, internet website (http://www.sec.gov/ solicit comments on the proposed rule broker-dealer, and market maker), side rules/sro.shtml). Copies of the change from interested persons. of the market (buy or sell), price, and transaction type (opening or closing). submission, all subsequent I. Self-Regulatory Organization’s amendments, all written statements The customer and professional customer Statement of the Terms of Substance of volume is further broken down into with respect to the proposed rule the Proposed Rule Change change that are filed with the trade size buckets (less than 100 Commission, and all written Cboe C2 Exchange, Inc. (the contracts, 100–199 contracts, greater communications relating to the ‘‘Exchange’’ or ‘‘C2’’) is filing with the than 199 contracts). The Open-Close proposed rule change between the Securities and Exchange Commission Data is proprietary C2 trade data and Commission and any person, other than (‘‘Commission’’) a proposed rule change does not include trade data from any those that may be withheld from the to adopt fees for a recently adopted data other exchange. It is also a historical public in accordance with the product known as Intraday Open-Close data product and not a real-time data provisions of 5 U.S.C. 552, will be Data. The text of the proposed rule feed. available for website viewing and change is provided in Exhibit 5. The Exchange recently adopted a printing in the Commission’s Public The text of the proposed rule change similar product: Intraday Open-Close Reference Room, 100 F Street NE, is also available on the Exchange’s Data. The Intraday Open-Close Data will website (http://markets.cboe.com/us/ provide similar information to that of Washington, DC 20549 on official _ business days between the hours of options/regulation/rule filings/ctwo/), Open-Close Data but will be produced 10:00 a.m. and 3:00 p.m. Copies of the at the Exchange’s Office of the and updated every 10 minutes during filing also will be available for Secretary, and at the Commission’s the trading day. Data is captured in inspection and copying at the principal Public Reference Room. ‘‘snapshots’’ taken every 10 minutes office of the Exchange. All comments II. Self-Regulatory Organization’s throughout the trading day and is received will be posted without change; Statement of the Purpose of, and available to subscribers within five the Commission does not edit personal Statutory Basis for, the Proposed Rule minutes of the conclusion of each 10- identifying information from Change minute period. For example, subscribers to the intraday product will receive the submissions. You should submit only In its filing with the Commission, the information that you wish to make first calculation of intraday data by Exchange included statements approximately 9:42 a.m. ET, which available publicly. All submissions concerning the purpose of and basis for should refer to File Number SR–BX– represents data captured from 9:30 a.m. the proposed rule change and discussed to 9:40 a.m. Subscribers will receive the 2020–020 and should be submitted on any comments it received on the or before September 11, 2020. next update at 9:52 a.m., representing proposed rule change. The text of these the data previously provided together For the Commission, by the Division of statements may be examined at the with data captured from 9:40 a.m. Trading and Markets, pursuant to delegated places specified in Item IV below. The authority.17 through 9:50 a.m., and so forth. Each Exchange has prepared summaries, set update will represent the aggregate data J. Matthew DeLesDernier, forth in sections A, B, and C below, of captured from the current ‘‘snapshot’’ Assistant Secretary. the most significant aspects of such and all previous ‘‘snapshots.’’ The statements. Intraday Open-Close Data will provide a [FR Doc. 2020–18350 Filed 8–20–20; 8:45 am] A. Self-Regulatory Organization’s volume summary of trading activity on the Exchange at the option level by BILLING CODE 8011–01–P Statement of the Purpose of, and Statutory Basis for, the Proposed Rule origin (customer, professional customer, Change broker-dealer, and market maker), side SECURITIES AND EXCHANGE of the market (buy or sell), and 1. Purpose COMMISSION transaction type (opening or closing). The Exchange recently adopted a new The customer and professional customer [Release No. 34–89586; File No. SR–C2– data product on C2 to be known as volume will be further broken down 2020–012] Intraday Open-Close Data, which will be into trade size buckets (less than 100 Self-Regulatory Organizations; Cboe available for purchase to C2 Trading contracts, 100–199 contracts, greater C2 Exchange, Inc.; Notice of Filing and Permit Holders (‘‘TPHS’’) and non- than 199 contracts). The Intraday Open- Immediate Effectiveness of a Proposed TPHs.3 The Exchange now proposes to Close Data is also proprietary C2 trade Rule Change Relating To Adopt Fees adopt fees for Intraday Open-Close Data. data and does not include trade data for a Recently Adopted Data Product Cboe LiveVol, LLC (‘‘LiveVol’’), a from any other exchange. In contrast to Known as Intraday Open-Close Data wholly owned subsidiary of the the existing Open-Close Data product, Exchange’s parent company, Cboe the Intraday Open-Close Data will not August 17, 2020. Global Markets, Inc., will make the provide execution price. Pursuant to Section 19(b)(1) of the The Exchange anticipates a wide Securities Exchange Act of 1934 (the 1 15 U.S.C. 78s(b)(1). variety of market participants to 2 17 CFR 240.19b–4. purchase Intraday Open-Close Data, 17 17 CFR 200.30–3(a)(12). 3 See SR–C2–2020–010. including, but not limited to, individual
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customers, buy-side investors, and 2. Statutory Basis and create and test trading models and investment banks. The Exchange The Exchange believes that the analytical strategies. The Exchange believes the Intraday Open-Close Data proposed rule change is consistent with believes Intraday Open-Close Data product may also provide helpful Section 6(b) of the Act,7 in general, and provides a valuable tool that subscribers trading information regarding investor furthers the objectives of Section 6(b)(5) can use to gain comprehensive insight sentiment that may allow market of the Act,8 in particular, in that it is into the trading activity in a particular participants to make better trading designed to prevent fraudulent and series, but also emphasizes such data is decisions throughout the day and may manipulative acts and practices, to not necessary for trading. Moreover, be used to create and test trading promote just and equitable principles of other exchanges offer a similar data 10 models and analytical strategies and trade, to remove impediments to and product. provides comprehensive insight into perfect the mechanism of a free and The Exchange operates in a highly trading on C2. For example, intraday open market and a national market competitive environment. Indeed, there open data may allow a market system, and to protect investors and the are currently 16 registered options participant to identify new interest or public interest, and that it is not exchanges that trade options. Based on possible risks throughout the trading designed to permit unfair publicly available information, no single day, while intraday closing data may discrimination among customers, options exchange has more than 17% of the market share and currently the allow a market participant to identify brokers, or dealers. The Exchange also Exchange represents only approximately fading interests in a security. The believes that its proposal to adopt fees 2.87% of the market share.11 The product is a completely voluntary for Intraday Open-Close Data is Commission has repeatedly expressed product, in that the Exchange is not consistent with Section 6(b) of the Act its preference for competition over required by any rule or regulation to in general, and furthers the objectives of regulatory intervention in determining make this data available and that Section 6(b)(4) of the Act 9 in particular, prices, products, and services in the potential subscribers may purchase it in that it is an equitable allocation of only if they voluntarily choose to do so. securities markets. Particularly, in dues, fees and other charges among its The Exchange notes that other Regulation NMS, the Commission members and other recipients of exchanges offer a similar data product.4 highlighted the importance of market The Exchange proposes to provide in Exchange data. forces in determining prices and SRO In adopting Regulation NMS, the its Fee Schedule that TPHs and non- revenues and, also, recognized that Commission granted self-regulatory TPHs may purchase Intraday Open- current regulation of the market system organizations (‘‘SROs’’) and broker- Close Data on a subscription basis ‘‘has been remarkably successful in dealers increased authority and (monthly or annually) or by ad hoc promoting market competition in its flexibility to offer new and unique request for a specified month (historical broader forms that are most important to market data to the public. It was file). The Exchange proposes to assess a investors and listed companies.’’ 12 believed that this authority would monthly fee of $1,000 (or $12,000 per Making similar data products available expand the amount of data available to year) for subscribing to the data feed. to market participants fosters consumers, and also spur innovation The Exchange also proposes to assess a competition in the marketplace, and and competition for the provision of fee of $500 per request per month for an constrains the ability of exchanges to market data. Particularly, Intraday ad-hoc request of historical Intraday charge supracompetitive fees. In the Open-Close Data further broadens the Open/Close data covering all Exchange- event that a market participant views availability of U.S. option market data to listed securities. An ad-hoc request can one exchange’s data product as more or investors consistent with the principles be for any number of months beginning less attractive than the competition they of Regulation NMS. The data product with January 2020 for which the data is can and do switch between similar also promotes increased transparency available.5 The proposed subscription products. The proposed fees are a result through the dissemination of Intraday and ad-hoc fees will apply both to TPHs of the competitive environment, as the Open-Close Data. Particularly, or non-TPHs. The Exchange notes that Exchange seeks to adopt fees to attract information regarding opening and other exchanges provide similar data purchasers of the recently introduced closing activity across different option products that may be purchased on both Intraday Open-Close Data product. a subscription and ad-hoc basis and are series during the trading day may The Exchange believes the proposed similarly priced.6 indicate investor sentiment, which may fees are reasonable as the proposed fees allow market participants to make better are both modest and similar to, or even 4 See Securities Exchange Act Release No. 61317 informed trading decisions throughout lower than, the fees assessed by other (January 8, 2010), 75 FR 2915 (January 19, 2010) the day. Subscribers to the data may exchanges that provide similar data (SR–ISE–2009–103); Securities Exchange Act also be able to enhance their ability to products.13 Indeed, proposing fees that Release No. 62887 (September 10, 2010), 75 FR analyze option trade and volume data 57092 (September 17, 2010) (SR–Phlx–2010–121); are excessively higher than established Securities Exchange Act Release No. 65587 (October fees for similar data products would 18, 2011), 76 FR 65765 (October 24, 2011) (SR– Particularly, PHLX offers ‘‘Nasdaq PHLX Options simply serve to reduce demand for the NASDAQ–2011–144); and Securities Exchange Act Trade Outline (PHOTO)’’ and assesses $1,500 per Release No. 81632 (September 15, 2017), 82 FR month for an intra-day subscription and $750 per Exchange’s data product, which as 44235 (September 21, 2017) (SR–GEMX–2017–42). month for historical reports; Nasdaq offers the noted, is entirely optional. Like the 5 For example, a TPH or non-TPH that requests ‘‘Nasdaq Options Trade Outline (NOTO)’’ and Exchange’s Intraday Open-Close Data historical Intraday Open/Close Data for the months assesses $750 per month for an intra-day product, other exchanges offer similar of January 2020 and February 2020, would be subscription and $500 per month for historical assessed a total of $1,000. The Exchange notes that reports; ISE offers the ‘‘Nasdaq ISE Open/Close it may make historical data prior to January 2020 Trade Profile’’ and assesses $2,000 per month for 10 See supra note 4. available in the future and that such historical data an intra-day subscription and $1,000 per month for 11 See Cboe Global Markets U.S. Options Market would be available to all TPHs or non-TPHs. historical reports; and GEMX offers the ‘‘Nasdaq Month-to-Date Volume Summary (July 31, 2020), 6 See Price List—U.S. Derivatives Data for Nasdaq GEMX Open/Close Trade Profile’’ and assesses available at https://markets.cboe.com/us/options/ _ PHLX, LLC (‘‘PHLX’’), The Nasdaq Stock Market, $1,000 per month for an intra-day subscription and market statistics/. LLC (‘‘Nasdaq’’), Nasdaq ISE, LLC (‘‘ISE’’), and $750 per month for historical reports. 12 See Securities Exchange Act Release No. 51808 Nasaq GEMX, LLC (‘‘GEMX’’), available at http:// 7 15 U.S.C. 78f. (June 9, 2005), 70 FR 37496, 37499 (June 29, 2005) www.nasdaqtrader.com/ 8 15 U.S.C. 78f(b)(5). (‘‘Regulation NMS Adopting Release’’). Trader.aspx?id=DPPriceListOptions#web. 9 15 U.S.C. 78f(b)(4). 13 See supra note 6.
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data products that each provide insight offered by other exchanges.15 The change permits fair competition among into trading on those markets and may Exchange therefore believes that the national securities exchanges. likewise aid in assessing investor proposed fees for Intraday Open-Close Furthermore, the Exchange operates sentiment. Although each of these Data reflect the competitive in a highly competitive environment, similar Intraday Open-Close data environment and would be properly and its ability to price Intraday Open- products provide only proprietary trade assessed on TPH or non-TPH users. The Close Data is constrained by data and not trade data from other Exchange also believes the proposed competition among exchanges that offer exchanges, it’s possible investors are fees are equitable and not unfairly still able to gauge overall investor discriminatory as the fees would apply similar data products to their customers. sentiment across different option series equally to all users who choose to As discussed, there are currently a based on open and closing interest on purchase such data. The Exchange’s number of similar products available to any one exchange.14 Similarly, market proposed fees would not differentiate market participants and investors. At participants may be able to analyze between subscribers that purchase least four other U.S. options exchanges option trade and volume data, and Intraday Open-Close Data and are set at offer a market data product that is create and test trading models and a modest level that would allow any substantially similar to the Intraday analytical strategies using only Intraday interested TPH or non-TPH to purchase Open-Close Data, which the Exchange Open-Close data relating to trading such data based on their business needs. must consider in its pricing discipline activity on one or more of the other As noted above, the Exchange in order to compete for the market markets that provide similar data anticipates a wide variety of market data.17 For example, proposing fees that products. As such, if a market participants to purchase Intraday Open- are excessively higher than established participant views another exchange’s Close Data, including but not limited to fees for similar data products would Intraday Open-Close data as more individual customers, buy-side simply serve to reduce demand for the attractive than its proposed Intraday investors and investment banks. The Exchange’s data product, which as Open-Close data product, then such Exchange reiterates that the decision as discussed, market participants are under market participant can merely choose to whether or not to purchase the no obligation to utilize. In this not to purchase the Exchange’s Intraday Intraday Open-Close Data is entirely competitive environment, potential Open-Close Data and instead purchase optional for all potential subscribers. purchasers are free to choose which, if another exchange’s Intraday Open-Close Indeed, no market participant is any, similar product to purchase to data product, which offer similar data required to purchase the Intraday Open- satisfy their need for market points, albeit based on that other Close Data, and the Exchange is not market’s trading activity. information. As a result, the Exchange required to make the Intraday Open- believes this proposed rule change The Exchange also believes the Close Data available to all investors. proposed fees are reasonable as they permits fair competition among national Rather, the Exchange is voluntarily securities exchanges. would support the introduction of a making Intraday Open-Close Data new market data product that is available, as requested by customers, The Exchange also does not believe designed to aid investors by providing and market participants may choose to the proposed fees would cause any insight into trading on C2 Options. The receive (and pay for) this data based on unnecessary or in appropriate burden recently adopted Intraday Open-Close their own business needs. Potential on intermarket competition as other Data would provide options market purchasers may request the data at any exchanges are free to introduce their participants with valuable information time if they believe it to be valuable or own comparable data product and lower about opening and closing transactions may decline to purchase such data. their prices to better compete with the executed on the Exchange throughout Exchange’s offering. The Exchange does B. Self-Regulatory Organization’s the trading day, similar to other trade not believe the proposed rule change Statement on Burden on Competition data products offered by competing would cause any unnecessary or options exchanges. In turn, this data The Exchange does not believe that inappropriate burden on intramarket would assist market participants in the proposed rule change will result in competition. Particularly, the proposed gauging investor sentiment and trading any burden on competition that is not product and fees apply uniformly to any activity, resulting in potentially better necessary or appropriate in furtherance purchaser, in that it does not informed trading decisions. As noted of the purposes of the Act. Rather, the above, users may also use such data to differentiate between subscribers that Exchange believes that the proposal will create and test trading models and purchase Intraday Open-Close Data. The promote competition by permitting the analytical strategies. proposed fees are set at a modest level Exchange to sell a data product similar Selling market data, such as Intraday that would allow any interested TPH or to those offered by other competitor Open-Close Data, is also a means by non-TPH to purchase such data based options exchanges.16 which exchanges compete to attract The Exchange on their business needs. made Open-Close Data available in business. To the extent that the C. Self-Regulatory Organization’s Exchange is successful in attracting order to keep pace with changes in the industry and evolving customer needs, Statement on Comments on the subscribers for the Intraday Open-Close Proposed Rule Change Received From Data, it may earn trading revenues and and believes the data product will Members, Participants, or Others further enhance the value of its data contribute to robust competition among national securities exchanges. At least products. If the market deems the The Exchange has neither solicited proposed fees to be unfair or four other U.S. options exchanges offer a market data product that is nor received written comments on the inequitable, firms can diminish or proposed rule change. discontinue their use of the data and/or substantially similar to the Intraday avail themselves of similar products Open-Close Data. As a result, the Exchange believes this proposed rule 17 See e.g., Cboe Options Fees Schedule, Livevol Fees, Open-Close Data. See also Nasdaq ISE Options 14 The exchange notes that its Intraday Open- 7 Pricing Schedule, Section 10.A and Nasdaq PHLX Close data product does not include data on any 15 See supra note 6. Options 7 Pricing Schedule, Section 10, PHLX exclusive, singly-listed option series. 16 Id. Options Trade Outline (‘‘PHOTO’’).
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III. Date of Effectiveness of the provisions of 5 U.S.C. 552, will be Masten, Manager, Jim Kelly Field Proposed Rule Change and Timing for available for website viewing and Airport, 1501 North Airport Road, Commission Action printing in the Commission’s Public Lexington, Nebraska 68850. The foregoing rule change has become Reference Room, 100 F Street NE, FOR FURTHER INFORMATION CONTACT: effective pursuant to Section 19(b)(3)(A) Washington, DC 20549 on official Amy J. Walter, Airports Land Specialist, of the Act 18 and paragraph (f) of Rule business days between the hours of Federal Aviation Administration, 19b–4 19 thereunder, because it 10:00 a.m. and 3:00 p.m. Copies of the Airports Division, ACE–620G, 901 establishes a due, fee, or other charge filing also will be available for Locust, Room 364, Kansas City, MO imposed by the Exchange. inspection and copying at the principal 64106, (816) 329–2603, amy.walter@ At any time within 60 days of the office of the Exchange. All comments faa.gov. received will be posted without change; filing of the proposed rule change, the SUPPLEMENTARY INFORMATION: The FAA Commission summarily may the Commission does not edit personal invites public comment on the request temporarily suspend such rule change if identifying information from to change one tract of land consisting of it appears to the Commission that such submissions. You should submit only 6.92 acres of airport property at the Jim action is necessary or appropriate in the information that you wish to make Kelly Field Airport (LXN) from public interest, for the protection of available publicly. All submissions aeronautical use to non-aeronautical use investors, or otherwise in furtherance of should refer to File Number SR–C2– to produce income for the airport. The the purposes of the Act. If the 2020–012 and should be submitted on parcel of land is located along North Commission takes such action, the or before September 11, 2020. Airport Road. This parcel will be leased Commission will institute proceedings For the Commission, by the Division of for the construction and operation of a to determine whether the proposed rule Trading and Markets, pursuant to delegated solar photovoltaic electricity generating 20 change should be approved or authority. facility. disapproved. J. Matthew DeLesDernier, No airport landside or airside IV. Solicitation of Comments Assistant Secretary. facilities are presently located on this parcel, nor are airport developments Interested persons are invited to contemplated in the future. There is no submit written data, views, and [FR Doc. 2020–18354 Filed 8–20–20; 8:45 am] current use of the surface of the parcel. arguments concerning the foregoing, BILLING CODE 8011–01–P The parcel will serve as a revenue including whether the proposed rule change is consistent with the Act. producing lot with the proposed change from aeronautical to non-aeronautical. Comments may be submitted by any of DEPARTMENT OF TRANSPORTATION the following methods: The request submitted by the Sponsor meets the procedural requirements of Electronic Comments Federal Aviation Administration the Federal Aviation Administration • Use the Commission’s internet Waiver of Aeronautical Land Use and the change to non-aeronautical comment form (http://www.sec.gov/ Assurance: Jim Kelly Field Airport status of the property does not and will rules/sro.shtml); or (LXN), Lexington, Nebraska not impact future aviation needs at the • Send an email to rule-comments@ airport. The FAA may approve the sec.gov. Please include File Number SR– AGENCY: Federal Aviation request, in whole or in part, no sooner C2–2020–012 on the subject line. Administration (FAA), Transportation than thirty days after the publication of (DOT). this Notice. Paper Comments ACTION: Notice of Intent of Waiver with The following is a brief overview of • Send paper comments in triplicate respect to land use change from the request: to Secretary, Securities and Exchange aeronautical to non-aeronautical. The Jim Kelly Field Airport (LXN) is Commission, 100 F Street NE, proposing the land use release of airport Washington, DC 20549–1090. SUMMARY: The Federal Aviation property containing 6.92 acres, more or All submissions should refer to File Administration (FAA) is considering a less from aeronautical to non- Number SR–C2–2020–012. This file proposal from the Lexington Airport aeronautical. The land use release is number should be included on the Authority (sponsor), Lexington, NE, to necessary to comply with Federal subject line if email is used. To help the release a 6.92 acres parcel of land from Aviation Administration Grant Commission process and review your the federal obligation dedicating it to Assurances that do not allow federally comments more efficiently, please use aeronautical use and to authorize this acquired airport property to be used for only one method. The Commission will parcel to be used for revenue-producing, non-aviation purposes. The rental of the post all comments on the Commission’s non-aeronautical purposes. subject property will result in the land internet website (http://www.sec.gov/ DATES: Comments must be received on at the Jim Kelly Field Airport (LXN) rules/sro.shtml). Copies of the or before September 21, 2020. being changed from aeronautical to non- submission, all subsequent ADDRESSES: Comments on this aeronautical use and release the lands amendments, all written statements application may be mailed or delivered from the conditions of the Airport with respect to the proposed rule to the FAA at the following address: Improvement Program Grant Agreement change that are filed with the Amy J. Walter, Airports Land Specialist, Grant Assurances. In accordance with Commission, and all written Federal Aviation Administration, 49 U.S.C. 47107(c)(2)(B)(i) and (iii), the communications relating to the Airports Division, ACE–620G, 901 airport will receive fair market rental proposed rule change between the Locust, Room 364, Kansas City, MO value for the property. The annual Commission and any person, other than 64106. income from lease payments will those that may be withheld from the In addition, one copy of any generate a long-term, revenue-producing public in accordance with the comments submitted to the FAA must stream that will further the Sponsor’s be mailed or delivered to: Nathan obligation under FAA Grant Assurance 18 15 U.S.C. 78s(b)(3)(A). number 24, to make the Jim Kelly Field 19 17 CFR 240.19b–4(f). 20 17 CFR 200.30–3(a)(12). Airport as financially self-sufficient as
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possible. The following is the legal Liberal Mid-America Regional Airport accordance with 49 U.S.C. description of the subject airport (LBL), Liberal, Kansas. 47107(c)(2)(B)(i) and (iii), the airport property at the Jim Kelly Field Airport DATES: Comments must be received on will receive fair market value and the (LXN): or before September 21, 2020. property will continue to be used as a A parcel of land in a portion of that part ADDRESSES: Comments on this parking lot and storage building for the of Lot 1, Kelley Field Addition to the City of application may be mailed or delivered school district. Lexington, Dawson County, Nebraska, lying to the FAA at the following address: Any person may inspect, by within the Northeast Quarter of the Southeast Amy J. Walter, Airports Land Specialist, appointment, the request in person at Quarter (NE1/4–SE1/4) of Section 36, T10N, the FAA office listed above under FOR R22W, 6th P.M., more particularly described Federal Aviation Administration, as follows: Commencing at the southeast Airports Division, ACE–620G, 901 FURTHER INFORMATION CONTACT. In corner of said Section 36, said corner being Locust Room 364, Kansas City, MO addition, any person may, request an marked by a rebar with cap stamped LS 520 64106. appointment and inspect the and from which a rebar with aluminum cap In addition, one copy of any application, notice and other documents stamped LS 810 bears N89°23′25″ W a comments submitted to the FAA must determined by the FAA to be related to ° ′ ″ distance of 33.00 feet, thence N00 39 06 W be mailed or delivered to: Lynn Koehn, the application in person at the Liberal along the east line of said Section 36 a The Koehn Law Firm, L.L.C., 217 N. Mid-America Regional Airport. distance of 1411.89 feet to a point from which the east quarter corner of Section 36 Washington, Liberal, KS 67901, (620) Issued in Kansas City, MO, on August 17, bears N00°39′06″ W a distance of 1209.31 624–8158. 2020. feet, said corner being marked by a 1’’ Iron FOR FURTHER INFORMATION CONTACT: James A. Johnson, Pipe, and together with said southeast corner Amy J. Walter, Airports Land Specialist, Director, FAA Central Region, Airports of Section 36 will reflect the Basis of Federal Aviation Administration, Division. Bearings which is Geodetic North as Airports Division, ACE–620G 901 [FR Doc. 2020–18364 Filed 8–20–20; 8:45 am] determined by GPS observation; thence Locust Room 364, Kansas City, MO N90°00′00″ W a distance of 53.76 feet to the BILLING CODE 4910–13–P Point of Beginning of said parcel to be 64106, (816) 329–2603, amy.walter@ described; thence N90°00′00″ W a distance of faa.gov. 735.92 feet; thence N00°00′00″ E a distance The request to release property may DEPARTMENT OF TRANSPORTATION of 409.61 feet; thence N90°00′00″ E a distance be reviewed, by appointment, in person of 735.92 feet; thence S00°00′00″ E a distance at this same location. Federal Aviation Administration of 409.61 feet to the Point of Beginning and SUPPLEMENTARY INFORMATION: The FAA there terminating. Said parcel of land invites public comment on the request MilSpec Products, Inc. Supplemental encompasses 6.92 Acres. to release approximately 2.07 acres of Type Certificates SA03105AT, Any person may inspect, by airport property at the Liberal Mid- SA03108AT, SA03109AT, SA03066AT, appointment, the request in person at America Regional Airport (LBL) under SA03084AT, SA03110AT. the FAA office listed above under FOR the provisions of 49 U.S.C. 47107(h)(2). FURTHER INFORMATION CONTACT. In On August 11, 2020, the Airport AGENCY: Federal Aviation addition, any person may, upon Attorney requested from the FAA that Administration (FAA), Transportation appointment and request, inspect the two parcels of land for a combined 2.07 (DOT). application, notice and other documents acres of property be released for sale to ACTION: Notice of surrendered determined by the FAA to be related to the USD 480 School District. The FAA supplemental type certificates. the application in person at the Jim determined the request to release and Kelly Field Airport. sell property at Liberal Mid-America SUMMARY: This notice announces that Issued in Kansas City, MO on August 17, Regional Airport (LBL) submitted by the MilSpec Products, Inc. has surrendered 2020. Sponsor meets the procedural to the FAA supplement type certificates James A. Johnson, requirements of the Federal Aviation SA03105AT, SA03108AT, SA03109AT, Director, FAA Central Region, Airports Administration and the release and sale SA03066AT, SA03084AT, and Division. of the property does not and will not SA03110AT. This action is intended to [FR Doc. 2020–18365 Filed 8–20–20; 8:45 am] impact future aviation needs at the inform all aircraft owners who may BILLING CODE 4910–13–P airport. The FAA may approve the possess a product affected by these request, in whole or in part, no sooner surrendered certificates. than thirty days after the publication of FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF TRANSPORTATION this Notice. Send correspondence on this issue to: The following is a brief overview of Federal Aviation Administration, Federal Aviation Administration the request: Liberal Mid-America Regional Airport Atlanta Aircraft Certification Branch, Notice of Request To Release Airport (LBL) is proposing the release and sale 1701 Columbia Avenue, College Park, Property of two parcels of airport property, GA 30337. ATTN: Eric Potter. You may also contact Eric Potter by phone at AGENCY: Federal Aviation totaling 2.07 acres. The release of land is necessary to comply with Federal (404) 474–5553, or electronically at Administration (FAA), Transportation [email protected]. (DOT). Aviation Administration Grant ACTION: Notice of intent to rule on Assurances that do not allow federally SUPPLEMENTARY INFORMATION: This request to release airport property for acquired airport property to be used for notice informs the public that on land disposal at the Liberal Mid- non-aviation purposes. The sale of the February 12, 2020, the FAA accepted for America Regional Airport (LBL), subject property will result in the surrender several supplemental type Liberal, Kansas. release of land and surface rights at the certificates (STC) held by MilSpec Liberal Mid-America Regional Airport Products, Inc. By letter received October SUMMARY: The FAA proposes to rule and (LBL) from the conditions of the AIP 25, 2019, MilSpec Products, Inc. invites public comment on the release Grant Agreement Grant Assurances, but notified the FAA that it is voluntarily and sale of two parcels of land at the retaining the mineral rights. In surrendering the following STCs:
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Description of type design STC # change Products
SA03105AT ...... Manufacture of engine cowling Cessna (type certificate now held by Textron Aviation Inc.) Models 150, 150A, 150B, 150C, fasteners. 150D, 150E, 150F, 150G, 150H, 150J, 150K, 150L, and 150M airplanes. SA03108AT ...... Manufacture of engine cowling Cessna (type certificate now held by Textron Aviation Inc.) Model 177 airplanes. fasteners. SA03109AT ...... Manufacture of engine cowling Cessna (type certificate now held by Textron Aviation Inc.) Models 180, 180A, 180B, and fasteners. 180C airplanes. SA03066AT ...... Manufacture of engine cowling Beech (type certificate now held by Textron Aviation Inc.) Models 35–33, 35–A33, 35–B33, fasteners. 35–C33, 35–C33A, E33, E33A, E33C, F33, F33A, F33C, G33, H35, G36, J35, K35, M35, N35, P35, S35, V35, V35A, V35B, 36, A36, A36TC, and B36TC airplanes. SA03084AT ...... Manufacture of engine cowling Cessna (type certificate now held by Textron Aviation Inc.) Models 172, 172A, 172B, 172C, fasteners. 172D, 172E, 172F (USAF T–41A), 172G, 172H (USAF T–41A), 172I, 172K, 172L, 172M, 172N, 172P, 172Q, 172R, 172S, 175, 175A, 175B, 175C, P172D, R172E (USAF T–41B) and (USAF T–41C or D), R172F (USAF T–41D), R172G (USAF T–41C or D), R172H (USAF T–41D), R172J, R172K, and 172RG airplanes. SA03110AT ...... Manufacture of engine cowling Cessna (type certificate now held by Textron Aviation Inc.) Models 182, 182A, 182B, 182C, fasteners. 182D, 182E, 182F, 182G, 182H, 182J, 182K, 182L, 182M, 182N, 182P, 182Q, 182R, R182, T182, TR182, 182S, T182T, and 182T airplanes.
Surrender of an STC is a final action. the online instructions for submitting Background These STCs cannot be reissued to comments. • The legislative authority to deliver MilSpec Products, Inc. or any third Mail: Docket Management Facility, TTAP is contained in 23 U.S.C. 504(b). party. Completion of the surrender U.S. Department of Transportation, 1200 The Secretary may make grants and process terminates all of the design New Jersey Ave. SE, W12–140, enter into cooperative agreements and approval holder’s privileges and Washington, DC 20590. contracts to provide education and • Hand Delivery: West Building responsibilities associated with these training, technical assistance, and STCs. However, the surrender of these Ground Floor, Room W12–140, 1200 related support services described in 23 STCs does not affect the airworthiness New Jersey Ave. SE, Washington, DC U.S.C. 504(b). certificates of existing airplanes with 20590, between 9 a.m. and 5 p.m., TTAP was added to the Local these STCs installed. Monday through Friday, except Federal Technical Assistance Program in 1991, holidays. The telephone number is (202) Authority: 49 U.S.C. 106(g), 44701–44702, with the primary objective of building 44704. 366–9329. transportation professional capacity • Instructions: You must include the Issued in Kansas City, MO on August 17, within the federally recognized Tribes agency name and docket number at the to support the management of their 2020. beginning of your comments. All Pat Mullen, transportation assets. The program comments received will be posted started with four centers and expanded Manager, Small Airplane Standards Branch, without change to http:// to seven centers by 1996. In 2018, in Policy and Innovation Division, Aircraft www.regulations.gov including any Certification Service. order to focus more program resources personal information provided. on core training and technical [FR Doc. 2020–18324 Filed 8–20–20; 8:45 am] FOR FURTHER INFORMATION CONTACT: For assistance, the program piloted a BILLING CODE 4910–13–P questions about the TTAP, contact national delivery model for 2 years; this Victoria Peters, FHWA Center for Local pilot concluded in December 2019. Aid Support, (720) 963–3522, or by DEPARTMENT OF TRANSPORTATION Throughout the 2-year pilot, FHWA email at [email protected]. For received feedback from the Tribes on [Docket No. FHWA–2020–0007] legal questions, please contact Vivian the model and its performance. In Philbin, FHWA Office of the Chief response, FHWA held four consultation Federal Highway Administration Counsel, (720) 963–3445, or by email at sessions in the summer of 2019 to solicit [email protected]. Business hours more direct feedback on the national Tribal Technical Assistance Program for FHWA are from 8:00 a.m. to 4:30 model. Tribes provided feedback that p.m., E.T., Monday through Friday, they wanted more input in the AGENCY: Federal Highway except Federal holidays. development of future TTAP objectives Administration (FHWA), Department of SUPPLEMENTARY INFORMATION: and program delivery. Transportation. In acknowledgement of the feedback ACTION: Notice; request for comments. Electronic Access received and to accommodate more You may retrieve a copy of the notice direct and more extensive Tribal SUMMARY: This notice requests through the Federal eRulemaking portal involvement, FHWA conducted 13 comments on the future delivery models at: http://www.regulations.gov. The additional consultation sessions, proposed for the Tribal Technical website is available 24 hours a day. including at least one in each of the 12 Assistance Program (TTAP). Electronic submission and retrieval help Bureau of Indian Affairs (BIA) regions DATES: Comments must be received on and guidelines are available under the during late 2019 and early 2020. These or before September 21, 2020. help section of the website. An facilitated consultation sessions focused ADDRESSES: To ensure that you do not electronic copy of this document may on two questions: (1) Within the duplicate your docket submissions, also be downloaded from the Office of framework of the enabling legislation, please submit them by only one of the the Federal Register’s home page at: what objectives did the Tribes want to following means: http://www.archives.gov/federal_register see the TTAP accomplish; and (2) What • Federal eRulemaking Portal: Go to and the Government Publishing Office’s is the best delivery model to achieve http://www.regulations.gov and follow web page at: http://www.gpoaccess.gov. those objectives?
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This notice summarizes the feedback During the pilot, these sessions averaged multiple topics, and two moved into the received from the 13 consultation participation of 78 percent Tribal and 22 practical examination phase. To address sessions and proposes 2 delivery models percent non-Tribal; this was comparable concerns expressed regarding the for the advancement of TTAP. FHWA is to the previous 5 years of the TTAP, difficulty of the certification exams, the interested in receiving further input on which had average participation of 70 program was also tested with 15 local the proposed models. percent Tribal and 30 percent non- public agency employees from the While the face-to-face training of Tribal attendees. Oklahoma City area, ranging in skill TTAP is currently suspended as • The face-to-face class sizes during level from newly employed with little to potential delivery models for TTAP are the pilot ranged from 2 to 26 no experience to seasoned maintenance being assessed, online training and participants for an average of 5 workers. The more experienced local technical assistance are still available registrations per class. Comparing the workers advanced to practical testing. during the temporary suspension of average number of face-to-face training • Centralizing the administrative face-to-face trainings. session participants, the 5-year average function of the program lost the regional of the former centers was almost double interface between the Tribes and TTAP. Summary of the National Pilot that of the pilot. However, the pilot An important component of the TTAP’s In 2018–2019, FHWA piloted a metric does not include attendees efficacy is the relationship between the national delivery model for TTAP to participating in national and regional TTAP staff and the Tribes. While assess whether reshaping the program conference face-to-face training sessions centralizing the administrative function could feasibly increase the amount of as was previously included; it only of the program reduced the cost of transportation training and associated includes attendees at the 3.5-hour maintaining multiple physical centers technical assistance available to Tribal training classes. and administrative staff, the program transportation professionals and provide • The training was delivered by 10 lost the existing interface between the data to serve as a baseline against which SMEs in safety, planning & Tribes and the TTAP. A centralized future improvements could be procurement, project delivery, program resolved limitations with measured. Administered from a central maintenance & operations, and asset & respect to subject matter expertise as location with the virtual delivery of data management. The SMEs were well as the scope and amount of training face-to-face training, the pilot tested a located across the country and worked provided under the prior TTAP model. means to provide broader national remotely. All training was However, the TTAP will need to coverage. The goal was to deliver geographically dispersed across the reestablish the connection between the training in core transportation focus country to provide equitable access to TTAP staff and Tribes. Moving forward, areas, centralize subject matter the full range of training opportunities a regional connection needs to be expertise, ensure consistency in training for all the Tribes. reestablished. delivery, share best practices and • The pilot delivered 4,754 hours of • The understanding and provision of innovation, enable technical assistance face-to-face training over a 21-month culturally relevant information between from subject matter experts (SMEs), test period. Converted to an annual number, the SMEs and the Tribes was an issue a Road Scholars certification program, this represents a 60 percent increase throughout the pilot. The SMEs were and create program awareness with the over the 5-year annual average for face- hired for their experience in particular Tribal transportation workforce. The to-face training hours delivered in the specialties and the application of these pilot was funded at the same level as previous 5 years of the TTAP. An specialties in different transportation previous TTAP efforts. A brief summary additional 1,364 contact hours were programs and localities. However, the of the pilot follows: earned by Tribal participants from the SMEs’ understanding of the Tribal • Centralizing the administrative online learning delivered under the program was limited and some initially functions (e.g., developing training pilot. lacked the information and skills material; coordinating and scheduling • Upon request, the TTAP SMEs necessary to translate their recognition training sessions and technical provided customized technical into their face to face interaction. As assistance; sharing best practices/ assistance to help build the technical they integrated class discussions of innovation via a newsletter; and hosting knowledge and capabilities of Tribal regional and Tribal issues into the a website that provided information on workforces. Serving as technical standardized curriculum, their annual training schedules and locations, mentors, SMEs provided guidance and understanding of the Tribal program available resources, toolkits, fact sheets resources beyond the classroom. Over and its issues continued to evolve. To and regulatory links) in one center the course of the pilot, the SMEs improve engagement, SMEs will need to substantially reduced overhead, reduced provided an average of 36 technical be conversant in, and pay close redundancy, and increased the assistance hours per month to the Tribal attention to, the delivery characteristics resources available for training and workforce. of the Tribal program. technical assistance. • The pilot included a Road Scholar • Over 60 core curriculum courses Certification Program that offered the Discussion of Consultation Outcomes were developed in 5 core transportation opportunity to become certified in During late 2019 and early 2020, areas and were offered in the following several roadway and heavy equipment FHWA conducted 13 consultation formats: online self-paced, online 4- operation topics. The certification sessions, including at least one in each week instructor-led, and face-to-face. center was located in Oklahoma City, of the 12 BIA regions. These facilitated The pilot also included a special Oklahoma. Blending both online and in- consultation sessions focused on two emphasis area of motor vehicle injury person testing, all applicants were questions: (1) Within the framework of prevention. emailed a study packet to facilitate the enabling legislation, what objectives • The pilot provided in-depth passing the online pre-examination did the Tribes want to see the program training on topics and skills with the before proceeding with the practical accomplish; and (2) What is the best face-to-face training classes that were examination process (hands-on for delivery model to achieve those 3.5 hours or longer. These courses were several topics). Many applicants did not objectives? Each consultation session offered primarily to Tribes, but others proceed after receiving the initial study generated a list of prioritized objectives. could attend on a space-available basis. packet. Nine applicants pretested in During the consultations, program
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objectives were initially identified by • Relationship Building—Provide a training and education needs. Each individual consultation participants and designated TTAP point-of-contact (POC) Tribe would need to provide FHWA then collectively discussed and as a first resource for outreach and to with a document that ensured the funds consolidated. This section discusses the address issues of interest to Tribes were being used for the intended objectives and delivery models that within the regions. purpose prior to receiving the arose from consultation discussions. • Instructor Competency—Provide allocation. The administrative burden of instructors who are SMEs. this model renders it ineffective. In Objectives • Funding Resources—Provide addition, 80 percent of the Tribes would Below are the objectives of TTAP information and links to available receive very limited funding to meet listed in the order most frequently heard funding resources. their training and technical assistance at the consultation sessions: Other topics discussed at the needs. • Technical Assistance—Provide consultations include developing a 3. Intertribal/Train-the-Trainer—This technical assistance relevant to the knowledge portal, creating job model sought to establish the training training curriculum and Tribal needs. competencies, sharing information on capacity within the Tribal community • Innovation—Bring new innovations road maintenance programs, addressing itself. This model’s effectiveness is in technology and practice to the multi-jurisdictional issues, and teaching challenged by the Tribes’ capacity to attention of the Tribes and incorporate job-specific duties. supply trainers (e.g., time available to be applicable innovation in the training away from their position/Tribe to Delivery Models and technical assistance. provide training), the need to develop • Core Training Curriculum—Deliver Each consultation session identified and maintain the trainers’ instructional skills-based training on core several potential delivery models. techniques and capacity (this would be competencies for transportation During the consultation sessions, for ongoing as individuals entered and left program requirements. To the extent brainstorming purposes only, no this function), ensure subject matter possible, provide supporting technical financial constraints were placed on the expertise, and maintain training and manuals and guidance documents for proposed delivery models. Instead, technical assistance consistency and key courses. those involved in the brainstorming currency across a broad spectrum of • Workforce Development—Facilitate were asked to consider scalability in the trainers. However, exploring how to or enable professional training that models they proposed. The delivery integrate the concept of a train-the- leads to certification for transportation models were not fully formulated, but trainer element into TTAP can be construction-related trades, including the key elements that sought to address explored as TTAP is deployed. heavy equipment operation. the prioritized objectives were 4. National Delivery Only—The • In-person Training Locations—To identified. national model does not include a the maximum extent possible, deliver The outcomes of the 13 consultation regional presence to establish and in-person training at locations that are sessions were discussed with the Tribal maintain relationships with the Tribes readily accessible to the maximum Transportation Program Coordinating in a region. The significance of this number of Tribes. Committee (TTPCC) during its February presence to communicate with and • Instructor knowledge of Tribes and 2020 meeting in Albuquerque, New understand regional Tribal needs and Tribal issues—Provide trainers and Mexico. During this discussion, priorities was clearly expressed during technical advisors who have commonalities and themes were the consultations and can improve the demonstrable Tribal experience. explored with the TTPCC. This led to a receptivity for training and education • Tiered Training—Provide multi- grouping of the objectives and a review opportunities. However, there are tiered training (e.g., basic, intermediate, of the potential delivery models’ programmatic elements (e.g., online advanced) for selected courses. abilities to deliver the maximum course delivery, core training • Establish and Leverage number of these objectives. development, internet website that Relationships—Leverage relationships includes resource information) that are with transportation partners and direct Delivery Models Not Advanced more effectively managed and Tribes to information, data, resources, The following models were analyzed administered at the national level. and expertise that are not provided as for feasibility and effectiveness in 5. Community College-Driven part of TTAP. meeting legislative intent and Tribal Program—This model sought to leverage • Regional Specificity—Provide objectives. These models were deemed the 32 fully accredited Tribal Colleges training that is relevant to Tribal needs less effective in meeting these criteria. and Universities across the U.S. to in terms of regional climate, geology, 1. Physical Office/Center in Each deliver the TTAP. Most of these and local experience. Region—A physical office incurs costs academic institutions are 2-year schools, • Tribal Input into Courses and for rent, services, equipment, and a and 11 provide pathways to engineering Training Calendar—Incorporate Tribal structure of administrative positions in and material sciences. Working with a input into what training is delivered each office. These overhead expenses number of these institutions to and where and when it is delivered. are an annual obligation out of program effectively integrate TTAP courses and This includes Tribal input on what resources, diminishing the resources training material into their programs training is developed. available to deliver the core training and would be time-intensive and would not • Multiple Course Delivery Options— education mission. meet the immediate or near-term needs Deliver curriculum through multiple 2. Direct Funding—This model would of Tribal transportation. However, methods (e.g., face-to-face, online, peer- allocate TTAP funding directly to the exploring potential partnerships at the to-peer exchanges, electronic media). Tribes, shifting the responsibility of national and regional levels with these • Program Communication—Ensure training and education to each Tribe. It colleges and universities that could that TTAP communicates appropriately would use the established Tribal share faculty, curricula, equipment, and effectively with all Tribes about Transportation Program (TTP) and/or instructional supplies could be program activities, understands Tribal distribution formula, resulting in 456 conducted as part of the leveraging needs, and shares what TTAP can Tribes receiving less than $2,000 partnerships objective that is part of provide. annually to meet their transportation each of the advanced delivery models.
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6. Heavy Equipment Workforce mileage, and average Tribal shares) into Common Elements of the Delivery Development—An objective that was the allocation of resources. Models noted in many of the consultation 2. Key Roles and Responsibilities— All delivery models will utilize the sessions was the establishment of heavy the details of the following current core curriculum material. To equipment training capacity within responsibilities would be achieve regional specificity within the TTAP. During the consultations, this operationalized in a contract with curriculum, Tribes in the regions will be was defined as the training necessary to FHWA. solicited for the challenges or issues become proficient in heavy equipment they face due to geography, climate, or operation; this is not a 2-hour or half- The regional POC will receive regional technical assistance requests local regulations so that those elements day familiarization event with may be included. The SMEs will equipment that may be onsite. To and forward to appropriate individuals and agencies for resolution; coordinate supplement the core training modules to become proficient in heavy equipment integrate the regional elements. Tribal input through an annual needs operation, the average accredited ‘‘in- An annual training needs assessment assessment and work with the FHWA to the-seat’’ training program ranges from 4 will inform the curriculum that will be implement; communicate and market to 8 weeks to develop skills for multiple budgeted, designed, and delivered and the conduct of the face-to-face and on- pieces of equipment used in highway the locations/venues for delivery. maintenance and construction. These line training delivery; identify and All models deliver training in a 3-day programs are designed to provide the secure in-person training workshop training workshop format. Unlike a fundamental skills and knowledge locations and ensure that they are conference, the workshops will be a needed to operate heavy equipment compatible with Tribal customs and focused educational setting designed to safely and proficiently. Given the calendars; collect Tribal issues and enhance the skills of participants. No current funding level for TTAP, challenges prior to course delivery to plenary session or presentations will be providing scholarships to attend support instructor inclusion in training delivered. When appropriate, and if the credentialed programs is not feasible delivery; establish and leverage local venue affords the capacity and without forgoing a significant portion of and regional relationships to ensure that opportunity, hands-on practice of new the proposed training and technical Tribal needs are addressed; build skills will be incorporated into the assistance, which is a large component relationships with the Tribes in the sessions. of the statutory mandate. However, region; develop and maintain a regional An annual national conference will be given the interest expressed in this mailing list; and develop and publish a provided to address programmatic and training, FHWA will explore potential newsletter. mutual topics of national interest. partnership arrangements and access The SMEs will respond to technical A regional POC or SME will be opportunities with programs assistance requests received from selected whose responsibility will administered by other Federal agencies regional POCs; utilize information include building relationships with, and or Departments to determine options for collected by the regional POCs to disseminating information to, the Tribes how TTAP could expand into this area. understand and incorporate regional in their assigned region. To the extent The Objectives and the Delivery Models issues and challenges into the delivery possible, SMEs in the regions would Advanced of training and technical assistance; each have different expertise in order to deliver face-to-face training in their expand and diversify the training A matrix table comparing the expertise area; identify and share best bandwidth of TTAP. Individuals with objectives to considered models is practices and Tribal case studies with instructional knowledge/competency available as an attachment within this regional POCs and the FHWA for and an understanding of a Tribal docket notice and on the FHWA Center environment will be actively solicited to 1 distribution to Tribes; and establish and for Local Aid Support website. leverage local and regional relationships fill these positions. The following information is to ensure Tribal needs are addressed. The FHWA will continue to leverage necessary to understanding the delivery partnerships at the national and regional The FHWA will develop and models. levels to broaden the resources available promulgate information on TTAP and to Tribes. The regional POC or SME 1. Regional Area—In evaluating the disseminate in concert with the regional would leverage local and regional regional area in the delivery models POC; develop and make available the partnerships. presented below, careful consideration core training curriculum; identify and A national TTAP website will be was given to the size and determination disseminate information on innovative developed. The website or ‘‘online of regional areas that are feasible under technologies and practices; support and resource center’’ will provide a variety currently available funding for the enable the conduct of the online course of materials, tools and resources TTAP ($1.05 million per year) and that delivery options; establish and leverage relevant to the Tribal program. provides equitable training national level relationships to ensure Mailing lists will be updated and opportunities to all the Tribes within Tribal needs are addressed (this could maintained at the regional level. those regions. To achieve these two include potential relationships or The FHWA will continue to provide elements, FHWA utilized the statutory partnerships to advance workforce TTAP updates at conferences and formula used to determine the development); develop and maintain a 2 manage programmatic discussions with distribution of TTP funding. The use of TTAP website for sharing program Tribes. this formula is an established information, resources, best practices, To continue employing a blended methodology and incorporates multiple etc.; develop and share the learning strategy, existing online parameters (e.g., Tribal population, road competencies relevant to job functions; curriculum developed by FHWA or one and identify the training that supports of its partners will remain available for 1 The Models and Objectives matrix table is and enables those job functions and Tribal use. available at https://www.fhwa.dot.gov/clas/ttap/ default.aspx. make them available to the Tribes All models operate within the 2 The Section 6002 of the FAST Act continued (resource development, tools, manuals, currently available funding level of this formula without modification. 23 U.S.C. 202(b). etc.). $1.05 million per year. During the
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national pilot and the previous TTAP BIA Regional Training Workshops & DEPARTMENT OF TRANSPORTATION delivery model, the annual funding SME Assigned Four BIA Regions. Under available for TTAP was approximately this model, each SME would take on the Federal Railroad Administration $2 million per year and included functions of both POC and SME for the funding from the TTP. Due to funding region. Each of the three SMEs would be [Docket Number FRA–2020–0067] priorities within the TTP, the program responsible for four BIA regions. The Petition for Waiver of Compliance no longer supports the TTAP. In technical assistance hours would be addition, resource limitations preclude delivered in the time available to the Under part 211 of title 49 Code of providing a multi-level (basic, SME. Each SME would have the ability Federal Regulations (CFR), this intermediate, advanced) curriculum. to travel overnight 3 times to each BIA document provides the public notice Delivery Models Advanced region for technical assistance and that on August 3, 2020, Steam into networking (a total of 12 overnight trips History (SIHX) petitioned the Federal The two delivery models described per year). The training hours and Railroad Administration (FRA) for a below combine the maximum number of locations would be expanded from 9 waiver of compliance from certain objectives from the consultation workshops nationally under the above provisions of the Federal railroad safety sessions within the annual available regulations contained at 49 CFR part funding for the TTAP—$1.05 million model to 24 workshops annually. Each BIA region would receive two 3-day, 215. FRA assigned the petition Docket per year. Both models have the potential Number FRA–2020–0067. multi-track workshops for an for scalability and expansion. Any Specifically, SIHX requests special availability of 1512 hours (126 face-to- expansion would be incremental to approval pursuant to 49 CFR 215.203, ensure program fidelity is maintained. face hours in each of the 12 BIA Restricted cars, for coach SIHX 820, Opportunities identified during the regions). As with the model above, which will be operated and maintained consultation sessions—developing SMEs would supplement the core by Steam into History on the Northern multi-tiered training, leveraging Tribal training with regional specificity. At Central Railway between New Freedom, community colleges’ assets for both current funding levels, this model Pennsylvania, and Hyde, Pennsylvania. credit and non-credit training, and provides for the development of one SIHX 820 is a flat car converted for use providing individual scholarships to additional training topic each year. The in passenger service and will hold a obtain highway craft skills through topic selected for development would maximum of 62 persons, not exceeding accredited organizations or those be an outcome of the annual needs a maximum of 10 tons. identified in future needs assessments— assessment and innovation topics ready SIHX also requests relief from 49 CFR may be pursued subject to additional for deployment. An electronic 215.303, Stenciling of restricted cars, as funding and legislative intent. newsletter would be developed by the the car will be used exclusively in Three TTAP Regions with POCs & SME and published for the four BIA captive passenger service and will not Part-time SME Support. Under this regions that are the SME’s be interchanged. SIHX also attempts to model, the FHWA would solicit offers responsibility. keep its equipment historically accurate. for a POC for each region and subject A copy of the petition, as well as any matter expertise to support instructional Request for Comment written communications concerning the training delivery and technical The FHWA is asking the public and petition, is available for review online at assistance. This model offers a www.regulations.gov. specifically Tribal leaders or their direct minimum of 19 hours of technical Interested parties are invited to designees for comments on the assistance delivered by a SME in each participate in these proceedings by region per month. The POC would following questions: submitting written views, data, or coordinate the technical assistance 1. Of the two proposed delivery comments. FRA does not anticipate requests and contact the appropriate models being advanced, which do you scheduling a public hearing in SME or agency for resolution. The support and why? connection with these proceedings since model budgets for 11 overnight trips 2. Are there aspects of either of the the facts do not appear to warrant a each year for technical assistance calls two proposed delivery models being hearing. If any interested parties desire or networking in the region. Each region advanced that you think should be an opportunity for oral comment and a would receive 3 training workshops per adjusted? Which aspects? How and why public hearing, they should notify FRA, year in a multi-track format, providing should they be adjusted? in writing, before the end of the an annual availability of 567 training comment period and specify the basis hours (189 face-to-face hours in each of 3. If you do not support either of the for their request. the 3 TTAP regions). The POC would two models, please explain your All communications concerning these solicit Tribes in the regions prior to the rationale and provide any alternatives proceedings should identify the workshops to identify challenges and you believe would meet the TTAP’s appropriate docket number and may be issues to be integrated into the training legislative intent and maximize the submitted by any of the following topics. The SME would incorporate Tribal objectives from the consultations. methods: • discussion of these issues and Authority: 23 U.S.C. 504(b). Website: http:// challenges at the training workshops. At www.regulations.gov. Follow the online current funding levels, this model Nicole R. Nason, instructions for submitting comments. provides for the development of two Administrator, Federal Highway • Fax: 202–493–2251. additional training topics each year. Administration. • Mail: Docket Operations Facility, Topics selected for development would [FR Doc. 2020–18429 Filed 8–20–20; 8:45 am] U.S. Department of Transportation be an outcome of the annual needs BILLING CODE 4910–22–P (DOT), 1200 New Jersey Ave. SE, W12– assessment and innovation topics ready 140, Washington, DC 20590. for deployment. An electronic • Hand Delivery: 1200 New Jersey newsletter would be developed by the Ave. SE, Room W12–140, Washington, POC and published for each region. DC 20590, between 9 a.m. and 5 p.m.,
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Monday through Friday, except Federal at the head end of the consist in a privacyNotice for the privacy notice of Holidays. location readily visible to the regulations.gov. Communications received by October locomotive engineer or whomever may Issued in Washington, DC. 5, 2020 will be considered by FRA be occupying the controlling John Karl Alexy, before final action is taken. Comments locomotive. Protection at the rear end of received after that date will be the train will be supplied by railroad Associate Administrator for Railroad Safety Chief Safety Officer. considered if practicable. Anyone can signals, which BNSF states will be search the electronic form of any written sufficient, as there will be no railroad [FR Doc. 2020–18313 Filed 8–20–20; 8:45 am] communications and comments employees performing any inspections BILLING CODE 4910–06–P received into any of our dockets by the on the rolling equipment beyond the name of the individual submitting the lead locomotive consist to the rear of the DEPARTMENT OF TRANSPORTATION comment (or signing the document, if train. submitted on behalf of an association, A copy of the petition, as well as any Federal Transit Administration business, labor union, etc.). Under 5 written communications concerning the U.S.C. 553(c), DOT solicits comments petition, is available for review online at [FTA Docket No. FTA 2020–0009] from the public to better inform its www.regulations.gov. processes. DOT posts these comments, Interested parties are invited to Agency Information Collection Activity without edit, including any personal participate in these proceedings by Under OMB Review information the commenter provides, to submitting written views, data, or www.regulations.gov, as described in comments. FRA does not anticipate AGENCY: Federal Transit Administration, the system of records notice (DOT/ALL– scheduling a public hearing in DOT. 14 FDMS), which can be reviewed at connection with these proceedings since ACTION: Notice of request for comments. https://www.transportation.gov/privacy. the facts do not appear to warrant a See also https://www.regulations.gov/ hearing. If any interested parties desire SUMMARY: In compliance with the privacyNotice for the privacy notice of an opportunity for oral comment and a Paperwork Reduction Act of 1995, this regulations.gov. public hearing, they should notify FRA, notice announces that the Information Issued in Washington, DC. in writing, before the end of the Collection Requirements (ICRs) abstracted below have been forwarded John Karl Alexy, comment period and specify the basis for their request. to the Office of Management and Budget Associate Administrator for Railroad Safety Chief Safety Officer. All communications concerning these (OMB) for review and comment. The proceedings should identify the ICR describe the nature of the [FR Doc. 2020–18314 Filed 8–20–20; 8:45 am] appropriate docket number and may be information collection and their BILLING CODE 4910–06–P submitted by any of the following expected burdens. methods: DATES: Comments must be submitted on • DEPARTMENT OF TRANSPORTATION Website: http:// or before September 21, 2020. www.regulations.gov. Follow the online ADDRESSES: Written comments and Federal Railroad Administration instructions for submitting comments. • Fax: 202–493–2251. recommendations for the proposed [Docket Number FRA–2020–0065] • Mail: Docket Operations Facility, information collection should be sent U.S. Department of Transportation within 30 days of publication of this Petition for Waiver of Compliance (DOT), 1200 New Jersey Ave. SE, W12– notice to www.reginfo.gov/public/do/ PRAMain. Find this particular Under part 211 of title 49 Code of 140, Washington, DC 20590. • information collection by selecting Federal Regulations (CFR), this Hand Delivery: 1200 New Jersey ‘‘Currently under 30-day Review—Open document provides the public notice Ave. SE, Room W12–140, Washington, for Public Comments’’ or by using the that on August 3, 2020, BNSF Railway DC 20590, between 9 a.m. and 5 p.m., search function. Company (BNSF) petitioned the Federal Monday through Friday, except Federal Comments are Invited On: Whether Railroad Administration (FRA) for a Holidays. the proposed collection of information waiver of compliance from certain Communications received by October is necessary for the proper performance provisions of the Federal railroad safety 5, 2020 will be considered by FRA regulations contained at 49 CFR part before final action is taken. Comments of the functions of the Department, 218, Railroad Operating Practices. FRA received after that date will be including whether the information will assigned the petition Docket Number considered if practicable. Anyone can have practical utility; the accuracy of FRA–2020–0065. search the electronic form of any written the Department’s estimate of the burden Specifically, BNSF requests relief communications and comments of the proposed information collection; from certain blue signal protection received into any of our dockets by the ways to enhance the quality, utility, and requirements, 49 CFR 218.25, Workers name of the individual submitting the clarity of the information to be on a Main Track, for workers engaged in comment (or signing the document, if collected; and ways to minimize the fueling, performing locomotive daily submitted on behalf of an association, burden of the collection of information inspections, and other routine business, labor union, etc.). Under 5 on respondents, including the use of operations on head-end locomotives at U.S.C. 553(c), DOT solicits comments automated collection techniques or fuel pads situated on main lines. BNSF from the public to better inform its other forms of information technology. explains that blue signal protection processes. DOT posts these comments, A comment to OMB is best assured of would still be required at the rear end without edit, including any personal having its full effect if OMB receives it of a train if performing fueling, information the commenter provides, to within 30 days of publication of this locomotive daily inspections, and work www.regulations.gov, as described in notice in the Federal Register. on locomotives in the distributed power the system of records notice (DOT/ALL– FOR FURTHER INFORMATION CONTACT: Tia remote consist. 14 FDMS), which can be reviewed at Swain, Office of Administration, BNSF states that adequate safety will https://www.transportation.gov/privacy. Management Planning Division, 1200 be maintained by placing a blue signal See also https://www.regulations.gov/ New Jersey Avenue SE, Mail Stop TAD–
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10, Washington, DC 20590 (202) 366– Organizations (MPOs), States, and local Frequency: Annual. 0354 or [email protected]. public bodies in developing Nadine Pembleton, SUPPLEMENTARY INFORMATION: transportation plans and programs to The Director Office of Management Planning. Paperwork Reduction Act of 1995 serve the transportation needs of [FR Doc. 2020–18331 Filed 8–20–20; 8:45 am] (PRA), Public Law 104–13, Section 2, urbanized areas over 50,000 in 109 Stat. 163 (1995) (codified as revised population and other areas of States BILLING CODE P at 44 U.S.C. 3501–3520), and its outside of urbanized areas. The information collection activities implementing regulations, 5 CFR part DEPARTMENT OF TRANSPORTATION 1320, require Federal agencies to issue involved in developing the Unified two notices seeking public comment on Planning Work Program (UPWP), the National Highway Traffic Safety information collection activities before Metropolitan Transportation Plan, the Administration OMB may approve paperwork packages. Long-Range Statewide Transportation 44 U.S.C. 3506, 3507; 5 CFR 1320.5, Plan, the Transportation Improvement [Docket No. NHTSA–2019–0037] 1320.8(d)(1), 1320.12. On October 18, Program (TIP), and the Statewide 2019, FTA published a 60-day notice Transportation Improvement Program Agency Information Collection (84 FR 56012) in the Federal Register (STIP) are necessary to identify and Activities; Submission to the Office of soliciting comments on the ICR that the evaluate the transportation issues and Management and Budget for Review agency was seeking OMB approval. FTA needs in each urbanized area and and Approval: Driver Interactions With received no comments after issuing this throughout every State. These products Advanced Driver Assistance 60-day notice. Accordingly, DOT of the transportation planning process Technologies are essential elements in the reasonable announces that these information AGENCY: National Highway Traffic planning and programming of federally collection activities have been re- Safety Administration (NHTSA), funded transportation investments. evaluated and certified under 5 CFR Department of Transportation. 1320.5(a) and forwarded to OMB for In addition to serving as a ACTION: Notice and request for review and approval pursuant to 5 CFR management tool for MPOs, the UPWP comments on a request for approval of 1320.12(c). is used by both FTA and FHWA to a new information collection. Before OMB decides whether to monitor the transportation planning approve these proposed collections of activities of MPOs. It also is needed to SUMMARY: In compliance with the information, it must provide 30 days for establish national out year budgets and Paperwork Reduction Act of 1995, this public comment. 44 U.S.C. 3507(b); 5 regional program plans, develop policy notice announces that the Information CFR 1320.12(d). Federal law requires on using funds, monitor State and local Collection Request (ICR) abstracted OMB to approve or disapprove compliance with technical emphasis below has been forwarded to the Office paperwork packages between 30 and 60 areas, respond to Congressional of Management and Budget (OMB) for days after the 30-day notice is inquiries, prepare Congressional review and approval. A Federal Register published. 44 U.S.C. 3507 (b)–(c); 5 CFR testimony, and ensure efficiency in the notice with a 60-day comment period 1320.12(d); see also 60 FR 44978, 44983, use and expenditure of Federal funds by soliciting comments on the following Aug. 29, 1995. OMB believes that the determining that planning proposals are information collection was published on 30-day notice informs the regulated both reasonable and cost-effective. May 21, 2019 (84 FR 23154). NHTSA community to file relevant comments 49 U.S.C. 5303 and 23 U.S.C.134 (j) received 7 public comments. A and affords the agency adequate time to require the development of TIPs for summary of the comments and the digest public comments before it urbanized areas; STIPs are mandated by changes NHTSA made in response to renders a decision. 60 FR 44983, Aug. 49 U.S.C. 5304 and 23 U.S.C. 135(g) for those comments is provided below. 29, 1995. Therefore, respondents should an entire State. After approval by the DATES: Written comments should be submit their respective comments to Governor and MPO, metropolitan TIPs submitted on or before September 21, OMB within 30 days of publication to in attainment areas are to be 2020. best ensure having their full effect. 5 incorporated directly into the STIP. For ADDRESSES: Written comments and CFR 1320.12(c); see also 60 FR 44983, nonattainment areas, FTA/FHWA must recommendations for the proposed Aug. 29, 1995. make a conformity finding on the TIPs information collection, including The summaries below describe the before including them in the STIP. The suggestions for reducing burden, should nature of the information collection complete STIP is then jointly reviewed be submitted to the Office of requirements (ICRs) and the expected and approved or disapproved by FTA Management and Budget at burden. The requirements are being and FHWA. These conformity findings www.reginfo.gov/public/do/PRAMain. submitted for clearance by OMB as and approval actions constitute the To find this particular information required by the PRA. determination that States are complying collection, select ‘‘Currently under 30- Title: Metropolitan and Statewide and with the requirements of 23 U.S.C. 134 day Review—Open for Public Non-Metropolitan Transportation and 135 and 49 U.S.C. 5303 and 5304 Comment’’ or use the search function. Planning. as a condition of eligibility for federal- OMB Control Number: 2132–0529. aid funding. Without these documents, FOR FURTHER INFORMATION CONTACT: For Type of Request: Renewal of a approvals and findings, FTA and FHWA additional information or access to previously approved information cannot provide capital and/or operating background documents, contact collection. assistance. Elizabeth Mazzae, Applied Crash Abstract: The FTA and Federal Avoidance Research Division, Vehicle Respondents: State Departments of Highway Administration (FHWA) Research and Test Center, NHTSA, Transportation and MPOs. jointly carry out the federal mandate to 10820 State Route 347—Bldg. 60, East improve urban and rural transportation. Estimated Annual Respondents: 456 Liberty, Ohio 43319; Telephone (937) 49 U.S.C. 5303 and 5304 and 23 U.S.C. respondents. 666–4511; Facsimile: (937) 666–3590; 134 and 135 authorize the use of federal Estimated Total Annual Burden: email address: elizabeth.mazzae@ funds to assist Metropolitan Planning 4,198,379 hours. dot.gov.
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SUPPLEMENTARY INFORMATION: Before a experience in using the feature(s). information regarding how drivers who Federal agency can collect certain Participants will be asked to drive a are inexperienced compare to drivers information from the public, it must specified route over public roadways with experience using driver assistance receive approval from the Office of while using driver assistance features including advanced cruise Management and Budget (OMB). In technologies. Participants’ actions to control and either lane keeping compliance with these requirements, engage the assistance features and assistance or lane centering assistance. this notice announces that the following responses to unrequested The research will compare the two information collection request has been disengagements will be observed and groups’ use of these features in forwarded to OMB. recorded. interactions, response to disengagement OMB Control Number: To be issued at Information will be collected during notifications, and proper use. time of approval. the course of the research through The collection of information will Title: Driver Interactions With participant screening questions, consist of: (1) Question Set 1, Driving recording of video and engineering data, Advanced Driver Assistance Research Study Interest Response Form, and post-drive questionnaires. Technologies. (2) Question Set 2, Screening Questions, Form Numbers: NHTSA forms 1522, Questions addressed to individuals will (3) passive observation of driving 1525, 1527. serve to assess individuals’ suitability behavior, and (4) Question Set 3, Post- Type of Request: New information for study participation, to obtain Drive Questionnaire. collection. feedback regarding participants’ use of Type of Review Requested: Regular. the ADAS technologies, and to gauge Affected Public (Respondents): Length of Approval Requested: Three individuals’ level of comfort with and Research participants will be licensed years from the date of approval. confidence in the technologies’ drivers aged 25 years to 65 who drive Abstract: NHTSA has proposed to performance and safety. Since at least an average number of miles perform research involving the qualitative feedback or self-report data annually (e.g., 11,000 miles), are in good collection of information from the is not sufficiently robust for the purpose health, and do not require assistive public as part of a multi-year effort to of investigating driver performance/ devices to safely operate a vehicle and learn about drivers’ use of and behavior interaction issues with advanced drive continuously for a period of 3 in interacting with certain advanced vehicle control and safety technologies, hours. driver assistance technologies (ADAS). objective data will also be recorded Estimated Number of Respondents: The research will involve on-road, semi- including driver eye glance behavior The data collection will have two equal- naturalistic driving experimentation in and hand locations. Eye glance behavior sized parts: One that will begin which participants who are members of will reveal how drivers visually monitor immediately upon receipt of PRA the general public will drive and respond to visual alert information. clearance and will involve use of two government-owned instrumented Hand location data will provide 2018–2019 model year U.S. production production vehicles equipped with information regarding how well drivers vehicle models. The second part of the driver assistance technologies. The goal are able to engage the advanced driver data collection will begin after is to measure drivers’ responses to assistance functions efficiently (e.g., completion of the first part and will system alerts and their frequency of with one attempt or multiple attempts) have the same approach, but will system use, as well as observe their and how long it takes. We will observe involve different vehicle models. behavior during system use. This whether drivers engage in secondary Information for both parts of the data research will support NHTSA decisions tasks (e.g., interacting with infotainment collection will be collected in an relating to safe implementation of functions) during feature engagement. advanced driver assistance technologies. Description of the Need for the incremental fashion to permit the The research will also investigate Information and Proposed Use of the determination of which individuals whether drivers’ experience with one Information: have the necessary characteristics for brand’s ADAS impacts how they The National Highway Traffic Safety study participation. All interested interact when driving another vehicle Administration’s (NHTSA) mission is to candidates will complete Question Set equipped with a different brand’s save lives, prevent injuries, and reduce 1, Driving Research Study Interest systems. This scenario is one that would healthcare and other economic costs Response Form. A subset of individuals be experienced with rental cars and associated with motor vehicle crashes. meeting the criteria for Question Set 1 family vehicle sharing and will provide As driver assistance technologies will be asked to complete Question Set important insights into how differences advance, they have the potential to 2, Screening Questions. From the in system operation and interface design dramatically reduce the number of individuals found to meet the criteria aspects may cause usability issues. The motor vehicle crashes, injuries, and for both Questions sets 1 and 2, a subset observation of usability issues would associated economic costs. The safety will be chosen with the goal of inform NHTSA about the benefits of and effectiveness of the technologies achieving a sample providing a balance common system interface design aspects depends on drivers understanding the of age and sex to be scheduled for study (e.g., visual and auditory displays and capabilities, constraints, and visual and participation. controls). auditory alerts provided. Drivers’ A summary of the estimated numbers Participants will include drivers with understanding of when assistance of individuals that will complete the and without experience with the features are available to use and when noted question sets across both the first particular ADAS features being studied. they are not is important for safety. In and second data collection parts is Experienced drivers will be ones who particular, drivers must understand and provided in the following table. Both own one of the two vehicle models respond quickly when a feature data collection parts will involve equipped with the particular ADAS indicates that it is disengaging and the approximately 500 respondents for feature(s) being studied and can be driver must retake full manual control Question Set 1, 300 for Question Set 2, verified to have a certain degree of of driving. This work seeks to gather and 150 for Question Set 3.
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ESTIMATED NUMBER OF RESPONDENTS
Questions Total N
Question Set 1, Driving Research Study Interest Response Form ...... 1000 Question Set 2, Screening Questions ...... 600 Question Set 3, Post-Drive Questionnaire ...... 300
Estimated Time per Response: For experienced participant for both parts of estimated as shown in the table. The both parts of the data collection, data collection. time per question set is calculated by completion of Question Set 1, Driving The estimated annual time and cost multiplying the number of respondents Research Study Interest Response Form burdens across both the first and second by the time per respondent and then is estimated to take approximately 5 data collection parts are summarized in converting from minutes to hours. The minutes and completion is estimated to the table below. For example, the hour value for each question set is take approximately 7 minutes for anticipated number of individuals multiplied by the latest average hour Question Set 2, Screening Questions. completing Question Set 1 for part 1 of earning estimate from the Bureau of Completion of Question Set 3, Post- the data collection is half of 1000, or Labor Statistics 1 to obtain an estimated Drive Questionnaire is estimated to take 500, and so on. burden cost per question set. 15 minutes per inexperienced The number of respondents and time participant and 20 minutes per to complete each question set are
ESTIMATED TIME PER RESPONSE AND TOTAL TIME
Time per Question set Question topic Participants response Pay rate * Total burden Total cost (minutes) hours
1 ...... Driving Research Study Interest Re- 1000 5 $28.32 83.3 $ 2,359.91 sponse Form. 2 ...... Screening Questions ...... 600 7 28.32 70.0 1,982.40 3 ...... Post-Drive Questionnaire, Inexperienced 150 15 28.32 37.5 1,062.00 Post-Drive Questionnaire, Experienced 150 20 28.32 50.0 1,416.00
Total Estimated Burden ...... 240.8 6,820.31
Frequency of Collection: The data participants’ personally-owned requirement will be used and collections described will be performed vehicle(s), any ADAS features on their participants will be required to be a once to obtain the target number of 300 vehicle(s), and the individuals’ primary driver of the vehicle model of valid test participants. experience with respect to ADAS interest. Owners will also be questioned On May 21, 2019, NHTSA published technologies. NHTSA wishes to clarify about their use of the technology and a 60-day notice requesting public that the participant recruitment criteria also be observed using the technology comment on the proposed collection of listed in the prior published 60-day PRA during the experimental training step to information.2 We received comments information collection notice was not a allow us to confirm that the individual from seven entities, including four complete accounting of all information has an acceptable degree of system-use organizations and three individuals. that will be considered in screening knowledge desired for the study. Organizations submitting comments candidate participants. The notice was Some comments suggested included AAA, The Center for Auto an announcement of a planned adjustments to study participation Safety, Consumer Reports, and the information collection for the purposes criteria, such as lowering the minimum Motor & Equipment Manufacturers of obtaining PRA clearance and not a annual mileage driven and including Association (MEMA). All comments full, detailed accounting and younger and older drivers. were supportive of the research. No substantiation of a research plan. 1. A suggestion to lower the minimum comments addressed the questions to be NHTSA has a strategy for characterizing annual driving mileage criterion of asked of participants. Some suggestions drivers’ experience with the specific 14,000 miles was submitted by both for clarifying and expanding the vehicle models and ADAS technologies AAA and The Center for Auto Safety. research are summarized below. planned for involvement in the study. AAA commented that the stated mileage Some comments requested For example, NHTSA will query state criterion corresponded to drivers ‘‘who clarification of participation criteria, vehicle registration data for a particular are in the top quartile of all drivers such as a more detailed definition of VIN pattern to identify owners of nationwide with respect to annual what NHTSA would consider vehicle models equipped with the driving mileage . . .’’. The study’s ‘‘experience’’ with using an ADAS. For technology of interest. In addition, annual mileage criterion is based on a example, AAA recommended that in vehicle registration data will provide desire to obtain participants who drive relation to study participant information regarding how long an regularly. NHTSA agrees that annual recruitment, NHTSA should collect individual has owned the vehicle. A driving miles statistics show a declining more information on candidate minimum annual driving mileage trend. In response to these comments
1 * Cost per hour based on Bureau of Labor at https://www.bls.gov/news.release/ 2 84 FR 23154 (May 21, 2019). Statistics Dec. 2019 Average Hourly Earnings data empsit.t19.htm). for ‘‘Total Private,’’ $28.32 (Accessed Jan. 28, 2020
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and further review of available data, the While testing additional models would highlight important information to minimum annual driving mileage likely provide additional interesting NHTSA to optimize research results.’’ criterion will be lowered to 11,000 information, it is not feasible to test a NHTSA generally welcomes exchanges miles. large number of vehicle models using of information with industry partners. 2. The Center for Auto Safety the planned research method and In this instance, however, the approach commented that the stated participant ensure timely and relevant results. In and experimental design for the first age range of 25–54 years does not choosing vehicle models, we considered part of this research is complete, as the account for the other 49 percent of the feature availability, feature performance study’s magnitude in terms of number of driver population who are under 25 (e.g., can lateral and longitudinal participants and time required for years of age or over 54 and that ‘‘. . . control be engaged simultaneously?), participation (i.e., time burden) must be one of the fastest growing cohorts in the and sales. The two vehicles’ chosen estimated in order to request clearance United States are people aged 65 and have different strategies for determining under the Paperwork Reduction Act. older.’’ For this research, due to limited when lateral and longitudinal control NHTSA has taken pains to ensure that time and funding with which to conduct may be engaged: One is speed based and the systems involved in the research the research, NHTSA chose a single age the other is map/location based. One of will be production ADAS-equipped group consisting of the ‘‘middle age’’ the two vehicle models is also a fairly vehicles that are currently available for range of drivers, those aged 25 to 65, frequently purchased model for which sale to the American public. Also, the that is considered to have generally the ADAS technologies of interest are vehicles will necessarily be driven on homogeneous driving behavior standard equipment. roadways that maximize the characteristics. NHTSA will consider For the second, subsequent part of opportunity for use of the ADS features including younger and older drivers in this research, NHTSA will consider being examined given the ODD of those subsequent research efforts. available production ADAS-equipped features. Therefore, we are confident Other comments suggested vehicles and their ODDs and choose that the study results will provide broadening the study scope to include ones that will best help us answer useful information to automakers. additional vehicle models and a variety important safety questions. Three additional comments from of traffic scenarios and conditions. 4. A comment from AAA stated that individual members of the public 1. Regarding the route over public ‘‘NHTSA should ensure that the highlighted concerns regarding driving roads that participants will drive in the methodology used for comparing automation. One commenter concerned research, AAA stated that the ‘‘course vehicles accounts for the system about the possibility of vehicles being should entail a variety of road variations, while tabulating the number hacked and remotely controlled asserted conditions including divided limited and reason for disengagements of the that in all vehicles with driving access highways, two lane rural roads system.’’ NHTSA wishes to clarify that automation capability, ‘‘there needs to and surface streets, as appropriate. the focus of this research is not on be the standard automotive equipment Varying traffic conditions should be comparing systems from different and a manual override switch in place’’ included as well.’’ Route selection for manufacturers, but rather to examine so that ‘‘in case something happens it the first part of this research is how effectively drivers use and interact can be changed back to ‘normal’ vehicle constrained by the operational design with ADAS technologies involved in the functions instantly.’’ Another individual domain (ODD) of technologies and research. The research will also examine suggested that ‘‘in addition to vehicle models chosen for the study. As the efficacy of the systems’ different instrumented vehicles for data such, the route to be used in the first means of communication with the collection, the latest in virtual reality part of this work will necessarily consist driver in relation to status of the ADAS technology be leveraged for such of multi-lane highways. For the second feature(s). NHTSA has other ongoing efforts.’’ Lastly, a commenter stated his part of this research, NHTSA will research efforts that focus on belief that automation in vehicles needs consider available production ADASs characterizing technology performance to be ‘‘all or nothing because as drivers and their ODDs when selecting the route separate from the driver behavior and get acclimated to automation they will to be used for testing. technology use context. lose their proficiency at driving a 2. Both AAA and MEMA 5. MEMA recommended increasing vehicle. In my opinion all vehicles . . . recommended that the study route the survey accuracy by increasing will have to operate on the same system, should permit participants to use the sample size. The total number of with no human responsibilities . . .’’. technologies in different types of traffic participants planned for this on-road, NHTSA appreciates the suggestions conditions and traffic volumes. NHTSA semi-naturalistic driving research is regarding participation criteria and will not control for traffic volumes 300. For on-road, instrumented vehicle additional experimental conditions to directly in this research, but will research, this number represents quite a consider; however, the scope of the constrain testing hours to daylight large number of research participants current work is limited by both program periods and will record video data and would require substantial funding timeline and allocated funding amount. documenting traffic conditions and labor effort to complete the work. NHTSA will keep in mind the experienced by participants during their NHTSA’s preliminary calculations show suggestions as input for future research experimental drives for later that the planned sample size will programs. characterization as part of data analysis. provide ample statistical power for the 3. Consumer Reports expressed study analyses planned. Public Comments Invited concern that only two vehicle models 6. AAA suggested that ‘‘Before You are asked to comment on any are planned for use in the first part of moving forward with experimental aspect of this information collection, this research. They noted that the design, NHTSA should provide the including (a) whether the proposed ‘‘capabilities and limitations of these public and industry an opportunity to collection of information is necessary systems can vary greatly among conduct a design review.’’ This step for the Department’s performance; (b) manufacturers, and thus it would be could be critical in ensuring that the accuracy of the estimated burden; (c) very difficult to generalize the results to automakers who design and deploy ways for the department to enhance the all vehicles if NHTSA’s research advanced driver assistance technologies quality, utility and clarity of the includes only two vehicle models.’’ can provide appropriate feedback and information collection; and (d) ways
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that the burden could be minimized Current Actions: There are no changes ACTION: Notice and request for without reducing the quality of the being made to this form at this time. comments. collected information. Type of Review: Extension of a currently approved collection. SUMMARY: The Internal Revenue Service Authority: The Paperwork Reduction Act (IRS), as part of its continuing effort to of 1995; 44 U.S.C. chapter 35, as amended; Affected Public: Individuals or 49 CFR 1.49; and DOT Order 1351.29. households, Business or other for-profit reduce paperwork and respondent groups, Not-for-profit institutions, burden, invites the general public and Issued in Washington, DC. other Federal agencies to take this Cem Hatipoglu, Farms, Federal Government, State, Local, or Tribal Governments. opportunity to comment on information Associate Administrator, Office of Vehicle collections, as required by the Estimated Number of Respondents: Safety Research. Paperwork Reduction Act of 1995. The 3,046,964. [FR Doc. 2020–18409 Filed 8–20–20; 8:45 am] IRS is soliciting comments concerning Estimated Time Per Respondent: 11 BILLING CODE P Application for Award for Original hours 15 minutes. Information. Estimated Total Annual Burden Hours: 34,278,346. DATES: Written comments should be DEPARTMENT OF THE TREASURY The following paragraph applies to all received on or before October 20, 2020 to be assured of consideration. Internal Revenue Service of the collections of information covered by this notice: ADDRESSES: Direct all written comments Proposed Collection; Comment An agency may not conduct or to Kinna Brewington, Internal Revenue Request for Form 8941 sponsor, and a person is not required to Service, Room 6526, 1111 Constitution respond to, a collection of information Avenue NW, Washington, DC 20224. AGENCY: Internal Revenue Service (IRS), unless the collection of information FOR FURTHER INFORMATION CONTACT: Treasury. displays a valid OMB control number. Requests for additional information or ACTION: Notice and request for Books or records relating to a copies of the form and instructions comments. collection of information must be should be directed to Martha R. Brinson, SUMMARY: The Internal Revenue Service retained as long as their contents may at (202) 317–5753, or at Internal (IRS), as part of its continuing effort to become material in the administration Revenue Service, Room 6526, 1111 reduce paperwork and respondent of any internal revenue law. Generally, Constitution Avenue NW, Washington, burden, invites the general public and tax returns and tax return information DC 20224, or through the internet at other Federal agencies to take this are confidential, as required by 26 [email protected]. opportunity to comment on information U.S.C. 6103. SUPPLEMENTARY INFORMATION: collections, as required by the Request for Comments: Comments Title: Application for Award for Paperwork Reduction Act of 1995. The submitted in response to this notice will Original Information. IRS is soliciting comments concerning be summarized and/or included in the OMB Number: 1545–0409. Credit for Small Employer Health request for OMB approval. Comments Form Number: 211. Insurance Premiums. will be of public record. Comments are Abstract: Form 211 is the official invited on: (a) Whether the collection of application form used by persons DATES: Written comments should be information is necessary for the proper requesting rewards for submitting received on or before October 20, 2020 performance of the functions of the information concerning alleged to be assured of consideration. agency, including whether the violations of the tax laws by other ADDRESSES: Direct all written comments information has practical utility; (b) the persons. Such rewards are authorized by to Kinna Brewington, Internal Revenue accuracy of the agency’s estimate of the Internal Revenue Code Section 7623. Service, Room 6526, 1111 Constitution burden of the collection of information; The data is used to determine and pay Avenue NW, Washington, DC 20224. (c) ways to enhance the quality, utility, rewards to those persons who FOR FURTHER INFORMATION CONTACT: and clarity of the information to be voluntarily submit information. Requests for additional information or collected; (d) ways to minimize the Current Actions: There are no changes copies of the form and instructions burden of the collection of information being made to this form at this time. should be directed to Martha R. Brinson, on or other forms of information Type of Review: Extension of a at (202)317–5753, or at Internal Revenue technology; and (e) estimates of capital currently approved collection. Service, Room 6526, 1111 Constitution or start-up costs and costs of operation, Affected Public: Individuals or Avenue NW, Washington, DC 20224, or maintenance, and purchase of services households. through the internet at to provide information. Estimated Number of Respondents: [email protected]. 20,000. Approved: August 14, 2020. SUPPLEMENTARY INFORMATION: Estimated Time per Respondent: 45 Martha R. Brinson, Title: Credit for Small Employer mins. Health Insurance Premiums. Tax Analyst. Estimated Total Annual Burden OMB Number: 1545–2198. [FR Doc. 2020–18321 Filed 8–20–20; 8:45 am] Hours: 15,000. Form Number: 8941. BILLING CODE 4830–01–P The following paragraph applies to all Abstract: Section 1421 of the Patient of the collections of information covered Protection and Affordable Care Act, by this notice: An agency may not Public Law 111–148, allows qualified DEPARTMENT OF THE TREASURY conduct or sponsor, and a person is not small employers to elect, beginning in required to respond to, a collection of Internal Revenue Service 2010, a tax credit for 50% of their information unless the collection of employee health care coverage Proposed Collection; Comment information displays a valid OMB expenses. Form 8941, Credit for Small Request for Form 211 control number. Books or records Employer Health Insurance Premiums, relating to a collection of information has been developed to help employers AGENCY: Internal Revenue Service (IRS), must be retained as long as their compute the tax credit. Treasury. contents may become material in the
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administration of any internal revenue Avenue NW, Washington, DC 20224, or maintenance, and purchase of services law. Generally, tax returns and tax through the internet at to provide information. return information are confidential, as [email protected]. Approved: August 14, 2020. required by 26 U.S.C. 6103. SUPPLEMENTARY INFORMATION: Martha R. Brinson, Request for Comments: Comments Title: Report of Health Insurance Tax Analyst. submitted in response to this notice will Provider Information. [FR Doc. 2020–18320 Filed 8–20–20; 8:45 am] be summarized and/or included in the OMB Number: 1545–2249. BILLING CODE 4830–01–P request for OMB approval. Comments Form Number: 8963. will be of public record. Comments are Abstract: Form 8963 established invited on: (a) Whether the collection of under Section 9010 of the Patient DEPARTMENT OF THE TREASURY information is necessary for the proper Protection and Affordable Care Act performance of the functions of the (PPACA), and Public Law 111–148 (124 Agency Information Collection agency, including whether the Stat. 119 (2010)), as amended by section Activities; Proposed Collection; information has practical utility; (b) the 10905 of PPACA, and as further Comment Request; Generic Clearance accuracy of the agency’s estimate of the amended by section 1406 of the Health for the Collection of Qualitative burden of the collection of information; Care and Education Reconciliation Act Feedback on Agency Service Delivery. (c) ways to enhance the quality, utility, of 2010, Public Law 111–152 (124 Stat. AGENCY: Departmental Offices, and clarity of the information to be 1029 (2010)), which requires any Department of the Treasury. collected; (d) ways to minimize the covered entity engaged in the business burden of the collection of information of providing health insurance related to ACTION: Notice. on or other forms of information United States health risks to annually SUMMARY: The Department of the technology; and (e) estimates of capital report its net premiums written. Treasury, as part of its continuing effort or start-up costs and costs of operation, Current Actions: There are no changes to reduce paperwork and respondent maintenance, and purchase of services being made to this form at this time. burden, invites the general public and to provide information. Type of Review: Extension of a other federal agencies to comment on Approved: August 15, 2020. currently approved collection. the proposed information collections Martha R. Brinson, Affected Public: Business and other listed below, in accordance with the Tax Analyst. for-profit organizations and Not-for- Paperwork Reduction Act of 1995. [FR Doc. 2020–18322 Filed 8–20–20; 8:45 am] profit organizations. DATES: Written comments must be Estimated Number of Respondents: BILLING CODE 4830–01–P received on or before October 20, 2020. 3,200. ADDRESSES: Send comments regarding Estimated Total Annual Burden the burden estimate, or any other aspect DEPARTMENT OF THE TREASURY Hours: 18,208. of the information collection, including The following paragraph applies to all suggestions for reducing the burden, to Internal Revenue Service of the collections of information covered Treasury PRA Clearance Officer, 1750 by this notice: Pennsylvania Ave. NW, Suite 8100, Proposed Collection; Comment An agency may not conduct or Washington, DC 20220, or email at Request for Form 8963 sponsor, and a person is not required to [email protected]. respond to, a collection of information AGENCY: Internal Revenue Service (IRS), FOR FURTHER INFORMATION CONTACT: unless the collection of information Treasury. Copies of the submissions may be displays a valid OMB control number. obtained from Molly Stasko by emailing ACTION: Notice and request for Books or records relating to a comments. [email protected], calling (202) 622– collection of information must be 8922, or viewing the entire information SUMMARY: The Internal Revenue Service retained as long as their contents may collection request at www.reginfo.gov. become material in the administration (IRS), as part of its continuing effort to SUPPLEMENTARY INFORMATION: Title: of any internal revenue law. Generally, reduce paperwork and respondent Generic Clearance for the Collection of tax returns and tax return information burden, invites the general public and Qualitative Feedback on Agency Service are confidential, as required by 26 other Federal agencies to take this Delivery. opportunity to comment on information U.S.C. 6103. OMB Control Number: 1505–0231. collections, as required by the Request for Comments: Comments Type of Review: Extension without Paperwork Reduction Act of 1995. The submitted in response to this notice will change of a currently approved IRS is soliciting comments concerning be summarized and/or included in the collection. Report of Health Insurance Provider request for OMB approval. Comments Description: The collection of Information. will be of public record. Comments are information is necessary for the invited on: (a) Whether the collection of Department to solicit customer and DATES: Written comments should be information is necessary for the proper stakeholder feedback with respect to received on or before October 20, 2020 performance of the functions of the timeliness, appropriateness, accuracy of to be assured of consideration. agency, including whether the information, courtesy, efficiency of ADDRESSES: Direct all written comments information has practical utility; (b) the service delivery, and resolution of to Kinna Brewington, Internal Revenue accuracy of the agency’s estimate of the issues with service delivery. Responses Service, Room 6526, 1111 Constitution burden of the collection of information; will be assessed to plan and inform Avenue NW, Washington, DC 20224. (c) ways to enhance the quality, utility, efforts to improve or maintain the FOR FURTHER INFORMATION CONTACT: and clarity of the information to be quality of service offered to the public. Requests for additional information or collected; (d) ways to minimize the Form: None. copies of the form and instructions burden of the collection of information Affected Public: Businesses or other should be directed to Martha R. Brinson, on or other forms of information for-profits; Non-profit institutions, State at (202)317–5753, or at Internal Revenue technology; and (e) estimates of capital and Local Governments; Individuals Service, Room 6526, 1111 Constitution or start-up costs and costs of operation, and Households.
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Estimated Number of Respondents: 5a588b56eb6ad82d password DEPARTMENT OF VETERANS 14,000. 2NSxcpaP@33 or by phone at call in +1 AFFAIRS Frequency of Response: On Occasion. (404) 397–1596 meeting code: Estimated Total Number of Annual 1993331445#. [OMB Control No. 2900–0011] Responses: 14,000. Estimated Time per Response: 15 The purpose of the Committee is to Agency Information Collection minutes. provide advice and make Activity: Application for Estimated Total Annual Burden recommendations to the Secretary of Reinstatement—Insurance Lapsed Hours: 3,500 hours. Veterans Affairs on using genetic More Than 6 Months and Application Request for Comments: Comments information to optimize medical care for for Reinstatement Non-Medical submitted in response to this notice will Veterans and to enhance development Comparative Health Statement be summarized and included in the of tests and treatments for diseases AGENCY: Veterans Benefits request for Office of Management and particularly relevant to Veterans. Budget approval. All comments will Administration, Department of Veterans On September 29, 2020, the become a matter of public record. Affairs. Comments are invited on: (a) Whether Committee will receive updated ACTION: Notice. the collection of information is briefings on various VA research necessary for the proper performance of programs, including the Million Veteran SUMMARY: In compliance with the the functions of the agency, including Program (MVP) to ascertain the progress Paperwork Reduction Act (PRA) of whether the information shall have of the program in the areas of 1995, this notice announces that the practical utility; (b) the accuracy of the participant recruitment, data generation Veterans Benefits Administration, agency’s estimate of the burden of the and storage, and data access. The Department of Veterans Affairs, will collection of information; (c) ways to Committee will also receive updates submit the collection of information enhance the quality, utility, and clarity from ongoing MVP research, including abstracted below to the Office of of the information to be collected; (d) new COVID related research, return of Management and Budget (OMB) for ways to minimize the burden of the genetics results pilot studies, draft review and comment. The PRA collection of information on recommendations from a subcommittee submission describes the nature of the information collection and its expected respondents, including through the use on Genomics Services within the VA, cost and burden and it includes the of technology; and (e) estimates of and a new initiative on increasing actual data collection instrument. capital or start-up costs and costs of diversity and inclusion in VA research. operation, maintenance, and purchase Additionally, the Committee will DATES: Written comments and of services required to provide discuss and explore potential recommendations for the proposed information collection should be sent information. recommendations to be included in the within 30 days of publication of this Authority: 44 U.S.C. 3501 et seq. next annual report. notice to www.reginfo.gov/public/do/ Dated: August 18, 2020. Public comments will be received at PRAMain. Find this particular Spencer W. Clark, 2:15 p.m. EDT and are limited to 5 information collection by selecting Treasury PRA Clearance Officer. minutes each. Individuals who speak ‘‘Currently under 30-day Review—Open [FR Doc. 2020–18432 Filed 8–20–20; 8:45 am] are invited to submit a 1–2 page for Public Comments’’ or by using the BILLING CODE 4810–25–P summary of their comments for search function. Refer to ‘‘OMB Control inclusion in the official meeting record No. 2900–0011. to Jennifer Moser, Designated Federal FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF VETERANS Officer, Office of Research and Danny S. Green, (202) 421–1354 or AFFAIRS Development (10X2), 810 Vermont email [email protected]. Please Avenue NW, Washington, DC 20420, or refer to ‘‘OMB Control No. 2900–0011’’ Genomic Medicine Program Advisory at [email protected]. In the in any correspondence. Committee communication, writers must identify SUPPLEMENTARY INFORMATION: The Department of Veterans Affairs themselves and state the organization, Authority: Public Law 104–13; 44 (VA) gives notice under the Federal association or person(s) they represent. U.S.C. 3501–3521. Advisory Committee Act, that a meeting Any member of the public who wishes Title: Application for Reinstatement— of the Genomic Medicine Program to attend the teleconference should Insurance Lapsed More than 6 Months Advisory Committee (the Committee) RSVP to Jennifer Moser at 202–510– (VA Form 29–352) and Application for will be held virtually on Tuesday, 4253 no later than close of business, Reinstatement—Non-Medical September 29, 2020. The meeting will September 22, 2020, at the phone Comparative Health Statement (VA begin at 11 a.m. EDT and adjourn at 3 number or email address noted above. Form 29–353). p.m. EDT. The meeting is open to the OMB Control Number: 2900–0011. Dated: August 18, 2020. public via Webex https:// Type of Review: Reinstatement of a veteransaffairs.webex.com/webappng/ LaTonya L. Small, currently approved collection. sites/veteransaffairs/meeting/download/ Federal Advisory Committee Management Abstract: These forms are used by 2fe78c5a7b874c6398af6379146b75bc Officer. veterans who are requesting a ?siteurl=veteransaffairs& [FR Doc. 2020–18410 Filed 8–20–20; 8:45 am] reinstatement of their lapsed Insurance MTID=mc2d13b50a0af24cf BILLING CODE P policies.
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An agency may not conduct or Affected Public: Individuals or By direction of the Secretary. sponsor, and a person is not required to households. Danny S. Green, respond to a collection of information Estimated Annual Burden: 1,125 VA Clearance Officer, Office of Quality, unless it displays a currently valid OMB hours. Performance and Risk, Department of control number. The Federal Register Estimated Average Burden per Veterans Affairs. Notice with a 60-day comment period Respondent: 22.5 minutes. [FR Doc. 2020–18323 Filed 8–20–20; 8:45 am] soliciting comments on this collection Frequency of Response: One time. BILLING CODE 8320–01–P of information was published at 85 FR Estimated Number of Respondents: 13091, on June 18, 2020, page 36936. 3,000.
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Part II
Department of the Interior
Fish and Wildlife Service 50 CFR Part 20 Migratory Bird Hunting; Final 2020–21 Frameworks for Migratory Bird Hunting Regulations; Final Rule
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DEPARTMENT OF THE INTERIOR review, we changed our process for regulations. We have considered all developing migratory game bird hunting pertinent comments received through Fish and Wildlife Service regulations with the goal of enabling the the close of the comment period on State agencies to select and publish April 20, 2020, which includes 50 CFR Part 20 their season dates earlier than was comments submitted in response to our [Docket No. FWS–HQ–MB–2019–0004; allowed under the prior process. We October 15 and March 19 proposed FF09M21200–201–FXMB1231099BPP0] provided a detailed overview of this rulemaking documents and comments process in the August 3, 2017, Federal RIN 1018–BD89 from the October SRC meeting. This Register (82 FR 36308). This final rule document establishes final frameworks is the third in a series of proposed and Migratory Bird Hunting; Final 2020–21 for migratory bird hunting regulations final rules that establish regulations for Frameworks for Migratory Bird Hunting for the 2020–21 season and includes no the 2020–21 migratory bird hunting Regulations season. substantive changes from the March 19, 2020, proposed rule. We will publish AGENCY: Fish and Wildlife Service, Regulations Schedule for 2020 Interior. State selections in the Federal Register as amendments to §§ 20.101 through ACTION: Final rule. On October 15, 2019, we published in the Federal Register (84 FR 55120) a 20.107 and 20.109 of title 50 CFR part SUMMARY: The U.S. Fish and Wildlife proposal to amend title 50 of the Code 20. Service (Service or we) prescribes final of Federal Regulations (CFR) at part 20. Population Status and Harvest frameworks from which States may The proposal provided a background select season dates, limits, and other and overview of the migratory bird Each year we publish reports that options for the 2020–21 migratory bird hunting regulations process, and provide detailed information on the hunting seasons. We annually prescribe addressed the establishment of seasons, status and harvest of certain migratory limits, and other regulations for hunting frameworks, or outer limits, for dates gamebird species. These reports are migratory game birds under §§ 20.101 and times when hunting may occur and available at the address indicated under the number of birds that may be taken through 20.107, 20.109, and 20.110 of FOR FURTHER INFORMATION CONTACT or and possessed in hunting seasons. subpart K. Major steps in the 2020–21 from our website at https:// These frameworks are necessary to regulatory cycle relating to open public www.fws.gov/birds/surveys-and-data/ allow State selections of seasons and meetings and Federal Register limits and to allow harvest at levels notifications were illustrated in the reports-and-publications/population- compatible with migratory game bird diagram at the end of the October 15, status.php. population status and habitat 2019, proposed rule. For this regulatory We used the following annual reports conditions. Migratory game bird hunting cycle, we combined elements of the published in August 2019 in the seasons provide opportunities for document that is described in the development of proposed frameworks recreation and sustenance, and aid diagram as Supplemental Proposals for the migratory bird hunting Federal, State, and Tribal governments with the document that is described as regulations: Adaptive Harvest in the management of migratory game Proposed Season Frameworks. Management, 2020 Hunting Season; Further, the October 15, 2019, birds. American Woodcock Population Status, proposed rule set forth a list of 2019; Band-tailed Pigeon Population DATES: This rule takes effect on August numbered headings under which all 21, 2020. subsequent hunting frameworks and Status, 2019; Migratory Bird Hunting ADDRESSES: States should send their guidelines would be organized (see 84 Activity and Harvest During the 2017– season selections to: Chief, Division of FR 55122). Because each of the 18 and 2018–19 Hunting Seasons; Migratory Bird Management, U.S. Fish regulatory documents in this Mourning Dove Population Status, 2019; and Wildlife Service, MS: MB, 5275 rulemaking cycle includes only those Status and Harvests of Sandhill Cranes, Leesburg Pike, Falls Church, VA 22041– numbered items requiring attention, the Mid-continent, Rocky Mountain, Lower 3803. You may inspect comments list of remaining numbered items Colorado River Valley and Eastern received on the migratory bird hunting appears incomplete. Populations, 2019; and Waterfowl regulations at http:// We provided the meeting dates and Population Status, 2019. www.regulations.gov at Docket No. locations for the Service Regulations Our long-term objectives continue to FWS–HQ–MB–2019–0004. You may Committee (SRC) and Flyway Council include providing opportunities to obtain copies of referenced reports from meetings on Flyway calendars posted on harvest portions of certain migratory the street address above, or from the our website at https://www.fws.gov/ game bird populations and to limit Division of Migratory Bird birds/management/flyways.php. On harvests to levels compatible with each Management’s website at http:// October 8–9, 2019, we held open population’s ability to maintain healthy, www.fws.gov/migratorybirds/, or at meetings with the Flyway Council http://www.regulations.gov at Docket Consultants, at which the participants viable numbers. Having taken into No. FWS–HQ–MB–2019–0004. reviewed information on the current account the zones of temperature and FOR FURTHER INFORMATION CONTACT: status of migratory game birds and the distribution, abundance, economic Jerome Ford, U.S. Fish and Wildlife developed recommendations for the value, breeding habits, and times and Service, Department of the Interior, 2020–21 regulations for these species. lines of flight of migratory birds, we (202) 208–1050. The October 15, 2019, proposed rule conclude that the hunting seasons SUPPLEMENTARY INFORMATION: provided detailed information on the provided for herein are compatible with proposed 2020–21 regulatory schedule the current status of migratory bird Process for Establishing Annual and announced the SRC meetings. populations and long-term population Migratory Game Bird Hunting On March 19, 2020, we published in goals. Additionally, we are obligated to, Regulations the Federal Register (85 FR 15870) the and do, give serious consideration to all As part of the Department of the proposed frameworks for the 2020–21 information received during the public Interior’s 2015 retrospective regulatory season migratory bird hunting comment period.
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Review of Public Comments and believe that the hunting seasons Pacific Flyway Councils each Flyway Council Recommendations provided for herein are compatible with recommended adopting the liberal The preliminary proposed the current status of migratory bird regulatory alternative for their rulemaking, which appeared in the populations and long-term population respective flyways. The Mississippi and Central Flyway October 15, 2019, Federal Register (84 goals. The Flyway Council system of Councils further recommended several FR 55120), opened the public comment migratory bird management has been a changes to the AHM decision period for migratory game bird hunting longstanding example of State—Federal framework for mid-continent mallards regulations and described the proposed cooperative management since its beginning with the 2021–2022 (next) regulatory alternatives for the 2020–21 establishment in 1952. However, as season. Specifically, the Mississippi duck hunting season. Comments and always, we continue to seek new ways Flyway Council made the following recommendations are summarized to streamline and improve the process. recommendations: below and numbered in the order set In regard to longer duck seasons, we develop duck hunting regulations (1) Continue to base the annual forth in the October 15, 2019, proposed regulatory decision on current mallard rule. cooperatively with the four Flyway Councils and use an adaptive harvest breeding population estimates and We received recommendations from spring pond counts in central North all four Flyway Councils. Some management (AHM) decision framework that allows selection of the optimal America (Federal Waterfowl Breeding recommendations supported Population and Habitat Survey continuation of last year’s frameworks. regulation each year based on agreed- upon objectives, regulatory alternatives, [WBPHS] strata 13–18, 20–50, and 75– Due to the comprehensive nature of the 77), and in Michigan, Minnesota, and annual review of the frameworks population models, observed and expected harvest, habitat conditions, Wisconsin (State surveys). performed by the Councils, support for (2) Remove the North American continuation of last year’s frameworks is and the status of duck populations (see 1. Ducks, below, for more details on the Waterfowl Management Plan (NAWMP) assumed for items for which no mallard population goal from the AHM recommendations were received. process for establishing duck hunting regulations). Public comments are objective function. Council recommendations for changes (3) Replace the current four discrete in the frameworks are summarized considered in developing and revising these AHM protocols. Also, recent duck models with a model parameterization below. As explained earlier in this based on the estimation results from an document, we have included only the seasons in the Pacific Flyway are 107 days, which is the maximum season annually updated integrated population numbered items pertaining to issues for model. which we received recommendations. length allowed by the Migratory Bird Treaty Act (16 U.S.C. 703–711). Finally, (4) For the three AHM regulatory Consequently, the issues do not follow open-season alternatives, provide a in successive numerical order. Federal guidelines currently allow States to offer 2 special youth waterfowl duck hunting season framework start General hunting days, and these days can be up date of the Saturday nearest September to 14 days before the regular duck 24 and an end date of January 31. Written Comments: Several (11) (5) Allow no other changes from season. Federal frameworks provide commenters protested the entire current AHM regulatory alternatives opportunity for youth to hunt each day migratory bird hunting regulations until additional work on revisions to that a hunting season is open, and States process, the killing of all migratory other species’ strategies is completed. birds, and questioned the status and could choose to add more days of youth- (6) Allow no changes to current bag habitat data on which the migratory bird only hunting within their regular limits or harvest strategies for duck hunting regulations are based. Several seasons if such opportunities are a species other than mallards until (6) commenters were opposed to making priority. additional work on revisions to other Regarding law enforcement, this rule any regulatory changes, and one species’ strategies is completed. commenter supported the proposed proposes frameworks, or outside limits, The Central Flyway Council regulations. Several (4) commenters for migratory bird hunting. States then recommendations were consistent with expressed interest in a longer duck select hunting seasons within these Mississippi Flyway Council season in the Pacific and Mississippi outside limits to allow harvest at levels recommendations 1–4 and 6, but the Flyways; two commenters expressed compatible with migratory bird Central Flyway Council also support for additional youth hunting population status and habitat recommended that the bag limit for opportunity or youth waterfowl hunting conditions. States subsequently male mallards in the moderate and longer than one day and more than one establish regulations consistent with liberal regulatory alternatives for the week before the regular duck season; these season selections. Enforcement of Central Flyway be increased by one and one commenter expressed concern migratory bird hunting regulations is a bird, so that the male mallard bag limit that penalties for regulation violations shared responsibility between State and would be the same as the overall duck may be inadequate to dissuade Federal government agencies, and bag limit of six birds. This violations. penalties for violations of these recommendation is in opposition to Service Response: As we indicated regulations are established under Mississippi Flyway Council above under Population Status and separate State and Federal rulemaking recommendation 5. Harvest our long-term objectives processes. The Service’s Division of Service Response: As we stated in the continue to include providing Migratory Bird Management discusses October 15, 2019, proposed rule, we opportunities to harvest portions of regulatory issues with law enforcement intend to continue the use of AHM to certain migratory game bird populations personnel to ensure that proposed help determine appropriate duck- and to limit harvests to levels regulations are enforceable. hunting regulations for the 2020–21 compatible with each population’s 1. Ducks season. AHM is a tool that permits ability to maintain healthy, viable sound resource decisions in the face of numbers. We have taken into account A. General Harvest Strategy uncertain regulatory impacts and available information and considered Council Recommendations: The provides a mechanism for reducing that public comments and continue to Atlantic, Mississippi, Central, and uncertainty over time. We use an AHM
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protocol (decision framework) to changes to the mid-continent mallard (Maine south to Florida) are estimated evaluate four regulatory alternatives, AHM protocol. by integrating data from the AFBWS and each with a different expected harvest We agree with the Mississippi and the North American Breeding Bird level, and choose the optimal regulation Central Flyway Councils’ Survey. Counts of wood ducks from the for duck hunting based on the status recommendations for changes to the WBPHS are negligible and therefore and demographics of mallards for the mid-continent mallard AHM protocol excluded from population estimates. Mississippi, Central, and Pacific beginning with the 2021–22 season For the 2020–21 hunting season, we Flyways, and based on the status and where the recommendations from the evaluated alternative harvest regulations demographics of a suite of four species two Councils are in agreement (see B. for eastern waterfowl using: (1) A (eastern waterfowl) in the Atlantic Regulatory Alternatives, below, for more management objective of 98 percent of Flyway (see below, and the earlier discussion on Council recommended maximum long-term sustainable harvest referenced report ‘‘Adaptive Harvest changes to regulatory alternatives). The for eastern waterfowl; (2) the 2020–21 Management, 2020 Hunting Season’’ for two Councils’ recommendations regulatory alternatives; and (3) current more details). We have specific AHM differed in mallard daily bag limits. stock-specific population models and protocols that guide appropriate bag Consistent with past issues where associated weights. Based on the liberal limits and season lengths for species of Councils that share a migratory bird regulatory alternative selected for the special concern, including black ducks, population have differing 2019–20 duck hunting season, the 2019 scaup, and pintails, within the general recommendations, the Service will not survey estimates of 0.30 million green- duck season. These protocols use the choose one Council’s recommendation winged teal, 1.02 million wood ducks, same outside season dates and lengths over another. Rather, the two Councils 0.69 million ring-necked ducks, and as those regulatory alternatives for the should forward a consensus 0.52 million goldeneyes, the optimal 2020–21 general duck season. recommendation that either (1) adopts regulation for the Atlantic Flyway is the For the 2020–21 hunting season, we the Central Flyway Council liberal alternative. Therefore, we concur will continue to use independent recommendation for mallard bag limits; with the recommendation of the optimizations to determine the (2) adopts the Mississippi Flyway Atlantic Flyway Council regarding appropriate regulatory alternative for Council recommendation for mallard selection of the liberal regulatory mallard stocks in the Mississippi, bag limits (status quo); or (3) endorses alternative as described in the October Central, and Pacific Flyways and for each other’s recommendation and 15, 2019, proposed rule for the 2020–21 accepts differences in the regulatory season. eastern waterfowl in the Atlantic alternatives across flyways. Since such The mallard bag limit in the Atlantic Flyway. This means that we will an agreement between the flyways has Flyway is based on a separate develop regulations for mid-continent not yet been reached, the Service assessment of the harvest potential of mallards, western mallards, and eastern supports mallard bag limits for the eastern mallards (see xi. Other, below, waterfowl independently based on the 2021–22 season that are the same as for further discussion on the mallard breeding stock that contributes those from the 2020–21 season where bag limit in the Atlantic Flyway). primarily to each Flyway. We detailed the two Councils were last in agreement implementation of AHM protocols for Mississippi and Central Flyways (i.e., no change). mid-continent and western mallards in For the Mississippi and Central the July 24, 2008, Federal Register (73 Atlantic Flyway Flyways, we set duck-hunting FR 43290), and for eastern waterfowl in For the Atlantic Flyway, we set duck- regulations based on the status and the September 21, 2018, Federal hunting regulations based on the status demographics of mid-continent Register (83 FR 47868). and demographics of a suite of four mallards and habitat conditions (pond Regarding the Mississippi and Central duck species (eastern waterfowl) in numbers in Prairie Canada). For Flyway Councils’ recommendations for eastern Canada and the Atlantic Flyway purposes of the assessment, mid- changes to the mid-continent mallard States: Green-winged teal, common continent mallards are those breeding in AHM protocol for next season, the goldeneye, ring-necked duck, and wood central North America (Federal WBPHS Service has used an AHM protocol since duck. For purposes of the assessment, strata 13–18, 20–50, and 75–77), and in 1995 to determine appropriate hunting eastern waterfowl stocks are those Michigan, Minnesota, and Wisconsin season regulations for mid-continent breeding in eastern Canada and Maine (State surveys). mallards. The protocol includes (1) an (Federal WBPHS fixed-wing surveys in For the 2020–21 hunting season, we objective function that devalues harvest strata 51–53, 56, and 62–70, and evaluated alternative harvest regulations if predicted population size of mid- helicopter plot surveys in strata 51–52, for mid-continent mallards using: (1) A continent mallards is below the 63–64, 66–68, and 70–72) and in management objective of maximum population goal described in the Atlantic Flyway States from New long-term sustainable harvest; (2) the NAWMP; (2) a set of four discrete Hampshire south to Virginia (Atlantic 2020–21 regulatory alternatives; and (3) models that incorporates the effects of Flyway Breeding Waterfowl Survey, current population models and harvest and mallard density on AFBWS). Breeding population size associated weights. Based on a liberal population demographics; and (3) a set estimates for green-winged teal, ring- regulatory alternative selected for the of four regulatory alternatives. During necked ducks, and goldeneyes are 2019–20 hunting season, the 2019 the past five years, the Service and the derived annually by integrating fixed- survey estimates of 9.73 million mid- Mississippi and Central Flyway wing and helicopter survey data from continent mallards and 2.86 million Councils have undertaken a revision eastern Canada and Maine (WBPHS ponds in Prairie Canada, the optimal process to examine both the objectives strata 51–53, 56, and 62–72). Counts of regulation for the Mississippi and of harvest management for the mid- green-winged teal, ring-necked ducks, Central Flyways is the liberal continent mallard population, and the and goldeneyes in the AFBWS are alternative. Therefore, we concur with appropriateness of the models used to negligible and therefore excluded from the recommendations of the Mississippi estimate changes in their demographics. population estimates for those species. and Central Flyway Councils regarding As a result of this review, the two Breeding population size estimates for selection of the liberal regulatory Flyway Councils have recommended wood ducks in the Atlantic Flyway alternative as described in the October
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15, 2019, proposed rule for the 2020–21 liberal alternatives. We expect this associated with changing regulations season. change to have a negligible impact on annually. Consequently, we established duck harvests and population status. guidelines to provide a framework for Pacific Flyway The AHM regulatory alternatives vary in controlling the proliferation of zones For the Pacific Flyway, we set duck- the amount of harvest pressure allowed and split seasons. The guidelines hunting regulations based on the status (i.e., by differences in season lengths identified a limited number of zone and and demographics of western mallards. and bag limits) and are prescribed split-season configurations that could be For purposes of the assessment, western annually based on current waterfowl used for duck hunting and restricted the mallards consist of two substocks and status. Implementation of the frequency of changes in State selection are those breeding in Alaska and Yukon appropriate alternative each year, and among these configurations to open Territory (Federal WBPHS strata 1–12) thus harvest pressure, will ensure long- seasons at the beginning of five-year and those breeding in the southern term conservation of duck populations. intervals. The first open season was in Pacific Flyway including California, 1991, with subsequent open seasons in C. Zones and Split Seasons Oregon, Washington, and British 1996, 2001, 2006, 2011–2012, and 2016– Columbia (State and Provincial surveys) Zones and split seasons are ‘‘special 2017. In 2011, we prepared a new EA combined. regulations’’ designed to distribute analyzing proposed changes to the For the 2020–21 hunting season, we hunting opportunities and harvests guidelines for zones and split seasons. evaluated alternative harvest regulations according to temporal, geographic, and Revised guidelines were finalized in for western mallards using: (1) A demographic variability in waterfowl 2011 (76 FR 53536; August 26, 2011). management objective of maximum and other migratory game bird We discussed and presented long-term sustainable harvest; (2) the populations. For ducks, States have guidelines for duck zones and split 2020–21 regulatory alternatives; and (3) been allowed the option of dividing seasons during 2021–25 seasons in the the current population model. Based on their allotted hunting days into two (or October 15, 2019, proposed rule. We a liberal regulatory alternative selected in some cases three) segments (splits) to also stated that for those States wishing for the 2019–20 hunting season, the take advantage of species-specific peaks to change zone and split-season 2019 survey estimates of 0.89 million of abundance or to satisfy hunters in configurations in time for the 2021–25 western mallards in Alaska and the different areas who want to hunt during seasons, we would need to receive Yukon Territory (0.36 million) and the the peak of waterfowl abundance in configuration selections and zone southern Pacific Flyway (0.52 million), their area. However, the split-season descriptions by May 1, 2020. the optimal regulation for the Pacific option does not fully satisfy many States Council Recommendations: The Flyway is the liberal alternative. that wish to provide a more equitable Atlantic, Mississippi, Central, and Therefore, we concur with the distribution of harvest opportunities. Pacific Flyway Councils recommended recommendation of the Pacific Flyway Therefore, we also have allowed the that we modify the existing guidelines Council regarding selection of the establishment of independent seasons in for duck zones and split seasons to liberal regulatory alternative as up to four zones within States for the allow an additional configuration described in the October 15, 2019, purpose of providing more equitable including two zones with up to three proposed rule for the 2020–21 season. distribution of harvest opportunity for season segments per zone for use hunters throughout the State. beginning with the 2021–22 duck B. Regulatory Alternatives In 1978, we prepared an hunting season. The Mississippi Flyway Council Recommendations: The environmental assessment (EA) on the Council also recommended the Mississippi and Central Flyway use of zones to set duck hunting requirement that States selecting this Councils recommended that the duck regulations. A primary tenet of the 1978 additional configuration conduct an framework opening and closing dates be EA was that zoning would be used to evaluation of changes in hunter the Saturday nearest September 24 and provide equitable distribution of duck numbers, satisfaction, and harvest. The January 31, respectively, for the three hunting opportunities within a State or Central and Pacific Flyway Councils AHM regulatory open-season region. The intent was not to increase further recommended additional zone alternatives beginning with the 2021–22 total annual waterfowl harvest in the and split-season configurations (next) season. zoned areas; target harvest levels were including: (1) One zone in each State Service Response: We agree with the to be adjusted downward if they may comprise up to two geographically Mississippi and Central Flyway exceeded traditional levels as a result of separated areas, and (2) three zones with Councils’ recommendations for opening zoning. Subsequent to the 1978 EA, we up to three season segments per zone. and closing dates for duck season conducted a review of the use of zones Finally, the Atlantic Flyway Council frameworks beginning with the 2021–22 and split seasons in 1990. The ability to recommended that the deadline for season, which are slightly different from detect the impacts of zones and splits on States to select their zone and split- what the Service identified in the waterfowl demographics and harvest season configurations and define new October 15, 2019, proposed rule (84 FR was poor because of the absence of zone boundaries be extended from May 55128). The John D. Dingell, Jr. adequate study designs and 1 to July 1, 2020. Conservation, Management, and experimental controls, limitations in Service Response: We agree with the Recreation Act of 2019 (Pub. L. 116–9) monitoring capacities, imprecise recommendations of the Atlantic, amended the Migratory Bird Treaty Act parameter estimates, and low power to Mississippi, Central, and Pacific Flyway to establish that the closing framework detect changes in parameter estimates. Councils to allow an additional duck date for duck seasons will be January Substantial concern remained about the zone and split-season configuration 31, unless a flyway chooses an earlier unknown consequences of zones and with two zones and up to three season closing date. The recommendations to split seasons on duck populations and segments per zone beginning with the change the opening framework date harvest redistribution among States and 2021–22 season. States that select this represent a one-week earlier opening in flyways, potential reduced effectiveness new configuration must conduct an the restrictive regulatory alternative for of regulations (season length and bag evaluation of impacts to hunter the Mississippi and Central Flyways, limit) to reduce duck harvest if needed, dynamics (e.g., hunter numbers, but no changes to the moderate or and the administrative burden satisfaction) and harvest during the
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fixed five-year period it is implemented are made, the zone and split-season the September teal-only season (e.g., 2021–25 period) and need to configuration must conform to one of beginning with the 2020 season. involve human dimensions specialists the following five options: Service Response: We agree with the in the assessment. (1) One zone (same as no zones) with Atlantic Flyway Council’s We do not support the up to three season segments; recommendation. Florida has met the recommendations of the Central and (2) Two zones with up to two season minimum requirements for sample size Pacific Flyway Councils to add segments in each zone; and targets for nontarget species attempt additional configurations including one (3) Two zones with up to three season rates in both the pre-sunrise and post- zone with discontinuous boundaries or segments in each zone; sunrise periods, which were below the three zones with up to three season (4) Three zones with up to two season acceptable rate of 25 percent. In segments per zone. We remain segments in each zone; or addition the nontarget species harvest concerned about the proliferation of (5) Four zones with a continuous rates for both pre- and post-sunrise zones, impacts to harvest, and potential season (i.e., no segments) in each zone. periods were below the acceptable rate confounding of these additional zone Because the two zones and three of 10 percent. and split-season configurations with season segments configuration is new, iii. Black Ducks results from the Central Flyway States that select this configuration must Council’s proposed two-tier license conduct an evaluation of impacts to Council Recommendations: The experiment. We need to better hunter dynamics (e.g., hunter numbers, Atlantic and Mississippi Flyway understand how additional zone and satisfaction) and harvest during the Councils recommended continued use split-season configurations might fixed five-year period it is implemented of the AHM protocol for black ducks, influence hunter recruitment, retention, (e.g., 2021–25 period). and adoption of the moderate regulatory and reactivation (R3) efforts, and alternative for their respective flyways. whether additional options run counter Grandfathered Zone and Split The Flyway-specific regulations consist to the desire to simplify regulations. Arrangements of a daily bag limit of two black ducks Therefore, we were supportive of When we first implemented the zone and a season length of 60 days. additional discussions at the spring and split-season guidelines in 1991, Service Response: The Service, 2020 SRC meetings to help us better several States had completed Atlantic and Mississippi Flyway understand these additional options and experiments with zone and split-season Councils, and Canada adopted an how they can help us meet our mutual arrangements different from our original international AHM protocol for black objectives while addressing R3 and options. We offered those States a one- ducks in 2012 (77 FR 49868; August 17, waterfowl population concerns. time opportunity to continue 2012) whereby we set black duck Finally, we will extend the deadline (‘‘grandfather’’) those arrangements, hunting regulations for the Atlantic and for States to select their zone and split- with the stipulation that only minor Mississippi Flyways (and Canada) based season configurations and to define changes could be made to zone on the status and demographics of these potential new zone boundaries for the boundaries. If any of those States now birds. The AHM protocol clarifies 2021–25 seasons to August 15, 2020, but wish to change their zone and split country-specific target harvest levels, we encourage States to submit their arrangement: and reduces conflicts over regulatory selections and zone boundaries as soon (1) The new arrangement must policies. For the 2020–21 hunting season, we as possible. conform to one of the five options evaluated country-specific alternative For the 2021–25 seasons, the identified above; and harvest regulations using: (1) A guidelines for duck zones and split (2) The State cannot go back to the management objective of 98 percent of seasons are as follows: grandfathered arrangement that it maximum long-term sustainable previously had in place. Guidelines for Duck Zones and Split harvest; (2) country-specific regulatory Seasons Mallard Management Units alternatives; and (3) current population The following guidelines for zones For the States that have a recognized models and associated weights. Based and split seasons apply only for the management unit (Columbia Basin on the 2019 survey estimates of 0.56 regular duck season: Management Unit in the Pacific Flyway, million breeding black ducks and 0.36 (1) A zone is a geographic area or High Plains Management Unit in the million breeding mallards (Federal portion of a State, with a contiguous Central Flyway) and include a non- WBPHS strata 51, 52, 63, 64, 66, 67, 68, boundary, for which independent dates management unit portion, an 70, 71, and 72; core survey area), the may be selected for the regular duck independent 2-segment duck season optimal regulation for the Atlantic and season. with no zones can be selected for the Mississippi Flyways is the moderate (2) Consideration of changes for management unit. The remainder of the alternative (and the liberal alternative in management-unit boundaries is not State in the non-management unit Canada). Therefore, we concur with the subject to the guidelines and provisions portion can be zoned and have split recommendations of the Atlantic and governing the use of zones and split seasons according to existing guidelines. Mississippi Flyway Councils regarding seasons for ducks. In the Central Flyway, additional duck selection of the moderate regulatory (3) Only minor (less than a county in season days afforded to the management alternative for the 2020–21 season. size) boundary changes will be allowed unit must occur on or after the Saturday iv. Canvasbacks for any grandfathered arrangement, and nearest December 10. changes are limited to the open season. Council Recommendations: The (4) Once a zone and split-season D. Special Seasons/Species Atlantic, Mississippi, Central, and configuration is selected during an open Management Pacific Flyway Councils recommended season, it must remain in place for the adoption of the liberal regulatory i. September Teal Seasons following five years. alternative for their respective flyways. Any State may continue their zone Council Recommendations: The The Flyway-specific regulations consist and split-season configuration used in Atlantic Flyway Council recommended of a daily bag limit of two canvasbacks the previous five-year period. If changes Florida be granted operational status for and a season length of 60 days in the
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Atlantic and Mississippi Flyways, 74 sustainable harvest, including a closed- only one of which could be female, for days in the Central Flyway, and 107 season constraint of 1.75 million birds; the Atlantic Flyway. The Central days in the Pacific Flyway. (2) the regulatory alternatives; and (3) Flyway Council recommended that the Service Response: As we discussed in current population models and Service allow South Dakota and the March 28, 2016, Federal Register associated weights. Based on a liberal Nebraska to evaluate a two-tier licensing (81 FR 17302), the canvasback harvest regulatory alternative with a 1-bird daily system, wherein two different types of strategy that we had relied on until 2015 bag limit for the 2019–20 season and the licenses would be available to hunters was not viable under our new regulatory 2019 survey estimates of 2.27 million to harvest ducks. One license type process because it required biological pintails observed at a mean latitude of would allow maximum harvest information that was not yet available at 54.4 degrees (Federal WBPHS opportunity under the regulations, and the time a decision on season structure traditional survey area, strata 1–18, 20– would require the hunter to comply needed to be made. We do not yet have 50, and 75–77), the optimal regulation with all species and sex restrictions on a new harvest strategy to propose for use for all four Flyways is the liberal the take of the various duck species. The in guiding canvasback harvest alternative. Therefore, we concur with second type of license would allow the management in the future. However, we the recommendations of the four Flyway hunter to take three ducks of any have worked with technical staff of the Councils regarding selection of the species each day of the season, thus not four Flyway Councils to develop a liberal regulatory alternative for the requiring the hunter to identify species decision framework (hereafter, decision 2020–21 season. prior to shooting them. The intent of support tool) that relies on the best this less-restrictive license type is to vi. Scaup biological information available to recruit and retain waterfowl hunters. develop recommendations for annual Council Recommendations: The The recommendation proposes that canvasback harvest regulations. The Atlantic, Mississippi, Central, and South Dakota and Nebraska be allowed decision support tool uses available Pacific Flyway Councils recommended to evaluate this new license system information (1994–2014) on canvasback adoption of the restrictive regulatory beginning with the 2020–21 season. The breeding population size in Alaska and alternative for the 2020–21 season. The less-restrictive license would be north central North America (Federal Flyway-specific regulations consist of a available to any hunter (both residents WBPHS traditional survey area, strata 60-day season with a 1-bird daily bag and nonresidents), but the first license 1–18, 20–50, and 75–77), growth rate, limit during 40 consecutive days and a purchased in the State would require survival, and harvest, and a population 2-bird daily bag limit during 20 that the individual hunt under that model to evaluate alternative harvest consecutive days in the Atlantic license type for the entire season (for regulations based on a management Flyway, a 60-day season with a 2-bird example, hunters purchasing multiple objective of maximum long-term daily bag limit during 45 consecutive licenses in that State in a given season sustainable harvest. The decision days and a 1-bird daily bag limit during would always have to hunt under the support tool calls for a closed season 15 consecutive days in the Mississippi strictures of the first license purchased; when the population is below 460,000, Flyway, a 1-bird daily bag limit for 74 they could not change between the a 1-bird daily bag limit when the days in the Central Flyway, and an 86- typical license type and the less- population is between 460,000 and day season with a 2-bird daily bag limit restrictive license type). 480,000, and a 2-bird daily bag limit in the Pacific Flyway. Service Response: We agree with the when the population is greater than Service Response: The Service and Atlantic Flyway Council’s 480,000. Based on the 2019 survey four Flyway Councils adopted an AHM recommendation for a mallard daily bag estimate of 686,000 canvasbacks, we protocol for scaup in 2008 (73 FR 43290, limit of two birds, of which only one concur with the recommendations of the July 24, 2008; and 73 FR 51124, August may be female, for the Atlantic Flyway. four Flyway Councils regarding 29, 2008) whereby we set scaup hunting The Atlantic Flyway Council’s eastern selection of the liberal regulatory regulations in all four Flyways based on waterfowl AHM protocol (see above) did alternative for the 2020–21 season. the status and demographics of these not specifically address bag limits for birds. mallards. The number of breeding v. Pintails For the 2020–21 hunting season, we mallards in the northeastern United Council Recommendations: The evaluated alternative harvest regulations States (about two-thirds of the eastern Atlantic, Mississippi, Central, and for scaup using: (1) A management mallard population in 1998) has Pacific Flyway Councils recommended objective of 95 percent of maximum decreased by about 38 percent since adoption of the liberal regulatory sustainable harvest; (2) the regulatory 1998, and the overall population has alternative for their respective flyway. alternatives; and (3) the current declined by about 1 percent per year The Flyway-specific regulations consist population model. Based on a moderate during that time period. This situation of a daily bag limit of one pintail and regulatory alternative for the 2019–20 has resulted in reduced harvest a season length of 60 days in the season and the 2019 survey results of potential for that population. The Atlantic and Mississippi Flyways, 74 3.59 million scaup (Federal WBPHS Service conducted a Prescribed Take days in the Central Flyway, and 107 traditional survey area, strata 1–18, 20– Level (PTL) analysis to estimate the days in the Pacific Flyway. 50, and 75–77), the optimal regulation allowable take (kill rate) for eastern Service Response: The Service and for all four Flyways is the restrictive mallards, and compared that with the four Flyway Councils adopted an AHM alternative. Therefore, we concur with expected kill rate under the most liberal protocol for pintail in 2010 (75 FR the recommendations of the four Flyway season length (60 days) considered as 44856; July 29, 2010) whereby we set Councils regarding selection of the part of the eastern waterfowl AHM pintail hunting regulations in all four restrictive alternative for the 2020–21 regulatory alternatives. Flyways based on the status and season. Using contemporary data and demographics of these birds. assuming a management objective of For the 2020–21 hunting season, we xi. Other maximum long-term sustainable evaluated alternative harvest regulations Council Recommendations: The harvest, the PTL analysis estimated an for pintails using: (1) A management Atlantic Flyway Council recommended allowable kill rate of 0.194–0.198. The objective of maximum long-term a mallard daily bag limit of two birds, expected kill rate for eastern mallards
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under a 60-day season and a 2-mallard monitoring efforts, and addressing law later Canada goose season framework daily bag limit in the U.S. portion of the enforcement concerns are important closing date. We earlier discussed under Atlantic Flyway was 0.193 (SE = 0.016), elements to consider before 1. Ducks, B. Regulatory Alternatives that which is slightly below (but not implementing a limited two-tier last year we extended the duck, coot, significantly different from) the point licensing system for evaluation. The and merganser season framework estimate of allowable kill at maximum Service wants this work completed in closing date from the last Sunday in long-term sustainable harvest. This time to implement the limited two-tier January to January 31 across all four calculation indicates that a 2-bird daily licensing system for the 2021–22 Flyways as directed by the John D. bag limit is sustainable at this time. hunting season. Over the last two years, Dingell, Jr. Conservation, Management, Regarding the Central Flyway the Service has completed extensive and Recreation Act, signed into law on Council’s recommendation for a two-tier work with our State partners reviewing March 12, 2019 (Pub. L. 116–9). license system, the Service notes that a hunting and fishing regulations on Therefore, we are supportive of similar recommendation was first Refuge lands. Our commitment is for the adjusting the general Canada goose presented to the SRC by the Council in Service to continue to explore season framework closing date to again 2012, and was considered by the Service opportunities to enhance the waterfowl coincide with the duck, coot, and at that time. In 2015, after several years hunting experience for the American merganser season framework closing of discussion with the Council, the SRC public. date, and expect this adjustment to have concluded that, although they saw some negligible impact to Canada goose 4. Canada Geese merit in the proposal, the SRC did not population status. believe sufficient evidence was On April 16, 2020, we published in presented showing that duck the Federal Register (85 FR 21282) a 6. Brant identification was a significant barrier to revised List of Migratory Birds protected Council Recommendations: The waterfowl recruitment and retention. under the Migratory Bird Treaty Act Atlantic Flyway Council recommended Thus, the SRC did not support the (MBTA) by both adding and removing that the 2020–21 season for Atlantic proposal at that time, but stated that species. Reasons for the changes to the brant follow the Atlantic Flyway they would reconsider their decision if list included adding species based on Council’s brant harvest strategy pending evidence showing that duck revised taxonomy and new evidence of the results of the 2020 Atlantic Flyway identification was a significant barrier to natural occurrence in the United States Mid-winter Waterfowl Survey (MWS). participation became available. or U.S. territories, removing species no The Council also recommended that if Since 2015, several surveys have been longer known to occur within the results of the 2020 MWS are not conducted that included questions United States or U.S. territories, and available, then results of the most recent asking respondents whether duck changing names to conform to accepted MWS should be used. identification might deter them from use. This rule went into effect on May The Pacific Flyway Council hunting waterfowl. Results from some 18, 2020, which was between recommended a framework closing date surveys suggest that may be the case, publication of the proposed frameworks of January 31 in places where the addressing at least in part the concerns (March 19, 2020) and these final closing date is currently the last Sunday the SRC had identified. However, the frameworks for 2020–21 migratory bird in January. The Council also Service also recognizes that this hunting seasons. The revised List of recommended that the 2020–21 brant proposal represents a significant change Migratory Birds separated Canada goose season frameworks be determined based to the way it has set regulations since into two separate species: Cackling on the harvest strategy in the Council’s the early 1900s, and that a change of goose (Branta hutchinsii) and Canada management plan for the Pacific that magnitude requires significant goose (Branta canadensis). However, the population of brant pending results of input, planning, and documentation to March 19, 2020, proposed frameworks the 2020 Winter Brant Survey (WBS). If meet legal concerns and ensure that specified hunting seasons for both of results of the 2020 WBS are not reliable information results from the these species under Canada geese and available, results of the most recent study to assist decision makers in the the collective term dark geese. Thus, for WBS should be used. future. administrative purposes, we clarify that Service Response: As we discussed in Therefore, the Service intends to in this final rule Canada geese includes the March 28, 2016, Federal Register approve a limited two-tier licensing both Canada geese and cackling geese. (81 FR 17302), the current harvest system in selected States to assess Because historically Canada goose strategy used to determine the Atlantic impacts to hunters and duck harvests, season frameworks applied to both brant season frameworks does not fit but not during the 2020–21 season as species of geese, the separation of these well within the new regulatory process, proposed in the Central Flyway species in the List of Migratory Birds similar to the Rocky Mountain Council’s recommendation. Rather, the will not result in differential harvest Population (RMP) of sandhill cranes Service tasked Division of Migratory effects on either species. issue discussed below under 9. Sandhill Bird Management staff to work with the Cranes. In developing the annual Flyway Councils to develop a team to B. Regular Seasons proposed frameworks for Atlantic brant address the components needed in an Council Recommendations: The in the past, the Atlantic Flyway Council evaluation, and to have a draft Pacific Flyway Council recommended a and the Service used the number of evaluation plan that is supported by framework closing date of January 31 in brant counted during the MWS in the both the Division of Migratory Bird places where the closing date is Atlantic Flyway, and took into Management and the Flyway Councils currently the last Sunday in January. consideration the brant population’s ready for review prior to the spring 2020 Service Response: We agree with the expected productivity that summer. The SRC meeting. The Service believes that Pacific Flyway Council’s MWS is conducted each January, and completing National Environmental recommendation. The Canada goose expected brant productivity is based on Policy Act (NEPA) compliance, season framework dates traditionally early-summer observations of breeding developing shared objectives, have coincided with the duck, coot, and habitat conditions and nesting effort in identifying appropriate metrics for merganser season framework dates important brant nesting areas. Thus, the evaluation, potentially modifying except where there are exceptions for a data under consideration were available
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before the annual Flyway Council and except where there are earlier brant Oregon, and Washington may select a SRC decision-making meetings in late season framework closing date 27-day season with a 2-brant daily bag July. Although the former regulatory restrictions. We earlier discussed under limit. alternatives for Atlantic brant were 1. Ducks, B. Regulatory Alternatives that • If the WBS index is greater than developed by factoring together long- last year we extended the duck, coot, 147,000 brant, then Alaska may select a term productivity rates (observed during and merganser season framework 107-day season with a 4-bird daily bag November and December productivity closing date from the last Sunday in limit, and California, Oregon, and surveys) with estimated observed January to January 31 across all four Washington may select a 37-day season harvest under different framework Flyways as directed by the John D. with a 2-bird daily bag limit. regulations, the primary decision- Dingell, Jr. Conservation, Management, Under all the above open-season making criterion for selecting the annual and Recreation Act, signed into law on alternatives, the framework outside frameworks was the MWS count. March 12, 2019 (Pub. L. 116–9). season dates are September 1 through Under the current regulatory Therefore, we are supportive of January 26 in Alaska, Saturday closest schedule, neither the expected 2020 adjusting the general brant season to September 24 through December 15 brant production information (available framework closing date to again in California and Oregon, and Saturday spring) nor the 2020 MWS count coincide with the duck, coot, and closest to September 24 through January (available January) is yet available at the merganser season framework closing 31 in Washington. time proposed frameworks are date, and expect this to have negligible The recent 3-year average (2018–2020) developed. However, the MWS is impact to Pacific brant population WBS count of Pacific brant was 145,388. typically completed and data are status. Using the above harvest strategy, the available by the expected publication of We also agree with the Pacific Flyway appropriate season length and daily bag the final frameworks. Therefore, in the Council’s recommendation that the limit framework for Pacific brant in the September 24, 2015, Federal Register 2020–21 Pacific brant season 2020–21 season is a 107-day season (80 FR 57664), we adopted the Atlantic frameworks be determined by the with a 2-bird daily bag limit in Alaska, Flyway Council’s revised Atlantic brant harvest strategy in the Council’s and a 27-day season with a 2-bird daily harvest strategy. The current harvest management plan for the Pacific bag limit in California, Oregon, and strategy for Atlantic brant is as follows: population of brant pending results of Washington. • If the MWS count is <100,000 the 2020 WBS. Similar to the case for 8. Swans Atlantic brant, the season would be Atlantic brant, the harvest strategy used We first approved a hunting season closed. to determine the Pacific brant season • If the MWS count is between frameworks does not fit well within the for the Eastern Population (EP) of tundra swans in the early 1980s, and gradually 100,000 and 115,000 brant, States could current regulatory process. In expanded opportunities to include the select a 30-day season with a 1-bird developing the annual proposed States of Montana, North Dakota, North daily bag limit. frameworks for Pacific brant, the Pacific • If the MWS count is between Flyway Council and the Service use the Carolina, South Dakota, and Virginia by 115,000 and 130,000 brant, States could three-year average number of brant the late 1980s. Recently, we also select a 30-day season with a 2-bird counted during the WBS in the Pacific allowed Delaware to initiate an daily bag limit. Flyway to determine annual allowable experimental hunting season on these • If the MWS count is between season length and daily bag limits. The birds. Harvest of EP tundra swans is 130,000 and 150,000 brant, States could WBS is conducted each January, which guided by a cooperative management select a 50-day season with a 2-bird is after the date that proposed plan, which specifies a population daily bag limit. frameworks are formulated in the objective and harvest levels designed to • If the MWS count is between regulatory process. However, the data maintain population abundance near 150,000 and 200,000 brant, States could are typically available by the expected that objective. In recent years, some select a 60-day season with a 2-bird publication of these final frameworks. Interior Population (IP) trumpeter swans daily bag limit. When we acquire the current survey have been present during fall and winter • If the MWS count is >200,000 brant, data, we select the appropriate in States where EP tundra swan hunting States could select a 60-day season with frameworks for the 2020–21 Pacific is allowed. As a result of restoration a 3-bird daily bag limit. brant season according to the harvest efforts and natural population growth, Under all the above open-season strategy in the Pacific Flyway Council’s the IP has grown from 43 adult and alternatives, seasons would be between management plan for Pacific brant and subadult birds in 1968 to over 27,000 in the Saturday nearest September 24 and publish the result in the final 2015. Given the growth and range January 31. Further, States could split frameworks rule. The current harvest expansion that has occurred in the IP, their seasons into two segments. strategy for Pacific brant is as follows: it is likely that migrating and wintering The 2020 MWS Atlantic brant count • If the WBS index is <102,000 brant, trumpeter swan numbers will increase was 139,875 brant. Thus, utilizing the then the brant season is closed, and the in the Atlantic, Mississippi, and Central above Atlantic brant harvest strategy, season may not reopen until the 3-year Flyways. Tundra and trumpeter swans the appropriate Atlantic brant hunting average WBS index exceeds 112,000 are very similar in appearance, season for the 2020–21 season is a 50- brant. particularly at a distance. As the day season with a 2-bird daily bag limit. • If the WBS index is between number and range of trumpeter swans We agree with the Pacific Flyway 102,000 and 122,000 brant, then Alaska continues to increase during fall and Council’s recommendation for a may select a 51-day season with a 2-bird winter in States where tundra swan framework closing date of January 31 in daily bag limit, and California, Oregon, hunting is allowed, the risk of places where the closing date is and Washington may select a 16-day accidental harvest of trumpeter swans currently the last Sunday in January for season with a 2-bird daily bag limit. by hunters will increase. Thus, there is brant in the Pacific Flyway. The brant • If the WBS index is between a need to address the potential for season framework dates traditionally 122,001 and 147,000 brant, then Alaska misidentification and accidental harvest have coincided with the duck, coot, and may select a 107-day season with a 2- of trumpeter swans that may occur merganser season framework dates bird daily bag limit, and California, during existing tundra swan seasons.
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To address this issue, the Service color information from the harvested their waterfowl seasons by having reviewed information and drafted an EA swan within 72 hours of harvest for season dates for ducks, coots, to determine whether harvest of IP species determination. mergansers, geese, and swans coincide. trumpeter swans during current EP Written Comments: We received many Swan hunting will continue to be tundra swan hunting seasons could be (335) comments on the proposed regulated primarily by the number of permitted while sustaining IP trumpeter framework for a general swan season in swan hunting permits a State may issue swans at desired levels. The proposed the eastern three flyways. Some (239) each year, which is unchanged. action is to establish a regulatory commenters opposed the proposal Allowing a split in the season is framework for swan hunting that would entirely; some (94) commenters, expected to have negligible impact to govern the harvest of both trumpeter including one non-government tundra and trumpeter swan populations and tundra swans in portions of the organization, only opposed including in the Pacific Flyway. Atlantic, Mississippi, and Central Minnesota or the Mississippi Flyway in We also agree with the Pacific Flyway Flyways that currently have operational the swan season framework; while two Council’s recommendation to allow hunting seasons on EP tundra swans or commenters were supportive of the limited take of swans in northern Idaho may have them in the future. The entire proposal. Central themes among during the fall-winter general hunting framework would allow a limited take commenters opposed to all or part of the season for migratory birds. This change of trumpeter swans, but only during proposal were opposition to allowing effectively expands the operational hunting seasons established to provide any harvest of trumpeter swans, lack of swan hunting season framework in the opportunities to hunt tundra swans. demand for swan hunting in the Pacific Flyway that includes parts of New hunting seasons (i.e., seasons in Mississippi Flyway, and probable Montana, Nevada, and Utah to also areas that are currently closed to swan harvest of trumpeter swans in areas or include the four northwestern-most hunting) will not be approved unless portions of the year when these birds counties in Idaho (Benewah, Bonner, the requesting State demonstrates that outnumber tundra swans. Several (9) of Boundary, and Kootenai). The purpose ≥90% of the swans in the proposed these commenters further suggested that is to provide additional hunting hunting area are tundra swans. Any harvested trumpeter swans be opportunity in Idaho for swans that season where take of both swan species confiscated, but that hunters not be have met population goals. is allowed would require data ticketed or fined. The Service authorized an collection, which would ensure harvests We received few (3) comments on the experimental general swan hunting of IP trumpeter swans remain within proposed framework for a general swan season (hereafter swan season) within appropriate levels, and allow season in Idaho. Two commenters the Pacific Flyway south of Alaska modification of the seasons if necessary. supported the proposal, including the (parts of Montana, Utah, and Nevada) in Importantly, no State that currently has State of Idaho, while one commenter 1995, which became operational in a tundra swan season is required to was opposed. One commenter further 2003. The Service addressed impacts of change that season to a general swan suggested the use of check stations over the swan season in a sequence of NEPA season; the latter is only an option that bill-measurement cards for swan species environmental assessments and findings is available to States if they want to identification. of no significant impact (1995, 2000, implement such a season. A copy of the Service Response: We agree with the 2001, 2003). Idaho did not express Final EA—including background Atlantic and Central Flyway Councils’ interest in a swan season at that time. information on the swan species recommendations that the total number The proposed swan season in Idaho is impacted, levels of take of IP trumpeter of hunting permits be reduced from consistent with: (1) Earlier NEPA swans that would be allowed, and 12,000 to 9,600, with 5,600 permits documents establishing the swan season specifics of the five alternatives we allowed in the Atlantic Flyway and in the Pacific Flyway as operational, (2) analyzed—and finding of no significant 4,000 permits allowed in the Central applicable hunting regulations in title impact can be found at either http:// Flyway. The recommendations are 50 of the Code of Federal Regulations, www.regulations.gov or on our website consistent with reductions called for in part 20, and (3) the Council at https://www.fws.gov/birds/index.php. the Atlantic, Central, Mississippi, and management plans for tundra and Council Recommendations: The Pacific Flyway Councils’ management trumpeter swans. The proposed swan Atlantic and Central Flyway Councils plan for EP tundra swans. The count of season framework in Idaho would be recommended that the total number of tundra swans from the 2019 Midwinter experimental for a period of at least hunting permits for EP tundra swans be Waterfowl Survey in the Atlantic and three years where no framework reduced from 12,000 to 9,600, with Mississippi Flyways combined resulted changes could occur unless restrictions 5,600 permits allowed in the Atlantic in 92,819 birds. The average count for were necessary. After that period, the Flyway and 4,000 permits allowed in the last three years was 107,907, which framework could become operational the Central Flyway. The Pacific Flyway is below the 110,000-bird threshold upon approval by the Council and Council recommended that the Pacific needed to support 12,000 permits as Service. Flyway swan season framework allow specified in the Councils’ management Both the Western Population (WP) of the season to be split into two segments plan for EP tundra swans. tundra swans and Rocky Mountain and allow a season in northern Idaho We also agree with the Pacific Flyway Population (RMP) of trumpeter swans with the following parameters: Council’s recommendation that the are subjected to harvest during the swan (1) Hunting area may include the four Pacific Flyway swan season framework hunting season in the Pacific Flyway. most northwestern counties (Benewah, allow the season to be split into two Regarding WP tundra swans, the recent Bonner, Boundary, and Kootenai); segments. This is a minor adjustment to 3-year (2017–2019) mean abundance (2) Not more than 50 hunting permits realign the swan season framework in index was 127,556 (95% CI = 83,027– may be issued; the Pacific Flyway with changes to the 172,086) swans, which exceeded the (3) Only 1 permit may be issued per duck, coot, merganser, and goose season Pacific Flyway Council’s population hunter; and frameworks that have occurred since objective of 60,000 swans. Regarding (4) All hunters that harvest a swan 1995 when the Pacific Flyway swan RMP trumpeter swans, the recent (2015) must complete and submit a harvest season framework was established. This count was 11,271 white trumpeter report with the bill measurement and adjustment will allow States to simplify swans (i.e., adult and subadult birds),
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which exceeded the Pacific Flyway circumstances in the Pacific Flyway Flyway Councils. Currently, there are Council’s population objective of 10,000 where the take of trumpeter and tundra not existing or proposed swan hunting white swans. The Council also has an swans is allowed in some areas, the seasons in any State in the Mississippi objective for the U.S. breeding segment Service believes allowing a limited take Flyway (including Minnesota). of RMP trumpeter swans. The recent of trumpeter swans, primarily to General swan seasons would be (2018) minimum count was 810 white eliminate the liability of hunters who allowed only in existing tundra swan swans, which exceeded the Council’s mistakenly shoot a trumpeter swan, is hunting areas that have few trumpeter population objective of 718 white appropriate. The Service believes this swans, as was specified in the EA. New swans. The recent 3-year (2016–2018) decision will continue to allow general swan seasons would be allowed average count was 774 white swans. trumpeter swans to increase their only in areas where tundra swans The experimental swan season in abundance and range while not compose 90 percent or more of the Idaho will be limited to ≤50 permits per imposing an unnecessary burden on swans in the hunt area during the year and is expected to result in a small hunters to unerringly identify the general swan season. This restriction for increase in total Pacific Flyway swan species of swan while hunting. The swan seasons is intended to harvest (≤23 WP tundra swans and <1 harvest of IP trumpeter swans is simultaneously minimize the probable RMP trumpeter swan per year on expected to be low and would not harvest of trumpeter swans in swan average), but have negligible impact to jeopardize the sustainability of the hunting areas and address the potential habitat and overall tundra and population based on the biological for misidentification and accidental trumpeter swan population status. The assessment we have conducted. Further, harvest of trumpeter swans that may experimental season is expected to have the harvest information and other occur during tundra swan seasons. positive impacts on the socioeconomic aspects of a general swan season Therefore, trumpeter swans should not environment in localized areas where framework are reviewed by the Service be shot in greater numbers than tundra swans occur and are hunted, and is not annually. If the information suggests swans anywhere in their range under expected to have any significant impacts harvest is higher than deemed this regulation. on other wildlife species and their appropriate and could jeopardize the In response to commenters that habitats, including endangered and status of the population, the Service suggested harvest of trumpeter swans threatened species. could revise the framework or close the not be illegal, but that trumpeter swans We prepared an EA on the proposed season in any year. shot by hunters be confiscated, the swan season in northern Idaho. A copy proposed regulation would lawfully of the EA and specifics of the two The Service manages migratory birds allow the take of a trumpeter swan alternatives we analyzed and finding of at the population level when during the general swan season. Because no significant impact can be found at information is sufficient to do so. The they could be lawfully taken, law either http://www.regulations.gov or on range of IP trumpeter swans spans enforcement could not issue a citation our website at https://www.fws.gov/ portions of the Central, Mississippi, and for unlawful take. Since there would be birds/index.php. Atlantic Flyways; thus, that is the no citation, the bird could not be legally Regarding written comments opposed geographic scale appropriate for their confiscated. to a general swan season in the eastern management. Therefore, the assessment Regarding the written comment on three flyways, the position of the and allowable take described in the use of hunter check stations in Idaho, Service is to provide hunting proposed rule (85 FR 15870; March 19, we conclude it is prudent to monitor the opportunities on game birds where such 2020) and referenced EA spans all three take of birds during hunting seasons, hunting is compatible with flyways, and we believe any alternative particularly under newly established sustainability of the game bird resource proposed by the Service should include seasons. The swan hunting season and consistent with management all three flyways (i.e., should not framework in the Pacific Flyway objectives. Trumpeter swans are exclude Minnesota or the Mississippi requires each State to evaluate hunter classified as game birds under the Flyway). However, the establishment of participation, harvest, and hunter Migratory Birds Convention (Treaty) this framework by the Service does not compliance. We require States (i.e., between the United States and Great mean that a general swan season must Utah and Nevada) to use check stations Britain (for Canada) that was enacted by be implemented in any flyway or State. for swan species identification where the Migratory Bird Treaty Act in the The framework provides only that a we are particularly concerned about United States. The Interior Population biological assessment indicates such take of trumpeter swans, but otherwise of trumpeter swans, the group which is seasons could be supported in those allow use of bill-measurement cards the subject of this proposal, has been flyways without negatively impacting (i.e., Montana). We acknowledge the increasing at an average rate of about the sustainability of IP trumpeter swans. potential for inaccuracy when filling out 14% per year since 1968, the result of Each Flyway Council and State has their bill-measurement cards and that the reintroduction efforts and natural own process to determine whether they reliability of those measurements may reproduction, and in 2015 numbered would allow a general swan season. not be as high as we would desire. about 27,000 white birds (excludes Those jurisdictions will seek input from However, we also recognize that cygnets). The geographic range of these their stakeholders, including the non- requiring hunters to take their harvested birds also is expanding within the hunting public, when determining if swans to a check station to have them eastern three flyways as birds pioneer they would recommend implementing measured, and for the State to operate new areas and reestablish migration such a season. Therefore, whether any or otherwise support check stations in a routes. Because some of those areas or all of the flyways or any State decides sufficient number of geographic include locations where tundra swan to have general swan seasons is a matter locations to be relatively convenient to hunting has been allowed, the for each Flyway Council and State to hunters, may be costly and time likelihood of hunters encountering determine after they consider input consuming, particularly relative to the trumpeter swans during those hunts is from their constituency. The Service few swans that may be harvested in increasing, which also increases the will consider allowing general swan Idaho. The Service encourages States to possibility that they may shoot a seasons, along with any restrictions they provide directions on bill-measurement trumpeter swan. Similar to desire, only if they are supported by the cards to minimize the likelihood that a
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swan bill would be measured with the requirements in the Central 8.22 percent. Using the current harvest inaccurately. As provided above and in and Pacific Flyway Councils’ RMP crane strategy and the above most recent 3- the EA, the Idaho swan season is management plan. The experimental year average abundance and recruitment expected to result in a harvest of ≤23 season required monitoring the level estimates, the allowable harvest for the WP tundra swans and <1 RMP and racial composition of the harvest 2020–21 season is 1,536 cranes. trumpeter swan on average per year. and to assign greater sandhill cranes 11. Moorhens and Gallinules Furthermore, the trumpeter swans are harvested during this season to the RMP expected to be from the RMP Canada cranes quota. From 2001 to 2019, Similar to the situation for cackling breeding population segment, whose harvest in the Estancia Valley season geese discussed under 4. Canada Geese population status is of less concern than was monitored via mandatory hunter above, on April 16, 2020, we published that for the RMP U.S. breeding check stations. In recent years, in the Federal Register (85 FR 21282) a population segment. approximately one to two percent of the revised List of Migratory Birds protected crane harvest comprised greater sandhill under the Migratory Bird Treaty Act 9. Sandhill Cranes cranes (1–2 birds out of a harvest of (MBTA) by both adding and removing Council Recommendations: The approximately 100 birds in the Estancia species. Reasons for the changes to the Central Flyway Council recommended Valley). New Mexico will continue to list included adding species based on that Kansas be allowed to have two monitor the level and racial revised taxonomy and new evidence of hunting zones. The Central and Pacific composition of the harvest in the natural occurrence in the United States Flyway Councils recommended that the Estancia Valley season using bill- or U.S. territories, removing species no status of the season in Estancia Valley, measurement cards and assign greater longer known to occur within the New Mexico, be changed from cranes harvested to the RMP crane United States or U.S. territories, and experimental to operational, and that quota. changing names to conform to accepted allowable harvest of RMP cranes be Finally, we also agree with the Central use. This rule went into effect on May determined based on the formula and Pacific Flyway Councils’ 18, 2020, which was between the described in the Pacific and Central recommendations to determine publication dates of the proposed Flyway Management Plan for RMP allowable harvest of RMP cranes using frameworks (March 19, 2020) and these cranes. the formula in the Pacific and Central final frameworks for 2020–21 migratory Service Response: We agree with the Flyway Councils’ management plan for bird hunting seasons. The revised List of Central Flyway Council’s RMP cranes pending results of the fall Migratory Birds added the common recommendations that Kansas be 2019 abundance and recruitment gallinule (Gallinula galeata), which allowed to have two hunting zones. In surveys. As we discussed in the March previously was considered conspecific 2004, two to three whooping cranes 28, 2016, Federal Register (81 FR with the common moorhen (Gallinula were shot just prior to the opening of 17302), the harvest strategy used to chloropus). However, the March 19, the sandhill crane hunting season in calculate the allowable harvest of RMP 2020, proposed frameworks specified Kansas. As a result, Kansas has been cranes does not fit well within the hunting seasons for common moorhens. required to open their sandhill crane current regulatory process. In Because this change in the List of season later than they had historically to developing the annual proposed Migratory Birds represents only a assist in protecting whooping cranes. frameworks for RMP cranes, the Flyway change in the name of a species for However, because significant numbers Councils and the Service use the fall which hunting was allowed, and of sandhill cranes migrate through abundance and recruitment surveys of because the change was made after the Kansas prior to the opening date, RMP cranes to determine annual proposed frameworks were published, harvest opportunity has been lost. The allowable harvest. Results of the fall in this final rule and for the 2020–21 hunting area in Kansas includes the abundance and recruitment surveys of season, the regulations for common western two-thirds of the State, but RMP cranes are released between gallinules will be specified under the whooping cranes primarily migrate December 1 and January 31 each year, regulations for common moorhens and through only the eastern part of the which is after the date proposed purple gallinules. hunting area. Allowing Kansas to divide frameworks are developed. However, Council Recommendations: The their hunting area into two zones would the data are typically available by the Atlantic, Mississippi, and Central allow an earlier opening date in the expected publication of final Flyway Councils recommended a western part of the hunting area and frameworks. When we acquire the framework closing date of January 31 for improve hunting opportunity, while survey data, we determine the moorhens and gallinules in the Atlantic, maintaining the current opening date in appropriate allowable harvest for the Mississippi, and Central Flyways. the eastern part of the hunting area RMP crane season according to the Service Response: We agree with the would continue to protect whooping harvest strategy in the Central and recommendations of the Atlantic, cranes. Extensive information on Pacific Flyway Councils’ management Mississippi, and Central Flyway whooping crane sightings was used in plan for RMP cranes published in the Councils for a framework closing date of determining the placement of the March 28, 2016, Federal Register (81 FR January 31 rather than the last Sunday boundary between the central and 17302) and publish the results in the in January for moorhens and gallinules western hunting zones, and the Service final frameworks rule. in the Atlantic, Mississippi, and Central believes the boundary and different The 2019 fall RMP crane abundance Flyways. The moorhens and gallinules zone-specific season opening dates estimate was 21,290 cranes, resulting in season framework closing date provide sufficient protection to a 3-year (2017–19) average of 20,894 traditionally has coincided with the whooping cranes. cranes, similar to the previous 3-year duck, coot, and merganser season We also agree with the average, which was 21,219 cranes. The framework closing date. We earlier recommendations of the Central and RMP crane recruitment estimate was discussed under 1. Ducks, B. Regulatory Pacific Flyway Councils to change the 8.92 percent young in the fall Alternatives that last year we extended status of the season in Estancia Valley, population, resulting in a 3-year (2017– the duck, coot, and merganser season New Mexico, from experimental to 19) average of 8.25 percent, which is framework closing date from the last operational. The season is consistent similar to the previous 3-year average of Sunday in January to January 31 across
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all four Flyways as directed by the John Regions. As such, a ‘‘moderate season’’ the 2007–08 season and conforming to D. Dingell, Jr. Conservation, for both management regions for the those fixed five-year periods used for Management, and Recreation Act, 2020–21 season is appropriate. ducks, e.g., 2006–10 (71 FR 51406; signed into law on March 12, 2019 (Pub. August 29, 2006). These guidelines were 16. Doves L. 116–9). Therefore, we are supportive not extended to the WMU at the time of adjusting the moorhens and Council Recommendations: The because they were not endorsed by the gallinules season framework closing Atlantic and Mississippi Flyway Pacific Flyway Council and no dove date to again coincide with the duck, Councils recommended adoption of the zones occurred in the WMU. coot, and merganser season framework standard regulatory alternative, which Furthermore, the framework season closing date, and expect this change to consists of a 90-day season and 15-bird length in the WMU was 30 consecutive have negligible impacts to moorhen and daily bag limit for States within the days, except in Arizona and California gallinule population status. Eastern Management Unit. The daily bag where the season length was 60 days, limit could be composed of mourning 12. Rails and could be split into two segments. doves and white-winged doves, singly The season length in the WMU was Council Recommendations: The or in combination. expanded to 60 days beginning with the The Mississippi and Central Flyway Atlantic, Mississippi, Central, and 2014 hunting season. The Pacific Councils recommended adoption of the Pacific Flyway Councils recommended Flyway Council is now requesting the standard regulatory alternative, which a framework closing date of January 31 same flexibility for zones and split consists of a 90-day season and 15-bird for rails in the Atlantic, Mississippi, seasons we have afforded to other MUs, daily bag limit for States within the Central, and Pacific Flyways. with the exception that the WMU would Service Response: We agree with the Central Management Unit. be allowed only two season segments in recommendations of the Atlantic, The Pacific Flyway Council one or both zones rather than three. Mississippi, Central, and Pacific Flyway recommended adoption of the standard Thus, we are supportive of extending Councils for a framework closing date of regulatory alternative, which consists of the guidelines for dove zones and split January 31 rather than the last Sunday a 60-day season and 15-bird daily bag in January for rails in the Atlantic, limit for States in the Western seasons to the WMU, with the exception Mississippi, Central, and Pacific Management Unit (WMU). The Council that seasons may be split into no more Flyways. The rail season framework also recommended allowing States in than two segments. Any State’s zone closing date traditionally has coincided the WMU to select seasons in one or two and split-season configuration also must with the duck, coot, and merganser zones with up to two segments per zone. conform to those fixed five-year periods season framework closing date. We Service Response: Based on the used for duck and dove guidelines for earlier discussed under 1. Ducks, B. harvest strategies and current zones and split seasons, e.g., 2021–25. Regulatory Alternatives that last year we population status, we agree with the Dove harvest may increase slightly in extended the duck, coot, and merganser recommended selection of the standard those States where zones are season framework closing date from the season frameworks for doves in the established, particularly late in the last Sunday in January to January 31 Eastern, Central, and Western season, but any additional harvest is across all four Flyways as directed by Management Units for the 2020–21 expected to have negligible impact to the John D. Dingell, Jr. Conservation, season. dove population status. Finally, we will Management, and Recreation Act, We also agree with the Pacific Flyway extend the deadline for States to select signed into law on March 12, 2019 (Pub. Council’s recommendation to allow their zone and split-season L. 116–9). Therefore, we are supportive States in the WMU to select seasons in configurations and to define potential of adjusting the rail season framework one or two zones with up to two new zone boundaries for the 2021–25 closing date to again coincide with the segments per zone. seasons to July 1, 2020, but we duck, coot, and merganser season In 2004, we recognized the need to encourage States to submit their framework closing date, and expect this work with the States to review our selections and zone boundaries as soon change to have negligible impact to rail current policy regarding zoning for dove as possible (see C. Zones and Split population status. hunting (69 FR 52970; August 30, 2004). Seasons, above). We asked the Flyway Councils and For the 2021–25 seasons, the 14. Woodcock Mourning Dove Management Unit guidelines for dove zones and split Council Recommendations: The Technical Committees to review the seasons are as follows: current policies regarding the use of Atlantic, Mississippi, and Central Guidelines for Dove Zones and Split zones and split seasons for dove Flyway Councils recommended use of Seasons the ‘‘moderate’’ season framework for hunting, with a view toward the 2020–21 season. establishing guidelines for the use of (1) A zone is a geographic area or Service Response: In 2011, we these harvest-management tools, as has portion of a State, with a contiguous implemented a harvest strategy for been done for ducks. Items considered boundary, for which independent woodcock (76 FR 19876, April 8, 2011). included the number of zone and split- seasons may be selected for dove The harvest strategy provides a season configurations among which hunting. transparent framework for making each State may choose, the frequency (2) Each State may select a zone and regulatory decisions for woodcock with which each State may change their split-season configuration during an season length and bag limits while we configuration selection, and the need for open season. The configuration must work to improve monitoring and a restricted framework opening date in remain in place for the following five assessment protocols for this species. south zones. In 2006, we adopted a set years except that each State may make Utilizing the criteria developed for the of guidelines for dove zones and split a one-time change and revert to their strategy, the three-year average for the seasons applicable in the Eastern and previous zone and split-season Singing Ground Survey indices and Central Mourning Dove Management configuration in any year of the five- associated confidence intervals fall Units based on recommendations of the year period. Formal approval will not be within the ‘‘moderate package’’ for both Atlantic, Mississippi, and Central required, but the State must notify the the Eastern and Central Management Flyway Councils for use beginning in Service before making the change.
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(3) Zoning periods for dove hunting from 1,000 to 500 birds for the 2020–21 finding of no significant impact. The will conform to those years used for season. programmatic document, as well as the ducks, e.g., 2021–25. separate environmental assessment, is 19. Puerto Rico (4) The zone and split-season available on our website at https:// configuration consists of two zones with Council Recommendations: The www.fws.gov/birds/index.php, or from the option for three-segment seasons in Atlantic Flyway Council recommended the address indicated under the caption one or both zones, except in the WMU increasing the daily bag limit from 20 to ADDRESSES. 30 doves in the aggregate in Puerto Rico where the season in one or both zones Endangered Species Act Consideration may be split into two segments. As a beginning with the 2020–21 season. The grandfathered arrangement, Texas will daily bag may not exceed 3 mourning Section 7 of the Endangered Species have three zones with the option for doves and 10 Zenaida doves, as in the Act of 1973, as amended (16 U.S.C. 1531 two-segment seasons in one, two, or all current regulation, but may be as high et seq.), provides that the Secretary shall three zones. as 30 white-winged doves per hunter insure that any action authorized, (5) States that do not wish to zone for daily. funded, or carried out is not likely to Service Response: We agree with the dove hunting may split their seasons jeopardize the continued existence of Atlantic Flyway Council’s into three segments. any endangered species or threatened recommendation. White-winged dove species or result in the destruction or For the 2021–25 period, any State abundance is estimated to be adverse modification of critical habitat. may continue the configuration used in approximately 1.04 million birds in After we published the October 15, 2016–20. If changes are made, the zone Puerto Rico, which is above the target 2019, proposed rule, we conducted and split-season configuration must population of 0.5–0.7 million birds. The formal consultations to ensure that conform to one of the configurations increase in the white-winged dove daily actions resulting from these regulations listed above. If Texas uses a new bag limit from 20 to 30 birds is expected would not likely jeopardize the configuration for the entirety of the five- to increase their harvest rate by 8 continued existence of endangered or year period, it cannot go back to the percent from 36.7 to 44.7 percent and threatened species or result in the grandfathered arrangement that it reduce total population size of white- destruction or adverse modification of previously had in place. winged doves in Puerto Rico to 0.95 their critical habitat. Findings from 17. Alaska million birds, which is above the target these consultations are included in a population of 0.5–0.7 million birds. biological opinion, which concluded Council Recommendations: The Retaining the daily bag limit restrictions that the regulations are not likely to Pacific Flyway Council recommended on mourning and Zenaida doves will jeopardize the continued existence of reducing the emperor goose total result in this regulation change having any endangered or threatened species. allowable harvest in Alaska from 1,000 a negligible impact on those species. The biological opinion resulting from to 500 geese. Required Determinations this section 7 consultation is available Service Response: We agree with the for public inspection at the address Pacific Flyway Council’s Executive Order 13771—Reducing indicated under ADDRESSES. recommendation. The Pacific Flyway Regulation and Controlling Regulatory Council revised their management plan Costs Regulatory Planning and Review (Executive Orders 12866 and 13563) for emperor geese in 2016. The This action is not subject to the management plan includes emperor requirements of Executive Order (E.O.) E.O. 12866 provides that the Office of goose population objectives, 13771 (82 FR 9339, February 3, 2017) Information and Regulatory Affairs commitments to monitor population because it establishes annual harvest (OIRA) will review all significant rules. status, and a harvest strategy. The fall- limits related to routine hunting or OIRA has reviewed this rule and has winter harvest of emperor geese in fishing. determined that this rule is significant Alaska was resumed as a registration because it will have an annual effect of permit hunt in 2017 after more than 30 National Environmental Policy Act $100 million or more on the economy. years of closed seasons. The Council’s (NEPA) Consideration E.O. 13563 reaffirms the principles of harvest strategy is based on emperor The programmatic document, E.O. 12866 while calling for goose abundance during spring on the ‘‘Second Final Supplemental improvements in the nation’s regulatory Yukon-Kuskokwim Delta Coastal Zone Environmental Impact Statement: system to promote predictability, to and thresholds for prescribed regulatory Issuance of Annual Regulations reduce uncertainty, and to use the best, alternatives. The harvest strategy Permitting the Sport Hunting of most innovative, and least burdensome specifies an open hunting season with Migratory Birds (EIS 20130139),’’ filed tools for achieving regulatory ends. The an annual allowable harvest of 1,000 with the Environmental Protection executive order directs agencies to emperor geese if the spring abundance Agency (EPA) on May 24, 2013, consider regulatory approaches that index is greater than 23,000 geese; but addresses NEPA compliance by the reduce burdens and maintain flexibility when the spring abundance index is Service for issuance of the annual and freedom of choice for the public between 23,000 and 28,000 geese, framework regulations for hunting of where these approaches are relevant, restrictions will be considered, migratory game bird species. We feasible, and consistent with regulatory specifically reducing the allowable published a notice of availability in the objectives. E.O. 13563 emphasizes harvest from 1,000 to 500 birds. The Federal Register on May 31, 2013 (78 further that regulations must be based 2019 emperor goose spring abundance FR 32686), and our Record of Decision on the best available science and that index was 26,585 (95% CI = 24,161– on July 26, 2013 (78 FR 45376). We also the rulemaking process must allow for 29,008), which is below the Pacific address NEPA compliance for waterfowl public participation and an open Flyway Council’s population objective hunting frameworks through the annual exchange of ideas. We have developed of 34,000 geese. The abundance index preparation of separate environmental this rule in a manner consistent with was also below the 28,000-bird assessments, the most recent being these requirements. threshold, which triggers consideration ‘‘Duck Hunting Regulations for 2020– An economic analysis was prepared of reducing the allowable harvest quota 21,’’ with its corresponding June 2020 for the 2020–21 season. This analysis
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was based on data from the 2016 will have an annual effect on the rights. This rule will not result in the National Survey of Fishing, Hunting, economy of $100 million or more. physical occupancy of property, the and Wildlife-Associated Recreation However, because this rule establishes physical invasion of property, or the (National Survey), the most recent year frameworks for hunting seasons, we do regulatory taking of any property. In for which data are available (see not plan to defer the effective date fact, this rule will allow hunters to discussion under Regulatory Flexibility under the exemption contained in 5 exercise otherwise unavailable Act, below). This analysis estimated U.S.C. 808(1). privileges and, therefore, reduce consumer surplus for three alternatives restrictions on the use of private and for duck hunting (estimates for other Paperwork Reduction Act public property. species are not quantified due to lack of This rule does not contain any new Energy Effects—Executive Order 13211 data). The alternatives are (1) issue collection of information that requires restrictive regulations allowing fewer approval by the Office of Management E.O. 13211 requires agencies to days than those issued during the 2019– and Budget (OMB) under the Paperwork prepare Statements of Energy Effects 20 season, (2) issue moderate Reduction Act of 1995 (44 U.S.C. 3501 when undertaking certain actions. regulations allowing more days than et seq.). OMB has previously approved While this rule is a significant those in alternative 1, and (3) issue the information collection requirements regulatory action under E.O. 12866, it is liberal regulations similar to the associated with migratory bird surveys not expected to adversely affect energy regulations in the 2019–20 season. For and the procedures for establishing supplies, distribution, or use. Therefore, the 2020–21 season, we chose annual migratory bird hunting seasons this action is not a significant energy Alternative 3, with an estimated under the following OMB control action and no Statement of Energy consumer surplus across all flyways of numbers: Effects is required. • $263–$347 million with a mid-point 1018–0019, ‘‘North American Government-to-Government estimate of $305 million. We also chose Woodcock Singing Ground Survey’’ Relationship With Tribes alternative 3 for the 2009–10 through (expires 06/30/2021). 2019–20 seasons. The 2020–21 analysis • 1018–0023, ‘‘Migratory Bird In accordance with the President’s is part of the record for this rule and is Surveys, 50 CFR 20.20’’ (expires 04/30/ memorandum of April 29, 1994, available at http://www.regulations.gov 2023). Includes Migratory Bird Harvest ‘‘Government-to-Government Relations at Docket No. FWS–HQ–MB–2019– Information Program, Migratory Bird with Native American Tribal 0004. Hunter Surveys, Sandhill Crane Survey, Governments’’ (59 FR 22951), E.O. and Parts Collection Survey. 13175, and 512 DM 2, we have Regulatory Flexibility Act • 1018–0171, ‘‘Establishment of evaluated possible effects on Federally The annual migratory bird hunting Annual Migratory Bird Hunting recognized Indian tribes and have regulations have a significant economic Seasons, 50 CFR part 20’’ (expires 06/ determined that there are de minimis impact on substantial numbers of small 30/2021). effects on Indian trust resources. We entities under the Regulatory Flexibility You may view the information solicited proposals for special migratory Act (5 U.S.C. 601 et seq.). We analyzed collection request(s) at http:// bird hunting regulations for certain the economic impacts of the annual www.reginfo.gov/public/do/PRAMain. tribes on Federal Indian reservations, hunting regulations on small business An agency may not conduct or sponsor, off-reservation trust lands, and ceded entities in detail as part of the 1981 cost- and a person is not required to respond lands for the 2020–21 migratory bird benefit analysis. This analysis was to, a collection of information unless it hunting season in the October 15, 2019, revised annually from 1990 through displays a currently valid OMB control proposed rule (84 FR 55120). The 1995. In 1995, the Service issued a number. resulting proposals were contained in a Small Entity Flexibility Analysis separate April 2, 2020, proposed rule (Analysis), which was subsequently Unfunded Mandates Reform Act (85 FR 18532) and will be finalized in updated in 1996, 1998, 2004, 2008, We have determined and certify, in a rule in August 2020. Through this 2013, 2018, and 2019. The primary compliance with the requirements of the process to establish annual hunting source of information about hunter Unfunded Mandates Reform Act, 2 regulations, we regularly coordinate expenditures for migratory game bird U.S.C. 1502 et seq., that this rulemaking with tribes that would be affected by hunting is the National Survey, which is will not impose a cost of $100 million this rule. generally conducted at 5-year intervals. or more in any given year on local or Federalism Effects The 2020 Analysis is based on the 2016 State government or private entities. National Survey and the U.S. Therefore, this rule is not a ‘‘significant Due to the migratory nature of certain Department of Commerce’s County regulatory action’’ under the Unfunded species of birds, the Federal Business Patterns, from which it was Mandates Reform Act. Government has been given estimated that migratory bird hunters responsibility over these species by the would spend approximately $2.1 billion Civil Justice Reform—Executive Order Migratory Bird Treaty Act. We annually at small businesses in 2020. Copies of 12988 prescribe frameworks from which the the analysis are available upon request The Department, in promulgating this States make selections regarding the from the Division of Migratory Bird rule, has determined that this rule will hunting of migratory birds, and we Management (see ADDRESSES) or from not unduly burden the judicial system employ guidelines to establish special http://www.regulations.gov at Docket and that it meets the requirements of regulations on Federal Indian No. FWS–HQ–MB–2019–0004. sections 3(a) and 3(b)(2) of E.O. 12988. reservations and ceded lands. This process preserves the ability of the Small Business Regulatory Enforcement Takings Implication Assessment States and tribes to determine which Fairness Act In accordance with E.O. 12630, this seasons meet their individual needs. This final rule is a major rule under rule, authorized by the Migratory Bird Any State or Indian tribe may be more 5 U.S.C. 804(2), the Small Business Treaty Act, does not have significant restrictive than the Federal frameworks Regulatory Enforcement Fairness Act. takings implications and does not affect at any time. The frameworks are For the reasons outlined above, this rule any constitutionally protected property developed in a cooperative process with
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the States and the Flyway Councils. prescribe final frameworks setting forth Shooting and Hawking (taking by This process allows States to participate the species to be hunted, the daily bag falconry) Hours: Unless otherwise in the development of frameworks from and possession limits, the shooting specified, from one-half hour before which they will make selections, hours, the season lengths, the earliest sunrise to sunset daily. thereby having an influence on their opening and latest closing season dates, Possession Limits: Unless otherwise own regulations. These rules do not and hunting areas, from which State specified, possession limits are three have a substantial direct effect on fiscal conservation agency officials will select times the daily bag limit. capacity, change the roles or hunting season dates and other options. Permits: For some species of responsibilities of Federal or State Upon receipt of season selections from migratory birds, the Service authorizes governments, or intrude on State policy these officials, we will publish a final the use of permits to regulate harvest or or administration. Therefore, in rulemaking amending 50 CFR part 20 to monitor their take by hunters, or both. accordance with E.O. 13132, these reflect seasons, limits, and shooting In such cases, the Service determines regulations do not have significant hours for the United States for the 2020– the amount of harvest that may be taken federalism effects and do not have 21 seasons. The rules that eventually during hunting seasons during its sufficient federalism implications to will be promulgated for the 2020–21 formal regulations-setting process, and warrant the preparation of a federalism hunting season are authorized under 16 the States then issue permits to hunters summary impact statement. U.S.C. 703–712 and 742 a–j. at levels predicted to result in the amount of take authorized by the Regulations Promulgation List of Subjects in 50 CFR Part 20 Service. Thus, although issued by The rulemaking process for migratory Exports, Hunting, Imports, Reporting States, the permits would not be valid game bird hunting, by its nature, and recordkeeping requirements, unless the Service approved such take operates under a time constraint as Transportation, Wildlife. in its regulations. seasons must be established each year or These federally authorized, State- hunting seasons remain closed. John Tanner, issued permits are issued to individuals, However, we intend that the public be Principal Deputy Assistant Secretary for Fish and only the individual whose name provided extensive opportunity for and Wildlife and Parks. and address appears on the permit at the public input and involvement in Final Regulations Frameworks for time of issuance is authorized to take compliance with Administrative 2020–21 Hunting Seasons on Certain migratory birds at levels specified in the Procedure Act requirements. Thus, Migratory Game Birds permit, in accordance with provisions of when the preliminary proposed both Federal and State regulations Pursuant to the Migratory Bird Treaty rulemaking was published, we governing the hunting season. The Act and delegated authorities, the established what we concluded were the permit must be carried by the permittee Department of the Interior approved the longest periods possible for public when exercising its provisions and must following frameworks for season comment and the most opportunities for be presented to any law enforcement lengths, shooting hours, bag and public involvement. We also provided officer upon request. The permit is not possession limits, and outside dates notification of our participation in transferrable or assignable to another within which States may select seasons multiple Flyway Council meetings, individual, and may not be sold, for hunting migratory game birds opportunities for additional public bartered, traded, or otherwise provided between the dates of September 1, 2020, review and comment on all Flyway to another person. If the permit is and March 10, 2021. These frameworks Council proposals for regulatory change, altered or defaced in any way, the are summarized below. and opportunities for additional public permit becomes invalid. review during the SRC meeting. General Therefore, sufficient public notice and Flyways and Management Units opportunity for involvement have been Dates: All outside dates specified We set migratory bird hunting given to affected persons regarding the below are inclusive. frameworks for the conterminous U.S. migratory bird hunting frameworks for Season Lengths: All season lengths States by Flyway or Management Unit/ the 2020–21 hunting season. Further, specified below are the maximum Region. Frameworks for Alaska, Hawaii, after establishment of the final allowed. Puerto Rico, and the Virgin Islands are frameworks, States need sufficient time Season segments: All season segments contained in separate sections near the to conduct their own public processes to specified below are the maximum end of the frameworks portion of this select season dates and limits; to allowed. document. The States included in the communicate those selections to us; and Zones: Unless otherwise specified, Flyways and Management Units/ to establish and publicize the necessary States may select hunting seasons by Regions are described below. regulations and procedures to zone. Zones for duck seasons (and implement their decisions. Thus, if associated youth and veterans—active Waterfowl Flyways there were a delay in the effective date military waterfowl hunting days, Atlantic Flyway: Includes of these regulations after this final moorhen and gallinule seasons, and Connecticut, Delaware, Florida, Georgia, rulemaking, States might not be able to snipe seasons) and dove seasons may be Maine, Maryland, Massachusetts, New meet their own administrative needs selected only in years we declare such Hampshire, New Jersey, New York, and requirements. changes can be made (i.e., open seasons North Carolina, Pennsylvania, Rhode For the reasons cited above, we find for zones and splits) and according to Island, South Carolina, Vermont, that ‘‘good cause’’ exists, within the federally established guidelines for duck Virginia, and West Virginia. terms of 5 U.S.C. 553(d)(3) of the and dove zones and split seasons. Areas Mississippi Flyway: Includes Administrative Procedure Act, and open to hunting must be described, Alabama, Arkansas, Illinois, Indiana, these frameworks will take effect delineated, and designated as such in Iowa, Kentucky, Louisiana, Michigan, immediately upon publication. each State’s hunting regulations and Minnesota, Mississippi, Missouri, Ohio, Therefore, under authority of the published in the Federal Register as a Tennessee, and Wisconsin. Migratory Bird Treaty Act (July 3, 1918), Federal migratory bird hunting Central Flyway: Includes Colorado as amended (16 U.S.C. 703–711), we frameworks final rule. (east of the Continental Divide), Kansas,
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Montana (Counties of Blaine, Carbon, California, Oregon, Washington, and the Hunting and Conservation Stamp (also Fergus, Judith Basin, Stillwater, Atlantic Flyway), and all other goose known as Federal Duck Stamp). Swans Sweetgrass, Wheatland, and all counties species except light geese. may be taken only by participants east thereof), Nebraska, New Mexico Light geese: Snow (including blue) possessing applicable swan permits. (east of the Continental Divide except geese and Ross’s geese. Participation Restrictions for Veterans the Jicarilla Apache Indian Reservation), Area, Zone, and Unit Descriptions: and Active Military Personnel Waterfowl North Dakota, Oklahoma, South Dakota, Geographic descriptions related to Hunting Days: Veterans (as defined in Texas, and Wyoming (east of the regulations are contained in a later section 101 of title 38, United States Continental Divide). portion of this document. Code) and members of the Armed Pacific Flyway: Includes Arizona, Migratory Game Bird Seasons in the Forces on active duty, including California, Idaho, Nevada, Oregon, Utah, Atlantic Flyway members of the National Guard and Washington, and those portions of Reserves on active duty (other than for Colorado, Montana, New Mexico, and In the Atlantic Flyway States of training), may participate. All hunters Wyoming not included in the Central Connecticut, Delaware, Maine, must possess a Federal Migratory Bird Flyway. Maryland, Massachusetts, New Jersey, Hunting and Conservation Stamp (also North Carolina, and Pennsylvania, known as Federal Duck Stamp). Swans Mallard Management Units where Sunday hunting of migratory may be taken only by participants High Plains Management Unit: birds is prohibited Statewide by State possessing applicable swan permits. Roughly defined as that portion of the law or regulation, all Sundays are closed Central Flyway that lies west of the to the take of all migratory game birds. Special September Teal Season 100th meridian. See Area, Unit, and Special Youth and Veterans—Active Outside Dates: Between September 1 Zone Descriptions, Ducks (Including Military Personnel Waterfowl Hunting and September 30, an open season on Mergansers) and Coots, below, for Days all species of teal may be selected by the specific boundaries in each State. following States in areas delineated by Columbia Basin Management Unit: In Outside Dates: States may select 2 State regulations: Washington, all areas east of the Pacific days per duck-hunting zone, designated Atlantic Flyway: Delaware, Florida, Crest Trail and east of the Big White as ‘‘Youth Waterfowl Hunting Days,’’ Georgia, Maryland, North Carolina, Salmon River in Klickitat County; and and 2 days per duck-hunting zone, South Carolina, and Virginia. in Oregon, the counties of Gilliam, designated as ‘‘Veterans and Active Mississippi Flyway: Alabama, Morrow, and Umatilla. Military Personnel Waterfowl Hunting Arkansas, Illinois, Indiana, Iowa, Days,’’ in addition to their regular duck Kentucky, Louisiana, Michigan, Mourning Dove Management Units seasons. Mississippi, Missouri, Ohio, Tennessee, Eastern Management Unit: All States The days may be held concurrently. and Wisconsin. east of the Mississippi River, and The Youth Waterfowl Hunting Days Central Flyway: Colorado (part), Louisiana. must be held outside any regular duck Kansas, Nebraska, New Mexico (part), Central Management Unit: Arkansas, season on weekends, holidays, or other Oklahoma, and Texas. Colorado, Iowa, Kansas, Minnesota, non-school days when youth hunters Hunting Seasons and Daily Bag Missouri, Montana, Nebraska, New would have the maximum opportunity Limits: Not to exceed 16 consecutive Mexico, North Dakota, Oklahoma, South to participate. Both sets of days may be days in the Atlantic, Mississippi, and Dakota, Texas, and Wyoming. held up to 14 days before or after any Central Flyways. The daily bag limit is Western Management Unit: Arizona, regular duck-season frameworks or 6 teal. California, Idaho, Nevada, Oregon, Utah, within any split of a regular duck Shooting Hours and Washington. season, or within any other open season on migratory birds. Atlantic Flyway: One-half hour before Woodcock Management Regions Daily Bag Limits: The daily bag limits sunrise to sunset, except in South Eastern Management Region: may include ducks, geese, swans, Carolina, where the hours are from Connecticut, Delaware, Florida, Georgia, mergansers, coots, moorhens, and sunrise to sunset. Maine, Maryland, Massachusetts, New gallinules. The daily bag limits are the Mississippi and Central Flyways: One- Hampshire, New Jersey, New York, same as those allowed in the regular half hour before sunrise to sunset, North Carolina, Pennsylvania, Rhode season frameworks except in States that except in the States of Arkansas, Island, South Carolina, Vermont, are allowed a daily bag limit of 1 or 2 Illinois, Indiana, Iowa, Michigan, Virginia, and West Virginia. scaup during different portions of the Minnesota, Missouri, Ohio, and Central Management Region: season, in which case the bag limit is 2 Wisconsin, where the hours are from Alabama, Arkansas, Illinois, Indiana, scaup per day. Flyway species and area sunrise to sunset. restrictions would remain in effect. Iowa, Kansas, Kentucky, Louisiana, Special September Duck Seasons Michigan, Minnesota, Mississippi, Shooting Hours: One-half hour before Missouri, Nebraska, North Dakota, Ohio, sunrise to sunset. Florida, Kentucky, and Tennessee: In Oklahoma, South Dakota, Tennessee, Participation Restrictions for Youth lieu of a special September teal season, Texas, and Wisconsin. Waterfowl Hunting Days: States may use a 5-consecutive-day teal/wood duck their established definition of age for season may be selected in September. Definitions youth hunters. However, youth hunters The daily bag limit may not exceed 6 For the purpose of the hunting must be under the age of 18. In addition, teal and wood ducks in the aggregate, of regulations listed below, the collective an adult at least 18 years of age must which no more than 2 may be wood terms ‘‘Canada,’’ ‘‘dark’’ and ‘‘light’’ accompany the youth hunter into the ducks. In addition, a 4-consecutive-day geese include the following species: field. This adult may not duck hunt but teal-only season may be selected in Canada geese: Canada geese and may participate in other seasons that are September either immediately before or cackling geese. open on the special youth day. Youth immediately after the 5-consecutive-day Dark geese: Canada geese, white- hunters 16 years of age and older must teal/wood duck season. The daily bag fronted geese, brant (except in Alaska, possess a Federal Migratory Bird limit is 6 teal.
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Waterfowl the designated Special Sea Duck Area(s) days during September 1–30 may be only during the Special Sea Duck selected for Connecticut, Florida, Atlantic Flyway Season dates; scoters, eiders, and long- Georgia, New Jersey, New York (Long Ducks, Mergansers, and Coots tailed ducks may be taken outside of Island Zone only), North Carolina, Outside Dates: Between the Saturday Special Sea Duck Area(s) during the Rhode Island, and South Carolina. nearest September 24 (September 26) regular duck season, in accordance with Seasons may not exceed 25 days during and January 31. the frameworks for ducks, mergansers, September 1–25 in the remainder of the Hunting Seasons and Duck Limits: 60 and coots specified above. Flyway. Areas open to the hunting of days. The daily bag limit is 6 ducks, Outside Dates: Between September 15 Canada geese must be described, including no more than 2 mallards (no and January 31. delineated, and designated as such in more than 1 of which can be female), 2 Special Sea Duck Seasons and Daily each State’s hunting regulations. black ducks, 1 pintail, 1 mottled duck, Bag Limits: 60 consecutive days, or 60 Daily Bag Limits: Not to exceed 15 1 fulvous whistling duck, 3 wood ducks, days that are concurrent with the Canada geese. Shooting Hours: One-half hour before 2 redheads, 2 canvasbacks, 4 scoters, 4 regular duck season, with a daily bag sunrise to sunset, except that during any eiders, and 4 long-tailed ducks. For limit of 5, of the listed sea duck species, special early Canada goose season, scaup, the daily bag limit may be 2 for including no more than 4 scoters, 4 shooting hours may extend to one-half up to 20 consecutive days and 1 for the eiders, and 4 long-tailed ducks. Within hour after sunset if all other waterfowl remainder of the season; these days may the special sea duck areas, during the seasons are closed in the specific be split according to applicable duck regular duck season in the Atlantic applicable area. hunting zone and split-season Flyway, States may choose to allow the configurations approved for each State. above sea duck limits in addition to the Regular Canada Goose Seasons limits applying to other ducks during Closures: The season on harlequin Season Lengths, Outside Dates, and the regular season. In all other areas, sea ducks is closed. Limits: Specific regulations for Canada ducks may be taken only during the Merganser Limits: The daily bag limit geese are provided below by State. regular open season for ducks and are of mergansers is 5, only 2 of which may These seasons may also include white- part of the regular duck season daily bag be hooded mergansers. In States that fronted geese in an aggregate daily bag (not to exceed 4 scoters, 4 eiders, and include mergansers in the duck bag limit. Unless subsequently provided, 4 long-tailed ducks) and possession limit, the daily limit is the same as the seasons may be split into 2 segments. duck bag limit, only 2 of which may be limits. hooded mergansers. Special Sea Duck Areas: In all coastal Connecticut Coot Limits: The daily bag limit is 15 waters and all waters of rivers and North Atlantic Population (NAP) coots. streams seaward from the first upstream Zone: Between October 1 and January Lake Champlain Zone, New York: The bridge in Maine, New Hampshire, 31, a 60-day season may be held with waterfowl seasons, limits, and shooting Massachusetts, Rhode Island, a 2-bird daily bag limit. hours should be the same as those Connecticut, and New York; in New Atlantic Population (AP) Zone: A 30- selected for the Lake Champlain Zone of Jersey, all coastal waters seaward from day season may be held between Vermont. the International Regulations for October 10 and February 5, with a 2- Connecticut River Zone, Vermont: Preventing Collisions at Sea (COLREGS) bird daily bag limit. The waterfowl seasons, limits, and Demarcation Lines shown on National South Zone: A special season may be shooting hours should be the same as Oceanic and Atmospheric held between January 15 and February those selected for the Inland Zone of Administration (NOAA) Nautical Charts 15, with a 5-bird daily bag limit. New Hampshire. and further described in 33 CFR 80.165, Resident Population (RP) Zone: An Zoning and Split Seasons: Delaware, 80.501, 80.502, and 80.503; in any 80-day season may be held between Florida, Georgia, Maryland, North waters of the Atlantic Ocean and in any October 1 and February 15, with a 5- Carolina, Rhode Island, South Carolina, tidal waters of any bay that are bird daily bag limit. The season may be Virginia, and West Virginia may split separated by at least 1 mile of open split into 3 segments. their seasons into 3 segments. water from any shore, island, and Delaware Connecticut may select seasons in each emergent vegetation in South Carolina of 2 zones; Maine, Massachusetts, New and Georgia; and in any waters of the A 30-day season may be held between Hampshire, New Jersey, and Vermont Atlantic Ocean and in any tidal waters November 15 and February 5, with a 1- may select seasons in each of 3 zones; of any bay that are separated by at least bird daily bag limit. Pennsylvania may select seasons in each 800 yards of open water from any shore, Florida of 4 zones; and New York may select island, and emergent vegetation in seasons in each of 5 zones; and all these Delaware, Maryland, North Carolina, An 80-day season may be held States may split their season in each and Virginia; and provided that any between October 1 and March 10, with zone into 2 segments. such areas have been described, a 5-bird daily bag limit. The season may delineated, and designated as special be split into 3 segments. Scoters, Eiders, and Long-tailed Ducks sea duck hunting areas under the Georgia Special Sea Duck Seasons hunting regulations adopted by the An 80-day season may be held respective States. Connecticut, Delaware, Georgia, between October 1 and March 10, with Maine, Maryland, Massachusetts, New Canada Geese a 5-bird daily bag limit. The season may Hampshire, New Jersey, New York, be split into 3 segments. North Carolina, Rhode Island, South Special Early Canada Goose Seasons Carolina, and Virginia may select a Season Lengths and Outside Dates: A Maine Special Sea Duck Season in designated Canada goose season of not more than North and South NAP–H Zones: A 60- Special Sea Duck Areas. If a Special Sea 15 days during September 1–15 may be day season may be held between Duck Season is selected, scoters, eiders, selected for the Eastern Unit of October 1 and January 31, with a 2-bird and long-tailed ducks may be taken in Maryland. Seasons not to exceed 30 daily bag limit.
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Coastal NAP–L Zone: A 70-day season daily bag limit. The season may be split West Virginia may be held between October 1 and into 3 segments. An 80-day season may be held February 15, with a 3-bird daily bag North Carolina between October 1 and March 10, with limit. a 5-bird daily bag limit. The season may RP Zone: An 80-day season may be Maryland be split into 3 segments. held between October 1 and March 10, RP Zone: An 80-day season may be with a 5-bird daily bag limit. The season Light Geese held between November 15 and March may be split into 3 segments. Season Lengths, Outside Dates, and 10, with a 5-bird daily bag limit. The Northeast Zone: A 14-day season may Limits: States may select a 107-day season may be split into 3 segments. be held between the Saturday prior to season between October 1 and March AP Zone: A 30-day season may be December 25 (December 19) and January 10, with a 25-bird daily bag limit and no held between November 15 and 31, with a 1-bird daily bag limit. possession limit. Seasons may be split February 5, with a 1-bird daily bag limit. Pennsylvania into 3 segments. Massachusetts SJBP Zone: A 78-day season may be Brant NAP Zone: A 60-day season may be held between the first Saturday in Season Lengths, Outside Dates, and held between October 1 and January 31, October (October 3) and February 15, Limits: States may select a 50-day with a 2-bird daily bag limit. with a 3-bird daily bag limit. season between the Saturday nearest Additionally, a special season may be RP Zone: An 80-day season may be September 24 (September 26) and held from January 15 to February 15, held between the fourth Saturday in January 31, with a 2-bird daily bag limit. with a 5-bird daily bag limit. October (October 24) and March 10, Seasons may be split into 2 segments. AP Zone: A 30-day season may be with a 5-bird daily bag limit. The season Mississippi Flyway held between October 10 and February may be split into 3 segments. 5, with a 2-bird daily bag limit. AP Zone: A 30-day season may be Ducks, Mergansers, and Coots New Hampshire held between the fourth Saturday in Outside Dates: Between the Saturday A 60-day season may be held October (October 24) and February 5, nearest September 24 (September 26) Statewide between October 1 and with a 2-bird daily bag limit. and January 31. Hunting Seasons and Duck Limits: 60 January 31 with a 2-bird daily bag limit. Rhode Island days. The daily bag limit is 6 ducks, New Jersey A 60-day season may be held between including no more than 4 mallards (no AP Zone: A 30-day season may be October 1 and January 31, with a 2-bird more than 2 of which may be females), held between the fourth Saturday in daily bag limit. A special late season 1 mottled duck, 2 black ducks, 1 pintail, October (October 24) and February 5, may be held in designated areas from 3 wood ducks, 2 canvasbacks, and 2 with a 2-bird daily bag limit. January 15 to February 15, with a 5-bird redheads. For scaup, the daily bag limit NAP Zone: A 60-day season may be daily bag limit. may be 2 for up to 45 consecutive days and 1 for the remainder of the season; held between October 1 and January 31, South Carolina with a 2-bird daily bag limit. these days may be split according to Special Late Goose Season Area: A In designated areas, an 80-day season applicable duck hunting zone and split- special season may be held in may be held between October 1 and season configurations approved for each designated areas of north and south March 10, with a 5-bird daily bag limit. State. New Jersey from January 15 to February The season may be split into 3 Merganser Limits: The daily bag limit 15, with a 5-bird daily bag limit. segments. is 5, only 2 of which may be hooded mergansers. In States that include Vermont New York mergansers in the duck bag limit, the NAP Zone: Between October 1 and Lake Champlain Zone and Interior daily limit is the same as the duck bag January 31, a 60-day season may be Zone: A 30-day season may be held limit, only 2 of which may be hooded held, with a 2-bird daily bag limit in the between October 10 and February 5, mergansers. High Harvest areas; and between with a 2-bird daily bag limit. Coot Limits: The daily bag limit is 15 October 1 and February 15, a 70-day Connecticut River Zone: A 60-day coots. season may be held, with a 3-bird daily season may be held between October 1 Zoning and Split Seasons: Alabama, bag limit in the Low Harvest areas. and January 31, with a 2-bird daily bag Arkansas, and Mississippi may split AP Zone: A 30-day season may be limit. their seasons into 3 segments. Kentucky and Tennessee may select seasons in held between the fourth Saturday in Virginia October (October 24), except in the Lake each of 2 zones; and Indiana, Iowa, Champlain Area where the opening date SJBP Zone: A 40-day season may be Louisiana, Michigan, Minnesota, is October 10, through February 5, with held between November 15 and January Missouri, Ohio, and Wisconsin may a 2-bird daily bag limit. 14, with a 3-bird daily bag limit. select seasons in each of 3 zones; and all Western Long Island RP Zone: A 107- Additionally, a special late season may these States may split their season in day season may be held between the be held between January 15 and each zone into 2 segments. Illinois may Saturday nearest September 24 February 15, with a 5-bird daily bag select seasons in each of 4 zones. (September 26) and the last day of limit. Geese February, with an 8-bird daily bag limit. AP Zone: A 30-day season may be The season may be split into 3 held between November 15 and Season Lengths, Outside Dates, and segments. February 5, with a 1-bird daily bag limit. Limits Rest of State RP Zone: An 80-day RP Zone: An 80-day season may be Canada Geese: States may select season may be held between the fourth held between November 15 and March seasons for Canada geese not to exceed Saturday in October (October 24) and 10, with a 5-bird daily bag limit. The 107 days with a 5-bird daily bag limit the last day of February, with a 5-bird season may be split into 3 segments. during September 1–30, and a 3-bird
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daily bag limit for the remainder of the ducks is 1, except that no mottled ducks extend to one-half hour after sunset if season. Seasons may be held between may be taken during the first 5 days of all other waterfowl and crane seasons September 1 and February 15, and may the season. In addition to the daily are closed in the specific applicable be split into 4 segments. limits listed above, the States of area. White-fronted Geese and Brant: Montana, North Dakota, South Dakota, Regular Goose Seasons Arkansas, Illinois, Louisiana, Kentucky, and Wyoming, in lieu of selecting an Missouri, Mississippi, and Tennessee experimental September teal season, Season Lengths, Outside Dates, and may select a season for white-fronted may include an additional daily bag and Limits geese not to exceed 74 days with 3 geese possession limit of 2 and 6 blue-winged Outside Dates: For dark geese, seasons daily, or 88 days with 2 geese daily, or teal, respectively, during the first 16 may be selected between the outside 107 days with 1 goose daily between days of the regular duck season in each dates of the Saturday nearest September September 1 and February 15; Alabama, respective duck hunting zone. These 24 (September 26) and the Sunday Iowa, Indiana, Michigan, Minnesota, extra limits are in addition to the regular nearest February 15 (February 14). For Ohio, and Wisconsin may select a duck bag and possession limits. light geese, outside dates for seasons season for white-fronted geese not to Merganser Limits: The daily bag limit may be selected between the Saturday exceed 107 days with 5 geese daily, in is 5 mergansers, only 2 of which may be nearest September 24 (September 26) the aggregate with dark geese between hooded mergansers. In States that and March 10. In the Rainwater Basin September 1 and February 15. States include mergansers in the duck daily Light Goose Area (East and West) of may select a season for brant not to bag limit, the daily limit may be the Nebraska, temporal and spatial exceed 70 days with 2 brant daily, or same as the duck bag limit, only two of restrictions that are consistent with the 107 days with 1 brant daily with outside which may be hooded mergansers. late-winter snow goose hunting strategy dates the same as for Canada geese; Coot Limits: The daily bag limit is 15 cooperatively developed by the Central alternately, States may include brant in coots. Flyway Council and the Service are an aggregate goose bag limit with either Zoning and Split Seasons: Colorado, required. Canada geese, white-fronted geese, or Kansas (Low Plains portion), Montana, Dark Geese: In Kansas, Nebraska, dark geese. Nebraska, New Mexico, Oklahoma (Low North Dakota, Oklahoma, South Dakota, Light Geese: States may select seasons Plains portion), South Dakota (Low and the Eastern Goose Zone of Texas, for light geese not to exceed 107 days, Plains portion), Texas (Low Plains States may select a season for Canada with 20 geese daily between September portion), and Wyoming may select geese (or any other dark goose species 1 and February 15. There is no hunting seasons by zones. except white-fronted geese) not to possession limit for light geese. North Dakota may split their season exceed 107 days with a daily bag limit Shooting Hours: One-half hour before into 3 segments. Montana, New Mexico, of 8. For white-fronted geese, these sunrise to sunset, except that during Oklahoma, and Texas may select States may select either a season of 74 September 1–15 shooting hours may seasons in each of 2 zones; and days with a bag limit of 3, or an 88-day extend to one-half hour after sunset for Colorado, Kansas, South Dakota, and season with a bag limit of 2, or a season Canada geese if all other waterfowl and Wyoming may select seasons in each of of 107 days with a bag limit of 1. crane seasons are closed in the specific 3 zones; and all these States may split In Colorado, Montana, New Mexico, applicable area. their season in each zone into 2 and Wyoming, States may select seasons Split Seasons: Seasons for geese may segments. Nebraska may select seasons not to exceed 107 days. The daily bag be split into 4 segments. in each of 4 zones. limit for dark geese is 5 in the aggregate. Central Flyway Geese In the Western Goose Zone of Texas, the season may not exceed 95 days. The Ducks, Mergansers, and Coots Special Early Canada Goose Seasons daily bag limit for Canada geese (or any Outside Dates: Between the Saturday Season Lengths, Outside Dates, and other dark goose species except white- nearest September 24 (September 26) Limits: In Kansas, Nebraska, Oklahoma, fronted geese) is 5. The daily bag limit and January 31. South Dakota, and Texas, Canada goose for white-fronted geese is 2. seasons of not more than 30 days during Light Geese: States may select a light Hunting Seasons September 1–30 may be selected. In goose season not to exceed 107 days. High Plains Mallard Management Colorado, New Mexico, Montana, and The daily bag limit for light geese is 50 Unit (roughly defined as that portion of Wyoming, Canada goose seasons of not with no possession limit. the Central Flyway that lies west of the more than 15 days during September 1– Split Seasons: Seasons for geese may 100th meridian): 97 days. The last 23 15 may be selected. In North Dakota, be split into 3 segments. Three-segment days must run consecutively and may Canada goose seasons of not more than seasons for Canada geese require Central start no earlier than the Saturday nearest 22 days during September 1–22 may be Flyway Council and U.S. Fish and December 10 (December 12). selected. The daily bag limit may not Wildlife Service approval, and a 3-year Remainder of the Central Flyway: 74 exceed 5 Canada geese, except in evaluation by each participating State. days. Kansas, Nebraska, and Oklahoma, where Pacific Flyway Duck Limits: The daily bag limit is 6 the daily bag limit may not exceed 8 ducks, including no more than 5 Canada geese, and in North Dakota and Ducks, Mergansers, and Coots mallards (no more than 2 of which may South Dakota, where the daily bag limit Outside Dates: Between the Saturday be females), 2 redheads, 3 wood ducks, may not exceed 15 Canada geese. Areas nearest September 24 (September 26) 1 pintail, and 2 canvasbacks. The daily open to the hunting of Canada geese and January 31. bag limit for scaup is 1 and the season must be described, delineated, and Hunting Seasons and Duck and for scaup may be split into 2 segments, designated as such in each State’s Merganser Limits: 107 days. The daily with one segment consisting of 39 hunting regulations. bag limit is 7 ducks and mergansers, consecutive days and another segment Shooting Hours: One-half hour before including no more than 2 female consisting of 35 consecutive days. In sunrise to sunset, except that during mallards, 1 pintail, 2 canvasbacks, 2 Texas, the daily bag limit on mottled September 1–15 shooting hours may scaup, and 2 redheads. For scaup, the
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season length is 86 days, which may be Light Geese: Except as subsequently and the first Sunday in February split according to applicable zones and provided, 107-day seasons may be (February 7). split duck hunting configurations selected with outside dates between the Washington approved for each State. Saturday nearest September 24 Coot, Common Moorhen, and Purple (September 26) and March 10. The daily The daily bag limit for light geese is Gallinule Limits: The daily bag limit of bag limit is 20. 6. coots, common moorhens, and purple Split Seasons: Seasons may be split Areas 2 Inland and 2 Coastal gallinules is 25 in the aggregate. into 3 segments. Three-segment seasons (Southwest Permit Zone): A Canada goose season may be selected in each Zoning and Split Seasons: Montana for Canada geese and white-fronted zone with outside dates between the and New Mexico may split their seasons geese require Pacific Flyway Council and U.S. Fish and Wildlife Service Saturday nearest September 24 into 3 segments. Arizona, Colorado, (September 26) and March 10. Canada Oregon, Utah, Washington, and approval and a 3-year evaluation by each participating State. goose and white-fronted goose seasons Wyoming may select seasons in each of may be split into 3 segments. 2 zones; Nevada may select seasons in California Area 4: Canada goose and white- each of 3 zones; and California may The daily bag limit for Canada geese fronted goose seasons may be split into select seasons in each of 5 zones; and all 3 segments. these States may split their season in is 10. Balance of State Zone: A Canada each zone into 2 segments. Idaho may Permit Zones goose season may be selected with select seasons in each of 4 zones. outside dates between the Saturday In Oregon and Washington permit Colorado River Zone, California: nearest September 24 (September 26) zones, the hunting season is closed on Seasons and limits should be the same and March 10. In the Sacramento Valley dusky Canada geese. A dusky Canada as seasons and limits selected in the Special Management Area, the season goose is any dark-breasted Canada goose adjacent portion of Arizona (South on white-fronted geese must end on or (Munsell 10 YR color value 5 or less) Zone). before December 28, and the daily bag with a bill length between 40 and 50 millimeters. Hunting of geese will only Geese limit is 3 white-fronted geese. In the be by hunters possessing a State-issued North Coast Special Management Area, Special Early Canada Goose Seasons permit authorizing them to do so. hunting days that occur after January 31 Shooting hours for geese may begin no A Canada goose season of not more should be concurrent with Oregon’s earlier than sunrise. Regular Canada than 15 days during September 1–20 South Coast Zone. goose seasons in the permit zones of may be selected. The daily bag limit Northeastern Zone: The white-fronted Oregon and Washington remain subject may not exceed 5 Canada geese, except goose season may be split into 3 to the Memorandum of Understanding in Pacific County, Washington, where segments. entered into with the Service regarding the daily bag limit may not exceed 15 Oregon monitoring the impacts of take during Canada geese. Areas open to hunting of the regular Canada goose season on the Canada geese in each State must be The daily bag limit for light geese is dusky Canada goose population. described, delineated, and designated as 6 on or before the last Sunday in such in each State’s hunting regulations. January (January 31). Swans Harney and Lake County Zone: For Regular Goose Seasons Lake County only, the daily white- Pacific Flyway Season Lengths, Outside Dates, and fronted goose bag limit is 1. In portions of the Pacific Flyway Limits Northwest Permit Zone: A Canada (Idaho, Montana, Nevada, and Utah), an goose season may be selected with open season for taking a limited number Canada Geese and Brant: Except as outside dates between the Saturday of swans may be selected. These seasons subsequently provided, 107-day seasons nearest September 24 (September 26) are also subject to the following may be selected with outside dates and March 10. Canada goose and white- conditions: between the Saturday nearest September fronted goose seasons may be split into Outside Dates: Between the Saturday 24 (September 26) and January 31. In 3 segments. The daily bag limits of nearest September 24 (September 26) Arizona, Colorado, Idaho, Montana, Canada geese and light geese are 6 each. and January 31. Nevada, New Mexico, Utah, and In the Tillamook County Management Hunting Seasons: Seasons may not Wyoming, the daily bag limit is 4 Area, the hunting season is closed on exceed 107 days, and may be split into Canada geese and brant in the aggregate. geese. 2 segments. In California, Oregon, and Washington, South Coast Zone: A Canada goose Permits: Swan hunting is by permit the daily bag limit is 4 Canada geese. season may be selected with outside only. Permits will be issued by the State For brant, in California, Oregon and dates between the Saturday nearest and will authorize each permittee to Washington, a 27-day season may be September 24 (September 26) and take no more than 1 swan per season selected. Days must be consecutive. March 10. Canada goose and white- with each permit. Only 1 permit may be Washington and California may select fronted goose seasons may be split into issued per hunter in Montana and Utah; hunting seasons for up to 2 zones. The 3 segments. The daily bag limit of 2 permits may be issued per hunter in daily bag limit is 2 brant and is in Canada geese is 6. Hunting days that Nevada. The total number of permits addition to other goose limits. In Oregon occur after January 31 should be issued may not exceed 50 in Idaho, 500 and California, the brant season must concurrent with California’s North Coast in Montana, 650 in Nevada, and 2,750 end no later than December 15. Special Management Area. in Utah. White-fronted Geese: Except as Quotas: The swan season in the subsequently provided, 107-day seasons Utah respective State must end upon may be selected with outside dates A Canada goose and brant season may attainment of the following reported between the Saturday nearest September be selected in the Wasatch Front Zone harvest of trumpeter swans: 20 in Utah 24 (September 26) and March 10. The with outside dates between the Saturday and 10 in Nevada. There is no quota in daily bag limit is 10. nearest September 24 (September 26) Montana.
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Monitoring: Each State must evaluate the State’s program for swan harvest Other Provisions: The number of hunter participation, species-specific reporting. Each State must achieve a permits (where applicable), open areas, swan harvest, and hunter compliance in hunter compliance of at least 80 percent season dates, protection plans for other providing either species-determinant in providing species-determinant species, and other provisions of seasons parts (at least the intact head) or bill measurements of harvested swans for must be consistent with the measurements (bill length from tip to species identification. Each State must management plans and approved by the posterior edge of the nares opening, and provide to the Service by June 30 Mississippi Flyway Council. presence or absence of yellow lore spots following the swan season a report Regular Seasons in the Central Flyway on the bill in front of the eyes) of detailing hunter participation, species- harvested swans for species specific swan harvest, and hunter Outside Dates: Between September 1 identification. Each State should use compliance in reporting harvest. and February 28. appropriate measures to maximize In lieu of a general swan hunting Hunting Seasons: Seasons not to hunter compliance with the State’s season, States may select a season only exceed 37 consecutive days may be program for swan harvest reporting. for tundra swans. States selecting a selected in designated portions of Texas Each State must achieve a hunter season only for tundra swans must (Area 2). Seasons not to exceed 58 compliance of at least 80 percent in obtain harvest and hunter participation consecutive days may be selected in providing species-determinant parts or data. designated portions of the following bill measurements of harvested swans These general swan seasons and States: Colorado, Kansas, Montana, for species identification, or subsequent tundra swan seasons are also subject to North Dakota, South Dakota, and permits will be reduced by 10 percent the following conditions: Wyoming. Seasons not to exceed 93 in the respective State. Each State must consecutive days may be selected in In the Atlantic Flyway provide to the Service by June 30 designated portions of the following following the swan season a report —The season may be 90 days, between States: New Mexico, Oklahoma, and detailing hunter participation, species- October 1 and January 31. Texas. specific swan harvest, and hunter —In Delaware, no more than 67 permits Daily Bag Limits: 3 sandhill cranes, compliance in reporting harvest. In may be issued. The season is except 2 sandhill cranes in designated Idaho and Montana, all hunters that experimental. portions of North Dakota (Area 2) and harvest a swan must complete and —In North Carolina, no more than 4,895 Texas (Area 2). submit a reporting card (bill card) with permits may be issued. Permits: Each person participating in the bill measurement and color —In Virginia, no more than 638 permits the regular sandhill crane season must information from the harvested swan may be issued. have a valid Federal or State sandhill crane hunting permit. within 72 hours of harvest for species In the Central Flyway determination. In Utah and Nevada, all Special Seasons in the Central and —The season may be 107 days, between hunters that harvest a swan must have Pacific Flyways the swan or species-determinant parts the Saturday nearest October 1 (October 3) and January 31. Arizona, Colorado, Idaho, Montana, examined by a State or Federal biologist New Mexico, Utah, and Wyoming may within 72 hours of harvest for species —In the Central Flyway portion of Montana, no more than 500 permits select seasons for hunting sandhill determination. cranes within the range of the Rocky Other Provisions: In Utah, the season may be issued. Mountain Population (RMP) of sandhill is subject to the terms of the —In North Dakota, no more than 2,200 cranes subject to the following Memorandum of Agreement entered permits may be issued. conditions: into with the Service in January 2019 —In South Dakota, no more than 1,300 permits may be issued. Outside Dates: Between September 1 regarding harvest monitoring, season and January 31. closure procedures, and education Sandhill Cranes Hunting Seasons: The season in any requirements to minimize take of State or zone may not exceed 60 days, trumpeter swans during the swan Regular Seasons in the Mississippi Flyway and may be split into 3 segments. season. Bag limits: Not to exceed 3 daily and Outside Dates: Between September 1 Atlantic and Central Flyways 9 per season. and February 28 in Minnesota, and Permits: Participants must have a In portions of the Atlantic Flyway between September 1 and January 31 in valid permit, issued by the appropriate (Delaware, North Carolina, and Virginia) Alabama, Kentucky, and Tennessee. State, in their possession while hunting. and the Central Flyway (North Dakota, Hunting Seasons: A season not to Other Provisions: Numbers of permits, South Dakota [east of the Missouri exceed 37 consecutive days may be open areas, season dates, protection River], and that portion of Montana in selected in the designated portion of plans for other species, and other the Central Flyway), an open season for northwestern Minnesota (Northwest provisions of seasons must be consistent taking a limited number of swans may Goose Zone), and a season not to exceed with the management plan and be selected. Permits will be issued by 60 consecutive days in Alabama, approved by the Central and Pacific the States that authorize the take of no Kentucky, and Tennessee. The season in Flyway Councils, with the following more than 1 swan per permit. A second Alabama is experimental. exceptions: permit may be issued to hunters from Daily Bag Limit: 1 sandhill crane in A. In Utah, 100 percent of the harvest unused permits remaining after the first Minnesota, 2 sandhill cranes in will be assigned to the RMP crane quota; drawing. Kentucky, and 3 sandhill cranes in B. In Arizona, monitoring the racial Monitoring: Each State must evaluate Alabama and Tennessee. In Alabama, composition of the harvest must be hunter participation, species-specific Kentucky, and Tennessee, the seasonal conducted at 3-year intervals unless 100 swan harvest, and hunter compliance in bag limit is 3 sandhill cranes. percent of the harvest will be assigned providing measurements of harvested Permits: Each person participating in to the RMP crane quota; swans for species identification. Each the regular sandhill crane seasons must C. In Idaho, 100 percent of the harvest State should use appropriate measures have a valid State sandhill crane will be assigned to the RMP crane quota; to maximize hunter compliance with hunting permit. and
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D. In the Estancia Valley hunt area of Zoning: Seasons may be selected by Central Management Unit New Mexico, the level and racial zones established for duck hunting. For all States Except Texas composition of the harvest must be American Woodcock monitored; greater sandhill cranes in the Hunting Seasons and Daily Bag harvest will be assigned to the RMP Outside Dates: States in the Eastern Limits: Not more than 90 days, with a crane quota. Management Region may select hunting daily bag limit of 15 mourning and seasons between October 1 and January white-winged doves in the aggregate. Common Moorhens and Purple 31. States in the Central Management Zoning and Split Seasons: Seasons Gallinules Region may select hunting seasons may be split into 3 segments; New Outside Dates: Between September 1 between the Saturday nearest September Mexico may select seasons in each of 2 and January 31 in the Atlantic, 22 (September 19) and January 31. zones and may split their season in each Mississippi, and Central Flyways. States Hunting Seasons and Daily Bag zone into 3 segments. in the Pacific Flyway may select their Limits: Seasons may not exceed 45 days Texas hunting seasons between the outside in the Eastern and Central Regions. The Hunting Seasons and Daily Bag dates for the season on ducks, daily bag limit is 3. Seasons may be split Limits: Not more than 90 days, with a mergansers, and coots; therefore, Pacific into 2 segments. daily bag limit of 15 mourning, white- Flyway frameworks for common Zoning: New Jersey may select winged, and white-tipped doves in the moorhens and purple gallinules are seasons in each of two zones. The aggregate, of which no more than 2 may included with the duck, merganser, and season in each zone may not exceed 36 days. be white-tipped doves. coot frameworks. Zoning and Split Seasons: Texas may Hunting Seasons and Daily Bag Band-Tailed Pigeons select hunting seasons for each of 3 Limits: Seasons may not exceed 70 days zones subject to the following in the Atlantic, Mississippi, and Central Pacific Coast States (California, Oregon, Washington, and Nevada) conditions: Flyways. Seasons may be split into 2 A. The season may be split into 2 segments. The daily bag limit is 15 Outside Dates: Between September 15 segments, except in that portion of common moorhens and purple and January 1. Texas in which the special white- gallinules in the aggregate. Hunting Seasons and Daily Bag winged dove season is allowed, where Zoning: Seasons may be selected by Limits: Not more than 9 consecutive a limited take of mourning and white- zones established for duck hunting. days, with a daily bag limit of 2. tipped doves may also occur during that Zoning: California may select hunting Rails special season (see Special White- seasons not to exceed 9 consecutive winged Dove Area in Texas, below). Outside Dates: States included herein days in each of 2 zones. The season in B. A season may be selected for the may select seasons between September the North Zone must close by October North and Central Zones between 1 and January 31 on clapper, king, sora, 3. September 1 and January 25; and for the and Virginia rails. Four-Corners States (Arizona, Colorado, South Zone between September 14 and Hunting Seasons: Seasons may not New Mexico, and Utah) January 25. exceed 70 days, and may be split into 2 segments. Outside Dates: Between September 1 Special White-Winged Dove Area in and November 30. Texas Daily Bag Limits Hunting Seasons and Daily Bag In addition, Texas may select a Limits: Not more than 14 consecutive Clapper and King Rails: In hunting season of not more than 4 days days, with a daily bag limit of 2. Connecticut, Delaware, Maryland, New for the Special White-winged Dove Area Zoning: New Mexico may select Jersey, and Rhode Island, 10 rails in the between September 1 and September 19. hunting seasons not to exceed 14 aggregate. In Alabama, Florida, Georgia, The daily bag limit may not exceed 15 consecutive days in each of 2 zones. The Louisiana, Mississippi, North Carolina, white-winged, mourning, and white- season in the South Zone may not open South Carolina, Texas, and Virginia, 15 tipped doves in the aggregate, of which until October 1. rails in the aggregate. no more than 2 may be mourning doves Sora and Virginia Rails: In the Doves and no more than 2 may be white- Atlantic, Mississippi, and Central Outside Dates: Between September 1 tipped doves. Flyways and the Pacific Flyway and January 31 in the Eastern Western Management Unit portions of Colorado, Montana, New Management Unit, and between Hunting Seasons and Daily Bag Limits Mexico, and Wyoming, 25 rails in the September 1 and January 15 in the aggregate. The season is closed in the Central and Western Management Units, Idaho, Nevada, Oregon, Utah, and remainder of the Pacific Flyway. except as subsequently provided, States Washington: Not more than 60 days, Snipe may select hunting seasons and daily which may be split between 2 segments. bag limits as follows: The daily bag limit is 15 mourning and Outside Dates: Between September 1 white-winged doves in the aggregate. and February 28, except in Connecticut, Eastern Management Unit Arizona and California: Not more Delaware, Maine, Maryland, Hunting Seasons and Daily Bag than 60 days, which may be split Massachusetts, New Hampshire, New Limits: Not more than 90 days, with a between 2 segments, September 1–15 Jersey, New York, Rhode Island, daily bag limit of 15 mourning and and November 1–January 15. In Vermont, and Virginia, where the white-winged doves in the aggregate. Arizona, during the first segment of the season must end no later than January Zoning and Split Seasons: Seasons season, the daily bag limit is 15 31. may be split into 3 segments; Alabama, mourning and white-winged doves in Hunting Seasons and Daily Bag Louisiana, and Mississippi may select the aggregate, of which no more than 10 Limits: Seasons may not exceed 107 seasons in each of 2 zones, and may could be white-winged doves. During days and may be split into 2 segments. split their season in each zone into 3 the remainder of the season, the daily The daily bag limit is 8 snipe. segments. bag limit is 15 mourning doves. In
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California, the daily bag limit is 15 D. In State Game Management Unit 8, Puerto Rico mourning and white-winged doves in the Kodiak Island Road Area is closed Doves and Pigeons the aggregate, of which no more than 10 to hunting. The Kodiak Island Road could be white-winged doves. Area consists of all lands and water Outside Dates: Between September 1 (including exposed tidelands) east of a and January 15. Alaska line extending from Crag Point in the Hunting Seasons: Not more than 60 Outside Dates: Between September 1 north to the west end of Saltery Cove in days. Daily Bag and Possession Limits: Not and January 26. the south and all lands and water south to exceed 30 Zenaida, mourning, and Hunting Seasons: Except as of a line extending from Termination white-winged doves in the aggregate, of subsequently provided, not more than Point along the north side of Cascade which not more than 10 may be Zenaida 107 consecutive days for waterfowl, Lake extending to Anton Larsen Bay. doves and 3 may be mourning doves. sandhill cranes, and common snipe Marine waters adjacent to the closed Not to exceed 5 scaly-naped pigeons. concurrent in each of 5 zones. The area are closed to harvest within 500 season may be split into 2 segments in Closed Seasons: The season is closed feet from the water’s edge. The offshore on the white-crowned pigeon and the the Kodiak Zone. islands are open to harvest, for example: Closures: The hunting season is plain pigeon, which are protected by the Woody, Long, Gull, and Puffin islands. closed on spectacled eiders and Steller’s Commonwealth of Puerto Rico. Brant: The daily bag limit is 2. eiders. Closed Areas: There is no open season Snipe: The daily bag limit is 8. on doves or pigeons in the following Daily Bag and Possession Limits Sandhill Cranes: The daily bag limit areas: Municipality of Culebra, Ducks: Except as subsequently is 2 in the Southeast, Gulf Coast, Desecheo Island, Mona Island, El Verde provided, the basic daily bag limit is 7 Kodiak, and Aleutian Zones, and Unit Closure Area, and Cidra Municipality ducks. Basic daily bag limit in the North 17 in the North Zone. In the remainder and adjacent areas. Zone is 10, and in the Gulf Coast Zone of the North Zone (outside Unit 17), the daily bag limit is 3. Ducks, Coots, Moorhens, Gallinules, and is 8. The basic daily bag limits may Snipe include no more than 2 canvasbacks Tundra Swans: Open seasons for daily and may not include sea ducks. tundra swans may be selected subject to Outside Dates: Between October 1 and In addition to the basic daily bag the following conditions: January 31. limits, Alaska may select sea duck limits A. All seasons are by permit only. Hunting Seasons: Not more than 55 of 10 daily in the aggregate, including B. All season framework dates are days may be selected for hunting ducks, no more than 6 each of either harlequin September 1–October 31. common moorhens, and common snipe. or long-tailed ducks. Sea ducks include C. In Unit 17, no more than 200 The season may be split into 2 scoters, common and king eiders, permits may be issued during this segments. harlequin ducks, long-tailed ducks, and operational season. No more than 3 Daily Bag Limits common and red-breasted mergansers. tundra swans may be authorized per Light Geese: The daily bag limit is 6. permit, with no more than 1 permit Ducks: Not to exceed 6 ducks. Common Moorhens: Not to exceed 6 Canada Geese: The daily bag limit is issued per hunter per season. 4 with the following exceptions: moorhens. D. In Unit 18, no more than 500 Common Snipe: Not to exceed 8 A. In Units 5 and 6, the taking of permits may be issued during the Canada geese is permitted from snipe. operational season. No more than 3 Closed Seasons: The season is closed September 28 through December 16. tundra swans may be authorized per B. On Middleton Island in Unit 6, a on the ruddy duck, white-cheeked permit. No more than 1 permit may be pintail, West Indian whistling duck, special, permit-only Canada goose issued per hunter per season. season may be offered. A mandatory fulvous whistling duck, and masked E. In Unit 22, no more than 300 duck, which are protected by the goose identification class is required. permits may be issued during the Hunters must check in and check out. Commonwealth of Puerto Rico. The operational season. No more than 3 season also is closed on the purple The bag limit is 1 daily and 1 in tundra swans may be authorized per possession. The season will close if gallinule, American coot, and Caribbean permit. No more than 1 permit may be coot. incidental harvest includes 5 dusky issued per hunter per season. Canada geese. A dusky Canada goose is Closed Areas: There is no open season F. In Unit 23, no more than 300 on ducks, common moorhens, and any dark-breasted Canada goose permits may be issued during the (Munsell 10 YR color value 5 or less) common snipe in the Municipality of operational season. No more than 3 Culebra and on Desecheo Island. with a bill length between 40 and 50 tundra swans may be authorized per millimeters. permit. No more than 1 permit may be Virgin Islands C. In Units 9, 10, 17, and 18, the daily issued per hunter per season. Doves and Pigeons bag limit is 6 Canada geese. White-fronted Geese: The daily bag Hawaii Outside Dates: Between September 1 limit is 4 with the following exceptions: and January 15. Outside Dates: Between October 1 and A. In Units 9, 10, and 17, the daily bag Hunting Seasons: Not more than 60 January 31. limit is 6 white-fronted geese. consecutive days. B. In Unit 18, the daily bag limit is 10 Hunting Seasons: Not more than 65 Daily Bag and Possession Limits: Not white-fronted geese. days (75 under the alternative) for to exceed 10 Zenaida doves. Emperor Geese: Open seasons for mourning doves. Closed Seasons: No open season is emperor geese may be selected subject Bag Limits: Not to exceed 15 (12 prescribed for ground or quail doves or to the following conditions: under the alternative) mourning doves. pigeons. A. All seasons are by permit only. Note: Mourning doves may be taken Closed Areas: There is no open season B. No more than 1 emperor goose may in Hawaii in accordance with shooting for migratory game birds on Ruth Cay be harvested per hunter per season. hours and other regulations set by the (just south of St. Croix). C. Total harvest may not exceed 500 State of Hawaii, and subject to the Local Names for Certain Birds: emperor geese. applicable provisions of 50 CFR part 20. Zenaida dove, also known as mountain
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dove; bridled quail-dove, also known as the intersection of U.S. Route 202 in in Chocorua, north on Rte. 16 to Rte. Barbary dove or partridge; common Auburn; then north and east on Route 302 in Conway, east on Rte. 302 to the ground-dove, also known as stone dove, 202 to the intersection of I–95 in Maine–New Hampshire border. tobacco dove, rola, or tortolita; scaly- Augusta; then north and east along I–95 Inland Zone: That portion of the State naped pigeon, also known as red-necked to Route 15 in Bangor; then east along south and west of the Northern Zone, or scaled pigeon. Route 15 to Route 9; then east along west of the Coastal Zone, and includes Route 9 to Stony Brook in Baileyville; the area of Vermont and New Ducks then east along Stony Brook to the U.S. Hampshire as described for hunting Outside Dates: Between December 1 border. reciprocity. A person holding a New and January 31. Coastal Zone: That portion south of a Hampshire hunting license that allows Hunting Seasons: Not more than 55 line extending east from the Maine–New the taking of migratory waterfowl or a consecutive days. Brunswick border in Calais at the Route person holding a Vermont resident Daily Bag Limits: Not to exceed 6 1 Bridge; then south along Route 1 to hunting license that allows the taking of ducks. the Maine–New Hampshire border in migratory waterfowl may take migratory Closed Seasons: The season is closed Kittery. waterfowl and coots from the following on the ruddy duck, white-cheeked South Zone: Remainder of the State. designated area of the Inland Zone: the pintail, West Indian whistling duck, State of Vermont east of Rte. I–91 at the fulvous whistling duck, and masked Maryland Massachusetts border, north on Rte. I– duck. Special Teal Season Area: Calvert, 91 to Rte. 2, north on Rte. 2 to Rte. 102, Caroline, Cecil, Dorchester, Harford, Special Falconry Regulations north on Rte. 102 to Rte. 253, and north Kent, Queen Anne’s, St. Mary’s, on Rte. 253 to the border with Canada In accordance with 50 CFR 21.29, Somerset, Talbot, Wicomico, and and the area of New Hampshire west of falconry is a permitted means of taking Worcester Counties; that part of Anne Rte. 63 at the Massachusetts border, migratory game birds in any State Arundel County east of Interstate 895, north on Rte. 63 to Rte. 12, north on Rte. except for Hawaii. States may select an Interstate 97, and Route 3; that part of 12 to Rte. 12–A, north on Rte. 12–A to extended season for taking migratory Prince George’s County east of Route 3 Rte. 10, north on Rte. 10 to Rte. 135, game birds in accordance with the and Route 301; and that part of Charles north on Rte. 135 to Rte. 3, north on Rte. following: County east of Route 301 to the Virginia 3 to the intersection with the Extended Seasons: For all hunting State Line. Connecticut River. methods combined, the combined Coastal Zone: That portion of the length of the extended season, regular Massachusetts State east of a line beginning at the season, and any special or experimental Western Zone: That portion of the Maine–New Hampshire border in seasons must not exceed 107 days for State west of a line extending south Rollinsford, then extending to Rte. 4 any species or group of species in a from the Vermont State line on I–91 to west to the city of Dover, south to the geographical area. Each extended season MA 9, west on MA 9 to MA 10, south intersection of Rte. 108, south along Rte. may be split into 3 segments. on MA 10 to U.S. 202, south on U.S. 202 108 through Madbury, Durham, and Framework Dates: Seasons must fall to the Connecticut State line. Newmarket to the junction of Rte. 85 in between September 1 and March 10. Central Zone: That portion of the Newfields, south to Rte. 101 in Exeter, Daily Bag Limits: Falconry daily bag State east of the Berkshire Zone and east to Interstate 95 (New Hampshire limits for all permitted migratory game west of a line extending south from the Turnpike) in Hampton, and south to the birds must not exceed 3 birds in the New Hampshire State line on I–95 to Massachusetts border. aggregate, during extended falconry U.S. 1, south on U.S. 1 to I–93, south on New Jersey seasons, any special or experimental I–93 to MA 3, south on MA 3 to U.S. seasons, and regular hunting seasons in 6, west on U.S. 6 to MA 28, west on MA Coastal Zone: That portion of the all States, including those that do not 28 to I–195, west to the Rhode Island State seaward of a line beginning at the select an extended falconry season. State line; except the waters, and the New York State line in Raritan Bay and Regular Seasons: General hunting lands 150 yards inland from the high- extending west along the New York regulations, including seasons and water mark, of the Assonet River State line to NJ 440 at Perth Amboy; hunting hours, apply to falconry. upstream to the MA 24 bridge, and the west on NJ 440 to the Garden State Regular season bag limits do not apply Taunton River upstream to the Center Parkway; south on the Garden State to falconry. The falconry bag limit is not St.–Elm St. bridge shall be in the Coastal Parkway to NJ 109; south on NJ 109 to in addition to gun limits. Zone. Cape May County Route 633 (Lafayette Street); south on Lafayette Street to Area, Unit, and Zone Descriptions Coastal Zone: That portion of Massachusetts east and south of the Jackson Street; south on Jackson Street Ducks (Including Mergansers) and Coots Central Zone. to the shoreline at Cape May; west along Atlantic Flyway the shoreline of Cape May beach to New Hampshire COLREGS Demarcation Line 80.503 at Connecticut Northern Zone: That portion of the Cape May Point; south along COLREGS North Zone: That portion of the State State east and north of the Inland Zone Demarcation Line 80.503 to the north of I–95. beginning at the Jct. of Rte. 10 and Rte. Delaware State line in Delaware Bay. South Zone: Remainder of the State. 25–A in Orford, east on Rte. 25–A to North Zone: That portion of the State Rte. 25 in Wentworth, southeast on Rte. west of the Coastal Zone and north of Maine 25 to Exit 26 of Rte. I–93 in Plymouth, a line extending west from the Garden North Zone: That portion north of the south on Rte. I–93 to Rte. 3 at Exit 24 State Parkway on NJ 70 to the New line extending east along Maine State of Rte. I–93 in Ashland, northeast on Jersey Turnpike, north on the turnpike Highway 110 from the New Hampshire– Rte. 3 to Rte. 113 in Holderness, north to U.S. 206, north on U.S. 206 to U.S. Maine State line to the intersection of on Rte. 113 to Rte. 113–A in Sandwich, 1 at Trenton, west on U.S. 1 to the Maine State Highway 11 in Newfield; north on Rte. 113–A to Rte. 113 in Pennsylvania State line in the Delaware then north and east along Route 11 to Tamworth, east on Rte. 113 to Rte. 16 River.
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South Zone: That portion of the State 7 at Vergennes; U.S. 7 to VT 78 at 70, south along U.S. Highway 45, to not within the North Zone or the Coastal Swanton; VT 78 to VT 36; VT 36 to Illinois Route 13, west along Illinois Zone. Maquam Bay on Lake Champlain; along Route 13 to Greenbriar Road, north on and around the shoreline of Maquam Greenbriar Road to Sycamore Road, New York Bay and Hog Island to VT 78 at the West west on Sycamore Road to N. Reed Lake Champlain Zone: That area east Swanton Bridge; VT 78 to VT 2 in Station Road, south on N. Reed Station and north of a continuous line Alburg; VT 2 to the Richelieu River in Road to Illinois Route 13, west along extending along U.S. 11 from the New Alburg; along the east shore of the Illinois Route 13 to Illinois Route 127, York-Canada International boundary Richelieu River to the Canadian border. south along Illinois Route 127 to State south to NY 9B, south along NY 9B to Interior Zone: That portion of Forest Road (1025 N), west along State U.S. 9, south along U.S. 9 to NY 22 Vermont east of the Lake Champlain Forest Road to Illinois Route 3, north south of Keesville; south along NY 22 to Zone and west of a line extending from along Illinois Route 3 to the south bank the west shore of South Bay, along and the Massachusetts border at Interstate of the Big Muddy River, west along the around the shoreline of South Bay to NY 91; north along Interstate 91 to U.S. 2; south bank of the Big Muddy River to 22 on the east shore of South Bay; east along U.S. 2 to VT 102; north along the Mississippi River, west across the southeast along NY 22 to U.S. 4, VT 102 to VT 253; north along VT 253 Mississippi River to the Missouri northeast along U.S. 4 to the Vermont to the Canadian border. border. State line. Connecticut River Zone: The South Central Zone: The remainder of Long Island Zone: That area remaining portion of Vermont east of the State between the south border of consisting of Nassau County, Suffolk the Interior Zone. the Central Zone and the North border County, that area of Westchester County of the South Zone. southeast of I–95, and their tidal waters. Mississippi Flyway Western Zone: That area west of a line Illinois Indiana extending from Lake Ontario east along North Zone: That part of Indiana North Zone: That portion of the State the north shore of the Salmon River to north of a line extending east from the north of a line extending west from the I–81, and south along I–81 to the Illinois border along State Road 18 to Indiana border along Peotone-Beecher Pennsylvania State line. U.S. 31; north along U.S. 31 to U.S. 24; Road to Illinois Route 50, south along Northeastern Zone: That area north of east along U.S. 24 to Huntington; Illinois Route 50 to Wilmington-Peotone a continuous line extending from Lake southeast along U.S. 224; south along Road, west along Wilmington-Peotone Ontario east along the north shore of the State Road 5; and east along State Road Road to Illinois Route 53, north along Salmon River to I–81, south along I–81 124 to the Ohio border. Illinois Route 53 to New River Road, to NY 31, east along NY 31 to NY 13, Central Zone: That part of Indiana northwest along New River Road to north along NY 13 to NY 49, east along south of the North Zone boundary and Interstate Highway 55, south along I–55 NY 49 to NY 365, east along NY 365 to north of the South Zone boundary. to Pine Bluff-Lorenzo Road, west along NY 28, east along NY 28 to NY 29, east South Zone: That part of Indiana Pine Bluff-Lorenzo Road to Illinois along NY 29 to NY 22, north along NY south of a line extending east from the Route 47, north along Illinois Route 47 22 to Washington County Route 153, Illinois border along I–70; east along to I–80, west along I–80 to I–39, south east along CR 153 to the New York- National Ave.; east along U.S. 150; along I–39 to Illinois Route 18, west Vermont boundary, exclusive of the south along U.S. 41; east along State along Illinois Route 18 to Illinois Route Lake Champlain Zone. Road 58; south along State Road 37 to Southeastern Zone: The remaining 29, south along Illinois Route 29 to Bedford; and east along U.S. 50 to the portion of New York. Illinois Route 17, west along Illinois Ohio border. Route 17 to the Mississippi River, and Pennsylvania due south across the Mississippi River Iowa Lake Erie Zone: The Lake Erie waters to the Iowa border. North Zone: That portion of Iowa of Pennsylvania and a shoreline margin Central Zone: That portion of the north of a line beginning on the South along Lake Erie from New York on the State south of the North Duck Zone line Dakota-Iowa border at Interstate 29, east to Ohio on the west extending 150 to a line extending west from the southeast along Interstate 29 to State yards inland, but including all of Indiana border along I–70 to Illinois Highway 175, east along State Highway Presque Isle Peninsula. Route 4, south along Illinois Route 4 to 175 to State Highway 37, southeast Northwest Zone: The area bounded on Illinois Route 161, west along Illinois along State Highway 37 to State the north by the Lake Erie Zone and Route 161 to Illinois Route 158, south Highway 183, northeast along State including all of Erie and Crawford and west along Illinois Route 158 to Highway 183 to State Highway 141, east Counties and those portions of Mercer Illinois Route 159, south along Illinois along State Highway 141 to U.S. and Venango Counties north of I–80. Route 159 to Illinois Route 3, south Highway 30, and along U.S. Highway 30 North Zone: That portion of the State along Illinois Route 3 to St. Leo’s Road, to the Illinois border. east of the Northwest Zone and north of south along St. Leo’s Road to Modoc Missouri River Zone: That portion of a line extending east on I–80 to U.S. Road, west along Modoc Road to Modoc Iowa west of a line beginning on the 220, Route 220 to I–180, I–180 to I–80, Ferry Road, southwest along Modoc South Dakota–Iowa border at Interstate and I–80 to the Delaware River. Ferry Road to Levee Road, southeast 29, southeast along Interstate 29 to State South Zone: The remaining portion of along Levee Road to County Route 12 Highway 175, and west along State Pennsylvania. (Modoc Ferry entrance Road), south Highway 175 to the Iowa-Nebraska along County Route 12 to the Modoc Vermont border. Ferry route and southwest on the Modoc South Zone: The remainder of Iowa. Lake Champlain Zone: The U.S. Ferry route across the Mississippi River portion of Lake Champlain and that area to the Missouri border. Kentucky north and west of the line extending South Zone: That portion of the State West Zone: All counties west of and from the New York border along U.S. 4 south and east of a line extending west including Butler, Daviess, Ohio, to VT 22A at Fair Haven; VT 22A to U.S. from the Indiana border along Interstate Simpson, and Warren Counties.
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East Zone: The remainder of South Duck Zone: The portion of the North Zone: That portion of the State, Kentucky. State south of a line extending east from excluding the Lake Erie Marsh Zone, the South Dakota State line along U.S. north of a line extending east from the Louisiana Highway 212 to Interstate 494 and east Indiana State line along U.S. Highway East Zone: That area of the State to Interstate 94 and east to the (U.S.) 33 to State Route (SR) 127, then between the Mississippi State line and Wisconsin State line. south along SR 127 to SR 703, then a line going south on Highway (Hwy) 79 Central Duck Zone: The remainder of south along SR 703 and including all from the Arkansas border to Homer, the State. lands within the Mercer Wildlife Area then south on Hwy 9 to Arcadia, then Missouri to SR 219, then east along SR 219 to SR south on Hwy 147 to Hodge, then south 364, then north along SR 364 and on Hwy 167 to Turkey Creek, then south North Zone: That portion of Missouri including all lands within the St. Mary’s north of a line running west from the on Hwy 13 to Eunice, then west on Hwy Fish Hatchery to SR 703, then east along Illinois border at Lock and Dam 25; west 190 to Kinder, then south on Hwy 165 SR 703 to SR 66, then north along SR on Lincoln County Hwy N to MO Hwy to Iowa, then west on I–10 to its 66 to U.S. 33, then east along U.S. 33 to 79; south on MO Hwy 79 to MO Hwy junction with Hwy 14 at Lake Charles, SR 385, then east along SR 385 to SR 47; west on MO Hwy 47 to I–70; west then south and east on Hwy 14 to its 117, then south along SR 117 to SR 273, junction with Hwy 90 in New Iberia, on I–70 to the Kansas border. Middle Zone: The remainder of then east along SR 273 to SR 31, then then east on Hwy 90 to the Mississippi south along SR 31 to SR 739, then east State line. Missouri not included in other zones. South Zone: That portion of Missouri along SR 739 to SR 4, then north along West Zone: That area between the SR 4 to SR 95, then east along SR 95 to Texas State line and a line going east on south of a line running west from the Illinois border on MO Hwy 74 to MO SR 13, then southeast along SR 13 to SR I–10 from the Texas border to Hwy 165 3, then northeast along SR 3 to SR 60, at Iowa, then north on Hwy 165 to Hwy 25; south on MO Hwy 25 to U.S. then north along SR 60 to U.S. 30, then Kinder, then east on Hwy 190 to Eunice, Hwy 62; west on U.S. Hwy. 62 to MO east along U.S. 30 to SR 3, then south then north on Hwy 13 to Turkey Creek, Hwy 53; north on MO Hwy 53 to MO along SR 3 to SR 226, then south along then north on Hwy 167 to Hodge, then Hwy 51; north on MO Hwy 51 to U.S. SR 226 to SR 514, then southwest along north on Hwy 147 to Arcadia, then Hwy 60; west on U.S. Hwy 60 to MO SR 514 to SR 754, then south along SR north on Hwy 9 to Homer, then north Hwy 21; north on MO Hwy 21 to MO 754 to SR 39/60, then east along SR 39/ on Hwy 79 to the Arkansas border. Hwy 72; west on MO Hwy 72 to MO Coastal Zone: Remainder of the State. Hwy 32; west on MO Hwy 32 to U.S. 60 to SR 241, then north along SR 241 Hwy 65; north on U.S. Hwy 65 to U.S. to U.S. 30, then east along U.S. 30 to SR Michigan Hwy 54; west on U.S. Hwy 54 to U.S. 39, then east along SR 39 to the North Zone: The Upper Peninsula. Hwy 71; south on U.S. Hwy 71 to Jasper Pennsylvania State line. Middle Zone: That portion of the County Hwy M (Base Line Blvd.); west South Zone: The remainder of Ohio Lower Peninsula north of a line on Jasper County Hwy M (Base Line not included in the Lake Erie Marsh beginning at the Wisconsin State line in Blvd.) to CRD 40 (Base Line Blvd.); west Zone or the North Zone. Lake Michigan due west of the mouth of on CRD 40 (Base Line Blvd.) to the Stony Creek in Oceana County; then due Kansas border. Tennessee east to, and easterly and southerly along Ohio Reelfoot Zone: All or portions of Lake the south shore of Stony Creek to Scenic and Obion Counties. Drive, easterly and southerly along Lake Erie Marsh Zone: Includes all Scenic Drive to Stony Lake Road, land and water within the boundaries of Remainder of State: That portion of easterly along Stony Lake and Garfield the area bordered by a line beginning at Tennessee outside of the Reelfoot Zone. the intersection of Interstate 75 at the Roads to Michigan Highway 20, east Wisconsin along Michigan 20 to U.S. Highway 10 Ohio-Michigan State line and Business Route (BR) in the city of continuing south to Interstate 280, then North Zone: That portion of the State Midland, easterly along U.S. 10 BR to south on I–280 to the Ohio Turnpike (I– north of a line extending east from the U.S. 10, easterly along U.S. 10 to 80/I–90), then east on the Ohio Minnesota State line along U.S. Interstate Highway 75/U.S. Highway 23, Turnpike to the Erie-Lorain County line, Highway 10 into Portage County to northerly along I–75/U.S. 23 to the U.S. then north to Lake Erie, then following County Highway HH, east on County 23 exit at Standish, easterly along U.S. the Lake Erie shoreline at a distance of Highway HH to State Highway 66 and 23 to the centerline of the Au Gres 200 yards offshore, then following the then east on State Highway 66 to U.S. River, then southerly along the shoreline west toward and around the Highway 10, continuing east on U.S. centerline of the Au Gres River to northern tip of Cedar Point Amusement Highway 10 to U.S. Highway 41, then Saginaw Bay, then on a line directly east Park, then continuing from the north on U.S. Highway 41 to the 10 miles into Saginaw Bay, and from westernmost point of Cedar Point Michigan State line. that point on a line directly northeast to toward the southernmost tip of the sand bar at the mouth of Sandusky Bay and Mississippi River Zone: That area the Canadian border. encompassed by a line beginning at the South Zone: The remainder of out into Lake Erie at a distance of 200 intersection of the Burlington Northern Michigan. yards offshore continuing parallel to the Lake Erie shoreline north and west & Santa Fe Railway and the Illinois Minnesota toward the northernmost tip of Cedar State line in Grant County and North Duck Zone: That portion of the Point National Wildlife Refuge, then extending northerly along the State north of a line extending east from following a direct line toward the Burlington Northern & Santa Fe Railway the North Dakota State line along State southernmost tip of Wood Tick to the city limit of Prescott in Pierce Highway 210 to State Highway 23 and Peninsula in Michigan to a point that County, then west along the Prescott east to State Highway 39 and east to the intersects the Ohio-Michigan State line, city limit to the Minnesota State line. Wisconsin State line at the Oliver then following the State line back to the South Zone: The remainder of Bridge. point of the beginning. Wisconsin.
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Central Flyway then southwest on State highway K–61 north on North Main Street to its Colorado (Central Flyway Portion) to its junction with State highway K–96, junction with Federal highway U.S.–56, then northwest on State highway K–96 then east on Federal highway U.S.–56 to Special Teal Season Area: Lake and to its junction with Federal highway its junction with Federal highway U.S.– Chaffee Counties and that portion of the U.S.–56, then southwest on Federal 183, then south on Federal highway State east of Interstate Highway 25. highway U.S.–56 to its junction with U.S.–183 to its junction with Federal Northeast Zone: All areas east of State highway K–19, then east on State highway U.S.–54, then east on Federal Interstate 25 and north of Interstate 70. highway K–19 to its junction with highway U.S.–54 to its junction with Southeast Zone: All areas east of Federal highway U.S.–281, then south Federal highway U.S.–281, then north Interstate 25 and south of Interstate 70, on Federal highway U.S.–281 to its on Federal highway U.S.–281 to its and all of El Paso, Pueblo, Huerfano, junction with Federal highway U.S.–54, junction with State highway K–19, then and Las Animas Counties. then west on Federal highway U.S.–54 west on State highway K–19 to its Mountain/Foothills Zone: All areas to its junction with Federal highway junction with Federal highway U.S.–56, west of Interstate 25 and east of the U.S.–183, then north on Federal then east on Federal highway U.S.–56 to Continental Divide, except El Paso, highway U.S.–183 to its junction with its junction with State highway K–96, Pueblo, Huerfano, and Las Animas Federal highway U.S.–56, then then southeast on State highway K–96 Counties. southwest on Federal highway U.S.–56 to its junction with State highway K–61, Kansas to its junction with North Main Street in then northeast on State highway K–61 to High Plains: That portion of the State Spearville, then south on North Main its junction with McPherson County west of U.S. 283. Street to Davis Street, then east on Davis Arapaho Road, then east on McPherson Low Plains Early Zone: That part of Street to Ford County Road 126 (South County Arapaho Road to its junction Kansas bounded by a line from the Stafford Street), then south on Ford with McPherson County 14th Avenue, Federal highway U.S.–283 and State County Road 126 to Garnett Road, then then north on McPherson County 14th highway 96 junction, then east on State east on Garnett Road to Ford County Avenue to its junction with State highway 96 to its junction with Federal Road 126, then south on Ford County highway K–61, then east on State highway U.S.–183, then north on Road 126 to Ford Spearville Road, then highway K–61 to its junction with Federal highway U.S.–183 to its west on Ford Spearville Road to its interstate highway I–135, then north on junction with Federal highway U.S.–24, junction with Federal highway U.S.– interstate highway I–135 to its junction then east on Federal highway U.S.–24 to 400, then northwest on Federal highway with State highway K–4, then west on its junction with Federal highway U.S.– U.S.–400 to its junction with Federal State highway K–4 to its junction with 281, then north on Federal highway highway U.S.–283, and then north on Federal highway U.S.–281, then north U.S.–281 to its junction with Federal Federal highway U.S.–283 to its on Federal highway U.S.–281 to its highway U.S.–36, then east on Federal junction with Federal highway U.S.–96. junction with State highway K–18, then highway U.S.–36 to its junction with Low Plains Late Zone: That part of east on State highway K–18 to its State highway K–199, then south on Kansas bounded by a line from the junction with Federal highway U.S.– State highway K–199 to its junction Federal highway U.S.–283 and State 181, then north on Federal highway with Republic County 30th Road, then highway 96 junction, then north on U.S.–181 to its junction with Federal south on Republic County 30th Road to Federal highway U.S.–283 to the highway U.S.–24, then east on Federal its junction with State highway K–148, Kansas-Nebraska State line, then east highway U.S.–24 to its junction with then east on State highway K–148 to its along the Kansas-Nebraska State line to State highway K–9, then east on State junction with Republic County 50th its junction with the Kansas-Missouri highway K–9 to its junction with Cloud Road, then south on Republic County State line, then southeast along the County 40th Road, then north on Cloud 50th Road to its junction with Cloud Kansas-Missouri State line to its County 40th Road to its junction with County 40th Road, then south on Cloud junction with State highway K–68, then Republic County 50th Road, then north County 40th Road to its junction with west on State highway K–68 to its on Republic County 50th Road to its State highway K–9, then west on State junction with interstate highway I–35, junction with State highway K–148, highway K–9 to its junction with then southwest on interstate highway I– then west on State highway K–148 to its Federal highway U.S.–24, then west on 35 to its junction with Butler County NE junction with Republic County 30th Federal highway U.S.–24 to its junction 150th Street, then west on Butler Road, then north on Republic County with Federal highway U.S.–181, then County NE 150th Street to its junction 30th Road to its junction with State south on Federal highway U.S.–181 to with Federal highway U.S.–77, then highway K–199, then north on State its junction with State highway K–18, south on Federal highway U.S.–77 to its highway K–199 to its junction with then west on State highway K–18 to its junction with the Kansas-Oklahoma Federal highway U.S.–36, then west on junction with Federal highway U.S.– State line, then west along the Kansas- Federal highway U.S.–36 to its junction 281, then south on Federal highway Oklahoma State line to its junction with with Federal highway U.S.–281, then U.S.–281 to its junction with State Federal highway U.S.–283, then north south on Federal highway U.S.–281 to highway K–4, then east on State on Federal highway U.S.–283 to its its junction with Federal highway U.S.– highway K–4 to its junction with junction with Federal highway U.S.– 24, then west on Federal highway U.S.– interstate highway I–135, then south on 400, then east on Federal highway U.S.– 24 to its junction with Federal highway interstate highway I–135 to its junction 400 to its junction with Ford Spearville U.S.–183, then south on Federal with State highway K–61, then Road, then east on Ford Spearville Road highway U.S.–183 to its junction with southwest on State highway K–61 to its to Ford County Road 126 (South Federal highway U.S.–96, and then west junction with McPherson County 14th Stafford Street), then north on Ford on Federal highway U.S.–96 to its Avenue, then south on McPherson County Road 126 to Garnett Road, then junction with Federal highway U.S.– County 14th Avenue to its junction with west on Garnett Road to Ford County 283. McPherson County Arapaho Rd, then Road 126, then north on Ford County Low Plains Southeast Zone: That part west on McPherson County Arapaho Rd Road 126 to Davis Street, then west on of Kansas bounded by a line from the to its junction with State highway K–61, Davis Street to North Main Street, then Missouri-Kansas State line west on K–
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68 to its junction with I–35, then to County Rd 68; east to County Rd 183; R–562 to the intersection with Nemaha southwest on I–35 to its junction with south to County Rd 64; east to County County Rd 643A; south to the Trace; Butler County, NE 150th Street, then Rd 189; north to County Rd 70; east to north along the Trace/Burlington west on NE 150th Street to its junction County Rd 201; south to County Rd Northern Railroad right-of-way to NE with Federal highway U.S.–77, then 60A; east to County Rd 203; south to Hwy 2; west to U.S. Hwy 75; north to south on Federal highway U.S.–77 to County Rd 52; east to Keith County NE Hwy 2; west to NE Hwy 50; north the Oklahoma-Kansas State line, then Line; east along the northern boundaries to U.S. Hwy 34; west to NE Hwy 63; east along the Kansas-Oklahoma State of Keith and Lincoln Counties to NE north to NE Hwy 66; north and west to line to its junction with the Kansas- Hwy 97; south to U.S. Hwy 83; south to U.S. Hwy 77; north to NE Hwy 92; west Missouri State line, then north along the E Hall School Rd; east to N Airport to NE Hwy Spur 12F; south to Butler Kansas-Missouri State line to its Road; south to U.S. Hwy 30; east to NE County Rd 30; east to County Rd X; junction with State highway K–68. Hwy 47; north to Dawson County Rd south to County Rd 27; west to County Montana (Central Flyway Portion) 769; east to County Rd 423; south to Rd W; south to County Rd 26; east to County Rd 766; east to County Rd 428; County Rd X; south to County Rd 21 Zone 1: The Counties of Blaine, south to County Rd 763; east to NE Hwy (Seward County Line); west to NE Hwy Carter, Daniels, Dawson, Fallon, Fergus, 21 (Adams Street); south to County Rd 15; north to County Rd 34; west to Garfield, Golden Valley, Judith Basin, 761; east to the Dawson County Canal; County Rd H; south to NE Hwy 92; west McCone, Musselshell, Petroleum, south and east along the Dawson County to U.S. Hwy 81; south to NE Hwy 66; Phillips, Powder River, Richland, Canal to County Rd 444; south to U.S. west to Polk County Rd C; north to NE Roosevelt, Sheridan, Stillwater, Sweet Hwy 30; east to U.S. Hwy 183; north to Hwy 92; west to U.S. Hwy 30; west to Grass, Valley, Wheatland, and Wibaux. Buffalo County Rd 100; east to 46th Merrick County Rd 17; south to Zone 2: The Counties of Big Horn, Avenue; north to NE Hwy 40; south and Hordlake Road; southeast to Prairie Carbon, Custer, Prairie, Rosebud, east to NE Hwy 10; north to Buffalo Island Road; southeast to Hamilton Treasure, and Yellowstone. County Rd 220 and Hall County Husker County Rd T; south to NE Hwy 66; west Nebraska Hwy; east to Hall County Rd 70; north to NE Hwy 14; south to County Rd 22; west to County Rd M; south to County High Plains: That portion of Nebraska to NE Hwy 2; east to U.S. Hwy 281; Rd 21; west to County Rd K; south to lying west of a line beginning at the north to Chapman Rd; east to 7th Rd; U.S. Hwy 34; west to NE Hwy 2; south South Dakota-Nebraska border on U.S. south to U.S. Hwy 30; east to Merrick to U.S. Hwy I–80; west to Gunbarrel Rd Hwy 183; south on U.S. Hwy 183 to U.S. County Rd 13; north to County Rd O; (Hall/Hamilton County line); south to Hwy 20; west on U.S. Hwy 20 to NE east to NE Hwy 14; north to NE Hwy 52; Giltner Rd; west to U.S. Hwy 281; south Hwy 7; south on NE Hwy 7 to NE Hwy west and north to NE Hwy 91; west to to Lochland Rd; west to Holstein 91; southwest on NE Hwy 91 to NE Hwy U.S. Hwy 281; south to NE Hwy 22; Avenue; south to U.S. Hwy 34; west to 2; southeast on NE Hwy 2 to NE Hwy west to NE Hwy 11; northwest to NE NE Hwy 10; north to Kearney County Rd 92; west on NE Hwy 92 to NE Hwy 40; Hwy 91; west to U.S. Hwy 183; south to R and Phelps County Rd 742; west to south on NE Hwy 40 to NE Hwy 47; Round Valley Rd; west to Sargent River U.S. Hwy 283; south to U.S. Hwy 34; south on NE Hwy 47 to NE Hwy 23; east Rd; west to Drive 443; north to Sargent east to U.S. Hwy 136; east to U.S. Hwy on NE Hwy 23 to U.S. Hwy 283; and Rd; west to NE Hwy S21A; west to NE 183; north to NE Hwy 4; east to NE Hwy south on U.S. Hwy 283 to the Kansas- Hwy 2; west and north to NE Hwy 91; 10; south to U.S. Hwy 136; east to NE Nebraska border. north and east to North Loup Spur Rd; Zone 1: Area bounded by designated north to North Loup River Rd; east to Hwy 14; south to NE Hwy 8; east to U.S. Federal and State highways and Pleasant Valley/Worth Rd; east to Loup Hwy 81; north to NE Hwy 4; east to NE political boundaries beginning at the County line; north to Loup-Brown Hwy 15; south to U.S. Hwy 136; east to South Dakota-Nebraska border west of County line; east along northern Jefferson County Rd 578 Avenue; south NE Hwy 26E Spur and north of NE Hwy boundaries of Loup and Garfield to PWF Rd; east to NE Hwy 103; south 12; those portions of Dixon, Cedar, and Counties to Cedar River Rd; south to NE to NE Hwy 8; east to U.S. Hwy 75. Hwy 70; east to U.S. Hwy 281; north to Knox Counties north of NE Hwy 12; that New Mexico (Central Flyway Portion) portion of Keya Paha County east of U.S. NE Hwy 70; east to NE Hwy 14; south Hwy 183; and all of Boyd County. Both to NE Hwy 39; southeast to NE Hwy 22; North Zone: That portion of the State banks of the Niobrara River in Keya east to U.S. Hwy 81; southeast to U.S. north of I–40 and U.S. 54. Paha and Boyd Counties east of U.S. Hwy 30; east to U.S. Hwy 75; north to the Washington County line; east to the South Zone: The remainder of New Hwy 183 shall be included in Zone 1. Mexico. Zone 2: The area south of Zone 1 and Iowa-Nebraska border; south to the north of Zone 3. Missouri-Nebraska border; south to North Dakota Zone 3: Area bounded by designated Kansas-Nebraska border; west along Federal and State highways, County Kansas-Nebraska border to Colorado- High Plains: That portion of the State roads, and political boundaries Nebraska border; north and west to south and west of a line beginning at the beginning at the Wyoming-Nebraska Wyoming-Nebraska border; north to junction of U.S. Hwy 83 and the South border at the intersection of the intersection of Interstate Canal; and Dakota State line, then north along U.S. Interstate Canal; east along northern excluding that area in Zone 4. Hwy 83 and I–94 to ND Hwy 41, then borders of Scotts Bluff and Morrill Zone 4: Area encompassed by north on ND Hwy 41 to ND Hwy 53, Counties to Broadwater Road; south to designated Federal and State highways then west on ND Hwy 53 to U.S. Hwy Morrill County Rd 94; east to County Rd and County roads beginning at the 83, then north on U.S. Hwy 83 to U.S. 135; south to County Rd 88; southeast intersection of NE Hwy 8 and U.S. Hwy Hwy 2, then west on U.S. Hwy 2 to the to County Rd 151; south to County Rd 75; north to U.S. Hwy 136; east to the Williams County line, then north and 80; east to County Rd 161; south to intersection of U.S. Hwy 136 and the west along the Williams and Divide County Rd 76; east to County Rd 165; Steamboat Trace (Trace); north along the County lines to the Canadian border. south to County Rd 167; south to U.S. Trace to the intersection with Federal Low Plains: The remainder of North Hwy 26; east to County Rd 171; north Levee R–562; north along Federal Levee Dakota.
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Oklahoma east on U.S. 90 to San Antonio, then California–Nevada State line; south on High Plains: The Counties of Beaver, continuing east on I–10 to the Louisiana Highway 95 through the junction with Cimarron, and Texas. State line at Orange, Texas. Highway 40; south on Highway 95 to Low Plains South Zone: The Low Plains Zone 1: That portion of the Vidal Junction; south through the town remainder of Texas. State east of the High Plains Zone and of Rice to the San Bernardino–Riverside County line on a road known as north of a line extending east from the Wyoming (Central Flyway portion) ‘‘Aqueduct Road’’ also known as Texas State line along OK 33 to OK 47, Zone C1: Big Horn, Converse, Goshen, Highway 62 in San Bernardino County; east along OK 47 to U.S. 183, south Hot Springs, Natrona, Park, Platte, and southwest on Highway 62 to Desert along U.S. 183 to I–40, east along I–40 Washakie Counties; and Fremont Center Rice Road; south on Desert to U.S. 177, north along U.S. 177 to OK County excluding the portions west or Center Rice Road/Highway 177 to the 33, east along OK 33 to OK 18, north south of the Continental Divide. town of Desert Center; east 31 miles on along OK 18 to OK 51, west along OK Zone C2: Campbell, Crook, Johnson, Interstate 10 to its intersection with 51 to I–35, north along I–35 to U.S. 412, Niobrara, Sheridan, and Weston Wiley Well Road; south on Wiley Well west along U.S. 412 to OK 132, then Counties. Road to Wiley Well; southeast on north along OK 132 to the Kansas State Zone C3: Albany and Laramie Milpitas Wash Road to the Blythe, line. Counties; and that portion of Carbon Brawley, Davis Lake intersections; south Low Plains Zone 2: The remainder of County east of the Continental Divide. on Blythe Ogilby Road also known as Oklahoma. Pacific Flyway County Highway 34 to its intersection with Ogilby Road; south on Ogilby Road South Dakota Arizona to its intersection with Interstate 8; east High Plains: That portion of the State North Zone: Game Management Units 7 miles on Interstate 8 to its intersection west of a line beginning at the North 1–5, those portions of Game with the Andrade-Algodones Road/ Dakota State line and extending south Management Units 6 and 8 within Highway 186; south on Highway 186 to along U.S. 83 to U.S. 14, east on U.S. 14 Coconino County, and Game its intersection with the U.S.–Mexico to Blunt, south on the Blunt-Canning Rd Management Units 7, 9, and 12A. border at Los Algodones, Mexico. to SD 34, east and south on SD 34 to SD South Zone: Those portions of Game Southern Zone: That portion of 50 at Lee’s Corner, south on SD 50 to I– Management Units 6 and 8 in Yavapai southern California (but excluding the 90, east on I–90 to SD 50, south on SD County, and Game Management Units Colorado River zone) south and east of 50 to SD 44, west on SD 44 across the 10 and 12B–45. a line beginning at the mouth of the Platte-Winner bridge to SD 47, south on California Santa Maria River at the Pacific Ocean; SD 47 to U.S. 18, east on U.S. 18 to SD east along the Santa Maria River to 47, south on SD 47 to the Nebraska State Northeastern Zone: That portion of where it crosses Highway 101–166 near line. California lying east and north of a line the City of Santa Maria; north on Low Plains North Zone: That portion beginning at the intersection of Highway 101–166; east on Highway 166 of northeastern South Dakota east of the Interstate 5 with the California–Oregon to the junction with Highway 99; south High Plains Unit and north of a line line; south along Interstate 5 to its on Highway 99 to the junction of extending east along U.S. 212 to the junction with Walters Lane south of the Interstate 5; south on Interstate 5 to the Minnesota State line. town of Yreka; west along Walters Lane crest of the Tehachapi Mountains at Low Plains South Zone: That portion to its junction with Easy Street; south Tejon Pass; east and north along the of Gregory County east of SD 47 and along Easy Street to the junction with crest of the Tehachapi Mountains to south of SD 44; Charles Mix County Old Highway 99; south along Old where it intersects Highway 178 at south of SD 44 to the Douglas County Highway 99 to the point of intersection Walker Pass; east on Highway 178 to the line; south on SD 50 to Geddes; east on with Interstate 5 north of the town of junction of Highway 395 at the town of the Geddes Highway to U.S. 281; south Weed; south along Interstate 5 to its Inyokern; south on Highway 395 to the on U.S. 281 and U.S. 18 to SD 50; south junction with Highway 89; east and junction of Highway 58; east on and east on SD 50 to the Bon Homme south along Highway 89 to Main Street Highway 58 to the junction of Interstate County line; the Counties of Bon Greenville; north and east to its junction 15; east on Interstate 15 to the junction Homme, Yankton, and Clay south of SD with North Valley Road; south to its with Highway 127; north on Highway 50; and Union County south and west junction of Diamond Mountain Road; 127 to the point of intersection with the of SD 50 and I–29. north and east to its junction with North California–Nevada State line. Low Plains Middle Zone: The Arm Road; south and west to the Southern San Joaquin Valley Zone: remainder of South Dakota. junction of North Valley Road; south to All of Kings and Tulare Counties and the junction with Arlington Road (A22); Texas that portion of Kern County north of the west to the junction of Highway 89; Southern Zone. High Plains: That portion of the State south and west to the junction of Balance of State Zone: The remainder west of a line extending south from the Highway 70; east on Highway 70 to of California not included in the Oklahoma State line along U.S. 183 to Highway 395; south and east on Northeastern, Colorado River, Southern, Vernon, south along U.S. 283 to Albany, Highway 395 to the point of intersection and the Southern San Joaquin Valley south along TX 6 to TX 351 to Abilene, with the California–Nevada State line; Zones. south along U.S. 277 to Del Rio, then north along the California–Nevada State south along the Del Rio International line to the junction of the California– Colorado (Pacific Flyway Portion) Toll Bridge access road to the Mexico Nevada–Oregon State lines; west along Eastern Zone: Routt, Grand, Summit, border. the California–Oregon State line to the Eagle, and Pitkin Counties, those Low Plains North Zone: That portion point of origin. portions of Saguache, San Juan, of northeastern Texas east of the High Colorado River Zone: Those portions Hinsdale, and Mineral Counties west of Plains Zone and north of a line of San Bernardino, Riverside, and the Continental Divide, those portions beginning at the International Toll Imperial Counties east of a line from the of Gunnison County except the North Bridge south of Del Rio, then extending intersection of Highway 95 with the Fork of the Gunnison River Valley
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(Game Management Units 521, 53, and Lake, Summit, Uintah, Utah, Wasatch, mouth of the Quinnipiac River and then 63), and that portion of Moffat County and Weber Counties, and that part of south along the eastern shore of New east of the northern Toole County north of I–80. Haven Harbor to the Long Island Sound. intersection of Moffat County Road 29 Zone 2: The remainder of Utah not Atlantic Flyway Resident Population with the Moffat–Routt County line, included in Zone 1. (AFRP) Unit: Remainder of the State not south along Moffat County Road 29 to included in AP and NAP Units. Washington the intersection of Moffat County Road South Zone: Same as for ducks. 29 with the Moffat–Routt County line East Zone: All areas east of the Pacific Maine (Elkhead Reservoir State Park). Crest Trail and east of the Big White Western Zone: All areas west of the Salmon River in Klickitat County. North NAP–H Zone: Same as North Continental Divide not included in the West Zone: The remainder of Zone for ducks. Eastern Zone. Washington not included in the East Coastal NAP–L Zone: Same as Coastal Zone. Zone for ducks. Idaho South NAP–H Zone: Same as South Wyoming (Pacific Flyway Portion) Zone 1: All lands and waters within Zone for ducks. the Fort Hall Indian Reservation, Snake River Zone: Beginning at the including private in-holdings; Bannock south boundary of Yellowstone National Maryland County; Bingham County except that Park and the Continental Divide; south Early Canada Goose Seasons portion within the Blackfoot Reservoir along the Continental Divide to Union Eastern Unit: Calvert, Caroline, Cecil, drainage; Caribou County within the Pass and the Union Pass Road (U.S.F.S. Dorchester, Harford, Kent, Queen Fort Hall Indian Reservation; and Power Road 600); west and south along the Anne’s, St. Mary’s, Somerset, Talbot, County east of State Highway 37 and Union Pass Road to U.S.F.S. Road 605; Wicomico, and Worcester Counties; and State Highway 39. south along U.S.F.S. Road 605 to the that part of Anne Arundel County east Zone 2: Bear Lake, Bonneville, Butte, Bridger–Teton National Forest of Interstate 895, Interstate 97, and Clark, Fremont, Jefferson, Madison, and boundary; along the national forest Route 3; that part of Prince George’s Teton Counties; Bingham County within boundary to the Idaho State line; north the Blackfoot Reservoir drainage; and County east of Route 3 and Route 301; along the Idaho State line to the south and that part of Charles County east of Caribou County except within the Fort boundary of Yellowstone National Park; Hall Indian Reservation. Route 301 to the Virginia State line. east along the Yellowstone National Western Unit: Allegany, Baltimore, Zone 3: Ada, Adams, Benewah, Park boundary to the Continental Blaine, Boise, Bonner, Boundary, Carroll, Frederick, Garrett, Howard, Divide. Montgomery, and Washington Counties Camas, Canyon, Cassia, Clearwater, Balance of State Zone: The remainder and that part of Anne Arundel County Custer, Elmore, Franklin, Gem, Gooding, of the Pacific Flyway portion of west of Interstate 895, Interstate 97, and Idaho, Jerome, Kootenai, Latah, Lemhi, Wyoming not included in the Snake Route 3; that part of Prince George’s Lewis, Lincoln, Minidoka, Nez Perce, River Zone. Oneida, Owyhee, Payette, Shoshone, County west of Route 3 and Route 301; Twin Falls, and Washington Counties; Geese and that part of Charles County west of Route 301 to the Virginia State line. and Power County west of State Atlantic Flyway Highway 37 and State Highway 39. Regular Seasons Zone 4: Valley County. Connecticut Resident Population (RP) Zone: Early Canada Goose Seasons Nevada Allegany, Frederick, Garrett, Northeast Zone: Elko and White Pine South Zone: Same as for ducks. Montgomery, and Washington Counties; North Zone: Same as for ducks. Counties. that portion of Prince George’s County Northwest Zone: Carson City, Regular Seasons west of Route 3 and Route 301; that portion of Charles County west of Route Churchill, Douglas, Esmeralda, Eureka, AP Unit: Litchfield County and the 301 to the Virginia State line; and that Humboldt, Lander, Lyon, Mineral, Nye, portion of Hartford County west of a portion of Carroll County west of Route Pershing, Storey, and Washoe Counties. line beginning at the Massachusetts South Zone: Clark and Lincoln 31 to the intersection of Route 97, and border in Suffield and extending south Counties. west of Route 97 to the Pennsylvania along Route 159 to its intersection with Moapa Valley Special Management State line. Area: That portion of Clark County I–91 in Windsor, and then extending AP Zone: Remainder of the State. including the Moapa Valley to the south along I–91 to its intersection with Massachusetts confluence of the Muddy and Virgin the Hartford–Middlesex County line Rivers. (Rocky Hill/Cromwell). NAP Zone: Central and Coastal Zones NAP H–Unit: That part of the State (see duck zones). Oregon east of a line beginning at the AP Zone: The Western Zone (see duck Zone 1: Benton, Clackamas, Clatsop, Massachusetts border in Suffield and zones). Columbia, Coos, Curry, Douglas, extending south along Route 159 to its Special Late Season Area: The Central Gilliam, Hood River, Jackson, Josephine, intersection with I–91 in Windsor and Zone and that portion of the Coastal Lane, Lincoln, Linn, Marion, Morrow, then extending south along I–91 to State Zone (see duck zones) that lies north of Multnomah, Polk, Sherman, Tillamook, Street in New Haven; then south on the Cape Cod Canal, north to the New Umatilla, Wasco, Washington, and State Street to Route 34, west on Route Hampshire State line. Yamhill, Counties. 34 to Route 8, south along Route 8 to Zone 2: The remainder of Oregon not Route 110, south along Route 110 to New Hampshire included in Zone 1. Route 15, north along Route 15 to the Same zones as for ducks. Milford Parkway, south along the Utah Milford Parkway to I–95, north along I– New Jersey Zone 1: Box Elder, Cache, Daggett, 95 to the intersection with the east shore AP Zone: North and South Zones (see Davis, Duchesne, Morgan, Rich, Salt of the Quinnipiac River, south to the duck zones).
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NAP Zone: The Coastal Zone (see extending from Lake Ontario east along along Route 31E to Route 31, west along duck zones). the north shore of the Salmon River to Route 31 to Griswold Street, south along Special Late Season Area: In northern Interstate 81, south along Interstate 81 to Griswold Street to Ditch Road, south New Jersey, that portion of the State Route 31, east along Route 31 to Route along Ditch Road to Foot Road, south within a continuous line that runs east 13, north along Route 13 to Route 49, along Foot Road to the north bank of along the New York State boundary line east along Route 49 to Route 365, east Tonawanda Creek, west along the north to the Hudson River; then south along along Route 365 to Route 28, east along bank of Tonawanda Creek to Route 93, the New York State boundary to its Route 28 to Route 29, east along Route south along Route 93 to Route 5, east intersection with Route 440 at Perth 29 to Route 22 at Greenwich Junction, along Route 5 to Crittenden–Murrays Amboy; then west on Route 440 to its north along Route 22 to Washington Corners Road, south on Crittenden– intersection with Route 287; then west County Route 153, east along CR 153 to Murrays Corners Road to the NYS along Route 287 to its intersection with the New York–Vermont boundary, Thruway, east along the Thruway 90 to Route 206 in Bedminster (Exit 18); then exclusive of the Lake Champlain Zone. Route 98 (at Thruway Exit 48) in north along Route 206 to its intersection East Central Goose Area: That area of Batavia, south along Route 98 to Route with Route 94; then west along Route 94 New York State lying inside of a 20, east along Route 20 to Route 19 in to the toll bridge in Columbia; then continuous line extending from Pavilion Center, south along Route 19 to north along the Pennsylvania State Interstate Route 81 in Cicero, east along Route 63, southeast along Route 63 to boundary in the Delaware River to the Route 31 to Route 13, north along Route Route 246, south along Route 246 to beginning point. In southern New 13 to Route 49, east along Route 49 to Route 39 in Perry, northeast along Route Jersey, that portion of the State within Route 365, east along Route 365 to 39 to Route 20A, northeast along Route a continuous line that runs west from Route 28, east along Route 28 to Route 20A to Route 20, east along Route 20 to the Atlantic Ocean at Ship Bottom along 29, east along Route 29 to Route 147 at Route 364 (near Canandaigua), south Route 72 to Route 70; then west along Kimball Corners, south along Route 147 and east along Route 364 to Yates Route 70 to Route 206; then south along to Schenectady County Route 40 (West County Route 18 (Italy Valley Road), Route 206 to Route 536; then west along Glenville Road), west along Route 40 to southwest along Route 18 to Yates Route 536 to Route 322; then west along Touareuna Road, south along Touareuna County Route 34, east along Route 34 to Route 322 to Route 55; then south along Road to Schenectady County Route 59, Yates County Route 32, south along Route 55 to Route 553 (Buck Road); then south along Route 59 to State Route 5, Route 32 to Steuben County Route 122, south along Route 553 to Route 40; then east along Route 5 to the Lock 9 bridge, south along Route 122 to Route 53, east along Route 40 to route 55; then southwest along the Lock 9 bridge to south along Route 53 to Steuben County south along Route 55 to Route 552 Route 5S, southeast along Route 5S to Route 74, east along Route 74 to Route (Sherman Avenue); then west along Schenectady County Route 58, 54A (near Pulteney), south along Route Route 552 to Carmel Road; then south southwest along Route 58 to the NYS 54A to Steuben County Route 87, east along Carmel Road to Route 49; then Thruway, south along the Thruway to along Route 87 to Steuben County Route east along Route 49 to Route 555; then Route 7, southwest along Route 7 to 96, east along Route 96 to Steuben south along Route 555 to Route 553; Schenectady County Route 103, south County Route 114, east along Route 114 then east along Route 553 to Route 649; along Route 103 to Route 406, east along to Schuyler County Route 23, east and then north along Route 649 to Route Route 406 to Schenectady County Route southeast along Route 23 to Schuyler 670; then east along Route 670 to Route 99 (Windy Hill Road), south along Route County Route 28, southeast along Route 47; then north along Route 47 to Route 99 to Dunnsville Road, south along 28 to Route 409 at Watkins Glen, south 548; then east along Route 548 to Route Dunnsville Road to Route 397, along Route 409 to Route 14, south 49; then east along Route 49 to Route 50; southwest along Route 397 to Route 146 along Route 14 to Route 224 at Montour then south along Route 50 to Route 9; at Altamont, west along Route 146 to Falls, east along Route 224 to Route 228 then south along Route 9 to Route 625 Albany County Route 252, northwest in Odessa, north along Route 228 to (Sea Isle City Boulevard); then east along Route 252 to Schenectady County Route 79 in Mecklenburg, east along along Route 625 to the Atlantic Ocean; Route 131, north along Route 131 to Route 79 to Route 366 in Ithaca, then north to the beginning point. Route 7, west along Route 7 to Route 10 northeast along Route 366 to Route 13, at Richmondville, south on Route 10 to New York northeast along Route 13 to Interstate Route 23 at Stamford, west along Route Lake Champlain Goose Area: The 23 to Route 7 in Oneonta, southwest Route 81 in Cortland, north along Route same as the Lake Champlain Waterfowl along Route 7 to Route 79 to Interstate 81 to the north shore of the Salmon Hunting Zone, which is that area of New Route 88 near Harpursville, west along River to shore of Lake Ontario, York State lying east and north of a Route 88 to Interstate Route 81, north extending generally northwest in a continuous line extending along Route along Route 81 to the point of straight line to the nearest point of the 11 from the New York–Canada beginning. international boundary with Canada, international boundary south to Route West Central Goose Area: That area of south and west along the international 9B, south along Route 9B to Route 9, New York State lying within a boundary to the point of beginning. south along Route 9 to Route 22 south continuous line beginning at the point Hudson Valley Goose Area: That area of Keeseville, south along Route 22 to where the northerly extension of Route of New York State lying within a the west shore of South Bay along and 269 (County Line Road on the Niagara– continuous line extending from Route 4 around the shoreline of South Bay to Orleans County boundary) meets the at the New York–Vermont boundary, Route 22 on the east shore of South Bay, international boundary with Canada, west and south along Route 4 to Route southeast along Route 22 to Route 4, south to the shore of Lake Ontario at the 149 at Fort Ann, west on Route 149 to northeast along Route 4 to the New eastern boundary of Golden Hill State Route 9, south along Route 9 to York–Vermont boundary. Park, south along the extension of Route Interstate Route 87 (at Exit 20 in Glens Northeast Goose Area: The same as 269 and Route 269 to Route 104 at Falls), south along Route 87 to Route 29, the Northeastern Waterfowl Hunting Jeddo, west along Route 104 to Niagara west along Route 29 to Route 147 at Zone, which is that area of New York County Route 271, south along Route Kimball Corners, south along Route 147 State lying north of a continuous line 271 to Route 31E at Middleport, south to Schenectady County Route 40 (West
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Glenville Road), west along Route 40 to New York–Massachusetts boundary, Pennsylvania Touareuna Road, south along Touareuna north along the New York– Resident Canada Goose Zone: All of Road to Schenectady County Route 59, Massachusetts boundary to the New Pennsylvania except for the SJBP Zone south along Route 59 to State Route 5, York–Vermont boundary, north to the and area east of route SR 97 from the east along Route 5 to the Lock 9 bridge, point of beginning. Maryland State Line to the intersection southwest along the Lock 9 bridge to Eastern Long Island Goose Area (NAP of SR 194, east of SR 194 to the Route 5S, southeast along Route 5S to High Harvest Area): That area of Suffolk intersection of U.S. Route 30, south of County lying east of a continuous line Schenectady County Route 58, U.S. Route 30 to SR 441, east of SR 441 extending due south from the New southwest along Route 58 to the NYS to SR 743, east of SR 743 to intersection York–Connecticut boundary to the Thruway, south along the Thruway to of I–81, east of I–81 to intersection of I– northernmost end of Roanoke Avenue in Route 7, southwest along Route 7 to 80, and south of I–80 to the New Jersey the Town of Riverhead; then south on Schenectady County Route 103, south State line. along Route 103 to Route 406, east along Roanoke Avenue (which becomes SJBP Zone: The area north of I–80 and Route 406 to Schenectady County Route County Route 73) to State Route 25; then west of I–79 including in the city of Erie 99 (Windy Hill Road), south along Route west on Route 25 to Peconic Avenue; west of Bay Front Parkway to and then south on Peconic Avenue to 99 to Dunnsville Road, south along including the Lake Erie Duck zone (Lake County Route (CR) 104 (Riverleigh Dunnsville Road to Route 397, Erie, Presque Isle, and the area within Avenue); then south on CR 104 to CR 31 southwest along Route 397 to Route 146 150 yards of the Lake Erie shoreline). at Altamont, southeast along Route 146 (Old Riverhead Road); then south on CR AP Zone: The area east of route SR 97 31 to Oak Street; then south on Oak to Main Street in Altamont, west along from Maryland State Line to the Street to Potunk Lane; then west on Main Street to Route 156, southeast intersection of SR 194, east of SR 194 to Stevens Lane; then south on Jessup along Route 156 to Albany County intersection of U.S. Route 30, south of Avenue (in Westhampton Beach) to Route 307, southeast along Route 307 to U.S. Route 30 to SR 441, east of SR 441 Dune Road (CR 89); then due south to Route 85A, southwest along Route 85A to SR 743, east of SR 743 to intersection international waters. of I–81, east of I–81 to intersection of I– to Route 85, south along Route 85 to Western Long Island Goose Area (RP 80, south of I–80 to the New Jersey State Route 443, southeast along Route 443 to Area): That area of Westchester County line. Albany County Route 301 at Clarksville, and its tidal waters southeast of southeast along Route 301 to Route 32, Interstate Route 95 and that area of Rhode Island south along Route 32 to Route 23 at Nassau and Suffolk Counties lying west Cairo, west along Route 23 to Joseph Special Area for Canada Geese: Kent of a continuous line extending due and Providence Counties and portions Chadderdon Road, southeast along south from the New York–Connecticut Joseph Chadderdon Road to Hearts of the towns of Exeter and North boundary to the northernmost end of Kingston within Washington County Content Road (Greene County Route 31), Sound Road (just east of Wading River southeast along Route 31 to Route 32, (see State regulations for detailed Marsh); then south on Sound Road to descriptions). south along Route 32 to Greene County North Country Road; then west on North Route 23A, east along Route 23A to Country Road to Randall Road; then South Carolina Interstate Route 87 (the NYS Thruway), south on Randall Road to Route 25A, Canada Goose Area: Statewide except south along Route 87 to Route 28 (Exit then west on Route 25A to the Sunken 19) near Kingston, northwest on Route for the following area: Meadow State Parkway; then south on East of U.S. 301: That portion of 28 to Route 209, southwest on Route the Sunken Meadow Parkway to the Clarendon County bounded to the North 209 to the New York–Pennsylvania Sagtikos State Parkway; then south on by S–14–25, to the East by Hwy 260, boundary, southeast along the New the Sagtikos Parkway to the Robert and to the South by the markers York–Pennsylvania boundary to the Moses State Parkway; then south on the delineating the channel of the Santee New York–New Jersey boundary, Robert Moses Parkway to its River. southeast along the New York–New southernmost end; then due south to West of U.S. 301: That portion of Jersey boundary to Route 210 near international waters. Clarendon County bounded on the Greenwood Lake, northeast along Route Central Long Island Goose Area (NAP North by S–14–26 extending southward 210 to Orange County Route 5, northeast Low Harvest Area): That area of Suffolk to that portion of Orangeburg County along Orange County Route 5 to Route County lying between the Western and bordered by Hwy 6. 105 in the Village of Monroe, east and Eastern Long Island Goose Areas, as north along Route 105 to Route 32, defined above. Vermont northeast along Route 32 to Orange South Goose Area: The remainder of Same zones as for ducks. County Route 107 (Quaker Avenue), east New York State, excluding New York Virginia along Route 107 to Route 9W, north City. along Route 9W to the south bank of AP Zone: The area east and south of Moodna Creek, southeast along the North Carolina the following line—the Stafford County south bank of Moodna Creek to the New Northeast Zone: Includes the line from the Potomac River west to Windsor–Cornwall town boundary, following counties or portions of Interstate 95 at Fredericksburg, then northeast along the New Windsor– counties: Bertie (that portion north and south along Interstate 95 to Petersburg, Cornwall town boundary to the Orange– east of a line formed by NC 45 at the then Route 460 (SE) to City of Suffolk, Dutchess County boundary (middle of Washington County line to U.S. 17 in then south along Route 32 to the North the Hudson River), north along the Midway, U.S. 17 in Midway to U.S. 13 Carolina line. county boundary to Interstate Route 84, in Windsor, U.S. 13 in Windsor to the SJBP Zone: The area to the west of the east along Route 84 to the Dutchess– Hertford County line), Camden, AP Zone boundary and east of the Putnam County boundary, east along the Chowan, Currituck, Dare, Hyde, following line: The ‘‘Blue Ridge’’ county boundary to the New York– Pasquotank, Perquimans, Tyrrell, and (mountain spine) at the West Virginia– Connecticut boundary, north along the Washington. Virginia Border (Loudoun County– New York–Connecticut boundary to the RP Zone: Remainder of the State. Clarke County line) south to Interstate
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64 (the Blue Ridge line follows county along Illinois Route 127 to State Forest Highway 13; then south along Highway borders along the western edge of Road (1025 N), west along State Forest 13 to Highway 30; then east along Loudoun–Fauquier–Rappahannock– Road to Illinois Route 3, north along Highway 30 to Highway 1; then south Madison–Greene–Albemarle and into Illinois Route 3 to the south bank of the along Highway 1 to Morse Road in Nelson Counties), then east along Big Muddy River, west along the south Johnson County; then east along Morse Interstate Rte. 64 to Route 15, then south bank of the Big Muddy River to the Road to Wapsi Avenue; then south along Rte. 15 to the North Carolina line. Mississippi River, west across the along Wapsi Avenue to Lower West RP Zone: The remainder of the State Mississippi River to the Missouri Branch Road; then west along Lower west of the SJBP Zone. border. West Branch Road to Taft Avenue; then South Central September Canada Mississippi Flyway south along Taft Avenue to County Road Goose Zone: The remainder of the State F62; then west along County Road F62 Arkansas between the south border of the Central to Kansas Avenue; then north along Northwest Zone: Baxter, Benton, September Canada Goose Zone and the Kansas Avenue to Black Diamond Road; Boone, Carroll, Conway, Crawford, north border of the South September then west on Black Diamond Road to Faulkner, Franklin, Johnson, Logan, Canada Goose Zone. Jasper Avenue; then north along Jasper Madison, Marion, Newton, Perry, Pope, Regular Seasons Avenue to Rohert Road; then west along Pulaski, Searcy, Sebastian, Scott, Van Rohert Road to Ivy Avenue; then north North Zone: That portion of the State along Ivy Avenue to 340th Street; then Buren, Washington, and Yell Counties. north of a line extending west from the Remainder of State: That portion of west along 340th Street to Half Moon Indiana border along Interstate 80 to I– the State outside of the Northwest Zone. Avenue; then north along Half Moon 39, south along I–39 to Illinois Route 18, Avenue to Highway 6; then west along Illinois west along Illinois Route 18 to Illinois Highway 6 to Echo Avenue; then north Route 29, south along Illinois Route 29 Early Canada Goose Seasons along Echo Avenue to 250th Street; then to Illinois Route 17, west along Illinois east on 250th Street to Green Castle North September Canada Goose Zone: Route 17 to the Mississippi River, and Avenue; then north along Green Castle That portion of the State north of a line due south across the Mississippi River Avenue to County Road F12; then west extending west from the Indiana border to the Iowa border. along Interstate 80 to I–39, south along Central Zone: That portion of the along County Road F12 to County Road I–39 to Illinois Route 18, west along State south of the North Goose Zone line W30; then north along County Road Illinois Route 18 to Illinois Route 29, to a line extending west from the W30 to Highway 151; then north along south along Illinois Route 29 to Illinois Indiana border along I–70 to Illinois the Linn–Benton County line to the Route 17, west along Illinois Route 17 Route 4, south along Illinois Route 4 to point of beginning. to the Mississippi River, and due south Illinois Route 161, west along Illinois Des Moines Goose Zone: Includes across the Mississippi River to the Iowa Route 161 to Illinois Route 158, south those portions of Polk, Warren, border. and west along Illinois Route 158 to Madison, and Dallas Counties bounded Central September Canada Goose Illinois Route 159, south along Illinois as follows: Beginning at the intersection Zone: That portion of the State south of Route 159 to Illinois Route 3, south of Northwest 158th Avenue and County the North September Canada Goose along Illinois Route 3 to St. Leo’s Road, Road R38 in Polk County; then south Zone line to a line extending west from south along St. Leo’s road to Modoc along R38 to Northwest 142nd Avenue; the Indiana border along I–70 to Illinois Road, west along Modoc Road to Modoc then east along Northwest 142nd Route 4, south along Illinois Route 4 to Ferry Road, southwest along Modoc Avenue to Northeast 126th Avenue; Illinois Route 161, west along Illinois Ferry Road to Levee Road, southeast then east along Northeast 126th Avenue Route 161 to Illinois Route 158, south along Levee Road to County Route 12 to Northeast 46th Street; then south and west along Illinois Route 158 to (Modoc Ferry entrance Road), south along Northeast 46th Street to Highway Illinois Route 159, south along Illinois along County Route 12 to the Modoc 931; then east along Highway 931 to Route 159 to Illinois Route 3, south Ferry route and southwest on the Modoc Northeast 80th Street; then south along along Illinois Route 3 to St. Leo’s Road, Ferry route across the Mississippi River Northeast 80th Street to Southeast 6th south along St. Leo’s road to Modoc to the Missouri border. Avenue; then west along Southeast 6th Road, west along Modoc Road to Modoc South Zone: Same zone as for ducks. Avenue to Highway 65; then south and Ferry Road, southwest along Modoc South Central Zone: Same zone as for west along Highway 65 to Highway 69 Ferry Road to Levee Road, southeast ducks. in Warren County; then south along Highway 69 to County Road G24; then along Levee Road to County Route 12 Indiana (Modoc Ferry entrance Road), south west along County Road G24 to along County Route 12 to the Modoc Same zones as for ducks. Highway 28; then southwest along Ferry route and southwest on the Modoc Iowa Highway 28 to 43rd Avenue; then north Ferry route across the Mississippi River along 43rd Avenue to Ford Street; then to the Missouri border. Early Canada Goose Seasons west along Ford Street to Filmore Street; South September Canada Goose Zone: Cedar Rapids/Iowa City Goose Zone: then west along Filmore Street to 10th That portion of the State south and east Includes portions of Linn and Johnson Avenue; then south along 10th Avenue of a line extending west from the Counties bounded as follows: Beginning to 155th Street in Madison County; then Indiana border along Interstate 70, south at the intersection of the west border of west along 155th Street to Cumming along U.S. Highway 45, to Illinois Route Linn County and Linn County Road Road; then north along Cumming Road 13, west along Illinois Route 13 to E2W; then south and east along County to Badger Creek Avenue; then north Greenbriar Road, north on Greenbriar Road E2W to Highway 920; then north along Badger Creek Avenue to County Road to Sycamore Road, west on along Highway 920 to County Road E16; Road F90 in Dallas County; then east Sycamore Road to N. Reed Station Road, then east along County Road E16 to along County Road F90 to County Road south on N. Reed Station Road to County Road W58; then south along R22; then north along County Road R22 Illinois Route 13, west along Illinois County Road W58 to County Road E34; to Highway 44; then east along Highway Route 13 to Illinois Route 127, south then east along County Road E34 to 44 to County Road R30; then north
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along County Road R30 to County Road 5, 6, 7, 8, 17, 18, 19, 20, 29, 30, and 32, north along the Knox County Line to the F31; then east along County Road F31 T10N R14W, and sections 1, 2, 10, 11, South Dakota State line. Where the to Highway 17; then north along 12, 13, 14, 24, and 25, T10N R15W, as Niobrara River forms the boundary, both Highway 17 to Highway 415 in Polk posted. banks of the river are included in the County; then east along Highway 415 to Niobrara Unit. Minnesota Northwest 158th Avenue; then east East Unit: That area north and east of along Northwest 158th Avenue to the Same zones as for ducks. U.S. 81 at the Kansas–Nebraska State line, north to NE Hwy 91, east to U.S. point of beginning. Missouri Cedar Falls/Waterloo Goose Zone: 275, south to U.S. 77, south to NE 91, Includes those portions of Black Hawk Same zones as for ducks. east to U.S. 30, east to the Nebraska– County bounded as follows: Beginning Ohio Iowa State line. at the intersection of County Roads C66 Platte River Unit: That area north and and V49 in Black Hawk County, then Same zones as for ducks. west of U.S. 81 at the Kansas–Nebraska south along County Road V49 to County Tennessee State line, north to NE Hwy 91, west along NE 91 to NE 11, north to the Holt Road D38, then west along County Road Reelfoot Zone: The lands and waters D38 to State Highway 21, then south County line, west along the northern within the boundaries of Reelfoot Lake border of Garfield, Loup, Blaine, and along State Highway 21 to County Road WMA only. D35, then west along County Road D35 Thomas Counties to the Hooker County Remainder of State: The remainder of line, south along the Thomas–Hooker to Grundy Road, then north along the State. Grundy Road to County Road D19, then County lines to the McPherson County west along County Road D19 to Butler Wisconsin line, east along the south border of Road, then north along Butler Road to Same zones as for ducks. Thomas County to the western line of County Road C57, then north and east Custer County, south along the Custer– along County Road C57 to U.S. Highway Central Flyway Logan County line to NE 92, west to 63, then south along U.S. Highway 63 to Colorado (Central Flyway Portion) U.S. 83, north to NE 92, west to NE 61, County Road C66, then east along south along NE 61 to NE 92, west along Northern Front Range Area: All areas County Road C66 to the point of NE 92 to U.S. Hwy 26, south along U.S. in Boulder, Larimer, and Weld Counties beginning. Hwy 26 to Keith County Line, south from the Continental Divide east along along Keith County Line to the Colorado Regular Seasons the Wyoming border to U.S. 85, south State line. Same zones as for ducks. on U.S. 85 to the Adams County line, Panhandle Unit: That area north and and all lands in Adams, Arapahoe, west of Keith–Deuel County Line at the Louisiana Broomfield, Clear Creek, Denver, Nebraska–Colorado State line, north North Zone: That portion of the State Douglas, Gilpin, and Jefferson Counties. along the Keith County Line to U.S. north of the line from the Texas border North Park Area: Jackson County. Hwy 26, west to NE Hwy 92, east to NE at Hwy 190/12 east to Hwy 49, then South Park Area: Chaffee, Custer, Hwy 61, north along NE Hwy 61 to NE south on Hwy 49 to I–10, then east on Fremont, Lake, Park, and Teller Hwy 2, west along NE 2 to the corner I–10 to I–12, then east on I–12 to I–10, Counties. formed by Garden–Grant–Sheridan then east on I–10 to the Mississippi San Luis Valley Area: All of Alamosa, Counties, west along the north border of State line. Conejos, Costilla, and Rio Grande Garden, Morrill, and Scotts Bluff South Zone: Remainder of the State. Counties, and those portions of Counties to the intersection of the Saguache, Mineral, Hinsdale, Archuleta, Michigan Interstate Canal, west to the Wyoming and San Juan Counties east of the State line. North Zone: Same as North duck Continental Divide. North-Central Unit: The remainder of zone. Remainder: Remainder of the Central the State. Middle Zone: Same as Middle duck Flyway portion of Colorado. zone. Eastern Colorado Late Light Goose Light Geese South Zone: Same as South duck Area: That portion of the State east of Rainwater Basin Light Goose Area: zone. Interstate Highway 25. The area bounded by the junction of NE Allegan County Game Management Montana (Central Flyway Portion) Hwy 92 and NE Hwy 15, south along NE Unit (GMU): That area encompassed by Hwy 15 to NE Hwy 4, west along NE a line beginning at the junction of 136th Zone 1: Same as Zone 1 for ducks and Hwy 4 to U.S. Hwy 34, west along U.S. Avenue and Interstate Highway 196 in coots. Hwy 34 to U.S. Hwy 283, north along Lake Town Township and extending Zone 2: Same as Zone 2 for ducks and U.S. Hwy 283 to U.S. Hwy 30, east along easterly along 136th Avenue to coots. U.S. Hwy 30 to NE Hwy 92, east along Michigan Highway 40, southerly along Nebraska NE Hwy 92 to the beginning. Michigan 40 through the city of Allegan Remainder of State: The remainder of to 108th Avenue in Trowbridge Dark Geese Nebraska. Township, westerly along 108th Avenue Niobrara Unit: That area contained New Mexico (Central Flyway Portion) to 46th Street, northerly along 46th within and bounded by the intersection Street to 109th Avenue, westerly along of the South Dakota State line and the Dark Geese 109th Avenue to I–196 in Casco eastern Cherry County line, south along Middle Rio Grande Valley Unit: Township, then northerly along I–196 to the Cherry County line to the Niobrara Sierra, Socorro, and Valencia Counties. the point of beginning. River, east to the Norden Road, south on Remainder: The remainder of the Muskegon Wastewater GMU: That the Norden Road to U.S. Hwy 20, east Central Flyway portion of New Mexico. portion of Muskegon County within the along U.S. Hwy 20 to NE Hwy 14, north boundaries of the Muskegon County along NE Hwy 14 to NE Hwy 59 and North Dakota wastewater system, east of the County Road 872, west along County Missouri River Canada Goose Zone: Muskegon State Game Area, in sections Road 872 to the Knox County Line, The area within and bounded by a line
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starting where ND Hwy 6 crosses the Brookings, Brown, Butte, Corson, Zone G3: Albany and Laramie South Dakota border; then north on ND Davison, Douglas, Edmunds, Faulk, Counties; and that portion of Carbon Hwy 6 to I–94; then west on I–94 to ND Haakon, Hand, Hanson, Harding, County east of the Continental Divide. Hwy 49; then north on ND Hwy 49 to Hutchinson, Jackson, Jerauld, Jones, Zone G4: Fremont County excluding ND Hwy 200; then west on ND Hwy Kingsbury, Lake, McCook, McPherson, those portions south or west of the 200; then north on ND Hwy 8 to the Meade, Mellette, Miner, Moody, Oglala Continental Divide. Mercer/McLean County line; then east Lakota (formerly Shannon), Sanborn, Pacific Flyway following the county line until it turns Spink, Todd, Turner, and Ziebach south toward Garrison Dam; then east Counties; and those portions of Arizona along a line (including Mallard Island) Minnehaha and Lincoln Counties Same zones as for ducks. of Lake Sakakawea to U.S. Hwy 83; then outside of an area bounded by a line south on U.S. Hwy 83 to ND Hwy 200; beginning at the junction of the South California then east on ND Hwy 200 to ND Hwy Dakota–Minnesota State line and Northeastern Zone: That portion of 41; then south on ND Hwy 41 to U.S. Minnehaha County Highway 122 (254th California lying east and north of a line Hwy 83; then south on U.S. Hwy 83 to Street) west to its junction with beginning at the intersection of I–94; then east on I–94 to U.S. Hwy 83; Minnehaha County Highway 149 (464th Interstate 5 with the California–Oregon then south on U.S. Hwy 83 to the South Avenue), south on Minnehaha County line; south along Interstate 5 to its Dakota border; then west along the Highway 149 (464th Avenue) to junction with Walters Lane south of the South Dakota border to ND Hwy 6. Hartford, then south on Minnehaha town of Yreka; west along Walters Lane Western North Dakota Canada Goose County Highway 151 (463rd Avenue) to to its junction with Easy Street; south Zone: Same as the High Plains Unit for State Highway 42, east on State along Easy Street to the junction with ducks, mergansers and coots, excluding Highway 42 to State Highway 17, south Old Highway 99; south along Old the Missouri River Canada Goose Zone. on State Highway 17 to its junction with Highway 99 to the point of intersection Rest of State: Remainder of North Lincoln County Highway 116 (Klondike with Interstate 5 north of the town of Dakota. Road), and east on Lincoln County Weed; south along Interstate 5 to its Highway 116 (Klondike Road) to the South Dakota junction with Highway 89; east and South Dakota–Iowa State line, then south along Highway 89 to main street Early Canada Goose Seasons north along the South Dakota–Iowa and Greenville; north and east to its junction Special Early Canada Goose Unit: The South Dakota–Minnesota border to the with North Valley Road; south to its Counties of Campbell, Clark, Codington, junction of the South Dakota–Minnesota junction of Diamond Mountain Road; Day, Deuel, Grant, Hamlin, Marshall, State line and Minnehaha County north and east to its junction with North Roberts, Walworth; that portion of Highway 122 (254th Street). Arm Road; south and west to the Perkins County west of State Highway Regular Seasons junction of North Valley Road; south to 75 and south of State Highway 20; that the junction with Arlington Road (A22); Unit 1: Same as that for the September portion of Dewey County north of west to the junction of Highway 89; Canada goose season. Bureau of Indian Affairs Road 8, Bureau Unit 2: Remainder of South Dakota. south and west to the junction of of Indian Affairs Road 9, and the section Unit 3: Bennett County. Highway 70; east on Highway 70 to of U.S. Highway 212 east of the Bureau Highway 395; south and east on of Indian Affairs Road 8 junction; that Texas Highway 395 to the point of intersection portion of Potter County east of U.S. Northeast Goose Zone: That portion of with the California–Nevada State line; Highway 83; that portion of Sully Texas lying east and north of a line north along the California–Nevada State County east of U.S. Highway 83; beginning at the Texas–Oklahoma line to the junction of the California– portions of Hyde, Buffalo, Brule, and border at U.S. 81, then continuing south Nevada–Oregon State lines west along Charles Mix Counties north and east of to Bowie and then southeasterly along the California–Oregon State line to the a line beginning at the Hughes–Hyde U.S. 81 and U.S. 287 to I–35W and I– point of origin. County line on State Highway 34, east 35 to the juncture with I–10 in San Klamath Basin Special Management to Lees Boulevard, southeast to State Antonio, then east on I–10 to the Texas– Area: Beginning at the intersection of Highway 34, east 7 miles to 350th Louisiana border. Highway 161 and Highway 97; east on Avenue, south to Interstate 90 on 350th Southeast Goose Zone: That portion Highway 161 to Hill Road; south on Hill Avenue, south and east on State of Texas lying east and south of a line Road to N Dike Road West Side; east on Highway 50 to Geddes, east on 285th beginning at the International Toll N Dike Road West Side until the Street to U.S. Highway 281, and north Bridge at Laredo, then continuing north junction of the Lost River; north on N on U.S. Highway 281 to the Charles following I–35 to the juncture with I–10 Dike Road West Side until the Volcanic Mix–Douglas County boundary; that in San Antonio, then easterly along I– Legacy Scenic Byway; east on Volcanic portion of Bon Homme County north of 10 to the Texas–Louisiana border. Legacy Scenic Byway until N Dike Road State Highway 50; those portions of West Goose Zone: The remainder of East Side; south on the N Dike Road Yankton and Clay Counties north of a the State. East Side; continue east on N Dike Road line beginning at the junction of State East Side to Highway 111; south on Wyoming (Central Flyway Portion) Highway 50 and 306th Street/County Highway 111/Great Northern Road to Highway 585 in Bon Homme County, Dark Geese Highway 120/Highway 124; west on east to U.S. Highway 81, then north on Zone G1: Big Horn, Converse, Hot Highway 120/Highway 124 to Hill Road; U.S. Highway 81 to 303rd Street, then Springs, Natrona, Park, and Washakie south on Hill Road until Lairds Camp east on 303rd Street to 444th Avenue, Counties. Road; west on Lairds Camp Road until then south on 444th Avenue to 305th Zone G1A: Goshen and Platte Willow Creek; west and south on Street, then east on 305th Street/Bluff Counties. Willow Creek to Red Rock Road; west Road to State Highway 19, then south to Zone G2: Campbell, Crook, Johnson, on Red Rock Road until Meiss Lake State Highway 50 and east to the Clay/ Niobrara, Sheridan, and Weston Road/Old State Highway; north on Union County Line; Aurora, Beadle, Counties. Meiss Lake Road/Old State Highway to
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Highway 97; north on Highway 97 to the to Drop 18; a straight line from Drop 18 portion within the Blackfoot Reservoir point of origin. to Frink Road; south on Frink Road to drainage; Caribou County within the Colorado River Zone: Those portions Highway 111; north on Highway 111 to Fort Hall Indian Reservation; and Power of San Bernardino, Riverside, and Niland Marina Road; southwest on County east of State Highway 37 and Imperial Counties east of a line from the Niland Marina Road to the old Imperial State Highway 39. intersection of Highway 95 with the County boat ramp and the water line of Zone 2: Bear Lake, Bonneville, Butte, California–Nevada State line; south on the Salton Sea; from the water line of Clark, Fremont, Jefferson, Madison, and Highway 95 through the junction with the Salton Sea, a straight line across the Teton Counties; Bingham County within Highway 40; south on Highway 95 to Salton Sea to the Salinity Control the Blackfoot Reservoir drainage; and Vidal Junction; south through the town Research Facility and the Navy Test Caribou County except within the Fort of Rice to the San Bernardino–Riverside Base Road; southwest on the Navy Test Hall Indian Reservation. County line on a road known as Base Road to the point of beginning. Zone 3: Adams, Benewah, Blaine, ‘‘Aqueduct Road’’ also known as Balance of State Zone: The remainder Bonner, Boundary, Camas, Clearwater, Highway 62 in San Bernardino County; of California not included in the Custer, Franklin, Idaho, Kootenai, Latah, southwest on Highway 62 to Desert Northeastern, Colorado River, and Lemhi, Lewis, Nez Perce, Oneida, and Center Rice Road; south on Desert Southern Zones. Center Rice Road/Highway 177 to the North Coast Special Management Shoshone Counties; and Power County town of Desert Center; east 31 miles on Area: Del Norte and Humboldt west of State Highway 37 and State Interstate 10 to its intersection with Counties. Highway 39. Wiley Well Road; south on Wiley Well Sacramento Valley Special Zone 4: Ada, Boise, Canyon, Cassia, Road to Wiley Well; southeast on Management Area: That area bounded Elmore, Gem, Gooding, Jerome, Lincoln, Milpitas Wash Road to the Blythe, by a line beginning at Willows south on Minidoka, Owyhee, Payette, Twin Falls, Brawley, Davis Lake intersections; south I–5 to Hahn Road; easterly on Hahn and Washington Counties. on Blythe Ogilby Road also known as Road and the Grimes–Arbuckle Road to Zone 5: Valley County. County Highway 34 to its intersection Grimes; northerly on CA 45 to the with Ogilby Road; south on Ogilby Road junction with CA 162; northerly on CA Light Geese to its intersection with Interstate 8; east 45/162 to Glenn; and westerly on CA Zone 1: All lands and waters within 7 miles on Interstate 8 to its intersection 162 to the point of beginning in the Fort Hall Indian Reservation, with the Andrade-Algodones Road/ Willows. including private in-holdings; Bannock Highway 186; south on Highway 186 to Colorado (Pacific Flyway Portion) County; Bingham County east of the its intersection with the U.S.–Mexico west bank of the Snake River, west of Same zones as for ducks. border at Los Algodones, Mexico. the McTucker boat ramp access road, Southern Zone: That portion of Idaho and east of the American Falls Reservoir southern California (but excluding the bluff, except that portion within the Colorado River zone) south and east of Canada Geese and Brant Blackfoot Reservoir drainage; Caribou a line beginning at the mouth of the Zone 1: All lands and waters within County within the Fort Hall Indian Santa Maria River at the Pacific Ocean; the Fort Hall Indian Reservation, Reservation; and Power County below east along the Santa Maria River to including private in-holdings; Bannock the American Falls Reservoir bluff, and where it crosses Highway 101–166 near County; Bingham County, except that within the Fort Hall Indian Reservation. the City of Santa Maria; north on portion within the Blackfoot Reservoir Zone 2: Franklin and Oneida Highway 101–166; east on Highway 166 drainage; Caribou County within the Counties; Bingham County west of the to the junction with Highway 99; south Fort Hall Indian Reservation; and Power west bank of the Snake River, east of the on Highway 99 to the junction of County east of State Highway 37 and McTucker boat ramp access road, and Interstate 5; south on Interstate 5 to the State Highway 39. crest of the Tehachapi Mountains at Zone 2: Bonneville, Butte, Clark, west of the American Falls Reservoir Tejon Pass; east and north along the Fremont, Jefferson, Madison, and Teton bluff; Power County, except below the crest of the Tehachapi Mountains to Counties. American Falls Reservoir bluff and where it intersects Highway 178 at Zone 3: Ada, Adams, Benewah, those lands and waters within the Fort Walker Pass; east on Highway 178 to the Blaine, Boise, Bonner, Boundary, Hall Indian Reservation. junction of Highway 395 at the town of Camas, Canyon, Cassia, Clearwater, Zone 3: Ada, Boise, Canyon, Cassia, Inyokern; south on Highway 395 to the Custer, Elmore, Franklin, Gem, Gooding, Elmore, Gem, Gooding, Jerome, Lincoln, junction of Highway 58; east on Idaho, Jerome, Kootenai, Latah, Lemhi, Minidoka, Owyhee, Payette, Twin Falls, Highway 58 to the junction of Interstate Lewis, Lincoln, Minidoka, Nez Perce, and Washington Counties. 15; east on Interstate 15 to the junction Oneida, Owyhee, Payette, Shoshone, Zone 4: Adams, Benewah, Blaine, with Highway 127; north on Highway Twin Falls, and Washington Counties; Bonner, Boundary, Camas, Clearwater, 127 to the point of intersection with the and Power County west of State Custer, Idaho, Kootenai, Latah, Lemhi, California–Nevada State line. Highway 37 and State Highway 39. Lewis, Nez Perce, and Shoshone Imperial County Special Management Zone 4: Bear Lake County; Bingham Counties. Area: The area bounded by a line County within the Blackfoot Reservoir beginning at Highway 86 and the Navy Zone 5: Bear Lake, Bonneville, Butte, drainage; and Caribou County, except Clark, Fremont, Jefferson, Madison, and Test Base Road; south on Highway 86 to that portion within the Fort Hall Indian the town of Westmoreland; continue Teton Counties; Bingham County within Reservation. the Blackfoot Reservoir drainage; and through the town of Westmoreland to Zone 5: Valley County. Route S26; east on Route S26 to Caribou County except within the Fort Highway 115; north on Highway 115 to White-Fronted Geese Hall Indian Reservation. Weist Road; north on Weist Road to Zone 1: All lands and waters within Zone 6: Valley County. Flowing Wells Road; northeast on the Fort Hall Indian Reservation, Nevada Flowing Wells Road to the Coachella including private in-holdings; Bannock Canal; northwest on the Coachella Canal County; Bingham County except that Same zones as for ducks.
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New Mexico (Pacific Flyway Portion) along SR–83 to I–15; south on I–15 to Area 5: All areas east of the Pacific North Zone: The Pacific Flyway the Perry access road; southwest along Crest Trail and east of the Big White portion of New Mexico located north of this road to the Bear River Bird Refuge Salmon River that are not included in I–40. boundary; west, north, and then east Area 4. along the refuge boundary until it South Zone: The Pacific Flyway Brant portion of New Mexico located south of intersects the Public Shooting Grounds I–40. Waterfowl Management Area boundary; Pacific Flyway east and north along the Public Shooting California Oregon Grounds Waterfowl Management Area Northwest Permit Zone: Benton, boundary to SR–83. Northern Zone: Del Norte, Humboldt, Clackamas, Clatsop, Columbia, Lane, Wasatch Front Zone: Boundary begins and Mendocino Counties. Lincoln, Linn, Marion, Multnomah, at the Weber–Box Elder County line at Balance of State Zone: The remainder Polk, Tillamook, Washington, and I–15; east along Weber County line to of the State not included in the Yamhill Counties. U.S.–89; south on U.S.–89 to I–84; east Northern Zone. and south on I–84 to I–80; south on I– Lower Columbia/N. Willamette Valley Washington Management Area: Those portions of 80 to U.S.–189; south and west on U.S.– Clatsop, Columbia, Multnomah, and 189 to the Utah County line; southeast Puget Sound Zone: Clallam, Skagit, Washington Counties within the and then west along this line to the and Whatcom Counties. Northwest Special Permit Zone. Tooele County line; north along the Coastal Zone: Pacific County. Tooele County line to I–80; east on I– Tillamook County Management Area: Swans That portion of Tillamook County 80 to Exit 99; north from Exit 99 along beginning at the point where Old Woods a direct line to the southern tip of Central Flyway Promontory Point and Promontory Road crosses the south shores of Horn South Dakota Creek, north on Old Woods Road to Road; east and north along this road to Sand Lake Road at Woods, north on the causeway separating Bear River Bay Open Area: Aurora, Beadle, Sand Lake Road to the intersection with from Ogden Bay; east on this causeway Brookings, Brown, Brule, Buffalo, McPhillips Drive, due west (∼200 yards) to the southwest corner of Great Salt Campbell, Clark, Codington, Davison, from the intersection to the Pacific Lake Mineral Corporations (GSLMC) Day, Deuel, Edmunds, Faulk, Grant, coastline, south along the Pacific west impoundment; north and east Hamlin, Hand, Hanson, Hughes, Hyde, coastline to a point due west of the along GSLMC’s west impoundment to Jerauld, Kingsbury, Lake, Marshall, western end of Pacific Avenue in Pacific the northwest corner of the McCook, McPherson, Miner, City, east from this point (∼250 yards) to impoundment; north from this point Minnehaha, Moody, Potter, Roberts, Pacific Avenue, east on Pacific Avenue along a direct line to the southern Sanborn, Spink, Sully, and Walworth to Brooten Road, south and then east on boundary of Bear River Migratory Bird Counties. Refuge; east along this southern Brooten Road to Highway 101, north on Pacific Flyway Highway 101 to Resort Drive, north on boundary to the Perry access road; Idaho Resort Drive to a point due west of the northeast along this road to I–15; south south shores of Horn Creek at its along I–15 to the Weber–Box Elder Open Area: Benewah, Bonner, confluence with the Nestucca River, due County line. Boundary, and Kootenai Counties. Southern Zone: Boundary includes east (∼80 yards) across the Nestucca Beaver, Carbon, Emery, Garfield, Grand, Montana (Pacific Flyway Portion) River to the south shores of Horn Creek, Iron, Juab, Kane, Millard, Piute, San east along the south shores of Horn Open Area: Cascade, Chouteau, Hill, Juan, Sanpete, Sevier, Washington, and Creek to the point of beginning. Liberty, and Toole Counties and those Wayne Counties, and that part of Tooele Southwest Zone: Those portions of portions of Pondera and Teton Counties County south of I–80. lying east of U.S. 287–89. Douglas, Coos, and Curry Counties east Northern Zone: The remainder of of Highway 101, and Josephine and Utah not included in the East Box Elder Nevada Jackson Counties. County, Wasatch Front, and Southern Open Area: Churchill, Lyon, and South Coast Zone: Those portions of Zones. Douglas, Coos, and Curry Counties west Pershing Counties. Washington of Highway 101. Utah Eastern Zone: Baker, Crook, Area 1: Skagit, Island, and Snohomish Deschutes, Gilliam, Grant, Hood River, Counties. Open Area: Those portions of Box Jefferson, Morrow, Sherman, Umatilla, Area 2 Inland (Southwest Permit Elder, Weber, Davis, Salt Lake, and Union, Wallowa, Wasco, and Wheeler Zone): Clark, Cowlitz, and Wahkiakum Toole Counties lying west of I–15, north Counties. Counties, and that portion of Grays of I–80, and south of a line beginning Klamath County Zone: Klamath Harbor County east of Highway 101 from the Forest Street exit to the Bear County. Area 2 Coastal (Southwest Permit River National Wildlife Refuge Harney and Lake County Zone: Zone): Pacific County and that portion boundary; then north and west along the Harney and Lake Counties. of Grays Harbor County west of Bear River National Wildlife Refuge Malheur County Zone: Malheur Highway 101. boundary to the farthest west boundary County. Area 3: All areas west of the Pacific of the Refuge; then west along a line to Crest Trail and west of the Big White Promontory Road; then north on Utah Salmon River that are not included in Promontory Road to the intersection of East Box Elder County Zone: Areas 1, 2A, and 2B. SR 83; then north on SR 83 to I–84; then Boundary begins at the intersection of Area 4: Adams, Benton, Chelan, north and west on I–84 to State Hwy 30; the eastern boundary of Public Shooting Douglas, Franklin, Grant, Kittitas, then west on State Hwy 30 to the Grounds Waterfowl Management Area Lincoln, Okanogan, Spokane, and Walla Nevada–Utah State line; then south on and SR–83 (Promontory Road); east Walla Counties. the Nevada–Utah State line to I–80.
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Doves Band-tailed Pigeons Remainder of State: That portion of Tennessee outside of the Southeast Alabama California Crane Zone. South Zone: Baldwin, Barbour, North Zone: Alpine, Butte, Del Norte, Central Flyway Coffee, Covington, Dale, Escambia, Glenn, Humboldt, Lassen, Mendocino, Geneva, Henry, Houston, and Mobile Modoc, Plumas, Shasta, Sierra, Colorado Counties. Siskiyou, Tehama, and Trinity Counties. Open Area: The Central Flyway North Zone: Remainder of the State. South Zone: The remainder of the portion of the State except the San Luis State not included in the North Zone. Florida Valley (Alamosa, Conejos, Costilla, New Mexico Hinsdale, Mineral, Rio Grande, and Northwest Zone: The Counties of Bay, Saguache Counties east of the Calhoun, Escambia, Franklin, Gadsden, North Zone: North of a line following Continental Divide) and North Park Gulf, Holmes, Jackson, Liberty, U.S. 60 from the Arizona State line east (Jackson County). Okaloosa, Santa Rosa, Walton, to I–25 at Socorro and then south along Washington, Leon (except that portion I–25 from Socorro to the Texas State Kansas north of U.S. 27 and east of State Road line. Central Zone: That portion of the 155), Jefferson (south of U.S. 27, west of South Zone: The remainder of the State within an area bounded by a line State Road 59 and north of U.S. 98), and State not included in the North Zone. beginning where I–35 crosses the Wakulla (except that portion south of Kansas–Oklahoma border, then north on Washington U.S. 98 and east of the St. Marks River). I–35 to Wichita, then north on I–135 to South Zone: The remainder of the Western Washington: The State of Salina, then north on U.S. 81 to the State. Washington excluding those portions Nebraska border, then west along the lying east of the Pacific Crest Trail and Kansas/Nebraska border to its Louisiana east of the Big White Salmon River in intersection with Hwy 283, then south North Zone: That portion of the State Klickitat County. on Hwy 283 to the intersection with north of a line extending east from the Woodcock Hwy 18/24, then east along Hwy 18 to Texas border along State Highway 12 to Hwy 183, then south on Hwy 183 to U.S. Highway 190, east along U.S. 190 New Jersey Route 1, then south on Route 1 to the to Interstate Highway 12, east along North Zone: That portion of the State Oklahoma border, then east along the Interstate Highway 12 to Interstate north of NJ 70. Kansas/Oklahoma border to where it Highway 10, then east along Interstate South Zone: The remainder of the crosses I–35. West Zone: That portion of the State Highway 10 to the Mississippi border. State. South Zone: The remainder of the west of the western boundary of the State. Sandhill Cranes Central Zone. Mississippi Mississippi Flyway Montana North Zone: That portion of the State Alabama Regular Season Open Area: The Central Flyway portion of the State north and west of a line extending west Open Area: That area north of except for that area south and west of from the Alabama State line along U.S. Interstate 20 from the Georgia State line Interstate 90, which is closed to sandhill Highway 84 to its junction with State to the interchange with Interstate 65, crane hunting. Highway 35, then south along State then east of Interstate 65 to the Highway 35 to the Louisiana State line. Special Season Open Area: Carbon interchange with Interstate 22, then County. South Zone: The remainder of north of Interstate 22 to the Mississippi Mississippi. State line. New Mexico Texas Minnesota Regular-Season Open Area: Chaves, Curry, De Baca, Eddy, Lea, Quay, and North Zone: That portion of the State Northwest Zone: That portion of the Roosevelt Counties. north of a line beginning at the State encompassed by a line extending International Bridge south of Fort east from the North Dakota border along Special Season Open Areas Hancock; north along FM 1088 to TX 20; U.S. Highway 2 to State Trunk Highway Middle Rio Grande Valley Area: The west along TX 20 to TX 148; north along (STH) 32, north along STH 32 to STH Central Flyway portion of New Mexico TX 148 to I–10 at Fort Hancock; east 92, east along STH 92 to County State in Socorro and Valencia Counties. along I–10 to I–20; northeast along I–20 Aid Highway (CSAH) 2 in Polk County, Estancia Valley Area: Those portions to I–30 at Fort Worth; northeast along I– north along CSAH 2 to CSAH 27 in of Santa Fe, Torrance, and Bernallilo 30 to the Texas–Arkansas State line. Pennington County, north along CSAH Counties within an area bounded on the Central Zone: That portion of the 27 to STH 1, east along STH 1 to CSAH west by New Mexico Highway 55 State lying between the North and South 28 in Pennington County, north along beginning at Mountainair north to NM Zones. CSAH 28 to CSAH 54 in Marshall 337, north to NM 14, north to I–25; on South Zone: That portion of the State County, north along CSAH 54 to CSAH the north by I–25 east to U.S. 285; on south and west of a line beginning at the 9 in Roseau County, north along CSAH the east by U.S. 285 south to U.S. 60; International Bridge south of Del Rio, 9 to STH 11, west along STH 11 to STH and on the south by U.S. 60 from U.S. proceeding east on U.S. 90 to State Loop 310, and north along STH 310 to the 285 west to NM 55 in Mountainair. 1604 west of San Antonio; then south, Manitoba border. Southwest Zone: Area bounded on the east, and north along Loop 1604 to I–10 south by the New Mexico–Mexico east of San Antonio; then east on I–10 Tennessee border; on the west by the New Mexico– to Orange, Texas. Southeast Crane Zone: That portion of Arizona border north to Interstate 10; on Special White-winged Dove Area: the State south of Interstate 40 and east the north by Interstate 10 east to U.S. Same as the South Zone. of State Highway 56. 180, north to NM 26, east to NM 27,
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north to NM 152, and east to Interstate Closed areas: Area 6: Big Horn, Hot Springs, Park, 25; on the east by Interstate 25 south to A. That portion of the State lying east and Washakie Counties. Interstate 10, west to the Luna County and north of a line beginning at the Area 8: Johnson, Natrona, and line, and south to the New Mexico– junction of U.S. Highway 81 and the Sheridan Counties. Mexico border. Texas–Oklahoma State line, then southeast along U.S. Highway 81 to its Pacific Flyway North Dakota junction with U.S. Highway 287 in Arizona Area 1: That portion of the State west Montague County, then southeast along Zone 1: Beginning at the junction of of U.S. 281. U.S. Highway 287 to its junction with I– the New Mexico State line and U.S. Area 2: That portion of the State east 35W in Fort Worth, then southwest Hwy 80; south along the State line to the of U.S. 281. along I–35 to its junction with U.S. U.S.–Mexico border; west along the Highway 290 East in Austin, then east Oklahoma border to the San Pedro River; north along U.S. Highway 290 to its junction along the San Pedro River to the Open Area: That portion of the State with Interstate Loop 610 in Harris junction with Arizona Hwy 77; west of I–35. County, then south and east along northerly along Arizona Hwy 77 to the Interstate Loop 610 to its junction with South Dakota Gila River; northeast along the Gila Interstate Highway 45 in Houston, then River to the San Carlos Indian Open Area: That portion of the State south on Interstate Highway 45 to State Reservation boundary; south then east lying west of a line beginning at the Highway 342, then to the shore of the South Dakota–North Dakota border and Gulf of Mexico, and then north and east and north along the reservation State Highway 25, south on State along the shore of the Gulf of Mexico to boundary to U.S. Hwy 70; southeast on Highway 25 to its junction with State the Texas–Louisiana State line. U.S. Hwy 70 to U.S. Hwy 191; south on Highway 34, east on State Highway 34 B. That portion of the State lying U.S. Hwy 191 to the 352 exit on I–10; to its junction with U.S. Highway 81, within the boundaries of a line east on I–10 to Bowie-Apache Pass then south on U.S. Highway 81 to the beginning at the Kleberg–Nueces County Road; southerly on the Bowie-Apache South Dakota–Nebraska border. line and the shore of the Gulf of Mexico, Pass Road to Arizona Hwy 186; southeasterly on Arizona Hwy 186 to Texas then west along the County line to Park Road 22 in Nueces County, then north Arizona Hwy 181; south on Arizona Zone A: That portion of Texas lying and west along Park Road 22 to its Hwy 181 to the West Turkey Creek- west of a line beginning at the junction with State Highway 358 in Kuykendall cutoff road; southerly on the international toll bridge at Laredo, then Corpus Christi, then west and north Kuykendall cutoff road to Rucker northeast along U.S. Highway 81 to its along State Highway 358 to its junction Canyon Road; easterly on Rucker junction with Interstate Highway 35 in with State Highway 286, then north Canyon Road to the Tex Canyon Road; Laredo, then north along Interstate along State Highway 286 to its junction southerly on Tex Canyon Road to U.S. Highway 35 to its junction with with Interstate Highway 37, then east Hwy 80; northeast on U.S. Hwy 80 to Interstate Highway 10 in San Antonio, along Interstate Highway 37 to its the New Mexico State line. then northwest along Interstate Highway junction with U.S. Highway 181, then Zone 2: Beginning at I–10 and the 10 to its junction with U.S. Highway 83 north and west along U.S. Highway 181 New Mexico State line; north along the at Junction, then north along U.S. to its junction with U.S. Highway 77 in State line to Arizona Hwy 78; southwest Highway 83 to its junction with U.S. Sinton, then north and east along U.S. on Arizona Hwy 78 to U.S. Hwy 191; Highway 62, 16 miles north of Highway 77 to its junction with U.S. northwest on U.S. Hwy 191 to Clifton; Childress, then east along U.S. Highway Highway 87 in Victoria, then south and westerly on the Lower Eagle Creek Road 62 to the Texas–Oklahoma State line. east along U.S. Highway 87 to its (Pump Station Road) to Eagle Creek; Zone B: That portion of Texas lying junction with State Highway 35 at Port northerly along Eagle Creek to the San within boundaries beginning at the Lavaca, then north and east along State Carlos Indian Reservation boundary; junction of U.S. Highway 81 and the Highway 35 to the south end of the southerly and west along the reservation Texas–Oklahoma State line, then Lavaca Bay Causeway, then south and boundary to U.S. Hwy 70; southeast on southeast along U.S. Highway 81 to its east along the shore of Lavaca Bay to its U.S. Hwy 70 to U.S. Hwy 191; south on junction with U.S. Highway 287 in junction with the Port Lavaca Ship U.S. Hwy 191 to I–10; easterly on I–10 Montague County, then southeast along Channel, then south and east along the to the New Mexico State line. U.S. Highway 287 to its junction with Lavaca Bay Ship Channel to the Gulf of Zone 3: Beginning on I–10 at the New Interstate Highway 35W in Fort Worth, Mexico, and then south and west along Mexico State line; westerly on I–10 to then southwest along Interstate the shore of the Gulf of Mexico to the the Bowie-Apache Pass Road; southerly Highway 35 to its junction with Kleberg–Nueces County line. on the Bowie-Apache Pass Road to AZ Interstate Highway 10 in San Antonio, Hwy 186; southeast on AZ Hwy 186 to then northwest along Interstate Highway Wyoming AZ Hwy 181; south on AZ Hwy 181 to 10 to its junction with U.S. Highway 83 Area 7: Campbell, Converse, Crook, the West Turkey Creek–Kuykendall in the town of Junction, then north Goshen, Laramie, Niobrara, Platte, and cutoff road; southerly on the Kuykendall along U.S. Highway 83 to its junction Weston Counties. cutoff road to Rucker Canyon Road; with U.S. Highway 62, 16 miles north of Area 4: All lands within the Bureau easterly on the Rucker Canyon Road to Childress, then east along U.S. Highway of Reclamation’s Riverton and Boysen Tex Canyon Road; southerly on Tex 62 to the Texas–Oklahoma State line, Unit boundaries; those lands within Canyon Road to U.S. Hwy 80; northeast then south along the Texas–Oklahoma Boysen State Park south of Cottonwood on U.S. Hwy 80 to the New Mexico State line to the south bank of the Red Creek, west of Boysen Reservoir, and State line; north along the State line to River, then eastward along the south of U.S. Highway 20–26; and all I–10. vegetation line on the south bank of the non-Indian owned fee title lands within Idaho Red River to U.S. Highway 81. the exterior boundaries of the Wind Zone C: The remainder of the State, River Reservation, excluding those Area 1: All of Bear Lake County and except for the closed areas. lands within Hot Springs County. all of Caribou County except that
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portion lying within the Grays Lake Ovando–Helmville Road (County Road Kodiak Zone: State Game Basin. 104) at Cedar Meadows Fishing Access Management Unit 8. Area 2: All of Teton County except Site, then south and east along said road All Migratory Game Birds in the Virgin that portion lying west of State Highway to its junction with State Route 141, Islands 33 and south of Packsaddle Road (West then north along said route to its 400 North) and north of the North junction with State Route 200, the point Ruth Cay Closure Area: The island of Cedron Road (West 600 South) and east of beginning. Ruth Cay, just south of St. Croix. of the west bank of the Teton River. Zone 3: Beaverhead, Gallatin, All Migratory Game Birds in Puerto Area 3: All of Fremont County except Jefferson, and Madison Counties. Rico the Chester Wetlands Wildlife Zone 4: Broadwater County. Management Area. Utah Municipality of Culebra Closure Area: Area 4: All of Jefferson County. All of the municipality of Culebra. Area 5: All of Bannock County east of Cache County: Cache County. Desecheo Island Closure Area: All of Interstate 15 and south of U.S. Highway East Box Elder County: That portion Desecheo Island. 30; and all of Franklin County. of Box Elder County beginning on the Area 6: That portion of Oneida Mona Island Closure Area: All of Utah–Idaho State line at the Box Elder– Mona Island. County within the boundary beginning Cache County line; west on the State El Verde Closure Area: Those areas of at the intersection of the Idaho–Utah line to the Pocatello Valley County the municipalities of Rio Grande and border and Old Highway 191, then Road; south on the Pocatello Valley Loiza delineated as follows: (1) All north on Old Highway 191 to 1500 S, County Road to I–15; southeast on I–15 lands between Routes 956 on the west then west on 1500 S to Highway 38, to SR–83; south on SR–83 to Lamp and 186 on the east, from Route 3 on the then west on Highway 38 to 5400 W, Junction; west and south on the north to the juncture of Routes 956 and then south on 5400 W to Pocatello Promontory Point County Road to the 186 (Km 13.2) in the south; (2) all lands Valley Road, then west and south on tip of Promontory Point; south from between Routes 186 and 966 from the Pocatello Valley Road to 10000 W, then Promontory Point to the Box Elder– juncture of 186 and 966 on the north, to south on 10000 W to the Idaho–Utah Weber County line; east on the Box the Caribbean National Forest Boundary border, then east along the Idaho–Utah Elder–Weber County line to the Box on the south; (3) all lands lying west of border to the beginning point. Elder–Cache County line; north on the Route 186 for 1 kilometer from the Box Elder–Cache County line to the Montana juncture of Routes 186 and 956 south to Utah–Idaho State line. Km 6 on Route 186; (4) all lands within Zone 1: Those portions of Deer Lodge Rich County: Rich County. County lying within the following Uintah County: Uintah County. Km 14 and Km 6 on the west and the described boundary: Beginning at the Caribbean National Forest Boundary on intersection of I–90 and Highway 273, Wyoming the east; and (5) all lands within the then westerly along Highway 273 to the Area 1: All of the Bear River and Caribbean National Forest Boundary junction of Highway 1, then southeast Ham’s Fork River drainages in Lincoln whether private or public. along said highway to Highway 275 at County. Cidra Municipality and adjacent Opportunity, then east along said Area 2: All of the Salt River drainage areas: All of Cidra Municipality and highway to East Side County road, then in Lincoln County south of the McCoy portions of Aguas Buenas, Caguas, north along said road to Perkins Lane, Creek Road. Cayey, and Comerio Municipalities as then west on said lane to I–90, then Area 3: All lands within the Bureau encompassed within the following north on said interstate to the junction of Reclamation’s Eden Project in boundary: Beginning on Highway 172 as of Highway 273, the point of beginning. Sweetwater County. it leaves the municipality of Cidra on Except for sections 13 and 24, T5N, Area 5: Uinta County. the west edge, north to Highway 156, R10W; and Warm Springs Pond number east on Highway 156 to Highway 1, 3. All Migratory Game Birds in Alaska south on Highway 1 to Highway 765, Zone 2: That portion of the Pacific North Zone: State Game Management south on Highway 765 to Highway 763, Flyway, located in Powell County lying Units 11–13 and 17–26. south on Highway 763 to the Rio within the following described Gulf Coast Zone: State Game Guavate, west along Rio Guavate to boundary: Beginning at the junction of Management Units 5–7, 9, 14–16, and Highway 1, southwest on Highway 1 to State Routes 141 and 200, then west 10 (Unimak Island only). Highway 14, west on Highway 14 to along Route 200 to its intersection with Southeast Zone: State Game Highway 729, north on Highway 729 to the Blackfoot River at Russell Gates Management Units 1–4. Cidra Municipality boundary to the Fishing Access Site (Powell–Missoula Pribilof and Aleutian Islands Zone: point of the beginning. County line), then southeast along said State Game Management Unit 10 (except [FR Doc. 2020–17691 Filed 8–20–20; 8:45 am] river to its intersection with the Unimak Island). BILLING CODE 4333–15–P
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Part III
Department of Labor
Employment and Training Administration 20 CFR Parts 617 and 618 29 CFR 90 Trade Adjustment Assistance for Workers; Final Rule
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DEPARTMENT OF LABOR A. Subpart A—General TAARA 2015 Trade Adjustment Assistance B. Subpart B—Petitions, Investigations, Reauthorization Act of 2015 Employment and Training and Determinations TaOA Training and Other Activities Administration C. Subpart C—Employment and Case TEGL(s) Training and Employment Management Services Guidance Letter(s) D. Subpart D—Job Search and Relocation 20 CFR Parts 617 and 618 TGAAA Trade and Globalization Allowances Adjustment Assistance Act of 2009 E. Subpart E—Reemployment Trade the Act chapter 2 of title II of the Trade Act 29 CFR Part 90 Adjustment Assistance of 1974, as amended F. Subpart F—Training Services [Docket No. ETA–2019–0009] TRA Trade Readjustment Allowances G. Subpart G—Trade Readjustment UI Unemployment Insurance RIN 1205–AB78 Allowances UMRA Unfunded Mandates Reform Act of H. Subpart H—Administration by 1995 Trade Adjustment Assistance for Applicable State Agencies USCIT United States Court of International Workers I. Subpart I—Allocation of Funds to States Trade for Training and Other Activities WARN Worker Adjustment and Retraining AGENCY: Employment and Training IV. Agency Determinations Notice Administration, Labor. A. Legal Authority WBA(s) weekly benefit amount(s) B. Executive Orders 12866 (Regulatory ACTION: Final rule. WIA Workforce Investment Act of 1998 Planning and Review), 13563 (Improving WIOA Workforce Innovation and SUMMARY: The Employment and Regulation and Regulatory Review), and Opportunity Act Training Administration (ETA) of the 13771 (Reducing Regulation and Controlling Regulatory Costs) II. Background Department of Labor (Department) is C. Regulatory Flexibility Act, Small expanding protection and support for Business Regulatory Enforcement A. Introduction to the Trade Adjustment U.S. workers adversely impacted by Fairness Act of 1996, and Executive Assistance Program Order 13272 (Proper Consideration of foreign trade by revising its Trade On November 7, 2019, the Department Adjustment Assistance (TAA) for Small Entities in Agency Rulemaking) D. Paperwork Reduction Act published a Notice of Proposed Workers program (TAA Program) Rulemaking (NPRM) in the Federal regulations. This final rule will, among E. Executive Order 13132 (Federalism) F. Unfunded Mandates Reform Act of 1995 Register (84 FR 60150), proposing to other improvements, make it easier for G. Executive Order 13175 (Indian Tribal amend 20 CFR parts 617 (Trade workers to qualify for job search and Governments) Adjustment Assistance for Workers relocation allowances, increase those I. Acronyms and Abbreviations under the Trade Act of 1974) and 618 allowances in line with the statute, (Trade Adjustment Assistance under the expand training to include more AAIW(s) adversely affected incumbent Trade Act of 1974, as Amended) to flexibility for apprenticeships, ensure worker(s) expand protection and support for U.S. workers have access to individualized AAW(s) adversely affected worker(s) ATAA Alternative Trade Adjustment workers adversely impacted by foreign assessments, make it easier for groups of trade. workers to apply for benefits, and offer Assistance EB Extended Benefits The Department is streamlining and assistance to additional categories of ECI Employment Cost Indices consolidating three separate parts of the workers, including by helping workers ETP(s) eligible training provider(s) CFR that contain TAA Program in jobs threatened by foreign trade to FEIN(s) Federal Employment Identification regulations (20 CFR parts 617 and 618, receive training and support to Number(s) 29 CFR part 90) into a single part (20 FTR Federal Travel Regulation transition to new employment. CFR part 618) with nine subparts. In DATES: This final rule is effective HCTC Health Coverage Tax Credit IC(s) information collection(s) addition, the revisions will codify into September 21, 2020. ICR(s) information collection request(s) regulation elements of the most recent FOR FURTHER INFORMATION CONTACT: IEP(s) individual employment plan(s) TAA Program amendments, the Trade Norris Tyler, Administrator, Office of ITA(s) Individual Training Account(s) Adjustment Assistance Reauthorization Trade Adjustment Assistance, U.S. ITC International Trade Commission Act of 2015 (Pub. L. 114–27, title IV) Department of Labor, Employment and JSP job search program (TAARA 2015). This final rule also Training Administration, 200 JTPA Job Training Partnership Act incorporates operating instructions Constitution Avenue NW, Room N– local area(s) local workforce development area(s) issued via administrative guidance into 5428, Washington, DC 20210, LWDB(s) local workforce development the TAA Program regulations, with Telephone: 202–693–3560 (voice) (this board(s) some refinements. Further, the revisions is not a toll-free number), 1–888–365– MIS management information system align the TAA Program regulations with 6822, or 1–877–889–5627 NAA National Apprenticeship Act the Workforce Innovation and (Telecommunications Device for the OES Occupational Employment Statistics Opportunity Act (WIOA) (Pub. L. 113– Deaf). OJT on-the-job training 128), the 2014 comprehensive OTAA Office of Trade Adjustment SUPPLEMENTARY INFORMATION: Assistance legislation that reauthorized the public workforce system. Preamble Table of Contents PIRL Participant Individual Record Layout RTAA Reemployment Trade Adjustment This final rule increases efficiency I. Acronyms and Abbreviations Assistance and flexibility for States and trade- II. Background SNAP Supplemental Nutrition Assistance affected workers. Because subpart B A. Introduction to the Trade Adjustment Program (Petitions, Investigations, and Assistance Program TAA Trade Adjustment Assistance Determinations) of this final rule B. Statutory and Regulatory History of the TAA Program collective reference to the expressly permits workers employed by Trade Adjustment Assistance Program following three programs: TAA for Workers a leasing or staffing agency (termed C. Need for This Regulation program, ATAA, and RTAA D. Public Comments Received on the TAAEA Trade Adjustment Assistance ‘‘staffed workers’’) to be members of a Notice of Proposed Rulemaking Extension Act of 2011 worker group, even if they are not III. Section-by-Section Analysis of This Final TAARA 2002 Trade Adjustment Assistance mentioned specifically within the Rule Reform Act of 2002 determination document, the
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Department anticipates a substantial (Allocation of Funds to States for referred to as the TAA Program, assist reduction in the number of requests to Training and Other Activities) replaces U.S. workers who have lost or may lose amend certifications. The Department the term ‘‘training’’ with ‘‘Training and their jobs as a result of foreign trade (i.e., also is increasing flexibility in subpart Other Activities’’ (TaOA) to reflect the trade-affected workers). The TAA D (Job Search and Relocation additional benefits and services covered Program provides AAWs and adversely Allowances) by making it easier for by such funding. affected incumbent workers (AAIWs) adversely affected workers (AAWs) to This final rule provides a with opportunities to obtain skills, qualify for a job search allowance and consolidated, authoritative set of rules credentials, resources, and support to ensuring that workers who qualify for to guide Federal and State officials in help them become reemployed. TAA relocation allowances are finding implementing the Trade Act of 1974 Program benefits and services under the comparable or better paying jobs. (Pub. L. 93–618), as amended (the Act). TAARA 2015 amendments include Subpart F (Training Services) clarifies This streamlining will also clarify the employment and case management that work-based training includes Department’s interpretation of law for services; training; out-of-area job search apprenticeships for all or part of a trade- courts. and relocation allowances; income affected worker’s training program. It Subpart B (Petitions, Investigations, support through TRA; the RTAA wage also establishes a regulatory framework and Determinations) will produce cost supplement benefit for AAWs aged 50 to provide assistance to workers who are savings by eliminating the two-step or older who find qualifying currently employed but threatened with process for reconsiderations, which will reemployment; and, if available, job loss resulting from foreign trade, reduce the processing time involved for eligibility for assistance with health care thereby enabling such workers to retrain all reconsiderations, and by clarifying premium costs under the Health and seek new employment before job ‘‘final determinations’’ for judicial Coverage Tax Credit (HCTC),2 which is separation occurs. In subpart H appeals, which will reduce the number administered by the Internal Revenue (Administration by Applicable State of those appeals. Subpart H Service (IRS). Agencies), the Department is extending (Administration by Applicable State There are two steps for trade-affected flexibility by removing the requirement Agencies) will also produce cost savings workers to obtain program benefits and that only State merit staff can provide by revising the merit staff requirements services. First, a group of workers must employment and case management to allow States to charge time for non- file a petition, or have a petition filed services using TAA Program funding, merit staff to TAA Program funds for the on its behalf, to determine worker-group granting States more flexibility with provision of employment and case eligibility. Upon receiving a petition, program operations and creating better management services. This final rule is the Department initiates an alignment with WIOA. considered to be an Executive Order investigation to determine whether the This final rule seeks to improve (E.O.) 13771 deregulatory action. Details circumstances of the layoff meet the service delivery, and thereby serve on the estimated cost savings of this group-eligibility criteria established by trade-affected workers more effectively, final rule can be found in the rule’s section 222 of the Act. Second, if the by including service-delivery economic analysis. Department finds the group eligible and requirements that align with data-tested The purpose of this final rule is to certifies the petition, trade-affected methods. Subpart A (General) better ensure that the TAA Program workers in the worker group may defines certain investigations-based regulations are modernized to reflect the individually apply to their State for terms to add consistency at both the program’s current operation and make TAA Program benefits and services. State and Federal level and improve needed improvements. The revisions Under agreements between the program operations, including reducing also will provide clarity by eliminating Secretary of Labor (Secretary) and each burden and workload for TAA Program confusing and overly technical language Governor, the States determine investigative reconsiderations and and update the TAA Program individual eligibility based on the appeals related to these terms. In regulations by encouraging the use of statutory criteria and provide the TAA addition, the Department is helping paperless electronic mechanisms over Program benefits and services to trade- provide positive outcomes for each paper-based methods. affected workers with Federal funds trade-affected worker by including new An ever-changing global marketplace allocated by the Department for that data-driven requirements for drives the 21st-century economy. For purpose. The TAA Program is a required assessments and individual America to compete in the global one-stop partner under WIOA. One-stop employment plans (IEPs) in subpart C economy, its workers need to have the centers—branded as American Job (Employment and Case Management skills and support to take advantage of Centers under WIOA—deliver Services). new opportunities. The TAA Program workforce development services to job In subpart E, this final rule bolsters America’s competitiveness by seekers and businesses nationwide. implements statutory provisions for helping American workers retrain and Since 1975, the TAA Program has Reemployment Trade Adjustment reenter the workforce. served over 2 million trade-affected U.S. Assistance (RTAA) and incorporates workers. In Fiscal Year (FY) 2018, an administrative guidance previously B. Statutory and Regulatory History of estimated 76,920 workers became issued by the Department, since no the Trade Adjustment Assistance eligible for TAA Program benefits and regulations covering the RTAA program Program services. Nearly 77 percent of trade- existed. Subpart G implements several The Act (codified at 19 U.S.C. 2271 et affected workers obtained employment statutory changes to Trade Readjustment seq.), title II, chapter 2, established the within 6 months of completing the TAA Allowances (TRA), including TAA for Workers program and the Program. establishing deadlines to enroll in RTAA program, as well as the Trade-affected workers come from a training, reducing the types of available predecessor to RTAA, the Alternative variety of backgrounds and industries, waivers, allowing an election between Trade Adjustment Assistance (ATAA) so they enter the program with a wide Unemployment Insurance (UI) and TRA, program.1 These programs, collectively array of skills and experience. Most and allowing AAWs to earn up to their weekly benefit amount (WBA) without 1 ATAA is largely unaddressed in the final rule 2 The HCTC was due to expire on January 1, 2020, penalty. In addition, subpart I because it was replaced by RTAA. but has recently been extended to January 1, 2021.
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trade-affected workers who enter the 111–5), reauthorized and substantially most recent amendments (TAARA program, however, face similar amended the TAA Program. It expanded 2015), including significant elements of challenges in obtaining reemployment. the program’s benefits and the types of TAA Program administrative guidance. Trade-affected workers have no trade-affected workers the Department This final rule was drafted to reflect postsecondary degree typically, a could certify. Section 1893 of TGAAA how the TAA Program is currently median age of 52, and have a median provided that most of the TGAAA operating and includes some tenure of 8.3 years of experience in amendments would expire on December adjustments that will improve the adversely affected employment.3 The 31, 2010. Congress later extended that program. Once this final rule is TAA Program is designed to serve the expiration date by 6 weeks (Pub. L. 111– effective, the Department will rescind needs of this unique population. 344). redundant administrative guidance, as Congress has reauthorized and The Department revised the TAA appropriate. amended chapter 2, and thus the TAA Program regulations in 2010, by adding This final rule will help States and Program, multiple times. The TAA a new 20 CFR part 618 (75 FR 16988, the public better understand the proper Program was changed extensively by Apr. 2, 2010). The revisions addressed operation of the TAA Program. It will amendments in 1981 (Pub. L. 97–35, the allocation of TAA Program training promote transparency by setting out, in title XXV), 1984 (Pub. L. 98–369, funds to the States. The revisions also binding regulation, the major principles sections 2671, 2672, 2673), 1986 (Pub. required, for the first time by regulation, by which the TAA Program operates, L. 99–272, title XIII, subtitle A, part 1), that State administration of the TAA and it also will provide the public and 1988 (Pub. L. 100–418, title I, subtitle D, Program be performed by merit staff. courts with the Department’s part 3), and 1993 (Pub. L. 103–182, The Trade Adjustment Assistance authoritative interpretation of the Act. section 501 through 507). In 1987, the Extension Act of 2011 (TAAEA), In addition, this final rule includes Department issued a final rule enacted in 2011, provided a balance clarifications that draw upon the significantly revising the certification between the expanded certification Department’s expertise gained from process in 29 CFR part 90 (52 FR 23403, criteria and benefits and services decades of experience operating the June 19, 1987). In 1994, the Department provided under TGAAA, and the more TAA Program. For example, the issued a final rule significantly revising limited provisions in TAARA 2002. Department’s litigation experience has the TAA Program regulations in 20 CFR TAARA 2015 reauthorized the TAA provided insight into parts of the TAA part 617 to implement the 1988 Program through June 30, 2021. It Program regulations that have needed amendments (59 FR 906, Jan. 6, 1994). primarily followed TAAEA, the 2011 clarification to ensure more effective, In 2002, Congress reauthorized and law, with two exceptions. The efficient, and consistent operations of amended the TAA Program in the Trade amendments included capping funding the TAA Program throughout the United Adjustment Assistance Reform Act of for TaOA at $450 million per fiscal year States. In addition, since 2009, the 2002 (TAARA 2002) (Pub. L. 107–210). and establishing new performance Department has had the benefit of real- TAARA 2002 expanded the scope of the indicators to align with WIOA. TAARA time data on trade-affected workers TAA Program, increased its benefit 2015 reauthorized the RTAA and HCTC participating in the TAA Program, the amounts, repealed the North American benefit programs. TAARA 2015 analysis of which has driven Free Trade Agreement Transitional continued to grandfather earlier improvements to the provisions in this Adjustment Assistance (or NAFTA– versions of the TAA Program for trade- final rule. TAA) program, established the HCTC to affected workers who had been certified This final rule also includes changes subsidize private health-insurance costs under TAARA 2002, TGAAA, and that align the TAA Program regulations for qualified workers, and created the TAAEA. That is, a trade-affected worker with WIOA. For example, WIOA further ATAA program as a demonstration who was a member of a worker group integrated the TAA Program with the program. covered by a certification that was public workforce and education systems The Department published two issued under TAARA 2002, TGAAA, or by affirming the TAA Program as a NPRMs in 2006, to implement the TAAEA continued to receive benefits required partner in the one-stop TAARA 2002 amendments (71 FR and services available under the delivery system. This final rule aligns 50760, Aug. 25, 2006 and 71 FR 61618, respective program eligibility criteria with and references the WIOA Oct. 18, 2006). However, Congress in applicable to those earlier amendments. regulations where appropriate. This 2007 (Pub. L. 110–5), 2008 (Pub. L. 110– final rule also removes outdated 161), and 2009 (Pub. L. 111–8) C. Need for This Regulation references to the Job Training prohibited the Department from further The TAA Program regulations were Partnership Act (JTPA) and the action until Congress reauthorized the last updated in 1994, with only minor Workforce Investment Act of 1998 TAA Program. The next reauthorization, changes made in 2006,4 2007,5 and (WIA). the Trade and Globalization Adjustment 2010.6 Since that time, multiple TAA D. General Comments Received on the Assistance Act of 2009 (TGAAA) (Pub. Program legislative amendments have Notice of Proposed Rulemaking L. 111–5, div. B, title I, subtitle I), made required various changes to the On November 7, 2019, the Department such substantial amendments to the program, which the Department has published an NPRM in the Federal TAA Program that it rendered the 2006 addressed through administrative Register (84 FR 60150), proposing to NPRMs obsolete. The Department guidance. This final rule codifies in amend 20 CFR parts 617 (Trade withdrew the NPRMs in 2009 (74 FR regulation program operations under the 27262, June 9, 2009). Adjustment Assistance for Workers TGAAA, part of the American 4 71 FR 35511 (June 21, 2006) (making technical under the Trade Act of 1974) and 618 Recovery and Reinvestment Act (Pub. L. amendments to update obsolete, nonsubstantive, or (Trade Adjustment Assistance under the nomenclature references). Trade Act of 1974, as Amended) and 29 3 U.S. Department of Labor, Employment and 5 72 FR 37097 (July 9, 2007) (making minor CFR part 90 to expand protection and Training Administration. (2019). ‘‘Trade changes to 29 CFR part 90). support for U.S. workers adversely Adjustment Assistance for Workers Program: Fiscal 6 75 FR 16988 (Apr. 2, 2010) (adding 20 CFR part Year 2018.’’ Retrieved from: https:// 618 to include only subparts H and I relating to impacted by foreign trade. The NPRM www.doleta.gov/tradeact/docs/ merit staffing of State administration and allocation invited written comments from the AnnualReport18.pdf. of TAA Program training funds to States). public concerning this proposed
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rulemaking through December 9, 2019. guidance, unrelated to the proposal, on results in stable, family-sustaining This 30-day comment period was later very specific programmatic scenarios employment. The commenter, however, extended by 2 days (84 FR 67681), related to their current workforce suggested additional changes to increase through December 11, 2019, because of programs. One commenter expressed the program’s effectiveness: Extending a regulations.gov website outage that general concern that the proposed rule eligibility to workers affected by occurred on December 9, 2019. No could disproportionately reduce automation and other large-scale commenters requested an extension of benefits and services for rural AAWs. In economic disruptions, allowing workers the comment period or otherwise contrast, another commenter said the to use TRA for services other than expressed concern about the public’s proposed rule would help rural training, and making extra support ability to participate in the rulemaking communities and areas with ‘‘a strong available to communities hit hardest by process. The comments received on the presence of the blue-collar work force.’’ foreign trade impacts. The Department NPRM may be viewed at https:// None of these commenters provided appreciates this feedback, but these www.regulations.gov by entering docket specific, substantive comments on any suggestions are beyond the scope of its number ETA–2019–0009. particular part of the proposed rule or statutory authority and are not The Department received comment proposed regulatory text; therefore, addressed in this final rule. submissions from 54 commenters, of these comments are not addressed in the While one commenter agreed with the which 45 submissions were unique and Section-by-Section Analysis below. overall argument for why a rulemaking One State workforce agency 9 were duplicates or not related to the is needed (e.g., to modernize the commented that the TAA Program subject of this rule. The commenters program regulations), it requested needs updates to keep serving trade- represented a range of stakeholders from clarification about the intended effect of affected workers most effectively. the public and nonprofit sectors. Public consolidating the regulations: Whether Another State workforce agency sector commenters included State and it will result in a ‘‘universal’’ program commenter supported efforts to local government agencies, local under which all trade-affected workers incorporate existing law, administrative workforce development boards may access the same benefits regardless guidance, and practice into a single set (LWDBs), and one-stop operators. of the statutory basis for their Nonprofit sector commenters included of regulations, saying the changes would certification, or whether the final rule public policy organizations, advocacy improve program operations and reduce will provide different requirements and groups, national and local labor unions, the burden of referencing numerous benefits according to the individual and a trade association. Of the unique amendments and issuances of statutory basis of eligibility. The comments, nearly one third came from administrative guidance. The commenter said it preferred the State government workforce agencies. Department has, wherever possible, ‘‘universal’’ approach because it would The Department also received several incorporated administrative guidance provide a consistent level of support to comments from private citizens. into this rule. These comments are addressed in The Department received one all workers and help avoid Section III (Section-by-Section Analysis) comment of general opposition to the ‘‘misunderstandings.’’ While the of this final rule. About half of the timing of the proposed rule in relation Department appreciates the unique comments supported parts of the to the upcoming Presidential election commenter’s interest in the provision of proposal but opposed others, while a and the status of the economy. The a consistent level of support, the smaller number conditioned their commenter provided insufficient Department does not have the authority support for the proposal on the information on why it recommended to apply this final rule to all trade- Department adopting certain changes in delaying until after the election, so the affected workers without regard to the this final rule. Department is unable to address any version of the Act under which the The NPRM notified the public that an specific concerns. worker group was certified. additional docket (ETA–2019–0010) for Comments on the Department’s Integrated Service Strategies To Align comments related to the information WIOA and TAA Programs collection (IC) discussed in Section V.D Approach to Rulemaking of the NPRM preamble (Paperwork A commenter from an LWDB strongly A worker advocacy group strongly Reduction Act) would remain open agreed with the Department’s rationale supported efforts to codify into the until January 6, 2020. The Department concerning the need for a rulemaking, program regulations improved did not receive comments related to this including that the proposed rule would alignment with WIOA, such as through IC in this docket. For further increase stakeholder and public the replacement of core indicators of information on the IC, please see the understanding of how the TAA Program performance based on TAAEA with Paperwork Reduction Act (PRA) section works, would streamline State primary indicators of performance based of this final rule (Section IV.D). administration of the program, would on WIOA, and the addition of more strengthen transparency through robust reporting and data collection General Comments on the Proposed codification of current practice, and requirements. Citing WIOA’s approach Rule would provide courts with the to promoting industry or sector One commenter agreed with the Department’s definitive interpretation of partnerships among stakeholders at the anticipated improvements and benefits the TAA Program’s authorizing statutes. State and local workforce development of the proposed rule that the Citing its own research about the need area (local area) levels, the group also Department set forth in the NPRM. One for TAA Program reform, a nonprofit encouraged the Department to commenter stated that several of the public policy organization said that the emphasize the importance of aligning proposed changes would positively proposed rule covers several issues training and other services to industry strengthen local control of program raised in that research, namely the need needs. Further, the commenter said that development. Another commenter to increase the proportion of dislocated bringing this focus to the TAA Program agreed that the proposal would help workers covered; the need to strengthen would help ensure that public workers but expressed curiosity about the TAA Program across the board investments both lift up affected how the rule would affect the economy (rather than focus on training only); and workers and respond to industry if adopted. Several commenters sought the need to ensure the training offered demands.
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The Department aligned this final rule III. Section-by-Section Analysis of This minor changes made in 2006,7 2007,8 with WIOA requirements and has long Final Rule and 2010.9 Since that time, multiple promoted integrated service delivery for TAA Program reauthorizations and the TAA Program within the nation’s If a section of the NPRM is not amendments have required various public workforce system. These efforts addressed in the section-by-section changes to the TAA Program, which the began as early as the passage of the 1988 analysis below, there were no public Department has addressed through amendments to the TAA Program and comments received and, unless administrative guidance. Upon review, the subsequent passage of the Economic otherwise noted, the Department has the Department concludes that some Dislocation and Worker Adjustment adopted the section as proposed. The administrative guidance must remain Assistance Program. Integrated service Department has made some active in order to serve continuing or delivery became a requirement, nonsubstantive changes to the new workers enrolling under the enforced via the Governor-Secretary regulatory text to correct grammatical TAARA 2002 and TGAAA versions of Agreement, following the passage of the and typographical errors, or to improve the TAA Program. The Department will WIA. The Department has provided readability. rescind administrative guidance that is significant administrative guidance and A. Subpart A—General either obsolete or superseded. dedicated substantial technical In short, this rule will apply except assistance resources to assist States and Subpart A sets forth the purpose and where it does not apply to older local areas in developing integrated scope of the TAA Program and defines versions of the TAA Program because of service models focused on reducing relevant terms used throughout the rule. a statutory conflict. Specifically, certain barriers to participation and eliminating Subpart A as proposed in the NPRM sections will not apply to members of duplication of effort. After more than 20 modified and simplified several worker groups certified under petition years of promoting an integrated service definitions for greater clarity, eliminated numbers TA–W–80,999 and below. delivery model and encouraging co- definitions in response to statutory Members of worker groups certified enrollment in WIOA (WIA, JTPA, etc.), changes to the Act, and added under petition series TA–W–43,000 the Department, based on detailed definitions of new terms based on through TA–W–69,999 and some under analysis of participant outcomes, is now statutory changes. The definitions used the petition series TA–W–80,000 mandating co-enrollment between the in this final rule are intended to reflect through TA–W–80,999 are served by TAA Program and the WIOA dislocated the modernized TAA Program, which TAARA 2002,10 and where this final worker program. Additionally, as the has evolved since TAARA 2002, and rule does not apply to a since-amended commenter recommended, the ensure maximum alignment with version of the statute governing the Department has aligned this final rule WIOA. Where the Department received relevant version of the program, with the WIOA regulations wherever comments on specific paragraphs within administrative guidance will continue possible, unless a particular statutory a section, details of those paragraphs as to apply for current members of worker limitation required otherwise or data proposed in the NPRM are included to groups and any new members of worker analysis supported an alternative provide context for the discussion of groups determined eligible for training approach. comments that follows. services as well as job search and One commenter supported the Section 618.100 Purpose and Scope relocation allowances under that Department’s acknowledgment that version of the program. The same WIOA and TAA Program alignment is Section 618.100 of the final rule sets applies for members of worker groups important for workers, businesses, and forth the purpose and scope of the certified under petition series TA–W– communities, but it expressed concerns regulations governing the TAA program 70,000 through TA–W–79,999 served by about the level of Federal funding and in one location. Prior to this final rule, TGAAA. Members of worker groups infrastructure limitations in the public this provision existed at 20 CFR 617.1 certified under petition series TA–W– workforce system. The commenter and 617.2. The NPRM proposed setting 81,000 through TA–W–84,999, and provided data supporting stated forth these provisions in one section, some certified under petition series TA– concerns about the levels of Federal addressing the purpose in paragraph (a) W–80,000 through TA–W–80,999, are funding of the public workforce system. and the scope in paragraph (b). The served by TAAEA and this final rule The Department recognizes these NPRM also proposed revising them by will apply in full. Members of worker concerns, but appropriated funding broadening the purpose to reflect that groups certified under petition series levels are beyond the scope of this the TAA Program’s purpose is more TA–W–90,000 and above, and some rulemaking. than just returning trade-affected certified under petition series TA–W– This commenter also made several workers to suitable employment and by 85,000 through TA–W–89,999, are recommendations to facilitate better expanding the scope beyond what was served by TAARA 2015, and this final alignment of the programs without reflected in 20 CFR 617.2 in light of the rule will apply in full. The Department overburdening workers or program fact that part 618 of the final rule has added a clarification to § 618.100(b) administrators, including clarifying the combines what had been parts 617 and of the final rule to explain the meaning of WIOA-related terms, such as 618 of title 20 and part 90 of title 29. limitations of this part 618 and will ‘‘customized training,’’ ‘‘on-the-job With regard to the scope of this rule training’’ (OJT), and ‘‘individual at paragraph (b), two commenters asked 7 71 FR 35511 (June 21, 2006) (making technical employment plan,’’ and their whether eligible trade-affected workers amendments to update obsolete, nonsubstantive, or who are members of a worker group nomenclature references). application to the TAA Program. To the 8 certified under previous amendments 72 FR 37097 (July 9, 2007) (making minor extent possible and consistent with changes to 29 CFR part 90). statutory differences, the Department (versions) of the Act would be provided 9 75 FR 16988 (Apr. 2, 2010) (adding 20 CFR part has aligned these definitions in the final the benefits and services described in 618 to include only subparts H and I relating to rule. For further discussion regarding the proposed rule or whether merit staffing of State administration and allocation administrative guidance would still of TAA Program training funds to States). how these various terms have been 10 apply. The TAA Program regulations States serving workers certified under petition defined, please refer to the preamble series TA–W–42,999 and below should contact discussion for § 618.110 below. were last updated in 1994, with only their regional office for guidance.
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provide technical assistance on this Department concurs with the Group of Workers topic. commenters and has added to subpart A The NPRM added ‘‘group of workers’’ One commenter generally supported the original term and its definition into and defined it for the first time in facilitating State TAA Program this final rule from 20 CFR 617.3(p), regulations. This term relates to the administration. Another commenter changing only the phrase ‘‘an workers who file a petition or for whom wrote that it is difficult to administer individual’’ to ‘‘a worker.’’ a petition is filed. The NPRM defined it separate TAA programs based on the Family to mean at least two workers employed many previous amendments. The or formerly employed by the same firm, Department explored whether it was The NPRM modified the definition of or an appropriate subdivision. The possible to unite all previous versions of this term from 20 CFR 617.3(q), which proposed definition included the TAA Program under a single rule to was based on the Internal Revenue Code teleworkers and staffed workers because reduce the administrative burden on the definition. The definition used in the they are frequently performing the same States. Unfortunately, this is not NPRM was the definition of ‘‘immediate work as other trade-affected workers in possible through regulation and the family’’ used in the Federal Travel the subject firm and are under the final rule adopts the regulatory text as Regulation (FTR) at 41 CFR 300–3.1. subject firm’s operational control. proposed. Numerous commenters recommended Separated workers were included in the Section 618.110 Definitions the Department use the WIOA definition definition because they, too, may be Section 618.110 sets forth definitions of ‘‘family’’ from 20 CFR 675.300, rather trade-affected workers. used throughout the TAA regulations, than the proposed definition. The Two commenters supported consolidating definitions from several commenters asserted that this approach redefining ‘‘group of workers’’ as places in the old regulations and would increase flexibility and better meaning two or more (not three or more) guidance, as well as adding some new align the TAA Program with WIOA. The workers. One commenter was concerned defined terms. If the Department did not Department proposed the FTR that the change would result in a higher receive public comments on a definition definition of ‘‘family’’ because the term volume of petitions filed and certified. or inclusion of a specific term, the term is used only in subpart D, which The Act does not define ‘‘group of is not listed below and the definition governs Job Search and Relocation workers’’ and does not otherwise was adopted as proposed, unless stated Allowances. The definition of ‘‘family’’ indicate how many workers must be in otherwise. used under other programs, such as a group. According to a plain and Some necessary technical changes WIOA, is inconsistent with subpart D ordinary meaning of the term ‘‘group,’’ were made to several definitions; and the requirements of the FTR and is, the word means more than one. Thus, specifically, the plural pronoun ‘‘their’’ therefore, not used in this final rule. The the Department has reduced the number was changed to a singular ‘‘his or her’’ Department adopts the term and of workers required to two, allowing for in the definitions of ‘‘Administrator,’’ definition as proposed. However, a the broadest interpretation of ‘‘group.’’ ‘‘eligible TAA recipient,’’ and technical correction was made to The Department acknowledges that this ‘‘individual employment plan.’’ A remove an erroneous letter ‘‘s’’ before change may result in a higher volume of similar pronoun change was made in the apostrophe. The rest of the petitions; nevertheless, it concludes that the definition of ‘‘qualifying definition of the term is adopted as this definition is consistent with the separation,’’ being replaced with the proposed. statutory framework. The Department acronym ‘‘AAW’s.’’ adopts this term and definition into the Full-Time Training final rule as proposed. Agent State The NPRM added ‘‘full-time training’’ Individual Employment Plan or IEP The Department clarifies that there is and defined it for the first time. The only an agent State, other than the liable The NPRM added ‘‘individual definition was derived from 20 CFR employment plan or IEP’’ and defined it State, if the AAW has accessed services 617.22(f)(4) and defined full-time outside of the worker’s liable State. for the first time. The IEP is a dynamic training as attendance in training in document that may be changed based on Until such time as the worker seeks accordance with the training provider’s services in another State, the liable State comprehensive and specialized established full-time hours in a day (or assessments, training program is both the liable and agent State. If the credit hours) and days in a week. The worker is simply seeking to travel to modifications, or other factors that Department also added an emerge during program participation. another State under a job search interpretation, originally published in allowance, or is relocating to another A commenter recommended a small TAAEA administrative guidance, that edit to the definition of ‘‘individual State, that is not considered to be provided that in the last semester of seeking services in that State. The employment plan’’ (replacing the word training, if the remaining required ‘‘State’’ with the phrase ‘‘career Department has added this clarification courses to complete the approved to the definition. planner’’) for better alignment with both training will not meet the training 20 CFR 680.170 of the WIOA regulations Exhaustion of UI provider’s normal definition of full-time (definition of IEP) and the proposed The NPRM removed this defined term training, the State must consider the changes to permit staffing flexibility in from 20 CFR 617.3(p) and included it in AAW to be in full-time training, and the TAA Program regulations. proposed subpart G rather than in otherwise eligible to apply for TRA Throughout the rule, the Department proposed subpart A. benefits. uses the term ‘‘State’’ because the Several commenters raised concerns A commenter agreed with the obligation for providing these services with the elimination of the term proposed definition of ‘‘full-time under the Governor-Secretary ‘‘exhaustion of UI.’’ The Department training,’’ saying it would help States Agreement is on the State. Some noted in the proposal that it intended to assess TRA eligibility for students who commenters were concerned that this remove this term and address this via are in their last semester of training. The was not the appropriate term to use, the language contained in proposed Department has adopted this term and considering that the additional § 618.720(e). Upon further review, the definition as proposed. flexibility provided in the area of merit
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staff requirements will result in many of clarification about whether there are coursework or prerequisite training and the services under the TAA Program specific instances in which a State must defined them for the first time. They being delivered by local area WIOA staff consider the length of the layoff to refer to approvable training under that are not State employees. determine a worker’s eligibility for some section 236(a)(5)(E) of the Act. The TAA Program is operated under TAA Program benefits. A commenter expressed concern that an agreement between the Secretary and The NPRM proposed removing the the proposed definition of the terms the Governor of each State. Although language regarding 7 consecutive days. prerequisite education or prerequisite some services may be performed or The language removal affirmed that, coursework or prerequisite training was administered by non-State staff, it is the consistent with the commenter’s overbroad and could result in all but a State, via the cooperating State agency, example, an AAW can be laid off from student’s last courses being treated as that is ultimately responsible to ensure trade-affected employment for 1 day and prerequisite. The commenter that those services are provided, so begin employment for the same recommended that the Department ‘‘State’’ will be retained throughout the employer at another facility that is not adopt an alternative definition, based on final rule as the appropriate term. the same subdivision or firm of the language regarding classroom training currently found in 20 CFR 617.21(g): Lack of Work certified worker group. Also, if all other eligibility requirements are met, the ‘‘any coursework or training required by The NPRM added ‘‘lack of work’’ and worker may qualify for a relocation a training provider before entering an defined it for the first time. The allowance. The Department has occupational training program designed proposed definition was based on determined that, generally, States may to impart the skills and information administrative guidance related to consider the length of a layoff to help required to perform a specific job or ‘‘strikes’’ and ‘‘lockouts’’ and their effect determine if a qualifying separation is group of jobs.’’ Another commenter on eligibility for TAA Program benefits either a first separation or the most requested clarification about the and services since 1987. Specifically, a recent separation. The Department proposed definition, stating that it ‘‘lack of work’’ separation occurs when adopts this term and definition into the appeared inconsistent with the employer initiates the unavailability final rule as proposed. administrative guidance. of work—the employer either does not The Department concurs with these have work for the worker to perform or Liable State comments. Though the Department does not make that work available to the The Department clarifies that a liable intended to codify the administrative worker. State is the State whose State UI law is guidance, the Department’s definition One commenter agreed with the the applicable law for the claim. Until failed to recognize that, throughout a definition of ‘‘lack of work’’ to include such time as the worker seeks services training program, every course that workers involuntarily barred from work in another State, the liable State is both precedes another one can be considered because of an employer-imposed the liable and agent State. The a prerequisite. The final rule revises the lockout and maintained that this would Department has added this clarification proposed definition of these terms and reach workers who may not be covered to the definition by indicating that a defines prerequisite education as those by State UI laws. The Department State can be both the liable and agent courses or training required by a adopts this term and definition into the State. training provider before entering an final rule as proposed. occupational training program designed On-the-Job Training or OJT Layoff to impart the skills and information The NPRM modified the definition of required to perform a specific job or The NPRM modified the definition of ‘‘on-the-job training or OJT’’ from group of jobs, consistent with this term, by adding the words ‘‘of time’’ section 247(15) of the Act and 20 CFR administrative guidance. to the 20 CFR 617.3(z) phrase ‘‘expected 617.3(bb). It added that such training is to be for a definite or indefinite period.’’ work-based and performed under Program of Remedial Education or In addition, the language at 20 CFR contract with an employer. Remedial Education or Remedial 617.3(z) and 29 CFR 90.2 that required A commenter suggested aligning the Training that the layoff be expected to last for definition of ‘‘on-the-job training’’ more The NPRM added ‘‘program of ‘‘not less than seven consecutive days’’ closely with the WIOA definition remedial education or remedial and ‘‘no less than seven (7) consecutive (WIOA section 3(44)) to clarify when education or remedial training’’ and calendar days,’’ respectively, was not and how such training is provided and defined them for the first time. The included in the proposed definition, to describe a limit on the duration of terms relate to approvable training because that restriction was not such training. While many of the under section 236(a)(5)(D) of the Act supported by the Act. requirements align, there are statutory and are used to refer to education One commenter requested differences between the Act and WIOA designed to improve trade-affected clarification regarding the Department’s as it relates to OJT, including differing workers’ basic knowledge. decision not to retain from the previous criteria and labor protections. The A commenter asked for clarification definition of ‘‘layoff’’ in 29 CFR 90.2 the Department has aligned this final rule on the Department’s proposed definition requirement that the employer’s wherever operationally and statutorily of the terms program of remedial suspension of a worker from pay status possible with the WIOA Final Rule, but education or remedial education or for lack of work be expected to last ‘‘no the statutory differences prevent remedial training, stating that it seemed less than seven (7) consecutive calendar complete alignment here. The inconsistent with administrative days.’’ The commenter asked, as an Department adopts this term and guidance. The commenter did not example, whether a worker who is ‘‘laid definition into the final rule as provide any specifics regarding its off’’ for 1 day and then starts proposed. concern. employment with the same employer at The definition as provided, when read a different facility would qualify for Prerequisite Education or Prerequisite in concert with the allowable services relocation allowance, or whether that Coursework or Prerequisite Training under the employment and case would be treated as a ‘‘transfer.’’ More The NPRM added the terms management provisions of subpart C broadly, the commenter sought prerequisite education or prerequisite and the training provisions in subpart F,
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is consistent with the previously issued 618.820(h). When a State determines Suitable Employment administrative guidance. The that a firm is a successor-in-interest to The NPRM modified the definition of Department adopts this term and the the firm named in an active ‘‘suitable employment’’ from 20 CFR definition into the final rule as certification, the State benefits by being 617.22(a)(1)(i) and section 236(e) of the proposed. able to serve those workers without the Act. The Department proposed that Successor-in-Interest delay of having to file a petition to suitable employment exclude part-time, amend the certification. The NPRM added ‘‘successor-in- temporary, or threatened employment. A State workforce agency commented interest’’ and defined it for the first time In regards to RTAA, as stated in to provide clarity to States when there § 618.505(b), if the State determines that that the proposed definition of ‘‘suitable are mergers and acquisitions, name the AAW returned to employment with employment’’ excluded ‘‘temporary changes, bankruptcy proceedings, and a successor-in-interest to the firm from employment’’ and asked the Department other actions that may change the name which the worker was separated, then to clarify that temporary employment of the firm under which a trade-affected the worker is not eligible for RTAA. means work lasting 6 months or less. worker’s wages are reported to the State This requirement is a protection against Two additional commenters requested or by whom a termination notice or firms purposefully separating workers clarification about the intended threatened status letter is issued. Under and then rehiring them under a meaning of ‘‘threatened employment,’’ another category of work that would not the proposed definition, in determining successor-in-interest at lower wages, count as ‘‘suitable employment.’’ whether or not there is a successor-in- and shifting those costs to the taxpayer Specifically, one of the commenters interest, the State must determine via the RTAA benefit. Applying the whether most or all of the following stated that it would support its certification to the successor-in-interest interpretation as being ‘‘unlikely to lead conditions are met: There is continuity reflects that the firm may continue to be in business operations; there is to a long-term employment affected by a trade impact. If the State opportunity,’’ because of its concern continuity in location; there is determines that the reemployment is continuity in the workforce; there is that work meeting that definition, even with a successor-in-interest, the State if not explicitly temporary, would be continuity in supervisory personnel; the also must seek to identify any additional same jobs exist under similar susceptible to future elimination. The members of the worker group and notify conditions; there is continuity in commenter maintained that this could them of their potential eligibility under machinery, equipment, and process; trap workers in a ‘‘cycle’’ of needing the TAA Program, as provided in there is continuity in product/service. continuous TAA Program benefits or A State workforce agency commented § 618.816(e). result in their losing eligibility for that the Department’s clarification in the The Department recognizes this may retraining (and, therefore, having to proposed rule of which actions establish be a shift in how some States have assume training costs themselves), and a ‘‘successor-in-interest’’ relationship administered the TAA Program. should not be considered ‘‘suitable will help States by reducing their need Specifically, TRA staff will need to employment.’’ to file petitions seeking to amend a work closely with TAA staff and can no The Department shares these concerns certification. A different commenter longer rely on employing firms’ names and agrees they should be considered. requested further clarity as to how to being listed in the certification. This For this reason, the proposed definition determine whether a successor-in- reliance on the certification as the sole of ‘‘suitable employment’’ in § 618.110 interest exists. Another commenter source for employer information creates included language that part-time, requested clarification about the delays in serving trade-affected workers. temporary, short-term, or threatened inclusion of wages paid to a worker by The Department regularly receives employment is not suitable a successor-in-interest for purposes of petitions requesting to amend a employment. A State workforce agency proposed subpart G. Specifically, the certification solely to add the name of recommended ‘‘streamlining’’ the commenter stated that States are not a successor-in-interest whose workers definition of ‘‘suitable employment,’’ able to determine whether a successor- have already been identified to the State in-interest is ‘‘a valid entity tied to the saying that the proposed definition in a worker list as part of identifying the trade-affected wage’’ and it asked what would lead to unnecessary frustration worker group. These requests arise documentation a State would need to and confusion among workers. simply because the TRA staff believes reach such a determination. The Department concludes that the Under the TAA Program, the that the firm must be listed in the proposed definition of this term will Department certifies a worker group, not determination in order for the trade- reduce confusion by explicitly a firm. Members of the worker group affected worker to be eligible to apply providing additional guidance to States consist of those employed by the firm for TAA Program benefits and services. and trade-affected workers for when named in the certification, those The delays caused by waiting for a employment is not suitable employment employed by a staffing agency, those subsequent petition investigation to for purposes of the TAA Program. who telework at remote locations, and conclude prior to serving these workers Similarly, another State workforce those employed by a successor-in- creates longer periods of unemployment agency raised the following concerns interest. In many circumstances, not all for workers in need of training or other about the proposed definition of of these categories of trade-affected reemployment services. The Department ‘‘suitable employment’’: (1) The phrase workers will be specifically referenced will provide technical assistance to ‘‘substantially equal or higher skill in the certification, but those workers States for handling successor-in-interest level’’ is unclear and open to will nevertheless be included in the issues, as well as for their identification interpretation and, if maintained in the worker group. States can more easily of and provision of benefits and services final rule, will require administrative use the factors found in the definition for members of certified worker groups. guidance for States to operationalize it at § 618.110 to determine whether a The Department adopts the term and as a criterion uniformly and objectively; successor firm is a successor-in-interest definition into the final rule as (2) it is not sufficiently flexible and and this is further discussed in proposed, except for two nonsubstantive could bar workers at higher incomes §§ 618.225(k), 618.505(b), and spelling corrections. from eligibility for some benefits, such
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as job search and relocation allowances, workers’ employment opportunities. would simply use the wage rate or because of inability to find new work at Offering appropriate training, especially annual salary amount in the posting to a high enough wage; (3) the lack of in a stagnant labor market, may determine whether the wage portion of clarity as to whether and how it should significantly increase a trade-affected the definition of suitable employment be interpreted relative to other defined worker’s prospects of obtaining suitable has been met. Where there are definite terms (i.e., ‘‘average weekly wage’’ and employment. Trade-affected workers benefits, commissions, or bonuses, the ‘‘wages’’) muddles the proper approach must have access to training and State would include those amounts if it to issues like noncash compensation, services that will allow them the best would be included in determining commissions, and bonuses; and (4) the possible outcomes and ability to remuneration under State UI law. Based ‘‘blanket exclusion’’ for part-time work compete for work at the highest skill on oversight and technical assistance does not account for situations in which levels and highest wages achievable, as provided on this issue, the Department the new work is otherwise suitable in quickly as possible. This must be is confident that this reflects what is terms of skills required and wages paid accomplished with prudence, careful being done in most States under the ‘‘(e.g., a production worker ret[r]ains to management of limited TAA Program previous regulations in 20 CFR part 617. be a [Registered Nurse]).’’ funds, and a practical understanding of The phrase ‘‘substantially equal or labor market realities; given the trade- Other Terminology Applicable Across higher skill level’’ is contained in the affected workers’ preexisting skill Part 618 statute. In operational terms, States levels, abilities, and education, and the A few commenters requested that the assess the trade-affected worker’s current and projected needs of Department define the term preexisting skill levels, abilities, and employers. States must ensure they ‘‘teleworker.’’ A State workforce agency education, and compare them with the administer their programs equitably and added that, while § 618.225(j) offers requirements of available employment reasonably. The Department adopts this some guidance as to its meaning, a fuller in the current and projected labor term and definition in the final rule as definition in § 618.110, like the market to determine suitability. The proposed. definition of ‘‘staffed worker’’ found Occupational Information Network there, would be helpful. The Wages (O*NET) provides skill level Department has not included a information for hundreds of The Act does not provide a definition definition of the term in this final rule occupations. To address the example of ‘‘wages,’’ so the Department proposed because there is no singular, agreed- provided by the State, work scheduled to retain the definition of ‘‘wages’’ from upon definition for the term for a Registered Nurse may only be 3 or existing regulations at 20 CFR 617.3(pp). ‘‘teleworker’’ across Federal programs. 4 days a week, but the job is unlikely One commenter was concerned with In general, teleworkers are workers who to be considered part-time under State the ability of staff to calculate noncash are members of a worker group who law based on the hours worked. The compensation. Another commenter work remotely, but take direction from Department further explains that the stated that the proposed definition of and report to the location listed for a determination of the availability of wages would complicate calculations firm on a certification. The remote suitable employment is used for the needed under the RTAA benefit. location can vary, and may include the approval of benefits, not for projecting In response to these comments, the worker’s own residence, a shared office employment following the completion Department has reconsidered the space, public location, etc. Teleworkers of training. proposed definition of ‘‘wages.’’ The may need to provide information or final rule yields to applicable State Several comments were received documentation showing their laws, contains a new reference to a about the definition of ‘‘suitable connection to the worker group if they State’s definition of remuneration under employment,’’ requesting clarification of are not already listed on the worker list State UI law, and revises the proposed its relationship to the definition of provided to the State by the firm. ‘‘wages.’’ Proposed § 618.100(a) definition in § 618.110 accordingly. The same commenter offered several There is no practical or operational established that the purpose of the TAA further suggestions of definitions the change with this revision, including no Program is to return trade-affected Department should consider adding to change for calculating TRA, or for workers to suitable employment as this section of the rule: quickly as possible, which is unchanged determining whether reemployment is • ‘‘Adjustment assistance’’ (used in from 20 CFR 617.2. In this context, suitable employment. Before a State can § 618.205); suitable employment means that after approve a training program, the State • ‘‘Annualized reemployment wages’’ the trade-affected worker receives must ensure that there is not suitable and ‘‘annualized separation wages’’ (to services under the TAA Program, the employment available to the AAW. replace the term ‘‘wages,’’ which the worker is reemployed at an equal or While calculating the wage component commenter said is defined in a manner higher skill level and earns at least 80 of suitable employment is statutory, it is inconsistent with how it is used in percent of his or her former wages. This 80 percent of the average weekly wage § 618.520(a)(2)(i) and (ii), with more goal of attaining suitable employment as defined by the Act. When exploring ‘‘technical’’ terms); has not changed. the local labor market, the worker and • ‘‘Distance learning’’ (in lieu of Unfortunately, there are situations in the State will be limited to the defining it in § 618.620(b)(2)); which trade-affected workers may be information contained in job postings in • ‘‘Foreign trade,’’ ‘‘foreign trade unable to obtain suitable employment. calculating the reemployment wage. impacts,’’ or both; and Such difficulties may occur because (1) These postings will likely contain an • ‘‘Remedial education.’’ few, if any, jobs are available at the hourly wage rate, annual salary amount, The commenter also requested workers’ former wages with the trade- or range. Although the posting may clarification about whether the terms affected workers’ experience; (2) the contain reference to other benefits, ‘‘training’’ and ‘‘skills training’’ are local labor market has few available commissions, or bonuses, these are not meant to be interchangeable and jobs; or (3) the trade-affected workers usually listed with a known value and suggested that these terms, which (along have substantial barriers to are often not guaranteed. Where there is with the term ‘‘remedial education’’) are reemployment. These factors can no known value of these benefits, used in § 618.610(b)(1), might warrant significantly limit trade-affected bonuses, or commissions, the State definition in this section.
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The requested additional wage-related section as proposed, except for the would require petitioners to file terms are unnecessary based on the changes noted below. simultaneously with their State, writing modification made to the definition of that a better approach would be for the Paragraph (a) ‘‘wages’’ in the final rule. Many of these Department to share petitions with terms are discussed elsewhere in this Proposed paragraph (a) of this section States. The commenter also asked for preamble and the Department concludes updated who may file a petition, based clarification of the consequences if that the remaining terms are clear on changes to section 221(a) of the Act. petitioners failed to file simultaneously without further definition. The This paragraph identified four entities under the proposed rule. Another Department declines commenters’ who may file a petition: (1) A group of commenter, however, recommended suggestions for additional definitions. workers; (2) a union or other duly retaining the requirement that authorized representative; (3) the petitioners file simultaneously with the Section 618.120 Severability employer of the group of workers; or (4) State, stating that this is a statutory The Department has decided to one-stop center operators or partners, requirement intended to ensure States include a severability provision as part including State workforce officials, provide rapid response services to of the final rule. To the extent that any employment security agencies, or petitioners. The commenter added that provision of the final rule is declared dislocated worker unit and rapid paragraph (j) of this section also should invalid by a court of competent response team members. It also changed be changed to reflect the statutory jurisdiction, the Department intends for the language from 20 CFR 90.11(a) to requirement that the State and the all other provisions that are capable of reduce the number of workers who must Department receive petitions operating in the absence of the specific sign the petition from three to two. The simultaneously. The Department agrees provision that has been invalidated to Act does not specify a minimum that simultaneous filing is not optional. remain in effect. number of workers that make up a The ‘‘may’’ that section 221(a)(1) refers ‘‘group of workers.’’ to is the party that is authorized to file B. Subpart B—Petitions, Investigations, A commenter generally supported the a petition, not to the requirement for and Determinations proposed changes to the petition simultaneous filing of a petition. The process, writing that they would reduce proposed rule required that petitions be The purpose of subpart B is to barriers for diverse AAW populations. implement the provisions for filed simultaneously with the Another commenter wrote that the Department and the State. The determining group eligibility to apply proposal would clarify the petition for adjustment assistance for trade- Department, therefore, adopts the process and remove overly technical proposed language into the final rule, affected workers. This subpart provides language. A few commenters agreed that the process for the investigation of with the exception of § 618.205(j), petitions should be filed through the which has been revised to require States petitions for certification of eligibility to Department’s website, but some also apply for adjustment assistance. to verify that the Department also has requested that the feature for uploading received the petition. Subpart B addresses sections 221, attachments be made more user- A State workforce agency 222, 223, and 224 of the Act, modifying friendly. The Department will take these recommended adding the words 29 CFR part 90 and incorporating it into requests into consideration as it works ‘‘certified or recognized’’ before ‘‘union’’ part 618. Proposed subpart B made to modify the online system for at paragraph (a)(2) of this section. The several changes to update the submitting petitions and uploading commenter maintained that doing so regulations, including updates to reflect attachments, and appreciates the would be consistent with the regulatory statutory changes and current commenters’ input and support. text at §§ 618.205(b)(9)(i) and procedures for filing petitions, A few commenters supported the 618.210(c)(6). The Department agrees conducting investigations, and issuing proposed change at § 618.205(a), writing and acknowledges that this proposed determinations of TAA Program that reducing the required number of revision would align the regulatory text eligibility, and added a requirement for workers on a petition from three to two more closely with the statutory exhaustion of administrative remedies, would benefit workers and the petition requirement, and has revised the specifically, use of the reconsideration process. The Department appreciates regulatory text accordingly. process, prior to judicial review. In the this support. The same State workforce agency also NPRM, the Department relocated most Another commenter stated that the recommended replacing ‘‘employer’’ at of the definitions in 29 CFR 90.2 to introduction to paragraph (a) of this § 618.205(a)(3) with ‘‘an authorized subpart A of 20 CFR part 618 for clarity section is unclear and a State workforce representative of the firm where the and consistency. The Department did agency provided recommended edits to group of workers is employed.’’ It not receive any comments on proposed § 618.205(a) to clarify which workers maintained that this language would §§ 618.200, 618.220, 618.230, and may file a petition. The State workforce better fit with the regulations’ definition 618.260. The final rule adopts these agency said that the language in of the term ‘‘firm,’’ which excludes sections as proposed, with the exception paragraph (a) of the proposed rule said government entities. The State of a change at § 618.220(d) to the use of that a group of workers may file a workforce agency also said that a pronoun. Where the Department petition, yet paragraphs (a)(2) through § 618.205(b)(2) likewise uses the term received comments on specific (4) identified a list of additional entities ‘‘firm’’ instead of ‘‘employer.’’ The paragraphs within a section, details of that could also file a petition. The Department agrees that public sector those paragraphs as proposed in the Department agrees that, while a group of workers do not meet the group NPRM are included to provide context workers may file a petition, there are eligibility requirements for a worker for the discussion of comments that also others who may file petitions on its group under TAARA 2015. The use of follows. behalf. The Department has revised the the term ‘‘employer,’’ however, long predated the temporary addition of Section 618.205 Petitions regulatory text to remove the use of the term ‘‘worker group’’ in this paragraph those workers in 2009, and changing the Proposed § 618.205 updated the (a). term from ‘‘employer’’ to ‘‘firm’’ may section related to petitions at 29 CFR One commenter recommended unintentionally limit the universe of 90.11. The Department is finalizing this removing language at § 618.205(a) that petition filers, because the term ‘‘firm’’
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is specifically defined to include the how a petitioner would address Paragraph (d) ‘‘firm or appropriate subdivision.’’ The multiple separation dates. The Proposed paragraph (d) of this section Department has adopted the language commenter stated that worker updated 29 CFR 90.11(c) and into the final rule as proposed. separations in mass layoffs often come maintained the methods of filing, The same State workforce agency in waves, and it recommended that the allowing petition submissions by fax, requested clarification of ‘‘employment ‘‘hover text’’ available in the online email, and mail, but strongly security agencies’’ at § 618.205(a)(4). system for submitting petitions (asking encouraged that all petitions be filed The Department explains that that petitioners provide the ‘‘most electronically with the Department ‘‘employment security agencies’’ is a recent date on which the separation through the Department’s website. legacy term that refers to the State occurred or is threatened to occur’’) be Another commenter recommended agency responsible for administering UI. adopted in the final rule. The that paragraph (d) of this section be Section 618.205(a)(4) is adopted without Department has addressed these issues changed to direct workers to State TAA change. separately through revisions to the or TRA coordinators instead of a one- Paragraph (b) instructions provided through the stop center, arguing that the former online petition process and on the print would provide more accurate Proposed paragraph (b) combined and versions of the forms. modified 29 CFR 90.11(b) and (c) information. WIOA designates the TAA One commenter wrote that proposed regarding the form and content of Program as a required partner of the § 618.205(b)(8), which required that the petitions. It required petitioners to one-stop delivery system. Additionally, petitioner provide a reason why he or provide information the Department this final rule requires that the TAA she believes that worker separations needs to begin its investigation. Absent Program be delivered primarily through have occurred or may occur at the firm this required information, a petition the one-stop delivery system. Thus, the would not be valid. due to foreign trade impacts or why an one-stop centers or rapid response units A commenter recommended amendment to an existing certification are the appropriate place for trade- rewording § 618.205(b) to reflect the should be granted, provides only a affected workers to be directed to access possibility that a petition may be filed cursory mention of using petitions to additional information about the TAA by persons other than the workers amend active certifications. This Program. After considering this named in the petition. Another commenter suggested that petitions to comment, the Department declines this commenter generally supported the amend active certifications should be suggestion, and adopts § 618.205(d) into changes in paragraphs (b)(1) through (9) addressed in a separate paragraph. the final rule as proposed, with a of this section. The Department agrees Another commenter also recommended nonsubstantive edit to the hyperlink to with the commenter that proposed that § 618.205(b)(8) and other sections of the website for the TAA Program. paragraph (b) did not accurately reflect the regulatory text more clearly address Paragraph (e) the universe of entities who may file a requests to amend petitions. The petition and has revised the regulatory Department specifically addresses Proposed paragraph (e) implemented text at § 618.205(b) by deleting the first amendments to active certifications in section 224 of the Act, requiring the sentence, which specifically referred to § 618.250, and has made no change in Department to take specific actions the worker group. the final rule to § 618.205(b)(8) in when the ITC issues an affirmative Two commenters asked whether response to these comments. The only determination on the investigation § 618.205(b)(4), which required that a change to § 618.205(b)(8) is the removal under section 202 or 421 of the Act, or petition include the name and contact of the word ‘‘employer’s’’ before ‘‘firm’’ issues an affirmative final determination information of an official within the for consistency throughout this subpart. under section 705 or 735 of the Tariff employer firm or an individual One commenter recommended editing Act of 1930. authorized to provide information § 618.205(b)(9)(i), which identified who Two commenters wrote that the regarding the operation of the group of must sign the petition, by adding the changes for International Trade workers’ firm, meant that only a single words ‘‘of workers’’ after ‘‘petitioning Commission (ITC) notifications at point of contact need be provided for a group,’’ and adding the words ‘‘of the § 618.205(e) would better serve the petition for certification. Another group of workers, or an official of the public if States were notified in addition commenter recommended that the firm employing the group of workers’’ to industries. The Department explains provision for ‘‘an individual authorized after ‘‘duly authorized representative.’’ that the notification to the States was to provide information regarding the The commenter wrote that the already included in proposed operation of the group of workers’ firm’’ requirement in § 618.205(b)(9)(ii) that § 618.205(e)(3); therefore, there is no be removed, as it is unclear who such petitioners attest to their authorization need to revise paragraph (e) and the an individual would be. The regulatory to file a petition is problematic for final rule adopts the paragraph as text as proposed means that at least one petitioners under paragraph (a)(1) of this proposed. official within the firm employing the section, who often file because of their One commenter requested that the group of workers or an individual firm’s refusal to do so. The requirement Department allow petitions filed on authorized to provide information that the workers attest to being behalf of companies with affirmative regarding the operation of the business authorized to file means only that the ITC determinations to omit information is required on the petition form; this workers believe that they are included that otherwise would be required in a regulatory text does not, however, in the group of workers. This attestation petition, writing that it is burdensome preclude a petitioner from including is not related to the firm’s support of, or for States to provide that information. more than one contact, if known. opposition to, the application. The The Department will continue to One commenter wrote that proposed Department has modified the language explore options for the investigation § 618.205(b)(6), which required that a in the final rule at § 618.205(b)(9)(i) process for petitions filed based on an petition include the actual or consistent with the comments received. ITC finding. Any changes made to the approximate date on which total or These revisions provide important petition process must be made under an partial separations are threated to occur clarity, while not substantively information collection request (ICR) or did occur, did not explain clearly changing the requirement. separate from the final rule.
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Accordingly, the Department declines to Department. The final rule adopts this this section then listed the factors to be revise the regulatory text at this time, section as proposed, with the addition considered in evaluating operation and this final rule adopts the provision of a comma in paragraph (f). control. as proposed. The Department specifically sought Section 618.215 Public Hearings comments from the public on whether Paragraph (j) Section 618.215 of the proposed rule or not to include, by default, staffed Proposed paragraph (j) of this section set forth when a public hearing in workers as part of a certified worker set forth the States’ responsibilities connection with an investigation is to be group. The primary benefit to including under section 239 of the Act to verify held and, as was explained in the staffed workers as part of the worker that the Department has also received preamble to the NPRM, there were only group is that staffed workers are any petition filed with the State. No a few proposed changes from 29 CFR members of a worker group even if they comments were received regarding this 90.13. are not specifically mentioned within paragraph, but the Department has made Proposed paragraph (b) established the determination document. States may a technical correction to § 618.205(j) to the method for requesting a public serve those workers without the delay of correct two incomplete conditional hearing and expanded on the petitioning to amend an active statements. There is no change to the requirements related to hearings that certification. The Department is intent of the proposed rule or its existed at 29 CFR 90.13. finalizing this section as proposed, operational impact as a result of this A commenter identified a except for the changes noted below. edit. nonsubstantive typo in § 618.215 at One commenter requested guidance proposed paragraph (b)(3). The for determining whether a staffing entity Section 618.210 Investigation Department corrects the error by should be included in a certified worker Section 618.210 of the proposed rule replacing ‘‘is’’ with ‘‘of’’ and also makes group. Two commenters requested described the investigation process, a change to the use of a pronoun in additional guidance for how States authorized under sections 221 and 222 paragraph (d). The remainder of the should provide services to staffed of the Act, and updated the language section is adopted as proposed. workers that were not included in the from 29 CFR part 90 to reflect current original certification, especially when Section 618.225 Criteria for procedures and practices in the areas of more than one agency administers the timing, period of investigation, Certification of a Group of Workers TAA Program. Another commenter also investigative processes, protection of Proposed § 618.225 substantially requested further guidance on the confidential business information, updated language from 29 CFR 90.16(b) treatment of staffed workers, explaining termination of an investigation, the to describe the criteria the Department that there is tension between (1) the investigative record, and site visits. uses to certify a group of workers, which Department’s determination whether a Several commenters stated that it have expanded significantly under certification will cover a staffing entity, would be helpful if the Department section 222 of the Act. It also identified and (2) the allowance for staffed would share a list of impacted workers factors under consideration in workers to belong to a certified worker with States, saying that doing so would determining whether a criterion is met. group even if the determination expedite their outreach to members of The revised language provided document does not name the workers’ worker groups. The Department does transparency on how investigations are staffing entity. A few commenters not collect worker lists due to the conducted, the importance of recommended that the Department personally identifiable information information collected, and how the continue to list all employers of staffed contained therein, nor is this information is used. The proposed workers within its determination information needed for a determination provisions reflected Congressional document, commenting that this to be made. To assist States in collecting intent and existing Departmental practice better provides benefits to worker lists, the Department has practices. The Department is finalizing eligible workers and is less labor explicitly authorized States to use this section as proposed, except for the intensive for States. One commenter subpoenas to collect this information changes noted below. maintained that naming staffing entities from firms that fail to provide the One commenter stated that in petitions would help States because information upon request. Although the transparency of certification criteria is the staffing entities, not the certified use of subpoenas for this purpose has helpful for the efficient operation of the employers, would have workers’ wage always been authorized under the TAA petition process. data. Conversely, a commenter wrote Program, it has, until now, been implied that requiring States to petition to Staffed Workers § 618.225(i) rather than specified. amend certifications in order to provide Proposed paragraph (c) explained the Proposed paragraph (i) of this section benefits to unnamed staffed workers steps the investigator may take in order provided that staffed workers, working would be needlessly burdensome. to render a determination on a petition. on or off site, would be classified as part Another commenter agreed, writing that It also identified commonly used of the worker group of the firm. The such a requirement would lead to longer sources of information, and provided Department would specify in the investigations and, thus, harm the entire added detail, structure, and determination document that all worker group. A different commenter transparency to stakeholders about the members of the affected worker group agreed that it would be easier for investigation process. include teleworkers and staffed workers, workers to be included on a single A commenter stated that the but would not list specific leasing petition, but it said that doing so would transparency of the investigative process companies or temporary staffing complicate States’ recordkeeping provided at § 618.210(c) helps ensure entities. The Department would procedures. A commenter stated that the that petitions are submitted correctly. continue to collect information from the provision for staffed workers would The Department’s intent of including subject firm in order to establish the impose an undue hardship on States this additional information is to provide leasing or temporary staffing entity or with limited TAA Program staff. The the public with a better understanding entities over which the trade-affected commenter also pointed out that the of the investigation process and the workers’ firm has operational control. TAA Program might be administered by information reviewed by the Proposed paragraphs (i)(1) through (9) of two agencies within a State, which
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could lead to inconsistent benefits and services for members of to contact their regional office for determinations regarding staffing certified worker groups. assistance. entities. A commenter asked how the One commenter requested that the The Department appreciates the time Department will treat workers it Department share Federal Employment and effort taken by commenters to determines are ineligible after a State Identification Numbers (FEINs) with respond to this specific request. The has already begun providing services to States to help identify impacted Governor-Secretary Agreement binds those workers. If a trade-affected worker workers, especially teleworkers. The the entire executive branch of a State to is determined ineligible after a State has Department certifies a worker group, not compliance with these regulations and already begun providing services to the a firm, and members of that worker all determinations made by the worker, he or she should be treated the group may be employed by the firm, a Department. Upon publication and same way as the State treats any other subdivision of the firm, a successor-in- implementation of this final rule, State worker in similar circumstances. If interest, or a staffing agency under the workforce agencies, including those that necessary, the State would issue a direction of the firm. Although a FEIN administer UI, will be bound to benefit denial determination and afford may be collected during a petition implement them. the worker the opportunity to appeal the investigation, the Department does not Once a certification is issued, the determination. systematically collect all of the FEINs States are charged with determining Additionally, since trade-affected associated with a firm, subdivision of a individual eligibility. These regulations workers, if eligible, are mandated to be firm, or all employers of a worker group. provide sufficient guidelines for State co-enrolled with the WIOA dislocated Therefore, though an FEIN may be agencies to determine whether or not a worker program, the worker may provided, it is insufficient to identify all trade-affected worker is included in the continue to be served by that program teleworkers. worker group, subject to the or other partner programs. The The Department recognizes States’ determination document issued by the commenter also questioned when and challenges in determining individual Department. Further, these regulations how often the Department would eligibility for TRA benefits and require States to notify the Department provide States with the names of reviewing wage records to determine if when there are appeals to denials of staffing entities. The Department will an AAW has worked long enough at a benefits under the TAA Program. provide States with information on location to qualify for TAA Program Through this process, the Department staffing firms. benefits. Additionally, challenges also will ensure that States are fully A different commenter asked how the can arise with regard to staffed workers compliant with the provisions of these Department would handle workers of a and those who are perceived to be rules related to staffed workers, staffing entity that no longer contracts staffed workers. teleworkers, and successor-in-interest with a certified worker group firm. Scenarios often arise where a firm that issues. When a firm is queried about staffed employs or employed a certified worker The Department recognizes this may workers, it will be asked to provide group outsources its payroll and be a shift in how some States have information on all staffing firms utilized benefits functions to a third party. administered the TAA Program. during the certification period, even if Trade-affected workers named by the Specifically, TRA staff will need to the contract is no longer in place at the company as being part of the eligible work closely with TAA Program staff time of the investigation. In accordance worker group may have their wages paid and can no longer rely on the names of with provisions in § 618.225(i), the by the third party and not the company employing firms being separately listed Department will provide States with the named by the certified petition. For in the certification. This reliance on the names of staffing entities (if they are example, Company A has been named certification as the sole source for provided during the investigation in a certification. Trade-affected workers employer information creates delays in process) at the time the certification is named as part of the worker list serving trade-affected workers. The announced to assist States in notifying associated with this certification have Department regularly receives requests members of the worker group. States their wages paid to them by Company to amend a certification solely to add that discover additional leasing or B, a third party that Company A has the name of a staffing company whose temporary staffing entities employing outsourced its payroll and benefits workers have already been identified to staffed workers who are members of a functions to, and their wage records do the State in a worker list as part of certified worker group may serve those not align with being employed by identifying the worker group. These trade-affected workers without the delay Company A. The outsourcing of those requests arise simply because the TRA of filing a new petition requesting an workers’ payroll and benefits processing staff believes that the firm must be amendment to the certification. This by Company A to Company B does not specifically listed in the determination change in procedure will enhance render those workers ineligible to in order for the trade-affected worker to service delivery to workers. The list of individually apply for TAA Program be eligible to apply for TAA Program staffing entities provided to the States benefits and services. Often, States have benefits and services. The delays caused by the Department should not be seen filed a petition to request an amendment by waiting for a subsequent petition as limiting. There may be workers to a certification to offer clarification. investigation to conclude, or for an employed by other staffing entities not Even though it may appear that the amendment to be issued, prior to listed that are also members of the workers named are being paid by a third serving these workers creates longer worker group. States should make clear party, an amendment to add the payroll periods of unemployment for workers in to the firm that, when requesting the company before serving these workers is need of training and other worker list, the list should include all unnecessary. It also may be helpful for reemployment services. The Department on-site and off-site workers, as well as States, as part of initial requests to a will be providing technical assistance to staffing agencies and successor-in- firm for its worker list, to inquire assist States in handling staffed worker interest information, if known. The whether the firm contracts its payroll issues as well as to assist in this Department encourages States in need of out to a different company, and to ask transition to further empower States in technical assistance on individual for pertinent information about that their identification of and provision of scenarios that arise under this final rule payroll company.
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The Department has adopted Finally, the Department made and subject to judicial appeal. The paragraph (i) into the final rule as nonsubstantive technical corrections to Department is finalizing this section as proposed. capitalize the term ‘‘Certifying Officers’’ proposed, except for the changes noted in this section. Aside from the below. Teleworkers § 618.225(j) modifications discussed above, the final Paragraph (a) Proposed paragraph (j) of this section rule adopts § 618.225 as proposed. codified administrative guidance issued Proposed paragraph (a) restated as part of the TAAEA operating Section 618.235 Determinations section 222(d) of the Act and is instructions. This section explained that Section 618.235 of the proposed rule unchanged from 29 CFR 90.17(a). teleworkers, also known as remote clarified the process the Certifying Proposed paragraph (a)(1) described that workers, may be part of a certified Officer would use for issuing a unless a termination is issued under worker group without being specifically determination based on the findings of proposed § 618.240, all certifications referenced in a certification document, the investigation as set forth in made under proposed § 618.235(a)(1)(ii) insofar as their position is affected by § 618.230. The final rule adopts this are considered terminated the day the same trade effects as other trade- section as proposed, except for the following the expiration date of the affected workers in the worker group. changes noted below. certification. Proposed paragraph (a)(2) One commenter supported including Proposed paragraph (c) covered provided that all ITC certifications, teleworkers in a certified worker group. determinations and was derived from 29 described at § 618.225(f), are considered Another commenter supported the CFR 90.16(d). Proposed paragraph (d) terminated the day following the proposal and stated that it would allow covered amended determinations and expiration date of the certification, States to share lists of teleworkers with codified the practice of amending a which is 1 year following the date of other States. certification. publication of the determination in the A State workforce agency One commenter recommended a Federal Register. recommended clarifying whether technical correction to the opening part The Department received comments teleworkers based in other countries of paragraph (c) of this section to clarify on proposed paragraph (d), discussed could be considered part of a worker that the correct title is Certifying Officer below, which resulted in the final rule group. A teleworker, living abroad, and not Certifying Official. The same not carrying forward proposed would not be eligible for services or commenter also recommended revising paragraphs (a)(1) and (2) of this section. benefits under the Act while abroad. paragraph (d) of this section to allow the One commenter asked how a Upon the teleworker’s return to the Department to amend certifications with termination would affect program United States, he or she would be able or without a petition. The commenter participants. In response to this to apply for benefits and services and a requested clarity about the provision in comment, if a certification is determination would be made at that paragraph (d) allowing the Department terminated, no additional trade-affected time. The Department adopts to reconsider a denial on its own workers would be eligible to enroll in § 618.225(j) into the final rule as initiative, commenting that there is an the TAA Program as of the effective date proposed. absence of references to other, related of the termination. AAWs already provisions in § 618.245. Based on these receiving TAA Program benefits and References to Worker Adjustment and comments, the Department revised the services would be allowed to continue Retraining Notice (WARN) Letters regulatory text at § 618.235(c) to refer to in the TAA Program. The Department One commenter requested that, where a Certifying Officer instead of a made no changes in response to this WARN letters are referenced, the Certifying Official, at § 618.235(d) to comment. Department add ‘‘or a similar letter provide that a determination may be under [S]tate statute.’’ Several States amended in accordance with Paragraph (b) have State laws modeled after the § 618.250(a), and has also added a new Proposed paragraph (b) included the Federal WARN Act requirements. The provision § 618.235(e) explicitly stating notice language from 29 CFR 90.17(a) Department has modified the regulatory the Department’s preexisting, intrinsic and updated it to include to whom the text in five instances at authority to modify its determinations. notices will be made. It also required § 618.225(a)(2)(i)(C)(1), (b)(2)(i)(C)(1), The Department has included a similar the State to notify the trade-affected (c)(1)(iii)(A), (d)(1)(iii)(A), and statement in the final rule at workers in the worker group of the (e)(1)(iii)(A) to include language that § 618.250(d) to address the comment initiation of the investigation to references State-level WARN laws. about the Department’s ability to amend terminate a certification. The same commenter also determinations on its own authority. Two commenters asked how States recommended replacing the term may notify a worker group of a ‘‘displaced worker’’ with ‘‘dislocated Section 618.240 Termination of terminated certification. Similarly, a worker’’ throughout the proposal in Certification State workforce agency commented that order to match WIOA terminology. Proposed § 618.240 discussed the States should be required to notify only Upon review, the Department has termination of certifications under those trade-affected workers who would concluded that neither term is ideal. section 223(d) of the Act and updated face separations after a certification The Department has changed the six the previous regulations to reflect termination, because a broader instances of the term ‘‘displaced current practice and procedures through requirement would burden States and workers’’ at § 618.225(a)(2)(i)(A)(4), minor revisions to 29 CFR 90.17. The confuse workers. The Department does (b)(2)(i)(A)(4), (c)(1)(i)(D), (c)(2)(i)(D), Department clarified that any party not concur with the commenter that (d)(1)(i)(D), and (e)(1)(i) to ‘‘workers in eligible under proposed § 618.225 to such a notice would cause burden or the group of workers.’’ Since ‘‘displaced submit a petition may file for a confusion. The notification should workers’’ is not a defined term, reconsideration of a terminated or clearly state that workers fully or ‘‘workers in the group of workers’’ is partially terminated certification. A partially separated prior to the more appropriate and this clarification decision to uphold the termination of a termination date remain eligible for does not change the meaning of the certification after reconsideration is a benefits. The regulatory text in the final regulatory provision. final determination by the Department rule has not been revised.
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Paragraph (d) party may request reconsideration has canceled the outsourcing of its elapsed. manufacturing line to a foreign country. Proposed paragraph (d) described the A State workforce agency requested In these cases, the Department would information that will be considered in additional guidance on paragraph (e) of investigate and determine whether determining whether to terminate a this section, asking how the final rule separations are still attributable to the certification and provided that the would impact workers who receive reasons stated in the worker group period of investigation would remain services prior to a termination date. The certification. The Department points out the same as the period of investigation Department clarifies that there would be this provision also was in 29 CFR 90.17. for the original certification. no change in benefits to AAWs who Aside from the technical edit to One commenter asked how have been separated or partially § 618.240(f)(1) discussed above, the final terminations issued because worker separated prior to the termination. rule adopts paragraph (f) as proposed. AAIWs who are receiving benefits separations fail to result from conditions Paragraph (g) set out in section 222 of the Act could would be impacted by a termination or be consistent with paragraph (d) of this partial termination of a certification, as Proposed paragraph (g) allowed for section, if the period of a certification they would not have been separated or reconsideration of a termination or will remain the same as the original partially separated. Aside from the partial termination of a certification and period of investigation. The commenter technical edit to § 618.240(e)(1) referred parties to § 618.245. asked if the issue is whether those discussed above, the final rule adopts The same commenter discussed conditions, which existed at the time of paragraph (e) as proposed. immediately above also wrote that paragraph (g) of this section should refer the certification, have changed in the Paragraph (f) period since the certification and before to § 618.205, not § 618.225. The Proposed paragraph (f) updated 29 the standard date of termination. The Department has corrected the CFR 90.17(f) and provided detail on the termination provisions, as proposed, typographical error. process of issuing a notice of were based on the statutory language at continuation of certification, and Section 618.245 Reconsideration of section 223(d) of the Act and previous detailed to whom the notice will be Termination of an Investigation, Denial, regulations at 29 CFR 90.17. The actions issued. It required States to notify the or Termination or Partial Termination of taken under the termination provision worker group of the continuation of Certification do not establish a new period of certification. Proposed § 618.245 contained the certification. A change in circumstances One commenter recommended that process for reconsiderations of may occur to change the conditions the Department be required to provide determinations on petitions. The under which the worker group was notification to workers in a worker proposed rule contained several changes initially certified. In most scenarios, a group for which certification has been from the previous language in 29 CFR termination is a result of the removal of terminated, instead of the State, writing 90.18 to provide additional a threat of separation and often there that States could share their information clarifications and to enhance efficiency have been no actual separations and the with the Department or the Department of investigations. conditions that resulted in the threat are could provide States with a letter to A State workforce agency stated that no longer present. The Department send on its behalf. The commenter also the Department should notify States sought to provide additional recommended deleting the third when it is reconsidering a termination. transparency and clarity on the internal sentence of paragraph (f) of this section, The State workforce agency said that the operations of the investigation process as notice to the worker group is already proposed change would expedite related to terminations. In doing so, the addressed in the last sentence of reconsideration requests. Another Department now recognizes that the paragraph (f). Another commenter commenter, a private citizen, agreed and proposed language needs clarification. supported notifying workers that a said the rule would make As a result, the Department has revised petition is under investigation, but reconsiderations mandatory prior to a the regulatory text to reflect more requested that the regulation contain final adverse determination. The closely the language included in 29 CFR information as to what must be included Department concurs with the 90.17 by deleting proposed in a notification and who would need to commenters and will provide § 618.240(a)(1) and (2), deleting the last receive it. The Department will provide notification of any intent to reconsider. sentence of proposed § 618.240(d) training and technical assistance on This is an operational process that does (which would have required the period how States can provide notice to not require a change to the regulatory of investigation of a termination of impacted trade-affected workers should text. As such, no changes were made to certification to remain the same as the a termination occur, but States should the regulatory text in the final rule in period of investigation for the original plan to contact workers using available response to these comments. certification), and making minor contact information and to notify technical edits to proposed eligible workers who are Section 618.250 Amendments of § 618.240(e)(1) and (f). nonparticipants in a similar manner in Certifications Paragraph (e) which States first notified the impacted Proposed § 618.250 provided the workers of their eligibility to apply for process for seeking amendments to Proposed paragraph (e) combined 29 benefits and services. certifications. Although the proposed CFR 90.17(d) and (e) to provide details One commenter asked for an example process was not previously included in on the process of issuing a notice of of why a certification would be regulation, the Department has been termination or notice of partial terminated. One example would be if issuing amendments for many years. termination, and detailed to whom the the Department receives notice from a Section 223 of the Act establishes that notices would be issued. It required company official that the firm just a determination be issued for any group States to notify the worker group of the received a new contract and have that meets the eligibility criteria of termination or partial termination. It canceled the imminent layoffs of the section 222 of the Act. The Department also stated that a termination would not certified worker group. Another interprets that provision to mean that, take effect until the period in which a example is where the company has should new or supplemental
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information support a clarification of determinations. The Department Some key proposals within subpart C the certified worker group, the concurs, has corrected the citation in included requiring initial assessments Department may issue an amended the regulatory text, and otherwise for trade-affected workers, clarifying the certification under the same petition adopts § 618.255(b) as proposed. provision of required case management number and publish the amendment in services, and prescribing requirements Section 618.265 Availability of the Federal Register and post it on the for IEPs. Information to the Public Department’s website. The Department The Department is finalizing this is adopting this section in the final rule Section 618.265 of the NPRM subpart as proposed, except for the as proposed, except for the changes proposed at paragraph (a) that the changes noted below. Where the noted below. Department would post all Department received comments on Proposed paragraph (a) described the determinations and redacted petitions specific paragraphs within a section, reasons for amendments and explained on the Department’s website. This details of those paragraphs as proposed that amendments must not extend the paragraph also provided that members in the NPRM are included to provide impact date as that would go beyond the of the public may inspect petitions and context for the discussion of comments period covered by the certification itself. other related documents filed with the that follows. No comments were A commenter requested that the Administrator. Proposed paragraph (b) received on proposed §§ 618.300 and Department further specify that the stated that confidential business 618.305, and the final rule implements Department may undertake to amend a information would not be made these sections as proposed. certification on its own initiative, available to the public. Section 618.265 without a § 618.205 petition. The as proposed was largely unchanged Section 618.310 Responsibilities for Department has modified the regulatory from the previous language at 29 CFR the Delivery of Employment and Case text in §§ 618.235(d) and 618.250(a) to 90.32, except to indicate that copies of Management Services clarify that the Department retains the petitions, in redacted form, would be Proposed § 618.310 of the NPRM set authority to amend a certification available on the Department’s website. forth the State’s responsibilities for without a petition where it has A commenter recommended adding a delivering and making available determined that an amendment is reference to the TAA Program website to employment and case management appropriate. The Department has further § 618.265(a). The Department concurs services. These responsibilities are from modified the paragraph heading in with the suggestion to include the section 235 of the Act. The Department § 618.250(a) in the final rule from Types website for the TAA Program in is making a technical correction to of amendments to Reasons for § 618.265(a). The website reference has § 618.310(a) to edit the citation from amendments to accurately reflect the been added to paragraph (a) of this § 618.820 to § 618.816. The Department contents of paragraph (a). provision in the final rule, and the is finalizing this section as proposed, A commenter asked whether the Department otherwise adopts § 618.265 except for the changes to § 618.310(b) reference in § 618.250(a) to as proposed. and (c) noted below. § 618.235(a)(1)(iii)(A) should cite C. Subpart C—Employment and Case Paragraph (b) § 618.235(a)(1)(ii) instead. The correct Management Services reference is § 618.235(a)(1)(ii), and the Proposed paragraph (b) listed the citation in the regulatory text has been Subpart C describes the employment State’s specific responsibilities for corrected accordingly. and case management services that delivering employment and case States must make available to trade- management services. The proposed Section 618.255 Judicial Review of affected workers as required by section regulatory text modified 20 CFR Determinations 235 of the Act. These services were 617.20(b). The language in 20 CFR Section 618.255 in the NPRM previously set forth in 20 CFR part 617. 617.20 was based on workforce proposed the process for judicial review The proposed regulation proposed programs that have been replaced by of determinations issued under significant changes to the part 617 WIOA and used outdated language to proposed § 618.245(g). This is a provisions to reflect the changes enacted describe reemployment services, now significant revision to the language by TGAAA, TAAEA, and TAARA 2015. known under the TAA Program as previously at 29 CFR 90.19. Section 284 However, not all of the requirements employment and case management of the Act allows for judicial review of included here are new. Previously, 20 services. Proposed paragraph (b) did not only ‘‘final determinations.’’ Under CFR 617.20 and 617.21 contained many significantly change the activities and previous regulations, all determinations of the same elements now contained in services that States must provide or the Department rendered were final section 235 of the Act and in this final make available to trade-affected determinations subject to judicial rule. workers. It required that States (1) review. The Department is adopting the Subpart C of the NPRM also proposed interview and review training section in the final rule as proposed, language to update 20 CFR part 617 to opportunities for each trade-affected except for the change noted below. reflect changes to the TAA Program and worker, (2) inform trade-affected Proposed paragraph (b) defined only related workforce development workers of the services and allowances determinations on reconsideration programs due to the authorization and available, (3) help them secure suitable issued under proposed §§ 618.240(g) implementation of WIOA. This subpart employment, (4) accept applications for and 618.245 as final determinations emphasizes the integration of the TAA training, (5) help them secure subject to judicial review through the Program into the one-stop delivery appropriate training, (6) monitor their United States Court of International system established under WIA and training progress, (7) devise a training- Trade (USCIT). continued under WIOA. It also waiver process, (8) provide access to A commenter wrote that § 618.255(b) implements the requirements of section workshops and other employment should be amended to reference only 221(a)(2)(A) of the Act for the provision resources, and (9) coordinate other § 618.245(g) rather than §§ 618.240(g) of rapid response assistance and employment benefits that workers may and 618.245. The commenter stated that appropriate career services for workers be eligible for. the latter sections are not correct upon receipt of a petition filed covering Proposed paragraph (b) also citations with respect to final a group of workers. reorganized 20 CFR 617.20(b). All the
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provisions of 20 CFR 617.20(b), if not objectives and appropriate training and their employment goals and training contained in this section, are subsumed services needed by the trade-affected needs. Part 617 of title 20 of the CFR elsewhere in the rule. worker to achieve those goals and referenced the provision of labor market One commenter expressed concern objectives. An IEP is a combination of information to trade-affected workers in about the requirement at § 618.310(b)(1) the ‘‘training plan’’ contained in 20 CFR relation to job search activities, mandating States subject ‘‘every’’ trade- 617.20(b)(8) and the ‘‘reemployment relocation, and training programs. affected worker to an intake process that plan’’ in 20 CFR 617.20(b)(13). The Section 235(7) of the Act requires States includes an interview and a review of requirement to periodically review the to provide this information. appropriate training opportunities. The reemployment plan in 20 CFR Lastly, proposed paragraph (c)(7) commenter said many trade-affected 617.20(b)(13) was carried forward as a required States to inform trade-affected workers will choose not to participate in requirement for an IEP under the NPRM. workers about supportive services the TAA Program, and States cannot be For workers seeking training or job available through partner programs, as expected to force all workers eligible for search allowances, § 618.350(a) required required by section 235(8) of the Act. the program to undergo the intake States to provide workers with an IEP, This requirement also was contained in process. The commenter recommended though this is not a requirement for 20 CFR 617.20(b)(5) and 617.21(e). The changing the provision to require only eligibility for benefits. TAA Program reimburses limited travel that States ‘‘offer’’ to provide the intake Proposed paragraph (c)(3) required and subsistence costs for training process to trade-affected workers to the State to provide information to outside the worker’s commuting area account for the fact that some workers trade-affected workers on how to apply and provides for all training-related may in fact choose not to participate in for financial aid, including referring expenses (see subpart F). However, the the TAA Program. The Department workers to educational opportunity TAA Program does not pay for vehicle emphasizes that intake requires an centers under the Higher Education Act repairs, local travel costs, childcare, or application of enrollment; therefore, the of 1965, as amended (HEA). In addition, other similar supportive services intake requirement is applicable only to States must notify workers that they traditionally paid for under WIOA. those trade-affected workers who apply may request financial aid administrators A State workforce agency to the TAA Program for receipt of TAA to use current year income data, rather recommended eliminating Program benefits and services. As such, than preceding year income data, to ‘‘duplicative’’ language in § 618.310(c) there is no need to change the regulatory determine the workers’ financial need. by deleting ‘‘under a certification of text related to this requirement and it is This is required by section 235(4) of the eligibility’’ because trade-affected adopted in the final rule as proposed. Act. There was no corresponding workers, as defined in § 618.110, A State workforce agency requirement in the previous rule. include only those the State determined recommended adding language to Proposed paragraph (c)(4) required to be in ‘‘adversely affected § 618.310(b)(5) about States’ eligible States to provide, if appropriate, certain employment’’ and adding ‘‘ensure’’ to training provider (ETP) list under WIOA services to trade-affected workers, § 618.310(c) to clarify that the State to facilitate more effective including short-term prevocational must make employment and case communication about available training services such as development of management services available to trade- opportunities. Section 236(a)(5) of the learning skills, communications skills, affected workers. The Department Act, however, specifically prohibits interviewing skills, punctuality, concurs and has revised the regulatory limiting approved training under the personal maintenance skills, and text in the final rule based on this TAA Program to the ETP and the professional conduct to prepare workers comment. Department is concerned that adding for employment or training. These are One commenter expressed concern the commenter’s proposed language referred to commonly as ‘‘soft skills’’ that RTAA is not on the list of services would potentially mislead those within the public workforce system. about which States must notify workers administering the program. These services are required by section at § 618.310(c), despite its low usage Accordingly, the Department is 235(5) of the Act. There was no among TAA Program recipients. The adopting paragraph (b)(5) in the final corresponding provision in the previous same commenter stated that most rule as proposed. rule. displaced workers return to work at Proposed paragraph (c)(5) required reduced wages and that wage insurance Paragraph (c) States to provide, if appropriate, is valuable for AAWs seeking Proposed paragraph (c) implemented individual and group counseling, reemployment on their own without section 235 of the Act by requiring including job search and placement much contact with the State. The States to provide, if appropriate, specific counseling. These services can be commenter recommended that States employment and case management provided in one-on-one counseling ‘‘aggressively market’’ RTAA and services to trade-affected workers. sessions or in workshops at a one-stop suggested that information about the Proposed paragraph (c)(1) required center. These services were referenced benefits of the RTAA program should be States to assess workers’ skills and indirectly in 20 CFR 617.20 and 617.21 communicated to workers. The service needs through assessments and and are required by section 235(6) of the Department explains that States are by identifying appropriate employment Act. The NPRM proposed the use of required to notify workers about RTAA goals and barriers to employment. These more modern terminology that reflects under § 618.816 and for that reason the goals should be based on a realistic the changes to the public workforce Department is not adopting the assessment of available training; the system that have occurred through the recommendation to include RTAA on worker’s knowledge, skills, and transition from JTPA, to WIA, and now the list of services mentioned here. The abilities; and the gap between them and to WIOA. Department does, however, strongly those required for the worker’s Proposed paragraph (c)(6) required encourage that information about the identified employment goal. States to provide various kinds of benefits of RTAA be relayed to Proposed paragraph (c)(2) required employment statistics, including local, potentially eligible workers, including States to inform trade-affected workers regional, and national labor market information on the flexibility of of the availability of the development of information, to ensure trade-affected receiving training and RTAA an IEP to identify employment goals and workers make informed decisions about concurrently.
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One commenter asked whether States workers also can receive supportive proposal, saying it would increase can meet the requirements at both services that may help them complete access to a broad array of services and § 618.310(c)(1) and (2) by combining the TAA approved training and then return promote greater cooperation between initial assessment with an IEP to to employment. The Department expects TAA Program administrators and their identify barriers to employment. The the TAA Program, in general, to pay for partners. Department is not establishing a all training and related costs and the Multiple commenters suggested that if sequence of services. Intake, assessment, majority of employment and case the Department seeks to mandate and the development of an IEP can all management services. However, trade- dislocated worker co-enrollment in TAA occur in the same session with a career affected workers often also benefit from Program regulations, it also should counselor. No changes have been made WIOA’s supportive services and post- mandate such co-enrollment in the to the regulatory text in response to this employment follow-up services, which WIOA regulations to ensure equivalent comment. cannot be funded through the TAA expectations across the two programs. Program. The States, under the Governor- Section 618.325 Integrated Service Proposed paragraph (b)(1) emphasized Secretary Agreement, are bound to the Strategies and Workforce Innovation that most trade-affected workers are implementation of the final rule. The and Opportunity Act Co-Enrollment dislocated workers as defined at WIOA Agreement binds the entire executive Section 618.325 proposed co- section 3(15). Most trade-affected branch of the State governments to the enrollment between the TAA Program, workers have been laid off, are likely to terms and conditions of the Agreement WIOA dislocated worker program, and be eligible for unemployment and the implementation of the TAA other programs to ensure the availability compensation or are otherwise attached Program. This includes the of a comprehensive array of services for to the workforce, and are unlikely to implementation of the co-enrollment trade-affected workers and the return to a previous industry or requirement. The Governor, through the integration of workforce development occupation, which are the primary State workforce development board, has programs. The Department previously eligibility criteria for the dislocated the authority to enforce the co- concluded that co-enrollment of trade- worker program. There are only a few enrollment requirement at the State and affected workers in the dislocated barriers to WIOA eligibility. Proposed local area levels. In addition, WIOA worker program under WIOA, WIA, and paragraph (b)(2) recognized that AAIWs itself requires a State to enroll an title III of JTPA before that, was the best will generally not be eligible for the eligible individual who applies for the way to integrate services and ensure WIOA dislocated worker program, but dislocated worker program, though successful reemployment of trade- in certain circumstances, such as a receipt of services will be contingent on affected workers. States have, generally, general announcement of a closure, they funding availability. The Department been co-enrolling trade-affected workers may meet those eligibility criteria and will provide additional technical in accordance with administrative must also be co-enrolled. Similarly, assistance and training on co-enrollment guidance. This integration of service some partially separated workers’ wages to the workforce system. strategies arises from the requirement in and time on the job will have decreased, Other commenters opposed section 239 of the Act to make available but they remain employed and do not mandating co-enrollment, stating that employment and case management meet any other eligibility requirements co-enrollment ‘‘does not make sense’’ services, such as counseling, testing, of the WIOA dislocated worker program. and ‘‘undermines’’ the WIOA dislocated placement services, and supportive and Proposed paragraph (b)(3) described that worker program. These commenters other services for trade-affected workers. the broader requirement under WIOA suggested co-enrollment should only Proposed paragraph (a)(1) required co- that certain males be registered under apply when another program can offer enrollment of trade-affected workers in the Selective Service provisions can be complementary services (or funding to WIOA’s dislocated worker program. Co- a barrier to co-enrollment. There is no support such services) to trade-affected enrollment allows for more efficient use Selective Service registration workers. One commenter said that, of public workforce system resources requirement under the TAA Program. If while co-enrollment would benefit and reduces barriers to program a trade-affected worker knowingly and workers in certain situations, it would integration. A trade-affected worker may willfully fails to register, he or she not offer any benefits to workers who do decline co-enrollment, which has no cannot co-enroll in WIOA and, not have a need for any services offered effect on eligibility for benefits and therefore, the co-enrollment under WIOA. The same commenter services under the TAA Program. In requirement does not apply. suggested the rule should provide implementing the co-enrollment Multiple commenters favored the co- additional guidance to States beyond requirement, States must make trade- enrollment requirement. A State simply allowing workers to opt out, affected workers aware that they are workforce agency supported the including informing workers about being co-enrolled in the WIOA program. mandated co-enrollment proposal and services that would be best delivered Proposed paragraph (a)(2) required argued that trade-affected workers also through WIOA co-enrollment and that States make available to eligible eligible for WIOA’s dislocated worker describing any additional reporting or trade-affected workers co-enrollment in program would receive better ‘‘wrap- other requirements that could impact a Wagner-Peyser Act Employment Service around’’ and follow-up services that the worker’s decision to co-enroll. activities, vocational rehabilitation TAA Program cannot cover on its own, Co-enrollment of TAA Program services, and veterans’ programs, such ultimately facilitating improved participants in the WIOA dislocated as the Jobs for Veterans State Grants experiences and outcomes for workers. worker program drastically improves program, and other one-stop partner Other commenters agreed with the the quality of service to trade-affected programs, if appropriate. When trade- proposal to mandate co-enrollment of workers and improves participant affected workers are co-enrolled trade-affected workers also eligible for outcomes. Based on data States reported properly in other one-stop programs, the dislocated worker program, with between FYs 2009 and 2017, TAA provided timely rapid response services, some stating the proposal also would Program participants who were co- and given appropriate career services, improve workers’ outcomes and enrolled in the dislocated worker they return to work as quickly as experiences. A different State workforce program under WIA/WIOA have possible. Co-enrolled trade-affected agency expressed support for the superior post-program employment
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results, by a consistent margin, in with these comments. Technical affected worker,’’ but choose to not comparison to TAA Program assistance is available on the TAA apply or participate in the program. The participants who were not co-enrolled Program website, and additional commenter also suggested the first in a WIA/WIOA dislocated worker training and technical assistance will be sentence should not describe the co- program. Moreover, these data showed provided to address co-enrollment and enrollment requirement as an absolute, no adverse impact on outcomes under the use of TAA Program funds to since the second sentence clarifies that the dislocated worker program as a support co-enrollment. workers can decline co-enrollment in result of co-enrolling TAA Program One commenter requested that the WIOA. The Department reiterates that a participants. proposed language be revised to include trade-affected worker has already been TAA Program participants co-enrolled co-enrollment in WIOA’s adult and determined individually eligible for the in the dislocated worker program have youth programs also, and stated that TAA Program and, thus, already has a (1) higher training participation (75 there is a Trade Adjustment Assistance connection to the workforce system. The percent versus 51 percent for those not Data Integrity measure that currently definition of the term ‘‘trade-affected co-enrolled), (2) higher training allows for adult co-enrollment and worker’’ means both ‘‘adversely affected completion rates (78 percent versus 71 asked whether that practice would workers’’ and ‘‘adversely affected percent for those not co-enrolled), and continue. A different commenter, as part incumbent workers.’’ A member of a (3) higher credential attainment (73 of a request for the addition of WIOA’s worker group only becomes an AAW or percent versus 62 percent for those not adult program to the co-enrollment AAIW once the worker individually co-enrolled). All of these outcomes are mandate, requested guidance allowing applies and is determined eligible for correlated with higher performance States and local areas to shift funding to TAA Program benefits and services. The outcomes and the differences in the adult program and argued that Department further maintains that the performance are statistically significant. failing to include this option would second and third sentences of Accordingly, the Department declines to reduce supportive and integrated § 618.325(a)(1) provide sufficient revise this section, and this final rule services for TAA Program participants clarification on the absolute nature of adopts this section as proposed. in areas with less funding for WIOA’s the co-enrollment requirement and must A State workforce agency said that dislocated worker program. The be read together to understand that the while it appreciates the ‘‘philosophy’’ of Department is limiting the regulatory requirement is on the State, not the co-enrollment in WIOA, it has concerns requirement to the WIOA dislocated worker. No change has been made to the about the impact on resources available worker program because those eligibility regulatory text in the final rule in to support non-TAA-eligible workers requirements most closely align with response to this comment. who already have a less desirable suite the TAA Program; however, nothing A State workforce agency suggested of benefits. The State workforce agency prohibits a State or local area from also changing the beginning of the first stated that most of the dislocated co-enrolling the worker in the adult or sentence of paragraphs (a)(1) and (2) to workers it works with could not access youth program if he or she is otherwise ‘‘The State must ensure’’ to account for TAA Program benefits, and while it eligible. No changes have been made to the fact that the act of co-enrolling would be beneficial to offer a full suite the regulatory text. workers may occur by non-State staff at of benefits to trade-affected workers One commenter expressed concern the local area level. The Department through WIOA co-enrollment, doing so about the mandated co-enrollment clarifies that the use of the word ‘‘State’’ might deplete resources available for provision because WIOA staff do not is related to the Agreement that non-TAA-eligible dislocated workers. currently meet merit staff criteria under provides the formal relationship The State workforce agency suggested the TAA Program, and TAA Program between the States and the Department. that Congress should consider this funds cannot support the delivery of Due to the unique nature of the resource limitation when reauthorizing TAA Program services by such staff. The workforce systems in each State, while the Act. The Department appreciates the commenter urged that TAA Program removing the word for one State might commenter’s concerns but reminds funds be opened to all staff who will be beneficial, in another it may States that TAA Program funds are to be support TAA Program activities if co- complicate the issue. For the reasons the primary source of funds used to enrollment is maintained, and it also discussed above and elsewhere in this serve trade-affected workers. The co- suggested WIOA’s dislocated worker subpart, the Department maintains the enrollment requirement does not change program should remove its merit regulatory text as proposed. this, and WIOA funding should be used staffing requirements. The Department’s One State workforce agency expressed to provide services only where TAA revision to the merit staffing support for the alignment of Program funding may not be used for requirements in § 618.890 will address employment and case management the service. No changes have been made the commenters’ concerns by allowing services with established TAA Program to the regulatory text as a result of this non-merit staff to be funded under the goals and practices. Another commenter comment. TAA Program for the provision of agreed with co-enrollment between the One commenter suggested the employment and case management WIOA and TAA programs but Department should clarify that States services. No changes have been made to questioned whether the WIOA can use TAA Program funds to cover the regulatory text. regulations would be amended to costs associated with workforce system One commenter expressed concerns include requirements associated with alignment to reduce administrative with provisions contained in the TAA Program and how States would burdens, and it requested that the § 618.325(a) and (b). The commenter enforce cooperation, arguing that TAA Department provide more guidance to suggested that the first sentence of Program staff do not control WIOA staff. States about the information workers § 618.325(a)(1) and the corresponding The Department clarifies that WIOA will need before deciding to opt out of language in (b)(1) be revised to restrict section 512(hh)(1)(B) amended section co-enrollment. Two different trade-affected workers to those 221(a)(2)(A) of the Act to require rapid commenters asked if the Department ‘‘participating in the TAA Program’’ in response and appropriate career services would issue subsequent administrative order to distinguish between TAA at the time a petition is filed. These guidance about co-enrollment for the Program participants and workers who requirements are already in the WIOA WIOA program. The Department agrees may meet the definition of ‘‘trade- Final Rule at §§ 682.302(d) and
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682.330(i) of this chapter. With regard to workers as part of the TAA Program increase efficiency, ensure that workers the co-enrollment requirement, the intake process. States must provide all quickly receive appropriate Department concludes that no trade-affected workers an initial reemployment services, and quickly additional regulatory language is needed assessment after determining that they identify those workers requiring a more in the WIOA rules to compel are individually eligible for the TAA comprehensive and specialized compliance with this new requirement, Program as part of the intake process. assessment of their skills. The since AAWs are eligible to be enrolled This meets a necessary component of Department recognizes that the lack of in the WIOA dislocated worker program the requirement at section 239(g)(4) of uniform requirements for assessments upon request. The States, under the the Act that each State perform ‘‘intake means that some assessments conducted Governor-Secretary Agreement, are of’’ trade-affected workers covered by a by partner programs may not meet all bound to the implementation of these petition. Intake includes these TAA Program requirements for an initial rules. The Governor-Secretary assessments but also the collection of assessment. If so, the State must Agreement binds the entire executive demographic information for reporting supplement those partner program branch of the State government to the purposes. The initial assessment must assessments with additional information terms and conditions of the Agreement include an evaluation of a trade-affected to comply with § 618.335. and the implementation of the TAA worker’s skill levels (including literacy, The same commenter who Program. This includes the numeracy, and English language recommended revising proposed implementation of the co-enrollment proficiency), abilities (including skills paragraph (a) similarly recommended requirement. The Governor, through the gaps), and supportive service needs. changing part of § 618.330(e) to remove State Workforce Development Board, the reference to the State, again saying Paragraph (b) has the authority to enforce the co- this change would account for the enrollment requirement at the State and Proposed paragraph (b) required that increased flexibility around staffing. For local area levels. States ensure the scheduling of the the reason discussed above, the Some commenters recommended that assessment gives trade-affected workers Department declines to make any additional clarity was needed on the enough time and information to changes to the regulatory text in permissible usage of TAA Program consider, request, and enroll in training response to this comment. funding for non-merit staff carrying out or obtain a waiver of the training One commenter stated that an initial activities under subpart C and said that requirement for TRA before expiration assessment will already have been this lack of clarity provided a reason to of the statutory 26-week deadline for completed as part of the intake process match the staffing flexibility described enrollment in training. prior to the establishment of an IEP and in the proposed regulations for the One commenter suggested revising argued that, as long as the worker’s Wagner-Peyser Act Employment the language of § 618.330(b) on the interests, skills, and capabilities are Service, that have since been finalized. scheduling of an initial assessment to sufficiently documented, this should The commenters cited language from avoid a conflict with the Department’s suffice, thus avoiding the need for the preamble of the Wagner-Peyser proposed changes for staffing flexibility additional forms and paperwork that NPRM (84 FR 29433, 29434 (June 24, at § 618.890 which would allow for the would burden case managers unduly. A 2019)) describing the Department’s assessment to be scheduled and different commenter said that the proposal in that context to allow States provided by parties other than the State. increased focus on data-driven AAW the flexibility to use different types of The final rule uses the term ‘‘State’’ assessments would require personnel and staffing models according because it is the State, bound by the administrators to allocate more to their needs. This final rule does not Governor-Secretary Agreement, that is resources to technical staff and systems. specifically address the Wagner-Peyser ultimately responsible for the provision Analysis of State expenditure levels Act Employment Service; rather, these of services and benefits under the TAA over the past several years shows that rules focus specifically on the Program. That does not mean, however, there are sufficient financial resources application of merit staffing provisions that the services cannot be provided by available to the States to meet these as they pertain to the TAA Program. other non-State entities acting on its requirements. Also, the development One commenter requested clarity on behalf. The Department has not made and enhancement of an integrated the types of documentation required to any changes to the regulatory text in service model within the one-stop demonstrate proof that a rapid response response to this comment. delivery system reduces duplication of event occurred. In many States, the The same commenter suggested a effort. As stated earlier, it is possible for provision of rapid response is recorded language change to help clarify that this intake, initial assessment, and during the intake process, through a requirement only applies to trade- establishment of an IEP to be developed cross-match within the State’s affected workers found eligible for the at the same time. These efforts must be management information system (MIS), TAA program under § 618.820(a). As documented in a worker’s case file, but or through another record-keeping provided in § 618.110, a trade-affected the Department has not prescribed database. This rule does not provide a worker is a member of a worker group standard forms or formats of those specific documentation requirement. found individually eligible for the TAA documentation requirements. The Department considered the Program. Therefore, no change to the The Department considered the comments received and has finalized regulatory text is needed to meet the comments received and adopts the the section in this final rule as commenter’s concern. section in this final rule as proposed. proposed. However, the Department has made a Section 618.335 Initial Assessment of minor edit to the regulatory text to Section 618.330 Assessment of Trade- Trade-Affected Workers change the use of a pronoun. Affected Workers Section 618.335 of the proposed rule Section 618.330 of the proposed rule Paragraph (e) implemented section 239(g)(4) of the required States to design an assessment Proposed paragraph (e) discussed Act. The WIOA implementing process. Section 239(g)(4) of the Act what to do if a partner program regulations at 20 CFR 678.430(a)(3) permits the Department to require initial conducts the assessment(s). The use of mirror the statutory language in WIOA assessments for all trade-affected partner programs’ assessments can section 134(c)(2)(A)(iii) on initial
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assessments. Section 618.335 aligned eligibility has been established, this for the worker and likely to lead to the TAA Program with WIOA and provision is adopted in the final rule as employment. provides the requirements for an initial proposed. In accordance with The same commenter stated that the assessment of trade-affected workers. § 618.330(f), a worker may refuse an proposed assessments could place The first step in the process is to assessment. excessive administrative burden on determine whether the worker will need One commenter recommended the workers seeking training, who, the employment and case management Department refrain from creating commenter said, currently face an services and training. The State must unintended barriers to occupational already complex system. The provide TAA Program benefit training as it develops standards for commenter also asserted that, while information to trade-affected workers no assessments and referrals to greater alignment with WIOA is later than at the time of the initial employment services. The same praiseworthy, ‘‘complete adoption’’ of assessment, as discussed in § 618.816(f). commenter offered several suggestions WIOA’s assessment process would not However, the State may provide this to improve procedures around the be appropriate for the TAA Program and information to a worker even earlier, comprehensive and specialized could lead to the ‘‘rationing’’ of training. upon receiving a notice of a certified assessment afforded to workers who To address these concerns, the petition covering that worker. disagree with their initial assessment, commenter recommended that the The Department received support for including respecting trade-affected Department merge §§ 618.335 and this provision from several commenters. workers’ right to training, considering 618.345 into one section that does the An LWDB stated that ensuring workers the duration and depth of a worker’s job following: have access to individualized search, assessing employment • Affirms the purpose of the assessments was an improvement and suitability, establishing timeliness assessment process as matching a commented that the language at standards, giving workers the worker with the best training § 618.335 mirrors language in the WIOA opportunity to decline diagnostic opportunity; regulations. A different commenter said testing, and explicitly stating that • Prevents delays in workers’ access the requirement to provide a aligning the process with WIOA’s initial to benefits for which they are eligible; comprehensive IEP for TAA-eligible assessment process is meant to increase • Avoids prolonging unemployment workers would help workers navigate coordination and decrease duplicative (i.e., because of ‘‘lag time’’ between complex decisions and choices related work rather than limit access to training. different steps in the process); to reemployment planning. The Department reiterates that this final • Requires States to provide initial Multiple commenters argued that rule has aligned the regulatory text with and comprehensive and specialized requiring an initial assessment for all WIOA regulations wherever possible. In assessments at the same time (e.g., trade-affected workers would increase addition, the Department continues to within 10 days); overall costs and may not be needed or encourage service integration between • Ensures that IEPs are completed valued by workers in all cases. The all partner programs. This final rule reasonably soon after assessments occur; explicit requirement for assessment is does not establish duplicative and not a change from current operations. requirements or barriers to training. • Makes clear that alignment with The statute requires the provision of One commenter raised concerns about WIOA’s approach is not meant to create employment and case management the potential for the Department’s new barriers to accessing training. services to all trade-affected workers, standards for assessments and referral to The Department is not establishing a and these requirements include intake employment services to erect barriers to sequence of services or specific and orientation activities. occupational training. The same timelines. The initial assessment, The same group of multiple commenter stated that the proposal does comprehensive and specialized commenters requested clarity on not require that the initial and assessment, and IEP, could be whether the initial assessment comprehensive and specialized accomplished in the same case requirement would apply only to trade- assessments occur ‘‘within a reasonable management session. In fact, some of affected workers interested in training amount of time,’’ which, if required, these elements may have already been or to all trade-affected workers. The would help facilitate workers’ performed by partner programs. As Department clarifies that an initial participation in training programs. The these services are already being assessment is required for all trade- commenter expressed concern that the provided by States, these explicit affected workers, not just those ‘‘two-prong approach’’ enshrines the requirements provide clarity to the interested in training. Initial idea that workers need to ‘‘qualify’’ for States, not additional processes. assessments are also valuable to those training rather than it being an Appropriately administered, these workers who only will receive entitlement accessible to them services will potentially shorten employment and case management immediately upon certification. The durations of unemployment and result services. purpose of assessments is not to create in better outcomes for trade-affected A State workforce agency barriers to training, but to ensure that workers. The Department has recommended that RTAA customers be training programs are appropriate for determined the goals outlined in the exempted from a skill level assessment, the worker and otherwise meet the comment are already met in the since they are already employed full- criteria for approval of training in regulations, so the provision is adopted time and may have to miss work to § 618.610. The criteria for the approval in the final rule as proposed, with the participate in literacy and numeracy of training in § 618.610 are largely exception of an edit related to the use assessments. The Department has unchanged from the previous rules. The of a pronoun in paragraph (b)(2). considered the proposal to exempt proposal described the requirement for RTAA from the initial assessment assessments to be conducted and for Paragraph (c) requirement; however, since RTAA also determinations on enrollment in Proposed paragraph (c) explained the allows workers to participate in TAA training to be based on those State’s options for service strategies approved training while reemployed assessments. This is not a barrier to based on the information gathered from and because assessments are generally enrollment in training, but an assurance the initial assessment. This involves conducted at intake, before RTAA that the selected training is appropriate first making a determination of whether
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or not there is suitable employment Section 618.345 Comprehensive and without a comprehensive and available to the trade-affected worker Specialized Assessment of Trade- specialized assessment or development and then identifying the options for Affected Workers of a full IEP. The Department moving forward. Section 618.345 of the proposed rule considered requiring a comprehensive A State workforce agency implemented section 235 of the Act. and specialized assessment, as well as recommended changing part of WIOA section 134(c)(2)(A)(xii) and its requiring an IEP, prior to the State § 618.335(c)(1) by editing the language implementing regulation at 20 CFR approving training under subpart F; alignment with WIOA, however, took related to providing employment and 678.430(b)(1) require States to provide precedence as it is a primary goal of case management services to account for comprehensive and specialized these regulations. The Department is the proposed increase in staffing assessments. WIOA draws a distinction finalizing this section in the final rule flexibility provided at § 618.890. The between basic career services and individualized career services as as proposed, except for a technical same commenter suggested making correction in § 618.345(b), replacing the individualized career services only are similar changes to § 618.335(c)(2), plural possessive pronoun ‘‘their’’ with required to be provided if it is which discusses making comprehensive the singular possessive noun determined appropriate. Section and specialized assessments available, ‘‘worker’s.’’. to account for such flexibility. The 618.345 aligned the TAA Program with commenter said the language at WIOA. Section 618.350 Individual § 618.335(c)(1) and (2) was confusing Proposed paragraph (a) required Employment Plans for Trade-Affected because it seems to indicate that making States to make available comprehensive Workers certain services available depends on and specialized assessments to all trade- Section 618.350 requires that States determinations regarding suitable affected workers. Proposed paragraph make IEPs available to trade-affected employment. The commenter said that, (b) provided requirements for the workers and details what must be since § 618.345 requires comprehensive content of the comprehensive and included in an IEP and States’ and specialized assessments for all specialized assessments. Proposed responsibilities with regard to trade-affected workers, § 618.335(c)(1) is paragraph (c) reiterated WIOA’s monitoring and updating IEPs. inconsistent in stating such assessments regulations and was meant to ensure Requirements related to IEPs were will be made available ‘‘[i]f the worker that States have the information needed previously located in 20 CFR part 617. disagrees with the determination.’’ to help workers select appropriate The NPRM proposed to revise and Subpart C defines ‘‘make available’’ to training and a viable future career, thus combine two separate paragraphs of 20 mean that the service must be provided increasing their chances of successfully CFR part 617, regulations covering if appropriate for the worker or if completing training and finding training programs at 20 CFR 617.20(b)(8) requested by the worker. sustainable employment. Proposed and reemployment plans at 20 CFR paragraph (d) allowed States to use 617.20(b)(13), and to implement a new The language in 618.335(c)(1) information from the comprehensive process for making IEPs available for proposed that after conducting the and specialized assessment to determine trade-affected workers. initial assessment, a State may already whether training can be approved under Proposed paragraph (a) required have sufficient information to determine the criteria listed in subpart F. States to make available an IEP to all whether suitable employment exists. If One commenter recommended trade-affected workers and required the it does, training cannot be approved and changing § 618.345(a) by qualifying the establishment of an IEP for workers who the State should ensure that additional term ‘‘all trade-affected workers’’ with apply for training under subpart F or a employment and case management ‘‘determined eligible for TAA Program job search allowance under subpart D. services are provided to assist the benefits under § 618.820(a).’’ The same Proposed paragraph (b) required that the worker to obtain the suitable commenter also maintained that the IEP use the results of the initial employment. The provision of (c)(2) language at § 618.345(c) discussing assessment and, if available, would apply where the determination is training opportunities and requirements comprehensive and specialized made that there is no suitable for training participation was more assessments to inform and document a employment available to the worker. An appropriate for § 618.330(b), because an service strategy that provides the trade- initial assessment is required as part of initial assessment is required to access affected worker with needed services for intake of AAWs and AAIWs (trade- the training benefit, but a reemployment. Proposed paragraph (c) affected workers) applying to enroll in comprehensive and specialized provided the required elements of an TAA Program benefits and services. If a assessment is optional. The commenter IEP. The IEP must be developed jointly partner program has already conducted further suggested that, to remain between the State and the trade-affected an assessment, it should not be consistent with the language at worker. These elements are required duplicated. If a worker does not seek § 618.330(e), the Department should because they cover most aspects of the enrollment in the TAA Program, then require the use of comprehensive and training and reemployment process. neither intake nor an initial assessment specialized assessments to determine Proposed paragraph (d) explained that is required. With respect to staffing whether workers meet the six criteria for the IEP can be developed by a partner flexibility, these rules use the term training approval. The Department program, but it must be supplemented ‘‘State’’ because it is the State, bound by reiterates that in accordance with to include the elements required in the Governor-Secretary Agreement, that §§ 618.335 and 618.345, States are proposed paragraph (c) if the IEP does is ultimately responsible for the required to ensure that every trade- not already include them. This reduces provision of services and benefits under affected worker has an initial duplication of services while still the TAA Program. That does not mean, assessment and that a comprehensive meeting program-specific needs. however, that the services cannot be and specialized assessment has been Proposed paragraph (e) required provided by other non-State entities. made available to him or her. As States to monitor the worker’s progress The Department considered the discussed in subpart F, a State may have toward meeting the IEP’s elements. comments received and adopts this sufficient information available to Proposed paragraph (f) required States section in the final rule as proposed. approve training under subpart F to modify the IEP as necessary, and with
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the worker’s input. States also must commenter asked whether this change The same commenter recommended modify the IEP when there is a change in language was intended to indicate removing ‘‘and industry’’ from proposed to the trade-affected worker’s approved that new targeted occupations or § 618.350(c)(1), which required that the training program or revisions to receipt training programs could be identified at IEP include the trade-affected worker’s of subsistence and transportation a later date even after a worker has employment goal, including the targeted payments. Proposed paragraph (g) already begun training for a different occupation and industry, since many explained that a trade-affected worker occupation. The Department explains occupations intersect with several seeking a job-search allowance under that the term ‘‘pursued training’’ does different industries. More broadly, the subpart D or training under subpart F not appear in the regulatory text as commenter suggested the main thrust of may refuse to participate in the IEP proposed or in the final rule. In this provision should be ‘‘identifying process. However, the trade-affected response to the commenter’s question the targeted occupation’’ for purposes of worker must provide sufficient regarding whether a worker could the IEP. After considering this comment, information, either through a partial IEP change his or her training program to the Department is retaining the or outside of the IEP process, for States pursue a change in occupational goals, reference to industry. While the to make a determination on the six under the right circumstances such a occupational goal is the determining required training approval criteria or the change could be appropriate. Section factor to be used in assessments and job search allowance application 618.665 of the final rule addresses the approval of training, the identification criteria. Failure to do so will result in circumstances under which an of an industry is also helpful in assisting denial of the training program or approved training program may be a trade-affected worker in seeking allowance. A trade-affected worker so amended. Any change, of course, must employment and selecting appropriate denied can appeal the training denial, in be documented in the worker’s IEP. The training, if needed. accordance with provisions in subparts Department anticipates a high demand The same commenter stated that there D, F, and H. for technical assistance related to was a disconnect between the proposed One commenter stated that the amending training programs and the language at § 618.350(e) and (c), because proposed rule’s discussion of relationship to IEPs. Technical the former requires the State to monitor employment plans does not mention assistance will be provided on these ‘‘measurable skill gains.’’ The topics. workers’ progress in meeting Department clarifies that measurable responsibilities, but the latter does not One commenter suggested several skill gains is not one of the statutory require that worker responsibilities be primary indicators of performance for revisions to the language found within documented in the IEP. The same the TAA Program, and thus is not § 618.350 to promote consistency with commenter also said that the covered in the regulatory text. other changes proposed related to the requirement at § 618.350(c)(2) to include The same commenter also stated that increased flexibility associated with the ‘‘The type of training proposed, if any,’’ there was no mention of the use of use of non-merit staffing. This in an IEP was too generic and suggested O*NET for the development of commenter recommended changing the revising it to state, ‘‘The specific employment plans. Although O*NET is language in § 618.350(a) from ‘‘A State training program proposed, if any,’’ not specifically included in the must’’ to ‘‘A State must ensure’’ an IEP because identifying the specific training is made available to workers to account regulatory text of § 618.350, it is program would aid the State in for the added flexibility of using non- mentioned in § 618.635, the provision identifying suitable services and merit staffing. The commenter also related to work-based training, and the supplemental assistance needs. The recommended revising the second Department maintains that O*NET is a Department agrees and has modified the sentence of § 618.350(d) by removing valuable source of information and tools regulatory text at § 618.350(c)(2) in the the words ‘‘by the State’’ to allow for the for States and workers to use in final rule to require the State to added flexibility to use non-merit developing IEPs, conducting document the training program staffing. The sentence would state, ‘‘If assessments, and providing other proposed in the IEP and has added a the IEP does not contain the employment and case management new paragraph (c)(5) to this section to components, the IEP must be services to workers. require that the IEP document the trade- supplemented, in conjunction with the One commenter said the new affected worker’s responsibilities under requirement in § 618.350(a)(1) that worker, to ensure it is fully compliant the plan. The addition of paragraph trade-affected workers receive an IEP with the TAA Program requirements in (c)(5) is an acknowledgment that the would lead to improvements in case this part.’’ Similarly, the commenter trade-affected worker has an active role management services for such workers. recommended changing the language at and responsibilities in the IEP process. The commenter stated that some trade- § 618.350(e), (f)(1), and (g) to provide affected workers might not need training that States, rather than carry out directly The same commenter sought to secure suitable employment and said certain activities described therein, clarification as to why an IEP was the TAA Program should not be a ‘‘one- must ‘‘ensure’’ the activities occur, required for the job search allowance, size-fits-all’’ program. The Department again to account for the added flexibility but not for the relocation allowance. concurs and appreciates the support. to use non-merit staffing. With respect This distinction, however, is based on One commenter requested clarity on to staffing flexibility, the Department language in the Act. For a relocation the meaning of the Department’s explains that this final rule uses the allowance to be payable, a worker must proposal at § 618.350(f)(1) that States term ‘‘State’’ because it is the State, have already secured new employment. must modify an IEP as necessary to bound by the Governor-Secretary When applying for a job search facilitate a successful outcome for the Agreement, that is ultimately allowance, the worker is still seeking trade-affected worker, because responsible for the provision of services employment, which gives rise to the § 618.350(c)(2) indicates that an IEP and benefits under the TAA Program. requirement for an IEP. The final rule documents the training program That does not mean, however, that other adopts this section as proposed, with ‘‘proposed.’’ The commenter claimed non-State entities cannot provide the the exception of the minor updates to that the Department later switches to services. No changes to the regulatory IEP documentation requirements in refer to ‘‘pursued’’ training. This text were made. § 618.350(c)(2) and (5).
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The Department is finalizing the two nonsubstantive edits to this section allowance. The Department has added a section in the final rule as proposed, of the final rule to remove the use of non-limiting list of examples of except for the changes noted above. parentheses, remove some repetitive allowable activities to the rule text, language, and replace the word ‘‘upon’’ though which activities are allowable Section 618.355 Knowledge, Skills, with ‘‘after,’’ and otherwise adopts may vary depending on the needs of the and Abilities of Staff Performing § 618.360 as proposed. individual. Some examples of activities Assessments that may be funded with a job search D. Subpart D—Job Search and Section 618.355 is a new provision allowance are: travel to and attendance Relocation Allowances that has no comparable counterpart in at job fairs and interviews; travel to and previous regulations or in Subpart D governs job search and attendance at prevocational workshops; administrative guidance. It requires that relocation allowances, which are making an in-person visit with a the staff performing assessments of authorized, respectively, under sections potential employer who may reasonably trade-affected workers possess certain 237 and 238 of the Act. Subpart D be expected to have openings for knowledge, skills, and abilities in order proposed to consolidate provisions suitable employment; completing a job to effectively provide employment and contained in subparts D, E, and F of 20 application in person with a potential case management services to trade- CFR part 617, which implement these employer who may reasonably be affected workers. This provision is allowances. Subpart D proposed to expected to have openings for suitable essential to ensuring that requirements largely preserve the 20 CFR part 617 employment; going to a local one-stop, under section 235 of the Act are fully requirements for job search and copy shop, Post Office, or similar entity implemented and that States provide relocation allowances, with a few to print, copy, mail, email, or fax a job high-level services. The NPRM substantive changes to reflect a statutory application, cover letter, and/or a proposed at paragraph (c) of this section increase to the limit for job search resume; going to a local one-stop, public that funds available under section allowance reimbursement per AAW and library, community center, or similar 235A(1) of the Act may be used to per certification to $1,250 from $800; an entity to use online job matching improve and maintain the knowledge increase in the maximum lump-sum systems, to search for job matches, and ability of staff conducting payment for relocation to $1,250 from request referrals, submit applications/ assessments. $800; and the definition of ‘‘suitable resumes, attend workshops, and/or An LWDB asked whether TAA employment’’ as used in the eligibility apply for jobs; and, attending a Program funds could be used to train requirement for both job search and professional association meeting for employees at partner agencies (citing relocation allowances, explained below. networking purposes. WIOA’s dislocated worker program staff Subpart D also proposed procedural as an example) that perform assessments changes from 20 CFR part 617. Section 618.410 Applying for a Job for trade-affected workers. The use of Finally, subpart D proposed to Search Allowance TAA Program funds in this manner is continue to require the use of the FTR Section 618.410 proposed the same already an allowable cost under the at 41 CFR chapters 300 through 304, in application process that is described in TAA Program and will continue to be so determining amounts to be paid to or on 20 CFR 617.31, but proposed changes to under this final rule. The Department behalf of workers by States for travel, the instructions on when to file an adopts this new provision into the final subsistence, and transportation benefits application. Under 20 CFR 617.31(b), an rule as proposed. to eligible AAWs. This is not a new AAW who is covered under a petition requirement; the Department already and who is totally or partially separated Section 618.360 Employment and Case requires use of the FTR for specified may apply for a job search allowance Management Services for Trade- purposes in 20 CFR 617.34, 617.42, and before or after the Department issues a Affected Workers in Training 617.45 through 617.47. Nevertheless, certification. Proposed § 618.410 Section 618.360 of the proposed rule there has been confusion in some States changed these procedures to require that was a new provision that had no as to what travel requirements apply to a State accept applications for job search comparable counterpart in previous the TAA Program. Subpart D, in allowance only after the Department has regulations and was added as a result of expanding references to the FTR, issued a certification. TAA Program oversight and monitoring proposed clarifications that workers A State workforce agency questioned the Department conducted. This section using job search and relocation whether the phrase ‘‘who has a total or required States to continue to make allowances are subject to the same partial separation’’ is required in employment and case management Federal travel rules as employees of the paragraph (b) of this section, since the services available to all trade-affected Department. definition of AAW contains that workers considering training (and for The Department is finalizing this concept. AAWs on a waiver from training in subpart in the final rule as proposed, The Department agrees that this accordance with subpart G), taking TAA except as noted below. Where the language is unnecessary and has approved training, or who have Department received comments on modified the regulatory text of the final completed training. specific paragraphs within a section, rule to remove that phrase and has made A nonprofit public policy details of those paragraphs as proposed other conforming edits in paragraph (b) organization expressed support for the in the NPRM are included to provide of this section. This is a nonsubstantive Department’s clarification in the context for the discussion of comments change. proposed rule that States must make that follows. No comments were The same State workforce agency also employment and case management received on proposed § 618.400, and the asked whether it was the case that an services available to workers who are in final rule implements this section as AAW would need to first apply under or have completed training, or are proposed. § 618.820(a) (determinations on initial considering training, because continued applications under applicable State law) employment and case management Section 618.405 General before receiving a job search allowance services will help workers overcome A commenter suggested adding under this section. The Department barriers to completing training examples of allowable activities that affirms that the worker would have to programs. The Department has made could be funded under a job search submit an initial application to establish
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eligibility because § 618.410(b) requires paying work—that would qualify as saying that the definition of ‘‘suitable that the worker apply for the job search suitable work under a State law. employment’’ does not mention such a allowance in advance of conducting the Suitable employment is work at a restriction. The State workforce agency actual job search activity. substantially equal or higher skill level recommended deleting the phrase from A different State workforce agency paying at least 80 percent of the AAW’s this section. opposed the proposed elimination in previous wage. Suitable employment States are required to review the § 618.410(b) of precertification differs from suitable work because, in availability of suitable employment applications for job search allowances, most States, suitable work includes jobs within the area of the job search. As which it understood to impact with wages, skills requirements, or both expressed in the NPRM preamble, the relocation allowances as well. The State that are lower than those in jobs that Department largely expects this benefit workforce agency said that the change would qualify as suitable employment to be used for workers to travel to in- would be unhelpful to workers, because under the Act. Proposed paragraph person interviews or job fairs outside of they might not realize that they must (a)(3) also added ‘‘employment that pays their commuting area. A State must apply for allowances before initiating a wage of at least the 75th percentile of determine that no suitable employment job searches or relocations, and the national wages, as determined by the is available to the worker in the certification process can last for months. National Occupational Employment commuting area before approving a job The State workforce agency suggested Wage Estimates.’’ This alternative search allowance. The Department has the Department should amend the ensures that AAWs who can reasonably made no change to the regulatory text in provision to allow workers who moved expect to find a job that otherwise meets response to this comment. between the impact date and the the suitable employment definition Multiple commenters sought certification date to remain eligible for except that it pays a wage of at least the clarification on the 75th percentile of relocations allowances to defray costs 75th percentile of national wages, rather national wages via the National already incurred. than paying at least 80 percent of the Occupational Employment Wage Workers are not eligible for job search AAW’s previous wage, would still be Estimates. or relocation allowances under the TAA eligible for job search allowances. To find the 75th percentile of national Program until after a certification is Numerous commenters expressed wages, as determined by the National issued and they are determined to be support for the new provision allowing Occupational Employment Wage AAWs. The Department maintains that employment that pays at least the 75th Estimates, visit the U.S. Bureau of Labor it is necessary for States to be made percentile of national wages (and meets Statistics (BLS) web page, select the aware of the worker’s planned job other requirements) as an alternative to appropriate State and occupation for the search and relocation activities, at the suitable employment as long as its effect worker, view percentile wage estimates, outset, to ensure expenditures will be is to increase the number of trade- and locate the 75th percentile. Similar appropriate. The requirement that the affected workers eligible for job search comments were received for the same FTR apply to AAWs also prohibits allowances. One commenter stated that provision in the relocation allowance eligibility to impacted workers who are the change would enable more workers section. The Department will provide not yet covered by a certification. to access the benefit, because it lowers training on this topic. Workers needing job search assistance the threshold for eligibility, and asked A State workforce agency sought an prior to a petition determination should whether the Department planned to edit to § 618.415(a)(3) that would clarify be referred to WIOA or other partner clarify further how to use the National the requirements regarding the programs. Occupational Employment Wage applicability of the definition of suitable No change has been made to the Estimates, saying that its State employment. The Department has regulatory text in response to these ‘‘typically has lower wages.’’ modified the regulatory text by comments. The Department made a One commenter said the provision is restructuring (a)(3) from a single nonsubstantive change in paragraph (b) confusing and stated that it would need paragraph into a list for clarity. of this section, as discussed above, and training itself before training one-stop Section 618.415(a)(4) otherwise adopts § 618.410 in the final center staff in its State on its rule as proposed. implementation and also expressed Proposed paragraph (a)(4) of this concern about the complexity of the section established for the first time that Section 618.415 Eligibility for a Job website containing the National the State determines whether an AAW Search Allowance Occupational Employment Wage could reasonably expect to find suitable Section 618.415 proposed eligibility Estimates referenced in the provision, employment through alternatives to a requirements for job search allowances. saying it would require training to use job search allowance, such as by having Section 237(a)(2)(B) of the Act requires it correctly. Another commenter an AAW search and interview for jobs as a condition for receipt of a job search requested clarification about whether through electronic means. allowance that an AAW cannot the percentile standard is based on all One commenter requested reasonably be expected to secure occupations or only the occupation in clarification about the ‘‘alternatives to suitable employment in his or her which the worker is searching for jobs. being physically present’’ part of this commuting area. The Department has The Department explains that, when provision. made two edits to the use of pronouns applying the 75th percentile, the State Examples of such alternatives would in paragraph (a)(1)(i). would use the percentile for the be telephone or video interviews, but occupation of the job in question. If this is not an exhaustive list and the Section 618.415(a)(3) there are multiple jobs available that Department encourages States to Proposed paragraph (a)(3) of this might be suitable, the percentile for that innovate in serving workers. section substituted the term ‘‘suitable specific occupation would apply. The The same commenter said its State employment’’ for ‘‘suitable work’’ and Department will provide training on this permits many job search activities to eliminated the reference to long-term provision. serve as the basis for a job search duration. As proposed, suitable A State workforce agency sought allowance, including attendance at employment may exclude some work— clarification on the purpose of the prevocational workshops or job fairs, i.e., some lower skilled and lower phrase ‘‘in the area of the job search,’’ ‘‘job matching’’ through the State’s
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system, and ‘‘traditional’’ job The Department is aligning the agent Cost Principles, and Audit interviews. The commenter added that State’s provision of services with Requirements for Federal Awards the State based these permissible funding for those services and is (Uniform Guidance) at 2 CFR part 200. activities on a Department-sponsored assuring the retention of the policies of At the time of the proposed rule’s webinar. The commenter asked whether the liable State to give strength to a publication, receipts were required for the proposed language meant that the seamless transition for the worker. all lodging and purchased State could approve allowances for Further explanation is provided in transportation expenses. A receipt was interviews only. § 618.824. The Department has made no also required for any expense of $75.00 The Department confirms that all of changes to § 618.420 regulatory text in or greater. the examples above could be allowable the final rule as a result of these A State workforce agency requested activities under the job search comments, but edited the section more specificity in paragraph (d) of this allowance benefit. In response to this heading for § 618.420 to specifically section about which sections of the FTR comment, the Department has included refer to a job search allowance. and the Uniform Guidance provide the a nonexhaustive list of allowable applicable requirements for activities in the regulatory text at Section 618.425 Amount of a Job Search Allowance documentation of expenses. The State § 618.405(a). workforce agency also recommended Section 618.425 proposed how to Section 618.420 Findings Required for revising the last sentence of this calculate the amount of a job search a Job Search Allowance provision to clarify that an allowance. ‘‘adjustment’’ in cases where the State Section 618.420 proposed what a One commenter requested has advanced the worker more than the State must find before approving a job clarification about the meaning of the allowable amount means the worker search allowance, and further delineates phrase ‘‘by the usual route’’ with respect must reimburse the State for the the responsibilities between a liable to the calculation of allowable travel difference. The State workforce agency State and an agent State, when a job expenses under proposed suggested modeling this recommended search occurs in a different State from § 618.425(a)(1). revision on the language used in the liable State. Proposed subpart H, The Department has determined that § 618.460(c)(2) (e.g., ‘‘the worker must Administration by Applicable State the phrase ‘‘by the usual route’’ means repay any excess received’’). Agencies, would establish the a route by which most commuters responsibilities of the liable State and would typically travel. The route is The FTR is maintained by the General the agent State. Specifically, § 618.824 usual if it is a reasonable one and not Services Administration (GSA) and can proposed that the liable State would unduly out of the way. The Department be accessed at https://www.gsa.gov/ make all determinations on each claim has made no changes to the regulatory policy-regulations/regulations/federal- for program benefits, and the agent State text in the final rule in response to this travel-regulation/federal-travel- would pay the costs for job search and comment. regulation-and-related-files. The relocation allowances. The same commenter also Uniform Guidance is maintained by the Proposed paragraph (b) of this section recommended adding the words Office of Management and Budget added a new requirement that the agent ‘‘payment or’’ to § 618.425(b), regarding (OMB) and is available at https:// State, when requested by the liable the total limit for a job search www.ecfr.gov/cgi-bin/text-idx?tpl=/ State, must verify with the employer allowance, so that it reads, in part, ‘‘the ecfrbrowse/Title02/2chapterII.tpl. After and report to the liable State whether State must reduce the job search reviewing the suggestion to clarify the AAW has obtained suitable allowance by the amount of the language in § 618.430(d), the employment, or a bona fide offer of payment or reimbursement.’’ This Department concurs with the suggestion suitable employment, and pay the job suggested language considers that some to use the same language from search allowance. job search allowance costs may be paid § 618.460(c)(2). The Department has One commenter expressed concern directly to a provider or vendor. In those made nonsubstantive edits to this that involving the agent State in job instances, those costs are not a section in the final rule, including search allowances would complicate the reimbursement. Upon consideration, the correction of a cross-reference to the process and ‘‘frustrate a potentially Department has added the section heading of a different section, already frustrated affected worker.’’ The recommended language to the edits to the use of a pronoun, and a commenter recommended keeping the regulatory text in the final rule at clarification of the term ‘‘adjustment.’’ liable State as the party responsible for § 618.425(b). The Department has also Section 618.435 Job Search Program paying these allowances, asserting it made two edits to the use of a pronoun Participation would be more efficient than the and related subject-verb agreement. Department’s proposal. To be clear, if a In the NPRM, the Department worker is traveling outside of the liable Section 618.430 Determination and proposed § 618.435 as a replacement for State for a job search allowance, but is Payment of a Job Search Allowance 20 CFR 617.49 and to implement section not accessing or receiving any services Section 618.430 proposed to require 237(c) of the Act which provides that a in the State he or she is traveling to, an AAW to provide supporting State may reimburse any AAW for then the State to which the worker documentation upon completion of a necessary expenses incurred by the travels is not an agent State. In that job search in order for the State to make worker in participating in an approved scenario, the liable State is also the payment and requires the State to job search program (JSP). agent State. reimburse the AAW promptly. Proposed paragraph (c) of this section As liable and agent State Proposed paragraph (d) of this section required that subsistence and responsibilities apply to various types of specified the evidence an AAW must transportation costs must be approved, decisions, the Department has aligned provide to receive a job search as appropriate, for workers participating the responsibilities in this final rule allowance. The Department proposed in a JSP and the JSP may be within or based on years of feedback and requests aligning the requirements for outside the AAW’s commuting area. for technical assistance as well as documentation with the FTR and the One commenter said it was not clear reviewing requests for reserve funds. Uniform Administrative Requirements, why transportation and subsistence
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payments would be provided for travel prior to submitting an application for a provision is confusing and stated that it within the worker’s commuting area. relocation allowance. Furthermore, an would need training themselves before A JSP is different than the job search application for relocation allowance training one-stop center staff in its State allowance and is governed by a separate must be approved by the State prior to on its implementation. The commenter statutory provision. Section 237(c) of the beginning of the relocation. The also expressed concern about the the Act provides an exception to the Department has modified the regulatory complexity of the website containing restrictions provided in section 237 text in the final rule to remove the the National Occupational Employment governing job search allowances. Thus, language regarding separations since an Wage Estimates referenced in the the statutory prohibition on paying for AAW has already experienced a provision, saying it would require transportation and subsistence within separation. training to use it correctly. the commuting area does not apply to a Similar comments to the above were JSP. The Department has made no Section 618.445 Eligibility for a received for § 618.415 under the job change to the regulatory text in the final Relocation Allowance search allowance provisions. Section rule in response to these comments. Proposed § 618.445 on eligibility for a 618.415 proposed the same use of the relocation allowance combined the 75th percentile of national wages as an Section 618.440 Applying for a requirements in 20 CFR 617.42 additional option for determining Relocation Allowance (Eligibility) and 617.43 (Time of suitable employment for eligibility of a Section 618.440 of the proposed rule relocation), edited them for clarity, and job search allowance. The comments described the application process for a made several significant changes. received on that proposed rule were relocation allowance but differed from Section 618.445(a)(5) nearly identical to those in this section. 20 CFR 617.41 on when to file an The Department did not revise application. Proposed § 618.445(a) removed the § 618.445(a)(5) and the final rule adopts Proposed paragraph (b) allowed an requirement in 20 CFR 617.42(a)(5) paragraph (a)(5) of this section as AAW to apply for a relocation regarding registration with the State proposed. allowance only after the Department agency from the job search eligibility issues a certification covering that requirements because the Act does not Section 618.445(a)(6) worker. This is consistent with section contain a registration requirement for Proposed paragraph (a)(6) of this 238(a)(1) of the Act, which permits ‘‘an relocation allowance eligibility and section integrated 20 CFR 617.42(a)(7) [AAW] covered by a certification . . . to because proposed § 618.310 of subpart and 617.43 and simply stated the two file an application for a relocation C, absent from 20 CFR part 617, already statutory 182-day time limits for allowance.’’ This mirrored the change required that States make available beginning a relocation, instead of stating for job search allowances reflected in employment and case management that an AAW must begin a relocation proposed § 618.410, which also does not services to all trade-affected workers. ‘‘within a reasonable period’’ and later permit applications until after the Further, proposed paragraph (a)(5) of elaborating on what is a reasonable Department issues a certification. A this section departed from 20 CFR period merely by providing the same State may not issue a relocation 617.42(a)(6) in three respects. Proposed deadlines as in this proposed paragraph allowance or a reimbursement to anyone paragraph (a)(5) of this section (a)(6). Proposed § 618.445 omitted not covered by a certified petition for substituted a Federal law definition of references to reasonable period to begin any reason. As previously noted in the ‘‘suitable employment’’ for ‘‘suitable a relocation because the firm deadlines preamble discussion of proposed work’’ under State law and eliminated provided for an AAW beginning a § 618.410 regarding job search the reference to ‘‘affording a reasonable relocation are sufficient and render allowances, the Department proposed expectation of employment of long-term moot the references to a reasonable this change because permitting duration,’’ because the concept of long- period. precertification applications can raise term employment is substantially Two State workforce agencies workers’ expectations of payments that included in the definition of ‘‘suitable requested additional guidance on the may not become available. employment.’’ Proposed paragraph language in § 618.445(a)(6)(ii), regarding Proposed paragraph (b) of this section (a)(5) of this section also added workers who have completed an also contained the requirement that the ‘‘employment that pays a wage of at approved training program, that State may approve the relocation only least the 75th percentile for national conditions the time limit on the workers after an AAW files an application and wages, as determined by the National having received supplemental before such worker undertakes the Occupational Employment Wage assistance under § 618.640(c) and (d), relocation. Estimates.’’ This alternative ensures that because the training occurred outside A State workforce agency questioned AAWs who obtain or receive a bona fide their commuting area. One of the State whether the phrase ‘‘who has a total or offer of a job that otherwise meets the workforce agencies asked whether this partial separation’’ is required in suitable employment definition except provision would allow only workers paragraph (b) of this section since the that it pays a wage of at least the 75th who completed training with definition of AAW contains that percentile of national wages, rather than supplemental assistance extra time in concept. The State workforce agency paying at least 80 percent of the AAW’s which to begin relocation, thus also asked whether it was the case that previous wage, would still be eligible excluding workers who did not receive an AAW would need to first apply for relocation allowances. supplemental assistance. The same State under § 618.820(a) (determinations on Numerous commenters expressed workforce agency said that such an initial applications under applicable support for the new provision allowing approach would be ‘‘manifestly unfair’’ State law) before receiving a relocation employment that pays at least the 75th to workers with employment prospects allowance under this section. percentile of national wages (and meets outside their commuting area. A The Department explains that this other requirements) as an alternative to different commenter asked the question is the same as the one raised suitable employment as long as its effect Department to keep the time limit for a under the job search allowances section is to increase the number of trade- worker to begin relocation and receive (§ 618.410) and reiterates that a worker affected workers eligible for relocation an allowance the same to preserve must first be determined to be an AAW allowances. One commenter said the AAWs’ access to services.
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While the Department appreciates the relocate, whether to a different State or arrange for a carrier and insurer selected commenters’ input, the 182-day period within that same State, then the State of by the AAW to move and insure a after the conclusion of an approved residence should be considered the worker’s household goods and personal training if the worker received agent State, thus assuming effects. Proposed paragraph (a)(3)(iii) supplemental assistance and responsibility for the relocation also provided that the State may make transportation assistance is a statutory allowance. Several other commenters payment of 90 percent of moving and requirement found in sections were concerned with some of the insurance costs directly to the carrier 237(a)(2)(C)(ii) and 238(a)(2)(E)(ii) of the language regarding agent and liable and insurer. Under proposed paragraph Act. The Department does not have the States. (a)(4), a relocation allowance is paid as authority to establish a different If a worker is relocating to a State a lump sum equal to three times the deadline. Accordingly, the Department other than the liable State, but not worker’s average weekly wage, not to declines to revise this section and this receiving any services in the State he or exceed $1,250. The lump sum final rule adopts this section as she is relocating to, then the State to maximum reflects the statutory limit proposed, with an edit to the use of a which the worker travels is not an agent and is an increase from the $800 pronoun in paragraph (b). State. In that scenario, the liable State is maximum provided in 20 CFR both the liable and agent State and 617.45(a)(3). Section 618.450 Findings Required for would be responsible for making the A State workforce agency asked a Relocation Allowance payments. whether relocation allowances pay for The Department proposed § 618.450 As liable and agent State moving equipment, such as boxes and in the NPRM as the counterpart to 20 responsibilities apply to various types of tape, dollies, and car trailers. This is a CFR 617.44 and delineated in this decisions, the Department has aligned very fact-intensive inquiry and difficult section the responsibilities between a the responsibilities in this final rule to answer without additional specific liable State and an agent State with based on years of feedback and requests information. The Department refers the respect to relocation allowances when a for technical assistance as well as State to the FTR and advises it to direct relocation occurs to a different State reviewing requests for reserve funds. any additional questions to its from the liable State. Proposed subpart The Department is aligning the agent appropriate regional office who can H established the responsibilities of the State’s provision of services with assist with answering what is a very liable State and the agent State. funding for those services and is fact-dependent question. Specifically, proposed § 618.824 assuring the retention of the policies of One commenter supported the established that the liable State makes the liable State to give strength to a proposed increase in the amount of all determinations on each claim for seamless transition for the worker. insurance coverage for a worker’s program benefits, and the agent State Further explanation is provided in household goods from $10,000 to pays the costs for job search and § 618.824 and the regulatory text is $40,000, arguing that the costs of such relocation allowances. unchanged. The Department has goods have gone up considerably since One State workforce agency expressed determined that the previous rules in 20 the amount was last revised. A State concern that involving the agent State in CFR part 617 on this topic were workforce agency requested clarification relocation allowances would complicate incomplete and, by making agent and about whether a State must follow the process unnecessarily and could liable State activities more consistent in procurement rules in carrying out confuse workers by introducing a party this final rule, there will be less proposed § 618.455(a)(3)(iii), under they might otherwise have no need of confusion in the States and reduced which the State may make direct knowing. Two different commenters requests for technical assistance around arrangements to relocate a worker’s requested clarification about the these areas. belongings. provisions regarding assistance for Similar comments were received The Department affirms that States are which an agent State is responsible. One under the job search allowance subject to the Uniform Guidance, which of those commenters expressed provisions regarding which State is requires States to use their non-Federal confusion about what the proposed responsible for making payments. The procurement standards. language means and asked to which of Department modified the section Two commenters supported the full the following situations it applies: (1) A heading for this section to reference a amount of a relocation allowance being worker moves to the agent State and relocation allowance and corrected the paid as a lump sum. One of the then requests a relocation allowance for citation in paragraph (a)(2) to reference commenters stated that the amounts another move within the agent State; or § 618.445(a)(1); otherwise, the final rule available to workers for relocation are (2) a worker requests a relocation adopts this section as proposed. still ‘‘minimal,’’ but said paying the allowance to move from the liable State total allowance in one installment to the agent State. Similarly, a different Section 618.455 Determining the would be more effective than State workforce agency asked the Amount of a Relocation Allowance distributing it over time. Similarly citing Department to confirm its reading of the Section 618.455 in the proposed rule research showing the importance of provision as meaning that, when an consolidated, reorganized, and updated income and reemployment supports to AAW relocates from a liable State, the the previous requirements for displaced workers, the other commenter State to which the AAW moves is the determining the amount of a relocation stated that the financial effects of job agent State, and the agent State is allowance in 20 CFR 617.45 (Amount), loss can be substantial and stated that responsible for the relocation allowance. 617.46 (Travel allowance), and 617.47 enhancing access to such supports can The same State workforce agency said it (Moving allowance). help these workers search for jobs more would make more sense, in that case, for Proposed paragraph (a)(3)(ii) effectively. the liable State to remain responsible for increased the allowable amount of The Department concludes that this relocation allowance applications and insurance coverage of household goods practice will limit the financial strain payments. Conversely, the State and effects to $40,000 from $10,000, experienced by workers as they workforce agency suggested that in found in 20 CFR 617.47(a)(1). Proposed transition to new employment. The cases where the AAW already lives paragraph (a)(3)(iii) provided that, if Department has made six minor edits in outside the liable State and wants to more economical, the State may directly paragraph (a) related to the use of
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pronouns, and otherwise adopts this could be burdensome for workers and One commenter expressed confusion section in the final rule as proposed. suggested reimbursement based on about the intent of paragraph (d)(1) of known costs as a more streamlined this section, regarding the use of Section 618.460 Determinations and approach. Two commenters said that, if commercial carriers to move a worker’s Payment of a Relocation Allowance paid in advance of a relocation, workers belongings, and stated its interpretation Proposed § 618.460 regarding and their families would be less likely of the provision as follows: If the AAW determinations and payment of a to ‘‘cooperate’’ when it came time to is the one paying the carrier and insurer, relocation allowance served the same submit documentation of the actual then the State must advance payment to purpose as 20 CFR 617.48 (Time and costs incurred. One of the commenters the AAW, but if the State is paying, then method of payment), with some changes suggested instead paying 50 to 60 it must pay the carrier and insurer and reorganization. Nothing in percent up front with the remainder directly before the scheduled shipment. § 618.460 as proposed departed in payable upon completion of the move. The Department also made a similar substance from 20 CFR 617.48 except A commenter recommended making change in § 618.460(c) to make the same for the requirements that an AAW be advance payment optional by replacing clarification for payment of travel covered by a certification as a condition the word ‘‘must’’ with ‘‘may.’’ allowances. The same commenter said of the State accepting an application, With respect to the commenters’ that if this interpretation is correct, then and that workers submit documentation concerns about the practice of the Department should rewrite the supporting all lodging, transportation, advancing funds to AAWs related to provision to make that meaning clearer. and meal expenses to be reimbursed by relocation expenses, the Department After considering this comment, the the State. This documentation is advises that this is not a new Department concludes that the required for the same reasons it is requirement. The goal of this subpart D regulatory text in § 618.460(d)(1) could required for workers seeking is to convey the importance of reducing be clearer and has moved the provision reimbursement of expenses through the the financial stress placed on workers as proposed as § 618.460(d)(1)(iii) to job search allowance. Section 618.460 as they transition to new employment by § 618.460(d)(1) and rephrased it to proposed also reorganized the reducing their out-of-pocket expenses at clarify that, if the State is paying for the provisions of 20 CFR 617.48 and revised a time when they may still be commercial carrier, that payment must them for greater clarity. unemployed and by minimizing delays be made in advance. The Department Proposed Paragraph (c) caused by reimbursement procedures. also made two edits to the use of The requirement to advance funds is not pronouns in paragraph (d). Proposed paragraph (c) specified what The same commenter also said it was optional and States may not apply a the AAW must provide for expenses to ‘‘unsure about the logic’’ of the final percentage limit that is not authorized be reimbursed by a State under a sentence in paragraph (d)(1) of this in this final rule. These payments are relocation allowance. This specification section. Specifically, the commenter served to clarify 20 CFR 617.48(b)(1)(ii) subject to the overpayment provisions asked whether it means that payment by requiring workers to provide contained in subpart H at § 618.832 and must be made either exactly 10 days documentation in accordance with the workers should be advised of that at the before shipment or at the time of FTR and the Uniform Guidance. At the time the advances are paid. shipment, but cannot be made at any time of the proposed rule’s publication, Another commenter raised similar point in between. Finally, the this included receipts for all lodging, concerns regarding advance payment of commenter questioned whether the purchased transportation, and any the lump sum benefit. The lump sum purpose of the provision was to bar expense equal to or greater than $75.00. benefit, however, does not require payment more than 10 days before Several commenters expressed repayment as it may assist AAWs with shipment or to require payment within concerns about advance payments for out-of-pocket and incidental moving 10 days before shipment, and it said the relocation allowances. Some of these expenses not directly reimbursed latter framing would correspond to commenters argued that collecting through the relocation benefit. language in paragraph (d)(2) of this overpayments would be challenging. The Department is finalizing this section. The Department agrees that this Those commenters said receipts and provision in the final rule as proposed, section could be clearer. A 10-day evidence of completion should be with the exception of an edit to the use advanced payment window was required for payment and they argued of a pronoun. established in order to limit the that sometimes the only approach that Other Comments on Determinations and financial impact on workers during a will guarantee a worker follows the Payment of a Relocation Allowance time of transition to new employment. rules and remains in contact with staff The Department has moved the is the ‘‘promise’’ of future payment, A State workforce agency requested provision proposed in § 618.460(d) especially if the worker has moved clarification about how to calculate and (1)(iii) to § 618.460(d)(1) and rephrased across State lines. Two commenters said administer relocation allowances. A it to clarify that the payment must be compliance with the proposal would different State workforce agency asked made no earlier than 10 days in advance require changes to laws, policies and for more specificity in paragraph (c)(2) and no later than at the time of the procedures, or systems in States that as to which sections of the FTR and the scheduled shipment. currently do not allow advance Uniform Guidance contain the The same commenter also requested payments. A different commenter said applicable requirements for clarification about paragraph (f), that sometimes moves occur so rapidly documentation of expenses. The concerning when relocation is that the fiscal department does not have Department refers the States to 41 CFR considered complete, asking whether it enough time to process the payment in part 302, which provides the applicable is the case that delivery of belongings to advance. A State workforce agency said regulations for relocation costs. temporary storage completes relocation, that mandating advance payments by but only if the storage is within the area Paragraphs (d) and (f) States could weaken accountability and of relocation (as opposed to the area encourage fraud. The State workforce Proposed paragraphs (d) and (f) from which the worker moved). The agency also stated that tracking receipts incorporated the provisions from 20 commenter suggested that the first after payment has already been received CFR 617.48(b) and (d). sentence could be clarified by reversing
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the order of the ‘‘area of relocation’’ and requirements. This subpart E permits Department reiterates that the limit on ‘‘temporary storage’’ clauses so that it eligible AAWs to remain eligible for earnings for RTAA recipients is set by reads as follows: ‘‘An AAW completes RTAA when employed part-time, statute at section 246(a)(3)(B)(ii) of the a relocation when the worker and provided that the AAW is enrolled in Act, as is the total amount of the benefit, family, if any, along with household TAA approved training. Some AAWs which is set by section 246(a)(5)(A)(i) of goods and personal effects are delivered may receive a TRA, the income support the Act. The Department does not have to the new residence or to a temporary component of the TAA Program, before the authority to increase either of these storage within the area of relocation.’’ receiving their first RTAA benefit limits. However, the Department has While in most cases the commenter is payment. For such workers, section revised the regulatory text in correct that the relocation is completed 246(a)(4) of the Act requires reduction § 618.505(a)(2) to remove the word when the last of the household goods in the RTAA eligibility period by the ‘‘calendar’’ and to add language are delivered to the new residence, to number of weeks of TRA received as regarding the projection of earnings. The maintain the flexibility to fit all well as a reduction in the maximum language regarding projected earnings applicable workers, the Department did RTAA amount payable. has also been added to § 618.505(a)(3). not further define the completion of a Where the Department received One commenter wrote that proposed relocation because this will vary from comments on specific paragraphs within § 618.505(a)(4)(i) appeared to conflict worker to worker. The Department made a section, details of those paragraphs as with TAARA 2015, which it said a minor edit to the use of a pronoun in proposed in the NPRM are included to allowed full-time RTAA participants to paragraph (e). provide context for the discussion of participate in the TAA Program as well. comments that follows. No comments There is a statement contained in E. Subpart E—Reemployment Trade § 618.505(a)(4) that it is either full-time Adjustment Assistance were received on proposed §§ 618.500 and 618.530, and the final rule employment or a combination of Subpart E governs RTAA. TGAAA implements these sections as proposed. employment and training that provides established the RTAA program to eligibility. replace the demonstration project Section 618.500 Scope The same commenter added that the known as ATAA, established by Proposed § 618.500 set forth the scope provision also appears to be TAARA 2002. This subpart prescribes of this subpart. It included an contradicted by proposed § 618.520(b), regulations implementing provisions in explanation of what RTAA is, and which provided that RTAA recipients section 246 of the Act and incorporates explained that this subpart identifies the are eligible for TAA Program administrative guidance. Before subpart eligibility criteria and the benefits employment and case management E, there were no regulations covering available to AAWs who are eligible for services and training. The Department the RTAA program. RTAA. reiterates that RTAA participants are RTAA provides wage supplements to The Department received no eligible for employment and case eligible AAWs, aged 50 and older, who substantive comments on this section. management services and training. The return to work earning less than their Accordingly, it is adopted into the final regulatory text at § 618.505(a)(4)(i) does adversely affected employment and rule as proposed. not exclude workers who are employed $50,000 or less per year. AAWs full-time and also enrolled in training; receiving RTAA also may be eligible to Section 618.505 Individual Eligibility it is intended only to make clear that receive employment and case Section 618.505 as proposed workers employed full-time that management services, job search and enumerated the eligibility criteria for otherwise meet the RTAA requirements relocation allowances, and TAA RTAA, as set forth in section 246 of the need not be in training to receive the approved training. If the HCTC benefit Act. benefit. is available, RTAA recipients are A nonprofit public policy Paragraph (a) eligible to apply for or claim the HCTC. organization supported providing wage The goal of RTAA is to encourage Proposed paragraph (a) outlined the insurance to part-time workers receiving reemployment for older workers who general age, wage, and reemployment TAA approved training, writing that may find it difficult to secure a new job requirements to be eligible for RTAA. doing so will help workers balance work that pays as much as their old job. Proposed paragraph (a)(4)(i) codified and education. The Department Section 246(a)(3) of the Act sets forth that the determination of whether an appreciates the commenter’s support. the eligibility criteria for RTAA. An AAW is employed full-time is based on AAW is eligible for RTAA after the definition of full-time employment Paragraph (b) beginning a new, full-time job at a firm in the State in which he or she is Proposed paragraph (b) explained other than the one from which the AAW employed. terms specifically for the purposes of was separated (or combination of jobs at One commenter wrote that the wage RTAA. As explained in more detail in firms that equate to full-time cutoff of not more than $50,000 in the preamble to subpart A in the NPRM, employment) that pays less (or § 618.505(a) should be reconsidered, the proposed definition of ‘‘firm’’ collectively pays less if a combination of recommending that it either be set to the revised the term at 29 CFR 90.2. Of note, jobs) than the AAW’s adversely affected 75th percentile of national wages the proposed definition of ‘‘firm’’ employment, or after beginning TAA according to National Occupational incorporated the definition set forth at approved training while reemployed at Employment Wage Estimates or based section 247(3) of the Act. Pursuant to least 20 hours per week at a new job on workers’ ‘‘customary job the Act, the term ‘‘firm’’ means ‘‘a firm, with a firm other than the one from classification.’’ The same commenter including an agricultural firm or service which the AAW was separated. maintained that RTAA should protect sector firm; [or] an appropriate Compared to ATAA, RTAA expands workers who accept lower paying jobs subdivision thereof.’’ Therefore, the the range of benefits available by rather than partial separation. Another term ‘‘firm’’ in the RTAA context means permitting training while receiving commenter wrote that the salary cap ‘‘firm or appropriate subdivision.’’ RTAA, and by allowing receipt of RTAA and compensation available to RTAA Proposed paragraph (b)(1) provided after such training is completed, if the recipients should be raised in light of instructions to States on how to make AAW otherwise meets eligibility wage increases since 2002. The decisions relative to determining RTAA
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eligibility based on whether or not the employment is defined by the law yet been passed. The Department Department issued a certification for a applicable to the State in which the advises that if there is no definition of subdivision of a firm or the entire firm. reemployment occurs. The Department full-time employment in applicable Proposed paragraph (b)(2) explained proposed to define State law in State law, use of adjudicatory decisions that the term ‘‘firm’’ includes § 618.110 as the State UI law. Proposed or similar determinations would be predecessors and successors-in-interest, paragraph (c)(1) explained that if State appropriate. The State also is permitted, affiliated firms, and continuity of law does not contain a definition of full- under § 618.808 to establish a definition operations at the same location. The time employment, the State is required for TAA Program purposes. proposed regulatory text established to define full-time employment for Paragraph (d) several criteria in descending order that RTAA purposes. Proposed paragraph the State should apply to determine (c)(2) required the State to verify Proposed paragraph (d) provided that whether one firm is a successor-in- reemployment in accordance with State an application or eligibility for UI is not interest to another, including a list of policies. Verification of the firm can needed for RTAA purposes. There is no conditions at paragraphs (b)(3)(i) occur by such communication methods direct relationship between UI and through (vii) that a State may need to as email, phone call, certified letter, or RTAA. Eligibility for RTAA is not consider when rendering a other means determined by the State. dependent on eligibility for UI. No determination. The intent of this Proposed paragraph (c)(3) established comments were received on this provision was to assist States in that if an AAW has multiple jobs, the paragraph. determining whether the AAW has State must combine hours of all Paragraph (e) become employed by a ‘‘firm’’ that is employment to determine whether the different from the ‘‘firm’’ from which worker meets the definition of full-time Lastly, proposed paragraph (e) the worker was separated in accordance employment. Proposed paragraph (c)(4) explained the types of employment that with section 246(a)(3)(B)(iv) of the Act. provided that if the worker is employed are considered qualifying reemployment A commenter wrote that proposed in more than one State, the State must for RTAA. Proposed paragraph (e)(1) § 618.505(b)(2)(iii) has two seemingly apply the State law with the lowest established that qualifying contradictory statements on the RTAA threshold of hours required for full-time reemployment under RTAA is the same eligibility of workers reemployed with a employment. as covered employment for UI purposes. successor-in-interest to their former A State workforce agency Proposed paragraph (e)(2) explicitly firm. The same commenter also recommended altering § 618.505(c)(4)(i) allowed a State to consider employment questioned why these statements are (the Department believes the commenter that provides wages plus commission, located in § 618.505 and suggested is referring to § 618.505(a)(4)(i)) to make and piecework-based employment to be relocating them to ‘‘another section’’ the applicable definition for ‘‘full-time reemployment when determining RTAA without specifying which one. The employment’’ correspond with that of eligibility. The Department proposes to Department found no contradiction in the liable State, rather than the State in authorize these specific types of the regulatory text. The intent of the which the AAW is employed. The employment to ensure that States are regulation is to prohibit a situation Department explains that the liable not limiting reemployment where a firm is sold to a successor-in- State must still make the determination opportunities. Proposed paragraph (e)(3) interest and the AAWs’ wages are then based on the definition of full-time provided that qualifying reemployment cut, resulting in the payment of RTAA employment of the State in which the may include multiple jobs. In some to continue to provide workers with AAW is reemployed. The Department is instances, an AAW may have multiple similar wages and shifting the burden making no change to this practice. part-time jobs instead of a single full- from the employer to the government. A State workforce agency time job. This flexibility will allow One commenter asked for further recommended that workers at successor- AAWs to combine multiple part-time guidance on the term ‘‘continuity,’’ as in-interest firms be eligible for RTAA jobs to be considered full-time used in proposed § 618.505(b)(3). The when they work for reduced wages, employment. Proposed paragraph (e)(4) commenter also asked if the term arguing that they should be able to provided that the State must count ‘‘majority’’ should be interpreted to accept suitable employment without hours in which an RTAA-eligible mean that at least four of seven criteria risking their UI benefits. The State worker is on employer-authorized leave apply. The Department is choosing not workforce agency said that this practice as hours of work for purposes of to define either of these terms in could help older workers especially find meeting the full- or part-time regulatory text to allow flexibility for reemployment while receiving modest employment definitions of this section, States to interpret the test. With regard RTAA subsidies. The Department provided that doing so is consistent to continuity, there may be a short gap declines to adopt this suggestion and is with State law. The Department found in operations from the firm to the making no change to regulatory text as that States were not counting holidays successor. proposed because section or leave as hours of employment. This The Department has added, for 246(a)(3)(A)(iv) of the Act expressly resulted in States disqualifying AAWs purposes of RTAA, a definition of the prohibits payment of RTAA to an AAW when there was a paid, observed term ‘‘year.’’ For purposes of RTAA, a who is employed at the firm from which holiday because the AAW did not year represents the 12-month period he or she was separated, and a ‘‘work’’ those hours, or in instances beginning with the first full week of successor-in-interest, as defined in this where the worker may have used a sick qualifying reemployment. This final rule, is considered to be the same day. definition was added to resolve the firm. A State workforce agency requested issues with earnings projections for One commenter wrote that, regarding that the Department reconcile an eligibility and continued eligibility in the requirement in proposed paragraph apparent conflict between proposed § 618.515(a)(3). (c)(1) that States define full-time paragraphs (c)(4) and (e)(3). The State employment, the commenter was workforce agency provided an example Paragraph (c) currently using a definition from scenario of a worker employed in two Proposed paragraph (c) explained adjudicatory decisions rather than from States, one of which does not allow for that, for purposes of RTAA, full-time a State statute, as no such statute had the consideration of multiple jobs in
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determining full-time employment. The remaining portion of the eligibility ‘‘year’’ for RTAA purposes at Department refers the State to the period. Section 246(a)(7) of the Act § 618.505(b)(4). Further, under existing appropriate regional office for these type prohibits payment of TRA and RTAA administrative guidance, at the point a of hypothetical scenarios. In general, for the same week. worker’s annualized reemployment when there is disagreement between Proposed paragraph (a)(3) established wages are projected to be above $50,000, agent and liable States, it is vital that the a requirement that if the computed RTAA is stopped until such time as a regional office be involved in resolving annualized reemployment wages exceed recalculation shows an annualized any potential conflicts as there are likely $50,000, no additional RTAA payments reemployment wage of $50,000 or less. multiple factors to consider. could be made unless conditions were Workers remain otherwise eligible for No changes were made to the to change again, resulting in RTAA until they actually earn, or are regulatory text and the proposed recomputed annualized reemployment projected to earn, $50,000 in a year—as language was adopted in the final rule. wages of $50,000 or less. This provision now defined in § 618.505(b)(4) for was proposed to reduce the likelihood Section 618.510 Eligibility Period for purposes of RTAA. Section and number of overpayments that 618.515(a)(3) and (d)(1) have been Payments of Reemployment Trade would otherwise occur. modified in the final rule to codify this Adjustment Assistance and Application One commenter wrote that the requirement. Deadline proposal would unfairly impact workers An AAW who is approved for RTAA Section 618.510 of the NPRM set forth in fields with variable income streams, and who continues to meet the the eligibility period for payments of such as commission-based workers for eligibility criteria will be paid RTAA RTAA as provided by section 246(a)(4) whom a single high earning month benefits until the end of the eligibility of the Act. could result in them losing a year of period or the payment of $10,000, Proposed paragraph (a) provided that, eligibility. The same commenter whichever occurs first. The State will for an AAW who has not received TRA, recommended aligning the proposal need to assess each RTAA recipient’s the worker may receive RTAA benefits with how overtime is handled, where continuing eligibility for RTAA. for a period not to exceed 104 weeks (2 overtime does not count toward Whether RTAA entitlement is based years) beginning on the earlier of the payments that could disqualify a upon part-time (at least 20 hours) or date on which the worker exhausts all worker. Another commenter expressed full-time employment, the State must rights to UI based on the separation of similar concerns, likewise stating that verify the worker’s employment and the worker from the adversely affected workers being paid by commission wage status on at least a monthly basis. employment that is the basis of the could be heavily impacted by the If the worker is employed part-time (at certification, or the date on which the proposal and that § 618.515(a)(3) would least 20 hours per week) and receiving worker first begins qualifying impose administrative burdens on RTAA while in TAA approved training, reemployment as described in States. The Department concludes that the State must, on a monthly basis, § 618.505(e). the statute does not allow the verify participation in the training. The One commenter recommended Department to exclude overtime. The determination of annualized eliminating the words ‘‘the earlier of’’ at Department has made revisions to the reemployment wages is made the beginning of § 618.510(a), writing regulatory text to address these prospectively. An AAW meets the that the requirement complicates concerns. ‘‘earns not more than $50,000 a year in finding the effective date for RTAA A State workforce agency stated that wages from reemployment’’ requirement claims. The commenter instead §§ 618.505(a)(2) and 618.515(a)(3) in section 246 of the Act for a given proposed that an eligibility period of 2 seemed to conflict as to whether month if the monthly determination of years from the date on which a worker overtime pay should be included in the annualized reemployment wages that begins qualifying employment be calculation of wages and asked if the results in wages of less than $50,000 is applicable for workers who have not latter would allow workers to receive accurate and complete at the time it is received TRA. The eligibility period is RTAA until their cumulative wages made. defined in the statute at section exceeded the annual limit. The RTAA payments stop in the event of 246(a)(4) and includes the ‘‘earlier of’’ Department agrees with the State that any one of the following: (1) The AAW’s language. The Department does not have there is a conflict in the proposed rule. annualized wages from reemployment the authority to change this via Upon further review, the Department exceed $50,000 in a year; (2) the AAW regulations. Accordingly, the has concluded that it has no legal basis no longer meets the reemployment Department is finalizing this section in to exclude overtime in calculating requirement through either full-time the final rule as proposed. RTAA payments. Section 618.505(a)(2) work or a combination of TAA approved has been modified in the final rule to training and at least 20 hours of work; Section 618.515 Continuing Eligibility remove the exclusion of overtime pay. (3) the AAW has received the maximum and Timing of Payments Section 618.515(a)(3) has also been amount of RTAA; or (4) the AAW has Section 618.515 of the proposed rule modified to delete the reference to a reached the end of the RTAA eligibility explained the requirements for an calendar year and add the requirement period. The final rule adopts the same AAW’s continued eligibility under that States must calculate projected practice. RTAA and the timing of payments. earnings for the year to determine One commenter wrote that workers Proposed paragraph (a)(1) allowed continued eligibility. who separate from employment that workers to change jobs without loss of With respect to the State’s suggestion would put them above the $50,000 limit access to RTAA so long as the worker that there is some confusion regarding should be eligible for RTAA if they find continues to meet other eligibility the language involving the $50,000 wage reemployment with wages below the criteria. Proposed paragraph (a)(2) limit and calendar years and its query limit. A worker can change jobs or prohibited the payment of RTAA during whether workers would be allowed to obtain multiple jobs, but the earnings a period of unemployment and provided receive RTAA until their cumulative limit remains $50,000. If the worker’s that the AAW may resume receipt of wages exceed $50,000, this final rule wages for the year are below $50,000, RTAA payments upon obtaining deletes all references to the word they will be otherwise eligible for qualifying reemployment for the ‘‘calendar’’ from subpart E and defines RTAA.
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One commenter wrote that monthly Proposed paragraph (a)(2)(i) referred to Section 618.525 Determinations, verification for RTAA could be the AAW’s ‘‘regular schedule’’ and also Redeterminations, and Appeals administratively burdensome, as such a excluded certain types of compensation Section 618.525 explained the schedule would not line up with UI or from the meaning of ‘‘wages,’’ because requirements related to determinations, wage record reporting cycles, and certain types of work hours and redeterminations, and appeals under recommended shifting to a quarterly compensation are too speculative and RTAA. cycle. The Department clarifies that cannot be anticipated in computing Proposed paragraph (a)(3) allowed an current practice is that RTAA must be annualized wages from reemployment AAW to file a new application each paid no less than monthly. Payment of under paragraph (a)(2)(ii) of this section. time the AAW is reemployed and obtain Proposed paragraph (e) established RTAA is not related to UI wage record RTAA if the AAW meets the criteria of the restriction that once an AAW has reporting. Monthly verification also proposed § 618.505(a) at the time of received a payment under RTAA, he or reduces the possibility of overpayments. filing of the new application, even if the A State workforce agency said that the she is no longer eligible to receive TRA. State previously denied a prior proposed rule appeared to drop a A State workforce agency requested application. requirement set forth in administrative clarification as to whether RTAA Proposed paragraph (a)(4) provided guidance for States to verify the training requires a full week of reemployment or that a State may approve a RTAA enrollment status of RTAA participants whether States may prorate partial payment and pay it retroactively to an every 30 days. This was an oversight by weeks. The comparison of wages for AAW who is covered by a TAA the Department. There was no intention RTAA eligibility must be from the last certification but who becomes to eliminate this requirement. The actual full week of employment prior to reemployed before the Department Department has modified the regulatory separation and a full week of qualifying text in the final rule at § 618.515(a)(4) to reemployment, whether actual or issues the certification, provided the retain this provision. If an RTAA projected. This allows for a fair AAW otherwise meets eligibility recipient is employed on less than a comparison of the wages. requirements of § 618.505(a). full-time basis, he or she also must be One commenter asked whether Retroactive payments are explained in participating in approved training to commissions are included in the the discussion of proposed § 618.505. remain eligible for RTAA. This annualized wages calculation. For One commenter pointed out an error requirement is intended to reduce purposes of RTAA, the Department in § 618.525(a)(3), which stated that the improper payments and to ensure that affirms that commissions are included denial of eligibility based on a ‘‘first’’ participants are still participating in in this calculation as well as overtime, reemployment was subject to appeal. training since there are potential bonuses, etc. In the discussion of The Department was referring to an financial ramifications if a participant § 618.515, above, the Department initial application for eligibility, but does not complete training. clarified that the statute does not allow concurs that this should be made The Department has revised for the exclusion of overtime. The clearer. Therefore, the Department has § 618.515(d)(1) and (2) to remove the section of this final rule has been removed the word ‘‘first’’ from word ‘‘calendar’’ before year. The modified in paragraphs (2)(i) and (ii) to § 618.525(a)(3) and replaced it with Department has also added language remove the exclusion of overtime pay. ‘‘nonqualifying’’ to clarify that an AAW regarding projected earnings in One commenter asked whether the who is denied eligibility based on paragraph (d)(1). These changes were Department would consider raising the nonqualifying employment may file a made based on comments received on maximum RTAA compensation in order new application for a subsequent proposed §§ 618.505 and 618.515 to reflect better the economic climate. reemployment. Any denial of RTAA seeking clarification of calendar year The income limits and benefit amounts benefits is subject to appeal subject to and more definitive guidance on the under RTAA are established by section the provisions of § 618.828. The final $50,000 earnings limit and to ensure 246 of the Act. The Department does not rule adopts this section as proposed, that determinations of eligibility for have the authority to adjust these limits. with the update to the filing RTAA are as accurate as possible. A State workforce agency requirements in § 618.525(a)(3). recommended clarifying that States One commenter asked whether States Section 618.520 Benefits Available to must instruct AAWs on their waiver of could process retroactive RTAA Eligible Adversely Affected Workers TRA benefits and the maximum value of payments and whether retroactive Section 618.520 of the proposed rule RTAA benefits they may receive. The payments under proposed paragraph detailed the benefits available under Department concurs this is a good (a)(4) would be available only to full- RTAA as provided by section 246(a)(2) practice, but has concluded it is time reemployed RTAA participants. In of the Act. Benefits available include unnecessary to regulate this activity. response, the Department affirms that wage subsidies, training, job search and The statute does not explicitly require a RTAA payments can be made relocation allowances, and, if available, notice of this type, as the AAW is not retroactively if an AAW was otherwise the HCTC. waiving TRA benefits. Rather, by eligible, experienced a total separation Proposed paragraphs (a)(2)(i) and (ii) receiving RTAA benefits, he or she is from adversely affected employment, provided the computations for losing access to TRA benefits. The but was reemployed prior to annualized wages at separation and Department concludes that the decision certification. Retroactive payments may annualized wages from reemployment, on whether to provide this type of be made whether the worker was respectively. A State would compute notice should be left to the individual employed on a full- or part-time basis. annualized wages at separation by States. Retroactive payments are also allowable multiplying the AAW’s hourly rate The Department is finalizing this in situations where an AAW was denied during the last full week of the AAW’s section in the final rule by removing the RTAA based on the projection of annual regular schedule in adversely affected exclusion of overtime pay under reemployment earnings over $50,000 employment by the number of hours the paragraphs (a)(2)(i) and (ii) and editing but where the AAW did not actually AAW worked during the last full week the use of a pronoun in paragraph (e). end up earning over $50,000 in that of such employment, multiplied by 52 The rest of this section is adopted in year. However, the Department made (i.e., the number of weeks in a year). this final rule as proposed. nonsubstantive edits to correct two
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cross-references in paragraph (a) of this Section 618.600 Scope Proposed paragraph (d)(2) provided that section, including correcting the section Proposed § 618.600 provided the TAA Program funds may be used to headings of the sections cited; scope of proposed subpart F. This create customized, group training otherwise, the final rule adopts this section explained that the goal of opportunities in order to serve a section as proposed. training is to help trade-affected workers particular dislocation event where available education and training F. Subpart F—Training Services obtain the skills necessary to get back to work as quickly as possible at a programs are not sufficient. Proposed paragraph (d)(3) required States to Subpart F governs the training portion reasonable training cost. The goal for coordinate with other public and private of the TAA Program. Training is an reemployment is suitable employment, agencies, in cooperation with LWDBs, to opportunity to gain skills and reenter or reemployment that pays as much or ensure a wide range of training the workforce after a total or partial more than the trade-affected worker’s opportunities are available to trade- separation or threat of separation from adversely affected employment, but affected workers in high-demand adversely affected employment. The obtaining suitable employment is not a occupations. Proposed paragraph (e) requirement to approve training. TAA Program’s goal is to help each allowed training for trade-affected One commenter recommended trade-affected worker participating in workers any time after their certification changing the third sentence of the program obtain suitable employment date without regard to whether such § 618.600, which states that States when possible and nonsuitable worker has applied for or exhausted UI. employment otherwise. Training under should prefer training that replaces 100 One commenter expressed concern the TAA Program should assist a trade- percent or more of a trade-affected that the provision at § 618.605(a) did not affected worker in obtaining the skills worker’s wages in adversely affected distinguish between all trade-affected necessary for employment as quickly as employment by substituting the words workers and those that choose to possible and at a reasonable cost. With ‘‘is expected to replace’’ for the word participate in the TAA Program. The those principles in mind, training ‘‘replaces.’’ The Department has not same commenter recommended should allow workers to compete for the changed the regulatory text in the final qualifying the term ‘‘trade-affected highest paying employment achievable rule, as the suggested revision has the workers’’ with ‘‘who are participating in given their preexisting skills, abilities, same meaning as the proposed the TAA Program’’ to account for the and education and the current and regulatory text. fact that some trade-affected workers projected job market. Section 618.605 General Procedures may not initiate or complete applications to participate. The TAA Program approval of a training Proposed § 618.605 was derived, in program entitles a trade-affected worker definition of the term ‘‘trade-affected part, from 20 CFR 617.20. This section worker’’ in § 618.110 means both to the payment of the costs of that discussed general procedures for trade- training and related costs, subject to a ‘‘adversely affected workers’’ and affected workers to apply for training, as ‘‘adversely affected incumbent number of limitations described in this well as other procedures States must subpart. Participation in a TAA workers.’’ When a member of a worker follow in making determinations on group individually applies for TAA approved training program is an applications for training. eligibility requirement for TRA, with Program benefits and services, that is Proposed paragraph (a) required when the State determines if he or she certain exceptions, as explained in States to ensure that every trade-affected subpart G. Under section 236(a)(6) of the is an AAW or AAIW (trade-affected worker has an initial assessment and worker). Act workers may still be entitled to TRA that a comprehensive and specialized and other TAA Program benefits if other The same commenter also assessment has been made available to recommended changing the third funding sources pay all or part of the them, as required in proposed subpart costs of a TAA approved training sentence of § 618.605(a) by adding the C. Proposed paragraph (b) addressed words ‘‘that includes training’’ after ‘‘an program. applications for training, as well as for IEP.’’ The Department affirms that the Subpart F applies the FTR, at 41 CFR transportation and subsistence rule provides that a trade-affected chapters 300 through 304, to States payments. It reflected more accurately worker might not have an IEP, as providing TAA Program training that applications must be made to the discussed under subpart C. However, if participants with supplemental States in accordance with their policies an IEP does not contain a proposed assistance in the form of subsistence and procedures. Proposed paragraph (c) training program, this would not apply. and transportation benefits. This is not specified that decisions on selection of, No changes have been made to the a new policy. The Department already approval for, or referral of a trade- regulatory text at § 618.605(a) as a result enforces this requirement under several affected worker to training, including of these comments. provisions in the previous regulations, whether to provide TAA Program- The same commenter recommended including 20 CFR 617.27 and 617.28, funded transportation and subsistence changing some of the language at which reference the use of the FTR. This payments, are determinations to which § 618.605(b) by adding the words measure ensures uniform access to apply § 618.820 (determinations of ‘‘under this subpart’’ after ‘‘subsistence subsistence and transportation benefits. eligibility; notices to individuals), payments.’’ Proposed paragraph (b) TAA Program training participants § 618.824 (liable State and agent State states, in relevant part, that applications travel under the same rules as responsibilities), and § 618.828 (appeals for training, including requests for TAA employees of the Department. Some key and hearings). Program-funded transportation and changes covered in this subpart F Proposed paragraph (d)(1) required subsistence payments, must be made to include expansion of apprenticeship States to explore, identify, and secure the State in accordance with procedures training, approvable part-time training, training opportunities to ensure trade- the States established. There are no parameters for serving AAIWs, affected workers return to employment other subsistence payments available benchmark requirements to meet as soon as possible. States must use all other than under subpart F, so no such Completion TRA eligibility, and necessary and reasonable means to find language is needed. Therefore, no procedures for amending approved appropriate training where no change has been made to the regulatory training programs. appropriate training opportunities exist. text at § 618.605(b) in the final rule.
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The Department made nonsubstantive One commenter recommended corresponding to proposed § 618.610(c), edits in paragraph (c) of this section to eliminating, in proposed § 618.605(e), Criterion 3). correct two cross-references to the what the commenter viewed as an • Training approved is reasonably section heading of a different section; entitlement to a ‘‘lifetime training available to the worker (section otherwise, the final rule adopts this benefit’’ and, instead, limiting 236(a)(1)(D), corresponding to proposed section as proposed. participation in training under a specific § 618.610(d), Criterion 4). A workforce advocacy group stated certification to 5 or 10 years. The • The worker is qualified to that access to training in sought-after commenter said there should not be an undertake and complete such training fields was vital for TAA recipients entitlement to TAA approved training (section 236(a)(1)(E), corresponding to because these workers have generally for workers who are displaced from jobs proposed § 618.610(e), Criterion 5). lost high-paying jobs requiring specific for reasons not related to trade. A • Such training is suitable for the skills that may not be replaced in the different commenter asked if an worker and available at a reasonable evolving economy. The group also expiration date for the lifetime training cost (section 236(a)(1)(F), corresponding stated that communities of workers with benefit would be included in the final to proposed § 618.610(f), Criterion 6). similar skills are sometimes subject to rule. The Department considered The Department is finalizing this mass layoffs and that such workers may imposing a deadline by which a trade- section as proposed, except for the need to be retrained for entirely new affected worker would have to begin changes noted below. occupations. As this can happen, training to retain access to the benefit; Under proposed § 618.610, States especially in more rural areas, the however, it has determined that there is must consult the trade-affected worker’s Department encourages States to work no legal basis to do so. States must assessment results and IEP, if available, with LWDBs in addressing these ensure that trade-affected workers who before approving an application for dislocations at the community or apply for training past the expiration of training. One commenter asserted that regional level and not just from the their certification meet the six criteria the introductory paragraph of § 618.610 viewpoint of an individual worker. This for the approval of training at § 618.610. requiring States to consult a worker’s is also a situation in which customized No changes have been made to the IEP before approving training group trainings could be an efficient regulatory text at § 618.605(e) in applications was in conflict with the method of training trade-affected response to these comments. However, language at § 618.350(a)(2) requiring workers. a minor edit was made to the use of a The same workforce advocacy group that an IEP must be documented before pronoun. a trade-affected worker receives training expressed support for the provision at The Department will use this § 618.605(d) that allows States to use under subpart F. An IEP should be opportunity to remind States that, for established prior to the approval of a TAA Program funds to support basic purposes of determining suitable skills training and English language training program, but it is expected to be employment, States must look at the a dynamic document, subject to learning programs. The group requested wages and skill level of the adversely that the Department change references additions and revisions, so States must affected employment. This means that continue to consult the document. No to ‘‘remedial education’’ to ‘‘basic skills States would need to look at the wages instruction and remedial education,’’ changes have been made to the paid at the time of separation from proposed introductory paragraph of because the proposed language is adversely affected employment and not, outdated and omitting ‘‘basic skills § 618.610 in the final rule as a result of in many cases, the AAW’s most recent this comment. instruction’’ would restrict the types of separation, which might not be from Another commenter asked how the eligible practitioners in the field. The adversely affected employment. Department does not view the The Department declines revising Department intended to define regulatory text language as limiting. § 618.605, for the reasons discussed ‘‘foreseeable’’ as it appears in Basic skills training and English above, and implements this section in § 618.610(a)(1), which proposed a language learning programs would be the final rule as proposed. finding of no reasonable prospect of considered ‘‘remedial education’’ under suitable employment becoming this final rule. Section 618.610 Criteria for Approval available for the worker in the The same workforce advocacy group of Training foreseeable future as a part of Criterion also requested that the Department Proposed § 618.610, which 1. The Department considered further include a reference to Integrated corresponded to 20 CFR 617.22(a)(1) clarification of the term ‘‘foreseeable’’ in Education and Training (IET) at through (6), implemented all six this context but has determined that the § 618.605(d)(2) in order to align better statutory criteria for training approval use of this term is unchanged from with WIOA practices and increase from section 236(a)(1)(A) through (F). previous regulations, as is this criterion participation in IET programs. The Under proposed § 618.610, training for training approval. There is no intent Department does not conclude that such must be approved for a trade-affected to change how States have historically a specific reference is needed in the worker if the State determines that all interpreted this term; therefore, any new regulatory text. This type of training is six criteria are met. The statutory clarification may serve only to limit already allowed under the TAA criteria are as follows: States’ flexibility. States should have a Program. Where this rule uses the term • There is not suitable employment procedure or policy in place for ‘‘contextualized occupational training,’’ available (section 236(a)(1)(A), consistently determining the availability that term includes the concept of IET. corresponding to proposed § 618.610(a), of suitable employment for workers No changes have been made to the Criterion 1). applying for training. The Department regulatory text at § 618.605(d) in • The worker would benefit from encourages States to contact their response to these comments. appropriate training (section regional office to review their existing One commenter supported allowing 236(a)(1)(B), corresponding to proposed policies if further questions remain. No communities to use TAA Program funds § 618.610(b), Criterion 2). changes have been made to the to create new training programs and • There is a reasonable expectation of proposed regulatory text at said this element of the proposed rule employment following completion of § 618.610(a)(1) in the final rule as a was a ‘‘welcome change.’’ such training (section 236(a)(1)(C), result of this comment.
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A State workforce agency supported Self-Employment as a Viable same commenter said the language the ‘‘career pathway’’ option under Employment Goal about self-employment as a viable § 618.610(b)(1) and maintained that Proposed § 618.610(c)(5) recognized employment goal should clarify that many workers changing careers will that self-employment may be a viable ‘‘entrepreneurial training’’ is not an need to take lower paying jobs initially employment goal. Under proposed approvable type of training even if in order to develop their skills in a new § 618.610(c)(5), States must review the entrepreneurship is a viable field. In contrast, a different State labor market conditions to determine employment goal. While a trade-affected workforce agency recommended that the that the skills to be obtained in the worker’s employment goal may be self- Department reconsider the use of training will lead to self-employment employment, the Department does not ‘‘career pathway’’ at § 618.610(b)(1) that will provide trade-affected workers consider a training program consisting of only entrepreneurial training as an since this is a technical term defined in with wages or earnings at or near their approvable training program under the the WIOA regulations. The State wages in adversely affected TAA Program. Occupational training is workforce agency recommended employment. deleting the word ‘‘career’’ from the Two commenters supported the a required component. The Department sentence containing the term ‘‘career provision to approve training programs maintains that allowing a training program consisting of only pathway.’’ The Department concurs that would lead to self-employment. entrepreneurial training conflicts with with the recommendation and has made Another commenter supported the the goal of TAA approved training in that change to § 618.610(b)(1) in the Department’s proposal to consider self- § 618.600, which is that training final rule to distinguish this term from employment as a viable employment provided must, at a reasonable cost and the WIOA term. The Department has goal and asked whether Criterion 6 for as quickly as possible, assist a trade- also made a minor edit to the use of a training approval (training is suitable for affected worker in obtaining the pronoun. the worker and available at a reasonable necessary skills to have a reasonable One commenter asked why the cost) would be met if self-employment Department limited the consideration of expectation of employment. were to provide workers with earnings One commenter asked how the labor market conditions to a worker’s equivalent to or near their previous Department would overcome the intended commuting area (introductory earnings. States should compare the suitability of training requirements with paragraph of § 618.610(c)) since some trade-affected worker’s ability to respect to self-employment since BLS workers might be inclined to travel undertake the training program against states that self-employment initially longer distances for the right job. The the worker’s self-employment goal and presents some challenges for workers, Department clarifies that the intent of determine if the training program is including reduced income stability and this language is to limit the geographical suitable based on that comparison. The difficulty securing business loans. The area in which a trade-affected worker Department affirms that the Department encourages States to refer must seek suitable employment before commenter’s example would meet the trade-affected workers to self- training can be approved. It does not ‘‘suitable for the worker’’ part of employment assistance programs to limit the suitable employment that a Criterion 6 (§ 618.610(f)(1)), if the assist workers in estimating or worker may accept. One commenter training program being considered calculating future wages or earnings and expressed concern about the provision meets the conditions for a trade-affected other aspects of self-employment that at § 618.610(c)(4) requiring States to worker to be qualified to undertake and are outside the purview of the TAA assess whether the number of workers complete a training (Criterion 5, Program. enrolled in a given training will cover § 618.610(e)(1) and (2)); and if the self- demand in the local labor market, employment will satisfy § 618.610(c) Criterion 4 (Training Reasonably because States’ implementation of this (Criterion 3, reasonable expectation of Available) and Criterion 5 (Trade- provision would be difficult and employment) and provide the trade- Affected Worker Qualified To burdensome. The same commenter affected worker with work of a Undertake and Complete Training) asked whether States would have to substantially equal or higher skill level Proposed paragraph (d) implemented contact all providers who offer the type than the worker’s past adversely Criterion 4 and corresponded to 20 CFR of training under consideration and affected employment, and self- 617.22(a)(4), but was simpler, better what geographic parameters should be employment wages are projected to organized, and free of outdated used to determine which providers must result in earnings equivalent to 80 references. References to approval of be contacted. The Department clarifies percent of the worker’s adversely training outside the trade-affected that § 618.610(c)(4) does not apply to affected wages. worker’s commuting area for cost most proposed training programs and it Multiple commenters asked about reasons were moved to proposed is specific to proposed training methods for tracking and reporting self- paragraph (f), Criterion 6. programs for limited demand employment earnings. The final rule One commenter viewed the language occupations. The Department does not prescribe a specific method for at § 618.610(d) requiring States to first encourages the State, during the training the tracking of wages for self-employed consider training opportunities approval process, to use any available trade-affected workers. Consistent with available within the worker’s means to evaluate the likelihood of the administrative guidance, the TAA commuting area as overly limiting worker to successfully compete for and Program allows for the collection and because workers may be willing to obtain a position after completing reporting of supplemental wage travel longer distances to attend a proposed training in the limited information consistent with WIOA. The training program of perceived higher demand occupation. No changes to State should contact its regional office if quality. The Department has determined proposed § 618.610(c) were made in the additional technical assistance is this is appropriately addressed at final rule as a result of these comments. needed on this topic. § 618.610(f)(2)(ii), which allows a State The Department did, however, make One commenter said that the language to approve a higher cost training if the two edits for use of pronouns in discussing self-employment is ‘‘vague’’ training is reasonably expected to result paragraphs (c)(4) and (5) and subject- and asked whether self-employment is in a higher likelihood of employment, verb agreement in paragraph (c)(4). an approvable employment goal. The employment retention, or greater
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earnings, or to return the trade-affected has sufficient financial resources to to the commenter’s request for worker to employment in a significantly support completion of a training clarification on the provision of shorter duration. The Department has program. The same commenter said it ‘‘suitable work,’’ which is defined, and made no change to the regulatory text in would be ‘‘odd’’ for this criterion to used, in subpart G. Subpart F uses the the final rule as a result of these come into play only if a worker’s term ‘‘suitable employment.’’ ‘‘Suitable comments. remaining weeks of UI or TRA do not work’’ is a term used in UI when Proposed § 618.610(e)(3) (Criterion 5) equal or exceed the length of a training claimants are conducting job search consisted of five parts, paragraphs (i) program. The Department affirms that activities to remain eligible for receipt of through (v), which explained the State the relevant inquiry is whether someone benefits. Under previous regulations, must consider (1) the worker’s has sufficient financial resources to ‘‘suitable work’’ was used as the remaining weeks of UI and TRA complete training, but the statutory standard for approval of job search payments (for AAWs) in relation to the requirement is limited to the availability allowances and relocation allowances. duration of the proposed training of TRA. States are encouraged to review For further assistance on coverage of program; (2) other sources of income trade-affected workers’ financial training costs, States are encouraged to support available to the worker, situations as part of the case contact their regional office. including severance earnings of other management services provided under One commenter requested family members, and other family subpart C. clarification for States on whether they resources; (3) other fixed financial A different commenter requested are permitted to pay travel allowances obligations and expenses of the worker clarification on the types of documents when travel would be required for and family; (4) the availability of needed to verify sufficient financial workers to take certification tests. Federal student financial assistance or resources for workers whose UI or TRA Another commenter questioned the any State-funded student financial runs out prior to the completion of a propriety of using TAA Program funds assistance or any private funding training program. Neither the proposed to cover licensing costs or fees designated for student financial rule, nor the final rule, provides explicit associated with certification tests, when assistance or any private funding documentation requirements for licenses or certifications are required designated for student financial verification of financial resources. States elements of an approved training assistance, including, but not limited to, are, however, required to retain or program. When tests or exams, such as nongovernmental scholarships, awards, describe the documents they used to mid-terms, finals, or licensure exams, or grants; and (5) whether or not the render a determination in the trade- are part of an approved training worker is employed while attending affected worker’s case file, in program, transportation costs are training. The criteria are used only after compliance with the final rule at allowable costs. These tests, especially the period of TRA eligibility because the § 618.610(e)(4). those that might occur after the purpose of TRA is to provide sufficient One commenter asked whether classroom training portion of the financial support to complete training. assessments or IEPs completed by training has completed, should be Finally, documentation is addressed in partner programs would satisfy documented as part of the training § 618.852 (Recordkeeping and requirements in § 618.610(e)(3). The program. Otherwise, the TAA Program disclosure of information requirements). Department addressed this subject A nonprofit public policy under the responses to subpart C. may cover the costs of any fees organization said States should consider Partner program assessments and IEPs associated with the test as an factors beyond just financial aid and may be used if they meet the employment and case management Federal work-study programs when requirements established in the final expense, but not transportation. determining whether workers have rule. Assessments and IEPs from partner Transportation costs outside of an alternative means to support themselves programs that do not meet the approved training program would be financially if a TAA approved training requirements of the final rule may be considered a supportive service, which program lasts longer than a worker’s supplemented by additional information is not payable using TAA Program TRA benefits. The organization in order to meet those missing funds. suggested States should consider requirements. Duplication of effort Multiple commenters requested whether TAA Program recipients have should be avoided wherever possible. clarification of training-related costs, access to supports like Supplemental No changes have been made to the specifically purchasing laptops, tablets, Nutrition Assistance Program (SNAP) or regulatory text at § 618.610(e) in software, etc. for workers in TAA Temporary Assistance for Needy response to these comments. approved trainings. The Department Families benefits, or if recipients are clarifies that the proposed provision of equipped to attain part-time Comments and Requested Clarifications training-related costs is unchanged from employment. The organization on States’ Coverage of Training Costs current practice and policy. If materials maintained that considering a wider Proposed § 618.610(f)(2), one or supplies are required of all students range of factors would allow States to component of Criterion 6 for training enrolled in the training, States are approve 4-year college programs for approval, requires that suitable training required to provide those items for the trade-affected workers. The Department be available at a reasonable cost. trade-affected worker to use. Proposed agrees that this approach may be of Reasonable cost is a critical determinant § 618.610(f) does not prohibit a State interest to States and refers the in approving training programs. from reimbursing a worker. As provided commenter to § 618.610(e)(3)(ii), which One commenter requested in the regulatory text at paragraph (f)(2), discusses the need for States to consider clarification on ‘‘open-ended’’ and training costs may include tuition and other income. ‘‘potentially burdensome’’ guidance related expenses, including books, tools, One commenter said that if the intent about training costs and asked the computers and other electronic devices, of the provision at § 618.610(e)(3) is to Department to restore the definition of internet access, uniforms and other prevent workers from failing to ‘‘suitable work’’ to the version training-related clothing such as goggles complete trainings because of a lack of established in the previous regulation to and work boots, laboratory fees, and financial support, then the relevant ensure timely approval of training other academic fees required as part of criterion should be whether a worker programs. The Department is unclear as the approved training program.
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One commenter stated that the justification for the recommended States must temporarily discontinue reference in the preamble to the addition of language. The same TRA payments when an AAW reduces proposed rule that States must exhaust commenter also said that several of the full-time training to part-time training. alternatives before purchasing training words in § 618.615(b)(2) were missing Part-time training is approvable, but, equipment was ‘‘vague’’ and requested hyphens. Proposed § 618.615 provided before approving, States must consider that the Department provide examples the criteria that must be met at the the worker’s approved training program or further guidance. A different initial approval of a training program. as a whole and the worker’s reasons for commenter suggested that, to improve Proposed § 618.665 provided the criteria utilizing only part-time training. clarity, the Department should to be considered when amending a A different commenter suggested the explicitly require in the training training program. Not all of the criteria Department provide a clearer definition approval criteria section itself that from § 618.615 are included in § 618.665 of situations when a trade-affected States must ‘‘exhaust alternatives’’ because they are not all appropriate worker ‘‘cannot undertake’’ full-time before purchasing equipment or other when considering an amendment. An training because some workers claim materials for workers. Section amended training program is not a they have been out of school for a long 618.610(f)(2)(B) of the final rule second training program; it is an period of time and they cannot recommends that States explore other amendment to the existing (approved) undertake full-time training. Success options before purchasing equipment or training program. With regard to the stories included on the TAA Program’s related materials needed for training. hyphens, the Department has corrected website have repeatedly highlighted that Alternatives could include, for example, the regulatory text in the final rule to trade-affected workers who return to an equipment lease agreement. The include the noted hyphens without training usually excel as students. Department advises States to follow substantive change. The Department has Trade-affected workers tend to apply the their regular procurement process and also made an edit to the use of a same work ethic to their studies as they comply with 2 CFR part 200 and 2 CFR pronoun in paragraph (b). had during their tenure in adversely part 2900, as appropriate, paying close Two commenters raised concerns affected employment. The Department attention to the distinction between with the regulatory language related to is cautious about providing a definitive equipment and supplies. The regulatory participants in training who find answer to such general scenarios text at § 618.610(f)(2) has been adopted employment. One commenter asked without additional background in the final rule as proposed. whether this section was in conflict information. States should seek with proposed § 618.645 (voluntary assistance from their appropriate Section 618.615 Limitations on withdrawal from a training program). regional office on individual cases as Training Approval The commenter asked whether this was there are often very specific Proposed § 618.615 discussed the a change from current interpretations. circumstances that must be considered various limitations on a State’s approval Another commenter raised concern with before a determination can be made. of a training program. The proposed rule the language in § 618.615(b)(1) about an When trade-affected workers indicate relocated some of the limitations on AAW in training who obtains they need to drop a class, which will approval of training provisions from 20 employment that is not suitable change their status from full-time to CFR 617.25 to sections other than employment being able to continue in part-time, it is appropriate to inquire proposed § 618.615, where they more training while employed. The about why they need to drop the class. logically fit. The Department is Department affirms that AAWs are If it is due to a barrier to training, a finalizing this section as proposed, allowed to continue in approved referral to a partner program may be except for the changes described below. training, regardless of their employment needed. If a worker drops from full-time status, after their initial approval of a training to part-time training to meet a Paragraphs (a) and (b) training program, as long as they financial need, such as to help them Proposed paragraph (a)(1) retained the continue to successfully follow their increase immediate earnings, they may single training program rule of 20 CFR approved training program and the also gain work experience that helps 617.22(f)(2). Changes to an ongoing requirements to amend their training them secure higher paying employment training program are considered to be program. Determining whether suitable post-training. The intent of the language part of one training program. employment exists is the requirement in the preamble to the proposed rule Proposed paragraph (b) corresponded for the approval of training and not a was to ensure that, whenever possible, to 20 CFR 617.22(f)(4) with respect to factor in determining whether approved workers are enrolled in training that full-time training but differed training can continue. Regarding the will ensure the fastest possible return to significantly by permitting States to identification of an apparent conflict suitable employment. No change has approve part-time training as well. between the language in proposed been made to the regulatory text in Proposed paragraph (b)(1) retained the §§ 618.615 and 618.645 with regard to response to these comments. provision in 20 CFR 617.22(f)(4) that suitable versus nonsuitable Another commenter expressed training is full-time if it is in accordance employment, the Department has support for workers in training being with the established hours and days (or revised the regulatory text for the final allowed to continue their training full- credit hours) of the training provider. rule at paragraph (b)(1) of this section to time even if they find employment. The Proposed paragraph (b)(2) discussed remove the conflicting language and to commenter was under the impression requirements related to part-time indicate that the term ‘‘full-time that under the previous rules and training under the TAA Program. training’’ has already been defined in administrative guidance, workers may One commenter suggested revising § 618.110 and that it applies here. continue only in part-time training. The part of § 618.615(a)(1) by adding the A commenter stated that when AAWs Department affirms that this is not a words ‘‘unless one of the conditions in need to drop classes and assume part- change from current policy as trade- [§]618.665 allows approval of a training time status for a semester, their State’s affected workers may participate in program that is different from the program will discontinue TRA benefits either full-time or part-time training, or originally approved training program’’ for the part-time period and reinstate a combination of the two. after ‘‘under a single certification.’’ The TRA benefits once the worker returns to One commenter argued that since the commenter did not provide a full-time status the following semester. criteria for approved trainings under
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WIOA are generally stricter than those realistic financial plans. The providers not previously approved for the TAA Program, workers approved Department agrees that financial under WIA to submit applications to be for WIOA trainings should planning is a key component of considered eligible providers under automatically be approved for TAA successful case management. WIOA. This process may be helpful to approved trainings. While the One commenter supported the States seeking to establish standards for Department supports State and local exception for workers who have the approval of training providers and area efforts to make services as seamless performed a period of duty in the programs. The Department advises as possible for trade-affected workers, Uniformed Services discussed at States that are seeking to establish the six criteria for approval of training, § 618.615(d)(4)(i) through (iii). standards to explore the process used promulgated at § 618.610, are based on Accordingly, the final rule adopts the for initial eligibility under WIOA and to statutory requirements of the Act and limitations on training approval as contact their appropriate regional office must be met in order for training to be proposed in § 618.615, with grammar for assistance on this issue. approved under the TAA Program. The and nonsubstantive edits in Proposed paragraph (a)(2) allowed a Department explains that training § 618.615(b)(2) and (d)(2), and a State to choose a training provider from eligibility under WIOA for dislocated substantive edit to § 618.615(b)(1) to the ETP list, established under WIOA, workers found at WIOA section remove the language regarding not without establishing additional 134(c)(3) includes some of the six suitable employment. The Department standards or procedures. Section criteria for approval for a worker to meet has also made four edits to the use of 236(a)(5) of the Act prohibits States training eligibility. The Department pronouns in paragraph (d). from limiting training available under encourages States or local areas to Section 618.620 Selection of Training the TAA Program to only those training incorporate elements of the six criteria Program providers on the ETP list. under the TAA Program as part of Proposed § 618.620, authorized by Several commenters supported the determining the appropriateness of provision allowing States to choose an training for workers. By aligning the six section 236(a)(5) of the Act, set forth requirements related to a State’s ETP recognized under WIOA section TAA Program criteria process with the 122 without needing to create additional WIOA training eligibility, States and obligation to document the standards and procedures for the selection of standards or procedures applicable to local areas can ensure a seamless TAA. One commenter requested transition from WIOA-funded training training programs and the methods of training permissible. clarification about the meaning of the to TAA-funded training for the worker. phrase ‘‘without establishing additional In that scenario, there would be no extra Paragraph (a) standards or procedures’’ and whether step required. Without such a policy in this applied to the criteria of training place, the State must be able to Proposed paragraph (a) provided for the standards required for the selection programs being selected or States’ document that the criteria at § 618.610 processes for procuring training have been met. This does not mean that of training programs. This paragraph providers. The Department affirms that the WIOA-approved training must stop represented a change from the language when States enroll a trade-affected while TAA Program eligibility and at 20 CFR 617.23, which outlined the worker in a training program that is not training approval are addressed, but selection criteria for training programs on the ETP, they must follow a rather that the WIOA training cannot be and specified evaluation of a training procedure that establishes standards for considered TAA approved training until provider’s success by placement rates. the approval of training providers and the State determines that the criteria in Some commenters sought clarification courses, as required by § 618.610 have been met. on the language in § 618.620 about establishing and documenting the § 618.620(a)(2)(i). Paragraph (d) standards and procedures used to select Two commenters stated they already Proposed paragraph (d)(3)(iii) providers and training under the TAA had a ‘‘process’’ for the ETP list. One of provided a pathway for approving a Program. The Department emphasizes these commenters asserted that the training program that exceeds the period that the regulatory requirement is for provision at § 618.620 would be during which TRA is available, as documentation, which may be met by challenging for non-ETPs and would allowed under section 236(a)(9) of the listing the State’s requirements, whether limit choices for trade-affected workers. Act, but is still within the maximum new or preexisting. For example, many Another commenter said that if a duration of training. One commenter States require trade-affected workers to training provider or program is not on supported the provision at provide two or three different training the ETP list, WIOA’s dislocated worker § 618.615(d)(3)(iii) because it would options or training providers for the program could still offer supportive help workers who were not notified of training program for which they are services, but not an Individual Training their eligibility for a training program in seeking approval and States may simply Account (ITA). The Department affirms time to start training soon after losing list this requirement, or similar that if a training provider (or course) is their previous job, and because it would requirements, as the standard. The already on the ETP list, no additional expand the types of trainings available Department reiterates that the statute standards or selection process is to eligible workers. prohibits limiting training under the required under the TAA Program. One commenter described its TAA Program to only those options on Section 618.620 allows the inclusion of organization’s experiences with workers the ETP list under WIOA. All training providers that are not on the ETP list. who may attest to having enough approved under the TAA Program must States are required, in those cases, to financial resources to support meet the criteria for training approval at establish standards to ensure that trade- themselves during a training period § 618.610. affected workers are provided access to based on ‘‘an unrealistic expectation’’ of One commenter questioned how quality training programs. The their financial needs and expected States should treat new training Department clarifies that, with regard to future income. The commenter stated providers or programs that have not ITAs, States are expected to utilize TAA that career counseling and case previously been utilized. The WIOA Program funds to pay for the costs of management services could help implementing regulations, at § 680.450, training, while using WIOA funds to workers create, and stick to, more established the requirements for training provide appropriate supportive services
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that cannot be funded by the TAA employment rates and higher median The Department adopts the section in Program. earnings. the final rule as proposed. Paragraph (b) The Department made a Section 618.630 Training of nonsubstantive edit to modify a citation Reemployed Trade-Affected Workers The Department made an edit to the to correctly reference § 618.615(d)(3) in use of a pronoun in paragraph (b)(1). paragraph (d) of this section; otherwise, Proposed § 618.630, which followed Paragraph (c) the final rule adopts this section as 20 CFR 617.22(g), derived from section proposed. 236(d) of the Act. The Department Proposed paragraph (c) provided a received no direct comments on this nonexhaustive list of other specific Section 618.625 Payment Restrictions section. Nevertheless, comments types of approvable training programs, for Training Programs received in response to §§ 618.615 and which generally followed 20 CFR Proposed § 618.625 listed a series of 618.645 have resulted in a change to the 617.24(b) through (f). restrictions on payments for training section heading of this section and to One commenter requested programs. The Department received the regulatory text as described below. clarification about whether, for workers several comments related to proposed In response to comments received in who need ‘‘other training’’ under paragraph (c) of this section. Proposed §§ 618.615 and 618.645, the Department paragraph (c), that training is considered paragraph (c)(2) allowed States to share is removing both uses of the phrase a ‘‘training opportunity,’’ or if it can be training costs with authorities ‘‘that is not suitable employment’’ from coupled with later ‘‘primary/core administering non-Federal, State, and § 618.630(a) and removing the phrase training.’’ The Department reiterates private funding sources provided that ‘‘not in suitable employment’’ from the that a training program under the TAA there are insufficient TAA Program section heading since this provision is Program can include any or all of the funds to cover the total cost of training. not contingent on the employment types of training described in subpart F. One commenter supported the new obtained not being suitable. A worker could be enrolled in, for provision at § 618.625(c)(2) allowing example, remedial training, Section 618.635 Work-Based Training States to enter into cost-sharing occupational training, and an OJT, as arrangements with non-Federal entities Paragraph (a) part of a single approved training as an improvement that added program. Proposed § 618.635 modified 20 CFR flexibility. 617.25(a) to establish detailed Paragraph (d) Another commenter stated that, in the requirements for OJT, customized Proposed paragraph (d) provided that proposed regulation, § 618.625(c)(2) training, and apprenticeship. The TAA Program funds can be used to cites to paragraph (d)(2)(ii) ‘‘of this Department is finalizing this section as provide training to trade-affected section’’ despite § 618.625 not having a proposed, except for the changes workers seeking to obtain an advanced paragraph (d)(2)(ii). The commenter was described below. degree or to complete coursework concerned that there was no Proposed paragraph (a)(3) toward obtaining an unfinished § 618.625(d)(2)(ii) to refer to. Section implemented section 236(c)(3)(A) of the advanced degree. 618.625(d)(2)(ii) exists and cross- Act and required that the OJT contract One commenter supported the option references § 618.940 (a provision related specify the duration of the OJT, and be to receive remedial education before or to insufficient funds), along with other limited in duration as appropriate. during a requested training program, as regulatory provisions that would apply Although statutorily limited to a well as the inclusion of different if the Department determines that there maximum of 104 weeks under section remedial education programs, such as are insufficient funds available for 236(c)(3)(B) of the Act, the length of an Adult Basic Education and English TaOA to meet demand. OJT contract must also be limited to the Language Arts courses and high school Proposed paragraph (c)(5) followed 20 specific vocational preparation required equivalency preparation classes. CFR 617.25(b)(4)(ii)(C) but clarified it. for the occupation, as listed on O*NET A State workforce agency, which As required by section 236(a)(4)(C) of (www.onetonline.org). described its position on the advanced- the Act, in determining the amount of One commenter asked why proposed degrees provision found in proposed training costs payable from TAA § 618.635(a)(3) states that the worker’s § 618.620 as ‘‘neutral,’’ questioned Program funds, the State must not academic and occupational skills must whether an advanced degree would consider payments to the trade-affected be considered, ‘‘as documented in the impact WIOA performance measures worker under other Federal laws that do worker’s IEP, if available,’’ while the given the proposed mandatory co- not directly cover the costs of training. language at § 618.350 requires that an enrollment for WIOA and the TAA Proposed paragraph (c)(5) also IEP be documented before workers may Program. The Department is aware of addressed the transition of Federal receive training under the TAA the exclusion of advanced degrees from student financial assistance recipients Program. The Department reiterates that the measurable skills gain measure. from WIOA and other programs to the not all trade-affected workers may have However, this exclusion is not a factor TAA Program. an IEP. If, instead, the State has in the training approval criteria in A commenter suggested the sufficient information that would § 618.610 and cannot be used by a State Department should insert citations to otherwise be included in an IEP, to deny training for an advanced degree applicable rules for Federal student training may still be approved, even if under the TAA Program. The financial assistance at the worker refuses to participate in the Department explains that services § 618.625(c)(5)(iv). The Department, in IEP process. However, the trade-affected strategies and historical service data are drafting the final rule, sought to limit worker must provide sufficient now used in setting performance goals references to other regulations outside information, either through a partial IEP under WIOA. Further, although the of this part 618. The Department, or outside of the IEP process, for the enrollment of trade-affected workers in therefore, has elected not to add the State to make a determination on the six advanced degrees may impact the requested reference, as this helps ensure required training approval criteria. measurable skills gain indicator, those that these regulations are not made Failure to do so will result in denial of same workers are likely to have higher obsolete by changes to other rules. the training program. A trade-affected
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worker so denied can appeal the position in adversely affected employment for the trade-affected training denial. The final rule adopts the employment.’’ The Department agrees worker, the worker would benefit from regulatory text in § 618.635(a)(3) as that this phrase was inadvertently appropriate training, there is a proposed. omitted and has inserted it into the final reasonable expectation of employment Proposed paragraph (a)(4) rule at § 618.635(b)(4). following completion of such training, implemented the statutory language in the training is reasonably available to section 236(c)(4) of the Act, which Paragraph (c) the worker, the worker is qualified to excludes certain employers from Specific Provision for Expanding the undertake and complete the training, receiving OJT contracts. One commenter Term ‘‘Apprenticeship’’ and the training is suitable for the asked for further clarification on the Proposed paragraph (c) provided that worker and available at a reasonable term ‘‘long-term’’ found in both registered apprenticeships under cost. Among other requirements, this § 618.635(a)(4)(i). The Department the National Apprenticeship Act (NAA), determination necessitates careful explains that this is a statutory as well as other training programs that review of a trade-affected worker’s skills requirement at section 236(c)(4)(A), and include a paid work-based learning and experience, the knowledge the applies to employers who exhibit a component and required educational or training would provide, and labor pattern of failing to provide AAWs in instructional component that results in market conditions. Therefore, States OJTs with continued, long-term the issuance of an industry-recognized may not, as a hard-and-fast rule, limit employment as regular employees. credential, are approvable TAA Program apprenticeships under the TAA Program States should apply a reasonableness to registered apprenticeships, for that training activities. standard. For technical assistance with A few commenters generally would exclude other apprenticeship a specific case, the Department supported the proposed rule’s programs before determining whether recommends contacting the appropriate they meet the criteria that should result expansion of training options for regional office. The final rule adopts the in approval. However, if the State workers, particularly the increased regulatory text in § 618.635(a)(4) as determines that a nonregistered flexibility for apprenticeships. proposed. apprenticeship under consideration A nonprofit public policy Proposed paragraph (a)(5) set out the does not meet the criteria to approve the organization stated that placing more reimbursement provisions for the OJT training, the State must deny the trade-affected workers in contract at a rate of up to 50 percent of training. For example, in evaluating a apprenticeships is a laudable goal and the wage rate for the OJT participant, nonregistered apprenticeship under said that very few TAA Program limited to the duration of the contract, these criteria, a State may gather recipients have participated in as provided in section 236(c)(5)(H) of information that leads it to conclude the apprenticeships historically, including the Act. One commenter asked whether nonregistered apprenticeship would not just 0.1 percent in 2018. The the ‘‘wage rate’’ described at increase the trade-affected worker’s § 618.635(a)(5) includes all organization stated that the amount of likelihood of obtaining employment. If compensation, consistent with the financial support for apprenticeship so, then the State may not approve that definition of ‘‘wages’’ at § 618.110. The expansion in the proposed rule went far training. If the State denies training on commenter said it was important to beyond financial incentives offered these grounds, the State must consider clarify this point because OJT through other State and Federal other trainings for the trade-affected reimbursement would be greater if all programs, and it suggested limiting worker that would meet the criteria for compensation, including benefits, were support for apprenticeship expansion to approving training. taken into consideration. The smaller amounts, such as 25 percent of One commenter asked how the Department explains that, for purposes wages, in order to align better with other Department intended to define of reimbursing employers for the cost of policies and to allocate more support to ‘‘industry-recognized credential’’ in training under OJT and apprenticeships, workers who are traditionally excluded proposed § 618.635(c). The term the term ‘‘wage rate’’ limits from apprenticeships, such as women or ‘‘industry-recognized credential’’ is not reimbursement to the hourly rate of pay older workers. The work-based learning defined in the Act. However, the term for the worker and does not include any portion of an apprenticeship is similar ‘‘recognized postsecondary credential’’ other compensation that may be to that of OJT; thus, the Department has is defined in section 247(19) of the Act, included in the worker’s wages. The established the same reimbursement and that term also is used in section final rule adopts the regulatory text in rate for that portion of an 239(j)(2)(A)(i)(IV) of the Act to identify § 618.635(a)(5) as proposed. apprenticeship as exists for OJT. In a factor in one of the primary indicators addition, training programs under the of performance that the State must Paragraph (b) TAA Program have always been allowed report to the Secretary. Section 3(52) of Proposed paragraph (b)(4) explained to contain both work-based and WIOA contains the same term and the limitation from section 236(a)(10)(B) traditional classroom instruction. The definition for similar reporting of the Act that AAIWs are eligible for apprenticeships newly covered by the purposes. See 29 U.S.C. 3102. Industry- customized training only if the position expanded definition have long been recognized credentials are a subset of is for a position other than their approvable as OJT; this is not a change recognized postsecondary credentials. adversely affected position. One from current practice, but rather a shift The Department has determined that no commenter suggested clarifying in the benefits available. further definition is needed in this final § 618.635(b)(4), which provided that One commenter asked whether the rule. The Department adopts this ‘‘[f]or AAIWs, approval is limited to language at proposed § 618.635(c) meant section as proposed. customized training for other than their that States could require TAA Program current position in adversely affected funding be used for registered Comments on Length of Training and employment,’’ by adding the words ‘‘a apprenticeships only. The Department Apprenticeships position’’ so that the regulatory reiterates that, consistent with section Proposed § 618.635(c)(1) limited the provision would read, in part, ‘‘approval 236(a) of the Act and § 618.610, States duration of the paid work-based is limited to customized training for a must approve a training if the State learning component of an position other than their current determines that there is no suitable apprenticeship to a maximum of 130
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weeks, in line with the general apprenticeships under the TAA the proposed rule and provided limitation on training duration in Program, the Department will provide feedback based on their depth of proposed § 618.615(d)(3). The length of technical assistance on this topic after experience with registered the educational or instructional training the issuance of this final rule and will apprenticeships. The commenter said component, however, was limited only issue further administrative guidance, if jointly trusteed, labor-management by the scheduled completion date of the necessary. The final rule adopts registered apprenticeships do not charge apprenticeship. § 618.635(c)(1) as proposed. tuition, and apprentices in such Two commenters requested The same commenter sought guidance programs incur little to no out-of-pocket clarification on whether TAA Program on how to report the training in required expenses. The commenter funds could cover educational or quarterly reporting. If the participant is recommended the Department clarify instructional aspects of apprenticeship still enrolled in an apprenticeship and that reimbursable expenses associated programs for up to 5 years under the the educational/instructional with the educational or instructional proposed rule. One of the commenters component has not ended, the training facets of a training program include also requested that the Department is still ongoing and would continue to costs incurred by participants and the provide a more detailed description of be reported quarterly. The Department program itself. The commenter also said any intended limitations on coverage of recognizes that under this policy, a State that in joint labor-management trust educational or instructional aspects of will report on the same individual for apprenticeship programs under the the entire duration of the apprenticeship programs, the proposed rule. The other commenter apprenticeship. The final rule adopts participating employer is the entity that said that educational or instructional § 618.635(c)(1) as proposed. either pays wages or covers costs aspects of apprenticeship programs take One commenter said that prior associated with the program. The many forms, and it suggested the administrative guidance established that commenter recommended the Department should provide clarification workers remain enrolled in the TAA Department clarify that the entity on a series of issues related to the 130- Program until they achieve 80 percent of paying wages or covering ‘‘costs of week limitation, including whether their former wages. The commenter additional supervision’’ should be apprenticeships featuring a work-based suggested this threshold could be reimbursed, whether that entity is the learning model would be approved and increased to 100 percent of former program sponsor or the participating whether apprenticeships longer than wages to ensure workers achieve their employer. Additionally, the commenter 130 weeks that do not offer industry- prior level of financial stability and said it was paramount that States send recognized credentials would be continue in their careers with new workers to ‘‘bona fide’’ programs that approved. Another commenter skills. The proposed rule did not retain are committed to apprentices’ success, requested clarification on the proposed the previous administrative guidance on and it expressed concerns about States’ rule’s revisions of the TAA Program’s this topic because, as proposed, an ability to evaluate new, ‘‘untested’’ length of training requirements apprenticeship no longer ends when a industry-recognized apprenticeship applicable to apprenticeships because, worker reaches suitable employment. programs. The commenter in their reading of the proposed rule, The Department declines the suggestion recommended revising the provision apprenticeship programs are covered for for a wage threshold and this final rule about the exclusion of certain sponsors up to 5 years or for up to 130 weeks at adopts § 618.635 as proposed. (§ 618.635(c)(3)) to separate it into two 50-percent employer reimbursement. Proposed paragraph (c)(2) described paragraphs providing that States (1) may The same commenter asked what States the expenses related to apprenticeship not enter into contracts with registered should do after reimbursing that can be covered using TAA Program apprenticeship sponsors that exhibit a apprenticeship costs for up to 130 funds. These costs include expenses for pattern of failing to provide apprentices weeks, specifically whether they should the educational or instructional with completion certificates, and (2) component of an apprenticeship cease funding at that point or continue may enter into contracts with (tuition, fees, tools, uniforms, until the 5-year limit is reached. nonregistered apprenticeship sponsors equipment, books, etc.). In addition, the Another commenter asked whether only if they demonstrate a pattern of employer may be reimbursed not more § 618.635(c)(1) was intended to refer to providing apprentices with industry- than 50 percent of the apprentice’s the ‘‘full duration’’ of an apprenticeship recognized credentials. The Department and requested that the Department regular wage rate for the cost of has reviewed § 618.635(c) in light of provide clarifying examples. With providing the work-based training and these comments and has made respect to the request that the additional supervision related to the appropriate corrections to the regulatory Department provide an example of work-based training provided by the apprenticeship to elaborate on the employer. text in the final rule by removing all information provided in the preamble, One commenter said the definition of references to sponsors in § 618.635(c), an apprenticeship lasting 5 years is an ‘‘available at a reasonable cost’’ found at since ‘‘sponsor’’ is a term specific to example, not a limit. Some § 618.610(f)(2)(ii), which describes what registered apprenticeship, and replacing apprenticeships will be shorter; a small reasonable costs are for trainings, that term with ‘‘employer.’’ With respect number may be longer. There is no limit contains important safeguards ensuring to the same commenter’s statement that on the length of a training program that States evaluate training program quality under many registered apprenticeship consists of an apprenticeship under adequately and make funding decisions programs, participants are not charged these rules. carefully, and it recommended that the any out-of-pocket costs, it would not be TAA Program funds may be used to Department restate this provision as an appropriate to charge a TAA Program pay for the entire length of the introductory paragraph to participant either. Under educational and instructional § 618.635(c)(2). The Department has apprenticeships, an employer is component of the apprenticeship even if concluded there is no need to restate reimbursed for the extraordinary costs it exceeds 5 years; however, the length this and the final rule adopts for supervision related to the work- of the paid work-based learning may not § 618.635(c)(2) as proposed. based learning component of an exceed 130 weeks. As for the request to Another commenter discussed various apprenticeship. The removal of the term provide additional clarification on provisions related to apprenticeship in ‘‘sponsor’’ from the section should
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provide additional clarity on costs of supported expanding job training promote apprenticeships with weaker apprenticeships. opportunities to include protections and lower quality standards. A State workforce agency generally apprenticeships as defined by the NAA Many of these comments stated that supported apprenticeship and said that but did not support including programs training approved under the TAA it looked forward to learning best that simply result in ‘‘the issuance of a Program must, or at least should, meet practices from other States. The recognized postsecondary credential.’’ the Registered Apprenticeship program Department appreciates the State’s The commenters expressed concern that standards established by the Department willingness to adopt best practices from allowing programs other than registered pursuant to its authority under the NAA other States related to expanding apprenticeships would, in their opinion, and set forth at 29 CFR parts 29 and 30. apprenticeship opportunities under the undermine registered apprenticeships’ But the TAA Program is not governed by TAA Program. high standards for work safety and the regulations implementing the Registered Apprenticeship program, and Apprenticeships Other Than Registered quality. The commenters suggested that a broad range of employer-based Apprenticeships other training programs could be included under OJT instead. One training is allowed under the Act. The Several commenters expressed commenter stated that the current TAA Act’s standards for the benefit of concern about the provision in proposed Program law already contains an OJT workers and its criteria for approving § 618.635(c)(4)(ii) to allow TAA Program training continue to be met under this funds to support apprenticeships that program that employers may use if they want to provide paid job training but do final rule, as they have in the past. are not registered under the With respect to commenters’ concerns not wish to sponsor registered Department’s Registered Apprenticeship about proposed § 618.635(c) allowing apprenticeships. Another commenter program. They stated that, in their view, apprenticeships under the TAA Program these programs lack important suggested that the Department should that are not registered apprenticeships guarantees, requirements, and prioritize increasing participation in the under the NAA, section 236(a)(5)(G) of protections associated with the existing OJT program, and argued that the Act provides the Secretary registered apprenticeship system. expanding the allowable use of TAA significant latitude in determining Another commenter requested clarity on Program funds to include all which types of training States may the acceptable types of apprenticeship apprenticeships could undermine the approve under the TAA Program. opportunities. One commenter existing options for training under the Section 236(a)(5)(A) of the Act also expressed concern about the proposed TAA Program. One commenter said it provides that employer-based training is rule’s promotion of apprenticeships not was crucial that TAA Program funds are allowable under the TAA Program and registered and described this aspect as spent only on proven programs with provides a nonexhaustive list of the a ‘‘deregulatory’’ change. The demonstrable benefits to workers, and it types of allowable employer-based commenter stated that, in its urged the Department to ensure that its training. Using these two provisions, perspective, the proposed rule’s funds support new opportunities for both registered apprenticeships and description of permissible work-based workers and do not subsidize employers nonregistered apprenticeships have learning programs as programs that for training offered in the ordinary always been allowable types of training result in a recognized post-secondary course of employment. Some under the TAA Program. The proposed credential, which includes an industry- commenters said it made sense to rule changed the benefits available for recognized credential, was overly broad encourage participation in these training programs. In addition, and suggested that the provision apprenticeship programs by allowing proposed § 618.635(c) adopted the labor encouraging TAA Program recipients to States to reimburse program sponsors protections established in the Act for pursue apprenticeship opportunities for up to 50 percent of apprentices’ OJT as requirements for apprenticeships should be limited to registered wages using TAA Program funds, and to provide additional protections. apprenticeships. Another commenter they argued that TAA Program Lastly, proposed § 618.635(c) required opposed a definition of apprenticeship involvement with apprenticeship has any nonregistered apprenticeship to in the proposed rule and any definition previously been minimal due to a lack lead to the issuance of a recognized that would include programs outside of of incentives for workers to pursue post-secondary credential, which registered apprenticeship. The apprenticeships through the program. includes an industry-recognized commenter stated it was imperative to The commenters stated that the subsidy credential. TAA Program data have distinguish between registered proposed in the rule, however, was shown that participants who complete apprenticeship programs and other substantial and would require close training and receive a credential have work-based learning programs, even if scrutiny because more than 730,000 better outcomes than those that do not the latter offer industry-recognized programs in the United States offer complete training or those that complete credentials. One commenter, while industry-recognized credentials, but, in training but do not receive a credential. supporting the Department’s their view, many fall short of the This requirement for a recognized post- acknowledgment of work-based training apprenticeship standards outlined in secondary credential, when combined programs as valuable opportunities for the NAA. One commenter generally with employer-based training, promotes AAWs to obtain support under the TAA supportive of apprenticeship expansion better outcomes for TAA Program Program, expressed concerns about TAA efforts nevertheless recommended that participants. Accordingly, no changes Program benefits supporting programs the Department reserve the significant were made to the regulatory text in that may not offer pathways to careers financial support proposed in the rule response to these comments. in the trades. The commenter for registered apprenticeships only. The Proposed paragraph (c)(7) defined the recommended revising the proposed commenter stated that registered term ‘‘sponsor’’ as it relates to rule to either limit all TAA-eligible apprenticeships must comply with apprenticeships. Proposed paragraph apprenticeships to the registered reporting requirements and meet certain (c)(8) required the State to enter into a apprenticeship system or limit TAA- criteria around job quality, and it contract with the sponsor that eligible apprenticeships in the suggested the Department should use establishes the terms and conditions of construction industry specifically to TAA Program funds to support the apprenticeship. As explained in the that system. Some commenters registered apprenticeships rather than above discussion of § 618.635(c)(2), the
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Department has removed all references One commenter said that the rule codifies (as proposed) that to sponsors in § 618.635(c). provision at proposed § 618.445(a)(1)(i) supplemental assistance is allowable Accordingly, the Department has also and (ii) allowing for different relocation only if the trade-affected worker is removed proposed § 618.635(c)(7) from completion deadlines for training accessing training outside of the the final rule, since ‘‘sponsor’’ is no participants inside and outside of a worker’s commuting area, in accordance longer a term used in the rule, and commuting area would necessitate with section 236(b) of the Act, and that redesignated proposed § 618.635(c)(8) as programming adjustments to case and the reimbursement is limited to the § 618.635(c)(7). Aside from the changes data management systems in order to mileage outside of that area. For workers discussed above, the final rule adopts achieve compliance. The Department co-enrolled with WIOA, that program § 618.635 as proposed. explains that § 618.640(c) and (d) refer could cover the transportation costs to subsistence and transportation within the commuting area as a Section 618.640 Supplemental assistance as part of an approved supportive service. Assistance training program, not relocation One commenter questioned whether Proposed § 618.640 discussed allowances. States would be permitted to set supplemental assistance that must be The same commenter also questioned definitions of commuting distance. The provided to trade-affected workers to whether the ‘‘maximum limit’’ on Department has determined that States defray reasonable subsistence and reimbursement of mileage outside the may set new definitions or look to transportation expenses while a worker defined commuting area referred to a applicable State law. If no such law attends training at a facility outside of daily or overall limit. The Department exists, States will need to establish a his or her commuting area. confirms that it is a daily limit, as definition for purposes of this part 618. provided in § 618.640(d)(2) and (3). The One commenter said the provision at Paragraphs (c) and (d) State must determine whether it is more proposed paragraph (d) to restrict Proposed § 618.640(c) and (d) cost effective to provide subsistence transportation payments to miles discussed the requirements for payment in lieu of daily transportation beyond a trade-affected worker’s supplemental assistance in the form of costs. If the State determines that commuting area would cause issues in subsistence and transportation subsistence would be more cost its State because each WIOA region only payments for TAA approved training effective, the trade-affected worker may covers specific commuting areas and participants. choose to commute each day, but will pays different rates for transportation. be reimbursed only the costs The commenter also said this provision The proposed requirements for determined under the subsistence contradicts the principle of making TAA subsistence payments were that trade- benefit. Program funds the primary source of affected workers must be reimbursed for One commenter questioned whether Federal assistance for workers. A few subsistence only for the period when mileage reimbursements would begin commenters said that in their States, they are not receiving or authorized to ‘‘at the mile beyond the definition’’ WIOA currently covers travel in the receive reimbursement or separate rather than ‘‘mile one’’ for trade-affected commuting area, and they argued that payments for such costs from any other workers traveling beyond the normal limiting TAA-funded reimbursement to source; that subsistence payments must commuting area. Another commenter miles outside of a commuting area not be made for any day when a worker questioned whether the provision at would needlessly ‘‘shift’’ TAA Program receives a daily commuting paragraph (d) indicating transportation supportive services onto WIOA. The transportation payment from TAA payments are only available for miles commenters said this would be Program funds or any other source outside of a worker’s commuting area especially burdensome in States with (except under certain circumstances, was meant to indicate that all workers large rural areas, such as the outlined at § 618.640(e)); and that attending training would receive commenters’ States. These commenters subsistence payments must not be made transportation reimbursements. As also stated that limiting reimbursement for any day of unexcused absence from proposed in § 618.640(d), to miles outside of the commuting area the training program. reimbursement is for mileage beyond would force local areas to process The Department received comments the commuting area. Thus, ‘‘mile one’’ multiple mileage reimbursements for on this section and responds to them is the first mile outside of the regular the same trip, and since local areas set below. The Department is finalizing this commuting area. Trade-affected workers different reimbursement rates, the same section as proposed, with the exception may receive supplemental assistance, worker could receive different WIOA of the insertion of the phrase ‘‘trade- including transportation, only if it is mileage rate reimbursements across the affected’’ in front of ‘‘worker’’ in part of a TAA approved training State. Section 236(b) of the Act provides paragraph (c)(2) and the correction of program. that when trade-affected workers are the use of a pronoun. One commenter One commenter expressed concern outside of their commuting area, questioned whether the proposed that the decrease of mileage supplemental assistance may be language at § 618.640(c)(2)(iii), which reimbursement in proposed § 618.640(d) provided where appropriate. The generally prohibited subsistence and alignment of TAA approved proposed rule established conditions for payments for any day a trade-affected training caps with lower local area such assistance and reflected the worker receives a daily commuting WIOA caps, as described in the Department’s determination for when transportation payment from TAA preamble to the proposed rule in supplemental assistance is appropriate. Program funds or another source, would § 618.650, would result in reduced As for the same commenter’s concern allow subsistence payments for days AAW benefits, and it recommended that there is a contradiction among the when an absence is excused. The eliminating these changes. The proposed rule and support services Department has specifically disallowed Department addresses training caps in under WIOA, the language in proposed subsistence payments on days where an proposed § 618.650 in that section of the § 618.640, and the requirement that absence is unexcused and the State final rule preamble below. The statute TAA Program funds be the primary would be required to determine if a provides that the Secretary can source of funding for TAA Program subsistence payment is necessary in the authorize payments of supplemental workers, the Department disagrees that event of an excused absence. assistance where appropriate. The final there is a contradiction. Under the TAA
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Program, the Department considers Paragraph (e) technical assistance and interpretations reimbursing mileage within a defined The Department made two edits to the of the Act and regulations related to this commuting area a supportive service use of pronouns in paragraph (e). topic. This section provides direction to that would be allowed under a partner the States on this topic. The Department program, such as WIOA. The definition Paragraph (g) is finalizing this section as proposed, of commuting area (or commuting Proposed § 618.640(g) provided that except for the changes described herein, distance) is left to the States. This trade-affected workers must provide and an edit to the use of a pronoun in definition may already exist in State UI receipts for all lodging, purchased paragraph (e). One commenter supported the law, regulations, or program policy. If transportation expenses, and meals as proposed provisions at § 618.645 and no such definition exists, the State must evidence of incurred expenses. Some specifically § 618.645(a), which establish one for purposes of the TAA commenters requested more clarity on provided that States must advise trade- Program. what is meant by ‘‘purchased affected workers that withdrawal from a transportation expenses’’ and Some commenters also questioned TAA approved training may result in an questioned whether the provision will whether transportation payments were overpayment and ineligibility for TRA. meant to be limited to 90 percent of the require workers to submit receipts for One commenter said in response to prevailing personal vehicle mileage rate, gas and oil changes and other similar proposed paragraph (a) that its State and they asserted that such a limitation transportation expenses. One does not currently have a mechanism to would mean less TAA Program funding commenter questioned whether training collect overpayments and asked would be used, workers might not participants who travel on a weekly whether having such a mechanism in receive sufficient reimbursement to basis would have to submit receipts for place was mandatory for every State. cover their travel costs, and additional gas, and it argued that such a situation The same commenter expressed concern calculations at the time of approval and would preclude cost savings and place that the provision could discourage payment would be required. One undue burden on the training some workers from engaging in TAA commenter said the revision participant. The proposed rule, as approved training. While the proposed establishing a maximum limit of 90 adopted by the final rule, provided that provision requiring States to notify percent of the cost per mile at the trade-affected workers travel in trade-affected workers that voluntary prevailing personal vehicle mileage rate accordance with the FTR. If a worker is withdrawal from a training may be was inconsistent with prior traveling by privately owned vehicle, established as an overpayment and may administrative guidance, which requires the program reimburses at the rate result in ineligibility for TRA is new, that transportation payments must cover established by the rate per mile the requirement to establish and collect the entirety of a worker’s commuting established by GSA. The GSA rate per overpayments related to training is not distance. The Department clarifies that mile takes into account wear and tear as new and was included in the previous although the preamble to the proposed well as regular maintenance costs, as regulations at 20 CFR 617.55. rule in § 618.640(d) included a well as the cost of fuel. So, the receipts One commenter supported the discussion of the establishment of a 90- in question would be for purchased provision at § 618.645(d) permitting percent limit on the cost per mile, the transportation, such as rental cars, workers to continue to receive job Department did not intend to establish buses, trains, airfare, ride-share services, search and relocation assistance if they such a limit, as reflected in the and tolls. Receipts are required for these withdraw from training for good cause. proposed regulatory text, which did not other types of transportation costs but The Department appreciates the include such language, and such are not needed for fuel unless a worker commenter’s support of this provision. limitation is not included in the final is utilizing a rental car. A State may use One commenter asked why the regulatory text. an online mapping tool to determine the provision at proposed § 618.645(e)(1)(ii), mileage traveled. If the training location which provided that States must One commenter requested additional does not change, the mileage would continue funding an approved training clarification on whether States could need to be documented only once. program as long as training benchmarks determine if payments will occur on a No changes have been made to at proposed § 618.660 continue to be weekly or monthly basis, stating that § 618.640 as a result of these comments. satisfactorily met, refers to training reimbursements could be less than $10 The Department made a nonsubstantive benchmarks since these are only in some instances and requiring weekly edit in paragraph (b) of this section to required for workers who need reimbursements for such small amounts correct a cross-reference to the section Completion TRA. The commenter would create administrative strain and heading of a different section; suggested the regulation should specify unduly burden workers who must travel otherwise, the final rule adopts this that States need to have ‘‘a similar to recoup their reimbursements. The section as proposed. process’’ in place for workers not proposed rule, as adopted in the final eligible for TRA. Although the statute rule, provided at § 618.640(c)(4) and Section 618.645 Voluntary Withdrawal only explicitly requires benchmarks for (d)(4) that payments for supplemental From a Training Program payment of Completion TRA, the assistance must be paid at the Proposed § 618.645 established a new Department has previously addressed completion of a week of training. With requirement regarding a trade-affected the issue of training benchmarks in the availability of electronic payment worker’s voluntary withdrawal from a administrative guidance. This final rule processing, the Department does not training program. This provision had no requires, in § 618.660(b), that training conclude that this is an undue burden comparable counterpart in previous benchmarks be established for all but on States, and many trade-affected regulations or in administrative short-term training. This ensures that workers are already under financial guidance. States are remaining in contact with strain. The TAA Program provides During its oversight of the TAA trade-affected workers enrolled in sufficient funding to the States to meet Program, the Department has training and allows for any issues that this requirement and ease the additional encountered numerous situations where arise during the training to be addressed financial burden placed on workers that a trade-affected worker has withdrawn in a timely manner in order to ensure need to travel to participate in training. from training. States have also requested a positive outcome for the worker. The
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Department has revised the proposed would be able to request to exceed this A commenter recommended that the regulatory text, by removing proposed cap to meet the needs of the trade- Department reconsider the use of the § 618.645(e)(1)(i) and (ii) and affected worker. term ‘‘career pathway’’ in proposed incorporating the substance of proposed Two commenters maintained that paragraph (b) since this is a technical § 618.645(e)(ii) into the final regulatory their States would not support a soft cap term defined in the WIOA regulations, text at § 618.645(e), in order to clarify establishing a local area’s limit for ITAs and it recommended deleting the word that if a trade-affected worker wishes to under WIOA and opposed coupling the ‘‘career’’ from the second sentence of withdraw from training, he or she may limit on training costs because of the this paragraph. The Department concurs do so, subject to the provisions of this many differences between the WIOA with the commenter and has made this section. A State cannot subsequently and TAA programs. One of these change to the regulatory text at deny training, after initially approving a commenters said that in its State, caps § 618.650(b) of the final rule. training program, based on a later on WIOA training funds are very low availability of suitable employment. and almost all TAA approved training Section 618.655 Training for This edit also conforms to the changes programs would need to include Adversely Affected Incumbent Workers made to §§ 618.615 (limitations on requests to exceed the cap. Another Proposed § 618.655 addressed the training approval) and 618.630 (training commenter similarly claimed that, in its approval of training for AAIWs. of reemployed trade-affected workers). State, local areas’ ITA caps are below Proposed paragraph (a) clarified that the State TAA approved training cap AAIWs are eligible for approved Section 618.650 State Standards and and the soft cap alternative would mean training before separation, and further Procedures for Establishing Reasonable most training approval requests would clarified that AAIWs may apply for Cost of Training seek to exceed the cap. The commenter training and States may approve Section 236(a)(1)(F) of the Act stated that the approach proposed at training for any AAIW at any time after requires States to approve training § 618.650(a) would be less burdensome the date on which he or she is suitable for the trade-affected worker than the alternative approach. One determined to be individually and available at a reasonable cost. commenter said its State has a training threatened with separation regardless of Proposed § 618.650 set forth State cost ceiling but evaluates training filing for, receiving, or exhausting UI. standards and procedures for requests individually and will approve Proposed paragraph (b) clarified how a establishing reasonable cost of training. reasonable trainings with costs above State will verify that an AAIW is Proposed § 618.650 did not have a the soft cap. The commenter argued threatened with total or partial counterpart in the previous regulations that, since its State’s training locations separation. at 20 CFR part 617. The Department is are limited, a soft cap should be One commenter expressed general finalizing this section with a minor regulated at the State level. One support for serving AAIWs through revision described below. commenter recommended revising the partnerships between the TAA Program Proposed § 618.650(a) provided that last sentence of § 618.650(a) by and rapid response and also provided a while a State is not prohibited from replacing ‘‘local area’’ with ‘‘trade- neutral response regarding serving setting a statewide limit or limits for affected worker.’’ Comments, including AAIWs because of the low number of local workforce development areas on those above, opposed the alternative certified firms in its State. the amount of training costs considered using the ITA limit as a soft cap and The Department is adopting this reasonable and appropriate for training coupling the limit on training with section in the final rule as proposed, programs, any limits the State WIOA. The Department appreciates the with the exception of edits to the use of establishes must reasonably take into feedback and will not be adopting the pronouns in paragraphs (a) and (e). account the cost of training available in alternative proposal into the final rule. local workforce development areas The demographic differences between Section 618.660 Training Benchmarks throughout the State (and any statewide TAA Program participants and WIOA Proposed § 618.660 provided the limit must recognize that costs may vary participants is significant enough that process for establishing and monitoring significantly between urban and rural the training and service needs of trade- compliance with training benchmarks. areas). Proposed § 618.650(a) also affected workers often require Benchmarks are required by section provided that expenditures must be additional resources beyond what 233(f)(3)(A) of the Act when the trade- prudent under the standards of the WIOA would traditionally provide. affected worker enrolls in an approved OMB’s Uniform Guidance (2 CFR Accordingly, no changes have been training program that will extend 200.404) and its attendant interpretive made to the regulatory text in response beyond the duration of payable weeks of guidance, and that States must comply to these comments. The final rule Basic TRA and Additional TRA, for the with the standards for reasonableness in adopts the proposed limitations for purposes of eligibility for Completion proposed § 618.610(f)(2), including States that choose to implement one. TRA, in accordance with subpart G. those permitting States to allow training Paragraph (b) of proposed § 618.650 Proposed § 618.660 implemented other than the least cost option if the provided that States must develop existing operations of the TAA Program. extra cost is justified by better trade- transparent standards and procedures The Department is finalizing § 618.660 affected worker outcomes or a faster that provide for prompt consideration of as proposed, except for the one change return to the workforce. any request for approval of training in § 618.660(c) discussed below. In the NPRM, the Department also costs that exceed an established training solicited public comments regarding an cost limit. This paragraph required that Paragraph (a) alternative approach to establishing a the review standards developed by the Paragraph (a) proposed to codify the definition of ‘‘available at a reasonable State must allow for approval of costs requirement for States to establish and cost’’ wherein the Department would that exceed the applicable training cost document training benchmarks for promulgate a regulation providing that a limit when a training program will AAWs (and it is recommended to do so soft cap would be initially established provide the most reasonable way of for AAIWs) so that they can meet as the local area’s established limit for returning a trade-affected worker to Completion TRA eligibility ITAs under WIOA. Under this employment at higher wages or place requirements described at proposed alternative approach, the local area the worker on a pathway to do so. § 618.765. The benchmarks must be
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established when the trade-affected likely to fail subsequent reviews. The paragraph (g)(1) fails to meet a worker enrolls in an approved training 60-day period was established in prior benchmark during a subsequent program so that the State can monitor administrative guidance and the benchmark review under paragraph (f), the worker’s progress toward Department recognizes that many States the State must notify the worker of his completing the approved training have implemented case management or her ineligibility for Completion TRA. duration limits set forth at proposed processes that require a check-in with An AAW may elect to continue in the § 618.615. workers at least once every 30 days, approved training but will not receive A State workforce agency asked which can inform a benchmark review any Completion TRA payments; or, the whether the training benchmarks apply but not take the place of one. The training program must be amended to AAIWs in training and, if not, Department has determined that the according to proposed § 618.665, and whether the State may require proposed time period is sufficient and Completion TRA payments may resume. benchmarks for all trade-affected meets the requirement at § 618.660(e) Some commenters requested workers in training in order to monitor that training benchmarks be flexible clarification under proposed adequately their progression through enough to allow for some variability and § 618.660(g)(2) on whether a worker’s trainings. The Department encourages both practical and measurable enough to failure to meet a different benchmark States to utilize training benchmarks for allow administration across a broad during a ‘‘subsequent benchmark all workers, including AAIWs. AAIWs spectrum of training scenarios and State review’’ will result in the loss of are ineligible for Completion TRA, but environments. The Department, Completion TRA. These same as the AAIW may become an AAW therefore, is adopting § 618.660(f) in the commenters asked if under proposed upon separation, it is highly final rule as proposed. § 618.660(g)(2) a client would lose recommended that training benchmarks One commenter requested Completion TRA if they were found to be put in place at the start of the AAIW’s clarification on what the Department have resolved the original issue, but approved training program. meant in the preamble to the proposed failed to meet a second benchmark, in rule when it stated that inclusion of the subsequent review. One commenter Paragraphs (b) and (c) benchmarks should occur when the asked how this ineligibility clause Proposed paragraph (b) required training program is ‘‘initially would be applied to instances when a training benchmarks to be established established and approved’’ because worker’s failed benchmarks relate to for all but short-term training programs, contracts are sometimes placed months different classes. The Department has such as a 3-month certificate program, in advance of the start of a training determined that, after the first failure, if and proposed paragraph (c) provided program. Proposed § 618.660(f) required a warning and training program that to review the trade-affected that benchmarks are to be evaluated and modification corrects the issue, then the worker’s progress against the documented every 60 days beginning failure ‘‘resets’’ and the AAW is benchmarks, States may request that the with the start of the approved training considered to have no failed training provider provide program. This may or may not align benchmarks. If, however, a first failure documentation of the worker’s with when the contract is executed or is not resolved and a second benchmark satisfactory progress, including an enrollment occurs. The 60-day is failed with the first benchmark failure instructor attestations, progress reports, period starts on the first day of actual still outstanding, then a training etc. training. The Department has retained program modification is required. If the One State workforce agency asked the regulatory text at § 618.660(f) in the worker fails to comply with the whether the Department intended to use final rule as proposed. requirement to amend his or her the term ‘‘training provider’’ instead of training program, the worker must be Paragraph (g) ‘‘vendor’’ at § 618.660(c), and it notified of his or her ineligibility for expressed confusion over the use of Under proposed paragraph (g)(1), Completion TRA. If the training different terms. The Department concurs upon failure to meet either or both of program is amended, the worker can with the commenter that the use of the the benchmarks for the first time during resume training and remain eligible for different terms is confusing and has the same evaluation period, the State Completion TRA. changed the proposed regulatory text must provide a warning to the AAW One commenter asked whether a State from ‘‘vendor’’ to ‘‘training provider’’ in that his or her eligibility for Completion may take corrective action and provide the final rule at § 618.660(c). TRA is in jeopardy. assistance to an AAW if the State learns One commenter said the provision at that the AAW is struggling with his or Paragraph (f) § 618.660(g)(1) regarding ineligibility for her training because of failing or Proposed paragraph (f) required a previous benchmark failures appeared withdrawing from classes. The State can State to evaluate and document punitive. The commenter asked if there provide assistance to the worker in a satisfactory progress against two was a good cause exception to such proactive manner in order to ensure a benchmarks: (1) The AAW is ineligibility. The Department reiterates timely and successful completion of the maintaining satisfactory academic that the ineligibility for Completion training. The Department affirms that standing (e.g., not on probation or TRA as a result of benchmark failures is any corrective action taken should be determined to be ‘‘at risk’’ by the statutory as provided in section documented on the worker’s IEP and instructor or training provider); and (2) 233(f)(3)(A) of the Act. Furthermore, could include amending the training the AAW is on schedule to complete this is not a change from current program. The Department made two training within the timeframe identified practice. Two unresolved benchmark edits to the use of pronouns in in the approved training program. failures will result in a loss of eligibility. paragraph (g). No other changes were One State workforce agency said that However, as is also current practice, a made to the proposed regulatory text at AAWs might be disadvantaged in States training program can be amended to § 618.660(g) in the final rule. that require benchmark reviews more assist a worker to successfully complete frequently than every 60 days since training. Section 618.665 Amending Approved workers would have less time to Proposed paragraph (g)(2) provided Training demonstrate their progression within a that, if an AAW who has previously Proposed § 618.665 provided training program and would be more failed to meet a benchmark under conditions for amending an approved
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training program. Proposed § 618.665 § 618.665(a)(1)(iv) applies if approval of modifications to the trade-affected recognized that more substantial a short-term training would improve worker’s one training program. The one amendments may be necessary to employment prospects. The commenter training program policy is still in place. provide trade-affected workers with also asked whether the Department had A worker could not, for example, skills necessary to obtain employment considered a time limit on trade-affected complete an entire training program and and sets forth the circumstances, and workers’ ability to amend their training then apply for another training program. conditions, under which amendments program with a different occupational The Department has made an edit to the must be made. goal. Under the proposed rule, and as use of a pronoun in paragraph (a)(1)(iii). adopted in the final rule, a training Paragraph (a) Paragraph (b) program can be amended to shorten it Proposed paragraph (a) required the if the shorter training will improve the Proposed paragraph (b) sets forth the State to work in cooperation with the likelihood of employment. The criteria that must be met in order for a trade-affected worker in amending a Department considered establishing a training program to be amended. training program where the need for time limit on when a trade-affected One commenter asked why the such amendment was not foreseeable worker can amend his or her training assessment of labor market conditions at and where the worker demonstrates program to another occupational goal, proposed § 618.665(b)(1) is limited to good cause for the need to amend. but decided not to in order to allow the trade-affected worker’s commuting Proposed paragraphs (a)(1)(i) through (x) States flexibility to serve the varying area or the area of the worker’s intended provided the list of conditions to be met needs of trade-affected workers. relocation. The same commenter stated for an amendment to be appropriate. The same commenter also asked if the that this provision was ‘‘unnecessarily Proposed paragraph (a)(2) provided that provision at proposed § 618.665(a)(1)(v), limiting’’ and argued that workers may the training duration limits at proposed which explains that an amendment to be willing to commute longer distances § 618.615(d)(3) apply to amended an approved training program is for suitable employment. The programs. Proposed paragraph (a)(3) appropriate if the worker cannot commenter also said proposed required an amendment to be made successfully complete the originally § 618.665(a)(2), providing that the before completion of the original approved training program, extended to training duration limits at proposed training program. ‘‘any reason.’’ The Department asserts § 618.615(d)(3) apply to amended One commenter said the process for that the concept of reasonableness programs, was ‘‘overly limiting’’ since modifying training programs set forth in always applies to Federal regulations. workers may seek to travel a longer proposed § 618.665(a) would allow for This is not, and should not be viewed distance to attend a higher quality the creation of more customized training as, an allowance to amend for any training even if there is a suitable programs that align with AAWs’ needs reason. training program that aligns with their and would encourage ‘‘creative mixes’’ With respect to the limit of one occupational goals within their of classroom and work-based trainings. training program per certification set commuting area. The commenter’s Another commenter expressed support forth in proposed § 618.655(d)(3), a statement that workers may be willing for the added flexibility with respect to State workforce agency asked what to commute farther for what they approved training programs because circumstances would transform a perceive to be higher quality programs such flexibility would improve training amended under the provisions was also directed at the language in employment outcomes and result in at proposed § 618.665(a)(1)(v), (vi), and proposed § 618.665(b)(1)(iv), which higher wages. The Department (vii) (listing conditions that may allow explains that amendment is appropriate appreciates the commenters’ support of an amendment) to an entirely new if the worker has a reasonable these provisions. training program. A training program expectation of employment in a limited One commenter asked how the may be amended up until the time the demand occupation in their commuting Department intended to define trade-affected worker has completed the area. The Department has determined ‘‘industry-recognized credential’’ as it entire training program as originally that without this limiting language, a appears in proposed § 618.665(a)(1)(ii). approved. Only if a worker had State could require an unreasonable The Department addressed this in completed his or her approved training work search across a broad geographic response to a similar comment in program, and then sought additional area. Although workers may choose to § 618.635. The term ‘‘industry- components to add to the training seek and accept employment outside of recognized credential’’ is not defined in program, would there be a second their commuting area without relocating the Act; however, the term ‘‘recognized training program. The Department to that area, they need not do so to be postsecondary credential’’ is defined in affirms that the provisions established eligible for training. Thus, the section 247(19) and that term also is in § 618.665 are sufficient to prevent requirements are limited to the used in section 239(j)(2)(A)(i)(IV) to workers from receiving more than one commuting area or to where the worker identify a factor in one of the primary training program per certification and intends to relocate. indicators of performance that the State do not establish entitlement to a second The same commenter said many of its must report to the Secretary. Section training program. comments concerning the language in 3(52) of WIOA contains the same term One commenter stated its proposed § 618.610, which addresses and definition for similar reporting interpretation of the language at criteria for initial approval of training, purposes. Industry-recognized proposed § 618.665(a)(1)(i) through (x) also applied to proposed § 618.665 and credentials are a subset of recognized was that the TAA Program would no asked why the Department determined postsecondary credentials. The longer limit each worker to one training it was necessary to repeat these Department has determined that no as long as at least one of the conditions provisions in both places. Not all of the further definition is needed in this final in paragraphs (i) through (x) is satisfied, provisions in § 618.610 are repeated in rule. and it asked the Department to confirm this section because they do not all One commenter expressed support for this interpretation. The Department apply when amending a training the proposed provision to amend a reiterates that allowing amendments is program. Therefore, the Department worker’s approved training program in not the same as providing a second chose to list those requirements that do § 618.665. The commenter asked if training. Amendments are merely apply in proposed § 618.665.
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The Department made a determinations found in administrative an employer’s predecessors or nonsubstantive edit in paragraph guidance. Where the Department successors, or both, operated in order to (b)(3)(iii) of this section to correct a received comments on specific include them in certification cross-reference to the section heading of paragraphs within a section, details of documents. The Department appreciates a different section, two edits to the use those paragraphs as proposed in the this feedback. of pronouns in paragraph (b)(1), and an NPRM are included to provide context The Department has made no changes edit to subject-verb agreement; for the discussion of comments that to this section in response to these otherwise, the final rule adopts this follows. No comments were received on comments and adopts it into the final section as proposed. proposed §§ 618.700 and 618.770. Those rule as proposed. One commenter argued that it would sections are adopted in the final rule as Section 618.710 Categories of Trade make more sense to consider general proposed. labor market information, rather than Readjustment Allowances just the information in the worker’s case Section 618.705 Definitions Proposed § 618.710 explained that file, when seeking to amend an Proposed § 618.705 had no there are three categories of TRA: Basic, approved training. The Department comparable counterpart in previous Additional, and Completion, which affirms that the regulatory text at regulations or in administrative were discussed in proposed paragraphs proposed § 618.665(b)(1) requires an guidance. It established for the first time (a), (b), and (c), respectively. This examination of the labor market definitions of the terms ‘‘participating in proposed section had no parallel in 20 conditions at the completion of the approved training’’ and ‘‘training CFR part 617 but was part of training program. If the end date of the allowance’’ as used in this proposed administrative guidance. training program has been modified, or subpart G. It also addressed the issue of Proposed paragraph (b) described will be modified as a result of the wages as it relates to a successor-in- Additional TRA as payable to an AAW amendment, the State would need labor interest. who meets the requirements of market information beyond that which Proposed paragraph (a)(1) of this proposed § 618.760, which set forth is likely to already be included in the section defined the phrase qualifying requirements for, and the trade-affected worker’s case file. ‘‘participating in approved training’’ timing and duration of, Additional TRA, One commenter said that while generally, relative to attendance and and stated that Additional TRA begins proposed § 618.665(b)(1)(ii) states, in taking part in on-site classes, activities, the first week after exhaustion of Basic part, ‘‘as identified on the worker’s IEP, and events as well as covering excused TRA. if available,’’ the provision at § 618.350 absences. The Department received no indicates that an IEP must be A State workforce agency asked for comments on proposed § 618.710. documented before a worker can receive more information about what However, upon review of the proposed training under the TAA Program. The documentation is needed to show, regulatory text, the Department has documentation requirement was under paragraph (a)(1) of this section, determined that the statute does not addressed previously in the final rule that a worker’s absence from or failure explicitly require the exhaustion of preamble under subpart C. to take part in training was excused by Basic TRA as an eligibility criteria for The same commenter also asserted the training provider in accordance with Additional TRA. As a result, the that proposed § 618.665(b)(1)(ii) the provider’s written policies. The Department has edited the second indicates that the original occupational Department has determined that sentence of paragraph (b) of this section goals cannot be amended, a provision documentation may be varied and to remove this requirement, and has that may conflict with the language at includes, but is not limited to, a written otherwise adopted the section as proposed § 618.665(a)(1)(vii), which or electronic note or a documented proposed. included ‘‘[t]raining in another phone call. Specific questions about this occupation will lead to a greater issue should be discussed with the Section 618.715 Applications for likelihood of training completion or a appropriate regional office. Trade Readjustment Allowances and better employment outcome’’ as a basis Proposed paragraph (c) of this section Payment for amending approved training. The defined the term ‘‘adversely affected Proposed § 618.715 pertained to cited provision does not prohibit a employment’’ and was derived from the applications for TRA and payment. change in occupational goals. The IEP is definition of the term ‘‘firm’’ contained Paragraph (a) addressed the timing of dynamic and can and should be in 29 CFR 90.2 and in proposed TRA applications; paragraph (b) set revisited throughout a trade-affected § 618.110, which provided that any forth the procedures for filing worker’s enrollment in the TAA predecessors or a successor-in-interest applications; paragraph (c) addressed Program. If a change in occupational are considered part of the same firm for how determinations of the applications goal is determined to be appropriate, the purposes of proposed subpart B. should be treated; paragraph (d) IEP will need to be updated. Proposed paragraph (c) extended that discussed matters related to payment of The final rule adopts the regulatory logic to the wages earned by an AAW TRA; and paragraph (e) pertained to the text in § 618.665 in the final rule as that may be reported under the subject taking of applications for TRA benefits. proposed. firm named on a petition, a predecessor, The Department is finalizing this or a successor-in-interest. For purposes section as proposed, except for the G. Subpart G—Trade Readjustment of TRA, wages reported to a State or changes described herein. Allowances paid to an AAW by a successor-in- Subpart G covers the eligibility interest are to be treated as weeks and Paragraph (a) requirements for, and the amounts and wages in adversely affected employment Proposed paragraph (a) of this section duration of, TRA. Subpart G reorganizes for purposes of establishing TRA modified 20 CFR 617.10(b) to specify and simplifies some of the provisions of eligibility. that an application for TRA must be 20 CFR part 617 to make them easier to One commenter said that paragraph filed after a certification is issued. It also follow and modifies or excludes some (c) was a ‘‘welcome addition’’ because it omitted all references to applications for provisions of part 617 to reflect removes the ‘‘inconvenience’’ of having TRA that appeared in 20 CFR 617.10(b) statutory amendments and policy to track down the names under which for weeks of unemployment beginning
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before the initial application for TRA is and the determinations on those section that States collect separate filed because doing so would needlessly applications. applications for Additional TRA, where confused the requirement that TRA Two commenters provided feedback an application for Additional TRA was cannot be paid until an AAW is covered on the requirement in paragraph (c) that not previously required. Many of the by a certification as described in States maintain copies of TRA commenters expressed concern that this proposed paragraph (d) of this section. applications and determinations in change would delay the payment of Proposed paragraph (a)(2) of this section AAWs’ case files. One commenter, TRA benefits to workers, with one of the provided that an application for TRA saying that in its State separate agencies commenters saying the provision would must be filed within the time limit administer the TAA Program and TRA, lead to ‘‘unnecessary paperwork’’ and applicable to claims for regular asked whether the Department intends another commenter maintaining that it in such cases for the TAA Program compensation under the applicable could present ‘‘financial hardship’’ for agency to keep the applications in its State law. AAWs. A few commenters said that in One commenter requested files or for the TRA agency to maintain their States, workers can move from clarification about the requirement in them. The Department has considered paragraph (a)(1) of this section that TRA this comment and has determined that Basic TRA to Additional TRA applications be filed after publication of it is the State’s prerogative to determine automatically, with no separate the certification of the appropriate where the TRA application is kept. TRA application needed, as long as certain worker group, asking whether this records must be stored according to requirements are met, and they meant publication by the Department in Federal and State records retention suggested this approach be maintained. the Federal Register or by the State requirements and made available to the The commenters argued that separate itself. The same commenter said that Department for review, as appropriate. applications would increase waiting for Federal Register publication One commenter described a similar administrative burdens on States or could be ‘‘problematic’’ in its State, division of responsibilities between would entail ‘‘substantial changes’’ to because local area one-stop center staff State agencies, with TRA their systems. One commenter collect TRA applications at TAA determinations maintained questioned whether requiring separate Program orientation meetings, which electronically, and asked whether this applications for Additional TRA was require ‘‘multiple steps’’ to be requirement meant needing to keep intended to provide accountability scheduled, and then transmit the paper copies as well, which it said around workers’ participation in applications to State-level would be ‘‘a waste of paper.’’ The training. Another commenter requested administrators for processing, and Department maintains that participant clarification about the correct ‘‘[n]one of this activity is tied to’’ a records may be electronic or paper, but implementation of this provision, asking notice appearing in the Federal must be accessible to case managers and whether States should supply workers Register. The commenter added that the other State and Federal officials who nearing the end of Basic TRA eligibility only ‘‘timeliness issue’’ it could require access to a trade-affected with an application for Additional TRA anticipate under the present approach worker’s case file. State files and and a deadline by which to return it. would be if the one-stop center recordkeeping procedures are at the The Department recognizes these provided proper notice of an upcoming discretion of the State but if there is a concerns and has modified the orientation and the trade-affected lack of file integration between agencies regulatory text at § 618.715(e)(1) to worker neither attended nor made plans who administer the TAA Program and require an initial application (which is to attend on an alternative date. The TRA, then States may use TAA Program typically for Basic TRA, but could be for certification date on the determination funds to improve their case file Additional TRA if the AAW receives UI document would govern for this integration and accessibility. States may for a duration that exceeds Basic TRA) purpose, not the publication in the have to examine and modify policies and a separate application for Federal Register. The Department has and procedures to ensure that revised the rule in paragraph (a)(1) to appropriate individuals have access to a Completion TRA. remove the reference to publication of trade-affected worker’s complete file, It is important for AAWs to be aware the certification to remove any including TRA. The Department made a that the conditions for receipt of each confusion over when an application nonsubstantive edit in paragraph (c) of type of TRA are unique. Therefore, in may be filed. The revision makes it clear this section to correct two cross- response to these comments, the that the application may be submitted as references to the section headings of Department has established a of the certification date of a petition. different sections; otherwise, this final requirement at § 618.715(e)(3) that The same commenter also asked how rule adopts this section as proposed. No AAWs be notified when they move from States should implement this provision changes to the regulatory text have been Basic TRA to Additional TRA so that for AAWs who are separated later in the made in response to this comment. they are aware of the eligibility certification period. States must work conditions they must continue to meet with firms to continually update worker Paragraph (d) to remain eligible. Providing a notice to lists of those workers that have The Department has made an edit to AAWs informing them of eligibility separations and threats of separations the use of a pronoun and subject-verb criteria at each benefit entitlement stage throughout the duration of the agreement in paragraph (d). fulfills due process requirements and certification period. Paragraph (e) reinforces program integrity. This also Paragraph (c) Proposed paragraph (e) of this section serves as the record that the State Proposed paragraph (c) of this section provided that an application is required advised AAWs properly, and the State established that TRA determinations are for each TRA benefit type available to will be better able to sustain a denial of subject to specified requirements in the AAW, however, as discussed below, benefits at the appellate level since it proposed subpart H concerning paragraph (e) of this section has been will document that benefit information determinations, appeals, and hearings. It modified in this final rule. was provided with specificity to all also required that an AAW’s case file Multiple commenters addressed the AAWs proximate to the benefit include the worker’s TRA application(s) requirement in paragraph (e)(1) of this payments.
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Section 618.720 Qualifying Proposed paragraph (e)(2) of this choice is required to eliminate Requirements for Basic Trade section codified section 232(d) of the ambiguity and maintain program Readjustment Allowances Act. This provision allowed an AAW to integrity. The final rule adopts the elect to receive TRA instead of UI under regulatory language in paragraph (e)(3) Proposed § 618.720 set forth the certain circumstances. of this section into the final rule as requirements for Basic TRA eligibility One commenter supported the proposed, with the exception of a and was largely taken from the previous language in paragraph (e)(2) of this change to the use of a pronoun. regulations at 20 CFR 617.11(a)(2), but section that provides workers the option Proposed paragraph (e)(4) of this contained some changes. of receiving TRA rather than UI, saying section provided that if the AAW Paragraph (e) that access to TRA would help workers exercises the election to receive TRA, in work-based training who are State law governs what happens to the Proposed paragraph (e) of this section ‘‘connected to employment’’ but still valid UI claim filed. Proposed paragraph required exhaustion of UI prior to require income supports to bring their (e)(5) provided that the AAW must have receipt of TRA and sets forth two initial earnings closer to their former no unexpired waiting period applicable requirements. First, proposed paragraph wages. The final rule adopts the for such worker for any UI, except when (e) makes an exception that exhaustion regulatory text in paragraph (e)(2) of this collecting TRA. of additional compensation that is section into the final rule as proposed. As a result of the comments received funded by a State, and not reimbursed Proposed paragraph (e)(3) of this above regarding proposed paragraph (e) from any Federal funds, is not required. section detailed the requirement that of this section and the exhaustion of UI, Second, it explains that whenever an States provide the AAW with a the Department has edited the AAW becomes entitled (or would summary of their potential UI and TRA regulatory text in proposed paragraph become entitled if the worker had benefits in writing and document the (e)(4) through (e)(6) of this section to applied) to UI (except additional AAW’s choice in the case management simplify the provisions related to UI compensation that is funded by a State file. claims in the second benefit year, the and not reimbursed from any Federal One commenter, citing the exhaustion of UI, and waiting periods, funds) TRA eligibility is suspended requirement in paragraph (e)(3) of this respectively. Paragraph (e)(5) of this until the worker again exhausts UI. section that States provide AAWs a section was newly inserted in this final Proposed paragraph (e)(1) required written summary of their potential TRA rule and this resulted in the exhaustion of UI entitlement and was and UI benefits and document the renumbering of proposed paragraph based on 20 CFR 617.11(a)(2)(v)(A) and AAW’s choice in his or her case file, (e)(5) as paragraph (e)(6) in this section. (B). asked whether, in States where separate agencies handle the TAA Program and Paragraph (f) One commenter expressed concern TRA/UI, the TAA Program agency Proposed paragraph (f) of this section about how paragraph (e)(1) of this would need to document the AAW’s combined the requirements in 20 CFR section defines ‘‘exhaustion of UI,’’ choice in its files or if it would suffice 617.11(a)(2)(vi) and 20 CFR 617.17 and saying it is unclear because the for the TRA/UI agency to document the reorganized and rephrased the definition contains a circular reference choice in its files. A different paragraphs containing the specified to the term being defined. The commenter said that the provision means for meeting the Extended commenter then quoted the previous would require changes to the UI system Benefits (EB) work test requirements in definition of this term in 20 CFR in its State to ensure proper an easier to follow format. In addition, 617.3(p) and suggested that the documentation. It is important that a proposed paragraph (f)(2)(ii) of this Department adopt this more clear record of actions taken and the choices section provided that the EB work test definition of the term from part 617. The selected by the AAW be documented requirements do not apply during a Department explains that § 618.720(e) and readily available for review by the break in training that does not exceed 30 provides that UI entitlement must be Department. Whether this days. The Department made an edit to exhausted under the conditions at documentation is maintained at the the use of a pronoun in paragraph (f). paragraph (e)(1) of this section and not local area or State level or with one One commenter asked whether under the conditions at paragraph (e)(2) State agency or another is up to the proposed paragraph (f)(2)(ii), which of this section. The Department has State. provides an exception to both the ‘‘able simplified paragraph (e)(1) of this The Department has determined that and available’’ requirement and the EB section by adding the words ‘‘except as for an AAW to exercise the option work test requirement for workers provided at § 618.720(e)(2)’’ to the end between UI and TRA, the worker is during breaks in training not lasting of the first sentence and deleting the required to file for UI benefits, establish more than 30 days (per the counting second and third sentences. The a valid claim, and be found eligible to method in § 618.775(b)), means that substantive requirement is unchanged. receive UI benefits, if such election is these requirements do apply if the The previous definition of exhaustion of made. It is not enough only to consider worker’s break lasts longer than 30 days. UI at 20 CFR 617.3(p) also is retained in potential monetary eligibility. A The comment relates to the application its entirety because unlike the TRA claimant can be found monetarily of the EB Work Test. requirement presented by § 618.720(e), eligible, but still not be eligible to The EB Work Test is an eligibility it explains a different concept that receive such UI entitlement consistent requirement for all TRA as provided at applies to UI and any Federal with 26 U.S.C. 3304(a)(7). This is a § 618.720(f)(1), except as provided at unemployment such as TRA. requirement of the Federal paragraph (f)(2) of this section. An AAW Exhaustion of all UI entitlement occurs Unemployment Tax Act, which requires enrolled in TAA approved training, or by either: (1) The receipt of all a worker who has received participating in such training, or on a entitlement (monetary benefits) in a compensation during a benefit year to break from training, does not need to benefit period; or (2) the end or have had work since the beginning of continue meeting the EB Work Test. As expiration of the benefit period (benefit such year in order to qualify for provided at § 618.775 (payment of TRA year ending date), whichever occurs compensation in the next benefit year. during breaks of training), Basic and first. Accordingly, documentation of this Additional TRA are payable during
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TAA approved training breaks, not Paragraph (g) change as a worker with a partial exceeding 30 days. However, Basic and Proposed paragraph (g) of this section separation under an existing active Additional TRA are not payable if the followed the participation in training certification would have 26 weeks from break in such TAA approved training requirement of 20 CFR 617.11(a)(2)(vii). the week in which he or she became exceeds 30 days. Proposed paragraph (g)(2) provided the partially separated to enroll in (or be The AAW can elect to seek Department’s position that the waived from) training and, if he or she employment at all times, consistent participation in training requirement later experiences a total separation, the enrollment deadline would restart based with the EB Work Test, but it would does not apply to an AAW before what on the date of the total separation. is commonly referred to as the 26/26- have no effect on the payment of TRA Proposed paragraph (a)(3) of this during the enrollment or participation week deadline for enrollment in training section implemented the deadline in in TAA approved training nor during found in section 231(a)(5)(A)(ii) of the section 231(a)(5)(A)(ii)(III) of the Act breaks in TAA approved training, Act and incorporated into proposed that allows an AAW 45 additional days whether or not they exceed 30 days. The § 618.725. Thus, an AAW may receive after the later of the training enrollment Department has edited the regulatory Basic TRA up to the applicable training deadlines described above, if there are text in the final rule at § 618.720(f)(2)(ii) enrollment deadline in proposed extenuating circumstances that justify by removing the reference to breaks in § 618.725 without meeting the the extension. The Act does not training lasting longer than 30 days in participation in training requirement. elaborate on what are extenuating order to clarify the relationship between One commenter said new paragraph circumstances. Proposed paragraph the EB Work Test and breaks in training. (g)(2) of this section, addressing receipt (a)(3) of this section explained that of TRA prior to the training enrollment Proposed paragraph (f)(3) of this extenuating circumstances are those that deadline, makes the requirements section contained the definition of constitute good cause—unusual clearly understood. The Department has ‘‘suitable work.’’ The applicable situations that are beyond the control of incorporated the above-mentioned definition depends on an AAW’s job the AAW and that make enrollment changes to the regulatory text for prospects as discussed in 20 CFR within the otherwise applicable § 618.725 and otherwise adopts this 615.8(d). For an AAW with job deadline impossible or unreasonable. section into the final rule as proposed. prospects determined to be ‘‘good,’’ the Additional discussion of extenuating The Department made an edit to the applicable definition is that of claimants circumstances and good cause is found use of a pronoun in paragraph (g)(3). for regular compensation. Conversely, in the preamble for proposed § 618.730. where a worker’s job prospects are ‘‘not Section 618.725 Training Enrollment One commenter supported the good,’’ the Federal-State Extended Deadlines ‘‘extenuating circumstances’’ provision in proposed § 618.725(a)(3) that would Unemployment Compensation Act of Proposed § 618.725 did not have a 1970 definition applies, and it considers extend a worker’s eligibility for TRA counterpart in the previous regulations income supports by extending the any work within the worker’s at 20 CFR 617, but was administered by capabilities to be suitable. training enrollment deadline for 45 days States based on administrative if there is ‘‘good cause.’’ The A State workforce agency agreed with guidance. This § 618.725 in the Department appreciates this support the Department’s rationale, expressed in proposed rule set forth the statutory and the final rule adopts the regulatory the NPRM, for paragraph (f)(3) applying deadlines by which an AAW must be language of this section as proposed. different job search requirements to enrolled or participating in approved AAWs with ‘‘good’’ job prospects versus training, or have a training waiver in Section 618.730 Good Cause those with ‘‘not good’’ job prospects (a effect as a condition for receiving TRA. Proposed § 618.730 did not have a determination the State makes under 20 These deadlines are commonly referred counterpart in prior regulations at 20 CFR 615.8(d)) but asked for definitions to as the training enrollment deadlines CFR part 617 but was administered by of ‘‘good’’ and ‘‘not good.’’ The State or the ‘‘26/26-week deadlines.’’ States based on administrative guidance workforce agency also argued that the Proposed paragraphs (a)(1) and (2) of that implements section 234(b) of the differentiation of job search this section implemented the training Act. In determining whether to apply requirements would mean enrollment deadlines that require an the good cause exception, States should ‘‘considerable changes’’ to its State’s UI AAW to be enrolled in training or have consider the following: whether the system. The language in the proposed a waiver granted no later than the last State failed to provide timely notice of regulatory text is revised in the final day of the 26th week after either the the need to act before the deadline rule based on the EB Work Test worker’s most recent qualifying passed; whether factors outside the provisions found at 20 CFR separation or the last day of the 26th control of the AAW prevented the 617.11(a)(2)(vi). A portion of this week in which the certification was worker from taking timely action to language was omitted in the proposed issued to receive Basic TRA. This is also meet the deadline; whether the worker rule in error, specifically the reference what is known as the ‘‘26/26-week attempted to seek an extension of time that registration for work be made deadlines.’’ The training enrollment by promptly notifying the State; consistent with the EB regulations deadlines are established by section whether the worker was physically found at 20 CFR part 615. The 231(a)(5)(A)(ii)(I) and (II) of the Act. unable to take timely action to meet the applicable reference is 20 CFR 615.8(d), One commenter opposed the deadline; whether the employer warned, which provides an extensive establishment of a 26-week deadline to instructed, threatened, or coerced the explanation on the classification and enroll in training in cases of partial worker in any way that prevented the determination of job prospects to separation, saying it would penalize worker’s timely filing of an application establish whether they are ‘‘good’’ or partially separated workers who have for TRA or enrolling in training; ‘‘not good.’’ The Department revises not enrolled. The Department reiterates whether the State failed to perform its paragraph (f) in the final rule to include that the deadline in the regulation is a affirmative duty to provide advice the language that was omitted in error statutory deadline and may not be reasonably necessary for the protection and to provide the proper reference to modified. However, the deadline for a of the worker’s entitlement to TRA; or 20 CFR 615.8(d). partially separated worker may actually whether there are other compelling
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reasons or circumstances that would circumstances under which a waiver in training. As provided by the prevent a reasonable person from could be granted. Department in proposed subpart H, as meeting a deadline. well as in this final rule, electronic Paragraph (b) A State workforce agency supported signatures are allowable, as are scanned the Department’s clarification of the Proposed paragraph (b) of this section signed copies. This would be the same ‘‘good cause’’ exception and suggested set forth the permissible bases for for training approval or approval of the flexibility it provides should be waiving the training requirement. other benefits. The Department strongly expanded to allow for waiver of ‘‘any of One commenter urged the Department encourages States to move toward time limitations or other requirements’’ to reinstate the more numerous waivers electronic case files and electronic if the AAW can demonstrate ‘‘good of the training requirement for Basic benefit management wherever possible cause’’ exists. Through these TRA that existed before the enactment to reduce operational costs and improve regulations, the Department codifies of TGAAA in 2009 and the regulatory efficiency of the provision of TAA four different concepts where changes that followed. A different Program benefits and services. The final exceptions to certain deadlines are commenter specifically requested the rule adopts the regulatory text in appropriate: extenuating circumstances, restoration of the ‘‘marketable skills’’ paragraph (c)(1)(vi) of this section as justifiable cause, good cause, and waiver, which allowed workers with in- proposed. equitable tolling (§ 618.888). Though demand skills to receive extra weeks of similar, they are not interchangeable. TRA beyond the standard UI Paragraph (f) States may apply these, as appropriate, entitlement by waiving the training The Department made an edit to the for a worker’s unique circumstances. requirement. The same commenter use of a pronoun in paragraph (f). expressed concern about what it called Proposed paragraph (b) of this section Paragraph (g) provided that for good cause to exist, the ‘‘underlying unfairness’’ of the the AAW must have acted diligently yet proposed approach of making TAA- Proposed paragraph (g) of this section been unable to apply for, enroll in, or eligible workers with marketable skills revised 20 CFR 617.19(c) and receive a training waiver within the look for suitable employment, thereby implemented section 231(c)(2)(B) of the required time limitations because of forfeiting TRA benefits. The categories Act, by requiring that a waiver be exigent circumstances. are statutory, as established in section revoked if the waiver criteria are no Citing a Rutgers University study 231(c)(1)(A) through (C), and the longer met and that the AAW be about the negative effects of prolonged Department does not have the authority notified in writing of the revocation. unemployment, a different commenter to add additional categories; therefore, Omitted from the regulation in proposed recommended that the Department the final rule adopts the regulatory paragraph (g) of this section were two revise proposed § 618.730(b) to state language regarding the waiver categories provisions from 20 CFR 617.19(c)(2) and explicitly that ‘‘good cause’’ as proposed. (3) that did not impose substantive encompasses the difficulties workers One commenter responded to the requirements. face that are ‘‘exacerbated by the trauma Department’s request for comments by One commenter, citing the preamble and stress of unemployment,’’ such as asking that the Department include discussion about paragraph (g) and the financial straits, depleted savings, and more descriptive language about the Department’s explanation that it emotional strain. The same commenter bases of waiver criteria into the dropped two provisions from 20 CFR expressed concern that, without explicit regulatory text by inserting the statutory 617.19(c)(2) and (3), stated its encouragement from the Department to language. The Department has understanding of the removed interpret the standard liberally, States determined this addition is not provisions as follows: if the waiver is would hesitate to apply it in a way that necessary, and adopted the regulatory revoked because a worker enrolls in provided workers the most opportunity descriptions of the waiver conditions as training, then the State simply revokes to access training. The Department is proposed. the waiver on the waiver form and does well aware of the difficulties that not need to send the worker a written Paragraph (c) workers face when unemployed. States notice of revocation outlining the are aware of these difficulties as well. Proposed paragraph (c) of this section worker’s appeal rights, but if the waiver However, the Department has decided governed the contents of a waiver and is revoked for any other reason, then the not to include any specific examples in provided that a waiver does not take State sends the worker a notice of the regulatory text as there are often too effect unless it contains, at a minimum, appeal rights. The same commenter said many variables to consider such that six specific items of information. that if its understanding of these providing a definitive opinion in this Proposed paragraph (c) modified the provisions is correct, then it would final rule would be difficult. For requirements that existed at 20 CFR support taking that approach. Similarly, technical assistance on the application 617.19(a)(2)(i) through (vii) to account another commenter said that changing of these provisions to specific for the statutory change concerning the status quo, in which revocation that circumstances, States should consult allowable conditions for issuing a occurs because ‘‘training is feasible and with the appropriate regional office. waiver. appropriate’’ does not result in written The final rule adopts the regulatory A State workforce agency questioned notice since the AAW simply begins language as proposed. the necessity of the requirement in training, could be confusing to workers paragraph (c)(1)(vi) of this section that and disrupt service delivery. This Section 618.735 Waiver of Training a waiver cannot take effect unless it commenter asked for clarification about Requirement for Basic Trade contains a signature from ‘‘an official of whether, under the proposed approach, Readjustment Allowances the State authorized to grant the waiver’’ all revocations must be issued as written Proposed § 618.735 addressed waivers and said that the State’s approval in the notices and treated as appealable of the training requirement as a electronic case management system determinations. Waivers must be condition for receiving Basic TRA. This should suffice. The same commenter revoked, in accordance with section section permitted States to issue waivers also asked why such a signature would 231(c)(2)(B), when the conditions that if an AAW was unable to meet the be needed to waive the training led to the issuance of such waiver are training required and identified the requirement but not to enroll a worker no longer in effect. If during the
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periodic review of the waiver, it is have experienced a separation or are maximum amount of Basic TRA payable discovered that reason(s) for such threatened with separation from to an AAW as the product of 52 waiver are no longer applicable, the employment from the certification’s multiplied by the TRA weekly amount waiver must be revoked and the AAW impact date through its expiration date, for a week of total unemployment, must meet the requirements of as soon as the certification is issued and calculated under proposed § 618.745(a) § 618.725(a)(5). This would include throughout the certification period. The (weekly amounts of TRA), reduced by when an AAW enrolls in approved information provided by the firm is then the total sum of UI (except State-funded training. States must issue used to advise workers of the potential additional compensation) that the AAW determinations on revocations and TAA Program eligibility. If there is a was entitled to or would have been provide appeal rights consistent with conflict between the information entitled to had the worker applied in §§ 618.820 and 618.828. The final rule provided by the firm and information such worker’s first benefit period. As adopts the regulatory language in provided by a worker, additional fact proposed in paragraph (b), this does not paragraph (g) of this section as finding is necessary from both parties. include any supplemental payments for proposed. It is important for States to ensure that dependent allowances. One change from The Department is finalizing this firms provide a list of all separations previous regulations concerned the section into the final rule as proposed. regardless of the reason for the reduction for the total sum of the separation. This avoids situations in Section 618.740 Evidence of AAW’s UI entitlement. Paragraph (a)(2) which the firm only submits to the State Qualification for Basic, Additional, and of 20 CFR 617.14 provided that a workers who the firm believes had a Completion Trade Readjustment worker’s UI reduction must include, in lack of work separation. Otherwise, Allowances addition to any UI to which the worker some workers considered by the firm as was entitled, any UI to which the Proposed § 618.740 was modeled after not experiencing a lack of work worker would have been entitled had 20 CFR 617.12 and provided the separation may be left off the list when the worker applied for it during the requirements for evidence of in fact they should have been included, worker’s first benefit period. The last qualification for Basic, Additional, and resulting in unnecessary delays for sentence of that paragraph added that in Completion TRA. Proposed paragraph receipt of benefits and services for such calculating the worker’s maximum TRA (a) of this section was substantially the workers. States also must work with the amount, the worker’s full UI entitlement same as 20 CFR 617.12(a) and contained firm to identify workers who are for the first benefit period must be the requirement that States obtain the individually threatened with separation. subtracted, regardless of the amount, if basic information necessary to establish The worker list provides valuable any, actually paid to the worker. This whether a TRA applicant is eligible to information that is used by the State as provision created an unintended result receive TRA. a basis for issuing determinations of A State workforce agency interpreted for AAWs who during the first UI program entitlement. The State is the benefit period exhausted regular the Department’s overview of § 618.740 responsible party and the final authority in the NPRM preamble as meaning that compensation, became eligible for EB issuing individual determinations as to under 20 CFR part 615 and, while a State does not need an application to which workers had a lack of work. Once determine TAA Program eligibility if, continuously unemployed, could not this action occurs, the workers are receive the full EB entitlement because, based on the worker list it receives from considered to be an AAW or an AAIW. the employer, it has enough information prior to EB exhaustion, the EB period The Department made a nonsubstantive triggered ‘‘off’’ such that no further EB to assess a worker’s eligibility for edit in paragraph (a) of this section to benefits. The State workforce agency benefits were payable in the State. correct a cross-reference to the section While the statutory and regulatory asked the Department for confirmation heading of a different section; that the State does not need to require language implies that the full otherwise, the final rule adopts this entitlement must be reduced, the AAW workers to apply if the information from section as proposed. the employer provides sufficient could not have filed and received such grounds on which to base an eligibility Section 618.745 Weekly Amounts of benefits. Accordingly, the Department’s determination as to the TAA Program Basic, Additional, and Completion revised position was that if, and only if, and TRA. The Department explains that Trade Readjustment Allowances the benefit was available to the AAW, it if the worker list provides sufficient Proposed § 618.745 governed the must be reduced. information for the State to determine determination of an AAW’s weekly One commenter requested that a trade-affected worker was amount of TRA, whether Basic, clarification about the provision in separated for lack of work as a member Additional, or Completion. This § 618.750(a) concerning the reduction in of the worker group, then no additional proposed section only impacts TRA the maximum amount of Basic TRA information is required to render a benefits, not UI. The Department payable based on workers forgoing a UI general determination on overall TAA received no comments relating to benefit to which they were entitled. The Program eligibility, allowing a worker to proposed § 618.745 and therefore the same commenter asked whether a receive employment and case final rule adopts the section as worker who elects to wait until filing management services. Benefits and proposed, with the exception of edits to would be ‘‘out those two weeks.’’ The services such as training and TRA have the use of pronouns in paragraphs (b) Department explains that the regulatory other eligibility requirements that must and (c). citation tracks the statute at section be met, however. 233(a)(1) of the Act. This requires that Further, the worker list initiates the Section 618.750 Maximum Amount of the full UI entitlement during the first process by which the State contacts the Basic Trade Readjustment Allowances benefit period is reduced, independent trade-affected workers advising them of Proposed § 618.750 explained how to of the actual receipt, to establish the the availability of benefits. All members calculate the maximum amount of Basic maximum Basic TRA payable. For of the certified worker group must be TRA. It was derived from previous purposes of this calculation, UI includes provided notification of their potential regulations at 20 CFR 617.14, with a few regular compensation, EB, and Federal eligibility. The State must request the substantive and organizational supplemental compensation. firm to provide a list of workers who differences. The proposal defined the Accordingly, if the AAW was entitled to
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compensation and had a balance in such regulations. Proposed § 618.760(a)(2), day maximum, to account for workers compensation, such compensation must therefore, has been removed from the enrolled in training that mostly occurs be reduced from the maximum Basic regulatory text in the final rule, and on weekends, which the commenter TRA payable, independent of the proposed paragraph (a)(3) has been said is true of some technical reasons the AAW could not receive such redesignated as final paragraph (a)(2) to certification courses. To illustrate this compensation. The final rule adopts the reflect the deletion of proposed point, the commenter provided an regulatory text as proposed. paragraph (a)(2). example of two workers, where one has classes that meet primarily on Section 618.755 Eligibility Period for Section 618.765 Qualifying weekends, while the other has classes Basic Trade Readjustment Allowances Requirements for, and Timing and that meet only on weekdays. In the Duration of, Completion Trade Proposed § 618.755 established the commenter’s example, while the two Readjustment Allowances Basic TRA eligibility period. The workers may experience a break at the Department did not receive any Proposed § 618.765 provided the same time, because weekends do count comments on this section. The final rule qualifying requirements for, and toward the weekend student’s total, but adopts the regulatory text as proposed, duration of, Completion TRA. This do not count toward the weekday with a technical correction that removes section codified section 233(f) of the student’s total, the break is treated as an erroneous reference to § 618.755(c), a Act, and provisions in administrative shorter for the weekday student than it nonexistent regulatory provision. guidance implementing the statute, and is for the weekend student. The resolved policy issues arising from the Section 618.760 Qualifying commenter asked for clarification about implementation. Requirements for, and Timing and how many days following the worker’s Proposed paragraph (c) of this section return to training must pass before the Duration of, Additional Trade explained that the Department Readjustment Allowances worker can have another break and still determined that the eligibility period for remain eligible for TRA benefits. The Proposed § 618.760, establishing the Completion TRA will be the 20-week commenter described an example in qualifying requirements for, and consecutive calendar period beginning which the worker takes a course lasting duration of, Additional TRA, had no with the first week in which an AAW 1 or 2 days in between two breaks in specific counterpart in 20 CFR part 617; files a claim for Completion TRA and training and asked whether this would however, most of the provisions in seeks compensation for such week, ‘‘reset’’ the count for the 30-day limit. § 618.760 were contained in various regardless of when the first payment is The commenter also requested sections of the prior regulations at 20 received. The eligibility period may be clarification about how this provision CFR part 617 and had been updated extended for justifiable cause in applies to distance learning programs through administrative guidance over accordance with proposed § 618.770(a). with no set class schedule, namely time. The Department is finalizing this A commenter asked whether whether weekends and holidays would section as proposed, except for the modification of a training contract be excluded for such programs. The changes described herein. during the eligibility period, while there Department appreciates the Proposed paragraph (a) of this section is Completion TRA eligibility commenter’s concerns, but there are too contained Additional TRA qualifying remaining, resulting in training many unknowns and additional requirements and was largely continuing after the eligibility period, information would be needed in order unchanged from 20 CFR 617.11(a)(2) would be deemed ‘‘justifiable cause’’ for to provide an informed response. The (TRA qualifying requirements), 20 CFR extending the eligibility period under commenter is encouraged to contact its 617.15(b)(2) (training application filing § 618.765(c). Before any determination appropriate regional office for technical deadlines), and 20 CFR 617.15(b)(3) can be made on whether or not to apply assistance on individual case scenarios. (requirement of participation in training justifiable cause, fact-finding must The Department is finalizing this except during breaks in training). occur. The Department encourages section in the final rule as proposed, Proposed paragraph (a)(2) of this section States to work with their appropriate with the exception of a subject-verb specified that the AAW must have regional office to address specific cases agreement edit in paragraph (c). exhausted Basic TRA before establishing as they arise. The final rule adopts the Section 618.780 Disqualifications eligibility for Additional TRA. regulatory text as proposed. One LWDB understood proposed Proposed § 618.780, governing § 618.760(a)(2) as meaning that a worker Section 618.775 Payment of Trade disqualifications from receiving TRA, who has reached 104 weeks of Basic Readjustment Allowances During was structured the same as 20 CFR TRA eligibility without exhausting that Breaks in Training 617.18. Proposed paragraph (d) of this benefit is not eligible to receive Proposed § 618.775, governing section, prohibiting payment of TRA to Additional TRA, even after receipt of EB payment of TRA, whether Basic or an AAW for any week during which the or supplemental compensation, and Additional, during breaks in training, worker is receiving part-time training, asked the Department whether that was was substantially the same as 20 CFR did not have a comparable section in 20 the provision’s intent. The provision to 617.15(d) except that, as the result of a CFR part 617, as it was a new statutory require exhaustion of Basic TRA was statutory change to section 233(e) of the requirement in section 236(g) of the Act, included in the proposed rule to clarify Act, it extended the maximum number which had been implemented that Additional TRA is not a permissible of days a break may last without provisionally via administrative alternative to Basic TRA for an AAW interrupting TRA payments from 14 guidance. who missed the training enrollment days to 30 days. Proposed paragraph (b) One commenter requested deadlines in § 618.725 and who lacks of this section provided a basis for clarification about the correct good cause for failure to meet such counting days similar to 20 CFR interpretation of paragraph (d) of deadlines. However, upon further 617.15(d). § 618.780, concerning disqualification review of the Act as a result of this One commenter recommended that from receiving TRA for any weeks in comment, the Department concludes the Department add language to which a worker participates in part-time that there is no statutory basis to paragraph (b) of this section, which training, which states that part-time establish this provision in the explains what days count toward the 30- training is any training not meeting the
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definition of ‘‘full-time training’’ in program performance requirements; and preferred. The final rule adopts § 618.110. The same commenter quoted overpayment requirements and § 618.804(h)(4) as proposed. the definition in § 618.110 of ‘‘full-time instructions. The Department made a training,’’ which provides in paragraph There were no comments received on nonsubstantive edit to correct a cross- (2) of the definition that students in proposed §§ 618.800, 618.820, 618.828, reference in paragraph (h)(2) of this their last semester of training will be 618.836, 618.840, 618.844, 618.848, section, including correcting the section considered in full-time training, even if 618.856, 618.868, 618.872, 618.884, heading of the section cited; otherwise, their courses do not meet the training 618.894, and 618.898. Accordingly, the the final rule adopts this section as provider’s definition of full-time, if final rule implements these sections as proposed. those courses are the only training or proposed, except for an edit to subject- Section 618.808 State Rulemaking coursework required to finish the verb agreement in § 618.820. training. The commenter asked the Section 618.808 proposed a Department to confirm that a State does Section 618.804 Agreements With the modification from 20 CFR 617.54 and not need to obtain additional Secretary of Labor divided the section into paragraphs. documentation from a training provider Section 618.804 of the NPRM set forth This proposed section provided States with the authority and flexibility to in order to pay TRA for a worker’s last the statutory requirement at section 239 establish laws, regulations, procedures, semester of training. A different of the Act that agreements between the or other policies related to the commenter said the proposed rule did States and the Secretary (known as administration of the TAA Program that not include language extending Governor-Secretary Agreements) are are not inconsistent with Federal law or eligibility for TRA to workers in part- required before a State may deliver TAA these regulations while ensuring the time training during their last semester Program benefits and services. Proposed Department can still administer the who are scheduled to graduate and only § 618.804 followed 20 CFR 617.59, but uniform interpretation of the program need that semester’s courses to complete reordered the provisions and edited throughout the United States. Proposed their requirements. States should ensure them for clarity. The final rule adopts that courses taken in the last semester paragraph (a) reworded 20 CFR 617.54 § 618.804 as proposed, except for a and replaced the generic term of the AAW’s approved training nonsubstantive technical edit correcting program are the only classes or ‘‘supplemental procedures’’ with the capitalization of ‘‘agreement’’ to specific references to the establishment coursework needed to complete ‘‘Agreement.’’ training, and if they are less than full- of laws, regulations, procedures, or A commenter supported continuing other policies not inconsistent with the time, that should be documented in the services even while the Department is in worker’s case file. The Department also Act, this part 618, or administrative the process of amending Governor- guidance issued by the Department. refers the commenters to the definition Secretary Agreements. The Department of full-time training at § 618.110, where Proposed paragraph (b) retained the has never ordered States to cease the final semester of training is requirement in 20 CFR 617.54 that program operations while executing specifically addressed. The Department certified copies of the proposed law, updated Agreements. made a nonsubstantive edit in regulation, procedure, or other policy be paragraph (a) of this section to correct Paragraph (h) provided to the Department, but a cross-reference to the section heading removed the requirement for them to be The Department received one of a different section; otherwise, the submitted on a form supplied by the comment related to proposed paragraph final rule adopts this section as Department to accommodate the (h) of this section. Proposed NPRM proposed. improvements in technology that make paragraph (h) provided a nonexhaustive this process much easier. Proposed H. Subpart H—Administration by list of mandatory terms for Governor- paragraph (c) was unchanged from 20 Applicable State Agencies Secretary Agreements between the CFR 617.54 and required that all laws, Subpart H governs the administrative Secretary and States, including regulations, procedures, or policies by requirements and rules that States must provisions establishing TAA Program the States be reviewed and approved by follow in delivering TAA Program funds as the primary source of Federal the Department before taking effect. It benefits and services. Subpart H mirrors assistance to trade-affected workers also authorized temporary approval by subpart G of 20 CFR part 617 with a few (proposed paragraph (h)(4)). the Department, in cases of exceptions. These exceptions include A State workforce agency administrative necessity, for a period organizing sections differently for recommended revising § 618.804(h)(4) not to exceed 90 days. Proposed improved clarity; revising provisions to to state explicitly that the costs for paragraph (d) allowed the Department, reflect recent statutory amendments and services post certification ‘‘must’’ after providing the State notice of at policy determinations; and adding new (rather than ‘‘should’’) shift from WIOA least 30 days, to withdraw a previous sections to address requirements for and other programs to the TAA Program approval. Proposed paragraph (e) veterans’ priority of service, general and to provide a reference to differed from 20 CFR 617.54 and fiscal and administrative requirements, § 618.615(c) as the basis for this required States to follow State UI law and TAA Program performance. Subpart requirement. The services required to be requirements for public notice and H also excludes some provisions that provided to petitioners, prior to a opportunity for hearings on rulemaking. are contained in subpart G of 20 CFR petition determination, are funded from Proposed paragraph (e) more broadly part 617 because they are based on WIOA. These are the rapid response also required the State to follow any expired laws. Other major changes cover services and appropriate career services other State or Federal law that may topics such as merit staffing required by section 221(a)(2)(A) of the require such public notice and requirements; actions the Department Act. The Department recognizes that opportunity for hearing. may take in the absence of an executed there may be administrative reasons, Two State workforce agencies asked Governor-Secretary Agreement; State from time to time, where allowing how the Department would approve submissions of administrative rulings WIOA to continue providing these State rulemakings and asked for more and waivers of training; veterans’ services after a certification as been clarity as to whether revisions to State priority of service requirements; issued utilizing WIOA funding is regulations would require Departmental
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approval, expressing concern that Section 618.816(a) workers whose petitions do not result in Departmental review could hinder TAA Proposed paragraph (a) required certification or to workers incorrectly Program operations. The Department States to provide general program identified in a petition (e.g., providing would like to reiterate that this information and advice to trade-affected services to the entire company where provision regarding State rulemaking is workers, which was very similar to 20 only one subdivision of the company is in the previous regulations at 20 CFR CFR 617.4(a), and contained only minor the ‘‘firm’’ covered by the certification), part 617. This process is not as formal language changes. This requirement as well as the potential for employers to as grant modifications and the process derives from the obligation in section become ‘‘disenchanted’’ with States that alarm and serve workers whose should not be overly complicated or 225(a) of the Act to provide information employment is not actually threatened. formal. States are directed to submit the to trade-affected workers about the The same commenter suggested that the information to their TAA Program benefits and services available to Department should amend the provision contact at the regional office. The workers and their associated to require that States first investigate regional office will work with the Office applications and timelines. The whether layoffs of workers in the group of Trade Adjustment Assistance (OTAA) information provided to workers must of workers are likely or have happened to review the information and provide a cover all benefits and services available and, if they can reasonably determine response to the States. This process can under the TAA Program, including the that the petition is likely to be certified, occur entirely by email. Only in rare HCTC, if available. then reach out to the impacted workers. circumstances have State rules required Two State workforce agencies The Department points out that this is significant discussion within the requested clarification regarding the not a new requirement. It is also a Department. In general, the regional requirement that States must provide longstanding statutory requirement, office and OTAA are able to provide a information about TAA Program response to the majority of submissions found at section 221(a)(2)(A) of the Act. benefits, application procedures, and The requirement to provide rapid made by States in a very reasonable filing dates to workers applying for UI. response and appropriate WIOA career amount of time. Stand-alone forms are Specifically, the State workforce services is statutory. The Department not required to be submitted to the agencies asked about timing (i.e., pre- or cannot reduce or qualify this Department, although States are post-certification), arguing that requirement via regulations. encouraged to follow the same process providing such workers with too much One commenter expressed concern to receive feedback on any TAA information pre-certification could that, without corresponding updates to Program-specific forms to ensure that confuse them because the petition for the WIOA regulations, these proposed they do not contain policy issues. The certification may fail or the certification regulations will not be implemented final rule adopts this section as may not cover all of the workers (e.g., correctly by WIOA Program staff. The proposed. because they quit or were terminated). States, under the Governor-Secretary One of the States added that this Section 618.812 Subpoenas Agreement, are bound to the requirement also could increase the risk implementation of these rules. The Section 618.812 of the proposed rule, of services being approved for those Governor-Secretary Agreement binds authorizing States to issue and enforce workers who were ineligible to receive the entire executive branch of State subpoenas, was substantially the same such benefits. The Department clarifies governments to the terms and as 20 CFR 617.53. that this is not a new requirement. It is conditions of the Agreement and the also a statutory requirement, established implementation of the TAA Program. One commenter wrote that States at section 239(g)(1) of the Act. Most might benefit from using subpoenas to This includes the implementation of the States meet this requirement with a rapid response requirement. obtain lists of workers from employers. statement on the web-based system used The Department clarifies that States for UI claims or in the initial meeting or Section 618.816(e)(1) Through (3) and have always had this authority, initial correspondence to new UI (5) although, until this final rule, it has claimants. No changes have been made Proposed paragraph (e) required been implied rather than express. The to proposed paragraph (a) and the final States to provide certain information Department agrees that the explicit rule adopts the regulatory text as and assistance to trade-affected workers inclusion of this authority at paragraph proposed. after issuance of a certification covering (b) will improve the timeliness with their worker group. Proposed paragraph which this information is provided by Section 618.816(b) (e)(1), which was previously in 20 CFR firms to the States. The final rule adopts In the NPRM, the Department 617.4(c), implemented section 225(a) of this section as proposed. proposed § 618.816(b) based on section the Act and required States to inform Section 618.816 Trade Adjustment 221(a)(2)(A) of the Act, which required the State board on vocational and Assistance Program Benefit Information States to ensure rapid response technical education or equivalent and Provision of Services to Workers assistance and appropriate career agency, and other public or private services are made available, consistent agencies, institutions, and employers, as Proposed § 618.816 contained with section 134 of WIOA, to all groups appropriate, of each certification issued requirements the States must meet in of workers covered by a petition filed under subpart B and of projections, if providing TAA Program benefit under subpart B. available, of the needs for training under information and services to trade- One commenter expressed several subpart F as a result of such affected workers. The Department has concerns about the new requirement for certification. Proposed paragraph (e)(3) revised the regulatory text in paragraph States to provide rapid response provided that it is permissible to obtain (e)(4) as discussed below and has made assistance and appropriate career a list of workers that are partially or a nonsubstantive edit to correct a cross- services, consistent with WIOA section totally separated from adversely affected reference to § 618.725 in paragraph 134, to all groups of workers covered by employment or threatened with (e)(2)(vi) of this section; otherwise, the a petition filed under subpart B. The separation via subpoena pursuant to final rule adopts the section as commenter’s concerns included the proposed § 618.812. Proposed paragraph proposed. potential for the provision of services to (e)(5) codified section 239(f) of the Act
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and required that upon receipt of a copy appropriate career services, which The same State workforce agency added of a certification issued by the applies at the petition stage. A different that for States with a high number of Department, the State must perform commenter recommended that if the petitions, the requirement could impose outreach to, intake of, and orientation Department obtains workers’ contact time and cost burdens. The State for trade-affected workers covered by information in the course of its recommended the Department give the certification with respect to investigations, then it could share that States flexibility around how to provide assistance and benefits available under information with the States, and the this notice, such as through public this part 618. There is no direct similar States could confirm with the firms that service announcements or electronic provision in the previous rule. the information is still current. The methods (e.g., LWDB websites), by Two State workforce agencies same commenter said this approach accepting alternative means of expressed concern about the practicality would show the partnership between notification in place of newspaper of the requirement in paragraph (e)(1) the Department and States when it notices. Another State workforce agency regarding the provision of benefit comes to program administration. The asked the Department to keep the information post-certification to a Department does not request a worker exemption from 20 CFR 617.4(d)(2), variety of potentially interested parties. list as part of its investigation because stating that it expected the proposed Specifically, one of the State workforce it is not needed for a determination to approach to increase program costs. The agencies said it would be be made. The Department will, in its State workforce agency added that administratively burdensome to effect communication with firms during newspapers are increasingly not the such notice and maintained that States investigations, make them aware that most effective means of notification have ‘‘no way’’ to forecast a worker such a list will need to be provided to because many people consume news group’s training needs. The Department the State if the petition is certified. online, often from outlets not based in maintains that this requirement is best One commenter requested their area, and selectively view the met through regular contact with State, clarification of the terms ‘‘intake’’ and content. One commenter responded to local, and regional workforce ‘‘orientation’’ as used in paragraph the Department’s request for comments development boards. Coordination with (e)(5). The same commenter said that related to the definition of ‘‘newspaper rapid response also will help in different States interpret these terms of general circulation.’’ The same determining the training needs of differently. The Department concludes commenter said that it defines a worker groups and the demand in the that the language in the preamble to the newspaper of general circulation as a local labor market. States also can use proposed rule, this preamble, and combination of print and digital their own data to produce projections subpart C of this final rule is sufficient newspapers and public service based on similar trade-affected workers to address this concern and establish a announcements. The Department already enrolled in the program or standard to be met by all States. specifically requested comments on the previously enrolled in the program. Section 618.816(e)(4) requirement that notice of certifications States are encouraged to contact the be provided in a newspaper of general regional office for additional assistance Proposed paragraph (e)(4) maintained circulation and appreciates the in meeting this requirement. The final the requirement from 20 CFR responses. Many commenters responded rule adopts the regulatory text as 617.4(d)(2)(i) that notice of certification that newspaper notices were an proposed. be published in a newspaper of general ‘‘antiquated’’ and costly method to One commenter expressed its circulation. notify workers of certifications. The understanding that the requirement in Two State workforce agencies and a requirement that a notice be published paragraph (e)(2) concerning notice to State government employee called the in a newspaper of general circulation is potential AAIWs means written notice, proposed requirement for States to a statutory provision at section 225(b)(2) as required earlier in the same publish notice of certification via of the Act, so the Department may not paragraph concerning notice to covered newspaper ‘‘antiquated’’ and change the requirement. However, after workers. The Department affirms that recommended making it optional by review the Department has concluded AAIWs must be provided a written changing the word ‘‘must’’ to ‘‘may’’ in that notice may alternatively be placed notice. the first sentence of paragraph (e)(4). A in the online or digital version of a With respect to paragraph (e)(2)(i), the different State workforce agency newspaper if it can be reasonably same commenter recommended that the suggested that the Department should expected to reach the interested parties. contents of the notice should include revert to the previous requirement in 20 The proposed regulatory text has been background information about the TAA CFR 617.4(d)(2), which mandated revised in the final rule to include this Program in plain language to provide newspaper notices only if the State option. recipients with context for why they are could not substantiate that all workers receiving the notice. The Department covered by the certification have Section 618.816(e)(6) agrees that plain language is always received written notice through the Proposed paragraph (e)(6) required, in preferred whenever possible but has mail. The State workforce agency also addition to the written notices sent by elected to allow States the flexibility to said that placing legal notices in mail, that States also use one method of customize the overall content of the newspapers is ‘‘not cheap’’ and modern electronic communication, such notice. expressed concern that requiring such as email, to inform trade-affected An LWDB suggested revising the publication would waste both staff time workers of the certification. requirement in paragraph (e)(3) to and program funds for a method of Multiple commenters expressed require firms to provide States with communication that, in the commenter’s concern about the practicality of the workers’ contact information at the time words, is ‘‘undoubtedly ineffective’’ as a requirement that States, in addition to the petition is filed, rather than when a way of reaching covered workers. A providing mailed written notice to certification has been issued. The LWDB different State workforce agency also workers covered by a certification of the maintained that this revision would opposed the requirement, saying that benefits available to them, must provide align the requirement better with the many parts of the country do not have electronic notice (e.g., text or email) to new requirement in paragraph (b) newspapers anymore and, where the workers. Several of the commenters regarding rapid response activities and available, subscriptions can be costly. recommended making this extra step
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optional rather than required. One Section 618.816(f)(1) may seek assistance from one or more commenter requested clarification on Proposed paragraph (f) required States agent States in the provision of rapid whether the requirement could be met to provide specific benefit assistance to response and appropriate career through communications on social trade-affected workers. In addition to all services, especially in situations where media. Another commenter said that the of the benefits described in detail in this residency of the group of workers is requirement does not appear to include part 618, States must also include divided into two or more States. a mechanism for States to require that information on the HCTC, if available, Proposed paragraph (a)(4) updated firms provide workers’ mobile phone as described in section 35(b)(1)(B) of the language from 20 CFR 617.26(a) but has the same meaning. numbers or email addresses to them, Internal Revenue Code of 1986 (26 Proposed § 618.824(b) was largely such as the subpoena power in U.S.C. 35(b)(1)(B)). Proposed paragraph unchanged from 20 CFR 617.26(b) but proposed § 618.812 by which States may (f)(1) was modeled on 20 CFR obtain workers’ names and mailing reordered information and divided it up 617.4(e)(1) but was rephrased for clarity. into subordinate paragraphs. Proposed addresses. The same commenter also One minor change from 20 CFR said that firms may not collect this paragraph (b)(7) was new and 617.4(e)(1) is that proposed paragraph established that the agent State is information from their workers and (f)(1) omitted the reference to UI some workers may not use mobile responsible for the payment of job claimants because it might be confusing. search and relocation benefits. phones or email. Similarly, a different One commenter argued that, because commenter stated that use of electronic One commenter agreed with the not all trade-affected workers will want intent but questioned the enforceability communications is not universal among to be advised of what benefits are workers, and it expressed concern that of paragraphs (a)(3)(i) and (ii) of this available and how to apply, it may be section, which require a liable State to the requirement would discriminate more ‘‘realistic’’ to instead require against those workers, such as older or provide workers covered by a petition States to provide workers an with rapid response assistance and lower skilled workers, who are not as opportunity to receive this information, ‘‘technology savvy’’ as others, such as appropriate career services, including similar to how proposed paragraph (f)(2) career services authorized under non- younger or higher skilled workers. of this section addressed the possibility Another commenter said the TAA Program Federal laws (e.g., WIOA). that a worker will decline an intake The requirement to provide rapid requirement could result in interview. The statute requires not only ‘‘burdensome cost’’ for workers who response and appropriate career services that all trade-affected workers be was established directly by WIOA have mobile phones but do not have notified of the benefits and services unlimited messaging or data plans. The section 512(hh). This is also enforceable available under the TAA Program, but under the Agreement executed between same commenter also raised the that all UI claimants in the State be the Governor and the Secretary. potential for this requirement to result made aware of these benefits. Neither of A State workforce agency said that the in misdirected messages containing these is a new requirement established requirement in paragraph (a)(5) that a personal information for those workers by the final rule and both are required liable State must provide the IRS a list who share electronic accounts. In by statute. The final rule adopts the of eligible TAA Program recipients and contrast, a State workforce agency regulatory text as proposed, with edits eligible RTAA recipients for HCTC agreed with the requirement, saying it to the use of pronouns in paragraphs purposes would mean changing their supported efforts to improve (f)(1) and (2). reporting or data systems to make such notification, promote experimentation Section 618.824 Liable State and information available. The State with potentially more effective methods workforce agency commented that at Agent State Responsibilities of engagement, and encourage a more present it provides the IRS a list of only technological and data-driven approach Proposed § 618.824, concerning the those workers eligible for the TAA to program administration. The respective responsibilities of a liable Program who have received RTAA, Department clarifies that the rule, as State and agent States, updated 20 CFR TRA, or UI payments. The Department written, gives examples of alternative 617.26 to reflect sections 235, 237, 238, explains that HCTC is a tax credit contact methods, including through an and 245 of the Act and reorganized the managed by the IRS, the details of email or text message if the contact requirements. which are not covered by this rule. The information is known. If the State does Proposed paragraph (a) was largely Department directs States to not have an email address or mobile unchanged from 20 CFR 617.26(a) but administrative guidance related to the phone number of the trade-affected reordered information and divided it up HCTC, which provides explicit process- worker, then other methods of into subordinate paragraphs. Proposed related reporting instructions. The electronic communication, including paragraph (a)(3)(i) added the Department encourages the commenter postings made to social media or a requirement for liable States to provide to contact the appropriate regional office website, would satisfy this requirement. rapid response and appropriate career for additional technical assistance. States must safeguard any personal data services (as described in section 134 of Two commenters raised concerns and ensure costs are reasonable. WIOA) to a group of workers for whom about paragraph (b)(7) of this section, One commenter also questioned how a petition is filed as required by section which establishes responsibility for a State would document its electronic 221(a)(2)(A) of the Act. Proposed payment of job search and relocation communications in the worker’s file and paragraph (a)(3)(ii) was new and allowances with the agent State. One of asked whether it would require printing provided that career services established the commenters asserted that involving out all emails or texts sent to the under other Federal laws must also be the agent State could unnecessarily worker. The Department clarifies that made available to the group of workers, complicate the administration of these there is no requirement that a State print to the extent authorized by those laws. benefits. The other commenter said that out emails or texts; case notes are often Proposed paragraph (a)(3)(iii) was new sometimes workers request the sufficient for documenting these and had no comparable counterpart in allowances before departing the liable activities. The State must comply with existing regulations or in administrative State. The commenter requested record retention requirements in the guidance. It clarified for the first time clarification about how States should Uniform Guidance at 2 CFR part 200. that, in some instances, the liable State respond in such cases. The Department
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clarifies that there is only an agent State, The Department will provide training Secretary Agreement’’ for added other than the liable State, if the AAW and technical assistance on this topic, specificity. has accessed services outside of the but the final rule adopts the regulatory worker’s liable State. No agent State text as proposed, except for edits to the Section 618.852 Recordkeeping and exists if the worker is simply seeking to use of pronouns in paragraph (a). Disclosure of Information Requirements Proposed paragraph (b) was travel to another State under a job Proposed § 618.852 repeated the search allowance or is relocating to substantially the same as 20 CFR requirements in 20 CFR 617.57 another State. Until such time as the 617.55(b), but reordered and slightly concerning recordkeeping and worker seeks services in another State, reworded the language. It provided the the liable State is both the liable and statutory requirement for a lifetime disclosure of information but made a agent State. The Department made disqualification from receipt of benefits few changes. nonsubstantive edits in paragraph (a)(4) under the Act for anyone found to have Proposed paragraph (a) was very of this section to correct two cross- knowingly provided a false similar to 20 CFR 617.57(a), with two references to the section headings of representation or nondisclosure of changes. First, proposed paragraph (a) different sections; otherwise, the final material fact. omitted a reference to reporting form rule adopts the section as proposed. A few commenters wrote that this ETA 563. This particular report is no approach in paragraph (b) of permanent Section 618.832 Overpayments; longer required. Rather, required ineligibility for benefits as a result of reporting will be governed by § 618.864 Penalties for Fraud fraudulent receipt of program benefits is of the final rule. Second, proposed Section 618.832 of the proposed rule, overly aggressive as it would exacerbate paragraph (a) added that States are concerning overpayments, fraud, and the economic harm suffered by workers. penalties for fraud, generally repeated Another commenter agreed and required to maintain records that 20 CFR 617.55, but reorganized the recommended that punishments for contain any information the Department section for clarity. fraud be incrementally more severe, determines to be appropriate in support Proposed § 618.832(a)(3) provided based on the number of violations of any reports the Department may that trade-affected workers be provided committed. The Department clarifies require, including the reports specified a reasonable opportunity to demonstrate that where fraud was committed in in proposed §§ 618.860(f) and that they were without fault and unable relation to the TAA Program, section 618.864(e). Paragraph (a) also contained to repay their TAA Program 243 of the Act is clear that the trade- a cross-reference to the record retention overpayments and, therefore, a affected worker is no longer eligible for requirements of the Uniform Guidance ‘‘financial hardship’’ exists if recovery payments under the TAA Program. The at 2 CFR 200.333. Per the Uniform of an overpayment would result in a Department explains that the lifetime Guidance, States are required to retain person’s (or their household’s) loss of or ban on TAA Program benefits in the records, in general, for 3 years after the inability to pay for ordinary and statute and in 20 CFR 618.832(b) is only last action taken on that record necessary living expenses. related to fraud committed under the (determination, appeal, payment, Proposed § 618.832(e) discussed the Act, not other instances of fraud under inclusion in a performance or financial State’s responsibilities to recover other State or Federal statutes. This is a report, etc.). Proposed paragraph (a)(4) overpayments. statutory requirement, and the final rule A commenter wrote that the required States to document that adopts the regulatory text as proposed. employment and case management provisions on overpayments should Proposed § 618.832(d) provided that align with those found in State and when a trade-affected worker fails to services described in subpart C were Federal UI laws. The same commenter complete a TAA Program approved provided or offered to a participant. added that the proposed overpayment training, job search, or relocation with This is not a new requirement; however, rules could lead to more confusion and good cause, any TAA Program payment this was not previously explicitly stated appeals. A different commenter said or portion of a payment to such worker in regulation. One commenter wrote States should establish policies to is not an overpayment. One commenter that requiring program administrators to ensure that program participants receive wrote that States should have policies in retain files indefinitely would be certificates from their training and place to define ‘‘good cause’’ for failure needlessly burdensome. The should define financial hardship to complete a training, job search, or Department clarifies that there is no through their own policies. Another relocation. The same commenter requirement for indefinite retention of commenter stated that imposing a requested that the Department provide records. Section 618.852 provides national standard for financial hardship examples of failed RTAA activities. The recordkeeping requirements to which is problematic, but recommended using Department explains that in most States, States must adhere and refers to the standards for ‘‘hardship to repay,’’ such the determination of good cause is Uniform Guidance at 2 CFR 200.333. If as the IRS Collection Financial determined through case law and a trade-affected worker applies for a Standards. One commenter wrote that previous adjudications under applicable training benefit after records are no their State lacks a mechanism for State law. With regard to failed RTAA longer available, the worker can be retrieving training overpayments. activities, the Department provides asked to supply information that will Another commenter asked if States are examples such as the failure to provide verify that he or she was part of a required to collect overpayments. The the State with pay stubs or other certified worker group. The Department explains that the required documentation to support requirement for States to collect continued eligibility and to ensure documentation burden would shift from overpayments is not a new one. The proper benefit payments. The the State to the worker. The Department language used in this rule is based on Department adopts the regulatory text in made a nonsubstantive edit in the statute and previous regulations at this section in the final rule as paragraph (a)(2)(i) of this section to 20 CFR 617.55(c). Overpayments for proposed, except for a technical change correct a cross-reference to the section training, RTAA, supplemental to the language at § 618.832(h)(1)(i) heading of a different section; assistance, etc. are subject to the same where the Department changed the otherwise, the final rule adopts the requirements as TRA overpayments. words ‘‘an agreement’’ to ‘‘a Governor- section as proposed.
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Section 618.860 General Fiscal and Section 618.864 Trade Adjustment Section 618.876 Verification of Administrative Requirements and Cost Assistance Program Performance Eligibility for Program Benefits Classification Section 618.864 of the proposed rule Section 618.876 of the proposed rule Proposed § 618.860 was a new section contained TAA Program performance implemented the requirements at that contained general fiscal and requirements, as established by section section 239(k) of the Act for States to verify a trade-affected worker is in administrative requirements applicable 239(j) of the Act. This provision uses the satisfactory immigration status. to State administration of the TAA term ‘‘worker,’’ consistent with the Proposed paragraph (a) provided that a Program. It was modeled on WIOA statute. For purposes of § 618.864, the trade-affected worker must be regulations, but with significant term ‘‘worker’’ means a trade-affected authorized to work in the United States differences. Proposed § 618.860 worker. Proposed paragraph (a) required in order to be eligible to receive benefits contained no requirements that States States to report specified data on TAA under the TAA Program. This provision were not already required to meet. The Program performance outcomes to the required States to verify the status of final rule adopts the regulatory text as Department and required a description participants who are not citizens or proposed. of the efforts made to improve outcomes nationals of the United States. Proposed Proposed paragraph (b) provided for workers under the TAA Program. paragraph (b) required initial guidance on cost classification as Specifically, States must report the verification by States of the immigration administrative costs under the TAA primary indicators of performance status of self-reporting aliens who apply Program, as authorized by section 235A identified in paragraph (b) of this for UI through the U.S. Customs and of the Act and described in each TAA section, which are very similar to those Immigration Service’s Systematic Alien Program Annual Funding Agreement reported under WIOA. Paragraph (b)(2) Verification for Entitlement (SAVE) that States are required to submit related to the credential attainment program. Proposed paragraph (c) annually. Paragraph (b)(1) provided that indicator in paragraph (b)(1)(iv) and required States to reverify a the Department will include each fiscal provided that, under the Act, workers participant’s eligibility if the documentation upon which eligibility year’s administrative cost limitation in who received benefits under the TAA was based expires during the period in grant documents or annual funding Program and obtained a secondary which TAA benefits are received. agreements. Proposed paragraph (b)(2) school diploma or its recognized equivalent are only included in this One commenter asked whether provided that the costs of verification of eligibility for program administration in the TAA Program are indicator if they also obtained employment, or are in an education or benefits is the responsibility of the the costs associated with performing the liable State or the agent State. training program leading to a recognized overall general administrative functions Verification is the responsibility of the postsecondary credential within 1 year of the TAA Program, as described in liable State, which is the State in which paragraphs (b)(2)(i) through (xviii) of after exit from the program. the trade-affected worker establishes UI this section, and the coordination An LWDB stated that the credential eligibility until such worker establishes thereof within the American Job Center attainment indicator in proposed eligibility in another State. If the worker network established under WIOA. § 618.864(b)(1)(iv) uses all TAA Program is receiving services in the agent State, One commenter requested examples workers in its denominator, contrasting the agent State assists the liable State in of items under § 618.860(b)(2) that could this calculation with the WIOA the verification. Agent States should be funded with employment and case approach of including only workers of contact liable States (and vice versa) to management funds. Without additional an education or training program in the confirm that an initial verification was context, the Department cannot provide denominator. The commenter stated conducted. The final rule adopts the regulatory text as proposed. a specific list. Employment and case that, based on the regulatory text, a management funds can be used for the worker that received only employment Section 618.888 Equitable Tolling and case management services would be costs of provision of activities found in Section 618.888 of the proposed rule included in the credential measure. The § 618.310, among other things. The originated from administrative Department clarifies that, under WIOA, Department has technical assistance guidance. Proposed paragraph (a) of this only workers enrolled in an education available on its website and will be section provided that TAA Program providing training and additional or training program (excluding OJT and deadlines may be equitably tolled when technical assistance on this topic. To customized training) are counted in the an extraordinary circumstance resolve individual case scenarios, we denominator of this measure. The same prevented a trade-affected worker’s encourage contacting the appropriate LWDB said that § 618.864(b)(1)(iv), as timely action and the worker otherwise regional office for additional assistance. drafted, does not align with 20 CFR acted with diligence. 677.155(a)(1)(iv)(A) of the WIOA final One commenter supported the Proposed paragraph (b) set out a rule because WIOA limits the measure provision at paragraph (i) that requires burden-shifting framework for equitable to those in training. The Department has States to dedicate a portion of tolling in one unique circumstance— reviewed both statutes, the WIOA Final when the State fails to give required administrative and employment and Rule, and the proposed regulatory text notice to a trade-affected worker of a case management funding to MIS and concurs with the commenter that particular benefit (or potential benefit), development, saying its State’s use of this should align with WIOA. Therefore, thus permitting the deadline for that MIS indicates that other States could the Department has revised the benefit (or potential benefit) to run benefit from improving their MIS. The regulatory text at § 618.864(b)(1)(iv) in without the worker’s knowledge. In Department appreciates this support the final rule to align with WIOA by such an instance the failure to provide and the final rule adopts § 618.860 as limiting this measure to those in notice would constitute prima facie proposed, with the exception of a training and eliminated an unnecessary evidence of an extraordinary spelling correction in paragraph ‘and’ in 618.864(b)(ii). circumstance. Proposed paragraph (b) (d)(2)(ii)(C). emphasized to States the importance of
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complying with the notice requirements Section 618.890 Staffing Flexibility contractors. In developing these in this part 618. It should not be In 2010, the Department revised the regulations, the Department considered construed to otherwise lessen or lighten TAA Program regulations by requiring, all aspects related to merit staffing. The a worker’s burden to show entitlement for the first time by regulation, that Department appreciates these comments to equitable tolling in other States administer the TAA Program and notes again that the flexibility circumstances. strictly through staff meeting Federal provided by this rule permits States to Proposed paragraph (c) limited the merit personnel criteria.11 As the use a wide variety of staffing models. No time period for tolling to the period Department noted then, ‘‘the Trade Act changes to the regulatory text have been during which the extraordinary does not directly address merit staffing’’ made in response to these comments or circumstance existed. and so the initial ‘‘promulgation of the those below. Finally, proposed paragraph (d) set a merit staffing rule [was] within the General Comments Regarding the New limit on how long a deadline may be discretionary authority delegated to’’ the Flexibilities Department ‘‘to interpret the Trade Act equitably tolled: 36 Months. The 36- Other commenters had questions and administer the TAA program.’’ 75 month limit strikes a balance between, about or were opposed to this aspect of FR 16988, 16990 (Apr. 2, 2010). In on the one hand, fairness and equity for the Department’s proposal. Some § 618.890 of the NPRM, the Department individual trade-affected workers and, questioned the staffing flexibility proposed to exercise its discretion by on the other, the need for clarity and proposal generally. One commenter removing this mandate on States except efficiency in the operation of the characterized the proposal as aligning for certain positions. The NPRM gave program as a whole. the Department’s staffing policy with several reasons for this discretionary the Department’s then-proposed Multiple commenters supported the policy change, chief among them that Wagner-Peyser staffing rule and inclusion of the equitable tolling staffing flexibility could help States requested further analysis of TAA provision and its 36-month limit. The better integrate the TAA Program with Program service delivery models before Department appreciates this support. WIOA services. One commenter asked under what Many commenters supported the implementing the proposal. Another circumstances a State could toll a proposal. One commenter generally commenter cited administrative deadline for 36 months. Other supported the proposed staffing guidance as indicating that merit commenters generally asked for flexibility. Another commenter stated staffing is an important, longstanding clarification on paragraph (d) of this that the proposal would allow for better element of the TAA Program. A section, which establishes the 36-month integration of the TAA Program and different commenter argued that there timeframe. One of the commenters WIOA services. Other commenters were insufficient data to show that recommended that States be allowed to stated that the proposal would result in eliminating merit staffing would make exceed the 36-month deadline if funds cost savings or financial flexibility. One the TAA Program more efficient. One commenter contended that privatization are available. In creating the maximum commenter affirmed that staffing of government services has historically extension period, the Department seeks flexibility is appropriate for its needs harmed public services in Texas and no both to allow claimants who were and would provide cost savings to it evidence indicates the proposed prevented from timely filing for TAA with respect to the delivery of case flexibility would be any different. Program benefits due to extraordinary management services. Another Likewise, other commenters cited circumstances ample time to file and to commenter stated that it would allow studies for the proposition that ensure that the information States States to shift local area costs for case privatization decreased efficiency in require to administer the TAA Program management and employment services administering SNAP, where programs in is still attainable following the passage from WIOA to the TAA Program. Another commenter similarly stated that Indiana and Texas provided fewer of time. For example, where a trade- benefits at excessive costs. Another affected worker has not received notice the proposed flexibility would relieve the financial burden imposed by the co- commenter provided what it viewed as of eligibility, the Department maintains other examples of privatized services’ that 36 months is a more than sufficient enrollment requirement. Several LWDBs commented that the shortcomings, such as—according to the period of time for a reasonably diligent commenter—endemic corruption, worker to discover his or her eligibility proposed staffing flexibility does not provide enough flexibility and failing to communicate with the served and apply for benefits. The Department population, and neglecting to protect has determined that, where equitable recommended that the Department follow the model of Michigan’s pilot the privacy of records. tolling of a deadline is applicable, a 36- The offer of staffing flexibility to program. Under this pilot program, the month maximum extension period is a States is intended to allow them, where State allocated TAA Program funds to reasonable limit. The final rule adopts they see fit, to better integrate the TAA LWDBs while requiring that merit staff the regulatory text as proposed. Program when helping workers. This provide services. The commenters One commenter requested that the integration includes allowing non-merit advocated taking language from the Department clarify the respective staff to charge their time to the TAA Department’s then-proposed Wagner- meanings of ‘‘required notice’’ and Program, including and especially at the Peyser staffing rule 12 ‘‘actual notice’’ in paragraph (b)(2). The on staffing one-stop delivery service level. In States Department explains that in this flexibility that emphasized the variety of that would like to do so, and where it example, a required notice would be the staffing options available to States, is otherwise appropriate for them to do standard notice of benefits or eligibility including continued use of merit staff, so, this better integration is expected to issued under various subparts of this and identified a number of staffing help service delivery in several ways. rule, versus actual notice, which could models that may fit States’ needs better, This change allows States to implement be a case manager informing the trade- such as the use of local area staff or a seamless service delivery model where affected worker of a deadline or other a trade-affected worker will not need to 11 Merit staffing requirements had been part of the requirement during the provision of Governor-Secretary Agreements from 1975 to 2005. move from case manager to case services. The final rule adopts the 12 See 84 FR 29433 (June 24, 2019). The rule has manager depending on their merit staff regulatory text as proposed. since been finalized. See 85 FR 592 (Jan. 6, 2020). status. Cost allocation of employment
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and case management services costs will readily employable candidates in order characterization of State merit staffing also be simpler as the merit staff status to inflate their job placement numbers. as ‘‘one-size fits-all,’’ arguing that State of case managers will be irrelevant for The commenters stated that the 2010 merit staff provide professional services time-charging. rule’s description of the TAA Program, with a close understanding of the needs While the Department appreciates with its emphasis on accountability and of their region. The commenter said that commenters’ concerns derived from transparency, makes the program more its State’s individual staff and unit as a studies of two States’ SNAP experience, analogous to merit staffed UI and ES whole has greater experience because of SNAP is a different program with programs than WIOA. Another merit staffing requirements, and that the different statutory and regulatory commenter cited a study for the staff adhere to statewide performance requirements. States considering using proposition that publicly administered standards and provide consistent, high- this final rule’s staffing flexibility are services better reduce inequality than do quality service crucial to the TAA encouraged to consider the range of privatized services, which incentivize Program. Another commenter stated experiences other programs have had, competitors to prioritize whom to serve that, for the TAA Program, merit staffing including those noted in relevant and how according to their contractual delivers services more efficiently than research, or to conduct their own incentive structure. The same local area delivery models. This evaluations or pilot projects. States can commenter also cited another study for commenter and others maintained that also use lessons learned from other the proposition that privatizing because TAA Program services are efforts as they decide whether to use the administrative services does not reduce triggered by specific events and entail staffing flexibility in this final rule. costs, as competition for administrative services distinct from those of WIOA, States are in the best position to services is subject to high barriers to State merit staffing provides a timely determine the staffing model that will entry, including the complex nature of surge of workers trained to provide best control their costs and serve their administrative services work and the services for TAA Program certifications. workers. necessity of long-term contracts. These commenters contrasted this to But regardless of how States choose to The Department believes that cross-training local area staff who would provide services under the TAA allowing non-merit staff to charge their only periodically use TAA-specific Program, they are still grantees of the time to the TAA Program does not rules. The commenters further argued TAA Program subject to the reduce transparency or limit access to that because funding for case Department’s oversight. States must the benefits available under the Act. In management is very limited, splitting oversee all operations of TAA Program many areas, this additional flexibility the funding among local areas is activities and are still subject to the will increase the level and timeliness of impractical. oversight and monitoring commitments services available to trade-affected This rule’s flexibility does not require at § 618.860(d)(2). The Department will workers by allowing States to deploy States to change their merit staffing continue to monitor States to ensure resources faster by accessing additional arrangements if they are working well, they are complying with all providers that would not have been as may be the case in these commenters’ requirements of the TAA Program, this previously available with TAA Program States. But the flexibility of this rule part 618, and 2 CFR parts 200 and 2900. funding. And while some States may acknowledges that other staffing models The Department will hold States find that merit staff serve workers can also provide high-quality services. responsible for violations of regulations, admirably and fairly, that does not mean States can make those decisions as they the statute, and the Uniform Guidance. that they are the only personnel who know their programs best, provided they Finally, the Department is not can do so. States can structure their continue to meet the Department’s mandating that States change their staffing arrangements to avoid perverse requirements for, among other things, staffing models, much less mandating incentives and to ensure that TAA efficiency and quality service. The privatization. In fact, many of the local Program staff perform their duties with Department expects all services area providers of WIOA services are fairness, equality, and professionalism. provided through Federal funds to be municipal and county employees, not Any funds expended under the TAA consistent and high quality. This is a private-sector employees, and they Program are subject to the same key focus of the Department’s oversight would presumably remain so if used oversight requirements regardless of of all the grants it administers. And it under the flexibilities provided by this which type of entity expends those holds true regardless of the nature of the rule. Where States have found that funds and the States, as the recipients entity—public or private, State or retaining Federal staffing criteria is the of the grants, are ultimately responsible local—that ultimately delivers services. best approach for service delivery, they for the expenditure of these funds. The Department’s high expectations need not change that approach. of staff provided under other models has Quality and Uniformity of Service been borne out by experience. There are Staffing Models for Federal Entitlements Some commenters contended that already several States where nearly all Multiple commenters argued that Federal merit personnel requirements employment and case management TAA Program service provision is an foster uniform or quality service. One services are provided by non-merit staff. essential governmental function and commenter argued that case This has been accomplished through co- only merit staffing can effectively management and employment functions enrollment under WIOA. The deliver Federal entitlements such as are so closely intertwined with merit Department’s oversight of these States TAA Program services. The same staffed eligibility and compliance has not uncovered any of the potential commenters quoted the 2010 rule that functions that they also should be problems raised by the commenters imposed Federal staffing requirements subject to Federal merit staffing here. The Department concludes there is to argue that merit staff are unbiased, mandates. The commenter also wrote no additional appreciable risk of nonpartisan public servants who that the complexity of the TAA compliance issues by allowing safeguard the interests of the population Program, especially in TRA employment and case management served and the public at large. These requirements, necessitates the use of services to be fully funded by the TAA commenters further wrote that, in their trained and experienced personnel such Program, regardless of which type of view, merit staffing removes incentives as State merit staff. Another commenter entity provides these services. In for service providers to favor more disagreed with the proposed rule’s addition, this final rule requires that
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determinations be rendered by State or current TAA Program merit staff to Section 618.950 Recapture and State merit staff and all determinations adapt to the proposed co-enrollment Reallocation of Training and Other rendered under the TAA Program be requirement. The Department has found Activities Funds subject to review by the Department. that the combination of the changes to Finally, regarding the specific point Section 618.950 of the proposed rule the merit staffing provisions and the provided the description of recapture about the need for a timely surge of requirement to co-enroll trade-affected staff, at times the Department has found and reallocation procedures that the workers in WIOA represents one of the Department may use to implement the merit staffing requirements to impede most significant steps towards service surge capacity. Beginning during the recapture and reallocation provisions of integration since the original section 245(c) of the Act. Great Recession, many Governors development of the one-stop service One commenter expressed concern established hiring freezes at the State delivery model. level, even if the positions were that recapture by the Department of federally funded. This left many States Other Comments on Staffing Flexibility allocated funds that remain unobligated understaffed and unable to respond to after a certain period of time could leave large dislocation events, especially in Several commenters stated that WIOA States ‘‘very vulnerable’’ if, following rural areas. This final rule provides providers are not accustomed to recapture, a large petition is certified. States with additional flexibility to meet processing appeals regarding a The same commenter asked whether the needs of trade-affected workers. government service and WIOA States could take back recaptured funds providers have greater discretion in and argued a better approach would be Accountability granting benefits. The Department to align the TAA Program recapture and Multiple commenters stated that merit clarifies that this final rule makes no reallocation provisions with the WIOA staffing provides a better system of changes to the handling of appeals. All reallotment procedures found at 20 CFR accountability than other systems, appeals under the TAA Program are 683.135. The Department clarifies that writing that trade-affected workers can subject to the same process utilized for for unforeseen situations, a State may raise concerns to State officials who appeals under the UI program, which always request TAA Program reserve have direct authority over merit staff. has a merit staffing requirement. funds using the Reserve Funds Process Another commenter recommended that A different commenter asked if all set forth at § 618.920, TAA Program the Department ensure that private determinations regarding program Reserve Funds. Unlike WIOA, the TAA providers be accountable. One Program is a mandatory entitlement commenter proposed requiring that benefits would need to be approved by State merit staff only or by any State with ‘‘capped’’ funds for training; TAA Program service contracts name however, 35 percent of FY training staff. Section 618.890(b) provides that workers as third-party beneficiaries, funds are held in reserve for exactly this determinations under the TAA Program giving them a private right of action to reason (i.e., States experience can be made by either State merit staff enforce the terms of the contract. unexpected/unforeseen events that or State non-merit staff subject to the The Department believes that this require additional funds). Further, the restriction regarding redeterminations in final rule includes adequate safeguards Department will only recapture funds for accountability and transparency. § 618.890(a). after having consulted with the State. While employees are accountable to I. Subpart I—Allocation of Funds to The final rule adopts the section as their State employers, so are contractors States for Training and Other Activities proposed. and others who implement State requirements. In turn, States remain Subpart I revises the regulations IV. Agency Determinations responsible for monitoring service currently found at 20 CFR 618.900 A. Legal Authority providers to ensure that funds are through 618.940. The Department first appropriately spent and services are published these regulations on April 2, The Act established the programs appropriately provided. The Uniform 2010 (75 FR 16988); they became collectively known as the TAA Program Guidance at 2 CFR part 200 establishes effective May 3, 2010. Subpart I (codified at 19 U.S.C. 2271 et seq.). This statute has been amended many times the foundation of accountability for all addresses the Act’s provisions at since its enactment, including multiple entities that expend Federal funds and sections 236(a)(2) and 245 and amendments since 2002 that have will continue to be applied here. In establishes how funds appropriated for substantially affected the TAA Program addition, the Governor-Secretary TaOA are allocated by the Department (e.g., Pub. L. 107–210 (2002); Pub. L. Agreement and the grant agreements to the States. Some highlights of 111–5 (2009); Pub. L. 112–40 (2011); executed by the States provide changes to the regulation include Pub. L. 114–27 (2015)). Until this final accountability and transparency. introduction of a new term, TaOA; a rule, the Department’s regulations under Merit Staff and WIOA Co-Enrollment statutory update of the annual funding the Act, codified at 20 CFR parts 617 limit; and an update to the reserve fund Several commenters wrote that the and 618, and 29 CFR part 90, had not current rules allow for integration request process. This subpart I also been fully updated in response to the between the TAA Program and WIOA addresses the recapture and reallocation various statutory amendments to the services through co-enrollment and the provisions established by section 245(c) Act. As a result, some portions of the provision of both TAA Program and of the Act. regulations may not have reflected WIOA services at one-stop centers. One The Department received no current law. Section 248(a) of the Act commenter added that TAA Program comments relating to proposed (19 U.S.C. 2320(a)) requires that the services are already integrated with §§ 618.900, 618.910, 618.920, 618.930 Department prescribe such regulations WIOA services into one-stop operations, and 618.940. Accordingly, the as are necessary to carry out the with TAA Program funding providing Department adopts these provisions into provisions of the Act. Therefore, the for case management by State merit ES the final rule as proposed. As discussed Department is issuing this final rule to staff. The same commenter wrote that further below, the Department received update and consolidate the regulations the relationship between ES and the only one comment in relation to subpart in order to fully implement all statutory TAA Program would make it easier for I. amendments to the TAA Program.
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B. Executive Orders 12866 (Regulatory designated this rule as not a ‘‘major the estimated first-year and 10-year total Planning and Review), 13563 rule,’’ as defined by 5 U.S.C. 804(2). costs, cost savings, net cost savings, and (Improving Regulation and Regulatory E.O. 13563 directs agencies to propose transfer payments of this final rule. Review), and 13771 (Reducing or adopt a regulation only upon a Finally, Section IV.B.6 describes the Regulation and Controlling Regulatory reasoned determination that its benefits regulatory alternatives that were Costs) justify its costs; the regulation is tailored considered during the development of to impose the least burden on society, this final rule. Under E.O. 12866, OMB’s Office of consistent with achieving the regulatory Information and Regulatory Affairs objectives; and in choosing among Summary of the Analysis (OIRA) determines whether a regulatory alternative regulatory approaches, the The Department estimates that this action is significant and, therefore, agency has selected those approaches final rule will result in costs, cost subject to the requirements of the E.O. that maximize net benefits. E.O. 13563 and OMB review (see 58 FR 51735, Oct. recognizes that some benefits are savings, and transfer payments. As 4, 1993). Section 3(f) of E.O. 12866 difficult to quantify and provides that, shown in Exhibit 1, this final rule is defines a ‘‘significant regulatory action’’ where appropriate and permitted by expected to have an average annual cost as an action that is likely to result in a law, agencies may consider and discuss of $5,596 and a total 10-year cost of rule that: (1) Has an annual effect on the qualitatively values that are difficult or $39,305 (with 7-percent discounting). economy of $100 million or more, or impossible to quantify, including This final rule is estimated to have adversely affects in a material way a equity, human dignity, fairness, and annual cost savings of $75,316 and total sector of the economy, productivity, distributive impacts. 10-year cost savings of $528,988 (with 7- competition, jobs, the environment, percent discounting). Cost savings public health or safety, or State, local, Outline of the Analysis associated with the rule are from or tribal governments or communities Section IV.B.1 describes the need for revisions to the definition of ‘‘final (also referred to as economically this final rule, and Section IV.B.2 determination’’ related to judicial significant); (2) creates serious describes the process used to estimate appeals and from streamlining the inconsistency or otherwise interferes the costs of this final rule and the reconsideration process. In addition, with an action taken or planned by general inputs used, such as wages and this final rule is estimated to result in another agency; (3) materially alters the number of affected entities. Section annual transfer payments of $898,927 budgetary impacts of entitlement grants, IV.B.3 discusses the public comments and total 10-year transfer payments of user fees, or loan programs, or the rights received in response to the NPRM. $6,313,684 (with 7-percent discounting). and obligations of recipients thereof; or Section IV.B.4 explains how the The Department estimates that this final (4) raises novel legal or policy issues provisions of this final rule will result rule will result in net cost savings of arising out of legal mandates, the in quantifiable costs, cost savings, and $597,559 discounted at 3 percent and President’s priorities, or the principles transfer payments, and presents the $489,683 discounted at 7 percent, both set forth in the E.O. OMB has calculations the Department used to expressed in 2019 dollars. For the determined that this rule is significant estimate them. In addition, Section purpose of E.O. 13771, the annualized under section 3(f) of E.O. 12866. IV.B.4 describes the qualitative costs, net cost savings in 2016 dollars, over a Pursuant to the Congressional Review transfer payments, and benefits of this perpetual time horizon, is $50,902 Act (5 U.S.C. 801 et seq.), OIRA has final rule. Section IV.B.5 summarizes discounted at 7 percent.13
EXHIBIT 1—ESTIMATED MONETIZED COSTS, COST SAVINGS, NET COST SAVINGS, AND TRANSFER PAYMENTS OF THE NPRM [2019 dollars]
Costs Cost Net Cost Transfer savings savings a payments
Undiscounted 10-Year Total ...... $50,192 $753,160 $702,968 $8,989,265 10-Year Total with 3% Discounting ...... 44,902 642,461 597,559 7,668,025 10-Year Total with 7% Discounting ...... 39,305 528,988 489,683 6,313,684 10-Year Average ...... 5,019 75,316 70,297 898,927 Annualized with 3% Discounting ...... 5,264 75,316 70,052 898,927 Annualized with 7% Discounting ...... 5,596 75,316 69,720 898,927
Perpetuated Net Cost Savings a with 7% Discounting (2016 dollars) ...... $50,902 a Net Cost Savings = [Total Cost Savings] ¥ [Total Costs].
The costs of this final rule are those ETA Form 8561, Study of Domestic related to judicial appeals and from associated with State staff needing to Industry, and ETA Form 9185, streamlining the reconsideration familiarize themselves with the new Application for Reconsideration). The process. See the cost and cost savings regulations, the development of IEPs for largest contributors to the cost savings subsections of Section IV.B.4 (Subject- trade-affected workers, and the of this final rule are from revisions to by-Subject Analysis) below for a implementation of two IC forms (i.e., the definition of ‘‘final determination’’ detailed explanation.
13 Based on OMB’s E.O. 13771 guidance memo, (2019). ‘‘Table 1.1.9. Implicit Price Deflators for year=2019&categories=survey&thetable=x. The M–17–21, perpetuated net cost savings for the Gross Domestic Product.’’ Retrieved from: https:// savings are then discounted by 4 years at 7 percent purposes of E.O. 13771 are presented in 2016 apps.bea.gov/iTable/ annually to reflect that the rule will not take effect _ _ dollars. Net cost savings in 2019 dollars are iTable.cfm?reqid=19&step=3&isuri=1&select all until 2020. converted to 2016 dollars using the GDP deflator years=0&nipa_table_list=13&series=a&first_ from the Bureau of Economic Analysis. BEA. year=2000&scale=-99&last_
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The Department was unable to that increase States’ flexibility to Free Trade Agreements with the United quantify one cost, three transfer administer the program, improve service States, including China and India. payments, and the benefits of this final delivery, and reduce costs. In addition, 2. Analysis Considerations rule. We describe these costs and this final rule will incorporate transfer payments, along with the rule clarifications that draw upon the The Department estimated the costs, benefits, qualitatively in Section IV.B.4 Department’s expertise gained from cost savings, and transfer payments of (Subject-by-Subject Analysis). decades of experience operating the this final rule relative to the existing TAA Program. baseline; that is, the current practices 1. Need for Regulation for complying with, at a minimum, the Through this final rule, the On June 29, 2015, the Trade TAA Program as currently codified at 20 Department seeks to modernize its TAA Preferences Extension Act of 2015 (Pub. CFR parts 617 and 618, and 29 CFR part Program regulations to reflect changes to L. 114–27) was signed into law. Title IV 90, as well as in administrative the workforce, technology, and the reauthorizes the TAA Program for guidance.15 The Department explains administration of the program that have Workers program through 2021; it is how the required actions of States, occurred since the Department’s last known as TAARA 2015. government agencies, and other related comprehensive update to the The regulations governing the TAA entities were linked to the expected Program were last updated in 1994, with regulations in 1994. The Department costs, cost savings, transfer payments, only minor changes made in 2007 14 and also seeks to consolidate all applicable and benefits. 2010. Since that time, multiple TAA program regulations into a single section In accordance with the regulatory Program amendments have occurred. In of the CFR. analysis guidance articulated in OMB addition, a 2014 reform of the public The goal of the TAA Program is to Circular A–4 and consistent with the workforce system, WIOA, reaffirms the help each participating worker obtain, Department’s practices in previous TAA Program as a mandatory partner as quickly as possible, suitable rulemakings, this regulatory analysis program in the one-stop delivery employment when possible and focuses on the likely consequences of system. nonsuitable employment otherwise. this final rule (i.e., costs, cost savings, Prior to this final rule, the Department This goal will be accomplished by transfer payments, and benefits that had addressed all TAA Program providing trade-affected workers access accrue to entities affected). The analysis amendments through administrative to training that will allow workers to covers 10 years (2020 through 2029) to guidance. As a result, a combination of compete for work at the highest skill ensure it captures major costs, cost regulations and a patchwork of levels and highest wages achievable, savings, and transfer payments that administrative guidance guided the given the workers’ preexisting skill accrue over time. With the exception of worker-group certification process at the levels, abilities, and education, and the analyses required under E.O. 13771, the Federal level and the administration of current and projected labor market, and Department expresses all quantifiable individual benefits and services at the do so as quickly as possible. The TAA impacts in 2019 dollars and uses 3- and State level. Program includes the RTAA benefit, 7-percent discounting following OMB This final rule will promote which may be available to workers 50 Circular A–4. transparency by setting out in binding years of age or older. The TAARA 2015 Exhibit 2 presents the number of regulation the major principles by amendment of the TAA Program entities that will be affected by the which the TAA Program operates, restored the major expansions in TAA requirements of this final rule. The which will provide the public and Program worker group eligibility to Department provides these estimates courts with the Department’s service sector workers and workers who and uses them throughout this analysis authoritative interpretation of the Act. are affected by trade from any country, to estimate the costs, cost savings, and This final rule also will include changes including countries that do not have transfer payments of this final rule.
EXHIBIT 2—NUMBER OF AFFECTED ENTITIES BY TYPE a
Entity type Number
States (total) b ...... 52 Additional trade-affected workers that will require an IEP due to a comprehensive and specialized assessment (annual) c ...... 24 Number of firms that will participate in domestic industry study each year (annual) d ...... 12 Number of applications for reconsideration submitted each year (annual) ...... 25 a Unless otherwise noted, the number of affected entities was obtained from Trade Act Participant Report (TAPR)—State quarterly reporting and record keeping information; Management Information System (MIS)—OTAA’s petition database. Data as of January 23, 2020. b The 52 States used for purposes of this analysis consist of the 50 States, the District of Columbia, and Puerto Rico. c The Department derived this number by taking the average of the annual number of individuals who received training, job search, or reloca- tion allowances (i.e., program exiters) in FY 2013 through FY 2019. d Since 1998, the Department has conducted three domestic industry studies. However, for purposes of this analysis, the Department esti- mates that it will conduct one study per year.
Estimated Number of Workers and Level affected workers and the estimated estimates, Department TAA Program of Effort 16 average level of effort required per experts estimated the average levels of worker for each activity in the subject- effort and the average number of The Department presents the by-subject analysis. To derive these workers needed for each activity to meet estimated average number of trade-
14 Minor changes were made to 29 CFR part 90. 15 Current administrative guidance related to the 16 Trade Act Participant Report (TAPR)—State TAA Program can be found at https:// quarterly reporting and record keeping information; www.doleta.gov/tradeact/law/directives-guidance/. Management Information System (MIS)—OTAA’s petition database. (2020). Unpublished data.
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the requirements relative to the baseline change in the level of effort (workload) compensation to average wages and (i.e., the current practice under the TAA due to this final rule. We use BLS mean salaries in 2019. For the State Program). These estimates are the hourly wage rates for State government government employees, we use a fringe national averages for all States; thus, and private sector employees.17 18 19 We benefits rate of 61 percent.23 24 For the some States could experience higher use Office of Personnel Management private sector employees, we use a actual costs, cost savings, or transfer (OPM) and U.S. courts wage rates for fringe benefits rate of 43 percent.25 26 For payments, while these impacts could be Federal employees.20 21 We adjust the the Federal Government, we use a fringe lower for other States. wage rates to reflect total compensation, benefits rate of 63 percent.27 We then Compensation Rates which includes nonwage factors, such multiply the loaded wage factor by the corresponding occupational category In the subject-by-subject analysis, the as overhead and fringe benefits (e.g., Department presents the labor and other health and retirement benefits). For all wage rate to calculate an hourly costs associated with the labor groups (i.e., State government, compensation rate. implementation of the provisions of this private sector, and Federal The Department uses the hourly final rule. Exhibit 3 presents the Government), we use an overhead rate compensation rates presented in Exhibit compensation rates for the occupational of 17 percent 22 and a fringe benefits rate 3 throughout this analysis to estimate categories expected to experience a based on the ratio of average total the labor costs for each provision. EXHIBIT 3—COMPENSATION RATES [2019 dollars]
Average Loaded wage factor components Hourly Position Grade level hourly Overhead Fringe benefits compensation wage rate factor factor rate
a b c d = a + (a × b) + (a × c)
Private Sector Employees: Employment Counselor ...... N/A ...... $21.70 0.17 0.43 $34.72 Attorney ...... 74.20 ...... 118.72 Individual Completing ETA Form 60.36 ...... 96.58 8561, Domestic Industry Study. Individual Completing ETA Form 32.25 ...... 51.60 9185, Application for Reconsider- ation.
State Government Employees: Employment Counselor ...... N/A ...... 24.83 0.17 0.61 44.20
17 BLS. (2019). ‘‘May 2018 National Industry- the person completing ETA Form 9185, the 23 BLS. (2019). ‘‘2019 Employer Costs for Specific Occupational Employment and Wage Department used a weighted-average based on the Employee Compensation.’’ Retrieved from: https:// Estimates: NAICS 999200—State government, percent of petitioners by type (in FY 2017) and the www.bls.gov/ncs/ect/data.htm. Total compensation excluding schools and hospitals (OES corresponding hourly rate: (1) Company/union for all workers. Average Series ID designation).’’ Retrieved from: http://www.bls.gov/ officials account for 21% of petitioners at an hourly _ CMU3010000000000D, CMU3010000000000P. To oes/current/naics4 999200.htm. The May 2018 labor wage rate of $60.36 per hour; (2) workers calculate the average total compensation in 2019, mean hourly wages were adjusted to September account for 17% of petitioners at an hourly labor we averaged the total compensation for all workers 2019 values using Employment Cost Indices (ECI) wage rate of $24.61 per hour; (3) States account for for Quarters 1 through 3. for State and local government workers. ECI data 62% of petitioners at an hourly labor wage rate of 24 were obtained from ‘‘Table 7. Employment Cost $24.83 per hour. This calculation results in a BLS. (2019). ‘‘2019 Employer Costs for Index for total compensation, for State and local weighted average of $32.25 ([0.21×$60.36] + Employee Compensation.’’ Retrieved from: https:// government workers, by occupation and industry [0.17×$24.61] + [0.62×$24.83]). www.bls.gov/ncs/ect/data.htm. Wages and salaries (not seasonally adjusted).’’ BLS. (2019). 20 OPM. (2019). ‘‘Salary Table 2019–DCB for all workers. Average Series ID ‘‘Employment Cost Index Historical Listing— Incorporating the 1.4% General Schedule Increase CMU3020000000000D, CMU3020000000000P. To Volume V, Continuous Occupational and Industry and a Locality Payment of 29.32% for the Locality calculate the average wage and salary in 2019, we Series, September 1975–September 2019 (December Pay Area of Washington-Baltimore-Arlington, DC– averaged the wages and salaries for all workers for 2005=100).’’ Retrieved from: https://www.bls.gov/ MD–VA–WV–PA.’’ Retrieved from: https:// Quarters 1 through 3. web/eci/ecicois.pdf. www.opm.gov/policy-data-oversight/pay-leave/ 25 BLS. (2019). ‘‘2018 Employer Costs for 18 BLS. (2019). ‘‘May 2018 National Occupational salaries-wages/salary-tables/pdf/2019/DCB_h.pdf. Employee Compensation.’’ Retrieved from: https:// Employment and Wage Estimates by Ownership: Federal employee wage rates are used to estimate www.bls.gov/ncs/ect/data.htm. Total compensation Cross-industry, private ownership only: SOC Major cost savings associated with reconsiderations and Groups in Cross-industry, private ownership only for all workers. Average Series ID judicial appeals. Because these two processes are (OES designation).’’ Retrieved from: https:// CMU2010000000000D, CMU2010000000000P. To conducted by Headquarter staff, the Department www.bls.gov/oes/current/000001.htm. The May calculate the average total compensation in 2019, uses DC–MD–VA–WV–PA wage rates to estimate 2018 mean hourly wages were adjusted to we averaged the total compensation for all workers September 2019 values using ECI for private labor costs. for Quarters 1 through 3. 21 industry workers. ECI data were obtained from For District Court Judge: U.S. Courts. (2019). 26 BLS. (2019). ‘‘2018 Employer Costs for ‘‘Judicial Compensation.’’ Retrieved from: http:// ‘‘Table 5. Employment Cost Index for total Employee Compensation.’’ Retrieved from: https:// www.uscourts.gov/judges-judgeships/judicial- compensation, for private industry workers, by www.bls.gov/ncs/ect/data.htm. Wages and salaries compensation. For District Court Clerk: U.S. Courts. occupation and industry, Continuous occupational for all workers. Average Series ID (2019). ‘‘Judiciary Salary Plan, New York-Newark, and industry series (not seasonally adjusted).’’ BLS. CMU2020000000000D, CMU2020000000000P. To (2019). ‘‘Employment Cost Index Historical NY–NJ–CT–PA—Table NY, 33.06% Locality calculate the average wage and salary in 2019, we Listing—Volume V—Continuous Occupational and Payment Included, Effective January 7, 2019.’’ Industry Series, September 1975–September 2019 Retrieved from: https://www.uscourts.gov/sites/ averaged the wages and salaries for all workers for (December 2005=100.’’ Retrieved from: https:// default/files/jsp_new_york_2019.pdf. Quarters 1 through 3. www.bls.gov/web/eci/ecicois.pdf. 22 Cody Rice, U.S. Environmental Protection 27 Department of Labor. (2018). ‘‘DOL-Only 19 ETA Form 9185 (Application for Agency. (2002). ‘‘Wage Rates for Economic Performance Accountability, Information, and Reconsideration) may be filed by a company Analyses of the Toxics Release Inventory Program.’’ Reporting System; OMB Control No. 1205–0521.’’ official, a union representative, two workers, or a Retrieved from: https://www.regulations.gov/ Retrieved from: https://www.reginfo.gov/public/do/ State. To estimate the average hourly wage rate for document?D=EPA-HQ-OPPT-2014-0650-0005. PRAViewDocument?ref_nbr=201802-1205-003.
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EXHIBIT 3—COMPENSATION RATES—Continued [2019 dollars]
Average Loaded wage factor components Hourly Position Grade level hourly Overhead Fringe benefits compensation wage rate factor factor rate
a b c d = a + (a × b) + (a × c)
Attorney ...... 44.98 ...... 80.06
Federal Government Employees: Investigator ...... GS–11, Step 5 ...... 37.79 0.17 0.63 68.02 Certifying Officer ...... GS–14, Step 5 ...... 63.64 ...... 114.55 Attorney ...... GS–14, Step 7 ...... 74.20 ...... 121.28 District Court Clerk ...... GS–13, Step 1 ...... 49.06 ...... 88.31 District Court Judge ...... N/A ...... 101.39 ...... 182.50
Transfer Payments States also are encouraged to conduct percent and an overhead rate of 37 The Department provides an evaluations of various service delivery percent. In this final rule, the assessment of transfer payments models. The Department anticipates that Department used updated ECEC data to associated with the NPRM. In States will choose the service delivery calculate the fringe benefits rates and accordance with OMB Circular A–4, we model that is the most cost effective in the results were: 61 percent for State consider transfer payments as payments their State. government employees, 43 percent for from one group to another that do not One advocacy group stated that the private sector employees, and 63 affect total resources available to analysis may have underestimated the percent for Federal Government society. extent to which staffing flexibility employees. In response to public would be adopted because it assumed comments, the Department reevaluated 3. Discussion of Comments that half of States would use non-merit the most appropriate overhead rate to One State workforce agency expressed staff and then took that assumption to use in the analysis. For this final rule, concern about the ‘‘soundness’’ of the mean that half of program participants the Department lowered the overhead Department’s analysis with respect to would receive their services from non- rate for all workers to 17 percent 28 to the effect of the staffing flexibility merit staff. This commenter said that reflect the low marginal increase in provisions. An advocacy group stated these assumptions do not account for overhead costs for a rule that will have that ‘‘[n]o experience, evidence, or States that have large participant minimal net impact on the number of economic analysis’’ demonstrates that populations. The commenter did not individuals employed to administer the workers will benefit from the suggest an alternative assumption. The program. Using 17 percent for all ‘‘privatization’’ of TAA Program Department based its assumption on workers will create a consistent services. The commenter said the experiences with similar programs and benchmark between public- and private- Department’s estimate that the proposal has determined that with limited data sector workers and show that the would result in cost savings of ‘‘some available, its assumption is reasonable. differences in cost between public- and half-million dollars’’ does not outweigh Multiple unions and advocacy groups private-sector workers relate to the risk that ‘‘tens of millions of dollars said the analysis did not make clear compensation (wages and fringe will be misspent.’’ Another State what methodology (beyond what the benefits). workforce agency expressed concern commenters termed ‘‘an unspecified Multiple unions and advocacy groups that outsourcing TAA Program services Departmental administrative guidance’’) stated that the economic analysis used to non-merit staff would ‘‘double’’ the was used to estimate the costs of inaccurately high wages for public administrative costs faced by States. The overhead for staff. The commenters sector employees, an assumption that agency said that State resources for stated that, without additional they said goes against recent studies and program administration are already information about how the Department the ‘‘actual experiences’’ of several stretched thin and argued that the determined the costs of overhead and States, a few examples of which they proposal would worsen the situation fringe benefits, it would be cited. They also stated that unless the Department provides States ‘‘impossible’’ to assess the costs Occupational Employment Statistics more funding to offset the increased associated with wages and (OES) data should not be relied on to costs. compensation to compare salaries of compare the salaries of government and The Department acknowledges these public- and private-sector workers. private sector workers. However, the views and concerns, but this final rule In the proposed rule, the Department commenters did not provide any does not privatize TAA Program doubled the base wage rate to account alternative sources for wage data and services; rather, it provides flexibility to for fringe benefits and overhead costs. the privatization examples provided States to offer TAA Program services For State government employees, were anecdotal. The Department using the best staffing models available doubling the base wage rate reflected a continues to view OES as the best to them to provide these services, while fringe benefits rate of 59 percent and an source available for wage data by the Department maintains oversight and overhead rate of 41 percent. For private occupation, industry, and State. No data long-established criteria for proper and sector employees, doubling the base source is perfect, but OES data are the efficient delivery of those services. wage rate reflected a fringe benefits rate States are encouraged to consider cost of 43 percent and an overhead rate of 57 28 Cody Rice, U.S. Environmental Protection Agency. (2002). ‘‘Wage Rates for Economic effectiveness when determining whether percent. For Federal Government Analyses of the Toxics Release Inventory Program.’’ to use flexible staffing models for the employees, doubling the base wage rate Retrieved from: https://www.regulations.gov/ delivery of TAA Program activities. reflected a fringe benefits rate of 63 document?D=EPA-HQ-OPPT-2014-0650-0005.
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most robust and reliable data available continue to meet statutory and resolved. As a result, reviewing the new for the Department’s analysis. regulatory spending requirements. regulation will impose an initial one- Multiple unions and advocacy groups One State workforce agency expressed time cost in each of the first 2 years. commented that the analysis relies on disagreement with proposed alternative To estimate the first year cost of rule ‘‘other questionable underlying 1 (no action) and said proposed familiarization, the Department assumptions,’’ such that contractors will alternative 3 (more stringent, less multiplied the number of States (52) by be able to comply with the requirements flexible regulations with clarification the estimated number of non-legal staff for use of funds in § 618.860(g), which provided in administrative guidance) that will conduct the activity (2 State specify that no less than 5 percent of would not provide enough flexibility for employment counselors). The funds may be spent on employment and its State. The commenter said that of the Department then multiplied this case management services, while no three alternatives described, the second product by the amount of time required more than 10 percent of funds may be proposed alternative (reduced number to review the rule (2 hours) and by the spent on administration costs. The and types of regulatory provisions) hourly compensation rate ($44.20 per commenters stated that this assumption would most benefit the people of its hour). This calculation results in a one- of compliance overlooks the ‘‘unique’’ State. The commenter does not provide time undiscounted cost of $9,194 in the and ‘‘distinct’’ monitoring and sufficient context for the Department to first year of this final rule. administration requirements that determine whether the commenter In the second year, the Department accompany contracted services and prefers the second proposed alternative estimates that two-thirds of the States serve to inflate their administration over the Department’s preferred will have legal staff review the rule. costs. Citing data from the Government approach or just over the other two Therefore, to calculate the one-time cost Finance Officers Association and proposed alternatives. The Department of rule familiarization in the second Rutgers University, respectively, the has chosen not to pursue the second year, the Department multiplied the commenters said that ‘‘standard’’ proposed alternative because, as number of States (52) by two-thirds (2⁄3 administration costs for contractors run described below, this regulatory or 0.67) and by the estimated number of from 10 to 20 percent and in some cases alternative has the disadvantage of legal staff conducting the activity (two can even exceed 20 percent. The forcing the regulated community to State attorneys). The Department then commenters expressed doubt that the follow statutory language for multiplied this product by the amount Department’s commitment to implementation, which comes with of time required to review the rule (2 monitoring compliance with the use of increased risk of noncompliance. hours), and by the hourly compensation funds requirements ‘‘throughout the rate ($80.06 per hour). This calculation 4. Subject-by-Subject Analysis grant life cycle’’ and enforcing them results in a one-time undiscounted cost ‘‘during the closeout process’’ will be The Department’s analysis below of $11,208 in the second year of this sufficient to maintain the high quality of covers the expected costs, cost savings, final rule. services currently delivered by and transfer payments of this final rule. The sum of these first- and second- experienced merit staff, both in the TAA The Department emphasizes that year one-time costs yields a total Program and in other Federal workforce many of the provisions in this final rule average annual undiscounted cost of development programs, if non-merit were already requirements in regulation, $2,040. The total costs over the 10-year staff are used instead. statute, or administrative guidance. This period are estimated at $20,402 The Department acknowledges these final rule will codify these practices undiscounted, or $19,491 and $18,382 data and recognizes that there would be under one set of regulations and, at 3- and 7-percent discount rates, costs associated with monitoring and therefore, they are not considered respectively. The annualized cost over administering a contract to deliver TAA ‘‘new’’ burdens resulting from this final the 10-year period is $2,285 and $2,617 Program services. There also would be rule. Accordingly, the regulatory at 3- and 7-percent discount rates, a reduction in costs due to the analysis focuses on new costs, cost respectively. diminished need for management and savings, and transfer payments that can b. Development of IEPs for Trade- oversight of State employees. The be attributed exclusively to this final Affected Workers Seeking Training or Department does not have a way to rule. Job Search Allowances reliably estimate the difference between Costs the new administrative costs and the Under § 618.350(a), States must make administrative cost savings, but The following sections describe the available an IEP to all trade-affected addressed commenters’ concerns to the costs of this final rule. workers and establish an IEP for trade- extent possible by adjusting the Quantifiable Costs affected workers who apply for training overhead rate to a consistent benchmark under subpart F, or AAWs who apply a. Rule Familiarization for all public- and private-sector for a job search allowance under subpart employees, as described above. When this final rule takes effect, State D, prior to the worker receiving those Additionally, the Department remains staff will need to read and interpret the benefits and services. An IEP is an committed to maintaining the high regulations. Through this review, State individualized career service under quality of services provided by the TAA staff will familiarize themselves with WIOA section 134(c)(2)(A)(xii)(II) and is Program, and, as described above, the structure of the new regulation. developed jointly by the WIOA program anticipates that States only will choose Based on previous experience on similar participant and career planner when to contract with service providers when rulemaking efforts, the Department determined appropriate by the one-stop such a service delivery model is the anticipates that non-legal (program) staff center or one-stop partner. The IEP is an most cost-effective in their State. will review the new regulations during ongoing strategy to identify employment Furthermore, as the commenters the first year to identify any new goals, achievement objectives, and an mentioned, the Department has many provisions relevant to their operations. appropriate combination of services for tools to monitor States’ administration The Department also anticipates that workers to achieve their employment of the TAA Program. Regardless of legal staff will review the new goals. To ensure efficient use of time whether and how States choose to use regulations during the second year, as and resources, this final rule provides these new flexibilities, they must denials and other legal issues need to be that, if an IEP has been developed under
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WIOA, or other partner program, it will adjustment assistance, and the extent to work as other trade-affected workers in be reviewed once the worker becomes a which the adjustment of such workers the subject firm or subdivision and are trade-affected worker to ensure it has to the import competition may be under the subject firm’s control. certain components required by the facilitated using available programs. The As a result of this change, the TAA Program, as listed in § 618.350(c). Department anticipates conducting one Department will need to spend de If the IEP does not contain all required industry study per year, and that each minimis time to update forms. The components, the IEP must be firm will submit one response. To Department has no data to determine if supplemented by the State in estimate the costs associated with the the number of applications that will be conjunction with the trade-affected implementaion of ETA Form 8561, the submitted would change and, therefore, worker to ensure it is fully compliant Department multiplied the number of cannot quantify any potential cost with the TAA Program requirements. firms that will participate in each related to a change in the number of Based on program data, the industry study (12) by the amount of applications due to this change. Department estimates that, each year, time required to complete the form (1 Cost Savings States will need to develop or hour) and by the hourly compensation supplement IEPs for 24 trade-affected rate ($96.58 per hour). This calculation The following sections describe the workers 29 that apply for training and results in an annual undiscounted cost cost savings of this final rule. job search allowances and do not yet of $1,159. Quantifiable Cost Savings have an IEP or whose IEP does not The Department also is implementing a. Reconsideration contain all of the required components. a new form: ETA Form 9185, To estimate the costs associated with Application for Reconsideration. ETA Currently, the process for developing or supplementing IEPs, as a Form 9185 standardizes the information reconsiderations (29 CFR 90.18) has two result of requiring IEPs for training and required by regulations for an aggrieved steps. Applicants request a job search allowance applicants, the party to seek administrative reconsideration, and the Department Department multiplied the estimated reconsideration of a termination of either accepts or denies the request. number of affected trade-affected investigation, termination or partial Acceptance or denial results in a workers (24) by the cost per IEP termination of a certification, or a posting to the Federal Register and a 30 ($22.10). This calculation results in an negative determination of a petition. To notification to the applicant. If accepted, annual undiscounted cost of $530. The estimate the costs associated with this the reconsideration process begins, and total cost over the 10-year period is form, the Department multiplied the a decision is reached. If denied, the estimated at $5,300 undiscounted, or estimated number of applications that petitioner likely will appeal to the $4,521 and $3,722 at 3- and 7-percent will be submitted each year (25) by the USCIT. discount rates, respectively. The amount of time required to complete the This final rule will eliminate the step annualized cost over the 10-year period application (1 hour) and by the hourly requiring the Certifying Officer to make is $530 at both 3- and 7-percent compensation rate ($51.60 per hour). and issue a determination on whether or discount rates. This calculation results in an annual not a reconsideration will be initiated c. Other Quantifiable Costs undiscounted cost of $1,290. (29 CFR 90.18(c)). The Department has The sum of these costs yields a total concluded that eliminating this step Other quantifiable costs of this final would decrease time and burden, and rule stem from the implementation of annual undiscounted cost of $2,449. The total cost over the 10-year period is simplify the process. two IC forms: (1) ETA Form 8561, Study Under the new process in § 618.245, estimated at $24,490 undiscounted, or of Domestic Industry; and (2) ETA Form the Department will initiate an $20,890 and $17,200 at 3- and 7-percent 9185, Application for Reconsideration. investigation on all valid discount rates, respectively. The The Department is reactivating ETA reconsideration applications, conduct annualized cost over the 10-year period Form 8561 A/B/C, Standard the required review, and post the results is $2,449 at both 3- and 7-percent Questionnaire for Manufacturing Firms, via the Federal Register and the discount rates. by revising it as ETA Form 8561, Study Department’s website. Although this of Domestic Industry. The Department Nonquantifiable Costs new process will not eliminate will use ETA Form 8561 to collect reconsiderations, the Department a. Criteria for Certification of Worker information from firms within an estimates that it will reduce the Groups industry subject to an investigation by processing time involved for all the ITC under section 202 of the Act. This final rule provision at § 618.225 reconsiderations by approximately 33 The Department then will use the substantially updates 29 CFR 90.16(b) to percent, as there will be no initial information collected to produce a describe the criteria the Department review of the request or related report for the President, as required uses to certify worker groups, which notification. Thus, under the new under section 224 of the Act. The report have expanded significantly under process, the cost per reconsideration will contain information on the number section 222 of the Act. It also identifies will be 67 percent of the cost under the of workers in the domestic industry factors under consideration in current process. The Department producing the like, or directly determining whether a criterion has estimates that the cost per competitive, article who have been, or been met. The revised language reconsideration under the current are likely to be, certified as eligible for provides transparency on how process is $2,022.31 Under the new investigations are conducted, the 29 The Department derived this number by importance of information collected, 31 The Department estimates the cost to process calculating the average of the annual number of and how the information is used. The a reconsideration based on the cost to process a full workers who received training, job search, or petition due to data availability. The Department relocation allowances (i.e., program exiters) in FY new provisions reflect the requirements estimates that the cost to process a reconsideration 2013 through FY 2019. of the Act, Departmental practices, and, under the current process is 86 percent of the cost 30 The cost per IEP is estimated by multiplying in some instances, thresholds for select to process a full petition. This estimate is based on the hourly compensation rate of a State criteria. The provision also includes an average of 60 days to process a reconsideration employment counselor ($44.20 per hour) by the compared to a median of 70 days to process a full time spent developing the IEP (0.50 hours), teleworkers and staffed workers because petition (60/70=86 percent). resulting in a cost estimate of $22.10. they are frequently performing the same Continued
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process, the Department estimates that reconsideration issued under savings of $58,641. The total cost the cost per reconsideration will be § 618.245(g) as final determinations and, savings from the reduction in judicial $1,355 (0.67 × $2,022 per therefore, only these determinations are appeals over the 10-year period is reconsideration). Under the current and subject to judicial review through the estimated at $586,410 undiscounted, or revised processes, approximately 25 USCIT. This will reduce the time and $500,220 and $411,870 at 3- and 7- reconsiderations are filed per year, and effort spent by Department employees, percent discount rates, respectively. The the Department concludes that will not petitioners, and the USCIT on appeals annualized cost savings over the 10-year change. To estimate the cost savings that have not yet been subject to the period is $58,641 at both 3- and 7- associated with this change, the reconsideration process. These appeals percent discount rates. Department subtracted the cost per require legal counsel for the Department Relative to the baseline (i.e., current reconsideration under the new process and for the appellant, and associated practice under the TAA Program), the ($1,355) from the cost per fees are involved with the proceedings. two issues described above are expected reconsideration under the current By revising the definition of ‘‘final to result in average annual process ($2,022) and then multiplied by determinations’’ and through the undiscounted cost savings of $75,316. the number of reconsiderations filed per revisions to the reconsideration process, The total cost savings over the 10-year year (25). This yields an average annual the Department concludes that the period is estimated at $753,160 undiscounted cost savings of $16,675. number of judicial appeals will be undiscounted, or $642,461 and The total cost savings from the new reduced to two per year. $528,988 at 3- and 7-percent discount reconsideration process over the 10-year The Department estimates the cost rates, respectively. The annualized cost period is estimated at $166,750 savings from reducing the number of savings over the 10-year period is undiscounted, or $142,241 and judicial appeals by subtracting the estimated at $75,316 at both 3- and 7- $117,118 at 3- and 7-percent discount estimated number of judicial appeals percent discount rates. under this final rule (two per year) from rates, respectively. The annualized cost Transfer Payments savings over the 10-year period is the current number of judicial appeals $16,675 at both 3- and 7-percent per year (five per year) and multiplying The following sections describe the discount rates. by the cost per appeal ($19,547).32 This transfer payments of this final rule. yields average annual undiscounted cost b. Judicial Appeals Quantifiable Transfer Payments Under previous regulations, all 32 The cost per appeal is estimated from the cost a. Merit Versus Non-Merit Staff determinations the Department to the appellant, the Department, and the USCIT to Currently, States must engage only rendered are final determinations process an appeal. Based on USCIT court fees (https://www.cit.uscourts.gov/sites/cit/files/ State merit staff to perform TAA-funded subject to judicial review. As a result, Schedule%20of%20Fees.pdf), the appellant must functions undertaken to carry out the nearly any determination the pay fees for attorney admission ($81), a filing fee State’s responsibilities under the Act (20 Department rendered can be appealed to ($400), and a charge for each type of fee ($304) for CFR 618.890). Non-merit staff that the USCIT (29 CFR 90.19). a total of $785 in fees to appeal. The appellant also must have a private sector attorney prepare for the provide employment and case In this final rule, the Department will appeal and appear in court. The Department management services to trade-affected define only determinations on estimates this cost by multiplying the hourly workers cannot charge their time to compensation rate ($118.72 per hour) by the sum TAA Program funds. The Department estimates an investigator spends of time the private sector attorney must spend to In this final rule, the provision at prepare (40 hours) and the time spent in court (12 100 percent of his or her time, or 2,080 hours, § 618.890 on staffing flexibility amends processing petitions. The investigator processes 85 hours). These estimates include time spent petitions per year. Therefore, the cost per petition responding to filings and other actions outside of the previous regulation to clarify that for an investigator to process is estimated by court proceedings. The result is a cost per appeal only certain activities under the TAA multiplying the hourly compensation rate ($68.02 for the appellant of $6,958. Program need to be performed by per hour) by the hours the investigator works per The Department has a cost per appeal for a DOL personnel covered by a system meeting year (2,080 hours) and dividing by the number of and DOJ attorney to prepare and attend court, and petitions processed per year (85 petitions per year). a remand cost. The Department estimates the the criteria of the Federal merit This results in a cost per petition for an investigator remand cost by multiplying the current cost per personnel system regardless of whether of $1,664. The Department estimates a Certifying reconsideration ($2,022) by 1.5, resulting in a they are funded by the TAA Program. Officer manager spends 75 percent of his or her remand cost of $3,033. To estimate the cost of a This results in a transfer payment time (1,560 hours) and a nonmanager Certifying DOL and DOJ attorney, the Department multiplied officer spends 100 percent of his or her time (2,080 the hourly compensation rate ($121.28 per hour) by because non-merit staff will be hours) processing petitions. Certifying Officers the sum of time the DOL and DOJ attorney must performing the same work at a lower process an estimated 317 full petitions per year. spend to prepare (40 hours) and the time spent in wage than the currently used merit staff. Based on these data, a manager Certifying Officer court (12 hours). The result is a cost of $6,306 for As a result, providing employment and spends 5 hours per petition (1,560/317) and a a DOL and DOJ attorney. The sum of the remand nonmanager Certifying Officer spends 7 hours per cost ($3,033) and the cost for a DOL and DOJ case management services by non-merit petition (2,080/317). The Department uses an attorney ($6,306) yields a cost per appeal for the staff will result in transfer payments average of nonmanager and manager hours per Department of $9,339. from employees to the States because petition to estimate the average Certifying Officer’s The cost to the USCIT is the court time for a there are no labor-hours freed and only time to process a petition (6 hours). To estimate the district court judge and district court clerk. The cost per petition for a Certifying Officer, the Department estimates the cost of court time for a a decline in wages. Department multiplied the hourly compensation judge by multiplying the hourly compensation rate The Department estimates that half rate ($114.55 per hour) by the number of hours ($182.50 per hour) by the time spent in court and the States, and therefore half the spent processing a full petition (6 hours). This the time spent reviewing the filings related to the participants in the TAA Program, will results in a cost per petition for a Certifying Officer appeal (12 hours), resulting in a cost estimate of of $687. $2,190. The Department estimates the cost of court take advantage of the flexibility The Department, therefore, estimates the full cost time for a clerk by multiplying the hourly provided by this final rule. of processing a full petition as the sum of the cost compensation rate ($88.31 per hour) by the time The Department estimates that the for an investigator to process a petition and the cost spent in court (12 hours), resulting in a cost cost of providing employment and case for a Certifying Officer to process a petition. estimate of $1,060. The cost to the USCIT for an appeal is therefore estimated as $3,250. management services by State merit staff Summing these costs results in an estimated cost of 33 $2,351 to process a petition. The cost per The cost per appeal is therefore estimated as the is $8,382,397 annually. The reconsideration is, therefore, estimated as $2,022 sum of the cost to the appellant ($6,958), the cost based on the cost per reconsideration being 86 to the Department ($9,339), and the cost to the 33 To estimate the cost of State merit staff percent of the cost of processing a full petition. USCIT ($3,250). This cost is $19,547. providing employment and case management
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Department estimates the cost of undiscounted, or $7,668,025 and simplify the operation of the TAA providing employment and case $6,313,684 at 3- and 7-percent discount Program by using the same standard— management services by non-merit staff rates, respectively. The annualized cost suitable employment—as the factor for is $6,584,544 annually, due to the lower savings over the 10-year period is approval of training, job search hourly wage for the typical non-merit $898,927 at both 3- and 7-percent allowances, and relocation allowances. staff employee.34 The Department, discount rates. Program performance data show that therefore, estimates transfer payments AAWs who relocate have a wage Nonquantifiable Transfer Payments associated with removing the restriction replacement rate exceeding 100 percent, to allow States to charge time for non- a. Change in the Definition of ‘‘Group’’ which means that this change should merit staff to TAA Program funds by Under § 618.110 (definition of ‘‘group have little or no impact on the number subtracting the cost of non-merit staff of workers’’) in this final rule, the of AAWs and is not quantifiable. ($6,584,544) from the cost of State merit Department updates the definition of staff ($8,382,397) and multiplying by 0.5 c. Length of Training and ‘‘group’’ to mean at least two workers Apprenticeships to account for the Department’s estimate employed or formerly employed by the that half the States will use the same firm, or an appropriate In this final rule, the language at flexibility provided by this final rule. subdivision. The definition also § 618.635(c) is new and establishes This yields average annual includes teleworkers and staffed apprenticeship provisions that undiscounted transfer payments of workers, because they are frequently specifically provide that both registered $898,927. The total transfer payments performing the same work as other apprenticeships under the NAA, as well from removing the restriction to allow trade-affected workers in the subject as other training programs that include States to charge time for non-merit staff firm or subdivision and are under the a paid work-based learning component to TAA Program funds over the 10-year subject firm’s control. Separated and required educational or period is estimated at $8,989,265 workers are included in the definition instructional component that results in because they, too, may be trade-affected the issuance of a recognized services, the Department first estimated the amount postsecondary credential, are of time spent providing the services. Of the 16,026 workers. Because of a lack of data on the total exiters, on average, in FYs 2017–2019, 9,331 additional number of beneficiaries, the approvable TAA Program training received training and 6,706 received only case Department is unable to quantify the activities. These provisions are based on management services. The average duration of transfer. The Department expects the a combination of section training is 421 days, and the average duration of 236(a)(5)(A)(iii) and (G) of the Act. The case management services is 263 days. Staff have change to be small. a minimum contact requirement of 30 days, and requirement that an apprenticeship lead contact is estimated to take 1 hour. Therefore, the b. Suitable Work Versus Suitable to an industry-recognized credential Department estimated the time spent by staff Employment differentiates an apprenticeship from providing training services to an exiter by dividing regular OJT. the average duration of training (421 days) by the In this final rule, the provision at minimum contact requirement (30 days) and § 618.400 explains the scope of the This final rule will revise TAA multiplying by the time of contact (1 hour), subpart, and is a provision not Program length of training requirements resulting in an estimate of 14 hours. The contained in current regulations. The applicable to apprenticeships. In Department, therefore, estimates the hours required addition, under this final rule, TAA for training services to all exiters that received provision at § 618.400 contains one training by multiplying the number of exiters substantive departure from current Program funds can be used to pay for receiving training (9,331) by the time spent by staff regulations in that it identifies the goal the educational and instructional providing them services (14 hours), resulting in an of providing job search and relocation component of the apprenticeship until estimate of 130,634 hours. The Department completion of the apprenticeship, estimated the time spent by staff providing case allowances to help AAWs secure and, if management services only to an exiter by dividing necessary, relocate to ‘‘suitable which, in some cases, could be up to 5 the average duration of case management (263 days) employment’’ as defined in section 236 years. In particular, the TAA Program by the minimum contact requirement (30 days) and of the Act, instead of merely assisting will provide for reimbursement to the multiplying by the time of contact (1 hour), employer for the paid-work component resulting in an estimate of 8.8 hours per exiter AAWs in finding ‘‘suitable work’’ as receiving case management services. The current regulations have provided. In of the apprenticeship for up to 130 Department, therefore, estimates the hours required this final rule, the language at § 618.405 weeks. Reimbursement can be up to 50 for case management services to all exiters that contains general provisions and revises percent of the employer’s training costs received case management services only by based on the wage rate of the trade- multiplying the number of exiters receiving only and consolidates current 20 CFR 617.30 case management services (6,706) by the time spent and 617.40. The provision at affected worker. by staff providing them services (8.8 hours), § 618.405(a) retains the content in 20 The increased flexibility in the use of resulting in an estimate of 59,013 hours. CFR 617.30, except that it replaces the TAA Program funds may result in an To estimate the cost of State merit staff providing reference to ‘‘securing a job’’ with increase in apprenticeships; however, employment and case management services, the Department summed the time required to provide ‘‘suitable employment’’ to align with the the Department is unable to quantify training services (130,634 hours) and the time change to the goal of the subpart. this and sought public comment. The required to provide case management services only This change modifies the eligibility Department received no comments on (59,013 hours), which results in a total of 189,647 requirement, for both job search and this issue. The Department expects that hours. The Department then multiplied the total hours by the hourly compensation rate of a State relocation allowances, that there be no funding adjustments will need to be employment counselor ($44.20 per hour) resulting ‘‘suitable work’’ available in the local made for trade-affected workers in a cost estimate of $8,382,397. area to the requirement that there be no requiring additional funding due to 34 To estimate the cost of non-merit staff in ‘‘suitable employment’’ available in the participation in a registered providing employment and case management apprenticeship. In this final rule, the services, the Department summed the time required local area. ‘‘Suitable employment’’ is to provide training services (130,634 hours) and the generally work at higher skill levels and provision would result in transfers of time required to provide case management services wage rates than is ‘‘suitable work’’ (i.e., funds between States and the Federal only (59,013 hours), which results in a total of a job is less likely to meet the higher Government. The total amount of 189,647 hours. The Department then multiplied the expenditures that may be accrued at the total hours by the hourly compensation rate of a ‘‘suitable employment’’ standard and private sector employment counselor ($34.72 per such jobs will, therefore, be less likely national level, however, will not change hour), resulting in a cost estimate of $6,584,544. to be available). Thus, this change will and is therefore not quantified.
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Other Key Changes With No Economic Employment counseling and No costs or transfer payments are Impact reemployment services have been associated with these provisions, as they TGAAA and TAAEA introduced required under the TAA Program since are codifying current administrative statutory program changes, and the implementation of chapter 2 of title II of guidance. TAARA 2015 amendments restored the Act. The current requirements are i. A provision that allows States to these improvements. This final rule found at 20 CFR 617.20 and 617.21. apply Federal ‘‘good cause’’ waiver codifies the provisions associated with This set of provisions includes the provisions to TAA Program deadlines these improvements, currently development of an IEP and assessments. allowing for trade-affected workers to implemented via administrative The language in the previous regulation, retain benefits due to extenuating guidance, into the TAA Program however, uses outdated terminology and circumstances (subpart G, regulations. The Department analyzed this final rule updates it. Case managers § 618.720(c)(5)). these provisions to determine if they are to ensure trade-affected workers This provision allows States to apply have any additional cost or result in receive job placement services, develop Federal ‘‘good cause’’ waiver provisions transfer payments when compared to individual assessment-based to TAA Program deadlines allowing for the baseline. Based on this analysis, the employment and training programs, and trade-affected workers to retain benefits Department has determined that no provide career counseling. Under the due to extenuating circumstances. No costs or transfer payments are associated current regulations, funds for costs or transfer payments are associated with the program improvement individualized case management with this provision, as it is codifying provisions. services are not authorized, requiring current administrative guidance. a. A set of provisions requiring these services to be made available j. Subpart G, § 618.775. services to all trade-affected workers, through partner programs, such as This provision enables AAWs to elect including AAIWs who have not yet Wagner-Peyser or WIOA. No costs or TRA over UI based on a second UI claim separated from adversely affected transfer payments are associated with in circumstances that result in lower employment but are threatened with these provisions, as they are codifying WBAs from part-time or short-term separation (subpart A, § 618.110; current administrative guidance. work. No costs or transfer payments are subpart C, § 618.310; and subpart F, e. Provisions that eliminate the associated with this provision, as it is § 618.655). requirement for AAWs to apply for and codifying current administrative Under this set of provisions, AAIWs wait to attain a separate group guidance. must be provided TAA Program certification to be eligible for the RTAA Qualitative Benefits Discussion services, as appropriate, before the program (subpart E, §§ 618.500 and The TAA Program includes the RTAA worker’s separation from employment, 618.505). ideally allowing these workers to benefit, which may be available to AAWs receiving RTAA can work full AAWs 50 years of age or older. transition to new employment without time or part time and receive training, experiencing a gap in employment or by Reauthorization of the program restored which will allow this population to the major expansions in TAA Program reducing the amount of time needed to regain skills to stay competitive. RTAA complete the training program after the worker group eligibility to service sector replaces ATAA, a program piloted in workers and to workers affected by trade separation, or both, and reducing the the TAA Program under TAARA 2002. worker’s overall period of from any country, including countries Neither RTAA nor ATAA are included that do not have Free Trade Agreements unemployment. Under the current in current regulations. No costs or regulations, the Department could not with the United States including China transfer payments are associated with and India. begin providing services to serve AAIWs these provisions, as they are codifying until they are laid off. No costs or A 2012 evaluation of the TAA current administrative guidance. Program showed that TAA Program transfer payments are associated with f. Provisions that introduce these provisions, as they are codifying participants who undertook training Completion TRA and require trade- recorded better employment outcomes current administrative guidance. affected worker training benchmarks to b. Provisions that expand trade- than those who received only income monitor training progress regularly and support and that TAA Program affected worker eligibility to include allow for amendments of a training those workers in firms that supply participants almost entirely closed the program to help ensure successful gap between their wages in the previous service-sector workers, expanding training outcomes (subpart F, § 618.660; coverage to the largest growing sector of employment and their wages in the new and subpart G, § 618.755). the economy (subpart B, § 618.225(a) employment within 4 years, and, by one No costs or transfer payments are 35 and (b)). measure, had pulled slightly ahead. No costs or transfer payments are associated with these provisions, as they The evaluation also found that TAA associated with these provisions, as they are codifying current administrative Program participants were engaged in are codifying current administrative guidance. some form of productive activity at guidance. g. A provision that eliminates training about the same rate as the comparison c. Provision that makes workers in waivers based on recall, marketable group. firms identified in ITC ‘‘injury’’ skills, and retirement (subpart G, a. Streamlining and Consolidation of determinations ‘‘automatically’’ § 618.725(b)). TAA Program Regulations certified (subpart B, § 618.225(c)). No costs or transfer payments are No costs or transfer payments are associated with this provision, as it is As stated above, the regulations associated with this provision, as it is codifying current administrative governing the TAA Program have not codifying current administrative guidance. been updated since 1994. Since that guidance. h. A set of provisions that expands the d. Provisions providing funding for deadline for enrolling in training to 35 Social Policy Associates and Mathematica individualized case management qualify for TRA, providing trade- Policy Research. (2012). ‘‘The Evaluation of the affected workers more time to consider Trade Adjustment Assistance Program: A Synthesis services (subpart C, §§ 618.310, 618.330, of Major Findings.’’ Retrieved from: https:// 618.335, 618.345, 618.350, and their training options (subpart G, wdr.doleta.gov/research/FullText_Documents/ 618.360). § 618.720(c)(1), (2), and (4)). ETAOP_2013_08.pdf.
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time, multiple amendments have result of foreign trade. Benefits and of this unique population best, which it occurred. All TAA Program services include: Employment and case continues to do. amendments were implemented through management services (e.g., career An ever-changing global marketplace administrative guidance. As a result, the counseling); training; out-of-area job drives the 21st-century economy. For States must use a combination of search and relocation allowances; America to outcompete other countries, regulations and a patchwork of income support through TRA; RTAA for its workers need to have the skills and administrative guidance to operate the AAWs aged 50 and older; and, if support to take advantage of new program. available, the HCTC. opportunities the 21st-century economy This final rule provides a legally Since 1975, the TAA Program has presents. The TAA Program sets out to binding set of rules to guide the worker- served over 2 million U.S. trade-affected do that by providing the best group certification process at the workers. In FY 2017, an estimated opportunities for American workers to Federal level and the individual benefit 94,017 trade-affected workers became reenter the workforce. and training authorization process at the eligible for TAA Program benefits and 5. Summary of the Analysis State level, and provides Federal and services. Nearly 75 percent of trade- State courts with the Department’s affected workers obtained employment Exhibit 4 summarizes the estimated authoritative interpretation of TAARA within 6 months of completing the TAA total costs, cost savings, and transfer 2015. This final rule also updates the Program, and over 90 percent of those payments of this final rule over the 10- TAA Program and consolidates all who found work retained their jobs 6 year analysis period. The annual costs, applicable program regulations into a months later. cost savings, and transfer payments do single section of the CFR. Trade-affected workers come from a not reach $100 million in any given variety of backgrounds and industries, year. Thus, this final rule is not b. Support to American Workers That and therefore, many enter the program economically significant. Have Lost Their Jobs as a Result of with a wide array of skills and The Department estimates the Foreign Trade experience. Most trade-affected workers annualized costs of this final rule at The objective of the TAA Program is who enter the program, however, face $5,596, the annualized cost savings at to provide trade-affected workers with similar challenges in obtaining $75,316, and the annualized transfer opportunities to obtain the skills, reemployment. Trade-affected workers payments at $898,927, at the 7-percent credentials, resources, and support have no postsecondary degree typically, discount rate. necessary to (re)build skills for future an average age of 49, and an average of The Department estimates the net cost jobs. For over 40 years, the TAA 12 years of experience in a specific job savings of this final rule at $597,559 at Program has assisted U.S. workers who that may no longer exist.36 The TAA a discount rate of 3 percent and have lost or may lose their jobs as a Program is designed to serve the needs $489,683 at a discount rate of 7 percent.
EXHIBIT 4—ESTIMATED MONETIZED COSTS, COST SAVINGS, NET COST SAVINGS, AND TRANSFER PAYMENTS OF THE NPRM [2019 dollars]
Transfer Costs Cost Net cost savings savings a payments
2020 ...... $12,173 $75,316 $63,143 $898,927 2021 ...... 14,187 75,316 61,129 898,927 2022 ...... 2,979 75,316 72,337 898,927 2023 ...... 2,979 75,316 72,337 898,927 2024 ...... 2,979 75,316 72,337 898,927 2025 ...... 2,979 75,316 72,337 898,927 2026 ...... 2,979 75,316 72,337 898,927 2027 ...... 2,979 75,316 72,337 898,927 2028 ...... 2,979 75,316 72,337 898,927 2029 ...... 2,979 75,316 72,337 898,927 Undiscounted 10-Year Total ...... 50,192 753,160 702,968 8,989,265 10-Year Total with 3% Discounting ...... 44,902 642,461 597,559 7,668,025 10-Year Total with 7% Discounting ...... 39,305 528,988 489,683 6,313,684 10-Year Average ...... 5,019 75,316 70,297 898,927 Annualized with 3% Discounting ...... 5,264 75,316 70,052 898,927 Annualized with 7% Discounting ...... 5,596 75,316 69,720 898,927
Perpetuated Net Cost Savings a with 7% Discounting (2016 dollars) ...... $50,902 a Net Cost Savings = [Total Cost Savings] ¥ [Total Costs]; discounted four years to reflect that the changes take effect in 2020.
6. Regulatory Alternatives 12866. The Department has considered types of provisions in the regulations; three alternatives as part of determining and (3) to propose more stringent, less OMB Circular A–4, which outlines whether to issue this final rule. These flexible regulations and provide best practices in regulatory analysis, directs agencies to analyze alternatives alternatives include: (1) To take no clarification in administrative guidance. if such alternatives best satisfy the action; that is, make no regulatory Each alternative is discussed in more philosophy and principles of E.O. changes; (2) to reduce the number and detail below.
36 U.S. Department of Labor, ETA. (2018). ‘‘Trade Year 2017.’’ Retrieved from: https:// www.doleta.gov/tradeact/docs/ Adjustment Assistance for Workers Program: Fiscal AnnualReport17.pdf.
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The Department considered the ‘‘no displaced workers and the changing D. Paperwork Reduction Act (PRA) action’’ alternative, thereby, leaving the economic landscape. Not only could The purposes of the PRA, 44 U.S.C. regulations in three separate parts in the this negatively impact trade-affected 3501 et seq., include minimizing the CFR (i.e., 20 CFR parts 617 and 618, and workers, it could cost States and the paperwork burden on affected entities. 29 CFR part 90) and continuing to use Department more through decreases in The PRA requires certain actions before administrative guidance to operate the efficiency from having to adhere to more an agency can adopt or revise a TAA Program. This alternative has the restrictive and complex regulations. collection of information, including disadvantage of forcing States to use a This would ultimately lead to workers publishing for public comment a combination of outdated regulations and being underserved due to the time and summary of the collection of a patchwork of administrative guidance budgetary burdens that more stringent information and a brief description of to operate the program. The TAA regulations would impose. Also, the need for and proposed use of the Program requirements have changed administrative guidance is not legally information. substantially since 1994. As a result, the binding, and, therefore, not as an As part of its continuing effort to implementation of new regulations is effective tool as flexible regulations. reduce paperwork and respondent necessary to achieve program burden, the Department conducts a compliance, integrate the TAA Program The Department considered the three options above in accordance with the preclearance consultation program to with the workforce development and provide the general public and Federal education systems, and reduce the provisions of E.O. 12866 and chose to agencies with an opportunity to Department’s and States’ legal burden publish this final rule to increase comment on proposed and continuing concerning petition issues raised in flexibility to States and trade-affected collections of information in accordance court cases and appeals. workers, improve outcomes, clarify The Department also considered overly technical or confusing language, with the PRA. See 44 U.S.C. scaling back the number and types of update references and procedures, and 3506(c)(2)(A). This activity helps to ensure that the public understands the provisions in the regulations, except for codify elements from administrative Department’s collection instructions, those areas where there are statutory guidance. requirements for the Department to respondents can provide the requested As discussed in Section IV.B.3 above, data in the desired format, reporting promulgate regulations. Examples of the Department received one comment provisions that could be excluded are: burden (time and financial resources) is on the regulatory alternatives. This (1) The primary indicators of minimized, collection instruments are comment is addressed in that section performance; (2) the expansion of State clearly understood, and the Department with the other discussions of public responsibility for providing can properly assess the impact of employment and case management comments. collection requirements on respondents. In accordance with the requirements services; (3) the integration of the TAA C. Regulatory Flexibility Act, Small of PRA the proposed regulation solicited Program into the one-stop delivery Business Regulatory Enforcement comments on the ICs included therein. system under WIOA and alignment with Fairness Act of 1996, and Executive the WIOA Final Rule; (4) the increase in A Federal agency may not conduct or Order 13272 (Proper Consideration of sponsor a collection of information the maximum limit for job search and Small Entities in Agency Rulemaking) relocation allowances; (5) the addition unless it is approved by OMB under the of the RTAA, which was established The Regulatory Flexibility Act of 1980 PRA and displays a currently valid under the 2009 Program amendments; (RFA), 5 U.S.C. 601 et seq., as amended OMB control number. The public also is (6) the addition of Completion TRA; and by the Small Business Regulatory not required to respond to a collection (7) the study and notifications regarding Enforcement Fairness Act of 1996, of information unless it displays a certain affirmative determinations. This Public Law 104–121 (Mar. 29, 1996), currently valid OMB control number. In addition, notwithstanding any other regulatory alternative has the requires Federal agencies engaged in provisions of law, no person will be disadvantage of forcing the regulated rulemaking to consider the impact of subject to penalty for failing to comply community to follow statutory language their proposals on small entities, with a collection of information if the for implementation. Considering many consider alternatives to minimize that collection of information does not of these provisions are new, the impact, and solicit public comment on display a currently valid OMB control statutory language would not provide their analyses. The RFA requires the sufficient detailed guidance to number (44 U.S.C. 3512(a)(1)). assessment of the impact of a regulation The following ICs are part of the implement the provisions effectively, on a wide range of small entities, thereby, increasing the risk of States’ administration of the TAA including small businesses, not-for- Program. They have been previously noncompliance. profit organizations, and small Finally, the Department considered reviewed and approved. They have not governmental jurisdictions. Agencies been impacted by this rule: proposing more stringent, less flexible must perform a review to determine OMB Control Number 1205–0275— regulations and relying on whether a proposed or final rule would administrative guidance to provide Trade Adjustment Assistance Program have a significant economic impact on clarification. Examples of provisions Reserve Funding Request a substantial number of small entities. 5 where the Department could be more OMB Control Number 1205–0222— U.S.C. 603 and 604. prescriptive are: (1) Worker group Unemployment Insurance Materials eligibility requirements (2) employment Because the entities impacted by this Transmittal and case management services; (3) final rule are the States, which do not OMB Control Number 1205–0521— training (e.g., approval, cost, and type); qualify as small entities, the Department DOL-Only Performance (4) job search and relocation allowances; has determined that this final rule does Accountability, Information, and (5) Completion TRA and training not impact small entities. Based on this Reporting System benchmarks; and (6) RTAA. This determination, the Department certifies OMB Control Number 1205–0461— alternative has the disadvantage of not that this final rule does not have a Employment and Training providing enough flexibility to mold the significant economic impact on a Administration Financial Report TAA Program to the evolving needs of substantial number of small entities. Form ETA–9130
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The Department has determined that included in OMB Control Number with E.O. 13132 and found that this there is a new IC contained in this rule. 1205–0342; specifically, once all of the rulemaking has no federalism This collection is related to an aggrieved outstanding actions are complete, the implications. The TAA Program is a party seeking administrative Department intends to submit a nationwide program funded with reconsideration of a negative nonmaterial change request to merge the Federal funds in which the States determination under section 222 of the collections so that the new requirements voluntarily participate. Thus, this final Act, and the domestic industry study will be added to OMB Control Number rule will not have substantial direct required by section 202 of the Act. 1205–0342. Once the nonmaterial effects on the States, on the relationship In accordance with the requirements change request has been approved by between the National Government and of PRA the proposed regulation solicited OMB, the new collection will be the States, or on the distribution of comments on this new IC. The Federal discontinued. power and responsibilities among the Register Notice announcing the Affected Public: State, Local, and various levels of government, within the proposed rule announced a 60-day Tribal Governments. meaning of the Executive Order. comment period for this new IC. The IC Obligation to Respond: Required to F. Unfunded Mandates Reform Act of comment period closed on January 6, Obtain or Retain Benefits. 2020. The Department received two Estimated Total Annual Respondents: 1995 timely comments but they did not 5,317. UMRA (Pub. L. 104–4, codified at 2 address the IC. The comments received Estimated Total Annual Responses: U.S.C. 1501 et seq.) requires agencies to on the proposed IC may be viewed at 5,497. assess the effects of Federal regulatory https://www.regulations.gov by entering Estimated Total Annual Burden actions on State, local, and tribal docket number ETA–2019–0009. Hours: 12,977. governments and on private industry, Estimated Total Annual Other Burden except to the extent the regulations Petition Requirements; Investigations; Costs: $1,266,937.93. incorporate requirements specifically Domestic Industry Study; Application Regulations Sections: 20 CFR 618.205, set forth in law. Title II of the UMRA for Reconsideration 618.210, 618.215, 618.220, 618.225, directs agencies to prepare a written Agency: DOL–ETA. 618.230, 618.235, 618.240, 618.245, statement assessing the effects of any Title of Collection: Petition 618.250, 618.260. Federal mandate in a proposed or final Requirements; Investigations; Domestic Interested parties may obtain a copy agency rule that may result in $100 Industry Study; Application for free of charge of one or more of the ICRs million or more expenditure (adjusted Reconsideration. submitted to OMB on the reginfo.gov annually for inflation) in any 1 year by Type of Review: New. website at http://www.reginfo.gov/ State, local, and tribal governments, in OMB Control Number: 1205–0NEW. public/do/PRAMain. From this web the aggregate, or by the private sector. A Description: The information page select Department of Labor from Federal mandate is any provision in a contained in this collection is submitted the ‘‘Currently under Review’’ regulation that imposes an enforceable by various parties, including dropdown menu and look up the duty upon State, local, or tribal individuals, company officials, unions, collection. You also may request a free governments, or imposes a duty on the and State agencies. This information is copy of the IC by contacting the person private sector that is not voluntary. collected in paper, by fax, via online named in the ADDRESSES section of this As explained in Section V.B above, forms, and by email. The information preamble. this final rule does not include any provided by these groups is used as part Federal mandate that could result in E. Executive Order 13132 (Federalism) of an investigation by the Department to increased expenditure by State, local, determine whether or not a group of E.O. 13132 requires Federal agencies and tribal governments in the aggregate workers has been adversely affected by to ensure that the principles of of more than $100 million, or increased foreign trade under the conditions and federalism established by the Framers of expenditures by the private sector of criteria established in section 222 of the our Constitution guide the executive more than $100 million. State Act. The Department is taking this departments and agencies in the governments administer the TAA opportunity to make changes to the formulation and implementation of Program as agents of the United States forms in OMB Control Number 1205– policies and to further the policies of and are provided appropriated Federal 0342 used in the petition and the Unfunded Mandates Reform Act funds for all TAA Program expenses. investigation process. These changes are (UMRA). Further, agencies must strictly designed to reduce burden, provide adhere to constitutional principles. G. Executive Order 13175 (Indian Tribal better instructions, and simplify the Agencies must closely examine the Governments) forms for use by the public. Form ETA– constitutional and statutory authority E.O. 13175 addresses the unique 9185 is a new form used by aggrieved supporting any action that would limit relationship between the Federal parties to seek administrative the policy-making discretion of the Government and Indian tribal reconsideration of a negative States and they must carefully assess the governments. It requires Federal determination. As part of this collection, necessity for any such action. To the agencies to take certain actions when the Department is reactivating Form extent practicable, State and local regulations have tribal implications. ETA–8561 A/B/C, Standard, by officials must be consulted before any Required actions include consulting renaming as Form ETA–8561, Study of such action is implemented. Section with tribal governments prior to Domestic Industry, and revising the 3(b) of the E.O. further provides that promulgating a regulation with tribal content of the form. This was previously Federal agencies must implement implications and preparing a tribal approved under OMB Control Number regulations that have a substantial direct impact statement. E.O. 13175 defines 1205–0194, and was in use until 1990 effect only if statutory authority permits regulations as having ‘‘tribal when it was discontinued. Form ETA– the regulation and it is of national implications’’ when they have 8561 is submitted by a firm within an significance. substantial direct effects on one or more industry subject to an investigation by The Department has reviewed this Indian tribes, on the relationship the ITC under section 202 of the Act. final rule revising the operation of a between the Federal Government and This collection will eventually be Federal benefit program in accordance Indian tribes, or on the distribution of
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power and responsibilities between the PART 618—TRADE ADJUSTMENT 618.455 Determining the amount of a Federal Government and Indian tribes. ASSISTANCE UNDER THE TRADE ACT relocation allowance. Because this final rule addresses the OF 1974, AS AMENDED 618.460 Determinations and payment of a worker-certification process at the relocation allowance. Federal level, the individual benefit and Subpart A—General Subpart E—Reemployment Trade training authorization process at the Sec. Adjustment Assistance State level, State administration of the 618.100 Purpose and scope. 618.500 Scope. TAA Program, and the Department’s 618.110 Definitions. 618.505 Individual eligibility. 618.120 Severability. distribution of TAA Program funds to 618.510 Eligibility period for payments of the States, the Department concludes Subpart B—Petitions, Investigations, and Reemployment Trade Adjustment Determinations Assistance and application deadline. that it does not have tribal implications. 618.515 Continuing eligibility and timing of 618.200 Scope. List of Subjects payments. 618.205 Petitions. 618.520 Benefits available to eligible 20 CFR Part 617 618.210 Investigation. adversely affected workers. 618.215 Public hearings. 618.525 Determinations, redeterminations, Administrative practice and 618.220 Use of subpoena. and appeals. procedure, Employment, Fraud, Grant 618.225 Criteria for certification of a group 618.530 Reductions of Reemployment of workers. Trade Adjustment Assistance payments; programs—Labor, Manpower training 618.230 Evidence. priority of payments. programs, Relocation assistance, 618.235 Determinations. Reporting and recordkeeping 618.240 Termination of certification. Subpart F—Training Services requirements. 618.245 Reconsideration of termination of 618.600 Scope. an investigation, denial, or termination 20 CFR Part 618 618.605 General procedures. or partial termination of certification. 618.610 Criteria for approval of training. 618.250 Amendments of certifications. 618.615 Limitations on training approval. Administrative practice and 618.255 Judicial review of determinations. procedure, Employment, Fraud, Grant 618.620 Selection of training program. 618.260 Study regarding certain affirmative 618.625 Payment restrictions for training determinations by the Commission. programs—Labor, Manpower training programs. 618.265 Availability of information to the programs, Relocation assistance, 618.630 Training of reemployed trade- public. Reporting and recordkeeping affected workers. requirements, Trade adjustment Subpart C—Employment and Case 618.635 Work-based training. assistance. Management Services 618.640 Supplemental assistance. 618.645 Voluntary withdrawal from a 29 CFR Part 90 618.300 Scope. 618.305 The Trade Adjustment Assistance training program. 618.650 State standards and procedures for Administrative practice and Program as a one-stop partner. 618.310 Responsibilities for the delivery of establishing reasonable cost of training. procedure, Grant programs—labor, employment and case management 618.655 Training for adversely affected Reporting and recordkeeping services. incumbent workers. requirements, Trade adjustment 618.325 Integrated service strategies and 618.660 Training benchmarks. assistance. Workforce Innovation and Opportunity 618.665 Amending approved training. Act co-enrollment. Under the authority of 19 U.S.C. Subpart G—Trade Readjustment 618.330 Assessment of trade-affected Allowances 2320(a) and for the reasons discussed in workers. the preamble, the Department of Labor 618.335 Initial assessment of trade-affected 618.700 Scope. amends 20 CFR parts 617 and 618 and workers. 618.705 Definitions. 618.710 Categories of Trade Readjustment 29 CFR part 90 as follows: 618.345 Comprehensive and specialized assessment of trade-affected workers. Allowances. 618.350 Individual employment plans for 618.715 Applications for Trade PART 617—TRADE ADJUSTMENT Readjustment Allowances and payment. ASSISTANCE FOR WORKERS UNDER trade-affected workers. 618.355 Knowledge, skills, and abilities of 618.720 Qualifying requirements for Basic THE TRADE ACT OF 1974 staff performing assessments. Trade Readjustment Allowances. 618.360 Employment and case management 618.725 Training enrollment deadlines. ■ 1. Revise the authority citation for 20 services for trade-affected workers in 618.730 Good cause. CFR part 617 to read as follows: training. 618.735 Waiver of training requirement for Basic Trade Readjustment Allowances. Authority: 19 U.S.C. 2320; Secretary’s Subpart D—Job Search and Relocation 618.740 Evidence of qualification for Basic, Order No. 6–2010, 75 FR 66267 (Oct. 27, Allowances Additional, and Completion Trade 2010). 618.400 Scope. Readjustment Allowances. 618.405 General. 618.745 Weekly amounts of Basic, Appendices A, B, and C to Part 617— 618.410 Applying for a job search Additional, and Completion Trade [Transferred to Part 618 and allowance. Readjustment Allowances. Redesignated] 618.415 Eligibility for a job search 618.750 Maximum amount of Basic Trade allowance. Readjustment Allowances. ■ 2. Transfer appendices A, B, and C to 618.420 Findings required for a job search 618.755 Eligibility period for Basic Trade part 617 to part 618 and redesignate the allowance. Readjustment Allowances. appendices as appendices A, B, and C 618.425 Amount of a job search allowance. 618.760 Qualifying requirements for, and to part 618. 618.430 Determination and payment of a timing and duration of, Additional Trade job search allowance. Readjustment Allowances. 618.765 PART 617—[REMOVED AND 618.435 Job search program participation. Qualifying requirements for, and 618.440 Applying for a relocation timing and duration of, Completion RESERVED] allowance. Trade Readjustment Allowances. 618.445 Eligibility for a relocation 618.770 Special rule for justifiable cause. ■ 3. Remove and reserve part 617. allowance. 618.775 Payment of Trade Readjustment 618.450 Findings required for a relocation Allowances during breaks in training. ■ 4. Revise part 618 to read as follows: allowance. 618.780 Disqualifications.
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Subpart H—Administration by Applicable opportunities to obtain the skills, (2) Has not been totally or partially State Agencies credentials, resources, and support separated from adversely affected 618.800 Scope. necessary to become reemployed in a employment; and 618.804 Agreements with the Secretary of good job. The TAA Program’s benefits (3) The Department determines, on an Labor. and services include: employment and individual basis, is threatened with total 618.808 State rulemaking. case management services, training, out- or partial separation. 618.812 Subpoenas. of-area job search and relocation Agent State means a State, other than 618.816 Trade Adjustment Assistance a liable State, that provides benefits or Program benefit information and allowances, income support through provision of services to workers. Trade Readjustment Allowances (TRA), services to a trade-affected worker. A 618.820 Determinations of eligibility; the Reemployment Trade Adjustment State can be both an agent State and a notices to individuals. Assistance (RTAA) benefit for workers liable State. 618.824 Liable State and agent State aged 50 or older who find qualifying Applicable State law means, for any responsibilities. reemployment, and, if available, the worker, the State law of the State: 618.828 Appeals and hearings. Health Coverage Tax Credit (HCTC). (1) In which such worker is entitled 618.832 Overpayments; penalties for fraud. Together with its workforce to Unemployment Insurance (UI) 618.836 Recovery of debts due the United development partners in the one-stop (whether or not such worker has filed a States or to others by Trade Adjustment delivery system authorized under the UI claim) immediately following such Assistance offset. worker’s first separation; or 618.840 Uniform interpretation and Workforce Innovation and Opportunity Act (WIOA), the TAA Program helps (2) If the worker is not so entitled to application of this part. UI under the State law of any State 618.844 Inviolate rights to Trade retrain, retool, and rebuild the American Adjustment Assistance or Reemployment workforce. This part 618 applies for all immediately following such first Trade Adjustment Assistance. workers determined eligible to apply for separation, or is entitled to UI under the 618.848 Veterans’ priority of service. TAA except for those covered under Railroad Unemployment Insurance Act 618.852 Recordkeeping and disclosure of certain provisions of the Trade (RRUI), the State law of the State in information requirements. Adjustment Assistance Reform Act of which such first separation occurred. 618.856 Information, reports, and studies. Appropriate subdivision means an 2002 and the Trade and Globalization 618.860 General fiscal and administrative establishment, facility or facilities, an Adjustment Assistance Act of 2009, for requirements and cost classification. organizational department, a product which administrative guidance will 618.864 Trade Adjustment Assistance line, a project team, an operational unit, continue to apply. Program performance. or part or combination thereof. The 618.868 Unemployment Insurance. (c) Effect. The regulations in this part appropriate subdivision is determined 618.872 Travel under the Trade Adjustment are issued to implement the Act. Assistance Program. on a case-by-case basis and includes all 618.876 Verification of eligibility for § 618.110 Definitions. workers or a subset of workers working program benefits. The following definitions apply solely at, or reporting to, the location(s) 618.884 Special rule with respect to in this part. identified in the petition, or military service. Act means chapter 2 of title II of the subsequently identified during the 618.888 Equitable tolling. course of the investigation, whose 618.890 Staffing flexibility. Trade Act of 1974, Public Law 93–618, 88 Stat. 1978 (19 U.S.C. 2271–2323 and employment is dependent upon the 618.894 Nondiscrimination and equal production of the specific article or opportunity requirements. 2395), as amended. supply of the specific service identified 618.898 Applicable State law. Administrator means the in the petition, or identified during the Administrator, Office of Trade Subpart I—Allocation of Funds to States for course of the investigation. Training and Other Activities Adjustment Assistance, Employment Appropriate week means the week in 618.900 Annual cap on funds available for and Training Administration, U.S. which the AAW’s first separation Training and Other Activities. Department of Labor, Washington, DC, occurred. 618.910 Initial allocation of funds. who has responsibility for administering Approved training or TAA approved 618.920 Reserve fund distributions. the TAA Program, or his or her training means a training program 618.930 Second distribution. designee. approved under subpart F of this part 618.940 Insufficient funds. Adversely affected employment (§ 618.610). 618.950 Recapture and reallocation of means employment in a firm or Training and Other Activities funds. Article means a tangible good or an appropriate subdivision, if workers of intangible good sold or produced by a Authority: 19 U.S.C. 2320; Secretary’s the firm or appropriate subdivision are firm. The good must be the subject of Order No. 6–2010, 75 FR 66267 (Oct. 27, certified as eligible to apply for the TAA the sale or production, and not an object 2010). Program under subpart B of this part. that is produced incidentally to the sale Subpart A–General Adversely affected worker or AAW or production. An article can be (also referred to, in combination with an measured in individual production § 618.100 Purpose and scope. AAIW, as a trade-affected worker) units or commercial production units, (a) Purpose. The Act establishes a means an individual, including an such as with commodities. Sale of an Trade Adjustment Assistance for employer, who, because of lack of work article is the means by which revenue Workers (TAA) Program. The goal of the in adversely affected employment, has is generated, accumulated, or TAA Program is to help each worker been totally or partially separated from calculated. participating in the program obtain such employment. Average weekly hours means the suitable employment whenever Adversely affected incumbent worker average hours worked by an AAW possible, and to return to employment or AAIW (also referred to, in (excluding overtime) in the employment as quickly as possible. combination with an AAW, as a trade- from which the worker has been or (b) Scope. Global trade impacts affected worker) means a worker who: claims to have been separated in the 52 thousands of workers each year across (1) Is a member of a worker group consecutive calendar weeks (excluding the United States. The TAA Program certified as eligible to apply for the TAA weeks during which the worker was provides trade-affected workers with Program under subpart B of this part; sick or on vacation) immediately
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preceding the worker’s total separation the impact date and, unless stated Contributed importantly means a or, for a partially separated worker, the otherwise in the certification, ends 2 cause that is important but not week before the appropriate week. The years after the certification date. A necessarily more important than any average is obtained by dividing: certification may expire sooner than 2 other cause. (1) Total hours worked (excluding years after the certification date as a Cooperating State agency or CSA overtime) in the 52 consecutive calendar result of a termination under § 618.240, means the agency at the State level that weeks (excluding weeks in such period an amendment under § 618.250, or if a will act as agent of the Department in during which the worker was sick or on certification is based on a determination receiving applications from and vacation); by issued by the International Trade providing benefits and services to trade- (2) The number of weeks in such 52 Commission (ITC) under section 222(e) affected workers in coordination with consecutive calendar weeks (excluding of the Act. the State agency that administers the UI weeks in such period during which the Certifying Officer means an official, law, if applicable, and such other worker was sick or on vacation). including the Administrator of the agency or agencies of the State as the Average weekly wage means one- Office of Trade Adjustment Assistance, Governor of the State may designate to thirteenth of the total wages paid to an Employment and Training cooperate with such CSA for AAW in the high quarter. For purposes Administration, Department of Labor, performance accountability reporting of this computation, the high quarter is who has been delegated responsibility and other purposes. the quarter in which the worker’s total to make determinations and issue Customized training means work- wages were highest among the first 4 of certifications of eligibility to apply for based training that is: the last 5 completed calendar quarters the TAA Program, and to perform such (1) Designed to meet the special immediately preceding the week in further duties as may be required. requirements of a single employer or which total separation occurred or, in Co-enrollment means enrollment in group of employers; cases where partial separation is the TAA Program and at least one other (2) Conducted with a commitment by claimed, the appropriate week. program that operates as part of the one- the employer or group of employers to Benefit period means, with respect to stop delivery system, such as the employ a trade-affected worker upon an AAW: dislocated worker program under title I successful completion of the training; (1) The benefit year and any ensuing of WIOA. and period, as determined under the Commission or International Trade (3) For which the employer pays for applicable State law, during which the Commission or ITC means the U.S. a significant portion (but in no case less worker is eligible for regular International Trade Commission. than 50 percent) of the cost of such compensation, additional Commuting area means the area in training. compensation, or extended which a trade-affected worker would be Denial or negative determination or compensation; or expected to travel to and from work on petition denial means a determination (2) The equivalent to such a benefit a daily basis as determined under the issued under § 618.235(b) that a group year or ensuing period provided for applicable State law. of workers is not eligible for TAA under Federal UI law. Completion of training or complete Program benefits. Certification or affirmative training or completed training means Department of Labor or Department determination or petition certification that the trade-affected worker has means the U.S. Department of Labor. means a determination issued under finished all required coursework Downstream producer means a firm § 618.235(a), or an amendment under (including required externships or that performs additional, value-added § 618.250, of eligibility to apply for the internships), testing, and professional production processes or services, such TAA Program, with respect to a licensing exams related to TAA as final assembly, finishing, testing, specified worker group of a firm or approved training. packaging, or maintenance or appropriate subdivision. Excluded from Component part means an input transportation services. The value- this definition are ‘‘certifications’’ in (tangible or intangible article) that is added production processes or services sections 223(d), 236(a)(5)(H), 239(a)(3), directly incorporated into the must be performed directly for another and 247(19) of the Act, and ‘‘affirmative production of another article, although firm that has a worker group certified to determinations’’ in sections 222(e) and it need not retain its original form or apply for the TAA Program under 224 of the Act. characteristics. § 618.225, and the production processes Certification date or date of Confidential business information or services must be carried out with certification means the date on which means trade secrets and commercial or respect to the article or service on which the Certifying Officer signs the financial information received by the the certification under § 618.225 was certification. This is the date that the Department, or by the States on the based. certification takes effect. Department’s behalf, during an Eligible RTAA recipient means, for Certification period means the period investigation under subpart B of this HCTC purposes (see definition of of time during which total, partial, or part, which the Department considers to HCTC), an AAW eligible for RTAA and threat of separations from adversely be privileged or confidential as set forth who is participating in RTAA for a affected employment within a firm or in the Trade Secrets Act (18 U.S.C. month and is receiving an RTAA benefit appropriate subdivision of a firm are 1905), 5 U.S.C. 552(b)(4), or 29 CFR part for that month. covered by a certification for worker 70. It does not include publicly Eligible TAA recipient means, for groups eligible to apply for assistance available business information, or HCTC purposes (see definition of under section 222(a) and (b) of the Act. business information with respect to HCTC), an AAW who receives TRA for It also means the period of time during which the firm or customer submitting any day of the month or who would be which total or partial separations from the information had notice, at the time eligible to receive TRA but for the fact adversely affected employment within a of submitting the information, that the that the worker has not exhausted his or firm are covered by a certification for information would be released by the her UI entitlement. worker groups eligible to apply for Department or the States, or if the firm Employer means any individual or assistance under section 222(e) of the or customer subsequently consents to type of organization, including the Act. The certification period begins on the release of the information. Federal Government, a State
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government, a political subdivision, or Adjustment Assistance, in accordance covered by the certification began or an instrumentality of one or more with § 618.205. threatened to begin, but in most cases, governmental entities, with one or more Firm means an individual is not more than 1 year before the individuals performing service in proprietorship, partnership, joint petition date. employment for it within the United venture, association, corporation Increased imports means that imports States. (including a development corporation), have increased either absolutely or Employment means any service business trust, cooperative, trustee in relative to domestic production performed for an employer by an officer bankruptcy, or receiver under decree of compared to a representative base of a corporation or by an individual for any court. A firm, together with any period. The representative base period wages. predecessor or successor-in-interest, or will be 1 year consisting of the 4 Enrolled in training means that a together with any affiliated firm quarters immediately preceding the date worker’s application for training is controlled or substantially beneficially that is 12 months prior to the date of the approved by the State under subpart F owned by substantially the same petition. of this part, and the training provider persons may be considered a single Individual employment plan or IEP has furnished written notice to the State firm. Where the term ‘‘firm’’ appears in means a revisable document containing that the worker has been accepted in the this part, it means ‘‘firm or appropriate an ongoing strategy, jointly developed approved training program, which is to subdivision.’’ Firm also means an by the trade-affected worker and the begin within 30 calendar days of the agricultural firm or service sector firm State, identifying the worker’s date of such approval. or an appropriate subdivision thereof. employment goals, appropriate Exhaustion of UI means exhaustion of For purposes of subpart B of this part achievement objectives, and appropriate all rights to UI in a benefit period by only, firm does not include a public services for the worker to achieve his or reason of: agency or any subdivision of a public her employment goals, objectives, and (1) Having received all UI to which a agency, as defined in 29 U.S.C. 203(x). benchmarks while in training or worker was entitled under the First benefit period means the benefit receiving employment and case applicable State law or Federal period established after the AAW’s first management services. unemployment compensation law with qualifying separation or in which such Job finding club means a job search respect to such benefit period; or separation occurs. workshop that includes a period of 1 to Full-time training means: (2) The expiration of such benefit 2 weeks of structured, supervised (1) Attendance in training in activity in which trade-affected workers period. accordance with the training provider’s Family means the following members attempt to obtain jobs. established full-time hours in a day (or Job search program or JSP means a job of an adversely affected worker’s credit hours) and days in a week; and household whose principal place of search workshop or job finding club. (2) In the last semester of training, if Job search workshop means a short (1 abode is with the individual in a home the remaining course(s) to complete the to 3 days) seminar designed to provide the individual maintains or would training approved under subpart F of workers with knowledge that will maintain but for unemployment: this part do not meet the training enable the workers to find jobs. Subjects (1) Spouse; provider’s usual definition of full-time, are not limited to, but should include, (2) Domestic partner; States must consider the participation in labor market information, resume (3) Children of the adversely affected training as full-time training, if no writing, interviewing techniques, and worker, of the worker’s spouse, or of the additional training or coursework will techniques for finding job openings. worker’s domestic partner, who are be required to complete the training Lack of work means that the employer unmarried and under 21 years of age or program. does not have work for the worker to who, regardless of age, are physically or Group of workers means at least two perform or does not make that work mentally incapable of self-support. (The workers employed or formerly available to the worker, and includes, term ‘‘children’’ shall include natural employed by the same firm, or an but is not limited to, circumstances offspring; stepchildren; adopted appropriate subdivision thereof, when: children; grandchildren, legal minor including teleworkers and staffed (1) Work is unavailable because the wards or other dependent children who workers, who file a petition for employer suspends or ceases operations are under legal guardianship of the certification under subpart B of this or institutes a lockout; or worker, of the worker’s spouse, or of the part, or for whom a petition is filed. (2) Work is unavailable because the domestic partner; and an unborn Health Coverage Tax Credit or HCTC employer downsizes the workforce by child(ren) born and moved after the means the tax credit equal to a specific means of attrition or layoff. worker’s effective date of transfer.); percentage of the costs of qualified Layoff means a suspension of or (4) Dependent parents (including step health insurance premiums, which is separation from employment by a firm and legally adoptive parents) of the administered by the Internal Revenue for lack of work, initiated by the worker, of the worker’s spouse, or of the Service under section 35 of the Internal employer, and expected to be for a worker’s domestic partner; and Revenue Code of 1986, as amended (26 definite or indefinite period of time. (5) Dependent brothers and sisters U.S.C. 35). When the tax credit is Liable State means, with respect to a (including step and legally adoptive available, eligible TAA and RTAA trade-affected worker making claims for brothers and sisters) of the worker, of recipients (see definitions of eligible TAA Program benefits, the State whose the worker’s spouse, or of the worker’s TAA recipient and eligible RTAA State UI law is the applicable State law. domestic partner, who are unmarried recipient) and qualifying family A State can be both an agent State and and under 21 years of age or who, members may apply for advance a liable State. regardless of age, are physically or payment of the credit or claim the credit Like or directly competitive means, for mentally incapable of self-support. on their income tax return. articles, that articles have characteristics Filing date means the date on which Impact date means the date stated in that are substantially identical in the petition and attachments to the a certification of eligibility to apply for inherent or intrinsic characteristics (i.e., petition form are determined to be valid the TAA Program, on which the total or material from which the articles are by the Department’s Office of Trade partial separations of the workers made, appearance, quality) or are used
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for substantially equivalent purposes 30 days or, in the case of a member of would have worked had the worker not and achieve comparable results and are, the Army National Guard of the United been on the employer-authorized leave. therefore, commercially States or Air National Guard of the (2) For a partial separation, the last interchangeable; and for services, United States, full-time National Guard day of the week in which the partial services that have characteristics that duty under 32 U.S.C. 502(f), for 30 separation occurred. are substantially identical in inherent or consecutive days or more when Service means the work performed by intrinsic characteristics (i.e., processes authorized by the President or the a worker for a service firm or and procedures that comprise the Secretary of Defense for the purpose of appropriate subdivision. The work of a activity, sequence of steps or component responding to a national emergency service firm is measured in units of elements required in the provision of declared by the President and supported time, labor, and tasks completed. the service or both) or are used for by Federal funds. Services may include the incidental substantially equivalent purposes and Petition date means the date a petition production of an article, such as a achieve comparable results and are, form is signed by the petitioner(s). license, ticket, certificate, permit, therefore, commercially When petitioners sign on different model, drawing, or prototype. Services interchangeable. dates, the petition date is the latest of are intangible but may involve the use Office of Trade Adjustment those dates. of tangible objects during the supply of Assistance or OTAA means the Prerequisite education or prerequisite the service (such as textbooks in the organization within the U.S. Department coursework or prerequisite training supply of educational services). Where of Labor, Employment and Training means any coursework or training the revenue of the firm, or appropriate Administration that administers the required by a training provider before subdivision, is generated from the sale TAA Program, or OTAA’s successor entering an occupational training of a service, the firm, or appropriate organization. program designed to impart the skills subdivision, is deemed to be engaged in One-stop delivery system means the and information required to perform a activity related to the supply of a nationwide system of one-stop career specific job or group of jobs. service. centers, known as American Job Program of remedial education or Significant number or proportion of Centers, which administer and deliver remedial education or remedial training the workers means: workforce development, educational, means coursework or training that is (1) The lesser of 50 workers or 5 and training activities, as well as designed to enhance the employability percent of the workers within a firm, or supportive services to workers and job of a trade-affected worker by upgrading appropriate subdivision, have been seekers, in accordance with title I of basic academic knowledge through such totally or partially separated, or both, or WIOA. courses as adult basic education (ABE), are threatened with total or partial On-the-job training or OJT means basic math and literacy, English separation; or work-based training, provided—under language acquisition (ELA) for (2) 2 or more workers within a firm, contract with an employer in the public, nonnative speakers, and high school or appropriate subdivision, with a nonprofit, or private sector—to an AAW equivalency (HSE) courses, among workforce of fewer than 50 workers, who is employed by the employer. others. have been totally or partially separated, Partial separation or partially Qualifying separation means any total or both, or are threatened with total or separated means, with respect to an or partial separation of an AAW from partial separation. AAW who has not been totally adversely affected employment within Staffed worker means a worker separated, that: the certification period for the purposes directly employed by one firm to (1) For purposes of subpart B of this of determining the AAW’s eligibility to perform work under the operational part: receive Basic TRA; 26-week period for control of another firm that is the (i) The worker’s hours of work have enrollment in approved training; and subject of a petition investigation. These been reduced to 80 percent or less of the Basic TRA eligibility period. The first workers were previously referred to as worker’s average weekly hours at the qualifying separation is used to ‘‘leased workers.’’ The term excludes firm, or appropriate subdivision thereof determine the weekly and maximum independent contractors. during the period of investigation; and amounts of Basic TRA payable to an State means the States of the United (ii) The worker’s wages have been AAW. States, the District of Columbia, and the reduced to 80 percent or less of the Reemployment Trade Adjustment Commonwealth of Puerto Rico; and the worker’s average weekly wage at the Assistance or RTAA means the TAA term ‘‘United States,’’ when used in the firm, or appropriate subdivision thereof Program benefit available to certain geographical sense, includes the during the period of investigation. AAWs 50 years of age and older who Commonwealth of Puerto Rico. (2) For this subpart and subparts C obtain qualifying reemployment. State agency means the agency at the through I of this part: Regional Administrator means the State level that administers the State (i) The worker’s hours of work have appropriate Regional Administrator of law. been reduced to 80 percent or less of the the U.S. Department of Labor’s State law means the UI law of a State worker’s average weekly hours in Employment and Training under section 3304 of the Internal adversely affected employment during Administration. Revenue Code of 1986, as amended (26 the certification period; and Secretary means the Secretary of U.S.C. 3304). (ii) The worker’s wages have been Labor, U.S. Department of Labor, or his Successor-in-interest means a firm, reduced to 80 percent or less of the or her designee. whether or not named on a certification worker’s average weekly wage in Separation date means: issued under subpart B of this part, from adversely affected employment during (1) For a total separation: which trade-affected workers are the certification period. (i) For a worker in employment status separated, or threatened with Period of duty means active duty and not on employer-authorized leave, separation, and where most or all of the served by an AAW before completing the last day worked; or factors in paragraphs (1) through (7) of training under subpart F of this part for (ii) For a worker on employer- this definition are present, relative to a a period of more than 30 days under a authorized leave, including leave for firm named on a determination issued call or order to active duty of more than military service, the last day the worker under subpart B:
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(1) There is continuity in business Law 93–618, 88 Stat. 1978 (19 U.S.C. known—the value of any compensation operations. 2271–2323 and 2395), as amended, package that would be defined as (2) There is continuity in location. which establishes the Trade Adjustment remuneration under State law, as (3) There is continuity in the Assistance for Workers (TAA) Program. provided by an employer in a job workforce. The benefits and services established posting or job offer. (4) There is continuity in supervisory under the Act, including RTAA, are Wagner-Peyser Act means the personnel. collectively referred to as the Trade Wagner-Peyser Act, as amended (29 (5) The same jobs exist under similar Adjustment Assistance Program (TAA U.S.C. 49 et seq.). conditions. Program) and provide assistance to Week means a week as defined in the (6) There is continuity in machinery, workers adversely affected by foreign applicable State law. equipment, and process. trade, as described in this part. Week of unemployment means a week (7) There is continuity in product/ Trade-affected worker means both of total, part-total, or partial service. ‘‘adversely affected workers’’ and unemployment as determined under the Suitable employment means, with ‘‘adversely affected incumbent applicable State law or Federal UI law. respect to a worker, work of a workers.’’ Worker group means two or more substantially equal or higher skill level Trade Readjustment Allowances or workers of the same firm, or appropriate than the worker’s past adversely TRA means a weekly allowance payable subdivision thereof, named in a affected employment, and wages for to an AAW who meets the requirements certification rendered under subpart B such work that are not less than 80 of subpart G of this part. There are three of this part as eligible to apply for TAA percent of the worker’s average weekly types of TRA: Basic, Additional, and Program benefits and services, inclusive wage. Part-time, temporary, short-term, Completion, as described in § 618.710. of teleworkers and staffed workers. or threatened employment is not Unemployment Insurance or UI Workforce Innovation and suitable employment. means the unemployment compensation Opportunity Act or WIOA means the Supplier means a firm that produces payable to a worker under any State law Workforce Innovation and Opportunity and supplies directly to another firm or Federal UI law, including chapter 85 Act (Pub. L. 113–128, as amended). component parts for articles, or services, of title 5 of the U.S. Code and the RRUI. used in the production of articles or in UI includes: § 618.120 Severability. the supply of services, as the case may (1) Regular compensation means Should a court of competent be, that were the basis for a certification compensation payable to a worker jurisdiction hold any provision(s) of this of eligibility under § 618.225 of a worker under any State unemployment subpart to be invalid, such action will group employed by such other firm. compensation law (including not affect any other provision of this There is no direct supply where an compensation payable pursuant to 5 subpart. intervening customer, supplier, or U.S.C. chapter 85), other than extended another entity receives the component compensation and additional Subpart B—Petitions, Investigations, parts, aside from in a delivery or compensation. and Determinations bailment capacity, or in the case of a (2) Additional compensation means service supplier, if an intervening entity compensation payable to exhaustees by § 618.200 Scope. performs the service. reason of conditions of high This subpart relates to petitions, Supportive services means services unemployment or by reason of other investigations, and determinations of such as local transportation, childcare, special factors. eligibility for a group of workers to dependent care, and housing, provided (3) Extended compensation means apply for adjustment assistance under through WIOA or other programs, that compensation (including additional the Act. This subpart specifically are needed to enable an individual to compensation and compensation applies to the initiation, conduct, and participate in activities authorized payable pursuant to 5 U.S.C. chapter 85) effective processing of petitions for under the Act. payable for weeks of unemployment certification of eligibility to apply for Threatened to become totally or beginning in an extended benefit period adjustment assistance. This subpart also partially separated means that there is to a worker under those provisions of contains general provisions with respect evidence of intent to separate workers or the State law that satisfy the to filing of documents, public that imminent separations are requirements of the Federal-State availability of documents, and the reasonably anticipated. Extended Unemployment Compensation appeals process. Threatened to begin means, in the Act of 1970 (EUCA) (26 U.S.C. 3304 § 618.205 Petitions. context of reasonably anticipated total (note)) with respect to the payment of or partial separations, the date(s) on extended compensation, including one- (a) Who may file a petition. A petition which imminent separations will begin. hundred percent federally funded for certification of eligibility to apply for Total separation or totally separated unemployment compensation adjustment assistance for a group of means: extensions. workers, or a request to amend an (1) For purposes of subpart B of this Value-added production processes or existing certification under § 618.250, part, the layoff or severance of an AAW services means such processes or must be filed simultaneously with the from a firm or appropriate subdivision services similar to and including final Department and with the State in which thereof; or assembly, finishing, testing, packaging, such workers’ firm is located, by any of (2) For all other purposes under this or maintenance or transportation the following: part, the layoff or severance of a worker services. (1) A group of two or more workers from adversely affected employment Wages means: from the same firm, on whose behalf the with a firm, or appropriate subdivision (1) Remuneration as defined by State petition is filed; thereof. law; or (2) A certified or recognized union, or Trade Adjustment Assistance for (2) For purposes of calculating a other duly authorized representative of Workers or Trade Adjustment reemployment wage when determining the group of workers; Assistance or TAA Program means the availability of suitable employment, (3) The employer(s) of the group of chapter 2 of title II of the Act, Public the stated salary and—to the extent workers; or
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(4) One-stop center operators or one- Knowingly falsifying any information (iv) Information regarding the process stop partners, including State workforce on the petition form is a Federal offense for filing of petitions; and officials, employment security agencies, (18 U.S.C. 1001) and a violation of the (v) The availability of assistance from or dislocated worker unit and rapid Act (19 U.S.C. 2316). For the petition to the State for filing petitions. response team members. be valid, the petitioner(s) listed on the (3) The Department will also notify (b) Form and contents. Petitioners form must sign and date the form, the Governor of each State in which one may obtain a petition form and attesting to the fact that they are or more firms covered by an ITC instructions online at: https:// authorized to file a petition. determination are located and will www.dol.gov/agencies/eta/tradeact, at a (c) Supplemental information. identify those firms to the State. one-stop center (also known as an Providing supplemental information, (f) Acceptance of petitions. The American Job Center), or by writing to: while not required, may assist the Department will review a petition, U.S. Department of Labor, Employment investigation. Attachments to the including attachments, to determine if it and Training Administration, Office of petition form are part of the petition. is valid within 2 business days of Trade Adjustment Assistance, 200 (d) Filing. (1) Petitions should be filed receipt of the petition by the Constitution Avenue NW, Washington, electronically with the Office of Trade Department. The date on which the DC 20210. A petition, which may Adjustment Assistance, via https:// petition is determined to be valid under include attachments, must provide the www.dol.gov/agencies/eta/tradeact. paragraph (b) of this section is the filing following information to be considered Individuals requiring assistance in filing date. The Department will not initiate valid and for an investigation to online should contact their nearest one- the investigation until it has determined commence: stop center or the State’s rapid response that the petition is valid. (1) The name and contact information unit. (g) Multiple petitions for same group for each petitioner; (2) Alternatively, petitions may be of workers. If the Department receives (2) The name of the firm; filed via email to [email protected], multiple petitions regarding the same (3) The address of the location(s) via fax at (202) 693–3584 or (202) 693– group of workers, it will base the filing where the group of workers who have 3585, or by mail to: U.S. Department of date upon the first petition received. been totally or partially separated or Labor, Employment and Training (h) Publication of notice in the threatened with separation report to Administration, Office of Trade Federal Register. The Department will work (for a teleworker, the address of Adjustment Assistance, 200 publish a notice in the Federal Register the location to which they report); Constitution Avenue NW, Washington, (4) The name and contact information and on the Department’s website DC 20210. announcing the initiation of an of an official within the firm or an (e) Industry notification of ITC investigation into all valid petitions individual authorized to provide determinations. Upon receiving filed. information regarding the operation of notification from the ITC that it has the group of workers’ firm; issued an affirmative determination of (i) Public access to petitions. A (5) The article produced or service injury or threat of injury under section petition, including attachments, is a supplied by the firm; 202 or 421 of the Act, under an record that is available, in redacted (6) The actual or approximate date on applicable safeguard provision enacted form, in accordance with the Freedom which total or partial separations are to implement a trade agreement to of Information Act (FOIA), as amended threatened to occur or did occur; which the United States is a party, or an (5 U.S.C. 552), Executive Order 12600, (7) The actual or estimated total affirmative final determination of and 29 CFR part 70. The Department number of workers who have been or material injury of threat thereof in will post all petitions, in redacted form, may be separated; investigation under section 705 or 735 to the Department’s website and make (8) A reason why the petitioner of the Tariff Act of 1930, the Department them available for review at the Office believes that worker separations have will notify the affected parties listed in of Trade Adjustment Assistance, occurred or may occur at the firm due paragraph (e)(1) of this section. To the Washington, DC. to foreign trade impacts, or a reason extent practicable, the Department may (j) Receipt of petition by the State. why a request to amend an existing and also notify other duly authorized When the State receives a petition, the active certification should be granted; representatives of the industry to which State must verify that the Department and the ITC determination applies. has also received the petition. If the (9)(i) Every petition must be signed (1) Parties the Department will notify petition has not been posted to the and dated by at least two members of under paragraph (e) of this section Department’s website within 10 the petitioning group of workers, or by include: calendar days of receipt by the State, the an official of a certified or recognized (i) Representatives of the domestic State must forward the petition to the union or other duly authorized industry affected by the determination; Department. representative of the group of workers, (ii) Firms publicly identified by name § 618.210 Investigation. or by an official of the employer of the during the proceeding related to the ITC group of workers, or by a representative determination; and (a) Timing. The Department will of one of the organizations listed in (iii) Unions representing workers in initiate an investigation once it has paragraph (a)(4) of this section. firms covered by the determination. deemed the petition valid in accordance (ii) Signing of a petition must (2) The notice provided by the with § 618.205(f). constitute acknowledgement that the Department under paragraph (e) of this (b) Period of investigation. For information provided on the petition section will include: purposes of this subpart, the period of form will be used for the purposes of (i) A summary of the ITC investigation is the time period it takes determining worker group eligibility determination; to investigate each of the criteria that are and providing notice to petitioners, (ii) Information about the workers’ part of the Department’s determination. workers, and the general public that the potential eligibility for TAA Program The period of investigation varies for petition has been filed, and whether the benefits; some eligibility criteria; § 618.225 worker group is eligible to apply for (iii) The benefits and services describes the period of investigation for TAA Program benefits and services. available under the TAA Program; each criterion.
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(c) Investigative process. To determine issued a denial, and the period of (ii) Any other person found by the whether the petitioning group of investigation applicable to the current Administrator to have a substantial workers’ eligibility criteria for investigation and the previous denial is interest in the proceedings. certification have been met, the the same; or (2) Such petitioner and other Department may take as many of the (v) The group of workers identified in interested persons must be afforded an steps in paragraphs (c)(1) through (8) of the investigation is already covered by opportunity to be present, to produce this section during the investigation as a certification that does not expire evidence, and to be heard. it deems necessary to identify the group within 90 calendar days of the (3) An explanation of why the of workers and to reach a determination determination. requestor is requesting the hearing must of eligibility to apply for TAA Program (2) If appropriate to protect the be provided to the Department. benefits for the identified worker group: interests of the group of workers (b) Form of request. A request for (1) Verify information on the petition covered by a petition filed and public hearing must be filed, in letter form by contacting the petitioner(s); terminated under paragraph (e)(1)(i) or format, in the same manner as provided (2) Provide the petitioner(s) the (ii) of this section, the Department may for other documents under opportunity to submit additional use the original impact date of the § 618.205(d)(2). The request must evidence in support of the petition; terminated petition for the identical contain: (3) Obtain publicly available group of workers covered under a later, (1) The name, address, and telephone information about the workers’ firm and valid, petition covering the identical number of the person, organization, or industry; group of workers, provided that it is group requesting the hearing; (4) Request information from the filed within 30 calendar days of the (2) A complete statement of the workers’ firm; filing date of the first petition. Under no relationship of the person, organization, (5) Request information from the circumstances will the Department use or group requesting the hearing to the customers of the workers’ firm; the impact date of an earlier petition petitioner or the petition’s subject (6) Request information from the when that petition was terminated for matter; and officials of certified or recognized being invalid under paragraph (e)(1)(i) (3) An explanation of why the person, unions or other duly authorized of this section because it was filed organization, or requestor of the hearing representatives of the group of workers; under false pretenses or to perpetuate a is interested in the matter. (7) Request information from one-stop fraud. (c) Time, place, and scope. The time, center operators or one-stop partners; or (3) Section 618.245 describes place, and scope of a public hearing will (8) Use other available sources of reconsideration of a termination of be set by the presiding officers and information as necessary. investigation. published in the Federal Register a (d) Protection of confidential business (f) Investigative record. The reasonable period of time before the information. (1) The Department will investigative record of a determination scheduled hearing. determine whether information will include the petition that initiated (d) Presiding officer. The submitted by a firm or customer is the investigation, the documents and Administrator, or his or her designee, confidential business information in other materials provided to the must conduct and preside over public accordance with FOIA, as amended (5 Department in connection with the hearings. U.S.C. 552), Executive Order 12600, the determination on the petition, research (e) Order of testimony. Witnesses will Trade Secrets Act (18 U.S.C. 1905), and conducted by the Department, and testify in the order designated by the 29 CFR part 70. records of investigation activities presiding officer. Each witness, after (2) The Department will not disclose (including but not limited to telephone being duly sworn, will proceed with confidential business information logs and email correspondence, and any testimony. After testifying, the presiding without the consent of the submitting determination under § 618.225(a), (b), or officer or an agent designated by the firm or customer, unless under a court (c)). The investigative record excludes presiding officer may question the order to do so or as otherwise required information that is privileged or witness. Any person who has entered an by law. otherwise exempt from disclosure. appearance in accordance with (e) Termination of investigation. (1) Personally identifiable information and paragraph (k) of this section may direct The Department will notify the confidential business information will questions to the witness, but only for petitioner of the termination of an be protected consistent with all Federal the purpose of assisting the presiding investigation, publish a Notice of authorities and Departmental officer in obtaining relevant and Termination of Investigation in the administrative guidance. material facts with respect to the subject Federal Register, and post on the (g) Site visits. The investigation may matter of the hearing. Department’s website. The Department include one or more site visits to (f) Evidence. Witnesses may produce may terminate an investigation if the confirm information furnished by the evidence of a relevant and material investigation establishes one of the petitioner(s) and to elicit other relevant nature to the subject matter of the following: information, where other methods to hearing. (i) The petition is invalid, which obtain or confirm information or both, (g) Briefs. Parties who have entered an includes petitions identifying a are unsuccessful. appearance may file briefs regarding the nonexistent group of workers, filed evidence produced at the hearing. The under false pretenses, or perpetuating § 618.215 Public hearings. briefs must be filed with the presiding fraud; (a) When held. (1) A public hearing officer within 10 days of the completion (ii) The petitioner has withdrawn the must be held in connection with an of the hearing. petition in writing; investigation initiated under § 618.210 (h) Oral argument. The presiding (iii) The group of workers identified whenever, but not later than 10 days officer must provide opportunity for in the investigation is the same as a after the date of publication in the oral argument by parties listed in group of workers identified in another Federal Register of the notice of receipt paragraphs (a)(1)(i) and (ii) of this pending investigation; of the petition, such a hearing is section after conclusion of the testimony (iv) The group of workers identified in requested in writing by: in a hearing. The presiding officer will the investigation already has been (i) The petitioner; or determine in each instance the time to
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be allowed for argument and the (e) If the recipient of the subpoena threatened separations that occur, or are allocation thereof. refuses to provide the requested scheduled to occur, after the petition (i) Authentication of evidence. information, the Department may date. Evidence, oral or written, submitted at petition the appropriate District Court of (C) Evidence of threat of separation hearings, will, upon order of the the United States to seek enforcement of includes, but is not limited to: presiding officer, be subject to the subpoena. (1) A Worker Adjustment and verification from books, papers, and Retraining Notice (WARN) letter, or a records of the parties submitting such § 618.225 Criteria for certification of a notification issued under a similar State group of workers. evidence and from any other available law; sources. (a) Increased imports. (1) This (2) A separation schedule; (j) Transcripts. All hearings will be paragraph (a) includes criteria for (3) Information provided to the transcribed or recorded in compliance certification of a group of workers based public, such as a news release or notice with the standards of the Department. upon increased imports of: on the workers’ firm website; Persons interested in records of the (i) Articles like or directly competitive (4) Information provided to the hearings may inspect them at the U.S. with the articles produced by the worker group; or Department of Labor in Washington, DC. workers’ firm; (5) Internal firm documents, including (k) Appearances. Any person showing (ii) Services like or directly memoranda or a firm newsletter. a substantial interest in the proceedings competitive with the services supplied (ii) Criterion 2. Sales or production, or may enter an appearance at a hearing, by the workers’ firm; both, of the workers’ firm has decreased either in person or by a duly authorized (iii) Articles like or directly during the 1-year period prior to the representative. competitive with articles into which one petition date. or more component parts produced by (A) Information regarding sales or § 618.220 Use of subpoena. the workers’ firm are directly production may be collected from: (a) The Administrator may require, by incorporated; (1) Questionnaires; subpoena, in connection with any (iv) Articles like or directly (2) Public records; and investigation or hearing, the attendance competitive with articles that are (3) Other reliable sources. and testimony of witnesses and the produced directly using services (B) Analysis of sales or production production of evidence the issuing supplied by the workers’ firm; or data must generally consist of a official deems necessary to make a (v) Articles directly incorporating one comparison of sales or production data determination under this subpart. or more component parts produced on the petition date to sales or (b) The Department will issue a outside the United States that are like or production data on the date that is 1 subpoena to secure evidence from a directly competitive with imports of year prior to the petition date. firm, customer, petitioner, or other articles incorporating one or more (iii) Criterion 3. Imports of the article person who fails to provide requested component parts produced by the or service have increased during the 1- information within 20 days of the workers’ firm. year period prior to the petition date. request, unless the recipient of the (2) After review of the relevant (A) Information regarding imports subpoena demonstrates to the information necessary to make a may be collected from: satisfaction of the Department that the determination, the Certifying Officer (1) Questionnaires issued to the information will be provided within a must certify a worker group as eligible workers’ firm or customer(s); reasonable time. In making this to apply for TAA Program benefits and (2) Public records; and determination, the Department will services as impacted by increased (3) Other reliable sources. consider the following factors: imports if all four of the criteria in (B) Analysis of the workers’ firm (1) Submission of a portion of the paragraphs (a)(2)(i) through (iv) of this import activity must generally consist of required information; section are met. a comparison of the workers’ firm (2) Prompt cooperation with inquiries (i) Criterion 1. A significant number or import data on the petition date to the about the information; proportion of the workers’ firm, or workers’ firm import data on the date (3) Cooperation in previous responses appropriate subdivision thereof, have that is 1 year prior to the petition date. to information requests; been totally or partially separated, or (C) Analysis of customer import (4) Evidence of effort to obtain the threatened with such separation, during activity must generally consist of a required information; and the 1-year period prior to the petition comparison of the aggregate of customer (5) Other information the Department date. import data on the petition date to the determines to be relevant. (A) Information regarding separations aggregate of customer import data on the (c) Witnesses subpoenaed under this may be obtained from: date that is 1 year prior to the petition section to appear in person must be paid (1) A questionnaire; date. the same fees and mileage as are paid (2) State workforce agencies; (iv) Criterion 4. Increased imports for like services in the District Court of (3) Unions; have contributed importantly to worker the United States within the jurisdiction (4) Workers in the group of workers; separations, or threat of separation, and of which the proceeding is taking place. (5) Public records; and the decline in sales or production at the The Department must pay the witness (6) Other reliable sources. workers’ firm. fees and mileage. (B) Analysis of separation data must (A) Analysis of the impact of (d) Subpoenas issued under paragraph generally consist of a: increased imports on worker separations (a) of this section must be signed by the (1) Comparison of employment on the and declines in sales or production at Administrator, or his or her designee, petition date to employment on the date the workers’ firm must generally consist and must be served consistent with Rule that is 1 year prior to the petition date; of determining: 5(b) of the Federal Rules of Civil (2) Review of employment activity (1) Whether there are one or more Procedure. The date for compliance during the 1-year period prior to the events, or factors, that lessen or sever must be 7 calendar days following petition date; and the causal nexus between the increase service of the subpoena, unless (3) Review of evidence provided by in imports and worker separations or otherwise indicated. the workers’ firm regarding actual and threat of separation, and the decline in
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sales and production at the workers’ (3) Information provided to the a foreign acquisition of like or directly firm; public, such as a news release or notice competitive articles by the workers’ firm (2) What percentage of the workers’ on the workers’ firm website; from another country. After review of firm sales or production declines was (4) Information provided to the relevant information necessary to make attributable to the firm’s increased worker group; or a determination, the Certifying Officer imports; (5) Internal firm documents, including must certify a group of workers as (3) What percentage of the workers’ memoranda or a firm newsletter. eligible to apply for TAA Program firm customer(s) sales or production (ii) Criterion 2. There has been a shift benefits and services as impacted by a declines was attributable to the firm’s in the production or supply of services foreign acquisition of articles or services increased imports; and by the workers’ firm to a foreign if all of the criteria in paragraphs (c)(1) (4) Whether there are other events or country. through (3) of this section are met. factors that mitigate or amplify the (A) Information regarding shift (1) Criterion 1. A significant number impact of increased imports on the activity may be collected from: or proportion of the workers’ firm, or workers’ firm. (1) A questionnaire; appropriate subdivision thereof, have (B) The impact may be determined (2) Public records; and been totally or partially separated, or using a quantitative or qualitative (3) Other reliable sources. threatened with separation, during the analysis. (B) Analysis of shift activity must 1-year period prior to the petition date. (b) Shift. (1) This paragraph (b) generally consist of a: (i) Information regarding separations includes criteria for certification of a (1) Comparison of shift data on the may be obtained from: worker group based on a shift: petition date to shift data on the date (A) A questionnaire; (i) In production of like or directly that is 1 year prior to the petition date; (B) State workforce agencies; (2) Review of shift activity during the competitive articles by the workers’ firm (C) Unions; 1-year period prior to the petition date; to another country; or (D) Workers in the group of workers; and (ii) In the supply of like or directly (E) Public records; and (3) Review of evidence provided by competitive services by the workers’ (F) Other reliable sources. the workers’ firm regarding shift activity firm to another country. (ii) Analysis of separation data must scheduled to occur after the petition (2) After a review of relevant generally consist of a: date. information necessary to make a (A) Comparison of employment on the (C) Evidence of future planned shift petition date to employment on the date determination, the Certifying Officer activity must include more than a stated must certify a group of workers as that is 1 year prior to the petition date; intent to shift activity to a foreign (B) Review of employment activity eligible to apply for TAA Program country and includes, but is not limited benefits and services as impacted by a during the 1-year period prior to the to, a reassignment of production or petition date; and shift in production or supply of service service supply; a reassignment of if all of the criteria in paragraphs (C) Review of evidence provided by discrete aspects or stages of production the workers’ firm regarding actual and (b)(2)(i) through (iii) of this section of or service supply; securing a facility in are met. threatened separations that occur, or are a foreign country; shipping resources to scheduled to occur, after the petition (i) Criterion 1. A significant number or a foreign country; or acquiring date. proportion of the workers’ firm, or personnel in a foreign country. (iii) Evidence of threat of separation appropriate subdivision thereof, have (iii) Criterion 3. The shift to a foreign includes, but is not limited to: been totally or partially separated, or country has contributed importantly to (A) A WARN letter, or a notification threatened with separation, during the worker separations or threat of issued under a similar State law; 1-year period prior to the petition date. separation. (B) A separation schedule; (A) Information regarding separations (A) Analysis of impact of shift activity (C) Information provided to the may be obtained from: on worker separations must generally public, such as a news release or notice (1) A questionnaire; consist of determining: on the workers’ firm website; (2) State workforce agencies; (1) Whether there are one or more (D) Information provided to the (3) Unions; events or factors that sever or lessen the worker group; or (4) Workers in the group of workers; causal nexus between the shift activity (E) Internal firm documents, (5) Public records; and and worker separations or threat of including memoranda or a firm (6) Other reliable sources. separation; newsletter. (B) Analysis of separation data must (2) What percentage of the workers’ (2) Criterion 2. There has been an generally consist of a: firm sales or production declines was acquisition of articles or supply of (1) Comparison of employment on the attributable to the firm’s shift activity; services by the workers’ firm from an petition date to employment on the date (3) Whether operations at the workers’ entity in a foreign country. that is 1 year prior to the petition date; firm domestic facility or facilities (i) Information regarding separations (2) Review of employment activity decreased at the same or at a greater rate may be obtained from: during the 1-year period prior to the than operations at the foreign facility or (A) A questionnaire; petition date; and facilities; and (B) State workforce agencies; (3) Review of evidence provided by (4) Whether there are other events or (C) Unions; the workers’ firm regarding actual and factors that mitigate or amplify the (D) Workers in the group of workers; threatened separations that occur, or are impact of shift activity on the workers’ (E) Public records; and scheduled to occur, after the petition firm. (F) Other reliable sources. date. (B) The impact may be determined (ii) Analysis of acquisition data must (C) Evidence of threat of separation using a quantitative or qualitative generally consist of a: includes, but is not limited to: analysis. (A) Comparison of acquisition data on (1) A WARN letter, or a notification (c) Foreign acquisition. This the petition date to acquisition data on issued under a similar State law; paragraph (c) includes criteria for the date that is 1 year prior to the (2) A separation schedule; certification of a worker group based on petition date;
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(B) Review of acquisition data during (C) Unions; appropriate subdivision thereof, have the 1-year period prior to the petition (D) Workers in the group of workers; been totally or partially separated, or date; and (E) Public records; and threatened with separation, during the (C) Review of evidence provided by (F) Other reliable sources. 1-year period prior to the petition date. the workers’ firm regarding acquisition (ii) Analysis of separation data must (i) Information regarding separations activity scheduled to occur after the generally consist of a: may be obtained from a questionnaire, petition date. (A) Comparison of employment on the State workforce agencies, unions, (iii) Evidence of future planned petition date to employment on the date workers in the group of workers, public acquisitions requires more than a stated that is 1 year prior to the petition date; records, and other reliable sources. intent to procure production of an (B) Review of employment activity (ii) Analysis of separation data must article or supply of services from an during the 1-year period prior to the generally consist of a: entity in a foreign country and may petition date; and (A) Comparison of employment on the include, but is not limited to, entering (C) Review of evidence provided by petition date to employment on the date into a contract with a licensee; the workers’ firm regarding actual and that is 1 year prior to the petition date; reassignment of production or service threatened separations that occur, or are (B) Review of employment activity supply to a contractor or licensee; and scheduled to occur, after the petition during the 1-year period prior to the a reassignment of discrete aspects or date. petition date; and stages of production or service supply to (iii) Evidence of threat of separation (C) Review of evidence provided by a contractor or licensee. includes, but is not limited to: the workers’ firm regarding actual and (3) Criterion 3. The acquisition from a (A) A WARN letter, or a notification threatened separations that occur, or are foreign country has contributed issued under a similar State law; scheduled to occur, after the petition importantly to worker separations or (B) A separation schedule; date. threat of separation. (C) Information provided to the (iii) Evidence of threat of separation (i) Analysis of impact of acquisition public, such as a news release or notice includes, but is not limited to: data on worker separations must on the workers’ firm website; (A) A WARN letter, or a notification generally consist of determining: (D) Information provided to the issued under a similar State law; (A) Whether there are one or more worker group; or (B) A separation schedule; events or factors that lessen or sever the (E) Internal firm documents, (C) Information provided to the causal nexus between the acquisition including memoranda or a firm public, such as a news release or notice activity and worker separations or threat newsletter. on the workers’ firm website; of separation; (2) Criterion 2. The certification of the (D) Information provided to the (B) What percentage of the workers’ worker group employed by the firm to worker group; or firm sales or production declines was which the workers’ firm supplied (E) Internal firm documents, attributable to the firm’s acquisition component parts or services has not including memoranda or a firm activity; expired by the petition date. newsletter. (C) Whether operations at the (3) Criterion 3. The workers’ firm (2) Criterion 2. The certification of the workers’ firm domestic facility or conducted business with the firm worker group employed by the firm to facilities decreased at the same or at a identified in paragraph (d)(2) of this which the workers’ firm provided value- greater rate than contractor or licensee section during the 1-year period prior to added production processes or services operations in the foreign country; and the petition date. has not expired by the petition date. (D) Whether there are other events or (4) Criterion 4. The certification (3) Criterion 3. The workers’ firm factors that mitigate or amplify the identified in paragraph (d)(2) of this conducted business with the firm impact of acquisition activity on the section was based on an article or identified in paragraph (e)(2) of this workers’ firm. service related to the component part section during the 1-year period prior to (ii) The impact may be determined produced or service supplied by the the petition date. using a quantitative or qualitative workers’ firm. (4) Criterion 4. The certification analysis. (5) Criterion 5. The component parts identified in paragraph (e)(2) of this (d) Supplier of component parts or supplied to the firm identified in section was based on an article or services. This paragraph (d) contains paragraph (d)(2) of this section, service related to the value-added criteria for certification of a worker represented at least 20 percent of the production processes or services group as a supplier to a worker group. supplier’s production or sales during supplied by the workers’ firm. After review of relevant information the 1-year period prior to the petition (5) Criterion 5. Loss of business with necessary to make a determination, the date, or loss of business with the firm the firm identified in paragraph (e)(2) of Certifying Officer must certify a worker identified in paragraph (d)(2) of this this section during the 1-year period group as eligible to apply for TAA section, during the 1-year period prior prior to the petition date contributed Program benefits and services as a to the petition date, contributed importantly to separations or threat of supplier to a worker group if all of the importantly to separations or threat of separation at the workers’ firm. criteria in paragraphs (d)(1) through (5) separation at the workers’ firm. (f) ITC determinations. After review of of this section are met. (e) Downstream producer. After relevant information necessary to make (1) Criterion 1. A significant number review of relevant information a determination, the Certifying Officer or proportion of the workers’ firm, or necessary to make a determination, the must certify a worker group as eligible appropriate subdivision thereof, have Certifying Officer must certify a worker to apply for TAA based on a been totally or partially separated, or group as eligible to apply for TAA determination issued by the ITC if all of threatened with separation, during the Program benefits and services as a the criteria in paragraphs (f)(1) through 1-year period prior to the petition date. downstream producer if all of the (3) of this section are met. (i) Information regarding separations criteria in paragraphs (e)(1) through (5) (1) Criterion 1. The ITC has publicly may be obtained from: of this section are met. identified the workers’ firm, by name, as (A) A questionnaire; (1) Criterion 1. A significant number a member of a domestic industry in an (B) State workforce agencies; or proportion of the workers’ firm, or investigation resulting in:
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(i) An affirmative determination of (3) The Department may conduct a exercises control over the contract serious injury or threat thereof under parallel investigation to determine workers. section 202(b)(1) of the Act (19 U.S.C. whether the group of workers meets the (j) Teleworkers. The Department 2252(b)(1)); criteria for certification of worker considers teleworkers (also known as (ii) An affirmative determination of groups under this section for the remote, or home-based workers) to be market disruption or threat thereof services provided by the group of members of a worker group even if they under section 421(b)(1) of the Act (19 workers. The Department will render a are not specifically mentioned within U.S.C. 2451(b)(1)); or determination after all appropriate the determination document issued (iii) An affirmative final avenues are considered. under § 618.235 when they would be a determination of material injury or (i) Staffed workers. The Department part of the worker group if they worked threat thereof under section 705(b)(1)(A) considers staffed workers to be members on-site. Teleworkers do not have to be or 735(b)(1)(A) of the Tariff Act of 1930 of a worker group even if they are not physically based at the location of the (19 U.S.C. 1671d(b)(1)(A) and specifically mentioned within the subject firm or in the same city or same 1673d(b)(1)(A)). determination document issued under State of the location that is identified on (2) Criterion 2. The petition is filed § 618.235. The Department will collect the determination document to be during the 1-year period beginning on information from the workers’ firm members of the certified worker group. the date on which: during the investigation to establish (k) Successor-in-interest. The (i) A summary of the report submitted which leasing or staffing entity or Department considers workers to the President by the ITC under entities the firm used under a contract. employed by a firm that is a successor- section 202(f)(1) of the Act with respect Once identified, an evaluation of in-interest to be members of a worker to the affirmative determination operational control will occur. If a group even if they are not mentioned described in paragraph (f)(1)(i) of this certification is rendered, the Department specifically within the determination section is published in the Federal will notify States regarding the document issued under § 618.235. appropriate contact information of the Register under section 202(f)(3) of the § 618.230 Evidence. Act; or known leasing or staffing entity or (a) The Department will verify (ii) Notice of an affirmative entities in order to expedite worker information obtained during an determination described in paragraph notification of their eligibility to apply investigation before considering such (f)(1)(ii) or (iii) of this section is individually for TAA Program benefits information in support of a petition. published in the Federal Register. and services. Factors to be considered in evaluating operational control include: (b) Evidence may be accepted from (3) Criterion 3. The workers have such sources including, but not limited (1) Whether the contract workers become totally or partially separated to, petitioners, company officials, perform only tasks that are independent, from the workers’ firm within: current and former workers of the firm, discrete projects for the workers’ firm (i) The 1-year period described in customers of the firm, trade (as opposed to performing tasks that are paragraph (f)(2) of this section; or associations, union representatives, part of the regular business operations (ii) The 1-year period preceding the 1- Federal agencies, and public sources of the firm); year period described in paragraph (f)(2) such as State agencies and academic (2) Whether the workers’ firm has the of this section. institutions. discretion to hire, fire, and discipline (g) Sales or production decline (c) The Department may share the contract workers; criteria. For paragraphs (a) through (c) of affidavits, testimonials, news articles, this section, in assessing sales or (3) Whether the workers’ firm has the and other types of information proffered production decline for the period 1 year ability to terminate the contract in support of a petition with appropriate prior to the petition date, the workers’ employment with such firm parties for verification. Department will use a comparison of the through the staffing or leasing latest 2 full calendar year periods and contracted firm; § 618.235 Determinations. will use a comparison of the year to date (4) Whether the workers’ firm Based on the findings of the period (from the year the petition was exercises the authority to supervise the investigation as set forth in § 618.230, a filed) to the same year to date period contract workers’ daily work activities, Certifying Officer will make a from the prior year. This paragraph (g) including assigning and managing work, determination on a petition as provided does not apply to determining whether and determining how, where, and when under paragraph (a) or (b) of this a significant number of workers have the work of contract worker takes place section. been separated or threatened with (e.g., factors such as the hours of work, (a) Affirmative determination or separation. the selection of work, and the manner certification. When the investigation (h) Oil and gas. For workers employed in which the work is to be performed by establishes that a group of workers by firms engaged in exploration or each contract worker are relevant); meets the eligibility criteria of drilling for crude oil and natural gas: (5) Whether the services of the § 618.225, the Certifying Officer will (1) Any firm, or appropriate contract workers are offered on the open issue a certification of worker group subdivision of a firm, that engages in market; eligibility to apply for TAA Program exploration or drilling for oil or natural (6) Whether the contract workers benefits and services. The certification gas must be considered to be a firm work exclusively for the workers’ firm; will include the name of the firm or producing oil or natural gas; (7) Whether the workers’ firm is appropriate subdivision thereof at (2) Any firm, or appropriate responsible for establishing wage rates which the trade-affected workers subdivision of a firm, that engages in and the payment of salaries of the covered by the certification have been exploration or drilling for oil or natural contract workers; employed (which need not be limited to gas, or otherwise produces oil or natural (8) Whether the workers’ firm the unit specified in the petition), and gas, must be considered to be producing provides skills training to the contract may identify the worker group by name, articles directly competitive with workers; and as described in § 618.225(i) and (j), the imports of oil and with imports of (9) Whether there are other facts certification period, and the certification natural gas; and indicating that the workers’ firm date.
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(1) A certification covers any worker website, a summary of the investigation is complete. Evidence in the worker group eligible to apply for determination issued under paragraph (except at a timely requested hearing) assistance under sec. 222(a) and (b) of (a) or (b) of this section, along with a and hearing requests submitted outside the Act, whose last total or partial general statement of the reasons for the the 10-day period will not be accepted. separation, or threat of a separation, determination (except for confidential (d) Investigation of termination of a from a firm or appropriate subdivision business information). certification. The Department will took place within the certification (d) Amended determination. The conduct a review of the record on which period, which is the period: Department may amend a certification the certification was based, any (i) Following the impact date, which for any of the purposes described in evidence timely filed under paragraph is the date 1 year before the petition § 618.250(a), in response to a petition (c) of this section, and any data date; and filed under § 618.205, or without an submitted with the petition or provided (ii) On or before the day the outside request for an amendment. An subsequent to the filing of the petition. certification expires, which is 2 years amended determination will not take (e) Determination to terminate or after the certification date, or an earlier effect until the previous determination partially terminate a certification. A date on which the Certifying Officer becomes final, either after the period in determination to terminate a determines that separations from which to request reconsideration has certification may cover the entire adversely affected employment may no lapsed or after the Department makes a worker group specified in the longer be attributed to the conditions determination on reconsideration. certification or a portion of that group. underlying the certification, as Amended certifications are discussed in Such termination or partial termination described in § 618.240, or the date more detail in § 618.250. must apply only with respect to total or identified in an amendment described (e) Administrative action. The partial separations occurring after the in § 618.250. Department may, with or without an termination date specified in the (2) A certification covers any worker outside request, reconsider actions determination notice and must only take in the worker group eligible to apply for taken under § 618.210(e), 618.235(b), effect after the determination becomes TAA Program benefits and services 618.240, 618.245, or 618.250. final, either after the period in which to under section 222(e) whose last total or request reconsideration has lapsed or partial separation from a firm took place § 618.240 Termination of certification. after a determination on reconsideration within the certification period, which is (a) Initiation. Whenever the is made. the period: Administrator of the Office of Trade (i) Following the impact date, which Adjustment Assistance has reason to (1) Upon making a determination that is the date 1 year before the ITC believe, with respect to any nonexpired the certification should be terminated publication in the Federal Register; and certification, that the total or partial for all or part of the worker group (ii) On or before the day the separations or threat of separation from specified in the certification, the certification expires, which is the date a firm, or appropriate subdivision Department will issue a determination, 1 year from the ITC publication in the thereof, are no longer attributable to the which will contain the reasons for Federal Register. conditions specified in section 222 of making such determination, and notify (3) A trade-affected worker who is a the Act and § 618.225, the the petitioner(s) of the original member of the worker group covered by Administrator must promptly conduct certification, the firm official(s), and the the certification may apply to the State an investigation. State(s). The Department will also for benefits and services under subparts (b) Notice. A notice of the initiation of publish the notice in the Federal C through G of this part. an investigation to terminate a Register, and on the Department’s (b) Negative determination or denial. certification must be published in the website. The State will notify the When the investigation establishes that Federal Register, and on the worker group of the termination or the group of workers does not meet the Department’s website, and provided to partial termination. criteria for eligibility, as described in the petitioner(s) of the certification (2) The termination date specified in § 618.225, the Certifying Officer will under investigation, the firm official(s), the determination notice must not be issue a denial. The denial will include and State(s) that contain the location(s) earlier than the date of publication in the name of the firm or appropriate of the workers comprising the worker the Federal Register. subdivision thereof at which the group covered by the certification. The (f) Determination of continuation of workers covered by the denial have State(s) must also promptly notify the certification. After an investigation been employed (which need not be workers in the worker group. resulting in a decision that the limited to the unit specified in the (c) Opportunity for comment. Within certification should not be terminated, petition), and may identify the worker 10 calendar days after publication of the the Department will notify the group by name, as described in notice under paragraph (b) of this petitioner(s) of the original certification, § 618.225(i) and (j). section, members of the worker group or firm official(s), and the State(s). The (c) Determination. The Certifying any other person who has a substantial State(s) will notify the worker group of Officer issues a determination interest in the matter may provide the determination of continuation of identifying the article(s) produced or evidence in writing supporting the certification. The Department will service(s) provided and describing the continuation of eligibility of publish the determination in the worker group covered by the certification to show why the Federal Register and on the certification or denial and stating the certification should not be terminated. If Department’s website. After receiving reasons for the determination (excluding a hearing is requested, it will be notice by the Department, the State(s) information designated as confidential conducted in accordance with must notify the worker group of the business information). The Department § 618.215. If no evidence is provided by continuation of certification. will provide a copy of the determination any interested party within 10 days (g) Reconsideration of termination or to the petitioner(s) and to the State(s) from the date of publication to the partial termination of a certification. covered by the determination. The Federal Register or on the Department’s Any party that is eligible under Department will publish in the Federal website, whichever is later, a § 618.205 to submit a petition may file Register, and on the Department’s determination must be issued once the an application for reconsideration with
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the Department, following the termination of the investigation, reversing, or modifying the termination procedures described in § 618.245. negative determination, or termination of the investigation, negative or partial termination of a certification determination, or termination or partial § 618.245 Reconsideration of termination has been published in the Federal termination of a certification within 60 of an investigation, denial, or termination or partial termination of certification. Register. If an application is filed after days after the date of receiving a that time, it will be returned as untimely complete and valid application for (a) Application for reconsideration; filed. reconsideration. The Department will contents. (1) Any party who is eligible (c) Return of incomplete applications notify the applicant(s), the petitioner(s) to file a petition under § 618.205, and for reconsideration. The Department of the original petition, firm official(s), any worker in the group of workers, may will review an application for and the State(s); and publish notice in file a written application seeking reconsideration within 2 business days the Federal Register of the reconsideration of a termination of an upon its receipt to determine if the determination on reconsideration and investigation under § 618.210(e); a application contains all of the necessary the reasons for it (redacting confidential negative determination issued under information required under paragraph business information). The State § 618.235(b); or a termination or partial (a)(2) of this section. The Department continues to be responsible for notifying termination of certification issued under will not accept an incomplete trade-affected workers in a certified § 618.240, via email: application for filing, but will return it worker group of their eligibility to apply [email protected]; fax: (202) to the applicant with a brief statement for TAA, in accordance with § 618.820. 693–3584 or (202) 693–3585; or mail: explaining why it is incomplete. Should If 60 days pass without a determination U.S. Department of Labor, Employment an applicant wish to refile an on reconsideration, the Department will and Training Administration, Office of application for reconsideration, the contact the applicant to ascertain Trade Adjustment Assistance, 200 refiling must occur no later than 30 whether the applicant wishes the Constitution Avenue NW, Washington, calendar days after the notice of the Department to continue the DC 20210. determination has been published in the reconsideration investigation and issue (2) An application for reconsideration Federal Register, within the 30-day a determination on reconsideration or must contain the following information period identified in paragraph (b) of this wishes the Department to terminate the to be complete and valid: section or, if the application is returned reconsideration investigation, which (i) The name(s) and contact less than 5 days before the end of that renders the initial determination as the information of the applicant(s); period, within 5 days of receipt. Department’s final determination. (ii) The name or a description of the (d) Notice of an application for group of workers on whose behalf the reconsideration. After receipt of a § 618.250 Amendments of certifications. application for reconsideration is filed complete and timely application for (a) Reasons for amendments. A in the case of an application for reconsideration, the Department will Certifying Officer may amend a reconsideration of a termination of an notify the applicant and publish in the certification. The Department retains the investigation or a negative Federal Register and on the authority to amend a certification determination, or the name or a Department’s website the notice of the without a petition, where it has description of the worker group on application and the initiation of an determined that an amendment is whose behalf the application for investigation on reconsideration of the appropriate. Amendments must not reconsideration of a termination or termination of the investigation, extend the impact date more than 1 year partial termination of a certification is negative determination, or termination prior to the petition date unless there is filed; or partial termination of a certification. a statutory exception, as described in (iii) The petition number identified on (e) Opportunity for comment and § 618.235(a)(1)(ii). Reasons for the petition or determination that is the submission of data on reconsideration. amendments include, but are not subject of the application for Within 10 calendar days after limited to: reconsideration; publication of a notice under paragraph (1) Identifying an ownership change (iv) The reasons for believing that the (d) of this section, any party who is affecting the applicable firm; termination of the investigation, eligible to file a petition under § 618.205 (2) Correcting technical errors; or negative determination, or termination may make written submissions to show (3) Clarifying the identification of the or partial termination of a certification why the determination under worker group. identified in paragraph (a)(1) of this reconsideration should or should not be (b) Petition filing. Amendments must section is erroneous, including any modified. be requested through the regular issues that the applicant asserts require (f) Investigation on reconsideration. petition process described in § 618.205. further investigation; The Department will conduct a review (c) Notification of amendment. The (v) Any information that may support of the record on which the termination Department will publish the amended the application for reconsideration, of the investigation, negative certification in the Federal Register and including material not considered prior determination, or termination or partial on the Department’s website. The to the termination of the investigation, termination of a certification was based, Department will also notify the affected negative determination, or termination any comments timely filed under States and the State must notify any or partial termination of a certification; paragraphs (a)(2)(iv), (a)(2)(v), or (e) of additional certified trade-affected and this section, and any data submitted workers, as required by § 618.820. (viii) The signature(s) of the party, or with the original petition or provided representative thereof, requesting subsequent to the filing of the petition. § 618.255 Judicial review of reconsideration. The period of investigation under determinations. (b) Time for filing. An application for reconsideration will remain the same as (a) General. A worker, group of reconsideration of the termination of the the period of investigation for the workers, certified or recognized union, investigation, negative determination, or original petition. or authorized representative of such termination or partial termination of a (g) Determinations on worker or group may commence a civil certification must be filed no later than reconsideration. The Department will action for review of the determination 30 calendar days after the notice of the issue a final determination affirming, by filing a complaint with the United
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States Court of International Trade (1) The number of workers in the Subpart C—Employment and Case (USCIT) within 60 days after the date of domestic industry producing the like or Management Services publication of the notice of a final directly competitive article who have determination in the Federal Register, been or are likely to be certified as § 618.300 Scope. as provided under section 284 of the Act eligible for adjustment assistance, which This subpart describes the (19 U.S.C. 2395). includes, but is not limited to, analysis employment and case management (b) Final determination. Only of: services that the State must make determinations issued under (i) The estimated number of certified available to trade-affected workers, § 618.245(g) are final determinations for workers within the domestic industry either directly through the TAA purposes of judicial review. named in the ITC affirmative Program or through arrangements with (c) Certified record of the Department. determination; partner programs. This subpart requires Upon receiving a copy of the summons States, under the Governor-Secretary and complaint from the clerk of the (ii) Information obtained during the Agreement at § 618.804, to integrate the USCIT, the Department will file with investigation of TAA Program provision of benefits and services the court a certified record meeting the determinations; available to trade-affected workers requirements of the rules of the USCIT. (iii) Responses from Domestic under the TAA Program with the When the certified record contains Industry Study; delivery of employment services and confidential business information, the (iv) Information obtained by other assistance provided through the Department will file a public version of consultation with ITC Commission one-stop delivery system (established the record redacting the confidential industry experts; and under title I of WIOA), as required by business information, and a separate sections 235 and 239(a), (e), and (g) of (v) Other pertinent workforce and version that includes the confidential the Act. It also implements the trade-impact data of companies who are business information, in accordance requirements of section 221(a)(2)(A) of currently participating in the industry. with the rules of the USCIT. the Act for the provision of rapid (d) Further proceedings. Upon remand (2) The extent to which the response assistance and appropriate by the USCIT, the Department will adjustment of such workers to the career services described in §§ 682.300 conduct an additional investigation and import competition may be facilitated through 682.370, and 680.150 of this the Certifying Officer will make new or through the use of the TAA Program, chapter, respectively, for workers upon modified findings of fact and will other Departmental programs and receipt of a petition filed covering a modify or affirm the previous resources, and programs administered group of workers. determination. Upon making this by other Federal agencies. subsequent determination, the § 618.305 The Trade Adjustment (b) The report of the Department’s Assistance Program as a one-stop partner. Certifying Officer will publish a study under paragraph (a) of this section summary of the determination and the must be made to the President not later (a) As provided by WIOA section reasons for the determination in the than 15 days after the day on which the 121(b)(1)(B)(vii), the TAA Program is a Federal Register, redacting any Commission makes its report under required one-stop partner under WIOA. confidential business information from section 202(f)(1) of the Act. The (b) The State must ensure that the the published summary. The Certifying Department will also publish the report TAA Program complies with WIOA’s Officer also will file the determination in the Federal Register and on the one-stop partnership requirements at upon remand and the record on which Department’s website. WIOA section 121(b)(1)(A)(i) through the determination is based with the (v). This includes, among the other USCIT, in accordance with the rules of § 618.265 Availability of information to the requirements, paying infrastructure USCIT. public. costs where the TAA Program is being (e) Standard of review. The (a) Information available to the carried out. determination and findings of fact by public. The Department posts all (c) The TAA Program must also the Certifying Officer are conclusive if determinations on the Department’s comply with, and be a party to, the the USCIT determines that they are website at https://www.dol.gov/ memorandum of understanding supported by substantial evidence, as agencies/eta/tradeact. The Department required under the regulations provided under section 284 of the Act also posts redacted versions of all implementing WIOA at § 678.500 of this (19 U.S.C. 2395). petitions on the same website. Upon chapter, where the TAA Program is (f) Individual benefits denials. request to the Administrator of the being carried out. Appeals of denials of individual Office of Trade Adjustment Assistance, § 618.310 Responsibilities for the delivery benefits are not determinations under members of the public may inspect of employment and case management section 222 of the Act and are not petitions and other documents filed services. subject to review by the USCIT under with the Administrator, transcripts of (a) The State is responsible for section 284 of the Act. testimony taken and exhibits submitted (g) Manner of filing. Requests for providing information to workers about at public hearings held under the the TAA Program, as required in judicial review must be filed in provisions of this subpart, public accordance with the rules of the USCIT. § 618.816; notices concerning trade-affected (b) As part of the delivery of services, § 618.260 Study regarding certain worker assistance under the Act, and the State must: affirmative determinations by the other reports and documents issued for (1) Conduct intake, which includes Commission. general distribution, in accordance with interviewing each trade-affected worker (a) Upon notification from the the Department’s record retention and reviewing suitable training Commission that it has begun an schedule, FOIA, and the Privacy Act. opportunities reasonably available to investigation under section 202 of the (b) Information not available to the each worker under subpart F of this Act with respect to an industry, the public. Confidential business part; Department must immediately begin a information must not be made available (2) Inform trade-affected workers of study of: to the public. the employment services and
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allowances available under the Act and amended (HEA) (20 U.S.C. 1070a–16), (3) That the State must document this part, including the application where applicable, and notifying workers each service provided to the trade- procedures, the filing requirements for that they may request that financial aid affected worker and document the such services, and enrollment deadlines administrators at institutions of higher reason any service listed in paragraph for receiving TRA, as described in education (as defined in section 102 of (c) of this section was not provided. The subpart G of this part; HEA (20 U.S.C. 1002)) use the documentation must be included in the (3) Determine whether suitable administrators’ discretion under section worker’s case file, either through case employment, as defined in § 618.110, is 479A of HEA (20 U.S.C. 1087tt) to use notes or as a stand-alone document. available, and assist in job search current-year income data, rather than activities related to securing suitable § 618.325 Integrated service strategies and preceding-year income data, for Workforce Innovation and Opportunity Act employment; determining the amount of the workers’ co-enrollment. (4) Accept applications for training; need for Federal financial assistance (a)(1) A State must co-enroll trade- (5) Provide information on which under title IV of HEA (20 U.S.C. 1070 training providers offer training affected workers who are eligible for et seq.). WIOA’s dislocated worker program. programs at a reasonable cost and with (4) Short-term prevocational services, Workers may choose to decline co- a reasonable expectation of employment including development of learning enrollment in WIOA. A State cannot following the completion of such skills, communications skills, training, and assist in acquiring such deny such a worker benefits or services interviewing skills, punctuality, under the TAA Program solely for training; personal maintenance skills, and (6) Monitor the progress and declining co-enrollment in WIOA. professional conduct to prepare trade- (2) A State must also make co- attendance of trade-affected workers in affected workers for employment or enrollment available to trade-affected approved training programs; training. workers who are eligible for other one- (7) Develop and implement a (5) Individual and group career procedure for determining whether to stop partner programs to ensure that all counseling, including job search and necessary and appropriate services, issue a training waiver and to review placement counseling, during the period including supportive services, are waivers to determine whether the in which the worker is receiving a trade available to the worker. conditions under which they were adjustment allowance or training under (b)(1) Trade-affected worker issued have changed, in compliance this chapter, and after receiving such dislocated worker eligibility. Most trade- with subpart G of this part; training for purposes of job placement affected workers meet the eligibility (8) Provide access to workshops and and employment retention. criteria of a dislocated worker defined at other resources related to job search (6) Provision of employment statistics WIOA section 3(15). strategies, resume building, information, including the provision of (2) Partially separated worker and interviewing, and other topics available accurate information relating to local, AAIW dislocated worker eligibility. In through the TAA Program or through regional, and national labor market certain circumstances, such as a general the one-stop delivery system; and areas, including: announcement of a closure, partially (9) Coordinate the administration and (i) Job-vacancy listings in such labor separated workers and AAIWs may meet delivery of additional appropriate market areas; the eligibility criteria as a dislocated employment services, benefits, training, (ii) Information on the job skills worker under WIOA and must also be supportive services, and supplemental necessary to obtain the jobs identified in co-enrolled. assistance for workers with partner the job-vacancy listings described in (3) Trade-affected worker dislocated programs for which the trade-affected paragraph (c)(6)(i) of this section; worker ineligibility. Some trade-affected worker may be eligible. (iii) Information relating to local workers are ineligible for the WIOA (c) The State must make available the occupations that are in demand and the dislocated worker program, including employment and case management earning potential of those occupations; those that do not meet the Selective services in paragraphs (c)(1) through (7) and Service registration requirement, and of this section to trade-affected workers (iv) Skills requirements for local will be exempt from the co-enrollment who apply for or are seeking receipt of occupations described in paragraph requirement in this section. TAA Program benefits and services, and (c)(6)(iii) of this section. ensure that those workers are informed (7) Information relating to the § 618.330 Assessment of trade-affected of the availability of: availability of supportive services, workers. (1) Comprehensive and specialized available through partner programs, (a) The assessment process forms the assessment of skill levels and service including services relating to childcare, basis for determining which TAA needs, including through: transportation, dependent care, housing Program benefits and services, including (i) Diagnostic testing and use of other assistance, and needs related payments training, are most appropriate to enable assessment tools; and that are necessary to enable a trade- trade-affected workers to successfully (ii) In-depth interviewing and affected worker to participate in become reemployed. evaluation to identify employment training. (b) The State must schedule an initial barriers and appropriate employment (d) To make available, with respect to assessment that provides sufficient time goals. the employment and case management and information for the trade-affected (2) Development of an individual services described in paragraph (c) of worker to consider, request, and enroll employment plan (IEP) to identify this section, means: in training or obtain a waiver of the employment goals and objectives, and (1) That the State must inform the training requirement in § 618.720(g) to appropriate training to achieve those trade-affected worker of the full suite of protect the worker’s eligibility to receive goals and objectives. services available; and TRA under subpart G of this part. (3) Information on how to apply for (2) That the State must offer and (c) Assessments are administered with financial aid, including referring provide appropriate services to the the cooperation of the trade-affected workers to educational opportunity trade-affected worker, as requested by worker and should include discussion centers described in section 402F of the the worker or deemed appropriate for of the worker’s interests, skills, Higher Education Act of 1965, as the worker; and aptitudes, and abilities.
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(d) The results of assessments must be aptitudes, abilities (including skills skills, aptitudes, and abilities. This may documented in the case file, either gaps), and supportive service needs; and include use of diagnostic testing tools through case notes or as a stand-alone (5) Any barriers to the worker’s and instruments and in-depth document. reemployment, such as: interviewing and evaluation to identify (e) If an assessment has already been (i) Lack of applicability of skills from barriers to employment and appropriate administered by a partner program, it the worker’s present occupation to other employment goals. The in-depth must be reviewed once a worker occupations; interviewing of trade-affected workers becomes a trade-affected worker to (ii) Skills that are in excess supply in must include discussion of training ensure it has the required components the labor market area; or opportunities reasonably available to as listed in § 618.335 for an initial (iii) Other barriers as outlined in each trade-affected worker, as described assessment and, if necessary, § 618.345 WIOA section 3(24). in subpart F of this part; reviewing the for a comprehensive and specialized (c) Based upon the information opportunities with each trade-affected assessment. If the assessment(s) does gathered in the initial assessment, worker; and informing each trade- not contain the required components, described in paragraph (a) of this affected worker of the requirements for the assessment(s) must be supplemented section, the State may: participating in training, including the by the State, in conjunction with the (1) Determine that suitable enrollment deadlines required for TRA trade-affected worker, to ensure it is employment is available to the trade- eligibility. fully compliant with TAA Program affected worker, and if so, the State (d) The State may use information requirements in this part. must make available employment and from the comprehensive and specialized (f) The State must make the trade- case management services. If the worker assessment to determine whether the affected worker aware of the advantages disagrees with the determination, the trade-affected worker has met the six of receiving an assessment(s). However, State must make available to the worker criteria for approval of training listed in a worker may refuse an assessment. a comprehensive and specialized subpart F of this part. Since portions of the assessment(s) are assessment (under § 618.345) to obtain necessary to determine eligibility for additional information to determine § 618.350 Individual employment plans for certain TAA Program benefits, a whether the initial assessment was trade-affected workers. worker’s refusal to provide necessary correct. (a) A State must: information, either as part of the (2) Determine that no suitable (1) Make available an IEP; and assessment or outside of the assessment employment is available to the worker (2) Document an IEP for any trade- process, may result in a denial of a those and, if so, the State must make available affected worker seeking training under benefits. This is detailed further in the services as described in § 618.310 subpart F of this part or a job search applicable benefit sections throughout (responsibilities for the delivery of allowance under subpart D of this part, this part. employment and case management before the worker receives those benefits services) and a comprehensive and and services. § 618.335 Initial assessment of trade- specialized assessment (as described in (b) An IEP must use the results of the affected workers. § 618.345) to develop a comprehensive initial and, if available, comprehensive (a) A State must carry out an initial service strategy for the trade-affected and specialized assessments to assist in assessment for each trade-affected worker. documenting a strategy to provide the worker as part of the intake process (d) If the State determines under trade-affected worker with the services described in section 239(g) of the Act. paragraph (c) of this section that needed to obtain employment, When applicable, a State must use the suitable employment is not available to including the items listed in paragraph results of an assessment developed by a a trade-affected worker, even with (c) of this section. partner program, supplemented if additional employment and case (c) An IEP must document: necessary, as described in § 618.330(e). management services, the State must (1) The trade-affected worker’s (b) The results of the initial advise the worker to apply for training employment goal, including the targeted assessment will determine the best under subpart F of this part. occupation and industry; service strategy to assist the trade- (2) The training program proposed, if affected worker in obtaining § 618.345 Comprehensive and specialized any; reemployment and provide insight into assessment of trade-affected workers. (3) Any services that will be needed which benefits and services under the (a) The State must make available a by the worker to obtain suitable TAA Program and partner programs comprehensive and specialized employment, including career services, would be most beneficial to the worker. assessment to all trade-affected workers. supportive services provided through The initial assessment of the availability (b) The comprehensive and partner programs, and post-training case of suitable employment to the worker in specialized assessment must take into management services; the local labor market must take into account the trade-affected worker’s (4) If applicable, any supplemental consideration the following factors: goals and interests as they relate to assistance (subsistence or transportation (1) Prevailing local labor market employment opportunities either in the payments) required for participation in conditions, including the worker’s commuting area or, where training and the basis for their unemployment rate, local employer skill there is no reasonable expectation of calculation; and demands and hiring prerequisites; securing employment in the worker’s (5) The worker’s responsibilities (2) The worker’s knowledge, skills, commuting area and the worker is under the plan. and abilities from his or her education interested in relocation, the (d) If an IEP has been previously and previous employment; employment opportunities and demand developed with a trade-affected worker (3) Transferable skills that the worker in the area to which the worker by a partner program, it must be may possess that would be of interest to proposes to relocate. reviewed once the worker becomes TAA other local employers; (c) The comprehensive and Program-eligible to ensure it has the (4) Evaluation of a worker’s skill specialized assessment must expand components required by paragraph (c) of levels (including literacy, numeracy, upon the initial assessment regarding this section. If the IEP does not contain and English language proficiency), the trade-affected worker’s interests, the components, the IEP must be
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supplemented by the State in § 618.360 Employment and case worker and the worker’s family relocate conjunction with the worker to ensure management services for trade-affected within the United States if the AAW it is fully compliant with the TAA workers in training. meets the requirements in this subpart. Program requirements in this part. The State must make employment and A State may grant a relocation (e) The State must monitor the case management services available, allowance to a worker only once under progress of the trade-affected worker in including placement and referrals to a certification. A State may grant a meeting the worker’s responsibilities as supportive services and follow-up relocation allowance to only one listed in the IEP, including attendance services available through partner member of a family for the same and achievement in approved training programs, to trade-affected workers relocation, even if there are multiple programs. during training, and after completion of AAWs in the same family. If more than (f)(1) The State must modify the IEP training, and for AAWs on a waiver one member of a family applies for a as necessary to facilitate a successful from training. relocation allowance for the same performance outcome for the trade- relocation, then the State must pay the Subpart D—Job Search and Relocation affected worker. allowance to the AAW who files first, if Allowances (2) The modification must be done that AAW is otherwise eligible. with the worker’s input. § 618.400 Scope. (3) At a minimum, the IEP must be § 618.410 Applying for a job search This subpart sets forth the conditions allowance. modified when there is a change in the under which an AAW may apply for training program, receipt of (a) Forms. To receive a job search and receive a job search allowance to allowance, an AAW must apply to the supplemental assistance, or both. help the worker secure suitable State, using the State’s process. (g) The State must make the trade- employment outside the commuting affected worker aware of the advantages (b) Submittal. An AAW must apply area but within the United States. This for a job search allowance before of receiving an IEP. However, a worker subpart also sets forth the conditions may refuse to complete an IEP. Since beginning a job search to be funded by under which an AAW may apply for such an allowance. portions of the IEP are necessary to and receive a relocation allowance to determine eligibility for job search help the worker relocate to suitable § 618.415 Eligibility for a job search allowances under subpart D of this part employment secured outside the allowance. and training under subpart F of this commuting area but within the United (a) Conditions. To be eligible for a job part, a worker’s refusal to provide States. search allowance an AAW must: necessary information, either as part of (1) File an application before either: the IEP or outside of the IEP process, § 618.405 General. (i) The later of the 365th day after may result in a denial of a those benefits (a) A State must grant a job search either the date of the certification under and services. This is detailed further in allowance to an AAW to help the which the AAW is covered, or the 365th subparts D and F of this part. worker secure suitable employment day after the AAW’s last total within the United States if the AAW § 618.355 Knowledge, skills, and abilities separation; or of staff performing assessments. meets the requirements in this subpart. (ii) The 182nd day after the date of A job search allowance for activities concluding approved training; (a) Staff performing either the initial outside of the worker’s commuting area (2) Be an AAW totally separated from or comprehensive and specialized may be provided for costs including, but the job covered under the certification assessment must possess the following not limited to: when beginning the job search; knowledge and abilities: (1) Travel to and attendance at job (3) Receive a determination by the (1) Knowledge of the local labor fairs and interviews; State that the AAW: market; (2) Travel to and attendance at (i) Cannot reasonably expect to secure (2) Knowledge of local employer and prevocational workshops; suitable employment in the commuting occupation skill demands and hiring (3) Making an in-person visit with a area; and prerequisites, such as educational potential employer who may reasonably (ii) Can reasonably expect to obtain, requirements and professional be expected to have openings for in the area of the job search, either: certifications; suitable employment; (A) Suitable employment; or (3) The ability to identify transferable (4) Completing a job application in (B) Employment that pays a wage of skills that a trade-affected worker may person with a potential employer who at least the 75th percentile of national possess that would be of interest to may reasonably be expected to have wages, as determined by the National other local employers outside of the openings for suitable employment; Occupational Employment Wage worker’s present occupational area; (5) Going to a local one-stop, copy Estimates, and otherwise meets the (4) The ability to evaluate quickly a shop, Post Office, or similar entity to definition of suitable employment; worker’s ability to conduct a self- print, copy, mail, email, or fax a job (4) Receive a determination by the directed job search; and application, cover letter, and/or a State that the worker cannot reasonably (5) The ability to identify barriers to resume; expect to secure suitable employment a worker’s employment that could be (6) Going to a local one-stop, public by alternatives to being physically overcome with training and case library, community center, or similar present in the area of the job search, management services. entity to use online job matching such as by searching and interviewing (b) The staff performing these initial systems, to search for job matches, for employment by means of the and comprehensive and specialized request referrals, submit applications/ internet and other technology; assessments may be from any partner resumes, attend workshops, and/or (5) Not previously have received a program. apply for jobs; and, relocation allowance under the same (c) Funds under section 235A(1) of (7) Attending a professional certification; and the Act may be used to improve and association meeting for networking (6) Complete a State-approved job maintain the knowledge and abilities of purposes. search within 30 calendar days after the staff conducting assessments for trade- (b) A State must grant a relocation worker leaves the commuting area to affected workers. allowance to an AAW to help the begin the job search.
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(b) Completion of job search. (1) An percent of the prevailing cost per mile of a job search. The State must deduct AAW has completed a job search when by privately owned vehicle under 41 the advance from any payment under the worker either: CFR chapters 300 through 304, the paragraph (b) of this section. (i) Obtains a bona fide offer of Federal Travel Regulation (FTR), found (d) Worker evidence. After the AAW employment; or at https://www.gsa.gov/, for round trip completes a job search, the AAW must (ii) Has, with State verification, as travel by the usual route from the certify to the State as to the employer provided in § 618.420(a)(2), contacted worker’s home to the job search area, contacts made and must provide each employer the worker planned to though other forms of transportation documentation of expenses in contact, or to whom the State or other may be utilized. accordance with FTR and Uniform one-stop partner referred the worker as (2) Lodging and meals. The worker’s Guidance at 2 CFR part 200. This may part of the job search. allowable lodging and meals costs include receipts for all lodging, (2) The job search is complete when cannot exceed the lesser of: purchased transportation, or other one of the actions in paragraph (b)(1) of (i) The actual cost for lodging and expenses. If an advance the worker this section occurs, whichever comes meals while engaged in the job search; received was more or less than the first. For purposes of paragraph (b)(1)(i) or actual allowance, the State must make of this section, ‘‘bona fide’’ means the (ii) 50 percent of the prevailing per an appropriate adjustment and pay the offer of suitable employment is made in diem allowance under the FTR, found at balance entitled, or the worker must good faith by a prospective employer. https://www.gsa.gov/, for the worker’s repay the excess received. job search area. § 618.420 Findings required for a job § 618.435 Job search program search allowance. (b) Limit. The AAW’s total job search allowance under a certification may not participation. (a) Findings by liable State. Before a exceed $1,250, no matter how many job (a) Requirements. An AAW who liable State may approve final payment searches the worker undertakes. If the participates in an approved job search of a job search allowance, the liable program (JSP), may receive State must: worker is entitled to be paid or reimbursed by another source for any of reimbursement for necessary expenses (1) Find that the AAW meets the of subsistence and transportation eligibility requirements for a job search these travel, lodging, and meals expenses, the State must reduce the job incurred for the worker’s participation allowance specified in § 618.415(a)(1) in the approved JSP, regardless of the through (6); and search allowance by the amount of the worker’s approval for, or receipt of, a job (2) Verify that the worker contacted payment or reimbursement. search allowance under §§ 618.420 and each employer the State certified or to (c) Choice of mode of transportation. whom the State or one-stop center With respect to the limits established in 618.430. (b) Approved JSP. A State may referred the worker as part of the job paragraph (a)(1) of this section, an AAW approve a JSP if: search and must find that the worker may elect to use a different mode of transportation than the one for which (1) The JSP is provided through completed the job search, as described WIOA, the public employment service, in § 618.415(b) within the time limits the State calculated the applicable reimbursement amount. However, the or any other Federal- or State-funded stated in § 618.415(a)(6). program, and meets the definition (b) Assistance by agent State. (1) State must limit the reimbursement to provided in § 618.110; or When an AAW files an application for the worker to the amount calculated (2) The JSP is sponsored by the firm a job search allowance to conduct a job under paragraph (a)(1) of this section. from which the AAW has been search in an agent State, the agent State § 618.430 Determination and payment of a separated. in which the worker conducts the job job search allowance. (c) JSP allowances. Subsistence and search is responsible for assisting the (a) Determinations. The State must transportation costs, whether inside or worker in conducting the job search, for outside the AAW’s commuting area, assisting the liable State by furnishing promptly make and record determinations necessary to assure an must be approved for workers any information required for the liable participating in JSPs in accordance with State’s determination of the claim, and AAW’s eligibility for a job search allowance. Sections 618.820 § 618.640(a) and within available State for paying the job search allowance. funding levels. (2) The agent State must cooperate (determinations of eligibility; notices to individuals) and 618.828 (appeals and fully with the liable State in carrying § 618.440 Applying for a relocation out its activities and functions with hearings) apply to these determinations. allowance. States must include copies of such regard to such applications. When (a) Forms. To receive a relocation applications and all determinations by requested by the liable State, the agent allowance, an AAW must apply to the State must verify with the employer and the State in the AAW’s case file. (b) Payment. If the AAW makes a State using the State’s process. report to the liable State whether the (b) Submittal. An AAW must apply timely application, is covered under a worker has obtained suitable for a relocation allowance and the State certification, and is otherwise eligible, employment, or a bona fide offer of must approve the worker for a the State must make payment promptly suitable employment. relocation allowance before the after the worker has completed a job relocation begins. The State must make § 618.425 Amount of a job search search and complied with paragraph (d) a timely determination on a relocation allowance. of this section, provided that funds are application submitted to allow the (a) Computation. The job search available for job search allowances. worker to promptly begin the relocation. allowance is 90 percent of the total costs (c) Advances. Once the State of an AAW’s travel (as defined in determines that the AAW is eligible for § 618.445 Eligibility for a relocation paragraph (a)(1) of this section) and a job search allowance, it may advance allowance. lodging and meals (as defined in the worker up to 60 percent of the (a) Conditions. To be eligible for a paragraph (a)(2) of this section), up to estimated amount of the job search relocation allowance, the AAW must: the limit in paragraph (b) of this section: allowance subject to the limit in (1) File an application before either: (1) Travel. The worker’s allowable § 618.425(b), but not exceeding $750, (i) The later of the 425th day after the travel expenses may not exceed 90 within 5 days before the commencement date of the certification under which the
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worker is covered, or the 425th day after § 618.450 Findings required for a this paragraph (a)(1)(ii), good cause the date of the worker’s last total relocation allowance. includes, but is not limited to, reasons separation; or (a) Findings by liable State. Before the such as a family member’s health, (ii) The 182nd day after the date the liable State may approve final payment schooling, job, or economic worker concluded training; of a relocation allowance, the liable circumstances. (2) Be an AAW totally separated from State must make the following findings: (2) Lodging and meals. The State may adversely affected employment when (1) That the AAW meets the eligibility reimburse the worker for 90 percent of the relocation begins; requirements for a relocation allowance lodging and meal expenses for the (3) Not have already received a specified in § 618.445(a)(1) through (7) worker and his or her family while they relocation allowance under the same and is not also simultaneously receiving are in transit, but such costs may not certification; a job search allowance as specified in exceed the lesser of: (4) Relocate within the United States § 618.445(b); (i) The actual lodging and meals cost but outside the worker’s commuting (2) That the worker submitted the to the worker and his or her family area; application for a relocation allowance while they are traveling; or (5) Receive a determination by the within the time limits specified in (ii) 50 percent of the prevailing per diem allowance under the FTR, found at State that the worker has no reasonable § 618.445(a)(1); https://www.gsa.gov/, for the relocation expectation of securing suitable (3) That the worker began and area for those days while the worker and employment in the commuting area, and completed the relocation within the time limitations specified in his or her family are traveling. has obtained either suitable (3) Movement of household goods. (i) employment or employment that pays a § 618.445(a)(6) and (7); and (4) That the worker obtained suitable The State may reimburse the worker for wage of at least the 75th percentile of 90 percent of the allowable costs of national wages, as determined by the employment, or a bona fide offer of such suitable employment, in the area of moving the workers and family’s National Occupational Employment household goods and personal effects in Wage Estimates, and otherwise meets intended relocation, in accordance with § 618.445(a)(5). The liable State must accordance with the FTR (41 CFR the suitable employment requirements, chapter 302). This includes 90 percent or a bona fide offer of such employment, verify (directly or through the agent State) the suitable employment, or the of the costs of moving by the most in the area of intended relocation; economical commercial carrier the State (6) Begin the relocation as promptly bona fide offer, with the employer. (b) Assistance by agent State. (1) can reasonably expect the worker to use, as possible after the date of certification moving by rental truck or trailer (for but no later than: When an AAW relocates to an agent State, the agent State is responsible for: rental, mileage, and fuel), or moving a (i) 182 days after the worker filed the house trailer or mobile home. It also application for a relocation allowance; (i) Assisting the worker in relocating to the State, completing an application includes 90 percent of the costs of or temporary storage of household goods (ii) 182 days after the conclusion of an for a relocation allowance with the liable State, and paying the relocation for up to 60 days. In approving the move approved training program, if the of a house trailer or mobile home, the worker entered a training program that allowance; and (ii) Assisting the liable State by State must follow the specific received supplemental assistance furnishing any information required for requirements of the FTR, found at approved under § 618.640(c) the liable State’s determination on the https://www.gsa.gov. (subsistence payments) and (d) claim. (ii) For a commercial carrier move of (transportation payments), for training (2) The agent State must cooperate household goods or house trailer or outside the worker’s commuting area; with the liable State in carrying out its mobile home, the worker must obtain an and activities and functions with regard to estimate of the moving cost and provide (7) Complete the relocation, as relocation applications. When requested this to the liable State. The estimate may described in § 618.460(f), within a by the liable State, the agent State must include the cost of insuring such goods reasonable time as determined in verify with the employer and report to and effects for their actual value or accordance with FTR with the State the liable State whether the worker has $40,000 as delineated in the FTR, giving consideration to, among other obtained suitable employment, or a whichever is less, against loss or factors, whether: bona fide offer of suitable employment. damage in transit. (i) Suitable housing is available in the (iii) If more economical, the State may area of relocation; § 618.455 Determining the amount of a make direct arrangements for moving (ii) The worker can dispose of the relocation allowance. and insuring a worker’s household worker’s residence; The AAW’s relocation allowance goods and personal effects with a carrier (iii) The worker or a family member includes the information in paragraphs and insurer selected by the worker and is ill; and (a) through (c) of this section, as may make payment of 90 percent of (iv) A member of the family is applicable: moving and insurance costs directly to attending school, and when the family (a) Reimbursement—(1) Travel. (i) the carrier and insurer. No such can best transfer the member to a school The State may reimburse the AAW for arrangement releases a carrier from in the area of relocation. up to 90 percent of the prevailing cost liability otherwise provided by law or (b) Job search allowances. The State per mile by privately owned vehicle contract for loss or damage to the may not approve a relocation allowance under the FTR, found at https:// worker’s goods and effects. Any contract and a job search allowance for an AAW www.gsa.gov/, for travel from the for moving and insuring an AAW’s at the same time. However, if the worker AAW’s old home to the AAW’s new household goods must provide that the has received a job search allowance, the home. United States must not be or become worker may receive a relocation (ii) Separate travel of a family member liable to either party for personal injury allowance at a later time or receive a or members who, for good cause and or property loss damage under any relocation allowance as a result of a with the approval of the State, must circumstances. successful job search for which the travel separately to their new home, (iv) The maximum net weight of the worker received a job search allowance. may also be reimbursed. For purposes of household goods relocated from the
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worker’s old home to the relocation area the worker to use (as described in must promptly submit an itemized may not exceed that set by the FTR. § 618.455(a)(3) (determining the amount receipt to the State for payment of the (4) Lump sum. As part of the of a relocation allowance) as follows: rental charges and fuel costs. If the relocation allowance, the worker will (1) Commercial carrier. If a amount the worker received as an receive a lump sum equivalent to three commercial carrier moves the worker’s advance is greater than 90 percent of the times the worker’s average weekly wage, household goods and personal effects, actual moving costs, the worker must not to exceed $1,250. the State must provide the worker with reimburse the State for the difference. If (b) Reduction. If the AAW is eligible an advance equal to 90 percent of the the advance the worker received is less to receive or has received moving estimated cost of the move, including than 90 percent of the actual moving expenses from any other source for the any other charges that the State has costs approved by the State, the State same relocation, the State must deduct approved, such as insurance. The State must pay the worker for the difference. the amount received from the amount of must advance the funds to the worker (3) Temporary storage. If temporary the relocation allowance as determined no earlier than 10 days in advance of, storage, not to exceed 60 days, of in paragraphs (a)(1) through (3) of this and no later than at the time of, the household goods and personal effects is section. scheduled shipment. If more necessary for the relocation, then the (c) Limitation. In no case may the economical, the State may make direct State must advance 90 percent of the State pay a travel allowance for the arrangements for moving and insuring a approved estimated cost within 10 days AAW or a family member more than worker’s household goods and personal in advance of the scheduled move. The once for a single relocation. effects with a carrier and insurer State may make payment to either the selected by the worker and may make worker or the rental agency. § 618.460 Determinations and payment of payment of 90 percent of moving and a relocation allowance. (e) Lump sum allowance. The State insurance costs directly to the carrier must pay the lump sum allowance (a) Determinations. The State must and insurer subject to the conditions of provided in § 618.455(a)(4) when promptly make and record § 618.455(a)(3)(iii). The State must arrangements for the relocation are determinations necessary to assure an deliver payment to the carrier and finalized, but not more than 10 days AAW’s eligibility for a relocation insurer no earlier than 10 days in before the earlier of the AAW’s allowance. Sections 618.820 advance of, and no later than at the time anticipated departure from his or her (determinations of eligibility; notices to of, the scheduled shipment. old home, or the anticipated date of individuals) and 618.828 (appeals and (i) On completion of the move, as shipment of the worker’s household hearings) apply to these determinations. determined under paragraph (f) of this goods and personal effects. The State must include copies of such section, the worker must promptly (f) Relocation completed. An AAW applications and all determinations by submit to the State a copy of the completes a relocation when the worker the State in the AAW’s case file. carrier’s bill of lading, including a and family, if any, along with household (b) Payment. If the AAW makes a receipt showing payment of moving goods and personal effects are delivered timely application, is covered under a costs. to the new residence in the area of certification, and is otherwise eligible, (ii) If the amount the worker received relocation or to temporary storage. If the the State must make payment as as an advance is greater than 90 percent worker moves no household goods and promptly as possible. of the actual approved moving costs, the personal effects, then a worker (c) Travel allowances—(1) Payment. worker must reimburse the State for the completes relocation when the worker The State must pay the allowances difference. If the advance the worker and family, if any, arrive in the area of computed under § 618.455 no earlier received is less than 90 percent of the relocation and establish a residence in than 10 days in advance of, and no later actual moving costs approved by the the new area. When a family member is than at the time of, the AAW’s State, the State must reimburse the approved for separate travel, the later scheduled departure to begin relocation. worker for the difference. arrival of such family member does not The State must make the payment for a (2) Private truck and trailer, rental alter the date on which the State must family member approved for separate truck or trailer, or house trailer move— consider the relocation completed. travel 10 days in advance of, or at the (i) Private vehicle with trailer. If the time of that family member’s scheduled move is by private vehicle and trailer, Subpart E—Reemployment Trade departure. the State must advance 90 percent of the Adjustment Assistance (2) Worker evidence. After an AAW estimated cost for the use of the private completes the relocation, the AAW must vehicle within 10 days in advance of the § 618.500 Scope. certify to the State the expenses scheduled move. This subpart provides the rules for associated with the relocation, in (ii) Truck and trailer rental. If the RTAA. RTAA, authorized under section accordance with the FTR and Uniform move is by rental truck or rental trailer, 246 of the Act, provides 50 percent of Guidance in 2 CFR part 200. This may the State must advance 90 percent of the the difference between the wages include receipts for all lodging, estimated rental cost within 10 days in received by the AAW at the time of purchased transportation, or other advance of the scheduled move. The separation from adversely affected expenses. If an advance the worker State may make payment to either the employment and the wages received by received was more or less than the worker or the rental company. the worker from reemployment for actual allowance, the State must make (iii) House trailer. If a house trailer or workers aged 50 and older who meet the an appropriate adjustment and pay the mobile home is moved by commercial eligibility criteria described in this balance entitled, if any, or the worker carrier, the State must advance 90 subpart. This subpart identifies the must repay any excess received, if any. percent of the approved estimated cost eligibility criteria and the benefits (d) Movement of household goods. to the worker within 10 days in advance available to AAWs who are eligible for The State must pay the amount equal to of the scheduled move. The State may RTAA. 90 percent of the estimate of the costs make payment to either the worker or of moving the AAW’s household goods the carrier. § 618.505 Individual eligibility. by the most economical commercial (iv) Itemized receipt. Upon (a) Eligibility criteria. An AAW from carrier the State can reasonably expect completion of the move, the worker a worker group certified under § 618.225
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may elect to receive RTAA benefits if the State may need to obtain further referenced under paragraph (a)(4)(i) of the AAW: information about the firm reemploying this section, the State must issue a (1) Is at least 50 years of age; the worker, from the employer and definition of full-time employment for (2) Earns not more than, or is otherwise, to make that determination. RTAA purposes. projected to earn not more than, $50,000 To do so, the State should determine (2) The State must verify in reemployment wages each year whether the firm at which the worker reemployment and do so in accordance during the eligibility period, as further found reemployment is a ‘‘successor-in- with State policies. defined in § 618.520(a); interest’’ to the firm from which the (3) Where an AAW seeks to establish (3) Earns less than, or is projected to worker was separated. If the RTAA eligibility based upon more than earn less than, the AAW’s annualized reemploying firm merged with, one job, the State must combine wages at separation, as further defined acquired, or purchased the assets of the employment hours in order to in § 618.520(a); firm from which the worker was determine whether the worker has the (4)(i) Is employed on a full-time basis separated, then the reemploying firm is number of hours needed to qualify for as defined by the law of the State in a successor-in-interest. RTAA. which the worker is employed and is (iii) If the reemploying firm does not (4) If the AAW is employed in more not enrolled in any training program meet the criteria in paragraph (b)(2)(ii) than one State, the State must determine approved under subpart F of this part; of this section, or if that information is full-time employment for the entire or unavailable, then the State should duration of the AAW’s RTAA eligibility (ii) Is employed at least 20 hours per consider the factors identified in under a single certification under the week and is enrolled in a TAA approved paragraphs (b)(3)(i) through (vii) of this law of the State in which the AAW has training program; and section to determine whether the the lowest threshold of hours required (5) Is not employed at the firm, as reemploying firm is a successor-in- to meet the definition of full-time further defined in paragraph (b) of this interest. If the State determines that the employment. section, from which the worker was worker returned to employment with a (d) Relevance of UI eligibility. UI separated. successor-in-interest to the firm from eligibility is not a requirement for RTAA (b) Eligibility-relevant definitions. For which the worker was separated, then eligibility. purposes of RTAA, the following the worker is not eligible for RTAA. The (e) Eligible employment. (1) definitions apply: State must make the determination Employment for purposes of paragraph (1) Firm. The State must determine on based on the individual application of (a)(4) of this section must be covered a case-by-case basis what constitutes the the worker. A firm, together with any employment under State law; however, ‘‘firm’’ for purposes of determining predecessor or successor-in-interest, or employment may not include activity RTAA eligibility based on the together with any affiliated firm that is unlawful under Federal, State, or certification. If the Department issues controlled or substantially owned by local law. the certification under subpart B of this substantially the same persons, is (2) Work involving wages plus part for a worker group in an considered a single firm. If the State commission or piece work may be appropriate subdivision of a firm, an determines that the reemployment is considered qualifying employment for AAW in that group is not eligible for with a successor-in-interest the State the purpose of establishing RTAA RTAA upon a return to employment also must seek to identify any additional eligibility, if it otherwise meets the within that subdivision, but may be members of the worker group and notify criteria in paragraph (e)(1) of this eligible for RTAA upon a return to them of their potential eligibility under section. employment at another subdivision of the TAA Program, as provided in (3) For purposes of meeting the the firm. If, however, the Department § 618.816(e). requirements of paragraphs (a)(4)(i) and issues the certification for a worker (3) Successor-in-interest factors. A (ii) of this section, employment may group composed of all workers from the State may consider a firm a successor- include one or more jobs unless, in the firm rather than from a subdivision, in-interest to another firm, if a majority case of paragraph (a)(4)(i) of this section, then the worker is not eligible for RTAA of the following factors are present: the law of the State in which the AAW based on a return to employment in any (i) There is continuity in business is employed provides otherwise. subdivision of that firm. operations. (4) A State must count hours in which (2) Successor-in-interest. The State (ii) There is continuity in location. an AAW is on employer-authorized must determine if the firm now (iii) There is continuity in the leave as hours of work for purposes of employing the AAW is the same firm as workforce. meeting the requirements of paragraphs the one from which the AAW was (iv) There is continuity in supervisory (a)(4)(i) and (ii) of this section unless, in separated. personnel. the case of paragraph (a)(4)(i) of this (i) In making its determination, the (v) The same jobs exist under similar section, the law of the State in which State should first review the conditions. the worker is employed provides certification under which the worker (vi) There is continuity in machinery, otherwise. was covered, look for any amendments equipment, and process. to the certification, and compare the (vii) There is continuity in product/ § 618.510 Eligibility period for payments of name and address of the firm in the service. Reemployment Trade Adjustment certification to the name and address of (4) Year. For purposes of RTAA, a Assistance and application deadline. the firm in which the worker has found year represents the 12-month period (a) Adversely affected worker who has reemployment. If they are the same, this beginning with the first full week of not received TRA. (1) In the case of an is, in most cases, dispositive: The firms qualifying reemployment. AAW who has not received TRA, the are the same and the worker is not (c) Full-time employment. For worker may receive benefits as eligible for RTAA. purposes of RTAA, full-time described in § 618.520(a) for a period (ii) If, despite the information employment is defined per State law in not to exceed 104 weeks beginning on gathered under paragraph (b)(2)(i) of which the reemployment occurs. the earlier of: this section, it nonetheless remains (1) If there is no State law addressing (i) The date on which the worker unclear whether the firms are the same, the definition of full-time employment exhausts all rights to UI based on the
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separation of the worker from the (1) A negative determination on a or monthly, for no more than a 104- adversely affected employment that is petition filed under subpart B of this week (2-year) period for an AAW under the basis of the certification; or part has been appealed to the USCIT; any one certification, beginning no (ii) The date on which the worker first (2) A certification of the worker group earlier than the first day of begins qualifying reemployment as covered by that petition is later made; reemployment that satisfies the described in § 618.505(e). and requirements of § 618.505. An AAW (3) The delay in the certification is not (2) Where a worker has more than one may receive retroactive payments, in a attributable to the petitioner or the separation from adversely affected lump sum, for payments for which the AAW. AAW was eligible, but for which the employment, the relevant separation for (f) Reasonable accommodation of determining the date on which the AAW had not yet applied. filing deadline and eligibility periods. In (c) Periodic verification of ‘‘worker exhausts all rights to UI’’ the event the filing deadline and employment and reemployment wages. referenced in paragraph (a)(1)(i) of this eligibility periods in paragraphs (a) and No less than once a month, the State section is the worker’s last separation (b) of this section do not apply because must review whether an AAW receiving from adversely affected employment the certification meets the conditions in RTAA payments continues to meet the that qualifies the worker as an AAW. paragraph (e) of this section, the filing eligibility requirements of § 618.505 and The Department uses the last separation deadline and eligibility periods for determine whether changes have because that separation is the one that RTAA will be extended by the State for occurred in the AAW’s reemployment triggers the worker’s application for the period necessary to make RTAA wages, as described in § 618.520(a). RTAA. Accordingly, the State must reasonably available to AAWs. (d) Change in reemployment wages. determine the worker’s last separation The State must recompute the for lack of work from adversely affected § 618.515 Continuing eligibility and timing appropriate amount of the RTAA of payments. employment before the RTAA payments if, during its review under application. This principle applies only (a) Continuing eligibility for RTAA. (1) paragraph (c) of this section, it to the determination of the eligibility Changing jobs during reemployment determines that an AAW’s period and does not apply to the does not disqualify an otherwise eligible reemployment wages have changed. calculation of RTAA payments, where AAW from receiving subsequent RTAA (1) If reemployment wages exceed, or wages at separation are defined as the payments for the remainder of the 104- are projected to exceed, $50,000 in a annualized hourly rate at the time of the week (2-year) eligibility period if the year during the eligibility period, then most recent separation, as explained in new reemployment meets the the State must immediately issue a § 618.520(a). requirements of § 618.505. determination that the AAW is (b) Adversely affected worker who has (2) An AAW already receiving RTAA ineligible for further RTAA payments, received TRA. In the case of an AAW payments who has a period of notify the AAW of this determination, who has received TRA, the worker may unemployment will not be eligible to and cease such RTAA payments. also receive RTAA benefits based on the receive RTAA for that period. Upon (2) If reemployment wages change but same certification for a period of 104 reemployment, the AAW must notify do not exceed $50,000 in a year during weeks beginning on the date on which the State. If the new reemployment the eligibility period then the RTAA the worker first begins qualifying meets the requirements of § 618.505 and payment must be recomputed every reemployment, reduced by the total the worker meets all other eligibility time such a change in reemployment number of weeks for which the worker requirements in this part, the AAW will wages occurs. The State must then received such TRA. be eligible to receive RTAA in continue periodic verification in (c) Applicable dates. To make the accordance with the requirements of accordance with paragraph (c) of this RTAA determination, the State will this section for the remaining portion of section, or recommence periodic need to know the applicable dates for the 104-week (2-year) eligibility period. verification if RTAA payments resume (3) If during a year during the 2-year the AAW: The date of reemployment in the second year after such scenario as eligibility period an AAW’s cumulative and either the date the worker described in paragraph (a)(3) of this wages exceed, or are projected to exhausted all rights to UI, or the dates section occurs. exceed, $50,000, the AAW will no the worker began and ended receipt of longer be eligible to receive additional § 618.520 Benefits available to eligible TRA before the date of reemployment. RTAA payments within that year. The adversely affected workers. These dates must occur within the 104- AAW will be eligible for RTAA benefits (a) Payment. A RTAA-eligible AAW week eligibility period identified in the in the next year and RTAA payments may receive a maximum of $10,000 over Act. will resume until wages exceed, or are a period of not more than 104 weeks (2 (d) Age of AAW when obtaining projected to exceed, $50,000, or until years). If the AAW received TRA, each RTAA-qualifying employment. An AAW the $10,000 benefit limit is reached. week of TRA received reduces the total may obtain employment before turning (4) If the worker is employed part- weeks of RTAA available by 1 week and 50 years old and receive RTAA benefits time (at least 20 hours per week) and reduces the total RTAA payment after turning 50 years old, if the receiving RTAA while in TAA approved amount available in proportion to the employment is determined to be RTAA- training, the State must verify reduction in the number of total weeks. qualifying reemployment, as provided at participation in training on a monthly (1) Total amount of benefits. RTAA § 618.505(e), and the RTAA eligibility basis. Verification of participation in supplements a worker’s wages for up to period established after obtaining such TAA approved training will be 104 weeks (2 years) (reduced by the employment has not expired when the conducted in accordance with State number of weeks of TRA received) or individual turned 50 years old. policies. States may use training $10,000 (reduced in proportion to the (e) Exception to filing deadline and benchmarks, described at § 618.660, as a reduction in the number of total weeks eligibility periods. The filing deadline method of verification of participation. of TRA received), whichever occurs and eligibility periods in paragraphs (a) (b) Timing of RTAA payments. The first, by an amount equal to the and (b) of this section do not apply State must make RTAA payments on a annualized wage differential as where: regular basis, either weekly, biweekly, computed under paragraph (a)(2) of this
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section for an AAW employed full-time eligible AAW who has received TRA. eligible AAW’s reemployment wages or paragraph (a)(3) of this section for an The RTAA-eligible AAW may receive change. AAW employed less than full-time. up to the adjusted RTAA benefit as (3) An AAW denied individual (2) Annualized wage differential for described in this section within the eligibility based on nonqualifying initial eligibility of an AAW employed eligibility period as provided in reemployment may file a new full-time. This amount is equal to 50 § 618.510(b). RTAA eligibility is application for a subsequent percent of: The AAW’s annualized terminated once the AAW reaches either reemployment. separation wages (as computed under the number of weeks permitted (4) A State may approve an RTAA paragraph (a)(2)(i) of this section) minus pursuant to § 618.510 or the adjusted payment retroactively if an AAW the amount of the AAW’s annualized RTAA benefit. The adjusted RTAA becomes reemployed before the reemployment wages (as computed benefit is calculated by subtracting the Department issues a certification under under paragraph (a)(2)(ii) of this number of TRA paid weeks from the subpart B of this part, provided that the section). 104-week RTAA eligibility period to AAW otherwise meets the eligibility (i) Annualized separation wages are determine the percentage of reduced requirements of § 618.505(a). the product of the AAW’s hourly rate weeks that payments may be made. The (b) Recordkeeping requirements. The during the last full week of the AAW’s maximum payable benefit of $10,000 is recordkeeping and disclosure of regular schedule in adversely affected then reduced by the same percentage. information requirements of § 618.852 employment, multiplied by the number Once the reduction in RTAA payable apply to the State’s administration of of hours the AAW worked during the weeks and the reduction in the RTAA RTAA. last full week of such employment, total payable are reduced by the same § 618.530 Reductions of Reemployment multiplied by 52. The computation of percentage, they become the new Trade Adjustment Assistance payments; annualized wages at separation excludes maximum number of payable weeks and priority of payments. employer-paid health insurance maximum payable benefit. (a) Ordered child support payments. premiums and employer pension (b) Training and related services. State laws regarding deductions of contributions, as well as bonuses, Recipients of RTAA are eligible to payments from UI, TRA, and RTAA severance payments, buyouts, and receive training approved under subpart must comply with the Social Security similar payments not reflective of the F of this part and employment and case Act (SSA). SSA section 303(e)(1) defines AAW’s weekly pay. [(hourly rate × management services under subpart C of child support obligations as only hours worked) × 52] (ii) Annualized reemployment wages this part. including obligations which are being are the product of the AAW’s hourly (c) Job search and relocation enforced pursuant to a plan described in rate during the first full week of allowances. Recipients of RTAA are section 454 of SSA which has been reemployment, multiplied by the eligible to receive job search and approved by the Secretary of Health and number of hours the AAW worked relocation allowances under subpart D Human Services under part D of title IV during the first full week of such of this part, subject to the eligibility of SSA. SSA does not otherwise permit reemployment, multiplied by 52 requirements and rules of subpart D. deductions for alimony or for child [(hourly rate × hours worked) × 52]. If (d) HCTC. Recipients of RTAA are support. the AAW’s wages from reemployment eligible to apply for or claim the HCTC, (b) Priority of UI payments. RTAA change during the eligibility period, if available. does not fit into priority of payments then the State must recompute the (e) TRA. Once an AAW has received under UI because RTAA is related to AAW’s annualized wages from a payment under RTAA, the AAW is no employment, not unemployment. UI reemployment at the new hourly wage longer eligible for TRA under the same and RTAA are two separate programs and must likewise recompute the petition. Receipt of TRA prior to RTAA that operate independently of one appropriate RTAA payment as required will result in a reduction of RTAA another. benefits as described at paragraph (a)(4) by § 618.515(d). The computation of Subpart F—Training Services annualized wages from reemployment of this section. excludes employer-paid health § 618.600 Scope. § 618.525 Determinations, insurance premiums and employer redeterminations, and appeals. This subpart sets forth the conditions pension contributions, as well as and procedures under which a trade- bonuses, severance payments, buyouts, (a) Determinations, redeterminations, affected worker may apply for and and similar payments not reflective of and appeals. States must apply the receive training to help secure the AAW’s weekly pay. requirements of §§ 618.820 reemployment. Training provided under (3) Annualized wage differential for (determinations of eligibility; notices to this subpart must, at a reasonable cost initial eligibility of an AAW employed individuals) and 618.828 (appeals and and as quickly as possible, assist a less than full-time. This amount, for an hearings), respectively, to all trade-affected worker in obtaining the AAW employed at least 20 hours per determinations, redeterminations, and necessary skills to have a reasonable week and enrolled in TAA approved appeals under this subpart. expectation of reemployment. All else training, is the annualized wages as (1) Before issuing a determination or being equal, States should prefer computed under paragraph (a)(2) of this redetermination, the State must verify training that replaces 100 percent or section multiplied by the ratio of the and document the AAW’s age, more of a trade-affected worker’s wages AAW’s number of weekly hours of reemployment, and wages in in adversely affected employment or reemployment to the AAW’s number of determining whether the worker has that qualifies as suitable employment. weekly hours of employment at the time met eligibility requirements of of separation, but in no case more than § 618.505(a). § 618.605 General procedures. 50 percent. (2) A determination of eligibility (a) Assessments. The State must (4) Adjustment to total amount of issued to an AAW must include a notice ensure and document that every trade- RTAA benefits for AAWs who received that the benefit amount will be regularly affected worker has an initial TRA. A State must adjust of the recomputed (as required by assessment and that a comprehensive maximum RTAA benefit for an RTAA- § 618.515(d)) and will change if the and specialized assessment is made
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available, as described in subpart C of wide-range of training opportunities are expectation, fairly and objectively this part. If a worker refused to take an available to trade-affected workers in considered, exists that the trade-affected assessment, the information necessary demand occupations. worker is likely to find employment, to determine eligibility for training must (e) Timing of application and using the skills and education acquired be documented. If a trade-affected approval of training. A trade-affected while in training, upon completion of worker has an IEP, the assessment worker may apply for training and a approved training. The labor market results must support the training State may approve training at any time conditions considered must be limited program set out in the worker’s IEP, as after the certification date on which his to those in the worker’s commuting described in subpart C of this part, or her worker group is certified under area, or in the area where the worker before an application for training is subpart B of this part, without regard to intends to relocate. approved. As with assessments, if a whether such worker has applied for or (1) ‘‘A reasonable expectation of worker refused to develop an IEP, the exhausted all rights to any UI to which employment’’ does not require that information necessary to determine the worker is entitled. employment opportunities for the eligibility for training must be worker be available, or offered, § 618.610 Criteria for approval of training. documented. immediately upon the completion of the (b) Applications. Applications for The State must consult the trade- approved training program. When training, including requests for TAA affected worker’s assessment results and initially approving such training, there Program-funded transportation and IEP, if available, as described must be a projection, based on labor subsistence payments, must be made to respectively under §§ 618.345 and market information, of employment the State in accordance with any 618.350, before approving an opportunities expected to exist at the policies and procedures established by application for training. Training must time of completion of the training the State. be approved for a trade-affected worker program. (c) Determinations. Decisions on if the State determines that all of the (2) The State must measure expected selection for, approval of, or referral of criteria in paragraphs (a) through (f) of job market conditions using pertinent a trade-affected worker to training, this section are met: labor market data, including but not including whether to provide TAA (a) Criterion 1. There is no suitable limited to job order activity, short-term Program-funded transportation and employment available for the trade- projections data, job vacancy surveys, subsistence payments, under this affected worker. business visitation programs, and local subpart, or a decision with respect to (1) There is no suitable employment and regional strategic plans. This labor any specific training or nonselection, available for a trade-affected worker in market information should be nonapproval, or nonreferral for any either the commuting area or another documented in the trade-affected reason is a determination to which area outside the commuting area to §§ 618.820 (determinations of eligibility; which the worker intends to relocate, worker’s case file. The State should also notices to individuals), 618.824 (liable and there is no reasonable prospect of work with the LWDBs and their one- State and agent State responsibilities), such suitable employment becoming stop partners, especially business team and 618.828 (appeals and hearings) available for the worker in the members, to understand current labor apply. foreseeable future. market conditions and opportunities for (d) Training opportunities. (1) The (2) If a training program, or an work-based learning. State must explore, identify, and secure application for training, is denied under (3) When a worker desires to relocate training opportunities to ensure trade- paragraph (a)(1) of this section, the State within the United States, but outside the affected workers return to employment must document the availability of worker’s present commuting area, upon as soon as possible. States must use all suitable employment through traditional completion of training, the State must necessary and reasonable means to find and real-time labor market information document the labor market information, alternatives when local training including, but not limited to, described in paragraph (c)(2) of this resources cannot adequately train trade- projections data, job postings, and job section, for the area of the planned affected workers for reemployment. vacancy surveys. relocation. Training resources may be inadequate (b) Criterion 2. The trade-affected (4) A reasonable expectation of when they cannot train workers quickly, worker would benefit from appropriate employment may exist in a limited or at a reasonable cost, or equip workers training. demand occupation for a single, trained with skills that meet the demands of the (1) The worker would benefit from worker in the worker’s commuting area job market. appropriate training when training, or in an area to which the worker (2) When available training is skills training, or remedial education desires to relocate. A limited demand inadequate, TAA Program funds may be would increase the likelihood of for such an occupation does not used to create customized, group obtaining employment. Appropriate preclude the approval of training in an training opportunities in response to a training should improve the worker’s occupation where the State has particular dislocation event. Funds may chances of obtaining employment at determined that there is a reasonable be used for trainings that provide higher wages than in the absence of expectation that the worker can secure intensive remedial education classes, training or place the worker on a employment in that occupation. States English language training, or pathway to do so. must verify with businesses in the contextualized occupational training, (2) The worker must have the commuting area or in the area of which combines academic and knowledge, skills, and abilities to intended relocation that demand exists occupational training. These group undertake, make satisfactory progress for an individual with such training. trainings must adhere to the principles in, and complete the training program. These efforts must be documented in described in § 618.600. (c) Criterion 3. There is a reasonable the trade-affected workers case file. (3) States are required to coordinate expectation of employment following Before approving training in with other public and private agencies, completion of such training. Given the occupations with limited demand, the in cooperation with local workforce labor market conditions expected to State must consider the number of development boards (LWDBs) exist at the time of the completion of the individuals currently enrolled in established under WIOA, to ensure a training program, a reasonable training that are likely to meet that
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demand before enrolling additional (iii) Other fixed financial obligations costs being considered, training better or workers in training for that occupation. and expenses of the worker and family; substantially similar in quality, content, (5) A State may approve a training (iv) The availability of Federal student and results can be obtained from program in an occupation if it finds that financial assistance or any State-funded another provider at a lower total cost there is a reasonable expectation that student financial assistance or any within a similar time frame. Training the training will lead to self- private funding designated for student must not be approved when the costs of employment in the occupation for financial assistance including, but not the training are unreasonably high in which the worker requests training and limited to, nongovernmental comparison with the average costs of that such self-employment will provide scholarships, awards, or grants; and training other workers in similar the worker with wages or earnings at or (v) Whether or not the worker is occupations at other providers. The near the worker’s wages in adversely employed while attending training. State may approve a higher cost training affected employment. (4) The State must document whether if that training is reasonably expected to (6) Training programs that consist or not the trade-affected worker has result in a higher likelihood of solely of OJT or contain an OJT sufficient financial resources to employment, employment retention, or component are not approvable if they complete the training program that greater earnings, or to return the worker are not expected to lead to suitable exceeds the duration of UI and TRA to employment in a significantly shorter employment, with the employer payments. duration. providing the OJT, in compliance with (5) If a worker has insufficient (iii) Training at facilities outside the section 236(c)(1)(B)(i) of the Act. financial resources to complete the worker’s commuting area requiring (d) Criterion 4. Training is reasonably worker’s proposed training program that transportation or subsistence payments available to the trade-affected worker. In exceeds the duration of UI and TRA that add substantially to the total cost of determining whether training is payments, then the State must not the training program may not be reasonably available, States must first approve that training program and must approved if other appropriate training is consider training opportunities instead consider other training available in the commuting area at a available within the worker’s opportunities available to the worker. lower cost, unless the exception (f) Criterion 6. Such training is commuting area. States may approve described in paragraph (f)(2)(ii) of this suitable for the trade-affected worker training outside the commuting area if section applies. and available at a reasonable cost. none is available at the time in the (iv) Approval of training under (1) Suitable for the worker. The paragraph (f) of this section (Criterion 6) worker’s commuting area. Whether the training program being considered must training is in or outside the commuting is also subject to the provisions of address the criteria set out in paragraphs § 618.650. area, the training program must be (e)(1) and (2) of this section and be available at a reasonable cost as determined by the State to be § 618.615 Limitations on training approval. prescribed in paragraph (f) of this appropriate given the worker’s (a) One training program per section. knowledge, skills and abilities, certification. (1) Except as provided (e) Criterion 5. The trade-affected background, and experience relative to under paragraph (d)(4) of this section, worker is qualified to undertake and the worker’s employment goal, and no trade-affected worker may receive complete such training. States must criteria set out in paragraph (c) of this more than one approved training ensure the following: section. program under a single certification. (1) The worker’s knowledge, skills, (2) Available at a reasonable cost. (i) (2) A training program may be abilities, educational background, work Costs of a training program may include, amended, as needed, in compliance experience, and financial resources are but are not limited to, tuition and with § 618.665. adequate to undertake and complete the related expenses (e.g., books, tools, (3) A training program may consist of specific training program being computers and other electronic devices, multiple forms of training, including considered. internet access, uniforms and other any or all of the types of training (2) Any initial assessment, training-related clothing such as goggles identified in § 618.620, subject to any comprehensive and specialized and work boots, laboratory fees, and restrictions or eligibility requirements assessment, and IEP developed under other academic fees required as part of that may exist. subpart C of this part must be consulted the approved training program) as well (b) Full-time or part-time training. A to support the trade-affected worker’s as supplemental assistance (subsistence State may approve a training program ability to undertake and complete the expenses and transportation expenses as on a full-time or part-time basis. A training program. described in § 618.640(c) and (d)). States trade-affected worker’s approved (3) Where the worker’s remaining must pay the costs of initial licensing training program may consist of either available weeks of UI and TRA and certification tests and fees where a part-time or full-time training, or a payments will not equal or exceed the license or certification is required for combination of both. A worker may duration of the training program, that employment. switch from part-time to full-time the worker will have sufficient financial (A) The State must ensure and training or from full-time to part-time resources to support completion of the document that the training program training during the period of the training program within the time limits costs are reasonable by researching costs worker’s participation in the program. noted in § 618.615(d). In making this for similar training programs, whether it The training program must be amended determination, the State must consider: is classroom or work-based training. each time this occurs, in accordance (i) The worker’s remaining weeks of (B) Related expenses must be with § 618.665. UI and TRA payments in relation to the necessary for the worker to complete the (1) Full-time. Full-time training means duration of the proposed training training program. Other options should that the training is in accordance with program; be explored before purchasing the definition of full-time training (ii) Other sources of income support equipment or related materials. provided in § 618.110. available to the worker, including (ii) Available at a reasonable cost (2) Part-time. (i) A State may approve severance, earnings of other family means that training must not be part-time training. Part-time training is members, and other family resources; approved at one provider when, all any training program that is not full-
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time in accordance with the established Program training program approval is duty, provided the requirements standards of the training provider. The obtained. The cost of training must shift specified in paragraphs (a)(4)(i) through maximum duration for approved to the TAA Program at the next logical (iii) of this section are met. Any such training provided in paragraph (d)(3)(i) break in training—such as the end of a reserve component member may either of this section also applies to part-time semester—for workers who become resume training upon discharge from training. eligible for the TAA Program and whose active service for the training period (ii) A worker enrolled in part-time training is approved under the TAA that remained at the time the reservist training is not eligible for TRA under Program. Training approved under other left the training program to report for subpart G of this part, including a programs may be amended by the TAA active duty, or be allowed to repeat worker who ceases full-time training to Program to allow a worker additional portions of the training if doing so is engage in part-time training. The training in order to meet additional necessary for completion of the training approval requirements found in retraining needs identified in the approved training program or, where this section also apply to part-time worker’s IEP. appropriate, begin a new approved training. (d) Length of training. The State, in training program. Where the reservist (iii) A worker may participate in part- determining whether to approve a repeats a training program or begins a time training while employed in either training program, must determine the new training program, the reservist will part-time or full-time employment. appropriateness of the length of be entitled to a new 130-week period to (iv) The State must clearly inform the training, as follows: complete approved training. To be worker, before the worker chooses part- (1) Time necessary to achieve desired eligible to resume, repeat, or begin a time training, that TRA is not available skill level. The training must be of new approved training program, the to workers in approved part-time suitable duration to achieve the desired reservist must meet the following training and that the worker may lose skill level in the shortest possible time, requirements: eligibility for the HCTC, if available, and not in excess of, the limits (i) Before completing training under while engaged in part-time training. established in paragraph (d)(3) of this this subpart, the worker has given prior (v) As provided in § 618.780(b)(1)(i), a section. oral or written notice of the active duty worker may not be determined to be (2) Factors. Factors that may impact service to the State, unless providing ineligible or disqualified for UI, because the length of training include, but are such notice is precluded by military the worker is enrolled in training not limited to, the trade-affected necessity or is otherwise impossible or approved under § 618.610, including worker’s employment status (full- or unreasonable. part-time training. part-time) under § 618.630 (Training of (ii) The returning service member (vi) As further described at reemployed trade-affected workers), the must apply to the State for training § 618.780(b)(1)(ii), State or Federal UI need for supportive services from within 90 days following release from statutes relating to the able, available, or partner programs, and breaks in training active duty service. active work search requirements as well due to class schedules and availability. (iii) For purposes of the exception in as refusal to accept work will not (3) Duration. (i) Except as otherwise this paragraph (d)(4), period of duty disqualify a worker for UI or other provided for OJT, apprenticeship, and means: program benefits, during any week of the exception provided in paragraph (A) Serves on active duty for a period training approved under § 618.610, (d)(4) of this section, the maximum of more than 30 days under a call or including part-time training. duration for approvable training under order to active duty of more than 30 (c) Previous approval of training the TAA Program is 130 weeks. days; or under other law. When a TAA Program (ii) Only weeks spent in actual (B) In the case of a member of the petition has been filed by or on behalf training are counted. Scheduled breaks Army National Guard of the United of a group of workers but a in training, as provided in § 618.760, are States or Air National Guard of the determination of group eligibility has not counted. United States, performs full-time not been made, training may be (iii) If a training program satisfies the National Guard duty under 32 U.S.C. approved for a worker under another duration requirement of paragraph 502(f) for 30 consecutive days or more State or Federal law or other authority. (d)(3)(i) of this section but will extend when authorized by the President or the Training approved for a worker under beyond the period during which TRA is Secretary of Defense for the purpose of another State or Federal law or other available, the State must determine, responding to a national emergency authority is not training approved under under § 618.610(e)(3) (criteria for declared by the President and supported § 618.610. After eligibility has been approval of training), whether the by Federal funds. determined, any such training may be worker has sufficient personal resources (e) Training outside the United States. approved under § 618.610 (criteria for (i.e., funds for the worker’s living A trade-affected worker must not be approval of training), if it meets all of expenses) to support himself or herself approved for training under this subpart the requirements and limitations of while completing the training, while not for any training that is conducted totally § 618.610 and the other provisions of requiring the worker to obtain such or partially at a location outside the this subpart. Such approval must not be funds as a condition of training United States or if the worker is retroactive for any of the purposes of approval. The worker must attest to the physically located outside the United this part, including payment of the costs State that he or she has sufficient States while participating in training. of the training and payment of TRA to resources to sustain himself or herself For distance training, this means both the trade-affected worker participating while in training. the provider and participant must be in the training, except in the case of a (4) Exception for certain workers who located within the United States. redetermination or decision reversing a perform a period of duty in the training denial as addressed in Uniformed Services. A member of one of § 618.620 Selection of training program. § 618.828(d), in which case the approval the reserve components of the U.S. (a) Standards and procedures for must be retroactive to the date of that Armed Forces who serves a period of selection of training. The State must denial. Systems must be in place to duty will have the period for training, document the standards and procedures accommodate a change in funding under paragraph (a)(3) of this section, used to select training providers and seamlessly, as appropriate, after TAA suspended upon being called up to training(s) in which the training
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program under this subpart will be participating in distance learning to degree may be approved; however, the approved. remain eligible for benefits under the time limits described at § 618.615(d)(3) (1) In determining the types of Act. must be met. States may not restrict training to be approved and provided (ii) Distance learning is subject to all access to advanced degrees where the under the standards, the State should training approval criteria described in other criteria of this subpart are met. All consult with partner agencies, including this subpart. training programs must be evaluated on State partner agencies (e.g., State (iii) The State must establish and their individual merit. apprenticeship agencies or Federal monitor the milestones of a distance- Offices of Apprenticeship located in the learning program based on the worker’s § 618.625 Payment restrictions for training States), WIOA one-stop partners, local IEP, as described in subpart C of this programs. employers, appropriate labor part, if available. (a) Funding of training programs. The organizations, local educational (iv) A worker who does not meet the costs of a training program approved organizations, the LWDB, State and requirements or milestones of a under the Act may be paid: local apprenticeship programs, local distance-learning program may be (1) Solely from TAA Program funds; advisory councils established under the determined to have ceased participation (2) Solely from other public or private Strengthening Career and Technical in training, as described in funds; or Education for the 21st Century Act (Pub. § 618.780(b)(3)(ii). (3) Partly from TAA Program funds L. 115–224 (2018), as codified at 20 (3) Higher education includes any and partly from other public or private U.S.C. 2301 et seq.), and postsecondary training or coursework at an accredited funds. institutions. institution, as described in section 102 (b) No duplication of costs allowed. (2)(i) States may choose an eligible of the Higher Education Act of 1965, as (1) Any use of TAA Program funds to training provider (ETP) established amended (20 U.S.C. 1002), including duplicate the payment of training costs under WIOA section 122 without training or coursework for the purpose by another source is prohibited. establishing additional standards or of obtaining a degree or certification, or (2) When the payment of the costs of procedures under the TAA Program. for completing a degree or certification training has already been made under (ii) As provided in section 236 of the that the worker had begun previously at any other Federal law, or the costs are Act, States must not limit training an accredited institution of higher reimbursable under any other Federal approved under this section to only education. Higher education may be law and a portion of the costs has programs on the ETP list under title I of approved alone or in combination with already been paid under other such WIOA. work-based training. The distance Federal law, payment of such training (b) Training types. Eligible trade- learning requirements in paragraph costs may not be made from TAA affected workers must be provided (b)(2) of this section also apply to this Program funds. training using either one, or a paragraph (b)(3). (3) When the direct costs of a training combination of, the following methods: (c) Other training. In addition to the program approvable under § 618.610 (1) Work-based training, such as training programs discussed in (criteria for approval of training) are apprenticeships, OJT, or customized paragraph (b) of this section, training payable from TAA Program funds and training, may be approved for AAWs. programs that may be approved under are also wholly or partially payable from Customized training with the worker’s § 618.610 (criteria for approval of any other source, the State must current employer may only be approved training) include, but are not limited to: establish procedures to ensure TAA for AAIWs if the training is for a (1)(i) Any program of remedial Program funds will not duplicate funds position other than the AAIW’s education, including ABE courses and available from the other source(s). This threatened position. See § 618.655(c)(2). other remedial education courses, ELA preclusion of duplication does not AAIWs must not be approved for OJTs. courses, and HSE preparation courses. prohibit and should not discourage See § 618.655(c)(1). The State must (ii) Remedial education may occur sharing of costs under prearrangements inform the worker of the potential before, or while participating in, the authorized under paragraph (c)(2) of this negative effects of work-based training requested training program; section. on TRA and the HCTC, if available; or (2) Career and technical education; (c) Cost sharing permitted. (1) TAA (2) Institutional training, including (3) Any training program approvable Program funds are the primary source of training at public area career and under § 618.610 for which all, or any Federal assistance to trade-affected technical education schools, as well as portion, of the costs of training the workers, as identified in § 618.804(h)(4). community colleges, may be approved trade-affected worker are paid: If the costs of training a trade-affected alone or in combination with work- (i) Under any other Federal or State worker can be paid under the TAA based training. This also includes program other than the TAA Program; or Program, no other payment for such distance learning, including online (ii) From any source other than this costs may be made under any other training, where a worker may complete part; provision of Federal law. all or part of an educational or (4) Any training program provided by (2) States may share training costs vocational program in a geographical a State pursuant to title I of WIOA or with authorities administering other location apart from the institution any training program approved by an non-Federal, State, and private funding hosting the training program, and where LWDB established under section 102 of sources. Sharing training costs with the final certificate or degree conferred WIOA; other Federal sources may only occur if is equivalent in standard of achievement (5) Any program of prerequisite TAA Program funds are not available to and content to the same program education or coursework required by a cover the total cost of training, as completed on campus or at another training provider before advancing to described in paragraph (d)(2)(ii) of this institutional training location. further training; or section. (i) A provider of the distance learning (6) Any other training program (3) Sharing the future costs of training must be based in the United States for approved by the State that complies is authorized where prior costs were training provided to be approved. In with this subpart. paid from another source, but this addition, the worker must be physically (d) Advanced degrees. Training paragraph (c)(3) does not authorize within the United States when programs that will lead to an advanced reimbursement from TAA Program
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funds of any training costs that were for purposes other than the direct that a State is unable to fund training accrued before the date the training payment of training costs, even though costs from those other sources, the program was approved under the TAA they may have the effect of indirectly agency may approve training where the Program. paying all or a portion of the training worker pays those unfunded costs. (4) When a mix of TAA Program costs. Where the worker chooses to pay those funds and other funds are used for (ii) States must ensure that upon the unfunded costs under this paragraph paying the costs of a training program approval of a training program under (d)(2)(ii), the State is not liable for approved under this subpart, the State this subpart, payments of Federal paying those costs and must document must enter into a prearrangement with student financial assistance cease to be this prearrangement in the worker’s case any entity providing the other source of applied to the training participant’s file. Where the worker chooses not to funds. Any such prearrangement must tuition or other training-related costs pay the unfunded costs, the State must contain specific commitments from the covered by TAA Program funds. waive the training requirement in other authorities to pay the costs they (iii) If payments of Federal student § 618.720(g) on the basis that training is agree to assume and must comply with financial assistance or other training not available, in order to preserve any the nonduplication provisions allowances from other Federal funding remaining Basic TRA eligibility under contained in this part. sources were made to the training § 618.735(b)(3) (waiver of training (i) Agreements may be entered into on provider instead of the worker and were requirement for Basic TRA). a case-by-case basis to address specific applied towards the worker’s approved training situations of workers or they training costs, the State must deduct the § 618.630 Training of reemployed trade- may be part of an overall statewide amount of those other payments from affected workers. strategy to effectively use and maximize the amount of TAA Program funds (a) An AAW who obtains new available resources from the TAA payable to the training provider in order employment and who has been Program, workforce development, and to prevent duplication in the payment of approved for a training program may other programs. training costs. elect to terminate the employment, (ii) Where training costs are shared (iv) A worker may use Federal student reduce the hours worked in the between the TAA Program and any financial assistance for other expenses, employment, or continue in full- or other funding source, the State must as allowable under applicable rules for part-time employment. Such a worker is enter into a prearrangement with the such financial assistance. not subject to ineligibility or other funding source to agree upon the (6) If the worker’s trade-affected firm disqualification for UI or TRA as a result proportion of TAA Program funds and agrees to fund all or a portion of the of such termination or reduction in other funds to be used to pay the costs worker’s training costs, the State must, employment. A worker who continues of a training program. A prearrangement if the training is otherwise approvable, such full- or part-time employment must be a specific, binding agreement enter into a prearrangement with the while a participant in training is with the other source(s) to pay the costs firm to assume any unfunded training considered to be in training under they agree to assume, and must be costs on the worker’s behalf. § 618.780(b) (disqualifications). If the (d) No training fees or costs to be paid entered into before any TAA Program worker continues in full- or part-time by trade-affected worker from TAA funds are obligated. If, after TAA employment while a participant in an Program funds are already committed to Program funds. (1) A training program approved training program, the State a training program, other funds become must not be approved if the trade- must inform the worker in writing that available to pay for that training, the affected worker is required to reimburse such employment may have negative State may decide to share the costs of any portion of the costs of such training effects on UI and TRA benefit amounts the remainder of training program or the program from TAA Program funds, or and duration due to income earned from State may continue funding the training from wages paid under such training the employment (and also because a program in full using TAA Program program. worker participating in part-time funds. If the State decides to share the (2)(i) A training program must not be training is not eligible for TRA), which costs, it must enter into a approved if the trade-affected worker is could also lead to the loss of the HCTC, prearrangement with respect to the required to pay any of the costs of the if available. The State must apply the newly available funds. If the State training program from funds belonging earnings disregard provisions in subpart makes a change to how the training to the worker, including funds from G of this part, as appropriate. program will be funded going forward, relatives or friends, or from personal or the existing training program must be educational loans that will require (b) An AAW who has been totally amended in accordance with § 618.665. repayment. separated as described in paragraph (a) (iii) Before approving any training (ii) As required by § 618.940, if the of this section may also be eligible for program under this subpart, which may Department determines that the amount job search and relocation allowances involve the sharing of training costs of funds necessary to provide Training under subpart D of this part. and Other Activities (TaOA) will exceed under the authority of paragraph (a)(3) § 618.635 Work-based training. of this section, the State must require the annual cap under § 618.900 in a the worker to enter into a written fiscal year, the Department will (a) OJT—(1) Description. OJT is work- agreement with the State, under which promptly inform the States. If a State based training provided under contract TAA Program funds will not be applied estimates that it will exceed all available with an employer in the public, for or used to pay any portion of the TAA Program training funds (including nonprofit, or private sector to an AAW costs of the training the worker has TaOA funds remaining from current or who is employed by the employer. OJT reason to believe will be paid by any prior fiscal years) then the State must may be approved if the worker meets other source. seek funding from other sources (other the requirements under §§ 618.610, (5)(i) A State may not take into than from trade-affected workers), 618.615, and 618.665. The State must account Federal student financial including WIOA national dislocated determine that the OJT in question: assistance, including Pell Grants, or any worker grants under part 687 of this (i) Can reasonably be expected to lead funds provided under any other chapter to cover the costs of training to suitable employment with the provision of Federal law that are used approved under § 618.610. To the extent employer offering the OJT;
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(ii) Is compatible with the skills of the participant, for the costs of providing (9) RTAA eligibility during OJT. worker; the training and additional supervision Participants enrolled in OJT may be (iii) Includes a curriculum through related to the training. eligible for RTAA. All the requirements which the worker will gain the (ii) The reimbursement for OJT must at subpart E of this part must be met. knowledge or skills to become proficient be limited to the duration of approved (10) Use of WIOA funds for OJT. TAA in the job for which the worker is being training as specified in the OJT contract. Program funds may be leveraged with trained; and (6) Approval of the costs of OJT. OJT WIOA funds to provide a (iv) Can be measured by standards or costs for an AAW may be approved by reimbursement rate equal to that targets that indicate the worker is a State only if a determination is made allowable under WIOA. See WIOA gaining such knowledge or skills. that: section 134(c)(3)(H) (29 U.S.C. (2) Related education. Related skills (i) No currently employed individual 3174(b)(3)(H)). training provided as part of the OJT is displaced (including a partial (11) No OJT for AAIWs. The State contract and sponsored by the employer displacement, such as a reduction in the must not approve OJT for AAIWs. may be provided in conjunction with hours of nonovertime work, wages, or (b) Customized training. (1) the OJT. Such training may be provided employment benefits) by the AAW; Customized training is designed to meet at the employment site, or at (ii) Such training does not impair the special requirements of a single educational institutions, or other existing contracts for services or employer or a group of employers. The locations. TAA Program funds can be collective bargaining agreements; training may be conducted by a training used to pay the OJT participant’s (iii) In the case of training that would provider, a single employer, or group of expenses associated with the be inconsistent with the terms of a employers. educational or instructional component collective bargaining agreement, written (2) Customized training must be (e.g., classroom and distance learning, concurrence has been obtained from the conducted with a commitment by the tools, uniforms, equipment, and books) concerned labor organization; employer or group of employers to for an AAW’s participation in an OJT (iv) No other individual is on layoff employ an AAW upon successful program. from the same or any substantially completion of the training. For purposes (3) Duration. The OJT contract with equivalent job for which the AAW is of customized training, a commitment the employer must specify the duration being trained; by the employer(s) to employ a worker of the OJT. The duration of the OJT (v) The employer has not terminated upon successful completion of the must be appropriate to the occupational the employment of any regular training, as required by section 236(f)(2) goal for which the AAW is being employee or otherwise reduced the of the Act, means that the employer(s) trained, taking into consideration the workforce of the employer with the must enter into an agreement with the skills requirements of the job for which intention of filling the vacancy by hiring State that describes the conditions that the AAW is being trained, the academic the AAW; must be met for successful completion and occupational skill level of the (vi) The job for which the AAW is of the training and the expectation of AAW, and the work experience of the being trained is not being created in a employment after the training is AAW, as documented in the worker’s promotional line that will infringe in completed. IEP, if available. The duration of the any way upon the promotional (3) The employer must pay at least 50 training must be long enough for the opportunities of currently employed percent for the cost of the training. worker to become sufficiently proficient individuals; (4) For AAIWs, approval is limited to in the occupation for which the training (vii) The training is not for the same customized training for a position other is being provided to enable the worker occupation from which the AAW was than their current position in adversely to perform as well as workers in separated with respect to which the affected employment. See comparable positions within the firm. AAW’s worker group is covered under § 618.655(c)(2). The OJT: (i) Must not exceed the specific a certification rendered under subpart B (c) Apprenticeship. Apprenticeship vocational preparation required for the of this part; includes registered apprenticeships occupation, as listed on O*NET (viii) The employer has not received under the Act of August 16, 1937 (www.onetonline.org); and payment under the TAA Program or (commonly known as the National (ii) Must not exceed 104 weeks in any under any other Federal law for any Apprenticeship Act; 50 Stat. 664, case. other OJT provided by such employer chapter 663; 29 U.S.C. 50 et seq.), as (4) Exclusion of certain employers. that failed to meet the requirements of well as other training programs that The State may not enter into a contract this section or the requirements of the include a paid work-based learning for OJT with an employer that exhibits other Federal laws governing component and required educational or a pattern of failing to provide workers employment practices; and instructional component that results in receiving OJT from the employer with: (ix) The employer has not taken, at the issuance of a recognized (i) Continued long-term employment any time, any action that violated the postsecondary credential, which as regular employees; and terms of this section with respect to any includes an industry-recognized (ii) Wages, benefits, and working other OJT provided by the employer for credential. conditions that are equivalent to the which the State has made a payment (1) Duration. Apprenticeships are not wages, benefits and working conditions under the TAA Program. subject to the 104-week statutory provided to regular employees who (7) Payment of the costs of OJT. The duration of OJT training limit. The have worked a similar period of time costs of OJT that are paid from TAA length of the paid work-based learning and are doing the same type of work as Program funds must be paid in monthly component must not exceed 130 weeks. workers receiving the OJT from the installments. However, the length of the educational employer. (8) TRA eligibility during OJT. Under or instructional training component of (5) Reimbursement. (i) Pursuant to the § 618.780(c), an AAW may not be paid the apprenticeship may exceed 130 OJT contract, the employer is provided TRA for any week during which the weeks and continue through the reimbursement of not more than 50 worker is in OJT and, therefore, may be scheduled completion of that specific percent of the wage rate of the OJT ineligible for the HCTC, if available. apprenticeship training.
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(2) Eligible apprenticeship expenses. (G) The training is not for the same to §§ 618.820 (determinations of TAA Program funds can be used to pay occupation as the apprentice’s adversely eligibility; notices to individuals) and for: affected employment; 618.828 (appeals and hearings). (i) The expenses associated with the (H) The employer has not received (c) Subsistence payments—(1) educational or instructional component payment under the TAA Program or General. Subsistence payments must be (e.g., classroom and distance learning, under any other Federal law for any made for the reasonable costs of meals tools, uniforms, equipment, and books) other apprenticeship provided by such and incidental expenses, and of separate for the apprentice; and employer that failed to meet the maintenance, which means maintaining (ii) The employer may be reimbursed requirements of this section or the temporary living quarters, when the not more than 50 percent of the requirements of the other Federal laws training facility is located outside the apprentice’s regular wage rate for the governing employment practices; and trade-affected worker’s commuting area. cost of providing the training and (I) The employer has not taken, at any (2) Requirements for subsistence additional supervision related to the time, any action that violated the terms payments. (i) A trade-affected worker work-based learning component of this section with respect to any other must be reimbursed for subsistence only provided by the employer. apprenticeship provided by the for the period when the worker is not (3) Exclusion of certain employers. employer for which the State has made receiving or authorized to receive The State may not enter into a contract a payment under the TAA Program. reimbursement or separate payments for for apprenticeship with an employer (5) TRA and HCTC eligibility during such costs from any other source. that exhibits a pattern of failing to apprenticeships. Workers enrolled in an (ii) Subsistence payments must not be provide apprentices with successful apprenticeship program, in most cases, made for any day such worker receives attainment of an industry-recognized will not be able to access TRA income a daily commuting transportation credential or the apprenticeship support due to their income earned payment from TAA Program funds or completion certificate in the case of through wages, but the State must still from any other source, except as registered apprenticeship, as issued by make individual determinations on TRA specified in paragraph (e) of this the U.S. Department of Labor or State benefits. This could also impact HCTC section. apprenticeship agency. eligibility, if HCTC is available. States (iii) Subsistence payments must not (4) Approval of the costs of must advise workers considering this be made for any day of unexcused apprenticeship—(i) Registered training option of these issues. absence from the training program, as apprenticeships under the National (6) RTAA eligibility during certified by the training provider. Apprenticeship Act. Costs for an apprenticeships. AAWs age 50 or older (3) Amount of subsistence payments. apprenticeship program may be enrolled in an apprenticeship program The State may make a subsistence approved by a State only if the may be eligible for RTAA under subpart payment to a trade-affected worker only requirements of the National E of this part. for the lesser of: (7) State contract with apprenticeship Apprenticeship Act, 29 CFR parts 29 (i) The worker’s actual per diem employer. The State must enter into a and 30, and Departmental expenses for subsistence; or contract with the employer that administrative guidance are met. (ii) 50 percent of the prevailing per (ii) Other apprenticeships. Costs for provides the terms and conditions of the diem allowance rate authorized under an apprenticeship program may be apprenticeship. the FTR (see 41 CFR chapters 300 approved by a State only if a § 618.640 Supplemental assistance. through 304) for the location of the determination is made that: (A) No currently employed worker is (a) General. Supplemental assistance training facility. displaced (including a partial in the form of subsistence and (4) Timing of subsistence payments. displacement, such as a reduction in the transportation payments must be The State must make subsistence hours of nonovertime work, wages, or provided to a trade-affected worker payments upon a worker’s completion employment benefits) by the apprentice; whose training program has been of a week of training, but may advance (B) Such training does not impair approved under § 618.610 (Criteria for a subsistence payment for a week if the existing contracts for services or approval of training), to defray State determines that such advance is collective bargaining agreements; reasonable subsistence and necessary to enable the worker to (C) In the case of training that would transportation expenses while the participate in the approved training. be inconsistent with the terms of a worker attends training at a facility (d) Transportation payments. A trade- collective bargaining agreement, written outside the worker’s commuting area. affected worker must be reimbursed for concurrence has been obtained from the The need for such subsistence and transportation expenses when concerned labor organization; transportation payments must be commuting to and from a training (D) No other worker is on layoff from documented on the worker’s IEP, if facility located outside the worker’s the same or any substantially equivalent available, or in the worker’s case file. commuting area. Transportation job for which the apprentice is being Subsistence and transportation expenses, funded by the TAA Program, trained; payments may also be documented on a are payable only for the actual days (E) The employer has not terminated training approval form, or other such traveled. Mileage eligible for the employment of any regular form as the State chooses, to ensure that reimbursement is, round-trip, from the employee or otherwise reduced the the supplemental assistance is first mile outside the boundary of the workforce of the employer with the documented in the worker’s case file. worker’s commuting area to the location intention of filling the vacancy so (b) Applications for supplemental of the training facility. created by hiring the apprentice; assistance. A trade-affected worker must (1) Transportation payments must not (F) The job for which the apprentice submit an application for subsistence or be paid when: is being trained is not being created in transportation payments in accordance (i) Transportation is arranged and a promotional line that will infringe in with subpart H of this part and paid for by the State for one or more any way upon the promotional processes established by the State. A workers; opportunities of currently employed determination on an application (ii) Such payments are being provided workers; submitted under this section is subject under any other law; or
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(iii) The worker is authorized to be requirements in subpart G of this part, and rural areas. The State must also paid or reimbursed for such expenses result in loss of eligibility for TRA. develop and implement a method to from any other source. (b) A trade-affected worker who exceed the limit(s), which must require (2) The daily transportation payment qualifies for an exception for service in the local area to secure State approval, may not exceed the amount of a daily the Uniformed Services, under the as described in paragraph (b) of this subsistence payment that would be criteria set out in § 618.615(d)(4), may section, before training is approved. payable under paragraph (c)(3) of this voluntarily withdraw from a training (b) The State must develop section if the worker resided program. transparent standards and procedures temporarily in the area of the training. (c) A trade-affected worker who that provide for prompt consideration of (3) In addition, while other forms of ceases participation in training for any request for approval of training transportation may be used, justifiable cause, as described in costs that exceed the established transportation payments to a worker § 618.780(b)(3)(iii) (disqualifications), training cost limit(s) set by the State may not exceed the cost per mile at the may resume the approved training under paragraph (a) of this section. The prevailing personal vehicle mileage rate program. review standards developed by the State authorized under the FTR. See http:// (d) The trade-affected worker’s under this paragraph (b) must allow for www.gsa.gov. eligibility for job search and relocation approval of costs that exceed the (4) A worker must receive allowances will not be affected by the applicable training cost limit when a transportation payments promptly after decision to withdraw from training. To training program that exceeds the cost completion of a week of approved be eligible for these allowances, the limit(s) will provide the most reasonable training, but at a minimum on a worker must meet all eligibility way of returning a particular trade- monthly basis. These payments also requirements for these benefits as set affected worker to employment at higher may be made in advance in order to forth in §§ 618.410 (job search wages—or on a pathway to do so—than facilitate the worker’s attendance at the allowances) and 618.440 (relocation in the absence of training. training. allowances). (c) The State must propose an (e) If the trade-affected worker obtains (e) When payment can be made for alternative training program consistent suitable employment before training is both subsistence and transportation. A with the reasonable cost criteria, as completed yet remains in his or her trade-affected worker receiving described at § 618.610, when a training training program: subsistence payments may also receive program is not approvable under the (1) The State must continue funding transportation payments only: established limits and does not meet the the approved training program if requirements in paragraph (b) of this (1) At the beginning of the training training benchmarks, described at that the worker is attending outside the section. § 618.660, continue to be satisfactorily (d) The State must review any limits worker’s commuting area and at the end met. established under paragraph (a) of this of the training for travel back to the (2) The State must consider whether section on an annual basis to determine worker’s commuting area; or to amend the worker’s training program; whether they are still appropriate, and (2) When the worker fails, for and change or end such limits when they no justifiable cause, as described in (3) The State must discuss with the longer reasonably reflect the average § 618.780(b)(3)(iii), to complete the worker whether the training program cost of training available in the local training outside the worker’s continues to serve a useful purpose. workforce development areas commuting area, and must return home throughout the State. before the scheduled end of the training. § 618.650 State standards and procedures for establishing reasonable cost of training. (e) Whenever a State establishes, (f) Adjustments to subsistence and changes, or ends State-established limits (a) A State is not prohibited from transportation payment advances. If the on training costs payable under setting a statewide limit or limits for State advances subsistence or paragraph (a) of this section, the State local workforce development areas on transportation funds, the State must must provide written notice and full the amount of training costs considered adjust subsequent subsistence and documentation supporting its action to reasonable and appropriate for training transportation payments to take into the Department for review. account the amount of the advance that programs. Any limit(s) must reasonably (f) States are not required to establish is more or less than the amount that the take into account the costs of training a limit on training costs. trade-affected worker is entitled to available in the local workforce receive under paragraphs (c) and (d) of development areas throughout the State § 618.655 Training for adversely affected this section. and the expenditure must be prudent incumbent workers. (g) Worker evidence. The trade- under the standards of the Office of (a) AAIW training. Pursuant to affected worker must provide receipts Management and Budget’s (OMB’s) sections 236(a)(1) and 247(18) of the for all lodging, purchased transportation Uniform Guidance (2 CFR 200.404) and Act, a State may approve training for an expenses, and meals. its attendant interpretive administrative AAIW, or training for a worker before guidance. Additionally, States must separation occurs. An AAIW may apply § 618.645 Voluntary withdrawal from a comply with the standards for for training and a State may approve training program. reasonableness in § 618.610(f)(2), training at any time after the date on (a)(1) The State must advise a trade- including those permitting States to which the AAIW is determined to be affected worker who chooses to allow training other than the least-cost individually threatened with layoff withdraw from a TAA approved training option if the extra cost is justified by without regard to whether such worker program that the withdrawal may, better trade-affected worker outcomes or has applied for or exhausted all rights subject to the requirements in subpart H a faster return to the workforce. If the to any UI to which the worker is of this part, result in an overpayment. State chooses to implement a statewide entitled. (2) The State must advise a worker limit, it must arrive at a reasonable limit (b) Threat of layoff. A State may who chooses to withdraw from a TAA based upon training costs throughout determine that a worker has been approved training program that the the State, recognizing that costs may individually threatened with total or withdrawal may, subject to the vary significantly between urban areas partial separation when the worker has
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received a notice of termination or (e) Separation from threatened than 60 days, beginning with the start of layoff from employment. Other employment. (1) Upon a total or partial the approved training program: documentation of a threat of total or separation from threatened (1) The AAW is maintaining partial separation from the firm or other employment, an AAIW becomes an satisfactory academic standing (e.g., not reliable source may be accepted. AAW under the following conditions: on probation or determined to be ‘‘at (c) Approval of training. Except as (i) The separation must occur prior to risk’’ by the instructor or training specified in this section, the provisions the expiration of the certification period provider); and of this subpart extend to AAIWs. The under which the worker was (2) The AAW is on schedule to following exceptions to the training determined to be threatened; and complete training within the timeframe approval requirements apply to AAIWs: (ii) The total or partial separation identified in the approved training (1) The State may not approve OJT must be for lack of work. program. under § 618.635(a) for AAIWs. (2) When an AAIW becomes an AAW (g) Actions following failure to meet a (2) Customized training for AAIWs under the conditions in paragraph (e)(1) benchmark. (1) Upon failure to meet a under § 618.635(b) may be approved of this section: benchmark, the State must provide a only if the training is for a position (i) The State must amend the worker’s warning to the AAW that his or her other than the AAIW’s adversely approved training program, as described eligibility for Completion TRA is in affected position. in § 618.665; and jeopardy. The warning may be provided (d) Disqualification and restrictions. (ii) The State must determine what verbally, in writing, or both, and must (1) The State must periodically verify other benefits under the TAA Program be documented in the worker’s case file. that the threat of total or partial the worker may now be eligible for, In consultation with the worker, the separation continues to exist for the including TRA. Any time spent in State may amend a worker’s training AAIW for the duration of the approved training as an AAIW applies to the program as described in § 618.665. training. This may be accomplished by duration limits contained in § 618.615. (2) If a worker who has previously verifying with the AAIW’s employer failed to meet a benchmark under that the threat of separation still exists § 618.660 Training benchmarks. paragraph (g)(1) of this section fails to before funding each subsequent portion (a) Requirement for training meet a benchmark during a subsequent of the training. benchmarks. A State must establish and review under paragraph (f) of this (2) Funding of a training program document training benchmarks, as section, the State must notify the worker must cease upon the removal of the provided in paragraph (f) of this section, of his or her ineligibility for Completion threat. The AAIW must cease the for individual AAWs so that they can TRA. The worker may elect to continue training upon the conclusion of the meet Completion TRA eligibility in the approved training but will not most recently funded portion, semester requirements, described at § 618.765. receive any Completion TRA payments; or quarter for which expenses have The benchmarks must be established or the training program must be already been accrued. No additional when the worker enrolls in an approved amended, according to § 618.665, and funding will be available while the training program, so that the State can Completion TRA may resume. threat of separation is removed. Funding monitor the worker’s progress toward may resume for the original training completing the approved training § 618.665 Amending approved training. program that had been previously duration limits established at § 618.615. (a) Conditions for amending approved approved upon a determination by the (b) Scope of requirement. Training training. The State must, with the State that the threat of separation has benchmarks must be established for all cooperation of the trade-affected worker, been reestablished, or upon total or but short-term training programs. amend a worker’s approved training partial separation from adversely (c) Measurement against training program under the following conditions: affected employment, if the benchmark. To review the AAW’s (1) The State determines that one or requirements under § 618.610 are still progress against the benchmarks, States more of these conditions are present: met. The AAIW’s approved training may request that the training provider (i) A course or courses designed to program must be amended, as provide documentation of the worker’s satisfy unforeseen needs of the worker, appropriate, in compliance with satisfactory progress, including such as remedial education or new § 618.665. instructor attestations, progress reports, employer skills requirements, are (3) The one training program per etc. The case manager may attest to the necessary; certification rule, as described under worker’s progress after consultation (ii) A course or courses added to the § 618.615, is applicable to AAIWs. Thus, with the training provider and the training program will enhance and a training program begun prior to worker. complement the worker’s original separation and while under a threat of (d) Must be included in IEP. The training program, such as preparatory layoff constitutes the one allowed training benchmarks must be described courses to obtain an industry-recognized training program available to that in the AAW’s IEP, if available, or credential, certification, or license that AAIW. otherwise documented in the worker’s will improve the worker’s chance of (4) The duration of training case file. being hired; limitations, at § 618.615(d)(3) are (e) Benchmark qualities. Benchmarks (iii) Additional assistance such as applicable to AAIWs. must be flexible enough to allow for tutoring or the use of translators would (5) An AAIW will not be eligible for some variability, and both practical and benefit the worker, keep the worker a new training program when total or measurable enough to allow qualified for the training in which he or partial separation occurs; however, the administration across a broad spectrum she is enrolled, and be sufficient for the existing training may be amended under of training scenarios. worker to complete the training the provisions of § 618.665. (f) Review of benchmarks. The State program; (6) The State must not consider the must evaluate and document (iv) Approval of a longerterm training AAIW’s threatened employment to be satisfactory progress against the program that will improve the suitable employment under benchmarks in paragraphs (f)(1) and (2) likelihood of employment upon the § 618.610(a). of this section at intervals of not more completion of such training;
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(v) The originally approved training pertinent labor market data in the resources remain sufficient to undertake program cannot be successfully worker’s case file to ensure it continues and complete the specific amendment to completed by the worker; to apply to the amended training the training program being considered. (vi) The originally approved training program and the worker’s occupational (ii) The initial assessment or program is determined to be of inferior goal as identified on the worker’s IEP, comprehensive and specialized quality; if available, and in the worker’s case assessment, and IEP, if available, (vii) Training in another occupation file. developed under subpart C of this part will lead to a greater likelihood of (iii) When a worker desires to relocate are to be consulted in order to support training completion or a better within the United States but outside the the trade-affected worker’s ability to employment outcome, as a result of a worker’s present commuting area upon undertake and complete the proposed change in labor market conditions or the completion of training, the State must amended training program. worker’s experience in the originally ensure the labor market information (iii) Where the worker’s remaining approved training program, or other (described in § 618.610(c)(2)) supports available weeks of UI and TRA similar factor; the determination that a reasonable payments will not equal or exceed the (viii) The worker is moving from full- expectation of employment continues to duration of the amended training time training to part-time training or exist within the area of the planned program, that the worker will have from part-time training to full-time relocation. The labor market sufficient financial resources to support training; information must be in the area of completion of the training program (ix) An AAIW has been separated planned relocation. within the time limits noted in from adversely affected employment (iv) A reasonable expectation of § 618.615(d) (limitations on training and has transitioned to become an employment may exist in a limited approval). In making this determination, AAW, or an AAIW is continuing demand occupation for a single, trained the State must consider: training after a threat of separation was worker in the worker’s commuting area (A) The worker’s remaining weeks of first removed, then resumed; or or in the area to which the worker UI and TRA payments in relation to the (x) An additional source of funding desires to relocate. The State must duration of the proposed amended becomes available for which a determine that there continues to be a training program; prearrangement is required under reasonable expectation that the worker (B) Other sources of income support § 618.625(c)(4). can secure employment in the limited available to the worker including (2) The combination of time spent in demand occupation. severance, earnings of other family the originally approved training (v) A State may approve an amended members, and other family resources; program and the time it will take to training program in an occupation if it (C) Other fixed financial obligations complete the amended training program finds that there is a reasonable and expenses of the worker and family; will not exceed the duration of training expectation that the additional training (D) The availability of Federal student limit for the type of training included in will lead to self-employment in the financial assistance or any State-funded the training program, as provided at occupation for which the worker student financial assistance or any § 618.615(d)(3). requests training, and that such self- private funding designated for student (3) Amending the approved training employment will provide the worker financial assistance, including, but not program occurs before a worker finishes with wages or earnings at or near the limited to, nongovernmental the originally approved training worker’s wages in adversely affected scholarships, awards, or grants; and program and prior to the originally employment. (E) Whether or not the worker is scheduled date of completion. (vi) Amended training programs that employed while attending training. (b) Criteria for amending a training consist of solely OJT or contain an OJT (iv) The State must document whether program. The State must determine that component are not approvable if they or not the trade-affected worker has the following criteria are met before are not expected to lead to suitable sufficient financial resources to amending a training program: employment, with the employer complete the amended training program (1) Criterion 1: A reasonable providing the OJT, in compliance with that exceeds the duration of UI and TRA expectation of employment following section 236(c)(1)(B)(i) of the Act. payments. completion of such training continues to (2) Criterion 2: Training continues to (v) If a worker has insufficient exist. Given the labor market conditions be reasonably available to the worker. In financial resources to complete the expected to exist at the time of the determining whether training continues proposed amended training program completion of the training program, a to be reasonably available to the worker, that exceeds the duration of UI and TRA reasonable expectation, fairly and the State must first consider training payments, then the State must not objectively considered, exists that the opportunities available in the worker’s approve that amended training and trade-affected worker is likely to find commuting area. States may approve must instead consider resuming the employment, using the skills and training outside the commuting area if originally approved training program or education acquired while in training, none is available at the time in the other training opportunities available to upon completion of approved training. worker’s commuting area. Whether the the worker. The labor market conditions considered training is in or outside the commuting (4) Criterion 4: Such amended must be limited to those in the worker’s area, the amended training program training continues to be suitable for the commuting area, or in the area where must be available at a reasonable cost as worker and available at a reasonable the worker intends to relocate. prescribed in paragraph (b)(4) of this cost—(i) Suitable for the worker. The (i) ‘‘A reasonable expectation of section. amended training being considered employment’’ does not require that (3) Criterion 3: The worker continues must address the criteria set out in employment opportunities for the to be qualified to undertake and paragraph (b)(3) of this section worker be available, or offered, complete such amended training. States (Criterion 3), this paragraph (b)(4), and immediately upon the completion of the must ensure the following: be determined by the State to be approved training. (i) The worker’s knowledge, skills, appropriate given the worker’s (ii) The State must review the and abilities, educational background, knowledge, skills, and abilities, expected job market conditions using work experience, and financial background, and experience relative to
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the worker’s employment goal, and Subpart G—Trade Readjustment requirements of § 618.765. Completion criteria set out in paragraph (b)(1) of this Allowances TRA is payable only for weeks of section (Criterion 1). unemployment during which the § 618.700 Scope. (ii) Available at a reasonable cost. (A) worker is participating in approved Costs of an amended training program This subpart explains the training. Completion TRA is payable may include, but are not limited to, requirements for eligibility, amounts, only after the worker has exhausted all tuition and related expenses (e.g., books, and duration of Basic TRA, Additional rights to Basic and Additional TRA. TRA, and Completion TRA, all of which tools, computers and other electronic § 618.715 Applications for Trade devices, internet access, uniforms and are income support in the form of cash payments for an AAW. Readjustment Allowances and payment. other training-related clothing such as (a) Timing of applications. (1) An goggles and work boots, laboratory fees, § 618.705 Definitions. initial application for TRA must be filed and other academic fees required as part (a) For purposes of TRA, an AAW is after certification of the appropriate of the amended training program) as ‘‘participating in approved training’’ if: worker group has been made. well as supplemental assistance (1) The worker is either attending and (2) An application for TRA must be (subsistence expenses and taking part in all scheduled classes, filed within the time limit applicable to transportation expenses as described in required activities, and required events claims for regular compensation under § 618.640(c) and (d)). States must pay in a given week, or the training provider the applicable State law. the costs of initial licensing and has excused the worker’s absence or (b) Applicable procedures. certification tests and fees where a failure to take part in accordance with Applications must be filed in license or certification is required for its written policies. accordance with this subpart and on employment. (2) In the case of distance learning, forms furnished to AAWs by the State. (1) The State must ensure and the worker is either meeting all the The State’s procedures for filing document that the amended training requirements of the training provider in applications for TRA, and for reporting, program costs are reasonable by a given week in accordance with its must be consistent with this part and researching costs for similar training rules, regulations, and standards, or the the Department’s ‘‘Standard for Claim programs, whether it is classroom or training provider has excused the Filing, Claimant Reporting, Job Finding, work-based training. worker’s failure to meet those and Employment Services,’’ requirements in accordance with its (2) Related expenses must be Employment Security Manual, part V, written policies. necessary for the worker to complete the sections 5000 through 5004 (appendix A (b) For purposes of TRA, the term to this part), except that such amended training program. Other ‘‘training allowance’’ means any procedures may allow for the filing and options should be explored before assistance or payment, excluding processing of applications by paper, purchasing equipment or related Federal student financial assistance, telephone, the internet, or other similar materials. that can be used for the same purpose methods as provided for in paragraph (B) Available at a reasonable cost as funds for the costs of training covered (e)(2) of this section. means that amended training must not by the TAA Program, and that is given (c) Treatment of determinations. be approved at one provider when, all or paid directly to the AAW. costs being considered, training better or (c) For purposes of TRA, the term Determinations on TRA applications are substantially similar in quality, content ‘‘adversely affected employment’’ determinations to which §§ 618.820 and results can be obtained from includes employment at a successor-in- (determinations of eligibility; notices to another provider at a lower total cost interest, and such wages reported to the individuals), 618.824 (liable State and within a similar time frame. Amended State or received by an AAW from a agent State responsibilities), and training must not be approved when the successor-in-interest are included as 618.828 (appeals and hearings) apply. costs of the training are unreasonably wages under § 618.720(c). Copies of such applications for TRA and high in comparison with the average all determinations by the State on such costs of training other workers in similar § 618.710 Categories of Trade applications must be included in the Readjustment Allowances. occupations at other providers. The AAW’s case file. State may approve a higher cost training (a) Basic TRA. Basic TRA is payable (d) Payment of TRA. (1) A State must if that training is reasonably expected to to an AAW who meets the requirements not make any payment of TRA until a result in a higher likelihood of of § 618.720. Basic TRA is payable for certification is issued and the State employment, employment retention, or weeks of unemployment after the determines that the AAW is a member greater earnings, or to return the worker worker meets the criteria for exhaustion of a worker group covered under the to employment in a significantly shorter of UI under § 618.720(e) and, consistent specified certification. duration. with § 618.725, for weeks of (2) An AAW, if he or she otherwise unemployment during which the meets the eligibility requirements of this (C) Training at facilities outside the worker either is enrolled in, is subpart, including exhaustion of UI, worker’s commuting area requiring participating in, or has completed may be entitled to TRA for any week of transportation or subsistence payments approved training, or has received a unemployment that begins on or after that add substantially to the total cost of waiver of the training requirement the date of the applicable certification. the amended training program may not under § 618.735. (3) An AAW may receive only one be approved if other appropriate (b) Additional TRA. Additional TRA form of TRA (Basic, Additional, or training is available in the commuting is payable to an AAW who meets the Completion) for any given week. area at a lower cost, unless the requirements of § 618.760. Additional (e) Taking of applications. (1) An exception described in paragraph TRA is payable only for weeks of initial application is required for TRA (b)(4)(ii)(B) of this section applies. unemployment during which the and a separate application is required (D) Approval of amended training worker is participating in approved for Completion TRA. under paragraph (b)(4) of this section training. (2) Applications may be filed and (Criterion 4) is also subject to the (c) Completion TRA. Completion TRA processed by any means allowed for UI provisions of § 618.650. is payable to an AAW who meets the claims in the State.
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(3) States must provide notice to the (iv) All weeks, up to a maximum of AAW must exhaust all UI entitlement worker when a worker begins receipt of 26 weeks, during which the AAW is on before resuming TRA eligibility. Additional TRA. That notice must call-up for the purpose of active duty in (6) The AAW must have no unexpired include the eligibility requirements a reserve status in the Armed Forces of waiting period applicable to such under which Additional TRA is the United States, if such active duty is worker for any UI. payable. ‘‘Federal service’’ as defined in 5 U.S.C. (f) Extended Benefits (EB) work test. 8521(a)(1), but not more than 7 weeks, The AAW must be able to work and be § 618.720 Qualifying requirements for in the case of weeks described in available for work, as defined in the EB Basic Trade Readjustment Allowances. paragraph (c)(2)(i) or (ii) of this section work test in the applicable State law for To qualify for Basic TRA for a week that occur during the active duty. States UI claimants, and must be furnished a of unemployment, an AAW must meet may waive provisions of this paragraph classification and a determination as to each of the requirements in paragraphs (c)(2)(iv) consistent with § 618.884. his or her job prospects as required by (a) through (g) of this section: (d) Entitlement to UI. The AAW must 20 CFR 615.8(d). The EB work test must (a) Certification. The AAW must be a have been entitled to (or would have be met for each week by the means member of a worker group certified been entitled to if the worker had described in this paragraph (f), unless under subpart B of this part. applied therefor) UI for a week within an exception in paragraph (f)(2) of this (b) Separation. The AAW must have the first benefit period. section applies. experienced a qualifying separation (e) Exhaustion of UI. The AAW must (1) Criteria. The EB work test during the certification period of the meet the following requirements: requirement must be met by: certification in paragraph (a) of this (i) Registering for work with the State, section. (1) The AAW must have exhausted all (c) Wages and employment. The AAW rights to any UI, except additional in accordance with the applicable must meet the following wage and other compensation that is funded by a State provisions of State law that apply to EB requirements: and not reimbursed from any Federal claimants and that are consistent with (1) In the 52-week period (i.e., 52 funds to which such worker was part 615 of this chapter; consecutive calendar weeks) ending entitled (or would have been entitled (ii) Actively engaging in seeking work; with the week of the AAW’s total or had such worker applied therefor), and (iii) Furnishing the State with tangible partial separation from adversely not have any unexpired waiting period evidence of work search efforts each affected employment during the applicable to the worker for any such week; and certification period, the worker must UI, except as provided at (iv) Accepting any offer of suitable have had at least 26 weeks of § 618.720(e)(2). work, including those referred by the employment at wages of $30 or more a (2) The AAW may elect to receive State. week in adversely affected employment TRA instead of UI during any week with (2) Exceptions. The able and available with a single firm or, where there is respect to which the worker: requirement and the EB work test more than one subdivision, the (i) Is entitled and is able to receive UI requirement in this paragraph (f) do not appropriate subdivision of that firm. as a result of a new benefit year based apply for purposes of TRA eligibility: Evidence that the worker meets the on employment in which the worker (i) When the AAW is enrolled in or requirement in this paragraph (c)(1) engaged after establishing TRA participating in approved training; must be obtained as provided in eligibility following a total separation (ii) During a break in training; or § 618.740. Employment and wages from adversely affected employment. (iii) With respect to claims for TRA covered under more than one The entitlement must be after the first for those weeks of unemployment certification may not be combined to UI benefit period. It must also be based beginning before the filing of an initial qualify for TRA. in whole or in part upon part-time or claim for TRA, or for any week that (2) The categories of weeks in short-term employment in which the begins before the AAW is notified of paragraphs (c)(2)(i) through (iv) of this worker engaged after the worker’s most coverage by a certification and is fully section also must be treated as weeks of recent total separation from adversely informed of the EB work test employment at wages of $30 or more affected employment that established requirements. Before such notification (for purposes of paragraph (c)(1) of this such first UI benefit period. This new and advice, the worker must not be section), regardless of whether the AAW employment may include the same subject to the EB work test requirements actually receives any wages during such adversely affected employment; and for TRA eligibility purposes, nor to any weeks: (ii) Is otherwise entitled to TRA, State timely filing requirement, but (i) All weeks, up to a maximum of 7 except that the AAW need not have must be required to be unemployed and weeks, during which the AAW is on exhausted all rights to UI in the new able to work and available for work employer-authorized leave for vacation, benefit year. under State law with respect to any sickness, injury, maternity, or inactive (3) For AAWs meeting the such week except as provided in duty or active duty military service for requirements in paragraph (e)(2) of this paragraphs (f)(2)(i) and (ii) of this training; section, the State must provide the section for AAWs enrolled in or (ii) All weeks, up to a maximum of 7 AAW a summary of his or her potential participating in approved training. weeks, during which the AAW had UI benefits and potential TRA benefits (3) Suitable work. (i) For purposes of adversely affected employment in writing and document the AAW’s this subpart, suitable work means, with interrupted to serve as a full-time choice in the case file. respect to a worker, whichever of the representative of a labor organization in (4) State law governs the status of the following laws is applicable: the firm or subdivision referenced in UI claim in the second benefit year (A) Suitable work as defined in the paragraph (c)(1) of this section; when the AAW elects to receive TRA applicable State law for claimants for (iii) All weeks, up to a maximum of instead of UI. regular compensation; or 26 weeks, during which the AAW has (5) If the AAW elects to receive UI (B) Suitable work as defined in a disability compensable under a benefits in the second benefit year or applicable State law provisions workers’ compensation law or plan of a any subsequent benefit period thereafter consistent with section 202(a)(3) of State or the United States; and in which the option is available, the EUCA.
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(ii) Regardless of which of the laws in (2) The last day of the 26th week after following the last day of the AAW’s paragraph (f)(3)(i)(A) or (B) of this the week in which the certification was period of duty. section apply, suitable work does not in issued; or (3) Good cause. The training any case include self-employment or (3) 45 days after the later of the dates enrollment deadline may be extended employment as an independent specified in paragraph (a)(1) or (2) of for good cause as provided for in contractor. this section, if there are extenuating § 618.730. (g) Participation in approved training. circumstances that justify an extension § 618.730 Good cause. (1) As a condition for receiving Basic of the enrollment period. Extenuating circumstances that justify the 45-day (a) States must waive the time TRA, except as provided for in limitations with respect to an extension are circumstances that would § 618.730, the AAW, after a total or application for TRA, enrollment in constitute good cause, as established by partial separation from the adversely training, or receipt of a training waiver § 618.730; that is, circumstances under affected employment within the in this subpart if the AAW shows good which the AAW acted diligently yet was certification period, and by the cause. applicable deadlines in § 618.725 must: unable to enroll because of exigent (b) Good cause exists if the AAW (i) Be enrolled in training, as defined circumstances. acted diligently yet was unable to in subpart A of this part; (4) In the case of an AAW who fails complete in a timely manner the (ii) Be participating in approved to enroll by the date required by relevant task at issue described in training (as defined in § 618.705); or paragraph (a)(1), (2), or (3) of this paragraph (a) of this section because of section due to a failure by the State to exigent circumstances. (iii) Have a waiver granted under provide the AAW with timely § 618.735 in effect. (c) The State must determine good information regarding the applicable cause on a worker-by-worker basis. (2) An AAW who has not met the training enrollment deadline, the AAW requirements in paragraph (g)(1) of this must be enrolled in training or obtain a § 618.735 Waiver of training requirement section may, if otherwise eligible, waiver by the Monday of the first week for Basic Trade Readjustment Allowances. receive Basic TRA before expiration of occurring 60 consecutive calendar days (a) Waiver for Basic TRA. A State may the applicable training enrollment following the date the worker was issue a waiver of the requirement in deadline in § 618.725. Once the training properly notified; or § 618.720(g) that an AAW be enrolled in enrollment deadline is reached, the (5) The Monday of the first week or participating in approved training as training requirements in paragraph occurring 30 consecutive calendar days a condition of Basic TRA eligibility (g)(1) of this section must be met. Basic (or, if the State is closed that last day upon a finding that training for such TRA payments must cease beginning the because that day falls on a weekend or worker is not feasible or appropriate for first week for which the requirements in holiday or for any other reason, the next one or more reasons identified in paragraph (g)(1) of this section were business day) following the day of paragraph (b) of this section. The waiver required but not met. termination, whether by revocation or must contain the information required (3) The requirements in paragraph expiration or revocation of a waiver in paragraph (c) of this section. No (g)(1) of this section do not apply to an under § 618.735. waiver of the training requirement is AAW with respect to claims for Basic (b) Exceptions—(1) Extended training permitted for Additional TRA or TRA for weeks of unemployment enrollment deadline for delayed Completion TRA eligibility. Waivers beginning before the filing of an initial approval of application for TRA. (i) The must be issued no later than the latest claim for TRA after publication of the training enrollment deadlines of of the applicable deadlines described in certification of the appropriate worker paragraph (a) of this section do not § 618.725. group as provided in § 618.715(a), nor apply where: (b) Bases for a waiver. The State, in order to issue a written waiver to an for any week that begins before the (A) A State’s negative determination AAW, must conclude after assessing the AAW is notified that he or she is on an initial application for TRA under worker that training is not feasible or covered by a certification and is fully § 618.715 has been reversed through appropriate for one or more of the informed of the requirements of this redetermination or appeal; reasons in paragraphs (b)(1) through (3) section. (B) The AAW is unable to meet the of this section, which must be cited on (4) An AAW who meets the training enrollment deadline because of the waiver: participation in approved training the delay in obtaining the reversal of the (1) Health. The worker is unable to requirement in paragraph (g)(1) of this negative determination; and participate in training due to the health section by the applicable deadlines in (C) The delay in obtaining the reversal of the worker. A waiver granted for this § 618.725 may continue to receive Basic is not attributable to the AAW. reason does not exempt the worker from TRA after the AAW has completed (ii) Where the conditions of paragraph requirements relating to the availability training, even if such participation in (b)(1)(i) of this section are met, the AAW for work, active search for work, or training was on a part-time basis, will have until the last day of the 26th refusal to accept work under Federal or provided that the worker meets all other week following the date on which the State unemployment compensation eligibility requirements for Basic TRA. negative determination was reversed to laws. enroll in training or have a training § 618.725 Training enrollment deadlines. (2) Enrollment unavailable. The first waiver in effect. available enrollment date for approved (a) Training enrollment deadlines. As (2) Extended training enrollment training is within 60 consecutive a condition for receiving Basic TRA, an deadline for period of duty in military calendar days after the date on which a AAW must meet the participation in service. If an AAW who is a member of waiver determination is made or, if approved training requirement in a reserve component of the Armed later, there are extenuating § 618.720(g)(1) no later than the latest Forces and has served a period of duty circumstances, as determined under the of: during the AAW’s Basic TRA eligibility criteria in § 618.725(a)(3), that apply to (1) The last day of the 26th week after period but before enrolling in training, the delay in enrollment in training. the AAW’s most recent qualifying the AAW’s training enrollment deadline (3) Training not available. Approved separation; will be the last day of the 26th week training is not reasonably available to
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the worker from governmental agencies (i) Training continues not to be the determinations required by or private sources (which may include feasible or appropriate for such worker paragraph (a) of this section. area vocational education schools, as for one or more of the reasons described (c) Verification. A statement made defined in section 3 of the in paragraph (b) of this section; and under paragraph (b) of this section must Strengthening Career and Technical (ii) Such worker has not yet exhausted be certified by the AAW to be true to the Education for the 21st Century Act (20 his or her Basic TRA entitlement. best of the worker’s knowledge and U.S.C. 2302), and employers), or (3) Waivers must be reviewed 3 belief and must be supported by suitable training is not available at a months after the date on which the State evidence including W–2 forms, reasonable cost, or no training funds are issues the waiver to determine if one or paycheck stubs, union records, income available. more of the bases in paragraph (b) of tax returns, or statements of fellow (c) Contents of a waiver. (1) A waiver this section continue to apply, and workers, and must, whenever possible, issued under this section may not take every 30 consecutive calendar days be verified by the employer. effect unless it contains, at a minimum, thereafter. (d) Determinations. The State must the following information: (g) Revocation of a waiver. The State make the necessary determinations on (i) The AAW’s name and a unique must revoke a waiver issued under this the basis of information obtained under identifying designation used by the section if the waiver criteria are no this section, except that if, after State; longer met. The State must notify the reviewing information obtained under (ii) The name and location of the AAW of the revocation. The notice of paragraphs (b) and (c) of this section worker group and the petition number revocation must be appealable and must against other available data, including under which the AAW’s group was contain the same information as a denial agency records, it concludes that such certified; of waiver issued under paragraph (e) of information is not reasonably accurate, (iii) A statement of the reasons why this section. it must make the determination on the training is not feasible or appropriate for (h) Submission of waivers and basis of the best available information. the AAW, citing to one or more reasons notices. The State must develop (e) Timing. The State must follow the identified in paragraph (b) of this procedures for compiling and reporting established method used for processing section; on the number of waivers issued and regular UI claims. If an employer does (iv) The effective date and expiration revoked, by reason, and must submit to not respond within the timeframe date of the waiver; the Department, only upon specific established for UI claims, then the State (v) A statement that the waiver must request, a record or copy of any or all must act on the best available be revoked immediately upon a waivers issued under this section information. determination that the basis or bases for together with a statement of reasons for the waiver no longer apply; and each such waiver, and a record or copy § 618.745 Weekly amounts of Basic, (vi) The signature of an official of the Additional, and Completion Trade of any or all notices of revocation of Readjustment Allowances. State authorized to grant the waiver, and waiver issued under this section the signature of the AAW or other together with a statement of reasons for (a) TRA amount. The amount of Basic, evidence of the worker’s each such revocation. The statements of Additional, or Completion TRA payable acknowledgement of receipt of the reason required under paragraphs for a week of unemployment (including waiver. (c)(1)(iii) and (e) of this section, as a week of approved training) is an (2) Waivers and the required applicable, fulfill the requirement for a amount equal to the most recent weekly signatures may be issued and statement of reasons under this benefit amount of UI (including maintained electronically. paragraph (h). Electronic records and dependents’ allowances) payable to the (d) Request for a waiver. States may copies are acceptable. AAW for a week of total unemployment analyze whether an AAW may qualify preceding the worker’s first exhaustion for a waiver as part of the AAW’s initial § 618.740 Evidence of qualification for of UI following the worker’s first assessment, as described in subpart C of Basic, Additional, and Completion Trade qualifying separation, except that: this part. An AAW may also request a Readjustment Allowances. (1) Where a State calculates a base waiver from the State before the (a) State action. When an AAW period amount of UI and calculates applicable deadline in § 618.725. applies for Basic, Additional, or dependents’ allowances on a weekly (e) Denial of a waiver. In any case in Completion TRA, the State having supplemental basis, TRA weekly benefit which a determination is made to deny jurisdiction under § 618.820 amounts must be calculated in the same a waiver under this section, the AAW to (determinations of eligibility; notices to manner and under the same terms and whom the denial pertains must be individuals) must obtain information conditions as apply to claimants for UI furnished with a notice of the denial of necessary to establish: except that the base amount must not waiver. The notice of denial of waiver (1) Whether the AAW meets the change. must contain, at minimum, the qualifying requirements in § 618.720 for (2) For partially separated workers, information in paragraphs (c)(1)(i), (ii), Basic TRA, in § 618.760 for Additional the weekly amount of TRA must be and (vi) of this section; the specific TRA, or in § 618.765 for Completion calculated as determined under the reason(s) for the denial; the date of the TRA; and applicable State law. denial; and notice of the AAW’s appeal (2) For a partially separated AAW, the (b) Workers who are undergoing rights. average weekly hours and average training. Any AAW in approved training (f) Duration of a waiver. (1) A waiver weekly wage in adversely affected who is thereby entitled for any week to issued under this section may be for a employment. TRA and a training allowance (as period not to exceed 6 months, or the (b) Insufficient data. If information defined in § 618.705) under any other AAW’s period of Basic TRA entitlement, specified in paragraph (a) of this section Federal law for the training of workers, whichever ends first; is not available from State records or will be paid for each week in which the (2) Notwithstanding the 6-month from any employer, the State must AAW is undergoing approved training, limitation in paragraph (f)(1) of this require the AAW to submit a signed TRA in the amount (computed for each section, a State may extend an AAW’s statement setting forth such information week) equal to the amount computed waiver beyond 6 months if: as may be required for the State to make under paragraph (a) of this section or, if
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greater, the amount of any weekly is Federal student financial assistance, § 618.760 Qualifying requirements for, and allowance for such training to which the then the amount of TRA will not be timing and duration of, Additional Trade AAW would be entitled under any other reduced. In the case of an AAW to Readjustment Allowances. Federal law for the training of workers, whom the Federal student financial (a) Qualifying requirements for if the AAW applied for such allowance. assistance is available, the State will Additional TRA. An AAW is eligible to TRA must be paid in lieu of any rely on prearrangements for the sharing receive Additional TRA for any week payment for training made directly to of training costs under § 618.625(c)(2) only if: the AAW to which the AAW is entitled (payment restrictions for training (1) The worker meets all qualifying under such other Federal law. programs) in order to harmonize the requirements for receipt of Basic TRA in (c) Reductions to the TRA weekly provision of Federal student financial § 618.720; and amount. The weekly amount of TRA assistance with the worker’s TRA. (2) Except as provided in § 618.775 for payable under this section will be (5) Any amount that would be a break in training, the AAW is reduced (but not below zero) by: deductible from UI for days of absence participating in approved training. (1) Income that is deductible from UI from training under the provisions of (b) Timing and duration of Additional under the disqualifying income the applicable State law that applies to TRA. Additional TRA is payable for up provisions of the applicable State law or AAWs in approved training. to 65 weeks during the 78 consecutive Federal UI law, except that in the case calendar week period that: of an AAW who is participating in § 618.750 Maximum amount of Basic Trade (1) Immediately follows the last week approved training, such income must Readjustment Allowances. of entitlement to Basic TRA otherwise not include earnings from work for such (a) General rule. Except as provided in payable to the AAW; week that are equal to or less than the paragraph (b) of this section, the (2) Begins with the first week of most recent weekly benefit amount of maximum amount of Basic TRA payable approved training, if such training the UI payable to the worker for a week to an AAW is the product of 52 begins after the last week described in of total unemployment preceding the multiplied by the TRA weekly amount paragraph (b)(1) of this section; or worker’s first exhaustion of UI (as for a week of total unemployment, (3) Begins with the first week in determined for purposes of section calculated under § 618.745(a) (weekly which such training is approved under 231(a)(3)(B) of the Act). amounts of TRA), reduced by the total subpart F of this part, if such training is (2) If the amount of a training sum of UI (except State-funded approved after the training already has allowance as defined in § 618.705 additional compensation) that the AAW commenced (although Additional TRA (including a training allowance referred was entitled or would have been or training costs may not be paid for any to in paragraph (b) of this section) under entitled to had the worker applied in week before the week in which the TAA any Federal law that the AAW receives such worker’s first benefit period. approved training was approved). for such week is less than the amount of TRA otherwise payable to the AAW (b) Exceptions. The maximum amount § 618.765 Qualifying requirements for, and for a week, the AAW must, when of TRA determined under paragraph (a) timing and duration of, Completion Trade applying for TRA for the week, be paid of this section does not include: Readjustment Allowances. TRA in an amount not to exceed the (1) The amount of dependents’ (a) Qualifying requirements for difference between the AAW’s regular allowances paid as a supplement to the Completion TRA. An AAW is eligible to weekly TRA amount, as determined base weekly amount determined under receive Completion TRA if such worker under § 618.745(a) (regular allowance), § 618.745; or meets all qualifying requirements for and the amount of the training (2) The amount of the difference receipt of Basic TRA in § 618.720 and allowance paid to the AAW for the between the AAW’s weekly increased Additional TRA in § 618.760, and if the week. allowances determined under eligibility criteria in paragraphs (a)(1) (3) Except as provided in paragraph § 618.745(b) and such worker’s weekly through (3) of this section are met for (c)(4) of this section, if a training amount determined under § 618.745(a). that week. The requirements in this allowance under any Federal law other paragraph (a) are applied at the time the than the Act, is paid to an AAW for any § 618.755 Eligibility period for Basic Trade State approves payment for a week of Readjustment Allowances. week of unemployment with respect to Completion TRA. The eligibility criteria which the AAW would be entitled (a) Except as provided in paragraph are: (determined without regard to any (b) of this section, an AAW is ineligible (1) Payment of Completion TRA is disqualification under paragraph (b) of to receive Basic TRA for any week of necessary for an AAW to complete the this section) to TRA, if the AAW unemployment beginning after the close approved training described in applied for TRA, each such week must of the 104-week period beginning with paragraph (a)(2) of this section. be deducted from the total number of the first week following the week in (2) The AAW is participating in weeks of TRA otherwise payable to the which the AAW’s most recent approved training each week that leads AAW when the worker applies for and qualifying separation occurred or after to the completion of a degree or is determined to be entitled to TRA. If certification, whichever is later. industry-recognized credential and the such training allowance paid directly to (b) A State may not count any period worker’s training program will extend the worker for any week of during which a judicial or for a period longer than the periods unemployment is less than the amount administrative appeal is pending with during which Basic and Additional TRA of TRA to which the AAW would be respect to a denial of a petition filed are payable under §§ 618.755 (eligibility entitled if the worker had applied for it, under subpart B of this part for the period for Basic TRA) and 618.760 the AAW must receive (when the purpose of calculating the period of (qualifying requirements for, timing and worker applies for and is determined to separation described in paragraph (a) of duration of, Additional TRA), and the be entitled to TRA) TRA for such week this section. The separation will be requested weeks are necessary for the equal to such difference. deemed as having occurred on the worker to complete training. (4) If the training allowance (as certification date and the Basic TRA (3) The worker– defined in § 618.705) referred to in eligibility period will begin on the week (i) Has substantially met the paragraphs (c)(2) and (3) of this section that follows the certification date. performance benchmarks in § 618.660
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(training benchmarks) established as during breaks in training (periods reasonable and necessary to quit in part of the approved training under within or between courses, terms order to begin or continue approved subpart F of this part; (quarters or semesters), and academic training. This includes temporary (ii) Is expected to continue to make years) that do not exceed 30 days employment the worker may have progress toward the completion of the (counted in accordance with paragraph engaged in during a break in training; approved training; and (b) of this section), only if: (iv) Such worker continues full-time (iii) Will complete the approved (1) The AAW participated in or part-time employment while training during the period of eligibility approved training of this part participating in approved training; or described in paragraph (c) of this immediately before the beginning of the (v) Such worker leaves OJT within the section. break in training; first 30 days because the OJT is not (4) If, during the period in which an (2) The break in training was provided meeting requirements of section AAW is eligible to receive Completion in the established schedule of the 236(c)(1)(B) of the Act. TRA, the worker ceases to meet any of training provider; and (2) Disqualifications. An AAW who, the eligibility criteria in paragraphs (3) The AAW resumes participation in without justifiable cause (as described (a)(1) through (3) of this section, no the approved training immediately after in paragraph (b)(3)(iii) of this section), further Completion TRA is payable to the break ends. fails to begin participation (as described such worker. (b) For the purpose of determining in paragraph (b)(3)(i) of this section) in (b) Weeks payable. A total of up to 13 whether a break in training is within the approved training, or ceases weeks of payments are allowable during 30-day maximum allowed under this participation (as described in paragraph the period of eligibility described in section, all calendar days beginning (b)(3)(ii) of this section) in such training, paragraph (c) of this section. with the first day of the training break or for whom a waiver is revoked under (c) Eligibility period. Completion TRA and ending with the last day of the § 618.735(f) (waiver of training may be payable during the period of 20- break, as provided in the published requirement for Basic TRA), may not week consecutive calendar period that schedule of the training provider, must receive Basic TRA for any week in begins with the first week in which an be counted. However, any Saturday, which such failure, cessation, or AAW files a claim for Completion TRA Sunday, or official State or national revocation occurred. The and seeks compensation for such week, holiday occurring during the scheduled disqualification will continue for any regardless of when the first payment is break in training is excluded from the succeeding week thereafter until the received. The eligibility period may be 30-day count if training normally would week in which such worker begins or extended if justifiable cause exists, in not be scheduled in the training resumes participation in an approved accordance with § 618.770(a). program during those days if there was training program. A worker who has (d) Start date of Completion TRA. The no break. justifiable cause (as described in State must have a process to take (c) For Completion TRA, breaks in paragraph (b)(3)(iii) of this section) for applications for Completion TRA. States training are permissible during the 20- such failure to begin, or for ceasing, must not automatically establish the 20- week eligibility period. However, participation in training may receive week period for Completion TRA as the payments during breaks in training are Basic TRA for any week in which such week following either expiration of the not allowed. failure or cessation occurred if the eligibility period for Additional TRA, or worker otherwise meets the § 618.780 Disqualifications. the exhaustion of Additional TRA; filing requirements of this subpart. Such a claim after either of those first weeks (a) General rule. Except as stated in failure, cessation, or revocation is permitted. Since training that leads to paragraph (b)(1) or (c) of this section normally does not change the eligibility a degree or industry-recognized and in § 618.832(b)(2) (overpayments; periods defined in §§ 618.755, credential must be completed during the penalties for fraud), an AAW may not be 618.760(b), and 618.765(b) and (c). eligibility period described in paragraph paid TRA for any week of (3) Disqualification conditions. For (c) of this section, the first week of unemployment such worker is or would determining the disqualification of Completion TRA claimed should be be disqualified from receiving UI under trainees for all TAA approved training, carefully considered in coordination the disqualification provisions of the the following provisions apply: with case management while the AAW’s applicable State law, including the (i) Failed to begin participation. A training program is being developed. provisions of the applicable State law worker will be determined to have that apply to EB claimants and are failed to begin participation in an § 618.770 Special rule for justifiable cause. consistent with EUCA. approved training program when the (a) The eligibility period during (b) Disqualification of trainees—(1) worker fails to attend one or more which Basic, Additional, and State law inapplicable. A State law may scheduled training classes and other Completion TRA are payable to an AAW not be applied to disqualify an AAW training activities in the first week of the may be extended for justifiable cause, from receiving UI or TRA because: approved training program, without which has the same meaning as good (i) Such worker is enrolled in or justifiable cause. cause in § 618.730. participating in an approved training (ii) Ceased participation. A worker (b) While the eligibility period for program; will be determined to have ceased Basic, Additional, and Completion TRA (ii) Such worker refuses work to participation in an approved training may be extended for justifiable cause as which the State referred such worker program when the worker fails to attend determined by the State, the maximum because such work either would require all scheduled training classes and other benefit amount and number of weeks discontinuation of approved training or training activities scheduled by the this benefit may be received must not interfere with successful participation training provider in any week of the change. in TAA approved training, except that approved training program, without this paragraph (b)(1)(ii) does not apply justifiable cause. § 618.775 Payment of Trade Readjustment to an AAW who is ineligible under (iii) Justifiable cause. For purposes of Allowances during breaks in training. paragraph (b)(2) of this section; this section, justifiable cause has the (a) Basic and Additional TRA are (iii) Such worker quits work that was same meaning as good cause under payable to an otherwise eligible AAW not suitable employment and it was § 618.730, except that good cause for
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absence also includes an absence to groups of workers for whom a a finding that the State has not fulfilled excused under a training provider’s petition is filed, delivering TAA its commitments under its Agreement. written policy. Program benefits and services to trade- In the event that the Secretary (c) Disqualification while in OJT. An affected workers, assisting in the filing determines the State or CSA has not AAW may not be paid any TRA for any of petitions for those likely to be eligible fulfilled its commitments under its week during which such worker is for benefits under this part, conducting Agreement, section 3302(c)(3) of the engaged in OJT, in accordance with outreach to groups of workers covered Internal Revenue Code of 1986, as § 618.635. under a petition for TAA filed under amended (regarding loss of (d) Disqualification while in part-time subpart B of this part, and notifying UI unemployment tax credits under section training. An AAW may not be paid any claimants of the TAA Program. 3302(a) and (b)), applies. TRA for any week in which the worker (f) Review of State and CSA is participating in approved training § 618.804 Agreements with the Secretary compliance. The Department is that is part-time. Part-time training is of Labor. responsible for monitoring and any approved training that does not (a) Authority. A State or CSA must, reviewing State and CSA compliance meet the definition of ‘‘full-time before performing any function or with the Agreement entered into under training’’ as defined in § 618.110. exercising any jurisdiction under the the Act and this section. Act and this part, execute an Agreement (g) Merit staffing. States must comply Subpart H—Administration by Applicable meeting the requirements of the Act State Agencies with the staffing flexibility provisions with the Secretary. contained in § 618.890. Sec. (b) Execution. (1) An Agreement (h) Contents. Each Agreement under 618.800 Scope. under paragraph (a) of this section must this section must contain provisions 618.804 Agreements with the Secretary of be signed and dated on behalf of the Labor. including, but not limited to, the 618.808 State rulemaking. State or the CSA by an authorized following: 618.812 Subpoenas. official whose authority is certified by (1) Provisions consistent with the 618.816 Trade Adjustment Assistance the State Attorney General or counsel requirements of section 239 of the Act Program benefit information and for the CSA, unless the Agreement is (19 U.S.C. 2311); provision of services to workers. signed by the Governor or the chief (2) Authorization for the State to issue 618.820 Determinations of eligibility; elected official of the State. In the event waivers under § 618.735 (waiver of notices to individuals. that a State does not execute an training requirement for Basic TRA) and 618.824 Liable State and agent State Agreement under paragraph (a) of this responsibilities. the requirement that the State submit, 618.828 Appeals and hearings. section, then section 3302(c)(3) of the upon request, to the Department a copy 618.832 Overpayments; penalties for fraud. Internal Revenue Code of 1986, as of each such waiver and, if not already 618.836 Recovery of debts due the United amended (26 U.S.C. 3302(c)(3)) (loss of contained within each waiver, a States or to others by Trade Adjustment unemployment tax credits under section statement of the reasons for such Assistance offset. 3302(a) and (b)), applies. waiver; 618.840 Uniform interpretation and (2) A State or CSA must execute an (3) The requirement that the State application of this part. amended Agreement with the Secretary, supply data to the Department on 618.844 Inviolate rights to Trade upon the request of the Secretary, in national TAA Program performance Adjustment Assistance or Reemployment Trade Adjustment Assistance. response to legislative or regulatory goals identified in applicable 618.848 Veterans’ priority of service. changes to the TAA Program. regulations, the Department’s written 618.852 Recordkeeping and disclosure of (3) The Secretary will execute an directives, or any other written means information requirements. Agreement on behalf of the United used to communicate such goals; and 618.856 Information, reports, and studies. States. (4) Provisions establishing TAA 618.860 General fiscal and administrative (c) Public access to Agreements. The Program funds as the primary source of requirements and cost classification. CSA must make available for inspection Federal assistance to trade-affected 618.864 Trade Adjustment Assistance and copying, an accurate copy of its workers. This means that following Program performance. Agreement under this section to any certification of a petition under subpart 618.868 Unemployment Insurance. individual or organization that requests 618.872 Travel under the Trade Adjustment B of this part, the costs for providing Assistance Program. it. The CSA may furnish copies of the services to a worker group should shift 618.876 Verification of eligibility for Agreement upon payment of the same from WIOA and other programs to the program benefits. charges, if any, as apply to the TAA Program. 618.884 Special rule with respect to furnishing of copies of other records of (i) Administration absent State military service. the CSA. Agreement. (1) In any State in which no 618.888 Equitable tolling. (d) Agent of the United States. A State Agreement under this section is in 618.890 Staffing flexibility. that has executed an Agreement under effect, the Secretary will administer the 618.894 Nondiscrimination and equal this section is an agent of the United Act and this part through appropriate opportunity requirements. 618.898 Applicable State law. States for purposes of receiving arrangements made by the Department. applications for and providing (2) The Secretary will administer TAA Subpart H—Administration by payments on the basis provided in this in accordance with this part and the Applicable State Agencies part and must carry out fully the provisions of the applicable State law, purposes of the Act and this part. except to the extent that such State law § 618.800 Scope. (e) Breach. If the Secretary determines is inconsistent with this part, section This subpart covers the general that the State or CSA has not fulfilled 303 of SSA (42 U.S.C. 503), or section administrative requirements a State its commitments under its Agreement 3304(a) of the Internal Revenue Code of must follow in providing the benefits stated in this section, the Secretary may 1986, as amended (26 U.S.C. 3304(a)). and services available under the TAA terminate the Agreement. The Secretary (3) The Secretary will provide for a Program. The requirements in this must provide the State or CSA fair hearing for any individual whose subpart include: The provision of rapid reasonable notice and an opportunity application for TAA is denied. A final response and appropriate career services for a hearing before the Secretary makes determination as to eligibility for TAA
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will be subject to review as provided in involving UI or other State or Federal petitions for a group of workers that the 42 U.S.C 405(g), as required by section law, the State must provide such public State considers are likely to be eligible 240(b) of the Act. notice and opportunity for hearing. for TAA Program benefits. (4)(i) The Department will issue (2) For purposes of paragraph (d)(1) of administrative guidance providing § 618.812 Subpoenas. this section, ‘‘likely to be eligible’’ additional detail on the operation of the (a) A State may require by subpoena means the State has a reasonable belief TAA Program within that State. the attendance of witnesses and that a certification will be issued for the (ii) Prior to providing administrative production of evidence necessary for group of workers based on observations guidance, the Department will consult use in the determination of an made by State staff; existence of with the Governor, other State agencies, individual’s eligibility for TAA Program certifications within the same industry, neighboring States, and other services and benefits or to obtain sector, or supply chain; or information organizations to determine how best to information needed to assist the or statements from the firm, union, ensure access to the TAA Program Department in the petition workers, media coverage, or other within that State. Options to administer determination process. reports. the program that the Department may (b) This power includes the ability of (3) States must provide assistance to consider include, but are not limited to: the State to subpoena an employer for enable individuals and other entities (A) Executing an agreement with information necessary to determine eligible to file to prepare petitions or another State to operate the TAA whether a certification covers a worker, applications for program benefits. Program; including the name, address, and Social (4) Petitions must be filed under (B) Executing an agreement with a Security number of the worker. paragraph (d)(1) of this section even if qualified organization within the State (c) The State may enforce compliance the firm, a union, elected officials, or that adheres to all TAA Program with subpoenas as provided under State members of the group of workers oppose requirements in this part to operate the law and, if a State court declines to the filing. TAA Program; and enforce a subpoena issued under this (e) Providing information after (C) Directly administering the TAA section, or the State does not attempt a issuance of a certification. (1) States Program. subpoena under State law, the State must inform the State’s board on (j) Program coordination. State must petition for an order requiring vocational and technical education (also agencies providing employment and compliance with such subpoena to the called the eligible agency, as defined in case management services under District Court of the United States with 20 U.S.C. 2302(12)) or the equivalent subpart C of this part and training under jurisdiction over the proceeding. agency in the State and other public or subpart F of this part must, in § 618.816 Trade Adjustment Assistance private agencies, institutions, and accordance with their Agreements employers, as appropriate, of each under this section, coordinate such Program benefit information and provision of services to workers. certification issued under subpart B of services and payments with programs this part and of projections, if available, and services provided by WIOA and (a) Providing information to workers. State agencies must provide information of the needs for training under subpart with the State agency administering the F of this part as a result of such State law. Any agency of the State to each worker who applies for UI about the benefit allowances, training, and certification. jointly administering such provisions (2) Upon receipt of a certification under this Agreement must be other services available under this part, and about the application procedures, issued under subpart B of this part by considered to be a CSA for purposes of the Department, the State must provide this part. and the appropriate filing dates, for such allowances, training, and other a written notice through the mail, of the § 618.808 State rulemaking. services. benefits available under this part to each (a) A State may establish laws, (b) Rapid response and appropriate worker known to be covered by the regulations, procedures, or policies, not career services. States must ensure that certification when the worker becomes inconsistent with the Act or this part, or rapid response assistance and partially or totally separated or as soon administrative guidance issued by the appropriate career services, as described as possible after the certification is Department. in section 134 of WIOA, are made issued if the worker is already partially (b) The State must submit the exact available to members of a group of or totally separated from adversely text of such proposed law, regulation, workers for whom a petition under affected employment. The State must procedure, or policy, certified as subpart B of this part has been filed. also provide notice to all workers accurate by a responsible official, (c) Providing reemployment services. threatened with separation who may be employee, or counsel of the State, to the (1) For trade-affected workers covered AAIWs. These notices must contain the Department. by a certification, States must: following information: (c) No law, regulation, procedure, or (i) Make available employment and (i) The worker group(s) covered by the policy proposed under paragraph (a) of case management services described in TAA certification and the article(s) this section may become effective unless subpart C of this part, including testing, produced or services rendered as and until approved by the Department. counseling, assessment, and placement specified in the copy of the certification The Department may grant approval on services; and furnished to the State; a temporary basis, not to exceed 90 (ii) Provide referrals to, assistance in (ii) The name and the address or days, in cases of administrative securing of, and approvals of training location of workers’ firm; necessity. under subpart F of this part. (iii) The impact, certification, and (d) The Department may withdraw (2) If funds provided to carry out this expiration dates in the certification approval at any time with reasonable part are insufficient to make such document. notice of no less than 30 days to a State. services available, States must arrange (iv) A summary of benefits and (e) If public notice and opportunity to make such services available through services available to the workers; for hearing would be required under other Federal programs. (v) An explanation of how, when, and State law for adoption of a similar law, (d) Petition filing assistance. (1) States where the workers may apply for TAA regulation, procedure, or policy must facilitate the early filing of Program benefits and services;
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(vi) The training enrollment deadlines the worker’s threatened status, of the (e) Notices to individuals. The State (set forth in § 618.725) for TRA benefits and services available under must notify individuals in writing of qualification; this part, including the qualifying any determination or redetermination of (vii) Whom to contact to get requirements, procedures, and eligibility to TAA Program benefits. additional information on the deadlines for applying for such benefits Each determination or redetermination certification; and and services. must inform the individual of the reason (viii) A Babel notice (a short notice in (2) Perform an intake interview for for the determination or redetermination multiple languages informing the reader each trade-affected worker (unless the and of the right to reconsideration or that the communication contains vital worker declines the interview) as soon appeal in the same manner as information and explaining how to as practicable after the worker is determinations of entitlement to UI are access language services to have the separated from adversely affected subject to redetermination or appeal contents of the communication employment, after a certification is under the applicable State law. provided in other languages). issued, or upon notice of the worker’s (f) Promptness. States must make full (3) In order to identify these workers, threatened status. The interview must payment of TAA Program benefits when the State must obtain from the firm, or be scheduled in time for the worker to due with the greatest promptness that is another reliable source, the names and meet the training enrollment deadline administratively feasible. addresses of all workers who were set forth in proposed § 618.725(a). (g) Procedure. Except where otherwise partially or totally separated from During the interview, States must required by the Act or this part, the adversely affected employment before provide information about all of the procedures for making and furnishing the agency received the certification, benefits available under this part. determinations, the promptness and of all workers who are thereafter § 618.820 Determinations of eligibility; standards, and written notices of partially or totally separated or determinations to individuals, must be threatened with separation within the notices to individuals. (a) Determinations on initial consistent with the Department’s certification period. Provision of this ‘‘Standard for Claim Determinations— information may be compelled under applications. The State whose State law is the applicable State law must, upon Separation Information,’’ Employment the subpoena provisions at § 618.812. Security Manual, part V, sections 6010 (4) Upon receipt of a copy of a the filing of an initial application by an through 6015 (appendix B of this part). certification issued by the Department individual, promptly determine the affecting workers in a State, the State individual’s eligibility for TAA Program (h) Successor-in-interest. (1) States are must publish a notice of the certification benefits under this part and may accept authorized to determine whether a firm in a newspaper of general circulation in for such purposes information and is a successor-in-interest to a firm areas in which such workers reside. The findings supplied by another State. named as the employer of a worker published notice must include the same (b) Determinations on subsequent group on a determination issued under information identified in paragraphs applications. The State must, upon the subpart B of this part. (e)(2)(i) through (viii) of this section. filing of an application for payment of (2) The factors to be used to determine The notice may be filed in a print TRA, RTAA, subsistence and whether or not there is a successor-in- version of the newspaper, or in the transportation, job search allowance, or interest are established in § 618.110. online or digital version of the relocation allowance, promptly (3) If, after reviewing the successor-in- newspaper if it can be reasonably determine whether the individual is interest factors, the State believes that a expected to reach the interested parties. eligible for such payment and, if denial of benefits is warranted, the State (5) Upon receipt of a copy of a eligible, the amount of such payment. must file a new petition requesting an certification issued by the Department, (c) Redeterminations. The provision amendment to the certification under the State must perform outreach to, for redeterminations under the § 618.250. intake of, and orientation for trade- applicable State law applies to determinations of eligibility for any § 618.824 Liable State and agent State affected workers covered by the responsibilities. certification with respect to assistance benefit under this part. (a) Liable State. The liable State, as and benefits available under this part. (d) Use of State law. In making (6) In addition to the mailed written determinations or redeterminations defined in § 618.110, is responsible for: notice under paragraph (e)(2) of this under this section, or in reviewing such (1) Making all determinations, section, States must also give notice to determinations or redeterminations redeterminations, and decisions on each worker by at least one method of under § 618.820, a State must apply the appeals on all claims for program modern electronic communication regulations in this part. As to matters benefits under this part, including job reasonably calculated to reach each committed by this part to be decided search and relocation allowances under worker. For example, States may give under the applicable State law, a CSA, subpart D of this part; RTAA under notice via email to a worker with a a hearing officer, or a State court must subpart E of this part; training under known email address, or by text to a apply the applicable State law and subpart F of this part; subsistence and worker with a known mobile phone regulations thereunder, including the transportation payments under subpart number. procedural requirements of the F of this part; Basic, Additional, and (7) States may also use other modern applicable State law or regulations, Completion TRA under subpart G of this methods of communication, such as except that no provision of State law or part; and waivers and revocations of websites and social media, to reach State regulations on good cause for waivers under subpart G of this part; members of certified worker groups. waiver of any time limit, or for late (2) Providing workers with general (f) Specific benefit assistance to filing of any claim, will apply to any program information and assistance workers. States must: time limitation referred to or specified under § 618.816; (1) Advise each trade-affected worker, in this part, unless such State law or (3)(i) Providing rapid response as soon as practicable after the worker regulation is made applicable by a assistance and appropriate career is separated from adversely affected specific provision of this part. However, services, as described under section 134 employment or, if later, after a States must follow the good cause of WIOA, to the group of workers in the certification is issued, or upon notice of provision at § 618.730. State covered by the petition upon
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receiving notice of any such workers for (6) Securing, and paying the cost of, prompt payment of UI when due, must whom a petition is filed. any approved training under subpart F apply equally to proceedings involving (ii) This includes making career of this part, and payment of subsistence eligibility for TAA Program benefits and services authorized under other Federal and transportation under subpart F of services under this part. laws available to the workers covered by this part, according to determinations (d) Retroactivity. In the case of a the petition to the extent authorized issued by the liable State; redetermination or decision reversing a under such laws. (7) Paying costs under subpart D of training denial, the redetermination or (iii) In certain situations, based on the this part for job search and relocation decision must be given effect residency of the group of workers, it allowances; and retroactively to the date of issuance of may be appropriate for agent States to (8) Assisting in other activities and the determination that was subsequently also be involved in the provision of functions required by the Agreement reversed. However, no costs of training these services, but in all instances the under § 618.804, including assisting in may be paid unless such costs actually liable State must be ultimately the review of petitions by verifying were incurred for training in which the responsible for ensuring the provision of information and providing such other individual participated. In addition, if a these services; assistance as the Department may TRA application was filed and denied (4) Providing information and request. as a result of the training denial, TRA assistance to trade-affected workers (c) Responsibilities under this section. may only be paid with respect to any under § 618.816(c) (providing In most instances, the liable State and week during which the individual was reemployment services), (e) (providing agent State will be the same State and actually participating in the training. information after issuance of a is responsible for all of the activities and certification), and (f) (specific benefit functions described in paragraphs (a) § 618.832 Overpayments; penalties for assistance to workers) upon receiving a and (b) of this section. fraud. certification issued by the Department § 618.828 Appeals and hearings. (a) Determinations and repayment. (1) with respect to affected workers at a If a State, the Department, or a court of (a) Applicable State law. Except as firm or appropriate subdivision in the competent jurisdiction determines that provided in paragraph (b) of this State; any person has received any payment section, a determination or (5) Providing a list of eligible TAA under this part to which the person was redetermination under this part (other recipients and eligible RTAA recipients, not entitled, including a payment than a determination on the eligibility of for HCTC purposes, to the Internal referred to in paragraph (b) of this a group of workers under subpart B of Revenue Service if HCTC is available; section, such person is required to repay this part, which is subject to review by and such amount to the State or the the USCIT) is subject to review in the (6) Assisting in other activities and Department, as appropriate, except that same manner and to the same extent as functions required by the Governor- the State or the Department must waive determinations and redeterminations Secretary Agreement at § 618.804, such repayment if such State or the under the applicable State law, and only including assisting the Department in Department determines that: in that manner and to that extent. the review of petitions by verifying such (i) The payment was made without Proceedings for review of a information and providing such other fault on the part of such person; and assistance as the Department may determination or redetermination may be consolidated or joined with (ii) Requiring such repayment would request. cause a financial hardship for the (b) Agent State. The agent State, as proceedings for review of other determinations or redeterminations person (or the person’s household, if defined in § 618.110, is responsible for: applicable). (1) Providing interstate claimants with under the applicable State law where (2) States must provide persons general program information and convenient or necessary. The right of determined to have received TAA assistance under § 618.816(a) and appeal and opportunity for fair hearing overpayments a reasonable opportunity petition filing assistance under for these proceedings must be consistent to demonstrate their eligibility for § 618.816(d); with section 303(a)(1) and (3) of SSA (42 (2) Cooperating fully with and U.S.C. 503(a)(1) and (3)). waiver under the criteria in paragraphs assisting the liable State in carrying out (b) Allegations of discrimination. (a)(1)(i) and (ii) of this section. its responsibilities, activities, and Complaints alleging that a (3) A financial hardship exists if functions, including the provision of determination or redetermination under recovery of the overpayment would rapid response and appropriate career this part violates applicable Federal result in the person’s (or the person’s services, as needed; nondiscrimination laws administered by household’s) loss of or inability to pay (3) Cooperating with the liable State the U.S. Department of Labor must be for ordinary and necessary living in taking applications and claims for handled in accordance with the expenses. This determination must take TAA Program benefits under this part; procedures of 29 CFR parts 31, 32, 35, into account the income and resources (4) Providing employment and case 36, and 38, as applicable, and as (including liquid financial resources) management services, as described in provided in § 618.894 reasonably available to the person (and subpart C of this part, to trade-affected (nondiscrimination and equal the person’s household). workers covered by a certification opportunity requirements). (4) Fault exists for purposes of issued by the Department under this (c) Appeals promptness. Appeals paragraph (a)(1)(i) of this section if any part; under paragraph (a) of this section must of the following criteria are met: (5) Cooperating with the liable State be decided with a degree of promptness (i) Whether a material statement or by providing information that the liable meeting the Department’s ‘‘Standard for representation was made by the person State needs for it to issue Appeals Promptness—Unemployment or individual in connection with the determinations, redeterminations, and Compensation’’ (20 CFR part 650). Any application for TAA that resulted in the decisions on appeals on all claims for provisions of the applicable State law overpayment, and whether the person program benefits under this part, as for advancement or priority of UI cases knew or should have known that the described in paragraph (a)(1) of this on judicial calendars, or other statement or representation was section; provisions intended to provide for inaccurate;
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(ii) Whether the person failed or an overpayment. Costs for the (g) Person. For purposes of this caused another to fail to disclose a completed portions of the training section and § 618.836 (recovery of debts material fact in connection with an program, job search, or relocation are due the United States or others by TAA application for TAA that resulted in the not an overpayment. offset), a person includes, in addition to overpayment, and whether the person (3) For purposes of this paragraph (d), a trade-affected worker or other knew or should have known that the good cause exists if the worker acted individual, any employer or other entity fact was material; diligently yet was unable to complete or organization as well as the officers (iii) Whether the person knew or training, a job search, or relocation and officials thereof, including any should have known that the person or because of exigent circumstances. The training provider as well as the officers individual was not entitled to the TAA State must determine good cause on a and officials thereof, who may bear payment; worker-by-worker basis. individual responsibility for the (iv) Whether, for any other reason, the (4) An overpayment established under overpayment. overpayment resulted directly or this paragraph (d) must be recovered or (h) Criminal penalties. (1) Any person indirectly, and partially or totally, from waived as provided in this section. who makes a false statement of a any act or omission of the person or of (5) For RTAA, an individual meets the material fact knowing it to be false, or which the person or individual had ‘‘earns not more than $50,000 each year knowingly fails to disclose a material knowledge, and that was erroneous or in wages from reemployment’’ fact under the circumstances described inaccurate or otherwise wrong; or requirement in section 246 of the Act for in paragraph (h)(1)(i) or (ii) of this (v) Whether there has been a a given month if the monthly section, must be imprisoned for not determination of fraud under paragraph determination of annualized wages is more than 1 year, fined under title 18, (b) of this section. accurate and complete at the time it is United States Code, or both. (b) False representation or made. Payments derived from the (i) For the purpose of obtaining or nondisclosure of material fact. In annualized wage projection based on increasing for that person or for any addition to any other penalty provided complete and accurate information at other person any payment authorized to by law, a person will be permanently the time are valid payments that the be furnished under the Act or pursuant ineligible for any further payments individual was entitled to and are not to a Governor-Secretary Agreement under this part if a State, the overpayments. under section 239 of the Act; or Department, or a court of competent (e) Overpayment recovery of TAA (ii) When providing information jurisdiction determines that: Program funds by offset. Unless an during an investigation of a petition (1) Such person: overpayment is otherwise recovered or under section 221 of the Act. (i) Knowingly made, or caused is waived, the State– (2) Whenever a violation under another to make, a false statement or (1) Must, subject to the limitation in paragraph (h)(1) of this section is representation of a material fact; or suspected, the State or the Department (ii) Knowingly failed, or caused paragraph (e)(3) of this section, recover must refer the conduct to the U.S. another to fail, to disclose a material the overpayment by deduction from any Department of Labor Office of the fact; and sums payable to such person under: Inspector General. (2) As a result of such false statement (i) This part; or representation, or of such (ii) Any Federal UI law administered § 618.836 Recovery of debts due the nondisclosure, such person has received by the State; or United States or to others by Trade any payment under this part to which (iii) Any other Federal law Adjustment Assistance offset. the person was not entitled. administered by the State that provides (a) Debt due the United States. (c) Notice of determination, fair for the payment of unemployment Notwithstanding any other provision of hearing, and finality. Except for assistance or an allowance with respect this part, the State must apply TAA overpayments determined by a court of to unemployment. benefits, payable under this part to a competent jurisdiction, no repayment (2) Must recover the overpayment person (as described in § 618.832(g)), for may be required, and no deduction may from UI payable to such person under the recovery by offset of any debt due be made, under this section until a the applicable State law. the United States from the person. determination under paragraph (a)(1) of (3) Must not allow any single (b) Debt due to others. The State must this section by the State or the deduction under this paragraph (e) to not apply TAA Program benefits for the Department, as appropriate, has been exceed 50 percent of the amount payment of any debt of any person to made, notice of the determination and otherwise payable to the person; except any State or any other entity or person, an opportunity for a fair hearing thereon that if the applicable State law provides except for TRA and RTAA benefits as has been given to the person concerned, for an overpayment recovery deduction required by Federal UI law. and the determination has become final. that is less than 50 percent of the (d) Training, job search and amount otherwise payable, such § 618.840 Uniform interpretation and relocation allowances, and RTAA. (1) If recovery must be equal to that lesser application of this part. a trade-affected worker fails, with good percentage. (a) First rule of construction. The cause, to complete training, a job search, (f) Fraud detection and prevention. implementing regulations in this part or a relocation, any payment or portion State procedures for the detection and will be construed liberally to carry out of a payment made under this part to prevention of fraudulent overpayments the purposes of the Act. such person or individual properly and of TAA benefits must be, at a minimum, (b) Second rule of construction. The necessarily expended in attempting to the same as the procedures adopted by implementing regulations in this part complete such training, job search, or the State with respect to State will be construed to assure, insofar as relocation is not an overpayment. unemployment compensation, and possible, the uniform interpretation and (2) If a trade-affected worker fails, consistent with the Department’s application of the Act and this part without good cause, to complete ‘‘Standard for Fraud and Overpayment throughout the United States. training, a job search, or a relocation, Detection,’’ Employment Security (c) Effectuating purposes and rules of then the portion of a payment for the Manual, part V, sections 7510 through construction. (1) To effectuate the noncompleted component of a benefit is 7515 (appendix C to this part). purposes of the Act and this part and to
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assure uniform interpretation and payments to the individual may be (d) Payment when due. If the application of the Act and this part temporarily delayed if redetermination determination, redetermination, or throughout the United States: or appeal action is taken not more than decision in question awards TAA (i) A State must, upon request, 1 business day following the day on Program benefits to an individual, the forward to the Department, not later which the first payment otherwise benefits are ‘‘due’’ within the meaning than 10 days from the date of the would be issued to the individual; and of section 303(a)(1) of SSA (42 U.S.C. request, a copy of any administrative the redetermination action is taken or 503(a)(1)), and therefore must be paid ruling on an individual’s eligibility to appeal is filed to obtain a reversal of the promptly to the individual. Payments to TAA benefits under this part. award of TAA and a ruling consistent the individual may be temporarily (ii) Notwithstanding paragraph with the Department’s view; and the delayed if a redetermination is issued (c)(1)(i) of this section, a State must redetermination action or appeal seeks not more than 1 business day following forward to the Department a copy of any an expedited redetermination or appeal the day on which the first payment determination or redetermination on an within not more than 2 weeks after the otherwise would be issued to the individual’s eligibility to TAA benefits redetermination action is taken. If individual; and the State seeks an under this part appealed to the State’s redetermination action is not taken or expedited appeal decision within not highest UI administrative appeals appeal is not filed within the above time more than 2 calendar weeks after the authority. limit, or a redetermination or decision is appeal is filed. If the redetermination is (iii) A State must forward to the not obtained within the 2-week limit, or not issued or the appeal is not filed Department a copy of notice of the any redetermination or decision or order within the time limit in the preceding institution of a State or Federal court is issued that affirms the determination, sentence, or the decision on appeal is proceeding and any State or Federal redetermination, or decision awarding not obtained within the 2-calendar week court ruling on an individual’s TAA or allows it to stand in whole or limit in the preceding sentence, or any eligibility to TAA Program benefits in part, the benefits awarded must be decision on appeal is issued that affirms under this part, within 10 days of the paid promptly to the individual. the determination, redetermination, or notice or ruling. (4)(i) If any determination, decision awarding benefits under this (2) If the Department concludes that a redetermination, or decision, referred to part or allows it to stand in whole or in determination, redetermination, or in paragraph (c)(2) or (3) of this section, part, the benefits awarded must be paid decision is inconsistent with the is treated as a precedent for any future promptly to the individual. Department’s interpretation of the Act application for TAA, the Secretary will or this part, the Department may at any decide whether the Agreement with the § 618.844 Inviolate rights to Trade time notify the State of the Department’s State entered into under the Act and Adjustment Assistance or Reemployment Trade Adjustment Assistance. view. Thereafter, the State must issue a this part will be terminated and redetermination or appeal if possible § 618.804(e) applied. (a) Except as specifically provided in and must not follow such (ii) In the case of any determination, this part, the rights of individuals to determination, redetermination, or redetermination, or decision that is not TAA Program benefits will be protected decision as a precedent; and, in any legally warranted under the Act or this in the same manner and to the same subsequent proceedings that involve part, including any determination, extent as the rights of persons to UI are such determination, redetermination, or redetermination, or decision referred to protected under the applicable State decision, or wherein such in paragraph (c)(2) or (3) of this section, law. Such measures must include determination, redetermination, or the Secretary will decide whether the protection of applicants for TAA decision is cited as precedent or State must restore the funds of the Program benefits from waiver, release, otherwise relied upon, the State must United States for any sums paid under assignment, pledge, encumbrance, levy, inform the claims deputy or hearing such a determination, redetermination, execution, attachment, and garnishment officer or court of the Department’s view or decision, and whether, in the absence of their rights to TAA Program benefits, and must make all reasonable efforts, of such restoration, the Agreement with except as provided in §§ 618.832 including appeal or other proceedings the State will be terminated and (overpayments; penalties for fraud) and in an appropriate forum, to obtain § 618.804(e) applied and whether other 618.836 (recovery of debts due the modification, limitation, or overruling action must be taken to recover such United States or others by TAA offset). of the determination, redetermination, sums for the United States. (b) In the same manner and to the or decision. (5) A State may request, in writing, same extent as the rights of persons to (3) If the Department concludes that a within 10 calendar days of receiving a UI are protected under the applicable determination, redetermination, or notice under paragraph (c)(2) or (3) of State law, individuals must be protected decision is patently and flagrantly this section, reconsideration of the from discrimination and obstruction in violates of the Act or this part, the notice. The State will have an regard to the right to seek, apply for, and Department may at any time notify the opportunity to present its views and receive any TAA Program benefit. State of the Department’s view. If the arguments if desired. The State must § 618.848 Veterans’ priority of service. determination, redetermination, or submit such a request to the Secretary The State must give priority for decision in question denies TAA to an and may include views and arguments approval and funding of TAA Program individual, the State must follow the on the matters the Secretary is to decide benefits (including training, where the steps outlined in paragraph (c)(2) of this under paragraph (c)(3) of this section. approval of training criteria are met) to section. If the determination, The Secretary must respond to the a trade-affected worker meeting the redetermination, or decision in question State’s reconsideration request within veterans’ priority of service criteria awards TAA to an individual, the 30 calendar days of receiving the established under 38 U.S.C. 4215. benefits are ‘‘due’’ within the meaning request. of section 303(a)(1) of SSA (42 U.S.C. (6) Concurrence of the Department § 618.852 Recordkeeping and disclosure 503(a)(1)), and therefore must be paid with a determination, redetermination, of information requirements. promptly to the individual. However, or decision must not be presumed from (a) Recordkeeping. (1) Each State must the State must take the steps outlined in the absence of a notice issued pursuant make and maintain such records paragraph (c)(2) of this section, and to this section. pertaining to the administration of the
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Act as the Department requires and (2) Where a State obtains confidential training, job search assistance, and must make all such records available for business information as part of assisting relocation allowances is included in the inspection, examination, and audit by in an investigation under subpart B of TAA Program Annual Funding such Federal officials as the Department this part, it must protect that Agreement, with which States must may designate or as may be required by information as required under that comply. law. subpart. (2) For purposes of the TAA Program, (2)(i) States must maintain records (c) Format of records and forms. the costs of administration are the costs that contain any information that the Forms and records used and maintained associated with performing the overall Department determines to be by States in the administration of this general administrative functions of the appropriate in support of any reports part may exist in paper or electronic TAA Program in paragraphs (b)(2)(i) that the Department may require, form or a combination thereof. through (xviii) of this section and the including those reports specified in Regardless of the medium, these records coordination thereof within the §§ 618.860(f) (general fiscal and must be available and accessible as American Job Center network administrative requirements and cost required under paragraph (a)(1) of this established under WIOA: classification) and 618.864(e) (TAA section for oversight purposes. (i) Accounting, budgeting, financial Program performance). (d) Electronic signatures. Electronic and cash management functions; (ii) States must maintain records as signatures are allowed where such use (ii) Procurement and purchasing required by 2 CFR 200.333 for 3 years, is in accordance with the Electronic functions; or as indicated at 2 CFR 200.333(a) Signatures in Global and National (iii) Property management functions; through (f). Commerce Act (Pub. L. 106–229). (iv) Personnel management functions; (3) States must comply with the (v) Payroll functions; records requirements established in the § 618.856 Information, reports, and (vi) Coordinating the resolution of Uniform Guidance at 2 CFR 200.333 studies. findings arising from audits, reviews, through 200.337. A State must furnish to the investigations, and incident reports; (4) States must document that they Department such information and (vii) Audit functions; provided or offered the employment and reports and conduct such studies as the (viii) General legal services functions; case management services described in Department determines are necessary or (ix) Developing systems and subpart C of this part to all trade- appropriate for carrying out the procedures, including information affected workers, either in a paper-based purposes of the Act and this part. systems, required for these or electronic case management system. administrative functions; States must make these systems § 618.860 General fiscal and administrative (x) Processing applications for requirements and cost classification. available for review upon request by the benefits under the Act; Department. Additionally, the case (a) Uniform fiscal and administrative (xi) Rendering and issuing eligibility management file of each participant requirements. (1) Each State receiving determinations under the Act; must demonstrate that the State notified funds allocated for the TAA Program (xii) Performing oversight and each worker of the training enrollment from the Department as an agent of the monitoring responsibilities related to deadlines set forth in proposed United States, must administer the TAA administrative functions; § 618.725(a). Program in accordance with the (xiii) Costs of goods and services (b) Disclosure of information. (1) Uniform Guidance at 2 CFR part 200 required for administrative functions of Information in records maintained by a and 2 CFR part 2900 and with the the program, including goods and State in administering the Act must be funding agreement. services such as rental or purchase of kept confidential, and information in (2) A State may expend funds equipment, utilities, office supplies, such records may be disclosed only in awarded to it during a Federal fiscal postage, and rental and maintenance of the same manner and to the same extent year to carry out TAA Program activities office space; as information with respect to UI and under sections 235 through 238 of the (xiv) Travel costs incurred for official the entitlement of individuals thereto Act during that Federal fiscal year and business in carrying out administrative may be disclosed under the applicable the succeeding 2 Federal fiscal years. activities or the overall management of State law. Such information must not, (3) Equipment, as described in 2 CFR the TAA Program; however, be disclosed to an employer or 200.33 and computing devices, as (xv) Costs of information systems any other person except to the extent described in 2 CFR 200.20, includes related to administrative functions (i.e., necessary to obtain information from the equipment acquired with TAA funds personnel, procurement, purchasing, employer or other person for the under both current and prior property management, accounting, and purposes of this part. The provision in Agreements. payroll systems), including the this paragraph (b)(1) on the (4) The addition method, described at purchase, systems development, and confidentiality of information 2 CFR 200.307, must be used for all operating costs of such systems; maintained in the administration of the program income earned under TAA (xvi) Processing waivers of training Act does not apply in the following grants. When the cost of generating requirements under subpart G of this circumstances: program income has been charged to part; (i) Disclosures to the Department; such grant, the gross amount earned (xvii) Collecting, validating, and (ii) For the purposes of § 618.832 or must be added to such grant. However, reporting data required under the Act; paragraph (a) of this section; when these costs have not been charged and (iii) For providing information, to such grant, the cost of generating (xviii) Providing RTAA under subpart reports, and studies required by program income must be subtracted E of this part. § 618.856 (information, reports, and from the amount earned to establish the (3) Awards to subrecipients or studies); or net amount of program income available contractors that are solely for the (iv) Where nondisclosure would be for use under such grant. performance of administrative functions inconsistent with the Freedom of (b) Administrative costs. (1) The constitute administrative costs. Information Act (5 U.S.C. 552) or the administrative cost limit for the fiscal (4) Personnel and related Privacy Act of 1974 (5 U.S.C. 552a). year program funding allocation for nonpersonnel costs of staff that perform
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both administrative functions specified (A) Determine that expenditures have the Government-wide requirements for a in paragraph (b)(2) of this section and been made against the proper cost drug-free workplace at 29 CFR part 98. programmatic services or activities must categories and within the cost (f) Fiscal reporting requirements for be allocated as administrative or limitations specified in the Act, the States. (1) In accordance with 2 CFR program costs to the benefitting cost regulations in this part, and 200.327 and 2 CFR 2900.14, each State objectives/categories based on administrative guidance; must submit a quarterly financial report documented distributions of actual time (B) Determine whether there is to the Department as specified in the worked or other equitable cost compliance with other provisions of the reporting instructions approved by allocation methods. Act, the regulations in this part, and OMB. (5) Costs of the information systems in administrative guidance; (2) States must report financial data paragraphs (b)(5)(i) through (iii) of this (C) Assure compliance with 2 CFR on an accrual basis, and cumulatively section, including the purchase, systems part 200 and the Department’s by funding year of appropriation. development, and operational costs, are exceptions at 2 CFR part 2900; and Financial data may also be required on charged to the program category: (D) Determine compliance with the specific program activities as specified (i) Tracking or monitoring of nondiscrimination, disability, and equal in the reporting instructions as participant and performance opportunity requirements of section 188 approved by OMB. information, including employment and of WIOA, including the Assistive (3) If the State’s accounting system is case management services and Technology Act of 1998 (29 U.S.C. not on the accrual basis of accounting, the State must develop accrual activities; 3003). information through best estimates (ii) Employment statistics (ii) Resolution of subrecipient-level based on an analysis of the information, including job listing findings. (A) The Governor is documentation on hand. information, job skills information, and responsible for resolving findings that demand occupation information. States (4) The State must: arise from the monitoring reviews, (i) Obligate funds on not less than a must leverage existing resources investigations, other Federal monitoring provided under other Federal programs; quarterly basis; and reviews, and audits (including under 2 (ii) Periodically review obligations and CFR part 200) of subrecipients awarded (iii) Maintenance and enhancement of and, in an appropriate and timely funds through the Act. the systems specified in paragraphs manner, de-obligate funds when a (B) A State must use the written (b)(5)(i) and (ii) of this section. participant drops, completes, or is no (6) Wherever possible, States must monitoring and audit resolution, debt longer eligible for training. make efforts to streamline the collection and appeal procedures that it (g) Use of funds. Of the funds administrative activities and services uses for other Federal grant programs. awarded to the States to carry out listed in this section by minimizing (C) If a State does not have such sections 235 through 238 of the Act for duplication and effectively using written procedures as described in a fiscal year, the State must use: information technology to improve paragraph (d)(2)(ii)(B) of this section, it (1) Not more than 10 percent for the services and leveraging resources across must prescribe standards and costs of administration, provided in paragraph (b)(2)(i) of this section; and programs. procedures to govern this grant program. (2) Not less than 5 percent for (c) Prior approval. (1) Equipment (D) For subrecipients awarded funds employment and case management purchases under the TAA Program are through a recipient of grant funds, the services under section 235 of the Act. subject to the provisions at 2 CFR direct recipient of the grant funds must (h) Technology. States must maintain 200.313. In compliance with 2 CFR have written monitoring and resolution sufficient and effective technology for 2900.16, prior approval is hereby procedures in place that are consistent the purpose of tracking and reporting provided for equipment purchases with 2 CFR part 200. required participant data, and to under the TAA Program. (iii) Resolution of State findings. (A) provide appropriate services under the (2) As provided in 2 CFR The Secretary is responsible for TAA Program. 200.439(b)(1), the Department retains resolving findings that arise from (i) Designation of resources for the prior approval requirement related Federal audits, monitoring reviews, Management Information Systems (MIS) to capital expenditures (2 CFR 200.13) investigations, incident reports, and development. States are required to and for capital assets (2 CFR 200.12) audits under 2 CFR part 200 for direct dedicate an appropriate portion of other than equipment. recipients of Federal awards under the administrative and employment and (d) Audit and oversight requirements. Act. case management funding under TAA (1) All States, local governments, (B) The Secretary will use the for management information systems nonprofit organizations, and for-profit Department’s audit resolution process, development, upgrades, and ongoing entities that are recipients or consistent with 2 CFR part 2900, maintenance. subrecipients of TAA Program funds subpart F. must follow the audit requirements (C) A final determination issued by a § 618.864 Trade Adjustment Assistance under 2 CFR 200.500 through 200.521 Grant Officer under the process in this Program performance. and 2 CFR 2900.20. paragraph (d)(2)(iii) may be appealed to (a) General rule. Each State must (2)(i) Oversight and monitoring. Each the DOL Office of Administrative Law report to the Department comprehensive recipient and subrecipient of funds Judges under the procedures in 2 CFR performance accountability measures, to under the Act must conduct regular 2900.22. consist of: oversight and monitoring of its program (e) Government-wide debarment and (1) The primary indicators of and those of any subrecipients and suspension, and government-wide drug- performance described in paragraph (b) contractors, as required under section free workplace requirements. All TAA of this section; 239(i) of the Act, as well as under 2 CFR Program fund recipients and (2) The additional indicators of part 200, including 2 CFR 200.328, subrecipients must comply with the performance established under 200.330, and 200.331, and Department Government-wide requirements for paragraph (c) of this section, if any; and exceptions at 2 CFR part 2900, in order debarment and suspension under (3) A description of efforts made to to: subparts G and H of 2 CFR part 180 and improve outcomes for workers under
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the TAA Program that promote efficient indicators in paragraphs (b) and (c) of as a result of paragraphs (g)(3)(iii)(B) and effective program performance as this section. through (D) of this section. provided in this section. (1) The use of Social Security (4) Monitoring program. In order to (b) Primary indicators of numbers from participants and such ensure the effective and efficient performance—(1) Primary indicators. other information as is necessary to operation of the TAA Program, States The primary indicators of performance measure the progress of those must adopt a formal monitoring shall consist of: participants through quarterly wage program designed to review and audit (i) The percentage and number of record information is authorized. worker files. workers who received benefits under (2) States that participate in data (i) The monitoring program must be the TAA Program who are in sharing agreements for the purposes of designed to identify and share best unsubsidized employment during the obtaining wage record information may practices, identify and correct second calendar quarter after exit from use such data sharing agreements to deficiencies, and identify and address the program; obtain wage record information for staff training needs. (ii) The percentage and number of workers who received benefits under (ii) A minimum quarterly random workers who received benefits under the TAA Program. sample of 20 cases must be audited as the TAA Program who are in (3) To the extent that quarterly wage part of the monitoring program and records are not available for a unsubsidized employment during the must include cases from at least 2 participant, States may use other fourth calendar quarter after exit from certifications issued under subpart B of information as is necessary to measure the program; this part. the progress of the participant. (iii) The median earnings of workers (e) Reporting requirements—(1) Data (iii) The four quarterly samples within who are in unsubsidized employment required. States must report TAA a calendar year must also cover at least during the second quarter after exit from Program demographics, performance, four different areas of the State the program; and services data, identified in administering the program. (iv) The percentage of those paragraphs (b) and (c) of this section, to (iv) If circumstances preclude a State participants enrolled in a training the Department on such forms and in from meeting the criteria in paragraphs program under subpart F (excluding such manner as the Department may (g)(4)(ii) and (iii) of this section, the those in OJT and customized training) prescribe. State must contact the appropriate ETA who attained a recognized (2) Data reliability and validity. States regional office to design a monitoring postsecondary credential or a secondary are required to establish procedures that program that better suits the TAA school diploma, or its recognized are consistent with administrative Program in that State, and make sure it equivalent, during participation in or guidance the Department issues to is sufficient to ensure the accuracy and within 1 year after exit from the ensure the data States submit are valid verifiability of such data. program; and and reliable. (h) Data on benefits received, training, (v) The percentage and number of (f) Publication of performance results. outcomes, rapid response activities, and workers who received benefits under The Department will publish, annually, spending. Data submitted by the States the TAA Program who, during a year through electronic means, including must be sufficient to provide, at a while receiving such benefits, are in an posting on the Department’s website, minimum, the information required in education or training program that leads the TAA Program performance results of section 249B of the Act, including the to a recognized postsecondary the States. following information: credential or employment and who are (g) Control measures—(1) In general. (1) The number of workers receiving achieving measurable gains in skills Each State must implement effective benefits under the TAA Program; toward such a credential or control measures to effectively oversee (2) The number of workers receiving employment. the operation and administration of the each type of benefit, including (2) Indicator relating to credential TAA Program and ensure the accurate employment and case management attainment. For purposes of paragraph collection of program data. services, training, job search and (b)(1)(iv) of this section, a worker who (2) Location. The control measures relocation allowances, TRA (Basic, received benefits under the TAA must be internal to a system used by the Additional, and Completion) and RTAA Program who obtained a secondary State to collect data. payments, and, to the extent feasible, school diploma or its recognized (3) Purpose. States will implement the HCTC, if available; equivalent is included in the percentage these control measures in order to: (3) The average time during which counted for purposes of paragraph (i) Oversee the operation and such workers receive each type of (b)(1)(iv) of this section only if the administration of the TAA Program benefit; worker, in addition to obtaining such a under this part; (4) The average number of weeks TRA (ii) Improve the timeliness and diploma or its recognized equivalent, were paid to workers; verifiability of reported data; and has obtained or retained employment or (iii) Verify the accuracy of reported (5) The number of workers who report is in an education or training program data, and must require: that they have received benefits under a leading to a recognized postsecondary (A) Periodic staff training; prior certification in any of the 10 fiscal credential within 1 year after exit from (B) Participation in data validation years preceding the fiscal year for which the program. and integrity efforts, as directed by the the data are collected under this section; (c) Additional indicators. The Department; (6) The number of workers who Department and a State may agree upon (C) Data analysis and monitoring on a received TAA approved training, additional indicators of performance for quarterly basis to identify inaccurate classified by major types of training, the TAA Program, as appropriate. data input; including but not limited to, classroom (d) Use of wage records. States must, (D) Data analysis and monitoring on a training, training through distance consistent with State law, use quarterly quarterly basis to identify missing data; learning, training leading to an wage record information, as defined in and associate’s degree, remedial education, 20 CFR 677.175, in measuring the (E) Resubmission of required reports prerequisite education, OJT, and progress on program performance upon correcting data the State identifies customized training;
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(7) The number of workers who exited § 618.876 Verification of eligibility for National Guard duty under 32 U.S.C. TAA approved training, including who program benefits. 502(f) for 30 consecutive days or more received prelayoff training or part-time (a) Overall program eligibility. In when authorized by the President or the training at any time during that training; addition to all other eligibility criteria Secretary of Defense for the purpose of (8) The average duration of training contained in this part, an individual responding to a national emergency and the average duration of training that must also be authorized to work in the declared by the President and supported does not include remedial or United States to receive benefits under by Federal funds. the TAA Program. States are required to prerequisite education; § 618.888 Equitable tolling. (9) The number of training waivers verify the status of participants who are (a) A TAA Program deadline must be granted, classified by type of waiver; not a citizen or national of the United States. equitably tolled when: (10) The number of workers who (b) Initial verification. All States are (1) An extraordinary circumstance exited training and the average duration required, under section 1137(d) of SSA prevented an individual’s timely action; of such training; (42 U.S.C. 1320b–7(d)), to initially and (11) The number of workers who do verify the immigration status of self- (2) The individual otherwise acted not complete training and the average reporting aliens who apply for UI with diligence. duration of the training such workers through the system designated by the (b)(1) When an individual fails to take completed; U.S. Customs and Immigration Service timely action because the State failed to (12) The average cost per worker of (or USCIS), currently the Systematic give notice required under this part, that receiving TAA approved training; Alien Verification for Entitlement (or failure is prima facie evidence of an (13) The percentage of workers who SAVE) program. No further verification extraordinary circumstance. received TAA approved training and is required except as described in (2) If the individual did not receive obtained unsubsidized employment in a paragraph (c) of this section. the required notice, but otherwise field related to that training; (c) Reverification. (1) Once a State has received actual notice with sufficient (14) The age, preprogram educational verified satisfactory immigration status time to take timely action, the lack of level, and post-program credential initially, the State must reverify the receipt of the required notice is not attainment of the workers; worker’s immigration status if the evidence of an extraordinary documentation provided during initial circumstance. (15) The median earnings of workers verification will expire during the (c) A TAA Program deadline equitably during the second calendar quarter after period in which that worker is tolled under this section is tolled for the exit from the program, expressed as a potentially eligible to receive benefits time period during which the percentage of the median earnings of under this subchapter. extraordinary circumstance exists. Once such workers before the calendar (2) The State must conduct such that circumstance is resolved, the time quarter in which such workers began redetermination in a timely manner, period that was tolled begins to run receiving benefits under this part; using the immigration status verification again. (16) The sectors in which workers are system described in section 1137(d) of (d) Equitable tolling may extend an employed after receiving benefits under SSA (42 U.S.C. 1320b–7(d)) or by review otherwise expired TAA Program this part; of other documentation, as described in deadline by no more than 36 months. (17) Whether rapid response activities that provision. were provided with respect to each § 618.890 Staffing flexibility. petition filed; § 618.884 Special rule with respect to (a) Staff employed under a merit military service. (18) The total amount of funds used personnel system as provided in section (a) In general. Notwithstanding any to pay for TRA by the State; and 303(a)(1) of the Social Security Act must other provision of this part, a State may be used for all reviews of benefit (19) The total amount of the TaOA waive any requirement of this part that determinations under applicable State payments to the State. the States determines is necessary to law. § 618.868 Unemployment Insurance. ensure that an AAW who is a member (b) All determinations on eligibility of a reserve component of the Armed for TAA Program benefits must be made UI payable to an AAW shall not be Forces and serves a period of duty by State staff, with the exception of the denied or reduced for any week by described in paragraph (b) of this functions in paragraph (a) of this reason of any right to a payment of TAA section is eligible to receive a trade section, which must be made by staff under the Act and this part. readjustment allowance, training, and meeting the criteria in paragraph (a) of § 618.872 Travel under the Trade other benefits under this part in the this section. Adjustment Assistance Program. same manner and to the same extent as (c) All other functions under the TAA if the worker had not served the period (a) TAA Program participants are Program, not subject to paragraphs (a) of duty. subject to the FTR at 41 CFR chapters and (b) of this section, may be provided (b) Period of duty described. An AAW under a variety of staffing models. 300 through 304 for all travel paid for serves a period of duty described in with TAA Program funds. paragraph (a) of this section if, before § 618.894 Nondiscrimination and equal (b) Except for the definition of completing training under section 236 opportunity requirements. ‘‘commuting area,’’ States may not apply of the Act, the worker: (a) States and subrecipients of State or local travel policies and (1) Serves on active duty for a period financial assistance under the TAA restrictions to TAA Program of more than 30 days under a call or Program are required to comply with the participants receiving reimbursements order to active duty of more than 30 nondiscrimination and equal for travel under the Act. days; or opportunity provisions codified in the (c) In instances where the FTR is (2) In the case of a member of the Department’s regulations at 29 CFR silent or defers to the Federal agency’s Army National Guard of the United parts 31, 32, 35, and 36. travel policies, the State must apply the States or Air National Guard of the (b) States and subrecipients of relevant policies of the Department. United States, performs full-time financial assistance under the TAA
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Program are required to comply with the Subpart I—Allocation of Funds to with this section. A State that does not nondiscrimination and equal States for Training and Other Activities receive an initial allocation may apply opportunity requirements of WIOA to the Department under § 618.920(b) for section 188 and its implementing § 618.900 Annual cap on funds available reserve funds to obtain funding for regulations at 29 CFR part 38 if the for Training and Other Activities. TaOA. agency or subrecipient: (a) The total amount of funds made (e) Process of determining initial (1) Operates its TAA programs and available for the costs of carrying out allocation. (1) The Department will first activities as part of the one-stop delivery sections 235 through 238 of the Act, apply the factors described in paragraph system established under the WIOA; or referenced here as Training and Other (f) of this section to determine an Activities (TaOA), will not exceed the (2) Otherwise satisfies the definition unadjusted initial allocation for each annual cap established under section of ‘‘recipient’’ in 29 CFR 38.4(zz). State. 236(a)(2)(A) of the Act. For each of (c) Questions about the (2) The Department will then apply Fiscal Years (FYs) 2015 through 2021, the hold harmless provision of nondiscrimination requirements cited in this cap is $450,000,000. this section may be directed to the paragraph (c) of this section to the (b) Funds obligated during a fiscal unadjusted initial allocation, as follows: Director, Civil Rights Center, U.S. year to carry out activities under Department of Labor, Room N–4123, (i) A State whose unadjusted initial sections 235 through 238 of the Act may allocation is less than its hold harmless 200 Constitution Avenue NW, be expended by the State receiving such Washington, DC 20210. amount but is $100,000 or more will funds during that fiscal year and the have its initial allocation adjusted up to (d)(1) This section does not affect the succeeding 2 fiscal years. rights and protections (and exceptions its hold harmless amount in accordance thereto) available under any other § 618.910 Initial allocation of funds. with paragraph (c) of this section. If a Federal law or regulation regarding (a) Initial allocation. In the initial State’s unadjusted allocation is less than discrimination. allocation for a fiscal year, the $100,000, the State will receive no (2) This section does not affect the Department will allocate 65 percent of initial allocation, in accordance with rights and protections (and exceptions the funds available under section paragraph (d) of this section, and those thereto) available under any other State 236(a)(2)(A) of the Act for that fiscal funds will be distributed among the or local law or regulation regarding year. The Department will announce the other States as provided in paragraph discrimination, except as provided in amount of each State’s initial allocation (e)(3) of this section. paragraph (d)(3) of this section. of funds, determined in accordance with (ii) A State whose unadjusted initial allocation is no less than its hold (3) No State may discriminate on any the requirements of this section, at the harmless threshold will receive its hold basis protected by 29 CFR parts 31, 32, beginning of each fiscal year. The harmless amount and, in addition, will 35, 36, and 38 (and exceptions thereto), Department will determine this initial receive an adjustment equal to the as applicable, in determining an allocation on the basis of the total funds State’s share of the remaining initial individual’s eligibility for any of the available under the annual cap for that allocation funds, as provided in following: year, even if the full amount has not paragraph (e)(3) of this section. (i) Receiving aid, benefits, services, been appropriated to the Department at (3) Any initial allocation funds training, or employment; that time. (b) Timing of the distribution of the remaining after the adjustments to (ii) Participating in any TAA program initial allocations are applied as or activity; initial allocation. The Department will, as soon as practical, distribute the initial described in paragraph (e)(2)(i) of this (iii) Being employed by any State; or allocation announced under paragraph section will be distributed among the (iv) Practicing any occupation or (a) of this section. However, the States with unadjusted initial profession. Department will not distribute the full allocations that were no less than their § 618.898 Applicable State law. amount of the initial allocation until it respective hold harmless amounts, as receives the entire fiscal year’s described in paragraph (e)(2)(ii) of this (a) The applicable State law for an appropriation of funds for TaOA. If the section (the remaining States). The AAW remains the applicable State law full year’s appropriated amount for distribution of the remaining initial for such worker until such worker TaOA is less than the annual cap on allocation funds among the remaining becomes entitled to UI under the State funds available for TaOA, then the States will be made by using the law of another State (whether or not Department will distribute 65 percent of formula in paragraph (f) of this section. such worker files a UI claim in that the amount appropriated. This recalculation will disregard States other State). (c) Hold harmless provision. Except as receiving only their hold harmless (b) For purposes of determining the provided in paragraph (d) of this amount under paragraph (e)(2)(i) of this applicable State law for UI entitlement: section, or required by the section, so that the combined (1) A worker is deemed entitled to UI appropriation, in no case will the percentages of the remaining States total under a State law if such worker amount of the initial allocation to a 100 percent. satisfies the base period employment State in a fiscal year be less than 25 (f) Initial allocation factors. (1) In and wage qualifying requirements of percent of the initial allocation to that determining how to make the initial such State law; State in the preceding fiscal year. allocation of funds, the Department will (2) In the case of a combined-wage (d) Minimum initial allocation. If a apply, as provided in paragraph (f)(3) of claim, UI entitlement must be State has an adjusted initial allocation this section, the following factors with determined under the law of the paying of less than $100,000, as calculated in respect to each State: State; and accordance with paragraph (e)(2) of this (i) Factor 1: The trend in the number (3) In case of a Federal UI claim, or section, that State will not receive an of trade-affected workers covered by a joint State and Federal UI claim, UI initial allocation, and the funds that certifications during the most recent 4 entitlement must be determined under otherwise would have been allocated to consecutive calendar quarters for which the law of the applicable State for such that State instead will be allocated data are available. The trend will be claims. among the other States in accordance established by assigning a greater weight
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to the most recent quarters, giving those § 618.930, as appropriate, considering sections 235 through 238 of the Act and quarters a larger share of the factor; the information provided in reserve that remain unobligated by the State (ii) Factor 2: The trend in the number fund requests submitted by States as during the second or third fiscal year of workers participating in training described in paragraph (b) of this after the fiscal year in which the funds during the most recent 4 consecutive section and the level of reserve funds were provided to the State; and calendar quarters for which data are available. (2) Reallocate recaptured funds to available. The trend will be established (b) A State requesting reserve funds States to carry out sections 235 through by assigning a greater weight to the most must demonstrate that: 238 of the Act, in accordance with recent quarters, giving those quarters a (1) At least 50 percent of its TaOA procedures established in this section. larger share of the factor; funds from the current year (if any were (b) The Department may recapture (iii) Factor 3: The number of workers received) and previous fiscal years have and reallocate funds as authorized by estimated to be participating in training been expended; or paragraph (a) of this section if the during the fiscal year. The estimate will (2) The State needs additional TaOA Department determines: be calculated by dividing the weighted funds to meet demands for services due (1) There are, or are projected to be, average number of workers in training to unusual and unexpected events, insufficient funds in a State or States to for the State determined in paragraph which includes an unexpected increase carry out the activities described in (f)(1)(ii) of this section by the sum of the in the number of trade-affected workers sections 235 through 238 of the Act for weighted averages for all States and eligible for TaOA. a fiscal year; or multiplying the resulting ratio by the (c) A State requesting reserve funds (2) The recapture and reallocation of projected national average of workers in under paragraph (b) of this section also funds would likely promote the more training for the fiscal year, using the must provide a documented estimate of efficient and effective use of funds projection methodology underlying the funding needs through the end of the among States to carry out the activities described in sections 235 through 238 of Department’s most recent budget fiscal year. That estimate must be based the Act for a fiscal year. submission or update; and on an analysis that includes at least the (iv) Factor 4: The amount of funding (c) If the Department makes a following: determination described in paragraph estimated to be necessary to provide (1) The average cost of training in the TAA approved training to such workers (b)(1) of this section for a fiscal year, the State; Department may recapture funds, to the during the fiscal year. The estimate will (2) The expected number of be calculated by multiplying the extent needed, from one or more of the participants in training through the end State or States that have the highest estimated number of training of the fiscal year; and participants in paragraph (f)(1)(iii) of percentage of unobligated or (3) The remaining TaOA funds the unexpended funds from the second or this section by the average training cost State has available. for the State. The average training cost third fiscal year after the fiscal year in will be calculated by dividing total § 618.930 Second distribution. which the funds initially were allocated training expenditures for the most The Department will distribute at to such States, as determined by the recent 4 quarters by the average number least 90 percent of the total TaOA funds Department, and reallocate those funds of training participants for the same (including § 618.920 reserve funds) for a to the States with, or projected to have, time period. fiscal year to the States no later than insufficient funds. In making the (2) The four factors listed in July 15 of that fiscal year. The determination that a State has or is paragraphs (f)(1)(i) through (iv) of this Department will first fund all acceptable projected to have insufficient funds to section are given equal weight. requests for reserve funds filed before carry out the activities described in (3) For each of the factors in June 1. After these requests are satisfied, sections 235 through 238 of the Act for paragraphs (f)(1)(i) through (iv) of this any funds remaining will be distributed a fiscal year, the Department may section, the Department will determine to those States that received an initial consider a request submitted by the the national total and each State’s allocation in an amount greater than State in accordance with information percentage of the national total. Based their hold harmless amount, using the required under § 618.920(b) or base such on a State’s percentage of each of these methodology described in § 618.910. determination on other information the factors, the Department will determine Any funds remaining after the second Department determines is appropriate. the percentage that the State will receive distribution will be available for (d) If the Department makes a of the total amount available for initial allotment under § 618.920. determination described in paragraph allocation for that fiscal year. The (b)(2) of this section for a fiscal year, the percentages of the initial allocation § 618.940 Insufficient funds. Department may recapture funds from amount for all States combined will If, during a fiscal year, the Department the State or States that have the highest total 100 percent of the total amount of estimates that the amount of funds percentage of unobligated or the initial allocation. necessary to provide TaOA will exceed unexpended funds from the second or the annual cap under § 618.900, the third fiscal year after the fiscal year in § 618.920 Reserve fund distributions. Department will decide how the which the funds were initially allocated (a) The 35 percent of the TaOA funds available funds that have not been to such States, as determined by the for a fiscal year that remains after the distributed at the time of the estimate Department, and reallocate those funds initial allocation will be held by the will be allocated among the States for to: Department as a reserve. Reserve funds the remainder of the fiscal year, and will (1) The States with the lowest will be used, as needed, for additional communicate this decision to States percentage of unobligated or distributions to States during the through administrative guidance. unexpended funds from the second or remainder of the fiscal year, including third fiscal year after the fiscal year in distributions to those States that did not § 618.950 Recapture and reallocation of which the funds initially were allocated receive an initial allocation. The amount Training and Other Activities funds. to such States as determined by the of any distributions of reserve funds (a) The Department may: Department, based on such additional will be determined by the Department (1) Recapture funds that were factor or factors as the Department within the time frame described in allocated to any State to carry out determines is or are appropriate; or
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(2) All States from which funds are each affected State, not less than 15 PART 90—[REMOVED AND not being recaptured, in accordance business days in advance of the RESERVED] with the formula factors described in recapture of funds. § 618.910(f), relating to the initial (f) The reallocation of funds under ■ 5. Remove and reserve 29 CFR part 90. distribution of funds. this section does not extend the period Signed at Washington, DC (e) If the Department determines to of availability for the expenditure of recapture and reallocate funds pursuant those funds, which expenditure period John P. Pallasch, to this section, an administrative notice remains 2 fiscal years after the fiscal Assistant Secretary for Employment and must be issued to the States describing year in which the funds were initially Training, Labor. the methodology used and the amounts allocated by the Department to the State [FR Doc. 2020–13802 Filed 8–20–20; 8:45 am] to be recaptured from and reallocated to from which the funds are recaptured. BILLING CODE 4510–FN–P
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Reader Aids Federal Register Vol. 85, No. 163 Friday, August 21, 2020
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING AUGUST
Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Permit of July 29, Presidential Documents 2 CFR 2020 ...... 47009 Executive orders and proclamations 741–6000 25...... 49506 The United States Government Manual 741–6000 170...... 49506 5 CFR 183...... 49506 Other Services 630...... 48075, 48096 200...... 49506, 50757 2611...... 51301 Electronic and on-line services (voice) 741–6020 1103...... 51158 2638...... 51301 Privacy Act Compilation 741–6050 1104...... 51158 1108...... 51229 7 CFR 1120...... 51161 ELECTRONIC RESEARCH 9...... 49589, 49593 1122...... 51223 1150...... 47293 World Wide Web 1125...... 51158 Proposed Rules: 1126...... 51167 205...... 47536 Full text of the daily Federal Register, CFR and other publications 1128...... 51167 984...... 47305 is located at: www.govinfo.gov. 1130...... 51167 1206...... 50795 Federal Register information and research tools, including Public 1132...... 51167 1217...... 49281 1134...... 51167 Inspection List and electronic text are located at: 8 CFR www.federalregister.gov. 1136...... 51167 1138...... 51167 103...... 46788, 49941 E-mail 106...... 46788, 49941 3 CFR 204...... 46788, 49941 FEDREGTOC (Daily Federal Register Table of Contents Electronic Proclamations: 211...... 46788, 49941 Mailing List) is an open e-mail service that provides subscribers 10060...... 49921 212...... 46788, 49941 with a digital form of the Federal Register Table of Contents. The 10061...... 51295 214 ...... 46788, 49941, 51304 digital form of the Federal Register Table of Contents includes 10062...... 51631 216...... 46788, 49941 HTML and PDF links to the full text of each document. Executive Orders: 217...... 46788, 49941 To join or leave, go to https://public.govdelivery.com/accounts/ 13940...... 47879 223...... 46788, 49941 USGPOOFR/subscriber/new, enter your email address, then 13941...... 47881 235...... 46788, 49941 follow the instructions to join, leave, or manage your 13942...... 48637 236...... 46788, 49941 subscription. 13943...... 48641 240...... 46788, 49941 244...... 46788, 49941 PENS (Public Law Electronic Notification Service) is an e-mail 13944...... 49929 13945...... 49935 245...... 46788, 49941 service that notifies subscribers of recently enacted laws. 245a...... 46788, 49941 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Administrative Orders: 248...... 46788, 49941 and select Join or leave the list (or change settings); then follow Memorandums: 264...... 46788, 49941 the instructions. Memorandum of 274a ...... 46788, 49941, 51304 August 3, 2020...... 47885 286...... 46788, 49941 FEDREGTOC and PENS are mailing lists only. We cannot Memorandum of respond to specific inquiries. 301...... 46788, 49941 August 3, 2020...... 47887 319...... 46788, 49941 Reference questions. Send questions and comments about the Memorandum of 320...... 46788, 49941 Federal Register system to: [email protected] August 3, 2020...... 47889 322...... 46788, 49941 Memorandum of The Federal Register staff cannot interpret specific documents or 324...... 46788, 49941 August 7, 2020...... 49223 regulations. 334...... 46788, 49941 Memorandum of 341...... 46788, 49941 August 7, 2020...... 49225 343a...... 46788, 49941 FEDERAL REGISTER PAGES AND DATE, AUGUST Memorandum of 343b...... 46788, 49941 August 7, 2020...... 49227 392...... 46788, 49941 46531–47012...... 3 Memorandum of 47013–47292...... 4 August 8, 2020...... 49585 9 CFR 47293–47634...... 5 Memorandum of Proposed Rules: 47635–47890...... 6 August 8, 2020...... 49587 1...... 51368 47891–48074...... 7 Notices: 2...... 51368 48075–48464...... 10 Notice of August 13, 3...... 51368 48465–48644...... 11 2020 ...... 49939 57...... 50796 48645–49228...... 12 Orders: 161...... 50796 49229–49588...... 13 Order of August 14, 2020 ...... 51297 10 CFR 49589–49940...... 14 Presidential Permits: 430...... 50757, 50937 49941–50756...... 17 Permit of July 29, Proposed Rules: 50757–50936...... 18 2020 ...... 46997 430...... 49284, 49297 50937–51300...... 19 Permit of July 29, 431...... 47472 51301–51630...... 20 2020 ...... 47001 51631–52024...... 21 Permit of July 29, 11 CFR 2020 ...... 47005 111...... 47891
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12 CFR 112...... 48124 690...... 49798 43 CFR 9...... 49229 890...... 49986 692...... 49798 Proposed Rules: 694...... 49798 303...... 51312 23 CFR 8365...... 49995 308...... 51312 36 CFR 1026...... 50944 Proposed Rules: 44 CFR Proposed Rules: 645...... 49328 251...... 48475 702...... 50963 64...... 47673 24 CFR 37 CFR 1289...... 49312 328...... 48113 5...... 47899 1...... 46932 14 CFR 91...... 47899 11...... 46932 45 CFR 21...... 47295 92...... 47899 41...... 46932 170...... 47099 25...... 48645 214...... 47300 42...... 46932 171...... 47099 29...... 48646 570...... 47899 39 ...... 46531, 46533, 47013, 574...... 47899 38 CFR Proposed Rules: 1...... 51396 47295, 47297, 47635, 47638, 576...... 47899 Proposed Rules: 47641, 48102, 48465, 49233, 903...... 47899 9...... 50973 49235, 49238, 49941, 49944, 46 CFR 26 CFR 39 CFR 49947, 49949, 49952, 49954, 540...... 49600 49957, 49959, 49962, 50767, 1 ...... 47027, 48467, 48651, Proposed Rules: 50770, 50772 49595, 51346 113...... 46575, 47720 61...... 47295 Proposed Rules: 47 CFR 63...... 47295 1 ...... 47323, 47508, 48485, 40 CFR 1...... 50886, 51357 65...... 47295 49754, 51369 1...... 51650 73...... 48120 71 ...... 47016, 47017, 47894, 301...... 47931 9...... 46550, 51657 76...... 51363 50774, 50777, 50779, 51324, 28 CFR 49...... 51650 Proposed Rules: 51325, 51327, 51329 51...... 49596 1...... 48134, 50911 91...... 47295 50...... 50951 52 ...... 47032, 47670, 48111, 20...... 49998 93...... 47895 Proposed Rules: 49967, 50784, 50953, 50955, 54...... 48134 97 ...... 47643, 47645, 51331, 26...... 47324 51663, 51666 73...... 51401 51333 72...... 49332 63 ...... 49084, 49434, 49724, 74...... 51401 107...... 47295 51668 125...... 47295 29 CFR 71...... 51650 48 CFR 141...... 47295 90...... 51896 81...... 47032, 47670 Proposed Rules: 4022...... 49595 97...... 49170 501...... 50957 39 ...... 46560, 46563, 47118, 124...... 51650 516...... 50958 47122, 47698, 47712, 47714, 31 CFR 180 ...... 48651, 48654, 49261, 552...... 50958 47716, 47919, 47921, 47925, 501...... 48474 51354, 51668 570...... 50957 48122, 48480, 48482, 49322, 1010...... 48104, 48105 228...... 47035 1539...... 46556 49978, 49981, 50970 300...... 50786 1552...... 46556 71 ...... 47317, 47321, 47322, 32 CFR 721...... 46550, 51657 Proposed Rules: 47718, 47928, 49324, 49327, 21...... 51238 Proposed Rules: 8...... 50989 49607, 49609, 49610, 49983, 22...... 51238 50...... 49830 38...... 50989 49985 32...... 51238 52 ...... 46576, 46581, 47125, 15 CFR 33...... 51238 47134, 47939, 48127 49 CFR 34...... 51238 62...... 48485 396...... 50787 736...... 51596 37...... 51238 82...... 47940 1002...... 47099 744...... 51335, 51596 220...... 51347 87...... 51556 1011...... 47675 762...... 51596 625...... 51645 152...... 51394 1111...... 47675 16 CFR Proposed Rules: 174...... 51395 315...... 50668 750...... 51374 180...... 47330 281...... 49611 50 CFR 19 CFR 33 CFR 300...... 47331, 48132 17...... 48332 Ch. I...... 51633, 51634 100 ...... 47027, 47912, 48108, 1030...... 51556 20...... 51854 24...... 47018 51351, 51646 92...... 49601 42 CFR Proposed Rules: 110...... 50784 216...... 49975 351...... 49472 165 ...... 46536, 47027, 47030, 409...... 47594 217...... 50720 47648, 47650, 47912, 47913, 410...... 50074 223...... 48332 20 CFR 48107, 48110, 51648 412...... 47042, 48424 224...... 48332 426...... 51337 Proposed Rules: 413...... 47594 229...... 50959 617...... 51896 100...... 47936 414...... 50074 300...... 49975 618...... 51896 110...... 47936 415...... 50074 622...... 47304, 47917 117...... 47328 418...... 47070 635...... 48120 21 CFR 165...... 47937 423...... 50074 648 ...... 47102, 47103, 48476, 1...... 50780 424...... 50074 48477, 49602, 50793 101...... 49240 34 CFR 425...... 50074 665...... 50961 558...... 50783 75...... 49965 482...... 47042 679 ...... 48477, 48478, 49606, 573...... 48650 Ch. III...... 46538, 47652, 47656, 600...... 49264 49976, 51672 610...... 51635 47664, 47668, 47915, 49965 Proposed Rules: Proposed Rules: 882...... 50950 600...... 49798 410...... 48772 17...... 48487, 50991 895...... 50950 674...... 49798 411...... 48772 223...... 48144 1005...... 50780 675...... 49798 412...... 47723, 48772 224...... 48144 1308 ...... 51340, 51342, 51639 676...... 49798 414...... 48772 424...... 47333 1312...... 51639 682...... 49798 416...... 48772 622...... 49355 Proposed Rules: 685...... 49798 419...... 48772 648...... 48660 1...... 46566 686...... 49798 423...... 47151 680...... 47157
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